For Dept/Function: PRD & LOG

Internal Audit Check List

Auditor:

QMS Process: Logistics Date of Audit:

If Non-
ISO/TS Conforming conforming Auditors Comments
16949:2002 Requirements What to look for Auditee Name
Audit Report (When required)
Clause Ref
Yes No No.
5.1.1 Process Efficiency
Does organization's top management monitor the > Review of product realization and
process realization processes and the support support processes by top
processes to assure their effectiveness and management.
efficiency? > Indicators and records.
> Reporting process.

5.2 Customer Focus

1. Does top management ensure that customer > Description of an objective
requirements are determined and fulfilled with the process.
aim of enhancing customer satisfaction? > Methodology use for surveys.

5.3 Quality Policy

1. Does top management ensure that the quality
policy:
a) is appropriate to the purpose of the organization?
b) includes a commitment to comply with
requirements and continually improve the
effectiveness of the quality management system?
c) provides a framework for establishing and
reviewing quality objectives?
d) is communicated and understood with in the
organization
e) is reviewed for continuing suitability?
> Documented policy statement
with clearly defined and measurable
quality objectives approved by MD
> Records of improvement.
> Scope of the Quality objectives.
> Direct interviews with randomly
selected people of the organization.
> Evidence of periodic review of
the quality policy.
> Review of all elements of the
quality system to its continuing
suitability and effectiveness.

5.4 Planning - Quality objectives

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 If Non-
ISO/TS Conforming conforming Auditors Comments
16949:2002 Requirements What to look for Auditee Name
Audit Report (When required)
Clause Ref
Yes No No.
5.4.1 1) Does the organization's top management ensure
that quality objectives, including those needed to
meet requirements for product are established at
relevant functions and levels within the
organization?

5.4.2 2) Are the organization's quality objectives > Quality cost indicators and
measurable and consistent with the quality policy? quality indices.
> Quality objectives
included/Linked to the business plan.

5.4.3 3) Did top management define any quality > Quality objectives
objectives and measurements? included/linked to the business plan.
> Scope of the Quality objectives

5.4.4 4) Are the organization's quality objectives and
measurements included in the business plan and
used by top management to deploy the
organization's quality policy?
> Quality objectives
included/linked to the business plan.
> Management review meeting
minutes, attendance and adequate
frequency.

5.4.5 5) Does top management of the organization ensure > Internal Audit results.
that
a) the planning of the quality management system
is carried out in order to meet the general quality
management system requirements stated in section
4.1 of ISO /TS 16949:2002, as well as the quality

5.5 Responsibility, Authority & Communication

5.5.1 1) Does the organization's top management ensure > Responsibilities and authority as
that the responsibilities and authorities are defined defined in the descriptions,
and communicated with in the organization ? responsibilities matrices, procedures,
and accountabilities documents.

5.5.7 7) Does top management ensure that appropriate > Communication channels and
communication processes are established within timeliness.
the organization?

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 If Non-
ISO/TS Conforming conforming Auditors Comments
16949:2002 Requirements What to look for Auditee Name
Audit Report (When required)
Clause Ref
Yes No No.
5.5.8 8) Does the top management ensure that > Communication channels and
communication tacks place within the organization timeliness.
regarding the effectiveness of the quality
management system?

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 If Non-
ISO/TS Conforming conforming Auditors Comments
16949:2002 Requirements What to look for Auditee Name
Audit Report (When required)
Clause Ref
Yes No No.
5.5.3 Internal Communication
5.5.7 Does top management ensure that appropriate > Communication channels and
communication process are established within the timeliness.
organization?
5.5.8 Does top management ensure that communication > Communication channels and
tacks place within the organization regarding the timeliness.
effectiveness of the quality management system?
process are established within the organization?

5.6 Management Review

5.6.1 1) Does the organization's top management review
its quality management system, at planned
intervals, to ensure its continuing suitability,
adequacy and effectiveness?
> Review of all the elements of the
quality system to insure its continuing
suitability and effectiveness.
> Review of quality cost indicators.
> Management review meeting
minutes, attendance and adequate
frequency.
> Action plans.

5.6.2 2) Do the organization's management reviews > Evidence of continuous

include assessing opportunities for improvement improvement projects initiated from
and the need for changes to the quality management reviews.
management system, including the quality policy
and quality objectives?

5.6.3 3) Are the organization's records from management > Retention of management reviews
reviews maintained? meeting minutes.
5.6.4 4) Do the management reviews include all > Review of all the elements of the
elements of the QMS and its performance trends as quality system to insure its continuing
an essential part of the continual improvement suitability and effectiveness.
process? > Trends in metrics (business and
customer satisfaction).
> Basis for continuous
improvement projects.

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 If Non-
ISO/TS Conforming conforming Auditors Comments
16949:2002 Requirements What to look for Auditee Name
Audit Report (When required)
Clause Ref
Yes No No.
5.6.5 5) Do the management reviews include monitoring > Policy business plan and
of quality objectives, and the regular reporting and customer satisfaction metrics reports.
evaluation of cost of poor quality? > Product results (quality, cost,
time) against quality policy goals and
customer specified targets.

5.6.6 6) Are the results of the management reviews > Trends in metrics (business and
recorded to provide, as a minimum, evidence of the customer satisfaction).
achievement of : > Basic for continuous
- objectives specified in the quality policy? improvement projects.
- objectives specified in the business plan? > Management review meeting
- customer satisfaction with product supplied minutes.
Action plans and follow-up.

5.6.7 7) Does the organization's input to its management > Reports prepared for management
review include information on: reviews.
a) results of audits? > Management review meeting
b) customer feedback? minutes.
c) process performance and product conformity? > Action plans and follow-up.
d) status of preventive and corrective actions? > Content of management review
e) follow-up actions from previous meeting agenda.

5.6.8 8) Do management reviews include an analysis of > Content of management review

actual and potential field-failures and their impact meeting agenda.
on quality, safety, or the environment ?
5.6.9 9) Does the output from the organization's > Examples of continuous
management review include any decisions and improvement projects initiated from
actions related to : management reviews.
a) improvement of the effectiveness of the quality > Examples of product
management system and its processes? improvements initiated from
b) improvement of product related to customer management reviews.
requirements?

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 If Non-
ISO/TS Conforming conforming Auditors Comments
16949:2002 Requirements What to look for Auditee Name
Audit Report (When required)
Clause Ref
Yes No No.
7.5.5 Preservation of Products
Does the organization preserve the conformity of > Procedure development and
product during internal processing and delivery to documentation
the intended destination? > Plant tour

Does the organization's preservation of product > Product preservation procedures

include identification, handling, packaging, storage
and protection? > Plant tour

Does the organization's preservation of production > Scope product preservation

apply to the constituent parts of a product? procedures
> Plant tour

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 If Non-
ISO/TS Conforming conforming Auditors Comments
16949:2002 Requirements What to look for Auditee Name
Audit Report (When required)
Clause Ref
Yes No No.
7.5.1 Production improvement& Production dispatch planning
Does the organization plan and carryout production > Tour of plant and facilities.
and service provision under the following > Master part or correct level
controlled conditions, as applicable: assembly drawings.
a) the availability of information that describes the > Work instructions at work
characteristics of the product? stations.
B) the availability of work instructions., as
necessary?
c) the use of suitable equipment?
d) the availability and use of monitoring measuring
devices?
e) the implementation of monitoring and
measurement?
f) the implementation of relapse, delivery and post-
delivery activities?

4.2.3 Control of Documents

Dose the organization's control the documents
required by the quality management system?
4.2.3
> Quality manual according to
ISO/TS 16949:2002 or one with a
conversion matrix.
> Document control master list or
equivalent.

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 If Non-
ISO/TS Conforming conforming Auditors Comments
16949:2002 Requirements What to look for Auditee Name
Audit Report (When required)
Clause Ref
Yes No No.
Has the organization established a documented > Document approval authority.
procedure to define controls needed: > Document approval records.
a) to approved documents for adequacy prior to > Availability of documents in
issue? various locations.
B) to review and update as necessary and re- > Knowledge of document location.
approved documents? > Document accessibility.
C) to ensure that changes and the current revision > Storage and disposal of obsolete
status of documents are identified? documents.
d) to ensure that relevant versions of applicable > Process for
documents are available at points of use? notification/distribution of documents
e) to ensure that documents remain legible and from internal and external origins.
readily identifiable? > Review and approval of revised
4.2.4 f) to ensure that documents of external origin are documents.
identified and their distribution controlled?
g) to prevent the unintended use of obsolete
documents, and to apply suitable identification to
them if they are retained for any purpose?

4.2.4 Control of Records

Has the organization established and maintained
records to provide evidence of conformity to
requirements and of the effective operation of the
quality management system
4..2.7
> Quality management system
records.
> Records maintenance system,
including disposal of records.

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 If Non-
ISO/TS Conforming conforming Auditors Comments
16949:2002 Requirements What to look for Auditee Name
Audit Report (When required)
Clause Ref
Yes No No.
Are records legible, readily identifiable and > Quality management system
retrievable? records legibility.
> Identification of quality
management system records.
> Environment and storage
4..2.8 conditions must be compatible with
the file storage medium (ex: hard
copy, floppy disk, etc.)

Has the organization established a documented > Quality manual according to

procedure to define the controls needed for the
identification, storage, protection, retrievals,
retention time and disposition of records?
4..2.9
ISO/TS 16949:2002.
> Defined record retention time
compared to customer/regulatory
requirements.
> Record disposal after retention
period expires.
> Including identification of
obsolescence documents.
> Identification of invalid/obsolete
documents.

Does the organization treat quality records as a > Evidence of quality records being
special type of document and control them maintained and controlled per quality
according to the requirements given in questions manual.
4..2.10 4.2.7 and 4.2.8?

8.2.3 Monitoring and measurement of process

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 If Non-
ISO/TS Conforming conforming Auditors Comments
16949:2002 Requirements What to look for Auditee Name
Audit Report (When required)
Clause Ref
Yes No No.
8.2.19 > Methods of monitoring/measuring
Dose the organization apply suitable methods for quality management system process.
monitoring and, where applicable, measurement of
the quality management system processes.

8.2.20 > Monitoring and measurement

Does the organization's methods for monitoring results.
and measurement of processes demonstrate the
ability of the processes to achieve planned results?

8.2.21 > Planned/executed corrective

When planned results are not achieved by the actions.
organization's processes, does the organization take
correction and corrective action to ensure
conformity of the product?

8.4 Analysis of data

Does the organization's data analysis include data > Data analysis report.
generated as a result of monitoring and
measurement and from other relevant sources?

Does the organization's of data provide information > Data analysis report.
relating to :
a) customer satisfaction ?
b) conformance to product requirements ?
c) characteristics and trends of processes and
products including opportunities for preventive
action?
d) Suppliers?

8.5.1 Continual Improvement

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 If Non-
ISO/TS Conforming conforming Auditors Comments
16949:2002 Requirements What to look for Auditee Name
Audit Report (When required)
Clause Ref
Yes No No.

Does the organization continually Improve the
effectiveness of the quality management system
through the use of the quality policy, quality
objectives, audit results, analysis of data, corrective
and preventive actions and management review?
> Examples of continuous projects
initiated from quality policy, quality
objectives, audit results, analysis of
data, corrective and preventive
actions and management review.

8.5.2 Corrective action

8.5.4 Does the organization take action to eliminate the > Examples.
cause of non-conformities in order to prevent
recurrence?
8.5.5 Are the organization's corrective actions > Review examples
appropriate to the effects of the non-conformities
encountered?
8.5.6 Has the organizations established a documented > List of customer complaints.
procedure to define requirements for: > Root Cause Analysis and
a) reviewing non-conformities (including customer records.
complaints)? > Determination of corrective
b) evaluating the need for action to ensure that non- action needed.
conformities do not recur? > Corrective action taken.
c) determining and implementing action needed? > Corrective action effectiveness.
d) records of the results of action taken ?
e) reviewing corrective action taken?

8.5.3 Preventive action

Does the organization carryout preventive action > Records of preventive action
for determining potential non conformities and tacked (or) to be taken
their causes

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