9.2.2.2_B_ISO 9001_2015 IA Checksheet (1)

Sl. No. Check Sheet No. Check Sheet Name Rev. No.
Issue Date
1 F/MR/06a Top Management / MR 01 20.08.20
2 F/MR/06b PRODUCTION 01 20.08.20
3 F/MR/06c PURCHASE 01 20.08.20
4 F/MR/06d STORE 01 20.08.20
5 F/MR/06e DISPATCH 01 20.08.20
6 F/MR/06f HR 01 20.08.20
7 F/MR/06g MAINTENANCE 01 20.08.20
8 F/MR/06h QA 01 20.08.20
9 F/MR/06i SQA 01 20.08.20
10 F/MR/06j ENGINEERING 01 20.08.20
11 F/MR/06k MARKETING 01 20.08.20

Internal Audit Checksheet (ISO 9001:2015)
AUDIT NO. : AUDIT DATE
DEPTT./ AREA : Top Management / MR TIME START : FINISH :
AUDITEE(S) : AUDITOR(S) :
SN Parameters Actual Score Observations

Clause
1 Risk Analysis & Planning

* Identification for Risk Anaysis & Opportunity 6.1
* Action plan adherence (if any)
2 Context of the Organization
* Internal & External Issues
* Addressing of Needs & Expectations of Interested 4.1. 4.2
Parties
* Relevant Action Plan, review & monitoring
3 Control of Documented Information
* Document Issue, Monitoring & Change 7.5
Management
4 * Legibility
Goal & availability at the point of use
Setting
* For sales projection
* Infrastructure development plan
* Technology development plan
* Quality objectives
* Cost Goals 6.2
* Financial goals
* Manpower goals
* Quality policy & its deployment
* Long Term goals/Business Planning
*Focus Area
5 Sale plan
* OEM sales
* Export sales
* Development sales 6.2
* Replacement market
6 Resource and facility planning

* Review of resource and facility planning
* Departmental Budget 7.1
* Contingency Plan & review
*Technology Roadmaps
7 Customer Satisfaction assessment
* Timely response
* Tracking of customer score cards (if any)
9.1
* Adequacy of corrective action
* Performance monitoring against targets
8 Quality Management System Awareness
* ISO 9001:2015 Standard
* Quality Policy, Company Vision & Mission
* Awareness of CSR
* Relevent SOPs, Formats & Quality Manual 7.2, 7.3
* Internal QMS Audit Plan, Report & Closure
* Competent List of internal auditors
9 Planning & Management review

* Organization Structure
* Defining of Responsibilities & Authorities
* Defining of Key Performance Indicators
* Tracking of Key Performance Indicators
* Triggering of actions to correct deviations 9.3
from targets
* Management Review as per agenda
* Management Review action plan monitoring
10 Lessons Learnt / Kaizen / Improvements

* Review of effectiveness of Lessons Learnt
* Linkage to company Issues 10.3
11 Communication
* Internal communication
* CSR awareness to employees
* External Communication (Legal, Statuatory &
7.4
customer communication)
12 Any Other Points / Review of Last Audit NC
Total
Auditee (Sign) Auditor (Sign)
F/MR/06a

DEP'T./ AREA : PRODUCTION TIME START : FINISH :
SN Parameters Clause Observations

* Identification for Risk Anaysis & 6.1
Opportunity
2 *Production
Action plan adherence (if any)
Planning
* Daily production plan
* Weekly Production Plan
* Shift wise production plan 8.1
* Reaction to Non conformances
* Corrective Action
3 Internal Communication
* Daily Communication for Quality and
production concern on display board. 7.4
4 Daily Production Control

* Manpower Deployment system
* Line rejection record sheet
* Maintenance breakdown Monitoring
* Review of effectiveness for plan vs. actual
production 8.1, 8.5
* Line stoppages and losses monitoring
* Production report
5 Job set-up Verification

*Job Setup verification sheet
8.5.1
6 Availability of documentation for Production

Control
* Process Flow Diagram
* Control plan
* Work Instructions 7.1.5, 8.5.1
* Calibrated Monitoring and measuring
devices
7 Manufacturing rejection and Rework /Repair

Control
* Tracking of rejection trends
* Tracking of rework / repair trend 8.7
* Instruction for rework / repair
* Corrective Action
8 Identification and Traceability for
* Bought out parts
* In process components
* Regular Production
* Rework Material 8.5.2
* Repair Material
* Regular samples
* Special Samples
* Sample after PDI
* Finished Product
* Awareness of CSR 7.3
* Relevent SOPs, Formats & Quality Manual
10 Planning & Performance Monitoring

* Triggering of actions to correct deviations 6.2, 9.1
from targets
* Skill/ Operator Skill matrix and upgradation

* Linkage to Productivity improvement
* Linkage to Customer feedback
* Process Improvement 10.3
* Product Improvement
* Safety Enhancement
* Internal /External Audits
Total
F/MR/06b
Format No. : SOP0803/F08d
Rev. No. : 00
Internal Audit Checksheet (ISO 9001:2015) Effective Date : 01.07.2017

DEPTT./ AREA : PURCHASE TIME START : FINISH :

Opportunity
2 *Method
Action plan adherence
of supplier (if any)and
evaluation
re-evaluation
* Supplier identification & evaluation
* Supplier Visit Report
* Supplier Registration Form
* Supplier system audit plan
* Supplier audit report
* Adequacy of root cause analysis 8.4.1
against NCR
* Re-evaluate performance monitoring
against target
* Approved Supplier List
3 Finalization of Supplier
* Quotation
* Time plan
* Review Customer specific requirement
with supplier 8.4.1
* Communication of statutory & regulatory,
product safety requirements
4 Cost Finalization
* Quotation & Adequecy of PO
* Cost Card ( in case of regular production
items) 8.4.1
* Comparison with other Quotation
* Release of purchase order
5 Development of components and Tooling

* Component Drawing & Development
request
* Prototype component & Inspection Report
* Development Plan (Tool, Fixture/gauges)
* Response from supplier (Quotation,time
plan,capacity and capability)
* Review Customer specific requirement
8.4.1,
with supplier
8.4.2
* Tracking of progress monitoring at supplier
end
* Tracking of Micro activity from supplier end
* Action plan in case of delay
* Review & followup of actions
6 Documents required to be submitted along

with samples
* Sample Inspection Report
* Material Test Report 8.4.1,
* MSDS ( Material Safety Data Sheet in 8.4.2
case of chemicals/hazardous materials only)
7 Control of Documents and Records

* Technical documents
* General documents
* Availability of Master List
* Retrieval time 7.5
* Definition of retention periods in line
with customer requirements
* Review of customer specific requirements
8 Contingency plan
* Intrepution from
Key Suppliers 6.1
* Checking of Effectiveness
9 Supplier Monitoring
* Approved supplier List
* Control over outsourced process
* Supplier Performance Ranking (Delivery 8.4.2
and Quality Monitoring)
* Action Plan for low rating / repeated issues
10 Supplier Satisfaction
* Supplier Satisfaction Survey Form 8.4.2
* Corrective Action against rating

* Tracking of Key Performance Indicators 5.3, 9.1
* Triggering of actions to correct deviations
from targets
* Skill Upgradation
* Linkage to Supplier Audits
* Linkage to Performance comparison 10.3
* Linkage to Internal issues related to

14 purchase.
Any Other Points / Review of Last Audit NC
Total
F/MR/06c

DEPTT./ AREA : STORE TIME START : FINISH :

Opportunity
2 *Receipt
Action of
plan adherence (if any)
material
* Receipt of material with Supplier
Invoice/Challan with defined packaging.
* Short / excess note
* Documented on Tally / ERP in good 8.4.3
receipt
* Guidelines of packing for the Incoming
material
3 Material movement and Handling

* Incoming Material movement Store to
RQC for Inspection
* Material movement RQC to Store after
inspection
* Material movement Store to shop floor 8.5.4
* Material movement Shop floor to store
* Material movement store to third party
* MSDS Availability & knowledge
4 Identification
* Identification of goods received
* Identification of quality stock
* Identification of block stock (Hold material)
* Identification of OK material
* Identification of rejected material 8.5.2
* Identification of Segregated material
* Identification of Line rejected material
* Identification of Finished product
5 Inventory Management
* Buffer stock for consumable Items
* Buffer stock for regular production items
* Buffer stock for critical Items 8.5.1, 8.5.4
6 Material Flow
* FIFO system and its Availability 7.1.3
7 Storage
* Defined storage area
* Preseravation of material
* Adherence to Storage rules 8.5.4
* Handling of shelf life items and tracking of
expiry dates
8 Rejection
* Tracking of rejection
* Handling of NC items 8.7

* Relevent SOPs, Formats & Quality
Manual
* Internal QMS Audit Plan, Report &
Closure
from targets
* Skill upgradation

* Linkage to Customer audits
* Linkage to Safety Enhancement 10.3
* Linkage to FIFO system

-
Total
F/MR/06d

DEPTT./ AREA : DISPATCH TIME START : FINISH :
SN Parameters clause Observations

2 Sending of Material
* Sending of material with Invoice/Challan
with defined packaging.
* Documented on ERP for goods issue
* Guidelines of packing for the Finished 8.6
material
3 Material movement and Handling

* Incoming Material movement Production to
Finish Good Area 8.5.4
4 Identification
* Identification of goods received
* Identification of quality stock
* Identification of block stock (Hold material)
* Identification of OK material (ERP
Verification) 8.5.2
* Identification of rejected material
* Identification of Segregated material
* Identification of Line rejected material
* Identification of Finished product
5 Inventory Management
* Buffer stock for consumable Items
* Buffer stock for regular production items
* Buffer stock for critical Items 8.5.1, 8.5.4
6 Material Flow
* FIFO system and its Availability 7.1.3, 8.5.4
7 Storage
* Defined storage area
* Preseravation of material
* Adherence to Storage rules 8.5.4
* Handling of shelf life items and tracking of
expiry dates


from targets
* Skill upgradation

* Linkage to Customer audits
* Linkage to Safety Enhancement 10.3
* Linkage to FIFO system

-
Total
F/MR/06e
Format No. : SOP0803/F08f
Rev. No. : 00
Internal Audit Checksheet (ISO 9001:2015) Effective Date : 01.07.2017
AUDIT NO. : AUDIT DATE:

DEPTT./ AREA : HUMAN RESOURCE MANAGEMENT TIME START : FINISH :

Opportunity
2 * Action plan adherence
Organization Structure (if any)
* Departmental & Unit Structure
7.2
* Competency criteria
* Job roles & responsibility clarity
3 Recruitments & Separation
* Human resource Need Identification and
timely response
* Manpower requisition form 7.2
* Performance assesment & confirmation
latter
4 Training
* Induction Training
* Training need Identification
* Training Calendar for Associates
* Training Calendar for Staff
* Training History Card
* Training Effectiveness Evaluation sheet 7.2, 7.1.6
* On Job Training Records
* Associate qualification system adherence
* Training Feedback & Analysis
5 Manpower Deployment system

* Departmental Skill Matrix
* Shop Floor Employees Skill Matrix 7.2
* Skill Matrix Updation
6 Work Environment Cleanliness
* 5S Audit records for compliance
* Review of 5S system 7.1.4
* Review of 5S audit checklist
7 Contingency Plan
*
Contingency plan for labor shortage
* Contingency plan for infrastructure 6.1
disrupttion, recurring natural disaster
* Effectiveness monitoring
8 Communication
* Internal Communication
* External Communication 7.4
* New Joining, Holiday and other general
information

* Tracking of Key Performance Indicators 6.2, 9.1
* Triggering of actions to correct deviations
from targets
10.3
* Linkage to Accidents
* Linkage to Employee Feedback
12 *Any
Linkage
Otherto safety/ Review
Points Enhancement
of Last Audit NC
-
Total
F/MR/06f

DEPTT./ AREA : MAINTENANCE / TOOL ROOM TIME START : FINISH :
AUDITEE(S) : AUDITOR'S) :

2 Preventive Maintenance
* List of machine, tools, spares
* Preventive Maintenance plan/Schedule
* Preventive Maintenance check sheets 8.5.1
* Daily Machine Checksheet
3 Breakdown Maintenance
* Tracking of Daily Breakdowns
* Tracking of special observations
* Analysis of reasons for breakdowns
* Updation of Prev. Maintenance check points & 8.5.1
Horizontal deployements
4 Spare Parts management

* List of spare parts
* Identification of crtical spares 8.5.1
* Maintaining the buffer stock
5 Contingency Plans
* Key Machines / Spare Parts
* Checking for Effectiveness 6.1
6 Machines/equipments
* List of Machines
* Machine History cards 8.5.1
* Identification of
critical machines
7 *Continual
Tool life monitoring
Improvement (if any)
* Breakdown Hours
* Action Plan for improvement / Why-2 Analysis 8.5.1


* Triggering of actions to correct deviations from 6.2, 9.1
targets
* Skill upgradation

* Linkage to Customer complaints
* Linkage to Machine breakdowns 10.3
Total
F/MR/06g

DEPTT./ AREA : QUALITY / CSR TIME START : FINISH :

Opportunity
* Action plan
2 Customer adherence
Complaint (if any)
handling & response Score Card for Mahindra Nov 2020 - mention rating as C (60%), and no action plan evidence #NC
* Customer Portals / Score Cards
* Customer complaint summary (line / Customer Complaint Summary (F/QA/04) verfied - Sep 2020 - 2 no's, Oct 2020 - 4 no's, Nov 2020 - 1 no's
warranty - if any) complaint. Verified Dt. XYZ …document issue veried closed effectively
* Timely response to customer
* Adequacy of root cause analysis 10.2 No response time defined for customer complaint in the customer complaint summary (F/QA/04)and not mentioned
for reason of occurrence in the SOP/QA/04 (customer complaint handling) # NC
* Standardization of actions & horizontal
deployement
3 Customer Specific Requirements

* Updated CSR Availability / Matrix
* Linkage verification of CSR Matrix 4.3
* Audit of CSR requirement (sample basis)
4 Control of monitoring and measuring
devices
* Calibration plan
* Internal and external calibration records
* Assessment of validity of previous test
results 7.1.5. 9.1.1
* Measurement System Analysis(MSA) Plan
& Adherence
* SPC Plan & Adherence
5 Process & Product audit

* Process audit plan & adherence
9.2
* Process audit plan & adherence
* Tracking of NCR & closure on time
6 Quality Improvement Activities
* Tracking of rejection trends (internal &
external)
* Analysis of data 10.2, 10.3
* Corrective & Preventive Action (QPR)
* List of Pokayoke / H.D
7 Deviation Management
* System for authorisation
* Recording and retrieval system
* Tracking for validity 8.7
* Tracking for implementation of decided
actions and closure of deviation
* Temporary change of process control
8 Control of Non Conforming Products
* System for authorisation for scrapping
parts
* Instruction for product disposition
* System for authorising use of reworked or 8.7
salvaged parts
* Tracking of rework / repair trend
* Instruction for rework / repair
9 Pre-Dispatch Inspection
* 100% Adherence (lot wise)
* Reaction to Non conformances 8.6
* Corrective Action
10 Control of Documented Information

* Technical documents
* Customer standards pertaining to systems
* Indian / International standards pertaining
to systems
* Retrieval time 7.5
* Retention as per defined periods
* special Characteristics linkage with control
plan & pfmea

* Awareness of CSR
* Relevent SOPs, Formats & Quality Manual 7.3

* Triggering of actions to correct deviations 6.2. 9.1
from targets
* Skill upgradation

* Linkage to internal and external audits
* Linkage to quality issues 10.3
* Linkage to calibration
* Linkage to past failures
Total
F/MR/06h
AUDIT NO. : AUDIT DATE:-

DEP'T./ AREA : SUPPLIER QUALITY ASSURANCE TIME START : FINISH :
AUDITEE(S) : AUDITOR'S) :

Opportunity
* Action Incoming
2 Routine plan adherence (if any)
Inspection
* Sampling plan adherence
* Corrective Action
* Inspection standard 8.4.2, 8.4.3
* Material Test Certificate
* Inspection records & suppliers PDIR
3 Layout Inspections
* Scheduling & execution of layout
Inspection 8.4.3
* Triggering & tracking of corrective actions
4 against
Suppliernon conformities
PPAP Approval & documentation
(as required)
* Availability of Approved PSW's with 8.4.3
necessary supporting documents
* Adequacy of review before approval
5 Supplier Audits
* Supplier Audits Planning - QMS, Product
& Process
* CSR Audit at supplier (if any) 8.4.2
* Supplier Audit scores & Action Plan
6 Quality Problem Report / Supplier
Monitoring
* Tracking for Timely response from
Suppliers 8.4.2, 8.4.3
* Adequacy of root cause analysis
for occurrence & non detection
7 Deviation Management
* System for authorization
* Recording and retrieval system
* Tracking for validity 8.4.2
* Tracking for implementation of decided
actions and closure of deviation
* Quality Policy, Company Vision &
Mission 7.3.
* Awareness of CSR
Manual
Closure
from targets
* Skill upgradation

10.3
* Linkage to Internal quality issues
11 Any Other Points / Review of Last Audit

NC
-
Total
F/MR/06i
DEPTT./ AREA : ENGINEERING TIME START : FINISH :

2 Trend Setting
* Data Collection
* Benchmarking
* Target setting 6.2, 9.1
* Technology Roadmap
* Idea Bank
* List of test facilities
3 Enquiry handling
* Customer Approved Drawings
* Customer standards pertaining to product
validation
* Indian/International standards pertaining to 8.2
product
* Statuatory and legal requirements for
product
* Customer specific requirements
applicability matrix
4 Project Management
* Project Planning
* APQP Tracking sheet (if any)
* Dept micro schedules 8.3.2
* Handover checksheet
* Risk Analysis
* Prototype management
5 Control of documents
* Project Book
* FMEA
* BOM
* Pending Point matrix 7.5, 8.3
* Development Open issues status
* Drawing distribution & control
* Masterlist of docs
6 Production Part Approval documents
* PSW Sign off
* Test results
* Process flow chart
* FMEA's 8.3.4
* Control plan
* Work Instruction
* Process Capability studies
* GR & R
7 Engineering/ Design Change Control
* ECRN monitoring log
* Team Feasibility & Risk Analysis
* Customer Notification & PPAP Approval 8.3.4
* Release of ECN
* ECN Closure status
8 Verification and Validation of product

* Design input verification sheet
* Testing time plan
* Test results 8.3.4
* Adequacy of root cause analysis for reason
of failure
9 Warranty Analysis (if any)
* Tracking of rejection trends
10.2
* Corrective Action

* Triggering of actions to correct deviations 6.2,9.1
from targets
* Skill upgradation

* Linkage to VA / VE Activity
* Linkage to Customer feedback
* Linkage to Customer complaint/ Past 10.3
Failures
Total
F/MR/06j
DEPTT./ AREA : MARKETING TIME START : FINISH :

Opportunity
2 * Action
Goal plan adherence (if any)
Setting
* For sales projection
* Infrastructure development plan
* Technology development plan
* Preliminary Market Study 6.2
* Cost Goals
* Financial goals
* Manpower goals
3 Sale plan
* OEM sales 6.2
* Export
4 sales
Resource and facility planning
* Review of resource and facility
planning 7.1.3
* Departmental Budget
5 Customer Satisfaction assessment
* Timely response
* Tracking of customer
scorecards 9.1.2
* Performance monitoring against targets
6 Continual Improvement
* Ongoing continual improvement
initiatives
* Tracking of continual improvement 8.5.1
projects

* Quality Policy, Company Vision &
Mission 7.3
* Awareness of CSR
Manual
Closure
* Triggering of actions to correct deviations 6.2. 9.1
from targets
* Skill upgradation

* Review of effectiveness of Lessons
Learnt system 10.3
* Linkage to company Issues
10 Any Other Points / Review of Last Audit

NC
Total
F/MR/06k

9.2.2.2_B_ISO 9001_2015 IA Checksheet (1)

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Sl. No. Check Sheet No. Check Sheet Name Rev. No.

2 F/MR/06b PRODUCTION 01 20.08.20

3 F/MR/06c PURCHASE 01 20.08.20

4 F/MR/06d STORE 01 20.08.20

5 F/MR/06e DISPATCH 01 20.08.20

7 F/MR/06g MAINTENANCE 01 20.08.20

9 F/MR/06i SQA 01 20.08.20

10 F/MR/06j ENGINEERING 01 20.08.20

11 F/MR/06k MARKETING 01 20.08.20

SN Parameters Actual Score Observations

1 Risk Analysis & Planning

6 Resource and facility planning

9 Planning & Management review

10 Lessons Learnt / Kaizen / Improvements

12 Any Other Points / Review of Last Audit NC

Auditee (Sign) Auditor (Sign)

AUDIT NO. : AUDIT DATE

SN Parameters Clause Observations

4 Daily Production Control

5 Job set-up Verification

6 Availability of documentation for Production

7 Manufacturing rejection and Rework /Repair

10 Planning & Performance Monitoring

11 Lessons Learnt / Kaizen / Improvements

Auditee (Sign) Auditor (Sign)

AUDIT NO. : AUDIT DATE

SN Parameters Clause Observations

5 Development of components and Tooling

6 Documents required to be submitted along

7 Control of Documents and Records

12 Planning & Performance Monitoring

* Linkage to Internal issues related to

Auditee (Sign) Auditor (Sign)

AUDIT NO. : AUDIT DATE

SN Parameters Clause Observations

3 Material movement and Handling

* MSDS Availability & knowledge

9 Quality Management System Awareness

11 Lessons Learnt / Kaizen / Improvements

12 Any Other Points / Review of Last Audit NC

Auditee (Sign) Auditor (Sign)

AUDIT NO. : AUDIT DATE

SN Parameters clause Observations

3 Material movement and Handling

8 Quality Management System Awareness

9 Planning & Performance Monitoring

10 Lessons Learnt / Kaizen / Improvements

11 Any Other Points / Review of Last Audit NC

Auditee (Sign) Auditor (Sign)

AUDIT NO. : AUDIT DATE:

SN Parameters Clause Observations

5 Manpower Deployment system

9 Quality Management System Awareness

Auditee (Sign) Auditor (Sign)

AUDIT NO. : AUDIT DATE

SN Parameters Clause Observations

4 Spare Parts management

8 Quality Management System Awareness

9 Planning & Performance Monitoring

10 Lessons Learnt / Kaizen / Improvements

11 Any Other Points / Review of Last Audit NC

Auditee (Sign) Auditor (Sign)

AUDIT NO. : AUDIT DATE

SN Parameters Clause Observations