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Is there a developed and planned preventive Annual maintenance Plan
maintenance system in place??
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Is Preventive maintenance conducted in accordance Plan V/s Actual
with the schedule?
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Is any of the maintenance performed by an outside List of Service providers
service?
Procedure
6 What happens when equipment breaks down? Breakdown slip
Work instructions
Are resources for key manufacturing Critical Spare List. Random Verification for
7 availability of spares as per List. M/c Down time due
machine/equipment available? to non availability of spares
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Are predictive maintenance methods utilized to keep Predictive maintenance examples.
equipment in good operating order?
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Does preventive maintenance contribute to minimal Break down Slips
Breakdowns ? Machine History Cards
Do the Supervisors and machinists have access to Resources (Computer, Tools , Equipment, Work
10 suitable resources to plan, prepare and conduct instructions, Software , communication devices, Skill ,
preventive maintenance? Knowledge etc.)
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Are maintenance objectives documented , evaluated & Records - Linkages between Target V/s Actual and
Improved? prevention initiatives - Mgt. review records
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Is there daily maintenance that the operator is
responsible for?
4.3.3.a)
How are the buildings, workspaces and utilities
maintained?
4.3.3d)
Is the work environment sufficient for you to complete
your job?
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# Audit point What to look for: Audit evidence: (Auditor notes) Nature of NC OFI
Compliance Status Status
2 What (inputs) do you get to start a job? operator should reference his job packet
5 What other requirements apply to your job? tooling, gages, program, first article inspections
10 What happens after your finish a run? should call for first article
11 Is there a reaction plan for Nonconformances? should mention that QC will document it on a QINR
Nature of NC OFI
# Audit Point What to look for: Audit evidence (Auditor notes)
Compliance Status Status
what they begin with - for purchasing the buyer will
1 Can you explain to me the inputs to your process? need a procurement
2 sales, projects
Who is your customer?
When do you learn what you will have to purchase for when a job has been entered and released? In
3 an upcoming job? How do you receive that supplemental contract review?
information?
4 What
determines who you buy parts or materials syteline - approved suppliers- supplier that has
from? proven they can supply what is needed and ordered
6 What
if the company does not have in stock your back order? order from another vendor?
item(s) to purchase?
7 What happens if the supplier sends the wrong thing or notified by receiver, written up on a QINR, then gets a
if required documents are not shipped? material return form (MRF)
12 How many purchasers do you have in your area? 3 plus Materials Manager?
13 Where are completed purchase orders kept? in a room in the purchasing area
16 What is the process for returning a part or material to Should mention a MRF
a vendor?
17 Who
else in the company is able to generate a there are other people that have the authority to
Purchase Order? order without going through purchasing.
18 If
a supplier is utilized by a different NOV facility, does No
that mean you can use them also?
A quality manual and a way to respond to an issue
19 What is the bare minimum a company must have to be should it arise (some kind of corrective action
eligible to become a supplier? system)
20 Is
there anyone else involved in the rating process of hopefully will say something about Quality.
your suppliers?
Audit Checklist
Process: Sales Inputs = Actions = Output
Date: Auditor's Signature: Auditees's signature: IA No: Time:
Nature of OFI
# Audit Point What to look for: Audit evidence (Auditor notes) Compliance NC Status Status
2 Where do you keep the quote once it has been sent to do they store it somewhere?
the company that requested it?
3 How long is a quote valid? they put a time frame on the quote
4 How do your customer's initiate an order? phone, email, order after a quote
How do you know if there are additional requirements should say so on the order, but sometimes they
5 review what the customer has purchased in the
for the product your customer wants? past
7 What would be the reason that you would need a if it has additional requirements, gets marked,
supplemental review of the customer order? or is new
Who attends the supplemental contract review for your should be a representative from each
8 order? department
9 What types of information is discussed in a there is a document that gets filled out during
supplemental contract review? the review and is then signed
13 What happens with those additional requirements discussed during supplemental review
that the customer wants? How is that communicated?
14 What is the next step once the order has been put into is sent to purchasing and planning
the system? Where does it go from here?
15 Do you have any further contact with the customer should be interesting to hear this response
once they have placed their order?
16 What happens if the customer is not happy with their should be logged on the customer perception
order and calls to complain? log.
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Auditor's Signature:
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Nature of Compliance
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NC Status
0 OFI Status
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Audit Checklist
Process: Sales - Projects Input = Action = Output
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Audit Checklist
Process: Planning
Date: Auditor's Signature: Auditees's signature: IA No: Time:
Nature of OFI
# Audit Point What to look for: Audit evidence (Auditor notes) Compliance NC Status Status
4.4.3 Are the documents for this process controlled? yes, in teamcenter
4.5 Are the records for this process controlled? yes, per the quality records matirx
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Is there evidence that management has reviewed this most likely yes by Mike Kucera
process during management review meetings?
4.1.4 a)
Are the criteria and methods of this process effective yes, this is a proven process
within the QMS?
4.1.4 b)
Do you think that management has provided we have a new building, new machines, adequate
resources to effectively carry out this process? office equipment, smart and knowlegable personnel
Are there adequate work instructions for the routers, drawings, test specs, inspection points, this
4.1.5.1 a is communication from one department to another
employees involved in this process? to an employee
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Are there adequate job descriptions for the employees at this point, yes, unless we have a new job title or
involved in this process? description.
4.3.2.3 a)
Are there training records for the employees involved in there should always be a training record
this process?
4.3.2.3 d)
Are employees aware of the importance of their work in yes hopefully the understand getting it right means
meeting customer requirements? it will go out as planned, wrong = a delay
4.1.4.a) Howdo you determine what steps are required to processes are the stages the product goes thru,
4.1.4 b) whethere on site or outsourced. What it takes to
5.2 make this particular part? make it
4.3.1, Does the planning include processes that have to be if this part requires outside operations, then the
4.4.1 d) planner should mention that he stamps the router to
5.2 a done by outside vendors? indicate it is to be done outside.
5.2 f
Does planning include verification, validations and yes, inspection at various stages, assembly, testing, e-
monitoring? lab test, possible outside testing
yes, a router for that product gets maintained in
5.2 Does the planning inclued records? syteline.
4.4.4
What are the controls for implementing external engineering builds external requirements into the
requirements? drawings and specs, -material/testing
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Audit Checklist
Process:
Date: Auditor's Signature: Auditees's signature:
# Audit Point What to look for:
Of all the things that happen in your department, are expect to hear new product design, new methods of
1 testing, improve current product, revise current
you able to prioritize them? testing procedures, drawings, markings,
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's signature: IA No: Time:
Nature of OFI
Audit evidence (Auditor notes) Compliance NC Status Status
t design, new methods of
roduct, revise current
ngs, markings,
Audit Checklist
Process: Customer Feedback & Perception
Date: Auditor's Signature: Auditees's signature: IA No: Time:
Nature of OFI
# Audit Point What to look for: Audit evidence (Auditor notes) Compliance
NC Status
Status
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Audit Checklist
Process: Sales - Service - Projects
Date: Auditor's Signature: Auditees's signature: IA No: Time:
Nature of OFI
Q1 Audit Point What to look for: Audit evidence (Auditor notes) Compliance NC Status Status
If the customer specifies a particular supplier or material, There is a procedure for Sales and Service. See if
5.6.1.1 there are documented meeting minutes. If in
how is this communicated? projects, should be in minutes of meetings.
How does the customer convey production and service This would be a requirement on a Project. See if they
5.6.1.1 provisions he wants used on his product, such as supplier have specifications that cover this for the job. Is it
production control and qualifications of personnel? listed on the ITP? In the minute meetings?
5.1.3.1
How are applicable statutory/regulatory requirements Engineering will do a technical review.
defined?
Does the company go through a bid/no bid process? If yes, Yes we do quotes. Should mention a quote file on the
4.1.5.2 how is this done? Have we invoked any additional server, hopefull in the sales file also. Is there a time
requirements? frame for the quote to be valid?
5.7.1.1, What records are maintained to prove conformity to Material test reports, IRC's, ITP's, Job Files, Routers,
5.7.1.2,
5.7.1.4 customer requirements? Testing Reports, PO's, Data Books, Final QC
6.2.1 How is customer satisfaction monitored and measured? (Feedback, Perception) There is a Sales Procedure.
How does the documented procedure for feedback ensure
Check the procedure to see if it says anything about
6.2.3 customer complaints are considered as part of the early the data being used to prevent, correct or improve.
warning of quality problems?
6.3 a
How are customer related processes monitored and note what is measured.
measured?
6.4.2
What corrective or preventive actions have been executed Ask the Manager if there have been any previous
against this process? findings in the department.
What evidence exists to show the data analysis has resulted Have they noted anything and then fixed it. Have
6.4.3 a they noted that it was improved? Have they
in Continual Improvement or preventive actions? implemented any preventive actions?
6.3
What do you measure in your area for continual
improvement?
Audit Checklist
Process: The Quality Management System
Date: Auditor's Signature: Auditees's signature: IA No: Time:
Nature of OFI
API Ref. Audit Point What to look for: Audit evidence (Auditor notes) Compliance
NC Status
Status
General Requirements
4.1.1
Has the company established, documented,
implemented and maintained a QMS?
4.1.1
Is there a documented commitment to improve the
QMS?
4.1.4 a)
Has the company identified processes needed for the
QMS? Where is this located?
4.4.1 b
Where has the company determined the sequence and
interaction of the processes for the QMS?
Documentation Reqired
4.4.1 a
Does the company have documented statements of a
quality policy?
4.4.1 a
Does the company have documented quality
objectives?
4.4.1 c
Does the company have documented procedures
required by the Standard and Q1?
Are adequate documents in place to ensure the
4.4.1 d effective planning, operation and control of the
company's processes?
Quality Manual
4.4.1 b)1
Where in the manual is the scope of the QMS
identified?
4.4.1.b) 4
Where does the quality manual contain or reference
the documented procedures established for the QMS?
4.4.1 b) 2
Where does the quality manual in clude a description
of the interaction between the processes of the QMS?
Control of Documents
4.4.3 b
Can you show me how the changes and the current
revision of the procedure are identified?
4.4.3 d
Can you describe how relevant versions are available
at the point of use?
4.4.3 c
Can you describe how the documents remail legible
and readily identifiable?
4.4.3.d
How are documents of external origin origin
identified and their distribution controlled?
Control of Records
6.2.1
What resources has the company provided to ensure
customer requirements are met?
Audit Checklist
HR
Date: Auditor's Signature: Auditees's signature:
# Audit Point What to look for:
Human Resources
4.3.2.1
What are the education, training, skills and
experience required by this job? ( or task)
How do you determine the necessary education,
4.3.2.1 training, skills and experience for people performing
the work?
4.3.2.1
If you provide the training, how to you evaluate the
training?
4.3.2.3 d)
How do yu ensure that people are aware of how their
work affects meeting the customers requirements?
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's signature: IA No: Time:
Nature of OFI
Audit evidence (Auditor notes) Compliance NC Status Status
Audit Checklist
Process:
Date: Auditor's Signature: Auditees's signature:
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's signature: IA No: Time:
Nature of OFI
Audit evidence (Auditor notes) Compliance NC Status Status
Audit Checklist
Process:
Date: Auditor's Signature: Auditees's signature:
# Audit Point What to look for:
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Nature of OFI
Audit evidence (Auditor notes) Compliance NC Status Status
Audit Checklist
Process: Audit of Internal Audits
Date: Auditor's Signature: Auditees's signature:
# Audit Point What to look for:
1 Are internal audits conducted at planned intervals? Internal audit procedure, Audit Schedule
In planning internal audits, are the status and Does Engineering get more attention than
6 importance of processes considered? painting?
Inn planning audits, are the results of previous audits Are previous audits reviewed to cover any
7 areas of concern that may have been
considered? documented?
How is it ensured that auditors do not audit their own Are certain areas untouchable for the Internal
9 work? auditor?
Is there an internal audit procedure and are audit Write the Procedure # down. Verify there are
10 records maintained? audit reports.
Do managers take action without undue delay on Do managers respond within the given
11 audit nonconformities? timeframe?
Do follow-up activities include the verification of CARS Check to see that CAR's have an area for
12 and the reporting of the results? verification and that it is being filled out.
Are auditors qualified to audit the QMS and its Do the auditor have training records? Check
13 processes? with HR
Is the information necessary for audit planning and Random interviews, Management Review
22 preparation readily available and accessible? documents
Do the audit prep documents and checklists show Company intranet, computer networks, Access
23 to QMS, procedures, process documents,
evidence of effective planning and preparation? records?
Have the Auditors received the proper training in Audit resources- computer, information,
25 accordance with internal requirements? communication devices?
Is the Internal Audit Leader qualified in accordance Training records, performance evaluations.
26 with internal requirements? Professional certifications
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Nature of OFI
Audit evidence (Auditor notes) Compliance NC Status Status
e, Audit Schedule
audit checklists
re
report
making improvements?
ent?
tion responses
between audits
s, Management review
e - Audit records
nagement Review
ter, information,
?
rmance evaluations.
ns
rmance evaluations.
ns
Audit Checklist
Process:
Date: Auditor's Signature: Auditees's signature:
# Audit Point What to look for:
Select 2 work stations, offices, machines in each process. Ask what they are working on, and look at the
documents in use.
Select 4 Documents or forms that the employee has at his job. You will want to get the employee to explain how
they know or can they verify that this is the lates revision of the documents. (Later you will Verify current release.)
Sales - ask to see the customer order file. Note the File #, Customer Name, Product, Pressure. Ask to see the
documents he(she) has to work with to get this part of the job done. Note the document name, control#, Job #,
PO#, Part #, Customer Order #, or drawing # that applies to the job.( review job packet, look at order, review the
sales file, project file. If the employee has white boasrd on the wall, ask about how it is used. Note if the board is
Select
used as5 reference,
Records, Verify
list ofto master
things list current status of his work, or a method to measure department work.
to do,
Verify evidence of records for competency and verify that the position held is on the org chart