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AS9100 Risk Management and Counterfeit Parts Prevention Audit Checklist

A comprehensive checklist for auditing and improving risk management and counterfeit parts prevention processes in aerospace and defense organizations, ensuring compliance with AS9100 standards

AS9100 Risk Management and Counterfeit Parts Prevention Audit Checklist

by: audit-now
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About This Checklist

The AS9100 Risk Management and Counterfeit Parts Prevention Audit Checklist is a critical tool for aerospace and defense organizations to assess and improve their risk mitigation strategies and counterfeit part prevention measures. This comprehensive checklist addresses key aspects of risk identification, assessment, mitigation, and monitoring, as well as processes to detect and prevent the use of counterfeit parts in accordance with AS9100 standards. By implementing this checklist, companies can enhance their operational resilience, protect their supply chain integrity, and ensure product safety and reliability. Effective risk management and counterfeit parts prevention are essential for maintaining regulatory compliance and safeguarding the reputation of organizations in the aerospace and defense sector.

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Industry

Aerospace and Defense

Standard

AS9100 - Aerospace Quality Management

Workspaces

Corporate offices
Manufacturing Facilities
Supplier Areas

Occupations

Risk Manager
Quality Assurance Specialist
Supply Chain Manager
Procurement Specialist
Compliance Officer
1
Has a risk assessment been conducted for each supplier?

Select the appropriate response.

To ensure that potential risks associated with suppliers are identified and managed.
2
How many counterfeit parts incidents have been reported in the last year?

Enter the number of incidents reported.

To monitor the frequency of counterfeit parts incidents and take appropriate action.
Min: 0
Target: 0
Max: 100
3
Is there a counterfeit parts prevention program in place?

Indicate whether a program exists.

To ensure that measures are taken to prevent counterfeit parts from entering the supply chain.
4
Have risk mitigation actions been implemented for identified risks?

Select the appropriate response.

To confirm that actions are taken to mitigate identified risks.
5
Describe the process used for part authentication.

Provide a detailed description of the authentication process.

To evaluate the effectiveness of the part authentication measures in place.
6
Has a supply chain integrity audit been conducted in the past year?

Select the appropriate response.

To verify that the supply chain integrity is regularly assessed to prevent risks.
7
How many operational disruptions occurred in the last year?

Enter the number of disruptions experienced.

To monitor the frequency of operational disruptions and assess resilience.
Min: 0
Target: 0
Max: 50
8
Is there a crisis management plan in place?

Indicate whether a crisis management plan exists.

To ensure that the organization is prepared for potential crises affecting operations.
9
What contingency plans are in place for suppliers?

Provide a detailed description of the contingency plans.

To evaluate the readiness of suppliers to handle disruptions.
10
Have measures been assessed for their effectiveness in ensuring operational resilience?

Select the appropriate response.

To confirm that measures are evaluated to maintain operational integrity.
11
Have employees received training on counterfeit parts awareness?

Indicate whether training has been conducted.

To ensure that employees are knowledgeable about identifying counterfeit parts.
12
What methods are used for detecting counterfeit parts?

Describe the methods employed for detection.

To evaluate the effectiveness of the detection methods in place.
13
Are regular compliance checks conducted for suppliers regarding counterfeit prevention?

Select the appropriate response.

To verify that suppliers adhere to counterfeit prevention standards.
14
How many incidents of counterfeit parts have been reported this quarter?

Enter the number of incidents reported this quarter.

To track the occurrence of counterfeit parts and improve preventive measures.
Min: 0
Target: 0
Max: 20
15
Have risk mitigation strategies been developed for counterfeit parts?

Select the appropriate response.

To confirm that strategies are in place to address counterfeit parts risks.
16
Is there a formal process for evaluating suppliers?

Select the appropriate response.

To ensure that supplier evaluations are conducted systematically.
17
What is the average supplier performance rating over the last year?

Enter the average rating (1-5 scale).

To quantify supplier performance and identify areas for improvement.
Min: 1
Target: 4
Max: 5
18
Are corrective action plans implemented for non-compliant suppliers?

Indicate whether corrective action plans are in place.

To ensure that issues with suppliers are addressed promptly.
19
Describe the mechanism for collecting feedback from suppliers.

Provide a detailed description of the feedback mechanism.

To evaluate how feedback is gathered and utilized for improvement.
20
Is compliance training provided to suppliers?

Select the appropriate response.

To confirm that suppliers are adequately trained on compliance requirements.
21
Is a quality management system (QMS) implemented in the organization?

Indicate whether a QMS is in place.

To ensure that quality management practices are established and maintained.
22
Describe the documentation process for risk assessments conducted.

Provide a detailed description of the documentation process.

To evaluate how risks are documented and managed within the organization.
23
What is the defect rate of products over the last quarter?

Enter the defect rate as a percentage.

To monitor the quality of products and identify areas for improvement.
Min: 0
Target: 0
Max: 100
24
Have supplier quality audits been conducted in the past year?

Select the appropriate response.

To verify that suppliers are meeting quality standards.
25
Are corrective actions followed up on after identification of quality issues?

Select the appropriate response.

To ensure that quality issues are addressed and monitored effectively.

FAQs

The checklist covers risk assessment methodologies, risk mitigation strategies, supplier risk management, counterfeit part detection processes, and risk monitoring and review procedures aligned with AS9100 requirements.

It provides a structured approach to evaluate and improve processes for supplier selection, part authentication, and incoming inspection, reducing the likelihood of counterfeit parts entering the supply chain.

The audit team should include risk management specialists, quality assurance personnel, supply chain managers, engineering representatives, and procurement specialists to ensure comprehensive coverage of all relevant areas.

These audits should be conducted at least annually, with more frequent assessments in high-risk areas or when significant changes occur in the supply chain or operational environment.

The checklist helps organizations systematically identify, assess, and mitigate risks across their operations and supply chain, enhancing their ability to respond to and recover from potential disruptions or quality issues.

Benefits

Ensures compliance with AS9100 risk management and counterfeit parts prevention requirements

Improves identification and mitigation of operational and supply chain risks

Enhances detection and prevention of counterfeit parts in the supply chain

Facilitates a proactive approach to potential threats and vulnerabilities

Supports continuous improvement in risk management practices