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AS9110 Document Control and Records Management Audit Checklist

A specialized audit checklist for evaluating document control and records management processes in aviation maintenance, repair, and overhaul (MRO) organizations against AS9110 requirements, ensuring proper handling of critical documentation and records.

AS9110 Document Control and Records Management Audit Checklist

by: audit-now
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About This Checklist

The AS9110 Document Control and Records Management Audit Checklist is a crucial tool for aviation maintenance, repair, and overhaul (MRO) organizations to ensure compliance with the stringent documentation requirements of the AS9110 standard. Effective document control and records management are fundamental to maintaining safety, traceability, and regulatory compliance in the aviation industry. This checklist helps auditors and quality professionals systematically evaluate the organization's processes for creating, updating, storing, and retrieving critical documents and records, ensuring that all necessary information is accurate, accessible, and properly maintained throughout the product lifecycle.

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Industry

Aerospace and Defense

Standard

AS9110 - Aerospace Maintenance Organizations

Workspaces

Aviation Maintenance Facilities

Occupations

Document Control Specialist
Quality Assurance Manager
Records Manager
Compliance Auditor
MRO Operations Manager
1
Are the document control procedures compliant with AS9110 standards?

Select compliance status.

To ensure all documents are managed according to regulatory requirements.
2
Describe how document traceability is maintained.

Provide a brief description.

To verify that documents can be traced back to their source and revisions.
3
What is the required retention period for aviation records?

Enter the retention period in years.

To ensure records are kept for the duration required by regulations.
Min: 5
Target: 10
Max: 30
4
How often are quality assurance reviews conducted for document control?

Select the frequency of reviews.

To ensure regular evaluations of document control effectiveness.
5
Is the MRO facility compliant with AS9110 requirements?

Select compliance status.

To assess the overall compliance of the MRO facility with industry standards.
6
Detail the corrective action procedures in place for non-compliance.

Provide a detailed description of the procedures.

To ensure that there are effective procedures to address non-compliance issues.
7
What is the minimum number of training hours required for staff on document control?

Enter the required training hours.

To verify that staff are adequately trained in document control processes.
Min: 10
Target: 20
Max: 50
8
What was the date of the last audit conducted on document control?

Select the date of the last audit.

To track the recency of audits related to document control.
9
How effective is the current document management system in ensuring compliance?

Select the effectiveness rating.

To evaluate the capability of the document management system in maintaining compliance.
10
What challenges are encountered in document control?

Describe any challenges you face.

To identify and address any challenges faced in the document control process.
11
What is the current error rate in document control processes?

Enter the error rate as a percentage.

To assess the accuracy of document management and control processes.
Min: 0
Target: 2
Max: 10
12
When is the next scheduled review of document control procedures?

Select the date and time for the next review.

To ensure timely reviews of document control processes.
13
What is the current level of regulatory compliance in documentation practices?

Select the compliance level.

To assess how well the documentation practices meet regulatory requirements.
14
What improvement plans are in place for documentation management?

Provide detailed information about improvement plans.

To ensure there are strategies to enhance documentation processes.
15
How often are audits conducted on documentation practices?

Enter the audit frequency in months.

To ensure documentation practices are regularly evaluated for compliance.
Min: 1
Target: 6
Max: 12
16
When was the last training conducted on documentation practices?

Select the date of the last training.

To verify that staff are trained on the latest documentation practices.
17
Is the records management policy compliant with AS9110 standards?

Select compliance status.

To ensure that the records management policy adheres to industry standards.
18
What challenges are faced in managing aviation records?

Describe any challenges encountered.

To identify issues that may hinder effective records management.
19
What percentage of aviation records are currently digitized?

Enter the percentage of records that are digitized.

To assess the level of digitization in records management.
Min: 0
Target: 80
Max: 100
20
When is the next audit scheduled for aviation records management?

Select the date and time for the next audit.

To ensure timely evaluations of records management processes.

FAQs

This checklist covers all types of documents and records required by AS9110, including quality manuals, procedures, work instructions, technical data, maintenance records, training records, and quality assurance documentation.

The checklist ensures that processes are in place for document approval, revision, distribution, and obsolescence management, helping to maintain the integrity and currency of all controlled documents.

The checklist covers record identification, storage, protection, retrieval, retention time, and disposition, ensuring that all required records are properly maintained and readily accessible when needed.

These processes should be audited at least annually as part of the internal audit program, with more frequent checks recommended for critical documentation areas.

Yes, the checklist is applicable to both paper-based and electronic document management systems, addressing specific requirements for electronic records such as backup, security, and access controls.

Benefits of AS9110 Document Control and Records Management Audit Checklist

Ensures compliance with AS9110 documentation and record-keeping requirements

Improves traceability and accountability in aviation maintenance processes

Reduces risks associated with outdated or inaccurate documentation

Enhances operational efficiency through better information management

Supports regulatory audits and certification maintenance