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AS9120 Document Control and Record Management Audit Checklist

A detailed checklist for auditing document control and record management processes in aerospace and defense organizations against AS9120 requirements, focusing on document creation, revision, storage, and retrieval.

AS9120 Document Control and Record Management Audit Checklist

by: audit-now
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About This Checklist

The AS9120 Document Control and Record Management Audit Checklist is a crucial tool for aerospace and defense organizations to ensure compliance with the documentation requirements of the AS9120 standard. This checklist focuses on the creation, maintenance, and control of documents and records essential for quality management in the aerospace supply chain. By implementing this checklist, companies can enhance their document control processes, improve traceability, and maintain the integrity of critical information throughout their operations.

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Industry

Aerospace and Defense

Standard

AS9120 - Aerospace Distribution QMS

Workspaces

Office environments
Archives
Data Centers

Occupations

Document Control Specialist
Quality Assurance Manager
Compliance Officer
Records Manager
IT Systems Administrator
1
Is there a documented procedure for document revision control?
2
Is document traceability maintained throughout the document lifecycle?
3
Describe the record management practices in place.
4
What is the review frequency for quality assurance records?
Min: 1
Target: 12
Max: 24
5
When was the last document audit conducted?
6
Is the document control system compliant with AS9120 standards?
7
What document management software is currently in use?
8
How many revisions are allowed for each document?
Min: 1
Target: 5
Max: 10
9
When is the next scheduled document review?
10
Provide a summary of audit findings related to document control.
11
Are quality assurance records easily accessible to authorized personnel?
12
Is the record retention policy compliant with AS9120 requirements?
13
What is the average time taken to retrieve a quality record?
Min: 1
Target: 10
Max: 60
14
Describe the process for documenting corrective actions taken on quality records.
15
When was the last audit of quality assurance records conducted?
16
Is the integrity of documents verified regularly?
17
How many changes were made to documents in the last year?
Min: 0
Target: 15
Max: 100
18
Are all changes to documents properly documented?
19
Describe the procedures in place for document control.
20
When is the next scheduled audit for document integrity?
21
Are all documents compliant with applicable aerospace standards?
22
How many non-conformities were identified in the last document audit?
Min: 0
Target: 3
Max: 50
23
Have all follow-up actions from the last audit been completed?
24
Describe the training provided to staff on document control procedures.
25
When was the last document compliance audit conducted?

FAQs

The checklist covers quality manuals, procedures, work instructions, forms, and records required by the AS9120 standard, as well as external documents such as customer specifications and regulatory requirements.

It includes items to verify that a system is in place for document revision, approval, and distribution, ensuring that only current versions are in use throughout the organization.

The checklist addresses record identification, storage, protection, retrieval, retention time, and disposition in accordance with AS9120 requirements and applicable regulations.

It includes items to verify that electronic document management systems meet AS9120 requirements for access control, backup, and security to maintain document integrity and confidentiality.

The checklist helps verify that all necessary documentation related to suppliers, including certifications, test reports, and conformity declarations, are properly controlled and maintained as per AS9120 standards.

Benefits of AS9120 Document Control and Record Management Audit Checklist

Ensures compliance with AS9120 documentation requirements

Improves document control and record-keeping processes

Enhances traceability and accountability in aerospace operations

Reduces risks associated with outdated or incorrect documentation

Facilitates efficient information retrieval and audits