AS9120 Document Control and Record Management Audit Checklist

A comprehensive checklist for auditing document control and record management processes in aviation distribution, ensuring compliance with AS9120 standards and best practices in aerospace information management.

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About This Checklist

The AS9120 Document Control and Record Management Audit Checklist is an indispensable tool for aviation distributors to ensure compliance with the stringent documentation requirements of the aerospace industry. This checklist focuses on the critical aspects of creating, maintaining, and controlling documents and records as specified in the AS9120 standard. By implementing this checklist, organizations can enhance their information management processes, improve traceability, and demonstrate compliance with regulatory requirements, ultimately contributing to the safety and reliability of aerospace operations.

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Industry

Aerospace and Defense

Standard

AS9120 - Aerospace Distribution QMS

Workspaces

Aviation Offices

Occupations

Document Control Specialist
Quality Assurance Manager
Compliance Officer
Records Manager
Information Systems Auditor
1
Is the document approval status clearly defined and tracked?
2
Is there a version control system in place for documents?
3
What is the documented retention period for records?
4
How many changes have been made to the document in the last year?
Min: 0
Max: 100
5
Is the document compliant with relevant regulatory standards?
6
What stage of the lifecycle is the document currently in?
7
When is the next scheduled review date for the document?
8
Who is the designated owner of the document?
9
Are there access controls implemented for the document?
10
How many copies of the document are currently in circulation?
Min: 0
Max: 50
11
Is the document's integrity verified and intact?
12
What is the checksum value for the document?
Min: 0
Max: 999999999
13
When was the last integrity check performed on the document?
14
Is there an audit trail available for the document?
15
What is the revision history of the document?
16
What access level is assigned to the document?
17
Are accessibility features implemented for the document?
18
What accessibility compliance standard does the document adhere to?
19
When was the last accessibility review conducted on the document?
20
How many accessibility issues were identified during the last review?
Min: 0
Max: 100
21
What is the security classification of the document?
22
Is encryption implemented for the document?
23
When was the last security audit performed for the document?
24
What is the history of security incidents related to this document?
25
How many unauthorized access attempts have been recorded for this document?
Min: 0
Max: 50

FAQs

The primary purpose is to assess and improve an organization's processes for creating, maintaining, and controlling documents and records in compliance with AS9120 requirements for aviation distributors.

By ensuring proper documentation and record-keeping, the checklist helps maintain accurate product information, traceability, and quality control, which are crucial for aviation safety.

Quality managers, document control specialists, IT personnel, and department heads responsible for generating and maintaining aerospace-related documents should be involved in the audit process.

The checklist covers various types including quality manuals, procedures, work instructions, technical data, certificates of conformity, test reports, and supplier documentation.

These audits should be conducted at least annually, with more frequent internal reviews recommended to ensure ongoing compliance and effectiveness of the document control system.

Benefits of AS9120 Document Control and Record Management Audit Checklist

Ensures compliance with AS9120 documentation requirements

Improves traceability and accessibility of critical information

Reduces risks associated with outdated or incorrect documentation

Enhances efficiency in document retrieval and management

Supports regulatory compliance and audit readiness