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AS9120 Internal Audit Process Audit Checklist

A detailed checklist for auditing the internal audit processes in aerospace and defense organizations against AS9120 requirements, focusing on audit planning, execution, reporting, and follow-up activities.

AS9120 Internal Audit Process Audit Checklist

by: audit-now
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About This Checklist

The AS9120 Internal Audit Process Audit Checklist is a vital tool for aerospace and defense organizations to ensure the effectiveness and compliance of their internal audit programs with AS9120 standard requirements. This comprehensive checklist addresses key aspects of planning, conducting, reporting, and following up on internal audits within the aerospace quality management system. By implementing this checklist, companies can enhance their ability to identify improvement opportunities, ensure consistent audit practices, and maintain compliance with AS9120 requirements, ultimately contributing to the overall effectiveness of their quality management system and continuous improvement efforts.

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Industry

Aerospace and Defense

Standard

AS9120 - Aerospace Distribution QMS

Workspaces

Office Buildings
Manufacturing Facilities
Office Buildings

Occupations

Quality Assurance Manager
Internal Auditor
Compliance Officer
Process Owner
Management Representative
1
Is the audit planning process compliant with AS9120 requirements?

Select compliance status.

To ensure that the planning aligns with aerospace quality management standards.
2
List the qualifications of the auditors involved in the audit.

Provide a detailed description of auditor qualifications.

To verify that auditors have the necessary qualifications and experience.
3
What was the total duration of the audit execution (in hours)?

Enter the total hours spent on the audit.

To evaluate the efficiency of the audit process.
Min: 1
Target: 2
Max: 8
4
Describe any corrective actions taken during the audit.

Provide details of corrective actions.

To ensure that identified issues are addressed promptly.
5
Is the audit reporting process compliant with AS9120 standards?

Select compliance status.

To confirm adherence to reporting requirements.
6
Is the quality management system effectively implemented according to AS9120?

Select the compliance status of the quality system.

To assess the effectiveness of the quality management system in place.
7
How many non-conformities were identified during the audit?

Enter the number of non-conformities found.

To quantify issues that need corrective action.
Min: 0
Target: 0
Max: 100
8
List any continuous improvement initiatives proposed during the audit.

Provide details of continuous improvement initiatives.

To capture suggestions for enhancing processes.
9
What is the date of the audit completion?

Select the date the audit was completed.

To document when the audit was finalized.
10
What is the status of follow-up actions from the previous audit?

Select the status of follow-up actions.

To ensure that prior actions have been addressed.
11
Describe how clearly the audit objectives were defined.

Provide a detailed assessment of the clarity of the audit objectives.

To evaluate if the audit objectives were communicated effectively.
12
Rate the severity of the audit findings on a scale from 1 to 5.

Enter a severity rating where 1 is very poor and 5 is excellent.

To categorize the findings based on their impact on the organization.
Min: 1
Target: 3
Max: 5
13
How would you rate the collaboration within the audit team?

Select the collaboration rating.

To assess team dynamics and effectiveness during the audit process.
14
Summarize the feedback received from stakeholders regarding the audit.

Provide a summary of stakeholder feedback.

To gather insights on stakeholder perceptions and satisfaction.
15
When is the next audit scheduled to take place?

Select the date for the next scheduled audit.

To plan for future audits and ensure continuous compliance.
16
Was the risk assessment process completed thoroughly?

Select the completeness status of the risk assessment.

To ensure all potential risks were identified and assessed.
17
How many risks were identified during the audit?

Enter the total number of identified risks.

To quantify the risk exposure of the organization.
Min: 0
Target: 5
Max: 100
18
What mitigation strategies were proposed for identified risks?

Provide a detailed description of the mitigation strategies.

To evaluate the effectiveness of the proposed risk management strategies.
19
When was the last risk review conducted?

Select the date of the last risk review.

To ensure regular reviews of risk management practices.
20
Is compliance training up to date for all relevant personnel?

Select the status of compliance training.

To confirm that staff are trained and aware of compliance requirements.
21
Is the supplier compliant with AS9120 requirements?

Select the compliance status of the supplier.

To assess whether the supplier meets aerospace compliance standards.
22
How often are supplier audits conducted (in months)?

Enter the frequency of supplier audits in months.

To ensure that supplier evaluations are performed regularly.
Min: 1
Target: 12
Max: 36
23
What feedback was received regarding the supplier's performance?

Provide detailed feedback about the supplier's performance.

To gather qualitative insights on the supplier's reliability and quality.
24
When was the last audit of the supplier conducted?

Select the date of the last supplier audit.

To maintain records of supplier audit histories.
25
Have corrective actions been taken based on the last supplier audit findings?

Select whether corrective actions were taken.

To ensure that issues identified in audits are addressed appropriately.

FAQs

The checklist includes items to verify that audit programs are planned based on process importance, risk assessment, and previous audit results, ensuring comprehensive coverage of the quality management system.

It addresses the selection, training, and evaluation of internal auditors, ensuring they have the necessary skills, knowledge, and impartiality to conduct effective audits in the aerospace context.

The checklist includes verification of audit methodologies, including the use of appropriate sampling techniques, interview skills, and evidence collection methods to support audit findings.

It covers the timely preparation and distribution of audit reports, ensuring they clearly communicate findings, nonconformities, and opportunities for improvement in a standardized format.

The checklist includes items to verify that processes are in place for tracking corrective actions, verifying their effectiveness, and closing out audit findings in a timely manner.

Benefits of AS9120 Internal Audit Process Audit Checklist

Reduces risks associated with non-conformities and audit gaps

Ensures compliance with AS9120 internal audit requirements

Improves consistency and effectiveness of internal audit processes

Enhances identification of systemic issues and improvement opportunities

Facilitates continuous improvement of the quality management system