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AS9120 Risk Management and Contingency Planning Audit Checklist

A comprehensive checklist for auditing risk management and contingency planning processes in aerospace and defense organizations against AS9120 requirements, focusing on risk identification, assessment, mitigation, and contingency plan development.

AS9120 Risk Management and Contingency Planning Audit Checklist

by: audit-now
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About This Checklist

The AS9120 Risk Management and Contingency Planning Audit Checklist is an essential tool for aerospace and defense organizations to ensure compliance with the risk management requirements of the AS9120 standard. This comprehensive checklist addresses key aspects of identifying, assessing, and mitigating risks within the aerospace supply chain, as well as developing robust contingency plans. By implementing this checklist, companies can enhance their ability to anticipate and respond to potential disruptions, improve operational resilience, and maintain compliance with AS9120 requirements, ultimately contributing to the overall stability and reliability of aerospace and defense operations.

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Industry

Aerospace and Defense

Standard

AS9120 - Aerospace Distribution QMS

Workspaces

Corporate offices
Operations Centers
Manufacturing Facilities

Occupations

Risk Manager
Business Continuity Planner
Supply Chain Analyst
Quality Assurance Manager
Operations Director
1
Is the risk assessment process compliant with AS9120 standards?

Select compliance level.

To ensure adherence to industry standards for risk assessment.
2
Please describe the risk mitigation strategies in place.

Provide a detailed description.

To evaluate the effectiveness of risk mitigation efforts.
3
How often is the contingency plan reviewed?

Enter frequency in months.

To assess the regularity of contingency plan evaluations.
Min: 1
Target: 12
Max: 24
4
What is the current preparedness level for business continuity?

Select preparedness level.

To gauge the organization's readiness for business continuity.
5
What is the identified risk level in the supply chain?

Select the risk level.

To assess the severity of risks associated with the supply chain.
6
List any identified vulnerabilities in the supply chain.

Provide a detailed list of vulnerabilities.

To document and address weaknesses in the supply chain.
7
When was the last supply chain risk assessment conducted?

Select the date of the last assessment.

To ensure risk assessments are performed regularly.
8
What risk mitigation plans are in place for the supply chain?

Provide a comprehensive overview of mitigation plans.

To understand strategies implemented for risk reduction.
9
What is the current status of operational resilience?

Select the current status.

To evaluate the organization’s ability to maintain operations under duress.
10
Is there an active disaster recovery plan in place?

Indicate if a disaster recovery plan exists.

To ensure preparedness for potential operational disruptions.
11
How often are training sessions conducted for operational resilience?

Enter frequency in months.

To assess regularity of training related to operational resilience.
Min: 1
Target: 6
Max: 12
12
Describe the procedures for responding to operational incidents.

Provide a detailed description of the procedures.

To evaluate the effectiveness of incident response strategies.
13
Is there a formal process for identifying strategic risks?

Select whether a formal process exists.

To ensure that strategic risks are systematically identified.
14
List the key strategic risks currently facing the organization.

Provide a list of key risks.

To document and prioritize the main strategic risks.
15
What percentage of the budget is allocated for risk mitigation?

Enter percentage value.

To assess financial commitment to risk management efforts.
Min: 0
Target: 10
Max: 100
16
When was the last strategic risk review conducted?

Select the date of the last review.

To ensure strategic risks are reviewed regularly.
17
Is the organization compliant with aerospace regulations?

Select the compliance status.

To assess adherence to aerospace industry regulations.
18
Describe any compliance gaps identified during the assessment.

Provide a detailed overview of compliance gaps.

To document areas needing improvement in compliance.
19
How many compliance audits have been conducted in the past year?

Enter the number of audits.

To evaluate the frequency of compliance audits.
Min: 0
Target: 5
Max: 100
20
When is the next scheduled compliance audit?

Select the date of the next audit.

To ensure ongoing compliance monitoring.

FAQs

The checklist includes items to verify that systematic processes are in place for identifying risks across various aspects of the supply chain, including supplier performance, geopolitical factors, and technological changes.

It addresses the methods used for evaluating and prioritizing identified risks, including the use of risk matrices, probability and impact assessments, and consideration of both short-term and long-term consequences.

The checklist includes verification of risk mitigation plans, including preventive actions, contingency measures, and monitoring processes to reduce the likelihood and impact of identified risks.

It covers the development of contingency plans for critical business processes, including disaster recovery, business continuity, and emergency response procedures specific to aerospace operations.

The checklist includes items to verify that risk considerations are incorporated into strategic planning, project management, and day-to-day operational decisions throughout the organization.

Benefits of AS9120 Risk Management and Contingency Planning Audit Checklist

Ensures compliance with AS9120 risk management requirements

Improves identification and assessment of potential risks in aerospace operations

Enhances development and implementation of risk mitigation strategies

Reduces the impact of unforeseen events through effective contingency planning

Facilitates continuous improvement in organizational resilience