SAE AS5553 Documentation and Record-Keeping Audit Checklist

This checklist is designed to audit and ensure compliance with the documentation and record-keeping requirements of the SAE AS5553 standard in the aerospace and defense industry.

SAE AS5553 Documentation and Record-Keeping Audit Checklist

by: audit-now

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About This Checklist

The SAE AS5553 Documentation and Record-Keeping Audit Checklist is an essential tool for aerospace and defense industry professionals to ensure comprehensive and compliant documentation practices. This checklist aligns with the SAE AS5553 standard, focusing on the creation, maintenance, and storage of critical records related to electronic component sourcing, testing, and usage. By implementing this checklist, organizations can enhance their traceability efforts, support regulatory compliance, and facilitate effective risk management throughout the component lifecycle.

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Industry

Aerospace and Defense

Standard

SAE AS5553 - Counterfeit Electronic Parts Prevention

Workspaces

Corporate offices

Document control centers

IT Infrastructure

Occupations

Quality Assurance Manager

Document Control Specialist

Compliance Officer

Records Management Coordinator

Audit Manager

Is there a documented procedure for document control?

Select 'Compliant' if there is a documented procedure.

To ensure compliance with SAE AS5553 standards.

Please describe the record-keeping process in place.

Provide a detailed description of the record-keeping process.

To evaluate the adequacy of record-keeping practices.

What is the document retention period (in years)?

Enter the retention period in years.

To assess compliance with retention requirements.

Min: 0

Target: 5

Max: 20

Are records traceable to their source documents?

Select compliance level for traceability.

To ensure traceability in compliance with SAE AS5553.

Is an electronic data management system used for documentation?

Indicate if an electronic system is in use.

To evaluate the use of technology in document control.

Electronic Data Management System

Is there a documented lifecycle for each electronic component?

Describe the documentation process for electronic component lifecycles.

To ensure all electronic components are tracked throughout their lifecycle.

Are the documented lifecycles compliant with industry standards?

Select the compliance status of the lifecycle documentation.

To assess compliance with relevant lifecycle management standards.

How often are lifecycle reviews performed (in years)?

Specify the frequency of lifecycle reviews in years.

To ensure that component lifecycles are regularly reviewed for accuracy.

Min: 1

Target: 1

Max: 5

Is lifecycle management software utilized for tracking components?

Indicate whether lifecycle management software is in use.

To evaluate the effectiveness of technology in managing component lifecycles.

Use of Lifecycle Management Software

When was the lifecycle documentation last updated?

Enter the date of the last update.

To ensure that lifecycle documentation is current.

Is the documentation compliant with regulatory requirements?

Select the compliance status regarding regulatory requirements.

To ensure that all documentation adheres to applicable regulations.

Please list the relevant regulations applicable to the documentation.

Provide a list of all applicable regulations.

To ensure awareness of the regulatory framework governing documentation.

How often is training provided on regulatory requirements (in years)?

Enter the frequency of training sessions in years.

To ensure that staff are regularly updated on compliance obligations.

Min: 1

Target: 1

Max: 3

Are documentation updates made in response to regulatory changes?

Indicate if updates are made for regulatory changes.

To assess the responsiveness of documentation to evolving regulations.

Regulatory Documentation Updates

When was the last compliance audit conducted for documentation?

Enter the date of the last compliance audit.

To ensure that recent audits have been performed to assess compliance.

FAQs

Proper documentation and record-keeping are crucial for SAE AS5553 compliance as they provide a traceable history of component sourcing, testing, and usage, which is essential for detecting and mitigating risks associated with counterfeit or substandard parts.

The checklist covers supplier certifications, incoming inspection reports, test results, traceability records, non-conformance reports, corrective action documentation, and disposal records for suspect or confirmed counterfeit parts.

SAE AS5553 typically recommends retaining records for a minimum of 10 years or for the service life of the product, whichever is longer. This checklist helps ensure compliance with these retention requirements.

Quality assurance managers, document control specialists, and compliance officers should be primarily responsible for maintaining and auditing the documentation system, with input from various departments such as engineering, procurement, and production.

This checklist includes items for regular review and update of documentation procedures, assessment of record completeness and accuracy, and evaluation of the effectiveness of the current documentation system in supporting SAE AS5553 compliance and risk management efforts.

Benefits

Ensures compliance with SAE AS5553 documentation requirements

Enhances traceability of electronic components throughout their lifecycle

Facilitates efficient audits and investigations when needed

Supports informed decision-making in component selection and risk management

Improves overall quality assurance and regulatory compliance