AUDIT CHECKLIST

Department Audited: Ref. Audit Ctr

Auditee Representative:

Date of Audit:

System Requirement :

QUALITY SYSTEM PROCEDURES

ACHIEVED POINTS
ITEM Y/ N / Reference Documents / Complete Incomplete
QUESTIONS
NO. NA Forms
4 2

Is the Quality Organization's responsibilities clearly

1 defined in writing, reflected in a Quality Manual,
distributed and understood throughout the company?

Is the Quality Manual periodically reviewed and

2 upgraded?

Is the Quality System documented in the Quality

3 Manual follows ISO/QS 9000 requirements?

Are Statistical Process Control (SPC) principles

4 understood at all levels? And implemented?

Does the Quality Organization prepares and issues

periodic reports and maintain records relative to
5 process control yields, top quality problems and its
countermeasure?

6 Is the Organizational Chart defined? Is there a QMR?

Page 1
 Are the defect rates measure in PPM and has a system
7 in place to monitor internal PPM rate to achieve its
customers PPM goal?

Does The quality Organization operates a defect

8 prevention program that includes defect analysis and
the generation of improvement actions?

Page 2
 Form No.: ILPI-QMS-IA-FR-002-00

HECKLIST
Effective Date: 03/10/2016

Ref. Audit Ctrl No.:

Auditor:

ACHIEVED POINTS
None REMARKS
0

Page 3
Page 4
 AUDIT CHECKLIST

Department Audited: Ref. Audit Ctr

Auditee Representative:

Date of Audit:

System Requirement :

Design Control/ New Product Developmet

ACHIEVED POINTS
ITEM Y/ N / Reference Documents / Complete Incomplete
QUESTIONS
NO. NA Forms
4 2

Are there responsible person for new project

1 management?

Is there a documented system that clearly define New

2 Product Development and New Product Introduction?

3 Is the design process properly documented?

Are capability studies being done during new product

4 introduction?

Are introduction dates of changes recorded and

5 traceable?

Is there a system for releasing new

6 product,moulds,dies, machines and tools?

Page 5
 7 Is there a control of quality records?

Is there a Process Management Plan/ Process Control

8 Plan which is constantly updated with well-identified
process control steps and critical parameters?

Page 6
 Form No.: ILPI-QMS-IA-FR-002-03

HECKLIST
Effective Date: 03/10/2016

Ref. Audit Ctrl No.:

Auditor:

ACHIEVED POINTS
None REMARKS
0

Page 7
Page 8
 AUDIT CHECKLIST

Department Audited: Ref. Audit Ctr

Auditee Representative:

Date of Audit:

System Requirement :

Procurement Control
ACHIEVED POINTS
ITEM Y/ N / Reference Documents / Complete Incomplete
QUESTIONS
NO. NA Forms
4 2

Is there a documented process for supplier survey and

1 evaluation, and supplier certification process?

Are applicable drawings, specification or other

2 changes thereto referenced or indicated in the
purchase order?

Are the records available to substantiate an adequate

3 vendor / supplier rating system?

Are the vendor / supplier related rejects segregated,

4 analyzed and returned to vendor / supplier for proper
action?

Is there a corrective action system in place to correct

5 problem with vendor / suppliers?

Does a system exist to ensure that delivery

6 requirement are fulfilled?

Page 9
 7 Is a list of Approved Sources maintained?

Does a system exist to work with suppliers towards

8 continuous improvements on quality, delivery and cost
reduction?

Page 10
 Form No.: ILPI-QMS-IA-FR-002-03

HECKLIST
Effective Date: 03/10/2016

Ref. Audit Ctrl No.:

Auditor:

ACHIEVED POINTS
None REMARKS
0

Page 11
Page 12
 AUDIT CHECKLIST

Department Audited: Ref. Audit Ctr

Auditee Representative:

Date of Audit:

System Requirement :

Receiving/ Incoming Material Control

ACHIEVED POINTS
ITEM Y/ N / Reference Documents / Complete Incomplete
QUESTIONS
NO. NA Forms
4 2

Is there a system for incoming/receiving inspection

that checks incoming shipments to purchase
1 requirements, reference quality specification and
applicable drawings?

Does receiving/incoming inspection personnel have a

2 controlled instruction defining characteristics,
equipment and methods used during inspection?

Are inspection records, test report, certifications and

3 receiving reports maintained?

Are inspected materials/parts adequately identified as

4 accept or reject and traceable to receiving inspection
report?

Are there controls to prevent entry of un-inspected

5 stocks and/or rejected material into stocks?

Is there a system to notify supplier in-case of non-

6 conforming materials is found?

Page 13
 Are there proper storage condition for critical
7 materials? e.g. chemicals, humidity sensitive
materials?

8 Is first in first out (FIFO) system for materials in place?

Page 14
 Form No.: ILPI-QMS-IA-FR-002-03

HECKLIST
Effective Date: 03/10/2016

Ref. Audit Ctrl No.:

Auditor:

ACHIEVED POINTS
None REMARKS
0

Page 15
Page 16
 AUDIT CHECKLIST

Department Audited: Ref. Audit Ctr

Auditee Representative:

Date of Audit:

System Requirement :

In-Process Control
ACHIEVED POINTS
ITEM Y/ N / Reference Documents / Complete Incomplete
QUESTIONS
NO. NA Forms
4 2

Is the production lay-out, material flow and finished

1 product flow optimized and clearly understandable?

Is there a Process Management Plan/Process Control

Plan/Quality Plan that shows the complete process
2 flow,critical inspection points,equipments
used,frequency,records and responsibilities?

Are process inspections, measurements and testings

3 accordance to customer requirements?

Is there a system to control and trace history of

4 inspection and process status during work-in-process?

Are process control data recorded and maintained to

5 quantify defect rates of critical processes, and
analyzed for correction and prevention?

Is the production fall-off on an acceptable level? Are

6 actions executed in case of increase in fall-off and are
analysis results and action documented?

Page 17
 Are non-conforming materials, semi-finished and
7 finished products identified and segregated from the
good materials and product?

Is repair capacity planned on the basis of production

8 fall-off? Is the necessary repair capacity available?

Is there a system for ESD control? (for electronics

9 company only)

Page 18
 Form No.: ILPI-QMS-IA-FR-002-03

HECKLIST
Effective Date: 03/10/2016

Ref. Audit Ctrl No.:

Auditor:

ACHIEVED POINTS
None REMARKS
0

Page 19
Page 20
 AUDIT CHECKLIST

Department Audited: Ref. Audit Ctr

Auditee Representative:

Date of Audit:

System Requirement :

OUTGOING/FINAL QC
ACHIEVED POINTS
ITEM Y/ N / Reference Documents / Complete Incomplete
QUESTIONS
NO. NA Forms
4 2

Is there a defined procedure / instruction for outgoing

1 quality inspection?

Are required parameters inspected as defined in

2 customer specification?

Are Final Inspection reports maintained and traceable

3 to the lots inspected?

Is there a procedure to retrieve defective lots that may

4 have been shipped which includes notification to
customer?

Are repaired / reworked product re-inspected

5 according to reinforced sampling level?

Are quality records used and kept properly for on line

6 information?

Page 21
Page 22
 Form No.: ILPI-QMS-IA-FR-002-00

HECKLIST
Effective Date: 03/10/2016

Ref. Audit Ctrl No.:

Auditor:

ACHIEVED POINTS
None REMARKS
0

Page 23
Page 24
 AUDIT CHECKLIST

Department Audited: Ref. Audit Ctr

Auditee Representative:

Date of Audit:

System Requirement :

Control of Non-Conforming Product & Mat'l.

ACHIEVED POINTS
ITEM Y/ N / Reference Documents / Complete Incomplete
QUESTIONS
NO. NA Forms
4 2

Are non-conforming materials properly identified and

1 segregated from good materials?

Is there a written procedure for verification and

2 analysis of line rejects and the required generation of
corrective plans to improve the process?

Is there an organize Material Review Board or

3 equivalent body that routinely meet to make
disposition on non-conforming materials?

Is there a written procedure and form for

documenting deviations and/or substitutions that
4 must be signed off by a defined function of
organization?

Is there adequate control to ensure that non-

5 conforming products are re-inspected and/or tested
after rework/sorting?

Is there a system to notify supplier for non-conforming

6 material?

Page 25
Page 26
 Form No.: ILPI-QMS-IA-FR-002-00

HECKLIST
Effective Date: 03/10/2016

Ref. Audit Ctrl No.:

Auditor:

ACHIEVED POINTS
None REMARKS
0

Page 27
Page 28
 AUDIT CHECKLIST

Department Audited: Ref. Audit Ctr

Auditee Representative:

Date of Audit:

System Requirement :

Document Control
ACHIEVED POINTS
ITEM Y/ N / Reference Documents / Complete Incomplete
QUESTIONS
NO. NA Forms
4 2

Are there adequate controls in effect to assure

applicable engineering drawings, change notices,
1 specifications are in use of concern departments at
specific given time?

Does the system prevents use of marked up, obsolete

2 or illegible drawings, specification and
procedure/documents?

Are the manufacturing processes and configuration

3 documents under issue control?

Does document change procedure in place ensure

that key users of documents are informed of changes
4 and their comments are considered in upcoming
changes?

Are there established controls for documents of

5 external origin?

Page 29
Page 30
 Form No.: ILPI-QMS-IA-FR-002-00

HECKLIST
Effective Date: 03/10/2016

Ref. Audit Ctrl No.:

Auditor:

ACHIEVED POINTS
None REMARKS
0

Page 31
Page 32
 AUDIT CHECKLIST

Department Audited: Ref. Audit Ctr

Auditee Representative:

Date of Audit:

System Requirement :

Preventive Maintenance & Calibration

ACHIEVED POINTS
ITEM Y/ N / Reference Documents / Complete Incomplete
QUESTIONS
NO. NA Forms
4 2

Is there a procedure for calibration and preventive

1 maintenance of each major production equipments
and critical parts?

Is there a system in place to ensure that preventive

2 maintenance activities are being done as required?

Is there a master preventive maintenance schedule

3 available and strictly implemented to all production
equipment and parts ?

Are there historical records indicating that test

4 equipment are re-certified / re-calibrated at regular
intervals?

Are there stickers affixed on gages and test

5 equipments or equivalent method, indicating last date
of calibration and due date for re-calibration?

Are gages and test equipments calibrated against

measuring standards traceable to local or foreign
6 recognized calibration agency? Are certifications /
documents kept on file ?

Page 33
 Are gages and test equipment out of calibration are
7 segregated and controlled to prevent their use?

Are measurement gauges undergone Gage

8 Reproducibility and Repeatability (GR&R) study?

Is there a monitoring matrix that identifies preventive

9 maintenance and calibration schedules

Page 34
 Form No.: ILPI-QMS-IA-FR-002-00

HECKLIST
Effective Date: 03/10/2016

Ref. Audit Ctrl No.:

Auditor:

ACHIEVED POINTS
None REMARKS
0

Page 35
Page 36
 AUDIT CHECKLIST

Department Audited: Ref. Audit Ctr

Auditee Representative:

Date of Audit:

System Requirement :

General Housekeeping, Handling, Storage, Inventory Packaging & Shipping Con

ACHIEVED POINTS
ITEM Y/ N / Reference Documents / Complete Incomplete
QUESTIONS
NO. NA Forms
4 2

Is the surrounding area around the plant, offices,

1 production area, storage / warehouse. And other
areas within the plant are clean and orderly ?

Are all machines / equipments and immediate work

2 areas regularly cleaned ?

Are proper equipments or methods being used in

3 handling and transit of raw materials, work in process
and finished goods to preserve product quality ?

Is there a procedure in placed for the receipt and

4 issuance of stored materials that ensure first-in first-
out compliance ?

Are parts and materials clearly and positively

5 identified ?

6 Is there a procedure defining shelf life control ?

Is there an adequate system to ensure proper and

7 handling of sensitive materials to temperature and/or
humidity ?

Page 37
 Are storage areas controlled to prevent access by
8 unauthorized persons ?

Are appropriate physical safeguards such as fences,

9 guards, locks, etc. used to protect stocks from misuse /
theft ?

Are procedures in effect relating to the control of

10 packaging and shipping processes to assure
conformance to contractual requirements ?

11 Is there a method used to determine the appropriate

inventory level and obsolete of parts?

12 Are shipping documents kept and controlled?

Page 38
 Form No.: ILPI-QMS-IA-FR-002-00

HECKLIST
Effective Date: 03/10/2016

Ref. Audit Ctrl No.:

Auditor:

ory Packaging & Shipping Control

ACHIEVED POINTS
None REMARKS
0

Page 39
Page 40
 AUDIT CHECKLIST

Department Audited: Ref. Audit Ctr

Auditee Representative:

Date of Audit:

System Requirement :

Internal Quality Audit

ACHIEVED POINTS
ITEM Y/ N / Reference Documents / Complete Incomplete
QUESTIONS
NO. NA Forms
4 2

Is there a system for internal quality system audit? Is

1 there an audit plan?

Does the audit plan covers all areas of activity in the

2 company?

Are audit results reported to the top management for

3 management review?

Does the audit plan covers the verification of the

4 implementation and effectiveness of corrective action
of the previous audit?

5 Are audit findings being addressed at specific time?

6 Are the internal auditors certified quality auditors?

Page 41
Page 42
 Form No.: ILPI-QMS-IA-FR-002-00

HECKLIST
Effective Date: 03/10/2016

Ref. Audit Ctrl No.:

Auditor:

ACHIEVED POINTS
None REMARKS
0

Page 43
Page 44
 AUDIT CHECKLIST

Department Audited: Ref. Audit Ctr

Auditee Representative:

Date of Audit:

System Requirement :

Training
ACHIEVED POINTS
ITEM Y/ N / Reference Documents / Complete Incomplete
QUESTIONS
NO. NA Forms
4 2

1 Is there a training system for all employees?

Is the training program address continuous

2 improvement in all areas of business?

Is training and specification adequate enough for

3 specific task/rank?

Does training include FMEA, SPC, ESD, 8D, 7 QC Tools,

4 etc. for those who need to use them?

5 Are training records available?

6 Is the effectiveness of training evaluated periodically?

Page 45
 7 Is there a skill matrix for all inspectors and operators?

Page 46
 Form No.: ILPI-QMS-IA-FR-002-00

HECKLIST
Effective Date: 03/10/2016

Ref. Audit Ctrl No.:

Auditor:

ACHIEVED POINTS
None REMARKS
0

Page 47
Page 48
 AUDIT CHECKLIST

Department Audited: Ref. Audit Ctr

Auditee Representative:

Date of Audit:

System Requirement :

Internal Corrective Action, Customer Complaints and Returns/ Services

ACHIEVED POINTS
ITEM Y/ N / Reference Documents / Complete Incomplete
QUESTIONS
NO. NA Forms
4 2

Is there a system / policy for customer complaints and

1 returns?

Is there an investigation / analysis done on any

2 discrepant finished goods reported by the customer?

Is the 8D/ 7 steps approach implemented for

3 answering customer complaints?

4 Is 7 QC tools used in analyzing customer complaints?

Is there a defined response time for confirmation,

5 containment action, corrective action and preventive
action in answering customer complaints?

Are these corrective actions audited to ensure

6 implementation?

Page 49
 Are responsible authorities for corrective actions
7 defined?

Is there a tracking system to follow-up issues from

8 initialization up to its closure?

Is there a system for internal corrective action on

9 production fall-off that are beyond the target?

10 Is there a system for internal corrective action on

rejected lots at final inspection?

Page 50
 Form No.: ILPI-QMS-IA-FR-002-00

HECKLIST
Effective Date: 03/10/2016

Ref. Audit Ctrl No.:

Auditor:

and Returns/ Services

ACHIEVED POINTS
None REMARKS
0

Page 51
Page 52
 AUDIT CHECKLIST

Department Audited: Ref. Audit Ctr

Auditee Representative:

Date of Audit:

System Requirement :

RoHS Directives
ACHIEVED POINTS
ITEM Y/ N / Reference Documents / Complete Incomplete
NO. QUESTIONS NA Forms
4 2

Does your company have a Corporate wide "RoHS "

specification that defines your companies
1 requirements for "RoHS Compliance" raw materials
and finished product?

Have you established a complete list of your suppliers

2 to be used to track compliance with your "RoHS"
requirements?
Have you sent a copy of your "RoHS" specification and
3 requirements to all of your suppliers?

Do you have an updated list that tracks the

compliance status of each supplier to your "RoHS"
4 specification and requirements?

Do you have an Procedure in place at your incoming

inspection area that verification of compliance with
5 your "RoHS" ?

Do you have records that demonstrate compliance

6 with the verification Operation Procedure?

Do you have analytical testing capability at your

incoming inspection area or have a local 3rd party
7 analytical testing vendor available, to perform testing
on a sample basis to verify RoHS compliance of
incoming materials?

Is your process to ensure RoHS specification

8 (P/N6T198) compliance of incoming materials defined
and documented?

Do you have procedures or a specification in place for

9 restricted and banned materials compliance for sub-
tier suppliers?
10 Are your optimized process and assembly settings
documented in a procedure or specification?

Have all operating procedures and documentation

been updated to include "Lead Free" product /
11 materials segregation and handling requirements to
prevent mixing "Lead Free" from "Lead Containing"
product?

Have all labeling and marking documentation or

12 specifications been updated to include "Lead Free"
labeling and marking requirements?

Do you have audit requirements and results to verify

13 compliance with your "RoHS Compliance" segregation
and labeling procedures?

Do you have a corporate specification requiring unique

14 part numbers for RoHS Compliance components and
materials from your suppliers?

Do you have a corporate specification or procedure

15 requiring a new part number for RoHS Compliance
assemblies shipped to your customers?
 Form No.: ILPI-QMS-IA-FR-002-00

HECKLIST
Effective Date: 03/10/2016

Ref. Audit Ctrl No.:

Auditor:

ACHIEVED POINTS
None REMARKS
0