This form is a template for entities or individuals to use if they are being audited. It
allows for optimal user customization by including standard clauses as well as giving the
user the opportunity to add any additional clauses as they see fit. This form should be
used by entities or individuals that are being audited to organize and expedite the
process.
North America
Audit Question List
ISO 16949:1999
Requirements What to Look For Objective evidence
ELEMENT 4.1 - MANAGEMENT RESPONSIBILITY
1.1 Has the supplier's management with Documented policy statement with clearly
executive responsibility defined and defined measurable quality objectives
documented its quality policy objectives for approved by CEO
quality, and its commitment to quality?
(4.1.1.1)
1.2 Is the quality policy relevant to Defined objectives organizational goals
expectations and needs of the customer? company goals stated in the business plan
(4.1.1.1) and their alignment with the quality policy
statement
1.3 Is the quality policy implemented, Direct interviews with randomly selected
understood and maintained throughout the people of the organization and top
organization? (4.1.1.1) management
1.4 Are the goals, objectives and
measurements to deploy the quality policy
defined? (4.1.1.1)
1.5 Are the objectives for achieving quality Quality objectives linked to the business
objectives included in the business plan? plan.
(4.1.1.2) Scope of the quality objectives
1.6 Does the supplier have an objective Description of an objective process
process for determining customer Methodology used for surveys
satisfaction, including frequency of Original customer data and scope such as
determination and how objectivity and validity customer satisfaction feedback (surveys,
are assured? (4.1.1.2) scorecards, awards etc.)
1.7 Are trends in customer satisfaction and
dissatisfaction documented and supported by
objective information? (4.1.1.2)
1.8 Does the quality policy intent include Quality policy document
continuous improvement in quality, service, Records of improvement
cost and technology? (4.1.1.3)
1.9 Has the supplier identified opportunities Examples and status of quality and
and implemented appropriate projects for productivity improvements projects.
quality and productivity improvement? Management review results
(4.1.1.3)
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North America
Audit Question List
ISO 16949:1999
Requirements What to Look For Objective evidence
1.10 Has the supplier used appropriate Training records for continuous
continuous improvement measures and improvement methodologies
methodologies? (4.1.1.3) Examples of use of DOE, SPC, value
analysis, benchmarking, etc.
FMEA RPN reduction
Quality Indices, e.g. Cpk showing
improvement over 1.33 overtime
1.11 Has the responsibility, authority, Responsibilities and authority as defined in
interrelationship of personnel who manage, job descriptions, responsibilities matrices,
perform, and verify work affecting quality been procedures, accountabilities documents
defined and documented? (4.1.2.1)
1.12 Is authority delegated to personnel who Responsibilities and authority as defined
have the organizational freedom to: in job descriptions, responsibilities
a) Initiate action to prevent nonconformity