# IATF 16949 Compliance Checklist: Process Audit and Customer Audit Worksheet > Source: https://netray.co/tools/iatf-16949-process-audit-and-customer-audit-checklist-worksheet > Publisher: Netray (netray.co), AI and integration engineering for ERP and manufacturing systems. > Section: Free Tools ## Short answer A process-based IATF 16949 audit worksheet with questions, clause references, evidence prompts and a conformity score. ## Category quality ## Industry Automotive ## Audience - Quality manager - Internal auditor - Supplier quality engineer ## Tool **Kind:** worksheet **Mode:** editable **Columns:** #### Process **Key:** process **Type:** select **Options:** - Management - Contract review - Design and development - Purchasing - Production - Measurement - Nonconformance and CAPA - Customer support #### Clause **Key:** clause **Type:** text #### Audit question **Key:** question **Type:** text #### Evidence seen **Key:** evidence **Type:** text #### Score (0-2) **Key:** score **Type:** number **Help:** 0 = nonconforming, 1 = partial or opportunity, 2 = conforming with evidence #### Finding or note **Key:** finding **Type:** text #### Auditor **Key:** auditor **Type:** text **Rows:** #### Are corporate responsibility policies (anti-bribery, code of conduct, escalation) in place and communicated? **Process:** Management **Clause:** 5.1.1.1 **Evidence:** Policy, escalation records **Score:** 2 **Auditor:** A. Patel #### Does management review cover cost of poor quality, customer scorecards and field returns? **Process:** Management **Clause:** 9.3.2.1 **Evidence:** Review minutes Q3 **Score:** 1 **Finding:** COPQ not trended **Auditor:** A. Patel #### Is feasibility confirmed and recorded before accepting a new part or change? **Process:** Contract review **Clause:** 8.2.3.1 **Evidence:** Feasibility commitment form **Score:** 2 **Auditor:** R. Gomez #### Is product approval (PPAP) completed to the customer level before shipment? **Process:** Design and development **Clause:** 8.3.4.4 **Evidence:** PPAP submission and PSW **Score:** 2 **Auditor:** R. Gomez #### Do suppliers have a QMS development plan and are second-party audits scheduled by risk? **Process:** Purchasing **Clause:** 8.4.2.3 **Evidence:** Supplier audit plan **Score:** 1 **Finding:** Two critical suppliers overdue **Auditor:** K. Lee #### Is the control plan current with FMEA and reaction plans, and followed at the line? **Process:** Production **Clause:** 8.5.1.1 **Evidence:** Control plan rev D, line check **Score:** 2 **Auditor:** K. Lee #### Is total productive maintenance planned with preventive and predictive actions? **Process:** Production **Clause:** 8.5.1.5 **Evidence:** PM schedule **Score:** 1 **Finding:** Predictive criteria missing **Auditor:** K. Lee #### Has measurement system analysis been done for gauges named in the control plan? **Process:** Measurement **Clause:** 7.1.5.1.1 **Evidence:** Gauge R&R reports **Score:** 2 **Auditor:** S. Wong #### Is problem solving done with a structured method and root cause verified? **Process:** Nonconformance and CAPA **Clause:** 10.2.3 **Evidence:** 8D reports sample of 5 **Score:** 1 **Finding:** 2 of 5 lack escaped-defect analysis **Auditor:** S. Wong #### Are customer scorecards, complaints and special status tracked with action plans? **Process:** Customer support **Clause:** 9.1.2.1 **Evidence:** Scorecard log **Score:** 2 **Auditor:** A. Patel **Totals:** #### Total score **Key:** score **Agg:** sum **Format:** integer #### Average score **Key:** score **Agg:** avg **Format:** decimal **Summary:** #### Conformity **Key:** conformity **Expr:** avg_score / 2 * 100 **Format:** percent **Primary:** true #### Questions audited **Key:** questions **Expr:** count **Format:** integer **Notes:** Clause numbers follow the IATF 16949:2016 structure. Questions are paraphrased, not quoted. Add rows from your audit program and from customer-specific requirements, which vary by OEM. ## Content **Intro:** This IATF 16949 compliance checklist is organized by process, not by clause, which is how certification and customer auditors actually audit. Each row has a clause reference, an audit question, evidence and a score. Edit it, export to Excel and use it as your internal audit report. **Sections:** #### How to use the process audit checklist **Body:** IATF 16949 requires a process approach, with audits that cover the quality management system, manufacturing processes and products. Pick a process, select the rows that belong to it, interview the process owner and sample records. Score each question 0, 1 or 2 and write the finding. The conformity percentage gives you a trend between audits. Keep the notes factual: what you asked, what you saw, and what clause it relates to. **Bullets:** - Audit all shifts and all manufacturing processes within the audit cycle - Include customer-specific requirements as extra rows - Raise a nonconformity for 0 scores and track it as CAPA #### Preparing for a customer audit **Body:** OEM customers audit against IATF 16949 plus their customer-specific requirements, often with a process audit following the CQI style approach and a check on special status. Run this worksheet before the visit, focusing on product safety, control plans, error proofing, supplier management and containment of nonconformities. The most common finding in customer audits is a control plan that does not match what operators actually do. #### Writing the internal audit report **Body:** Export the worksheet and add a cover page: scope, dates, auditors, criteria and a summary of nonconformities and opportunities. For each nonconformity record the requirement, the objective evidence and the process. Internal auditors need to be qualified under clause 7.2.3, and the audit program should be risk based, considering internal and external performance trends. #### Common mistakes **Body:** Auditing from procedures instead of the floor, checking only documents, scoring a question conforming because the form exists even though it is incomplete, and failing to follow up actions to effectiveness. Treat the checklist as a start and let evidence lead you into follow-up questions. **Cta:** Netray can connect audit evidence such as nonconformance, SPC and supplier data from your ERP to a private AI assistant that answers auditor questions on-prem. **Faq:** #### What does IATF 16949 require for internal audits? **Answer:** A risk based audit program covering the QMS, every manufacturing process and the product, using qualified auditors, with findings followed to effective closure. Audits include all shifts, with frequency based on performance and risk. #### Is IATF 16949 a standalone standard? **Answer:** It is applied together with ISO 9001:2015 and customer-specific requirements. Certification bodies audit against both, so your checklist should include the OEM requirements that apply to you. #### What is a process audit checklist? **Answer:** A set of questions organized around a process such as production or purchasing, covering inputs, controls, outputs and performance, rather than a list of clauses. It reflects how auditors actually follow a process end to end. #### How should I score the checklist? **Answer:** Use 0 for nonconforming, 1 for partially conforming or an improvement opportunity, and 2 for conforming with evidence. Track the average over time, but always manage individual nonconformities with corrective actions. ## Search terms iatf 16949 compliance checklist, iatf 16949 process checklist, iatf 16949 requirements checklist, iatf 16949 customer audit checklist, iatf 16949 internal audit report, process audit checklist automotive, iatf 16949 audit worksheet excel --- Talk to an engineer: https://netray.co/contact?intent=erp_ai | Machine catalog: https://netray.co/agent/catalog.json