TOP MANAGEMENT AUDIT EXERCISE
One of the major differences between QS-9000:1998 and ISO/TS 16949:2002 is the
significantly expanded role of Top Management associated with the design, implementation,
managing, reviewing and continually improving the Quality Management System (QMS) and its
processes. During the ISO/TS 16949:2002 readiness review, registration audit and surveillance
audits, the auditors are expected to spend a considerable amount of time with representatives
of Top Management to verify how well the requirements in Section 5 Management
Responsibility are understood, implemented and complied with. The purpose of this exercise is
to help you prepare for this intensive and in-depth audit. Please be aware that the same audit
question may be asked of other Managers. Auditors want to verify that Managers understand
their roles and responsibilities, speak with “one consistent voice” and that the quality message is
consistent at all times, under all circumstances. These audit questions are not all-inclusive.
The number and type of audit questions may differ depending on the audit plan and auditor.
However, the questions are very typical for a Top Management (process) audit.
Please answer the audit questions below. Write your personal responses in the spaces
provided. You will have an opportunity to compare and discuss answers with the members in
your group.
Thank you for your support and participation.
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1. Can you give me examples of how you demonstrate your personal commitment to
the development, implementation and continual improvement of your Quality
Management System?
2. How do you communicate to your employees the importance of meeting customer
requirements? How do you verify that your message is understood?
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3. What are the overall quality objectives and associated measurements for your
quality management system?
4. What are the quality objectives and associated measurements for product realization
processes?
5. What manufacturing processes have you reviewed recently (during management
review) to assure their effectiveness? What were the results?
Notes: _____________________________________________________________
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6. What is the process for determining customer requirements? How do you ensure
that this process is effective?
7. How often are quality objectives and measurements reviewed? Can you give me an
example of an objective that was changed and why?
8. How do you ensure that responsibilities and authorities are defined and
communicated within your company?
Notes: _____________________________________________________________
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9. Who is your Management Representative? What do you expect from this person?
10. Can you explain the communication processes at your company? How do you
communicate the effectiveness of the QMS? How do you know that this
communication is effective?
11. How often are Management Reviews held? How was this frequency (interval) been
determined? Is this frequency sufficient to ensure continuing suitability, adequacy
and effectiveness of your QMS?
Notes: _____________________________________________________________
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12. Can you give me an example of a continual improvement project that was initiated
as a result of Management Review? What is its status?
13. What are the contents of the management review agenda? How are the topics to
be discussed selected? Who is responsible for this?
14. Can you give me examples of (management review) decisions and actions related
the improvement of product related to customer requirements?
Notes: _____________________________________________________________
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