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ISO 9001:2015

CLIENT TRANSITION CHECKLIST


Instructions for Client: Please complete the checklist below and one full internal audit against the ISO 9001:2015 requirements prior to
your organizations audit. Once the form is completed, forward it to your Auditor and admin@cacs.net.au prior to the assessment. Please
ensure that the completed checklist and internal audit records are available to your auditor prior to commencement of your assessment.
If you are not able to complete this document, it is a strong indicator that your organization may not be ready to transition to ISO 9001:2015.
In this case, please inform both your auditor and CACS admin that you need additional time and resources to prepare for the
transition and they will work with you. It may be of benefit to select a mutually agreeable date for a CACS auditor to conduct a gap
analysis and complete the transition checklist for you on site at a greatly reduced daily rate of $700.
New Concepts & Themes: Please complete the tables below which highlight some of the new concepts and themes present in ISO
9001:2015. These concepts will bridge multiple processes, clauses and functional areas. Ensure that these new concepts have been
deployed in a manner that supports the process approach and risk based thinking.
IMPORTANT NOTE!
Please attach and submit (together with this completed checklist) all relevant documentation and or
records to support any conformity claims including reference where applicable.

1:

Significant New Requirements Checklist:

New Concepts

Instructions

Are there any requirements


of ISO 9001:2015 that the
organization is considering
not applicable?

If Yes, please list all non-applicable


requirements and justifications of why they
do not affect your organizations ability or
responsibility to ensure the conformity of
your products and services and the
enhancement of customer satisfaction (ref.
ISO 9001:2015, 4.3)

Evidence to support Conformance


Referance & Attached documents & or Records

If No, mark response column as N/A


and proceed to next question
Is the organization still
maintaining a documented
Quality Manual?

If Yes, mark response column as N/A


and proceed to next question
If No, please detail how your organization
has determined the processes needed, and
their interactions in accordance with ISO
9001:2015 (ref.
ISO 9001:2015, 4.4.1)

Is the organization still


maintaining Documented
Procedures?

If Yes, mark response column as N/A


and proceed to next question
If No, please describe on what basis your
organization has determined that
documented information (i.e. procedures)
are not necessary for the effectiveness of
the quality management system (ref. ISO
9001:2015, 7.5.1)

Has the approach changed


with regard to the
appointment of a
Management
Representative?

If Yes, please detail how top management


demonstrates leadership and commitment
with respect to the quality management
system (ref. ISO 9001:2015, 5.1.1)
If No, mark response column as N/A
and proceed to next question

Page 1 of 4
Effective 24-01-2016 Rev A C 01 - Approved by Managing Director
Control of this document is done electronically via head office and is the responsibility of the Managing Director and when printed is to be treated as uncontrolled.

ISO 9001:2015
CLIENT TRANSITION CHECKLIST
2:

Significant Clause Requirements Change Checklist:

New Themes

Phases

Clauses

Activity

Business planning
and strategic
direction

Plan

4.1
4.2

Has the organization identified both internal


and external issues and interested parties that
are relevant to and/or support the strategic
direction of the organization?

Do

5.2.1

Is the strategic direction being utilized as an


input to the Quality Policy/Quality
Objectives/Risk Management/

Check

4.1
4.2
5.1.1
9.3.2
10.3

Is the quality system being assessed and


reviewed in accordance with the strategic
direction?

4.4.1
6.1
6.2
6.3
8.5.6
8.1

When establishing the QMS and planning for


change, have risks to achieving process
objectives been identified?

6.1.2
9.1.3
9.3.2
10.2.1
10.3

Is the organization analysing the effectiveness


of actions taken to address process risks?

5.1.2
6.1
6.2
8.1
8.2.2
8.2.3
8.3.2

Have risks to achieving product or service


conformity been:

Evidence to support Conformance


Referance & Attached documents & or Records

Management Review processes?

Act

Process Risk

Plan

Do
Check
Act

Product and
Service risk

Plan

Is the quality system being updated as


necessary in response to changes in any of
the above?

Have the identified process risks been


addressed?

Following analysis and corrective action is


there evidence that process risks have been
updated?

considered as part of the planning for


operational control?
considered when determining and reviewing
customer requirements?
identified and has product complexity been
considered during design planning?

Risk associated
with the control
of externally
provided product
and service

Do

8.1
8.2.3.1
8.3.3

Have design and operational controls to


address the identified product and service risks
been implemented?

Check

9.1.3
9.3.2

Is the organization analyzing the effectiveness


of actions taken to address product risks?

Act

10.1

Has the organization determined and selected


opportunities for improvement on product and
service?

Plan

6.1

Have risks associated with externally provided


product, process (i.e. formerly named
outsourced) or service been identified?

Do

8.4.1
8.4.2

Are the identified risks utilized as an input into


the:

potential impact of externally


provided product, process or service

type and extent of controls

selection and evaluation of external


providers

degree of information provided to


these resources?

Check

8.4.1
9.3.2

Has the organization applied criteria for the


evaluation, selection, monitoring of
performance and re-evaluation of external
providers?

Act

9.3.3

Has the organization modified the controls


applied to external providers based upon the
results of evaluation?

Page 2 of 4
Effective 24-01-2016 Rev A C 01 - Approved by Managing Director
Control of this document is done electronically via head office and is the responsibility of the Managing Director and when printed is to be treated as uncontrolled.

ISO 9001:2015
CLIENT TRANSITION CHECKLIST

3:

Minimum Documentation Requirements Checklist: ISO 9001:2015 enhanced emphasis:

Please complete the table below to demonstrate that each of the following requirements have been addressed within
the quality management system.
ISO 9001:2008
ISO 9001:2015
Evidence to support Conformance
Reference & Attached documents & or Records
ISO 9001:2008, 5.1

5.1 Leadership and commitment.

ISO 9001:2008, 5.4.2

6.3 Planning of changes.

ISO 9001:2008, 7.6

7.1.5 Monitoring and measuring resources.

ISO 9001:2008, 6.2.2

7.3 Awareness.

ISO 9001:2008, 5.5.3

7.4 Communication.

ISO 9001:2008, 7.2

8.2 Determination require for products & services.

ISO 9001:2008, 7.3

8.3 Design & development of products & services.

ISO 9001:2008, 7.5.1

8.5.5 Control of production & service Provision.

ISO 9001:2008, 5.4.2

8.5.6 Control of changes.

ISO 9001:2008, 8.2.4

8.6 Release of products and services.

ISO 9001:2008, 8.3

8.7 Control of nonconforming process outputs.

ISO 9001:2008, 5.6

9.3 Management review.

ISO 9001:2008, 8.5.2

10.2 Nonconformity and corrective action.

Organisation Name

Completed by

Contact details

Date

Additional Client comments:

Page 3 of 4
Effective 24-01-2016 Rev A C 01 - Approved by Managing Director
Control of this document is done electronically via head office and is the responsibility of the Managing Director and when printed is to be treated as uncontrolled.

ISO 9001:2015
CLIENT TRANSITION CHECKLIST
OFFICE USE ONLY

This self-assessment checklist must be reviewed by a competent CACS assessor prior to attending
site to conduct a certification upgrade assessment. This review must be done in combination with the
review of the clients internal audit completed against the requirements of ISO 9001:2015.
If
deficiencies are detected these must be validated on site before a certification upgrade is made.
Both this self-assessment checklist and internal audit is to be utilised during the any upgrade
assessments.
Auditor/Team Evaluation Summary
Have all appropriate
ISO 9001:2015 Clauses
been considered.

Are there any deficiencies


detected requiring additional
time on site

Senior Management
committed

Management System
development

CHOOSE OPTION

CHOOSE OPTION

CHOOSE OPTION

CHOOSE OPTION

Auditor Signoff
Auditor
Position

Signature

Date

Lead Auditor
Select Name

Comments
select certification recommendation

Reviewer Signoff
Recommendation to Upgrade to:
[Select Standard]
is CHOOSE OPTION

Approver
Position

Signature

Date

Comments

Select Position
Select Name

Process as per Certification Approval CA P 40

General Manager
James Alister

Checklist and supplied records and Associated


Documentation Complies with CACS Req.

Deficiencies Detected for review during the on-site upgrade assessment.


Important Note!
Areas of Concern as detailed below are to be validated on site before an upgrade recommendation is made.
Standard
Reference

Details

Quality 2015
Quality 2015
Quality 2015
Quality 2015

Additional Auditor Comments:

Page 4 of 4
Effective 24-01-2016 Rev A C 01 - Approved by Managing Director
Control of this document is done electronically via head office and is the responsibility of the Managing Director and when printed is to be treated as uncontrolled.

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