Delta Checklist for ISO 9001:2015 Audit

Delta Checklist ISO 9001:2015
Client Standard(s) SNI Certification Number(s) Audit Type

SMK Islam Nusantara  ISO 9001:2015; 824 100 10018824 100 1st Follow Up AuditCA Formatted: Superscript
ComaSMK Negeri 4 Kendal  13048CN auType
l clientName ……………………..standar
d
Date Location(s) / Production facility (ies) Auditor page/of Formatted Table
2016.11.10
auDaNovember PemalanKendal, Jawa Tengah g auLeaderTE 1 of 11
2017te
Requirement Notes / Documents Evalu
ation
auD at e
Remarks for using this checklist:

- This checklist is created to check the essential additional requirements of ISO 9001:2015 in relation
to ISO 9001:2008. It don’t mention the substantially unchanged requirements. Therefore it is
applicable in case of already certified companies with conformity to ISO 9001:2008.
- The reference to chapter / subchapter of the standard should make it easy to have a quick link to the
complete text of the requirement.
- Requirements concerning documented information are listed at the end of the checklist. There are all
chapters listed, where “documented information” are required explicit.
- The left column “Requirement” should not be used for input by the user.
- The column “Notes / Documents” can be used by the organization for preparation as well as by the
auditor during the audit. It is indended for documentation of the check and has to document
evidences for conformity / nonconformity of the respective requirement.
* Evaluation: 1 = conform; 2 = conform opportunities for improvement; 3 = not conform/nonconformity

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Chapter 4: BAB 4: Konteks organisasi Formatted: Indonesian
Context of the organization

4.1 Understanding the organization and its Memahami Organisasi Sekolah dan 2
context Konteksnya
The organization shall determine:: MM -4.1 rev 0
- external issues ISU ORGANISASI DAN KONTEKSNYA Formatted: Normal,Standard PRC De, None
- internal issues,
pemantauan terhadap internal dan eksternal issue
that are relevant to its purpose and ist strategic
perlu untuk dikembangkan kembali menggunakan
direction and that affect its ability to achieve the
teori PESTLE
intended result(s) of its quality management
system.
The organization shall monitor and review the

information about these external and internal
issues..
4.2 Understanding the needs and Pemenuhan Kebutuhan Dan Harapan Dari Pihak- 1 Formatted: Font: (Default) Arial Narrow, 12 pt
expectations of interested parties Pihak Berkepentingan (Interested Parties)MM -4.2 Formatted: German (Germany)
rev 0 Formatted: Font: 11 pt, English (United States)
Widening the view from „client“ to „interested KEBUTUHAN DAN EKSPEKTASI PIHAK
parties“ Formatted: Font: 11 pt, German (Germany)
YANG BERKEPENTINGAN
The organization shall determine:
a) the interested parties that are relevant to
the quality management system;
b) the requirements of these interested parties,
which are relevant to the QM-System
The organization shall monitor and review the

information about these interested parties and their
relevant requirements.
4.3 Determining the scope of the quality Ruang Lingkup Sistem Manajemen Mutu 1
management system MM -4.3 Formatted: Font: Bold
RUANG LINGKUP PENERAPAN SMM Formatted: Normal,Standard PRC De, None
The scope must be:
• determined and maintained Formatted: German (Germany)
• documented
Clarificaton of the basic ideas for “exclusions”:

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If a requirement of this internatinalen standard
within the agreed range of application can be
applied, than it must be applied by the organization.
If a requirement of this international standard

cannot be applied, this fact may not the ability or
the responsibility of the organisation affect to
guarantee the conformance of products and
services.
4.4 Quality management system and its Sistem Manajemen Mutu dan Proses- 1 Formatted: Font: (Default) Arial Narrow, 12 pt
processes Prosesnya Formatted: List Paragraph, Outline numbered + Level: 2 +
Additonal requirements concerning process Numbering Style: 1, 2, 3, … + Start at: 1 + Alignment: Left +
approach. MM -4.4.1
Aligned at: 0" + Indent at: 0.58"
- Demand to determine the processes inclusive PROSES BISNIS
Formatted: Indent: Left: 0", Hanging: 0.2", No bullets or
Input and Output numbering
- Demand to determine the responsibilities MM -4.4.2
and authorities of these processes (process DAFTAR PROSES / KEGIATAN SMM DAN Formatted: Indent: Left: 0", Hanging: 0.2", No bullets or
responsible person) PENANGGUNGJAWAB (availabe) numbering
- Demand to determine risks Formatted: German (Germany)
- Demand to improve the processesdetermine Formatted: Heading 1,CaptionXL, Indent: Left: 0",
to improve the chances Hanging: 0.2"
Chapter 5: Leadership BAB 5

KEPEMIMPINAN ORGANISASI SEKOLAH
5. Leadership Kepemimpinan dan Komitmen Kepala 1

Additional requirements regarding customer focus Sekolah
Formatted: List Paragraph
In addition to the existing requirement to

communicate the relevance of customer, statutory MM.5.1
and regulatory requirements, it must be ensured, Komitment Manajement (available)
that
- applicable statutory and regulatory
requirements are determined
- risks that can affect the conformity of
products and services, and the ability to
enhance customer satisfaction, are
determined and addressed
- focus on enhancing customer satisfaction
is maintained
Additional requirements regarding quality policy MM -5.2 1

Kebijakan Mutu (available) Formatted: Font: 10 pt
The quality policy must now also
- appropriate to the purpose and context of
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the organization
- supports the strategic direction of the
organization
- be understood and applied
- be available to relevant interested parties
Chapter 6: Planning BAB 6

PERENCANAAN DALAM ORGANISASI
SEKOLAH
Actions to address risks Tidak semua proses serta tidak tersedianya 3 Formatted: German (Germany)
treatment dari risiko yang ditetapkan
NOTE: Requirements were partially included, in a Formatted: German (Germany)
weaker form, in ISO 9001:2008, Chapter 8.5.3 –
Preventative measures
Risks to be addressed shouldshall be determined Identifikasi Resiko 2
to Identifikasi peluang
- ensure that the quality management system idem
can achieve its intended results Formatted: Font: Not Bold, English (United States)
- enhance desirable effects
- prevent or reduce undesired effects Formatted: English (United States)
- achieve continual improvement
Planning is required with regard to Dalam merencanakan sitem manajemen mutu, 2

- which actions will address these risks and sekolah harus mempertimbangkan isu-isu idem
opportunities
- how these actions will be integrated into
QM system processes
- how the effectiveness of these actions will
be evaluated
Quality objectives must be defined more precisely idem 2
When planning the actions to achieve these

objectives the organization shall determine:

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- what will be done
- which resources are required
- who is responsible
- when an action is completed
- how the results will be evaluated
Changes must be made in a planned and idem 2

systematic manner
The organisation must take into account:

- the objective of the change
- potential consequences of the change
(risks)
- the integrity of the QM system
- the availability of resources
- the allocation of responsibilities and
authority
Chapter 7: Support BAB 7

DAYA DUKUNG LAYANAN PENDIDIKAN
Related to the knowledge necessary for the Sumber Daya 2 Formatted: Font: Not Bold
operation of its processes and to achieve Kompetensi
conformity of products and services the Kompetensi
organization shall the knowledge
Kesadaran
- determine
Komunikasi
- make available to the extend necessary
Informasi Terdokumentasi
MM 7.1
When addressing changing needs and trends, the
organization shall Penyediaan sumber daya
- consider its current knowledge
- determine how to acquire or access the
necessary additional knowledge.
The organization must determine relevant internal MM – 7.4 1
and external communications Komunikasi Internal
.
Formatted: English (United States)
The organisation must determine:
- what is communicated

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- when it is communicated
- to whom it is communicated
- how it is communicated
- who communicated
Chapter 8: Operation BAB 8

PROSES LAYANAN PENDIDIKAN
Check whether the organisation has to carry out Perencanaan dan Pengendalian Layanan 2
development of products and services. Pendidikan
(Chapter 8.3) Persyaratan Layanan pendidikan
Desain dan Pengembangan Proses
The Organization must a development process: Layanan Pendidikan
- establishimplement Pengendalian proses layanan pendidikan
- implementcarry out yang diserahkan pihak eksternal
- maintain Realisasi Proses Layanan Pendidikan
which is appropriate to ensure the subsequent Pelepasan Produk dan Jasa Layanan
provision likely to guarantee the supply of products
and services
Pendidikan.
MM -8.5
********************************************************* REALISASI KEGIATAN BELAJAR
Where requirements regarding products and MENGAJAR
services are not defined by the customer or other
interested parties in a manner suitable for
subsequent production or the provision of services,
the organisation must establish a development
process. (ISO / DIS 9001:2014 Chapter 8.3.1)
*********************************************************
Controls of externally provided products and MM -8.1.1 1

services (8.4) PERENCANAAN REALISASI PRODUK Formatted: Indent: Left: 0", Hanging: 0.2", No bullets or
numbering
The organization must have criteria for the
evaluation, selection, monitoring of performance
and re-evaluation of external providers. (Chapter
8.4.1)
NOTE: Equal treatment of “externally provided

goods” and “externally provided services”. (Chapter
8.4)

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Chapter 9: BAB 9 Formatted Table

EVALUASI KINERJA
Performance evaluation
Clarification of the requirements for analysis and Pemantauan, Pengukuran, Analisa dan 2 Formatted: Font: (Default) Arial Narrow, 12 pt
evalutation (Chap. 9.1.3) Evaluasi Formatted: List Paragraph, Outline numbered + Level: 2 +
Audit Internal Numbering Style: 1, 2, 3, … + Start at: 1 + Alignment: Left +
The organization schall analyse and evaluate Tinjauan Manajemen
appropriate data and information. Formatted: Font: Not Bold
MM -9.1.3
Formatted: Font: (Default) Arial Narrow, 12 pt
Analisis Data
The results of analysis shall be used to evaluate: Formatted: Font: Not Bold
- conformity of products and services agenda RTM tidak mencakup semua Formatted: Font: (Default) Arial Narrow, 12 pt
- improve the customer satisfaction persyaratan input yang dipersyaratkan untuk Formatted: Font: 11 pt
- the performance and effectiveness of the
dibahas
quality management system
- if planning has been implemented
effectively
- process performance
- the performance of external providers
- the need and opportunity for improvements
Additional issues to be taken into consideration in

the management review (Chapter 9.3)
The management review shall be planned and

carried out considering
- information regarding quality performance

including trends and indicators relating to:
 the results of monitoring and
measurement
 issues concerning external
providers and other relevant
interested parties
 the adequacy of resources for the
maintenance of an effective quality
management system
 the effectiveness of activity to
address risks

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Chapter 10: BAB 10

PENINGKATAN
Improvement
Continual improvement of the QM system is Umum 2 Formatted: Font: (Default) Arial Narrow, 12 pt
required Ketidaksesuaian dan tindakan Korekti Formatted: List Paragraph, Outline numbered + Level: 2 +
Perbaikan Berkelanjutan. Numbering Style: 1, 2, 3, … + Start at: 1 + Alignment: Left +
Concerning the QM system, the organization shall MM 10.03
improve Formatted: Font: (Default) Arial Narrow, 12 pt
Perbaikan terus menerus
- suitability Formatted: Font: (Default) Arial Narrow, 12 pt
- adequacy Formatted: Justified, Don't add space between paragraphs
- effectiveness of the same style
Documented information:
(Note: All required „documented information“

are listed, not only changes against ISO
9001:2008)
(1) The scope of the quality system (chapter Idem
4.3 - „Determining the scope of the quality
available and be maintained as
documented management system“)
(maintain information)
(2) The organization shall maintain Idem
documented information to the extent
necessary to support the operation of
processes (chapter 4.4.2 a –„ Quality
management system and its processes“)
(3) The organization shall retain documented Idem
information to the extent necessary to have
confidence that the processes are being
carried out as planned (chapter 4.4.2 b)–„
Quality management system and its
processes“)
(retain information)
(4) Quality policy (chapter 5.2.2 a) – „Quality Idem
policy“)
(5) Quality objectives (chapter. 6.2 – „Quality Idem
objectives and planning to achieve them“)
(6) The organization shall retain appropriate idem
documented information as evidence of
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fitness for purpose of monitoring and
measurement resources (chapter 7.1.5.1 –
„Monitoring and measuring resources“)
(7) Measuring instruments shall be verified or idem
calibrated at specified intervals or prior to
use against measurement standards
traceable to international or national
measurement standards. Where no such
standards exist, the basis used for
calibration or verification shall be retained
as documented information (chapter 7.1.5.2
– „Measurement traceability“)
(8) Evidences of competence of the personell idem
(chapter. 7.2 - „Competence“)
(9) Documented information to the extent idem
necessary to have confidence that the
processes have been carried out as
planned and to demonstrate conformity of
products and services to requirements.
(chapter 8.1- „Operational planning and
control“)
(Maintain and retain information)
(10)Documented information describing the idem
results of the review, including any new or
changed requirements for the products and
services, shall be retained. (chapter 8.2.3.2
- „Review of requirements related to
products and services“)
(11) Information about design and idem
developmend (Chapter 8.3.3 –“Design and
development inputs”)
(12) Information about design and controls Idem
(Chapter 8.3.4 – Design and development
controls”)
(13)The organization shall retain the Idem

documented information resulting from the
design and development process (chapter
8.3.5 - „Design and development outputs“)

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(14)Documented information on design and idem
development changes shall be retained.
(chapter. 8.3.6 - „Design and development
changes”)
(15)The organization shall retain appropriate idem
documented information of the results of
the evaluations, monitoring of the
performance and re-evaluations of the
external providers. (chapter. 8.4 – „Control
of externally provided processes, products
and services“).
(16)Where traceability is a requirement, the idem
organization shall control the unique
identification of the process outputs, and
retain any documented information
necessary to maintain traceability. (chapter.
8.5.2 – „Identification and traceability“)
(17) Information to the customers and external idem
providers in case of their property is lost,
damage or otherwise unsuitable for use
(Chapter 8.5.3 – “Property belonging to
customers or external providers
(18)The organization shall retain documented idem
information describing the results of the
review of changes, the personnel
authorizing the change, and any necessary
actions. (chapter. 8.5.6 - “Control of
changes”)
(19)The information shall include: idem
– evidence of conformity with the
accetance criteriea
– traceability to the person(s) authorizing
rhe relase.(chapter. 8.6 – “Release of
products and services”). (retain
information)
information of actions taken on
nonconforming process outputs, products
and services, including on any concessions
obtained and on the person or authority that
made the decision regarding dealing with

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the nonconformity. (chapter. 8.7.2 -
“Control of nonconforming process outputs,
products and services”)
(21)The organization shall ensure that idem
monitoring and measurement activities are
implemented in accordance with the
determined requirements and shall retain
appropriate documented information as
evidence of the results (chapter. 9.1.1 –
„Monitoring, measurement, analysis and
evaluation“)
information as evidence of the
implementation of the audit programme and
the audit results.(chapter. 9.2.2 - „Internal
audit“)
information as evidence of the results of
management reviews. (chapter 9.3 -
„Management review“)
information as evidence of the nature of the
nonconformities and any subsequent
actions taken. (chapter 10.2.2
„Nonconformity and corrective action“)
information as evidence of the results of
any corrective action (chapter 10.2.2 -
„Nonconformity and corrective action“)

Rev. 201510276

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Delta Checklist ISO 9001:2015

Client Standard(s) SNI Certification Number(s) Audit Type

Remarks for using this checklist:

* Evaluation: 1 = conform; 2 = conform opportunities for improvement; 3 = not conform/nonconformity

Chapter 4: BAB 4: Konteks organisasi Formatted: Indonesian

Context of the organization

The organization shall monitor and review the

The organization shall monitor and review the

Clarificaton of the basic ideas for “exclusions”:

* Evaluation: 1 = conform; 2 = conform opportunities for improvement; 3 = not conform/nonconformity

If a requirement of this international standard

Chapter 5: Leadership BAB 5

5. Leadership Kepemimpinan dan Komitmen Kepala 1

In addition to the existing requirement to

Additional requirements regarding quality policy MM -5.2 1

Chapter 6: Planning BAB 6

Planning is required with regard to Dalam merencanakan sitem manajemen mutu, 2

When planning the actions to achieve these

* Evaluation: 1 = conform; 2 = conform opportunities for improvement; 3 = not conform/nonconformity

Changes must be made in a planned and idem 2

The organisation must take into account:

Chapter 7: Support BAB 7

* Evaluation: 1 = conform; 2 = conform opportunities for improvement; 3 = not conform/nonconformity

Chapter 8: Operation BAB 8

Controls of externally provided products and MM -8.1.1 1

NOTE: Equal treatment of “externally provided

* Evaluation: 1 = conform; 2 = conform opportunities for improvement; 3 = not conform/nonconformity

Chapter 9: BAB 9 Formatted Table

Additional issues to be taken into consideration in

The management review shall be planned and

- information regarding quality performance

* Evaluation: 1 = conform; 2 = conform opportunities for improvement; 3 = not conform/nonconformity

Chapter 10: BAB 10

(Note: All required „documented information“

(13)The organization shall retain the Idem

* Evaluation: 1 = conform; 2 = conform opportunities for improvement; 3 = not conform/nonconformity

* Evaluation: 1 = conform; 2 = conform opportunities for improvement; 3 = not conform/nonconformity

* Evaluation: 1 = conform; 2 = conform opportunities for improvement; 3 = not conform/nonconformity

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