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
organization’s 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
Are there any requirements
of ISO 9001:2015 that the
organization is considering
not applicable?
Instructions Evidence to support Conformance
Referance & Attached documents & or Records
If “Yes”, please list all non-applicable
requirements and justifications of why they
do not affect your organization’s ability or
responsibility to ensure the conformity of
your products and services and the
enhancement of customer satisfaction (ref.
ISO 9001:2015, 4.3)

If “No”, mark response column as “N/A”

and proceed to next question
Is the organization still If “Yes”, mark response column as “N/A”
maintaining a documented
Quality Manual? and proceed to next question

If “No”, please detail how your organization

Is the organization still
maintaining Documented
Procedures?
has determined the processes needed, and
their interactions in accordance with ISO
9001:2015 (ref.
ISO 9001:2015, 4.4.1)
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 If “Yes”, please detail how top management
with regard to the demonstrates leadership and commitment
appointment of a with respect to the quality management
Management system (ref. ISO 9001:2015, 5.1.1)
Representative?

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 Evidence to support Conformance
Referance & Attached documents & or Records
Business planning Plan 4.1 Has the organization identified both internal
and strategic 4.2 and external issues and interested parties that
direction 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/
Management Review processes?
Check 4.1 Is the quality system being assessed and
4.2 reviewed in accordance with the strategic
5.1.1 direction?
9.3.2
Act 10.3 Is the quality system being updated as
necessary in response to changes in any of
the above?
Process Risk Plan 4.4.1 When establishing the QMS and planning for
6.1 change, have risks to achieving process
6.2 objectives been identified?
6.3
8.5.6
Do 8.1 Have the identified process risks been
addressed?
Check 6.1.2 Is the organization analysing the effectiveness
9.1.3 of actions taken to address process risks?
9.3.2
Act 10.2.1 Following analysis and corrective action is
10.3 there evidence that process risks have been
updated?
Product and Plan 5.1.2 Have risks to achieving product or service
Service risk 6.1 conformity been:
6.2
8.1 • considered as part of the planning for
8.2.2 operational control?
8.2.3 • considered when determining and reviewing
8.3.2 customer requirements?
• identified and has product complexity been
considered during design planning?
Do 8.1 Have design and operational controls to
8.2.3.1 address the identified product and service risks
8.3.3 been implemented?
Check 9.1.3 Is the organization analyzing the effectiveness
9.3.2 of actions taken to address product risks?
Act 10.1 Has the organization determined and selected
opportunities for improvement on product and
service?
Risk associated Plan 6.1 Have risks associated with externally provided
with the control product, process (i.e. formerly named
of externally outsourced) or service been identified?
provided product
and service Do 8.4.1 Are the identified risks utilized as an input into the:
8.4.2
• 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 Has the organization applied criteria for the
9.3.2 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 client’s 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 Are there any deficiencies Senior Management Management System
ISO 9001:2015 Clauses detected requiring additional committed development
been considered. time on site

CHOOSE OPTION CHOOSE OPTION CHOOSE OPTION CHOOSE OPTION

Auditor Signoff

Auditor Signature Date Comments

Position
Lead Auditor
[Date] select certification recommendation
Select Name

Reviewer Signoff
Recommendation to Upgrade to:

[Select Standard]

is CHOOSE OPTION

Approver Signature Date Comments

Position
Select Position
[Date] Process as per Certification Approval CA P 40
Select Name
General Manager Checklist and supplied records and Associated
[Date]
James Alister 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 Details
Reference
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.