Iso IATF 16949 Upgrade Planner and Delta Checklist

Printed: March 11, 2017
Only those documents viewed through the AESOP system are officially controlled. All other copies, whether viewed through another computer program or a printed
version, are not controlled and therefore NSF-ISR assumes no responsibility for accuracy of the document.
AESOP 16912; ISSUE 1; STATUS-PUBLISHED; EFFECTIVE 15 NOV 2016; AUTHORITY CARL BLAZIK
This is a confidential document and may be reproduced only with the permission of NSF-ISR. Page 1 of 14
IATF 16949 Automotive Quality Management System registration provides a set of uniform requirements for an automotive
suppliers quality management system. A number of quality management principles including a strong customer focus, support
of top management, the process approach and continual improvement form the basis for the standard.
Changes to the Standard
IATF 16949 1st edition was published on October 1, 2016 (available from AIAG) and includes the requirement to meet all
applicable requirements within ISO 9001:2015. ISO 9001:2015 was published on September 23, 2015, and can be purchased
through the NSF Bookstore.
These revised standards respond to the latest market developments, and are more compatible with other management systems,
such as ISO 14001, thanks to an updated, higher-level structure. The new standard is less prescriptive than the previous version;
instead focusing on performance through a combination of risk-based thinking and a process approach, as well as employment of
the Plan-Do-Check-Act cycle at all levels in the organization.
Other updates include:

Increased importance has been given to risk Incorporation of common customer specific
requirements
Greater significance of communication and awareness More emphasis has been placed on leadership and Top
Management direction
These updates, along with changes to other management system standards, include implementing similar terminology across all
standards and matching sub-clauses to the top-level structure, ensuring fully integrated systems.
IATF 16949 Transition
NSF-ISR will be working with each of you (our clients) to provide a smooth transition to the new standard. We are committed to
ensuring that your organization understands the updated requirements and what steps your organization may need to take to
achieve conformance. We have a number of resources available to help you through the transition:
NSF-ISR Standards Updates Webpage - keep up on the latest information regarding the standard and the transition process
ISO 9001:2015 and IATF 16949 Transition Webinars
NSF-ISR Guide to the IATF 16949:2016 Transition
ISO/TS 16949:2009 will not be valid after September 14, 2018. NSF-ISR is planning to be ready to conduct transition audits to
IATF 16949 as early as March 2017 (or sooner?) as clients become ready. After October 1, 2017, no audits, including initial,
surveillance, recertification or transfer, will be conducted to the current ISO/TS 16949:2009. All transition audits will be
conducted as recertification audits, new certificates & new 3-year cycle will begin.
IATF 16949 Upgrade Planner and Delta Checklist

Instructions:
1. Highlighted areas are to be completed by the Client Organization prior to the off-site Document review and on-site Transition Audit, and submitted to the NSF-ISR Lead Auditor for review.
2. The Annex A - ISO 9001: 2015 vs. ISO 9001: 2008 Comparison Table has been provided at the end of this document for information and reference purposes only.
3. Completion by the Client Organization should include the final statement of readiness for Upgrade by the Top Management of the Client Organization.
4. The columns for Planned Completion Date and Responsibility may be used by the Client Organization to develop their plan for upgrading their QMS to the requirements of IATF 16949.
5. All other areas of the Checklist are required to be completed by the NSF-ISR Lead Auditor to confirm the effective implementation of the Client Organizations IATF 16949 Automotive Quality
Management System.
6. The Lead Auditor shall sign the appropriate sections at the end of the Checklist to indicate: whether the Client Organization is Ready/Not Ready for Transition Audit (Off-site review), AND the
final approval of the QMS in meeting the requirements of IATF 16949: 2016 (during the on-site Upgrade Audit)
7. This checklist shall be submitted by the NSF-ISR Lead Auditor as one of the records of the IATF 16949 Transition for the Client Organization.
Organization Name:
Organization Address:
1st Shift :
Number of Personnel: 2nd Shift :
3rd Shift :
Temp. / Part-time :
Other locations included in this registration:
Management Contact:
Name and Revision Status of QMS
documentation:
FRS Number:
Off-site Review Date (Desk Audit):
Audit Dates (on-site):
Lead Auditor / Audit Team:
Scope of Registration:
IATF 16949: 2016 Product design (8.3) exclusion
justification:
Note: if product design is excluded, please state justification
here.
The interval between the client Delta Review and the Upgrade Audit should not exceed 90 days.
NOTE: Please ensure that your Organizations registered ISO/TS 16949:2009 QMS remains compliant with that version of the Standard until the
Transition to IATF 16949: 2016 is complete and verified by the NSF-ISR Lead Auditor.
Level of QMS Reference Document
Completion Process Planned
(Name / Rev. Level)
Question / Requirement 0=Not Started Related to Completion Responsibility
OR
NSF-ISR Lead Auditor Review Comments
5=Completed & Requirement Date
Implemented (Process Name)
Records
Evidence of determination of
Understanding the Organization
and its Context (4.1)
Evidence of determination of
Interested Parties and their
requirements (4.2)
Evidence that scope of the QMS
includes applicable remote support
functions and customer specific
requirements. Also, if product
design is excluded, has justification
been documented in QMS? (4.3)
QMS Documentation (7.5.1): ALL
Examples:
- Process map (or equivalent)
- Process descriptions & interactions
- Quality Policy
- Quality Objectives
- Planning of changes
- Other Documentation (as
appropriate)
Includes 4.4, 5.2.1, 6.2 and 6.3
Product Safety (4.4.1.2): Evidence
that a documented process is
implemented related to the
management of product-safety
related products and manufacturing
processes. Note - cannot be NA.
Evidence of Leadership and
Commitment (5.1)
Evidence of Corporate
responsibility policies, defined and
implemented. (5.1.1.1)
Evidence that Process Owners are
identified for all QMS processes
including support processes. (5.1.1.3)
Organization Roles,
responsibilities and authorities
(5.3.1) are assigned and
documented.

(Name / Rev. Level)
OR
Records
Evidence of Risk-Based Thinking
and evidence of Actions to Address
Risks and Opportunities (6.1). Risk
analysis to include appropriate inputs
and is documented. (6.1.2.1)
Evidence that a Preventive action
process exists which lessens the
impact of negative effects of risk.
(6.1.2.2)
Evidence that expanded Contingency
planning has occurred (6.1.2.3)
Evidence that expanded Plant, facility
and equipment planning has
occurred including risk analysis and
manufacturing feasibility including
capacity planning (7.1.3.1)
Evidence that expanded expectations
regarding Calibration/ verification
records have been met. (7.1.5.2.1)
Evidence of Organizational
Knowledge (7.1.6) management.
Evidence that Internal Auditors
competency requirements are
captured within the QMS and
implemented. (7.2.3)
Evidence that Second party Auditor
competency requirements are
satisfied. (7.2.4)
Evidence that documentation is
available related to Employee
awareness , Motivation and
empowerment (7.3.1 & 7.3.2)
Evidence that a document was created
to cross reference coverage of
applicable customer specific
requirements within QMS. (7.5.1.1d)
Evidence that expanded
manufacturing feasibility analysis
requirements are being met.
(8.2.3.1.3)
The design and development
process (applies to product and
manufacturing process design) shall
be documented. (8.3.1.1)

(Name / Rev. Level)
OR
Records
Evidence that the expanded criteria for
design and development planning
has been incorporated within the
organizations approach (8.3.2.1)
Evidence that the organization utilizes
an appropriate process for quality
assurance related to products with
internally developed embedded
software. (8.3.2.3)
product design inputs has been
incorporated within the organizations
approach (8.3.3.1)
manufacturing process design
inputs has been incorporated within
the organizations approach (8.3.3.2)
Evidence that the process for
managing special characteristics has
been documented and implemented.
(8.3.3.3)
design and development outputs
organizations approach (8.3.5.1)
manufacturing process design
outputs has been incorporated within
the organizations approach (8.3.5.2)
managing design and development
changes has been incorporated within
the organizations approach (8.3.6)
Evidence that a documented supplier
selection process has been defined
and implemented. (8.4.1.2)
Evidence that a documented process
for outsource process control has
been defined and implemented.
(8.4.2.1) (What are the outsourced
processes and how are they
controlled?)

(Name / Rev. Level)
OR
Records
Evidence that a documented process
for meeting statutory and regulatory
requirements has been defined and
Evidence that the organization requires
suppliers of embedded software to
implement and maintain a process for
software quality assurance for their
products. (8.4.2.3.1)
Evidence that the process for supplier
monitoring has been documented.
(8.4.2.4)
Evidence that the organization utilizes
an appropriate second party audit
approach within its supplier
management process. (8.4.2.4.1)
Evidence that supplier development
activities and expectations are
determined based on performance and
risk. (8.4.2.5)
Is there evidence that key information
is being cascaded down the supply
chain to point of manufacture (8.4.3.1)
control of production and service
provision has been incorporated
within the organizations approach
(8.5.1).
control plans has been incorporated
within the organizations approach
(8.5.1.1)
Evidence that the elevated criteria for
Verification of job set-ups has been
approach (8.5.1.3)
Evidence that the new requirement of
Verification after shutdown has been
Total productive maintenance has
been incorporated within the
organizations approach (8.5.1.5).

(Name / Rev. Level)
OR
Records
Evidence that the Production
scheduling activities include the
added relevant planning information
(8.5.1.7)
Evidence of robust identification and
traceability practices to support
industry requirements. Includes
analysis of requirements and
traceability plans developed based on
risk. (8.5.2.1)
control of changes has been
approach (8.5.6.1)
Evidence of implementation related to
Temporary change of process
controls within the quality
management system (8.5.6.1.1)
Evidence of Statutory and regulatory
conformity for externally provided
processes, products and services in
country of manufacture and destination
(8.6.5).
control of reworked product has
control of repaired product has been
approach (8.7.1.4).
Nonconforming product disposition
Evidence that Customer satisfaction
indicators include a focus on warranty
and periodic monitoring (9.1.2.1)
Evidence that Analysis and
evaluation additional expectations are
being met (9.1.3 & 9.1.3.1)

(Name / Rev. Level)
OR
Records
Evidence that the Internal Audit
Programme follows a risk based
approach for the entire organization
and has been updated to consider new
specific requirements. (9.2.2)
Management review has been
approach (9.3).
Problem solving has been
approach (10.2.3).
Error proofing application and control
organizations approach (10.2.4).
Evidence that the new criteria for
Warranty management systems has
Evidence that the new criteria for
Customer complaints and field
failure analysis (embedded software)
Evidence that Continual
Improvement additional expectations
are being met (10.3.1)

(Name / Rev. Level)
Readiness Evidence 0=Not Started Related to Completion Responsibility
OR
Records
Internal Audit Results (9.2)
(using process-approach)
- Full internal Audit to IATF 16949:
2016
- Inputs, outputs, performance to
targets, process linkages /
interactions.
Internal Audit Corrective Actions
(9.2.2 e)
- (including evidence of closure)
Records of Management Review
(9.3) Completed to IATF 16949:2016
requirements after completion of the
Internal Audit.
Organization confirmation that the
QMS now complies with all
requirements of IATF 16949: 2016.
(E.G. Quality Manual or Documented
Information addresses all clauses of
the Standard).
Other Client Organization-specific
information about the QMS (as
determined by the Client
Organization)
Note: This section is optional, and

may be completed if there are unique
aspects of the QMS that the Client
deems important in demonstrating
compliance to the IATF 16949: 2016
Standard.
Approval Name / Title Signature Date

Client Organization Top Management attests
readiness for Transition to IATF 16949.
NSF-ISR Lead Auditor confirmation of
Readiness (Document review approval).
NSF-ISR Lead Auditor Approval of
Compliance to IATF 16949 at On-site
Transition Audit.
The completed Checklist shall be submitted by the NSF-ISR Lead Auditor as a supplement to the IATF 16949 Transition Audit Report
Only those documents viewed through the AESOP system are officially controlled. All other copies, whether viewed
through another computer program or a printed version, are not controlled and therefore NSF-ISR assumes no
responsibility for accuracy of the document.
Appendix A
ISO 9001: 2015 vs. ISO 9001: 2008 Comparison Table
New or Different in ISO 9001:2015 Covered in ISO 9001:2008
Clause in ISO 9001:2015 Equivalent Clause in ISO 9001:2008

1 Scope
1 Scope
1.1 General
4 Context of the organization 4 Quality management system
4.1 Understanding the organization and its context 4 Quality management system
4.2 Understanding the needs and expectations of
4 Quality management system
interested parties
4.3 Determining the scope of the quality management 1.2 Application
system 4.2.2 Quality manual
4 Quality management system
4.4 Quality management system and its processes
4.1 General requirements
5 Leadership 5 Management responsibility
5.1 Leadership and commitment 5.1 Management commitment
5.1.1 General 5.1 Management commitment
5.1.2 Customer focus 5.2 Customer focus
5.2 Policy 5.3 Quality policy
5.2.1 Developing the Quality Policy 5.3 Quality policy
5.2.2 Communicating the Quality Policy 5.3 Quality policy
5.5.1 Responsibility and authority
5.3 Organizational roles, responsibilities and authorities 5.5.2 Management representative
5.4.2 Quality management system planning
6 Planning 5.4.2 Quality management system planning
5.4.2 Quality management system planning
6.1 Actions to address risks and opportunities
8.5.3 Preventive action
6.2 Quality objectives and planning to achieve them 5.4.1 Quality objectives
6.3 Planning of changes 5.4.2 Quality management system planning
7 Support 6 Resource management
7.1 Resources 6 Resource management
7.1.1 General 6.1 Provision of resources
7.1.2 People 6.1 Provision of resources
7.1.3 Infrastructure 6.3 Infrastructure
7.1.4 Environment for the operation of processes 6.4 Work environment
7.1.5 Monitoring and measuring resources 7.6 Control of monitoring and measuring equipment
7.1.5.1 General 7.6 Control of monitoring and measuring equipment
7.1.5.2 Measurement traceability 7.6 Control of monitoring and measuring equipment
7.1.6 Organizational knowledge No equivalent clause
6.2.1 General
7.2 Competence
6.2.2 Competence, training and awareness
7.3 Awareness 6.2.2 Competence, training and awareness
7.4 Communication 5.5.3 Internal communication
7.5 Documented information 4.2 Documentation requirements
7.5.1 General 4.2.1 General
7.5.2 Creating and updating 4.2.3 Control of documents
4.2.4 Control of records

4.2.3 Control of documents
7.5.3 Control of documented Information
4.2.4 Control of records
8 Operation 7 Product realization
8.1 Operational planning and control 7.1 Planning of product realization
8.2 Requirements for products and services 7.2 Customer-related processes
8.2.1 Customer communication 7.2.3 Customer communication
8.2.2 Determination of requirements related to products 7.2.1 Determination of requirements related to the
and services product
8.2.3 Review of requirements related to products and
7.2.2 Review of requirements related to the product
services
8.2.4 Changes to requirements for products and services 7.2.2 Review of requirements related to the product
8.3 Design and development of products and services 7.3Design and development
8.3.1 General 7.3.1 Design and development planning
8.3.2 Design and development planning 7.3.1 Design and development planning
8.3.3 Design and development inputs 7.3.2 Design and development inputs
7.3.4 Design and development review
8.3.4 Design and development controls 7.3.5 Design and development verification
7.3.6 Design and development validation
8.3.5 Design and development outputs 7.3.3 Design and development outputs
8.3.6 Design and development changes 7.3.7 Control of design and development changes
8.4 Control of externally provided processes, products 4.1 | General requirements
and services 7.4.1 Purchasing process
8.4.1 General 7.4.1 Purchasing process
7.4.1 Purchasing process
8.4.2 Type and extent of control
7.4.3 Verification of purchased product
7.4.2 Purchasing information
8.4.3 Information for external providers
8.5 Production and service provision 7.5 Production and service provision
7.5.1 Control of production and service provision
8.5.1 Control of production and service provision 7.5.2 Validation of processes for production and service
provision
8.5.2 Identification and traceability 7.5.3 Identification and traceability
8.5.3 Property belonging to customers or external
7.5.4 Customer property
providers
8.5.4 Preservation 7.5.5 Preservation of product
8.5.5 Post-delivery activities 7.5.1 Control of production and service provision
8.5.6 Control of changes 7.3.7 Control of Design and Development Changes
8.6 Release of products and services
8.2.4 Monitoring and measurement of product
8.7 Control of nonconforming outputs 8.3 Control of nonconforming product
9 Performance evaluation 8 Measurement, analysis and improvement
9.1 Monitoring, measurement, analysis and evaluation 8 Measurement, analysis and improvement
8.1 General
9.1.1 General
8.2.3 Monitoring and Measurement Processes
9.1.2 Customer satisfaction 8.2.1 Customer satisfaction
9.1.3 Analysis and evaluation 8.4 Analysis of data
9.2 Internal audit 8.2.2 Internal audit
9.3 Management review 5.6 Management review
9.3.1 General 5.6.1 General
9.3.2 Management review input 5.6.2 Review input

9.3.3 Management review output 5.6.3 Review output
10 Improvement 8.5 Improvement
10.1 General 8.5.1 Continual improvement
8.3 Control of nonconforming product
10.2 Nonconformity and corrective action
8.5.2 Corrective action
8.5.1 Continual improvement
10.3 Continual Improvement
8.5.3 Preventive action
Amendment Record
Version # Submitted Date Summary of Changes
1 11/2016 Initial issue

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Printed: March 11, 2017

Changes to the Standard

Other updates include:

IATF 16949 Upgrade Planner and Delta Checklist

Level of QMS Reference Document

Level of QMS Reference Document

Level of QMS Reference Document

Level of QMS Reference Document

Level of QMS Reference Document

Level of QMS Reference Document

Note: This section is optional, and

Approval Name / Title Signature Date

New or Different in ISO 9001:2015 Covered in ISO 9001:2008

Clause in ISO 9001:2015 Equivalent Clause in ISO 9001:2008

4.2.4 Control of records

9.3.2 Management review input 5.6.2 Review input

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