TL 9000:2016 (R6) Clause Applicability Matrix

The Clause Applicability Matrix is a recommended organizing tool, for both the Organization and its Certification Body (CB), to
alignment of process elements.

The Organization is encouraged to use this Matrix for the planning of its internal audit program, to help ensure that all applicab
assessed at all relevant locations (ref. RHB R6.0 clause 9.2.2.C.1 Internal Audit Program Planning).

The Code of Practice for TL 9000 Certification Bodies requires the CB to obtain Pre-Audit Information from the Organization p
information is to include a cross-reference of applicable TL 9000 requirements to the Organization's processes, and a cross-re
sites (including virtual sites) at which they are performed. This Matrix is designed to conveniently capture the Pre-Audit Info re
although its use is not mandatory: the CB may accept this information in a different format. The CB uses the Pre-Audit Info to
of relevant processes and sites.
Note 1: The CB will make the final decision as to which requirements are assessed where.
Note 2: The clause matrix is not intended to drive clause-based auditing: the CB is required to perform process-based audits.
pplicability Matrix
nd its Certification Body (CB), to facilitate audit planning and the

m, to help ensure that all applicable TL 9000 requirements are duly

nning).

ormation from the Organization prior to any TL 9000 audit. This

ation's processes, and a cross-reference of those processes to the
ntly capture the Pre-Audit Info required by the Code of Practice,
e CB uses the Pre-Audit Info to help plan appropriate audit coverage

o perform process-based audits.

V2 - 13-Jan-2017
Clauses by Process Processes

Instructions:
(1) Enter your organization's defined processes, one per
column, in the cells to the right (cells B2, C2, D2 etc.).
(2) In the column below each of the processes you just
entered in row 2, enter an 'X' in the cell on the row for each
requirement which is applicable to that process within your
organization's QMS.
See the next worksheet for a simple example.You should wind up with at
least one 'X' against each clause except those which you are declaring
as not applicable.

4.0 Context of the organization

4.1 Understanding the organization and its context
4.2 Understanding the needs and expectations of interested parties
4.3 Determining the scope of the quality management system
4.3.C.1 Declaration of Req't and Measurement Applicability
4.3.C.2 TL 9000 Profile and Scope
4.4 Quality management system and its processes
5.0 Leadership : 5.1 Leadership and commitment
5.1.1 General
5.1.2 Customer Focus
5.1.2.C.1 Customer Communication Methods
5.2 Policy
5.2.1 Establishing the quality policy
5.2.2 Communicating the quality policy
5.3 Organizational roles, responsibilities and authorities
6.0 Planning
6.1 : 6.1.1 : 6.1.2 Actions to address risks and opportunities
6.2 Quality objectives and planning to achieve them
6.2.1
6.2.1.C.1 TL 9000 Measurements Targets
6.2.2
6.2.2.C.1 Customer Input
6.2.2.C.2 External Provider Input
6.2.2.C.3 Long- and Short-Term Quality Planning
6.3 Planning of changes
7.0 Support : 7.1 Resources
7.1.1 General
7.1.1.C.1 Business Continuity Planning
7.1.2 People
7.1.3 Infrastructure
7.1.3.C.1 Infrastructure Security
7.1.4 Environment for the operation of processes
7.1.5 Monitoring and measuring resources
7.1.5.1 General
7.1.5.2 Measurement traceability
7.1.5.2.C.1 Equipment Identification
7.1.6 Organizational knowledge
7.2 Competence
7.2.C.1 Internal Course Development
7.2.C.2 Quality and Process Improvement Concepts
7.2.C.3 Quality Training Opportunity Awareness
7.2.C.4 Electrostatic Discharge (ESD) Training
7.2.C.5 Advanced Quality Training
7.2.C.6 Hazardous Conditions Training Content
7.2.HV.1 Operator Qualification and Requalification
7.3 Awareness
7.4 Communication
7.4.C.1 Organization Performance Feedback
7.5 Documented Information
7.5.1 General
7.5.2 Creating and updating
7.5.3 Control of documented information
7.5.3.1
7.5.3.2
7.5.3.2.C.1 Control of Customer-Supplied Doc's and Data
8.0 Operation
8.1 Operational planning and control
8.1.C.1 Life Cycle Model
8.1.C.2 Product and Service Security
8.1.C.3 End of Life Planning
 8.1.C.4 Tools Management
8.2 Requirements for products and services
8.2.1 Customer communication
8.2.1.C.1 Problem Severity Classification
8.2.1.C.2 Problem Escalation
8.2.1.C.3 Problem Report Feedback
8.2.1.HS.1 Product Replacement
8.2.1.HS.2 Notification About Critical Problem Reports
8.2.1.V.1 Notification about Critical Service Disruption NA
8.2.2 Determining the requirements for products and services
8.2.3 : 8.2.3.1 Review of requirements for products and services
8.2.3.1.C.1 Contract Review
8.2.3.2 Review of requirements for products and services
8.2.4 Changes to requirements for products and services
8.3 Design and development of products and services
8.3.1 General
8.3.2 Design and development planning
8.3.2.C.1 Project Plan
8.3.2.C.2 Risk Management Planning
8.3.2.C.3 Requirements Traceability
8.3.2.C.4 Test Planning
8.3.2.C.5 Integration Planning
8.3.2.HS.1 Configuration Management Planning
8.3.2.HS.2 Product Computing Resources
8.3.2.HS.3 Development Process Quality Measurement
8.3.2.HS.4 Migration Planning
8.3.3 Design and development inputs
8.3.3.C.1 Customer and External Supplier Input
8.3.3.C.2 Design and Development Requirements
8.3.3.C.3 Requirements Allocation
8.3.4 Design and development controls
8.3.4.C.1 Verification of User Documentation
8.3.4.HS.1 Stress Testing
8.3.4.HS.2 Abnormal Conditions
8.3.4.HS.3 System Testing
8.3.4.HS.4 Release Management
8.3.5 Design and development outputs
8.3.5.HS.1 Product Design and Development Output
8.3.5.V.1 Services Design and Development Output
8.3.6 Design and development changes
8.3.6.C.1 Change Management Process
8.3.6.C.2 Informing Customers of Design Changes
8.3.6.C.3 Problem Resolution of Configuration Management
8.3.6.H.1 Component Changes
8.4 Control of externally provided processes, products and services
8.4.1 General
8.4.1.C.1 Procurement Process
8.4.1.C.2 External Provider Performance Management
8.4.2 Type and extent of control
8.4.3 Information for external providers
8.5 Product and service provision
8.5.1 Control of production and service provision
8.5.1.C.1 Product and Service Delivery
8.5.1.H.1 Periodic Retesting
8.5.1.H.2 Content of Testing
8.5.1.H.3 Frequency of Testing
8.5.1.HS.1 Installation Instructions
8.5.1.HV.1 Operational Changes
8.5.1.V.1 Software Used in Service Delivery
8.5.1.V.2 Mechanical Tool Changes
8.5.2 Identification and traceability
8.5.2.H.1 Traceability for Recall
8.5.2H.2 Traceability of Design Changes
8.5.2.HS.1 Product Identification
8.5.3 Property belonging to customers or external providers
8.5.4 Preservation
8.5.4.C.1 Protection from Electrostatic Discharge Damage
8.5.4.HS.1 Packaging and Labeling Verification
8.5.4.HV.1 Deterioration
8.5.4.S.1 Software Virus Protection
8.5.5 Post-delivery activities
8.5.5.H.1 Testing of Repair and Return Products
8.5.5.HS.1 Emergency Service Provisioning
8.5.5.S.1 Software Patching Information
8.5.6 Control of changes
8.6 Release of products and services
8.6.HV.1 Inspection and Test Documentation
8.6.HV.2 Doc'n Retained from Inspection and Test Activities
8.6.S.1 Test Documentation
8.7 : 8.7.1 Control of nonconforming ouptuts
8.7 : 8.7.2 Control of nonconforming outputs
9.0 Performance evaluation
9.1 Monitoring, measurement, analysis and evaluation
9.1.1 General
9.1.1.C.1 Process Measurement
9.1.2 Customer satisfaction
9.1.2.C.1 Customer Satisfaction Data
9.1.3 Analysis and evaluation
9.1.3.C.1 Trend Analysis of Nonconforming Product/Service
9.1.3.C.2 Performance Data
9.1.3 Sustainability Assessment
9.2 Internal audit
9.2.1
9.2.2
9.2.2.C.1 Internal Audit Program Planning
9.3 Management review
9.3.1 General
9.3.2 Management review inputs
9.3.3 Management review outputs
10.0 Improvement
10.1 General
10.1.C.1 Employee Participation
10.2 : 10.2.1 Nonconformity and corrective action
10.2.1.S.1 Problem Resolution
10.2.2
10.3 Continual Improvement
Clauses by Process Processes

Management Processes

Infrastructure / Facilties
Information Technology
Clauses by Process: example

Quality Processes

Product Planning
Please note: Your organization may have fewer, more or

Manufacturing
different processes than shown in this example, and

Procurement
Engineering
different clause applicability. This is just an example.

Training
Service
Sales
4.0 Context of the organization
4.1 Understanding the organization and its context x x x x x x
4.2 Understanding the needs and expectations of interested parties x x x x x
4.3 Determining the scope of the quality management system x x
4.3.C.1 Declaration of Req't and Measurement Applicability x
4.3.C.2 TL 9000 Profile and Scope x x
4.4 Quality management system and its processes x x
5.0 Leadership : 5.1 Leadership and commitment
5.1.1 General x
5.1.2 Customer Focus x x x x x x x x x x x
5.1.2.C.1 Customer Communication Methods x x x
5.2 Policy
5.2.1 Establishing the quality policy x x x x x x
5.2.2 Communicating the quality policy x x
5.3 Organizational roles, responsibilities and authorities
6.0 Planning
6.1 : 6.1.1 : 6.1.2 Actions to address risks and opportunities x x x x x x x x x x x
6.2 Quality objectives and planning to achieve them
6.2.1 x
6.2.1.C.1 TL 9000 Measurements Targets x x
6.2.2 x
6.2.2.C.1 Customer Input x x
6.2.2.C.2 External Provider Input x x
6.2.2.C.3 Long- and Short-Term Quality Planning x
6.3 Planning of changes x x
7.0 Support : 7.1 Resources
7.1.1 General x x x x x x
7.1.1.C.1 Business Continuity Planning x x x x x x x
7.1.2 People x x x x x x x
7.1.3 Infrastructure x x x x x x x
7.1.3.C.1 Infrastructure Security x x x x x x x
7.1.4 Environment for the operation of processes x x x x x x x
7.1.5 Monitoring and measuring resources
7.1.5.1 General x x x x x
7.1.5.2 Measurement traceability x x x
7.1.5.2.C.1 Equipment Identification x x x
7.1.6 Organizational knowledge x x x x x
7.2 Competence x x x
7.2.C.1 Internal Course Development x
7.2.C.2 Quality and Process Improvement Concepts x x x x x x x x x x x
7.2.C.3 Quality Training Opportunity Awareness x x x x x x x x x x x
7.2.C.4 Electrostatic Discharge (ESD) Training x x x x x
7.2.C.5 Advanced Quality Training x
7.2.C.6 Hazardous Conditions Training Content x x x x
7.2.HV.1 Operator Qualification and Requalification x x x
7.3 Awareness x x x x x x x x x x x
7.4 Communication x x x x x x x x x x x
7.4.C.1 Organization Performance Feedback x x x x x x
7.5 Documented Information
7.5.1 General x x x x x x
7.5.2 Creating and updating x x x x x x
7.5.3 Control of documented information x x x x x x
7.5.3.1 x x x x x x
7.5.3.2 x x x x x x
7.5.3.2.C.1 Control of Customer-Supplied Doc's and Data x x x x x x
8.0 Operation
8.1 Operational planning and control x x x x x x x x x
8.1.C.1 Life Cycle Model x x x x x
8.1.C.2 Product and Service Security x x x x x x
8.1.C.3 End of Life Planning x x x x x x
8.1.C.4 Tools Management x x x x x x
8.2 Requirements for products and services
8.2.1 Customer communication x x x
8.2.1.C.1 Problem Severity Classification x x
8.2.1.C.2 Problem Escalation x x x
8.2.1.C.3 Problem Report Feedback x
8.2.1.HS.1 Product Replacement x x
8.2.1.HS.2 Notification About Critical Problem Reports x x
8.2.1.V.1 Notification about Critical Service Disruption NA x x
8.2.2 Determining the requirements for products and services x x
8.2.3 : 8.2.3.1 Review of requirements for products and services x x x
8.2.3.1.C.1 Contract Review x
8.2.3.2 Review of requirements for products and services x x x x
8.2.4 Changes to requirements for products and services x
8.3 Design and development of products and services
8.3.1 General x x x x x
8.3.2 Design and development planning x x x x x
8.3.2.C.1 Project Plan x x x x x
8.3.2.C.2 Risk Management Planning x x x x x x
8.3.2.C.3 Requirements Traceability x x x
8.3.2.C.4 Test Planning x x x
8.3.2.C.5 Integration Planning x x x
8.3.2.HS.1 Configuration Management Planning x
8.3.2.HS.2 Product Computing Resources x
8.3.2.HS.3 Development Process Quality Measurement x x x
8.3.2.HS.4 Migration Planning x x x x x
8.3.3 Design and development inputs x x x
8.3.3.C.1 Customer and External Supplier Input x x x x
8.3.3.C.2 Design and Development Requirements x x
8.3.3.C.3 Requirements Allocation x
8.3.4 Design and development controls x x
8.3.4.C.1 Verification of User Documentation x
8.3.4.HS.1 Stress Testing x
8.3.4.HS.2 Abnormal Conditions x
8.3.4.HS.3 System Testing x
8.3.4.HS.4 Release Management x x x x
8.3.5 Design and development outputs x
8.3.5.HS.1 Product Design and Development Output x
8.3.5.V.1 Services Design and Development Output x
8.3.6 Design and development changes x x
8.3.6.C.1 Change Management Process x x
8.3.6.C.2 Informing Customers of Design Changes x x x
8.3.6.C.3 Problem Resolution of Configuration Management x x
8.3.6.H.1 Component Changes x x
8.4 Control of externally provided processes, products and services
8.4.1 General x x x x x
8.4.1.C.1 Procurement Process x
8.4.1.C.2 External Provider Performance Management x x
8.4.2 Type and extent of control x x
8.4.3 Information for external providers x x
8.5 Product and service provision
8.5.1 Control of production and service provision x x x
8.5.1.C.1 Product and Service Delivery x x
8.5.1.H.1 Periodic Retesting x
8.5.1.H.2 Content of Testing x
8.5.1.H.3 Frequency of Testing x
8.5.1.HS.1 Installation Instructions x x
8.5.1.HV.1 Operational Changes x x
8.5.1.V.1 Software Used in Service Delivery x
8.5.1.V.2 Mechanical Tool Changes x
8.5.2 Identification and traceability x
8.5.2.H.1 Traceability for Recall x
8.5.2H.2 Traceability of Design Changes x
8.5.2.HS.1 Product Identification x
8.5.3 Property belonging to customers or external providers x x x x
8.5.4 Preservation x x
8.5.4.C.1 Protection from Electrostatic Discharge Damage x x x x
8.5.4.HS.1 Packaging and Labeling Verification x
8.5.4.HV.1 Deterioration x
8.5.4.S.1 Software Virus Protection x x
8.5.5 Post-delivery activities x x
8.5.5.H.1 Testing of Repair and Return Products x x
8.5.5.HS.1 Emergency Service Provisioning x
8.5.5.S.1 Software Patching Information x
8.5.6 Control of changes x x x x
8.6 Release of products and services x x x x
 8.6.HV.1 Inspection and Test Documentation x
8.6.HV.2 Doc'n Retained from Inspection and Test Activities x
8.6.S.1 Test Documentation x x x x
8.7 : 8.7.1 Control of nonconforming ouptuts x x x x
8.7 : 8.7.2 Control of nonconforming outputs x x x x
9.0 Performance evaluation
9.1 Monitoring, measurement, analysis and evaluation
9.1.1 General x
9.1.1.C.1 Process Measurement x x x x x x x
9.1.2 Customer satisfaction x x x x x x
9.1.2.C.1 Customer Satisfaction Data
9.1.3 Analysis and evaluation x x x x x x
9.1.3.C.1 Trend Analysis of Nonconforming Product/Service x x x x
9.1.3.C.2 Performance Data x x x
9.1.3 Sustainability Assessment x x x
9.2 Internal audit
9.2.1 x
9.2.2 x
9.2.2.C.1 Internal Audit Program Planning x
9.3 Management review
9.3.1 General x
9.3.2 Management review inputs x
9.3.3 Management review outputs x
10.0 Improvement
10.1 General x x x x x x x x x x x
10.1.C.1 Employee Participation x x x x x x x x x x x
10.2 : 10.2.1 Nonconformity and corrective action x x x x x x x x x x x
10.2.1.S.1 Problem Resolution x
10.2.2 x
10.3 Continual Improvement x x x x x x x x x x x
Processes by Site
Instructions:
(1) Enter your organization's defined processes, one per column, in the colored cells
in row 2 (cells D2, E2, F2 etc.).
(2) Enter your in-scope sites, one per row, in the colored cells in column A (cells A3,
A4, A5 etc.).
(3) For each site, enter the number of in-scope employees in column B, and the
products and services provided in column C.
(4) In the column below each of the processes you entered in row 2, enter an 'X' in
the cell on the row for each site where that process is performed.
See the next worksheet for a simple example.
Processes
Products
# of and
Sites Employees Services
Processes by site: example
Please note: Your organization may have fewer, more or different processes than
shown in this example. This is just an example. Processes

Management Processes

Infrastructure / Facilties
Information Technology
Quality Processes

Product Planning

Manufacturing
Procurement
Engineering
Products

Training
# of and

Service
Sales
Sites Employees Services
Raleigh NC (HQ) 62 Virtual PBX x x x x x x x x
Richardson TX 44 Set-top box x x x x x x x x x
San Jose CA 28 TAC, repair x x x x x