ISO 9004:2018 Self-Audit Checklist,Have You Ever Heard of Nikola Tesla ?
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KEDI journal of educational policy Two alternative models on the relationships between organizational justice, organizational commitment, burnout, and job satisfaction of education supervisors. Quality management systems — Particular requirements for the application of ISO for automotive production and relevant service part organizations. It is identical to ISO It supersedes BS EN ISO , which is withdrawn. A list of organizations represented on this committee can be obtained on request to its secretary. This publication does not purport to include all the necessary provisions of a contract. Users are responsible for its correct application. This British Standard was published under the authority of the Standards Policy and Strategy Committee on 30 April Up-to-date lists and bibliographical references concerning such national standards may be obtained on application to the CEN-CENELEC Management Centre or to any CEN member.
This European Standard exists in three official versions English, French, German. A version in any other language made by translation under the responsibility of a CEN member into its own language and noti fied to the CEN-CENELEC Management Centre has the same status as the official versions. CEN members are the national standards bodies of Austria, Belgium, Bulgaria, Croatia, Cyprus, Czech Republic, Denmark, Estonia, Finland, Former Yugoslav Republic of Macedonia, France, Germany, Greece, Hungary, Iceland, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, Netherlands, Norway, Poland, Portugal, Romania, Serbia, Slovakia, Slovenia, Spain, Sweden, Switzerland, Turkey and United Kingdom. This European Standard shall be given the status of a national standard, either by publication of an identical text or by endorsement, at the latest by October , and con flicting national standards shall be withdrawn at the latest by October Attention is drawn to the possibility that some of the elements of this document may be the subject of patent rights.
CEN shall not be held responsible for identifying any or all such patent rights. This document supersedes EN ISO According to the CEN-CENELEC Internal Regulations, the national standards organizations of the following countries are bound to implement this European Standard: Austria, Belgium, Bulgaria, Croatia, Cyprus, Czech Republic, Denmark, Estonia, Finland, Former Yugoslav Republic of Macedonia, France, Germany, Greece, Hungary, Iceland, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, Netherlands, Norway, Poland, Portugal, Romania, Serbia, Slovakia, Slovenia, Spain, Sweden, Switzerland, Turkey and the United Kingdom.
Endorsement notice The text of ISO has been approved by CEN as EN ISO without any modi fication. v Introduction vi 1 Scope The work of preparing International Standards is normally carried out through ISO technical committees. Each member body interested in a subject for which a technical committee has been established has the right to be represented on that committee. International organizations, governmental and non-governmental, in liaison with ISO, also take part in the work. ISO collaborates closely with the International Electrotechnical Commission IEC on all matters of electrotechnical standardization.
In particular the different approval criteria needed for the different types of ISO documents should be noted. ISO shall not be held responsible for identifying any or all such patent rights. Any trade name used in this document is information given for the convenience of users and does not constitute an endorsement. This fourth edition cancels and replaces the third edition ISO , which has been technically revised. It includes the planning, implementation, analysis, evaluation and improvement of an effective and efficient management system. Improvement and innovation also support sustained success. This document promotes self-assessment and provides a self-assessment tool for reviewing the extent to which the organization has adopted the concepts in this document see Annex A. A representation of the structure of this document, incorporating the elements essential to achieve sustained success of an organization as covered in this document, is presented in Figure 1.
This guidance is consistent with the quality management principles given in ISO This document provides a self-assessment tool to review the extent to which the organization has adopted the concepts in this document. This document is applicable to any organization, regardless of its size, type and activity. For dated references, only the edition cited applies. For undated references, the latest edition of the referenced document including any amendments applies. ISO , Quality management systems — Fundamentals and vocabulary 3 Terms and definitions For the purposes of this document, the terms and de finitions given in ISO apply. It is up to the organization to determine what is relevant to achieve sustained success. The organization should go beyond the quality of its products and services and the needs and expectations of its customers. The organization should apply all of the quality management principles see ISO to achieve sustained success.
The needs and expectations of individual interested parties can be different, aligned to, or in con flict with those of other interested parties, or can change quickly. The means by which the needs and expectations of interested parties are expressed and met can take a wide variety of forms, for example co-operation, negotiation, outsourcing, or by terminating an activity; consequently, the organization should give consideration to the interrelationships of its interested parties when addressing their needs and expectations. The composition of interested parties can differ signi ficantly over time and between organizations, industries, cultures and nations; Figure 2 provides examples of interested parties and their needs and expectations. Figure 2 — Examples of interested parties and their needs and expectations 4. Short- and medium-term objectives should support this long-term strategy. There are key factors to consider when determining the context of an organization: a interested parties; b external issues; c internal issues.
The organization should determine which interested parties are relevant. The organization should determine which interested parties: a are a risk to its sustained success if their relevant needs and expectations are not met; b can provide opportunities to enhance its sustained success. Once the relevant interested parties are determined, the organization should: — identify their relevant needs and expectations, determining the ones that should be addressed; — establish the necessary processes to ful fil the needs and expectations of the interested parties. The organization should consider how to establish ongoing relationships with interested parties for bene fits such as improved performance, common understanding of objectives and values, and enhanced stability.
The organization should determine which external and internal issues could result in risks to its sustained success or opportunities to enhance its sustained success. Based on the determination of these issues, top management should decide which of these risks and opportunities should be addressed and initiate the establishment, implementation and maintenance of the necessary processes. The organization should consider how to establish, implement and maintain a process for monitoring, reviewing and evaluating external and internal issues, with consideration of any consequences to be acted on see 7. The identity of an organization is determined by its characteristics, based on its mission, vision, values and culture. Mission, vision, values and culture are interdependent and the relationship between them should be recognized as dynamic. Top management should ensure that the context of the organization is considered when determining its mission, vision and values.
This should include an understanding of its existing culture and assessing the need to change the culture. The strategic direction of the organization and its policy should be aligned with these identity elements. Top management should review the mission, vision, values and culture at planned intervals and whenever the context of the organization changes. When changes are made to any of the identity elements, they should be communicated within the organization and to interested parties, as appropriate. Policy statements should include commitments to satisfy the needs and expectations of interested parties and to promote improvement. When establishing the strategy, top management should either apply a recognized and appropriate model available in the market, or design or implement an organization-speci fic customized model.
Once chosen, it is crucial to maintain the stability of the model as the solid foundation and reference for managing the organization. Strategy should re flect the identity of the organization, its context and long-term perspective. All short- and medium-term objectives should be aligned accordingly see 7. Top management should make strategic decisions regarding competitive factors see Table 1. These policy and strategy decisions should be reviewed for continued suitability. Any changes to the external and internal issues, as well as any new risks and opportunities, should be addressed. proprietary, customized or standard solutions F Place — considering local, regional and global presence — considering virtual presence and use of social media — considering the use of virtual decentralized project teams G Pricing — establishing price position e.
Objectives should be de fined for the short and long term and should be clearly understandable. Objectives should be quanti fied where possible. When determining the objectives, top management should consider: a to what extent the organization is aiming to be recognized by interested parties as: 1 a leader with respect to competitive factors see 7. in national and international organizations, such as public administration, associations and standardization bodies. When deploying the objectives, top management should encourage discussions for alignment between different functions and levels of the organization. Such communication should be meaningful, timely and continual. For example, the same information can be conveyed in one way to people within the organization and in a different way to interested parties.
Processes often cross boundaries of functions within the organization. Consistent and predictable results are achieved more effectively and efficiently when the network of processes functions as a coherent system. Processes are speci fic to an organization and vary depending on the type, size and level of maturity of the organization. The activities within each process should be determined and adapted to the size and distinctive features of the organization. In order to achieve its objectives, the organization should ensure that all its processes are managed proactively, including externally provided processes, to ensure that they are effective and efficient. Figure 3 gives a schematic representation of a process. The organization should ensure that the responsibilities, authorities and roles of process owners are recognized throughout the organization and that the people associated with the individual processes have the competences needed for the tasks and activities involved.
process map, diagrams in order to understand the roles of each process in the system and its effects on the performance of the system; c determine criteria for the outputs of processes, evaluate the capability and performance of processes by comparing the outputs with the criteria, and plan actions to improve the processes when they are not effectively achieving the performance expected by the system; d assess the risks and opportunities associated with the processes and implement any actions that are necessary in order to prevent, detect and mitigate undesired events, including risks such as: 1 human factors e. shortage of knowledge and skills, rule violations, human errors ; 2 inadequate capability, deteriorations and breakdowns of equipment; 3 design and development failure; 4 unplanned changes in incoming materials and services; 5 uncontrolled variation in the environment for the operation of processes; 6 unexpected changes in the needs and expectations of interested parties, including market demand; e review the processes and their interrelationships on a regular basis and take suitable actions for control and improvement, to ensure they continue to be effective and support the sustained success of the organization.
Some processes will relate to the overall management system and some will additionally relate to a speci fic managerial aspect, such as: a the quality of products and services, including cost, quantity and delivery e. ISO ; b health, safety, security e. ISO , ISO ; d social responsibility, anti-bribery, compliance e. ISO , ISO , ISO ; e business continuity, resilience e. ISO , ISO The organization should motivate people to engage in improvement activities and propose opportunities for improvement in the processes in which they are involved. It should take any necessary corrective actions, or other appropriate actions, when gaps are identi fied between the planned and actual activities. The organization should determine what procedures if any are needed to manage a process, including the criteria for process outputs and operational conditions, to ensure conformity with the criteria.
When procedures are applied, in order to ensure that they are followed by people involved in the operation of the process, the organization should ensure that: a a system is established to de fine the knowledge and skills needed for processes and evaluate the knowledge and skills of the process operators; b risks in the procedures are identi fied, assessed and reduced by improving the procedures e. making it difficult to make errors or not allowing progression to the next process if an error occurs ; c resources necessary for people to follow the procedures are made available; d people have the knowledge and skills needed for following the procedures; e people understand the impacts of not following the procedures e.
by using examples of experienced undesired events and managers at appropriate levels take the actions that are necessary whenever a procedure is not followed; f consideration is given to learning, training, motivation and prevention of human error. Deviations are mainly caused by changes in equipment, method, material, measurement, environment and people for the operation of processes. The organization should determine check points and related performance indicators that will be effective and efficient in detecting deviations. The organization should determine and manage the resources needed for the achievement of its objectives, taking into account the associated risks and opportunities and their potential effects.
The organization should implement sufficient control over its processes to achieve efficient and effective use of its resources. Depending on the nature and complexity of the organization, some of the resources will have different impacts on the sustained success of the organization. When considering future activities, the organization should take into account the accessibility and suitability of resources, including externally provided resources. The organization should frequently evaluate its existing use of resources to determine opportunities for improving their use, optimizing processes, and implementing new technologies to reduce risks.
The organization should develop and implement processes to attract and retain people who have the current or potential competences and availability to contribute fully to the organization. The managing of people should be performed through a planned, transparent, ethical and socially responsible approach at all levels throughout the organization. The organization should establish and maintain processes for engagement of its people. Empowerment enhances the motivation of people to take responsibility for their work and its results. This can be achieved by providing people with the necessary information, authority and freedom to make decisions related to their own work. The process should follow steps such as: a determining and analysing the personal competencies needed by the organization in accordance with its identity mission, vision, values and culture , strategy, policies and objectives; b determining the current competence at group level and at individual level, as well as the gaps between what is available and what is currently needed, or could be needed in the future; c implementing actions to improve and acquire competence, as required; d improving and maintaining competence that has been acquired; e reviewing and evaluating the effectiveness of actions taken to con firm that the necessary competence has been acquired.
The organization should determine what is needed and coordinate how these resources will be allocated, provided, measured or monitored, optimized, maintained and protected. customers, external providers, partners. In addition, depending on its nature, the organization should verify that its work environment complies with applicable requirements and addresses applicable standards such as those for environmental and occupational health and safety management. As these resources can impact both the organization and its interested parties, it is essential that its relationships with external providers and partners are managed effectively. The organization and its external providers or partners are interdependent. The organization should seek to establish relationships that enhance the capabilities of itself and its providers or partners to create value in a manner that is mutually bene ficial to all involved.
The organization should consider partnering if external providers have knowledge that the organization does not have, or to share the risks and opportunities associated with its projects and the resulting pro fits or losses. Partners can be external providers of processes, products or services, technological and financial institutions, governmental and non-governmental organizations, or other interested parties. The managing of external providers should take into account the risks and opportunities associated with: a internal facilities or capacity; b the technical capability to ful fil the requirements for products or services; c the availability of quali fied resources; d the type and extent of controls needed for external providers; e business continuity and supply chain aspects e.
high dependability on a single or limited number of providers ; f environmental, sustainability and social responsibility aspects. In order to establish mutually bene ficial relationships and to enhance the abilities of external providers and partners for managing activities, processes and systems, the organization should: — share its mission and vision and possibly its values and culture with them; — provide any necessary support in terms of resources or knowledge. The responsibility includes several aspects, such as natural resources and the environment. In terms of managing resources, the natural resources consumed by the organization in the provision of products and services are a strategic issue affecting its sustained success.
The organization should address how to determine, obtain, maintain, protect and use essential resources such as water, soil, energy or raw materials. The organization should address both the current and future use of natural resources required by its processes, as well as the impact of the use of natural resources related to the life cycle of its products and services. Based on the results, the organization should use the information to update its understanding of its context, policies, strategy and objectives as needed, while also promoting improvement, learning and innovation activities. A measurement and analysis process should be used to monitor this progress, to gather and provide the information necessary for performance evaluations and effective decision making.
The selection of appropriate performance indicators and monitoring methods is critical for effective measurement and analysis of an organization. Figure 4 shows steps for using performance indicators. These measurable KPIs should be: a accurate and reliable, to enable the organization to set measurable objectives, monitor and predict trends, and take actions for improvement and innovations when necessary; b selected as a basis for making strategic and operational decisions; c suitably cascaded as performance indicators at relevant functions and levels within the organization, to support the achievement of top level objectives; d appropriate to the nature and size of the organization, its products and services, processes and activities; e consistent with the strategy and objectives of the organization. In addition, the organization should ensure that KPIs provide information to implement action plans when performance does not achieve the objectives, or to improve and innovate process efficiency and effectiveness.
This can enable the organization to analyse the strengths and weaknesses of its leadership activities. When deviations from the needs and expectations are found, the processes and their interactions that affect its performance should be identi fied and analysed. Similarly, when objectives have been exceeded, what made it possible should be analysed in order to maintain the performance. The results of evaluation should be understood by top management. When the degree of improvement does not match the expected level, the organization should review the deployment of its policies, strategy and objectives for improvement and innovation, as well as the competencies and engagement of its people.
Benchmarking is a measurement and analysis methodology that an organization can use to search for the best practices inside and outside the organization, with the aim of improving its performance and innovative practices. This can include auditing against more than one management system standard, as well as addressing speci fic requirements relating to interested parties, products, services, processes or speci fic issues. Audits should be conducted by people who are not involved in the activity being examined, in order to give an independent view on what is being performed. Internal auditing is an effective tool for identifying problems, nonconformities, risks and opportunities, as well as for monitoring progress on resolving previously identi fied problems and nonconformities.
Internal auditing can also be focused on the identi fication of good practices and on improvement opportunities. Internal audit reporting usually contains information on conformity to the given criteria, nonconformities and improvement opportunities. Audit reporting is an essential input for management review. Top management should establish a process for reviewing all internal audit results, in order to identify trends that can require organization-wide corrective actions and opportunities for improvement. The organization should use the results of other audits, such as second- and third-party audits, as feedback for corrective actions.
It can also use them to monitor progress in the implementation of appropriate plans intended to facilitate the resolution of nonconformities, or for the implementation of identi fied opportunities for improvement. NOTE See ISO for further guidance on auditing management systems. Elements of a management system should not be assessed independently given that processes are inter- dependent. The results of self-assessment should be communicated to relevant people within the organization, in order to be used to share understanding about the organization and its future direction. A self-assessment tool based on this document is provided in Annex A. The reviews should enable evidence-based decision making and the establishment of actions to achieve desired results.
They create inputs into products, services, processes and management systems, and contribute to achieving desired results. The organization will experience constant change in its external and internal issues and in the needs and expectations of its interested parties. Performance can relate to a product or service, or to a process. Improving product or service performance or the management system can help the organization anticipate and meet the needs and expectations of interested parties and also increase economic efficiency. Improving processes can lead to increased effectiveness and efficiency, resulting in bene fits such as cost, time and energy saving and reduced waste; in turn, this can lead to meeting the needs and expectations of interested parties more effectively.
Improvement activities can range from small-step continual improvements to signi ficant improvements of the entire organization. The organization should de fine objectives for improving its products or services, processes, structure and management system, by using the results of the analysis and evaluation of its performance. Improvement processes should follow a structured approach. The methodology should be applied consistently for all processes. The inputs for learning can be derived from many sources, including experience, analysis of information, and the results of improvements and innovations. A learning approach should be adopted by the organization as a whole, as well as at a level that integrates the capabilities of individuals with those of the organization. Learning that integrates the capabilities of individuals with those of the organization is achieved by combining the knowledge, thinking patterns and behaviour patterns of people with the values of the organization.
Knowledge can be explicit or tacit. It can originate from inside or outside the organization. It should be managed and maintained as an asset of the organization. The organization should monitor its organizational knowledge and determine the need to acquire, or more effectively share, knowledge throughout the organization. innovations that not only respond to the changing needs and expectations of interested parties, but also anticipate potential changes in the organization and in the life cycles of its products and services ; b processes i. innovation in the methods for production and service provision, or innovation to improve process stability and reduce variation ; c the organization i.
It should give consideration to the potential impact on the managing of changes and prepare action plans to mitigate those risks including contingency plans , where necessary. The timing for the introduction of an innovation should be aligned with the evaluation of the risk associated with undertaking that innovation. The timing should usually be a balance between the urgency with which it is needed and the resources that are made available for its development. The organization should review, improve and innovate based on the results of its performance evaluation see Clause The organization should use a process that is aligned with its strategic direction to plan and prioritize innovation initiatives. The results of innovation should be reviewed in order to experience learning and to increase organizational knowledge. Audit findings are used to assess the effectiveness of, for example, a management system, and to identify risks and opportunities for improvement.
An organization should use self-assessment to identify improvement and innovation opportunities, set priorities and establish action plans, with the objective of sustained success. Self- assessment also has the potential to be a learning tool, which can provide an improved overview of the organization, promote the involvement of interested parties and support the overall planning activities of the organization. The self-assessment tool given in this annex is based on the guidance detailed in this document and provides a framework for improvement. It can be used as given, or it can be customized to suit the organization. This self-assessment tool uses five maturity levels, which can be extended to include additional levels or otherwise customized as needed.
Table A. The organization should review its performance against the speci fied criteria, identify its current maturity levels, and determine its strengths and weaknesses and the related risks and opportunities for improvement. Tables A. The elements of this self-assessment are contained in Tables A. If appropriate, the self-assessment can be limited to any of the tables in isolation. Following the reviews, the organization should assign responsibilities for the chosen actions, estimate and provide the resources needed, and determine the expected bene fits and any perceived risks associated with them. Ongoing relationships with interested parties are established as informal or ad hoc. Processes for determining the relevance of inter- ested parties include consideration of those that are a risk to sustained success if their needs and expectations are not met and those that can pro- vide opportunities to enhance sustained success.
The needs and expectations of the relevant interested parties are identi fied. Processes to ful fil the needs and expectations of the interested parties are established. The needs and expectations of key interested parties are addressed and reviewed such that improved performance, common understanding of objectives and values, and enhanced stability have been realized in some of these ongoing relation- ships. This has been done as part of understanding the bene fits, risks and opportunities of ongoing relationships. The needs and expectations of all relevant inter- ested parties are addressed, analysed, evaluated and reviewed, such that there is improved and sustained performance, common understanding of objectives and values, and enhanced stability, including recognition of the bene fits derived from these ongoing relationships.
a Itemsoutlined in levels 3 to 5 are intended to be a progression of thought that is based on the guidance provided in the applicable subclause. Process management — General. Determination of processes. Process responsibility and authority. Managing processes attaining a higher level of performance. Managing processes maintaining the level attained. Resource management — General. Organizational knowledge. Infrastructure and work environment. Externally provided resources. Natural resources. Analysis and evaluation of an organization's performance — General. Performance indicators. Performance analysis. Performance evaluation. Internal audit. Improvement, learning and innovation — General. Self-Audit Results and Overview:. Action items. Related Checklists:. Introduction: How this template works This template is designed to be used to perform a self-audit in accordance with the ISO standards. Progress over time should also be factored in, on occasion of repeat audits.
Guidelines for success The following guidelines can be observed in order to ensure effective, efficient, and sustained success of an organization: Prioritizing and fulfilling the needs and expectations of interested parties Adequately collecting and assessing metrics of performance within the organization Constantly seeking to identify and implement improvements across the organization Utilizing policies, strategies, and objectives to further business goals Effectively and efficiently managing resources with regard to business processes Enforcing a company culture based on trust, transparency, and worker empowerment Establishing and maintaining beneficial relationships with relevant interested parties where possible, and constantly seeking to develop new beneficial relationships.
Additional resources In addition to this resource, we also have the following ISO-related templates in the form of a quality management system mini-manual blueprint, and a fully fleshed-out version of that blueprint: ISO Structure Template ISO Marketing Procedures How Process Street works Process Street is a tool for managing and running processes in an organization. With Process Street, you can quickly and easily create, edit and deploy your processes. Name of auditor. Reason for audit. Notes on previous audit — if applicable. Date the audit starts Date will be set here. Name of Self-Audit results approver. The interested parties are determined, including their needs and expectations and whether the associated risks and opportunities are informal or ad hoc.
Processes to meet the needs of some interested parties are established. Ongoing relationships with interested parties are established as informal or ad hoc. Processes for determining which interested parties are relevant are in place. Processes for determining the relevance of interested parties include consideration of those that are a risk to sustained success if their needs and expectations are not met and those that can provide opportunities to enhance sustained success. The needs and expectations of the relevant interested parties are identified. Processes to fulfil the needs and expectations of the interested parties are established. Processes for assessing the relevance of the needs and expectations for relevant interested parties are in place and are used to determine which ones need to be addressed. The needs and expectations of key interested parties are addressed and reviewed such that improved performance, common understanding of objectives and values, and enhanced stability have been realized in some of these ongoing relationships.
Processes and relationships with relevant interested parties are fulfilled according to the relevant needs and expectations determined. This has been done as part of understanding the benefits, risks and opportunities of ongoing relationships. The needs and expectations of all relevant interested parties are addressed, analysed, evaluated and reviewed, such that there is improved and sustained performance, common understanding of objectives and values, and enhanced stability, including recognition of the benefits derived from these ongoing relationships. Outcome — Relevant interested parties An option will be selected here. Processes for determining and addressing external and internal issues are informal or ad hoc. The risks and opportunities related to the issues identified are determined as informal or ad hoc. External and internal issues are determined and show consideration for factors such as statutory, regulatory and sector specific requirements, globalization, innovation, activities and associated processes, strategy and levels of competence and organizational knowledge.
Processes to address issues considered to be risks to sustained success, or opportunities to enhance sustained success, are established, implemented and maintained. Processes for the ongoing monitoring, reviewing and evaluation of external and internal issues are established, implemented and maintained, with actions arising from this process acted on. Outcome — External and internal issues An option will be selected here. Processes for determining the identity of the organization, a long with the establishment of mission, vision, values and culture, are informal or ad hoc. An understanding of the current culture, and whether there is a need to change it, is informal or ad hoc. Top management is involved in determining the mission, vision and values, based on processes that account for the definition and sustainment of the context of the organization in relation to its defined identity. An understanding of the current culture, a long with a process for considering the need for a change to that culture, is in place.
A clearly defined understanding of the current culture, a long with a process for considering the need for a change to that culture, is implemented and maintained. The strategic direction of the organization and its policy are aligned with its mission, vision, values and culture. Changes to any of these identity elements are communicated within the organization and to its interested parties, as appropriate. A process for reviewing these elements at planned intervals by top management is well established and maintained. This includes consideration of external and internal issues as part of the verification of alignment between the elements of the identity of the organization, its context, its strategic direction and its policy.
Outcome — Mission, vision, values and culture An option will be selected here. Only some interrelationships between leadership and commitment, including the maintenance of a competitive organizational structure, maintaining unity of purpose and direction, and reinforcement of values and expectations are determined. A competitive organizational structure and unity of purpose are established. Processes to maintain the culture and promote accountability are acted on. All relevant factors and their interrelationships are considered in process determination. Processes and the interactions of leadership with all levels of the organization are dynamically determined and used to establish and sustain the success of the organization. Outcome — Leadership — General An option will be selected here. The policy and strategy, and the basic strategy framework, are determined. Processes and the interactions related to the policy and strategy are defined to address all applicable aspects, models and factors.
The policy and strategy decisions are reviewed for continuing suitability and changed as deemed necessary by top management. Processes and their interactions are systematically determined to ensure the policy and strategy provide a comprehensive framework for process management, to support deployment and facilitate changes, as well as to effectively account for applicable aspects and factors. The processes for maintaining as standardized or custom model for as strategy framework and the policy are determined and address and aid in the mitigation of risks, while taking advantage of opportunities. Processes and the relationships between the policy and strategic direction are dynamically determined, with all applicable aspects and factors accounted for, such that a comprehensive framework exists to support the establishment, maintenance and management of processes. The needs of all interested parties are addressed and the policy and strategy are utilized to manage the business in a comprehensive way.
Outcome — Policy and strategy An option will be selected here. Only the short-term objectives are defined. Processes for determining the objectives are defined and the objectives show some interrelationship with policy and strategy. The objectives are quantifiable, where possible, but are not clearly understood. Processes and the interactions of short- and long-term objectives with the policy and strategy are defined, including the ability to demonstrate leadership and commitment outside the organization. Processes for defining, maintaining and deploying the objectives, including the relationship with the policy and strategy, are in place and maintained, including the need to establish clearly understood and quantifiable short and long-term objectives that also demonstrate leadership and commitment outside the organization.
The short- and long-term objectives are defined, and the relationship with the policy and strategy is evident. Processes and the relationship between the policy, strategy and the demonstrated leadership and commitment outside the organization are dynamically determined and maintained. Outcome — Objectives An option will be selected here. The processes for communicating the policy, strategy and objectives are done in an informal or ad hoc manner. The processes for determining the types and degree of communication needed are defined. Communication processes are defined and facilitate meaningful, timely and continual communication tailored to the differing needs of recipients, as it relates to the policy, strategy and relevant objectives. The interrelationships of this communication are clear with regard to the differing needs of recipients and how the policy, strategy and relevant objectives are used to aid in the sustained success of the organization.
Communication methods show a direct relationship to the context of the organization and the feedback mechanism is well defined and effectively deployed. The processes for communicating the policy, strategy and objectives are dynamic, with the interrelationships of the policy, strategy and objectives being clearly conveyed to all recipients, such that the differing needs of each are accounted for. Outcome — Communication An option will be selected here. Key processes, such as those relating to customer satisfaction and operations related to product and service, are managed. The effectiveness of the processes is individually measured, and acted upon. Interactions between processes are not well managed. Processes and their interactions are managed as a system. Interaction conflicts between processes are identified and resolved in a systematic way. Process performance has reached that of average organizations in the sector where the organization operates.
The effectiveness and efficiency of processes and their interactions are systematically reviewed and improved. Process performance has exceeded that of average organizations in the sector where the organization operates. Processes and their interactions are adapted and optimized to the context of the organization. Process performance has reached that of leading organizations in the sector where the organization operates. Outcome — Process management — General An option will be selected here. Key processes, such as those relating to customer satisfaction and operations related to product and service, are determined. Processes and their interactions are determined to address not only operations related to product and service, but also provision of resources and manager ia l activities e. planning, measuring, analysis, improvement. The needs and expectations of identified interested parties are used as inputs into process determination. Processes and their interactions are systematically determined to ensure that their outputs continue to meet the needs and expectations of customers and other interested parties.
Outcome — Determination of processes An option will be selected here. Process responsibilities are defined in an informal or ad hoc manner. The competencies required for the people associated with the individual processes are not defined. For each process, a process owner is appointed, who has defined responsibilities and authorities to establish, maintain, control and improve the process. A policy to avoid and resolve potential l d disputes in managing processes exists. A process owner is appointed for each process, with sufficient responsibility, authority and competence to establish, maintain, control and improve the process and its interaction with other processes. The competencies required for the people associated with individual processes are well defined and continually improved. Responsibilities, authorities and roles of process owners are recognized throughout the organization. Responsibilities and authorities for interactions between processes are well defined.
The people associated with individual processes have sufficient competences for the tasks and activities involved. Outcome — Process responsibility and authority An option will be selected here. The network of processes, their sequence and interactions are visualized in a graphic to understand the roles of each process in the system and its effects on the performance of the system. Criteria for the outputs of processes are determined. The capability and performance of processes are evaluated and improved. The risks and opportunities associated with processes are assessed and necessary actions are implemented to prevent, detect or mitigate undesired events. Processes and their interactions are reviewed on a regular basis and suitable actions are taken for their improvement to support sustained and effective processes. The capability and performance of processes are sufficient to effectively and efficiently achieve the performance expected by the system.
Processes and their interactions are improved in an informal or ad hoc manner. The achievement of the objectives for improvement of processes and their interactions are reviewed on a regular basis. The action plans for attaining the objectives are determined, taking into account the resources needed and their availability. People are motivated to engage in the improvement activities and propose opportunities for improvement in the processes for which they are in charge. The need to develop or acquire new technologies, or develop new products and services or their features, for added value, are considered. Outcome — Managing processes attaining a higher level of performance An option will be selected here. Processes and their interactions are operated in an informal or ad hoc manner. Procedures are determined for relevant processes but not well followed. Procedures are determined for each process, including the criteria for its outputs and operational conditions.
Managers take necessary corrective actions when the procedures are not followed. Resources necessary for people to follow the procedures are made available. People have sufficient knowledge and skills to follow the procedures and understand the impacts of not following the procedures. Check points and related performance indicators are the term used to detect deviations which are mainly caused by changes in people, equipment, methods, material, measurement and environment for operation of processes and to take appropriate actions when necessary. A system for determining the knowledge and skills needed for each process, evaluating the knowledge and skills of the process operators, and providing qualifications for operating the process is established.
Risks and opportunities in the procedures are identified, assessed and reduced by improving the procedures. Outcome — Managing processes maintaining the level attained An option will be selected here. Processes to manage the resources to support the operation in an organization are performed in an informal and ad hoc manner. Some of the resource management processes to support the achievement of objectives are determined. Support for the effective and efficient use of resources is defined in a limited manner. A basic approach for considering risks and opportunities, including the effects of not having sufficient resources in a timely manner, is in place.
Key processes to determine and manage the resources needed for the achievement of its objectives are determined. Resource management processes and the interactions for getting and assigning resources, aligned with the organizational objectives, are present. Some processes include an approach for effectively and efficiently applying resources. Resource management processes and the interactions for getting and assigning resources, aligned with the organizational objectives, are systematically implemented. Controls to support the effective and efficient use of resources in all processes are established. The accessibility of externally provided resources is confirmed by the organization.
External providers are encouraged by the organization to implement improvements on the efficient and effective use of resources. A strategic planning process for getting and assigning resources is in place and is aligned with the organizational objectives in order to achieve effective and efficient performance in support of the sustained success. The use of externally provided resources shows continual improvement. There are joint initiatives with external providers to evaluate and incorporate improvements and promote innovations on the use of resources. Outcome — Resource management — General An option will be selected here. Competent, engaged, empowered and motivated people are considered to be a resource in an informal or ad hoc manner.
Processes to attract competent, engaged, empowered and motivated people are implemented. Processes for determining, developing, evaluating and improving resources are evident in some cases. A planned, transparent, ethical and socially responsible approach is applied at all levels throughout the organization. Reviews and evaluations of the effectiveness of actions taken ensure the personal competences in both the short and long term are in accordance with the mission, vision and objectives. Information, knowledge and experience are shared to provide personal growth.
This template is designed to be used to perform a self-audit in accordance with the ISO standards. Self-auditing can clearly outline a high-level view of the performance of an organization, and the effectiveness of its management systems. It can also help to identify areas that are in need of improvement and determine which of these areas should be prioritized, in accordance with business goals or regulatory standards. Self-auditing should be used to discover potential for innovation and continuous improvement, utilizing the output of the audit, usually in the form of clearly outlined strengths, weaknesses, risks, and opportunities for improvement. This checklist provides an extensive framework for improvement based on the principles outlined in this quality management guidance document.
It can be used as is, or edited and customized to suit your specific needs. Each task employs five levels with which to assess audit outcome, which can be extended to include additional levels or otherwise customized as needed. The following guidelines can be observed in order to ensure effective, efficient, and sustained success of an organization:. In addition to this resource, we also have the following ISO-related templates in the form of a quality management system mini-manual blueprint, and a fully fleshed-out version of that blueprint:. Below, you can enter the details of the relevant team member to be assigned for this approval task.
An approvals task has been assigned to this section. The relevant personnel, can look through the Self-Audit overview, and reject, reject with comments or approve as required. The approval task is a stop task meaning you cannot progress in this template until this task is complete. Managing processes attaining a higher level of performance : {{form. Managing processes maintaining the level attained : {{form. Improvement, learning and innovation — General: {{form. The relevant personnel, can look through the Self-Audit results, and reject, reject with comments or approve as required. Use the file upload or website link form field below to attach or link to a more comprehensive set of recommendations, if applicable. What is Process Street? Request a demo. Share Copy link Facebook Twitter Email. Edit in Process Street. Back to templates. ISO Self-Audit Checklist Run this checklist to perform an internal audit using guidelines set out in the ISO standard for achieving sustained success, consistent with principles of quality management outlined in ISO Enter checklist details.
Run the Self-Audit:. Relevant interested parties. External and internal issues. Mission, vision, values and culture. Leadership — General. Policy and strategy. Process management — General. Determination of processes. Process responsibility and authority. Managing processes attaining a higher level of performance. Managing processes maintaining the level attained. Resource management — General. Organizational knowledge. Infrastructure and work environment. Externally provided resources. Natural resources. Analysis and evaluation of an organization's performance — General. Performance indicators. Performance analysis.
Performance evaluation. Internal audit. Improvement, learning and innovation — General. Self-Audit Results and Overview:. Action items. Related Checklists:. Introduction: How this template works This template is designed to be used to perform a self-audit in accordance with the ISO standards. Progress over time should also be factored in, on occasion of repeat audits. Guidelines for success The following guidelines can be observed in order to ensure effective, efficient, and sustained success of an organization: Prioritizing and fulfilling the needs and expectations of interested parties Adequately collecting and assessing metrics of performance within the organization Constantly seeking to identify and implement improvements across the organization Utilizing policies, strategies, and objectives to further business goals Effectively and efficiently managing resources with regard to business processes Enforcing a company culture based on trust, transparency, and worker empowerment Establishing and maintaining beneficial relationships with relevant interested parties where possible, and constantly seeking to develop new beneficial relationships.
Additional resources In addition to this resource, we also have the following ISO-related templates in the form of a quality management system mini-manual blueprint, and a fully fleshed-out version of that blueprint: ISO Structure Template ISO Marketing Procedures How Process Street works Process Street is a tool for managing and running processes in an organization. With Process Street, you can quickly and easily create, edit and deploy your processes. Name of auditor. Reason for audit. Notes on previous audit — if applicable. Date the audit starts Date will be set here. Name of Self-Audit results approver. The interested parties are determined, including their needs and expectations and whether the associated risks and opportunities are informal or ad hoc.
Processes to meet the needs of some interested parties are established. Ongoing relationships with interested parties are established as informal or ad hoc. Processes for determining which interested parties are relevant are in place. Processes for determining the relevance of interested parties include consideration of those that are a risk to sustained success if their needs and expectations are not met and those that can provide opportunities to enhance sustained success. The needs and expectations of the relevant interested parties are identified. Processes to fulfil the needs and expectations of the interested parties are established. Processes for assessing the relevance of the needs and expectations for relevant interested parties are in place and are used to determine which ones need to be addressed. The needs and expectations of key interested parties are addressed and reviewed such that improved performance, common understanding of objectives and values, and enhanced stability have been realized in some of these ongoing relationships.
Processes and relationships with relevant interested parties are fulfilled according to the relevant needs and expectations determined. This has been done as part of understanding the benefits, risks and opportunities of ongoing relationships. The needs and expectations of all relevant interested parties are addressed, analysed, evaluated and reviewed, such that there is improved and sustained performance, common understanding of objectives and values, and enhanced stability, including recognition of the benefits derived from these ongoing relationships. Outcome — Relevant interested parties An option will be selected here. Processes for determining and addressing external and internal issues are informal or ad hoc. The risks and opportunities related to the issues identified are determined as informal or ad hoc. External and internal issues are determined and show consideration for factors such as statutory, regulatory and sector specific requirements, globalization, innovation, activities and associated processes, strategy and levels of competence and organizational knowledge.
Processes to address issues considered to be risks to sustained success, or opportunities to enhance sustained success, are established, implemented and maintained. Processes for the ongoing monitoring, reviewing and evaluation of external and internal issues are established, implemented and maintained, with actions arising from this process acted on. Outcome — External and internal issues An option will be selected here. Processes for determining the identity of the organization, a long with the establishment of mission, vision, values and culture, are informal or ad hoc. An understanding of the current culture, and whether there is a need to change it, is informal or ad hoc.
Top management is involved in determining the mission, vision and values, based on processes that account for the definition and sustainment of the context of the organization in relation to its defined identity. An understanding of the current culture, a long with a process for considering the need for a change to that culture, is in place. A clearly defined understanding of the current culture, a long with a process for considering the need for a change to that culture, is implemented and maintained. The strategic direction of the organization and its policy are aligned with its mission, vision, values and culture. Changes to any of these identity elements are communicated within the organization and to its interested parties, as appropriate.
A process for reviewing these elements at planned intervals by top management is well established and maintained. This includes consideration of external and internal issues as part of the verification of alignment between the elements of the identity of the organization, its context, its strategic direction and its policy. Outcome — Mission, vision, values and culture An option will be selected here. Only some interrelationships between leadership and commitment, including the maintenance of a competitive organizational structure, maintaining unity of purpose and direction, and reinforcement of values and expectations are determined.
A competitive organizational structure and unity of purpose are established. Processes to maintain the culture and promote accountability are acted on. All relevant factors and their interrelationships are considered in process determination. Processes and the interactions of leadership with all levels of the organization are dynamically determined and used to establish and sustain the success of the organization. Outcome — Leadership — General An option will be selected here. The policy and strategy, and the basic strategy framework, are determined. Processes and the interactions related to the policy and strategy are defined to address all applicable aspects, models and factors.
The policy and strategy decisions are reviewed for continuing suitability and changed as deemed necessary by top management. Processes and their interactions are systematically determined to ensure the policy and strategy provide a comprehensive framework for process management, to support deployment and facilitate changes, as well as to effectively account for applicable aspects and factors.
ISO 9004:2018,Quality management — Quality of an organization — Guidance to achieve sustained success
AS ISO pdf blogger.com resource management——Guidelines on human ISO (E) Introduction This document provides guidance for organizations to achieve 24/01/ · Therefore a brief review of the ISO (the latest version) is being given ISO Self-Audit Checklist Run this checklist to perform an internal audit using Download now of 68 INTERNATIONAL ISO STANDARD Fourth edition Quality 13/08/ · NORME NF EN ISO Avril pdf - Free download as PDF File .pdf) or ... read more
For undated references, the latest edition of the referenced document including any amendments applies. Values and expectations are established and communicated. Collected data are beginning to be used in a preventive way. Daniela Lazcano Gonzales. The effectiveness and efficiency of processes and their interactions are systematically reviewed and improved. Back to templates.
Key processes to determine and manage the resources needed for the achievement of its objectives are determined. The organization involves other interested parties in its audits, iso 9004:2018 pdf download order to help identify additional opportunities for improvement. The interrelationships of this communication are clear with regard to the differing needs of recipients and how the policy, strategy and relevant objectives are used to aid in the sustained success of the organization. Reviews and evaluations of the effectiveness of actions taken ensure the personal competences in both the short and long term are in accordance with the mission, vision and objectives. The competences required for the people associated with individual processes are well de fined and continually improved. proprietary, iso 9004:2018 pdf download, customized or standard solutions F Place — considering local, regional and global presence — considering virtual presence and use of social media — considering the use of virtual decentralized project teams G Pricing — establishing price position e. jamaludin alpabelani.
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