The leadwise we teach is called Insight Leadwise.
Management system guideline
5.0 Leadership “Leadwise” principle introduces the ISO tool that provides practical, expert guidance for businesses wishing to interpret and better implement the requirements of ISO 9001:2015, ISO 14001:2015 and ISO 45001:2018.
Our range of templates cover the requirements of ISO 9001:2015, ISO 14001:2015 and ISO 45001:2018, and offer an easy way to implement your next management system. 5.1 Leadership and commitment 5.1.1 General Top management must ensure that the requirements of the management system, including the policies and objectives, are consistent with the strategic context and direction of your organization, and that the policies and objectives are established whilst ensuring that the human and financial resources needed for implementing the management system are available.
You should look for evidence that Top management has taken a ‘hands-on’ approach to the management system during interviews and whilst recording compliance to other requirements e.g. determining organizational context, policies, objectives, management review minutes, provision of resources etc.
How are policies and objectives established? Do they align with the strategic direction and the organizational context? How are policies and objectives communicated within the organization? Can you demonstrate how policies are understood and applied? How are the requirements of the QMS integrated into the business processes? How is awareness of the process approach promoted? How are resources determined? How do you communicate the importance of effective QMS management, and conforming to QMS requirements; How do you ensure that the QMS achieves its intended results? How do you engage, direct and support people who contribute to the effectiveness of the QMS? How is continual improvement promoted? How are other relevant management roles supported to demonstrate leadership in their areas of responsibility? Without solid management commitment, you will not have a successful management system. This is not a commitment in words; it is the continuous and active demonstration to everyone in the organization that the need to meet customers’ expectations is vital. The actions required of Top management must include:
Supporting the management system and actively promote the agenda; Encouraging the goal of meeting, customer, regulatory and statutory requirements; Developing and supporting the management system by defining and communicating policies; Establishing organizational objectives; Ensuring appropriate resources are available. Implementing and improving the management system by encouraging employees to achieve requirements; Reviewing management system performance; Ensuring resources are available to improve the management system. 5.1.2 Customer focus Customer focus involves determining customer requirements and ensuring that processes exist to meet the requirements and achieve customer satisfaction. Enhance customer satisfaction by ensuring that customer requirements are identified.
Identifying customer requirements; Meeting customer requirements; Enhancing customer satisfaction. When auditing customer focus, you should assess whether customer satisfaction is adequately determined and whether appropriate corrective action is undertaken when things go wrong.
The customer feedback process should be audited as a process in its own right and not just as a clause in the standard. Determine how this process is planned, implemented and improved as these factors will affect the processes’ ability to provide meaningful information about the effectiveness of the management system.
Top management must also ensure that customer and applicable statutory and regulatory requirements are identified and consistently met and that the focus on enhancing customer satisfaction is maintained.
Top management must also determine and address the risks and opportunities that can affect conformity of products and services and the organization’s ability to enhance customer satisfaction.
You should seek and record evidence that Top management is taking a ‘hands-on’ approach to the management of the management system, be prepared to constructively challenge Top management’s commitment.
Are Top management attending management review meetings? Do they support the QMS Manager during day-to-day activities and with improvement initiatives? Do they lead the way and take accountability for the effectiveness of the QMS? Have they ensured that responsibilities and authorities for relevant roles are assigned and understood? Have they ensured that responsibilities and authorities are communicated? Have they established, implemented and maintained policies and objectives?
5.2 Quality policy 5.2.1 Establish the quality policy ISO 9001:2015 requires your organization’s quaity policy to be appropriate to both its purpose and context. This means that once your organization has determined its context and the relevant requirements of its interested parties, Top management must review the quality policy in light of that information.
You should review your organization’s existing quality policy to determine whether it is appropriate to the context of the organization and its purpose, that there is a commitment to continually improving the quality management system, and the quality objectives are consistent with the quality policy. Top management should demonstrate that the quality policy is compatible with the strategic direction and context of the organization, as required by Clause 5.1.1b.
Your organization will need to review its policies as necessary to ensure that any changes in context, interested parties or their requirements is reflected in the quality policy and whether your organization’s objectives are effected (6.2.1 a). The policy does not have to include objectives but should create a framework for establishing them.
The policy should be stated in such a way that it aims toward continual improvement. It should be reviewed and possibly revised to meet higher aspirations. Develop and implement a policy that is consistent with the company’s codes of conduct and business practices. The policy should be signed by senior management and commit to:
Preventing process loss or quality impacts; Complying with obligations and legal requirements; Promoting continual improvement; Adopting best practice; Creation of measurable and achievable targets for performance improvement; Providing resources to achieve targets; Communicating and consulting with all stakeholders regarding the QMS; Meeting customer requirements. Certification does not require that the quality policy includes the words ‘continual improvement’; however it must be ascertained that processes of continual improvement are implied and known throughout the organization. To meet the intent of this clause, the auditor would be looking for clearly defined management system quality policy that are sufficiently detailed to provide a framework for the subsequent objectives that can be monitored for continual improvement.
The auditor’s intent is not just conformance to the requirements but also to assist an organization in meeting their business objectives, better customer satisfaction and eventually more market share, which, in time, brings more profits for the organization.
When interviewing Top management, their input into, and commitment to, the management system quality policy should to be determined. For multi-site/corporate certifications, the policies must be applicable for all sites and be fully integrated with the objectives.
5.2.2 Communicating the quality policy ISO 9001:2015 requires that the quality policy is maintained as documented information, refer to Clause 7.5.1a. You should check whether the policies have been communicated and understood throughout your organization. The policy must also be available to any relevant interested parties.
If the personnel interviewed do not know what their measurable objectives are and/or do not know what the organizational objectives are that they have a direct effect upon, the auditor would be further directed to evaluate top management’s communication of the policies and objectives.
Inferred awareness through knowledge of procedures is not considered sufficient; otherwise why have the requirement in the first place? A quick and convenient way to promote and communicate the quality policy might be to create a shortened version of main policy; try condensing it to five key words or even a couple of short sentences. This can be posted on bulletin boards in each department.
You could even add it to the reverse side of staff security passes or ID badges. If an auditor asks an employee whether they are aware of the quality policy; they can point to the bulletin board, or point to it on their badge. The employee can further elaborate to the auditor, what the policy means to them and how it influences their work.
Auditors will wish to determine if the quality policy meets the intent and are understood, by interviewing personnel at all levels. Although the exact content of the quality policy does not need to be recited by interviewees, the awareness of the policies and how their job affects the company objectives should be determined.
This does not require your employees to memorize the quality policy but it does mean they should be aware of it, know where it may be found and be able to paraphrase, or give an interpretation as it applies to them.
5.3 Roles, responsibility and authority The guidance shown on this page is relevant to ISO 9001, ISO 14001 and ISO 45001. Each employee needs to know who is responsible for the various elements of the management system to ensure a successful implementation. Develop an organization chart and create job descriptions to satisfy the requirements in order to clearly define roles, responsibilities and authorities and communicate those responsibilities and authorities throughout your organization.
You should develop and make available to all employees a list of key personnel and their job descriptions, responsibilities, along with an organization chart of key employees as they relate to your management system. This should effectively define, document, and communicate the organizational structure of the management system. Please note that this method is a suggestion, and other ways of meeting the requirement for organizational structure may be used.
There is no longer a requirement for appointment of Management Representative, though the duties currently assigned to the MR under ISO 9001:2008 or ISO 14001:2004 must still be undertaken but can be assigned to different personnel, or to the quality system manager. Examples of objective evidence to verify implementation might include:
Communication of roles, responsibilities and authority; Processes and procedures to fulfil requirements are adequately resourced; Awareness of expectations is demonstrated in all relevant levels of the organization; Reporting on the operation (audits & inspections) and performance of the management system is done (business meetings, KPI reviews, etc.). You should seek evidence that your organization’s personnel have not only been advised of their management system responsibilities and authorities, but also that they understand these in the context of the overall purpose of the management system.
You should also ensure that Top management have assigned responsibility and authority for preserving the integrity of the organization’s management system during changes.
8.2 Requirements for Products and Services ISO Navigator Pro™ is a free tool that provides practical, expert guidance for businesses wishing to interpret and better implement the requirements of ISO 9001:2015, ISO 14001:2015 and ISO 45001:2018.
Our range of templates cover the requirements of ISO 9001:2015, ISO 14001:2015 and ISO 45001:2018, and offer an easy way to implement your next management system. 8.2.1 Customer Communication This requirement is directly comparable to the requirements of ISO 9001:2008 Clause 7.2.3 Customer Communication. It has been expanded to include new requirements to obtain ‘customer views and perceptions’ instead of ‘customer feedback’. Some or all of the following specific customer communication should be observed and evidenced:
Marketing information; Quotations and order forms; Confirmation of authorized orders and amended orders; Delivery notes and certificates of conformity; Invoices and credit notes; E-mail and general correspondence; Site visit reports or notes to/from customer; Customer feedback and complaints management process. You should ensure that your organization has established effective arrangements for providing the customer with product information, a means of handling inquiries and orders and a method for handling customer comments that includes both compliments and complaints. Establish processes for communicating with your customers:
Develop a process to control communications with customers; Implement your customer communications process; Communicate with your customers; Maintain records.
[Sources: iso9000family, iso45000, iso14000, ]