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Prior to ISO 9001:2000, there were ISO 9002 and ISO 9003 too. These were subsets of ISO 9001 with certain exclusions. ISO 9002 & ISO 9003 (1987 and 1994) incorporated in ISO 9001:2000 and withdrawn
Process approach
Process approach to quality management encouraged An activity using resources, and managed in order to enable the transformation of inputs into outputs, can be considered as a process.
Processes:
Resources
Input
Controls
Output
Resources Input
Process A
Controls
Process C
Output
Process B Process D
Customer satisfaction
C U S T O M E R S
Continual Improvement of the Quality Management System
R e q u i r e m e n t s
Management responsibility
Resource management
Input Product realisation
C U S T O M E R S
S a t i s f a c t i o n
Designed to complement each other Can be used independently Different scope - similar structure ISO 9001 can apply for certification or contractual purposes and focuses on effectiveness ISO 9004 provides wider focus on quality management
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1 Scope (1.1 General) Standard specifies QMS requirements for use to: demonstrate organisations ability to consistently provide product meeting customer & applicable statutory & regulatory (legal) requirements enhance customers satisfaction through effective application of the system including processes for its continual improvement and assurance of conformity to customer and applicable statutory & regulatory requirements
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1.2 Application
Requirements are generic Requirement may be excluded if cannot be applied due to the nature of organisation and its product Exclusions must:
Not affect ability or responsibility to provide conforming product Be limited to Clause 7
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2 Normative reference
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Establish, document, implement and maintain a QMS and continually improve its effectiveness in accordance with the standard
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4.1 General Requirements Determine the processes necessary for QMS Determine the sequence and interaction of processes Determine criteria & methods to ensure effective operation & control of the processes Ensure availability of resources and information needed to support the operation & monitoring of the processes Monitor, measure where applicable and analyse processes Implement actions necessary to achieve planned results & continual improvement
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Manage the processes in accordance with the standard Ensure control of outsourced processes affecting product conformity Define control of outsourced processes within the QMS Control over outsourced processes does not absolve the organization of its responsibilities
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4.2.1 General
Documented procedure means that it must be established, documented, implemented and maintained Extend of documentation may differ due to
Size & type of organisation Complexity & interaction of processes Competence of personnel
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Records to provide evidence are controlled Documented procedure to define the controls needed for the identification, storage, protection, retrieval, retention and disposition of quality records. Records must be legible, readily identifiable and retrievable.
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5 Management responsibility 5.1 Management commitment 5.2 Customer focus 5.3 Quality policy 5.4 Planning
5.4.1 Quality objectives 5.4.2 QMS planning
Provide evidence of commitment to the development implementation and continual improvement of QMS by:
communicating the importance of meeting customer and statutory and regulatory requirements establishing quality policy & objectives management reviews provision of resources
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appropriate to the purpose of the organisation commitment to comply with requirements continually improve the effectiveness of the QMS framework for establishing & reviewing quality objectives communicated and understood reviewed for continuing suitability
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Establish quality objectives Measurable & consistent with the quality policy Include those needed to meet requirements for product
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Planning of the QMS is carried out in order to meet requirements given in 4.1, as well as the quality objectives Maintain the integrity of the QMS integrity when changes are planned and implemented
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5.5.2 Management Representative Member of the organizations management Ensures that processes needed for the QMS are established, implemented and maintained Reports on performance of QMS including needs for improvement Promotes awareness of customer requirements
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Communication processes are established Communication takes place regarding the effectiveness of QMS
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5.6 Management Review 5.6.1 General Review of the QMS by top management at planned intervals to:
ensure QMS suitability, adequacy & effectiveness assess opportunities for improvement evaluate the need for changes to QMS including policy & objectives
Records maintained.
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Management Review
Management Review
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6 Resource Management
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6.2.1 General Personnel performing work affecting conformity to product requirements must be competent on the basis of :
appropriate education training skills experience.
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Determine the necessary competence Provide training or take other action to satisfy those needs Evaluate the effectiveness of actions taken Ensure staff aware of relevance and importance of their activities and contribution to achieving objectives Maintain appropriate records of education, training, skills and experience
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6.3 Infrastructure
Determine, provide & maintain the infrastructure needed to achieve product conformity. Infrastructure includes, as applicable:
buildings, workspace equipment supporting services
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Determine and manage the work environment needed to achieve product conformity.
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7 Product realization
Planning of product realization Customer related processes Design & development Purchasing Production & service provision Control of measuring & monitoring equipment
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7.2.1 Determination of requirements related to product 7.2.2 Review of requirements related to product 7.2.3 Customer communication
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Record the results of review and actions Confirm requirements, when customer does not provide documented requirements When requirements are changed ensure that documents are amended and relevant persons are made aware of the changes.
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7.3 Design & development (not applicable in L&M) 7.3.1 7.3.2 7.3.3 7.3.4 7.3.5 7.3.6 7.3.7 Design & development planning Design & development inputs Design & development outputs Design & development review Design & development verification Design & development validation Control of design & development changes
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Interfaces between groups must be managed Planning to be updated as the D&D progresses
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7.3.2 Design & development inputs Determine & record product requirements including:
functional & performance requirements applicable statutory and regulatory requirements information from previous similar designs any other essential requirements
Review input for adequacy Requirements must be complete, unambiguous and not in conflict with each other
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7.3.3 Design & development outputs D&D output in a form suitable for verification D&D output must
meet the input requirements provide information for purchasing, production and service provision contain or reference acceptance criteria define characteristics essential for proper & safe use
Involve all functions concerned Record the results and any necessary actions
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Verify D&D to ensure that output meets the input requirements Record the results of verification and necessary actions
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Perform D&D validation to confirm that product is capable of meeting the requirements for the specified or intended use Whenever applicable to be completed prior to delivery Results of validation and necessary actions must be recorded
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Design & development changes must be identified and records maintained Changes must be reviewed, verified and validated as appropriate and approved before implementation Record results of review of changes and any necessary actions
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7.4 Purchasing
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7.4.1 Purchasing process Ensure that purchased product meets requirements Type & extend of control depends on effect purchased product may have on the final product Evaluate and selects suppliers based on their ability to supply conforming product Establish criteria for selection, evaluation and re-evaluation of suppliers Results of evaluation and any necessary actions must be recorded
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Establish & implement inspection or other activities needed to ensure purchased product conformity Where organisation or its customer propose verification at suppliers premises, organisation must specify in purchasing information:
verification arrangements method of product release
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7.5
7.5.1 7.5.2
Control of production and service provision Validation of processes for production and service provision Identification & traceability Customer property Preservation of product
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7.5.1 Control of production and service provision Plan and carry out production & service provision under controlled conditions. Controlled conditions include as applicable:
a) availability of information describing product characteristics b) availability of work instructions, as necessary c) the use of suitable equipment d) availability & use of monitoring and measuring equipment e) implementation of monitoring and measurement f) the implementation of product release, delivery and post delivery activities
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Validate processes where outcome is not verified and as a consequence, deficiencies may become apparent after delivery Validation shall demonstrate the ability of processes to achieve results For these processes establish: criteria for review and approval of the process approval of equipment and qualification of personnel use of defined methods & procedures requirements for records revalidation
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Where appropriate identify product by suitable means throughout product realization Identify status with respect to measurement & monitoring requirements throughout product realization Where traceability is required control the unique identification of product Maintain records
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7.5.4 Customer property Care for customers property while it is under organisations control or being used by organisation Identification, verification, protection & safeguarding customer property provided for use or incorporation Any customer property that is lost, damaged or found unsuitable must recorded & reported to customer
Customer property includes intellectual property & personal data
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7.5.5
Preservation of product
Preserve the product during internal processing and final delivery to intended destination Include identification, handling, packaging, storage and protection This applies to constituent parts of a product
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7.6 Control of monitoring & measuring equipment Determine monitoring and measurements to be made & measurement & monitoring equipment needed to provide evidence of conformity of product Ensure measuring and monitoring is carried out consistently with monitoring and measurement requirements Suitability of measuring/monitoring software must be confirmed prior to use and re-confirm as necessary
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Calibrate or verify or both at specified intervals or prior to use against international or national standards. Where no such standard exist record the basis Adjust or re-adjust as necessary Have identification to determine calibration status Safeguard from adjustments invalidating calibration Protect from damage or deterioration during handling, maintenance& storage record results of calibration assess and record validity of previous results when device found to be out of calibration
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8.1 General
Plan & implement measurement, monitoring analysis and improvement processes needed to:
demonstrate conformity to product requirements ensure conformity of the QMS continually improve the effectiveness of the QMS
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Organisation shall monitor information related to customer perception as to whether the organisation has met customer requirements. The methods for obtaining and using this information must be determined
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8.2.2 Internal audit Select auditors to ensure objectivity and impartiality. Auditor must not audit own work. The documented procedure must cover:
responsibilities & requirements for planning and conducting audits reporting results and maintaining records
Corrective actions without undue delay Follow up to verify actions taken & report verification results
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Apply suitable methods for monitoring and, where applicable, measurement of QMS processes
These methods shall demonstrate the ability of the processes to achieve planned results Where planned results are not achieved corrections and corrective actions must be taken
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Nonconforming product must be identified and controlled to prevent unintended use or delivery Documented procedure to define controls, responsibility and authority When the nonconforming product is corrected it must be re-verified to demonstrate conformity
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8.3 Control of nonconforming product Organisation must deal with nonconforming product by one or more of the following ways: action to eliminate detected nonconformity concession preclude original intended use or application Taking actions appropriate to the effects, when nonconformity is detected after delivery Records of the nature of nonconformity and any subsequent action including concessions must be maintained
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customer satisfaction conformity to product requirements process, product characteristics and their trends including opportunities for preventive action suppliers
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8.5 Improvement
8.5.1 Continual improvement Organisation shall continually improve the effectiveness of the QMS through use of:
quality policy quality objectives audit results analysis of data corrective actions preventive actions management review 76
Take actions to eliminate the causes of nonconformities to prevent recurrence. Corrective actions appropriate to the impact of the problem Documented procedure shall define requirements for:
reviewing nonconformities (including customer complaints) determining the causes of nonconformities Evaluating the need for corrective action determining & implementing action needed recording results of action taken reviewing the effectiveness of the corrective action taken 77
8.5.3 Preventive action Determine action to eliminate the causes of potential nonconformances to prevent occurrence. Actions appropriate to the impact of the potential problem Documented procedure must define the requirements for
determining potential nonconformances & their causes evaluating the need for preventive action determining and implementing action needed recording the results of action taken reviewing the effectiveness of the preventive action taken
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