Today’s blog is going to take a deeper dive into clause 4.2 of the ISO standards – 4.2 Understanding the needs and expectations of interested parties (aka stakeholders – why the change in terminology we aren’t sure but perhaps being interested in a party has more appeal than holding a steak!). Note: a sample/template Interested Parties Register is available by clicking 4.2 Interested Parties Register.
This clause has solidified its place in the ISO standards and is featured in (but is not limited to) the following standards:
It is interesting that this clause is featured so prominently, at the beginning of the standards right in between 4.1 Organisational Context and 4.3 Scope. No doubt the assumption is that in order to develop the management system to satisfy all parties and fulfill all requirements, an organisation must first determine who those parties are, and define their needs and expectations. Once this has been done, the outcome of the management system must appropriately fulfill the needs and expectations as documented.
What does clause 4.2 Understanding the needs and expectations of interested parties require?
Across all of the standards listed above the very first requirement under 4.2a is to determine the interested parties that are relevant to the management system – the people, companies, organisations, authorities, and groups that interface with the organisation. Pretty straight forward – who are they? This information is usually gathered through cross-functional brainstorming, with actual interested parties varying based on the context of the organization and the scope of activities.
Typically the interested parties include:
Certification Bodies
Shareholders / Owners
Management
Employees
Suppliers and Subcontractors
Partners
Clients
Competitors
Government agencies
Finance
Insurance
Emergency Services
Landlords
Neighbours
Members of Public
Unions
Utilities and Service Providers
Media
Regulators
any other person or organization interested in the organisation
Now that you have a list of the interested parties applicable to the organisation, you are in a position to define clause 4.2b the relevant needs and expectations (requirements) of these interested parties. This could be achieved internally through brainstorming, or you could consider obtaining external input to more accurately identify the Voice of Interested Party (VoIP) / Voice of Customer (VoC) through surveys or interviews.
Next to each interested party clearly define what their requirements are – what are their needs (what must we do for them?) and what are their expectations (what are they expecting of us?).
Following this, we recommend reviewing the needs and expectations as documented to determine which of these is currently, or could become a legal requirement. This requirement is not consistent through the ISO standards above however it does feature in most and follows best practice. Many of the standards above also include specific requirements related to the context of the standard ie ISO 55001 Asset Management requires the identification of stakeholder requirements to record information relevant to asset management. These requirements must also be addressed when developing your Interested Parties Register.
What then?
Once the Interested Parties Register has been developed, you may like to use the information as an input when developing SMARTER Quality Objectives – defining what performance targets and results are necessary to deliver to meet the needs and expectations of relevant interested parties.
The Interested Parties Register should also be taken into consideration during the development of the Strategic Plan and risk management framework, with risks of not meeting the needs and expectations and include in the Quality Risk Register (along with controls – mitigation strategies etc) if applicable.
Set and forget?
Definitely not- clause 4.2 Understanding the needs and expectations of interested parties requires the information related to interested parties is monitored and reviewed, with an implication that they will be maintained and current. Based on this we recommend a review of interested parties as a standing agenda item at Management Review Meetings. Additionally, interested parties could also be reviewed as part of 6.3 Planning of Changes to ensure changes do not have an adverse effect on existing interested parties, or introduce new interested parties as a result of the changes.
How Streamline can help
Streamline ISO Consultants can design, develop and implement a certification-ready Quality Management System from the ground up to meet ISO 9001 requirements. If you already have an existing management system in place we will help you integrate ISO 9001:2015 into your current management system (eg ISO 45001 Safety or ISO 14001 Environmental) to form an Integrated Management System (IMS).
Our trained and experienced ISO Consultants have a 100% track record achieving certification for our clients and we guarantee your ISO 9001:2015 quality management system will get certified by a JAS-ANZ accredited Certification Body.
Contact Us Today
If you’d like more information, or to request a Quick Quote please use the form to the right and one of our consultants will contact you within one business day. Alternatively, you are welcome to contact us directly by phone or by emailing [email protected]
Smartsheet is a cloud-based software solution that is extremely easy to use (same as Excel), very cost effective and provides some powerful tools such as conditional formatting and alerts/notifications, team collaboration and resource allocation. Here is our guide for Smartsheet for ISO 9001, ISO 45001 & ISO 14001.
As ISO Consultants, we find Smartsheet is our preferred platform to develop Quality 9001:2015, Safety 45001:2018 and Environmental 14001:2015 Management Systems. It streamlines administrative processes associated with the maintenance of ISO business management systems and ensures information is kept current and accessible when and where it is needed.
Typically, we establish the following registers in Smartsheet to support Quality, Safety & Environmental Management Systems:
Document Register – centralised document storage with permissions to control read/write access as required. Reminders set to alert relevant personnel when document review is required.
Training and Competency Register – an improved version of the standard excel Training Matrix that can store employee details, licenses, qualifications, and competencies. Conditional formatting in place to identify when qualifications have expired or Verification of Competency is due.
Approved Suppliers & Approved Subcontractors – register of suppliers and subcontractors including business information, qualifications, insurances and performance history/data.
Equipment Test & Calibration Register – list of equipment requiring test, calibration, inspection including due dates, reminders and conditional formatting to provide a visual indication of status.
Plant & Vehicle Register – plant and vehicle information including service, registration, and insurances. Conditional formatting and reminders to ensure key dates are monitored and renewed prior to expiry.
Improvement Register – non-conformance, incidents & improvement opportunity registration, corrective action and action to prevent a recurrence. Responsibility allocation and identification of status.
Internal Audit and Inspection Register – schedule for managing all internal audit and inspection requirements. Copies of completed reports held on register and link to Improvement Register for any improvement items identified.
Any other registers required to support the operation of the management system eg Enquiries Register, Tender/Contract Register, Project Register etc.
To ensure the registers are updated with current information, a combination of Smartsheet Forms and Update Requests can be utilised. We highly recommend you review the possible functionality benefits to your business and consider a Smartsheet based ISO Management System.
For more information contact us, or see below for some links to the Smartsheet Software videos.
Clause 6.2 of ISO 9001:2015 Quality Management Systems Standard requires an organisation to establish ISO 9001 Quality Objectives at relevant functions, levels, and processes needed for the quality management system ie – how will the performance of the quality management system be measured and what are the objectives we are hoping to achieve through implementation of the QMS.
How SMARTER Quality Objectives can Help
Whilst it is not specified in ISO 9001, we recommend SMARTER Quality Objectives that underpin the delivery of the goals detailed the organisation’s strategic plan, support the Quality Policy, and are aligned with the SMARTER philosophy of:
S – Specific: quality objectives should be clearly articulate what is trying to be achieved. They should be relevant to the conformity of products and services and to enhance customer and stakeholder satisfaction.
M – Measurable: Quality Objectives should be quantitative and data to support performance able to be measured. This data is needed to identify baseline performance against the objectives and to allow for ongoing performance measurement.
A – Achievable: Quality Objectives should be realistic and attainable to be successful. There is no point in having an objective that is not achievable.
R – Relevant: Quality Objectives should support the Quality Policy and the organisation’s Strategic Plan.
T – Time-bound: When will the objective need to be achieved by? Is it an ongoing objective measured at a specified frequency or a targeted completion objective?
E – Evaluated: Quality Objectives are required to be evaluated at Management Review Meetings – Clause 9.3.2 of ISO 9001:2015.
R – Reviewed: Quality Objectives are required to be reviewed at Management Review Meetings – Clause 9.3.2 of ISO 9001:2015.
Clause 6.2.2 of ISO 9001:2015 also requires that when organisations are planning their Quality Objectives they determine:
what needs to be done,
resourcing requirements,
responsibilities,
schedules and due dates,
how the results of the performance will be evaluated
Government Funding Grants for ISO 9001 Certification
Did you know that many Australian businesses are actually eligible for help with ISO 9001 Certification through a government-funded Business Growth Grant? Click HERE for more information.
Who Needs to Know about the ISO 9001 Quality Objectives?
Quality Objectives should also be communicated to all personnel whose roles and responsibilities have a direct or indirect bearing on the performance of the objective. This includes the results of monitoring, review, and evaluation of performance data in order to ensure ownership and accountability of performance.
Summary
Quality Objectives and being able to measure the performance of the Quality Management System are key to identifying performance problems and also demonstrating continual improvement. Importantly, developing clear, concise SMARTER Quality Objectives also requires systems for capturing meaningful data to support performance against the objectives, and ultimately the achievement of the Quality Policy and goals as detailed in the organisation’s Strategic Plan.
RFTs include Quality, Safety and Environmental certification criteria to provide the organisation issuing the tender with an assurance that you have appropriate business management systems in place to deliver the goods and services as specified in the RFT, as well as comply with all legal requirements including Workplace Health and Safety and the Environmental Protection laws. It also demonstrates your organisation has undertaken a commitment to establishing and implementing best practice business processes and continual improvement.
How are Tenders evaluated?
Typically tenders are evaluated/assessed using a weighting system, something like:
Quality Management System implemented but uncertified – Half Points
No Quality Management System – No Points
Based on this, if you are submitting a Tender Response without full ISO 9001 QMS Certification, and your competitors are certified then it may be the difference between winning and losing the tender.
What if the Tender is closing soon?
If you have a Tender that is closing soon there is a chance that you may be able to achieve fast ISO 9001 certification in as little as ten days. There are some required conditions for this to happen so CLICK HERE if you are in this situation.
How Streamline can help
Streamline ISO 9001 consultants can design, develop and implement a certification-ready Quality Management System from the ground up to meet ISO 9001 requirements – ensuring you get ISO 9001 QMS for tenders. If you already have an existing management system in place we will help you integrate ISO 9001:2015 into your current management system (eg ISO 45001 Safety or ISO 14001 Environmental) to form an Integrated Management System (IMS).
Our trained and experienced ISO Consultants have a 100% track record achieving certification for our clients and we guarantee your ISO 9001:2015 quality management system will get certified by a JAS-ANZ accredited Certification Body.
Contact Us Today
If you’d like more information, or to request a Quick Quote please use the form to the right and one of our ISO Consultants will contact you within one business day. Alternatively, you are welcome to contact us directly by emailing [email protected] or calling:
Brisbane 07 3667 8280
Sydney 02 8315 7780
Melbourne 03 9034 3990
We look forward to hearing from you and answering any questions you may have.
