ISO 9001:2000 Quality Management System Requirements

Posted on Sep 17, 2024 in Other subjects

General

The design and implementation of an organization’s quality management system is influenced by varying needs, particular objectives, the products provided, the processes employed, and the size and structure of the organization.

This International Standard can be used by internal and external parties, including certification bodies, to assess the organization’s ability to meet customer requirements.

Process-Based Approach

This International Standard promotes the adoption of a process approach for developing, implementing, and improving the effectiveness of a quality management system.

One advantage of the process approach is the continuous monitoring of the binding sites between individual processes within the system of processes, as well as their combination and interaction.

When used in a quality management system, this approach emphasizes the importance of:

  • Understanding and meeting requirements
  • Considering processes in terms of value-added
  • Obtaining results of process performance and effectiveness
  • Continually improving processes based on objective measures

NOTE: Additionally, you can apply the “Plan-Do-Check-Act” (PDCA) methodology to all processes. PDCA can be briefly described as:

  • Plan: Establish the objectives and processes necessary to deliver results following customer requirements and organizational policies.
  • Do: Implement the processes.
  • Check: Monitor and measure processes and products against policies, objectives, and product requirements and report results.
  • Act: Take actions to continually improve process performance.

Relation with ISO 9004

ISO 9001 specifies requirements for a quality management system that can be used internally, for certification, or for contractual purposes. It focuses on the effectiveness of quality management in complying with the quality management system requirements.

ISO 9004 provides guidance on a wider range of quality management system objectives than ISO 9001, especially for continuous performance improvement and overall organizational effectiveness. ISO 9004 is recommended as a guide for organizations whose top management needs to go beyond ISO 9001 requirements, pursuing continuous performance improvement. However, it is not intended for certification or contractual purposes.

Compatibility with Other Management Systems

ISO 14001:1996 aims to improve the compatibility of the two standards for the benefit of the user community.

This International Standard does not include requirements specific to other management systems, such as environmental management, occupational health and safety management, financial management, or risk management. However, this International Standard enables an organization to align or integrate its quality management system with related management system requirements. An organization can adapt its existing management system(s) to establish a quality management system that meets this International Standard’s requirements.

Purpose and Scope

1.1 General

This International Standard specifies quality management system requirements applicable when an organization:

  • (A) Needs to demonstrate its ability to consistently provide products that meet customer and applicable regulatory requirements.
  • (B) Intends to achieve customer satisfaction through the effective implementation of the system, including processes for continual improvement and ensuring compliance with customer and applicable regulatory requirements.

NOTE: In this International Standard, “product” only applies to the product intended or requested by the customer.

1.2 Application

All requirements of this International Standard are generic and intended to be applicable to all organizations, regardless of type, size, or product provided. Where any requirement cannot be applied due to the organization’s nature and its product, it can be considered for exclusion.

2 Normative References

The International Standard quoted below contains provisions which, through reference in this text, constitute provisions of this International Standard. As the referenced standard is dated, subsequent amendments or revisions of the above International Standard do not apply. However, parties to agreements based on this International Standard are recommended to consider applying the most recent edition of the International Standard listed below. Members of IEC and ISO maintain registers of International Standards in force at the time.

ISO 9000:2000, Quality Management Systems – Principles and Vocabulary

3 Terms and Definitions

For this International Standard, the terms and definitions given in ISO 9000:2000 apply.

The following terms used in this edition of ISO 9001 to describe the supply chain have been changed to reflect the vocabulary currently in use.

———————— Organization Provider ———————— Customer

The term “organization” replaces “provider organization” used in ISO 9001:1994 and refers to the unit applying this International Standard. Similarly, the term “provider” currently replaces “subcontractor.”

Throughout this International Standard, “product” can also mean “service.”

4 Quality Management System

4.1 General Requirements

The organization shall establish, document, implement, maintain, and continually improve a quality management system’s effectiveness following this International Standard’s requirements.

The organization must:

  • Identify the processes needed for the quality management system and its application throughout the organization (see 1.2).
  • Determine the sequence and interaction of these processes.
  • Determine the criteria and methods required to ensure effective operation and control of these processes.
  • Ensure the availability of resources and information necessary to support the operation and monitoring of these processes.
  • Measure, monitor, and analyze these processes.
  • Implement the actions necessary to achieve planned results and continual improvement of these processes.

The organization must manage these processes following this International Standard’s requirements.

NOTE: The processes needed for the quality management system referred to above should also consider management activities, resource provision, product realization, and measurement implementation processes.

If the organization chooses to outsource any process that affects product conformity with the requirements, the organization shall ensure control over such processes. The control of such outsourced processes shall be identified in the quality management system.

4.2 General Documentation Requirements

The quality management system documentation should include:

  • Documented statements of a quality policy and quality objectives.
  • A quality manual.
  • Documented procedures required by this International Standard.
  • Documents needed by the organization to ensure the effective planning, operation, and control of processes.
  • The quality records required by this International Standard (see 4.2.4).

NOTE 1: When the term “documented procedure” appears in this International Standard, it means that the procedure must be established, documented, implemented, and maintained.

NOTE 2: The extent of the quality management system documentation can differ from one organization to another due to:

  • (a) The size of the organization and type of activities.
  • (b) The complexity of processes and their interactions.
  • (c) The competence of personnel.

NOTE 3: The documentation can be in any format or media type.

4.2.1 Quality Manual

The organization shall establish and maintain a quality manual that includes:

  • The scope of the quality management system, including details and justification for any exclusions (see 1.2).
  • The documented procedures established for the quality management system or a reference to them.
  • A description of the interaction between the quality management system processes.

4.2.2 Document Control

Documents required by the quality management system shall be controlled. Quality records are a special type of document and shall be controlled according to the requirements given in 4.2.4.

A documented procedure shall define the controls needed to:

  • Approve documents for adequacy before issue.
  • Review and update documents as necessary and re-approve them.
  • Ensure that changes and the current revision status of documents are identified.
  • Ensure that relevant versions of applicable documents are available at the point of use.
  • Ensure that documents remain legible and readily identifiable.
  • Ensure that external documents are identified and their distribution controlled.
  • Prevent the unintended use of obsolete documents and apply suitable identification if retained for any reason.

4.2.4 Control of Quality Records

Quality records must be established and maintained to provide evidence of conformity with requirements and the effective operation of the quality management system. Quality records shall remain legible, readily identifiable, and retrievable.

A documented procedure shall define the controls needed for the identification, storage, protection, retrieval, retention time, and disposal of quality records.

5 Management Responsibility

5.1 Management Commitment

Top management shall provide evidence of its commitment to developing, implementing, and continually improving the quality management system’s effectiveness by:

  • Communicating to the organization the importance of meeting customer, statutory, and regulatory requirements.
  • Establishing the quality policy.
  • Ensuring that quality objectives are established.
  • Conducting management reviews.
  • Ensuring the availability of resources.

5.2 Customer Focus

Top management shall ensure that customer requirements are determined and met to achieve customer satisfaction (see 7.2.1 and 8.2.1).

5.3 Quality Policy

Top management shall ensure that the quality policy:

  • (a) Is appropriate to the organization’s purpose.
  • (b) Includes a commitment to meet requirements and continually improve the quality management system’s effectiveness.
  • (c) Provides a framework for establishing and reviewing quality objectives.
  • (d) Is communicated and understood within the organization.
  • (e) Is reviewed for continuing suitability.

5.4 Planning

5.4.1 Quality Objectives

Top management shall ensure that quality objectives, including those needed to meet product requirements (see 7.1 a)), are established at relevant functions and levels within the organization. The quality objectives must be measurable and consistent with the quality policy.

5.4.2 Quality Management System Planning

Top management shall ensure that:

  • The planning of the quality management system is carried out to meet the requirements given in 4.1, as well as the quality objectives.
  • The integrity of the quality management system is maintained when changes to the quality management system are planned and implemented.

5.5 Responsibility, Authority, and Communication

5.5.1 Responsibility and Authority

Top management shall ensure that responsibilities and authorities are defined, communicated, and understood within the organization.

5.5.2 Management Representative

Top management shall appoint a member of management who, irrespective of other responsibilities, shall have responsibility and authority that includes:

  • Ensuring that processes needed for the quality management system are established, implemented, and maintained.
  • Reporting to top management on the performance of the quality management system and any need for improvement.
  • Ensuring the promotion of awareness of customer requirements throughout the organization.

NOTE: The management representative’s responsibility can include liaison with external parties on matters relating to the quality management system.

5.5.3 Internal Communication

Top management shall ensure that appropriate processes are established for internal communication and that communication takes place regarding the effectiveness of the quality management system.

5.6 Management Review

5.6.1 General

Top management shall review the organization’s quality management system at planned intervals to ensure its continuing suitability, adequacy, and effectiveness. This review shall include assessing opportunities for improvement and the need for changes to the quality management system, including the quality policy and quality objectives.

Records of management reviews shall be maintained (see 4.2.4).

5.6.2 Review Input

The input to management review shall include information on:

  • Audit results.
  • Customer feedback.
  • Process performance and product conformity.
  • The status of preventive and corrective actions.
  • Follow-up actions from previous management reviews.
  • Changes that could affect the quality management system.
  • Recommendations for improvement.

5.6.3 Review Output

The output from management review shall include decisions and actions related to:

  • (a) Improvement of the effectiveness of the quality management system and its processes.
  • (b) Improvement of product related to customer requirements.
  • (c) Resource needs.

6 Resource Management

6.1 Provision of Resources

The organization shall determine and provide the resources needed to:

  • (a) Implement and maintain the quality management system and continually improve its effectiveness.
  • (b) Enhance customer satisfaction.

6.2 Human Resources

6.2.1 General

Personnel performing work affecting product quality shall be competent based on appropriate education, training, skills, and experience.

6.2.2 Competence, Awareness, and Training

The organization shall:

  • Determine the necessary competence for personnel performing work affecting product quality.
  • Provide training or take other actions to satisfy these needs.
  • Evaluate the effectiveness of the actions taken.
  • Ensure that its personnel are aware of the relevance and importance of their activities and how they contribute to the achievement of quality objectives.
  • Maintain appropriate records of education, training, skills, and experience (see 4.2.4).

6.3 Infrastructure

The organization shall determine, provide, and maintain the infrastructure needed to achieve conformity to product requirements. Infrastructure includes:

  • (a) Buildings, workspace, and associated utilities.
  • (b) Process equipment (both hardware and software).
  • (c) Supporting services (such as transport, communication, or information systems).

6.4 Work Environment

The organization shall determine and manage the work environment needed to achieve conformity to product requirements.

7 Product Realization

7.1 Planning of Product Realization

The organization shall plan and develop the processes needed for product realization. Planning of product realization shall be consistent with the requirements of the other processes of the quality management system (see 4.1).

In planning product realization, the organization shall determine the following, as appropriate:

  • Quality objectives and requirements for the product.
  • The need to establish processes, documents, and provide resources specific to the product.
  • Required verification, validation, monitoring, inspection, and test activities specific to the product and the criteria for product acceptance.
  • Records needed to provide evidence that the realization processes and the resulting product meet requirements (see 4.2.4).

The output of this planning shall be in a form suitable for the organization’s method of operations.

NOTE 1: A document specifying the processes of the quality management system (including the product realization processes) and the resources to be applied to a specific product, project, or contract can be referred to as a quality plan.

NOTE 2: The organization may also apply the requirements given in 7.3 to the development of product realization processes.

7.2 Customer-Related Processes

7.2.1 Determination of Requirements Related to the Product

The organization shall determine:

  • Requirements specified by the customer, including the requirements for delivery and post-delivery activities.
  • Requirements not stated by the customer but necessary for the specified or intended use, where known.
  • Statutory and regulatory requirements related to the product.
  • Any additional requirements determined by the organization.

7.2.2 Review of Requirements Related to the Product

The organization shall review the requirements related to the product. This review shall be conducted before the organization makes a commitment to supply a product to the customer (e.g., submission of tenders, acceptance of contracts or orders, acceptance of changes to contracts or orders) and shall ensure that:

  • Product requirements are defined.
  • Contract or order requirements differing from those previously expressed are resolved.
  • The organization has the ability to meet the defined requirements.

Records of the results of the review and actions arising from the review shall be maintained (see 4.2.4).

Where the customer provides no documented statement of requirement, the customer requirements shall be confirmed by the organization before acceptance.

Where product requirements are changed, the organization shall ensure that relevant documents are amended and that relevant personnel are aware of the changed requirements.

NOTE: In some situations, such as internet sales, it is impractical to formally review each order. Instead, the review can cover relevant information, such as catalogs or advertising material.

7.2.3 Customer Communication

The organization shall determine and implement effective arrangements for communicating with customers in relation to:

  • Product information.
  • Enquiries, contracts, or order handling, including amendments.
  • Customer feedback, including customer complaints.

7.3 Design and Development

7.3.1 Design and Development Planning

The organization shall plan and control the design and development of product.

During the design and development planning, the organization shall determine:

  • The design and development stages.
  • The review, verification, and validation activities appropriate to each design and development stage.
  • The responsibilities and authorities for design and development.

The organization shall manage the interfaces between different groups involved in design and development to ensure effective communication and clear assignment of responsibility.

Planning output shall be updated, as appropriate, as the design and development progresses.

7.3.2 Design and Development Inputs

Inputs relating to product requirements shall be determined and records maintained (see 4.2.4). These inputs shall include:

  • Functional and performance requirements.
  • Applicable statutory and regulatory requirements.
  • Where applicable, information derived from previous similar designs.
  • Other requirements essential for design and development.

These inputs shall be reviewed for adequacy. Requirements shall be complete, unambiguous, and not in conflict with each other.

7.3.3 Design and Development Outputs

Design and development outputs shall be provided in a form that enables verification against design and development input and shall be approved before release.

Design and development outputs shall:

  • Meet the input requirements for design and development.
  • Provide appropriate information for purchasing, production, and service provision.
  • Contain or reference product acceptance criteria.
  • Specify the characteristics of the product that are essential for its safe and proper use.

7.3.4 Design and Development Review

At suitable stages, systematic reviews of design and development shall be performed to:

  • Evaluate the ability of the design and development results to meet requirements.
  • Identify any problems and propose necessary actions.

Participants in such reviews shall include representatives of functions concerned with the design and development stage(s) being reviewed.

Records of the results of the reviews and any necessary actions shall be maintained (see 4.2.4).

7.3.5 Design and Development Verification

Verification shall be performed to ensure that the design and development outputs meet the design and development input requirements. Records of the results of the verification and any necessary actions shall be maintained (see 4.2.4).

7.3.6 Design and Development Validation

Design and development validation shall be performed following planned arrangements (see 7.3.1) to ensure that the resulting product is capable of meeting the requirements for the specified application or intended use. Validation shall be completed before the delivery or implementation of the product, where practicable. Records of the results of validation and any actions arising shall be maintained (see 4.2.4).

7.3.7 Control of Design and Development Changes

Design and development changes shall be identified and records maintained. The changes shall be reviewed, verified, and validated, as appropriate, and approved before implementation. The review of design and development changes shall include an evaluation of the effect of the changes on constituent parts and product already delivered.

Records of the results of the review of changes and any necessary actions shall be maintained (see 4.2.4).

7.4 Purchasing

7.4.1 Purchasing Process

The organization shall ensure that purchased product conforms to specified purchase requirements. The type and extent of control applied to the supplier and the purchased product shall depend on the effect of the purchased product on subsequent product realization or the final product.

The organization shall evaluate and select suppliers based on their ability to supply product following the organization’s requirements. Criteria for selection, evaluation, and re-evaluation shall be established. Records of the results of evaluations and any necessary actions arising from the evaluation shall be maintained (see 4.2.4).

7.4.2 Purchasing Information

Purchasing information shall describe the product to be purchased, including, where appropriate:

  • Requirements for approval of product, procedures, processes, and equipment.
  • Requirements for qualification of personnel.
  • Quality management system requirements.

The organization shall ensure the adequacy of specified purchase requirements before their communication to the supplier.

7.4.3 Verification of Purchased Product

The organization shall establish and implement the inspection or other activities necessary to ensure that purchased product meets specified purchase requirements.

Where the organization or its customer intends to perform verification at the supplier’s premises, the organization shall state the verification arrangements and the method of product release in the purchasing information.

7.5 Production and Service Provision

7.5.1 Control of Production and Service Provision

The organization shall plan and carry out production and service provision under controlled conditions. Controlled conditions shall include, as applicable:

  • The availability of information that describes the characteristics of the product.
  • The availability of work instructions, as necessary.
  • The use of suitable equipment.
  • The availability and use of monitoring and measuring devices.
  • The implementation of monitoring and measurement.
  • The implementation of product release, delivery, and post-delivery activities.

7.5.2 Validation of Processes for Production and Service Provision

The organization shall validate any processes for production and service provision where the resulting product cannot be verified by subsequent monitoring or measurement. This includes any processes where deficiencies become apparent only after the product is in use or the service has been delivered.

Validation shall demonstrate the ability of these processes to achieve planned results.

The organization shall establish arrangements for these processes, including, as applicable:

  • Defined criteria for review and approval of the processes.
  • Approval of equipment and qualification of personnel.
  • Use of specific methods and procedures.
  • Requirements for records (see 4.2.4).
  • Revalidation.

7.5.3 Identification and Traceability

Where appropriate, the organization shall identify the product by suitable means throughout product realization.

The organization shall identify the product status with respect to monitoring and measurement requirements.

Where traceability is a requirement, the organization shall control the unique identification of the product and maintain records (see 4.2.4).

NOTE: In some industry sectors, configuration management is a means by which identification and traceability are maintained.

7.5.4 Customer Property

The organization shall exercise care with customer property while it is under the organization’s control or being used by the organization. The organization shall identify, verify, protect, and safeguard customer property provided for use or incorporation into the product. If any customer property is lost, damaged, or otherwise found to be unsuitable for use, this shall be reported to the customer and records maintained (see 4.2.4).

NOTE: Customer property can include intellectual property.

7.5.5 Preservation of Product

The organization shall preserve the conformity of product during internal processing and delivery to the intended destination. This preservation shall include identification, handling, packaging, storage, and protection. Preservation shall also apply to the constituent parts of a product.

7.6 Control of Monitoring and Measuring Devices

The organization shall determine the monitoring and measurement to be undertaken and the monitoring and measuring devices needed to ensure that product requirements are fulfilled (see 7.2.1).

The organization shall establish processes to ensure that monitoring and measurement can be carried out and are carried out in a manner that is consistent with the monitoring and measurement requirements.

Where necessary to ensure valid results, measuring equipment shall:

  • Be calibrated or verified at specified intervals, or prior to use, against measurement standards traceable to international or national measurement standards; where no such standards exist, the basis used for calibration or verification shall be recorded.
  • Be adjusted or re-adjusted as necessary.
  • Be identified to enable its calibration status to be determined.
  • Be safeguarded from adjustments that would invalidate the measurement result.
  • Be protected from damage and deterioration during handling, maintenance, and storage.

In addition, the organization shall assess and record the validity of the previous measuring results when the equipment is found not to conform to requirements. The organization shall take appropriate action on the equipment and any product affected. Records of the results of calibration and verification shall be maintained.

When computer software is used in the monitoring and measurement of specified requirements, the organization shall confirm the ability of the software to satisfy the intended application before the software is used and reconfirm, as necessary.

NOTE: See ISO 10012 for guidance.

8 Measurement, Analysis, and Improvement

8.1 General

The organization shall plan and implement the monitoring, measurement, analysis, and improvement processes needed to:

  • Demonstrate conformity of the product.
  • Ensure conformity of the quality management system.
  • Continually improve the effectiveness of the quality management system.

This shall include determination of applicable methods, including statistical techniques, and the extent of their use.

8.2 Monitoring and Measurement

8.2.1 Customer Satisfaction

As one of the measurements of the performance of the quality management system, the organization shall monitor information relating to customer perception as to whether the organization has met customer requirements. The methods for obtaining and using this information shall be determined.

8.2.2 Internal Audit

The organization shall conduct internal audits at planned intervals to determine whether the quality management system:

  • Conforms to the planned arrangements (see 7.1), to the requirements of this International Standard, and to the quality management system requirements established by the organization.
  • Is effectively implemented and maintained.

An audit program shall be planned, taking into consideration the status and importance of the processes and areas to be audited, as well as the results of previous audits. The audit criteria, scope, frequency, and methods shall be defined. The selection of auditors and conduct of audits shall ensure objectivity and impartiality of the audit process. Auditors shall not audit their work.

A documented procedure shall be established to define the responsibilities and requirements for planning and conducting audits, reporting results, and maintaining records (see 4.2.4).

Management responsible for the area being audited shall ensure that any nonconformities found during the audit are corrected without undue delay. Follow-up activities shall include the verification of the actions taken and the reporting of verification results (see 8.5.2).

NOTE: See ISO 19011 for guidance.

8.2.3 Monitoring and Measurement of Processes

The organization shall apply suitable methods for monitoring and, where applicable, measuring the quality management system processes. These methods shall demonstrate the ability of the processes to achieve planned results. When planned results are not achieved, correction and corrective action shall be taken, as appropriate, to ensure conformity of the product.

8.2.4 Monitoring and Measurement of Product

The organization shall monitor and measure the characteristics of the product to verify that product requirements have been met. This shall be carried out at appropriate stages of the product realization process following the planned arrangements (see 7.1). Evidence of conformity with the acceptance criteria shall be maintained. Records shall indicate the person(s) authorizing release of product for delivery to the customer (see 4.2.4).

Product release and service delivery shall not proceed until the planned arrangements (see 7.1) have been satisfactorily completed unless otherwise approved by a relevant authority and, where applicable, by the customer.

8.3 Control of Nonconforming Product

The organization shall ensure that product which does not conform to product requirements is identified and controlled to prevent its unintended use or delivery. The controls and related responsibilities and authorities for dealing with nonconforming product shall be defined in a documented procedure.

The organization shall deal with nonconforming product by one or more of the following ways:

  • By taking action to eliminate the detected nonconformity.
  • By authorizing its use, release, or acceptance under concession by a relevant authority and, where applicable, by the customer.
  • By taking action to preclude its original intended use or application.

Records of the nature of nonconformities and any subsequent actions taken, including concessions obtained, shall be maintained (see 4.2.4).

When nonconforming product is corrected, it shall be subject to re-verification to demonstrate conformity to the requirements.

When nonconforming product is detected after delivery or use has started, the organization shall take action appropriate to the effects, or potential effects, of the nonconformity.

8.4 Analysis of Data

The organization shall determine, collect, and analyze appropriate data to demonstrate the suitability and effectiveness of the quality management system and to evaluate where continual improvement of the quality management system can be made. This shall include data generated as a result of monitoring and measurement and from other relevant sources.

The analysis of data shall provide information relating to:

  • Customer satisfaction (see 8.2.1).
  • Conformity to product requirements (see 7.2.1).
  • The characteristics and trends of processes and products, including opportunities for preventive action.
  • Supplier performance.

8.5 Improvement

8.5.1 Continual Improvement

The organization shall continually improve the effectiveness of the quality management system through the use of the quality policy, quality objectives, audit results, analysis of data, corrective and preventive actions, and management review.

8.5.2 Corrective Action

The organization shall take action to eliminate the causes of nonconformities to prevent recurrence. Corrective actions shall be appropriate to the effects of the nonconformities encountered.

A documented procedure shall be established to define requirements for:

  • Reviewing nonconformities (including customer complaints).
  • Determining the causes of nonconformities.
  • Evaluating the need for action to ensure that nonconformities do not recur.
  • Determining and implementing the action needed.
  • Recording the results of action taken (see 4.2.4).
  • Reviewing the effectiveness of the corrective action taken.

8.5.3 Preventive Action

The organization shall determine action to eliminate the causes of potential nonconformities to prevent their occurrence. Preventive actions shall be appropriate to the effects of the potential problems.

A documented procedure shall be established to define requirements for:

  • Determining potential nonconformities and their causes.
  • Evaluating the need for action to prevent the occurrence of nonconformities.
  • Determining and implementing the action needed.
  • Recording the results of action taken (see 4.2.4).
  • Reviewing the effectiveness of the preventive action taken.