PECB Certified ISO 21001

Lead Implementer Training

EXERCISES CORRECTION KEY

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Exercise 1: Reasons to implement the ISO 21001 standard

You have approached the top management of an educational organization to suggest
them to implement a management system for educational organizations (EOMS)
based on ISO 21001. You have already presented them the potential benefits as
stated in the Introduction of the standard, but they seem to remain unconvinced.
Therefore, please explain some additional benefits (other than those mentioned in
the standard) that the educational organization can achieve if they choose to
implement an EOMS based on ISO 21001.

Possible answer:
Opportunity to achieve competitive advantage – Seeing the benefits that
organizations operating in other sectors and industries are gaining from implementing
ISO management system standards (such as: ISO 9001, ISO 27001, ISO 22301,
etc.), there is no reason to assume otherwise with the newly published ISO 21001 for
educational organizations. Just like in the cases with other management system
standards and the benefits they bring to the organizations in their respective
industries and sectors, the implementation of ISO 21001 can provide educational
organizations with the much-sought and desired competitive edge needed to survive
in the ever-more competitive and globalized market.

Opportunity to increase efficiency – Inefficiencies can be a very heavy burden and

obstruct the progress within an organization. Sometimes these inefficiencies are not
easily visible and/or identifiable. The approaches required by ISO 21001, where the
systematic definition and management of processes and their interactions are
required together with the required inputs and the expected outputs from these
processes can be exactly the right tool that would help the organization determine
where they stand in terms of the effectiveness of their processes, and can provide
them with insights on how to achieve excellence in operational planning and control.

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Recognition through a third-party certification – There are a variety of tools that

organizations can use to differentiate themselves from their competitors, and one of
these ways is to seek recognition through a third-party certification. As ISO 21001
provides the requirements for management systems for educational organizations, it
means that the organization can seek a certification against this management system
from a third party certification body (such as PECB). This can have a positive impact
on the organization, especially if it is seeking to expand to new markets, because
adherence to a set of well-established rules of a recognized organization such as
ISO sends a powerful message of the organization’s commitment to quality,
effectiveness, sustainability, and continual improvement.

Increased opportunities for marketing – Similar to many other organizations

operating in various industries and sectors, educational organizations can also
include the implementation of ISO 21001 and the certification against it for marketing
activities. However, the educational organization must make sure that their marketing
campaigns are based on honesty and that they are able to fulfil the claims that
they’ve made for their educational products and services (this is also a requirement
of the standard).

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Exercise 2: Context of the organization

When it comes to determining the current state or analyzing the context of the
organization, there are a number of ways through which information can be gathered.
Please list and elaborate at least four (4) types of information-gathering techniques
below.

Possible answer:
Observation: through observation, we can gather relevant information of the
educational organization’s operations, systems, its personnel and so on.

Questionnaires: have personnel, students, parents and other stakeholders involved

in the organization’s processes fill-out questionnaires.

Interviews: conduct interviews with different stakeholders of the educational

organization in order to obtain more detailed information. These can be individual or
group interviews.

Document review: analyze the EOMS relevant documentation. These could be

curriculum standards, accreditation guidelines, internal audit reports, etc.

Scan tools: utilize technical tools to detect technical vulnerabilities, establish a list of
assets which may have possible impacts on the educational organization’s services
and products, etc.

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Exercise 3: EOMS scope boundaries

Based on the information provided in Section 5 of the ISO 21001 Lead Implementer
training course (Scope of the EOMS), please outline the boundaries that an
educational organization should take into account when defining its EOMS scope
boundaries.

Possible answer:
There are several types of boundaries that an educational organization needs to
define for its EOMS scope. These could be as follows:

Organizational boundaries:
These boundaries could be quite complex to define. The realistic approach is to
adopt the definition of “boundary” used by the users themselves. In contrast, another
common approach is when the program manager chooses a boundary that reaches
his/her analytical objectives. In each approach, the project's participants can focus on
actors, relationships or activities.

EOMS boundaries:
These are the requirements set forth by the ISO 21001 standard, thus, it is crucial
that educational organizations identify the EOMS obligations and document them
properly.

Physical boundaries:
These boundaries are more concrete due to their tangible nature. They could be
defined by the particular building (e.g. in a city) where the institution/organization
operates. On a more systemic basis, a boundary can also be a particular set of
equipment working remotely in a different geographical location and where students
can access their online classes.

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Mandated boundaries:
Mandated boundaries are the ones established from outside forces such as legal and
regulatory requirements. For instance: Governance (accreditation) requirements,
employment and labor issues, environmental issues, etc.

Voluntary boundaries:
Voluntary boundaries are defined by the educational organization’s management,
which are set via external or internal promises and agreements, such as public
commitments, organizational values, contractual obligations, and other voluntary
policies (social responsibility commitment).

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Exercise 4: The EOMS policy

For this exercise, please refer to the “Move Ahead” Language Academy case study,
and combine your knowledge of the leadership, commitment and policies in order to
provide an explanation of the importance that an educational organization’s
leadership plays in establishing, reviewing and maintaining an educational
organization policy.
In your opinion, what are the main issues in regards to the EOMS policy writing
presented in the cases study? Please elaborate and support your answer by referring
to ISO 21001 requirements and best practices provided thus far in this training.

Possible answer:
The process of writing an EOMS policy and educational organization objectives, as
outlined in clauses 5.2.1 and 5.2.2, requires that this process is an inclusive one – by
involving a number of stakeholders. This process cannot be a one man/woman
endeavor, which seems to be the case in the case study where the consultant herself
will be writing the EOMS policy. This process must involve numerous perspectives
from various beneficiaries, such as: the educational organization’s management,
students (where appropriate), parents, the community, etc.

Additionally, in order for the EOMS policy to be compatible with the organization’s
mission and vision, this process must include key representatives of the “Move
Ahead” academy. Furthermore, in order to take into account the relevant educational,
scientific and technical developments – the teaching staff must be included in this
process as well.

At last, in order to satisfy the organization's social responsibility (as stated in clause 5
and the social responsibility principle in B.8); the community around the academy’s
surrounding should be included in this process as well.

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Exercise 5: EOMS objectives

Assuming that one of the established EOMS objectives of the “Move Ahead”
Language Academy is to “cooperate with a renowned publishing house of language
learning materials, by the end of next year”, what steps would you need to take to
communicate and monitor this objective? Please elaborate your answer based on the
information gained thus far in this training.

Possible answer:
Communicating the objectives is crucial to the EOMS process; they cannot be
considered established before being communicated to the staff and making sure that
they are understood as well.

Communicate: make available evidence of the objectives the organization is aiming

to achieve. This can be done through meeting with responsible staff, email
communication, intranet networks, etc.
In order to ensure that the responsible staff has understood the objectives, interviews
can be conducted, including the analysis of plans that were outlined for achieving
those objectives.

Monitor: provide evidence of the EOMS objectives that the organization declares is
committed to achieve; offer evidence that the provisions for monitoring the
achievement of the objectives are in place, and that the progress is being continually
monitored.
When there is a team appointed for achieving particular objective(s), the team leader
can check the progress periodically and see if there are any issues with it.

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Exercise 6: Risk assessment

When referring to the “Move Ahead” Language Academy case study, one can notice
that the consultant observed – among other things – that the two new facilities did not
have any “exit” signs. Knowing that such signs are generally a requirement by
respective regulatory authorities, and that this could lead to potential risks in the
future, please elaborate what potential consequences this risk could bring and what
steps you would need to take to eliminate (control) them. Please follow the steps
provided below for all three examples.

Possible answer:
Risk
There are no exit signs
Potential consequences
 Frustrated students and staff
 Health and safety risks, especially in emergency situations
 Inconsistent evacuation plans
Control
 Provide proper signs, exit and other signs which clearly outline the way out of
the building
 Inform students and staff of exit doors and other emergency exits after
installing the proper signs

Risk
A considerable number of employees (teaching staff that is mostly inexperienced) are
being hired to meet the increasing needs of the academy
Potential consequences
 Dissatisfied students
 Dissatisfied parents and other beneficiaries

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 Loss of reputation, and eventually monetary loss

Control
 Have an onboarding training in place for all newly hired employees
 Assess rigorously the applications received for the teaching staff
 For those doing their teaching practice at the academy, evaluate their
performance constantly so as to prepare them well for their teaching job

Risk
Door handles
Potential consequences
 Inaccessibility for special needs students; failure to meet ISO 21001
requirements
Control
 Provide electronic buttons for classroom doors which open the door by a
single touch
 Have automatic doors installed at the entrance, so that it ensures easier
accessibility for all students

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Exercise 7: Communication with interested parties

Based on the requirements of the ISO 21001 standard, please choose a topic to
communicate to the interested parties of the ABC University, and complete the rest of
the table below based on the chosen topic.

Possible answer:

Who to
communicate Students Staff External providers
with?
Topic – The methods in place to  The educational The services to be
What to detect plagiarism and organization policy provided by the
communicate? other similar  The educational external provider to
malpractices organization the ABC University
objectives and the requirements
for the provision of
those services, the
evaluation methods
and the consequences
of not fulfilling the ISO
21001 requirements
Why to To ensure that the To ensure that the top  To ensure that the
communicate? students are fully management has the external providers
informed about the full support of the staff clearly understand
requirements of the ABC when implementing the requirements
University on academic ISO 21001 for the services that
honesty and the they’re going to
consequences of not provide to the ABC
meeting those University
requirements  To ensure the
success of the
outsourcing
agreement
When to At the beginning of the Prior to starting the Prior to the signing of
communicate? semester, and implementation of the the outsourcing
throughout the year (as ISO 21001 standard agreement (during the
required) initiation and selection
phases)
How to Brochures, Information Meetings, e-mail, Meetings, emails,
communicate? sessions, Workshops, reports formal written
University website, social agreements
media
Who Professors, Assistants, Top management Heads of
communicates? Admissions Committee departments,

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(for prospective students) Administration, Top

management (where
required)

Exercise 8: Documented information

ISO 21001 states that a management system for educational organizations shall
include documented information that is determined by the organization as necessary
for the effectiveness of the EOMS. Please list at least three (3) types of documented
information that an educational organization is required to establish to comply with
the requirements of ISO 21001. In addition, please specify at least three (3) EOMS
documented information that should be maintained as evidence by an organization.

Possible answer:
The organization, among others, shall establish and maintain the following
documented information:
1. EOMS scope
2. Educational organization policy
3. Educational organization objectives
4. Processes, products and services outsourced to external providers

The organization shall retain the following as evidence of an adequate EOMS:

1. Evidence of employees’ competence (including, where applicable, the staff
that works with learners with special needs)
2. Results of monitoring, measurement, analysis and evaluation
3. Results of management reviews
4. The documented information of the nonconformities identified
5. The results of any corrective action(s) taken

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Exercise 9: Implementation of the requirements of Clause 8 in the

ABC University
For each of the following clauses of ISO 21001, please provide an action plan with at
least two (2) concrete actions that the ABC University must undertake that would
ensure conformity to the requirements of the respective clause.

Example: Clause 10.1 Nonconformity and corrective action

 Elaboration and communication of a documented procedure defining how to identify
the required corrective actions and how to treat them.
 Maintenance of an updated list of corrective actions showing the responsible person,
the status and the deadline for each corrective action.

Possible answers:
1. Clause 8.1.2 Specific operational planning and control of educational
products and services
 In the ABC University, learning outcomes describe what a student is expected
to know and able to do by the end of the course. The heads of each
department in conjunction with the relevant academic staff establish learning
outcomes based on the SMART criteria (specific, measurable, achievable,
relevant and time-bound) and Bloom’s taxonomy of knowledge for each
course.
 The ABC University establishes a scheme to control the instructional process
for evaluation of its students at various stages, depending on their field of
study.

2. Clause 8.5.2 Identification and traceability

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 For each student admitted to the ABC University, the administration creates a
student personal file, where among other relevant documented information,
the student’s original application form, original certificates submitted, record of
registered courses, attendance records and their final grade transcripts are
stored. Furthermore, each student is provided with an ID that contains a
unique number.
 Each department within the ABC University maintains the identification and
traceability of registered students in their respective disciplines. Each
department conducts exit surveys with a set percentage of graduate students
proportionate to the total number the students in order to get their feedback
and their actual or potential employment paths. The surveys are retained as
documented information.

3. Clause 8.5.1.4 Summative assessment

 The ABC University provides its students comprehensive training and
awareness sessions on the importance of academic honesty and the negative
effects of plagiarism and other similar malpractices. On the other hand, the
ABC University creates a procedure where arrangements are made for each
paper submitted to the professors to go through a software program which
detects plagiarism. Furthermore, the professors of the ABC University are
periodically trained on the ways and methods of detecting plagiarism. The
ABC University makes all the arrangements necessary to ensure that these
measures are properly communicated to its students.
 The ABC University ensures the maintenance of proper documented
information on the assessment of each student (in their personal file and in the
files of the courses that they attended) as evidence of the grades assigned to
them. The retention period of such documented information is defied and
written in the ABC University’s policies, which is publically available.

4. Clause 8.3.6 Design and development changes

 The ABC University identifies the needs for changes, through student
feedback, or based on the requirements or needs of other interested parties,

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and/or based on an analysis of the performance of their educational products

and services.
 The ABC University establishes a procedure detailing the steps to be taken
and the documented information to be amended when there are changes to
the design and development of educational products and services.

5. Clause 8.5.3 Property belonging to interested parties

 The ABC University establishes and maintains as documented information the
appropriate arrangements within the administration department for the
reception, verification and return of the original certificates submitted by the
learner.
 The ABC University creates adequate procedures and communicates them to
the included parties within the organization (Academic staff, learners,
administration) regarding the usage of intellectual property provided to them
by other associate universities, institutes or partners.

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Exercise 10: Monitoring, measuring and performance evaluation

Let’s assume that the Alps Arts High School has hired you as the ISO 21001 Lead
Implementer.
 How would you measure the satisfaction of the students with the current living
and studying conditions at AAHS?

Possible answer:
Assess the dropout rate of students during the years and compare them with other
art schools in the region.
 Evaluate dropout rate through the years and see if there are any correlating
trends that can be associated with the increase/decrease dropout rate.

Design and distribute satisfaction surveys to faculty, staff, parents, current students,
and alumni.
 Assess how each stakeholder views the program, living conditions, school,
and procedures used.

Evaluate the documented information of complaints and see if complaints are:

- Acknowledged
- Assessed
- Investigated
- Responded to

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Exercise 11: Management reviews

Let’s assume that the Alps Arts High School has hired you as the ISO 21001 Lead
Implementer. They have given you the necessary human and financial resources to
perform a management review.
 How would you prepare a Management Review at AAHS? What are some of
the major subjects that should be discussed during the management review?

Possible answer:
The management review can be prepared by including it in a management meeting’s
agenda.
Moreover, it is advisable to provide the necessary documentation to the management
before conducting the management review meeting itself.
These could be:
 Audit reports,
 Review results,
 Action plans,
 Others.

It is also advisable that the management reviews are conducted at planned intervals;
quarterly meetings are considered a good practice in this case, since in annual
meetings the organization may not be able to prevent or resolve issues in a timely
manner.
Topics or subjects that could be discussed during the agenda could be:
 The status of actions identified during previous management reviews

 Monitoring and measurement results

 Fulfilment of EOMS objectives

 Feedback from interested parties

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 Changes in external and internal issues that are relevant to the EOMS

 Others

Exercise 12: Treatment of nonconformities

During the internal audit that was conducted by the AAHS appointed staff, two
nonconformities were identified. Please elaborate your answers by following the
structure below.

1. A nonconformity has been raised because AAHS failed to reply in a timely

manner to students and other stakeholders’ complaints.

Possible answer:
Root causes: Lack of awareness about the handling of complaints policy among
workers and lack of communication of that policy.
Corrective actions: Develop and implement a handling of complaints awareness
and communication programme and evaluate this session, to ensure that the
responsible personnel have understood their duties.

2. A nonconformity has been raised related to the lack of performance evaluation of

the AAHS’s teaching staff.

Possible answer:
Root causes: There is no teacher evaluation system in place.
Corrective actions: Create a comprehensive teacher evaluation policy, by including
self-evaluation forms as well as observations made by experienced staff or experts in
the field.

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