ISO 9001 / ISO 14001 AWARENESS TRAINING

MARCH 2024
PLANNING OF THE MANAGEMENT SYSTEM

• Strategic issues
• Interested parties (or stakeholders)
• Policy Statement(s)
• Objectives and action plans
• Risks and Opportunities
 PLANNING OF THE MANAGEMENT SYSTEM

Procedures and
instructions

Interested parties
Objectives, targets Risks and opportunities Training and awareness
and action plans Compliance obligations
Significant environmental
aspects

Monitoring and
reporting

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CONTEXT AND INTERESTED PARTIES

Internal and
external
strategic CONTEXT
issues

INTERESTED Needs and Legal and

other
PARTIES expectations requirements

Significant
environmental
aspects
PLANNING
 CONTEXT ANALYSIS

CLAUSES, INTERPRETATION AND IMPLEMENTATION

The organization shall determine external and internal

UNDERSTANDING OF THE
ORGANISATION AND ITS CONTEXT
issues that are relevant to its purpose and that affect its
ability to achieve the intended outcome(s) of its integrated
management system: ISO 9001 and ISO 14001
CONTEXT ANALYSIS

• Organisation’s activities
• Services
Internal • Strategic direction
• Culture
• Capabilities

• Cultural
• Social
• Political
• Legal
• Regulatory
External • Financial
• Technological
• Economic
• Competitive
• Environmental
 NEEDS AND EXPECTATIONS OF INTERESTED PARTIES

CLAUSES, INTERPRETATION AND IMPLEMENTATION

• Identify the relevant interested parties (internal and

NEEDS AND EXPECTATIONS OF
external)
INTERESTED PARTIES
• Identify the requirements (needs and expectations
whether stated, implied or obligatory)
INTERESTED PARTIES
 INTERNAL AND EXTERNAL COMMUNICATION

Identify what will be Monitor the results of its Determine whether the
communicated and to whom communication communication was effective

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 DETERMINING THE SCOPE OF MANAGEMENT SYSTEM

CLAUSES, INTERPRETATION AND IMPLEMENTATION

• Determine the boundaries and applicability of the

integrated management system to establish its scope
SCOPE

• The scope shall be available as documented information.

 INTEGRATED MANAGEMENT SYSTEM

CLAUSES, INTERPRETATION AND IMPLEMENTATION

The organization shall establish, implement, maintain and

continually improve an integrated management system,
IMS – QUALITY AND ENVIRONMENT including the processes needed and their interactions, in
accordance with the requirements of the applicable
International Standards (ISO 9001; ISO 14001).
 ENVIRONMENTAL ASPECTS AND IMPACTS

CLAUSES, INTERPRETATION AND IMPLEMENTATION

• Identify the environmental aspects and impacts,

ENVIRONMENTAL ASPECTS AND

considering the product life-cycle

IMPACTS • Evaluate the environmental aspects and identify those

that are significant

• Manage the significant environmental aspects

 LEGAL AND OTHER REQUIREMENTS

CLAUSES, INTERPRETATION AND IMPLEMENTATION

• Identify the applicable legal and other requirements

• Understand how these apply to the organisation

LEGAL AND OTHER REQUIREMENTS
• Integrate the requirements into the management system
procedures, instructions, training, monitoring

• Evaluate the legal compliance

 OBJECTIVES AND ACTION PLAN

CLAUSES, INTERPRETATION AND IMPLEMENTATION

 Defined at relevant functions and levels

 Consider compliance obligations and risks and
opportunities
 Consistent with the Policy
 Monitored
 Communicated
 Updated as appropriate
OBJECTIVES, TARGETS AND PROGRAMME

Objective

Target

Actions

Responsibilities

Means

Timeframe
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 RISKS AND OPPORTUNITIES

CLAUSES, INTERPRETATION AND IMPLEMENTATION

• Identify risks and opportunities (to the achievement of

the outcomes/objectives)
ACTIONS TO ADDRESS RISKS AND
OPPORTUNITIES • Define actions to mitigate these risks / promote the
opportunities

• Evaluate the actions’ effectiveness

COMPETENCIES

Competence requirements

Education Experience Training

COMPETENCIES

Work under supervision

A lot of Specific training

education

Limited
experience
COMPETENCIES

Specific training, if needed

A lot of
experience

Education is not
in this field
COMPETENCIES

The Line Manager evaluates the performance of the employee and determines if
the employee :

 Needs to work under supervision Formal;

 Needs training Informal (training on the job);
 Should change his/her role
Mentorship.

Should have defined objectives;

Should be recorded;
Must be evaluated in its effectiveness.
COMPETENCIES

Changes in the roles & responsibilities and training needs can also arise, for
example:

 Due to changes in the organisation

 Due to changes in legal and regulatory requirements
 Because a new service or product line is created
 Because the employee moves on to a new position
 Because the IMS is not correctly understood
TRAINING AND AWARENESS

Can be done during regular meetings.

We can use posters and other materials.
ORGANISATIONAL KNOWLEDGE

‘Knowledge’ is identified as being a significant resource to the business

“Organizational Knowledge is the specific knowledge of the organization,

coming either from its collective experience or from the individual
experience of its persons. In an explicit or implicit way, this knowledge is,
or can be, used to attain the organization’s objectives.”
Auditing Practices Group Guidance on: Organisational Knowledge, ISO &
IAF (2016)

How does the organisation capture its’ organisational knowledge?

OPERATIONAL PLANNING AND CONTROL

Do you know what exactly the Customer wants ?

Do you know if you are able to comply with it?
Do you have quality checks in place?
Do you have the procedures?
Do you keep records?
OPERATIONAL PLANNING AND CONTROL

The organization shall plan, implement and control the processes needed to
meet requirements, and to implement the actions to address risks and
opportunities, by:

• establishing criteria for the processes;

• implementing control of the processes in accordance with the criteria;
• keeping documented information to the extent necessary to have
confidence that the processes have been carried out as planned.
OPERATIONAL PLANNING AND CONTROL

The organization shall control planned changes and review the

consequences of unintended changes, taking action to mitigate any
adverse effects, as necessary.

The organization shall maintain procedures for those activities critical

to the successful implementation of the management system.
Such procedures shall, where appropriate, cover emergency
situations and suppliers.
OPERATIONAL PLANNING AND CONTROL

The operational control procedures can be:

 documented and have the formal structure of a procedure

 contain pictures and simple instructions
 be defined in a software
 other

Important things to consider:

 the language used
 test the understanding of the documents
OPERATIONAL PLANNING AND CONTROL

When do we need documentation?

 Low level of competence / experience

 High staff turnover
 A lot of people doing the same task, in several locations
 Tasks are complex
 Tasks are related to compliance obligations (legal, technical standards,
contracts, etc.)

We want to make sure tasks are done the same way, every time, everywhere and
that the outcomes are as planned
SUPPLY CHAIN MANAGEMENT

Include information in tender

Establish the relevance of
or other documentation to
each of the objectives, targets
enable its suppliers to
and plan(s) to individual
demonstrate their capability to
suppliers
support the objectives.

If organizations do not go
Make assessments based on
through a tender process, they
the supplier's ability to meet or
shall justify their process and
contribute towards objectives,
show how they consider
targets, cost-effectiveness and
quality issues when choosing
quality.
suppliers.
EXTERNAL PROVIDERS’ ENGAGEMENT METHODS

Depends on:
 The type of relationship with the supplier
 Impact of the supplier performance on the organisation results
 Purchasing cycle

Examples of engagement methods:

 Tender
 Contract
 Documented agreement
 Meetings
 Training
EXTERNAL PROVIDER’S PERFORMANCE VERIFICATION METHODS

Depends on:
 Risk of non-compliance
 Gravity of the risk or importance of the opportunity
 Location of the supplier
 Relationship with the supplier

Examples of performance verification methods:

 Audit by the organisation or by a third-party
 Reporting
 Providing documented evidence e.g., training records
 Indicators e.g., waste management metrics
 CONTINUAL IMPROVEMENT

Internal and External Audit

KPI

Internal Non conformities

Customer feed-back

Other interested parties feedback

External Providers’ evaluation

THANK YOU!

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