ISO 9001 and 14001 Overview: Quality and Environmental Management Standards Explained

| Overview of ISO 9001 & ISO 14001

Mike Morgan QA Manager
BREIF HISTORY OF ISO
 The organization which today is known as ISO started out as ISA in 1926
 ISO was launched in 1946
 UK Manufactures used British Standard .e.g. BS5750 created in 1979
 ISO was being used by UK Manufactures from 1987.
 Most UK manufactures moved from BS 5750 to ISO in 1994.
 New standard in 2008 (BS EN ISO 9001-2008).
 New standard this year (BS EN ISO 9001-2015).
Slide No. 1

ISO 9001 & ISO14001 IN BRIEF
 ISO 9001 and ISO 14001 are among ISO’s most well known standards ever.
 They are implemented by more than a million organisations in some 175 countries.
 ISO 9001 helps organisations to implement quality management.
 ISO 14001 helps organisations to implement environmental management.
Slide No. 2

QUALITY MANAGEMENT
 ISO 9001 is for quality management.
 Quality refers to all those features of a product (or service) which are required by
the customer.
Quality management means what the organisation does to:
 ensure that its products or services satisfy the customer’s quality requirements and
 comply with any regulations applicable to those products or services.
That means that all regulations from ISO 9001-14001,we must have procedure or a
statement within a procedure that will satisfy the ISO requirements. Auditors will
look for this.
Slide No. 3

QUALITY MANAGEMENT (continued)
Quality management also means what the organisation does to:
 enhance customer satisfaction, and
 achieve continual improvement of its performance. Updating procedure's and
documents to keep pace with change, either within our organisation (ESG) or with
customer requirements.
 Only use controlled Documents or Procedures which we can monitor and update.
Uncontrolled Documents or Procedures will cause non-conformities and cost our
company money and may damage it’s reputation.
Slide No. 4

ENVIRONMENTAL MANAGEMENT
ISO 14001 is for environmental management. This means what the organisation
does to:
 minimise harmful effects on the environment caused by its activities,
 to conform to applicable regulatory requirements, and to
 achieve continual improvement of its environmental performance.
Slide No. 5

GENERIC STANDARDS
ISO 9001 and ISO 14001 are generic standards. Generic means that the same
standards can be applied:
 to any organisation, large or small, whatever its product or service,
 in any sector of activity, and
 whether it is a business enterprise, a public administration, or a government
department.
Slide No. 6

GENERIC STANDARDS (continued)
Generic also signifies that:
 no matter what the organisation’s scope of activity
 if it wants to establish a quality management system, ISO 9001 gives the essential
features,
 or if wants to establish an environmental management system, ISO 14001 gives the
essential features.
Slide No. 7

MANAGEMENT SYSTEMS
Management system means what the organisation does to manage its processes, or
activities in order that:
 its products or services meet the organisation’s objectives, such as
 satisfying the customer’s quality requirements
 complying to regulations, or
 meeting environmental objectives
Slide No. 8

MANAGEMENT SYSTEMS
To be really efficient and effective, the organisation can manage its way of doing
things by systemizing it.
 Nothing important is left out.
 Everyone is clear about who is responsible for doing what, when, how, why and
where.
 Management system standards provide the organisation with an international,
state-of-the-art model to follow.
Slide No. 9

MANAGEMENT SYSTEMS (continued)
 Large organisations, or ones with complicated processes, could not function well
without management systems.
 Companies in such fields as aerospace, automobiles, defence or health care
devices have been operating management systems for years.
 The ISO 9001 and ISO 14001 management system standards now make these
successful practices available for all organisations.
Slide No. 10

PROCESSES, NOT PRODUCTS
 Both ISO 9001 and ISO 14001 concern the way an organisation goes about its work.
 They are not product standards.
 They are not service standards.
 They are process standards.
 They can be used by product manufacturers and service providers.
Slide No. 11

PROCESSES, NOT PRODUCTS (continued)
 Processes affect final products or services.
 ISO 9001 gives the requirements for what the organisation must do to manage
processes affecting quality of its products and services.
 ISO 14001 gives the requirements for what the organisation must to manage
processes affecting the impact of its activities on the environment.
Slide No. 12

CERTIFICATION & REGISTRATION
 Certification is known in some countries as registration.
 It means that an independent, external body has audited an organisation’s
management system and verified that it conforms to the requirements specified in
the standard (ISO 9001 or ISO 14001) .
 ISO does not carry out certification and does not issue or approve certificates.
Slide No. 13

ACCREDITATION
 Accreditation is like certification of the certification body.
 It means the formal approval by a specialised body – an accreditation body – that
a certification body is competent to carry out ISO 9001:2008 or ISO 14001:2004
certification in specified business sectors. In ESG case, NQA carry this out on yearly
basis over 6 days.
 Certificates issued by accredited certification bodies – and known as accredited
certificates – may be perceived on the market as having increased credibility.
 ISO does not carry out of approve accreditations.
Slide No. 14

CERTIFICATION NOT A REQUIREMENT
 Certification is not a requirement of ISO 9001 or ISO 14001.
 The organisation can implement and benefit from an ISO 9001 or ISO 14001
system without having it certified.
 The organisation can implement them for the internal benefits without spending
money on a certification programme.
Slide No. 15

CERTIFICATION IS A BUSINESS DECISION
Certification is a decision to be taken for business reasons:
 if it is a contractual, regulatory, or market requirement,
 if it meets customers preferences
 it is part of a risk management programme, or
 if it will motivate staff by setting a clear goal.
Slide No. 16

ISO DOES NOT CERTIFY
 ISO does not carry out ISO 9001 or ISO 14001 certification.
 ISO does not issue certificates.
 ISO does not accredit, approve or control the certification bodies.
 ISO develops standards and guides to encourage good practice in accreditation
and certification.
Slide No. 17

THE ISO 9000 FAMILY
 ISO 9001 is the standard that gives the requirements for a quality management
system.
 ISO 9001:2008 is the latest, improved version.
 It is the only standard in the ISO 9000 family that can be used for certification.
 There are 16 other standards in the family that can help an organisation on specific
aspects such as performance improvement, auditing, training…
Slide No. 18

THE ISO 14000 FAMILY
 ISO 14001 is the standard that gives the requirements for an environmental
management system.
 ISO 14001:2004 is the latest, improved version.
 It is the only standard in the ISO 14000 family that can be used for certification.
 The ISO 14000 family includes 21 other standards that can help an organisation
specific aspects such as auditing, environmental labelling, life cycle analysis…
Slide No. 19

BENEFITS OF ISO 9001 & ISO 14001
 International, expert consensus on state-of-the-art practices for quality and
environmental management.
 Common language for dealing with customers and suppliers worldwide in B2B.
Business to Business (B2B) refers to a situation one business makes a commercial
transaction with another. This typically occurs when:
 A business is sourcing materials for their production process, e.g. a food
manufacturer purchasing salt.
 A business needs the services of another for operational reasons, e.g. a food
manufacturer employing an accountancy firm to audit their finances.
 A business re-sells goods and services produced by others, e.g. a retailer buying
the end product from the food manufacturer.
Slide No. 20

BENEFITS OF ISO 9001 & ISO 14001 (continued)
 Increase efficiency and effectiveness.
 Model for continual improvement.
 Model for satisfying customers and stakeholders.
 Build quality into products and services from design onwards
 Unifying base for industry sectors
 Quality suppliers for global supply chains
 Technical support for regulations
Slide No. 21

BENEFITS OF ISO 9001 & ISO 14001 (continued)
 Address environmental concerns of customers and public, and comply with
government regulations.
 Integrate with global economy
 Sustainable business
 Transfer of good practice to developing countries
 Tools for new economic players
 Regional integration
 Facilitate rise of services
Slide No. 22

NON-CONFORMANCE GUIDE
What is Non-Conformance?
ISO 9001 requires that we document a non-conformance procedure (requirement 8.3) and keep a record of non-
conformance issue we identify and actions take. This also needs to be completed on ISO 14001(4.4.7) & OHSAS (4.4.7)
Emergency Preparedness & response.
A non-conformance means that something went wrong-a problem has occurred and needs to be addressed. Non-
conformance are addressed with corrective action. You may find a non-conformance in a service, a product, a process,
from a supplier or may be a fault in the system.
The non-conformance procedure needs to do the following:
 Identify the non-conformance(quarantine & identify as
rejected, e.g. reject or quarantine label)
 Decide what actions you are going to carry out
 Contact relevant people or organizations
(purchasing or Customer etc.)
 Document the non-conformance, stating what will
happen, scrap/rework or return to supplier. (Non-
conformance report(reject Note completed)
 Keep a record of the non-conformance-Spread-sheet.
Key Performance Indicator.
 ????? have Four main areas that non-conformance
could occur, QMS, Audits, Supplier defects & jobs
incorrectly done or parts damaged during installation.
One of the most frequent is suppliers that have a poor
time delivery record, e.g. states 10.00am delivery and
delivers 2 hours late.
 New Non-compliance form QA10019, will replace
GO1029,and is available in the QA 10000 section of the
DC library. All Non-conformances & audit corrective
actions will be logged on QA 10017 spreadsheet By
QA Manager.
Slide No. 23

NON-CONFORMANCE FORM
Completed by:
Department or site:
Date completed:
Issue Action Completed
Please complete and return to QA Manager or SHE Manager depending on the issue.
Please mark one of the following:
Quality Issue (9001) Health & Safety Issue (18001) Environment Issue (14001)
Slide No. 24

CUSTOMER COMPLAINTS
Snagging Document No PME 3004
 ESG can and do subject to the project terms and conditions issue self-snagging sheets throughout the Projects they
can be self-signed off or signed off by the Client whatever the terms and conditions of that Project require. The Clients
snagging list can follow the same route, but they would/ can issue, then inspect and sign off when ESG have
confirmed that the snags have been signed off. At the end of the project the Client or Clients Agent will/can issue a
final snagging sheet for addressing, confirming when complete by ???? followed by the Client/Clients Agent inspection
and sign off.
Project Close out Meetings Document No COM 7013
 Project close out meeting are called at the end of a project and will discuss all complaint raised during the project.
This meeting is document and all complaints/issues raised are discussed and actioned by the project team?
New Complaints Form QA 10018
 The new complaints form will cover existing projects and any other complaints from completed projects. The
responsibility for raising the complaint form rest with the person taking the complaint, either via telephone call or via
email. Copy of the email can be used as proof of compliance. The decision to formulise/action the complaint will be
taken by Project Team or Director responsible. All complaint forms raised will be emailed to QA Manager (Mike
Morgan) and these will be added to complaints spreadsheet. This form could be used by Contract Services if the
customer has not used their own paperwork and it’s outside 12/24 month warranty period.
Slide No. 25

CUSTOMER COMPLAINT FORM
Name of person making complaint:
Telephone number:
Address:
Nature of complaint:
Results of investigation:
Action taken:
Date complainant contacted with the results of the investigation and action taken:
Initials of person investigating complaint:
Initials of person taking complaint:
Slide No. 26

CUSTOMER COMPLAINT CHART 1
Slide No. 27
Complaint received
Contract Services
This received via email or
customer document
Complaint Investigated
Management review meeting
Relevant project team AD
or sub-contractor informed
Job completed and documented Customer informed
Not ESG or out of warranty period
Customer not satisfied
*MD or OP’s Director
will communicate with customer
Document complaint
via defecttracker
spreadsheet
Within warranty period 12/24 months
Document
complaint via
QA 10018
* Only in exceptional
circumstances

Slide No. 28
Complaint documented on QA10018
Relevant project team notified of complaint
Not ESG Issue
Complaint investigated
ESG Issue
Report raised
If appropriate add to snagging list
PME 3004
All complaints discussed at project close
out meeting com 7013 document
Complaint active by relevant team
MD or OP Director will
communicate with customer
Customer informed
Complaint received
AD, OP, Director
OP’s Director
only in exceptional circumstances

Slide No. 29
Complaint received on site
Either raise customer complaint form (QA
10018) or snagging document PME 3004
Investigation
Not ESG Issue
All complaints discussed at project close
out meeting com 7013 document
Issue resolved and outcome, documented
on either QA 10018 or snagging list
Inform customer
*MD or OP’s Director
will communicate with customer
ESG Issue
* Only in exceptional circumstances

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