INTERNATIONAL
STANDARD
ISO
9004
Fourth edition
2018-04
Quality management — Quality of an
organization — Guidance to achieve
sustained success
Management de la qualité — Qualité d'un organisme — Lignes
directrices pour obtenir des performances durables
Reference number
ISO 9004:2018(E)
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ISO 9004:2018(E)
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ISO 9004:2018(E)
Contents
Page
Foreword .................................................. ................................................... ................................................... ................................................... ............................... v
Introduction .................................................. ................................................... ................................................... ................................................... ..................... vi
1
Scope .................................................. ................................................... ................................................... ................................................... ...................... 1
2
Normative references .................................................. ................................................... ................................................... .............................. 1
3
Terms and definitions .................................................. ................................................... ................................................... ............................. 1
4
Quality of an organization and sustained success .................................................. ................................................... ........ 1
f
.................................................. ................................................... ................................................... ..... 1
f
f
.................................................. .................................... 2
5
Context of an organization .................................................. ................................................... ................................................... ................. 3
.................................................. ................................................... ................................................... ................................................... 3
.................................................. ................................................... ................................................... .. 3
.................................................. ................................................... ................................................... 4
6
Identity of an organization ................................................... ................................................... ................................................... ............... 4
.................................................. ................................................... ................................................... ................................................... 4
.................................................. ................................................... ................................... 5
7
Leadership .................................................. ................................................... ................................................... ................................................... ....... 5
.................................................. ................................................... ................................................... ................................................... 5
................................................... ................................................... ................................................... ...................... 6
................................................... ................................................... ................................................... ............................................
.................................................. ................................................... ................................................... ..............................
8
Process management .................................................. ................................................... ................................................... ............................... 8
.................................................. ................................................... ................................................... ................................................... 8
f
.................................................. ................................................... ................................................... . 8
................................................... ................................................... ............. 9
f
................................................... ................................................... ................................................... ................... 9
9
Resource management .................................................. ................................................... ................................................... ........................ 11
.................................................. ................................................... ................................................... ................................................ 11
................................................... ................................................... ................................................... .................................................. 12
................................................... ................................................... ................................................... .......................... 12
f
.................................................. ................................................... ......................................... 12
f
.................................................. .............................................. 12
9.2.4 Competence of people .................................................. ................................................... ......................................... 12
.................................................. ................................................... ................................................... . 13
.................................................. ................................................... ................................................... ....................................... 13
f
.................................................. ................................................... ....................... 14
................................................... ................................................... ................................................... .......................... 14
f
.................................................. ................................................... ................................................... .......... 14
.................................................. ................................................... ................................................. 14
.................................................. ................................................... .......................................... 14
................................................... ................................................... ................................................... ..................... 15
10 Analysis and evaluation of an organization’s performance .................................................. ................................ 16
.................................................. ................................................... ................................................... ................................................ 16
f
.................................................. ................................................... ................................................... ........ 16
f
.................................................. ................................................... ................................................... .............
f
.................................................. ................................................... ................................................... ....... 18
.................................................. ................................................... ................................................... ................................. 19
f
.................................................. ................................................... ................................................... ........................... 19
................................................... ................................................... ................................................... .............................................. 20
11 Improvement, learning and innovation ................................................... ................................................... .............................. 20
.................................................. ................................................... ................................................... ................................................ 20
4. 1
Quality o
4. 2
M anaging
an o rganizatio n
5 .1
General
5 .2
Relevant interes ted p arties
5 .3
E xternal and internal is s ues
6.1
General
6.2
M is s io n, vis io n, values and culture
7.1
General
7.2
Po licy and s trategy
7.3
O b j ectives
7
7.4
C o mmunicatio n
7
8.1
General
8.2
D eterminatio n o
8.3
Res p o ns ib ility and autho rity
8.4
M anaging p ro ces s es
9.1
General
9.2
Peo p le
o r the s us tained s ucces s o
p ro ces s es
o r p ro ces s es
9.2 .1
General
9.2 .2
E ngagement o
9.2 .3
E mp o werment and mo tivatio n o
p eo p le
9.3
O rganizatio nal kno wledge
9.4
Techno lo gy
9.5
I n ras tructure and wo rk enviro nment
9.5 .1
General
9.5 .2
I n ras tructure
9.5 .3
Wo rk enviro nment
9.6
E xternally p rovided res o urces
9.7
N atural res o urces
1 0.1
General
1 0.2
Per o rmance indicato rs
1 0.3
Per o rmance analys is
1 0.4
Per o rmance evaluatio n
1 0.5
I nternal audit
1 0.6
S el - as s es s ment
1 0.7
Reviews
1 1 .1
General
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an o rganizatio n
p eo p le
17
iii
ISO 9004:2018(E)
11.2 Improvement .................................................. ................................................... ................................................... ................................. 20
11.3 Learning .................................................. ................................................... ................................................... ............................................. 21
11.4 Innovation .................................................. ................................................... ................................................... ........................................ 22
11.4.1 General ................................................... ................................................... ................................................... .......................... 22
11.4.2 Application .................................................. ................................................... ................................................... ................. 22
11.4.3 Timing and risk .................................................. ................................................... ................................................... ...... 22
Annex A (in formative) Self-assessment tool .................................................. ................................................... ......................................... 24
Bibliography .................................................. ................................................... ................................................... ................................................... .................. 58
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ISO 9004:2018(E)
Foreword
ISO (the International Organization for Standardization) is a worldwide federation o f national standards
bodies (ISO member bodies). The work o f preparing International Standards is normally carried out
through ISO technical committees. Each member body interested in a subject for which a technical
committee has been established has the right to be represented on that committee. International
organizations, governmental and non-governmental, in liaison with ISO, also take part in the work.
ISO collaborates closely with the International Electrotechnical Commission (IEC) on all matters o f
electrotechnical standardization.
The procedures used to develop this document and those intended for its further maintenance are
described in the ISO/IEC Directives, Part 1. In particular the di fferent approval criteria needed for the
di fferent types o f ISO documents should be noted. This document was dra fted in accordance with the
editorial rules o f the ISO/IEC Directives, Part 2 (see www.iso .org/directives).
Attention is drawn to the possibility that some o f the elements o f this document may be the subject o f
patent rights. ISO shall not be held responsible for identi fying any or all such patent rights. Details o f
any patent rights identified during the development o f the document will be in the Introduction and/or
on the ISO list o f patent declarations received (see www.iso .org/ patents ).
Any trade name used in this document is in formation given for the convenience o f users and does not
constitute an endorsement.
For an explanation on the voluntary nature o f standards, the meaning o f ISO specific terms and
expressions related to con formity assessment, as well as in formation about ISO’s adherence to the
World Trade Organization (WTO) principles in the Technical Barriers to Trade (TBT) see the following
URL: www.iso .org/iso/foreword .html .
This document was prepared by Technical Committee ISO/TC 176,
2, Quality systems .
assurance , Subcommittee
Quality management and quality
This fourth edition cancels and replaces the third edition (ISO 9004:2009), which has been technically
revised. The main changes compared to the previous edition are as follows:
— alignment with the concepts and terminology o f ISO 9000:2015 and ISO 9001:2015;
— focus on the concept o f “quality o f an organization”;
— focus o f the concept o f “identity o f an organization”.
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ISO 9004:2018(E)
Introduction
This document provides guidance for organizations to achieve sustained success in a complex,
demanding and ever-changing environment, with re ference to the quality management principles
described in ISO 9000:2015. Where they are applied collectively, quality management principles can
provide a uni fying basis for an organization’s values and strategies.
While ISO 9001:2015 focuses on providing confidence in an organization’s products and services, this
document focuses on providing confidence in the organization’s ability to achieve sustained success.
Top management’s focus on the organization’s ability to meet the needs and expectations o f customers
and other relevant interested parties provides confidence in achieving sustained success. This
document addresses the systematic improvement o f the organization’s overall per formance. It includes
the planning, implementation, analysis, evaluation and improvement o f an e ffective and e fficient
management system.
Factors a ffecting an organization’s success continually emerge, evolve, increase or diminish over
the years, and adapting to these changes is important for sustained success. Examples include social
responsibility, environmental and cultural factors, in addition to those that might have been previously
considered, such as e fficiency, quality and agility; taken together, these factors are part o f the
organization’s context.
The ability to achieve sustained success is enhanced by managers at all levels learning about and
understanding the organization’s evolving context. Improvement and innovation also support sustained
success.
This document promotes sel f-assessment and provides a sel f-assessment tool for reviewing the extent
to which the organization has adopted the concepts in this document (see Annex A).
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A representation o f the structure o f this document, incorporating the elements essential to achieve
sustained success o f an organization as covered in this document, is presented in Figure 1.
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Figure 1 — Representation of the structure of this document
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INTERNATIONAL STANDARD
ISO 9004:2018(E)
Quality management — Quality of an organization —
Guidance to achieve sustained success
1 Scope
This document gives guidelines for enhancing an organization’s ability to achieve sustained success.
This guidance is consistent with the quality management principles given in ISO 9000:2015.
This document provides a sel f-assessment tool to review the extent to which the organization has
adopted the concepts in this document.
This document is applicable to any organization, regardless o f its size, type and activity.
2 Normative references
The following documents are re ferred to in the text in such a way that some or all o f their content
constitutes requirements o f this document. For dated re ferences, only the edition cited applies. For
undated re ferences, the latest edition o f the re ferenced document (including any amendments) applies.
ISO 9000:2015, Quality management systems — Fundamentals and vocabulary
3
Terms and definitions
For the purposes o f this document, the terms and definitions given in ISO 9000:2015 apply.
ISO and IEC maintain terminological databases for use in standardization at the following addresses:
— ISO Online browsing plat form: available at https://www.iso .org/obp
— IEC Electropedia: available at http://www .electropedia .org/
4 Quality of an organization and sustained success
4.1 Quality of an organization
The quality o f an organization is the degree to which the inherent characteristics o f the organization
fulfil the needs and expectations o f its customers and other interested parties, in order to achieve
sustained success. It is up to the organization to determine what is relevant to achieve sustained
success.
NOTE 1 The term “quality o f an organization” is derived from the definition o f “quality” given in ISO 9000:2015,
3.6.2 (“the degree to which a set o f inherent characteristics o f an object fulfils requirements”), and from the
definition o f “requirement” given in ISO 9000:2015, 3.6.4, (“needs or expectations that are stated, generally
implied or obligatory”). It is distinct from the purpose o f ISO 9001, which focuses on the quality o f products and
services in order to give confidence in the ability o f an organization to provide con forming products and services
and to enhance its customers’ satis faction.
NOTE 2
All re ferences to “needs and expectations” mean “relevant needs and expectations”.
NOTE 3
All re ferences to “interested parties” mean “relevant interested parties”.
NOTE 4
All re ferences to “interested parties” include customers.
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ISO 9004:2018(E)
The organization should go beyond the quality o f its products and services and the needs and
expectations o f its customers. To achieve sustained success, the organization should focus on
anticipating and meeting the needs and expectations o f its interested parties, with the intent o f
enhancing their satis faction and overall experience.
The organization should apply all o f the quality management principles (see ISO 9000:2015) to achieve
sustained success. Particular attention should be given to the principles o f “customer focus” and
“relationship management” to meet the di fferent needs and expectations o f interested parties.
The needs and expectations o f individual interested parties can be di fferent, aligned to, or in conflict
with those o f other interested parties, or can change quickly. The means by which the needs and
expectations o f interested parties are expressed and met can take a wide variety o f forms, for example
co-operation, negotiation, outsourcing, or by terminating an activity; consequently, the organization
should give consideration to the interrelationships o f its interested parties when addressing their
needs and expectations.
The composition o f interested parties can di ffer significantly over time and between organizations,
industries, cultures and nations; Figure 2 provides examples o f interested parties and their needs and
expectations.
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4.2 Managing for the sustained success of an organization
4.2.1 The quality o f an organization is enhanced and sustained success can be achieved by consistently
meeting the needs and expectations o f its interested parties over the long term. Short- and medium-term
objectives should support this long-term strategy.
As the context o f an organization will be ever-changing, to achieve sustained success top
management should:
a) regularly monitor, analyse, evaluate and review the organization’s context in order to identi fy all
interested parties, determine their needs and expectations and their individual potential impacts
on the organization’s per formance;
b) determine, implement and communicate the organization’s mission, vision and values, and promote
an aligned culture;
c) determine short- and long-term risks and opportunities;
d) determine, implement and communicate the organization’s policies, strategy and objectives;
e) determine the relevant processes and manage them so that they function within a coherent system;
f
) manage the organization’s resources to enable its processes to achieve their intended results;
g) monitor, analyse, evaluate and review the organization’s per formance;
h) establish a process for improvement, learning and innovation in order to support the organization’s
ability to respond to changes in the context o f the organization.
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4.2.2
C o ns ideratio n o f the needs and exp ectatio ns o f interes ted p arties can enab le the o rganizatio n:
a)
to ach ieve obj e c tive s e ffe c tively and e fficiently;
b)
to el i m i nate con fl ic ti ng re s p on s ibi l itie s a nd relation s h ip s;
c)
to h armon i z e and op ti m i z e prac tice s;
d)
to c re ate con s i s tenc y;
e)
to i mprove com mu n ic ation;
f)
to
faci l itate
g)
to
faci l itate fo c u s
h)
to ma nage ri s ks and opp or tu n itie s to its brand or reputation;
i)
to acqu i re and sh are knowle dge .
5
Context of an organization
5.1
trai n i ng , le a rn i ng and p ers ona l development;
on the mo s t i mp or tant ch arac teri s tics o f the orga n i z ation;
General
Unders tand i ng the conte x t o f an organ i z ation i s a pro ce s s that de term i ne s
orga ni z ation’s abi l ity to ach ieve s us ta i ne d s ucce s s . T here are key
fac tors
fac tors
wh ich i n fluence the
to con s ider when de term i n i ng
the conte x t o f an organ i z ation:
a)
i ntere s te d p ar tie s;
b)
e x terna l i s s ue s;
c)
i nterna l i s s ue s .
5.2
Relevant interested parties
I ntere s te d p a r tie s a re tho s e that c an a ffe c t, b e a ffe c te d b y, or p erceive them s elve s to b e a ffe c te d b y a
de ci s ion or ac tivity o f the orga ni z ation .
T he orga n i z ation shou ld de term i ne wh ich i ntere s te d p ar tie s
are relevant. T he s e relevant i ntere s te d p ar tie s c an b e b o th ex terna l a nd i nterna l , i nclud i ng c u s tomers ,
and c an i mp ac t the organ i z ation’s abi l ity to ach ieve s u s tai ne d s ucce s s .
T he organ i z ation shou ld de term i ne wh ich i ntere s te d p a r tie s:
a)
a re a ri s k to its s u s ta i ne d s ucce s s i f thei r relevant ne e d s a nd exp e c tation s are no t me t;
b)
c a n provide opp or tu n itie s to en hance its s u s ta i ne d s ucce s s .
O nce the relevant i ntere s te d p a r tie s are de term i ne d, the orga n i z ation s hou ld:
—
identi fy thei r relevant ne e d s and e xp e c tation s , de term i n i ng the one s that s hou ld b e add re s s e d;
—
e s tabl i s h the ne ce s s ar y pro ce s s e s to
T he organ i z ation
fu l fi l
the ne e d s and e xp e c tation s o f the i ntere s te d p ar tie s .
shou ld con s ider how to e s tabl i s h ongoi ng rel ation sh ip s
with i ntere s te d p a r tie s
for
b enefits s uch a s i mprove d p er forma nce, com mon unders ta nd i ng o f obj e c tive s a nd va lue s , and en hance d
s tabi l ity.
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ISO 9004:2018(E)
5.3 External and internal issues
5.3.1 External issues are factors that exist outside o f the organization that can a ffect the organization’s
ability to achieve sustained success, such as:
a) statutory and regulatory requirements;
b) sector-specific requirements and agreements;
c) competition;
d) globalization;
e) social, economic, political and cultural factors;
f
) innovations and advances in technology;
g) natural environment.
5.3.2 Internal issues are factors that exist within the organization itsel f that can affect the organization’s
ability to achieve sustained success, such as:
a) size and complexity;
b) activities and associated processes;
c) strategy;
d) type o f products and services;
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f
) resources;
g) levels o f competence and organizational knowledge;
h) maturity;
i)
innovation.
5.3.3 When considering external and internal issues, the organization should take into account
relevant in formation from the past, its current situation and its strategic direction.
The organization should determine which external and internal issues could result in risks to its
sustained success or opportunities to enhance its sustained success.
Based on the determination o f these issues, top management should decide which o f these risks and
opportunities should be addressed and initiate the establishment, implementation and maintenance o f
the necessary processes.
The organization should consider how to establish, implement and maintain a process for monitoring,
reviewing and evaluating external and internal issues, with consideration o f any consequences to be
acted on (see 7.2 ).
6 Identity of an organization
6.1 General
An organization is defined by its identity and context. The identity o f an organization is determined by
its characteristics, based on its mission, vision, values and culture.
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M i s s ion, vi s ion, va lue s a nd c u ltu re are i nterdep endent and the relation s h ip b e twe en them s hou ld b e
re co gni z e d as dynam ic .
6.2 Mission, vision, values and culture
T he identity o f an organ i z ation i nclude s its:
for
a)
m i s s ion: the organ i z ation’s pu rp o s e
b)
vi s ion: as pi ration o f what an organ i z ation wou ld l i ke to b e come;
c)
values:
principles
e xi s ti ng;
and/or th in ki ng p atterns
intended
to play a role i n shapi ng the organi z ation’s
cu lture and to determi ne what i s i mp or tant to the organi z ation, in s upp or t o f the mi s s ion and vi s ion;
d)
c u ltu re:
b el ie fs , h i s tor y, e th ics , ob s er ve d b ehaviou r and attitude s
that are i nterrelate d
with the
identity o f the organ i z ation .
I t i s e s s entia l th at the organ i z ation’s c u ltu re a l ign s with its m i s s ion, vi s ion, a nd va lue s . Top ma nagement
shou ld en s u re th at the conte x t o f the orga n i z ation i s con s idere d when de term i n i ng its m i s s ion, vi s ion
and va lue s .
This
shou ld
i nclude
a n u nders tand i ng
o f its exi s ti ng c u ltu re
and as s e s s i ng the ne e d to
cha nge the c u ltu re . T he s trate gic d i re c tion o f the organ i z ation a nd its p ol ic y shou ld b e a l igne d with
the s e identity elements .
Top
ma nagement
s hou ld
review
the
m i s s ion,
vi s ion,
va lue s
and
c u lture
at
pla n ne d
i nter va l s
and
whenever the conte x t o f the organ i z ation cha nge s . T h i s review s hou ld con s ider ex terna l and i nterna l
i s s ue s that c an have an e ffe c t on the orga n i z ation’s abi l ity to ach ieve s u s ta i ne d s ucce s s . When cha nge s
are made to any o f the identity elements , they shou ld b e com mu n ic ate d with i n the orga ni z ation and to
i ntere s te d p ar tie s , as appropriate .
7 Leadership
7.1 General
7.1.1
a)
To p management, thro ugh its leaders hip , s ho uld:
promo te the adop tion o f the m i s s ion, vi s ion, va lue s a nd c u ltu re i n a way th at i s conci s e and e as y to
u nders tand, to ach ieve u nity o f pu r p o s e;
b)
c re ate an i nterna l envi ron ment i n wh ich p e ople are engage d and com m itte d to the ach ievement o f
the orga n i z ation’s obj e c tive s;
c)
encourage
and
s upp or t
ma nagers
at appropriate
level s
to
promo te
and
mai nta i n
the
un ity
of
pu rp o s e a nd d i re c tion as e s tabl i she d b y the top management.
7.1.2
To achieve s us tained s ucces s , to p management s ho uld demo ns trate leaders hip and co mmitment
within the o rganizatio n, by:
a)
e s tabl i s h i ng the organ i z ation’s identity (s e e C l au s e 6 ) ;
b)
promo ti ng a c u ltu re o f tru s t and i ntegrity;
c)
e s tabl i s h i ng and mai nta i n i ng te amwork;
d)
provid i ng p e op le with the ne ce s s ar y re s ource s , tra i n i ng and authority to ac t with accou ntabi l ity;
e)
promo ti ng s ha re d va lue s ,
fai rne s s
and e th ic a l b ehaviou r s o that the s e are s u s tai ne d at a l l level s o f
the orga n i z ation;
f)
e s tabl i s h i ng
a nd
mai ntai n i ng
an
orga n i z ationa l
s tr uc tu re
to
en ha nce
comp e titivene s s ,
where
appl ic able;
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g) individually and collectively rein forcing the organization’s values;
h) communicating achieved successes externally and internally, as appropriate;
i)
establishing a basis for e ffective communication with people in the organization, discussing issues
that have general impact, including financial impact, where applicable;
j)
supporting leadership development at all levels o f the organization.
7.2 Policy and strategy
Top management should set out the organization’s intentions and direction in the form o f the
organization’s policy, to address aspects such as compliance, quality, environment, energy, employment,
occupational health and sa fety, quality o f work li fe, innovation, security, privacy, data protection
and customer experience. Policy statements should include commitments to satis fy the needs and
expectations o f interested parties and to promote improvement.
When establishing the strategy, top management should either apply a recognized and appropriate
model available in the market, or design or implement an organization-specific customized model.
Once chosen, it is crucial to maintain the stability o f the model as the solid foundation and re ference for
managing the organization.
Strategy should reflect the identity o f the organization, its context and long-term perspective. All shortand medium-term objectives should be aligned accordingly (see 7.3 ).
Top management should make strategic decisions regarding competitive factors (see Table 1 ).
These policy and strategy decisions should be reviewed for continued suitability. Any changes to the
external and internal issues, as well as any new risks and opportunities, should be addressed.
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The organization’s policies and strategy constitute the basis to establish process management (see
Clause 8 ).
Table 1 — Examples of actions to consider when addressing competitive factors
A
B
Competitive
factors
Products and
services
People
Actions to consider
—
—
—
—
—
—
—
—
—
—
—
—
—
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focusing on current and potential customers and potential markets for products
and services
o ffering standard products and services or designs specific to customer
requirements
realizing the advantages o f being first to market or being a follower
scaling production from one-o ff to mass production, as appropriate
dealing with short innovation cycles or a stable long-term customer demand
managing quality requirements
recognizing demographic development and changing values
considering diversity
cultivating an image as an attractive employer
determining the desired competence and experience o f people to hire
considering appropriate approaches to recruitment, competence development,
retention, and leave management
addressing capacity flexibility by considering permanent versus fixed-term
contracts
considering full time versus part time or temporary employment, as well as the
balance between them
© ISO 2018 – All rights reserved
ISO 9004:2018(E)
Table 1 (continued)
C
Competitive
factors
Organizational
knowledge and
technology
Actions to consider
—
ap p l yi n g c u r rentl y ava i l ab le knowle dge a nd te ch nolo g y to new op p or tu n i tie s
—
identi fyi ng the ne e d
—
for
new knowle dge a nd te ch no lo g y
de term i n i n g when th i s knowle dge a nd te ch no lo g y ne e d s to b e ava i l ab le a nd how
to app l y i t with i n the o rga n i z atio n
D
E
Partners
—
de term i n i n g i f th i s s hou ld b e de velop e d i nter n a l l y o r acqu i re d e x tern a l l y
—
de term i n i n g p o tenti a l p a r tners
—
d ri vi n g j oi nt te ch nolo g y de velo pment with e x ter n a l p roviders a nd co mp e ti to rs
—
customers
—
co - op erati n g wi th the lo c a l com mu n i ty, ac adem i a, pub l ic autho ri tie s a nd
de velopi n g c u s tom i z e d p ro duc ts a nd s er vice s i n j oi nt u nder ta ki ngs with
a s s o c i ation s
Processes
—
de c id i n g whe ther pro ce s s m a n agement wi l l b e centra l i z e d, de centra l i z e d ,
i nte grate d or non- i nte grate d , or a hybr id ap pro ach re ga rd i n g de ter m i n ation ,
e s tab l i s h ment, m a i nten a nce , co ntro l a nd i mp ro vement o f p ro ce s s e s , i nclud i ng
the a s s i gn ment o f ro le s a nd re s p on s ib i l itie s
—
F
G
de term i n i n g ne ce s s a r y i n for m atio n a nd co m mu n ic ation s te ch nolo g y ( I C T )
i n fra s tr uc tu re (e . g. propr ie ta r y, c u s tom i z e d or s ta nd a rd s o lution s)
Place
Pricing
—
co n s ider i ng lo c a l , re gion a l a nd glo b a l p re s ence
—
co n s ider i ng vi r tu a l p re s ence a nd u s e o f s o c i a l me d i a
—
co n s ider i ng the u s e o f vi r tu a l de centra l i z e d p roj e c t te a m s
—
e s tab l i s h i ng p r ice p o s i tio n (e . g. low vers u s prem iu m p r ic i ng s trate g y)
—
de term i n i n g pr ice s b y u s i ng a n auc tion/ b idd i n g ap pro ach
7.3 Objectives
Top management shou ld demon s trate le aders h ip i n the organ i z ation b y defi n i ng a nd mai ntai n i ng the
orga ni z ation’s
obj e c tive s b as e d on its p ol ic ie s and s trateg y, a s wel l a s b y deployi ng the obj e c tive s at
fu nc tion s ,
relevant
level s a nd pro ce s s e s .
be
defi ne d
for
O bj e c tive s
shou ld
O bj e c tive s
s hou ld b e quanti fie d
should consider:
a)
b)
the
s hor t
and
where p o s s ible .
long
term
and
shou ld
When de term i n i ng
be
cle arly
the obj e c tive s ,
unders ta ndable .
top ma nagement
to wh at ex tent the orga n i z ation i s a i m i ng to b e re co gn i ze d b y i ntere s te d p ar tie s a s:
fac tors
(s e e 7. 2 ) empha s i z i ng the organ i z ation’s c ap abi l ity;
1)
a le ader with re s p e c t to comp e titive
2)
h avi ng a p o s itive i mp ac t on e conom ic, envi ron menta l a nd s o c i a l cond ition s arou nd it;
the degre e o f the organ i z ation’s a nd its p e ople’s engagement i n s o cie ty b eyond i m me d iate bu s i ne s s relate d
topic s
(e . g.
in
nationa l
a nd
i nternationa l
organ i z ation s ,
s uch
as
publ ic
ad m i n i s tration,
a s s o ci ation s a nd s ta nda rd i z ation b o d ie s) .
When deployi ng the obj e c ti ve s , top ma nagement shou ld encou rage d i s c u s s ion s
d i fferent
fu nc tion s
for
a l ign ment b e twe en
and level s o f the orga n i z ation .
7.4 Communication
T he e ffe c tive com mu n ic ation o f p ol ic ie s a nd s trate g y, with relevant obj e c tive s , i s e s s entia l to s upp or t
the s u s tai ne d s ucce s s o f the organ i z ation .
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7
ISO 9004:2018(E)
Such
com mu n ic ation
fe e db ack
s hou ld
be
me a ni ng fu l,
ti mely and
conti nua l .
C om mu n ic ation
s hou ld
i nclude
a
me chan i s m a nd i ncorp orate provi s ion s to pro ac tively add re s s cha nge s i n the orga n i z ation’s
contex t.
T he organ i z ation’s com mu n ic ation pro ce s s s hou ld op erate b o th ver tic a l ly and hori z onta l ly and s hou ld
b e ta i lore d to the d i fferi ng ne e d s o f its re c ipients . For exa mple, the s a me i n formation c an b e conveye d
i n one way to p e ople with i n the organ i z ation and i n a d i fferent way to i ntere s te d p ar tie s .
8 Process management
8.1 General
O rga ni z ation s
del iver
va lue
o ften c ro s s b ou ndarie s
of
th rough
fu nc tion s
ac ti vitie s
con ne c te d
with i n
with i n the organ i z ation .
a ne twork o f pro ce s s e s .
C on s i s tent a nd pre d ic table
ach ieve d more e ffe c tively and e fficiently when the ne twork o f pro ce s s e s
fu nc tion s
P ro ce s s e s
re s u lts
a re
a s a coherent s ys tem .
P ro ce s s e s are s p e ci fic to an organ i z ation and va r y dep end i ng on the typ e, s i ze a nd level o f matu rity o f
the orga n i z ation . T he ac tivitie s with i n e ach pro ce s s s hou ld b e de term i ne d a nd adap te d to the s i ze and
d i s ti nc tive
fe atu re s
o f the organ i z ation .
I n order to ach ieve its obj e c tive s , the organ i z ation shou ld en s u re that a l l its pro ce s s e s a re ma nage d
pro ac tively,
i nclud i ng ex terna l ly provide d
pro ce s s e s ,
to en s u re that they are e ffe c tive and e fficient.
I t i s i mp or tant to op ti m i z e the b a la nce b e twe en the d i fferent pu rp o s e s and s p e ci fic obj e c tive s o f the
pro ce s s e s , i n a l ign ment with the orga n i z ation’s obj e c tive s .
This
c an
be
fac i l itate d
by
adop ti ng
a
“pro ce s s
appro ach”
that
i nclude s
e s tabl i sh i ng
pro ce s s e s ,
i nterdep endenc ie s , con s tra i nts and sh are d re s ou rce s .
NO TE
in
ISO
Fo r
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FREE
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fu r ther
for m ation
on the “pro ce s s ap pro ach”, s e e the rel ate d qu a l ity m a n agement
9 0 0 0 : 2 01 5 ,
a nd
the
“I S O
9 0 01 : 2 0 0 8
I ntro duc tion
a nd
Supp or t
concept, content and use of the process approach for management systems ,
.org/
tc176 s c2
.
P ackage ”
ava i l ab le
do c u ment
from:
p r i nc ip le s
Guidance on the
https://committee .iso
8.2 Determination of processes
8.2.1
The o rganizatio n s ho uld determine the p ro ces s es and their interactio ns neces s ary
o utp uts that meet the needs and exp ectatio ns o f interes ted p arties , o n an o ngo ing b as is .
s chematic rep res entatio n o f a p ro ces s .
fo r
p roviding
Figure 3
gives a
Figure 3 — Schematic representation of the elements of a single process
8
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ISO 9004:2018(E)
P ro ce s s e s and thei r i nterac tion s s hou ld b e de term i ne d i n accordance with the organ i z ation’s p ol ic ie s ,
s trate g y and obj e c tive s , and s hou ld add re s s are a s s uch as:
a)
op eration s relate d to pro duc ts and s er vice s;
b)
me e ti ng the ne e d s and e xp e c tation s o f i ntere s te d p ar tie s;
c)
the provi s ion o f re s ource s;
d)
ma nageri a l
ac tivitie s ,
i nclud i ng monitori ng ,
me a s u ri ng ,
a na lys i s ,
review, i mprovement,
le arn i ng
a nd i n novation .
8.2.2
I n determining its p ro ces s es and their interactio ns , the o rganizatio n s ho uld give co ns ideratio n,
as ap p ro p riate, to :
a)
the pur p o s e o f the pro ce s s;
b)
the obj e c tive s to b e ach ieve d and rel ate d p er forma nce i nd ic ators;
c)
the outputs to b e provide d;
d)
the ne e d s a nd exp e c tation s o f i ntere s te d p ar tie s , a nd thei r cha nge s;
e)
change s i n op eration s , marke ts and te ch nolo gie s;
f)
the i mp ac ts o f the pro ce s s e s;
g)
the i nputs , re s ource s and i n formation ne e de d, and thei r ava i l abi l ity;
h)
the ac tivitie s that ne e d to b e i mplemente d and me tho d s that c a n b e u s e d;
i)
con s tra i nts
j)
ri s ks and opp or tu n itie s .
for
the pro ce s s;
8.3 Responsibility and authority for processes
For
e ach
pro ce s s ,
the
organ i z ation
shou ld
app oi nt
a
p ers on
or
a
te am
(o ften
re ferre d
to
as
the
“pro ce s s owner" ) , dep end i ng on the natu re o f the pro ce s s and the organ i z ation’s c u ltu re, with defi ne d
re s p on s ibi l itie s
and
authoritie s
to
de term i ne,
mai nta i n,
control
and
i mprove
the
pro ce s s
and
its
i nterac tion with o ther pro ce s s e s it i mp ac ts and tho s e that h ave i mp ac t on it. T he organ i z ation shou ld
en s ure th at the re s p on s ibi l itie s ,
authoritie s
and role s o f pro ce s s
owners
are re co gn i z e d
th roughout
the organ i z ation and that the p e ople a s s o ci ate d with the i nd ividua l pro ce s s e s h ave the comp e tence s
ne e de d
for
the tas ks and ac tivitie s i nvolve d .
8.4 Managing processes
8.4.1
a)
To manage its p ro ces s es e ffectively and e fficiently, the o rganizatio n s ho uld:
ma nage the pro ce s s e s a nd thei r i nterac tion s , i nclud i ng ex terna l ly provide d pro ce s s e s , a s a s ys tem
to en ha nce a l ign ment/ l i n kage b e twe en the pro ce s s e s;
b)
vi s ua l i z e the ne twork o f pro ce s s e s , thei r s e quence a nd i nterac tion s i n a graph ic (e . g. pro ce s s map,
d iagra m s)
i n order to unders ta nd
the role s o f e ach pro ce s s i n the s ys tem and its e ffe c ts on the
p er formance o f the s ys tem;
c)
de term i ne
c riteri a
for
the
outputs
of
pro ce s s e s ,
eva luate
the
cap abi l ity
and
p er formance
of
pro ce s s e s b y comp a ri ng the outputs with the c riteria, a nd pla n ac tion s to i mprove the pro ce s s e s
when they are no t e ffe c tively ach ievi ng the p er forma nce exp e c te d by the s ys tem;
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9
ISO 9004: 2 01 8(E)
d)
a s s e s s the ri sks and opp or tu n itie s a s s o ci ate d with the pro ce s s e s a nd i mplement a ny ac tion s that
are ne ce s s ar y i n order to prevent, de te c t a nd m itigate u nde s i re d events , i nclud i ng ri sks s uch a s:
fac tors
(e . g. shor tage o f knowle dge and s ki l l s , ru le viol ation s , hu man errors) ;
1)
hu man
2)
i nade quate c ap abi l ity, de terioration s and bre a kdown s o f e qu ipment;
3)
de s ign and development
4)
u npl an ne d cha nge s i n i ncom i ng materi a l s and s er vice s;
5)
u ncontrol le d va ri ation i n the envi ron ment
6)
u nexp e c te d
ch ange s
fai lure;
i n the
ne e d s
and
for
the op eration o f pro ce s s e s;
exp e c tation s
o f i ntere s te d
p a r tie s ,
i nclud i ng
marke t
dema nd;
e)
review the pro ce s s e s and thei r i nterrelation s h ip s
for
on a re gu l ar b a s i s a nd ta ke s u itable ac tion s
control and i mprovement, to en s u re they conti nue to b e e ffe c tive a nd s upp or t the s u s tai ne d s ucce s s
o f the orga ni z ation .
8.4.2
Pro ces s es
s ho uld
o p erate
to gether
within
a
co herent
management
sys tem.
S o me
p ro ces s es
will relate to the overall management sys tem and s o me will additio nally relate to a s p ecific managerial
as p ect, s uch as :
a)
the qua l ity o f pro duc ts and s er vice s , i nclud i ng co s t, quantity and del iver y (e . g. I S O 9 0 01) ;
b)
he a lth, s a fe ty, s e c u rity (e . g. I S O 45 0 01 , I S O/I E C 2 70 01) ;
c)
envi ron ment, energ y (e . g. I S O 14 0 01 , I S O 5 0 0 01) ;
d)
s o ci a l re s p on s ibi l ity, anti-brib er y, compl i ance (e . g. I S O 2 6 0 0 0 , I S O 3 70 01 , I S O 19 6 0 0) ;
e)
bu s i ne s s conti nuity, re s i l ience (e . g. I S O 2 2 3 01 , I S O 2 2 3 16) .
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To attain a higher level o f p er fo rmance, the p ro ces s es and their interactio ns s ho uld b e co ntinually
8.4.3
imp roved acco rding to the o rganizatio n’ s
co ns ideratio n
o f the
s ervices o r their
need
to
features , fo r
develo p
p o licies , s trategy and o b j ectives (s ee 7 . 2 and 7 . 3 ) , including
o r acquire
new techno lo gies ,
o r to
develo p
new p ro ducts
and
added value.
T he organ i z ation s hou ld mo tivate p e ople to engage i n i mprovement ac tivitie s a nd prop o s e opp or tu n itie s
for
i mprovement i n the pro ce s s e s i n wh ich they a re i nvolve d .
T he
orga ni z ation
pro ce s s e s
shou ld
re gu larly
and thei r i nterac tion s ,
review
the
the pro gre s s
ach ievement
o f obj e c tive s
for
the
i mprovement
of
o f ac tion plan s , a nd the e ffe c ts on the organ i z ation’s
p ol ic ie s , obj e c tive s and s trate gie s . I t s hou ld ta ke a ny ne ce s s ar y corre c tive ac tion s , or o ther appropri ate
ac tion s , when gap s are identi fie d b e twe en the plan ne d a nd ac tua l ac tivitie s .
8.4.4
To maintain the level o f p er fo rmance attained, p ro ces s es s ho uld b e o p erated under co ntro lled
co nditio ns , regardles s o f any p lanned and unp lanned changes . The o rganizatio n s ho uld determine what
p ro cedures
(i f any)
are
needed
to
manage
a p ro ces s ,
including
the
criteria
fo r
p ro ces s
o utp uts
and
o p eratio nal co nditio ns , to ens ure co n fo rmity with the criteria.
When
pro ce du re s
are appl ie d,
i n order to
en s u re
th at they are
fol lowe d
b y p e ople
i nvolve d
i n the
op eration o f the pro ce s s , the orga n i z ation s hou ld en s u re that:
a)
a s ys tem i s e s tabl i s he d to defi ne the knowle dge and s ki l l s ne e de d
for
pro ce s s e s a nd eva luate the
knowle dge a nd ski l l s o f the pro ce s s op erators;
b)
ri s ks i n the pro ce du re s
ma ki ng
it d i ffic u lt to
are identi fie d ,
ma ke
errors
assessed
and re duce d
or no t a l lowi ng
b y i mprovi ng the pro ce du re s
pro gre s s ion
to
the
nex t pro ce s s
(e . g.
i f a n error
o cc u rs) ;
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for
re s ou rce s ne ce s s ar y
d)
p e ople have the knowle dge a nd s ki l l s ne e de d
e)
p e ople
u nders ta nd
e xp erience d
p e ople to
fol low
c)
the
u nde s i re d
of
i mp ac ts
events)
and
no t
for fol lowi ng
fol lowi ng
managers
ne ce s s a r y whenever a pro ce du re i s no t
f)
the pro ce dure s are made avai lable;
the
at
the pro ce du re s;
pro ce du re s
appropri ate
(e . g.
level s
by
ta ke
u s i ng
the
exa mple s
ac tion s
that
of
are
fol lowe d;
con s ideration i s given to le arn i ng , tra i n i ng , mo tivation and prevention o f hu man error.
8.4.5
The o rganizatio n s ho uld mo nito r its p ro ces s es o n a regular b as is to detect deviatio ns , and s ho uld
identi fy and take ap p ro p riate actio ns when neces s ary witho ut delay. D eviatio ns are mainly caus ed by
changes in equip ment,
metho d, material, meas urement,
fo r
enviro nment and p eo p le
the o p eratio n o f
p ro ces s es . The o rganizatio n s ho uld determine check p o ints and related p er fo rmance indicato rs that will
b e e ffective and e fficient in detecting deviatio ns .
9 Resource management
9.1 General
Re s ou rce s
s upp or t
the
op eration
of all
pro ce s s e s
in
an
organ i z ation
and
are
critic a l
for
en s u ri ng
e ffe c tive and e ffic ient p er forma nce and its s u s ta i ne d s ucce s s .
T he
organ i z ation
s hou ld
de term i ne
and
ma nage
the
re s ou rce s
ne e de d
for
the
ach ievement
o f its
obj e c tive s , ta ki ng i nto accou nt the a s s o ci ate d ri sks a nd opp or tu n itie s a nd thei r p o tenti a l e ffe c ts .
E xa mp le s o f key re s ou rce s i nclude:
a)
fi na nci a l re s ou rce s;
b)
p e ople;
c)
organ i z ationa l knowle dge;
d)
te ch nolo g y;
e)
i n fras tr uc tu re, s uch a s e qu ipment,
f)
the envi ron ment
g)
the materi a l s ne e de d
h)
i n formation;
i)
re s ou rce s provide d e x terna l ly, i nclud i ng s ub s id i arie s , p ar tnersh ip s and a l l i ance s;
j)
natu ra l re s ource s .
T he
organ i z ation
for
faci l itie s ,
energ y and uti l itie s;
the organ i z ation’s pro ce s s e s;
for
shou ld
the provi s ion o f pro duc ts a nd s er vice s;
i mplement
s u fficient
control
over
its
pro ce s s e s
to
ach ieve
e fficient
a nd
e ffe c tive u s e o f its re s ource s . D ep end i ng on the natu re and complexity o f the organ i z ation, s ome o f the
re s ource s wi l l h ave d i fferent i mp ac ts on the s u s tai ne d s ucce s s o f the organ i z ation .
When
con s ideri ng
future
ac tivitie s ,
the organ i z ation
s hou ld
ta ke
i nto
accou nt the acce s s ibi l ity
s uitabi l ity o f re s ource s , i nclud i ng ex terna l ly provide d re s ou rce s . T he organ i z ation shou ld
eva luate its exi s ti ng u s e o f re s ou rce s to de term i ne opp or tu n itie s
for
a nd
fre quently
i mprovi ng thei r u s e, op ti m i z i ng
pro ce s s e s , and i mplementi ng new te ch nolo gie s to re duce ri s ks .
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11
ISO 9004:2018(E)
9.2
9.2.1
People
General
Competent, engaged, empowered and motivated people are a key resource. The organization should
develop and implement processes to attract and retain people who have the current or potential
competences and availability to contribute fully to the organization. The managing o f people should
be per formed through a planned, transparent, ethical and socially responsible approach at all levels
throughout the organization.
9.2.2
Engagement of people
Engagement o f people enhances the organization’s ability to create and deliver value for interested
parties. The organization should establish and maintain processes for engagement o f its people.
Managers at all levels should encourage people to be involved in improving per formance and meeting
the organization’s objectives.
To enhance the engagement o f its people, the organization should consider activities such as:
a) developing a process to share knowledge;
b) making use o f its people’s competence;
c) establishing a skills qualification system and career planning to promote personal development;
d) continually reviewing their level o f satis faction, relevant needs and expectations;
e) providing opportunities for mentoring and coaching;
f
) promoting team
improvement
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9.2.3
Empowerment and motivation of people
Empowered and motivated people at all levels throughout the organization are essential to enhance
the organization’s ability to create and deliver value. Empowerment enhances the motivation o f people
to take responsibility for their work and its results. This can be achieved by providing people with the
necessary in formation, authority and freedom to make decisions related to their own work. Managers at
all levels should motivate people to understand the significance and importance o f their responsibilities
and activities in relation to creating value for interested parties. To enhance the empowerment and
motivation o f people, managers at all levels should:
a) define clear objectives (aligned with the organization’s objectives), delegate authority and
responsibility, and create a work environment in which people control their own work and
decision making;
b) introduce an appropriate recognition system, based on the evaluation o f people’s accomplishments
(both individually and in teams);
c) provide incentives for people to act with initiative (both individually and in teams), as well as
recognizing good per formance, rewarding results and celebrating the achievement o f objectives.
9.2.4
Competence of people
A process should be established and maintained to assist the organization in determining, developing,
evaluating and improving the competence o f people at all levels. The process should follow steps such as:
a) determining and analysing the personal competencies needed by the organization in accordance
with its identity (mission, vision, values and culture), strategy, policies and objectives;
b) determining the current competence at group level and at individual level, as well as the gaps
between what is available and what is currently needed, or could be needed in the future;
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c)
i mplementi ng ac tion s to i mprove a nd acqui re comp e tence, as re qu i re d;
d)
i mprovi ng and mai ntai n i ng comp e tence th at ha s b e en acqu i re d;
e)
reviewi ng
a nd
eva luati ng
e ffe c tivene s s
the
of
ac tion s
ta ken
to
con fi rm
that
the
ne ce s s ar y
comp e tence has b e en acqu i re d .
9.3
Organizational knowledge
9.3.1
a)
O rganizatio nal kno wledge can b e b as ed o n external o r internal s o urces . To p management s ho uld:
re co gn i ze
knowle dge
as
an
i ntel le c tua l
asset
a nd
manage
it
as
an
e s s entia l
element
of
the
organ i z ation’s s u s ta i ne d s ucce s s;
b)
con s ider the knowle dge re qu i re d to s upp or t the shor t- and long-term ne e d s o f the organ i z ation,
i nclud i ng s ucce s s ion pla n ni ng;
c)
a s s e s s how the orga n i z ation’s
knowle dge i s identi fie d, c ap tu re d, ana lys e d , re trieve d , ma i ntai ne d
a nd pro te c te d .
9.3.2
When
defining
ho w to
determine,
maintain
and
p ro tect kno wledge,
the
o rganizatio n
s ho uld
develo p p ro ces s es to addres s :
from fai lu re s
a nd s ucce s s fu l proj e c ts;
a)
le s s on s le arne d
b)
e xpl ic it and tacit knowle dge that e xi s ts with i n the orga n i z ation, i nclud i ng the knowle dge, i n s ights
a nd exp erience o f its p e ople;
c)
de term i n i ng the ne e d to acqui re knowle dge
s trateg y (s e e
d)
9.6
from
i ntere s te d p ar tie s as p ar t o f the organ i z ation’s
);
con fi rm i ng the e ffe c tive d i s tribution a nd u nders tand i ng o f i n formation, th roughout the l i fe c ycle(s)
o f the organ i z ation’s pro duc ts and s er vice s;
e)
ma nagi ng do c u mente d i n formation and its u s e;
f)
ma nagi ng i ntel le c tua l prop er ty.
9.4 Technology
Top management shou ld con s ider te ch nolo gic a l
developments ,
b o th exi s ti ng a nd emergi ng ,
th at c an
have a s ign i fic ant i mp ac t on the organ i z ation’s p er forma nce i n pro ce s s e s rel ate d to pro duc t and s er vice
provi s ion,
ma rke ti ng ,
comp e titive
adva ntage,
orga ni z ation shou ld i mplement pro ce s s e s
considering:
a)
b)
for
agi l ity
and
i nterac tion
with
i ntere s te d
p a r tie s .
T he
de te c ti ng te ch nolo gic a l developments and i n novation s b y
the c u rrent level s , a nd emergi ng trend s o f te ch nolo g y, b o th with i n and e x terna l to the organ i z ation;
the
fi nanci a l
re s ource s
ne e de d
to
adop t
the
te ch nolo gic a l
ch ange s ,
or
to
acqu i re
a no ther
organ i z ation’s te ch nolo gic a l c ap abi l itie s , a nd the b enefits o f s uch change s;
c)
the orga n i z ationa l knowle dge and c ap abi l ity to adap t to the te ch nolo gic a l ch ange s;
d)
the ri s ks and opp or tu nitie s;
e)
the marke t envi ron ment.
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9.5 Infrastructure and work environment
9.5.1
General
In frastructure and work environment are key to the e ffective and e fficient operation o f all processes
in the organization. The organization should determine what is needed and coordinate how these
resources will be allocated, provided, measured or monitored, optimized, maintained and protected.
The organization should periodically evaluate the s uitability o f the in frastructure and work environment
o f all related processes to achieve the desired per formance and the organization’s objectives.
9.5.2
Infrastructure
In managing its in frastructure, the organization should give appropriate consideration to factors such as:
a) dependability (including consideration o f availability, reliability, maintainability and maintenance
support, as applicable, including sa fety and security);
b) in frastructure elements needed for the provision o f processes, products and services;
c) the e fficiency, capacity and investment required;
d) the impact o f the in frastructure.
9.5.3
Work environment
In determining a suitable work environment, the organization should give appropriate consideration to
actors (or a combination o f factors) such as:
f
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a) physical characteristics
asstandards
heat, humidity,
light, airflow,
hygiene,
cleanliness
noise;
b) ergonomically designed work stations and equipment;
c) psychological aspects;
d) encouraging personal growth, learning, knowledge trans fer and teamwork;
e) creative work methods and opportunities for greater involvement, to realize the potential o f people
in the organization;
f
) health and sa fety rules and guidance, as well as the use o f protective equipment;
g) workplace location;
h)
f
acilities for people in the organization;
i)
optimization o f resources.
The organization’s work environment should encourage productivity, creativity and well-being for the
people working in or visiting its premises (e.g. customers, external providers, partners). In addition,
depending on its nature, the organization should veri fy that its work environment complies with
applicable requirements and addresses applicable standards (such as those for environmental and
occupational health and sa fety management).
9.6 Externally provided resources
Organizations procure externally supplied resources from a variety o f providers. As these resources
can impact both the organization and its interested parties, it is essential that its relationships with
external providers and partners are managed e ffectively. The organization and its external providers
or partners are interdependent. The organization should seek to establish relationships that enhance
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o f its el f a nd its providers
the c ap abi l itie s
or p ar tners
to cre ate
va lue i n a ma nner th at i s mutua l ly
b enefic ia l to a l l i nvolve d .
T he organ i z ation s hou ld con s ider p a r tneri ng i f ex terna l providers have knowle dge that the organ i z ation
do e s no t have, or to s ha re the ri s ks a nd opp or tu n itie s as s o c i ate d with its proj e c ts (a nd the re s u lti ng
pro fits or lo s s e s) . Pa r tners ca n b e e x terna l providers o f pro ce s s e s , pro duc ts or s er vice s , te ch nolo gic a l
and
fi nanc ia l
i n s titution s ,
govern menta l
and
non- govern menta l
organ i z ation s ,
or
o ther
i ntere s te d
p a r tie s .
T he managing o f external providers should take into account the risks and opportunities as so ciated with:
fac i l itie s
a)
i nterna l
or c ap acity;
b)
the te ch n ic a l c ap abi l ity to
c)
the avai labi l ity o f qua l i fie d re s ou rce s;
d)
the typ e a nd ex tent o f control s ne e de d
e)
bu s i ne s s conti nu ity and s upply chai n a s p e c ts (e . g. h igh dep endabi l ity on a s i ngle or l i m ite d nu mb er
fu l fi l
the re qu i rements
for
for
pro duc ts or s er vice s;
e x terna l providers;
o f providers) ;
f)
envi ronmenta l, s u s tai nabi l ity and s o ci a l re s p on s ibi l ity a s p e c ts .
I n order to e s tabl i sh mutua l ly b enefici a l relation s h ip s a nd to en h ance the abi l itie s o f ex terna l providers
and p ar tners
for
managi ng ac tivitie s , pro ce s s e s and s ys tem s , the organ i z ation shou ld:
—
s ha re its m i s s ion and vi s ion (and p o s s ibly its va lue s and c u ltu re) with them;
—
provide any ne ce s s a r y s upp or t (i n term s o f re s ou rce s or knowle dge) .
9.7 Natural resources
T he organ i z ation s hou ld re co gn i z e its re s p on s ibi l ity to s o cie ty and shou ld ac t b a s e d on th i s re co gn ition .
T he re s p on s ibi l ity i nclude s s evera l a s p e c ts , s uch a s natu ra l re s ou rce s and the envi ron ment.
I n term s o f managi ng re s ou rce s , the natura l re s ou rce s con s u me d by the organ i z ation i n the provi s ion
o f pro duc ts and s er vice s are a s trategic i s s ue a ffe c ti ng its s u s ta i ne d s ucce s s . T he orga n i z ation s hou ld
add re s s how to de term i ne, ob ta i n, mai ntai n, pro te c t and u s e e s s enti a l re s ou rce s s uch a s water, s oi l,
energ y or raw materi a l s .
T he orga n i z ation shou ld add re s s b o th the c urrent a nd
futu re
u s e o f natu ra l re s ou rce s re qu i re d by its
pro ce s s e s , a s wel l as the i mp ac t o f the u s e o f natu ra l re s ou rce s relate d to the l i fe c ycle o f its pro duc ts
and s er vice s . T h i s shou ld a l s o b e a l igne d with the orga n i z ation’s s trateg y.
G o o d prac tice s
a)
b)
for
ma nagi ng natu ra l re s ou rce s
for
s u s ta i ne d s ucce s s i nclude:
tre ati ng them a s a s trate gic bu s i ne s s matter;
b ei ng aware
o f new trend s
and
te ch nolo gie s
on thei r e ffic ient u s e,
a nd
on the
exp e c tation s
of
i ntere s te d p ar tie s;
c)
mon itori ng thei r avai labi l ity a nd de term i n i ng the p o tenti a l ri s ks and opp or tu n itie s on thei r u s e;
d)
defi ning
e)
i mplementi ng b e s t prac tice s i n thei r c u rrent appl ic ation and u s e;
f)
i mprovi ng the ac tua l u s e and m i n i m i z i ng the p o tenti a l u nde s i rable i mp ac t o f thei r u s e .
future
markets , pro duc ts and s er vices and the i mp ac t on thei r us e throughout the l i fe c ycle;
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ISO 9004:2018(E)
10 Analysis and evaluation of an organization’s performance
10.1 General
The organization should establish a systematic approach to collect, analyse and review available
in formation. Based on the results, the organization should use the in formation to update its
understanding o f its context, policies, strategy and objectives as needed, while also promoting
improvement, learning and innovation activities.
The available in formation should include data on:
a) the organization’s per formance (see 10.2 , 10.3 and 10.4);
b) the status o f the organization’s internal activities and resources, which can be understood through
internal audits or sel f-assessment (see 10.5 and 10.6 );
c) changes in the organization’s external and internal issues and the needs and expectations o f the
interested parties.
10.2 Performance indicators
10.2.1 The organization should assess its progress in achieving its planned results against its mission,
vision, policies, strategy and objectives, at all levels and in all relevant processes and functions. A
measurement and analysis process should be used to monitor this progress, to gather and provide the
in formation necessary for per formance evaluations and e ffective decision making.
The selection o f appropriate per formance indicators and monitoring methods is critical for e ffective
measurement and analysis o f an organization. Figure 4 shows steps for using per formance indicators.
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Figure 4 — Steps for using performance indicators
10.2.2 The methods used for collecting in formation regarding per formance indicators should be
practicable and appropriate to the organization, such as:
a) the monitoring and recording o f process variables and product and service characteristics;
b) risk assessments o f processes, products and services;
c) per formance reviews, including on external providers and partners;
d) interviews, questionnaires and surveys on the satis faction o f interested parties.
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10.2.3 Factors that are within the control o f the organization and critical to its sustained success should
be subject to measurement and identified as key per formance indicators (KPIs). These measurable KPIs
should be:
a) accurate and reliable, to enable the organization to set measurable objectives, monitor and predict
trends, and take actions for improvement and innovations when necessary;
b) selected as a basis for making strategic and operational decisions;
c) suitably cascaded as per formance indicators at relevant functions and levels within the
organization, to support the achievement o f top level objectives;
d) appropriate to the nature and size o f the organization, its products and services, processes and
activities;
e) consistent with the strategy and objectives o f the organization.
10.2.4 The organization should consider specific in formation relating to risks and opportunities when
selecting KPIs. In addition, the organization should ensure that KPIs provide in formation to implement
action plans when per formance does not achieve the objectives, or to improve and innovate process
e fficiency and e ffectiveness. Such in formation should take into account elements such as:
a) the needs and expectations o f interested parties;
b) the importance o f individual products and services to the organization;
c) the e ffectiveness and e fficiency o f processes;
d) the e ffective and e fficient use o f resources;
e) financial per formance;
f
) compliance with applicable external requirements.
10.3 Performance analysis
Analysis o f the organization’s per formance should enable identification o f issues, such as:
a) insu fficient or ine ffective resources within the organization;
b) insu fficient or ine ffective competencies, organizational knowledge and inappropriate behaviour;
c) risks and opportunities that are not being su fficiently addressed by the organization’s management
systems;
d) weakness in leadership activities, including:
1) policy establishment and communication (see Clause 7);
2) the managing o f processes (see Clause 8);
3) the managing o f resources (see Clause 9);
4) improvement, learning and innovation (see Clause 11);
e) potential strengths that might need to be fostered with regard to leadership activities;
f
) processes and activities showing outstanding per formance that could be used as a model to
improve other processes.
The organization should have a clear framework to demonstrate the interrelations between its
leadership activities and their e ffects on the organization’s per formance. This can enable the
organization to analyse the strengths and weaknesses o f its leadership activities.
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ISO 9004:2018(E)
10.4 Performance evaluation
10.4.1 The organization’s per formance should be evaluated from the viewpoint o f the needs and
expectations o f its interested parties. When deviations from the needs and expectations are found, the
processes and their interactions that affect its per formance should be identified and analysed.
10.4.2 The organization’s per formance results should be evaluated against applicable objectives (see
7.3) and their pre-determined criteria. Where objectives have not been achieved, the cause(s) should
be investigated, with appropriate reviews o f the deployment o f the organization’s policies, strategy and
objectives and the organization’s managing o f resources, as necessary. Similarly, when objectives have
been exceeded, what made it possible should be analysed in order to maintain the per formance.
The results o f evaluation should be understood by top management. Any identified per formance
failures should be prioritized for corrective action, based on the impact on the organization’s policies,
strategy and objectives.
Improvement achieved on the organization’s per formance should be evaluated from a long-term
perspective. When the degree o f improvement does not match the expected level, the organization
should review the deployment o f its policies, strategy and objectives for improvement and innovation,
as well as the competencies and engagement o f its people.
10.4.3 The organization’s per formance should be compared to established or agreed benchmarks.
Benchmarking is a measurement and analysis methodology that an organization can use to search for
the best practices inside and outside the organization, with the aim o f improving its per formance and
innovative practices. Benchmarking can be applied to policies, strategy and objectives, processes and
their operations, products and services, or the organization’s structures.
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10.4.4 The organization
should
establish
and from
maintain
a methodology
for benchmarking
rules for items, such as:
a) the definition o f the scope o f the subject for benchmarking;
b) the process for choosing benchmarking partner(s), as well as any necessary communications and
confidentiality policies;
c) the determination o f indicators for the characteristics to be compared and the data collection
methodology to be used;
d) the collection and analysis o f data;
e) the identification o f per formance gaps and the indication o f potential improvement areas;
f
) the establishment and monitoring o f corresponding improvement plans;
g) the inclusion o f gathered experience into the organization’s knowledge base and learning process
(see 11.3).
10.4.5 The organization should consider the di fferent types o f benchmarking practices, such as:
a) internal benchmarking o f activities and processes within the organization;
b) competitive benchmarking o f per formance or processes with competitors;
c) generic benchmarking, by comparing strategies, operations or processes with unrelated
organizations.
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10.4.6 When establishing a benchmarking process, the organization should take into account that
success ful benchmarking depends on factors such as:
a) support from top management (as it involves mutual knowledge interchange between the
organization and its benchmarking partners);
b) the methodology used to apply benchmarking;
c) an estimation o f benefits versus costs;
d) an understanding o f the characteristics o f the subject being investigated, in order to allow a correct
comparison with the current situation in the organization;
e) implementing lessons learned to bridge any determined gaps.
10.5 Internal audit
Internal audits are an e ffective tool for determining the levels o f con formity o f the organization’s
management system to its selected criteria. They provide valuable in formation for understanding,
analysing and improving the organization’s per formance. Internal audits should assess the
implementation, e ffectiveness and e fficiency o f the organization’s management systems. This can
include auditing against more than one management system standard, as well as addressing specific
requirements relating to interested parties, products, services, processes or specific issues.
To be e ffective, internal audits should be conducted in a consistent manner, by competent people, in
accordance with the organization’s audit planning. Audits should be conducted by people who are
not involved in the activity being examined, in order to give an independent view on what is being
performed.
Internal auditing is an e ffective tool for identi fying problems, noncon formities, risks and opportunities,
as well as for monitoring progress on resolving previously identified problems and noncon formities.
Internal auditing can also be focused on the identification o f good practices and on improvement
opportunities.
The outputs o f internal audits provide a use ful source o f in formation for:
a) addressing problems, noncon formities and risks;
b) identi fying opportunities;
c) promoting good practices within the organization;
d) increasing understanding o f the interactions between processes.
Internal audit reporting usually contains in formation on con formity to the given criteria,
noncon formities and improvement opportunities. Audit reporting is an essential input for management
review. Top management should establish a process for reviewing all internal audit results, in order
to identi fy trends that can require organization-wide corrective actions and opportunities for
improvement.
The organization should use the results o f other audits, such as second- and third-party audits, as
eedback for corrective actions. It can also use them to monitor progress in the implementation o f
appropriate plans intended to facilitate the resolution o f noncon formities, or for the implementation o f
identified opportunities for improvement.
f
NOTE
See ISO 19011 for further guidance on auditing management systems.
10.6 Self-assessment
Sel f-assessment should be used to determine the strengths and weaknesses o f the organization as well
as best practices, both at an overall level and at the level o f individual processes. Sel f-assessment can
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19
ISO 9004:2018(E)
assist the organization to prioritize, plan and implement improvements and/or innovations, where
necessary.
Elements o f a management system should not be assessed independently given that processes are interdependent. This allows for assessment o f relationships between elements and their impacts on the
organization’s mission, vision, values and culture.
The results o f sel f-assessment support:
a) improvement o f the organization’s overall per formance;
b) progress towards achieving and maintaining sustained success for the organization;
c) innovation in the organization’s processes, products and services, and the organization’s structure,
when appropriate;
d) recognition o f best practices;
e) identification o f further opportunities for improvement.
The results o f sel f-assessment should be communicated to relevant people within the organization, in
order to be used to share understanding about the organization and its future direction.
A sel f-assessment tool based on this document is provided in Annex A .
10.7 Reviews
Reviews o f per formance measurement, benchmarking, analysis and evaluations, internal audits and
sel f-assessments should be per formed by appropriate levels and functions o f the organization, as well
as by top management. The reviews should be conducted at planned and periodic intervals, to enable
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the from
organization’s
progressGroup
towards
strategy and objectives. They should also address the assessment and evaluation o f improvement,
learning and innovation activities per formed previously, including aspects o f adaptability, flexibility
and responsiveness in relation to the organization’s mission, vision, values and culture.
The reviews should be used by the organization to understand the needs o f adapting its policies,
strategy and objectives (see Clause 7). They should also be used to determine the opportunities for
improvement, learning and innovation o f the organization’s managerial activities (see Clause 11 ).
The reviews should enable evidence-based decision making and the establishment o f actions to achieve
desired results.
11 Improvement, learning and innovation
11.1 General
Improvement, learning and innovation are interdependent and key aspects that contribute to the
sustained success o f an organization. They create inputs into products, services, processes and
management systems, and contribute to achieving desired results.
The organization will experience constant change in its external and internal issues and in the
needs and expectations o f its interested parties. Improvement, learning and innovation support the
organization’s ability to respond to these changes in a manner that enables it to fulfil its mission and
vision, as well as supporting its achievement o f sustained success.
11.2 Improvement
Improvement is an activity to enhance per formance. Per formance can relate to a product or service,
or to a process. Improving product or service per formance or the management system can help the
organization anticipate and meet the needs and expectations o f interested parties and also increase
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economic e fficiency. Improving processes can lead to increased e ffectiveness and e fficiency, resulting
in benefits such as cost, time and energy saving and reduced waste; in turn, this can lead to meeting the
needs and expectations o f interested parties more e ffectively.
Improvement activities can range from small-step continual improvements to significant improvements
o f the entire organization.
The organization should define objectives for improving its products or services, processes, structure
and management system, by using the results o f the analysis and evaluation o f its per formance.
Improvement processes should follow a structured approach. The methodology should be applied
consistently for all processes.
The organization should ensure that improvement becomes established as a part o f the organization’s
culture by:
a) empowering people to participate in and contribute to the success ful achievement o f improvement
initiatives;
b) providing the necessary resources to achieve improvements;
c) establishing recognition systems for improvements;
d) establishing recognition systems for improving the e ffectiveness and e fficiency o f the improvement
process;
e) engagement o f top management in improvement activities.
11.3 Learning
The organization should encourage improvement and innovation through learning. The inputs
or learning can be derived from many sources, including experience, analysis o f in formation, and the
results o f improvements and innovations.
11.3.1
f
A learning approach should be adopted by the organization as a whole, as well as at a level that integrates
the capabilities o f individuals with those o f the organization.
11.3.2
Learning as an organization involves consideration o f:
a) collected in formation relating to various external and internal issues and interested parties,
including success stories and failures;
b) insight through in-depth analysis o f the in formation collected.
Learning that integrates the capabilities o f individuals with those o f the organization is achieved by
combining the knowledge, thinking patterns and behaviour patterns o f people with the values o f the
organization.
Knowledge can be explicit or tacit. It can originate from inside or outside the organization. It should be
managed and maintained as an asset o f the organization.
The organization should monitor its organizational knowledge and determine the need to acquire, or
more e ffectively share, knowledge throughout the organization.
11.3.3
In order to foster a learning organization, the following factors should be considered:
a) the organization’s culture, aligned with its mission, vision and values;
b) top management supporting initiatives in learning, by demonstrating its leadership and through
its behaviour;
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ISO 9004:2018(E)
c)
s ti mu l ation o f ne tworki ng ,
con ne c tivity,
i nterac tivity and s hari ng o f knowle dge
b o th i n s ide a nd
outs ide the orga n i z ation;
d)
e)
mai nta i n i ng s ys tem s
re co gn i z i ng ,
pro ce s s e s
f)
for
le arn i ng and s hari ng o f knowle dge;
s upp or ti ng
for
appre ci ati ng
a nd
reward i ng
the
of
i mprovement
p e ople’s
comp e tence,
th rough
le a rn i ng a nd sha ri ng o f knowle dge;
cre ativity
and
s upp or ti ng
d ivers ity
o f the
opi n ion s
o f the
d i fferent p e ople
in
the
orga n i z ation .
Rapid acce s s to, and u s e o f, organ i z ationa l knowle dge c an en ha nce the orga n i z ation’s abi l ity to ma nage
and mai ntai n its s u s ta i ne d s ucce s s (s e e
9.3).
11.4 Innovation
11.4.1 General
I n novation s hou ld re s u lt i n i mprovement le ad i ng to new or cha nge d pro duc ts or s er vice s , pro ce s s e s ,
ma rke t p o s ition, or p er forma nce, enabl i ng re a l i z ation or re d i s tribution o f va lue .
C hange s i n the orga ni z ation’s e x terna l and i nterna l i s s ue s a nd the ne e d s and e xp e c tation s o f i ntere s te d
p ar tie s cou ld re qu i re i n novation .
To s upp or t and promo te i n novation the organ i z ation shou ld:
a)
identi fy s p e ci fic ne e d s
for
b)
e s tabl i sh and ma i ntai n pro ce s s e s that a l low
i n novation a nd encou rage i n novative th i n ki ng i n genera l;
for
e ffe c tive i n novation;
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c)
provide the re s ou rce s ne e de d to re a l i ze i n novative ide as .
11.4.2 Application
I n novation c an b e appl ie d at a l l level s o f the organ i z ation, th rough cha nge s i n:
a)
te ch nolo g y or pro duc ts or s er vice s (i . e . i n novation s that no t on ly re s p ond to the ch angi ng ne e d s
and e xp e c tation s
o f i ntere s te d p a r tie s , but a l s o antic ip ate p o tenti a l cha nge s i n the organ i z ation
and i n the l i fe c ycle s o f its pro duc ts a nd s er vice s) ;
b)
pro ce s s e s (i . e . i n novation i n the me tho d s
for
pro duc tion and s er vice provi s ion, or i n novation to
i mprove pro ce s s s tabi l ity and re duce va riation) ;
c)
the organ i z ation (i . e . i n novation i n the con s titution a nd the s tr uc tu re s o f the organ i z ation) ;
d)
the organ i z ation’s management s ys tem (i . e . to en s u re that comp e titive adva ntage i s ma i ntai ne d and
new opp or tu n itie s are uti l i z e d, when there are emergi ng cha nge s i n the orga n i z ation’s conte x t) ;
e)
the organ i z ation’s bu s i ne s s mo del (i . e . i n novation
i n re s p ond i ng to d i s tribution o
f va lue to c u s tomers
or changi ng ma rke t p o s ition i n accorda nce with i ntere s te d p ar tie s ’ ne e d s and exp e c tation s) .
11.4.3 Timing and risk
T he
organ i z ation
s hou ld
eva luate
the
ri s ks
and
opp or tu n itie s
relate d
to
its
pl an s
for
i n novation
ac tivitie s . I t s hou ld give con s ideration to the p o tentia l i mp ac t on the managi ng o f ch ange s a nd prep a re
ac tion plan s to m itigate tho s e ri s ks (i nclud i ng conti ngenc y pla n s) , where ne ce s s ar y.
T he ti m i ng
as s o c iate d
for
the i ntro duc tion
with
under ta ki ng
o f an i n novation
that i n novation .
T he
s hou ld
b e a l igne d
ti m i ng shou ld
with the eva luation
u s ua l ly b e a b a l ance
urgenc y with wh ich it i s ne e de d and the re s ource s that a re made avai lab le
22
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for
o f the ri sk
b e twe en
the
its development.
© ISO 2018 – All rights reserved
ISO 9004: 2 01 8(E)
T he
orga n i z ation
shou ld
eva luation (s e e C lau s e 10
).
review,
i mprove
a nd
i n novate
b as e d
on
the
re s u lts
of
its
p er forma nce
T he orga n i z ation shou ld u s e a pro ce s s that i s a l igne d with its s trategic d i re c tion to plan and prioriti z e
i nnovation i n iti ative s .
T he
re s u lts
of
i nnovation
shou ld
be
reviewe d
in
order
to
exp erience
le arn i ng
a nd
to
i nc re a s e
orga ni z ationa l knowle dge .
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23
ISO 9004:2018(E)
Annex A
(in formative)
Self-assessment tool
A.1 General
Sel f-assessment can provide an overall view o f the per formance o f an organization and the degree o f
maturity o f its management system. It can help to identi fy areas for improvement and/or innovation
and to determine priorities for subsequent actions.
Audits are used to determine the extent to which, for example, requirements related to a management
system are fulfilled (against a defined standard, or the organization’s own criteria). Audit findings
are used to assess the e ffectiveness o f, for example, a management system, and to identi fy risks and
opportunities for improvement.
An organization should use sel f-assessment to identi fy improvement and innovation opportunities,
set priorities and establish action plans, with the objective o f sustained success. The output o f sel fassessment will show strengths and weaknesses, the related risks and opportunities for improvement,
the maturity level o f the organization and, i f repeated, the organization’s progress over time.
The results o f an organization’s sel f-assessment can be a valuable input into management reviews. Sel fassessment also has the potential to be a learning tool, which can provide an improved overview o f the
organization, promote
the involvement o f interested parties and support the overall planning activities
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The sel f-assessment tool given in this annex is based on the guidance detailed in this document and
provides a framework for improvement. It can be used as given, or it can be customized to suit the
organization.
A.2 Maturity model
A mature organization per forms e ffectively and e fficiently and achieves sustained success by:
a) understanding and satis fying the needs and expectations o f interested parties;
b) monitoring changes in the context o f the organization;
c) identi fying possible areas for improvement, learning and innovation;
d) defining and deploying policies, strategy and objectives;
e) managing its processes and resources;
f
) demonstrating confidence in its people, leading to increased engagement;
g) establishing beneficial relationships with interested parties, such as external providers and other
partners.
This sel f-assessment tool uses five maturity levels, which can be extended to include additional levels
or otherwise customized as needed.
Table A.1 gives a generic framework for setting out how per formance criteria can be related to the
levels o f maturity in a tabular format. The organization should review its per formance against the
specified criteria, identi fy its current maturity levels, and determine its strengths and weaknesses and
the related risks and opportunities for improvement.
24
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ISO 9004:2018(E)
The criteria given for the higher levels can help the organization to understand the issues it needs to
consider and to determine the improvements needed to reach higher levels o f maturity. Tables A.2 to
A.32 give sel f-assessment criteria based on this document.
Table A.1 — Generic model for self-assessment elements and criteria related to maturity levels
Maturity level towards sustained success
Key
element
Element 1
Element 2
Element 3
Level 1
Level 2
Level 3
Level 4
Criteria 1
Base level
Criteria 2
Base level
Criteria 3
Base level
Level 5
Criteria 1
Best practice
Criteria 2
Best practice
Criteria 3
Best practice
A.3 Self-assessment of detailed elements
This sel f-assessment is intended to be per formed by process owners and managers at all levels to obtain
an in-depth overview o f the organization and its current per formance.
The elements o f this sel f-assessment are contained in Tables A.2 to A.32 and relate to the subclauses
o f this document; however, the organization can define additional or di fferent criteria to fulfil its own
specific needs. I f appropriate, the sel f-assessment can be limited to any o f the tables in isolation.
A.4 Using the self-assessment tools
A.4.1
The purposes o f a step-by-step methodology for an organization to conduct a sel f-assessment are:
a) to define the scope o f the sel f-assessment in terms o f the parts o f the organization to be assessed
and the type o f the assessment, such as:
1) a sel f-assessment o f key elements;
2) a sel f-assessment o f detailed elements, based on this document;
3) a sel f-assessment o f detailed elements, based on this document with additional or new criteria
or levels;
b) to identi fy who will be responsible for the sel f-assessment and when it will be carried out;
c) to determine how the sel f-assessment will be carried out, either by a team (cross- functional or
other appropriate team) or by individuals (the appointment o f a facilitator can assist the process);
d) to identi fy the maturity level for each o f the organization’s individual processes, which should be
done by:
1) comparing the present situation in the organization to the scenarios that are listed in the tables;
2) marking the elements that the organization is already applying, i.e. start at level 1 and build on
progress, to attain maturity level 5 by incorporating the criteria identified in levels 3 and 4;
3) establishing the current maturity level;
e) to consolidate the results into a report, which this provides a record o f progress over time and can
facilitate the communication o f in formation, both externally and internally (the use o f graphics in
such a report can aid the communication o f the results);
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25
ISO 9004: 2 01 8(E)
f
) to assess the current per formance o f the organization’s processes and identi fy areas for
improvement and/or innovation (these opportunities should be identified through the sel fassessment process and an action plan developed as a result o f the assessment).
An organization can be at di fferent maturity levels for the di fferent elements. A review o f the gaps
can help top management in planning and prioritizing the improvement and/or innovation activities
needed to move individual elements to a higher level.
A.4.2
The completion o f a sel f-assessment should result in an action plan for improvement and/or innovation
that should be used as an input to top management for planning and review, based on the elements o f
this document.
The in formation gained from the sel f-assessment can also be used:
a) to stimulate comparisons and share learning throughout the organization (the comparisons can be
between the organization’s processes and, where applicable, between its di fferent units);
b) to benchmark with other organizations;
c) to monitor progress o f the organization over time, by conducting periodic sel f-assessments.
Following the reviews, the organization should assign responsibilities for the chosen actions, estimate
and provide the resources needed, and determine the expected benefits and any perceived risks
associated with them.
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Table A.2 — Self-assessment of the detailed elements of 5.2
Subclause
5.2
interested
Maturity level
Item a
Level
1
YES
Conclusion
Results/comment b
T he i ntere s te d p a r tie s a re de ter m i ne d , i nclud i n g
Rele va nt
thei r ne e d s a nd e x p e c tatio n s a nd whe ther the
p a r tie s
o r ad ho c .
a s s o c i ate d r i s ks a nd o p p o r tu n i tie s a re i n fo r m a l
2
P ro ce s s e s to me e t the ne e d s o f s ome i ntere s te d
p a r tie s a re e s tab l i s he d .
O ngo i n g rel atio n s h ip s with i ntere s te d p a r tie s a re
3
e s tab l i s he d a s i n for m a l o r ad ho c .
P ro ce s s e s
fo r
de ter m i n i ng wh ich i ntere s te d
p a r tie s a re rele va nt a re i n p l ace .
P ro ce s s e s
fo r
de ter m i n i ng the rele va nce o f i nter
-
e s te d p a r tie s i nclude con s ideration o f tho s e th at
a re a r i s k to s u s ta i ne d s ucce s s i f thei r ne e d s a nd
e x p e c tatio n s a re no t me t a nd tho s e th at c a n pro
-
vide o pp o r tu n i tie s to en h a nce s u s ta i ne d s ucce s s .
T he ne e d s a nd e x p e c tatio n s o f the rele va nt
i ntere s te d p a r tie s a re identi fie d .
P ro ce s s e s to
4
fu l fi l
the ne e d s a nd e xp e c tation s o f
the i ntere s te d p a r tie s a re e s tab l i s he d .
P ro ce s s e s
fo r
a s s e s s i n g the rele va nce o f the ne e d s
a nd e xp e c tation s
for
rele va nt i ntere s te d p a r tie s
a re i n p l ace a nd a re u s e d to de ter m i ne wh ich one s
ne e d to b e add re s s e d .
T he ne e d s a nd e x p e c tatio n s o f ke y i nte re s te d
p a r ti e s a re add re s s e d a nd re vie we d s uch th at
i mp ro ve d p er fo r m a nce , co m mo n u nde rs ta nd i n g
o f o b j e c ti ve s a nd va lue s , a nd en h a nce d s tab i l i
-
t y h ave b e e n re a l i z e d i n s o me o f the s e o n go i n g
5
re l atio n s h ip s .
P ro ce s s e s a nd rel atio n s h ip s with rele va nt i nter
e s te d p a r tie s a re
fu l fi l le d
-
acco rd i n g to the rele va nt
ne e d s a nd e x p e c tatio n s de ter m i ne d . T h i s h a s b e en
do ne a s p a r t o f u nders ta nd i n g the b ene fits , r i s ks
a nd o pp o r tu n i tie s o f on goi ng rel ation s h ip s .
T he ne e d s a nd e x p e c tatio n s o f a l l releva nt i nter
-
e s te d p a r tie s a re add re s s e d, a n a l ys e d , e va lu ate d
a nd re viewe d , s uch th at there i s i mp rove d a nd
s u s ta i ne d p er for m a nce , com mon u nders ta nd i ng
o f ob j e c ti ve s a nd va lue s , a nd en h a nce d s tab i l i ty,
i nclud i ng re co gn ition o f the b ene fi ts der i ve d
fro m
the s e o ngoi n g rel ation s h ip s .
a
I tem s outl i ne d i n le vel s 3 to 5 a re i ntende d to b e a pro gre s s ion o f tho ught th at i s b a s e d on the gu id a nce
provide d i n the ap p l ic ab le s ub cl au s e .
b
T h i s m ay i nclude re co gn i tion o f a s p e c ts where the orga n i z ation i s p a r ti a l l y me e ti n g a m atu r i ty le vel .
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27
ISO 9004:2018(E)
Table A.3 — Self-assessment of the detailed elements of 5.3
Subclause
5.3
Maturity level
Item a
Level
1
P ro ce s s e s
for
YES
de ter m i n i ng a nd add re s s i n g
E x ter n a l a nd
e x ter n a l a nd i nter n a l i s s ue s a re i n for m a l o r
i nter n a l i s s ue s
ad ho c .
2
P ro ce s s e s
for
Conclusion
Results/comment b
de ter m i n i ng a nd add re s s i n g i s s ue s
a re i n p l ace .
T he r i s ks a nd opp o r tu n itie s rel ate d to the i s s ue s
3
identi fie d a re de ter m i ne d a s i n for m a l o r ad ho c .
P ro ce s s e s to de ter m i ne i nter n a l i s s ue s th at c a n
a ffe c t the orga n i z atio n’s abi l ity to ach ie ve
s u s ta i ne d s ucce s s a re identi fie d .
P ro ce s s e s to de ter m i ne e x ter n a l i s s ue s th at c a n
a ffe c t the orga n i z ation’s abi l ity to ach ie ve
4
s u s ta i ne d s ucce s s a re identi fie d .
E x ter n a l a nd i nter n a l i s s ue s a re de ter m i ne d a nd
s how co n s ideration
for fac tors
s uch a s s tatutor y,
re gu l ato r y a nd s e c tor s p e c i fic re qu i rements , glo
-
b a l i z ation , i n novatio n , ac ti vitie s a nd a s s o c i ate d
pro ce s s e s , s trate g y a nd le vel s o f comp e tence a nd
orga n i z ation a l knowle dge .
Ri s ks a nd op p or tu n itie s a re de term i ne d, a nd
s how co n s ideration
for
i n for m atio n
from
the
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orga nFREE
i z ation’s
p a s t a nd its
c u r rent
s i tu ation
.
P ro ce s s e s to add re s s i s s ue s con s idere d to b e
r i s ks to s u s ta i ne d s ucce s s , or op p or tu n i tie s to
en h a nce s u s ta i ne d s ucce s s , a re e s tab l i s he d ,
5
i mp lemente d a nd m a i nta i ne d .
P ro ce s s e s
for
the o ngoi n g mon itor i ng , re vie wi ng
a nd e va lu atio n o f e x ter n a l a nd i nter n a l i s s ue s a re
e s tab l i s he d , i mp lemente d a nd m a i nta i ne d , with
ac tio n s a r i s i n g
a
from
th i s p ro ce s s ac te d o n .
I tem s outl i ne d i n le vel s 3 to 5 a re i ntende d to b e a p ro gre s s ion o f thou ght th at i s b a s e d on the gu id a nce
pro vide d i n the app l ic ab le s ub cl au s e .
b
28
T h i s m ay i nclude re co gn i tio n o f a s p e c ts where the orga n i z ation i s p a r ti a l l y me e ti ng a m atu r ity le vel .
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ISO 9004:2018(E)
Table A.4 — Self-assessment of the detailed elements of 6.2
Subclause
6.2
Level
1
Maturity level
Item a
YES
Conclusion
Results/comment b
Processes for determining the identity o f the
organization, along with the establishment o f
mission, vision, values and culture, are in formal
or ad hoc.
2
A basic understanding o f the organization’s
mission, vision and values exists.
An understanding o f the current culture, and
whether there is a need to change it, is in formal
or ad hoc.
3
Top management is involved in determining the
mission, vision and values, based on processes
that account for the definition and sustainment o f
the context o f the organization in relation to its
defined identity.
An understanding o f the current culture, along
with a process for considering the need for a
change to that culture, is in place.
Changes to the organization’s identity are
communicated in formally to perceived interested
parties.
4
The organization’s culture is aligned with its
mission, vision and values.
A clearly defined understanding o f the current
culture, along with a process for considering the
need for a change to that culture, is implemented
and maintained.
The strategic direction o f the organization and its
policy are aligned with its mission, vision, values
and culture.
Changes to any o f these identity elements are
communicated within the organization and to its
interested parties, as appropriate.
5
A process for reviewing these elements at planned
intervals by top management is well established
and maintained. This includes consideration o f
external and internal issues as part o f the verifi cation o f alignment between the elements o f the
identity o f the organization, its context, its
strategic direction and its policy.
a Items outlined in levels 3 to 5 are intended to be a progression o f thought that is based on the guidance
provided in the applicable subclause.
b This may include recognition o f aspects where the organization is partially meeting a maturity level.
Mission,
vision, values
and culture
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29
ISO 9004:2018(E)
Table A.5 — Self-assessment of the detailed elements of 7.1
Subclause
Level
YES
Conclusion
Results/comment b
Processes for defining, maintaining and communi cating the leadership’s vision, mission and values,
and for promoting an internal environment in
which people are engaged and committed to the
achievement o f the organization’s objectives are
carried out in an in formal or ad hoc manner.
2
Key processes, such as those related to establish ing the organization’s identity, a culture o f trust,
integrity and teamwork, the necessary resources,
training and authority to act, ensuring
behavioural attributes are defined, and supporting
leadership development, are determined.
Only some interrelationships between leadership
and commitment, including the maintenance o f a
competitive organizational structure, maintaining
unity o f purpose and direction, and rein forcement
o f values and expectations are determined.
3
Processes and the interactions o f activities related
to the organization’s identity, cultural aspects, the
provision o f resources, training, the authority to
act and behavioural factors are accounted for.
A competitive organizational structure and unity
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Values and expectations are established and
communicated.
Leadership development is defined.
Processes to maintain the culture and promote
accountability are acted on.
Maintenance o f the organizational structure and
unity o f purpose in relation to the context o f the
organization, personally and/or regularly rein forcing values and expectations, are included in
process determination.
4
Processes and their interactions are systematical ly determined in such a way that outputs and outcomes are concise and create an internal environ ment in which people are engaged and committed
to the achievement o f the organization’s objec tives, and in a way that promotes understanding
and supports the organization’s ability to achieve
sustained success.
All relevant factors and their interrelationships
are considered in process determination.
5
Processes and the interactions o f leadership with
all levels o f the organization are dynamically
determined and used to establish and sustain the
success o f the organization.
a Items outlined in levels 3 to 5 are intended to be a progression o f thought that is based on the guidance
provided in the applicable subclause.
b This may include recognition o f aspects where the organization is partially meeting a maturity level.
7.1
Leadership
— General
30
1
Maturity level
Item a
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ISO 9004:2018(E)
Table A.6 — Self-assessment of the detailed elements of 7.2
Subclause
7. 2
Level
1
Po l ic y a nd
s trate g y
Maturity level
Item a
2
3
P ro ce s s e s
for
Conclusion
YES Results/comment b
de ter m i n i n g the o rga n i z atio n’s p ol ic y a nd
s trate g y a re do ne i n a n i n for m a l o r ad ho c m a n ner.
T he p o l ic y a nd s trate g y, a nd the b a s ic s trate g y
fra me
-
wo rk, a re de ter m i ne d .
P ro ce s s e s a nd the i nterac tio n s rel ate d to the p ol ic y a nd
s trate g y a re de fi ne d to add re s s a l l ap p l ic ab le a s p e c ts ,
mo del s a nd
fac tors .
T he o rga n i z atio n’s identity, the conte x t o f the orga n i z a
-
tion a nd lon g- term p ers p e c ti ve , a comp e titi ve p ro fi le a nd
con s ideratio n o f comp e titi ve
fac tors
a re de ter m i ne d .
T he p o l ic y a nd s trate g y de c i s io n s a re re viewe d
fo r
conti n
-
u i n g s u itab i l i ty a nd ch a nge d a s de eme d ne ce s s a r y b y top
4
m a n agement.
P ro ce s s e s a nd thei r i nterac tion s a re s ys tem atic a l l y
de ter m i ne d to en s u re the p ol ic y a nd s trate g y p rovide a
comp rehen s i ve
fra mework for
s upp o r t dep lo yment a nd
e ffe c ti vel y acco u nt
T he p ro ce s s e s
mo del
fo r
for
fo r
p ro ce s s m a n agement, to
fac i l itate
ch a nge s , a s wel l a s to
app l ic ab le a s p e c ts a nd
fac tors .
m a i nta i n i n g a s ta nda rd i z e d or c u s tom
a s trate g y
fra me work
a nd the p ol ic y a re de
-
ter m i ne d a nd add re s s a nd a id i n the m iti gation o f r i s ks ,
5
wh i le ta ki n g adva ntage o f op p or tu n i tie s .
P ro ce s s e s a nd the rel atio n s h ip s b e twe en the p ol ic y a nd
s trate gic d i re c tion a re dyn a m ic a l l y de ter m i ne d , wi th a l l
app l ic ab le a s p e c ts a nd
comp rehen s i ve
fac tors
fra mework
acco u nte d
for,
s uch th at a
e xi s ts to s up p or t the e s tab
l i s h ment, m a i nten a nce a nd m a n agi n g o f pro ce s s e s .
-
T he ne e d s o f a l l i ntere s te d p a r tie s a re add re s s e d a nd the
p o l ic y a nd s trate g y a re uti l i z e d to m a n age the b u s i ne s s i n
a co mp rehen s i ve way.
a
I tem s outl i ne d i n le vel s 3 to 5 a re i ntende d to b e a pro gre s s ion o f tho ught th at i s b a s e d on the gu id a nce
provide d i n the ap p l ic ab le s ub cl au s e .
b
T h i s m ay i nclude re co gn i tion o f a s p e c ts where the orga n i z ation i s p a r ti a l l y me e ti n g a m atu r i ty le vel .
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ISO 9004:2018(E)
Table A.7 — Self-assessment of the detailed elements of 7.3
Subclause
7. 3
Maturity level
Item a
Level
1
O b j e c ti ve s
2
P ro ce s s e s
fo r
Conclusion
YES Results/comment b
de ter m i n i ng the orga n i z ation’s ob j e c ti ve s
a re done i n a n i n for m a l o r ad ho c m a n ner.
O n l y the s ho r t- ter m ob j e c ti ve s a re de fi ne d .
P ro ce s s e s
fo r
de ter m i n i ng the ob j e c ti ve s a re de fi ne d a nd
the ob j e c ti ve s s how s ome i nter rel atio n s h ip with p ol ic y
a nd s trate g y.
T he ob j e c ti ve s a re qu a nti fi ab le , where p o s s ib le , b ut a re
no t cle a rl y u nders to o d .
P ro ce s s e s a nd the i nterac tion s o f s hor t- a nd lon g- ter m ob
j e c ti ve s wi th the p ol ic y a nd s trate g y a re de fi ne d , i nclud
-
-
i ng the ab i l i ty to demo n s trate le aders h ip a nd com m itment
3
outs ide the orga n i z ation .
P ro ce s s e s
fo r
de fi n i n g , m a i nta i n i n g a nd dep lo yi n g the
ob j e c ti ve s , i nclud i ng the rel ation s h ip with the p o l ic y a nd
s trate g y, a re i n p l ace a nd m a i nta i ne d, i nclud i n g the ne e d
to e s tab l i s h cle a rl y u nders to o d a nd qu a nti fi ab le s hor ta nd lon g- term ob j e c ti ve s th at a l s o demo n s trate le aders h ip
a nd com m i tment outs ide the orga n i z ation .
T he s ho r t- a nd long- ter m o b j e c ti ve s a re de fi ne d, a nd the
4
rel ation s h ip with the p o l ic y a nd s trate g y i s e vident.
-
P ro ce s s e s a nd the rel ation s h ip b e twe en the p o l ic y, s trat
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g y a nd the demo n s trate d le aders h ip a nd com m i tment
outs ide the o rga n i z atio n a re dyn a m ic a l l y de ter m i ne d a nd
5
m a i nta i ne d .
S ho r t- a nd lo ng- ter m o b j e c ti ve s a re qu a nti fi ab le , cle a rl y
u nders to o d , dep lo ye d a nd up date d to m a i nta i n the rel a
-
tion s h ip with the p o l ic y a nd s trate g y, s uch th at top m a n
-
agement’s le aders h ip a nd com m i tment a re demon s trate d
b o th i nter n a l l y a nd o uts ide the orga n i z ation .
a
I tem s outl i ne d i n le vel s 3 to 5 a re i ntende d to b e a p ro gre s s ion o f thou ght th at i s b a s e d on the gu id a nce
pro vide d i n the app l ic ab le s ub cl au s e .
b
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ISO 9004:2018(E)
Table A.8 — Self-assessment of the detailed elements of 7.4
Subclause
7.4
Communica -
tion
Level
1
Maturity level
Item a
The processes for communicating the policy, strategy and
objectives are done in an in formal or ad hoc manner.
Conclusion
YES Results/comment b
2
The processes for determining the types and degree o f
communication needed are defined.
3
Communication processes are defined and facilitate
meaning ful, timely and continual communication tailored
to the di ffering needs o f recipients, as it relates to the
policy, strategy and relevant objectives.
The interrelationships o f this communication are clear
with regard to the di ffering needs o f recipients and how
the policy, strategy and relevant objectives are used to aid
in the sustained success o f the organization.
A feedback mechanism is in place and incorporates
provisions to proactively address changes in the
organization’s context.
4
The communication processes systematically facilitate
communication regarding the policy, strategy and objec tives to all relevant interested parties, in support o f the
organization’s sustained success, while also accounting
for the need to deploy communication when change is
realized.
Communication methods show a direct relationship to the
context o f the organization and the feedback mechanism
is well defined and e ffectively deployed.
5
The processes for communicating the policy, strategy and
objectives are dynamic, with the interrelationships o f the
policy, strategy and objectives being clearly conveyed to
all recipients, such that the di ffering needs o f each are
accounted for.
a Items outlined in levels 3 to 5 are intended to be a progression o f thought that is based on the guidance
provided in the applicable subclause.
b This may include recognition o f aspects where the organization is partially meeting a maturity level.
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ISO 9004:2018(E)
Table A.9 — Self-assessment of the detailed elements of 8.1
Subclause
8.1
Level
1
2
Maturity level
Item a
YES
Conclusion
Results/comment b
Processes are managed in an in formal or ad hoc manner.
Key processes, such as those relating to customer
satis faction and operations related to product and
service, are managed.
The e ffectiveness o f the processes is individually
measured, and acted upon. Interactions between
processes are not well managed.
3
Processes and their interactions are managed as a
system. Interaction conflicts between processes are
identified and resolved in a systematic way.
Processes are delivering predictable results.
Process per formance has reached that o f average
organizations in the sector where the organization
operates.
4
Process management is integrated with the deployment
o f the organization’s policies, strategy and objectives.
The e ffectiveness and e fficiency o f processes and their
interactions are systematically reviewed and improved.
Process per formance has exceeded that o f average
organizations in the sector where the organization
operates.
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5
All relevant processes and their interactions are pro actively managed, including outsourced processes, to
ensure that they are e ffective and e fficient, in order
to achieve the organization’s policies, strategy and
objectives.
Processes and their interactions are adapted and
optimized to the context o f the organization.
Process per formance has reached that o f leading
organizations in the sector where the organization
operates.
a Items outlined in levels 3 to 5 are intended to be a progression o f thought that is based on the guidance
provided in the applicable subclause.
b This may include recognition o f aspects where the organization is partially meeting a maturity level.
Process
management
— General
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ISO 9004:2018(E)
Table A.10 — Self-assessment of the detailed elements of 8.2
Subclause
Level
8.2
1
Determination
of processes 2
Maturity level
Item a
YES
Conclusion
Results/comment b
Processes are determined in an in formal or ad hoc
manner.
Key processes, such as those relating to customer
satis faction and operations related to product and
service, are determined.
Interactions between processes are not well determined.
3
Processes and their interactions are determined to ad dress not only operations related to product and service,
but also provision o f resources and managerial activities
(e.g. planning, measuring, analysis, improvement).
The needs and expectations o f identified interested
parties are used as inputs into process determination.
4
Processes and their interactions are systematically
determined to ensure that their outputs continue to
meet the needs and expectations o f customers and other
interested parties.
All interested parties are considered in process
determination.
5
Processes and their interactions are determined and
changed flexibly according to the organization’s policies,
strategy and objectives.
a Items outlined in levels 3 to 5 are intended to be a progression o f thought that is based on the guidance
provided in the applicable subclause.
b This may include recognition o f aspects where the organization is partially meeting a maturity level.
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ISO 9004:2018(E)
Table A.11 — Self-assessment of the detailed elements of 8.3
Subclause
8.3
Process
responsibility
and authority
Level
1
2
Maturity level
Item a
Process responsibilities are defined in an in formal or
ad hoc manner.
A process owner is appointed for each process.
YES
Conclusion
Results/comment b
The competences required for the people associated
with the individual processes are not defined.
3
For each process, a process owner is appointed, who
has defined responsibilities and authorities to establish,
maintain, control and improve the process.
A policy to avoid and resolve potential disputes in
managing processes exists.
The competences required for process owners are
defined.
4
A process owner is appointed for each process, with
su fficient responsibility, authority and competence to
establish, maintain, control and improve the process and
its interaction with other processes.
The competences required for the people associated
with individual processes are well defined and
continually improved.
5 Get Responsibilities,
authorities andStandard
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Responsibilities and authorities for interactions
between processes are well defined.
The people associated with individual processes have su fficient competences for the tasks and activities involved.
a Items outlined in levels 3 to 5 are intended to be a progression o f thought that is based on the guidance
provided in the applicable subclause.
b This may include recognition o f aspects where the organization is partially meeting a maturity level.
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ISO 9004:2018(E)
Table A.12 — Self-assessment of the detailed elements of 8.4 (alignment/linkage)
Subclause
8.4
Managing
processes
(managing
alignment/
linkage
between the
processes)
Level
1
2
3
4
5
Maturity level
Item a
Processes are aligned and linked in an in formal or
ad hoc manner.
Alignment/linkage between processes is discussed but
major concerns o f managers are on individual processes.
The network o f processes, their sequence and interactions are visualized in a graphic to understand the
roles o f each process in the system and its e ffects on the
per formance o f the system.
Processes and their interactions are managed as a
system to enhance alignment/linkage between the
YES
Conclusion
Results/comment b
processes.
Criteria for the outputs o f processes are determined.
The capability and per formance o f processes are
evaluated and improved.
The risks and opportunities associated with processes
are assessed and necessary actions are implemented to
prevent, detect or mitigate undesired events.
Processes and their interactions are reviewed on a reg ular basis and suitable actions are taken for their
improvement to support sustained and e ffective
processes.
The capability and per formance o f processes are
su fficient to e ffectively and e fficiently achieve the
per formance expected by the system.
Cross- functional teams or committees under top
management’s leadership facilitate their review and
improvement of the processes.
Items outlined in levels 3 to 5 are intended to be a progression o f thought that is based on the guidance
provided in the applicable subclause.
b This may include recognition o f aspects where the organization is partially meeting a maturity level.
a
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ISO 9004:2018(E)
Table A.13 — Self-assessment of the detailed elements of 8.4 (attaining a higher level of
performance)
Subclause
8.4
processes
M a n agi ng
(atta i n i ng
Level
1
2
p er for m a nce)
YES
Conclusion
Results/comment b
P ro ce s s e s a nd thei r i nterac tion s a re i mpro ve d i n a n
i n for m a l o r ad ho c m a n ner.
I mprovement o f pro ce s s e s a nd thei r i nterac tion s a re
lo o s el y rel ate d with the orga n i z ation’s p ol ic ie s , s trate g y
a h i gher
level of
Maturity level
Item a
3
a nd ob j e c ti ve s .
P ro ce s s e s a nd thei r i nterac tion s a re i mpro ve d b a s e d on
the o rga n i z atio n’s p ol ic ie s , s trate g y a nd o b j e c ti ve s .
T he ach ie vement o f the ob j e c ti ve s
fo r
i mpro vement o f
p ro ce s s e s a nd thei r i nterac tio n s a re re vie we d on a
4
re gu l a r b a s i s .
P ro ce s s e s a nd thei r i nterac tion s a re s ys tem atic a l l y
i mpro ve d to ach ie ve the o rga n i z atio n’s p ol ic ie s , s trate g y
a nd ob j e c ti ve s .
T he ac tion p l a n s
fo r
atta i n i n g the ob j e c ti ve s a re
de ter m i ne d , ta ki ng i nto acco u nt the re s ou rce s ne e de d
a nd thei r ava i l ab i l i ty.
Pe op le a re mo ti vate d to engage i n the i mp rovement
ac ti vitie s a nd pro p o s e op p or tu n itie s
5
i n the pro ce s s e s
for
fo r
i mpro vement
wh ich the y a re i n ch a rge .
pro ce s s e s a nd thei r i nterac tion a re
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dyn a m ic a l l y m a n age d th rou gh the orga n i z ation’s
p ol ic ie s , s trate g y a nd ob j e c ti ve s .
T he ne e d to de velop o r acqu i re ne w te ch nolo gie s , o r
de velop new pro duc ts a nd s er vice s or thei r
fe atu re s , for
adde d va lue , a re con s idere d .
T he ach ie vement o f the ob j e c ti ve s
fo r
i mpro vement,
the p ro gre s s o f the ac tion p l a n s , a nd the e ffe c ts on the
rel ate d o rga n i z atio n’s p ol ic ie s , s trate g y a nd o b j e c ti ve s
a re re viewe d o n a re gu l a r b a s i s , a nd ne ce s s a r y cor re c ti ve
ac tion s a re ta ken .
a
I tem s outl i ne d i n le vel s 3 to 5 a re i ntende d to b e a p ro gre s s ion o f thou ght th at i s b a s e d on the gu id a nce
pro vide d i n the app l ic ab le s ub cl au s e .
b
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ISO 9004:2018(E)
Table A.14 — Self-assessment of the detailed elements of 8.4 (maintaining the level)
Subclause
Level
8.4
1
Managing
processes
2
(maintaining
the level
attained)
3
4
Maturity level
Item a
Processes and their interactions are operated in an
in formal or ad hoc manner.
Procedures are determined for relevant processes but
YES
Conclusion
Results/comment b
not well followed.
Deviations are no concern o f process owners.
Procedures are determined for each process, including
the criteria for its outputs and operational conditions.
Consideration is given to education and training.
Managers take necessary corrective actions when the
procedures are not followed.
Resources necessary for people to follow the procedures
are made available.
Processes are monitored on a regular basis to detect
deviations.
Procedures ensure con formance o f the outputs to the
criteria.
People have su fficient knowledge and skills to follow the
procedures and understand the impacts o f not following
the procedures.
Consideration is given to motivation and human error
prevention.
5
Check points and related per formance indicators are
determined to detect deviations (which are mainly
caused by changes in people, equipment, methods,
material, measurement and environment for operation
o f processes) and to take appropriate actions when
necessary.
A system for determining the knowledge and skills need ed for each process, evaluating the knowledge and skills
o f the process operators, and providing qualifications
for operating the process is established.
People are engaged in the development or revision o f the
procedures.
Risks and opportunities in the procedures are identified,
assessed and reduced by improving the procedures.
Changes in processes are clarified and shared to prevent
deviations.
a Items outlined in levels 3 to 5 are intended to be a progression o f thought that is based on the guidance
provided in the applicable subclause.
b This may include recognition o f aspects where the organization is partially meeting a maturity level.
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ISO 9004:2018(E)
Table A.15 — Self-assessment of the detailed elements of 9.1
Subclause
9.1
Resource
management
— General
Level
1
Maturity level
Item a
YES
Conclusion
Results/comment b
Processes to manage the resources to support the
operation in an organization are per formed in an
in formal and ad hoc manner.
Some o f the resource management processes to
support the achievement o f objectives are determined.
2
Support for the e ffective and e fficient use o f resources
is defined in a limited manner.
A basic approach for considering risks and opportu nities, including the e ffects o f not having su fficient
resources in a timely manner, is in place.
Key processes to determine and manage the
resources needed for the achievement o f its
objectives are determined.
The e fficient and e ffective uses o f resources are not
well defined.
Resource management processes and the interactions
for getting and assigning resources, aligned with the
organizational objectives, are present.
3
Some processes include an approach for e ffectively and
e fficiently applying resources.
Resource management processes and the interactions
for getting and assigning resources, aligned with the
organizational objectives, are
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systematically
implemented.
4
Controls to support the e ffective and e fficient use o f
resources in all processes are established.
The accessibility o f externally provided resources is
confirmed by the organization.
External providers are encouraged by the organization
to implement improvements on the e fficient and
effective use of resources.
A strategic planning process for getting and assigning
resources is in place and is aligned with the organiza tional objectives in order to achieve e ffective and e ffi cient per formance in support o f the sustained success.
5
The use o f externally provided resources shows
continual improvement.
There are joint initiatives with external providers to
evaluate and incorporate improvements and promote
innovations on the use o f resources.
a Items outlined in levels 3 to 5 are intended to be a progression o f thought that is based on the guidance
provided in the applicable subclause.
b This may include recognition o f aspects where the organization is partially meeting a maturity level.
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ISO 9004:2018(E)
Table A.16 — Self-assessment of the detailed elements of 9.2
Subclause
9.2
People
Level
1
2
3
4
Maturity level
Item a
Competent, engaged, empowered and motivated
people are considered to be a resource in an in formal
or ad hoc manner.
Competence development is provided in an in formal or
ad hoc manner.
Processes to attract competent, engaged, empowered
and motivated people are implemented.
Processes for determining, developing, evaluating and
improving resources are evident in some cases.
Some competence reviews have been implemented.
A planned, transparent, ethical and socially
responsible approach is applied at all levels
throughout the organization.
Reviews and evaluations o f the e ffectiveness o f actions
taken ensure the personal competences (in both the
short and long term) are in accordance with the
mission, vision and objectives.
In formation, knowledge and experience are shared to
provide personal growth.
Learning, knowledge trans fer and teamwork within
the organization are evident.
Competence development is provided to develop skills
for creativity and improvement.
People are aware o f their personal competences and
where they can best contribute to the organization’s
YES
Conclusion
Results/comment b
improvement.
Career planning is well developed.
5
The results achieved for competent, engaged,
empowered and motivated people are shared and
compare well with other organizations.
People across the organization
participate in the development o f new processes.
Best practices are recognized.
a Items outlined in levels 3 to 5 are intended to be a progression o f thought that is based on the guidance
provided in the applicable subclause.
b This may include recognition o f aspects where the organization is partially meeting a maturity level.
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ISO 9004:2018(E)
Table A.17 — Self-assessment of the detailed elements of 9.3
Subclause
9.3
Organizational
knowledge
Level
1
Maturity level
Item a
Processes to capture the current baseline o f
organizational knowledge are in formal or ad hoc.
YES
Conclusion
Results/comment b
Processes to develop organizational knowledge are
in formal or ad hoc.
2
Some processes for maintaining and protecting
documented organizational knowledge are in place.
3
Activities to determine whether explicit or tacit knowl edge exists are in place and some are documented.
Processes for identi fying important in formation and
ensuring the e ffective distribution o f such in formation
throughout the li fe cycle(s) o f relevant products and/or
services exist.
4
Processes exist for gathering and analysing
competitive data.
Processes to evaluate sta ff understanding o f relevant
organizational knowledge are present.
Methods for process owners to evaluate the
competencies o f utilizing processes exist.
Methods for determining and communicating the roles
o f process
in managing
sta ff are present.
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5
There are processes for gathering and analysing data
from interested parties.
a Items outlined in levels 3 to 5 are intended to be a progression o f thought that is based on the guidance
provided in the applicable subclause.
b This may include recognition o f aspects where the organization is partially meeting a maturity level.
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ISO 9004:2018(E)
Table A.18 — Self-assessment of the detailed elements of 9.4
Subclause
9.4
Level
1
Maturity level
Item a
YES
Conclusion
Results/comment b
Advances in current technology are done in an in formal
or ad hoc manner.
2
Some o f the processes for identi fying the latest inno vations and technological developments exist within
the organization or the sectors to which it directly or
indirectly relates.
3
Processes for evaluating the benefits, risks and oppor tunities for the identified innovations and emergent
technologies are in place and support the suitability o f
product and/or service strategies.
Processes for estimating the cost/benefits for adopting
suitable innovations and/or emergent technologies are
in place.
Processes for evaluating the marketability o f selected
innovations and/or emerging technologies are in place.
4
The organizational knowledge and resource capability
needed to adapt to the innovations and/or technological
changes or advancements are in place.
Processes for evaluating the risks and opportunities for
adopting the selected innovations and/or technological
changes or advancements are in place.
5
Processes for considering the needs o f interested parties
and o ffering a suite o f innovations as solutions to meet
customer expectations are in place.
The organization takes measures to keep in formed o f
new technologies and methodologies and their possible
benefits.
The impact o f new technologies and new practices is
monitored and evaluated regularly, taking into account
internal and external e ffects, including interested
parties and the environment.
a Items outlined in levels 3 to 5 are intended to be a progression o f thought that is based on the guidance
provided in the applicable subclause.
b This may include recognition o f aspects where the organization is partially meeting a maturity level.
Technology
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ISO 9004:2018(E)
Table A.19 — Self-assessment of the detailed elements of 9.5
Subclause
9.5
I n fra s tr uc tu re
Maturity level
Item a
Level
1
environment 2
3
a nd wo rk
YES
Conclusion
Results/comment b
I n fra s tr uc tu re a nd work envi ro n ment ne e d s a re
add re s s e d i n a n i n for m a l o r ad ho c m a n ner.
S ome p ro ce s s e s
fo r
add re s s i n g i n fra s tr uc tu re a nd work
envi ron ment ne e d s a re i n p l ace .
P ro ce s s e s th at add re s s app l ic ab le r i s ks a nd
op p or tu n itie s a nd th at i mp lement ac ti vitie s
for
the
de term i n ation , a l lo c ation , pro vi s ion , me a s u rement or
mo n itor i ng , i mp rovement, m a i nten a nce a nd
pro te c tion o f the i n fra s tr uc tu re a nd wo rk envi ro n ment
4
a re i n p l ace .
P ro ce s s e s i mp lementi ng adva nce d te ch n ique s to
i mp rove p er fo r m a nce a nd en s u re the m a xi mu m
e ffic ienc y i n the u s e o f i n fra s tr uc tu re a nd wo rk
envi ron ment re s ou rce s a re i n p l ace .
T he s e p ro ce s s e s op erate i n a p ro ac ti ve m a n ner a nd
co ntr ib ute to the ach ie vement o f the o rga n i z atio n’s
ob j e c ti ve s , i nclud i ng the
5
fu l fi l ment
o f s tatuto r y a nd
re g u l ato r y re qu i rements .
T he way i n wh ich i n fra s tr uc tu re a nd the work
envi ron ment a re m a n age d b e co me s a ke y contr ib uto r i n
the ach ievement o f de s i re d re s u l ts .
a
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Group
and
chats
I tem s outl i ne d i n Get
le velmore
s 3 to 5
a re i ntende
d to b efrom
a p roStandard
gre s s ion o fSharing
thou ght th
at i s b a
s e d our
on the
gu id a nce
pro vide d i n the app l ic ab le s ub cl au s e .
b
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ISO 9004:2018(E)
Table A.20 — Self-assessment of the detailed elements of 9.6
Subclause
9.6
provided
resources
1
Maturity level
Item a
Level
E x ter n a l l y
YES
Conclusion
Results/comment b
T he co ncep t o f p a r tners h ip with e x ter n a l p roviders i s
i n fo r m a l or ad ho c .
E x ter n a l p roviders a re s e en a s tra n s ient a nd the
2
orga n i z ation s e e s no va lue i n de velo pi ng rel ation s h ip s .
T here i s a l i m ite d u nders ta nd i ng re ga rd i ng the va lue i n
h avi n g re gu l a r e x ter n a l p ro viders th at wi l l del i ver a
3
co n s i s tent s upp l y.
T here i s a go o d worki n g rel atio n s h ip b e twe en the two
orga n i z ation s , with re gu l a r com mu n ic ation s ab out
i s s ue s rel ati ng to the p ro duc t or s er vice p rovide d
4
ta ki ng p l ace .
Top m a n agement i s com m i tte d to de velop i ng a clo s e rel a
-
tion s h ip with e x ter n a l p roviders , with ac tion to
de velop th i s at the le vel o f m idd le m a n agement, where
clo s e co - op eration i s c a r r ie d o ut.
S ome p roj e c t co ord i n atio n i s c a r r ie d out a s it rel ate s to
5
s p e c i fic p ro duc t re a l i z atio n p ro ce s s e s .
B o th orga n i z ation s
fu l l y
app re c i ate the va lue o f the
rel atio n s h ip .
T here i s clo s e i nterac tio n b e twe en top m a n agement s ta ff
i n the two orga n i z ation s .
T here i s s h a r i ng o f s ome rele va nt s en s i ti ve co m merc i a l
i n fo r m ation .
B o th orga n i z ation s engage i n b u s i ne s s de velo pment
proj e c ts o f co m mo n i ntere s t.
a
I tem s outl i ne d i n le vel s 3 to 5 a re i ntende d to b e a pro gre s s ion o f tho ught th at i s b a s e d on the gu id a nce
provide d i n the ap p l ic ab le s ub cl au s e .
b
T h i s m ay i nclude re co gn i tion o f a s p e c ts where the orga n i z ation i s p a r ti a l l y me e ti n g a m atu r i ty le vel .
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45
ISO 9004:2018(E)
Table A.21 — Self-assessment of the detailed elements of 9.7
Subclause
9.7
1
Maturity level
Item a
Level
N atu ra l
resources
YES
Conclusion
Results/comment b
T here i s no m a n agi ng o f n atu ra l re s ou rce s .
T he o rga n i z atio n u s e s n atu ra l re s ou rce s a s re qu i re d b y
thei r p ro ce s s e s wi thout co n s ider i ng the p o tenti a l i mp ac ts
2
3
o n thei r pro duc ts a nd s er vice s i n the
futu re .
T he o rga n i z atio n i mp lements s o me go o d prac tice s i n its
c u r rent ap p l ic ation a nd u s e o f n atu ra l re s ou rce s .
T he m a n agi n g o f n atu ra l re s o u rce s i s a l i gne d wi th i n
the o rga n i z atio n’s m a n agement s ys tem s trate g y. T here
i s s ome e vidence o f i mpro vi n g the ac tu a l u s e o f, a nd
m i n i m i z atio n o f the p o tenti a l i mp ac t o f the u s e o f, n atu ra l
4
resources.
T he o rga n i z atio n re co gn i z e s its re s p on s ib i l i ty to s o c ie ty
fo r
m a n agi ng n atu ra l re s o u rce s .
T he o rga n i z atio n h a s i mp lemente d s ome b e s t p rac tice s i n
5
i ts c u r rent ap p l ic ation o f n atu ra l re s ou rce s .
T he o rga n i z atio n re co gn i z e s its re s p on s ib i l i ty to s o c ie ty
fo r
m a n agi ng n atu ra l re s o u rce s rel ate d to the l i fe c ycle o f
p ro duc ts a nd s er vice s .
T he m a n agi n g o f n atu ra l re s o u rce s i s wide s pre ad i n a l l
the a re a s o f the o rga n i z atio n .
o rgaFREE
n i z atio n
add re s s e s from
b o th c
u r rent a nd
futu re u s
e
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o f n atu ra l re s ou rce s re qu i re d b y its p ro ce s s e s .
T he o rga n i z atio n i s awa re o f new trend s a nd te ch no lo gie s
fo r
the e ffic ient u s e o f n atu ra l re s ou rce s , a nd i n rel atio n
to the ne e d s a nd e x p e c tatio n s o f i ntere s te d p a r tie s .
a
I tem s outl i ne d i n le vel s 3 to 5 a re i ntende d to b e a p ro gre s s ion o f thou ght th at i s b a s e d on the gu id a nce
pro vide d i n the app l ic ab le s ub cl au s e .
b
46
T h i s m ay i nclude re co gn i tio n o f a s p e c ts where the orga n i z ation i s p a r ti a l l y me e ti ng a m atu r ity le vel .
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ISO 9004:2018(E)
Table A.22 — Self-assessment of the detailed elements of 10.1
Subclause
10.1
Analysis
and
evaluation
o f an
organiza -
1
2
tion’s
perfor-
mance —
General
Level
Maturity level
Item a
The necessity for updating and understanding the
organization’s context, policies, strategy and objectives is
determined in an in formal or ad hoc manner.
Some in formation on the organization’s per formance, the
status o f its internal activities and resources, changes in
its external and internal issues, and the needs and expec tations o f the interested parties is collected and analysed
to update and understand the organization’s context,
policies, strategy and objectives.
YES
Conclusion
Results/comment b
3
Available in formation is collected to update and under stand the organization’s context, policies, strategy and
objectives in a planned manner.
4
Based on comprehensive analysis and reviews o f avail able in formation, the necessity for updating and under standing o f the organization’s context, policies, strategy
and objectives is determined.
5
A systematic approach is established to collect, analyse
and review available in formation and to determine the
necessity for updating and understanding o f the organ ization’s context, policies, strategy and objectives, and
to identi fy opportunities for improvement, learning and
innovation o f the organization’s leadership activities.
a Items outlined in levels 3 to 5 are intended to be a progression o f thought that is based on the guidance
provided in the applicable subclause.
b This may include recognition o f aspects where the organization is partially meeting a maturity level.
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ISO 9004:2018(E)
Table A.23 — Self-assessment of the detailed elements of 10.2
Subclause
10.2
Per formance
indicators
1
Level
2
3
4
5
Maturity level
Item a
Only basic per formance indicators (e.g. financial
criteria, on-time deliveries, number o f customer
complaints, legal warnings, fines) are used.
YES
Conclusion
Results/comment b
Data are not always reliable.
There is a limited set o f per formance indicators related
to the organization’s policies, strategy and objectives,
and main processes.
Per formance indicators are mostly based on the use o f
internal data.
Decisions are partially supported by measurable key
per formance indicators (KPIs).
Progress in achieving planned results against the poli cies, strategy and objectives in relevant processes and
functions is identified and tracked by practical per formance indicators.
The needs and expectations o f customers and other in terested parties are taken into account when selecting
measurable KPIs.
Decisions are adequately supported by reliable, usable
and measurable KPIs.
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Measurable KPIs are systematically selected to moni tor progress in achieving planned results against the
mission, vision, policies, strategy and objectives, at all
levels and in all relevant processes and functions in the
organization, to gather and provide the in formation
necessary for per formance evaluations and e ffective
decision making.
Measurable KPIs provide in formation that is accurate,
reliable and usable, in order to implement action plans
when per formance does not con form to objectives, or
to improve and innovate process e fficiency and e ffec-
tiveness.
A process has been established to monitor progress in
achieving planned results and make decisions using
measurable KPIs.
Measurable KPIs contribute to good strategic and
tactical decisions.
In formation relating to risks and opportunities is
considered when selecting measurable KPIs.
a Items outlined in levels 3 to 5 are intended to be a progression o f thought that is based on the guidance
provided in the applicable subclause.
b This may include recognition o f aspects where the organization is partially meeting a maturity level.
48
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ISO 9004:2018(E)
Table A.24 — Self-assessment of the detailed elements of 10.3
Subclause
10.3
Per formance
analysis
1
Level
2
3
4
Maturity level
Item a
The organization’s per formance is analysed in an
in formal or ad hoc manner.
There is limited analysis o f the organization’s
per formance.
Some basic statistical tools are used.
The organization’s per formance is analysed to identi fy
issues and potential opportunities.
A systematic analysis process is supported by the wide
use o f statistical tools.
The organization’s per formance is analysed:
— to identi fy insu fficient resources;
— to identi fy insu fficient or ine ffective competences,
organizational knowledge and inappropriate behaviour;
— to determine the new organizational knowledge
needed;
— to identi fy processes and activities showing outstanding per formance that could be used as a model to
YES
Conclusion
Results/comment b
improve other processes.
The e ffectiveness o f the analysis process is enhanced
by the sharing o f the analysis results with interested
parties.
5
The organization’s per formance is comprehensively ana lysed to identi fy potential strengths to be fostered with
regard to the organization’s leadership activities, as well
as weakness in the organization’s leadership roles and
activities, including:
— policy establishment and
communication;
— management o f processes;
— management o f resources;
— improvement, learning and innovation.
For the analysis, a clear framework to demonstrate the
interrelations between its leadership roles, activities and
their e ffects on the organization’s per formance is used.
a Items outlined in levels 3 to 5 are intended to be a progression o f thought that is based on the guidance
provided in the applicable subclause.
b This may include recognition o f aspects where the organization is partially meeting a maturity level.
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ISO 9004:2018(E)
Table A.25 — Self-assessment of the detailed elements of 10.4
Subclause
10.4
Per fo r
-
m a nce
e va lu ation
1
Maturity level
Item a
Level
2
YES
Conclusion
Results/comment b
T he o rga n i z atio n’s p er for m a nce i s e va lu ate d i n a n
i n for m a l o r ad ho c m a n ner.
T here i s l i m i te d e va lu atio n o f the o rga n i z atio n’s
p er for m a nce .
To p m a n agement s up p or ts the identi fic ation a nd
p romu l gatio n o f b e s t p rac tice s .
S o me p ro duc ts
3
fro m
ke y co mp e ti to rs a re e va lu ate d
a nd co mp a re d .
T he re s u l ts ach ie ve d o n the o rga n i z atio n’s
p er for m a nce a re e va lu ate d aga i n s t the
app l ic ab le ob j e c ti ve s .
T he o rga n i z atio n’s p er for m a nce i s e va lu ate d
fro m
the
viewp o i nt o f the ne e d s a nd e x p e c tatio n s o f c u s to mers .
T he o rga n i z atio n’s p er for m a nce i s e va lu ate d u s i ng
4
comp a r i s on s to e s tab l i s he d or agre e d b ench m a rks .
W here the ob j e c ti ve s h ave no t b e en atta i ne d , the
c au s e s a re i nve s ti gate d wi th ap pro pr i ate review o f
the dep loyment o f the orga n i z ation’s p ol ic ie s , s trate g y
a nd ob j e c ti ve s a nd the o rga n i z atio n’s m a n agi ng o f
resources.
re s uFREE
l ts o f e va
lu ation a re
u nders
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s i vel y, a nd re s olution o f a ny identi fie d gap s i s p r ior
-
i ti z e d b a s e d o n thei r i mp ac ts on the orga n i z atio n’s
p o l ic ie s , s trate g y a nd ob j e c ti ve s .
I mpro vement ach ie ve d on the orga n i z atio n’s p er for
m a nce i s e va lu ate d
from
-
a lon g- term p ers p e c ti ve .
T he o rga n i z atio n’s p er for m a nce i s e va lu ate d
fro m
the
viewp o i nt o f the ne e d s a nd e x p e c tatio n s o f a l l
5
i ntere s te d p a r tie s .
B ench m a rki ng i s u s e d s ys tem atic a l l y a s a to ol
identi fyi n g o pp o r tu n i tie s
for
for
i mp rovement, le a r n i ng
a nd i n novation .
T he o rga n i z atio n i s
fre quentl y
s ol ic ite d b y e x ter n a l
enti tie s to b e a b ench m a rk p a r tner.
a
I tem s outl i ne d i n le vel s 3 to 5 a re i ntende d to b e a p ro gre s s ion o f thou ght th at i s b a s e d on the gu id a nce
pro vide d i n the app l ic ab le s ub cl au s e .
b
50
T h i s m ay i nclude re co gn i tio n o f a s p e c ts where the orga n i z ation i s p a r ti a l l y me e ti ng a m atu r ity le vel .
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ISO 9004:2018(E)
Table A.26 — Self-assessment of the detailed elements of 10.5
Subclause
10.5
Internal
audit
1
Level
2
3
4
5
Maturity level
Item a
Internal audits are reactively per formed in response to
problems, customer complaints, etc.
YES
Conclusion
Results/comment b
Collected data are mostly used to resolve problems with
products and services.
Internal audits for key processes are per formed on a
regular basis.
Collected data are used systematically to review the
managing o f processes.
Collected data are beginning to be used in a preventive
way.
Internal audits are per formed in a consistent manner, by
competent personnel who are not involved in the activity
being examined, in accordance with an audit plan.
Internal auditing identifies problems, noncon formities
and risks, as well as monitoring progress in closing previ ously identified problems, noncon formities and risks.
Problems, noncon formities and risks identified are
analysed comprehensively to determine weaknesses
in the management system.
Internal auditing focuses on the identification o f good
practices (which can be considered for use in other areas
o f the organization) as well as on improvement
opportunities.
A process is established for the review o f all internal
audit reports to identi fy trends that can require
organization-wide corrective actions or
opportunities for improvement.
The organization involves other interested parties in its
audits, in order to help identi fy additional opportunities
for improvement.
Items outlined in levels 3 to 5 are intended to be a progression o f thought that is based on the guidance
provided in the applicable subclause.
b This may include recognition o f aspects where the organization is partially meeting a maturity level.
a
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ISO 9004:2018(E)
Table A.27 — Self-assessment of the detailed elements of 10.6
Subclause
10.6
Selfa s s e s s ment
1
2
3
Maturity level
Item a
Level
YES
Conclusion
Results/comment b
S el f- a s s e s s ment i s no t i mp lemente d .
S el f- a s s e s s ment i s l i m i te d , i n for m a l or ad ho c .
S el f- a s s e s s ment i s co nduc te d i n a con s i s tent m a n ner
a nd the re s u lts a re u s e d to de term i ne the orga n i z ation’s
4
m atu r i ty a nd to i mpro ve i ts o vera l l p er for m a nce .
S el f- a s s e s s ment i s u s e d to de ter m i ne the s tren g th s a nd
we a kne s s e s o f the orga n i z ation , a s wel l a s i ts b e s t
p rac tice s , b o th at a n o vera l l le vel a nd at the le vel o f
i nd i vidu a l pro ce s s e s .
S el f- a s s e s s ment a s s i s ts the orga n i z ation to pr ior iti z e ,
5
p l a n a nd i mp lement i mprovements a nd/or i n novation s .
S e l f- a s s e s s me n t i s p e r fo r me d b y the o r ga n i z ati o n at
a l l l e ve l s .
T he elements o f a m a n agement s ys tem a re u nders to o d
comprehen s i vel y, b a s e d on the rel atio n s b e twe en the
elements a nd thei r i mp ac ts on the orga n i z ation’s
m i s s io n , vi s ion , va lue s a nd c u ltu re .
T he re s u l ts o f s el f- a s s e s s ment a re co m mu n ic ate d to
rele va nt p e o p le i n the o rga n i z atio n a nd u s e d to s h a re
u nders ta nd i ng ab out the orga n i z ation a nd i ts
futu re
direction.
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a
I tem s outl i ne d i n le vel s 3 to 5 a re i ntende d to b e a p ro gre s s ion o f thou ght th at i s b a s e d on the gu id a nce
pro vide d i n the app l ic ab le s ub cl au s e .
b
52
T h i s m ay i nclude re co gn i tio n o f a s p e c ts where the orga n i z ation i s p a r ti a l l y me e ti ng a m atu r ity le vel .
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ISO 9004:2018(E)
Table A.28 — Self-assessment of the detailed elements of 10.7
Subclause
10 .7
Review
1
Maturity level
Item a
Level
2
YES
Conclusion
Results/comment b
T here i s a n ad ho c ap pro ach to re views .
When a re vie w i s p er fo rme d , i t i s o ften re ac ti ve .
Re views a re conduc te d to a s s e s s pro gre s s i n the
ach ie vement o f p o l ic ie s , s trate g y a nd ob j e c ti ve s , a nd to
a s s e s s the p er for m a nce o f the m a n agement s ys tem .
Rele va nt proj e c ts a nd i mp rovement ac tio n s a re a s s e s s e d
du r i ng re views , i n order to eva lu ate p ro gre s s aga i n s t
3
thei r p l a n s a nd o b j e c ti ve s .
S ys tem atic re views o f me a s u rab le KPI s a nd rel ate d ob j e c
-
ti ve s a re u nder ta ken at p l a n ne d a nd p erio d ic i nter va l s , to
en ab le trend s to b e de ter m i ne d , a s wel l a s to e va lu ate the
orga n i z ation’s p ro gre s s towa rd s ach ie vi n g i ts p o l ic ie s ,
s trate g y a nd ob j e c ti ve s .
Where advers e trend s a re identi fie d , the y a re ac te d up o n .
4
Re views en ab le e vidence - b a s e d de c i s ion m a ki ng.
T he i n fo r m ation , re s u lti n g
from
p er fo rm a nce me a s u re
-
ment, b ench m a rki n g , a n a l ys i s a nd e va lu ation s , i nter n a l
aud i ts a nd s el f- a s s e s s ments , i s co mp rehen s i vel y re vie we d
to identi fy o pp o r tu n itie s
i n novation , a s wel l a s
fo r
for
i mp rovement, le a r n i ng a nd
identi fyi n g a ny ne e d to ad ap t
the orga n i z atio n’s p o l ic ie s , s trate g y a nd o b j e c ti ve s .
T he outputs
5
from
the re views a re s ha re d with i ntere s te d
p ar tie s , a s a way o f
fac i l itati ng
col l ab oration a nd le ar n i ng.
S ys tem atic re views a re u s e d to identi fy o pp o r tu n i tie s
for
i mp rovement, le a r n i ng a nd i n no vatio n o f the
orga n i z ation’s le aders h ip ac ti vi tie s .
a
I tem s outl i ne d i n le vel s 3 to 5 a re i ntende d to b e a pro gre s s ion o f tho ught th at i s b a s e d on the gu id a nce
provide d i n the ap p l ic ab le s ub cl au s e .
b
T h i s m ay i nclude re co gn i tion o f a s p e c ts where the orga n i z ation i s p a r ti a l l y me e ti n g a m atu r i ty le vel .
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ISO 9004:2018(E)
Table A.29 — Self-assessment of the detailed elements of 11.1
Subclause
11.1
Improvement,
le a r n i n g
1
Level
2
—
G enera l
3
YES
Conclusion
Results/comment b
I mp ro ve me n t ac ti vi tie s a re do ne i n a n i n fo r m a l o r ad
ho c m a n ne r.
B a s ic i mp rovement pro ce s s e s , i nclud i n g cor re c tion s a nd
cor re c ti ve ac tio n s a re i n p l ace , b a s e d o n comp l a i nts
a nd
i n novation
Maturity level
Item a
fro m
i ntere s te d p a r tie s .
I mpro vement, le a r n i n g a nd i n novation e ffo r ts c a n b e
demon s trate d i n mo s t p ro duc ts a nd s o me ke y pro ce s s e s .
4
P ro ce s s e s a re i mp lemente d
fo r
the ongo i ng mo n itor i ng o f
e x ter n a l a nd i nter n a l i s s ue s th at co u ld le ad to i mp rove
-
ment, le a r n i n g a nd i n novation , wh ich a re a l i gne d with
5
s trate gic go a l s .
I mpro vement, le a r n i n g a nd i n novation a re emb e dde d a s
ro uti ne ac ti vitie s ac ro s s the who le orga n i z ation a nd a re
e vident i n rel ation s h ip s wi th i ntere s te d p a r tie s .
a
I tem s outl i ne d i n le vel s 3 to 5 a re i ntende d to b e a p ro gre s s ion o f thou ght th at i s b a s e d on the gu id a nce
pro vide d i n the app l ic ab le s ub cl au s e .
b
T h i s m ay i nclude re co gn i tio n o f a s p e c ts where the orga n i z ation i s p a r ti a l l y me e ti ng a m atu r ity le vel .
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ISO 9004:2018(E)
Table A.30 — Self-assessment of the detailed elements of 11.2
Subclause
11.2
Improvement
1
Level
2
3
Maturity level
Item a
Improvement activities are done in an in formal or ad
hoc manner.
Necessary resources to achieve improvement are
YES
Conclusion
Results/comment b
provided.
Objectives for the improvement o f products or
services and processes are provided.
A structured approach is applied consistently.
The focus o f improvement processes is aligned with
the strategy and objectives, and top management is
visibly involved in improvement activities.
Schemes are in place to empower teams and
individuals to generate strategically relevant
improvements.
4
5
Continual improvement processes include relevant
interested parties.
Improvements and innovation result in learning and
further improvements.
The focus o f per formance improvement is the
sustained ability to learn, change and achieve
long-term success.
Items outlined in levels 3 to 5 are intended to be a progression o f thought that is based on the guidance
provided in the applicable subclause.
b This may include recognition o f aspects where the organization is partially meeting a maturity level.
a
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ISO 9004:2018(E)
Table A.31 — Self-assessment of the detailed elements of 11.3
Subclause
11.3
1
Maturity level
Item a
Level
YES
Conclusion
Results/comment b
S o me le s s o n s a re le a r ne d a s a re s u lt o f comp l a i nts .
Learning
L e a r n i ng i s o n a n i nd i vidu a l b a s i s , wi thout the s h a r i ng o f
2
knowle dge .
L e a r n i ng i s generate d i n a re ac ti ve way
P ro ce s s e s e xi s t
3
fro m
the
s ys tem atic a n a l ys i s o f pro b lem s a nd o ther i n for m atio n .
fo r
the s h a r i ng o f i n fo rm ation a nd
knowle dge , b ut s ti l l i n a re ac ti ve m a n ner.
To p m a n agement s up p or ts i n iti ati ve s
for
le a r n i n g a nd
le ad s b y e xa mp le .
T here a re p l a n ne d ac ti vi tie s , e vents a nd
fo r u m s for
s h a r i ng i n for m ation .
P ro ce s s e s a re i mp lemente d to de ter m i ne kno wle d ge
gap s a nd to p ro vide the ne ce s s a r y re s o u rce s
to occur.
S ys tem s a re i n p l ace
4
for
fo r
le a r n i n g
re co gn i z i ng p o s iti ve re s u l ts
from
s u gge s tion s a nd le s s on s le a r ne d .
L e a r n i ng i s add re s s e d i n the s trate g y a nd p o l ic ie s .
L e a r n i ng i s re co gn i z e d a s a ke y i s s ue .
two rki ng , con ne c ti vity a nd i nterac ti vity a re
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s ti mu l ate d b y top m a n agement to s h a re knowle dge .
T he o rga n i z atio n’s le a r n i n g ab i l ity i nte grate s p ers o n a l
comp e tence a nd the orga n i z ation’s overa l l co mp e tence .
L e a r n i ng i s
fu nd a menta l
to the i mp rovement a nd
i n no vatio n p ro ce s s e s .
T he o rga n i z atio n’s c u ltu re p er m its the ta ki n g o f r i s ks a nd
le a r n i ng
from
the m i s ta ke s .
T he re a re e x ter n a l en gagements
fo r
the p u r p o s e o f
le a r n i n g.
a
I tem s outl i ne d i n le vel s 3 to 5 a re i ntende d to b e a p ro gre s s ion o f thou ght th at i s b a s e d on the gu id a nce
pro vide d i n the app l ic ab le s ub cl au s e .
b
56
T h i s m ay i nclude re co gn i tio n o f a s p e c ts where the orga n i z ation i s p a r ti a l l y me e ti ng a m atu r ity le vel .
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© ISO 2018 – All rights reserved
ISO 9004:2018(E)
Table A.32 — Self-assessment of the detailed elements of 11.4
Subclause
11.4
1
Maturity level
Item a
Level
I n no vatio n
YES
Conclusion
Results/comment b
T here i s l i m ite d i n novatio n .
N ew p ro duc ts a nd s er vice s a re i ntro duce d wi th no
2
3
p l a n n i ng o f the i n novation p ro ce s s .
I n novation ac ti vi tie s a re b a s e d on d ata rel ati n g to the
ne e d s a nd e xp e c tation s o f i ntere s te d p a r tie s .
T he i n novation pro ce s s e s
for
new pro duc ts a nd
s er vice s a re ab le to identi fy ch a nge s i n e x ter n a l
a nd i nter n a l i s s ue s , i n o rder to p l a n i n novatio n s .
Ri s ks a s s o c i ate d with pl a n ne d i n novation s a re
considered.
T he orga n i z ation s up p or ts the i n no vatio n
4
i n iti ati ve s with the re s ou rce s ne e de d .
I n novation s a re p r ior iti z e d, with b a l a nce d co n s id
-
eration o f u rgenc y, ava i l ab i l ity o f re s ou rce s a nd the
orga n i z atio n’s s trate g y.
E x ter n a l p roviders a nd p a r tners a re i nvo l ve d i n
i n novation pro ce s s e s .
T he e ffe c ti vene s s a nd e ffic ienc y o f i n novation
pro ce s s e s a re a s s e s s e d re gu l a rl y a s a p a r t o f the
le a r n i ng p ro ce s s .
I n novation i s u s e d to i mp rove the way the
5
orga n i z ation op erate s .
I n novation ac ti vi tie s a ntic ip ate p o s s ib le ch a nge s i n
the conte x t o f the orga n i z ation .
P re venti ve p l a n s a re de velo p e d to avoid o r m i n i m i z e
the identi fie d ri s ks th at accomp a ny the i n novation
ac ti vi tie s .
I n novation i s ap p l ie d at a l l le vel s , th rou gh ch a nge s i n
te ch nolo g y, pro ce s s e s , o rga n i z atio n , the m a n agement
s ys tem a nd the orga n i z ation’s bu s i ne s s mo del .
a
I tem s outl i ne d i n le vel s 3 to 5 a re i ntende d to b e a pro gre s s ion o f tho ught th at i s b a s e d on the gu id a nce
provide d i n the ap p l ic ab le s ub cl au s e .
b
T h i s m ay i nclude re co gn i tion o f a s p e c ts where the orga n i z ation i s p a r ti a l l y me e ti n g a m atu r i ty le vel .
© ISO 2018 – All rights reserved
Provided by IHS Markit under license with ANSI
57
ISO 9004:2018(E)
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ISO 9004: 2 01 8(E)
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