Internal audit day 1

Abdelhamid Selim , MSc
Lead auditor ,Tutor & Consultant
➢ Area of Expertise
- ISO 9001:2015 (QMS)
- ISO 14001:2015 (EMS)
- ISO 45001:2018 (OHMS)
- ISO 17025:2017
- EFQM& RADAR Methodology
- Lean Six Sigma
- ISO Internal Audit
- Supplier Audit

By the end of the course the learner will be able to:
- Prepare audit programme and audit plan
- Design a check list for each clause
- State the nonconformity correctly
- Collect the audit objective evidence
- Write a complete audit report
Course Objectives

ACTIVITY
➢Introduce who you are ?
➢What is your knowledge of auditing
➢What is you expectation by the end of the
course?

5
Activity
Try to form a word or sentence easy to
memorize
S – R – T – C – L- P – S – O – P – I

ISO
• Is the international
organization for
standardization.
• Founded on 23 February
1947.
• It is headquartered
in Geneva, Switzerland, and
works in 164 countries.
• The aim of ISO is to
develop and issue the
international standards.

Standard
organizations
➢International standards
organizations (ISO,IEC……).
➢ Regional standards
organizations (European
Committee for
Standardization).
➢ National standards
bodies (EOS).
Standard
➢ documents that provide
requirements, specifications,
guidelines or characteristics
that can be used consistently
to ensure that materials,
products, processes and
services are fit for their
purpose.

ISO 9001 ISO 14001 ISO 45001
Quality
management systems
Requirements
Environmental
management systems
Requirements
Occupational health and
safety
management systems
Requirements
Overview Requirement

ISO 19011
ISO/TR
10013
ISO 31001
Guidelines for
auditing management
systems
Guidelines for quality
management system
documentation
Risk Management
Guidelines
Overview Guidelines

Quality Environment OH&S
➢Do the right things
right first time and
all the times
➢Surroundings in
which the
organization operate
including air, water,
land, natural
recourses, flora,
fauna, human and
their interrelations.
➢One of the sciences
that aims to protect
humans form the
workplace hazard and
occupational diseases
.
Overview Definitions

1 1987 2 1994
3 2000
4200852015
Overview
Evolution of ISO 9001 standards

1 1996 2 2004
3 2015
Overview
Evolution of ISO14001 standards

1 2018
Overview
Evolution of ISO45001 standards

All management system standards of the future will have the same high level
structure, identical core text, as well as common terms and definitions. Whilst
the high level structure cannot be changed, sub-clauses and discipline-specific
text can be added.
Why a new high-level structure?
Most of organization implement more than one management system standards.
Doing this individually takes up a lot of extra time and resources, so there is a
clear need to find a way of integrating and combining the standards in the best
possible way.
Overview
Annex SL

scope
Normative references
Terms and definitions
Context of organization
Leadership
Planning
Support
Operation
Performance
evaluation
Improvement
1
2
3
4
5
6
7
8
9
10
planDocheckAct
S
R
T
C
L
P
S
O
P
I

ISO 9001 ISO 14001 ISO 45001
0. Introduction
QMS
• Enhancing Customer
satisfaction .
• Continual improvement
Benefits of implementations IMS
EMS
• Protecting the
environment by
preventing
environmental impact.
• Fulfil the legal
requirement.
• Enhancing the
environmental
performance
• Prevent a work
related injuries and
ill health.
• Improve OH&S
performance.
• Fulfill the legal
requirements
OHMS

SCHEMATIC REPRESENTATION OF A SINGLE PROCESS WITHIN THE
SYSTEM
0. Introduction Process Approach

Process Activities
or
Tasks
INPUTS
• OHS Hazards
• Objectives
• Requirements
• Specifications
• Legal Requirements
Turtle Diagram image adapted from ‘Process Auditing and Techniques – JP Russell Quality Progress, June 2008
MATERIALS, EQUIPMENT, AND PHYSICAL
ENVIRONMENT (WHAT & WHERE)
• Defined & Approved
• Maintained & Tested
• Hierarchy of control applied
• Hardware / Software
METHODS (HOW)
• Risks Assessed
• Sequence Steps
• Documentation (Maintained)
• Documentation (Retained)
MEASURES (RESULTS)
• Defined & accurate
• Performance Trends
• Audits
• Corrective Action
PEOPLE (WHO)
• Competence
• Skills
• Knowledge
• Training
• Aptitude/ Ability
• Organisational culture
OUTPUTS
• Finished Goods or Services
• Results
• Data
• Unharmed workers
• Suitably/acceptably controlled
hazards
0. Introduction Process Approach

0. Introduction PDCA Cycle
- Plan: establish the objectives of the system and its
processes, and the resources needed to deliver results in
accordance with the requirement and the organization’s
policies, and identify and address risks and
opportunities;
- Do: implement what was planned;
ISO 9001 ISO 14001 ISO 45001

- Check: monitor and (where applicable) measure
processes and the resulting products and services
against policies, objectives, requirements and
planned activities, and report the results;
- Act: take actions to improve performance, as
necessary.
ISO 9001 ISO 14001 ISO 45001

Act
•How to
improve next
time?
Take actions to continually
improve process performance
–
effectiveness and efficiency
Plan
•What to do
•How to do it
Establish objectives
necessary to deliver
results in accordance
with customer
requirements
and the organisation's
policies
Check
•Did things
happen
according
to plan?
Monitor and measure
processes and product
against policies, objectives
and requirements
Do
•Do what was
planned Implement the
processes

PDCA CYCLE & ISO 9001
ACT
Organization
and its context
(4.1)
Needs and
expectations of
interested
parties (4.2)
Customer
requirements
Support &
Operation
(7, 8)
Performance
evaluation
(9)
Planning
(6)
Improvement
(10)
Leadership
(5)
PLAN DO
CHECK
Results of
the QMS
Quality Management System (4)
Customer
satisfaction
Products
and Services

The concept of risk-based thinking has been implicit in
previous editions of this International Standard including,
for example, carrying out preventive action to
➢ eliminate potential nonconformities,
➢analyzing any nonconformities that do occur,
ISO 9001 ISO 14001 ISO 45001
0. Introduction Risk Based thinking

➢ To conform to the requirements of this International Standard, an
organization needs to plan and implement actions to address risks and
opportunities.
➢ Addressing both risks and opportunities establishes a basis for
• increasing the effectiveness of the integrated management system,
• achieving improved results and preventing negative effects.
ISO 9001 ISO 14001 ISO 45001

➢ Opportunities : a set of circumstances that allow the
organization to attract customers, develop new products
and services, reduce waste or improve productivity.
➢ Risk : is the effect of uncertainty any uncertainty can
have positive or negative effects and positive deviation
can provide opportunity.
ISO 9001 ISO 14001 ISO 45001

ISO 9001 ISO 14001 ISO 45001
In these International Standards, the following verbal forms are used:
- “shall” indicates a requirement;
- “should” indicates a recommendation;
- “may” indicates a permission;
- “can” indicates a possibility or a capability.
0. Introduction

ISO 9001 ISO 14001 ISO 45001
1. Scope
This international standard
specifies the requirements
for QMS when the
organization:
- needs to demonstrate its ability
to consistently provide product or
service that meets customer and
applicable statutory and
regulatory requirements
- aims to enhance customer
satisfaction
-This international standard
for EMS that can use to
enhance environmental
performance.
-This international standard
for OHSMS to enable
organizations to provide a
safe and healthy workplaces
by preventing work-related
injury and ill health and
proactively improve OH&S
performance

ISO 9001 ISO 14001 ISO 45001
1. Normative reference
ISO 9000:2015, Quality
management systems -
Fundamentals and vocabulary
There are no normative
references.
There are no normative
references.

ISO 9001 ISO 14001 ISO 45001
3. Terms and definition
ISO 9000:2015, Quality
management systems -
Fundamentals and vocabulary
37 terms and definitions34 terms and definitions

ISO 9001 ISO 14001 ISO 45001
4.Context of the organization Understanding the organization and its context
➢ The organization shall determine external and internal issues that are
relevant to its purpose and that affect its ability to achieve the
intended outcomes.
External issues
Internal issues
PESTLE
5M&E

ISO 9001 ISO 14001 ISO 45001
➢ The organization shall monitor and review the information about these
external and internal issues.

ISO 9001
4.Context of the organization
Understanding the needs and expectations of
interested parties
The organization shall determine:
a) the interested parties that are relevant
to the QHSE management system;
b) the requirements of these interested
parties that are relevant to the QHSE
management system.
ISO 14001 ISO 45001

ISO 9001
Understanding the needs and expectations of
interested parties
The organization shall monitor and review the information about these
interested parties and their relevant requirements
ISO 14001 ISO 45001

ISO 9001 ISO 14001 ISO 45001
4.3 Determining the scope of the quality
management system
The organization shall determine the boundaries and applicability of QHSEMS
to establish its scope.
When determining this scope, the organization shall consider:
a) the external and internal issues referred to in 4.1;
b) the requirements of relevant interested parties referred to in 4.2;
c) the products and services of the organization.
The scope shall be maintained as a documented information

ISO 9001 ISO 14001 ISO 45001
4.Context of the organization QHSE management system and its process
The organization shall establish, implement, maintain and continually
improve a QHSE management system, including the processes needed and
their interactions, in accordance with the requirements of these
International Standard

ISO 9001
the organization and shall:
a) determine the inputs required and the outputs expected from these processes;
b) determine the sequence and interaction of these processes;
c) determine and apply the criteria and methods, (including monitoring,
measurements and related performance indicators) needed to ensure the
effective operation, and control of these processes;

ISO 9001
d) determine the resources needed and ensure their availability;
e) assign the responsibilities and authorities for these processes;
f) address the risks and opportunities in accordance with the requirements of 6.1,
g) evaluate these processes and implement any changes needed to ensure that
these processes achieve their intended results;
h) improve the processes and the quality management system

4.Context of the organization Process Mapping
ISO 9001
Process Mapping
➢ Flow Chart
➢ Spaghetti Diagram
➢ SIPOC
➢ Process input types

5. Leadership 5.1 Leadership and commitment
ISO 9001
Top management shall demonstrate leadership and commitment with respect to
the quality management system by:
a) taking accountability of the effectiveness of the QMS;
b) ensuring that the QHSE policy and QHSE objectives are established for the
QHEMS and are compatible with the strategic direction and the context of the
organization;
ISO 9001 ISO 14001 ISO 45001

ISO 9001
c) ensuring that the quality policy is communicated, understood and applied
within the organization;
d) ensuring the integration of the QMS requirements into the organization’s
business processes;
e) promoting the use of the process approach and risk-based thinking;
f) ensuring that the resources needed for the quality management system are
available;
ISO 9001 ISO 14001 ISO 45001

ISO 9001
g) communicating the importance of effective quality management and of
conforming to the QHSEMS,
h) engaging, directing and supporting persons to contribute to the
effectiveness of the QHSEMS
j) promoting continual improvement;
k) supporting other relevant management roles to demonstrate their
leadership as it applies to their areas of responsibility.
ISO 9001 ISO 14001 ISO 45001

5. Leadership 5.1.2 Customer focus
ISO 9001
Top management shall demonstrate leadership and commitment with respect to
customer focus by ensuring that:
a) customer requirements and applicable statutory and regulatory requirements
are determined, understood and consistently met;
b) the risks and opportunities that can affect conformity of products and services
c) the focus on enhancing customer satisfaction is maintained
ISO 9001

ISO 9001 ISO 14001 ISO 45001
5. Leadership 5.2 Policy
Top management shall establish, implement and maintain a QHSE policy that:
a) is appropriate to the purpose and context of the organization and supports its
strategic direction;
b) provides a framework for setting quality objectives;
c) includes a commitment to satisfy applicable requirements;
d) includes a commitment to continual improvement of the QHSEMS.

ISO 14001 ISO 45001
c) includes a commitment to the protection of the environment, including
prevention of pollution
d) includes a commitment to fulfil its compliance obligations;.
d) includes a commitment to eliminate hazards and reduce OH&S risks
f) includes a commitment to consultation and participation of workers, and,
where they exist, workers' representatives.

ISO 9001 ISO 14001 ISO 45001
The quality policy shall:
a) be available and be maintained as documented
information;
b) be communicated, understood and applied within the
organization;
c) be available to relevant interested parties, as appropriate.

5. Leadership 5.3 Organizational roles, responsibilities and authorities
ISO 9001 ISO 14001 ISO 45001
Top management should determine how to
communicate the relevant roles, responsibilities
and authorities. This could be through the use
of relevant documented information, e.g. job
descriptions, work instructions, duty
statements, organization charts, manuals,
procedures.

5. Leadership
5.4 Consultation and participation of
workers
ISO 45001
The organization shall establish, implement and maintain a process(es] for
consultation and participation of workers at all applicable levels and functions,
The organization shall:
➢ provide mechanisms, time, training and resources necessary for
consultation and participation;
➢ determine and remove obstacles or barriers to participation and minimize
those that cannot be removed;
➢ emphasize the participation and consultation of non-managerial workers

ISO 9001
6. Planning 6.1 Actions to address risks and opportunities
.
6.1.1 When planning for the QHSE management system, the organization shall
consider the issues referred to in 4.1 and the requirements referred to in 4.2 and
determine the risks and opportunities that need to be addressed to:
a) give assurance that the QHSE management system can achieve its intended
result(s);
b) prevent, or reduce, undesired effects;
c) achieve continual improvement.
ISO 14001 ISO 45001

ISO 9001
6. Planning 6.1 Actions to address risks and opportunities
.
The actions that an organization can take to address risks will depend on the
nature of the risk, for example:
a) avoiding the risk, by no longer performing the process where the risk can be
encountered;
b) eliminating the risk, for example, by using documented procedures to assist
persons in the organization with less experience;
ISO 14001 ISO 45001

6. Planning
6.1.2 Hazard identification and assessment of
risks and opportunities
.
Is a one of the sciences that aim to protecting the employees from
occupational diseases and injuries
Occupational health an safety
The reasons of occupational diseases and injuries
The workplace hazards
Hazard
Source ,situation ,or act with a potential for harm in terms of human injury
or ill health
Combination of the likelihood of occurrence of a hazardous event or
exposure and the severity of injury or ill health that can be caused by the
event or exposure
Risk

6. Planning
6.1.2 Hazard identification and assessment of
risks and opportunities
Hazard identification
Risk assessment
Process of recognizing that a hazard exists and
defining its characteristics
Process of evaluating the risks arising from a hazards
taking into account the adequacy of any existing
control and deciding whether or not the risk is
acceptable

6. Planning 6.1.2 Environmental aspects
Actions,
risk and
opportunity
Significant
or non
significant
Impact and
aspect
evaluation
Environmen
tal impact
Environmen
tal aspect
Life cycle
perspective

Life cycle perspective

When determining its environmental aspects, the organization can consider:
a) emissions to air;
b) releases to water;
c) releases to land;
d) use of raw materials and natural resources;
e) use of energy;
f) energy emitted (e.g. heat, radiation, vibration (noise), light);
g) generation of waste and/or by-products;
h) use of space.

Environmental impact
Air pollution Water pollution Land pollution Natural depletion

Method for determining significant environmental aspects
Criteria can relate to
➢ the environmental aspect (e.g. type, size ,frequency)
➢ the environmental impact (e.g. scale, severity, duration, exposure).
➢ Other criteria may also be used (e.g. legal requirements or interested
party concerns).
The overall evaluation
➢ Significant environmental aspect
➢ Nonsignificant environmental aspect

A significant environmental aspect
➢ can result in one or more significant environmental impacts,
➢ can result in risks and opportunities that need to be addressed to ensure the
organization can achieve the intended outcomes of its environmental
management system.

6. Planning 6.1.3 Compliance obligations
ISO 14001 ISO 45001
The organization shall establish, implement and maintain a process(es) to:
a) determine and have access to up-to-date legal requirements and other
requirements identified in 4.2 that are applicable to its environmental aspects,
hazards, OH&S risks and OH&S management system;
b) determine how these legal requirements and other requirements apply to the
organization and what needs to be communicated;

6. Planning 6.1.3 Compliance obligations
ISO 14001 ISO 45001
c) take these legal requirements and other requirements into account when
establishing, implementing, maintaining and continually improving its OH&S
management system
➢ Legal requirements and other requirements can result in risks and
opportunities for the organization.

6. Planning 6.2 QHSE objectives
ISO 14001 ISO 45001ISO 9001
The organization shall establish objectives at relevant functions and levels.
objectives shall be:
a) consistent with the QHSE policy;
b) measurable (if practicable);
c) monitored;
d) communicated;
e) updated as appropriate.

ISO 14001 ISO 45001ISO 9001
f) be relevant to conformity of products and services and the enhancement of
customer satisfaction.
g) take into account:
1] applicable requirements;
2] the results of the assessment of risks and opportunities；
3) the results of consultation with workers and workers’ representatives;
4) the organization’s significant environmental aspects and associated
compliance obligations.

ISO 14001 ISO 45001ISO 9001
When planning how to achieve its quality objectives, the organization shall
determine:
a) what will be done;
b) what resources will be required;
c) who will be responsible;
d) when it will be completed;
e) how the results will be evaluated

6. Planning 6.3 Planning of changes
ISO 9001
Where the organization determines the need for change to the quality
management system the change shall be carried out in a planned manner.
The organization shall consider:
a) the purpose of the change and any of its potential consequences;
b) the integrity of the quality management system;
c) the availability of resources;
d) the allocation or reallocation of responsibilities and authorities

7 Support
ISO 14001 ISO 45001ISO 9001
7.1 Resources
7.1.2 People
7.1.3 Infrastructure
7.1.4 Environment for the operation of processes
7.1.5 Monitoring and measuring resources
7.1.6 Organizational knowledge

7 Support 7.2 Competence
ISO 14001 ISO 45001ISO 9001
➢ The organization shall determine the necessary competence of person(s) doing
work under its control that affects its QHSE MS and its ability to fulfil its
compliance obligations;
➢ The competence of persons can be based on their education, training, and
experience.
➢ The organization shall take actions (providing training) to acquire and maintain
the necessary competence, and evaluate the effectiveness of the actions taken

7 Support 7.3 Awareness
ISO 14001 ISO 45001ISO 9001
Workers shall be made aware of:
➢ the QHSE policy and objectives
➢ the significant environmental aspects and related actual or potential
environmental impacts associated with their work;
➢ hazards, OH&S risks and actions determined that are relevant to them;
➢ incidents and the outcomes of investigations that are relevant to them;
➢ their contribution to the effectiveness of the QHSE management system

7 Support 7.3 Awareness
ISO 14001 ISO 45001ISO 9001
➢ the implications of not conforming with the QHSE management system
requirements, including not fulfilling the organization’s compliance
obligations.
➢ ability to remove themselves from work situations that they consider present
an imminent and serious danger to their life or health, as well as the
arrangements for protecting them from undue consequences for doing so.

7 Support 7.4 Communication
ISO 14001 ISO 45001ISO 9001
The organization shall determine the internal and external communications
relevant to the quality management system including:
a) on what it will communicate;
b) when to communicate;
c) with whom to communicate;
d) how to communicate.
e) who communicates

- Divide the group in two teams and use a piece
of paper and oral to deliver information.
- Discuss the result.
ACTIVITY

7 Support 7.5 Documented information
ISO 14001 ISO 45001ISO 9001
The organization’s quality management system shall include
a) documented information required by this International Standard;
b) documented information determined by the organization as being necessary
for the effectiveness of the quality management system.
➢ Maintain a documented information
➢ Retain

ISO 14001 ISO 45001ISO 9001
The extent of documented information for a quality management system can
differ from one organization to another due to:
a) the size of organization and its type of activities, processes, products and
services;
b) the complexity of processes and their interactions;
c) the competence of persons.

ISO 14001 ISO 45001ISO 9001
7.5.2 Creating and updating
When creating and updating documented information, the organization shall
ensure appropriate:
a) identification and description (e.g. a title, date, author, or reference number);
b) format (e.g. language, software version, graphics) and media (e.g. paper,
electronic);
c) review and approval for suitability and adequacy.

ISO 14001 ISO 45001ISO 9001
7.5.3 Control of documented information
Documented information shall be controlled to ensure
➢ it is available and suitable for use, where and when it is needed;
➢ it is adequately protected (e.g. from loss of confidentiality, improper use or
loss of integrity].

- Divide the group in 4 teams and make a boat .
- Discuss the result.
ACTIVITY

ISO 9001
8. Operation 8.1Operational planning and control
➢ The organization shall plan implement and control that are necessary for it’s
production and service provision including any external providing process.
➢ The organization needs to provide the required resources.
➢ The organization shall establish a criteria for process and acceptance of
product and service.
➢ Effective controls are needed to confirm the criteria are meet and the
indented out put are delivered.

ISO 9001
8. Operation 8.2Requirement for product and service
8.2.1 Customer communication
The organization shall communicate details of
product and service to the customer to understand
what is being offered.
Make a clear how the customer can contact the
organization to order product or ask question.

ISO 9001
8. Operation 8.2 Requirement for product and service
8.2.2 Determining the requirement for product and service
The organization shall determine
customer requirement.
Legal requirement.
Organization requirement.

ISO 9001
8. Operation 8.2 Requirement for product and service
8.2.3 Review the requirement for the product and service
➢ The organization shall ensure that it has the ability to meet the requirements
for products and services to be offered to customers.
➢ The organization shall conduct a review before committing to supply products
and services to a customer.
➢ Incase of any changes the organization shall be insure that the relevant
persons are aware.

ISO 9001
8. Operation
8.4 Control of externally provided products
and services
The organization shall ensure that externally provided processes, products, and
services conform to requirements.
The organization shall determine and apply criteria for the evaluation,
selection, monitoring of performance, and re-evaluation of external providers,
based on their ability to provide processes or products and services in
accordance with requirements.

ISO 9001
8. Operation
and services
Type and extent of control
The organization shall ensure that externally provided processes remain within
the control of it’s quality management system.

ISO 9001
8. Operation
and services
The organization shall communicate to external providers its requirements for:
a) the process, products and services to be provided;
b) approval of products and services, methods, processes and equipment, and
the release of products and services;
c) competence, including any required qualification of persons;
d) the external providers’ interactions with the organization;

ISO 9001
8. Operation 8.5 Production and service provision
8.5.1 Control of production and service provision
Controlled conditions shall include, as applicable:
a) the availability of documented information
b) the availability and use of suitable monitoring and measuring resources
c) the use of suitable infrastructure and environment for the operation of processes;
d) the implementation of actions to prevent human error;
e) the implementation of release, delivery and post-delivery activities.

ISO 9001
8.5.3 Property belonging to customers or external providers
➢ Customer property can include material, components, tools and
equipment, customer premises, intellectual property and personal data.
➢ The organization shall exercise care with property belonging to the
customer or external providers while it is under the organization's control
or being used by the organization.

ISO 9001
8.5.4 Preservation
The organization shall preserve the outputs during production and service
provision, to the extent necessary to maintain conformity to requirements.

ISO 9001
8.5.5 Post-delivery activities
Post-delivery activities can include actions under warranty provisions,
contractual obligations such as maintenance services, and supplementary
services such as recycling or final disposal

ISO 9001
8.5.6 Control of changes
The organization shall review and control
changes for production or service provision to
the extent necessary to ensure continuing
conformity with requirements.

ISO 9001
8. Operation 8.6 Release of products and services
➢ The organization shall implement the planned
arrangements at appropriate stages to verify that
product and service requirements have been met.
➢ The release of products and services to the customer
shall not proceed until the planned arrangements have
been satisfactorily completed

ISO 9001
8. Operation 8.7 Control of nonconforming outputs
➢ The organization shall ensure that outputs, that not conform to requirements
are identified and controlled to prevent their unintended use or delivery.
➢ The organization shall take appropriate corrective action based on the nature
of the nonconformity and its effect on the conformity of products and
services. This applies also apply to nonconforming products and services
detected after delivery of the product, during or after the provision of the
service

8. Operation Operational planning and control
➢ The type and extent of operational control(s) depend on the nature of the
operations, the risks and opportunities, significant environmental aspects and
compliance obligations.
➢ An organization has the flexibility to select the type of operational control
methods, individually or in combination, that are necessary to make sure the
process(es) is (are) effective
➢ Controls can include engineering controls ,elimination, substitution,
administrative).
ISO 14001

8. Operation 8.1.2 Eliminating hazards and reducing OH&S risks
➢ The elimination of hazards and reduction of OH&S risks using the
following hierarchy of controls:
➢ a)eliminate the hazard;
➢ b) substitute with less hazardous processes , materials or equipment;
➢ c) use engineering controls and reorganization of work;
➢ D) use administrative controls, including training;
➢ e) use adequate personal protective equipment.
ISO 45001

8. Operation
➢ 8.1.3 Management of change
➢ The organization shall establish a process(es) for the implementation and
control of planned temporary and permanent changes that impact OH&S
performance, including:
a) new products, services and processes, or changes to existing products,
services.
b)changes to legal requirements and other requirements;
c] changes in knowledge or information about hazards and OH&S risks;
ISO 45001

8. Operation
8.1.4 Procurement
8.1.4.2 Contractors
The organization shall coordinate its procurement process(es] with its
contractors, in order to identify hazards and to assess and control the OH&S
risks) arising from
a) the contractors' activities that impact the organization;
b) the organization's activities that impact the contractors’ workers;
ISO 45001

8. Operation 8.2 Emergency preparedness and response
➢ The organization shall establish, implement and maintain the process(es)
needed to prepare for and respond to potential emergency situations
identified in clause 6.., including:
➢ a) establishing a planned response to emergency situations, including the
provision of first aid;
➢ b)providing training for the planned response;
ISO 14001 ISO 45001

➢ c) periodically testing and exercising the planned response capability;
➢ d)evaluating performance and, as necessary revising the planned response,
including after testing and, in particular, after the occurrence of emergency
situations;
➢ e) communicating and providing relevant information to all workers on their
duties and responsibilities;
ISO 14001 ISO 45001

➢ f) communicating relevant information to contractors, visitors, emergency
response services, government authorities and, as appropriate, the local
community;
➢ g) taking into account the needs and capabilities of all relevant interested
parties and ensuring their involvement, as appropriate, in the development of
the planned response.
ISO 14001 ISO 45001

8. Performance Evaluation 9.1 Monitoring, measurement, analysis and evaluation
The organization shall determine:
a)what needs to be monitored and measured;
b) the methods for monitoring, measurement, analysis and evaluation, as
applicable, to ensure valid results;
c) the criteria against which the organization will evaluate its QHSE
performance and appropriate indicators;
ISO 14001 ISO 45001ISO 9001

d) when the monitoring and measuring shall be performed;
e) when the results from monitoring and measurement shall be analyzed and
evaluated.
The organization shall ensure that calibrated or verified monitoring and
measurement equipment is used and maintained, as appropriate.
ISO 14001 ISO 45001ISO 9001

9.1.2 Customer satisfaction
The organization shall monitor customers’ perceptions of the degree to which
their needs and expectations have been fulfilled.
Examples of monitoring customer perceptions
- customer surveys,
- Customer feedback on delivered products and services,
- meetings with customers,
- market-share analysis, compliments,
- warranty claims
ISO 9001

8. Performance Evaluation 9.1.2 Evaluation of compliance
The organization shall establish, implement and maintain the process(es)
needed to evaluate fulfilment of its compliance obligations.
The organization shall:
a) determine the frequency and method[s) for the evaluation of compliance;
b)evaluate compliance and take action if needed 〔see 10.2）；
c] maintain knowledge and understanding of its compliance status with legal
requirements and other requirements;
ISO 14001 ISO 45001

8. Performance Evaluation 9.1.3 analysis and evaluation
The organization shall analyze and evaluate appropriate data and information
arising from monitoring and measurement.
The output of analysis and evaluation shall be used to evaluate:
a) conformity of products and services;
b) the degree of customer satisfaction;
c) the performance and effectiveness of the quality management system;
ISO 9001

8. Performance Evaluation 9.1.3 analysis and evaluation
d) If planning has been implemented effectively;
e) the effectiveness of actions taken to address risks and opportunities;
f) assess the performance of external provider(s);
g) the need for improvements to the quality management system.
ISO 9001

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