9.0 Performance Evaluation

ISO Navigator Pro

ISO Navigator Pro™ is a free tool that provides practical, expert guidance for businesses wishing to interpret the fundamentals of ISO 9000:2015 to help understand, and better implement the requirements of ISO 9001:2015, ISO 14001:2015 and ISO 45001:2018. The ISO Navigator Pro™ database divides the requirements into four sequential stages; Plan, Do, Check and Act.

Our range of ISO 9001:2015 quality manuals and integrated manual templates cover the requirements of ISO 14001:2015 and OHSAS 18001:2007, and offer an easy way to implement and document your organization's quality management system or integrated management system.

9.3 Management Review

9.3.1 General

Top management must periodically review the management system to ensure its continuing suitability, adequacy, and effectiveness. The frequency or intervals of the Top management’s formal review must be defined. The management review must address the possible need for changes to policy, objectives, targets, and other elements of the management system. The management review process must ensure that the necessary information is collected ahead of time to allow management to effectively carry out this evaluation. Information that must be reviewed includes:

  1. Minutes from previous management reviews;
  2. The policies, objectives and targets;
  3. Results of management system and process audits;
  4. The extent to which objectives and the numeric targets were met.

Suitability and effectiveness of the management system based possible changing circumstances that may include:

  1. New or proposed legislation or regulations;
  2. Changing expectations/requirements of relevant interested parties;
  3. New or modified activities, products, or services;
  4. Advances in technology and science;
  5. Changing market preferences of buyers.

All management reviews must be documented. Observations, conclusions, and recommendations for further necessary action from the review must be recorded. If any corrective action must be taken, Top management should follow up to ensure that the action was effectively implemented.

The purpose and final outcome of the management review should be the continual improvement of the management system. As your organization’s QMS increases in its effectiveness and efficiency, your environmental performance will likewise increase. Here's what ISO 9001:2015 is really all about: defining a policy, creating a plan devising with relevant objectives. You then implement the system according to the plan. You then begin auditing, monitoring and measuring performance against the plan and reacting to your findings. Bi-annual management reviews are insufficient in frequency to be able react to any issues effectively.

Performance metrics should be monitored with varying frequencies, some hourly, some daily, some weekly and some monthly. Management cannot wait for six months to respond, if they do, it will be too late. Every time management convenes to review and react to performance, it is considered as a management review. Whether they are reviewing an individual's performance, departmental programmes and projects, etc., this should be considered as valid management review.

Some companies have multiple review levels, whereby, each review may require multiple subjects and rely upon multiple metrics as inputs. Sometimes subjects are reviewed at more than one level, e.g. production numbers might be reviewed by the Production teams during daily production meetings and then by senior management, possibly weekly.

Top management might conduct weekly meetings in which they review metrics and objectives to determine if any corrective action is required. The process owner is then responsible for reporting close out progress in the meeting a week later. Undertake management reviews in order to:

  1. Determine and evaluate management system performance;
  2. Determine the need for change and improvement;
  3. Determine the suitability of the policies and the objectives.

9.3.2 Inputs

This now includes additional requirements for your organization to have a structured management review process that includes discussion of internal and external issue changes, and its potential effect on the strategic direction of your organization. Your organization’s management review process must also include discussion of external provider’s, and other supplier’s performance. It must also include an assessment of risk management actions.

Auditors should expect to evidence the same outputs from management reviews as at present. However, they should note that the results of management reviews can now be held in any format that the organization chooses. The management review process should focus on the following inputs:

  1. Risks and opportunities (Clause 6.1);
  2. Possible changes that might affect the system (Clause 6.3);
  3. External provider and supplier’s performance (Clause 8.4);
  4. Customer satisfaction and perception (Clause 9.1.2);
  5. Audit results (Clause 9.2);
  6. Non-conformity and corrective actions (Clause 10.2).

9.3.3 Outputs

The management review process is comparable to ISO 9001:2008 Clause 5.6.3 – Management Review Outputs. You should seek and record evidence of outputs from the management review process, there should be evidence of decisions regarding:

  1. Process improvement actions;
  2. Management system improvement actions;
  3. Product and service improvement actions;
  4. Resource provision actions;
  5. Revised business plans and budgets;
  6. Revised objectives and KPIs;
  7. Amendments to policies;
  8. Management meeting minutes.

Management review meeting minutes should be retained as documented information.

More information on PDCA

ISO Navigator Pro™ Main menu Quality Management Principles (QMPs) ISO Navigator Main menu
 

Planning

4.1 Understanding Context 5.1 Leadership and Commitment 6.1 Address Risk and Opportunity
4.2 Interested Parties 5.2 Policies 6.2 System Objectives and Planning
4.3 Determining Scope 5.3 Roles, Responsibility and Authority 6.3 Planning for Change
4.4 Management System Processes    
 

Doing

7.1 Resources 8.1 Operational Planning and Control 8.6 Release of Products and Services
7.2 Competence 8.2 Requirements for Products and Services 8.7 Non-conforming Outputs
7.3 Awareness 8.3 Design & Development of Products and Services 8.8 Emergency Preparedness and Response
7.4 Communication 8.4 Control of Externally Provided Products and Services 8.9 Accident and Incident Investigation
7.5 Documented Information 8.5 Product and Service Provision  
 

Checking and acting

9.1 Monitor, Measure, Analyse and Evaluate 10.1 General
9.2 Internal Audit 10.2 Non-Conformity and Corrective Action
9.3 Management Review 10.3 Continual Improvement

Free internal audit checklists

Check out our free internal audit checklists. The audit checklist is just one of the many tools which are available from the auditor’s toolbox that help ensure your audits address the necessary requirements.

Client list

Over 8,000 companies and globally recognized brands have relied on our templates to provide a path to improve, collaborate, and to enhance their operations to achieve certification, please see our client list for more information.