Quality Policy, Objectives & Indicators

Quality Policy, Objectives &
Indicators
ISO 9001:2015 Guidance
Quality Policy, Objectives & Indicators
Table of Contents
Introduction _____________________________________________________________________________________________________ 2
Foreword _______________________________________________________________________________________________________ 2
General Approach ______________________________________________________________________________________________ 2
Quality Policy ____________________________________________________________________________________________________ 3
Align the Quality Policy with Strategy _________________________________________________________________________ 3
Establish the Quality Policy ____________________________________________________________________________________ 4
Communicate the Quality Policy _______________________________________________________________________________ 4
Implementation Checklist ______________________________________________________________________________________ 5
Quality Objectives _______________________________________________________________________________________________ 7
Develop the Quality Objectives ________________________________________________________________________________ 7
Establish Quality Objectives ____________________________________________________________________________________ 8
Communicate the Quality Objectives __________________________________________________________________________ 8
Achieve the Quality Objectives ________________________________________________________________________________ 9
Implementation Checklist _____________________________________________________________________________________ 10
Performance Indicators _______________________________________________________________________________________ 12
Establish Indicators & Targets ________________________________________________________________________________ 12
Link Indicators & Targets to Objectives _______________________________________________________________________ 12
Implementation Checklist _____________________________________________________________________________________ 13
Table of Figures
Figure 1: Business Planning & Strategic Direction PDCA Model _________________________________________________ 2
Figure 2: Goal-orientated Framework ____________________________________________________________________________ 3
Figure 3: Quality Policy Implementation Checklist _______________________________________________________________ 5
Figure 5: Quality Objectives Implementation Checklist _________________________________________________________ 11
Figure 4: Linking Objectives to KPIs & Targets __________________________________________________________________ 13
Figure 6: Performance Indicators Implementation Checklist ____________________________________________________ 14
www.iso-9001-checklist.co.uk © 2018 Page 1 of 14

Introduction
Foreword
Your organization’s Top management is responsible for implementing and developing the quality policy,
quality objectives, and customer focused project-specific plans. The governance structure should provide
support for creating and establishing appropriate processes that are important for maintaining the quality
objectives and policies.
This document does not intend to add to, subtract from; or in any way modify the stated requirements of ISO
9001:2015, but to provide practical examples and a greater understanding of the general requirements that
relate to your organization’s quality policy, objectives, and management review processes.
General Approach
We suggest that you use the familiar Plan-Do-Check-Act (PDCA) methodology to manage a risk-based
approach to developing your organization’s quality policy and quality objectives. Using an approach that ring-
fences processes into ‘risk themes’ or groups such as ‘business planning and strategic direction’, you can see
how the PDCA cycle facilitates the development and evolution of any organization’s quality policy and quality
objectives.
Figure 1: Business Planning & Strategic Direction PDCA Model
Stage ISO 9001:2015 Clause Activity
Has your organization identified internal and external issues that are relevant to
4.1
and/or support its strategic direction?
Has your organization identified interested parties and their requirements that are
Plan
relevant to and/or support its operational direction? (Operational direction,
4.2 although not expressed in ISO 9001:2015, is used as a general term meaning ‘an
organization’s ability to consistently provide products and services that meet
customer and applicable statutory and regulatory requirements’.
Is the strategic direction being utilized as an input to the QMS and its policies and
Do 5.2.1
objectives, risk management and management review processes?
Is the QMS assessed and reviewed in accordance with the strategic direction, the
Check 4.1, 4.2, 5.1.1, 9.3.2
policy and objectives?
Are the QMS, policy and objectives updated as necessary in response to changes in
Act 10.3
any of the above?

Quality Policy
Align the Quality Policy with Strategy
ISO 9001:2015 now requires your organization’s quality policy and resulting objectives to be appropriate to
your organization’s strategic direction and operational direction (context). This means that once your
organization has determined its context and the relevant requirements of its interested parties, Top
management must review the quality policy and objectives, in light of this new information, to ensure
continued relevance.
Your organization will need to understand and identify all the influences that affect its business and ensure
that the strategy and direction takes this into consideration. Your organization will need to review its current
quality policy as necessary to ensure that any changes in context, interested parties or their requirements is
reflected in the policy, and to determine whether your organization’s objectives are affected (Refer to ISO
9001:2015 - 6.2.1a).
The goal-oriented framework depicted in Figure 2 below demonstrates how goals established at the uppermost
levels of your organization directly influence the quality policy and objectives which then flow down through
the quality management system to influence functional objectives and targets.
Figure 2: Goal-orientated Framework
The overall strategic aspirations of your organization must be reflected in the quality policy and the quality
objectives. The quality policy should be stated in such a way that it aims toward continual improvement. It
should be reviewed and possibly revised to meet higher aspirations. Appropriateness of the quality policy to
the ‘purpose of the organization’ can be demonstrated by having a statement in the policy that mirrors your
organization's ‘mission’ statement.

Appropriateness to the ‘context of your organization’ can be demonstrated by including statements that
relate to internal issues (e.g. employees needs and expectations, governance, culture, values, management,
etc.) and external issues (e.g. customer needs and expectations, market demand, legal requirements,
relationship management, social, technological, etc.).
Establish the Quality Policy

When establishing a quality management system, there are basic questions that can be asked of every process
in order to determine its effectiveness. In respect of any organization’s quality policy and objectives, these
questions are equally useful to determine the approach taken when establishing them to ensure their relevance
to the organization’s strategic aspirations:
1. Is the process of defining organizational strategy and polices appropriately determined?

2. Are the related process inputs, outputs, resources and controls appropriately defined?
3. Are process owners’ responsibilities assigned?
4. Have associated risks and opportunities been determined and discussed?
5. Do you have a clear quality policy that considers interested parties?
6. Is the process implemented, maintained and communicated?
7. Is the process effective in achieving the desired results?
8. Are the quality policy and objectives maintained as documented information?
Your organization will need to review the QMS policies as necessary to ensure that any changes in context,
interested parties or their requirements is reflected in the policies and whether your organization’s objectives
are affected (Refer to ISO 9001:2015 - 6.2.1a).
The quality policy does not have to include stated objectives but instead should create a framework to establish
the objectives. The policies should be stated in such a way that it aims toward continual improvement. It should
be reviewed and possibly revised to meet higher aspirations. A clear link also exists between the aspects of
regularly reviewing and revising the quality policy and quality objectives, and the level of commitment your
organization has towards achieving improvement. The things that you should consider include:
1. The appropriateness and alignment to the context of the organization (Refer to ISO 9001:2015 - 4.1),
e.g. purpose, strategic direction, mission, vision, ethical principles, business reputation, core values,
business/functional policies, codes of conduct etc.;
2. The establishment of a framework for setting quality objectives (Refer to ISO 9001:2015 - 6.2), e.g.
business planning, core themes, strategic enablers, Key Performance Indicators (KPIs), milestones,
resources;
3. A commitment to satisfy applicable internal/external requirements e.g. industry, business, customer,
statutory, regulatory and other interested parties (Refer to ISO 9001:2015 - 4.2);
4. A commitment towards continuous improvement of the QMS e.g. business performance, process
maturity, process effectiveness, customer expectations, investment or organizational growth;
5. Top management’s provision for establishing, implementing and maintaining the quality policy
(Refer to ISO 9001:2015 - 5.2.2).
Certification does not require that the quality policy include the words ‘continual improvement’; however, it
must be ascertained that processes of continual improvement are implied and known about throughout the

organization. To meet the intent of the requirements, an auditor would be looking to see a clearly defined
quality policy that is sufficiently detailed to provide a framework for the subsequent quality objectives that can
be monitored for continual improvement.
Communicate the Quality Policy

Things you should consider include arrangements for communicating the quality policy within and outside of
your organization, including:
1. Its availability across your organization and methods used to deploy e.g. hard copies displayed in
prominent places, electronic copies via intranet/internet sites, identification and distribution to
relevant interested parties;
2. Levels of awareness, understanding and application across your organization (Refer to ISO 9001:2015
- 7.3 and 7.4) e.g. communication methods (meetings, briefs, e-mail, websites), responding to
feedback, providing interpretation, translation into other languages (as required), timing and
frequency;
3. Maintaining documented information to demonstrate that the quality policy is controlled, reviewed
periodically for continuing suitability, updated as required and subject to further communication
accordingly e.g. ownership, review, validity, applicability, distribution, feedback.
Implementation Checklist
The audit of QMS performance and effectiveness should include a review of the organization’s internal
performance against current quality objectives and targets; including any current continual improvement
activities and associated correction action and management review records. The quality policy and its effective
deployment can be assessed by the overall results of an audit. Audit methods should include:
1. Interviewing Top management to understand their approach and commitment to quality;

2. Evaluating, through the records of management review, the commitment and involvement of Top
management in the establishment, implementation, monitoring and updating of the quality policy;
3. Assessing whether Top management has translated the quality policy into understandable guidelines
at all levels of your organization, with objectives for each applicable process, function and level;
4. Conducting interviews with persons to verify if they have the required awareness, understanding and
knowledge of the way your organization’s quality policy relates to their own activity;
5. Collecting evidence of effective dissemination of the quality policy by appropriate communication.
Appropriate conclusion of effective dissemination and understanding of the quality policy can only be attained
at the end of the audit, after evaluating the audit results.
Figure 3: Quality Policy Implementation Checklist
Ref. Quality Policy Requirements Yes/No Evidence /Documents
Does Top management establish, review and maintain a

quality policy?
Is it determined to be appropriate to the purpose and

5.2.1
context of the organization?
Does it provide a framework for setting and reviewing

quality objectives?

Ref. Quality Policy Requirements Yes/No Evidence /Documents

Does it contain a commitment to satisfy applicable
requirements?
Does it include a commitment to continual

improvement of the QMS?
Is the quality policy available as documented

information?
Is it communicated (how)?
5.2.2
Is the quality policy understood and applied within the
organization?
Is the quality policy available to relevant interested

parties?

Quality Objectives
Develop the Quality Objectives
Your organization’s quality objectives should reflect what your organization does, how well it is performing,
and what it wants to achieve. When establishing the QMS and planning for change, ensure that risks to
achieving process’s objectives been identified and that the quality objectives are suitably cascaded throughout
your organization. This helps to link the general strategic objectives to management objectives and down to
specific operational activities.
Quality objectives help to translate organizational purpose (e.g. context and policy) into actionable elements
that can be managed and monitored. The objectives and resulting targets should be factored into your strategic
planning in order to facilitate the integration of the quality management with your organization’s other
business processes.
Setting objectives and targets should involve people from the relevant functional area(s). These people are well
positioned to help establish, plan for, and achieve these targets. The involvement of people helps to build
commitment and demonstrates positive leadership.
1. Get Top management buy-into the quality objectives. This ensures that adequate resources are
applied and that the objectives are integrated with other organizational goals;
2. In communicating objectives to employees, try to link the objectives to the actual quality
improvements being sought, e.g. reducing non-conformances and closing out corrective actions, as
this will give people something tangible to work towards;
3. The quality objectives must be consistent with the overall mission/plan and the key commitments
established by your policy;
4. Be flexible with your objectives, define the desired result, then let the people responsible determine
how to achieve the result;
5. Objectives can be established to maintain current levels of performance, or to improve performance;
6. Communicate your progress in achieving objectives and targets across the organization. Consider
regular reports on this progress at staff meetings;
7. How many objectives and targets should an organization have? Various QMS implementation
projects for small and medium-sized organizations indicate that it is best to start with a limited
number of objectives (say, three to five) and then expand the list over time;
8. Keep your quality objectives simple initially, gain some early successes, and then build on them;
9. Keep in mind that your suppliers (of services or materials) can help you in meeting your objectives
and targets (e.g., on-time-delivery).
Ensure that your organization has identified both internal and external issues, and interested parties that are
relevant and which support the strategic direction of your organization. The strategic direction must be utilized
as an input to the quality policy, quality objectives, risk management, monitoring and measurement, and
management review processes. The differences between strategy, quality policy, quality objectives, KPIs and
targets are defined below:
1. Strategy – Refer to ISO 9001:2015 - 4.1 & 4.2. What is the purpose of your business? What are you
trying to achieve? Typically, a one-line statement may be all that is required. It typically reflects the
comments made in the Quality Policy

2. Quality Policy – Refer to ISO 9001:2015 - 5.2. This should be a brief statement the shows a
commitment by your Top management to the quality management system. It should also describe
the commitment to continuous improvement of the effectiveness of your system as well. A mention
about establishing and reviewing objectives relevant to your business needs would also be required.
You want to state that the success of your system involves the participation of all employees.
3. Quality Objectives – Refer to ISO 9001:2015 - 6.2. Set by the Top management in your company,
these need to be 'SMART' goals, i.e. Specific, Measurable, Accountable, Realistic and Time-based.
What is it that you are trying to achieve through your processes?
4. Indicators/ KPIs – Refer to ISO 9001:2015 - 4.4.1c. These compliment your objectives. By way of
policy deployment, the objectives reflect the quality policy and the targets reflect the objectives.
Indicators or KPIs represent the current status of each goal or target; or the status of operations,
management or other conditions.
5. Goals/Targets - generally come from the objectives set. That is, ‘what do I have to do to achieve my
goals’? Set minor goals or targets along the way to ensure you stay on track in reaching each goal on
the way to meeting business objectives
Establish Quality Objectives

A key addition in the 2015 revision of ISO 9001 is the use of indicators to monitor the achievement of objectives.
Indicators or KPIs are defined as a measurable representation of the status of operations, management or
conditions. Each objective will need one or more associated KPI and target, refer to Figure 5 for an example.
1. The quality objectives take the goal(s) stated in the quality policy and turn these into statements for
improvement against which plans can be made and targets assigned;
2. Quality objectives may be established to measure the performance of products, processes, customer
satisfaction, suppliers, use of resources, and the overall performance and effectiveness of the QMS;
3. If you state in your policy that you will “meet customer requirements”, then you might set customer
focused objectives for: product defects, customer complaints and returns, on-time delivery, etc.
Objectives must be specific and measurable in order to give clear direction as to what is required and the
expected outcome, often referred to as SMART (Specific, Measurable, Attainable, Realistic and Time-based)
objectives. Below are suggestions for categories of objectives:
1. Product: reduction in defect rates, PPM, scrap rates, on-time delivery;

2. Process: improving productivity, reduction of waste, set-up times or rework, improved cycle times;
3. Customer: product returns, reduction in complaints, improvement in customer satisfaction scores,
improved on-time delivery;
4. Suppliers: reduction of complaints or defects, improved on-time delivery;
5. Resources: availability, capability, personnel, competency, efficiency, absenteeism.
Communicate the Quality Objectives

Certification auditors will expect to see some kind of documented plan or road-map for meeting the objectives.
The Auditors will also determine whether the policies meet the intent, and are understood; by interviewing
personnel at all levels.

Although the exact content of the policies does not need to be recited by interviewees, the awareness of the
policies and how their job affects the company objectives should be determined. This does not require your
employees to memorize the policies but it does mean they should be aware of it, know where it may be found
and be able to paraphrase, or give an interpretation as it applies to them.
If the personnel interviewed do not know what their measurable objectives are and/or do not know what the
organizational objectives are that they have a direct effect upon, the auditor would be further directed to
evaluate Top management’s communication of the policies and objectives.
Inferred awareness through knowledge of procedures is not considered sufficient; otherwise why have the
requirement in the first place? A quick and convenient way to promote and communicate the quality policy
might be to create a shortened version of main policy; try condensing it to five key words or even a couple of
short sentences. This can be posted on bulletin boards in each department.
You could even add it to the reverse side of staff security passes or ID badges. If an auditor asks an employee
whether they are aware of the quality policy; they can point to the bulletin board, or point to it on their badge.
The employee can further elaborate to the auditor, what the policy means to them and how it influences their
work.
Achieve the Quality Objectives

Getting the different parts of your organization to understand how they contribute to meeting the new target
is important - so all process owners who impact the objective should know what their role is and what they
need to do and by when. For example:
1. For On-Time-Delivery to customers, the Purchasing team might have an action item to renegotiate
delivery schedules;
2. The Maintenance team might have an action item to implement an improved maintenance schedule
to address excessive equipment downtime;
3. Operations might have an action to complete cross-training of employees to prevent work
stoppages when key employees are on leave.
Maintain documented information to demonstrate that the quality objectives are:
1. Consistent with the quality policy (Refer to ISO 9001:2015 - 5.2.1) to ensure that they underpin the
strategic direction of the organization, support the needs and expectations of interested parties and
enhance customer satisfaction;
2. Aligned to applicable requirements e.g. those defined by the organization, customer or regulator and
relevant to the conformity of products and services;
3. Monitored using suitable means to ensure that the objectives are being met e.g. Business Plan
Deployment (BPD) charts, dash boards, matrices, reports, progress charts, traffic light charts,
management review, etc.;
4. Communicated at the relevant levels within your organization to ensure that teams and individuals
are aware of their importance and contribution;
5. Updated accordingly to demonstrate progress and to take account of changing circumstances that
could result in new, expanded, amended, cancelled objectives etc.

Plan to achieve established quality objectives including the determination of:
1. What will be done e.g. clearly established objectives across your organization at various levels
(functional, processes, departments, teams, individuals) that are measurable. (Refer to ISO 9001:2015
- 6.2.1)
2. The resources required to deliver the objectives e.g. number and competency of people, adequate
infrastructure, suitable working environment, organizational knowledge, investment, budgets,
external provision;
3. Responsibility for achieving objectives at the various levels within your organization e.g. top
management, functional leadership, department leadership, process owners, teams, individuals;
4. Timescales for achieving objectives e.g. stepped achievement (weekly, monthly, quarterly), specific
milestones (defined dates or periods), annual achievement;
The methods used to evaluate the achievement of objectives might include; periodic comparison of
performance against established targets or expectations during management review, functional reviews,
process reviews, departmental reviews, personal development reviews (appraisals), team meetings.
Any internal audit of your organization’s QMS should include a review of current internal performance against
current quality objectives, KPIs and targets; including any current continual improvement activities and
associated corrective action or management review records. Verify that your organization’s overall quality
objectives:
1. Have been defined;

2. Reflect the quality policy;
3. Have been translated into goals and indicators;
4. Are substantially coherent;
5. Are aligned and compatible with the organization’s context and strategic direction;
6. Are aligned with its overall business objectives, including customer expectations.
If this is not the case, you should evaluate Top management’s commitment to quality. The quality objectives
are must be measurable and verifiable, but not necessarily quantified. Qualitative results may also be relevant,
e.g. a ‘yes or no’ answer regarding the achievement of quality objectives is acceptable, providing it can be
supported by evidence.
There is no specified way of identifying or documenting quality objectives, as these may be present in business
plans, management review outputs, annual budgets, etc. Internal auditors should satisfy themselves that the
objectives are adequately documented.
You should obtain evidence of the way the quality objectives are suitably cascaded throughout your
organization’s structure and processes, linking the general strategic objectives to management objectives and
down to specific operational activities.
You should also satisfy yourself that the quality objectives are realistic and relevant, and that your organization
has assigned, to responsible people, the resources needed to meet their objectives. Evidence of this should be
obtained throughout all levels of your organization.

Quality objectives are not static and need to be updated in the light of the current business climate and the
quest for continual improvement. Internal auditors should verify that the overall performance of your
organization reflects the aims of the quality policy and reasonably meets the quality objectives.
Figure 4: Quality Objectives Implementation Checklist
Ref. Quality Objective Requirements Yes/No Evidence /Documents
Has your organization established quality objectives at

relevant functions, levels and processes needed for the
QMS?
Are the quality objectives consistent with the quality

policy?
Are the quality objectives measurable?
Do the quality objectives take into account applicable

requirements?
6.2.1 Are the quality objectives relevant to conformity of
products and services and to enhancement of customer
satisfaction?
Are the quality objectives monitored?
Are the quality objectives communicated?
Are the quality objectives updated as appropriate?
Does your organization maintain documented

information on the quality objectives?
When planning how to achieve its quality objectives,

does your organization determine what will be done?

does your organization determine what resources are
required?

does your organization determine who will be
6.2.2
responsible?

does your organization determine when it will be
completed?

does your organization determine how the results will
be evaluated?

Performance Indicators
Establish Indicators & Targets
A key addition in the 2015 revision is the use of performance indicators to monitor your processes and their
effective operation, as well as, the achievement of quality objectives. (Refer to ISO 9001:2015 - 4.4.1c)
Indicators are defined as a measurable representation of the status of operations, management or conditions.
Each of your quality objectives may require one or more associated indicators in order to provide enough detail
about its performance.
The standard requires your organization to determine and apply the criteria and methods needed to assure
the effective operation and control of the identified processes. Such criteria and methods might include for
example; process monitoring indicators, process performance indicators, target setting, data collection,
performance trends, or internal/external audit results. Other criteria and methods might include:
1. Arrangements for governing each process e.g. process owner reviews, process committees, flight
deck/dashboard representations, risks and opportunities relating to the process, resource needs, user
training/competency, continual improvement initiatives, frequency of reviews, agenda, minutes,
actions;
2. The organizational approach towards continual improvement and the types of action taken when
process performance is not meeting intended results;
3. Identifying ‘what' needs to be monitored and measured in order to determine QMS and process
performance, e.g. Internal - achievement of quality objectives, process performance indicators,
target setting, audit results (conformity/non-conformity, effectiveness), trends. External - customer
and supplier performance e.g. survey results, satisfaction indicators/ratings, compliments, complaint
profile, returns/rejections, warranty claims, invoice queries.
Objective evidence should indicate that your organization has successfully integrated the QMS processes into
its business processes. Evidence may include Top management reviewing QMS KPI’s as part of regular business
reviews, awareness of contractors and employees of QMS goals and expectations, etc.
Depending on the size, management structure, and other factors pertaining to your organization, the objectives
may be established and reviewed by various personnel and with direct Top management input. The objectives,
performance indicators, and targets must be consistent with QMS policy and business strategy.
Link Indicators & Targets to Objectives

You could create an excel workbook with tabs for the objective’s definition, an action plan, and then the actual
data. Stay on top of it with regular updates and reviews to ensure actions are completed as a way to drive
improvement. You should consider and implement following to help ensure compliance to ISO 9001:2015 -
6.2:
1. Ensure that objectives are established within the relevant functions (Engineering, Purchasing, Finance,
Human Resources, Quality, IT etc.), and are linked to the respective functional strategy, e.g. functional
direction, process improvement, milestones etc.;
2. Ensure that objectives are established within relevant processes are defined by the process owner
relating to the aims of the process, e.g. what the process is trying to achieve, resources needed,
timescales etc.;

3. Ensure that objectives are established and suitably cascaded at various levels across your
organization structure e.g. Top management, middle management, supervisors, departments,
projects, groups, individuals.
Figure 5 below shows how aspirational statements can be taken from your quality policy and linked to the
related quality objective(s). The table also provides ideas for KPIs and targets that in turn may be used to
measure the achievement of each quality objective.
Figure 5: Linking Objectives to KPIs & Targets
Quality Policy Quality Objectives Types of Indicator/KPI Possible Targets

Achieve an overall rating of
Achieve a high level Survey results
‘We will achieve customer > 5.5 in 2018
of service user
satisfaction’ Less than 2 complaints
satisfaction No. of customer complaints
submitted in 2018
Maintain a high level Time system is down during Systems downtime < 5%
‘by providing reliable systems’
of system reliability regular work hours during working hours
Achieve “fit for purpose”
Survey results
rating of > 5 on survey
Ensure systems
‘that meet customer User agreement after 100% of completed
provided are fit for
requirements’ completion that the request requests signed off to
purpose
meets the original indicate customer
specification agreement
‘We will respond as quickly as

possible when contacted by a Compare actual request
Provide a responsive 95% of work requests
customer and we will work to completions against the
customer service completed within deadline
meet agreed deadlines for all targets agreed with users
data requests’
‘In the event of a serious

Maintain the ability to Time taken to recover from
incident, we will restore full Recover system operation
recover the systems in disaster (conduct annual or
system operation in the within 6 hours of a disaster
the event of a disaster bi-annual test)
quickest possible time’
Use of process approach by your organization to identify sources of input, activities, output, receiver of output,
performance indicators to control and monitor processes, the risks and opportunities associated with them
and action plan to address them. The use of indicators needs to be audited in detail:
1. Are objectives and subsequent indicators based on sound information?

2. Are indicators really related to the corresponding objectives?
3. Are statistical tools needed to define and monitor objectives?
4. If the indicators reach expected values, how does your organization assure the objective has been
achieved?
The performance indicators should be audited by your organization in detail to establish whether the objectives
are based on sound information and whether the indicators and targets are really related to the corresponding
objectives. Make sure that your organization uses statistical tools to define and to monitor objectives.

Certification Auditors will expect to review a set of interrelated objectives, ensuring that they are mutually
consistent and that they are aligned with the strategic direction of your organization. Documented information
of objectives typically is in the form of a description or matrix of the objective and corresponding means and
timeframe to achieve them.
Often Certification Auditors will interview members of Top management to determine whether your
organization has established and ensured the continued relevance of its quality policy, related objectives,
indicators and targets, as well as how performance measures are established, whether they are aligned to your
organization’s context, and the requirements of your interested parties.
Figure 6: Performance Indicators Implementation Checklist
Ref. Management Review Requirements Yes/No Evidence /Documents

Has your organization determined and applied the
criteria and methods (including monitoring,
4.4.1d measurements and related performance indicators)
needed to ensure the effective operation and control
of these processes
Does your organization determine what needs to be

monitored and measured?
Does your organization determine the methods for

monitoring, measurement, analysis and evaluation
needed to ensure valid results?
Does your organization determine when the monitoring

and measuring shall be performed?
9.1.1
Does your organization determine when the results
from monitoring and measurement shall be analysed
and evaluated?
Does your organization evaluate the performance and
the effectiveness of the QMS?
Does your organization retain appropriate documented
information as evidence of the results?
Does your organization monitor customers’ perceptions
9.1.2 of the degree to which their needs and expectations
have been fulfilled?
Does your organization analyse and evaluate

9.1.3 appropriate data and information arising from
monitoring and measurement?

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Quality Policy, Objectives &

www.iso-9001-checklist.co.uk © 2018 Page 1 of 14

Figure 1: Business Planning & Strategic Direction PDCA Model

Stage ISO 9001:2015 Clause Activity

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Figure 2: Goal-orientated Framework

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Establish the Quality Policy

1. Is the process of defining organizational strategy and polices appropriately determined?

www.iso-9001-checklist.co.uk © 2018 Page 4 of 14

Communicate the Quality Policy

1. Interviewing Top management to understand their approach and commitment to quality;

Figure 3: Quality Policy Implementation Checklist

Ref. Quality Policy Requirements Yes/No Evidence /Documents

Does Top management establish, review and maintain a

Is it determined to be appropriate to the purpose and

Does it provide a framework for setting and reviewing

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Ref. Quality Policy Requirements Yes/No Evidence /Documents

Does it include a commitment to continual

Is the quality policy available as documented

Is the quality policy available to relevant interested

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Establish Quality Objectives

1. Product: reduction in defect rates, PPM, scrap rates, on-time delivery;

Communicate the Quality Objectives

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Achieve the Quality Objectives

Maintain documented information to demonstrate that the quality objectives are:

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Plan to achieve established quality objectives including the determination of:

1. Have been defined;

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Figure 4: Quality Objectives Implementation Checklist

Ref. Quality Objective Requirements Yes/No Evidence /Documents

Has your organization established quality objectives at

Are the quality objectives consistent with the quality

Are the quality objectives measurable?

Do the quality objectives take into account applicable

Are the quality objectives monitored?

Are the quality objectives communicated?

Are the quality objectives updated as appropriate?

Does your organization maintain documented

When planning how to achieve its quality objectives,

When planning how to achieve its quality objectives,

When planning how to achieve its quality objectives,

When planning how to achieve its quality objectives,

When planning how to achieve its quality objectives,

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Link Indicators & Targets to Objectives

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Figure 5: Linking Objectives to KPIs & Targets

Quality Policy Quality Objectives Types of Indicator/KPI Possible Targets

‘We will respond as quickly as

‘In the event of a serious

1. Are objectives and subsequent indicators based on sound information?

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Figure 6: Performance Indicators Implementation Checklist

Ref. Management Review Requirements Yes/No Evidence /Documents

Does your organization determine what needs to be

Does your organization determine the methods for

Does your organization determine when the monitoring

Does your organization analyse and evaluate

Quality Policy, Objectives & Indicators

Quality Policy, Objectives & Indicators