ISO 9001:2015 Clause 7.3 Awareness

The organization shall ensure that persons doing work under the organization’s control are aware of:
a) the quality policy;
b) relevant quality objectives;
c) their contribution to the effectiveness of the quality management system, including the benefits of improved performance;
d) the implications of not conforming with the quality management system requirements.

1) The organization shall ensure that persons doing work under the organization’s control are aware of the quality policy;

Ensuring that employees are aware of an organization’s quality policy is essential for maintaining and improving the quality of products and services. Here are some steps an organization can take to ensure employees are aware of its quality policy:

1. Clearly Define the Quality Policy: The quality policy should be well-defined, concise, and easy to understand. It should clearly state the organization’s commitment to quality and its objectives in this regard.
2. Communicate the Quality Policy During Onboarding: Incorporate the quality policy into the onboarding process for new employees. Make sure that it is part of the introductory training and orientation materials.
3. Regular Training and Refreshers: Conduct regular training sessions or workshops to reinforce the quality policy. This can be done annually or as needed, especially when there are updates or changes to the policy.
4. Incorporate Quality Policy into Job Descriptions: Ensure that each employee’s job description includes a reference to the quality policy and their role in upholding it. This can help employees understand their responsibilities related to quality.
5. Posters and Visual Aids: Display the quality policy prominently in common areas, such as break rooms, hallways, and meeting rooms. Visual aids like posters can serve as constant reminders.
6. Incorporate Quality into Performance Reviews: Tie an employee’s performance evaluation to their adherence to the quality policy. This can motivate employees to take it seriously and incorporate it into their daily work.
7. Use Intranet and Internal Communication Channels: Share the quality policy through the organization’s intranet, internal newsletters, or email updates. Ensure that it is easily accessible to all employees.
8. Leadership Buy-In and Role Modeling: Ensure that top management demonstrates a commitment to the quality policy. When employees see leaders taking it seriously, they are more likely to follow suit.
9. Feedback and Suggestions: Encourage employees to provide feedback and suggestions related to quality improvement. This can create a sense of ownership and involvement in maintaining quality standards.
10. Audits and Assessments: Conduct regular audits or assessments to check if employees are following the quality policy. Use these assessments not just for enforcement but also for identifying areas that need improvement.
11. Reward and Recognition: Recognize and reward employees who consistently uphold the quality policy or contribute significantly to quality improvement initiatives. This can motivate others to follow suit.
12. Open Door Policy: Maintain an open-door policy where employees can discuss concerns or seek clarification about the quality policy with their supervisors or management.
13. Multilingual Support: If your organization has employees who speak different languages, ensure that the quality policy is available in the languages spoken within the workforce.
14. Continuous Improvement: Make it clear that the quality policy is not static and should evolve to meet changing needs and standards. Encourage employees to suggest improvements or updates to the policy.
15. Consequences for Non-Compliance: While positive reinforcement is essential, it’s also crucial to establish consequences for repeated or severe non-compliance with the quality policy.

By implementing these strategies, organizations can create an environment where employees are not only aware of the quality policy but also actively engaged in maintaining and improving the quality of products and services.

2) The organization shall ensure that persons doing work under the organization’s control are aware of relevant quality objectives

Ensuring that employees are aware of relevant quality objectives is crucial for aligning their efforts with the organization’s quality goals. Here are some steps an organization can take to ensure that employees are aware of and understand the relevant quality objectives:

1. Clearly Define Quality Objectives: The organization should have well-defined and specific quality objectives that are aligned with its overall quality policy and business goals. These objectives should be clear and measurable.
2. Incorporate Objectives into the Quality Policy: Ensure that the quality objectives are integrated into the organization’s quality policy. This helps employees understand how their work contributes to achieving these objectives.
3. Communication and Training: Implement a robust communication and training program to educate employees about the quality objectives. This can include orientation for new hires and regular training updates for existing employees.
4. Departmental Objectives: Break down the organization’s quality objectives into departmental or team-specific goals. Each department should have objectives that align with the overall quality objectives.
5. Performance Management: Link performance management and appraisal processes to the achievement of quality objectives. Employees should understand that their performance is evaluated, in part, based on their contributions to these objectives.
6. Regular Updates: Keep employees informed about the progress toward achieving quality objectives. Regular updates, perhaps through team meetings or company-wide communications, can help maintain awareness and motivation.
7. Visual Displays: Consider using visual aids like charts, graphs, or dashboards to display the progress and status of quality objectives. Visual representations can make the information more accessible and engaging.
8. Open Communication Channels: Create an environment where employees feel comfortable discussing quality objectives, asking questions, and providing feedback. Encourage open dialogue and the sharing of ideas.
9. Employee Involvement: Involve employees in the process of setting and refining quality objectives. When they have a say in defining these goals, they are more likely to be invested in achieving them.
10. Recognition and Rewards: Recognize and reward employees and teams that contribute significantly to the attainment of quality objectives. Publicly acknowledge their efforts to motivate others.
11. Regular Review and Alignment: Periodically review the quality objectives to ensure they remain relevant and aligned with the organization’s changing needs and market conditions.
12. Feedback Mechanisms: Establish feedback mechanisms where employees can provide input on the effectiveness of the quality objectives and suggest improvements.
13. Training and Development: Offer training and development opportunities to help employees acquire the skills and knowledge needed to contribute to the achievement of quality objectives.
14. Documentation: Ensure that documentation related to quality objectives is easily accessible to employees. This could include manuals, procedures, and digital resources.
15. Leadership Support: Top leadership should visibly support and champion the organization’s quality objectives. Their commitment sets a strong example for employees to follow.

By implementing these measures, organizations can enhance employees’ awareness of relevant quality objectives, thereby improving their alignment with the organization’s quality goals and overall performance.

3) The organization shall ensure that persons doing work under the organization’s control are aware of their contribution to the effectiveness of the quality management system, including the benefits of improved performance

Ensuring that employees are aware of their contribution to the effectiveness of the quality management system (QMS) and the benefits of improved performance is essential for fostering a culture of quality and continuous improvement. Here are steps an organization can take to achieve this:

1. Clearly Define Roles and Responsibilities: Ensure that each employee understands their role and responsibilities within the QMS. This should be outlined in job descriptions and communicated during onboarding.
2. Incorporate QMS Awareness into Training: Integrate QMS awareness and the importance of each employee’s role into the organization’s training programs. This should be part of both initial and ongoing training.
3. Connect Employee Actions to Quality: Show employees how their daily tasks and decisions impact the quality of products or services. Use real-life examples and case studies to illustrate the cause-and-effect relationship.
4. Performance Metrics and Feedback: Establish performance metrics related to the QMS and regularly provide feedback to employees. Make sure they understand how their performance contributes to QMS effectiveness.
5. Continuous Improvement Culture: Promote a culture of continuous improvement, where employees are encouraged to identify areas for improvement and suggest solutions. Highlight success stories to demonstrate the benefits of such initiatives.
6. Communication and Engagement: Use various communication channels (meetings, emails, newsletters, bulletin boards, etc.) to keep employees informed about the QMS and its impact on the organization’s success. Encourage questions and feedback.
7. Quality Training and Workshops: Offer specific training and workshops on quality management principles, methodologies (e.g., Lean, Six Sigma), and problem-solving techniques. This can deepen employees’ understanding of quality concepts.
8. Recognition and Rewards: Recognize and reward employees for their contributions to the QMS and for implementing improvements that enhance quality and performance.
9. Employee Involvement in QMS Development: Involve employees in the development and improvement of the QMS itself. When employees have a role in shaping the system, they are more likely to understand its value.
10. Benchmarking and Best Practices Sharing: Share industry benchmarks and best practices with employees to help them understand how their work compares to industry standards and what improvements can be made.
11. Regular Updates on QMS Performance: Provide regular updates on the performance of the QMS, including improvements achieved and their impact on the organization. Use data and metrics to illustrate progress.
12. Leadership Support and Role Modeling: Ensure that leadership at all levels demonstrates a commitment to the QMS and actively participates in quality improvement initiatives. Leadership support sets a strong example for employees.
13. Employee Feedback and Suggestions: Encourage employees to provide feedback and suggestions related to the QMS. Act on their input when appropriate, demonstrating that their contributions are valued.
14. Training on Benefits of Improved Performance: Educate employees about the benefits of improved performance, such as increased customer satisfaction, higher efficiency, and potential career growth opportunities.
15. Regular QMS Reviews and Audits: Conduct regular reviews and internal audits of the QMS, involving employees in these processes to enhance their understanding of how the system works.

By implementing these measures, organizations can ensure that employees are not only aware of their contribution to the effectiveness of the QMS but also understand the tangible benefits that result from improved performance and a commitment to quality. This, in turn, can lead to a more engaged and motivated workforce dedicated to achieving quality objectives.

4) The organization shall ensure that persons doing work under the organization’s control are aware of the implications of not conforming with the quality management system requirements.

Ensuring that employees are aware of the implications of not conforming with the quality management system (QMS) requirements is essential for maintaining the integrity and effectiveness of the QMS. Here are steps an organization can take to achieve this:

1. Clear Communication of Consequences: Clearly communicate to employees the potential consequences of not conforming with QMS requirements. Use plain language and practical examples to illustrate the impact.
2. Incorporate Conformance Expectations into Training: Include discussions about the importance of adhering to QMS requirements in employee training programs. Emphasize that non-conformance can have negative repercussions for both the organization and individual employees.
3. Code of Conduct and Policies: Integrate QMS conformance expectations into the organization’s code of conduct and policies. Ensure that non-conformance is considered a violation of company policy.
4. Performance Metrics and Reviews: Establish performance metrics related to QMS conformance and regularly review and discuss these metrics with employees. Highlight any non-conformance issues and discuss ways to address them.
5. Consequences for Non-Conformance: Clearly define the consequences for non-conformance, which may include disciplinary actions, additional training, or process improvements. Ensure that these consequences are consistent and applied fairly.
6. Documented Procedures: Develop and maintain documented procedures that outline the steps to be taken when non-conformance occurs. Employees should be aware of these procedures and their role in following them.
7. Reporting Mechanisms: Establish clear reporting mechanisms for employees to report non-conformance issues or concerns. Encourage open and confidential reporting to ensure that issues are addressed promptly.
8. Root Cause Analysis: Train employees in root cause analysis techniques so they can help identify the underlying causes of non-conformance and work toward preventing recurrence.
9. Continuous Improvement Culture: Promote a culture of continuous improvement where employees are encouraged to suggest improvements and solutions for addressing non-conformance issues.
10. Leadership Support: Ensure that leadership demonstrates a commitment to QMS conformance and actively participates in addressing non-conformance issues. Leadership support can set the tone for the entire organization.
11. Training on Corrective Actions: Provide training on corrective action procedures and emphasize the importance of correcting non-conformances promptly to prevent their recurrence.
12. Documentation and Records: Stress the importance of accurate documentation and record-keeping as part of QMS conformance. Inaccurate or incomplete records can lead to non-conformance issues.
13. Regular Audits and Assessments: Conduct regular internal audits and assessments to identify and address non-conformance issues. Share the results with employees to illustrate the impact of non-conformance on the organization.
14. Learning from Mistakes: Encourage employees to view non-conformance as an opportunity for learning and improvement rather than as a punitive measure. Share success stories where non-conformance led to positive change.
15. Feedback and Communication Channels: Create feedback and communication channels where employees can raise concerns, ask questions, or seek clarification related to QMS requirements and non-conformance issues.

By implementing these measures, organizations can ensure that employees are not only aware of the implications of not conforming with QMS requirements but also motivated to actively participate in maintaining QMS conformance, thereby reducing the risk of non-conformance and its associated consequences.

Awareness training

The awareness training does not need to follow the format of long classroom sessions. Training techniques can include short training segments supplemented with videos and hands-on demonstrations that address key elements of the management system.
Other methods to promote and reinforce the awareness training sessions include communication via electronic bulletin boards, posters, newsletters and informational meetings. The requirements for general awareness training apply to all employees including those whose work may cause significant environmental impacts or safety risks. Awareness training is intended to provide an overview of the organization’s policy, objectives and targets, and overall management system. Your organization must ‘establish and maintain procedures to make its employees and members at each relevant function and level aware of’:

1. The importance of conformance with the policy and the management system procedures and requirements;
2. The actual and the potential significant impacts and risks of the activities, products, and/or services;
3. The benefits of improved personal performance;
4. The employees’ roles and responsibilities in achieving conformance with policies and procedures;
5. The employees’ roles and responsibilities
6. The potential consequences of departure from specified operating procedures.

The awareness training materials may also include additional elements that address:

1. The organization’s objectives and targets;
2. The employees’ actions to minimize/eliminate impacts and risks and how they can contribute;
3. The importance of compliance with operational and regulatory requirements;
4. The overall improvement of the management system performance and the potential financial return;
5. The importance to interested parties.

Induction training

General awareness training should be undertaken in accordance with task demands. Awareness training is not skills-acquisition, but rather broad-based training provided to increase employee awareness of particular safety issues. All new recruits (workers, contractors and temporary staff) must receive induction briefings and periodic Quality management system awareness training appropriate to the duration of their responsibilities to ensure they are aware of importance of ethical behaviour e.g. codes of conduct, internal management, working relationships, fair treatment, confidential reporting mechanisms, protecting anonymity, no-blame-culture, awareness campaigns, notice boards, posters, training programmes including:

• Core values and policies;
• Company overview;
• History of the company;
• The people and structure;
• Contract of employment;
• Induction pack;
• Health, safety and environmental briefing.

The induction record should be completed, signed by each participant and sent to the Human Resources Manager.

Documented Information Required

There is no mandatory requirement for Documented Information. The clause requires the organization to maintain documented information (documents and records) as evidence of compliance with this clause. Here are the key documents and records required for Clause 7.3:

1. Quality Policy (Documented Information): The organization is required to establish and maintain a quality policy, which should be a documented statement of its commitment to quality and its quality objectives.
2. Quality Objectives (Documented Information): The organization should establish and maintain documented information regarding its quality objectives, which should be consistent with the quality policy.
3. Roles, Responsibilities, and Authorities (Documented Information): Documented information that defines the roles, responsibilities, and authorities within the organization related to the QMS. This includes defining who is responsible for ensuring awareness of the QMS.
4. Training Records (Records): Records of employee training and competency assessments related to their roles in the QMS. These records should demonstrate that employees have been adequately trained to perform their tasks effectively.
5. Records of Communication (Records): Records of internal communication related to the QMS, which may include meeting minutes, memos, emails, or other forms of documented communication regarding quality-related matters.
6. Evidence of Awareness (Records): Records that demonstrate how the organization ensures that its personnel are aware of the quality policy, objectives, and their individual roles in relation to the QMS. This may include signed acknowledgments of policy and objective awareness or training attendance records.
7. Documentation of Changes (Records): Records of any changes made to the documented information related to awareness, such as updates to the quality policy or objectives. These records should provide evidence of the changes made and the rationale behind them.
8. Documentation Control Records (Records): Records that demonstrate the control of documents and records, including records of document and record approvals, revisions, distribution, and archiving.
9. Audit Records (Records): Records of internal audits conducted to verify compliance with the QMS requirements, including records of audit findings, corrective actions, and follow-up activities.
10. Management Review Records (Records): Records of management review meetings, including meeting minutes and records of decisions and actions related to awareness and the QMS’s overall performance.

These documents and records are essential for demonstrating compliance with ISO 9001:2015 Clause 7.3 and for ensuring that employees are aware of the QMS, its policies, objectives, and their roles within it. Proper documentation and record-keeping are key elements of effective quality management and continuous improvement.