Management system guidance

6.0 Planning

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6.1 Actions to Address Risks and Opportunities

The risks and opportunities should be relevant to the context of your organization (Clause 4.1), as well as, any interested parties (Clause 4.2). You should ensure that your organization has applied this risk identification methodology consistently and effectively.

What process has been developed to identify risks and opportunities? In the absence of documented processes or procedures, you may need to use observations and interviews (and a review of the process output, which may contain documented evidence) to assess the processes that determine whether or not undocumented processes are being carried out as planned.

External and internal issues, and relevant needs and expectations of relevant interested parties may be sources of risks. Objective evidence may be in the form of a dedicated risk matrix, risks added to other forms such as an aspect register, corrective action log and forms, etc.

All of the processes that comprise a management system do not represent the same level of risk in terms of your organization’s ability to meet its objectives. Due to this reason, the consequences of failures or non-conformities in relation to processes, systems, products and/or services will not be the same for all organizations.

You should seek and record evidence that your organization has taken a planned approach to addressing risks and accomplishing opportunities to the benefit of the quality management sytem and the organization.

Check that any actions taken to address the risks and opportunities are recorded, and ensure that the effectiveness of each action was effective at addressing the issue, and that the action taken was proportionate to the risk or opportunity. Objective evidence could be in the following various forms:

  1. Meeting minutes;
  2. SWOT analysis;
  3. Reports on customer feedback;
  4. Competitor analysis;
  5. Quality manual;
  6. Brain-storming activities;
  7. Planning, analysis and evaluation activities;
  8. Strategic planning documents;
  9. Design and development reviews;
  10. Marketing and sales data;
  11. Production inspections and service reviews;
  12. Corrective actions;
  13. Non-conformance reports;
  14. Management review minutes;
  15. Risk determination or evaluation records.

More information on PDCA

Planning

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

Doing

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

Checking

   
9.1 Monitor, Measure, Analyse and Evaluate 9.2 Internal Audit 9.3 Management Review

Acting

   
10.1 Improvement - General 10.2 Non-Conformity and Corrective Action 10.3 Continual Improvement
 

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