CONFORMANCE WORKSHEET FOR CLAUSE 5 OF ISO 9001:2015 STANDARD Prepared by: Top Three Concept

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Responsibilities Conformance options (examples of how conformance

Clause 5.1 requirements (Leadership and can be shown/presented)
SN Agreed options
commitment)

Does top management take accountability for Top Management team Receipt of performance/ progress information
effectiveness of the QMS (CEO, MD, GMS, HODs) and Records of participation in QMS reviews
1 members and authorizations of change(s) to the QMS
and approval of resource needs.

Are quality policies and quality objectives
established for the quality management
system
2 responsible for the QMS
Are quality policies and quality objectives
3 compatible with the context and strategic
direction of the organization
Top Management team Quality policy is approved by top management
(CEO, MD, GMS, HODs) and communicated to all staff and relevant
members, Persons stakeholders, Quality objectives are specified
and cascaded to relevant level within the
organization, Staff are aware of the quality
policy and relevant objectives
Quality policy is written to suite organization
type of products, service and customers. Look
for a clear link between the quality policy and
strategic direction of the organization

Top Management team Evidence of top management's

(CEO, MD, GMS, HODs) communication and explanation of quality
members, Persons policy and objectives at every possible
Does leadership ensure quality policy is responsible for the QMS opportunity/ at training/ meetings/ memos etc.
4 and all staff capable of Staff understand their role in achieving set
understood within the organization
affecting product and objectives. Staff understand the impact of their
service quality jobs on final product quality. Staff understand
the risk of not getting tasks right

Page 1 of 12
 Click here to buy the toolkit now CONFORMANCE WORKSHEET FOR CLAUSE 5 OF ISO 9001:2015 STANDARD Prepared by: Top Three Concept

Responsibilities Conformance options (examples of how conformance

Clause 5.1 requirements (Leadership and can be shown/presented)
SN Agreed options
commitment)

Process owner, manager, Look for link between corporate quality

Is the QMS requirements integrated into supervisors objectives and process objectives,
5 performance indicators and targets
organization's processes

MD, CEO, Risk manager, Processes follow a logical sequence and

QMS representative/ outputs from one process links to inputs for
Quality manager, Internal another process. Process performance is
controls. planned, monitored, measured and improved.
Is process approach and risk based thinking Uncertainties surrounding achievement
6 process objectives are identified and controls
promoted in the organization
are established to reduce risks of not
achieving process objectives

Are QMS required resources determined and HR Manager, Stores Look out for Site map/office layout/ factory
provided Manager, Inventory designs; Look out for list of
manager, Assets hardware/software, equipment, tools,
Manager, Admin manager, infrastructure (including ICT), office branches,
Supervisors, HODs, Top utilities, furniture, people, vehicles and
Management. Logistics machines that are required/ supplied/ used/
managers. ICT managers, maintained/ retained by the organization.
Maintenance managers, These can also be found in the organization's
Procurement manager, action plans or improvement plans, Assets
7
Finance manager. list/Inventory list of stored items, procurement
Facilities manager. budgets, maintenance budgets, maintenance
logs payroll, list of software licences
maintained. Utility bills, Internet service
agreement/bills.

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Clause 5.1 requirements (Leadership and
SN
commitment)
Is there communication regarding importance
of effective quality management
8
Is there communication regarding conforming
to the quality management system
requirements
9
CONFORMANCE WORKSHEET FOR CLAUSE 5 OF ISO 9001:2015 STANDARD Prepared by: Top Three Concept
Responsibilities Conformance options (examples of how conformance
can be shown/presented)
Agreed options
Top Management, HODs, Any print or electronic media showing
QMS responsible officers communications of importance of meeting
customer and quality
requirements/performance objectives &
targets. Any print or electronic media showing
communications on QMS performance results,
performance trends, performance reviews
minutes and communications on need for
improvement
Top Management, HODs, Records showing communication of QMS
Communication officer, audit reports that show rate of conformance.
ICT responsible persons, Records showing supplied products and
Public Relations Officers. services meet request/requirements
QMS responsible officers (requisitions and corresponding delivery
notes). Records of communications regarding
product or service specifications being met.
Records showing communications of
customer satisfaction level or customer
complaints, Records of communications
showing objective are met,
requirements/performance objectives &
targets. Records showing communications of
effectiveness of risk treatments. Records of
communications of corrective actions
Page 3 of 12
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Clause 5.1 requirements (Leadership and
SN
commitment)
Is there communication regarding conformity
10
of products and services to requirements;
Are QMS results monitored and evaluated
11
CONFORMANCE WORKSHEET FOR CLAUSE 5 OF ISO 9001:2015 STANDARD Prepared by: Top Three Concept
Responsibilities Conformance options (examples of how conformance
can be shown/presented)
Agreed options
Top Management, HODs, Records of communications regarding product
Communication officer, or service inputs being met. Records of
ICT responsible persons, communications regarding legal /regulatory
Public Relations Officers. requirements for products being met. Records
QMS responsible officers showing communications of customer
satisfaction level or rate customer complaints
to relevant stakeholders
Top Management, HODs, Results monitoring plans (description of how
QMS responsible officers, and when QMS performance data collection,
Monitoring officers, QMS analysis and reporting will take place).
performance data Results to be monitored should include:
providers supplier performance; process performance;
product & service conformity; customer
satisfaction; rate at which action plans are
completed; effectiveness of risk treatments.
Comparison of planned versus actual results
achieved/ Evidence of QMS data collection,
collation and analysis of results achieved/
QMS monitoring reports showing same.
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 Click here to buy the toolkit now CONFORMANCE WORKSHEET FOR CLAUSE 5 OF ISO 9001:2015 STANDARD Prepared by: Top Three Concept

Top Management, HODs, Results evaluation plans (description of how

QMS responsible officers, and when QMS results/will be evaluated).
Monitoring officers, QMS evidence of results evaluations (minutes of
performance data meetings/ records or emails showing review
providers comments/communications etc)
Decisions/improvement resolutions/ change
actions planned based on evaluation results.

Is support given to persons contributing to Top Management, HODs, Evidence of communication, meetings,
QMS effectiveness QMS responsible officers counselling, directives & approvals of QMS
actions recommendations/carried out by
12 persons responsible for establishing and
maintaining the QMS

Is continual improvement and innovation a Top Management, HODs, Performance trend analyses for supplies,
culture QMS responsible officers processes, products, customer satisfaction.
Records of nonconformities and records of
corrective actions. Records of change
requests and change logs. Improvement
plans based on research and environmental
13 scanning. Records showing evaluation and
analysis of change/improvement
effectiveness. improvements.

Does management support other managers to Top Management, HODs, Evidence of communication, meetings,
show their leadership abilities Manager, Supervisors, counselling, directives & approvals of QMS
QMS responsible officers actions recommendations/carried out by
14 persons responsible for ensuring QMS
achieves planned results

Page 5 of 12
 Click here to buy the toolkit now CONFORMANCE WORKSHEET FOR CLAUSE 5 OF ISO 9001:2015 STANDARD Prepared by: Top Three Concept

Responsibilities Conformance options (examples of how conformance

SN Clause 5.1.2 requirements (Customer focus) can be shown/presented) Agreed options

Risk assessment Risk management process, product/service

managers, Production or conformity risk registers and risk treatment
Are risks to product/service conformity service delivery manager, plans
15 Operations managers,
identified and managed
Project managers,
Customer relationship
managers, Marketing
Risk management process, customer
managers
satisfaction risk registers/ List uncertainties
Are risks to customer satisfaction identified surrounding customer satisfaction objectives,
16
and managed and risk treatment plans

Do we consistently focus on meeting customer Production or service
needs and expectations delivery manager,
Operations managers,
Project managers,
17 Customer relationship
managers, Marketing
managers, Quality
managers
Availability of methods & means for
determining and updating information on
trends and changes in customer needs and
expectation (E.g.: Voice of the customer
surveys, market research, customer forums,
customer blogs, customer complaints records
and analysis, periodic reports on changing
requirements)

Do we consistently focus on meeting statutory Quality assurance/Quality Availability of methods & means for
and regulatory requirements relating to the control departments. Legal determining and updating information on
product or service delivered and regulatory officers. trends and changes in statutory and regulatory
requirements (E.g.: Subscription to
newsletters, specific newspapers columns,
radio programs & alert systems; Membership
18 of online forums & professional bodies;
registration/payment for updates in
requirements/regulations, lobbying)

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Do we consistently focus on enhancing
customer satisfaction
19
CONFORMANCE WORKSHEET FOR CLAUSE 5 OF ISO 9001:2015 STANDARD Prepared by: Top Three Concept
Production or service Visible link between customer satisfaction
delivery manager, feedback and Customer satisfaction
Operations managers, objectives, measures, targets; trend analyses
Project managers, of customer satisfaction levels; Improvement
Customer relationship and corrective action plans. Records of
managers, Marketing implementation of Voice of Customer
managers, Quality initiatives
managers
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Page 7 of 12
 Click here to buy the toolkit now CONFORMANCE WORKSHEET FOR CLAUSE 5 OF ISO 9001:2015 STANDARD Prepared by: Top Three Concept

Responsibilities Conformance options (examples of how conformance

can be shown/presented)
SN Clause 5.2 requirements (quality policy) Agreed options

Top management Clear link or description of how the quality

Is the 'Quality Policy' appropriate to the policy helps the organization achieve her
1 purpose, context and strategic direction of the specific strategic direction
organization

Quality policy shows key result areas and

Does it provide a framework for quality how objectives are set/ cascaded and
2 managed to ensure QMS results are achieved
objectives

Inclusion of a simple statement in the quality

policy, that commits the organization to
Does it include a commitment to satisfy meeting relevant product/customer,
3
applicable requirements, and contractual/ legal/statutory/ regulatory
requirements
Inclusion of a simple statement in the quality
policy, that commits the organization to
4 continual improvement of the QMS
Does it include a commitment to continual
improvement of the QMS
Is the quality policy documented and is the "Controlled Document" Identifiable by its title
document maintained or unique ID number. Look out for process of
updating and changing the quality policy; look
for changing version numbers from one
version of the document to the next.
5 Amendment logs for previous changes to the
quality policy. Evidence of communication of
amendments (e.g.: via emails, SMS, memos,
letters, internet website) to relevant
stakeholders.

Page 8 of 12
 Click here to buy the toolkit now CONFORMANCE WORKSHEET FOR CLAUSE 5 OF ISO 9001:2015 STANDARD Prepared by: Top Three Concept

is the quality policy communicated, understood Top management, all staff Emails, posters, screen savers, billboards,
and applied and relevant stakeholders attendance list from Quality policy/ awareness
or introduction sessions. For quality policy
understanding, expect each staff (including
6 outsourced service providers) interviewed to
be able to link the quality policy to his/her
objectives and state the importance of the
QMS
Is the policy communicated to relevant Top management, Public Contracts, service level agreements,
interested parties including (suppliers) relations officer, Contractors IDs, Handbills, Induction process
community relations requirements, Emails, posters, screen savers,
officers. billboards, attendance list from Quality policy/
Procurement/purchasing awareness or introduction sessions. For
7 officer. quality policy understanding, expect each staff
(including outsourced service providers)
interviewed to be able to link the quality policy
to his/her objectives and state the importance
of the QMS

Page 9 of 12
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Clause 5.3 requirements (Organizational roles,
SN
responsibilities and authorities)
1 Are QMS relevant roles assigned,
communicated and understood in the
organization
2 Is responsibility and authority for ensuring
QMS conforms to ISO standard assigned
3 Is responsibility and authority assigned for
ensuring processes deliver intended outputs
CONFORMANCE WORKSHEET FOR CLAUSE 5 OF ISO 9001:2015 STANDARD Prepared by: Top Three Concept
Responsibilities Conformance options (examples of how conformance
can be shown/presented) Agreed options
Top Management QMS champions, QMS representative, QMS
monitoring officers, QMS risk assessors, QMS
process integrators, QMS Auditors and QMS
performance evaluators. All the afore
mentioned roles may also be shown in a QMS
structure/organogram
Top Management Communication of responsibilities and
authorities through additions to job
descriptions, internal memos. Responsibilities
and authorities can be issued to a single
person and to several persons for QMS
Planning , QMS integration, QMS
implementation, QMS checking and
improvement, QMS auditing. Roles can
include management representative, QMS
champion, QMS representative, QMS
Auditors, QMS lead auditors, QMS planning
officers, QMS performance monitoring officers
Top management, Internal Communication of responsibilities and
control, Process manager, authorities through process maps/procedures/
Quality manager. inclusion of accountabilities for process results
in job descriptions. Responsibilities. and
authorities for achieving intended outputs, can
also be issued to process owners.
Responsibilities and authorities can also be
issued for process design, process
monitoring, process changes and process re-
engineering or improvement.
Page 10 of 12
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4 Is responsibility and authority assigned for Top Management
reporting performance of QMS and
improvement opportunities to top management
5 Is responsibility and authority assigned for
promoting customer focus.
CONFORMANCE WORKSHEET FOR CLAUSE 5 OF ISO 9001:2015 STANDARD Prepared by: Top Three Concept
Assignment of responsibilities and authorities,
for QMS performance reporting, can be done
through management/board
resolutions/executive orders/decisions etc.
Communication of responsibilities and
authorities can be done through: emails,
memos, change in organograms, change in
authority matrix/manual of authority, change in
job descriptions. Responsibilities and
authorities for reporting QMS performance
can also be issued to QMS performance
monitoring officers (data collectors, collators,
analysers). Responsibilities and authorities for
reporting the entire QMS performance can
also rest with the management representative
Top Management Assignment of responsibilities and authorities
,for promoting awareness of customer
requirements , can be done through
management/board resolutions/executive
orders/decisions. Communication of
responsibilities and authorities can be done
through: emails, memos, change in
organograms, responsibility/authority matrix,
change in job descriptions. Responsibilities
and authorities for promoting customer
requirement can also rest with the Quality
Manager, Marketing manager, Customer
relations manager, research manager,
management representative or public relations
officer.
Page 11 of 12
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7 Is responsibility and authority assigned for
maintaining QMS integrity when changes are
planned or made
CONFORMANCE WORKSHEET FOR CLAUSE 5 OF ISO 9001:2015 STANDARD Prepared by: Top Three Concept
Top Management Assignment of responsibilities and authorities,
for maintaining QMS integrity , can be done
through management/board
resolutions/executive orders/decisions.
Communication of responsibilities and
authorities can be done through: emails,
memos, change in organograms,
responsibility/authority matrix, change in job
descriptions. Responsibilities and authorities
for maintaining QMS integrity during changes
can also rest with the Quality Manager,
Management Representative, Change
manager, Internal Controller or management
designated person(s)
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