education iso 9000

EDUCATION AND TRAININGGuidance Notes on the application of ISO 9001 for quality management systems in Education and Training

© BSIAll rights reserved

First printed 1995Revised 1999

CONTENTSForewordIntroductionScope and field of applicationReferencesDefinitionsQuality system requirementsApplying for registration

Users of this guide are reminded that copyright exists. No part of this publication may be reproduced in any form without prior permission from BSI.

FOREWORDThese guidance notes have been prepared to assist universities, further education colleges and training organisations in understanding the requirements of ISO 9001 for the development, implementation and review of their quality management systems.

Quality has now become a major issue for those involved in education and training. ISO 9000 is a proven quality management system, which a number of education and training institutions have successfully adopted. Because it was originally developed for manufacturing industries, the terminology of the Standard can obscure its relevance to education and training making its application difficult. In fact, the management principles developed in BS EN 9000 are as applicable to a university, college or training organisation as they are to commerce or industry.

It is important that a quality management system is developed to suit the culture of an institution and, more importantly, that it should be accepted by all staff in both teaching and support roles, including part-time and subcontract staff.

Total Quality Management (TQM) and Investors in People (IIP) are often considered as ways to promote quality in a service organisation. Both can only achieve their full potential however, when sustained by a quality management system which should underpin these and any other national or local initiatives, as well as providing the structure and mechanisms necessary to generate the evidence of quality requested by funding bodies.

BSI Guidance Notes for the Application of ISO 9000 to the Management Systems in Education and Training

ISO 9000 can be considered as the foundation for an integrated management system which can address the requirements of the Standard for Environmental Management Systems (ISO 14001) and Health and Safety management as well as TQM. All of these issues are high on the agenda in the education and training sector and the cost savings of integrated common management systems with common elements are important.

These guidance notes are not a stand-alone document; they are not intended to repeat what is in the Standard, nor do they replace, amend or supersede it. They have been prepared as a guide to the application of the principles of ISO 9000 for education and training and should be read in conjunction with the Standard and other documents listed in section 2.0.

These guidance notes have been produced by the following organisation:BSI

And representatives from the following:

Blackpool and the Fylde CollegeDudley CollegeNorfolk CollegeUniversity of WolverhamptonCity College Manchester


0 INTRODUCTION0.1 Aim

Within education and training the aim of a quality management system is to ensure that the provision of service is both consistent and continually improving.

0.2 What is the British Standards Institution?Founded in 1901 to co-ordinate the development of national standards, the British Standards Institution (BSI) was incorporated by Royal Charter in 1929. BSI is the national standards body for the UK and remains independent of Government, industry or trade associations.

BSI works with UK industry, business and Government to put into place the standards, product testing and certification of quality management systems which enable UK organisations to become more effective and efficient.

In recent years, BSI has increasingly been called on by organisations around the world to offer them help and training in setting and monitoring their own standards of quality, consistency and efficiency. BSI’s leading position demonstrates the high standards set for its own operations.

In short, BSI’s job is to help its clients towards improvement in quality and efficiency.

0.3 What is ISO 9000?ISO 9000 is a specification for a quality management system. In 1994 ISO 9000 was revised to clarify several clauses and to change the emphasis of some of the clauses of the standard. The revisions were intended to facilitate the use of the standard in all organisations regardless of size or sector of activity and are incorporated in this guidance document.

ISO 9000 provides a framework for the development of a quality management system through the following processes:

Developing documentation: ISO 9000 provides the framework for what should be included in the Management System. It allows freedom and flexibility in preparing a system appropriate to the size and character of an institution. This will certainly include documentation that already exists which can be readily absorbed into the management system.

Documentation should ensure the quality system is comprehensive, consistent and unambiguous and that the procedures adopted satisfy stated quality aims and are compatible with ISO 9000.


The implementation of a quality system is a continuous commitment to customer satisfaction; ISO 9000 should not be seen as an end in itself but as a milestone on the road towards TQM (Total Quality Management). Implementation requires the commitment, involvement and training of all personnel.

Once implemented, the system needs to be maintained and updated to ensure the service is consistently delivered and opportunities for improvement are identified and acted upon.

A ISO 9000 system will have built-in auditing and review activities, along with appropriate recording systems to monitor compliance to procedures and to ensure a quality improvement process.

An important part of BS EN 9000 is meeting customer requirements and codifying good practice to ensure consistency.

All aspects of staffing, including appointment, induction, training and appraisal should be part of the quality system. Health and safety aspects of premises and accommodation and the procedures for purchasing and storage of equipment and other resources should also be included, where relevant.

The registration process consists of an initial assessment by an independent body, such as BSI, followed by regular checks to ensure continuing compliance with ISO 9000. Any section of the organisation’s activities can be included in the scope of registration, but there are significant advantages in covering the whole organisation.

0.4 Benefits of Registration to ISO 9000Management Brings a structured approach to quality. Internal monitoring and review through effective systems. Effective problem identification and preventive action. Encourages effective leadership and direction. Supports organisational development and change. Defines and clarifies standards and performance indicators and

provides consistency. Brings effectiveness and efficiency to internal bureaucracy, allowing

more time to deliver effective staff development to improve the service offered to customers/clients.

Provides recognition to the quality ethos and commitment of the organisation.

People Clarifies roles and responsibilities making more effective use of staff

time. Staff involvement and empowerment. Improves internal communications. Provides a focus for staff development and training.


Encourages ownership of service delivery.

Financial Encourages cost savings. Assists in measuring and controlling cost effectiveness. Identifies and reduces wasted resources and bureaucracy.

1.0 SCOPE AND FIELD OF APPLICATIONThese guidance notes have been prepared for universities, further and higher education colleges and training organisations.

It is recognised that there are philosophical and practical differences between education and training. These real differences should not impact upon quality management systems to any significant degree and therefore no differentiation is made between the two in this document.

1.1 The Product or Service OutputWithin education and training the “product” may be variously described. This document assumes a definition of the “product” or output of an education or training institution as the enhancement of competence, knowledge, understanding or personal development of the student resulting from the learning experience.

Quality management in the provision of education and training must also include administrative and support services which contribute to the effectiveness of the institution as a whole and should be considered as part of the service.

0.2 The Use of ISO 9000This document presumes ISO 9001 will apply as most higher and further education organisations carry out some design or development activity for courses and programmes.

Where there is no contractual requirement to design a course or programme ISO 9002 may be applicable. This would apply where an individual training course or programme is offered directly as a standard commercial product or package.

2.0 REFERENCESThe following British Standards have been used in preparation of these guidance notes:

ISO 9000 Quality Systems2.1 ISO 9001 Model for quality assurance in

design, development, production,installation and servicing.

2.2 ISO 9002 Model for quality assurance in production, installation and servicing


2.3 ISO 9000-2 Guide to the use ISO 90002.4 ISO 9004-2 Guide to quality management and

quality system elements for services.

ISO 10011 Quality Systems Auditing2.5 ISO 10011-1 Auditing 2.6 ISO 10011-2 Qualification criteria for quality

systems auditors2.7 ISO 10011-3 Management of audit programmes

British Standards can be purchased from:

BSI 389 Chiswick High RoadLondon W4 4ALUK

Tel: +44 (0)208 996 9000Fax: +44 (0)208 996 9001

Alternatively contact your local BSI office. Contact details can be found at: http://www.bsi.org.uk/address

3.0 DEFINITIONSWhere they appear in the text the following definitions apply:

Supplier - The provider of the services, ie the university, college or training organisation

The Product or Service - The enhancement of competence, knowledge, understanding or personal development of the student resulting from the learning experience.

Customer/client - can be any individual pupil/student/trainee, any organisation in the private sector, or an awarding body, industry lead body, or professional association purchasing the service from the supplier.

Subcontractor - The provider of goods or services to the college or training organisation.


Documentation - can include such items as paper, cassettes, videos, disks, tapes pertaining to the quality system.

The Standard - ISO 9001/2 as appropriate.

The programme/course - An educational or training package which may include curriculum, syllabus, presentation materials, equipment, appropriate resources, input requirement and output expectations.

Quality Plan - Any document setting out specific quality practices, resources and sequence of activities relevant to a particular service, course or programme.

Quality Policy - The overall quality intentions and direction of an organisation as formally expressed by senior management.

4.0 QUALITY SYSTEM REQUIREMENTSThis section of these guidance notes is divided into subclauses corresponding to the number system of the Standard.

Where lists of records, documentation or topics to be addressed by a clause appear, these lists are for example only and should not be considered as either exhaustive or prescriptive.

4.1 Management responsibility

4.2 Quality PolicyThe quality policy communicates the commitment to quality both internally and externally and should be authorised by senior management. The policy should be written down and clearly state commitment to a quality system. Endorsed by the Principal/chief executive and communicated throughout the organisation, it should state specific objectives towards quality to which the university, college or training organisations committed and be relevant to the expectations and needs of customers/clients.

The Standard requires this quality policy to be “understood, implemented and maintained at all levels.” This includes all staff, part-time as well as full time involved in either teaching/learning or support activities.

4.12 Organisation4.1.2.1 Responsibility and authority

The responsibilities and authority of all staff who can influence quality should be documented. This may be by a staffing structure,


statements in the documented quality system or by references in the quality system to descriptions of duties which would need to be made available during audit and assessment. Within an education or training organisation all staff including part-time lecturers, teachers and trainers, support staff and subcontract staff will have an effect on the quality of the service.

4.1.2.2 ResourcesThis clause in the Standard defines the responsibility to resource adequately the management, performance of work and verification activities (eg staff with TDLB awards) including internal quality auditing and to provide the appropriate training to ensure this is carried out effectively.

4.1.2.3 Management representativeEveryone within an organisation has a responsibility for the quality of their own activities, the ultimate responsibility being with the Principal/chief executive.

A member of the organisation must be appointed as a “management representative” and given clearly defined responsibility and authority to ensure the requirements of the Standard and quality system are implemented and maintained. It is advisable to also appoint a deputy management representative.

The management representative becomes the focal point for the quality system and may or may not have other responsibilities dependent on the size of the organisation and complexity of the quality system.

4.1.3 Management reviewThis is the top level review which should take place at defined intervals to ensure the quality system is being implemented effectively, is being maintained in accordance with the quality policy and continues to meet the needs of the institution and its customers. It should include an overview and analysis of the quality policy, internal quality audits, documented systems, evaluation of results and improvement programmes, including those based on customer feedback. Records of management reviews must be maintained and include evidence of preventative, corrective or other follow-up action taken.

4.2 Quality system4.2.1 General

A quality system should include the control of all functions/factors/activities which can affect the quality of service. This could apply for example to a college as a whole or any part of the college or organisation for which registration is sought. Therefore, in compiling a quality system, the fundamental question is “does this affect the quality of service?” If the answer is yes, it should be included in the quality system. Very few activities will be excluded.


The format of the system is not prescribed. It should be appropriate to the type and size of the organisation and the documented procedures must be sufficiently detailed to enable staff to understand the required actions, responsibilities and authorities. The documentation of a quality system involves the preparation of a quality manual which defines the policy objectives and cross-references policies to documented procedures.

4.2.2 Quality Systems ProceduresProcedures covering key activities are required to address and be consistent with the requirements of the stated quality policy.

It is important requirements are both stated simply and in terminology all users of the system will understand, and sufficiently detailed in order that effective, objective audits can be performed.

Keep it simple, so that it works for you and is understood and used. Developing existing procedures and forms wherever possible, but

ensure they are suitably referenced and identified. Use existing activities and processes as a base for the development

of new procedures.

4.2.3 Quality PlanningQuality planning is carried out to ensure the quality policy and objectives stated in 4.1.1 are met and to define methods of implementation.

There is no requirement to document procedures on the methods of quality planning, only to provide evidence that planning occurs.

Quality Plans may result from quality planning, but they are not mandatory. Alternatively, the results of quality planning may be in the form of course/programme plans, strategic plans, business plans, or operational plans etc. In a limited number of cases, it may be acceptable for all aspects of quality planning to be incorporated and covered by procedures included in the documented quality system itself, this would usually imply, however, a fairly rigid and inflexible approach.

4.3 Contract ReviewThis covers all activities at the customer/supplier interface ranging from individual student or trainee enrolment to contracts for developing and delivering a complete range of education and training. Both customer and supplier need to now what is being offered and what is being supplied. The contract requirements should be deliverable and there should be evidence that the resource implications have been taken into account. A “contract” may be actual or implied, written or verbal. It may be necessary to review the contract on a regular basis during the course or programme of study as well as at the prospectus/enrolment stage.


Staff responsibilities and procedures for the development and recording of contracts should be defined, including any reviews or amendments to initial requirements which may be necessary. It is essential requirements are clearly understood and agreed by all parties and that these are correctly maintained.

Literature including prospectuses and pre-enrolment guidance should be accurate and reviewed regularly to ensure it remains current.

4.3 Design Control4.4.1 General

For ISO 9001 to be appropriate, the programme or course should be unique or customised to suit individual requirements, for example in either subject matter, method of delivery or method of assessment. If universities, further education colleges, or training organisations carry out design activities they should consider the use of ISO 9001.

Where the provision of education or training is based upon external syllabi or predefined units such as NVQs and GNVQs, or the package is compiled by assembling modules of standard programmes or courses, then ISO 9002 could be considered as applicable and the “design” element be documented under 4.9 (Process Control) as course development.

4.4.2 Design and Development PlanningDesign activity for curriculum, course or programme development should be carried out to a plan which defines the responsibilities assigned to qualified personnel.

4.4.3 Organisation and Technical InterfacesThe responsibility and authority of all staff engaged in curriculum/course/programme design should be clearly defined and include course and programme teams as well as individuals, such as course directors, programme managers, individual lecturers or tutors.

4.4.4 Design InputDesign input requirements may require such techniques as performing a market or training needs analysis to establish goals for the programme or course being designed. The aim is to create a design specification detailing overall programme/course objectives, methodology, evaluation and assessment techniques, external or internal validation requirements; prior learning, planned outputs and any statutory or regulatory inputs. Design input should include the results of any contract review activities to ensure it is not lacking in any key aspects and the final specification is complete in all respects and unambiguous.

4.4.5 Design Output


Documentary evidence should be developed to confirm the design of the course or programme is relevant to the aims and objectives identified in design inputs and are relevant to customer/client needs. Design outputs should be documented in a form which can be verified and validated and contain or reference acceptance criteria.

4.4.6 Design ReviewThe design of the course or programme should be reviewed during the design and development process to evaluate the design requirements and the capability of the design to meet those requirements. The review may identify problems and should propose solutions. The design review can be conducted at any stage of the design process but should be planned and carried out by staff with appropriate knowledge and skills.

4.4.7 Design VerificationDesign verification compares the design output with design input and could include:

pilot courses/programmes external comments from examination bodies feedback from customers initial validation of new programmes/awards in higher education

4.4.8 Design ValidationA comparison of the finished design should be made against user requirements to ensure the needs of customers have been addressed during the design process. This would normally occur after a course or programme has been run.

4.4.9 Design ChangesIn education and training all courses and programmes are subject to change. Procedures should exist to identify and manage changes which could effect the overall objectives of the course, whether these changes be customer driven or internal modifications or improvements. Change procedures themselves will need to be reviewed to ensure continued effectiveness.

4.5 Document and Data Control4.5.1 General

Document control ensures accurate updated documents are available where necessary and appropriate in accordance with the Standard and the supplier’s own quality system. This should include quality system documentation, quality manuals and procedures, as well as other vital internal/external documents.

4.5.2 Document and Data Approval and IssueThe supplier needs to identify what documents are pertinent to the quality system and to establish procedures for the preparation, unique coding, approval and issue of all relevant documentation.


4.5.3 Document and Data ChangesAs well as operating a system for the documents identified at 4.5.2, the change/modification control should also include systems for the control of external documents, eg legislation, Government circulars, examination body regulations, syllabi etc as well as internal policy documents.

The supplier must have a system to update, review effectiveness, control changes and positively identify obsolete documents retained for legal and /or knowledge preservation purposes and should include control of external documents.

4.6 Purchasing4.2.2 General

This clause covers all purchasing activities which are carried out whether at a remote or central location. It requires that all products or services which effect the provision of education or training are purchased to a defined specification from approved sources.

Staff:One of the most valuable assets of a university, college or training organisation is its staff. Procedures for staff appointments must therefore feature in the quality system and should include both teaching and support-staff, full-time, part-time and subcontract.

Resources:The purchasing of resources will form part of the quality system in as far as the resources affect the quality of the educational provision. Therefore purchasing of text books, course materials, equipment etc should be included.

4.2.3 Evaluation of subcontractorsAfter a teacher/lecturer employed on a part-time basis or a supplier of goods or services has been selected their names should be added to an approved list which should be maintained in pertinent locations throughout the institution where such purchasing may be initiated. Only approved subcontractors should be used except in emergency situations where there should be strict authorisation for purchasers.

Part-time/Subcontract Teaching Staff should be monitored to establish whether they should be re-

employed in the future, including classroom observation or student/trainee feedback where appropriate.

Suppliers of Goods, Resources and Services: should be assessed to ensure they meet the needs of the institution

and provide a suitable service with relation to quality, price and delivery.


The selection of subcontractors should relate to criteria for selection and approval which may be based on the combination of the following:

ability based on previous history to meet specified service and delivery criteria.

Subcontractor audit or questionnaire.

Once an approved contract (verbal or written) has been established performance should be monitored. Monitoring of subcontractors may involve some of the following activities:

recording of any shortages, defects, incorrect products, poor delivery, poor service, errors in documentation or invoicing etc., records should be reviewed regularly.

reviewing of performance on a regular basis

carrying out audits on subcontractors.

Procedures should identify any action to be taken if a subcontractor fails to meet requirements which ultimately may include removal from the approved subcontractors list, if necessary.

In many cases, education and training providers may subcontract or franchise out to external organisations, whole or significant parts of programmes or courses. The selection and continued use of subcontract organisations should be closely controlled and performance monitored to ensure service specifications are being met.

4.6.3 Purchasing DataPurchase orders or requisitions should fully describe the product or service being purchased. Orders should be fully documented and whilst they may initially be verbal, a documented record would be expected.

4.6.4 Verification of Purchased ProductsWithin education and training this may include situations where the customer wishes to verify the suitability of such items as work experience placements, training facilities, residential accommodation etc.

4.7 Control of Customer Supplied Product/Service/InformationThis clause means that anything supplied by your customers to enable you to carry out your service must be fit for the purpose, safeguarded against loss and protected from damage. This includes information, books, documentation or equipment, also premises where training is provided at a customer’s location. Assignments or projects which must be returned may also be included.


4.8 Product/Service Identification and TraceabilityThis clause encompasses all points of identification and traceability of the service delivery, which should include student/trainee records and identification, staff records, “who did what, when and where” and programme/course records from planning, enrolment to completion and archiving.

Specific traceability requirements should be established at contract review and maintained throughout the delivery of the course or programme.

4.9 Process ControlThis requirement encompasses all activities relating to the delivery of service carried out on behalf of the customer covered by the scope of the quality management system.

The following list gives examples of typical procedures which may be required:

course planning and developmentstudent inductiondelivery of learningcourse monitoringcourse review and evaluationcourse materials and programmestimetablingregistration/attendance recording proceduresrequirements for visuals, handouts, etcaccommodationlaboratory facilitiesworkshop facilitieslibrary/learning resourcesexternally run courses

4.10 Inspection and Testing4.10.1 General

Documented procedures and records should exist to confirm specific requirements for service delivery have not been met.

4.10.2 Receiving Inspection and TestingThis should include the consideration of incoming students/trainees by comparison with programme entry criteria and acceptance of prior learning. The existence of “open doors” policy need not negate the requirement to establish the needs of incoming pupils/students/trainees. Knowledge of these needs could well effect the structure and content of the programme to improve the service offered to individual pupils/students/trainees.

In the case of incoming products, eg supplies, these should be inspected prior to use and records of this inspection maintained.


However, the inspection may be reduced if effective preventive techniques are employed, such as purchasing items form approved subcontractors where high confidence levels have been established, and products should be consistently supplied to specification.

Services provided by subcontractors including teaching activities should also be monitored and checked to ensure they are meeting their agreed contracts and a record of those inspections maintained. (See Clause 4.6.2, Evaluation of subcontractors)

4.10.3 In-process InspectionThis covers those checks and inspections carried out during the provision of the service to ensure compliance with the planned programme. This could include student/trainee profiling, student assessment, course evaluation and staff records.

Funding bodies require evidence of “direct observation of training, teaching and other activities” as part of their inspection process. Procedures should include teaching assessment of both full-time and part-time staff.

4.10.4 Final Inspection and TestingWithin education and training this clause covers any assessment, monitoring, test or examination which is laid down to evaluate the performance of the programme or student/trainee. Evaluation methods and criteria will depend on the type of course/programme and could result in methods ranging from the simple attendance records to a fully validated set of examinations.

4.10.5 Inspection and test recordsProcedures should ensure all required assessments, reviews and evaluations of students/trainees and courses/programmes have been carried out and the results are recorded.

4.11 Control of Inspection measuring and test equipmentThere are three aspects to which this clause may apply:

a) Measures taken to ensure student assessment is consistent. Consistency is achieved through moderation of marking, internal verification, the work of examination boards (national, regional or in-house) and published literature/statistics.

b) Ensuring correct texts, software and equipment are available and used in the delivery of any curriculum in which students will be assessed, and ensuring all syllabi being followed are correct and current for the subject/level.

c) Ensuring equipment such as meters and gauges used in laboratories/workshops are calibrated to national standards where necessary. For equipment used in external examinations and any


consultancy work, the case for calibration must be carefully thought through and procedures documented accordingly. Consideration should be given to the accuracy of measurement necessary.

4.12 Inspection and test statusIn most cases the requirements of this clause will be satisfied through adequate documentation of student/trainee and programme records. Current condition and fitness for purpose of materials and facilities should be included.

4.13 Control of nonconforming product/service4.13.1 General

Nonconformance can be identified in either the programme, students/trainees performance, or materials/services purchased for use in the provision of the service.

4.13.2 Review and disposition of nonconforming product/serviceThis is the action taken as a result of any type of nonconformance. Requirements referred to in the standard will need to be suitably interpreted depending whether the student/trainee, programme, or support materials, tools and activities are being considered.

For example, a student/trainee may encounter problems, fail assessments or not make expected progress. Appropriate action may be: provide learning support or additional tuition continue at the tutor’s discretion resit assessments or repeat part of the work transfer to another course/programme request to leave

A course/programme may be: redeveloped terminated

Unserviceable facilities, materials or equipment should be clearly identified or segregated to prevent use.

4.14 Corrective and preventive actionSystems should address complaints, student/trainee/parent/employer comments, the results of audits, retention rates, monitoring, review and evaluation. Procedures should include the analysis of nonconformities in service delivery and the review of procedures as part of preventive action. This clause is critical to the development of a culture of continuous improvement within the institution.

4.15 Handling, storage, packaging, preservation and deliveryThis clause covers all the functions of student/trainee care including joining instructions, healthcare availability, career guidance, counselling, personal safety, accommodation, transport etc.


Additionally, it can also include programme resources and materials, tools, equipment, handouts or examination papers.

Any statutory requirements such as health and safety, COSHH, Food Safety Act must be considered.

It is difficult to cross-refer to education and training the individual headings of this clause from the standard. Hence, they are omitted here.

Note: Some of the functions included in clause 4.15 could be documented under Process Control.

5.0 APPLYING FOR REGISTRATION5.1 Registration to ISO 9000 is a formal procedure carried out by an

independent third party certification body, such as BSI. An assessment of the quality system is carried out to ensure it meets the requirements of the Standard. If it does, the university, college or training organisation is issued with a certificate of registration covering those activities which have been assessed and is allowed to display, in the case of BSI, the BSI Registered logo.

Preparation5.2 Before an application for assessment can be made, preparation will

need to be carried out in documenting and implementing the quality system.

5.3 BSI does not provide consultancy but is able to offer informal advice throughout the development of the quality system, based on experience of assisting other institutions in the education and training sector. It is advisable to make contact with the certification body in early stages.

5.4 Training courses are available from BSI for staff involved in the development and running of the quality system. These include initial awareness of the requirements of ISO 9000, preparation of documentation, and training in internal auditing and assessing techniques.

5.5 Professional assistance in preparing the quality system is available from a number of consultancy firms. In selecting a consultant, care should be taken to ensure they understand how an educational/training organisation operates and that they have a thorough understanding and experience of the application of ISO 9000 in such an organisation.

Making application to BSI5.6 A quotation for the registration fees can be prepared by BSI, an initial

visit may be carried out. Fees are based on the amount of assessment work required, which will be influenced by the scope of activity to be assessed and the complexity of the quality system. A budgetary figure


can be provided on receipt of the initial enquiry. A formal application must then be submitted. On receipt of the application a locally based Client Manager will be appointed who will co-ordinate your assessment programme.

5.7 On receipt of the application, the first stage of the assessment is to carry out an initial appraisal of the Quality Manual on site to ensure the requirements of ISO 9000 have been addressed satisfactorily. Following approval of the Quality Manual, a mutually agreed assessment date is confirmed.

5.8 An optional pre-assessment can be carried out. Pre-assessment can be viewed as an informal client-controlled audit, as it concentrates on those areas which will be of maximum benefit and does not result in pass/fail. Costs for pre-assessment can be agreed at the quotation stage.

The assessment5.9 The BSI assessor(s) will arrive on the mutually agreed date and use

the Quality Manual to plan the assessment. The process begins with an opening meeting with management, following which the assessors will then need to have access to key members of staff. The assessment checks that the procedures laid down in the Quality System are being followed, essentially “Do you do what you say you do in your documented system?”. Adequate evidence in the form of records should be made available to demonstrate the effective operation of all parts of the quality system.

5.10 There are many and varied questions asked during assessment, all of which are aimed at proving the effectiveness, or otherwise, of the quality management system, examples include:

Quality system documentation: how it is kept up to date; how do staff know if it is up to date; how re obsolete documents and procedures controlled; do the actions of the staff comply with the procedures in the Manual?

Are Internal Audits and Management Reviews carried out correctly and according to plan; how are results recorded and corrective and preventative actions cleared?

Are everyone’s responsibilities clearly defined; are staff aware of and understand the Quality Policy?

5.11 At the end of the assessment, a closing meeting is held where the findings of the assessment will be announced. Any items of nonconformance and appropriate corrective actions will be discussed. There are three possible outcomes to the assessment:

recommendation for registration;


qualified recommendation for registration, which usually means that some form of corrective action is indicated (a limited reassessment may be needed to check this);

no recommendation for registration at that time, which usually means that a reassessment is necessary.

Registration by BSI5.12 Once assessment has been successful, the certificate of registration is

issued. Registration is subject to annual fees, which include at least two visits per year when partial assessments are carried out to ensure continuing compliance with the Standard. Visits are programmed to ensure that maximum benefit is gained from each visit. Feedback on the effectiveness of the Quality System is provided to facilitate a process of continuous improvement.

5.13 The certification programme includes biennial review of the registration. Every two years your Client Manager will review the results of the continuing assessment visits with you, feedback though this review is used to further develop the effectiveness of your quality management system. It is important senior management is represented at the biennial review to ensure continuing commitment.

5.14 Following registration, BSI will support your promotional activities. You will be allowed to display the BSI Registered Symbol and we can arrange a certificate presentation to maximise publicity opportunities.


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