ISO 9001 Certification: Establishing an Effective Quality Policy

The quality policy requirement is one of the most important aspects of ISO 9001:2015, as it is designed to encourage good practices and the right mindset within the organization regarding all quality-related aspects.

Policies, in general, are established to manage areas where decisions need to be made and often to differentiate one organization from another in the way things are done. They typically exist in all organizations and at all levels, although they are not always referred to as "policies." Any guideline that directs actions or decisions, whether documented or informally communicated, can be classified as a policy.

In general, policies act as a framework that determines how predefined objectives should be achieved. They can also serve as tools for translating the organization's shared values into products and services. Quality policy is specifically addressed in sections 5.2.1 and 5.2.2a of the standard, which require its existence, while sections 5.2.2a and 5.2.2c mandate that it be made available to relevant stakeholders. Section 5.2.1 of ISO 9001:2015 requires the implementation of the quality policy, while section 5.2.2b requires its application. Additionally, section 5.2.2b mandates that the quality policy be fully understood.

Let’s examine the eight requirements of section 5.2, grouping them into five key areas:

1. Establishing an appropriate quality policy (5.2.1a, 5.2.1c, and 5.2.1d)
2. Providing a framework for quality objectives (5.2.1b)
3. Maintaining the quality policy as documented information (5.2.2a)
4. Communicating and applying the quality policy (5.2.2b)
5. Making the quality policy available to relevant stakeholders (5.2.2a and 5.2.2c)

Establishing an Appropriate Quality Policy

The ISO 9001:2015 standard defines a quality policy as a policy related to quality. This definition becomes clearer when substituting "policy" and "quality" with their respective definitions found in ISO 9000 and reviewing the concepts of "requirement" and "object." This implies that the quality policy is not only relevant to top management when making decisions but should also apply to everything needed or expected within the organization. While organizations may have various policies addressing specific management areas—such as pricing, investment, or safety—the quality policy specifically focuses on ensuring that activities are conducted optimally, whether in manufacturing, meetings, conflict resolution, or other areas where needs and expectations must be met.

The quality policy defines the organization’s stance on how these needs and expectations should be managed. However, as described in ISO 9001, the quality policy primarily concerns itself with quality system needs related to products and services provided to customers. At a minimum, therefore, the quality policy must address customer needs and expectations, whose fulfillment depends on how upstream needs—such as the outputs of different processes within the quality system—are met. Establishing a quality policy appropriate to an organization’s purpose means drafting a document that aligns with what the organization has committed to doing and where it intends to go.

For a quality policy to be effective, it must reflect the organization's beliefs and support both thought processes and actions. But why is it necessary to establish a quality policy? First and foremost, to make it clear to employees that the organization has made commitments that must be upheld by everyone. Clearly communicating this ensures that actions and decisions prioritize meeting the requirements of key stakeholders.

If an issue arises unexpectedly from interactions within the system, it is crucial to create conditions in which people can be confident that their expectations will be met. Failing to organize and keep policies up to date gradually leads organizations toward decline. Continuous improvement actions are necessary not only to tackle new challenges but also to maintain the status quo.

Providing a Framework for Quality Objectives

There are two interpretations of this requirement. The first suggests that every statement within the quality policy should be linked to at least one objective and that lower-level objectives should connect to higher-level quality objectives, which, in turn, align with the quality policy.

In this approach, objectives ensure that the policy is put into practice. The second interpretation considers the quality policy as a set of guiding principles, values, and constraints that should be used to ensure that objectives are appropriate for achieving the organization’s purpose. According to this view, policies serve as a framework for measuring objectives or establishing appropriate objectives.

In any case, if the quality policy is not strongly linked to business processes, it remains merely an aspirational document with no real impact. A policy must serve as a practical tool for measuring organizational success through achieved objectives. A truly functional system emerges only when objectives are derived from customer needs and policies are based on the constraints that define how to achieve these objectives. To demonstrate that the quality policy provides a framework for setting objectives, an organization should:

1. Present statements related to the quality policy and objectives;
2. Show that achieved results align with the policy;
3. Demonstrate how success measurements for each objective align with the quality policy.