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ISO 9001:2015 - Is Strategic Planning audited?

B

BoardGuy

#11
Thanks Boardguy

Please explain the next:When you defined the strategic direction " “The Company’s strategy is to grow....." it is stated in a special document?
and what is the relationship with policy, objectives, is it separated? is it additional?
on the other hand, in the output of management review meetings, how you will translate the strategic direction into facts?
A special document of a business analysis,some complex studies?, or just the same documents we usually used in 2008 version?
procedures, records, objectives, work instructions, and so on?
Please clarify.
Thanks
1) Strategic Direction (SD) does not have to be published to the employees of the organization because top management may have a SD to sell the company so it could be just information maintained by the company president. Within my organization it’s just part of management review records.

2) Don’t overthink the requirement because TC 176 didn’t, they just through the term into the standard without even the courtesy to explain it. Your management review record could just simply say that the quality policy and objectives where reviewed and found to align with the context of the organization and its strategic direction. If they did not, then report that a change to the quality policy, objective or strategic direction was made for better alignment.

3) For my organization we created a “Context of the Organization” top level procedure which states that the items previsions identified are linked to SD and will be reviewed during the regularly scheduled management review meeting. The ISO 9001:2015 requirement is part of 9.3.1

4) Questions that may be asked during an audit could be:

5.5.1- Has the organization established and maintain the quality policy and objectives aligned to the strategic direction, e.g. context of the organization, external/issues (see 4.1).

5.2.1- Has top management provided the provisions for establishing the quality policy that aligns with the context of the organization (see 4.1), e.g. purpose, strategic direction etc.?

[FONT=&quot]6.2.1 – Does the organization maintain documented information to demonstrate that the quality objectives are consistent with the quality policy (see 5.2.1) to ensure that they underpin the strategic direction of the organization?[/FONT]

9.3.3 – Does the documented information of the management review indicated that the QSM is suitable, adequate and effective in its alignment with the organizations strategic direction?
 
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Big Jim

Super Moderator
#12
Without wanting to start off our usual flamethrower debate. :truce:

How is the 1st requirement in ISO 9001:2015:auditable if the organisation doesn't make its strategic direction available to an auditor?
That's a good question. However it does not appear that the organization is required to disclose the strategic direction if they don't want to.

My experience with this so far is that most organizations are willing to share some aspects of their strategic direction, but others consider it to be proprietary information.

When an auditor cannot look at documented information on any topic because the standard doesn't require it for any given topic and the organization has chosen not to have documented information on that topic, the auditor is still obligated to determine what their practice is. That is done by interview and observation. So by interview an auditor asks enough of the right questions to determine that the strategic direction was considered.

Think about it for a moment. Don't you think that virtually all owners are keenly aware of their strategic direction? And would that awareness drive them to consider it in all of their decisions? What kind of business leaders would they be if they didn't?
 

Marc

Hunkered Down for the Duration with a Mask on...
Staff member
Admin
#13
<snip> That is done by interview and observation. So by interview an auditor asks enough of the right questions to determine that the strategic direction was considered. <snip>
I think what a lot of people are wanting is to know some questions an auditor would ask (ok, might ask) to determine (in this case) that the strategic direction was considered.

This gets to be a bit dumb in my opinion - What company does NOT have a "strategic direction"? Even a doughnut shop or bicycle repair shop has some type of "strategic direction".

Edit add: BoardGuy gave a few above.
 
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dsanabria

Quite Involved in Discussions
#14
Hi all

When reading the standard, the strategic direction term it is mentioned frequently, it seems we have to do different things that we did in the past.


Do you think that very different action an auditor will expect of it when auditing 2015?

In your opinion what actions do you plan to do but different to the one you have implemented in the past, considering the way the standard stress the term?

Additionally, it depends how important is the strategic direction, for some companies, will be considered just to comply with the standard, while others surely will implement really strategic planning.

Please share examples of strategic direction in your company.

Thanks
Don't overthink it.

Yes - it should be audited but it is a simple as talking to you top management (i.e. President / owner / CEO / CFO General Manager) you get the point -and ask them for their vision for the company. LISTEN and follow the threads.

Yes - you just audited that concept - strategic planning.
 
S

Strategy

#15
During our audit the questions including?
What are the inputs to your strategic planning process?
How is priority given to different strategies?
Outputs and linkage to operational and tactical objectives.
 
#16
During our audit the questions including?
What are the inputs to your strategic planning process?
How is priority given to different strategies?
Outputs and linkage to operational and tactical objectives.
Welcome:
The auditor was asking for things which aren't in the standard! There's no requirement, for example, for a "strategic planning process"...
 

Golfman25

Trusted Information Resource
#17
Welcome:
The auditor was asking for things which aren't in the standard! There's no requirement, for example, for a "strategic planning process"...
Right, but they might have one. We dump a lot of the management/leadership stuff into our strategic planning. And that's what we use to show evidence of compliance.
 
#18
Right, but they might have one. We dump a lot of the management/leadership stuff into our strategic planning. And that's what we use to show evidence of compliance.
True, but that's not apparently what the auditor asked. THAT'S my point. Auditors often lead with questions which are NOT requirements. If it was established that the client HAD a strategic plan, that's different.
 

dsanabria

Quite Involved in Discussions
#19
Welcome:
The auditor was asking for things which aren't in the standard! There's no requirement, for example, for a "strategic planning process"...
Totally agree with AndyN....

Your auditor has gone rogue and is implementing items that are not in the standard - you should respond - I don't have them - is it a requirement by the standard?

the appeal the NCR....
 

Big Jim

Super Moderator
#20
Welcome:
The auditor was asking for things which aren't in the standard! There's no requirement, for example, for a "strategic planning process"...
I agree. Those questions were improper.

The limit to what can be asked about is how external and internal issues that are relevant to your strategic direction.

You don't have to reveal your strategic direction unless you want to.

Strategic direction is new to the standard, but it is not new to business. Few if any companies don't have a strategic direction. It may not be shared beyond top management, but they have one. In simple terms their strategic direction is where they expect to be in five or ten years.

It has been my experience that most top managers are eager to share it though and don't mind talking about it.

Once they understand that an auditor is probing to determine that their evaluation of external and internal issues address their strategic direction they open up and show what the issues are and pointedly show how it could impact their strategic direction. This is not a new activity for them, just the first time it has come up in a QMS audit.
 
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