Notre Dame University Preparedness for ISO 9001:2015 Certification

This research aims to identify the level of preparedness of the university in trying to acquire an ISO
Certification. It aims to assess the university has the potential and resources in acquiring the certification and
how prepared the university is in terms of the five activities considered in implementing the system.

Please encircle the number which corresponds to your sectors capability of conforming to the following requirements
using the following scale:

5 VERY PREPARED AND READY complete documentations/ can be exercised immediately

4 PREPARED AND READY slightly complete documentations/ slight preparation is needed to exercise

3 FAIRLY PREPARED AND FAIRLY READY documents are lacking/ preparation is needed to exercise

2 POORLY PREPARED AND NOT READY incomplete documentations/ major preparations are needed to exercise

1 NEITHER PREPARED NOR READY no documentations at all/ cannot exercise

Clause 4: Context of the Organization

This clause focuses on understanding the organization, the needs of interested parties and the scope of the
Quality Management System.
The university is capable of
1. 1. Determining the internal and external issues that are relevant to its
purpose and strategic direction.
2. 2. Monitoring and reviewing these issues (internal and external) on its
ability to impact to the Quality Management System and its intended
results.
3. 3. Determining the requirements of relevant parties. (e.g. a person or
organization that can affect, be affected by, or perceive themselves to
be affected by a decision or activity.)
4. Determining the processes needed for the quality management system
and their application throughout the organization process pertaining to
all requirements of ISO 9001:2015 standards
5. Determining the sequence and interaction of the processes of the
quality management system.
6. Determining criteria and the methods needed to ensure that both the
operation and control of these processes are effective.
7. Ensuring that all the resources and information required for operation
and monitoring of the processes are available from time to time.
8. Having planned arrangements for monitoring measurement, wherever
applicable, and analysis of the processes.
9. Implementing the planned arrangements along with their control
mechanism for the achievement of planned results and for continual
improvement of the processes.
Clause 5: Leadership and Commitment
This section provides requirements for commitment, policy and responsibilities.
Is the top management committed to lead and aim for development and
Yes No
implementation? If Yes, can it perform the following?
1. Communicate to the organization about the importance of maintaining high
5 4 3 2 1
quality of instructional process.
2. Satisfy the requirements of students and the employing organizations is
communicated to the employees from time to time through circulars, 5 4 3 2 1
notices, meetings etc.
3. Establish and display a quality policy at prominent locations in the
University and everyone has been made to understand the intent of the 5 4 3 2 1
quality policy and the commitment contained in it.
4. Establish Quality objectives along with their means and measures. 5 4 3 2 1
5. Conduct management reviews at planned intervals to ensure the continuing
5 4 3 2 1
suitability, adequacy and effectiveness of the quality management system.
6. Resources are made available as and when required for carrying out
5 4 3 2 1
activities.

Clause 5.2: Policy

Is the top management able to come up with a quality policy which
1. Is appropriate to the context of the organization? 5 4 3 2 1
2. Includes a commitment to comply with requirements and continually
5 4 3 2 1
improve the effectiveness of the quality management system?
3. Provides a framework for establishing and reviewing quality objectives? 5 4 3 2 1
4. Can be communicated, understood and applied throughout the
5 4 3 2 1
organization?
5. Can be reviewed for continuing stability? 5 4 3 2 1
6. Is documented and accessible to all interested parties?
Clause 5.3: Organizational Roles, Responsibilities and Authorities
Is the top management able to assign a member of the organization responsible
for
1. Making sure that the Quality Management System meets IS) 9001:2015s
5 4 3 2 1
requirements?
2. Making sure that the processes produce effective outputs? 5 4 3 2 1
3. Reporting on the Quality Management System and improvement
5 4 3 2 1
opportunities to top management?
4. Driving a customer focus throughout the company?
5. Ensuring Quality Management System stays effective when changes occur?

Clause 6: Planning
This planning section also requires a greater application of goals and objectives to integrate with the
management systems planning and operation to generally facilitate success of the organization.
Clause 6.1: Addressing risks and opportunities
Is the organization able to come address risks and opportunities that are
1. Planned and carefully defined as to what will happen, who are involved,
5 4 3 2 1
when it will be done and what resources to be used?
2. Integrated to the Quality Management System processes? 5 4 3 2 1
3. Proportional? (most significant risks matched against most significant
5 4 3 2 1
actions)
4. Checked for effectiveness? 5 4 3 2 1
Clause 6.2: Quality Objectives and planning to achieve them
Is the top management able to come up with quality objectives that
1. Are established at relevant functions and levels within the organization? 5 4 3 2 1
2. Are measurable and consistent with quality policy? 5 4 3 2 1

Clause 7: Resources
Can the sector determine and provide the resources needed to
1. Implement and maintain quality management system and continually
5 4 3 2 1
improve its effectiveness?
2. Enhance stakeholder satisfaction by meeting stakeholder requirements? 5 4 3 2 1

Clause 7.1.6 Organizational Knowledge

This pertains to the organizations knowledge for operating the process and for producing services that meet
the requirements.
The organization can
3. Define and document this knowledge. 5 4 3 2 1
4. Make the documents accessible to employees. 5 4 3 2 1

Clause 7.2: Competence

The organization
1. Determines the necessary competence for personnel performing work affecting
5 4 3 2 1
conformity to service requirements
2. Provides training or take other actions to achieve necessary competence 5 4 3 2 1
3. Evaluates the effectiveness of actions taken 5 4 3 2 1
4. Ensures that the personnel are aware of the relevance and importance of and
5 4 3 2 1
how they contribute to the achievements of quality objectives
5. Maintains appropriate records of education, training, skills and experience 5 4 3 2 1

Clause 7.4 and 7.5: Communication and Documented Information

A. Communication

The organization creates and ensures that appropriate communication processes

5 4 3 2 1
are established within the organization.

B. Documentation Requirements

Our sector has the capacity to produce documents on

1. Statement of quality policy and quality objectives (refer to page 3) 5 4 3 2 1
2. A quality manual (optional) 5 4 3 2 1
3. Documented procedures and records required by the International Standard
5 4 3 2 1
4. Records, determined by the organization to be necessary to ensure the
5 4 3 2 1
effective planning, operation and control of its process.
*Note that documentations can be in any kind of medium

C. Control on Documentation Requirements

Our sector is capable of

1. Stipulating uniform document coding/numbering system and to ensure
correct identification, access, reference, withdrawal and updating of 5 4 3 2 1
documents.
 2. Establishing master list, identifying the current/revision status of
5 4 3 2 1
documents.
3. Ensuring ready availability of the latest versions of the document at the
identified use points through a circulation list and withdrawals and issue 5 4 3 2 1
procedure.
4. Prescribing a standard procedure for removal and disposal of
invalid/obsolete documents as well as identification for retention of any of 5 4 3 2 1
the obsolete/redundant documents for further reference/requirement.
5. Releasing of revised documents to authorized holders as per change control
5 4 3 2 1
procedures.
6. Reviewing and updating documents as necessary and re-approving. 5 4 3 2 1
7. Reviewing of the changes to the document/data by the same
5 4 3 2 1
functionary/organization that framed and proved the original documents.
8. Updating the master list upon withdrawal of the obsolete documents and
5 4 3 2 1
insertion of revised/changed data.
9. Maintaining the background information upon which the document is
changed is maintained. The nature of changes is shown in the document or 5 4 3 2 1
on the amendment record sheet.
10. Identifying documents of external origin for the planning and operation of
5 4 3 2 1
the Quality Management System and control of their distribution.
11. Preventing the obsolete documents from unintended use by removing them
5 4 3 2 1
from the point of use.
12. Preparing records that are legible, readily identifiable and retrievable. 5 4 3 2 1

Clause 8: Operational Planning and Control

8.2.1 Customer Communication

Can the organization determine and implement effective arrangements for

communicating with customers in relation to
1. Service Information? 5 4 3 2 1
2. Inquiries, orders and changes? 5 4 3 2 1
3. Stakeholder feedback, including stakeholder complaints? 5 4 3 2 1
4. Controlling customer property?
5. Establishing contingency actions?

8.2.2 Requirements related to products and services

Can the sector determine

1. The quality objectives and requirements for the service? 5 4 3 2 1
2. The need to establish processes and documents, and to provide resources
5 4 3 2 1
specific to the service?
3. The required verification, validation, monitoring, measurement, inspection
and test activities specific to the service and the criteria for service 5 4 3 2 1
acceptance?
4. The records needed to provide evidence that the realization processes and
5 4 3 2 1
resulting service meet requirements?
8.3 Design and Development of Services

The inputs of service requirements are determined and records that are maintained
include
1. Functional and performance requirements? 5 4 3 2 1
2. Applicable statutory and regulatory requirements? 5 4 3 2 1
3. Where applicable, information derived from previous similar designs? 5 4 3 2 1
4. Other requirements essential for design and development? 5 4 3 2 1
Does the design and development output
1. Meet the input requirements for design and development? 5 4 3 2 1
2. Provide appropriate information for enrolling, purchasing, hiring operations
5 4 3 2 1
and service provision?
3. Contain or reference service acceptance criteria? 5 4 3 2 1
4. Specify the characteristics of the service that are essential for its safe and
5 4 3 2 1
proper use?

8.4 Control of Service Provision

Validation of Processes for Service Provision

Can the sector establish arrangements for processes for service provision include
the following:
1. The ability of information that describes the characteristics of the service? 5 4 3 2 1
2. The availability of work instructions, as necessary? 5 4 3 2 1
3. The use of suitable equipment, technology, devices, and the like? 5 4 3 2 1
4. The availability and use of monitoring and measuring equipment,
5 4 3 2 1
technology, devices, and the like?
5. The implementation of monitoring and measurement? 5 4 3 2 1
6. The implementation of service, delivery and post-delivery activities? 5 4 3 2 1
Equipment defined, but limited to equipment, technology, devices, tools among others.

8.5 Service Provision

Does the school establish arrangements for processes for service provision include
the following:
1. Defined criteria for review and approval of the processes? 5 4 3 2 1
2. Approval of qualification of personnel? 5 4 3 2 1
3. Use of specific methods and procedures? 5 4 3 2 1
4. Requirements for control of records? 5 4 3 2 1
5. Revalidation? 5 4 3 2 1
8.5.2 Identification and Traceability

Does the unit/ sector head identify the service status with respect to monitoring
5 4 3 2 1
and measurement requirements throughout the service realization?

Clause 9: Measurement, Monitoring, Analysis and Improvement

A. Management Review

Does the management review the organizations quality management system at

5 4 3 2 1
planned intervals to ensure its continuing stability, adequacy and effectiveness?
 B. Internal Audit

Can the organization conduct internal audits, both financial and operational, at
planned intervals to determine whether the quality management system:
1. Conforms to the planned arrangements to the requirements of the International
5 4 3 2 1
Standard/ regulatory requirement?
2. Conforms to the quality management system requirements established by the
5 4 3 2 1
organization?
3. Is effectively implemented and maintained. 5 4 3 2 1
Can the organization establish a procedure where the responsibilities and
requirements and conducting audits, establishing records and reporting records are 5 4 3 2 1
properly documented

C. Control of Monitoring and Measuring Instrument

Are the measuring instruments through examinations and evaluations carried out in
5 4 3 2 1
a consistent manner with the monitoring and measurement requirements?
Are the test of controls and evaluations
1. Calibrated or verified at regular intervals against a measurement standard
5 4 3 2 1
recorded?
2. Adjusted or re-adjusted as necessary? 5 4 3 2 1
3. Have identification in order to determine its calibration status? 5 4 3 2 1
4. Safeguarded from adjustments that would invalidate the measurement result. 5 4 3 2 1
5. Protected from damage and deterioration during handling, maintenance and
5 4 3 2 1
storage.

Clause 10: Improvement

The organization is able to adapt or change risks and opportunities, the Quality
Management System and/or other processes to continually improve the 5 4 3 2 1
organization?