Quality management systems -- Particular requirements for the application of ISO 9001:2015 for electoral organizations at all levels of government

This International Standard specifies requirements for a quality management system when an organization: a) needs to demonstrate its ability to consistently provide products and services that meet customer and applicable statutory and regulatory requirements, and b) aims to enhance customer satisfaction through the effective application of the system, including processes for improvement of the system and the assurance of conformity to customer and applicable statutory and regulatory requirements. All the requirements of this International Standard are generic and are intended to be applicable to any organization, regardless of its type or size, or the products and services it provides. NOTE 1 In this International Standard, the terms "product" or "service" only apply to products and services intended for, or required by, a customer. NOTE 2 Statutory and regulatory requirements can be expressed as legal requirements. This document specifies requirements for a quality management system where an electoral organization: — needs to demonstrate its ability to manage elections by secret ballot, to provide reliable, transparent, free and fair results that comply with electoral requirements; — within the established legal framework, aims to enhance the trust and confidence of citizens, candidates, political organizations and other electoral interested parties through the effective implementation of the electoral quality management system, including processes for continual improvement. NOTE 3 Electoral bodies can be constituted to reflect local legal requirements. NOTE 4 In this document, the term "product" only applies to the electoral service provided by an electoral body. This document is applicable to the election period, including pre-election and post-election activities or processes. This document is applicable to all electoral bodies involved in any aspect of the electoral process, whether they are permanent organizations or temporary organizations established in support of a particular election period.

Systèmes de management de la qualité -- Exigences particulières pour l'application de l'ISO 9001:2015 aux organismes électoraux à tous les niveaux du gouvernement

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Status
Published
Publication Date
07-Apr-2019
Current Stage
6060 - International Standard published
Start Date
27-Feb-2019
Completion Date
08-Apr-2019
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TECHNICAL ISO/TS
SPECIFICATION 54001
First edition
2019-04
Quality management systems —
Particular requirements for the
application of ISO 9001:2015 for
electoral organizations at all levels of
government
Systèmes de management de la qualité — Exigences particulières
pour l'application de l'ISO 9001:2015 aux organismes électoraux à
tous les niveaux du gouvernement
Reference number
ISO/TS 54001:2019(E)
ISO 2019
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ISO/TS 54001:2019(E)
COPYRIGHT PROTECTED DOCUMENT
© ISO 2019

All rights reserved. Unless otherwise specified, or required in the context of its implementation, no part of this publication may

be reproduced or utilized otherwise in any form or by any means, electronic or mechanical, including photocopying, or posting

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Published in Switzerland
ii © ISO 2019 – All rights reserved
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ISO/TS 54001:2019(E)
Contents Page

Foreword ..........................................................................................................................................................................................................................................v

Introduction ................................................................................................................................................................................................................................vi

1 Scope ................................................................................................................................................................................................................................. 1

2 Normative references ...................................................................................................................................................................................... 2

3 Terms and definitions ..................................................................................................................................................................................... 2

3.1 Terms related to electoral quality management system ..................................................................................... 2

3.2 Terms related to electoral infrastructure and logistics ........................................................................................ 3

3.3 Terms related to voting .................................................................................................................................................................... 4

4 Context of the organization ....................................................................................................................................................................... 6

4.1 Understanding the organization and its context ....................................................................................................... 6

4.2 Understanding the needs and expectations of interested parties .............................................................. 6

4.3 Determining the scope of the quality management system ............................................................................. 7

4.4 Quality management system and its processes .......................................................................................................... 8

5 Leadership .................................................................................................................................................................................................................. 9

5.1 Leadership and commitment ..................................................................................................................................................... 9

5.1.1 General...................................................................................................................................................................................... 9

5.1.2 Customer focus ...............................................................................................................................................................10

5.2 Policy ............................................................................................................................................................................................................10

5.2.1 Establishing the quality policy ..........................................................................................................................10

5.2.2 Communicating the quality policy .................................................................................................................10

5.3 Organizational roles, responsibilities and authorities.......................................................................................11

6 Planning ......................................................................................................................................................................................................................12

6.1 Actions to address risks and opportunities ................................................................................................................12

6.2 Quality objectives and planning to achieve them ...................................................................................................13

6.3 Planning of changes .........................................................................................................................................................................13

7 Support ........................................................................................................................................................................................................................14

7.1 Resources ..................................................................................................................................................................................................14

7.1.1 General...................................................................................................................................................................................14

7.1.2 People .....................................................................................................................................................................................14

7.1.3 Infrastructure ..................................................................................................................................................................14

7.1.4 Environment for the operation of processes ........................................................................................16

7.1.5 Monitoring and measuring resources ........................................................................................................17

7.1.6 Organizational knowledge ....................................................................................................................................18

7.2 Competence ............................................................................................................................................................................................18

7.2.1 General...................................................................................................................................................................................18

7.2.2 General for the electoral body ...........................................................................................................................18

7.2.3 Education and training of poll workers ....................................................................................................19

7.3 Awareness ................................................................................................................................................................................................19

7.4 Communication ...................................................................................................................................................................................19

7.5 Documented information ............................................................................................................................................................20

7.5.1 General...................................................................................................................................................................................20

7.5.2 Creating and updating ..............................................................................................................................................20

7.5.3 Control of documented information ............................................................................................................21

7.5.4 Minimum documentation requirements ..................................................................................................21

7.5.5 Control of records ........................................................................................................................................................23

7.5.6 Minimum records requirements .....................................................................................................................23

8 Operation ..................................................................................................................................................................................................................27

8.1 Operational planning and control .......................................................................................................................................27

8.2 Requirements for products and services ......................................................................................................................28

8.2.1 Customer communication .....................................................................................................................................28

8.2.2 Determining the requirements for products and services .......................................................28

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ISO/TS 54001:2019(E)

8.2.3 Review of the requirements for products and services ..............................................................29

8.2.4 Changes to requirements for products and services .....................................................................29

8.3 Design and development of products and services ..............................................................................................30

8.3.1 General...................................................................................................................................................................................30

8.3.2 Design and development planning ................................................................................................................30

8.3.3 Design and development inputs ......................................................................................................................32

8.3.4 Design and development controls .................................................................................................................32

8.3.5 Design and development outputs ..................................................................................................................33

8.3.6 Design and development changes .................. ................................................................................................33

8.4 Control of externally provided processes, products and services ...........................................................34

8.4.1 General...................................................................................................................................................................................34

8.4.2 Type and extent of control ....................................................................................................................................34

8.4.3 Information for external providers ...............................................................................................................35

8.5 Production and service provision ........................................................................................................................................36

8.5.1 Control of production and service provision ........................................................................................36

8.5.2 Identification and traceability ...........................................................................................................................37

8.5.3 Property belonging to customers or external providers ............................................................37

8.5.4 Preservation ......................................................................................................................................................................37

8.5.5 Post-delivery activities ............................................................................................................................................38

8.5.6 Control of changes .......................................................................................................................................................38

8.6 Release of products and services .........................................................................................................................................39

8.7 Control of nonconforming outputs .....................................................................................................................................39

9 Performance evaluation ............................................................................................................................................................................40

9.1 Monitoring, measurement, analysis and evaluation ............................................................................................40

9.1.1 General...................................................................................................................................................................................40

9.1.2 Customer satisfaction ...............................................................................................................................................41

9.1.3 Analysis and evaluation ..........................................................................................................................................41

9.2 Internal audit .........................................................................................................................................................................................42

9.3 Management review ........................................................................................................................................................................42

9.3.1 General...................................................................................................................................................................................42

9.3.2 Management review inputs .................................................................................................................................43

9.3.3 Management review outputs .............................................................................................................................43

10 Improvement .........................................................................................................................................................................................................44

10.1 General ........................................................................................................................................................................................................44

10.2 Nonconformity and corrective action ..............................................................................................................................45

10.3 Continual improvement ...............................................................................................................................................................45

Annex A (informative) Concept diagrams ....................................................................................................................................................46

Annex B (informative) Electoral processes .................................................................................................................................................50

Bibliography .............................................................................................................................................................................................................................54

iv © ISO 2019 – All rights reserved
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ISO/TS 54001:2019(E)
Foreword

ISO (the International Organization for Standardization) is a worldwide federation of national standards

bodies (ISO member bodies). The work of preparing International Standards is normally carried out

through ISO technical committees. Each member body interested in a subject for which a technical

committee has been established has the right to be represented on that committee. International

organizations, governmental and non-governmental, in liaison with ISO, also take part in the work.

ISO collaborates closely with the International Electrotechnical Commission (IEC) on all matters of

electrotechnical standardization.

The procedures used to develop this document and those intended for its further maintenance are

described in the ISO/IEC Directives, Part 1. In particular, the different approval criteria needed for the

different types of ISO documents should be noted. This document was drafted in accordance with the

editorial rules of the ISO/IEC Directives, Part 2 (see www .iso .org/directives).

Attention is drawn to the possibility that some of the elements of this document may be the subject of

patent rights. ISO shall not be held responsible for identifying any or all such patent rights. Details of

any patent rights identified during the development of the document will be in the Introduction and/or

on the ISO list of patent declarations received (see www .iso .org/patents).

Any trade name used in this document is information given for the convenience of users and does not

constitute an endorsement.

For an explanation of the voluntary nature of standards, the meaning of ISO specific terms and

expressions related to conformity assessment, as well as information about ISO's adherence to the

World Trade Organization (WTO) principles in the Technical Barriers to Trade (TBT) see www .iso

.org/iso/foreword .html.

This document was prepared by Technical Committee ISO/TC 176, Quality management and quality

assurance.

This first edition cancels and replaces ISO/TS 17582:2014, which has been technically revised. The

main changes compared with the previous edition are as follows:
— a new structure has been created based on the ten clauses of ISO 9001:2015.

— the specific electoral content has been placed under the clauses of the new structure.

Any feedback or questions on this document should be directed to the user’s national standards body. A

complete listing of these bodies can be found at www .iso .org/members .html.
© ISO 2019 – All rights reserved v
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ISO/TS 54001:2019(E)
Introduction
0.1 General

Conduct of periodic, free and fair elections by secret ballot is the fundamental distinctive characteristic

of a democratic political system. As such, the sustainability of the democratic political system is reliant

on effectively defined, implemented and controlled electoral services. The ultimate goal is to elect those

who will hold public office and to decide ballot proposals that affect the populace.

Vote casting is an expression of the fundamental political right to participate in public affairs

[7]

guaranteed by human rights instruments such as the Universal Declaration of Human Rights . This

process is based on the principle of one-person one-vote, without restrictions based on race, gender,

religion and social status. The registration and identification of eligible voters and the registration of

political organizations and candidates are essential to the electoral process.

Every electoral system has its own set of regulations, which vary between countries according to their

individual culture and traditions, and even within states where federal systems exist. The electoral

process is composed of a series of interrelated processes, conducted by the electoral bodies, political

organizations and the citizenship. These essential elements include determining who is eligible to

vote, registration of political organizations and candidates, electoral logistics, casting, counting and

accurate recording of votes, declaration of results, electoral education, oversight of campaign financing

and resolution of electoral disputes.

Electoral bodies are institutions that have responsibility for the administration of the electoral process,

including the preparation, organization, management, monitoring and promotion of the election, the

casting of the votes and counting of the ballots, the resolution of electoral disputes or the official

declaration of the election results.

The full and transparent implementation of each process constitutes the basis for the electoral body to

achieve legitimacy.

In this document, the text reproduced from ISO 9001:2015 is placed in boxes, in order to distinguish it

from the sector-specific guidance given for each clause.
ISO 9001:2015, Quality management systems — Requirements
Introduction
0.1 General

The adoption of a quality management system is a strategic decision for an organization that can

help to improve its overall performance and provide a sound basis for sustainable development

initiatives.

The potential benefits to an organization of implementing a quality management system based on

this International Standard are:

a) the ability to consistently provide products and services that meet customer and applicable

statutory and regulatory requirements;
b) facilitating opportunities to enhance customer satisfaction;

c) addressing risks and opportunities associated with its context and objectives;

d) the ability to demonstrate conformity to specified quality management system requirements.

This International Standard can be used by internal and external parties.
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ISO/TS 54001:2019(E)
It is not the intent of this International Standard to imply the need for:
— uniformity in the structure of different quality management systems;

— alignment of documentation to the clause structure of this International Standard;

— the use of the specific terminology of this International Standard within the organization.

The quality management system requirements specified in this International Standard are

complementary to requirements for products and services.

This International Standard employs the process approach, which incorporates the Plan-Do-Check-

Act (PDCA) cycle and risk-based thinking.

The process approach enables an organization to plan its processes and their interactions.

The PDCA cycle enables an organization to ensure that its processes are adequately resourced and

managed, and that opportunities for improvement are determined and acted on.

Risk-based thinking enables an organization to determine the factors that could cause its processes

and its quality management system to deviate from the planned results, to put in place preventive

controls to minimize negative effects and to make maximum use of opportunities as they arise (see

Clause A.4).

Consistently meeting requirements and addressing future needs and expectations poses a challenge

for organizations in an increasingly dynamic and complex environment. To achieve this objective, the

organization might find it necessary to adopt various forms of improvement in addition to correction

and continual improvement, such as breakthrough change, innovation and re-organization.

In this International Standard, the following verbal forms are used:
— “shall” indicates a requirement;
— “should” indicates a recommendation;
— “may” indicates a permission;
— “can” indicates a possibility or a capability.

Information marked as “NOTE” is for guidance in understanding or clarifying the associated

requirement.

The design and implementation of an electoral body’s quality management system is influenced by

its obligations under the applicable legal framework as determined by international law, national

constitutions and national law.

The electoral quality management system requirements specified in this document are complementary to

requirements for the electoral service provided by the applicable legal framework and the electoral body.

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ISO/TS 54001:2019(E)
0.2 Quality management principles
ISO 9001:2015, Quality management systems — Requirements
0.2 Quality management principles

This International Standard is based on the quality management principles described in ISO 9000.

The descriptions include a statement of each principle, a rationale of why the principle is important

for the organization, some examples of benefits associated with the principle and examples of typical

actions to improve the organization's performance when applying the principle.
The quality management principles are:
— customer focus;
— leadership;
— engagement of people;
— process approach;
— improvement;
— evidence-based decision making;
— relationship management.
There is no sector-specific guidance.
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ISO/TS 54001:2019(E)
0.3 Process approach
0.3.1 General
ISO 9001:2015, Quality management systems — Requirements
0.3 Process approach
0.3.1 General

This International Standard promotes the adoption of a process approach when developing,

implementing and improving the effectiveness of a quality management system, to enhance customer

satisfaction by meeting customer requirements. Specific requirements considered essential to the

adoption of a process approach are included in 4.4.

Understanding and managing interrelated processes as a system contributes to the organization's

effectiveness and efficiency in achieving its intended results. This approach enables the organization

to control the interrelationships and interdependencies among the processes of the system, so that

the overall performance of the organization can be enhanced.

The process approach involves the systematic definition and management of processes, and their

interactions, so as to achieve the intended results in accordance with the quality policy and strategic

direction of the organization. Management of the processes and the system as a whole can be

achieved using the PDCA cycle (see 0.3.2) with an overall focus on risk-based thinking (see 0.3.3)

aimed at taking advantage of opportunities and preventing undesirable results.
The application of the process approach in a quality management system enables:
a) understanding and consistency in meeting requirements;
b) the consideration of processes in terms of added value;
c) the achievement of effective process performance;
d) improvement of processes based on evaluation of data and information.

Figure 1 gives a schematic representation of any process and shows the interaction of its elements.

The monitoring and measuring check points, which are necessary for control, are specific to each

process and will vary depending on the related risks.
Figure 1 — Schematic representation of the elements of a single process
There is no sector-specific guidance.
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ISO/TS 54001:2019(E)
0.3.2 Plan-Do-Check-Act cycle
0.3.2 Plan-Do-Check-Act cycle

The PDCA cycle can be applied to all processes and to the quality management system as a whole.

Figure 2 illustrates how Clauses 4 to 10 can be grouped in relation to the PDCA cycle.

NOTE Numbers in brackets refer to the clauses in this International Standard.

Figure 2 — Representation of the structure of this International Standard in the PDCA cycle

PDCA cycle can be briefly described as follows:

— Plan: establish the objectives of the system and its processes, and the resources needed to deliver

results in accordance with customers' requirements and the organization's policies, and identify

and address risks and opportunities;
— Do: implement what was planned;

— Check: monitor and (where applicable) measure processes and the resulting products and

services against policies, objectives, requirements and planned activities, and report the results;

— Act: take actions to improve performance, as necessary.

Elections can only occur when citizens exercise their right to vote. Voter registration is a condition for

the establishment of the electoral process. Identification of eligibility and registration of eligible voters

are essent
...

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