oSIST ISO/DIS 10014:2020

DRAFT INTERNATIONAL STANDARD
ISO/DIS 10014
ISO/TC 176/SC 3 Secretariat: NEN
Voting begins on: Voting terminates on:
2020-03-12 2020-06-04
Quality management systems — Managing an organization
for quality results - Guidance for realizing financial and
economic benefits

Management de la qualité — Lignes directrices pour réaliser les avantages financiers et économiques

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

on the internet or an intranet, without prior written permission. Permission can be requested from either ISO at the address

Foreword ........................................................................................................................................................................................................................................iv

Introduction ..................................................................................................................................................................................................................................v

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

2 Normative references ...................................................................................................................................................................................... 1

3 Terms and definitions ..................................................................................................................................................................................... 1

4 Top-down structured approach to realize financial and economic benefits .........................................2

4.1 Overview ...................................................................................................................................................................................................... 2

4.2 Top-down structured approach ............................................................................................................................................... 4

4.2.1 General...................................................................................................................................................................................... 4

4.2.2 Stage 1 – Analysis of results ................................................................................................................................... 4

4.2.3 Stage 2 – Analysis of processes............................................................................................................................ 6

4.2.4 Review results of action taken ............................................................................................................................. 7

Annex A (informative) Financial and economic benefits, related measures, and linkage to

quality management principles ............................................................................................................................................................ 8

Improvement .........................................................................................................................................................................................................10

Annex C (normative) Self-assessment tool ..................................................................................................................................................16

Annex D (informative) Application of quality management system requirements ..........................................18

Bibliography .............................................................................................................................................................................................................................19

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

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

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

For an explanation on 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 the following

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

This second edition cancels and replaces the first edition (ISO 20014:2006) to reflect the changes in

ISO 9000 quality management principles. Its renewed rationale and concepts, ensure alignment with

ISO 9001:2015. In addition, it complements the ISO 9004 new revision. The requirements for documented

information in ISO 9001:2015 are specifically stated in clause 7.5 (Documented Information), and

— Develop a document to explain “what to do to realize financial and economic benefit”The main

This document is addressed to top management. It provides guidelines for realizing financial and

economic benefits by applying a top-down structured approach to management. The structured

approach monitors and tracks key business and quality management metrics (3.1) then, using the

metrics, takes improvement action(s) following the quality management principles and systems

Adoption of these principles is a strategic top-management decision. The quality management principles

Adoption of these principles is a strategic top-management decision. Economic benefit is achieved by:

— Implementation of the seven quality management principles, which establishes and enables a

linkage between effective management and the realization of financial benefits, economic benefits

— Effectively applying a structured Plan - Do- Check - Act (PDCA) continual improvement cycle. This

cycle identifies action plans based on data and information resulting from implementation of the

— Using the quality management principles in daily operating practice, through (i) the effective

management of resources and (ii) implementation and monitoring of management system processes

Financial benefit is realized within the organization by implementing and utilizing cost-effective

management system practices based on the principles. The resulting organizational and financial

Financial, economic and organizational benefits resulting from the application of the quality

This document identifies and provides guidelines for realizing financial and economic benefits by

applying a top-down structured approach to achieving financial and economic benefits. The structured

approach utilizes the quality management principles and quality management systems described in the

ISO 9000 series management system standards to (i) monitor and trend key performance metrics and

This document complements ISO 9001 and ISO 9004 for performance improvements and provides

examples of achievable benefits from the application of concepts in those standards. This document

identifies associated practical management methods and tools to assist in achieving the benefits.

This document is applicable to any organization, whether from the public, private or not-for-profit

sector, regardless of its business model or size, number of employees, diversity of product and service

offerings, revenues, organizational culture, complexity of processes, place or number of locations.

The following documents are referred to in the text in such a way that some or all of their content

constitutes requirements of this document. For dated references, only the edition cited applies. For

undated references, the latest edition of the referenced document (including any amendments) applies.

ISO 9004, Quality management systems — Quality of an organization — Guidance to achieve sustained

For the purposes of this document, the terms and definitions given in ISO 9000 and the following apply.

ISO and IEC maintain terminological databases for use in standardization at the following addresses:

benefit attained through the effective implementation of management system processes and resources

to generate value and improve the health and overall worth of the organization and its relevant

Note 1 to entry: Financial benefit should be realized by implementing cost-effective management system

combination of numerical and graphical data displays used to present the performance and trends of

Note 1 to entry: Examples include traffic light, Pareto charts, pie charts, trend charts, etc.

method that has been proven to work well and produce the best results, and is therefore recommended

Note 1 to entry: Methods described as best practice have usually been tested over time and validated, through

systematic approach to management in which an organization identifies and monitors its internal

measurement and analysis that an organization should use to search for and compare best practices

Note 1 to entry: Benchmarking should be applied to policies, strategy and objectives, processes and their

ability to generate, create, enhance or deliver products, services and knowledge.

This document provides a top-down structured approach to assist top management in identifying

and realizing financial and economic benefits. The top-down structured approach presented in this

document is generic and should be applied to any process or ongoing business condition (see Annex B).

In Stage 1, top management is responsible for identifying areas for improvement. The information from

NOTE This same model should also be used to sustain improvements and achievements

In Stage 2, the process owners are responsible for developing and implementing effective

The economic and financial benefits are achieved by monitoring, analyzing and trending key metrics:

This is followed by taking improvement actions, based on the results of the metrics, using the quality

management principles together with the organization’s quality management system.

The quality management principles are supported by the Process Approach (3.6), the PDCA cycle: (Plan-

It is strongly recommended for an organization to conduct an initial self-assessment using the self-

assessment tool provided in Annex C to baseline how well it is using the processes outlined in this

standard. Although some organizations may not have developed a set of metrics (3.1) and tools to

identify and recognize risks and opportunities, this model still works because an organization should

start with the self-assessment tool (Annex C) to identify gaps in their organizations processes.

As these processes improve, the organization will be better enabled to recognize improvement

— analyzing results important to the organization’s financial and economic performance, and

Figure 1 — Top-down structured approach for analysis of results and analysis of processes for

The linkages between Figure 1 and ISO 9001:2015 are given in Annex D. These linkages are effectively

The approach for realizing financial and economic benefits comprises a process which proceeds in

NOTE 1 Particularly for small and medium sized organizations, the performance metrics (3.1) may simply be

NOTE 2 For organizations which operate as a not-for-profit, the performance metrics (3.1) may be their goals

These metrics (3.1) may include both leading (3.8) and lagging indicators (3.9) .

Top management then periodically reviews the ongoing performance of the organization's processes

and business performance against these initial set of metrics (3.1) (See Figure 1). The review is simply a

comparison of current results against the initial set of management-selected performance metrics (3.1)

Positive trends indicate process and business improvement which may potentially be also applied in

other parts of the organization. Negative trends indicate improvement action is required to stop and

The next step in Stage 1 is ongoing validation that the performance metrics (3.1) selected by top

management are relevant and useful. Validation should be conducted by correlating the performance

metrics (3.1) against trends of overall actual business performance / impacts and confirming the

This ongoing process will be an input to management's periodic review of performance as required

by ISO 9001, (eg. weekly, monthly, shareholder meetings, board meetings, comparison of company-

level data, etc.). Organizations with management systems certified to ISO 9001 are required to review

defined performance metrics (3.1). Therefore, there may be synergies in reviewing all performance

The next step is to analyze the results and trends to identify those that are at risk of negative trends.

This analysis is performed against the organizational goals and expectations, including quality

objectives. This should include a review of the processes where the metrics indicate that the processes

are not performing as they should, and are potential risks to ongoing performance.

For example, a performance metric that currently has acceptable performance levels, but has an adverse

trend over time may represent a future risk if the adverse trend is not addressed in a timely manner.

Where process results are performing well against the organizational goals and expectations, and

trending positively, there may be opportunities to share best practices across the organization.

Organizations should consider the use of simple graphical tools, such as dashboards (3.4) e.g.: traffic

light indicators (Red, Yellow, Green) indicators show a metric in red color to indicate that the process

needs immediate management attention. Yellow (amber) color indicates that the underlying process

should be monitored by management. Green color indicates that the process is operating satisfactorily.

The specification limits for the red, yellow, and green should be established in advance to facilitate

Dashboards (3.4) may include internal and external benchmarking (3.7) to encourage organizations to

Metrics (3.1) found to have either unacceptable performance levels or adverse trends are thus identified.

Similarly, in this step, organizations could also identify metrics (3.1) with exceptional results where

For metrics (3.1) delivering exceptional performance, top management may assign actions to process

owners(s) to analyse the critical success factors, identify best practices, and endeavour to replicate the

Subsequent to the analysis of results, metrics (3.1) identified as showing unfavourable performance

should have actions assigned to the appropriate process owner(s) by top management. The actions

should (i) identify the root cause of unacceptable performance, and (ii) improve the performance of the

In Stage 2, process owners address actions assigned by top management resulting from the periodic

Once the actions are formulated, the process owners(s) commence improving processes as described in

the PDCA cycle. Following this, they report improvement in the operation of the processes and changes

Details of the Plan-Do-Check-Act (PDCA) cycle for improvement of affected processes are as follows:

Planning requires process owner(s) to develop an improvement plan to address the actions assigned by

top management. The plan includes actions to (i) address risks and opportunities, (ii) make the required

changes to the quality management system, and (iii) provide the resources required to carry out the

plan. Resources should include people, infrastructure, work environment, monitoring and measuring

For processes delivering unacceptable performance as measured against the set performance metrics,

Identifying appropriate processes for a high-level business metric (e.g. operation cost, net profit, etc.)

may require broader understanding of the overall business processes at more than one level, and also

the interaction between processes. Understanding such interactions may assist process owners in

At the 'Do' step, process owners should help ensure that the plan is implemented as expected. This may

Process owners must verify that the improvement actions have adequately addressed the root cause of

the unacceptable performance levels or trends. For some processes, control limits may be statistically

established to monitor the stability of the business process outcome. Once improved performance is

At the Check part of the PDCA cycle, process owners review the results of previously assigned actions

to determine whether the improvement actions have been effectively implemented and results trend

positively and are sustainable. Improved results indicated by metrics (3.1) are validated to demonstrate

If process owners are not satisfied with the results of the first pass through the PDCA cycle, they should

Once process owners are satisfied with the outcome of the assigned action(s), they should consider other

areas of the business where a similar action could be applied. At this point, the process owners will (i)

submit available evidence and results of the improved processes, (ii) prepare a proposed improvement

plan including for other areas of the organization, and (iii) report recommendations for deployment in

other areas of the organization to top management for their review and subsequent direction.

Top management will determine if the action(s) completed have produced the desired results, and are

sustainable. If the results are acceptable, the performance metrics (3.1) should be reviewed and revised

to facilitate the organization's ongoing identification, monitoring and response to further continual

Top management should also consider (i) other similar areas of the business for ongoing improvement

Metrics (3.1) as an indication of improvements should be reviewed in management review to ensure

After full implementation of the top-down structured approach is complete (refer to Figure 1),

a reassessment should be undertaken. This is to evaluate the maturity and effectiveness of the

Table A.1 presents examples of potential benefits and measures and their link to the management

NOTE See ISO 9000 for a more detailed mapping of quality management principles and related benefits.

SLOVENSKI STANDARD
oSIST ISO/DIS 10014:2020
01-september-2020
Sistemi vodenja kakovosti - Upravljanje organizacije za doseganje kakovostnih
rezultatov - Napotki za doseganje finančnih in ekonomskih koristi

Quality management systems - Managing an organization for quality results - Guidance

Management de la qualité - Lignes directrices pour réaliser les avantages financiers et

2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.

Management de la qualité — Lignes directrices pour réaliser les avantages financiers et économiques

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

on the internet or an intranet, without prior written permission. Permission can be requested from either ISO at the address

Foreword ........................................................................................................................................................................................................................................iv

Introduction ..................................................................................................................................................................................................................................v

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

2 Normative references ...................................................................................................................................................................................... 1

3 Terms and definitions ..................................................................................................................................................................................... 1

4 Top-down structured approach to realize financial and economic benefits .........................................2

4.1 Overview ...................................................................................................................................................................................................... 2

4.2 Top-down structured approach ............................................................................................................................................... 4

4.2.1 General...................................................................................................................................................................................... 4

4.2.2 Stage 1 – Analysis of results ................................................................................................................................... 4

4.2.3 Stage 2 – Analysis of processes............................................................................................................................ 6

4.2.4 Review results of action taken ............................................................................................................................. 7

Annex A (informative) Financial and economic benefits, related measures, and linkage to

quality management principles ............................................................................................................................................................ 8

Improvement .........................................................................................................................................................................................................10

Annex C (normative) Self-assessment tool ..................................................................................................................................................16

Annex D (informative) Application of quality management system requirements ..........................................18

Bibliography .............................................................................................................................................................................................................................19

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

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

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

For an explanation on 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 the following

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

This second edition cancels and replaces the first edition (ISO 20014:2006) to reflect the changes in

ISO 9000 quality management principles. Its renewed rationale and concepts, ensure alignment with

ISO 9001:2015. In addition, it complements the ISO 9004 new revision. The requirements for documented

information in ISO 9001:2015 are specifically stated in clause 7.5 (Documented Information), and

— Develop a document to explain “what to do to realize financial and economic benefit”The main

This document is addressed to top management. It provides guidelines for realizing financial and

economic benefits by applying a top-down structured approach to management. The structured

approach monitors and tracks key business and quality management metrics (3.1) then, using the

metrics, takes improvement action(s) following the quality management principles and systems

Adoption of these principles is a strategic top-management decision. The quality management principles

Adoption of these principles is a strategic top-management decision. Economic benefit is achieved by:

— Implementation of the seven quality management principles, which establishes and enables a

linkage between effective management and the realization of financial benefits, economic benefits

— Effectively applying a structured Plan - Do- Check - Act (PDCA) continual improvement cycle. This

cycle identifies action plans based on data and information resulting from implementation of the

— Using the quality management principles in daily operating practice, through (i) the effective

management of resources and (ii) implementation and monitoring of management system processes

Financial benefit is realized within the organization by implementing and utilizing cost-effective

management system practices based on the principles. The resulting organizational and financial

Financial, economic and organizational benefits resulting from the application of the quality

This document identifies and provides guidelines for realizing financial and economic benefits by

applying a top-down structured approach to achieving financial and economic benefits. The structured

approach utilizes the quality management principles and quality management systems described in the

ISO 9000 series management system standards to (i) monitor and trend key performance metrics and

This document complements ISO 9001 and ISO 9004 for performance improvements and provides

examples of achievable benefits from the application of concepts in those standards. This document

identifies associated practical management methods and tools to assist in achieving the benefits.

This document is applicable to any organization, whether from the public, private or not-for-profit

sector, regardless of its business model or size, number of employees, diversity of product and service

offerings, revenues, organizational culture, complexity of processes, place or number of locations.

The following documents are referred to in the text in such a way that some or all of their content

constitutes requirements of this document. For dated references, only the edition cited applies. For

undated references, the latest edition of the referenced document (including any amendments) applies.

ISO 9004, Quality management systems — Quality of an organization — Guidance to achieve sustained

For the purposes of this document, the terms and definitions given in ISO 9000 and the following apply.

ISO and IEC maintain terminological databases for use in standardization at the following addresses:

benefit attained through the effective implementation of management system processes and resources

to generate value and improve the health and overall worth of the organization and its relevant

Note 1 to entry: Financial benefit should be realized by implementing cost-effective management system

combination of numerical and graphical data displays used to present the performance and trends of

Note 1 to entry: Examples include traffic light, Pareto charts, pie charts, trend charts, etc.

method that has been proven to work well and produce the best results, and is therefore recommended

Note 1 to entry: Methods described as best practice have usually been tested over time and validated, through

systematic approach to management in which an organization identifies and monitors its internal

measurement and analysis that an organization should use to search for and compare best practices

Note 1 to entry: Benchmarking should be applied to policies, strategy and objectives, processes and their

ability to generate, create, enhance or deliver products, services and knowledge.

This document provides a top-down structured approach to assist top management in identifying

and realizing financial and economic benefits. The top-down structured approach presented in this

document is generic and should be applied to any process or ongoing business condition (see Annex B).

In Stage 1, top management is responsible for identifying areas for improvement. The information from

NOTE This same model should also be used to sustain improvements and achievements

In Stage 2, the process owners are responsible for developing and implementing effective

The economic and financial benefits are achieved by monitoring, analyzing and trending key metrics:

This is followed by taking improvement actions, based on the results of the metrics, using the quality

management principles together with the organization’s quality management system.

The quality management principles are supported by the Process Approach (3.6), the PDCA cycle: (Plan-

It is strongly recommended for an organization to conduct an initial self-assessment using the self-

assessment tool provided in Annex C to baseline how well it is using the processes outlined in this

standard. Although some organizations may not have developed a set of metrics (3.1) and tools to

identify and recognize risks and opportunities, this model still works because an organization should

start with the self-assessment tool (Annex C) to identify gaps in their organizations processes.

As these processes improve, the organization will be better enabled to recognize improvement

— analyzing results important to the organization’s financial and economic performance, and

Figure 1 — Top-down structured approach for analysis of results and analysis of processes for

The linkages between Figure 1 and ISO 9001:2015 are given in Annex D. These linkages are effectively

The approach for realizing financial and economic benefits comprises a process which proceeds in

NOTE 1 Particularly for small and medium sized organizations, the performance metrics (3.1) may simply be

NOTE 2 For organizations which operate as a not-for-profit, the performance metrics (3.1) may be their goals

These metrics (3.1) may include both leading (3.8) and lagging indicators (3.9) .

Top management then periodically reviews the ongoing performance of the organization's processes

and business performance against these initial set of metrics (3.1) (See Figure 1). The review is simply a

comparison of current results against the initial set of management-selected performance metrics (3.1)

Positive trends indicate process and business improvement which may potentially be also applied in

other parts of the organization. Negative trends indicate improvement action is required to stop and

The next step in Stage 1 is ongoing validation that the performance metrics (3.1) selected by top

management are relevant and useful. Validation should be conducted by correlating the performance

metrics (3.1) against trends of overall actual business performance / impacts and confirming the

This ongoing process will be an input to management's periodic review of performance as required

by ISO 9001, (eg. weekly, monthly, shareholder meetings, board meetings, comparison of company-

level data, etc.). Organizations with management systems certified to ISO 9001 are required to review

defined performance metrics (3.1). Therefore, there may be synergies in reviewing all performance

The next step is to analyze the results and trends to identify those that are at risk of negative trends.

This analysis is performed against the organizational goals and expectations, including quality

objectives. This should include a review of the processes where the metrics indicate that the processes

are not performing as they should, and are potential risks to ongoing performance.

For example, a performance metric that currently has acceptable performance levels, but has an adverse

trend over time may represent a future risk if the adverse trend is not addressed in a timely manner.

Where process results are performing well against the organizational goals and expectations, and

trending positively, there may be opportunities to share best practices across the organization.

Organizations should consider the use of simple graphical tools, such as dashboards (3.4) e.g.: traffic

light indicators (Red, Yellow, Green) indicators show a metric in red color to indicate that the process

needs immediate management attention. Yellow (amber) color indicates that the underlying process

should be monitored by management. Green color indicates that the process is operating satisfactorily.

The specification limits for the red, yellow, and green should be established in advance to facilitate

Dashboards (3.4) may include internal and external benchmarking (3.7) to encourage organizations to

Metrics (3.1) found to have either unacceptable performance levels or adverse trends are thus identified.

Similarly, in this step, organizations could also identify metrics (3.1) with exceptional results where

For metrics (3.1) delivering exceptional performance, top management may assign actions to process

owners(s) to analyse the critical success factors, identify best practices, and endeavour to replicate the

Subsequent to the analysis of results, metrics (3.1) identified as showing unfavourable performance

should have actions assigned to the appropriate process owner(s) by top management. The actions

should (i) identify the root cause of unacceptable performance, and (ii) improve the performance of the

In Stage 2, process owners address actions assigned by top management resulting from the periodic

Once the actions are formulated, the process owners(s) commence improving processes as described in

the PDCA cycle. Following this, they report improvement in the operation of the processes and changes

Details of the Plan-Do-Check-Act (PDCA) cycle for improvement of affected processes are as follows:

Planning requires process owner(s) to develop an improvement plan to address the actions assigned by

top management. The plan includes actions to (i) address risks and opportunities, (ii) make the required

changes to the quality management system, and (iii) provide the resources required to carry out the

plan. Resources should include people, infrastructure, work environment, monitoring and measuring

For processes delivering unacceptable performance as measured against the set performance metrics,

Identifying appropriate processes for a high-level business metric (e.g. operation cost, net profit, etc.)

may require broader understanding of the overall business processes at more than one level, and also

the interaction between processes. Understanding such interactions may assist process owners in

At the 'Do' step, process owners should help ensure that the plan is implemented as expected. This may

Process owners must verify that the improvement actions have adequately addressed the root cause of

the unacceptable performance levels or trends. For some processes, control limits may be statistically

established to monitor the stability of the business process outcome. Once improved performance is

At the Check part of the PDCA cycle, process owners review the results of previously assigned actions

to determine whether the improvement actions have been effectively implemented and results trend

positively and are sustainable. Improved results indicated by metrics (3.1) are validated to demonstrate

If process owners are not satisfied with the results of the first pass through the PDCA cycle, they should

Once process owners are satisfied with the outcome of the assigned action(s), they should consider other

areas of the business where a similar action could be applied. At this point, the process owners will (i)

submit available evidence and results of the improved processes, (ii) prepare a proposed improvement

plan including for other areas of the organization, and (iii) report recommendations for deployment in

other areas of the organization to top management for their review and subsequent direction.

Top management will determine if the action(s) completed have produced the desired results, and are

sustainable. If the results are acceptable, the performance metrics (3.1) should be reviewed and revised

to facilitate the organization's ongoing identification, monitoring and response to further continual

Top management should also consider (i) other similar areas of the business for ongoing improvement

Metrics (3.1) as an indication of improvements should be reviewed in management review to ensure

After full implementation of the top-down structured approach is complete (refer to Figure 1),

a reassessment should be undertaken. This is to evaluate the maturity and effectiveness of the

Table A.1 presents examples of potential benefits and measures and their link to the management

NOTE See ISO 9000 for a more detailed mapping of quality management principles and related benefits.

PROJET DE NORME INTERNATIONALE
ISO/DIS 10014
ISO/TC 176/SC 3 Secrétariat: NEN
Début de vote: Vote clos le:
2020-03-12 2020-06-04
Systèmes de management de la qualité — Gestion d’un
organisme pour des résultats qualité — Recommandations
pour réaliser des bénéfices économiques et financiers

Quality management systems — Managing an organization for quality results — Guidance for realizing

Le présent document est distribué tel qu’il est parvenu du secrétariat du comité.

Avant-propos ............................................................................................................................................................. iv

Introduction ............................................................................................................................................................... v

1 Domaine d’application .............................................................................................................................. 1

2 Références normatives .............................................................................................................................. 1

3 Termes et définitions ................................................................................................................................. 2

4 Approche descendante structurée pour réaliser des bénéfices économiques et financiers3

4.1 Vue générale ................................................................................................................................................. 3

4.2 Approche descendante structurée ......................................................................................................... 5

4.2.1 Généralités .................................................................................................................................................... 5

4.2.2 Étape 1 - Analyse des résultats................................................................................................................ 5

4.2.3 Étape 2 - Analyse des processus ............................................................................................................. 6

4.2.4 Revue des résultats des actions mises en œuvre............................................................................... 8

(informative) Bénéfices économiques et financiers, mesures connexes et relations

avec les principes de management de la qualité ............................................................................... 9

(informative) Exemples d’approche structurée pour l’amélioration des performances

métier .......................................................................................................................................................... 11

(normative) Outil d’auto-évaluation ............................................................................................ 18

(informative) Application des exigences relatives au système de management de la

qualité .......................................................................................................................................................... 20

Bibliographie ........................................................................................................................................................... 21

Tous droits réservés. Sauf prescription différente ou nécessité dans le contexte de sa mise en oeuvre, aucune partie de cette

publication ne peut être reproduite ni utilisée sous quelque forme que ce soit et par aucun procédé, électronique ou mécanique,

y compris la photocopie, ou la diffusion sur l’internet ou sur un intranet, sans autorisation écrite préalable. Une autorisation peut

être demandée à l’ISO à l’adresse ci-après ou au comité membre de l’ISO dans le pays du demandeur.

Avant-propos ............................................................................................................................................................. iv

Introduction ............................................................................................................................................................... v

1 Domaine d’application .............................................................................................................................. 1

2 Références normatives .............................................................................................................................. 1

3 Termes et définitions ................................................................................................................................. 2

4 Approche descendante structurée pour réaliser des bénéfices économiques et financiers3

4.1 Vue générale ................................................................................................................................................. 3

4.2 Approche descendante structurée ......................................................................................................... 5

4.2.1 Généralités .................................................................................................................................................... 5

4.2.2 Étape 1 - Analyse des résultats................................................................................................................ 5

4.2.3 Étape 2 - Analyse des processus ............................................................................................................. 6

4.2.4 Revue des résultats des actions mises en œuvre............................................................................... 8

(informative) Bénéfices économiques et financiers, mesures connexes et relations

avec les principes de management de la qualité ............................................................................... 9

(informative) Exemples d’approche structurée pour l’amélioration des performances

métier .......................................................................................................................................................... 11

(normative) Outil d’auto-évaluation ............................................................................................ 18

(informative) Application des exigences relatives au système de management de la

qualité .......................................................................................................................................................... 20

Bibliographie ........................................................................................................................................................... 21

L’ISO (Organisation internationale de normalisation) est une fédération mondiale d’organismes

nationaux de normalisation (comités membres de l’ISO). L’élaboration des Normes internationales est en

général confiée aux comités techniques de l’ISO. Chaque comité membre intéressé par une étude a le droit

de faire partie du comité technique créé à cet effet. Les organisations internationales, gouvernementales

et non gouvernementales, en liaison avec l’ISO participent également aux travaux. L’ISO collabore

étroitement avec la Commission électrotechnique internationale (IEC) en ce qui concerne la

Les procédures utilisées pour élaborer le présent document et celles destinées à sa mise à jour sont

décrites dans les Directives ISO/IEC, Partie 1. Il convient, en particulier de prendre note des différents

critères d’approbation requis pour les différents types de documents ISO. Le présent document a été

rédigé conformément aux règles de rédaction données dans les Directives ISO/IEC, Partie 2

L’attention est attirée sur le fait que certains des éléments du présent document peuvent faire l’objet de

droits de propriété intellectuelle ou de droits analogues. L’ISO ne saurait être tenue pour responsable de

ne pas avoir identifié de tels droits de propriété et averti de leur existence. Les détails concernant les

références aux droits de propriété intellectuelle ou autres droits analogues identifiés lors de l’élaboration

du document sont indiqués dans l’Introduction et/ou dans la liste des déclarations de brevets reçues par

Les appellations commerciales éventuellement mentionnées dans le présent document sont données

pour information, par souci de commodité, à l’intention des utilisateurs et ne sauraient constituer un

Pour une explication de la nature volontaire des normes, la signification des termes et expressions

spécifiques de l’ISO liés à l’évaluation de la conformité, ou pour toute information au sujet de l’adhésion

de l’ISO aux principes de l’Organisation mondiale du commerce (OMC) concernant les obstacles

techniques au commerce (OTC), voir le lien suivant : www.iso.org/iso/fr/avant-propos.

Le présent document a été élaboré par le comité technique ISO/TC 176, Management et assurance de la

Cette deuxième édition annule et remplace la première édition (ISO 10014:2006) pour refléter les

changements apportés aux principes de management de la qualité de l’ISO 9000. Sa logique et ses

concepts ainsi modifiés garantissent son alignement avec l’ISO 9001:2015. Elle complète en outre la

nouvelle révision de l’ISO 9004. Les exigences relatives aux informations documentées de

l’ISO 9001:2015 sont expressément mentionnées à l’Article 7.5 (Informations documentées) et tout au

⎯ la mise en correspondance avec la justification et les principes de management de la qualité révisés ;

⎯ le raccourcissement du document, en le rendant plus facile à comprendre et à appliquer, et plus

⎯ l’élaboration d’un document pour expliquer « ce qu’il faut mettre en œuvre pour réaliser des

bénéfices économiques et financiers ». Par rapport à l’édition précédente, les principales

Le présent document est destiné à la direction. Il fournit un cadre directeur pour réaliser des bénéfices

économiques et financiers grâce à la mise en application d’une approche descendante structurée en

matière de management. Cette approche structurée permet de surveiller les indicateurs clés de

management de la qualité et métiers (3.1), et d’en assurer le suivi ; puis, à l’aide de ces indicateurs,

d’entreprendre l’action ou les actions d’amélioration en suivant les principes et systèmes de management

de la qualité décrits dans la norme de système de management de la qualité ISO 9000:2015.

L’adoption de ces principes relève d’une décision stratégique de la direction. Les principes de

L’adoption de ces principes relève d’une décision stratégique de la direction. Il est possible de retirer des

⎯ la mise en œuvre des sept principes de management de la qualité, qui établissent un lien entre un

management efficace, la réalisation de bénéfices économiques et financiers, et l’atteinte d’objectifs

⎯ la mise en pratique d’un cycle d’amélioration continue PDCA (Planifier-Développer-Contrôler-Agir)

structuré. Ce cycle permet d’identifier des plans d’action en fonction des données et informations

⎯ l’utilisation des principes de management de la qualité dans les pratiques opérationnelles

quotidiennes, par le biais (i) d’un management efficace des ressources et (ii) de la mise en œuvre et

de la surveillance des processus du système de management afin d’améliorer l’efficacité et l’efficience

Il est possible de réaliser des bénéfices financiers au sein de l’organisme par le biais de la mise en œuvre

et de l’utilisation de pratiques de système de management rentables basées sur ces principes.

L’amélioration financière et organisationnelle qui en résulte est exprimée sous forme monétaire.

Les bénéfices financiers, économiques et organisationnels qui découlent de la mise en pratique des

Il identifie et fournit un cadre directeur pour réaliser des bénéfices économiques et financiers grâce à la

mise en application d’une approche descendante structurée en matière de management. Cette approche

structurée s’appuie sur les principes de management de la qualité et les systèmes de management de la

qualité décrits dans la série de normes de systèmes de management ISO 9000 afin (i) de surveiller les

indicateurs de performance clés et d’établir des tendances, et (ii) d’entreprendre des actions

Le présent document complète l’ISO 9001 et l’ISO 9004 en ce qui concerne l’amélioration des

performances, et fournit des exemples de bénéfices attendus suite à la mise en pratique des concepts de

ces normes. Le présent document identifie des méthodes et outils pratiques de management associés qui

Le présent document s’applique à tout organisme, qu’il évolue au sein du secteur public, privé ou à but

non lucratif, indépendamment de son modèle d’exploitation ou de sa taille, de son effectif, de la diversité

de ses produits et services, de son chiffre d’affaires, de sa culture organisationnelle, de la complexité de

Il n’est pas destiné à être utilisé dans un cadre réglementaire, contractuel ou de certification.

Les documents suivants sont cités dans le texte de sorte qu’ils constituent, pour tout ou partie de leur

contenu, des exigences du présent document. Pour les références datées, seule l’édition citée s’applique.

Pour les références non datées, la dernière édition du document de référence s’applique (y compris les

ISO 9000, Systèmes de management de la qualité — Principes essentiels et vocabulaire.

ISO 9004, Management de la qualité — Qualité d’un organisme — Lignes directrices pour obtenir des

Pour les besoins du présent document, les termes et définitions de l’ISO 9000 ainsi que les suivants,

L’ISO et l’IEC tiennent à jour des bases de données terminologiques destinées à être utilisées en

mesure vérifiable utilisée pour la quantification ou l’évaluation d’un élément de sortie

bénéfice retiré grâce à la mise en œuvre effective de processus et de ressources associées à un système

de management afin de générer de la valeur et d’améliorer la santé et la valeur globale d’un organisme et

Note 1 à l’article : Il convient qu’un bénéfice financier soit réalisé en mettant en œuvre des processus de système

association de visualisations de données numériques et graphiques pour présenter des performances et

Note 1 à l’article : Des indicateurs de couleur, des graphiques de Pareto, des diagrammes circulaires, des courbes

méthode ayant été prouvée comme fonctionnant et produisant les meilleurs résultats, et donc

Note 1 à l’article : Les méthodes décrites comme étant des bonnes pratiques ont, en règle générale, été éprouvées

au fil du temps et validées par le biais d’essais répétés avant d’être acceptées comme étant dignes d’être plus

approche méthodique en matière de management, dans le cadre de laquelle un organisme identifie et

mesure et analyse qu’il convient qu’un organisme utilise pour rechercher et comparer les bonnes

Note 1 à l’article : Il convient d’appliquer une analyse comparative aux politiques, aux stratégies, aux objectifs, aux

processus et à leur fonctionnement, aux produits, aux services et aux structures de l’organisme.

aptitude à générer, créer, améliorer ou délivrer des produits, des services et des connaissances

Le présent document fournit une approche descendante structurée pour assister la direction dans

l’identification et la réalisation de bénéfices économiques et financiers. L’approche descendante

structurée présentée dans le présent document est générique. Il convient de l’appliquer à tout processus

ou toute condition métier permanente (voir Annexe B). L’approche est présentée sous la forme d’un

À l’Étape 1, la direction est responsable de l’identification des axes d’amélioration. Les informations

issues de l’Étape 1 sont transmises aux propriétaires de processus sous la forme d’une ou plusieurs

NOTE Il convient que ce même modèle soit également utilisé pour pérenniser les améliorations et les

À l’Étape 2, les propriétaires de processus sont responsables de l’élaboration et de la mise en pratique de

Les avantages économiques et financiers sont réalisés par le biais d’une surveillance, d’une analyse et de

S’ensuit la mise en œuvre d’actions d’amélioration, qui s’appuient sur les résultats des indicateurs, à l’aide

des principes de management de la qualité et du système de management de la qualité de l’organisme.

Les principes de management de la qualité sont étayés par l’approche processus (3.6), le cycle PDCA

Il est fortement recommandé aux organismes de réaliser une auto-évaluation initiale à l’aide de l’outil

d’auto-évaluation fourni à l’Annexe C pour établir une référence sur la manière dont ils utilisent les

processus détaillés dans la présente norme. Bien que certains organismes peuvent ne pas avoir élaboré

un ensemble d’indicateurs (3.1) et d’outils pour identifier et reconnaître les risques et opportunités, ce

modèle continue d’être adapté, car il convient que les organismes commencent par utiliser l’outil

À mesure que ses processus s’améliorent, l’organisme sera davantage en mesure de détecter les

opportunités d’amélioration par le biais de l’évaluation de ses résultats métiers.

⎯ l’analyse des résultats importants pour les performances financières et économiques de l’organisme ;

Figure 1 —Approche descendante structurée pour l’analyse des résultats et l’analyse des

Les relations entre la Figure 1 et l’ISO 9001:2015 sont données à l’Annexe D. Ces relations concernent

L’approche pour la réalisation de bénéfices économiques et financiers comprend un processus qui se

À l’Étape 1, la direction commence par sélectionner un ensemble d’indicateurs de performance.

NOTE 1 Les indicateurs de performance (3.1) peuvent tout simplement être des rapports de performance

NOTE 2 Pour les organismes qui évoluent au sein du secteur à but non lucratif, les indicateurs de

Ces indicateurs (3.1) peuvent inclure à la fois des indicateurs prospectifs (3.8) et des indicateurs

La direction procède ensuite à une revue périodique de la performance continue des processus et des

performances métiers de l’organisme en les comparant à l’ensemble initial d’indicateurs (3.1)

(voir Figure 1). La revue est une simple comparaison des résultats actuels par rapport à l’ensemble initial

d’indicateurs de performance (3.1) sélectionnés par la direction afin de déceler les tendances positives

Les tendances positives indiquent une amélioration métier et une amélioration des processus qui

peuvent potentiellement s’appliquer également à d’autres parties de l’organisme. Les tendances

négatives indiquent la nécessité de mettre en œuvre une action d’amélioration pour les neutraliser et les

La phase suivante de l’Étape 1 est un processus de validation continue visant à garantir que les

indicateurs de performance (3.1) sélectionnés par la direction sont pertinents et utiles. Il convient que la

validation soit réalisée en corrélant les indicateurs de performance (3.1) avec les tendances des

performances métiers/impacts actuels globaux, et en confirmant que l’élément de sortie fournit des

Ce processus continu constituera un élément d’entrée de la revue périodique des performances de la

direction, tel qu’exigé par l’ISO 9001 (par exemple, chaque semaine, chaque mois, à l’occasion des

réunions des actionnaires, à l’occasion des réunions du conseil d’administration, lors de la comparaison

des données au niveau de l’entreprise, etc.). Les organismes disposant de systèmes de management

certifiés conformes à l’ISO 9001 sont dans l’obligation de procéder à la revue des indicateurs de

performance (3.1) définis. Par conséquent, il se peut qu’il existe des synergies dans la revue de l’ensemble

La prochaine étape consiste à analyser les résultats et les tendances afin d’identifier ceux qui sont exposés

à des tendances négatives. Cette analyse est réalisée au regard des objectifs et attentes organisationnels,

notamment les objectifs qualité. Il convient qu’elle inclut une revue des processus pour lesquels les

indicateurs indiquent une performance différente de celle qui a été anticipée et représentent des risques

Par exemple, un indicateur de performance qui affiche un niveau de performance acceptable, mais qui est

associé à une tendance négative au fil du temps peut représenter un risque futur si la tendance négative

Lorsque les performances des processus sont bonnes au regard des objectifs et attentes organisationnels,

et que leur tendance est positive, il se peut qu’il existe des opportunités de partager les bonnes pratiques

Il convient que les organismes considèrent l’utilisation d’outils graphiques simples, tels que des tableaux

de bord (3.4). Des indicateurs de couleur (rouge, jaune, vert) peuvent par exemple permettre d’afficher

un indicateur en rouge pour indiquer que le processus exige l’attention immédiate de la direction. La

couleur jaune (ou orange) indique qu’il convient que le processus sous-jacent soit surveillé par la

direction. La couleur verte indique que le processus fonctionne de manière satisfaisante. Il convient que

les limites de spécification pour le rouge, le jaune et le vert soient établies au préalable afin de permettre

Les tableaux de bord (3.4) peuvent inclure une analyse comparative des données internes et

Les indicateurs (3.1) détectés comme correspondant à des niveaux de performance inacceptable ou à des

tendances négatives sont par conséquent identifiés. De la même façon, au cours de cette étape, les

organismes peuvent également identifier des indicateurs (3.1) aux résultats exceptionnels qui peuvent

Pour les indicateurs (3.1) démontrant des performances exceptionnelles, la direction peut confier des

actions à un propriétaire ou aux propriétaires de processus afin qu’ils analysent les facteurs de réussite

critiques, identifient les bonnes pratiques et se chargent de reproduire ces réussites dans d’autres

Suite à l’analyse des résultats, il convient que la direction confie des actions à ou aux propriétaires des

processus appropriés pour les indicateurs (3.1) identifiés comme démontrant des performances non

favorables. Il convient que les actions (i) identifient la cause profonde de la performance inacceptable

À l’Étape 2, les propriétaires de processus abordent les actions qui leur ont été confiées par la direction