ISO 29011 Assessment Tool

	Reference	Date	Status	Organisation	Location
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EDIT ASSESSMENT

TERMS

SUMMARY

RESOURCES

4. CONTEXT

5. LEADERSHIP

6. PLANNING

7. SUPPORT

8. OPERATION

9. EVALUATION

10. IMPROVEMENT

Reference

Status

Date

Organsation

Location

Background

Objectives

Scope

Methodology

Section	Score	Assessment
4. Context of the organisation	0	0
5. Leadership	0	0
6. Planning	0	0
7. Support	0	0
8. Operations	0	0
9. Performance evaluation	0	0
10. Improvement	0	0

Executive summary

OVERALL

4. CONTEXT

5. LEADERSHIP

6. PLANNING

7. SUPPORT

8. OPERATION

9. PERFORMANCE

10. IMPROVEMENT

Sponsors

The Assessment sponsors are

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Assessment team

The team will be made up as follows

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Interviewees / Auditees

The following personnel will be interviewed / audited during the course of the asessment

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Documents

The following documents will be referenced during the Assessment

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4. Context of the Organisation

4.1 Understanding the organization and its context

REQUIREMENTS

The organization shall determine external and internal issues that are relevant to its purpose and that affect its ability to achieve the intended result(s) of its operating management system. When determining the external and internal issues, the organization shall consider:

the context of the sector in which it operates
the context of the value chain, both external and internal
the lifecycle of the organization’s operation(s);
its license to operate.
its sustainability and the sustainability of the communities in which it operates
whether climate change is a relevant issue

NOTE 1 Business objectives focus on opportunity before risk and describe what the organization wants to achieve, which can be part of the organization’s vision, mission and strategic directions. NOTE 2 Understanding the internal context can be facilitated by considering issues related to purpose, values, culture, knowledge and performance of the organization. NOTE 3 Understanding the external context can be facilitated by considering issues arising from legal, technological, competitive, market, cultural, social and economic environments, whether international, national, regional or local.

FINDINGS REFERENCED DOCUMENT

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	Level 1 - Awareness	Level 2 - Approach	Level 3 - Deployment	Level 4 - Improvement	Level 5 - Transforming
Assessed State	Basic understanding that the organisation's context and the issues that effect its ability to achieve its purpose, objectives and obligations should inform the scope and design of the operating management system	Process established to determine the context and issues that effect its ability to achieve its purpose, objectives and obligations to inform the scope and design of the operating management.	Context description including relevant external and internal issues are analysed, understood and available to inform the scope and design of the operating management system.	Pre-emptively identify and analyse changes in the context and issues to inform the scope and design of the operating management system.	The operating management system is a key enabler for transformation of the context to the benefit of the organisation, stakeholders, and society.
Evidence	Management articulates the purpose, context, and key issues for the business Informal approach to analysis of external and internal issues Limited documentation of purpose, context, and key issues. Informal approach to analysis of external and internal issues Limited documentation of purpose, context and key issues.	Process to determine the context and associated issues and its use to inform operating management system scope and design proven Analysis within the process includes consideration of 4.1 a-g Process outputs (context and issues) documented in a form suitable to inform determination of operating management system scope (4.3), design (4.4), policies (5.2) and planning (6.1)	Formalised process(es) and tools implemented to analyse external and internal issues in relation to a-g in guidance Formalised process(es) and tools in place to analyse internal context to identify weaknesses and strengths	Analysis of performance and change in factors affects the context and associated issues; See 9.3 Processes in place to understand risks and opportunities related to changes in context and issues. Evolving context description in response to changes in context and issues	Leading collaboration arenas or networks with stakeholders within a-f Assessment of stakeholder objectives and how external context influences the organisations these objectives Work to actively develop the external context to benefit stakeholders and the Organisation The organisation participates in (leads, initiates, supports) initiatives that contribute to realization of United Nations sustainability goals and climate change

4.2 Understanding the needs and expectations of stakeholders

REQUIREMENTS

The organization shall determine:

the stakeholders that are relevant to the operating management system;
the relevant expectations and requirements of the stakeholders;
which of the expectations and requirements will be addressed through the operating management system.

The stakeholder management process shall address stakeholder planning (6.2) and stakeholder monitoring (9.2). NOTE 1 Stakeholders can include customers, suppliers, regulators, employees, shareholders, and communities. NOTE 2 Relevant stakeholders can have expectations and requirements related to climate change.

FINDINGS REFERENCED DOCUMENT

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	Level 1 - Awareness	Level 2 - Approach	Level 3 - Deployment	Level 4 - Improvement	Level 5 - Transforming
Assessed State	Top Management recognise the importance of stakeholders and their expectations and requirements.	Process established for identifying relevant stakeholders and for managing their expectations and requirements.	Stakeholder expectations and requirements are understood and managed through the operating management system.	Knowledge of and prioritization of stakeholder expectations and requirements delivers business improvements and enhances stakeholder relationships.	Stakeholders expectations and requirements are integral to the evolution of business strategies and objectives and to the design and performance of the
Evidence	Top management articulates the importance of stakeholder engagement and relationships. Management articulates approach to relevant stakeholder identification and analysis of expectations and requirements Conformance with stakeholder requirements not verified Expectations and requirements to be addressed by the operating management system not defined.	Process for relevant stakeholder identification has been established. (See definition of stakeholders / interested parties) Process defines how to identify and analyse stakeholder expectations and requirements. Process defines approach for determining which expectations and requirements are to be managed through the operating management system.	Process for stakeholder identification and management is effectively deployed. Analysis and outputs inform the organization's risks and opportunities and actions to address those. Relevant stakeholder expectations and requirements are identified and managed through the operating management system. Demonstration that stakeholder requirements are used to inform operating management system scope (4.3), processes (4.4) and overall business objectives and plans. Leadership visible engagement in stakeholder management and effective communication.	Knowledge of and prioritization of stakeholder expectations and requirements delivers business improvements and enhances stakeholder relationships. Evidence: The effectiveness of process for stakeholder identification and management is monitored and when required improved. Stakeholder monitoring activities regularly inform opportunities for improvement Organization engages relevant industry bodies or associations to identify, analyse and adopt good practices on stakeholder identification and management. Performance in meeting stakeholder expectations and requirements (9.2) informs corrective actions and process improvement initiatives	Stakeholders expectations and requirements are integral to the evolution of business strategies and objectives and to the design and performance of the operating management system. Evidence: Organizations stakeholder identification and management process adopted proactive and effective tools to evolve its approach on stakeholder management. Relevant and prioritized stakeholders are proactively engaged in of strategies and plans for new business activities. Mature stakeholder relationships lead to the identification and achievement of new business streams and technologies Stakeholder relationships and agreements lead to mutually beneficial outcomes, that enhances the sustainability of the organisation and communities in which it operates

4.3 Determining the scope of the operating management system

REQUIREMENTS

The organization shall determine the boundaries and applicability of the operating management system, including the operating lifecycle stages and functional areas, to establish its scope. When determining this scope, the organization shall consider:

the external and internal issues referred to in 4.1
the requirements referred to in 4.2.

The scope shall be available as documented information. NOTE 1 The scope and design of the operating management system, including its processes, should be informed by the organization's business purpose, objectives, current and emerging operations, operating value chain/lifecycle and stakeholder requirements and obligations. NOTE 2 Typical lifecycle phases and functional areas for operations are provided in Annex A.

FINDINGS REFERENCED DOCUMENT

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	Level 1 - Awareness	Level 2 - Approach	Level 3 - Deployment	Level 4 - Improvement	Level 5 - Transforming
Assessed State	Top management demonstrates a understanding that the scope and boundaries of the operating management system should be informed by the organisational context and issues.	Process established for defining and managing operating management system scope and boundaries including consideration of context and issues.	Operating Management system scope and boundaries defined and is aligned with the organisations objectives context and associated issues.	Performance evaluation, management review and improvement initiatives inform or are informed by changes in the scope and boundaries of the operating management system.	The existence of an agile operating management system is an enabler for business transition, and informs strategic decisions and business objectives.
Evidence	Management articulate a basic rationale and understanding of the need to consider context and issues when defining operating management system boundaries and scope. Basic documentation of scope exists	Proven approach or process Process inputs include context and issues (outputs of 4.1 and 4.2) Process outputs document the scope and boundaries	Documentation defining the scope and boundaries of the operating management system available The scope and boundaries reflect (are traceable to) the objectives context and issues identified in 4.1 and 4.2. The scope and boundaries include identification of operating activities delivered using outsourced products and services	Performance evaluation includes identification of issues and improvement opportunities that reflect or may inform changes in operating management system scope and boundaries Management review includes decisions to implement changes to the scope and boundaries of the operating management system	The decision of strategic change includes consideration of operating management system The organisation is able to adapt the internal scope and influence the scope of external parties in a way in to optimise business value for stakeholders. The organisation is progressive, and able to continuously optimise the scope to provide the maximum value for stakeholders with a minimum content.

4.4 Operating management system

REQUIREMENTS

The organization shall establish, implement, maintain and continually improve an operating management system, including the processes needed and their interactions, in accordance with the requirements of this document. The organization shall determine the processes needed for the operating management system and their application throughout the organization. The organization shall:

determine the inputs required and the outputs expected from these processes
determine the sequence and interaction of these processes
determine and apply the criteria and methods (including monitoring, measurements and related performance indicators) needed to ensure the effective operation and control of these processes
determine the resources needed for these processes and ensure their availability (ref 7.1, 7.2, 7.3)
assign the responsibilities and authorities for these processes
address the risks and opportunities
evaluate process suitability and effectiveness and implement improvements to ensure achievement of intended results

Documented information shall be available to support the operation of its processes and to have confidence that the processes are being carried out as planned. The organization shall define the extent of documented information required to meet relevant stakeholder requirements (see 4.2 and 4.3).

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	Level 1 - Awareness	Level 2 - Approach	Level 3 - Deployment	Level 4 - Improvement	Level 5 - Transforming
Assessed State	Management recognizes the need for a structured approach to establishing and maintaining operating management systems.	Operating Management System framework defined and development and implementation plan agreed.	Operating management system effectively implemented in accordance with the agreed scope and boundaries as planned.	Management system processes are informed by and inform business activities, improvements and risk-based decisions.	Management system processes are informed by and inform business activities, improvements and risk-based decisions.
Evidence	Understanding that the design of the operating management system must be informed by the requirements and issues identified in 4.1.and 4.2 Understanding that the design of the operating management system must enable the interdependencies between the operating lifecycle and the applicable functional management objectives and requirements (e.g. quality, health, safety) to be included in the OMS. Understanding that the shape and feel of the operating management system structure, content and deployment influences the awareness and engagement of the people in its effective implementation Note: Assessment and ranking of this criteria should not be finalised until the assessment of the totality of management system requirements is completed.	Operating management system development strategy and resources agreed by Top Management Operating Management System design i.e. core elements, processes (including their interdependency) and information hierarchy defined Roles and responsibilities for the development, implementation of the operating management system defined Main business processes and process owners defined Development and implementation plan prioritised based on operational opportunities and risk established.	Operating Management System management processes fully implemented and provide governance over development and implementation of operational and functional processes Planned operational and functional processes implemented Process controls include control over outsourced processes, products and services Process control and performance indicators in place and performance trends reviewed (see 9.1), Processes revised in response to changes in context, objectives and unplanned process outcomes.	Operating management system control and performance indicators are used to inform improvements Improvement effectiveness is monitored and assessed. Integration of business tools and operating management system processes provides inherent process controls (people independent) Systematic analysis of operating management system processes and business performance to identify and drive improvement	Operating management system control and performance indicators are used to inform improvements Improvement effectiveness is monitored and assessed. Integration of business tools and operating management system processes provides inherent process controls (people independent) Systematic analysis of operating management system processes and business performance to identify and drive improvement

5. Leadership

5.1.1 Leadership and commitment

REQUIREMENTS

Top management shall demonstrate leadership and commitment with respect to the operating management system by:

ensuring that the organization’s policy and objectives are established and are consistent with the strategic direction of the organization
ensuring the integration of the operating management system requirements into the organization’s business processes
ensuring that the resources needed for the operating management system are available
communicating the importance of effective operating management and of conforming to the operating management system requirements
ensuring that the operating management system achieves its intended result(s)
directing and supporting persons to contribute to the effectiveness of the operating management system
promoting continual improvement
supporting other relevant roles to demonstrate their leadership as it applies to their areas of responsibility

NOTE; Reference to “business” in this document can be interpreted broadly to mean those activities that are core to the purposes of the organization’s existence.

FINDINGS REFERENCED DOCUMENT

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	Level 1 - Awareness	Level 2 - Approach	Level 3 - Deployment	Level 4 - Improvement	Level 5 - Transforming
Assessed State	Top management is aware of their obligations to and influence on the management system and for establishing policies and strategies in support of management system development.	Management system development strategies and plans endorsed and promoted by top management as key enablers of the organisation's strategic direction.	Top management actively demonstrate commitment to policies and expectations through their actions with measurable level of personnel awareness and behaviours that reflect the policy intent.	Top management is leading a culture of improvement, that is consistent with the elements of the Operating Management System.	When undertaking significant organization, operational or operating management system scope or design changes, top management's objectives and decisions are influenced by the outputs and learnings of the management system
Evidence	Top management leads identification, framing and execution of significant changes using applicable operating management system processes Due diligence is demonstrated Associated material risks and opportunities are identified assessed and residual risk agreed consistent with defined authorities Top management proactively monitors and addresses adverse trend to performance against imitative objectives	Top management participation in framing and authorisation of the management system development plans demonstrated Management system development plans include definition of Top management's role in leading and communicating development Evidence of Top Management communication and support for the plans Evidence of Top Management review of development progress, recognising success and implementing actions to address risks to achieving plan objectives	Maintained management system documented information establishes top management's roles and authorities in respect to the operation of the management system Available documented information demonstrates Top Management's participation in accordance with their defined roles, refer 1) Top management's personal performance objectives and performance reviews include performance indicators related to their areas of management system responsibility Evidence of Top management promotion of the management system such as formal communications, informal engagement, site visits etc Workforce awareness and recognition that Top Management's behaviour is consistent with the leadership principles (for an effective operating management system) demonstrated through interview, survey social media etc.	Business objectives, strategies and resources established by Top Management to enable improvement aspirations and measures Top management involvement and behaviours are consistent with the establishment of a culture which enables improvement and innovation Top management encourage and recognise/reward improvement initiatives Top management lead management review and communicate the outputs and planned actions	Top management leads identification, framing and execution of significant changes using applicable operating management system processes Due diligence is demonstrated Associated material risks and opportunities are identified assessed and residual risk agreed consistent with defined authorities Top management proactively monitors and addresses adverse trend to performance against imitative objectives

5.1.2 Leadership and commitment

REQUIREMENTS

Top management shall demonstrate leadership and commitment with respect to license to operate by ensuring that:

the risks and opportunities that can affect license to operate and the ability to enhance stakeholder satisfaction are determined and addressed
applicable statutory, regulatory and sustainability requirements are determined, understood and met
stakeholder satisfaction is enhanced

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	Level 1 - Awareness	Level 2 - Approach	Level 3 - Deployment	Level 4 - Improvement	Level 5 - Transforming
Assessed State	Top management articulates understanding of context and stakeholder positions in respect to licence to operate.	Top Management established process to identify, analyse and respond to issues and risks that influence the organisation's licence to operate.	Licence to Operate commitments established and effectively managed with escalation of issues to Top Management for facilitation and arbitration consistent with risk and opportunities and enhancing stakeholder satisfaction.	Top management actively facilitates licence to operate obligations and performance resulting in positive trends in compliance and commitment criteria performance.	Organisation establishes new benchmarks in licence to operate expectations leading regulatory obligations and society expectations particularly in emerging technologies and operations.
Evidence	Managers can articulate concepts of licence to operate and the principal criteria and pre-requisites for the licence to operate relevant to the organisation's operations, and its risks and opportunities Basic (reactive) practices in place for managing licence to operate issues and achieving stakeholder satisfaction	Process defined which establishes Top management role in respect to: Identification and management of stakeholders who determine the licence to operate core regulatory obligations, sustainability requirements and commitments Management of related risks and opportunities Criteria, associated measures, and commitments Escalation of licence to operate issues	Licence to operate commitments and leadership demonstration is visible and effective Applicable regulatory and sustainability obligations assessed and mapped to operating processes and associated risks and met Process performance criteria defined and commitments agreed with stakeholders Top Management endorsement of criteria and commitments demonstrated Escalation to top management demonstrated when appropriate	Compliance and commitment criteria performance trends routinely reviewed to identify opportunities and adverse trends Actions implemented in liaison with stakeholders to address adverse trends in performance Opportunities for improvement identified and implemented in consultation with stakeholders	Organisation establishes new benchmarks in licence to operate expectations leading regulatory obligations and society expectations particularly in emerging technologies and operations. Evidence The organisation actively engages with peer organisations and stakeholders to identify opportunities to leverage organisational behaviours and emerging technologies to enhance sector performance in line with society expectations and aspirations Organisation leads or contributes to initiatives that enhance sector licence to operate perceptions and by so doing enable pre-requisite regulatory approvals Organisation leads or contributes to improvements in regulatory and sustainability obligations

5.2 Policy

REQUIREMENTS

Top management shall establish policy that:

is appropriate to the purpose of the organization
provides a framework for setting objectives
includes a commitment to meet applicable requirements
includes a commitment to improvement

The policy shall:

be available as documented information
be communicated within the organization
be available to stakeholders, as appropriate.

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	Level 1 - Awareness	Level 2 - Approach	Level 3 - Deployment	Level 4 - Improvement	Level 5 - Transforming
Assessed State	Top management is aware of the need to establish policies and there is a strategy to implement them.	Policy management process has been established and is in line with the organisation's values, strategic direction and objectives.	Policies are communicated with measurable levels of awareness and behaviours reflect policy intent.	Policy intent is reflected in practices and behaviours, informs improvement initiatives and policies are routinely reviewed and amended in response to changes in context and strategies.	Policy intent is reflected in practices and behaviours, informs improvement initiatives and policies are routinely reviewed and amended in response to changes in context and strategies.
Evidence	Managers can articulate policy principles Anecdotal evidence of discussion of business policies and principles Policy development and deployment plan in place	Policy management process has been established and is in line with the organisation's values, strategic direction and objectives. Evidence Process for managing policy(s), including defining authorising and communicating is defined and started implementation Policies published meet the requirements (a, b, c & d)	Baseline policy requirements defined and deployed to the organisation and stakeholders Operating procedures are aligned with related policies and expectations (e.g. relationships established in operating management system information) Measures in place to ascertain level of awareness and conformance with policy intent Clear evidence of Top Management communication and support for policies	Policy intent is reflected in practices and behaviours, informs improvement initiatives and policies are routinely reviewed and amended in response to changes in context and strategies. Evidence Operating procedures performance criteria consistently meet of exceed performance targets Examples provided of improvement outcomes related to policy expectations (e.g. with measurable improvement in objective measures) Periodic review and when appropriate policy revisions demonstrated	Policies lead and establish governance over , strategic scope, organisational and operational change initiatives. Evidence Policies include clear mandate for innovation and transforming initiatives aligned with business vision and mission Examples provided of innovation and transformation based on policy expectations Measurable benefits in line with initiative goals demonstrated

5.3 Roles, responsibilities and authorities

REQUIREMENTS

Top management shall ensure that the responsibilities and authorities for relevant roles are assigned and communicated within the organization. Top management shall assign the responsibility and authority for:

ensuring that the operating management system conforms to the requirements of this document
reporting on the operating performance of the operating management system to top management
ensuring the suitability and effectiveness of the operating management system

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	Level 1 - Awareness	Level 2 - Approach	Level 3 - Deployment	Level 4 - Improvement	Level 5 - Transforming
Assessed State	Top Management has committed to develop and maintain an overarching organizational structure that addresses roles, accountabilities and authorities.	Top Management has defined a clear and purposeful organizational structure with clear accountabilities and delegations and empowers the organization to develop, implement and maintain the structure.	Top Management is actively engaged ensuring implementation and effectiveness of the organizational structure and communicate clear individual responsibilities and accountabilities.	Organizational effectiveness and efficiency is regularly monitored and improved in line with changes in context and strategic intent.	Organizational structure, roles and responsibilities are proactively linked to evolving context and strategic direction
Evidence	Management at the different levels can articulate the organizational structure and importance of clear role definitions. Roles are assigned and informed to the individuals through the overarching organizational structure. Role holders have a general awareness on the intent of their role responsibilities and authorities. Top management can articulate the importance of specific accountabilities on Operating Management System	Process is defined to issue, review and update the Organizational Structure including individual Job Descriptions that define the responsibilities, required competencies and authorities. Organizational structure includes members that are responsible for the custodianship, implementation and improvement of the Operating Management System	Systematic process in place to review, update and oversee the organizational Structure. Individual -updated- Job Descriptions and a mapping in place to show how these roles connect to the organizational hierarchy and operating management system. Individual Job Descriptions and assigned level of authorities per roles are communicated and understood by role holders.	Organizational structure is dynamic with changes reflecting the changes in context and strategic direction. Metrics implemented to test the level of organizational effectiveness and efficiency. Performance outcomes inform operating management system improvement initiatives including enabling resources and accountabilities.	Every part of the organization is self-responsive and agile to align to the direction and context of the company i.e., new/required roles evolve. Individuals / role holders are challenging and self-improving the context of their roles that connects to the strategic direction. Operating management system organisation structure, resources and accountabilities are agile and responsive to changes in organizational context and to the performance and sustainability of the management system.

6. Planning

6.1 Actions to address risks and opportunities

REQUIREMENTS

When planning for the operating management system, the organization shall consider the issues referred to in 4.1 and the requirements referred to in 4.2 and determine the risks and opportunities that need to be addressed to:

realize value of resource(s) and asset(s) to achieve business objectives
give assurance that the operating management system can achieve its intended result(s)
prevent, or reduce, undesired effects
achieve improvement.

The organization shall plan to manage risks and opportunities by:

defining techniques, tools and their application for risk identification, assessment, prevention and mitigation
identifying sources of risk, areas of impacts, events and their causes, and their potential consequences
analysing potential risk by determining consequences and their likelihood
evaluating risk and develop risk controls
applying appropriate risk treatments
reviewing and evaluating the effectiveness of actions
implement measures to drive improvement

NOTE; See Clause 8 for requirements on the management of risk in the context of the operations. Documented information shall be available to support and demonstrate the management of risks and opportunities.

FINDINGS REFERENCED DOCUMENT

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	Level 1 - Awareness	Level 2 - Approach	Level 3 - Deployment	Level 4 - Improvement	Level 5 - Transforming
Assessed State	Management recognises that risk and opportunities should be considered when establishing the operating management system framework, processes, objectives and controls.	Risk management processes provide the basis for determining risks and opportunities associated with the context and provides inputs for planning, setting objectives and process controls.	Risk management processes systematically used to identify and manage risks and opportunities throughout the organisation.	Risks and opportunities inform sustained improvement in the organisations objectives, processes and operational performance.	Innovation (step-change) initiative objectives, plans and controls are based on and are responsive to associated risks and opportunities.
Evidence	Management articulate the principal risks and opportunities associated with the operational context (refer 4.1, 4.2), and that they should be managed through the design of the operating management system Management articulates strategies for establishing overarching risk and opportunity management practices as essential elements of the operating management system re informal - not systematic.	Risk and opportunity management principles defined in top management policies and expectations Core risk management processes established - 3)Management able to present the risk mgmt. principles, processes and tools. Risk identification and management controls considered during the development of core business management processes. Criteria defined for escalation of decisions in respect to risk/opportunity	Risk and opportunities are registered, assessed, controlled throughout the organisation Risk treatment actions implemented and verified All management decisions including escalation are informed by analysis of risk and opportunities. All business processes embed risk and opportunity assessment Provider risk shared, captured and managed	Improvement proposals initiated to mitigate risks or to realise opportunities All improvement initiatives are subject to analysis of associated risks and opportunities Improvement initiative decisions are subject to defined delegation of authorities consistent with risk levels	Innovation management protocols mandate due diligence in respect to associated organisation and stakeholder risks and opportunities Risk and opportunities for the wider external stakeholder context are managed Partner and supply chain risks and opportunities are considered, and responsibility for their management assigned and verified Performance against initiative (step-change) objectives is measured, analysed and when necessary, corrective action implemented in respect to associated risks and opportunities

6.2.1 Objectives

REQUIREMENTS

The organization shall establish objectives at relevant functions and levels. When establishing its objectives, the organization shall consider the requirements of relevant stakeholders and of other financial, technical, legal, regulatory, sustainability and organizational requirements in the operating management planning process. The objectives shall:

be consistent with the operating policy
consider risks and opportunities
be measurable
consider applicable requirements
be monitored
be communicated to relevant stakeholders
be reviewed and updated as appropriate
be available as documented information

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	Level 1 - Awareness	Level 2 - Approach	Level 3 - Deployment	Level 4 - Improvement	Level 5 - Transforming
Assessed State	Management recognises the importance of objectives to inform the design and application of the operating management system.	Processes defined for objectives setting and implementation.	key function areas and all levels that are aligned across the key function areas and all levels of the Organisation.	New or amended objectives inform or are informed by improvement initiatives with associated measures employed to evaluate the value created or protected by improvement initiatives.	Objectives established which inform or are informed by emerging business strategies encompassing as appropriate, organisation, stakeholder, partner and supplier participation.
Evidence	Management articulates an understanding for the importance of setting objectives. Management articulates strategies for ensuring objectives are established in line with a) to h) and will be used to inform the design and application of the operating management system	Overarching principles and criteria for objectives setting and application defined Process (s) defined addressing a) to h) which will inform the design of management system processes and controls Functional processes consider objectives as process inputs including measures to assess the degree to which objectives are achieved	Management can clearly articulate and prove that objectives are defined and cascading objectives for key functions Objectives are traceable to applicable policies, risks and opportunities Processes work consistently to establish and align objectives across and within key function areas. Systematic approach in place to cascade and breakdown of objectives. Associated documentation is evident. Objectives and associated measures revised in response to performance evaluation and management review; refer Clause 9.0	Interdependency of new or changed objectives and improvement initiatives demonstrated. Value created or protected through improvement initiatives measured against associated objectives Interdependency of objectives and improvement initiatives informed by or inform stakeholder engagement and communication e.g. regulators, organisations, supply chain, communities	Business objectives includes objectives to achieve emerging business strategies Stakeholders, contribute to objective setting consistent with their respective objectives and agreements Performance measures are defined as basis for assessing individual and overall performance in achievement of emerging business strategies

6.2.2 Planning to achieve objectives

REQUIREMENTS

When planning how to achieve its objectives, the organization shall determine and document:

what will be done
what resources will be required
who will be responsible
when it will be completed
how the results will be evaluated

When planning how to achieve its objectives, the organization shall define:

method and criteria for decision making and prioritizing of the activities
processes and methods to be employed in managing assets over their lifecycles
appropriate planning time horizon(s)
technical, non-technical and financial implications
sustainability implications
review period.

FINDINGS REFERENCED DOCUMENT

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	Level 1 - Awareness	Level 2 - Approach	Level 3 - Deployment	Level 4 - Improvement	Level 5 - Transforming
Assessed State	Management recognises the relationship between objectives setting and business planning including the planning of activities and associated resources.	Planning processes, that integrate relevant functional and stakeholder objectives and activities, defined.	Planning processes, that integrate relevant functional and stakeholder objectives and activities, defined.	Operational plans are amended in response to performance trends, improvement initiatives and changes to objectives and requirements.	Operational planning is agile, proactively responding to and informing emerging business strategies and objectives
Evidence	Management articulates understanding of the importance of planning in respect to achieving objectives. Management demonstrates any existing planning policies and processes and are aware of their effectiveness and potential gaps in capability.	Processes defined and proven which include controls ensuring: Traceability to associated objectives, risks and opportunities demonstrated Participation and decisions defined in accordance with applicable responsibilities and authorities Functional and stakeholder interdependencies demonstrated Resources allocation consistent with planned activities Performance measures defined to prove plan implementation effectiveness	Planning consistently implemented across the organization. Planning outputs traceable to applicable objectives Planning outputs ensure relevant employee and functional involvement in delivery of objectives. Planning outputs demonstrate that long term effects are addressed Planning outputs address stakeholder expectations and obligations	Planning outputs demonstrate consideration of performance evaluation trends, lessons, cross functional and stakeholder feedback and improvement initiatives Performance trend changes are traceable to planning output amendments made in response to corrective action and improvement initiatives Participation and decisions defined in accordance with relevant stakeholders' interests during the executions of the plans to achieve objectives	Emerging business strategy objectives are reflected in planning outputs Planning outputs are proactively amended in response to changes to strategies and objectives Stakeholders, partners and suppliers share planning activities, inputs and outputs consistent with their respective objectives and agreements Performance trends reflect planning output contributions to delivery of strategy objectives

6.3 Planning for contingency, emergency, crisis and business continuity

REQUIREMENTS

The organization shall, in cooperation with its stakeholders, establish, document and maintain plan(s) to be prepared:

for eventualities and contingencies and manage those when they occur
for emergencies and manage those when they occur
for crises and manage those when they occur
to ensure business continuity should circumstance require

NOTE See 8.1 and 8.4 for activities required to implement the contingency and emergency plans in response to unplanned events and outcomes.

FINDINGS REFERENCED DOCUMENT

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	Level 1 - Awareness	Level 2 - Approach	Level 3 - Deployment	Level 4 - Improvement	Level 5 - Transforming
Assessed State	Management recognizes the need to identify and be prepared for unplanned events and outcomes.	Business continuity and emergency response planning processes defined.	Business continuity and emergency response plans addressing risk exposures and requirements associated with the operations effectively implemented.	Business continuity and emergency response plans are revised in response to stakeholder feedback and learning from events and performance evaluation.	The organisation informs indutry practices and integrates stakeholder capabilities when planning for business contingencies and emergencies in opportunities and business decisions.
Evidence	Top management articulates basic understanding of operational risks and any existing plans, processes and capabilities Top Management demonstrates understanding of any associated regulatory obligations and the degree to which the organisation conforms with such requirements	Key risks and obligations that may lead to a business continuity or emergency response situation identified to inform planning process development Planning processes, including definition of process inputs, outputs and controls for each risk scenario defined Processes proven against applicable risk scenarios and regulatory requirements	Emergency response and business continuity plans, covering all key activities are established and maintained. Resources are shared with partners to establish their own emergency response and business continuity plans. Suppliers / Contractors are integrated in emergency response and business continuity plans. Exercises are undertaken with predefined performance indicators to prove plans Supply chain capabilities assessed and mitigation implemented to address capability gaps consistent with prevailing influence.	Learning from former projects and experience feedback are integrated in new emergency response and business continuity plans. Exercise performance trends are analysed and used to improve processes Emergency response and business continuity planning approach is tested through simulating or involving all stakeholders and considering most complex scenarios. The organisation demonstrates a clear link between organisation, technical and administrative changes and the potential associated changes into business continuity or emergency response plans	Case studies demonstrate that the organisation is leading the evolution of industry processes, standards and systems for emergency response and business continuity Organisation demonstrates interface testing of their business continuity plan with stakeholders Challenge, or as appropriate, manage stakeholder response and continuity and interdependency risk and opportunity.

6.4 Management of change

REQUIREMENTS

The organization shall be prepared for planned and unplanned changes and manage the risks and opportunities resulting from unforeseen consequences from these changes. Management of change shall encompass changes in:

Context and associated objectives, obligations and requirements referred to in 4.1 and 4.2
The operating management system scope, systems and processes referred to in 4.3.and 4.4
Organisation and personnel
Infrastructure
Products and services

The organization shall assess risks and opportunities associated with planned or unplanned changes, permanent or temporary, that can have an impact on achieving the objectives. The organization shall ensure that such risks and opportunities are managed in accordance with 6.1 and 6.2.2. Documented information shall be available to support and demonstrate the management of change.

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	Level 1 - Awareness	Level 2 - Approach	Level 3 - Deployment	Level 4 - Improvement	Level 5 - Transforming
Assessed State	Management understands management of change requirements.	Management of change processes defined.	Management of change is effectively implemented for all applicable operations.	Management of change process effectiveness is assessed and amended in response to changing context and requirements or to leverage opportunities or redress adverse trends.	Organisational culture that change is desirable and enables long term development and sustainability.
Evidence	Top management demonstrate an understanding of management of change principles Management articulates current management of change processes and any associated gaps in capability.	Process (s) defined and proven including controls encompassing: integrated focus on administrative, technical, and organisational change consideration of associated risks and opportunities Escalation rules Verification of change implementation and effectiveness	Management prescribe and verify implementation of management of change process(es) Risk and opportunity impacts are considered for all changes Management of change controls extend to externally sourced processes, products and services. Available information demonstrates, clear definition of change, impacts/interdependencies, stakeholder engagement/agreement, risk and opportunity assessment, decision authorities and implementation	Formalised processes describing how the Organisation is analysing and learning from management of change including engagement and involvement of applicable stakeholders Top Management decisions and new strategies are subject to management of change principles and processes Formalised processes and KPIs established to follow-up how well the management of change process functions Improvement management processes, per Clause 10, invoke risk assessment and management of change pre-requisites to implementing proposed process, facility and product improvements.	Management of change principles are integral to the Organisations values and high level policies The Organisation and key stakeholders align management of change principles when engaging in step changes Pro-active approach to identify and influence external step changes affecting the context

7. Support

7.1.1 People resource management

REQUIREMENTS

The organisation shall determine and provide the capacity of people necessary for the operation and control of its processes.to achieve operating objectives and obligations. The organisation shall determine and demonstrate the necessary competence of person(s) doing work under its control that affects its operating performance. The organisation shall consider:

the capacity and competence of, and constraints on, existing internal personnel
utilisation of capacity available through stakeholders, partners and external providers
c) people resources required to maintain its operating management system

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	Level 1 - Awareness	Level 2 - Approach	Level 3 - Deployment	Level 4 - Improvement	Level 5 - Transforming
Assessed State	Management understands the importance of the people to meet its objectives and is aware of applicable statutory obligations with respect to people management	The Organization has defined processes to determine and manage the people required to operate the business	The organization operates the established processes for people management, that are necessary for the operation and control of its processes.	The organization improves people management and development processes to increase the effectiveness of the operation and control of its processes.	The organisation pre-emptively creates new and/or changes roles and capability to deliver transforming business strategies
Evidence	Management at different levels articulate the importance of their people for the operation of the business The organisation demonstrates external requirements / legislative obligations with respect to people management	Process(es) established for people management, including consideration of: - Forecasting, budgeting and resource allocation - Required roles and pre-requisite competencies defined - People development and renumeration - Recruitment, onboarding, deployment and demobilisation Process(es) include consideration of compliance with applicable legislation and contractual obligations Process suitability have been demonstrated in parts of the organisation	People management process(es) are working systematically Process related performance indicators are setup for the people management process(es), with active oversight at different levels of the organization. Planned capacities and required competencies are fulfilled, including the consideration of capacities available through stakeholders, partners and external providers. Controls of operational processes do not identify systematic defects / gaps related to people management	Processes in place to review the people management processes. Performance indicators trends inform opportunities for people development. Active management commitment in place to assess and action these improvements. Organization responds to changing needs and priorities by adjusting people development and management processes, including processes employed by external providers Top management commitment to people development and management Increasing satisfaction with people development and management Providers operate their established people development and management processes People development is a key priority for the organisations	The organisation understands research, technology development, the political landscape, markets relevant for the business strategy to foresee changes that may have a strategic impact on capability management New and changing roles linked to strategic initiatives As the organization transforms, it also transforms its people management and development processes in an agile and sustainable manner to support the transformation.

7.1.2 Competence development

REQUIREMENTS

The organization shall develop competencies to meet the requirements defined in 7.1.1 :

ensure that these persons are competent on the basis of appropriate education, training, or experience
where applicable, take actions to develop or acquire the necessary competence, and evaluate the effectiveness of the actions taken
validate competency to specific proficiency levels appropriate to the risk associated with the task.
Retain documented information as evidence of competence.

NOTE; Applicable actions can include, for example, the provision of training to, the mentoring of, or the re-assignment of currently employed persons; or the hiring or contracting of competent persons.

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	Level 1 - Awareness	Level 2 - Approach	Level 3 - Deployment	Level 4 - Improvement	Level 5 - Transforming
Assessed State	Management understands the importance of competency in respect to achieving its objectives and meeting contractual and regulatory obligations.	The Organization has established a structured approach to determine competency requirements, assess existing competencies, and develop new competences.	Competency requirements defined, competencies assessed, participation controls effective and development plans established to redress competency gaps.	Competency requirements, controls and development plans are amended when required to address emerging risks, lessons and new or improved activity and technology requirements.	The organisation pre-emptively creates new and/or changes roles and capability to deliver transforming business strategies.
Evidence	Management articulates the need for defining pre-requisite competency requirements Management is aware of statutory and contractual qualification obligations	Process for maintaining regulatory training and qualification records defined Competency definition and assessment process defined, communicated and proven. Training and Development Program defined and resourced implementation plan established	Competency requirements defined where required to meet operational objectives, contractual requirements and statutory obligations Competency management model of providers is assessed and interfaced with company system Competency assessment records in place for person (s) doing work under its control Process competency pre-requisite controls demonstrated Training and development plans established to redress competency gaps ** Person (s) includes outsourced products and services supply personnel competencies	Career development plans enable organisation strategies Individual appraisal and performance indicators are aligned with organisation objectives Where competency is identified as the root cause of unplanned outcomes or performance trends the related competency requirement or control is revised to redress the risks Competency requirements and controls are established when required to enable process or technology improvements	The organisation understands research, technology development, the political landscape, markets relevant for the business strategy to foresee changes that may have a strategic impact on capability management New and changing roles linked to strategic initiatives As the organization transforms, it also transforms its people management and development processes in an agile and sustainable manner to support the transform

7.1.3 Awareness and engagement

REQUIREMENTS

Persons doing work under the organization’s control, including external providers, shall be made aware of:

the organization’s policy, objectives and operating management plans
their contribution to the effectiveness of the operating management system, including the benefits of improved operating performance
their work activities, the associated risks and opportunities and how they relate to each other
the implications of not conforming with the operating management system requirements.

Changes in organization’s policy, objectives and operating management plans shall be communicated through the management of change process referred to in 6.4, to internal and external parties (see 7.4).

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	Level 1 - Awareness	Level 2 - Approach	Level 3 - Deployment	Level 4 - Improvement	Level 5 - Transforming
Assessed State	Management recognises the importance of people's awareness of and engagement with the operating management system.	The Organization has defined management system learning processes and measurement strategies to assess the level of awareness and engagement.	The Organization has inducted and trained people in the management system framework and policies and the process they employ and measures the level of awareness and engagement.	Organization monitors the effectiveness of management system awareness to identify and implement improvement opportunities.	Organisation demonstrates a culture where awareness and engagement sustains and enables business strategies and objectives.
Evidence	Top management is aware and can articulate the importance of people awareness and engagement Management articulates any existing management system promotion activities and associated capability gaps Some awareness of operating management system requirements demonstrated	Strategy established to ensure awareness and to enable engagement Roles, responsibilities and resource for training and process implementation are defined Process defined for training people in the management system framework policies and processes, including training for system changes	Organization has implemented the management system induction and training programs (records available) Multiple methods of training customised to meet specific process needs Training of system changes are provided to ensure awareness and adoption of changes Process includes feedback loop to capture comments and suggestions Measurement of awareness and engagement demonstrated Process and measurement extends to providers where required to maintain control of externally sourced processes, products and services	Monitoring the effectiveness of the processes to increase awareness and engagement Role specific training and awareness program demonstrated Induction and training is a two way process, where people are empowered to raise issues and opportunities Organization measures the level of awareness and is responsive to feedback from relevant stakeholders (9.2)	Management system induction and training practices are agile and responsive to emerging business requirements Emerging business strategies include opportunities to leverage, acquire and apply enabling awareness and engagement practices and technologies Stakeholders are aligned with the awareness culture

7.2 Infrastructure

REQUIREMENTS

The organization shall determine, provide and maintain the infrastructure necessary for the operation of its processes and to achieve conformity of products and services. NOTE; Infrastructure can include:

facilities, buildings and associated utilities
equipment, including hardware and software
transportation resources
Digital technology infrastructure

See 8.2 in respect to the acquisition, development and implementation of infrastructure required to meet operating requirements. See 8.3 in respect to the operation and maintenance of the organisation’s infrastructure

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	Level 1 - Awareness	Level 2 - Approach	Level 3 - Deployment	Level 4 - Improvement	Level 5 - Transforming
Assessed State	Management recognises the importance of infrastructure to meet its objectives and obligations.	The Organization has defined processes to provide and manage infrastructure resources.	The organisation has pre-requisite infrastructure resources for planned operations to meet business objectives.	The organization improves infrastructure to increase the effectiveness of the operation and control of its processes.	The organisation pre-emptively acquires, adopts, accesses new infrastructure to enable transforming business strategies and objectives.
Evidence	Management can describe the infrastructure they maintain to operate their business Management can describe how they acquire and manage infrastructure Management demonstrates understanding of external requirements / legislative obligations with respect to infrastructure acquisition and management	Process(es) defined for infrastructure resource management provide for the definition of Existing infrastructure capabilities >Operating Infrastructure resource capability planning Financial resources required to acquire and maintain infrastructure (CAPEX, OPEX) Overview of infrastructure components Processes require consideration of operating requirements (See 8.2 and 8.3) applicable infrastructure legislation, regulations obligations and sustainability objectives	Infrastructure acquisition and management processes, including capacity and capability indicators implemented with active management oversight Planned capacities and identified infrastructure are achieved, including the consideration of capacities available through stakeholders, partners and external providers. Controls of operational processes established to identify systematic defects / gaps related to infrastructure management	Performance indicator trends inform opportunities for infrastructure improvements. Active management commitment in place to assess and action improvements. Organization responds to changing needs and priorities by systematically adjusting infrastructure development and management processes, including processes employed by external providers Positive capacity, reliability and availability trends demonstrated Early adoption of new infrastructure technologies / solutions	The organisation understands research, technology development, the political landscape, markets relevant for the business strategy to foresee infrastructure changes that may have a strategic impact on capability management New design linked to strategic initiatives, integrating full life cycles to meet sustainability objectives As the organization transforms, it also transforms its infrastructure management and improvement processes in an agile and sustainable manner to support transformation.

7.3 Environment for the operation of processes

REQUIREMENTS

The organization shall determine, provide and maintain the environment necessary for the safe and effective operation of its processes and to sustainably achieve business objectives. NOTE; A suitable environment can be a combination of human and physical factors, such as:

social (e.g. non-discriminatory, calm, non-confrontational);
psychological (e.g. stress-reducing, burnout prevention, emotionally protective)
physical (e.g. temperature, heat, humidity, light, airflow, hygiene, noise)
sustainability including climate change

These factors can differ substantially depending on the scope of operations and products and services provided.

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	Level 1 - Awareness	Level 2 - Approach	Level 3 - Deployment	Level 4 - Improvement	Level 5 - Transforming
Assessed State	Management recognises how social, psychological and physical environments informs and impacts the organisation’s ability to achieve its objectives and obligations.	The organisation has defined processes for the identification and control of it's social, psychological and physical environment.	The organisation systematically manages its social, psychological and physical environment.	The organisation systematically improves its processes to manage its social, psychological and physical environment.	The organisation creatively evolves and extends its operating environment principles and aspirations across its span of influence.
Evidence	Management articulates the operating conditions that influence operating performance Management demonstrate knowledge of external requirements / legislative obligations with respect to operating environment	Policies, procedures and plans developed to define the controls for the working environment e.g., Human Factors Organisation has objectives established with respect to the working environment Operational planning processes include provisions for identifying working environment conditions and factors, and for the implementation of appropriate process controls.	Management at different levels have defined objectives reflecting social, psychological and physical environment Measurement of social, psychological and physical environment performed e.g. surveys performed, business reviews Analysis of social, psychological and physical environment measurements e.g. trend analysis Dedicated units working with social, psychological and physical environment Workers and their representatives involved in processes related to the social, psychological and physical environment Clear integration of social, psychological and physical environment as part of decision making	Management at different levels demonstrate improvement on social, psychological and physical environment Tangible actions to follow-up outcomes from measurement activities related to social, psychological and physical environment Identified improvements on social, psychological and physical environment are timely integrated to existing policies, procedures and plans Organisation proceeds to be at a high-performing state with growing it's people as a result of improvement e.g., Attractiveness for talent, less turnover of employees, existing employees are constantly growing and level of employee satisfaction Organisation's improved maturity on challenging all stakeholders e.g. contractors or partners on how they manage social, psychological and physical environment.	The organisation establishes its operating environment performance criteria aligned to its the sustainability goals The organisation benchmarks it's sustainability goals and performance using known industry criteria or good practices e.g., UN Sustainability goals Organisation is investing and contributing to the scientific activities or any other research and development activity to constantly learn and help evolve it's operating environment e.g., University collaborations, active role in industry work groups

7.4 Communication

REQUIREMENTS

The organization shall determine the internal and external communications relevant to the operating management system, including:

on what it will communicate
when to communicate
with whom to communicate
how to communicate
who communicates
communication effectiveness

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	Level 1 - Awareness	Level 2 - Approach	Level 3 - Deployment	Level 4 - Improvement	Level 5 - Transforming
Assessed State	The organisation recognises the importance of communication.	The Organization has defined communication processes including governing authorities.	Communication processes are implemented and effective.	Organization monitors the effectiveness of communication and identifies and implements communication improvement opportunities.	Communication strategies employed to manage stakeholder expectations and as key enablers of emerging business opportunities.
Evidence	Top management can articulate the importance of communication Intent is in place to build communication process Organization manages communication activities informally Some awareness of communication objectives and governance requirements demonstrated.	Defined processes for communicating internally and externally Roles and authorities for communication are defined	Records of communication is aligned with communication processes Communication processes adapted to meet different business needs Governing criteria defined (what, when, whom, who) Agreed communication protocols with partners, providers and stakeholders Measurement of communication control and effectiveness demonstrated	Effectiveness of communication processes monitored to confirm that communications are interpreted and understood as intended Actions to improve the quality of communication in reponse to feedback from people and external parties demonstrated Demonstrated ability to amend or adopt new communication practices and technologies	Communication is agile and responsive to stakeholder perceptions and emerging business requirements Actively explore opportunities to develop, leverage, acquire and apply new communication practices and technologies Organisation engages with stakeholders, partners and suppliers to identify acquire and employ innovative communication solutions to enable realization of strategy objectives

7.5 Documented information

REQUIREMENTS

The organization’s operating management system shall include:

documented information required by this document
documented information determined by the organization as being necessary for effective operations
documented information necessary to meet stakeholder and customer requirements

NOTE; The extent of documented information can differ from one organization to another due to:

the size of organization and its type of activities, processes, products and services
the complexity of processes and their interactions
the competence of persons

When creating and updating documented information the organization shall ensure appropriate:

identification and description (e.g. a title, date, author, or reference number)
format (e.g. language, software version, graphics) and media (e.g. paper, electronic)
security classification and associated access controls
review and approval for suitability and adequacy

Documented information required by the operating management system shall be controlled to ensure:

it is available and suitable for use, where and when it is needed
it is adequately protected (e.g. from loss of confidentiality, improper or malicious use, or loss of integrity)

For the control of documented information, the organization shall address the following activities, as applicable:

distribution, access, retrieval and use
storage and preservation, including preservation of legibility
control of changes (e.g. version control)
retention and disposal

Documented information of external origin determined by the organization to be necessary for the planning and operations shall be identified, as appropriate, and controlled.

NOTE 1 Access can imply a decision regarding the permission to view the documented information only, or the permission and authority to view and change the documented information.

NOTE 2 ISO 30301 provides a framework for records management.

NOTE 3 ISO 27001 provides a framework for information security management.

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	Level 1 - Awareness	Level 2 - Approach	Level 3 - Deployment	Level 4 - Improvement	Level 5 - Transforming
Assessed State	The Organization understands the importance of managing information.	The Organization has defined a structured approach for managing and controlling documented information.	Structured approach for managing and controlling documented information effectively implemented.	The effectiveness of documented information management processes routinely assessed and actions implemented to address risks and leverage improvement opportunities.	Documented information management processes and practices provide knowledge required to realise long-term strategy and business objectives.
Evidence	Management at different levels articulate the need to manage and control information Certain documented information is available, such as contracts, assignments, financial and other documented information required by law Management demonstrates current information management processes and any associated capability gaps	Process is defined to create, control, manage and protect internal and external information, Roles are defined to deliver and manage documented information. Resources are defined and plans to support deployment of the process in place, Information specifications risk based to address business needs.	Documented information is managed as per defined processes, with clear responsibilities and accountabilities. Process information, input and outputs are defined and subject to appropriate controls . Resources are allocated as planned and adequate to manage the volume and classifications of documented information. Classification and access controls for documented information are effective. Documented information is presented in formats that can be interpreted and used by the intended users. Documented information controls extend to information shared with and by stakeholders and providers.	Records of effectiveness checks of the process, including any trends are available and regularly analysed. Performance trends demonstrate responsiveness to issues and improvement opportunities related to documented information Results of checks and controls address improvement opportunities, and these are being considered and actioned with clear evidence.	Documented information management practices and tools evolve to integrate technology and digital aspects to improve efficiency of the whole process. Documented information management practices and tools integrate stakeholder and provider information. Existing systems transform data to information and knowledge to inform decision making Information tools contextualise data and information and constantly inform users and help evolve ways of working.

7.6.1 General

REQUIREMENTS

The organization shall establish, implement and maintain strategies and processes for science, technology and engineering to ensure the performance and integrity of activities, assets, products and services throughout their development and operating lifecycle. Science, technology and engineering strategies and processes shall inform technology solutions that:

meet intended functional and performance requirements
conform to applicable internal and external standards
ensure process safety risks are eliminated or mitigated
enable safe and efficient manufacturing, fabrication, construction, commissioning, operation and maintenance

Solutions should also enable business case outcomes, particularly with respect to operational performance at lowest lifecycle cost. The processes for science, technology and engineering established by the organization, as well as providers in the case of externally provided services, shall include the applicable design and development controls from a recognized quality management system standard (e.g. ISO 29001).

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	Level 1 - Awareness	Level 2 - Approach	Level 3 - Deployment	Level 4 - Improvement	Level 5 - Transforming
Assessed State	Top Management demonstrates an understanding of the role of science, technology and engineering capabilities in meeting business objectives.	Plans established for the development of science, technology and engineering capabilities aligned with business objectives.	Planned science, technology and engineering capabilities implemented.	Science, technology and engineering needs and capabilities routinely reassessed and actions implemented to improve existing capabilities and address capability gaps.	New and emerging technologies actively pursued as key strategic enablers to the transformation of existing capabilities and the realisation of new business opportunities.
Evidence	Management articulate need for strategies leveraging science and technology and engineering Basic capabilities established consistent with existing business requirements Relevant science, technologies and engineering solutions monitored and acquired	Science, technology and engineering strategy established, reflecting business objectives Plan and business case for implementing strategies defined Strategy and plan include provisions for externally sourced engineering services, technologies and engineering Budgets are allocated to deliver the strategy and plan Performance measures including criteria for operational integrity and sustainability defined	Science, technology and engineering strategies adopted or adapted throughout the organisation Plans for strategy implementation resourced and deployed Planned technology development and acquisition milestones and objectives realised Performance measures analysed and when required actions implemented to address adverse trends	Performance evaluation outputs inform review of science, technology and engineering strategies and plans Performance trends demonstrate sustained improvement in science, technology and engineering capabilities developments in science, technology and engineering are monitored and inform updates to strategies and plans, Evolving plans and strategies leverage externally sourced capabilities (e.g. through partnerships, supply chain and academic institutions)	Demonstration of initiatives to lead or sponsor research and development of new technologies Acquisitions or partnerships to access new capabilities and technologies Extensive collaboration, benchmarking and influencing of broader industry technology capabilities and sustainability outcomes (beyond organization's own objectives) Proven case studies of the role of science, technology and engineering in realising new business opportunities and more broadly across the sectors the organisation engages with.

7.6.2 Design lifecycle

REQUIREMENTS

The design lifecycle includes:

design development in support of opportunities (see 8.2)
design support during operations (see 8.3)

The organization shall establish design processes to support opportunities considering:

design and operating philosophies
design data acquisition
concept technical feasibility
basis of design
Process safety including definition of safety critical elements and performance standards
front end engineering design
detailed design
follow-on engineering
design close-out and handover

The organization shall establish design processes to support operations considering:

maintaining the basis of design and design configuration
operating to design parameters and integrity envelopes
maintenance strategies and plans
fitness for service
performance measurement and analysis
improvement (via management of change)

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Assessed State	The Organisation recognises the importance of a structured approach to the management and delivery of science, technology and engineering solutions.	Framework for developing and deploying science, technology and engineering capabilities and solutions defined.	The organisation has implemented the planned management framework and processes for existing science, technology and engineering activities.	The Organisation routinely assesses and improves their science, technology and engineering management framework and processes.	The processes for science, technology and engineering inform and enable business strategies to leverage new business opportunities.
Evidence	Management articulate the need for a structured approach to the management of science, technology and engineering activities within their operations Basic processes established to manage delivery of engineering solutions consistent with regulatory obligations	Process(es) for development and deployment of technology defined Processes for engineering established to support opportunity realisation and established operations defined Processes address management and control of outsourced science, technology and engineering services Performance measures defined for 1), 2) and 3) Alignment with recognised Quality Management system requirements demonstrated	Processes for development and deployment of technology and engineering / design implemented Planned process controls, including review verification and validation of in-process engineering and output solutions demonstrated. Controls extend to outsourced science, technology and engineering services Processes and tools are subject to corrective action when identified as the source of nonconforming process trends or outcomes	The organisation reviews internal performance, stakeholder expectations and perceptions and benchmarking to inform improvement initiatives Improved processes, tools and competencies are implemented to realise evolving or new technology capabilities Improvements in processes extend to outsourced science, technology and engineering services Performance measures demonstrate sustained improvement in the suitability and effectiveness of internal and outsourced science, technology and engineering management processes	Demonstrated program of reviews of science, technology and engineering management process capabilities External benchmarking leveraged to inform transformation of science, technology and engineering design processes and tools both within the organisation and through contributions to standardisation across the sector Agile development and deployment of new capabilities and technologies in support of business reengineering and new business streams Case studies demonstrating step change in design and development management and standardisation and broader application of design solutions (design one build many)

7.7.1 Externally provided processes, products and services - General

REQUIREMENTS

When the organization uses externally provided processes, products and/or services that can have an impact on the achievement of its objectives, it shall assess the associated risks and opportunities and establish supply chain engagement strategies, plans and controls which assure the mitigation of risks and realization of opportunities. The organization shall determine:

the processes, products and services that are to be externally provided
the scope and boundaries of the externally provided processes, products and services
the interfaces and integration of externally provided processes, products and services with the organization's own processes, products and services
the responsibilities and authorities within the organization for managing the externally provided processes, products and services
the risks and opportunities associated with the scope of externally provided processes, products and services and controls to be implemented to assure externally provided products and services remain within the control of the organization and conform with agreed requirements and sustainability obligations
process safety and any associated performance standard requirements
the processes and scope for sharing of knowledge and information between the organization and its process, product and service provider(s)

Documented information shall be available that defines strategies, plans and controls for externally provided processes, products and services, and that demonstrate the effectiveness of the activities.

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Assessed State	The Organization understands the need for and the implications of external provided processes, products and services.	Strategies and processes defined to manage externally provided processes, products or services.	The Organization manages externally provided processes, products and services in accordance with defined strategies and processes.	Development of strategies and processes for managing externally provided processes, products or services, is informed by improvement initiatives consistent with associated risks and opportunities.	Risk-based integration of external providers seen as extension of the organisation to leverage business opportunities.
Evidence	Management can explain the organisations use of external provided processes, products and services Management can describe any existing processes and controls including perceptions of capability gaps and associated risks and opportunities.	Strategies for supply chain engagement, plans and control defined. Scope for external provided processes, products and services defined Processes for establishing and managing external processes and use of products and services defined Process independencies including risk management related to externally provided processes products and services defined Roles and responsibilities to manage externally provided processes, products and services defined Resources allocated to manage externally provided processes, products and services. Performance measurement indicators defined	Processes for external processes, use of products and services implemented Regular assessment of risks and opportunities The effectiveness of the processes measured and monitored. Provider engagement, level based on associated risk level Defined integration between provider and internal systems established	Risk assessments inform application and improvement of supply chain management processes. Active engagement in and leveraging of provider improvement initiatives. Contracting strategies are amended in line with changing opportunities and supplier performance	Industry leader in Provider collaboration and partnering strategies Aligned objectives and mutually beneficial rewards Driving standardisation efforts in and across industries

7.7.2 Externally provided processes, products and services - Provider capability

REQUIREMENTS

The organization shall assess providers to ensure that they are capable, competent and have the appropriate controls to deliver the specified requirements. The level of assessment to a specific provider’s scope of supply shall be based on the complexity of the design, history with the provider (i.e. track record), applicable risk assessment output, and proposed extent of externally provided processes, products and services. The organization shall assess external provider performance in meeting specified requirements at planned intervals and adjust the type and extent of the organization’s controls to manage associated risks and opportunities.

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Assessed State	Management understands the need to assess supplier capability and associated risks.	Process defined for assessing provider capability as basis for selecting and subsequently defining controls to be implemented for externally sourced processes, products and services.	Processes for assessment of provider capability implemented and assessment outputs employed to inform provider selection and control decisions.	Provider capability assessment employed to inform and be informed by contracting strategies, provider relationships and forms of agreements and controls.	Knowledge of provider capabilities inform supply chain engagement strategies in support of evolving business development opportunities.
Evidence	Management articulate need to know their supply chain's capabilities Management are aware of any existing processes and knowledge relating to supply chain capability and associated gaps and risks	Defined process for assessment of provider capabilities, one approach Management articulate need for differentiated supplier assessments but not implemented in processes	Defined process implemented consistent with supply chain scopes, complexity and risk Capability assessment records employed to inform, selection of bidders, proposal evaluation and level of controls to be implemented for successful providers Provider assessment records revised based on performance and intelligence regarding organisational changes that may impact capability	Provider capability knowledge employed to capture learning and to inform improvements both internally and by providers Provider capability assessment employed to inform supply chain models and forms of agreements	Knowledge of Provider capabilities inform strategic engagement strategies Capability knowledge informs analysis of risks and opportunities as pre-requisite to engaging providers in support of evolving business opportunities Provider relationships provide transparency/openness in the organisation's access to provider capability knowledge

7.7.3 Externally provided processes, products and services - Type and extent of control

REQUIREMENTS

The organization shall agree with external providers the scope and requirements for the processes, products and services to be provided including:

Regulatory and stakeholder compliance
the approval of:

product and service technical requirements
methods, processes and equipment
the release of products and services

competence, including any required qualification of persons
the external providers' interactions with the organization
control and monitoring of the external providers' performance in delivering the specified requirements to be applied by the organization
conformity assessment activities that the organization may perform
Management of change
Information technology and information delivery requirements

NOTE The organization can specify supply chain quality management system requirements on the basis of recognized standards in the oil and gas industries including lower carbon energy, such as ISO 9001, ISO 29001, API Spec Q1 or API Spec Q2. Prior to commencement of work the organization shall review and agree external provider execution plans, processes and quality control plans. The organisation shall also specify the risk-based conformity assessment activities that they will undertake for incorporation in the provider’s quality control plans The organization shall undertake planned conformity assessment activities during execution of the scope and as a prerequisite to release of externally provided processes, products or services for incorporation in its operations Provider performance in meeting the requirements shall be routinely assessed during execution of the scope. When nonconformance is identified, the organization shall ensure that the provider demonstrates correction of nonconformance and appropriate corrective action is implemented. The level of conformity assessment shall be periodically reviewed and adjusted consistent with risk.

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Assessed State	Management understands the need to define scope and requirements and to assess provider performance and conformity.	Process defined to specify and agree provider scopes, requirements and controls and to manage provider performance and conformity.	Supply chain management processes implemented and control over externally provided process, products and services demonstrated.	Sustained supply chain value creation and protection demonstrated through positive performance and conformance trends.	Substantial strategic integration of supply chain in the organisation's operations with delegation of controls consistent with demonstrated provider capabilities and performance.
Evidence	Management articulate understanding of contractual forms of agreements and requirements Management can demonstrate any existing processes and controls employed to manage supplier performance and ensure conformance with requirements.	Supply chain management processes defined including: Specification of scopes and associated management and technical requirements Risk and criticality assessment as the basis for establishing controls and planning conformity assessment activities Performance assessment and reporting Analysis and management of nonconformance Process implementation plan including pre-requisite resources, competencies and performance criteria defined	Process implementation verified Supply scopes and associated management and technical requirements adequately defined Provider selection informed by capability assessment specific to supply scopes and requirements Conformity assessment activities informed by risk and criticality assessments Conformity verified, validated against requirements and obligations with prerequisite documented information Nonconformance managed and corrected	Supply chain performance in meeting requirements regularly reviewed with review outputs informing improvement initiatives (internal and external. Conformity assessment controls amended (increased/decreased) in response to performance trends and associated risks Extent of reliance on provider controls reflects conformance performance trends)	Strategic agreements establishing provider scope and control principles and governing objectives and performance criteria Providers develop detailed scopes and technical solutions/controls in accordance with overarching principles (e.g. ISO TR 13879, ISO TR 13880 ) Providers execute and demonstrate conformance of scopes with Organisation conformity assessment limited to regulatory requirements (e.g. ISO TR 13881) Strategic relationships performance positively benchmarked against best in class peers, e.g. Aerospace, automative

8. Operations

8.1 Operational planning and control

REQUIREMENTS

The organization shall develop, implement and control the processes and plans needed to meet the objectives, performance standards and requirements for each stage of the lifecycle (see Clause 4), and to implement plans and actions determined in Clause 6 by:

establishing criteria for the processes
implementing control of the processes in accordance with the criteria
supplementing the plans required by 6.3 to mitigate potential unplanned events and outcomes associated with specific operations

Documented information shall be available to the extent necessary to have confidence that the processes have been carried out as planned. The organization shall control planned changes and review the consequences of unintended changes, taking action to mitigate any adverse effects, as necessary (see 6.4). The organization shall ensure that externally provided processes, products and services that are relevant for the operating management system are controlled (see 7.7).

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	Level 1 - Awareness	Level 2 - Approach	Level 3 - Deployment	Level 4 - Improvement	Level 5 - Transforming
Assessed State	The Organisation recognises the need for operational planning to meet lifecycle objectives.	The Organisation has defined processes for planning the activities and key functions to be employed at each stage of the lifecycle for specific business activities.	The Organisation implements processes for planning the activities and key functions to be employed at each stage of the lifecycle for all business activities.	The organisation monitors the efficiency and effectiveness of operational planning processes and identify and implement improvement opportunities.	Agile operating models, planning processes and contracting strategies enable emerging opportunities.
Evidence	Management articulate the need for planning the application of the operating management system for specific operations and activities Management demonstrate an understanding of any existing operational planning processes and associated capability gaps	Planning processes defined for specific business activities Processes require deliverables and control criteria to be included in plans Processes enable scalable application of processes and controls based on the scope, complexity and risks/opportunities associated with the specific operations	People can articulate operational planning processes and their application Operational planning processes implemented for all business activities Plans and contingencies established for business activities Plans provide the controls to manage unplanned events and outcomes Records demonstrate execution of activities according to plans Providers aligned with processes for planning activities and key functions	Systematic analysis of outcomes to inform planning improvements and opportunities Operating plans amended to address adverse trends or realise improvement opportunities Operating controls responsive to changes in requirements and performance outcomes Processes in use by Providers are informed by or inform improvement of the Organisation's planning processes and plans	Demonstrated diversity in approach including leveraging and delegating operational planning activities with partner and provider organisations Operating models established for different business streams consistent with stakeholder expectations, risk and opportunities

8.2 Business opportunity realization (Development Phase)

REQUIREMENTS

The organization shall develop, implement and control processes to identify and realize (develop) opportunities that are consistent with the objectives. The processes shall be risk-based to create, optimize and maintain value for business opportunities. The processes shall address:

identifying opportunities and confirming alignment to business objectives
assessing whether there is merit in progressing opportunities
selecting the optimal concept in line with business objectives
defining the selected concept for development of the opportunities
developing and implementing an execution plan to realize the opportunities as promised in the investment decision
confirming that all objectives as defined in the plan and investment decision have been achieved
Handover for the operations phase of the lifecycle

A decision gate process can support the progressive value maturation of a business opportunity through creating and optimising value. Annex A provides an example of the opportunity realization decision gate process. NOTE Definition and development of the selected concept includes definition of operational philosophies and performance standards.

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	Level 1 - Awareness	Level 2 - Approach	Level 3 - Deployment	Level 4 - Improvement	Level 5 - Transforming
Assessed State	Top management recognise the need for a defined methodology to manage identification and realisation of business opportunities.	The Organization has defined risk-based processes to identify and realise (develop) business opportunities.	The Organization has adapted and implemented risk- based processes to realise (develop) their business opportunities.	The organisation monitors the efficiency and effectiveness of the opportunity realisation processes to identify and implement improvement.	The organisation explores and realises business opportunities that extend the strategic direction and scope.
Evidence	Top Management articulate the need to define opportunity identification and realisation processes that enable the achievement of business objectives Management demonstrates an understanding of any existing opportunity lifecycle management processes and capabilities.	Adaptable and saleable processes and methodologies defined, which address Clause 8.2 points a) to f) Processes include definition of lifecycle phases and decision making criteria for the progression of opportunities and commitment of organisation resources. Processes include definition of controls and associated technical and financial authorities governing the progression of opportunities notably investment decisions and the handover/acceptance for the Operations phase.	The Organization systematically registers and tracks the identification and development of business opportunities Records demonstrate that business opportunities are identified and subject to formal decisions and progressed following the predefined risk-based processes Opportunity realisation plans include definition of scope and associated controls over partner, provider and stakeholder contributions to opportunity realisation Opportunity performance criteria implemented and resultant trends analysed against objectives and adverse trends addressed	The organisation systematically reviews experiences and has a feedback loop to improve the process. Documented improvement from comparison of business opportunity realisation with business case Evaluation of experience data to extract learnings Provider performance assessed to identify business opportunities	Opportunities are undertaken in new or emerging areas Opportunities are realised through unconventional operating models Contracting strategies enable optional realisation via partnerships, alliances, acquisitions, divestment etc.

8.3.1 Operations Phase - Plan

REQUIREMENTS

The organisation shall plan operations to effectively deliver products and services and other outputs required to meet business objectives and stakeholder requirements. The operations and maintenance planning process shall consider factors, including but not limited to:

Health safety and welfare of personnel and the community
output needed to meet customer delivery commitments
any associated customer and stakeholder obligations including sustainability and climate change considerations
available resources
rated capacity, safe operating limits, capability and availability of facilities, plant or equipment
condition monitoring and risk-based inspection (RBI)
maintenance and sparing strategies
external factors

Documented information shall be available for managing the operations and maintenance activities.

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	Level 1 - Awareness	Level 2 - Approach	Level 3 - Deployment	Level 4 - Improvement	Level 5 - Transforming
Assessed State	Top Management recognises their business operational objectives and regulatory obligations and the imperative of planning existing asset operations and maintenance to deliver customer and stakeholder obligations.	The organisation has defined operational philosophies and planning processes for existing operational assets.	The organisation has developed integrated operations plans needed to sustain operations of its assets to deliver on customer and stakeholder obligations.	Integrated operational plans are responsive to operational performance and feedback, capacity, capability, risks, market conditions and stakeholder requirements and commitments.	Forecast and proven performance outputs enable investment in business strategies and disruptive changes to business concepts and technologies.
Evidence	Management articulates the need for planning and plans to sustain operations of established assets Management demonstrates an understanding of business operating objectives and stakeholder/regulatory obligations and the degree to which they are achieved Management demonstrates an understanding of any existing operational planning capabilities	Operating philosophy defined Maintenance philosophy defined Operational planning process (s) developed and validated	Plans aligned with and are responsive to, changes in production (sales) commitments and with asset rated capacities. Plans consistent with asset integrity, availability and reliability factors Plans fully resourced (people, facility, spares, environment, knowledge) including outsourced resources Plans include risk-based contingencies Actual verses planned performance parameters recorded	Actual verses planned performance parameters analysed 2)Operating improvements e.g. performance above rated capacity inform improvements in operational forecasts and plans (8.3.2) Improvements in integrity, availability and reliability performance inform operational plans ands contingencies (8.3.3) Plan resource forecasts (people, facility, spares, environment, knowledge) including outsourced resources, reduced on the basis of operating (8.3.2) and maintenance (8.3.3) improvement outcomes	Forecast (planned) operating performance (revenue/value) used as basis for funding transformation investments (8.2) Diverse operating models and contracting strategies employed including operator and non operator participation to deliver operational objectives

8.3.2 Operations Phase - Operate

REQUIREMENTS

The organisation shall operate assets with integrity within defined limits and according to performance standards. The organization shall define processes and controls for operating within safety and production operating envelopes during:

start-up, shut down, return to service
turn Arounds (TA) Execution
routine operations
non-routine/temporary operations; and maintenance
emergency operations. /shut downs.

The processes and controls shall include provisions for:

design parameters and operating envelope information
safety critical elements and associated equipment
control of work including simultaneous operations
management of change (see 6.4)

Documented information shall be available to the extent necessary to have confidence that the processes and controls ensure achievement of operational objectives.

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	Level 1 - Awareness	Level 2 - Approach	Level 3 - Deployment	Level 4 - Improvement	Level 5 - Transforming
Assessed State	Management recognises regulatory requirements, operating philosophies and delivery commitments associated with existing operating assets.	Asset operating processes and controls defined.	Asset operating processes and controls implemented and effectiveness verified.	Asset operating processes and controls responsive and optimised based on performance feedback and commitments and informs business improvement opportunities.	Operational performance and learnings inform and enable business strategies and disruptive changes to business concepts and technologies.
Evidence	Management articulate a understanding of and commitment to meeting operating objectives and obligations associated with exisitng assets Management deomonstrate an understanding of any exisitng operating processes, performance criteria and controls and associated capability gaps	Documented assessment of the required processes and controls to operate existing assets within operational envelopes to meet the output commitment Process for defining operating processes and controls includes risk-based consideration of associated stakeholder commitments and obligations and when defining processes and controls Procedures and processes developed and validated for use (operational readiness)	Monitoring trends related to performance and outputs Monitoring trends on incidents, non-routine operations, non-conformance etc. People have the prerequisite competences and are trained in the operational procedures and processes they undertake Process controls extend to Providers involved in asset operations	Operating performance trends, deviations and events analysed Provider operating knowledge informs analysis and actions Corrective, preventive and improvement actions implemented based on analysis findings Analysis findings impacting operations scheduling and resource forecasts informs operational planning (8.3.1) Asset or business improvement opportunities identified through analysis informs opportunity realisation (8.2)	Operational learnings and knowledge informs business opportunities (8.2) Operating performance (revenue/value) sustains transformation investments (8.2) Operations a key participant in opportunity realization (8.2)

8.3.2 Operations Phase - Monitor and maintain

REQUIREMENTS

The organisation shall maintain both operational and idle assets according to established maintenance strategies and plans to ensure operating integrity and to achieve safe and reliable operations. The organization shall implement risk-based monitoring, inspection and verification activities at planned intervals, to determine the performance and integrity of its assets. The organization shall implement maintenance programs and processes based on the determined performance and integrity of its assets which ensure the assets continue to meet performance standards. Equipment and spares management, including storage provisions, shall be consistent with the operational philosophy and criticality to ensure availability and integrity of equipment and spares. Deviations from specified criteria shall be managed (see 6.4). Documented information shall be available to the extent necessary to demonstrate conformance with specified requirements and performance standards.

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	Level 1 - Awareness	Level 2 - Approach	Level 3 - Deployment	Level 4 - Improvement	Level 5 - Transforming
Assessed State	Management recognises obligations to maintain assets in accordance with performance requirements, maintenance philosophies and reliability and availability commitments.	Asset maintenance philosophies processes and controls defined.	Asset maintenance philosophies, processes and controls implemented and application verified.	Asset maintenance processes and controls responsive and optimised based on performance feedback and commitments and informs business improvement opportunities.	Maintenance performance sustains operational performance and learnings inform business strategies and disruptive changes to business concepts and technologies
Evidence	Management articulates a commitment to establishing inspection and maintenance controls Organisation can articulate the relevant requirements that apply when maintaining asset performance and integrity Management demonstrate an understanding of any existing maintenance philosophies and programs and associated capability gaps	Assessment of the processes and controls required to implement maintenance philosophies completed risk assessment undertaken to establish controls required to maintain operating and integrity performance standards. Resource (people, facility, spares, environment, knowledge) requirements defined Outsourced maintenance scopes of work defined Maintenance processes and controls developed and validated for use (operational readiness	Maintenance procedures and resources available at point of use People, including outsourced resources, have the prerequisite competences and are trained in the maintenance processes and controls they undertake Maintenance performance and output trends recorded Deviations to planned maintenance subject to Management of Change Incidents, non-routine operations, nonconformity attributed to maintenance recorded and corrected.	Maintenance performance trends, deviations and events analysed Provider maintenance knowledge informs analysis and actions Corrective, preventive and improvement actions, including provider actions, implemented on the basis of analysis findings Analysis findings impacting maintenance scheduling and resource forecasts informs operational planning (8.3.1) Asset or business improvement opportunities identifed through analysis informs opportunity realisation (8.2)	Predictive maintenance eliminates unplanned maintenance through use of intelligent systems Maintenance learnings and knowledge informs business opportunities (8.2) Maintenance a key participant in opportunity realizationg (8.2)

8.4 Response to unplanned events and outcomes

REQUIREMENTS

The organization shall periodically validate response capability to ensure that the contingency and emergency plans required by 6.3 and 8.1 remain adequate. The organization shall implement appropriate controls in response to unplanned events and outcomes to:

provide for timely detection and response
mitigate the consequences, appropriate to the magnitude of the unplanned events and outcomes, and the potential impact to the business and relevant stakeholders
provide for recovery to planned operations
communicate and provide relevant information to internal and external stakeholders

The processes and controls shall be evaluated after testing and after the occurrence of unplanned events and outcomes and shall be revised as necessary. Documented information on the controls for unplanned events and outcomes as well as of actual events and outcomes shall be available as the basis for review (see 9.3) and corrective action (see 10.2).

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	Level 1 - Awareness	Level 2 - Approach	Level 3 - Deployment	Level 4 - Improvement	Level 5 - Transforming
Assessed State	Top management recognizes the organisation’s and their individual obligations and the associated need to validate the plans for business continuity and emergency response.	The Organisation has defined processes to record and analyse actions taken to control and correct (actual or test scenario) unplanned events Plans for emergency drills are defined	The organisation's plans and process for responding to unplanned events are tested periodically, initiated when required and performance in response to test scenarios or actual events recorded and analysed.	Sustained improvement in the effectiveness of controls established to respond to unplanned events and outcomes.	Organization leads the evolution of industry approaches, standards and methodologies for validating and responding to unplanned events and outcomes.
Evidence	Top Management articulates their understanding off and commitment to validating processes and established in 6.3 and 8.1. Top management demonstrates an understanding of any existing validation processes and outcomes and associated capability gaps	Processes established to test and validate the plans and introduce controls, in response to events and outcomes Pre-requisite capabilities and competencies defined Pre-requisite resources, including external resources defined Plans for emergency drills are defined	Plans and processes regularly tested as per plan Pre-requisite capabilities are fulfilled, and capability effectiveness tested through the exercises Dependencies on external capabilities validated Historic event records meet applicable plan/process requirements and provide trail of the event, actions taken and its analysis Information communicated to stakeholders in accordance with plans and obligations, Analysis outcomes and lessons inform planning (6.4, 8.1)	Performance trends in responses to actual and test scenario events analysed to inform improvements in operational planning (8.3.1) Emergency training needs are reviewed and adjusted according to risk analysis of planned operational changes and associated event scenarios Stakeholders (partners, contractors, organisations, authorities are engaged in analysis of event scenarios and capabilities and resultant improvement initiatives Stakeholders are openly debriefed following scenario testing and lessons learned and validation of resultant improvement actions shared with relevant stakeholders	Initiate/participation in collaborative arrangements for responding to unplanned events in peer organisations Active benchmarking and participation in industry continuity and unplanned event standardisation initiatives Influencer of peers, government and communities in establishing best practice across all communities in which operations are undertaken

9. Performance evaluation

9.1 Monitoring, measurement, analysis and evaluation

REQUIREMENTS

The organization shall evaluate its performance against its objectives and plans to determine the effectiveness of the operating management system. The organization shall determine:

what needs to be monitored and measured
the methods for monitoring, measurement, analysis and evaluation, as applicable, to ensure valid results
when the monitoring and measuring shall be performed
when the results from monitoring and measurement shall be analysed and evaluated
to whom and how to communicate performance results and associated actions.

Monitoring, measurement, analysis and evaluation shall include the performance of externally provided processes, products and services. Documented information shall be available as evidence of the results.

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	Level 1 - Awareness	Level 2 - Approach	Level 3 - Deployment	Level 4 - Improvement	Level 5 - Transforming
Assessed State	The organisation recognises the importance of performance evaluation as the basis for determining the effectiveness for the operating management system and for demonstrating conformance and informing business decisions and improvement.	Performance evaluation plans and processes defined.	Monitoring and measurement data generated and subject to evaluation and used to inform process management, improvements and business decisions.	Performance evaluation is assessed to inform sustainable improvements to evaluation processes and tools.	The Organisation demonstrates the use of benchmarking, disruptive relationships and technologies to deliver measurement and evaluation solutions.
Evidence	Top Management articulates an understanding of the dependency of the achievement of business objectives and obligations and operating management system capability Management demonstrates any existing processes and capabilities for assessing operating management system effectiveness and performance in the achievement of objectives and obligations	Performance evaluation plans and objectives defined, including externally provided products, processes and services Processes and measurement criteria developed to monitor and measure performance of the operating management system and against business objectives (6.2), and to determine conformance with customer/stakeholder requirements and compliance with regulatory obligations Resources (people, tools etc) including external resources, required to implement monitoring, measurement, analysis and evaluation processes defined	Data and analysis outputs conform with applicable measurement criteria Externally sourced data analysed and integrated Analysis outputs communicated to inform decisions/actions (Human or machine-based decisions/actions as applicable) Evaluation of analysis outputs against requirements and objectives by relevant functional, process and business owners to inform decisions and actions demonstrated	Performance evaluation outputs reviewed to validate suitability, relevance and value Data capture and analysis methodology performance reviewed to identify potential improvements in techniques, hardware/software tools and competencies to increase efficiency, accuracy and reliability of output information	Acquisition or outsourcing of digital solutions including machine readability and learning to automate evaluation and decisions Contributing too and drawing on benchmarked data and analysis sources Transparent communication/sharing of information with partners, providers and other stakeholders

9.2 Stakeholder monitoring

REQUIREMENTS

The organization shall monitor:

performance in meeting stakeholder expectations and requirements; and
stakeholder perceptions of the degree to which their expectations and requirements have been fulfilled.

The organization shall use this information to assess the effect or potential effect on the organization's ability to sustainably achieve business objectives and stakeholder expectations and requirements.

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Assessed State	Top Management recognise the importance of knowledge of stakeholder perceptions on how well they meet their expectations and requirements.	Processes defined to monitor performance on meeting stakeholder expectations and requirements and to understand perceptions.	Stakeholder monitoring process implemented and information used to enhance stakeholder relationships and to inform achievement of business processes or objectives.	The organization assesses the effectiveness of their monitoring process to identify areas of improvement and to consistently achieve business objectives.	Stakeholder expectations and requirements are anticipated and are integral to transformation of the organization's strategies and business objectives.
Evidence	Top Management articulate the importance of continuous engagement and monitoring of stakeholders Management demonstrate any existing stakeholder engagement plans and processes employed to monitor performance and perceptions Management articulate capability gaps in any existing stakeholder engagement plans and monitoring processes.	Stakeholder engagement strategies and performance monitoring process(es) defined Monitoring processes include techniques to attain feedback and understand and assess perceptions on the fulfilment of expectations and requirements. Processes include protocols for using monitoring information to inform revised stakeholder engagement strategies and process improvement to enhance stakeholder perceptions.	Monitoring processes and stakeholder engagement plans deployed and outputs used to understand effect on the achievement of business objectives. Actions triggered by stakeholder feedback to improve business processes and managing the effects to achieve business objectives. Organization address trends and act on the areas where stakeholders feedback or perceptions indicate weakness on organizations performance to meet their expectations and requirements.	Outputs of the monitoring process are analysed effectively to identify improvement actions. Improvement actions are timely and effectively delivered to improve the process itself as well as to consistently achieve business objectives. Organization as their process is being improved, takes a proactive approach on engaging with stakeholders and monitoring their changing expectations and requirements. Measured stakeholder satisfaction rates are constantly improving.	Organization has matured a proactive approach to engaging with stakeholders and monitoring and responding to their perceptions. (benchmarking confirms process is recognised as best practices). The loop of monitoring and improvement is helping to transform the organization's business objectives to meet stakeholder expectations and requirements as well as influencing the transformation of the organization itself e.g. evident with strategy and vision of the organization. Relevant and key stakeholders' transformation is visible and informs and is informed by the organization's transformation initiatives.

9.3 Audit

REQUIREMENTS

The organization shall conduct audits at planned intervals to provide information on whether the operating activities and functions:

Conform with:

the organization’s own requirements
the requirements of this document

are effectively implemented and maintained.

NOTE; An audit can be either an internal audit or an external audit. The organization shall plan, establish, implement and maintain an audit programme(s) including the frequency, methods, responsibilities, planning requirements and reporting. When establishing the audit programme(s), the organization shall consider the importance of the processes concerned and the associated risks, and the results of previous audits. The organization shall:

define the audit objectives and scope for each audit
select auditors and conduct audits to ensure objectivity and the impartiality of the audit process
ensure that the results of the audits are reported to relevant managers

Documented information shall be available as evidence of the implementation of the audit programme(s) and the audit results.

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Assessed State	Top Management recognises the value of assessment and assessment activities to validate the effectiveness of the operating management system.	Processes for planning executing and reporting assessment and assessments defined.	Assessment and Assessment Program effectively implemented.	Assessments and assessments are used to benchmark business processes to proactively inform improvements.	The effectiveness of mature business processes and inherent controls enable assessments and assessments to be limited to emerging business opportunities and risks.
Evidence	Management articulates the value off a a systematic management system assessment and assessment program Management demonstrates any existing assessment and assessment practices and associated capability gaps.	Process and criteria for establishing and prioritising assessment programs defined. Process defined for planning executing and reporting assessments and assessments defined Assessor competency requirements and associated qualification processes defined	Risk based, multidisciplinary, coordinated assessment plan(s) established Assessment teams established with pre-requisite auding and subject matter competence and experience and independence Records of performed assessments according to plan that include: objective, scope, criteria. conclusion, assessment and necessary data Assessment terms of reference and findings endorsed in accordance with line and functional authorities	Risks and opportunities identified in assessments systematically inform improvement of business processes and objectives Assessment plans integrate (rather than duplicate) stakeholder and provider assessment and assessment processes and capabilities	Process control effectiveness demonstrated by performance evaluation trends (refer 9.2 enables reduced assessment requirements Assessment findings demonstrate high levels of process suitability and effectiveness with minimal recurrence Assessment and Assessment resources targeted on emerging business opportunities and changes in stakeholder requirements and expectations

9.4 Management review

REQUIREMENTS

Top management shall review the organization's operating management system, at planned intervals, to ensure its continuing suitability, adequacy, effectiveness and alignment with the strategic direction of the organization. Management reviews shall be planned and carried out considering:

the status of actions from previous management reviews
changes in external and internal issues that are relevant to the operating management system
changes in needs and expectations of stakeholders that are relevant to the operating management system
information on the performance and effectiveness of the operations including trends in:

feedback from stakeholders
the extent to which operating objectives have been met
nonconformities and corrective actions
unplanned events and outcomes, and any actions taken
monitoring and measurement results
audit results
performance of external providers

the adequacy of resources
effectiveness of actions taken to address risks and opportunities
opportunities for improvement

The results of management reviews shall include decisions and actions related to improvement opportunities and any need for changes to the operating management system. Documented information shall be available as evidence of the results of management reviews.

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Assessed State	Top management recognises the value of reviewing management system and business performance against objectives.	Management review processes defined	Management review processes implemented in accordance with the agreed plan with review outputs informing business decisions.	Management review outputs inform business strategies, objectives and improvement plans, considering stakeholder requirements and expectations.	Management reviews inform and are informed by emerging business and technology opportunities and realisation strategies and objectives.
Evidence	Top management articulates their expectations for systematic review of performance in achieving objectives including the influence management system capability has on business performance Management demonstrates any existing management review requirements, practices, outputs and associated capability gaps	Management review process defined meeting expectations in PE402 a-f [or reference to ISO29010] Management review schedule encompassing the organisation's scope, context and objectives defined and resourced.	Management reviews undertaken in accordance with process as planned Management reviews address organisation's scope, context and objectives Reviews analyse operating management system performance in respect to the achievement of business objectives and obligations Review findings inform corrective and improvement actions Top management decision(s) informed by review outputs Management review outcomes appropriately communicated within the organisation and to stakeholders	Management review processes/plans address organisational interdependencies from business unit and functional perspectives (Important for Large and/or complex organizations) Joint ventures and providers included in scope of management reviews Business strategies and objectives traceable to management review outcomes and decisions (Case study examples) Top management trigger extraordinary management reviews in response to changing requirements and performance trends	Management review processes/plans include consideration of emerging business and technology opportunities Management review outputs provide performance indicators that inform decisions on the organisation's readiness/capacity to develop or acquire new business opportunities and technologies Due diligence when assessing acquisition of emerging business opportunities and technologies includes analysis of any related management system capabilities, controls and associated risks

10. Improvement

10.1 Improvement learning and innovation

REQUIREMENTS

Improvement, learning and innovation are key, interdependent aspects that contribute to organisational knowledge and the sustained success of an organization. The organization shall monitor changes in internal and external issues, including the needs and expectations of stakeholders, providers of processes, products and services, and select opportunities for improvement, learning and innovation that support the sustained achievement of the organization's purpose, business objectives and stakeholder expectations and requirements. Opportunities can include:

improving the capability, deployment and performance of its people
improving operating performance, facilities and products and services to meet requirements and to address future needs and expectations
correcting, preventing or reducing undesired effects
improving strategic decision making with respect to business opportunities realization
improving the effectiveness of operating management system processes and controls

NOTE 1 Improvement activities can range from continual improvement or corrective actions through to significant breakthrough, innovation or organizational design changes. Improvement processes follow a structured approach, such as the plan-do-check-improve (PDCI) cycle with tools and technics selected to suit specific improvement objectives. NOTE 2 It is expected that the organization establishes improvement as a fundamental part of the organization’s culture by empowering people to participate and contribute to the successful achievement of improvement initiatives, providing the necessary resources to achieve improvement objectives, celebrating success, and the visible involvement of top management in improvement activities. NOTE 3 ISO 9004 provides guidance on improvement, learning and innovation.

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	Level 1 - Awareness	Level 2 - Approach	Level 3 - Deployment	Level 4 - Improvement	Level 5 - Transforming
Assessed State	Top management recognise the value of improvement, learning and innovation.	Improvement, learning and innovation processes defined.	Improvement, learning and innovation framework is implemented.	Improvement, learning and innovation initiatives demonstrate positive performance trends in realising process and business objectives.	Improvement, learning and innovation informs disruptive changes to business objectives and processes reflecting emerging business and stakeholder context and value.
Evidence	Top management articulate a understanding of and commitment to improvement to achieve sustained business performance Informal identification, prioritisation and resourcing of learning and improvement initiatives Management demonstrate any existing improvement, learning and knowledge management capabilities and associated gaps	Processes for improvement, learning and innovation defined Toolbox available e.g., techniques, tools, information) Implementation plan and associated performance measures defined Improvement, learning and innovation facilitation resources available	Opportunities related to improvement, learning and innovation identified and managed in accordance with applicable processes and tools. Performance measures established to analyse the effect of improvement, learning and innovation Changes to internal and external issues monitored to inform improvement opportunities and related risks Employees demonstrate an understanding of the improvement, learning and innovation framework Implementation extends to key suppliers and partners Acquired knowledge and opportunities communicated internally and to stakeholders	Positive trends for defined metrics and objectives Evaluation of all improvement. learning and innovation outcomes informs development of improvement processes and future initiatives Improvement, learning and innovation is embedded in the Organisation's culture (e.g. employees demonstrate mature understanding of improvement processes and resources, personal goals defined, management communication campaigns) Improvement initiatives implemented beyond the Organisation (e.g. Partners, Suppliers, Universities, NGOs)	Organisation uses the learnings from improvement and innovation to develop and , validate a comprehensive body of knowledge Organisation routinely leverages the knowledge to inform business strategies and Organisation benchmarks and leverages knowledge beyond existing context and stakeholder expectations when framing strategies and realising opportunities Organisation defines and applies a value generation model to validate the value realised through business initiatives

10.2 Corrective action

REQUIREMENTS

When an unplanned event, outcome or nonconformity occurs (see 8.4), the organization shall:

react to the unplanned event, outcome or nonconformity and, as applicable:

take action to control and correct it
deal with the consequences
update relevant internal and external stakeholders about the progress and management of the unplanned event. outcome, nonconformities, corrective actions, and eventual outcome

evaluate the need for action to eliminate the cause(s) of the unplanned event, outcome or nonconformity, in order that it does not recur or occur elsewhere, by:

reviewing the unplanned event, outcome or nonconformity
determining the causes of the unplanned event. outcome or nonconformity
determining if similar unplanned events, outcomes or nonconformities exist, or can potentially occur

implement any action needed
review the effectiveness of any corrective action taken
make changes to the operating management system, if necessary

Corrective actions shall be appropriate to the effects of the unplanned events, outcomes or nonconformities encountered. Documented information shall be available as evidence of:

the nature of the unplanned events, outcomes or nonconformities and any subsequent actions taken
the results of any corrective action

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	Level 1 - Awareness	Level 2 - Approach	Level 3 - Deployment	Level 4 - Improvement	Level 5 - Transforming
Assessed State	Top management recognise the need to address unplanned events, outcomes or non-conformities and their causes.	Processes to address unplanned events, outcomes or non-conformities defined.	Processes to control, correct and address causes of unplanned events, outcomes or non-conformities implemented.	The organisation uses analysis and monitoring to make informed adjustments to improve business performance by preventing or leveraging reoccurrence of unplanned events and outcomes.	Knowledge gained through the analysis and actioning of unplanned events and outcomes informs business strategies and opportunity implementation.
Evidence	Top management articulate a understanding of why unplanned events, outcomes or non-conformities need to be addressed systematically Management demonstrate any existing corrective action practices and associated capability gaps	Process defined including protocols and tools for: Immediate control and correction responses as per Clause 8.4 analysis of causes consistent with the event context and risks) definition, implementation and verification of the effectiveness of actions Communication of unplanned events, outcomes or non-conformities Implementation plans and pre-requisite resources available	Systematic use of processes throughout the organisation Mgmt. clear on expectations to handling of unplanned event, outcome or nonconformity Analysis outputs establish significance, risks and associated causes System/tools and metrics track status against commitments to address unplanned events, outcomes or nonconformities and related actions Processes include controls over unplanned events, outcomes or nonconformities and related actions in the supply chain Effectiveness of actions measured and verified	Monitoring of effect and efficiency of process to address unplanned events, outcomes or non-conformities Integration of functional processes for managing actions related to unplanned events, outcomes or nonconformities Interdependencies and impact of actions understood and aligned with stakeholders Reoccurrence is measured and managed (opportunities captured, controls implemented) History of unplanned events is employed when framing and planning of new activities	Learnings from unplanned events and outcomes is included in the organisations body of knowledge and as such informs innovation and business strategies, see 10.1 Organisation benchmarks, shares its knowledge and leverages strategies and approaches employed by stakeholder organisations. Organisation benchmarks, shares its knowledge and leverages strategies beyond its core sector stakeholder communities

10.3 Organizational knowledge

REQUIREMENTS

The organization shall determine the knowledge necessary for the operation of its processes and to achieve business objectives. This knowledge shall be maintained and be made available to the extent necessary. When addressing changing needs and trends, the organization shall consider its current knowledge and determine how to acquire or access any necessary additional knowledge and required updates. NOTE 1 Organizational knowledge is knowledge specific to the organization; it is generally gained by experience. It is information that is used and shared to achieve the organization's objectives. NOTE 2 Organizational knowledge can be based on:

internal sources (e.g. intellectual property; knowledge gained from experience; lessons learned from failures and successful projects; capturing and sharing undocumented knowledge and experience; the results of improvements in processes, products and services);
external sources (e.g. standards; academia; conferences; gathering knowledge from customers or external providers).

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	Level 1 - Awareness	Level 2 - Approach	Level 3 - Deployment	Level 4 - Improvement	Level 5 - Transforming
Assessed State	Top management recognize the value of organizational knowledge to achieve operational performance and business objectives.	Organizational knowledge requirements and management process defined and agreed.	Integrated Knowledge, Learnings and gap closure framework implemented.	Knowledge application effectiveness, business impacts and improvement trends is measured, shows positive impact for business processes and objectives,	Organisational knowledge recognised as a key differentiator when implementing or acquiring emerging technologies and business opportunities.
Evidence	Top management articulate commitment to knowledge development as a key enabler of business performance Management demonstrates any current knowledge management strategies and processes and proposed strategies to address knowledge gaps	Processes for knowledge acquisition and management defined Enabling, plans, techniques, templates are available Implementation plans and pre-requisite resources available	Application of knowledge related to business processes implemented. Operations related knowledge measured for it's effectiveness in processes, assets and people Improvements based on knowledge application communicated to stakeholders Engaging with external organisations to improve knowledge gap closure opportunities Employee engagement and individual development plans incorporate knowledge and skill pool improvement.	Defined approach with metrics to measure effect of organizational knowledge, improvements and learnings Positive trends for defined metrics and objectives Evaluation of all improvement, learning and operational efficiency improvement outcomes informs development of improvement processes and future initiatives Organizational knowledge is embedded in the Organisation's culture (e.g. employees demonstrate mature understanding of operational processes and resources, management communication campaigns)	Organisations body of knowledge and as such informs innovation and business strategies, see 10.1 Organisations knowledge is leveraged when planning and realising emerging business opportunities strategies Organisation benchmarks and shares its knowledge to the benefit of the communities in which it operates.