Bsi bip 2014 2009

C reating a Process-based Management S ystem for IS O 001 : 008 and beyond Creating a Process-based Management System for ISO 9001 : 008 and beyond Understanding ISO 9001 : 008 and Process-based Management Systems Process Management Auditing for ISO 9001 : 008 C reating a Process-based Management S ystem for IS O 001 : 008 and beyond Ian Rosam and Rob Peddle (The High Performance Organisation Group Ltd) C reating a Process-based Management S ystem for IS O 001 : 008 and beyond C reating a P ro cess-b ased M anagement System fo r I SO 0 : 20 and b eyo nd T his seco nd editio n p u b lished in the U K in 20 by B SI C hiswick High Ro ad Lo ndo n W4 4AL © B ritish Standards I nstitu tio n 20 F irst editio n p u b lished b y B SI in 20 I S BN 78 76 f B SI re erence: B I P 20 A catalo gu e reco rd fo r this b o o k is availab le fro m the B ritish Lib rary C opyright subsists in all BSI publications Except as permitted under the C opyright, D esigns and Patents Act 88 no extract may be reproduced, stored in a retrieval system or transmitted in any form or by any means – electronic, photocopying, recording or otherwise – without prior written permission I f permission from BSI is granted, the terms may include royalty payments or a licensing agreement D etails and advice can be obtained from the Copyright Manager, British Standards Institution, 89 Chiswick High Road, London W4 4AL G reat care has b een taken to ensu re accu racy in the co mp ilatio n and p rep aratio n o f this p u b licatio n Ho wever, since it is intended as a gu ide and no t a de f nitive statement, the au tho rs and B SI canno t in any circu mstances accep t resp o nsib ility fo r the resu lts o f any actio n taken o n the b asis o in the p u b licatio n no r fo r statu to ry rights Typ eset b y M o no lith – www mo no lith u k co m f P rinted b y Ber o rts f f the in o rmatio n co ntained any erro rs o r o missio ns T his es no t a ffect yo u r v Foreword Standards such as the ISO 000 series evolve and change to meet industry requirements from a set o The introductio n o f requirements f ISO 001 : 2000 created a f shi t o utlined in the 9 versio n to the descriptio n o a business mo del, which provided a set o prescriptive list o fundamental f conditio ns f operating to cover The introduction o f rein o rces this management approach and clari f f principles rather than a f ISO 001 : 2008 es certain mino r details that support this approach All key elements remain unchanged from the 2000 version T he b u siness mo del intro du ced in the 20 0 versio n was u nderp inned b y the ‘p ro cess-b ased ap p ro ach’ to management, which was in reality a step change fro m the 9 versio n o f the S tandard I t intro du ced the idea that a management system is a living entity; so mething that can never b e up o f fu lly cu mented, made f cro ss- u nctio nal key b u siness p ro cesses o rganized in su ch a way as to f describ e the system itsel T his system describ ed ho w the management team managed their b u siness and delivered the b u siness o b j ectives – a system b ased in the ‘real wo rld’ Whilst so me o rganizatio ns to o k o n b o ard this to o many, fo r all so rts o f fu ndamental f shi t, far reaso ns, saw it as a relatively mino r change and did little to really u p date their p revio u s management system T his was exacerb ated b y many registratio n b o dies no t su p p o rting the need to make fu ndamental adj u stments and co ntinu ing to register systems that were o nly marginally di fferent to the 9 co mp liant versio ns The resu lt is that many systems are no t really co nsidered as valu ab le as they sho u ld b y senio r management within the o rganizatio ns that u se them I b elie f f this situ atio n is to change – and it mu st in the Standard to su rvive – the intentio n o f fo r the year 20 0 u p date has to b e taken o n b o ard b y all invo lved in I SO 0 This means tho se who u se it and tho se who register these o rganizatio ns against it C reating a Process-based Management S ystem for IS O 001 : 008 and beyond vi f T his b o o k has there o re b een revised to inclu de new develo p ments since it was last issu ed and to re-emp hasize the asp ects o new versio n addresses I f management system that o f f I SO 0 : 20 that the yo u have already created an I SO 0 o r b u siness fo llo ws the p rincip les o u tlined in the p revio u s versio n this b o o k, then yo u will no t need to make any changes to address I SO 0 : 20 I f yo u have no t, then u nderstanding this ap p ro ach will give yo u the to o ls to make the Standard an indisp ensib le p art o f yo u r senio r management’s to o lkit, help ing them to address the b u siness su stainab ility challenges all o rganizatio ns face in 20 and b eyo nd The world has changed – Imp ortant in formation I t is also wo rth mentio ning that there have b een signi in the critical imp o rtance o e ffective f f cant changes in b elie f having so u nd systems and p ro cesses to deliver f management; in o ther wo rds, o u tco mes that satis y cu sto mers and o ther stakeho lders The f nancial meltdo wn was cau sed b y the co mp lete b reakdo wn in the ab ility o f large mu ltinatio nal o rganizatio ns and regu lato rs aro u nd the wo rld to manage systems and p ro cesses e ffectively This was desp ite hu ge b u dgets, intelligent p eo p le and access to the mo st senio r management T his o b vio u s examp le sho ws u s ho w imp o rtant p ro p erly designed systems and p ro cesses are I t equ ally demo nstrates the imp o rtance o f de f ning and u nderstanding ho w they are managed and mo nito red to ensu re delivery o o b j ectives, witho u t detrimental side e ffects f What has b een clearly demo nstrated is that it is simp ly no lo nger go o d eno u gh to j u st check co mp liance Altho u gh this b o o k is no t ab o u t au diting the fact remains that the systems and p ro cesses yo u create and manage will need to b e au dited, no t j u st fo r co mp liance b u t to : • identi y b u siness risks to meeting o b j ectives; • au dit the real wo rld, no t j u st the p ap er wo rld; • indicate what will hap p en no t j u st p ictu res o • au dit b ehavio u rs that deliver o u tco mes no t j u st o u u ts f f the p ast; and A sep arate b o o k lo o king at au diting in mo re detail is p art o f this u p dated series and yo u are enco u raged to review this as well The glo b al issu es p ro b ab ly already have a ffected yo u and yo u r management system, and i f no t certainly will, so it is wo rthwhile making su re yo u also u nderstand so me o to o ls that will help yo u address them f the o ther C ontents Introduction • O utlines how process-based management draws on many theories o f management to p ro vide a ho listic and p ractical ap p ro ach that gives real visib ility to what is imp o rtant in the o rganizatio n We also o u tline why p ro cess management is di fferent who have seen o r imp lemented the ap p ro ach so and why tho se far describ e it as ‘j u st p lain co mmo n sense’ The p rocess-based management system in context • An overview of where quality management has come from and ho w the p ro cess-b ased ap p ro ach advo cated b y I SO 0 : 20 challenges the p rincip les o n which traditio nal qu ality management has b een b u ilt The p rocess ap p roach 10 • A practical view of process management that dispels the myths su rro u nding the su b j ect We de f ne the su b j ect and lo o k at ho w the to p - level management system, b u siness p ro cesses and key f p er o rmance indicato rs can b e stru ctu red to create an e ffective p ro cess- b ased management system We also co nsider the imp licatio ns o f f the ap p ro ach o n the so ter, b u t equ ally imp o rtant, o rganizatio nal issu es o f cu ltu ral change and co mmu nicatio ns C reating a Process-based Management S ystem for IS O 9001 : 2008 and beyond viii Designing your management system 33 • D esigning your management system is a strategic activity that u ltimately de f nes ho w yo u r o rganizatio n will b e managed to deliver its o b j ectives We exp lo re the key step s necessary to design the p ro cess- b ased management system and its accep tance b y the o rganizatio n Process design (mapping and understanding processes) 43 • H aving identifed the processes that make up the system the next stage is to u nderstand them in mo re detail and p articu larly f their cro ss- u nctio nal natu re I n designing and e ffectively imp lementing a management system we need to u nderstand f the p ro cesses, measu re them and b ased o n their p er o rmance imp ro ve them T his co mes b e imp ro ved i f the kno wledge that no thing can it is no t measu red and no thing can b e e measu red u nless it is fro m f ffectively rstly u ndersto o d Procedure design – Linking supporting in formation to processes 58 • T he need for supporting information is based upon the needs o f the o rganizatio n and the b u siness risks that it f su p p o rting in o rmatio n can co me in many fo rms, chap ter will lo o k at p ro cedu res I t is, ho wever, u nlike the 9 versio n o f faces The and this fair to say that I SO 0 , there is mu ch mo re to the ‘system’ than its p ro cedu res P ro cedu res give the detailed f feels ‘ho w-to ’ in o rmatio n that an o rganizatio n its p eo p le can e ffectively it needs to ensu re and co nsistently carry o u t the activities allo cated to them T hey are no t written j u st b ecau se we so mething, b u t b ecau se we f f nd them u se u l and they minimize risk to an accep tab le level Linking o f processes 64 • P rocesses are best designed using individual cross-functional teams This no t o nly ensu res that key step s in the p ro cess are no t o mitted b y mistake, b u t it also ensu res that there is, at least, a degree o f inp u t fro m the managers and sta ff invo lved in actu ally delivering and ru nning the p ro cesses This starts to create real o wnership b y the team I t is, ho wever, vital that even tho u gh they have b een develo p ed in detail b y di fferent teams that they still deliver o verall what the o rganizatio n needs, and that there is no du p licatio n Linking o f p ro cesses achieves this C reating a Process-based Management S ystem for IS O 001 : 008 and beyond 98 Audit training was also carried out to train the existing auditors on how to audit the management o f a process so that improvements as well as compliance issues could be identifed The main aim was to introduce some fexibility into the auditing approach and ‘ free’ the auditors from the narrow constraints o f compliance auditing, which were adding little value to the auditing results This took two days with plenty o f practice to understand the differences between documented and non-documented objective evidence, how to establish fndings for non-documented objective evidence and how to assess the continuous improvement o f a process Over time the auditors realized how many different impacts there are on process performance and how these affect the results achieved, making it a lot easier to identify areas o f improvement Freeing up the auditors to move beyond compliance is already leading to some interesting fndings The systems manager collates the information generated from audits, customer satis faction and measurements This is summarized and fed to the board as part o f the management review together with recommendations for improvement The next stage in moving the system on is to: ensure the system is embedded into the business and becomes ‘business as normal’; • continue to build the online management system to refect the needs o f the business; • carry out a gap analysis against the environmental and health and sa fety standards and update the system and its processes accordingly • Learning points and benefts The system is now running and being success fully assessed by the registration body Nearing completion o f the project there is a clear understanding that this is the beginning rather than the end and that the maturity o f the system will go far beyond ISO 9001:2008 This is critical to understand given the current direction o f corporate governance/corporate social responsibility The main learning points to date are: the success o f the project is dependent upon top management commitment and all round cooperation; • senior sta ff should be appointed as process owners; • every employee should understand that implementing the system does not change the way business is carried out but helps to identify how they work together and where improvements may be made It is the same set o f tasks but documented differently; • Case studies 99 • as many sta ff as p o ss ib le s ho u ld b e invo lved in the co nstru ctio n o f the p ro ces ses; • the p ro gres s o f the p ro j ect s ho u ld b e co mmu nicated to all levels and at every o p p o rtu nity; • the S tandard s ho u ld b e fo rgo tten ab o u t u ntil nearing co mp letio n O nly then s ho u ld the s ystem b e co mp ared to the clau ses as a check • o ngo ing maintenance o f fo r gap s ; the sys tem s ho u ld o ccu r with regu lar u p dates p ro du ced to heighten interest; • fo r o p erato rs sho u ld b e interviewed and au dited e ffectivenes s o f their views as to the each p ro cess as o p p o sed to checking co mp liance o p ro cedu res T his enco u rages interactio n fro m f interviewees and sho u ld b e f carried o u t in an in o rmal and relaxed way; • ine ff ciencies f and was te are easier to identi y and management is mo re likely to res p o nd to s u gges tio ns • imp ro vements ; dep artments share p ro b lems rather than b lame each o ther P ro ces ses are a co mb ined e • fo r ffo rt; everyo ne can u nderstand each o ther’s ro le as co gs in a very b ig wheel Case study – WEEKS Consulting Background on the company f WE E KS C o nsu lting has o p erated su ccess u lly in the engineering and enviro nmental co nsu ltancy and technical services and co nstru ctio n secto rs nu mb er o f years p ro viding a range o f O ten these inclu de the p ro visio n o is in the fo rm o fa f p articu lar inclu ding f p ro fessio nal rep o rt with reco mmendatio ns also co vers the p ro visio n o o f services f advice facilities fo r a management services where the deliverab le fo r actio n The area o f o p eratio n to cu sto mers o n the p o ssib le imp act and risks p ro j ects M any o f WE E KS ’ cu s to mers requ ire the b u siness to b e registered to the E N I S O qu ality standard Altho u gh regis tratio n to E N I S O 0 : 9 was achieved fo r the s ta ff the main fo cu s was to o p erate the s ystem to acco mmo date au dits and the S tandard T his was co nsidered o f little valu e to the b u s iness o r its cu s to mers T he intro du ctio n o a fresh f I S O 0 : 0 p ro vided the o p p o rtu nity to take lo o k at ‘qu ality’ and determine whether o r no t ap p lying the u p dated S tandard wo u ld b e o that a co mp letely f valu e to the b u s ines s T he s enio r management realiz ed fres h ap p ro ach was needed I n D ecemb er 0 a p res entatio n was o rganiz ed with a facilitato r who was als o a b u s iness manager and accu s to med to o p erating at a mo re s trategic level C reating a Process-based Management S ystem for IS O 001 : 008 and beyond 00 T his p resentatio n mentio ned I SO 0 : 0 o nly o nce and qu ickly tu rned the p rincip les o o f f the S tandard into ‘b u siness sp eak’ fo cu sing o n the imp ro vement b u siness resu lts T his enab led the management team to u nderstand the b u siness imp ro vement natu re o f the Standard and the co nnectio n b etween b u siness o b j ectives, p ro cesses, resu lts and co ntinu al imp ro vement Based o n this f in o rmatio n the management team agreed that: • a new management p ro cess system had to b e designed, b ased o n the b u siness f • rst and the Standard seco nd; the p ro cesses had to b e ‘o u r p ro cesses’ and no t tho se dictated b y a co nsu ltant o r b y the Standard; • management p ro cesses wo u ld b e generic in o rder to b ring to gether the co mmo n o p erating p ractices requ ired at each lo catio n and fu tu re freedo m acqu isitio ns At the same time they had to give the o p eratio nal requ ired to manage each p art o • the measu rement o f f the b u siness; f p er o rmance, o r KP I s, had to relate directly to what is imp o rtant to the b u siness; • the management system had to b e o nline at all lo catio ns and u ser- riendly; • every e • the system had to b e ab le to link o b j ectives with p ro cesses, rep o rt resu lts and • the system had to mo ve away f ffo rt wo u ld b e made to remo ve b u reau cracy; draw ‘p retty’ p ictu res o r map s; and fro m f ‘ticking b o xes’ to imp ro ving p er o rmance A pro j ect manager was appointed to mo nitor and contro l the pro j ect The agreed deadline for Standard to implementatio n was September 2002 with registration to the new follo w in J une 2003 , which was the date fo r current certi f cate renewal How the business management system was created f T he ap p ro ach was to start with a hal -day facilitated sessio n that identi f ed the key b u siness p ro cesses that created the system This was cro ss-checked against the main clau ses o f the Standard b y the p ro j ect manager, whilst the management team reviewed the p ro cesses against the go als o f the o rganizatio n This was no t an in- dep th review b u t mo re a discu ssio n o f the issu es invo lved and the directio n the management team wanted to take the b u siness This sessio n had a nu mb er o • f b ene f facilitated ts: it b ro ke the p ercep tio n that I SO 0 is fo cu sed o n detail and p ap er The management team were p leasantly su rp rised that the activity co u ld b e co mp leted so qu ickly and that it • fo cu sed o n the b u siness and resu lts; the system was simp le and u nderstandab le, u sing co rp o rate langu age rather than ‘standard sp eak’ ; Case studies 01 • the team identif ed process owners The process owner’s role was initially to be a point o f re ference for the process, ensure that it was running and its performance reported; and • the management team could see how the system could apply to all disciplines in the business Small teams, which included all disciplines and all sta ff levels, were created to de f ne/map each process These teams involved the people actually doing the work A facilitator was used to help the teams map their processes and resolve any concerns or issues With the processes mapped the required procedures were added The next stage was to work out a speci f cation for the online management system With many process mapping so ftware products available the business wanted to be able to: • upload the system to the existing intranet; • create a method for displaying performance results against targets; • display other in formation such as improvements being progressed and audit schedules; • provide a KPI summary for use at board meetings; and • build in a degree o f future proo f ng The IT system framework created included a hierarchy o f measurements allowing each team to see its own performance and identify improvements The KPIs were identi f ed for each process based upon the needs o f the business and its goals Each process had between two and three indicators The management team agreed what these measures should be These have since been re f ned to balance the need for the in formation and ‘cost’ o f collecting the data required This re f nement took place over some time but represented a far more balanced approach The indicators were added to the online management system ready for implementation The WEEKS Consulting business management system The WEEKS Consulting business management system is shown in Figure The management system operates by frstly understanding the marketplace in which the business operates (this being the customer focus part o f the Standard) This in formation is then used to set business obj ectives and plans to deliver these, i e the business planning and management process Products and services are then developed and launched as required be fore being sold C reating a Process-based Management S ystem for IS O 001 : 008 and beyond Winning business Managing communication Risk and financial management Our people Managing assets and services BI P 201 The downward arrows denote sub-processes The ‘swim-lane’ principle has been applied at this level in this particular process This provides fexibility and enables the processes and sub-processes to be seen on one page, which removes the need to scroll up and down The frst sub-process is shown in Figure 10.7 Fi le n a m e : 0 - _9 e p s D e p a rtm e n t: Support processes at the bottom part o f the management system manage resources so that they can effectively support the main activities The resources being managed are IT systems, money, people and assets Each process is defned, an example is shown in Figure 10.6 S i o b h a n Fi tzg e ld WEEKS C onsulting’s b usiness management system B S I / PM : F igure D a te : © Weeks Consulting Limited 2003 /07 /2009 Job delivery N o D a wso n ( 7 ) Monitoring results and identifying improvements O p e to r: Developing new ideas and enhancing existing services M o d i fi ca ti o n s: Managing improvement and change M o d i fi ca ti o n s: D a te : Business planning and management Understanding the market S i g n a tu re : and delivered to meet customer requirements (winning business and job delivery processes) Subsequently, performance and results are monitored and improvements identifed These improvements are then delivered by using the managing improvement and change process Ap p ro va l o f i ssu e 02 S i g n a tu re : 03 Ap p ro va l o f i ssu e C as e s tu die s D o e s th e care e r Ye s D a te : No U pd ate care er pro g re s s i o n pl an pro g res s i o n pl an n e ed u pd ati n g ? C arry o u t apprai s al s C arry o u t an d R ecru i t m an ag e rs re vi e wi n g perfo rm an ce , i d en ti fy m an ag e i n d u cti o n an d s taff o bj ecti ve s an d d eve l o pm e n t i n to WE E KS n eed s WE E KS E n co u rag e s o ci al i n te racti o n /07 /20 09 R es o l ve pers o n n e l i s s u es fo l l o wi n g attach ed s taff h an d bo o k D a te: © Weeks C o nsu lting Limited 0 f E ach directo r b rie ed their team o n the system itsel f and the p rincip les o f p ro cess management and thereb y lau nched the system Au dito rs were retrained to au dit p ro cesses fo r e ffectiveness f au dito rs to identi y areas fo r rather than co mp liance o nly T his imp ro vement, which has added signi f freed the cant valu e to the au dits f f imp ro vement p ro j ects has resu lted in a no tab le increase in managers valu ing the imp o rtance o f the I S O 0 : 20 p ro cess ap p ro ach With this su ccess the directo rs have targeted p ro imp BI P ro vement p ro j ect f tab ility as the next Fi le n a m e : The system was initially launched o n Sep tember 20 02 and the registratio n f bo dy success ully certi f ed the system in J une 20 03 B SI / PM : C o mp letio n o the nu mb er o 0 - _9 e p s D e p a rtm e n t: E xamp le p ro ces s Si o b h a n Fi tzg era ld F igure N o D a wso n ( 7 ) M an ag e pe o pl e l e avi n g O p era to r: M o d i fi ca ti o n s: d e ve l o pm e n t o n te ch n i cal an d l i fe s ki l l s M o d i fi ca ti o n s: C arry o u t trai n i n g 04 Extend probationary period and brief staff member Yes Do we want to extend probationary period? No S i g n a tu re : IS O 001 : 008 and beyond D a te : for Ap p ro va l o f i ssu e C reating a Process-based Management S ystem Manage staff member leaving No Receive notification of new employee start date from HR Create induction programme which covers company and job induction areas including H&S, QA (checklist) Carry out induction programme as planned Carry out probationary review OK? Yes Add to payroll and open personnel file Make staff member permanent, inc pension etc /07 /2009 HR dept Lessons learnt from implementation BI P 201 The new method o f management and auditing has enabled critical improvements to be identifed For example, two key processes have been identifed for improvement projects to ensure they better refect the current needs o f the business, and make them more effective Typical o f the process improvements made include taking out steps to speed up activity to improve effectiveness Fi le n a m e : 0 - _9 e p s This improvement activity has also coincided with the need to build in corporate governance aspects to these processes such as commercial risk assessments etc S i o b h a n Fi tzg e ld Examp le sub -p rocess B S I / PM : F igure D a te : © Weeks Consulting Limited 2003 M o d i fi ca ti o n s: N o D a wso n ( 7 ) Training administrator O p e to r: Receive notification from HR and add staff member to training database D e p a rtm e n t: M o d i fi ca ti o n s: Technical/admin line manager Case studies 05 Benefts o f implementing There have been a number o f benefts to the project: cross- functional processes have been identifed increasing the level o f involvement and appreciation o f what is possible; • processes have been linked to results; • process improvement has been raised to the boardroom; • management have been allowed to build in all activities necessary for business success; • communicated results have made the business more transparent; and • the business has been helped to understand what a business management system, and therefore quality, is all about – a business issue not something ‘stuck on the side’ • Case study – How not to it Background to the company This case study is obviously not going to be attributed to any specifc organization In fact, it is the amalgamation o f a number o f different organizations that we have come across in the last year or so, all o f which have fallen into the same trap They have looked at the Standard and tried to implement a system that refects the clauses o f the Standard itself rather than looking frst at what their businesses need It is included here to show the dangers o f this approach, and the problems that occur if you not get it right It is to be hoped that no individual organization has all o f these problems with their system and the way it was developed How ISO 9001 :2008 was introduced These organizations are sometimes more interested in getting the badge than delivering any other beneft to the business In some other instances, they have been unable to get any senior management support and commitment to the introduction and have therefore needed to the best they could Yet others have not really understood the intention o f the Standard And lastly, a number have opted for the ‘easy answer’ and gone for an o ff-the-peg solution that was sold to them as a quick fx In all cases, they have been driven by the structure o f the Standard, and have focused their system in a way that refects what it physically says rather C reating a Process-based Management S ystem for IS O 001 : 008 and beyond 06 than what it actually intends This has sometimes been done in an attempt to make sure that the external auditor can understand the system and can therefore audit it easily The system has o ften been introduced as a result o f the senior management telling the quality manager to ‘get on and it and let me know when it is completed’ It has o ften been left to the quality team to come up with all o f the details o f the system, trying where possible to secure involvement o f other people within the organization, but o ften failing to achieve this In these circumstances, it is not surprising that the Standard becomes the ‘guide’ and the system ends up refecting what it says System design Because o f one or more o f the reasons outlined above, or because no one in the organization really understands what is intended by the Standard, there has not really been any focus on the system as a ‘whole business’ system It has remained in the land o f many ISO 9001:1994 interpretations, focusing on product and service delivery There has been an appreciation that other functions need to be involved, but because o f the diffculty in getting them on board, the system only really ‘grazes’ them where they have an obvious effect on the product or service delivery function And these interactions have to be defned and documented by the quality manager as, after all, it is their system Senior management involvement has been minimal, with no buy-in to the fact that the system affects them at all The quality manager has therefore to the best they can in the circumstances This is further complicated by some external assessors telling the organization that what they really need is a system that looks like the diagram that is in the Standard – they can then easily demonstrate that it covers all o f the clauses The easiest route is therefore to use the Standard as a defnition o f what you should – in effect treating it like the 1994 version This system looks something like the one depicted in Figure 10.8 Ownership Because it has been diffcult to get commitment at senior level to the system, and because most o f the processes identifed in the system are diffcult to refect back into what actually happens in the business, overall process owners have not been allocated Departmental and team managers who operate within processes still retain their ownership o f their activities and there is no real coordination C as e s tu die s S i g n a tu re : o f the processes as single entities The senior management o f the organization still uses their traditional approaches to manage the business, but they take part in six-monthly management reviews o f the quality management system! Ownership o f the system is squarely in the hands o f the quality manager Ap p ro va l o f i ssu e 07 C o n ti n u al i m pro ve m e n t o f D a te : th e q u al i ty m an ag e m e n t s ys te m M an ag e m e n t n e ed s P ro d u ct D a te : /07 /2009 real i z ati o n Process design Sometimes processes have been created solely by the quality manager, and sometimes the rest o f the quality team, such as the internal auditors, are involved Occasionally, they have managed to get some time from people actually working within the processes, but this has been a scarce resource – the management have after all not really bought-in to the reasons for or importance o f the system and are therefore more focused on day-to-day work Process maps refect the system shown in Figure 10.8, with a relatively unclear defnition o f where one process ends and another begins BI P 20 Fi le n a m e : 0 - _9 e p s In some cases, these maps not refect a real business process, but a combination o f activities that seem to relate to the process title There is sometimes D e p a rtm e n t: S i o b h a n Fi tzg e ld Quality manageme nt s ys tem p ro ce s s e s B SI / PM : F igu re M o d i fi ca ti o n s: sati s facti o n i m pro vem e n t N o D a wso n ( 7 ) C u s to m e r an al ys i s an d m an ag em e n t O p e to r: M e as u re m en t, Re s o u rce C u s to m e r M o d i fi ca ti o n s: re s po n s i bi l i ty C reating a Process-based Management S ystem for IS O 001 : 008 and beyond 08 very little defnition o f how these should work together to deliver overall beneft to the business – not a fow chart, more a collection o f related activities Because the scope o f the process maps is unclear they not appear to have well-defned start and end points Process maps are also ‘heavy’ with a relatively large number o f process steps displayed on each one, showing activities at different levels o f importance and detail and with a visual appearance o f spaghetti It is therefore very diffcult for anyone except those who put the maps together to understand what they are really saying – and even then, they not necessarily have common understanding about what they mean within this group Process charts have been drawn using a range o f standard ‘o ffce’ so ftware tools, and are therefore in a number o f different formats The processes still refect the operational elements o f the organization and there is little or no detail included within the system for such activities as fnancial management, strategic business planning, understanding the market environment or managing the IT infrastructure Procedure design The procedures used are in effect those that were in place for the ISO 9001:1994 system They have been retitled to refect their inclusion in a 2000 version management system and reissued as such, all through the rigid document control procedure that has been in place for some time already All o f the procedures that were in the old system now appear in the new one and there have been relatively few new ones created – the system does a fter all appear to have the same scope as the previous one, so why add anything more to it? Quality manual design The quality manual does not appear to have changed much Yes, the content has been updated to show the new process maps and the updated procedures, but it is still a ‘tome’ that sits on the quality manager’s desk Looking at it in detail, the quality policy and quality objectives seem similar to what they have always been They not refect the whole business policy or objectives, purely customer facing ones At the detailed level, the manual lists all o f the clauses o f the Standard, and then proceeds to describe how these are being delivered by the system that has been implemented This is obviously not too diffcult as the system has been created around the clauses, so making the link is very easy to Copies o f all o f the procedures that exist within the system then follow this method to make sure that they are easily available when required Case studies 09 Implementing the system The quality manager has been heavily involved in updating the system and manual for the last 12 to 18 months, and has had to drive the new system into the organization with little or no support Because neither the detail or scope have changed a great deal, there has not been the need to involve too many other people, so they have not taken an active part in its design Because little o f substance has changed, the system could be implemented in this way Some communication about the new processes has taken place, so that at least people within the organization now know that they exist However, little real ownership has been shown by managers to indicate that they are important to the organization, so most people see it as the latest fad and keep doing what they have always done Learning points/benefts The real beneft that has been delivered is that the organization has success fully transitioned to the ISO 9001:2008 certifcation A huge sigh o f relief was heard, and the managing director congratulated the quality manager on the success A number o f questions, o f course, remain to be answered Will the system deliver business beneft? • Will the managing director own the system? • Will the processes become the focus o f management activity? • Will everyone become more focused on their part in the ‘big picture’? • Will the system improve over time? • Will the system refect ongoing strategic objectives? • Will everyone within the organization both feel and be involved? • Will the system be sustainable? • Will the system impress customers and other stakeholders? • Only time will answer these questions 110 Re ferences International standards ISO 9000: 2000 , Q ual i ty m anagem ent s y s tem s – Fundam ental s and v o cabul ary ISO 9001 : 2008 , Q ual i ty m anagem ent s y s tem s – Requi rem ents ISO 9004: 2000 , Q ual i ty m anagem ent s y s tem s – G ui del i nes fo r f per o rm ance i m pro v em ents Other books in the series BIP 201 (2009) S y s tem s , Unders tandi ng IS O 001 : 008 and Pro c es s - bas ed Managem ent London, BSI (ISBN 978 80 6765 7) BIP 201 (2009) Pro ces s Managem ent Audi ti ng (ISBN 978 80 6765 ) Author contact details Email: rob peddle@the-hpo com ian rosam@the-hpo com Telephone: +44 (0) 208 44 0701 fo r IS O 001 : 008, London, BSI