PART 5 - IMPLEMENTING THE QUALITY MANAGEMENT SYSTEM

As a rule, all organisations operate a management system and virtually all employ a 'formal' management system of some sort. Few organisations do not issue documented invoices, retain accounts and issue contracts of employment and job descriptions/specifications to their employees. Implementing quality management amounts to building the eight quality management principles of ISO 9000 onto this foundation. The following illustration sets out the quality management system model in its simplest form.

Quality Management System

The Concept of Quality Management

The Quality Management System is simple in its basic concept. It seeks to:

identify external quality related input requirements specified in Licences to Trade, regulations, specified customer requirements and the chosen management system standard(s);
ensure that all these input requirements have been addressed within the management system at the appropriate location in terms of defined specific system requirements;
ensure that personnel receive applicable training in system requirements;
define performance measures, as applicable, to the system requirements;
generate the result or evidence that system requirements have been executed;
measure, monitor and report extent of compliance with these performance measures;
continually monitor changes to input requirements and ensure that these changes are reflected in changes to the specific system requirements when applicable;
audit and evaluate the system processes and correct them when applicable;
provide a culture and process for continually improving the system and feeding back lessons learned into the system.

There are two ways of undertaking the programme of implementation. The first is to use in-house resources and the second is to employ a quality management consultant. Bear in mind that even if you decide to use a consultant, you will still have to devote a significant amount of time to his/her support. This time must be allocated if the quality management system is to be effective and ownership by the organisation's personnel is to be ensured. Before embarking on the process of implementation, you should carefully weigh up the advantages and disadvantages of the alternatives.

If you decide to use in-house resources, then the member of the organisation assigned the responsibility of implementation, the implementer, should have an understanding of the organisation's activities, an in-depth understanding of basic management principles and should have undertaken some training in the requirements of ISO 9001. A guide to selecting and working with a quality management consultant is provided later in this chapter.

The first and most important task for an SME undertaking the implementation of a quality management system is to establish why you are doing so. If the sole driver is to obtain an ISO 9001 certificate to get on customers' tender lists, there is a danger that the system will simply focus on the ISO standard. The result may not serve any useful purpose and simply act as a drain on organisation's resources. If you develop the system based on the following aims of implementation, the result should be a satisfactory and useful system.

Aims of Implementation

The aims and goals of implementation are usually based on a organisation's need for:

performance improvement and an increase in bottom line profit
the effective management of risk
assurance of quality of product or service to the customer
the basis for implementing a culture for opportunity
if required, the acquisition of a symbol of international recognition (ISO 9001)

Measurement Criterion for the Process of Implementation

It is also important to agree a criterion for the process of implementation with all those involved in it. Typically, the following criterion might be adopted:

All aspects of the management system must add value to the activities of the organisation in relation to the resources required to implement and maintain each aspect.

Definition of Added Value

Similarly it is important to agree the definition or understanding of what it means to add value. Some examples are listed below.

Reduction of the risk of occurrence of a safety incident or accident
Reduction of the risk of occurrence of an environmental incident or accident
Improved assurance of specified product or service quality
Improved actual product or service quality
Reduction of product or service delivery cost
Reduction of the delivery time for product or service
Improved management of resources, (human, facilities and financial)

A detailed explanation of how to implement a quality management system is outside the scope of this publication but figure 1 below sets out the basic stages that should be followed.

QMS flowchart

The Process of Implementation

The implementation of a formal management system is best handled as a specific project with a Project Manager, who should be a key member of the organisation's management team and appointed at the outset of the project.

It is important that none of the stages detailed in the flowchart in figure 1. are omitted. The existing system of management and working practices must be known in some detail before the framework of the formal management system documentation can be designed. The system is best designed around existing processes as the development of new systems that require additional resources may simply delay the implementation process.

Designing the System Framework

The first task is to develop the initial framework of the qms, identifying the various processes that are used to deliver the products or services to the customer, [either an external or internal customer]. From the framework of the management system the project team will identify the required supporting documentation, firstly in terms of defined processes and then in terms of the supporting competencies and procedures that will underpin these processes.

Once the full framework of the qms has been designed and the supporting documentation identified, it is important to prepare a plan for implementation so that all participants understand their responsibilities. The plan will detail the authors of the various documents, the personnel responsible for the later stages of implementation and will include the associated deadlines for completion.

Developing the System Documentation

To ensure that procedures are maintained as current documents and to reinforce the concept of ownership, "custodians" should be assigned to all system documentation.

The easiest way to prepare process definitions and procedures is during a series of half-day workshops supervised by the custodian and attended by the people who are stakeholders in the process or procedure under development. The workshop will generally take the form of a 'brain-storming' session and during or following the workshop the custodian will prepare the draft process definitions and/or procedures and competencies.

System process and procedures should reflect, as far as possible, existing working practices and identify the interfaces with the function's internal and/or external customers and suppliers.

The draft processes and procedures are then circulated to interested parties, i.e. customer/supplier interfaces. They are invited to submit comment within a given time and/or attend a finalisation meeting at which the process or procedure is approved for issue.
It is vital that qms documentation is prepared and issued swiftly and the practice of endless 'circulation for comment' is not recommended.

To repeat what has been said elsewhere in this publication, processes are essentially what needs to be done, who needs to do it and what is the result or evidence that it has been done. Either procedures and/or competencies will support processes. Procedures and other instructional documents [work/operating instructions, etc.] will define how an activity is required to be done.

The extent to which you will detail this in your instructional documentation will depend on the following:

What is required to limit your organisation's exposure to risk to a predefined and acceptable level
The extent at which clarity of instruction becomes over prescription
The size and type of the organisation
The complexity of the processes
The defined levels of competencies required to support the processes

The Quality Department

You are unlikely to need to appoint a full-time Quality Manager or full-time auditors as you can generally assign these responsibilities to existing personnel as part of their overall duties. This will help to ensure that the system does not become the property of a Quality Department rather than remaining the tool of the organisation's management. It should also ensure that the system does not become too demanding for the organisation in terms of additional expenses.

Training in System Requirements

You can provide training in system requirements through a series of induction or training workshops for the people who have not been involved in the writing of procedures and who will be required to work to them. In addition to developing a full understanding of the system requirements, the training will extend ownership of the procedures to those who work to them. New employees will also require induction or training in the qms.

Evidence of Execution

You will usually work to the system documentation for three to six months. During this time you will generate the required evidence of execution. Following this, you can undertake the first series of internal audits.

Internal Auditing

Selecting and training internal auditors are important aspects of the process of implementation. It is essential that you select internal auditors carefully. It is recommended that you choose people to train in auditing from a broad spectrum of the company, rather than employing a specific internal audit department. This helps to create a good understanding of formal systems management throughout the company, avoids the impression that internal auditing is a policing activity and provides the opportunity for suppliers to audit customers and vice versa.

Additionally, it is best that, if possible, you do not select auditors from management. This will ensure that internal audit is perceived as a system evaluation rather than an appraisal of personnel. The training of internal auditors will focus on conveying the message that the aim of internal audit is to add value rather than to find fault with the function being audited.

Performance Improvement and Learning

You need to have implemented the system of performance improvement and learning [continual improvement] before the certification audit. Performance improvement may be based on the regular meeting of performance improvement teams. In practice these teams must have been established, held meetings and kept minutes of these meetings before the certification audit.

Certification

You need to exericse care when selecting the a certification body. Refer to Part 6 for more information on this topic.

Measuring the Success of the Process of Implementation

It is important that the project team and those involved measure the success of the implementation process either at predefined stages during or at the conclusion of the process. Measurement should be against the original aims and goals and the key indicators of an effective qms described below:

Top management is fully committed to the qms and owns the appropriate processes
The qms is designed around the business processes and not ISO 9001 or any other management system standard
Staff know how to access qms documentation
Visibility of process and clarity of instruction, ie qms documentation is clear, concise and readable. The documentation is easily maintained by document custodians
The organisation has a culture for opportunity, focussed around continual improvement, rather than a "person-to-blame" culture
Quality management representatives are key organisation personnel rather than side-lined personnel
Internal audit is seen as adding value and part of continual improvement of the qms

Selecting and Working with a Consultant

Quality management is a task that needs continuing commitment and dedicated attention. It can be provided from within an enterprise, but external help from a consultant specialising in quality management may be valuable. Medium and large sized organisations generally utilise middle management staff that can be deployed on special assignments such as quality system development. Small organisations cannot always do this.

The development of the management system must aim at meeting the needs of the organisation and its customers, not a certification body. Regard the quality management system as a business improvement exercise. Determining its overall strategy, its quality objectives and practices must reside with the organisation itself. Therefore, it is preferable to choose a consultant with direct experience of your industry. However, it is probably more important that the consultant has had experience of a small business either as an employee or as a consultant and that he or she has such referees as to his/her success rate. Ensure that your consultant has the resources and back up to see your project through to a timely conclusion

How to select a consultant

It is a difficult task to choose a consultant to ensure the selection produces a properly qualified and appropriate individual. The following steps provide a systematic approach to help you through such an important selection decision:

Prepare a statement outlining the nature, scope and objectives of the assignment.
Circulate this written statement to the key people in your organisation inviting them to comment by a specific date in terms of whether it defines the need accurately and whether the assignment should be tackled internally or external help sought.
Define the expertise you will need.
Invite an agreed shortlist of not more than three consultants for a preliminary interview. The use of a consultant certified by the CQI or another government-recognised body is recommended practice.
Brief the staff who will be involved in the selection process.
Avoid organisation jargon.
Ask each consultant to describe how the assignment will be approached.
Request references, in confidence, from each of the short listed consultants to provide precise examples of previous assignments carried out and check with the referees how successfully the assignment was carried out. Do not buy on price alone.
Request the short listed consultants to submit proposals in which they should define and even refine the objectives you have stated
Express the assignment you wish carried out in terms of the end results, i.e. outputs, that you want to achieve.
Provide resources and executive commitment to implement the quality management system. There is no point in seeking consultancy help unless you have the will and organisation resolve to implement the advice you get.

Working with a Consultant

Once you have confidence in your choice, regard your consultant as an adjunct to your management team. This should include participation in the selection of and negotiation with any certification body and in negotiations with key clients.

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