Making government great again : mapping the road to success with ISO 9001:2008

208 Pages·2009·2.18 MB·English

by  John D. Baranzelli

Making
Government
Great Again
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Making
Government
Great Again
Mapping the Road to Success
with ISO 9001:2008
John Baranzelli
ASQ Quality Press
Milwaukee, Wisconsin
American Society for Quality, Quality Press, Milwaukee 53203
© 2010 by ASQ
All rights reserved. Published 2009
Printed in the United States of America
15 14 13 12 11 10 09 5 4 3 2 1
Library of Congress Cataloging-in-Publication Data
Baranzelli, John.
Making government great again : mapping the road to success with
ISO 9001:2008 / John Baranzelli.
p. cm.
Includes bibliographical references and index.
ISBN 978-0-87389-779-2 (hard cover : alk. paper)
1. Total quality management in government—United States. 2. Administrative
agencies—United States—Management. 3. Organizational change—United States.
I. Title.

JK468.T67B37 2010
352.3'57—dc22 2009042248
ISBN: 978-0-87389-779-2
No part of this book may be reproduced in any form or by any means, electronic,
mechanical, photocopying, recording, or otherwise, without the prior written permission
of the publisher.
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Printed on acid-free paper
Table of Contents
List of Figures and Tables . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xi
To the Reader . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xiii
Author’s Note . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xv
Preface . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xvii
Acknowledgments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xix
Chapter 1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
IDOT’s Experience................................... 3
Summary .......................................... 5
Chapter 2 Quality Management Systems . . . . . . . . . . . . . . . . . . 7
Why Is Quality Important?............................. 8
What Is a Quality Management System?.................. 9
Summary .......................................... 10
Chapter 3 ISO 9000 Family of Standards . . . . . . . . . . . . . . . . . 13
What Is ISO? ....................................... 13
What Is the ISO 9000 Family of Standards? ............... 14
What Is ISO 9001? ................................... 16
Other Members of the Family .......................... 17
Do I Have to Buy a Bunch of Copies of the ISO 9000
Standards for All of My Employees?................... 17
Summary .......................................... 18
Chapter 4 ISO 9001 Certification Process . . . . . . . . . . . . . . . . . 19
Introduction ........................................ 19
Do We Have to Be Certified?........................... 20
What Is the Certification Process?....................... 20
What Is Accreditation?................................ 21
What Are the Pros and Cons of ISO 9001 Certification? ..... 22
Using Your ISO 9001 Certification for Public Awareness..... 23
Summary .......................................... 24
v
vi Table of Contents
Chapter 5 Eight Quality Management Principles . . . . . . . . . . . 27
Introduction ........................................ 27
Eight Quality Management Principles of ISO 9000:2005..... 28
Bridging the Gap between Strategy and Execution .......... 29
Summary .......................................... 31
Chapter 6 Customer Focus . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33
Introduction ........................................ 33
The Customer Is Always Right.......................... 33
Clause 5.2: Customer Focus............................ 34
Clause 7.2.1: Determination of Requirements Related to
the Product/Service ................................ 35
Clause 7.2.2: Review of Requirements Related to the
Product/Service . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36
IDOT’s Experience................................... 36
Program-Level Requirements........................... 36
Project-Level Requirements............................ 37
Clause 7.2.3: Customer Communication .................. 40
Clause 8.2.1: Customer Satisfaction...................... 41
Summary .......................................... 41
Chapter 7 Leadership . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43
Management Commitment............................. 44
Quality Policy and Quality Objectives.................... 45
Translating the Quality Objectives....................... 47
Internal Communication............................... 48
Management Representative............................ 51
Summary .......................................... 54
Chapter 8 Involvement of People . . . . . . . . . . . . . . . . . . . . . . . . . 55
Introduction ........................................ 55
Objectives and Expectations............................ 56
Quality Policy and Quality Objectives.................... 57
Clause 5.5.1: Responsibilities and Authorities .............. 57
Clause 6.2.2: Competence, Training, and Awareness ........ 58
Does Everyone in My Organization Need to Be an
ISO Expert? ...................................... 59
How Can I Get My Employees Committed to Our
ISO 9001 Certification Effort? ....................... 59
Summary .......................................... 60
Chapter 9 Process Approach . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63
Introduction ........................................ 63
Table of Contents vii
What Is a Process? ................................... 64
Policies, Processes, and Procedures...................... 65
Clause 4.1: General Requirements ....................... 66
Clause 7.1: Planning of Product/Service Realization......... 68
Clause 7.3.1: Design and Development Planning............ 70
Clause 7.3.2: Design and Development Inputs.............. 70
Clause 7.3.3: Design and Development Outputs............. 70
Clause 7.3.4: Design and Development Review............. 71
Clause 7.3.5: Design and Development Verification ......... 71
Clause 7.3.6: Design and Development Validation........... 71
Clause 7.3.7: Control of Design and Development Changes ... 72
Clause 7.5.1: Control of Production and Service Provision .... 72
Clause 7.5.2: Validation of Processes for Production and
Service Provision.................................. 73
Clause 7.5.3: Identification and Traceability ............... 73
Clause 7.5.4: Customer Property ........................ 74
Clause 7.5.5: Preservation of Product..................... 74
Clause 7.6: Control of Monitoring and Measurement
Equipment ....................................... 74
What Is Document Control?............................ 75
Why Do We Need to Retain So Many Records? ............ 76
Summary .......................................... 79
Chapter 10 System Approach to Management . . . . . . . . . . . . . . 81
Introduction ........................................ 81
How Can a System Approach to Management Help Us
Better Manage Our Organization?..................... 83
Clause 4.2.1: General Requirements...................... 85
Clause 4.2.2: Quality Manual........................... 86
Clause 5.6: Management Review ........................ 88
Clause 6.1: Provision of Resources....................... 89
Clause 8.2.2: Internal Audits ........................... 90
Summary .......................................... 93
Chapter 11 Continual Improvement . . . . . . . . . . . . . . . . . . . . . . 95
Introduction ........................................ 95
Clause 8.3: Nonconforming Product/Service............... 97
Four Modes of Fix ................................... 98
Clause 8.5.2: Corrective Action ......................... 99
Clause 8.5.3: Preventive Action ......................... 102
Clause 8.5.1: Continual Improvement..................... 104
Summary .......................................... 105
viii Table of Contents
Chapter 12 Factual Approach to Decision Making . . . . . . . . . . 107
Introduction ........................................ 107
Factual versus Anecdotal Approach...................... 108
Government Agencies Would Rather Defend Performance.... 109
Clause 8.2.3: Monitoring and Measurement of Processes..... 110
Clause 8.2.4: Monitoring and Measurement of
Product/Service . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 110
Clause 8.4: Analysis of Data............................ 110
What Kinds of Facts (Data and Information) Should
Be Collected?..................................... 113
Summary .......................................... 115
Chapter 13 Mutually Beneficial Supplier Relationships . . . . . . 117
Introduction ........................................ 117
Meeting the Unique Challenges of Public-Sector
Organizations..................................... 118
Clause 7.4.1: Purchasing Process ........................ 119
Clause 7.4.2: Purchasing Information .................... 120
Clause 7.4.3: Verification of Purchased Product ............ 121
ISO 9001 Certification of Your Suppliers ................. 122
Summary .......................................... 123
Chapter 14 Putting It All Together . . . . . . . . . . . . . . . . . . . . . . . 125
Introduction ........................................ 125
First Things First .................................... 126
Conduct a Force Field Analysis ......................... 128
Managing the Certification Effort ....................... 129
Important Competencies You’ll Need .................... 131
Summary .......................................... 134
Chapter 15 The Registrar . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 137
Opening Meeting .................................... 138
Management Review, Corrective and Preventive Action,
and Internal Audit Processes......................... 139
Concrete Laboratory.................................. 141
Construction Job Site ................................. 141
Closing Meeting ..................................... 142
Follow-Up.......................................... 143
Selecting a Registrar.................................. 144
Audits, Nonconformities, and Registration ................ 144
The Audit Team ..................................... 145
Summary .......................................... 146
Table of Contents ix
Chapter 16 A Word About Sustainability . . . . . . . . . . . . . . . . . . 147
Introduction ........................................ 147
Melding Sustainability and Quality Management ........... 148
Sustainability Objectives .............................. 149
Summary .......................................... 150
Chapter 17 What I’ve Learned . . . . . . . . . . . . . . . . . . . . . . . . . . 151
Introduction ........................................ 151
Be Patient—It Just Takes Time.......................... 152
Change the Culture................................... 153
Sell the Benefits and Celebrate Wins..................... 154
Learned Helplessness and the Psychology of Control ........ 156
Develop the Leaders of Tomorrow, Today ................. 157
Just Do It! Don’t Wait for the Perfect Time to Start.......... 158
In Conclusion, I’d Like to Thank the Academy . . . .......... 159
Summary .......................................... 160
Appendix A Example of a Personal Scorecard . . . . . . . . . . . . . 163
Appendix B Example Internal Audit Forms . . . . . . . . . . . . . . . 165
Appendix C Scope and Schedule of IDOT
Surveillance Audit . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 173
Appendix D Example Corrective and Preventive
Action Forms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 175
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 179
Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 181
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