Making government great again : mapping the road to success with ISO 9001:2008 PDF
Preview Making government great again : mapping the road to success with ISO 9001:2008
Making Government Great Again Also available from ASQ Quality Press: A Practical Field Guide for ISO 9001:2008 Erik Valdemar Myhrberg ISO 9001:2008 Explained, Third Edition Charles A. Cianfrani, John E. (Jack) West, and Joseph J. Tsiakals ISO Lesson Guide 2008: Pocket Guide to ISO 9001–2008, Third Edition J.P. Russell and Dennis R. Arter ISO 9001:2008 Internal Audits Made Easy: Tools, Techniques, and Step-by-Step Guidelines for Successful Internal Audits, Second Edition Ann W. Phillips Cracking the Case of ISO 9001:2008 for Manufacturing: A Simple Guide to Implementing Quality Management in Manufacturing, Second Edition John E. (Jack) West and Charles A. Cianfrani Cracking the Case of ISO 9001:2008 for Service: A Simple Guide to Implementing Quality Management in Service Organizations, Second Edition John E. (Jack) West and Charles A. Cianfrani Process-Driven Comprehensive Auditing: A New Way to Conduct ISO 9001:2008 Internal Audits, Second Edition Paul C. Palmes ISO 9001:2008 Interpretive Guide for the Design and Construction Project Team (e-Book) Prepared by members of the ASQ Design and Construction Division and edited by John R. Broomfield How to Audit the Process-Based QMS Dennis R. Arter, John E. (Jack) West, and Charles A. Cianfrani The ASQ Auditing Handbook, Third Edition J.P. Russell, editing director Quality Audits for Improved Performance, Third Edition Dennis R. Arter The Quality Toolbox, Second Edition Nancy R. Tague Mapping Work Processes, Second Edition Bjørn Andersen, Tom Fagerhaug, Bjørnar Henriksen, and Lars E. Onsøyen Root Cause Analysis: Simplified Tools and Techniques, Second Edition Bjørn Andersen and Tom Fagerhaug To request a complimentary catalog of ASQ Quality Press publications, call 800-248-1946, or visit our Web site at http://www.asq.org/quality-press. 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. Publisher: William A. Tony Acquisitions Editor: Matt T. Meinholz Project Editor: Paul O’Mara Production Administrator: Randall Benson ASQ Mission: The American Society for Quality advances individual, organizational, and community excellence worldwide through learning, quality improvement, and knowledge exchange. Attention Bookstores, Wholesalers, Schools, and Corporations: ASQ Quality Press books, videotapes, audiotapes, and software are available at quantity discounts with bulk purchases for business, educational, or instructional use. For information, please contact ASQ Quality Press at 800-248-1946, or write to ASQ Quality Press, P.O. Box 3005, Milwaukee, WI 53201-3005. To place orders or to request a free copy of the ASQ Quality Press Publications Catalog, including ASQ membership information, call 800-248-1946. Visit our Web site at www.asq.org or http://www.asq.org/quality-press. Printed in the United States of America 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 (This page intentionally left blank)
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