Professional Documents
Culture Documents
Effective implementation of
quality management systems
B. Purushothama
Cambridge
Oxford
Contents
Preface
vii
1.
Sustaining business
1.1
1.2
1.3
1.4
1.5
1.6
1.7
Introduction
Recession
Business sustainability
Evolution of QMS
Definition of quality
Imperatives of quality
Quality from a larger perspective
2.
14
2.1
2.2
2.3
2.4
2.5
Introduction
Fifty Steps for implementation
Undergo audits
Post-certification audits
Points to remember
14
17
46
47
48
3.
49
3.1
3.2
3.3
49
51
55
4.
56
4.1
4.2
4.3
4.4
4.5
56
58
58
60
60
1
2
4
4
6
8
11
vi
Contents
4.6
4.7
4.8
4.9
4.10
4.11
4.12
61
62
64
79
80
83
85
5.
95
5.1
5.2
5.3
5.4
95
96
97
98
6.
6.1
6.2
6.3
6.4
7.
7.1
7.2
7.3
7.4
7.5
7.6
7.7
133
133
134
135
136
138
138
140
140
141
142
143
143
146
References
157
Index
158
Preface
viii
Preface
deviations and take preventive actions with the involvement of people and
a committed management. The real implementation actually reduces the
work, as you will be auditing, identifying the non-conformities and taking
corrective and preventive actions, and go on improving your systems on a
continual basis. As the activities are customer-focused, the sale is
guaranteed.
In this book, I have tried to explain the real need for implementing the
systems, the steps in implanting, the roles and responsibilities of
management representative, making effective internal quality audits by
linking exercises, assessing the level of implementation of ISO 9001,
inviting complaints and treating customer as a free consultant, and freely
facing the audits. I hope this book will drive out some of the misconcepts
and help the organizations to become strong and competitive.
B. Purushothama
Sustaining business
1
Sustaining business
.
Introduction
In earlier days, normally, the trade was a family business. People used to
stick to their family trade, irrespective of the profitability. They were
respecting what their ancestors did. A carpenters son used to become a
carpenter and a soldiers son used to become a soldier. The community
was recognised by the trade they did, and it was even used as surname.
People were not entering in the trade of others, and an act of doing others
trade was even punishable. There was no competition as the productions
were less and the demand was certain.
The increase in demands and the desire to earn more and more led to
development of technology and ultimately to the industrial revolution.
Gradually as the concepts of management was developed, the concepts of
high speed production to reduce the cost of manufacturing pierced in the
minds of the industrialists and technicians. Organized industries started
replacing the earlier cottage industries or craftsmen business. The earlier
craftsmen were compelled to join the organized industries as labourers as
they were not able to compete with the industry by their craftsman skills.
Rapid technological developments and system developments were seen in
20th century as a by-product of the world wars. There were social reforms
also, and the barriers for others in the trade that was being managed by
particular family or community no longer exist. Now a son of a farmer can
become a doctor, and a teachers son can become an agriculturist. The
education is open to all and anyone can enter the business. The labourers
children no longer wish to work as a labourer as the earnings are much
less compared to other trades. It is now very difficult to get servants to do
petty jobs, where as earlier that was the main job of illiterate poor people.
Now people are able to make their own assessment and try to enter into
that trade where the earnings are more. A number of new industries are
being started because of the financial supports given by governments and
public. This very act led to the competition between units of the same
industry and also between industries.
1.2
Recession
Sustaining business
of small industries added to total products available in the market, and the
supply exceeded the demands.
Adapting high speed machines and increasing productions were
preached as an easy way of reducing the contribution of overheads per
unit production and increasing profitability by the costing and management
experts. The calculations were simple. The manufacturing industries started
expanding and increasing their productions in volumes to reduce the cost
of manufacture of unit piece. They were able to achieve this, but
unfortunately were not able to sell their products, as the total demands
remained same or started reducing because of the improved quality products
that were durable.
It is observed that the recession is a cyclic phenomenon. It is repeating
every 1012 years. As the technology developed, new machineries are
installed and the production is increased. This led to competition and surplus
material in the market leading to recession. The weak performers have to
shut their operations, and even the good performers make loss during the
recessions and reduce their productions. After some time, reduction in
production leads to short of materials and the demand starts. This is called
as a boom period. Recession is cyclic so also the boom period. When the
boom period comes, everyone invests and expands, leading to recession
again (Fig 1.1). Companies with good forward thinking does not simply
expand, but also try to bring innovative products to the markets and will
always be first to introduce new products and capture the market.
Performance
Boom period
Time years
Recession
Recessi
1.3
Business sustainability
One cannot keep quite just because recession is cyclic. The recession is
cyclic only for those who survive in a recession. One should have strategies
and action plans to face the recession and survive. Any organization should
first sustain before thinking of anything. Sustained success is more
important than making profit in some years and expanding, and making
losses later and retrenching the people. A long-term approach is essential
for sustaining the business. Dr. Ali AL-Zubaidi (1) explains sustained
success as a result of the ability of an organization to achieve and maintain
its objectives in the long term under dynamic organizations environment.
He explains organizations environment as a combination of internal and
external factors and conditions that can affect the achievement of an
organizations objectives, and its behaviour towards its interested parties.
Everyone wants to be a winner as only a winner can survive (2). The
technology and systems adopted have a wide variation from man to man,
organization to organization and depends much on the culture developed
over a period of time, the community and the economic systems. There is
nothing like monopoly in any field and the competition is very high.
Patenting, to some extent, protects the inventors of technology, but no one
can prevent copying and adopting of good and effective systems developed
elsewhere. Surviving has become difficult if one is not competitive.
Everyone tries to adopt a system best suited for his environment, so as to
achieve the best possible results, which is often called as Management
System. The systems designed are trying to address the activities needed
to achieve the required results right at the first time, with least expense.
One who implements and succeeds in sustaining the benefits of the strategic
decisions taken is called a good manager or a winner, and the organization
becomes a winning organization.
1.4
Evolution of QMS
Sustaining business
1.5
Definition of quality
Sustaining business
were wild and they could have killed him if he tried to take ivory without
killing them. He stayed in the forests where there were no houses, no luxury,
no facilities and no protection. He had to spend day and night in forests
along with wild animals. The police were after him, so he had to fight
with them and kill the police. He had very good communication systems
in those forest areas that never used mobile phones or satellite services.
He was able to get the information about the movement of police precisely,
where as police were finding very difficult to access he area in spite of
having electronic gadgets, mobile phones, wireless, etc. From the point of
definitions discussed above, i.e. fitness for purpose, working for customer
satisfactions, totality of characteristics of an entity that bear on its ability
to satisfy stated or implied needs of a customer, etc., we must honour him
as the Best Quality Person. We are not ready to sacrifice our life or family
for the sake of customers, but Veerappan did it. Why are we not recognizing
such quality persons and rewarding them?
Take the examples of terrorists. They plan well and attack. They do
their work right at first time for the sake of their customers, who are looking
after their families and community. Can we call them as quality persons?
Certainly we do not accept smugglers, poachers, thieves, robbers,
terrorists as quality people. Then what is missing in the definition of
Quality?
Take some more examples.
A garment company is producing good quality garments at a very low
price and their customers are very happy. The deliveries are given in time
as agreed in the contracts. They boast themselves as having the lowest
lead time. To achieve this, the employees, who come from poor families,
toil in a bad working condition. They are paid less and kept almost as
bonded labour much away from their families. The supervisors and
workers work extra hours without getting the overtime wages as per the
rules. The ladies are not looked after well. No facility of crche is provided
for the babies. The company makes profit, and worlds best brands get
their garments stitched from them. The buyers agents who come for doing
compliance audit give a clean chit to that factory, because, if they disqualify
that factory, then they need to pay more and purchase from others. They
shall become uncompetitive. The certifying bodies also give certificates
of ISO 9001, SA 8000, etc, as their business depends on giving more
certificates to the organizations. If they do not give certificate, they will
loose the business and some one will give the certificate. Can you call that
company as a good Quality Company? They are meeting the requirements
of their customers. The actions taken by the management are fit for the
purpose, i.e. providing the quality goods to the customers at lowest possible
price and at lowest lead time. It meets the definition given by Armand
1.6
Imperatives of quality
Sustaining business
10
Sustaining business
1.7
11
The discussions made above indicate that the quality is not a simple word,
but has a large perspective.
The quality not only addresses the basic product requirements, but
also other requirements of customers as well as of society.
We need to work towards achieving both in order to survive in the
competitive international market.
We need to have appropriate procedures to address the requirements,
implement the systems, verify the results and compare with the
competitors and reengineer the systems to achieve improved results.
Adherence to quality systems and ethics should be developed as a
culture, and not for getting certified by third party.
The certificates might give a confidence for new customers for
entering into business with a supplier, but the actual quality and
services, the ethics in dealing and the transparency are the real factors
considered by the customers to stay in business.
12
Specified
Unspecified
Once the needs are clear, then we can design the processes to ensure
that the quality is achieved.
How quality is ensured?
Sustaining business
13
Getting certified for ISO 9001 is not the end, but it is the starting point.
It gives confidence to the customers that you are on the right track. Unless
you move, you cannot reach the destination.
ISO 9001 explains the minimum requirements that are given as
guidelines for us to design a quality management system and it is not the
end. We need to improve our systems on a continuous basis taking the
help of guidelines given in the standards.
Goal
Organization
ISO 9000
The true implementation of ISO 9000 guidelines does not allow your
company to slip down from what you have already achieved. It shall prevent
you from making mistakes as you shall be following a procedure designed
by you to achieve the results expected by you and you are continuously
monitoring whether you are adhering to your systems and are taking
suitable corrective and preventive actions in time or not.
If you are not adhering to the requirements of the systems and just boast
of having a certificate, you shall be hanged by your customers similar to
as you are hanging your certificate.
IS O 900 1C ertifica te
x xx
14
Understanding
and implementation
ISO 9001:2008
Effective implementation
of quality of
management
systems
2
Understanding and implementation of
ISO 9001:2008
2.1
Introduction
Scope
Normative reference
Terms and definitions
Quality management system
Management responsibility
Resource management
Product realization
Measurement, analysis and improvement.
"
15
16
17
2.2
18
19
5. Once we are clear about our mission, vision, policy and objectives,
we can work out the action plan. The plan should consider various
aspects like the processes required, the present situation and the
changes needed, the sequence and interaction of processes, the
authorities and responsibilities, the control points and check points,
the review frequency, skills and knowledge needed by the
organization, resources needed, need for improvements at different
levels, method of improving them, training needed to adopt the
improved process or to experiment the proposed process to achieve
the result, documentation and recording. Inputs for effective and
efficient planning include the strategies of the organization, the
20
21
Action plan
Applicable
procedure
Responsibility
Factory
manager
Purchase incharge
Purchase incharge
Purchase incharge
Production incharge
1.2.4 Procedure
for working
out material
realization
percent and
reporting
Quality incharge
1.2.5 Procedure
for inspectting the
incoming
materials
Quality incharge
22
Measurement unit
Total KM of vehicle
movement
Number of men sent
out and the distance
travelled
1.2.1 Reduction of
incoming
materials
Percent of materials
rejected
1.2.2 Procuring
materials at
lowest possible price
Ratio of purchase
price to the average
market price for
similar quality
material on the day
of procurement
1.2.3 Developing
reliable vendors
Number of vendors
developed and their
rating
1.2.4 Increase in
Material realization
material reali- percent
zation percent
23
24
1.
Secondary requirements
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
12.
13.
14.
15.
16.
25
26
the legal and regulatory requirements all the times. Each one should
be aware of the legal and regulatory requirements concerning to the
activities being done and the product being produced. The standards
insist more on implementation of the system rather than on convincing
the auditor and getting certificate. There is a need to educate people
concerned regularly on the legal requirements and the changes if
any, and ensure that they work as per the requirements, rather than
having a separate person to patch up the records to show to the
auditors.
13. The standards requires certain documents to be maintained as
mandatory, which include the quality policy, quality objectives, quality
manual, documented procedures required by the standards, documents
needed by the organisation to ensure effective planning, operation and
control and records required by the standards. If one reads calmly, he
can understand that the scope of documentation covers all the essential
activities of the organization. There is a need to identify and define
the documents and relevant records needed to establish, implement
and maintain the quality management systems, and to support an
effective and efficient operation of the organizations processes. The
nature and extent of the documentation should satisfy the contractual,
statutory and regulatory requirements, and the needs and expectations
of customers and other interested parties. This also should be
appropriate to the organization. The documents can be in any form or
medium suitable for the needs of the organization. For e.g., written
procedures for implementing regulatory requirements, where as we
can think of a video cassettes for showing the work practices like
material handling systems, assembling and checking the parts,
operating fire extinguishers, etc. We can have sign boards at appropriate
places to give instructions to workmen relating to Dos and Donts,
or can have online work instructions on each machine for attending to
routine problems. The option is left to the organization, but one should
ensure that the documents are properly controlled. Figure 2.2 illustrates
the documents needed for effective implementation of quality
management systems in any organization.
14. What do we understand by the word document control? It means the
documents are (a) approved by certain authorised and responsible
persons after ensuring its adequacy and relevance to the operations,
(b) are suitably identified to ensure that only the current version are
in use, (c) given only to the concerned users and avoided from going
to unauthorized persons, (d) the obsolete documents are promptly
removed from the place of use, and (e) they are legible and easily
identifiable.
27
Quality policy
Quality objectives Company
Quality objectives Department
Quality objectives Products
Quality manual
Work procedures
Work instruction
Organization structure with functional designations
Job descriptions
List of forms
List of records
List of external documents
List of legal and regulatory requirements applicable
List of equipments for inspection and testing and monitoring
The specific terms used in documents definitions to be given
Specifications need not be separate, as it is given with individual batches
2.2 List of documents needed for effective implementation of QMS.
28
29
duplication of work and also help in computing the data for analysis.
It is essential to list all the formats, index them and display so that
people do not create a new format or use a wrong format. It is normal
practice to allocate form numbers to all formats, and give reference
of that format in the procedures, work instructions and job
descriptions.
17. One of the prime functions of any management is to review the
activities to ensure that they are effective and helping to meet the
company objectives. This is called as management review. This
30
Production
Quality issues
Suggestions received
Complaints
Corrective actions
Preventive actions
Profit and loss
Actions on audit finding
Supervisor
HOD
Unit head
MD
Each shift
Each shift
NA
NA
NA
NA
NA
NA
Daily
Daily
Weekly
As and when received
Weekly
Monthly
Monthly
Monthly
Weekly
Weekly
Monthly
Weekly
Monthly
Monthly
Monthly
Quarterly
Monthly
Monthly
Quarterly
Monthly
Quarterly
Quarterly
Quarterly
Quarterly
18. The provision of resources is very important part from the top
management commitment point of view. However, there should be a
justification for the resources to be provided. It should help the
management in enhancing customer satisfaction and satisfaction of
other interested parties, i.e. stakeholders, to achieve the company
objectives and fulfil the applicable statutory and regulatory
requirements. Hence, the top management should identify the
resources essential to the deployment of strategy and the achievement
31
32
S.
No.
Jobs done
Skills needed
Education needed
1.
Collect samples
from each
machine for
testing
2.
Marking the
samples, recording
the sample details.
3.
4.
1. Data entering in
registers or systems
without mistake
2. Working out the mean,
deviations and
highlight the major
deviations
1. Basics of data
entry in computers
and registers
2. Basic
mathematics,
fundamentals of
statistics
5.
Carrying the
samples from
machine to testing
lab and returning
the samples back
after testing
1. Education is not a
must for this
operation
6.
Submitting the
results to
concerned
supervisor or fitter
for taking action
1. Communication skills
to explain the real
deviation and the
actions needed
2. Communicate the
actions to be taken
Jobs
done
Skills
needed
33
Education needed
2. Basic knowledge of the working of the
machine and effects of different
operations
21. People can work efficiently when they are empowered. This can be
done by suitably defining the organization structure, with clearly
defined authorities and responsibilities. Once a competent man/
woman is allotted the job, and is clear about his/her authorities and
responsibilities, and is aware of the relevance of the work in achieving
the objectives of the section and company, he/she shall be enthused
to do the work and shall work with full potential.
22. The work environment needs to be maintained to get the required
quality and productivity. There are two parts in this: one is physical
environment like required lux level of light, maximum allowable dust
level, maximum tolerable noise level, house keeping, level of
pollution and controls, precautions for maintaining good hygiene,
cleanliness, ergonomics, machinery layout, etc.; where as the second
one is relating to human environment, which include the way in which
the people are treated, the promotion policies, grievance handling
systems, discipline at work, social justice, the welfare measures, etc.,
which all help in building a confidence among the employees that
the top management is concerned about the well being of the
employees and are taking care of them.
23. The other resource, viz, infrastructure includes various items like
plant, working space, tools, equipments, support services, information
and communication technology, transport facilities, etc., which are
all essential for getting the product and service realization to achieve
the company goals. Hence it is essential for the users of the above
infrastructure to justify them as required for improving the systems
and/or enhancing customer satisfaction and/or achieving the company
objectives as per strategic plans. It is also essential to utilize the
infrastructures optimally to keep the cost of operation as low as
possible, while not compromising on the quality.
24. Now let us come to the core activity, i.e. product manufacturing, or
as per ISO 9001:2008, product realization. The first activity in this
area is the planning for product realization. We need to understand
the product requirements before going for manufacturing. We need
to know the customers stated needs, implied needs and expectations,
34
and from that we need to work out the quality objectives of the
product. This explains what is expected out of the product when it
reaches the customers end. Let us take some examples:
(a) Textile mill
(i) Ne10s combed hosiery yarn As the name indicates the
yarn is going for knitting application, and hence the yarn
should be soft twisted and waxed. The yarn is combed
and expected to be free from kitties and neps and
imperfections should be lower. The yarn should have
sufficient strength and elongation to give a trouble free
performance. However, we do not know as to what type
of knitting machine the customer has. Now think of
socks knitting, one for baby socks and the other for
sports socks. For baby socks, the comfort of wear is
more important, where as for sports socks, wear
resistance is very important. Hence for baby socks we
need to give a lower T.M. compared to sports socks.
The short-term variations in yarn looks prominent in
socks as the same yarn shall be coming again and again.
(ii) Same Ne10s combed hosiery for doubling to use in
sweaters In this case, as the doubling operation is done
at customers end, we have to give un-waxed yarn. The
short-term variations might not be critical as in the case
of socks. Uniformity in shade of yarn is very important,
as the yarns are likely to be dyed and used as an outerwear.
(iii) Ne10s combed soft twist going for candlewicks In this
case, uniformity in terms of thick and thin places are
very important, and a kitty free yarn is required. The
shade variation is not critical for this end use, and also
the strength of yarn.
(b) Engineering workshop
Customer wants a shaft to be fitted to a drive. The basic
question is: how much load it is supposed to carry. On that
basis the diameter and the material is designed. The second
question is about the speed on which it has to work, on which
the bearing shall be decided. The third question shall be the
atmosphere to which the shaft is exposed, on which the material
to be used for the shaft shall be decided. The functional aspects
are very important in deciding the product objectives.
(c) Cafeteria
Food is to be prepared for 10 people for lunch. We need to be
clear as to whether they need light working lunch or heavy
lunch. The purpose for which the lunch was ordered is very
35
PR ######
Product
PQR$$##
Total quantity
25000 Pcs
Production to start on
20 Dec 2008
Production to end on
12 Jan 2009
Operation 1 Machines 1, 2, 4, 6
Operation 2 Machines 2, 3, 4
Operation 3 Machines 1, 2, 5
Persons suggested
Testing to be done
Actions taken
36
26.
27.
28.
29.
37
38
Product
Quality
Delivery
Price
Service
Total
Rubber cot
60
20
15
5
100
Brooms
30
30
35
5
100
The weightage given can be used for evaluating the vendors as per
the formulae given below.
Quality rating =
39
Logistic requirements.
Preservation of product.
Supplier development.
40
41
42
43
44
45
R5
R4
R3
R2
R1
Reasons
Product
Customer
P1
P2
C1
P3
P1
1
1
P2
P3
4
1
P1
P2
P3
C2
1
C3
1
48. The corrective action taken promptly and communicated through out
the organization to prevent it from recurring is a very important step in
achieving improvement. We normally see that the same types of problems
and complaints are repeating, and people happily change the
nomenclature as routine problems. There are a number of books available
on the causes and remedies for routine problems found in an industry.
What is required is to develop Poka-yoke or full proofing the systems
and eliminate those problems once for all. A detailed root cause analysis
for all the deviations and problems is essential and the root of the problem
needs to be attacked to prevent it from surfacing again.
49. We should have a system of identifying the potential problems before
a problem can occur. For example, when a new technology is
implemented, the people on the spot shall not be aware of the
problems they are likely to get. In such cases, a brain-storming session
can help in identifying the potential problems. Similarly changes in
social scenario, political changes, economic changes, competition,
environmental issues, etc., are to be analysed and discussed to identify
the potential problems. It is needed to analyse the problems in detail
to find the root cause, take action, verify the action and if found
suitable standardize.
50. Once we are clear and confident that we are following the system,
we can go for certification. We should understand clearly that a
46
2.3
Undergo audits
It is seen that normally people hesitate to face audits. They are afraid of
the remarks that are likely to be made by an auditor. The main reason is
the lack of confidence. One needs to understand that audit is a process to
ensure conformity to the systems. It is conducted by trained experts. Auditor
is not interested in finding a mistake, but any deviation found from actual
to practice shall be highlighted as a deviation; might be a non-conformity
or an observation. It does not mean that non-conformity is bad. You might
have done some improvement, but not documented it. The auditor helps
you to document it by raising non-conformity.
We go to doctor periodically to get ourselves checked. If any disease is
found building up, we take preventive medicines, and some times even
undergo surgery to prevent the problem. Here auditor is a doctor, and hence
we should cooperate with him and show frankly whatever is asked. Care
should be taken not to show anything which is not asked, as auditor is not
a perfect doctor to suggest you remedies for everything.
The certifying body conducts and adequacy audit before auditing the
processes. This is done for ensuring that the quality manual documented
addresses all the applicable clauses of ISO 9001 adequately, and there are
procedures are documented appropriately. The auditor shall identify any
lapses and suggests correcting them. Adequacy audit is not meant for
verifying the compliance to the standards, and non-conformities are not
47
raised. The auditor shall discuss with management representative and asks
him to amend the manual wherever it is needed. Once the corrections are
made and the quality manual is found okay, the dates for the audits shall
be fixed.
Wherever an organization is not confident, they can request for a trail
audit from the certifying body. The auditors shall go deep in each process
area and try to identify maximum number of deviations and advise the
organization to correct them. Once all the non conformities are attended,
the organization can offer them for final audit. In case the organization is
confident they can directly opt for final audit without going for a trial
audit.
The auditors verify whether the organization is complying with the
minimum requirements of the quality management system or not, and raise
non-conformities whenever deviations are seen. It is the duty of the auditee
to correct them without delay. Certificate cannot be granted if there are
any pending non-conformities. However, by seeing the nature of the nonconformity, the auditor can recommend for the grant of certificate, while
giving a deadline for correcting the deviations and getting verified by the
auditor.
Even though implementation of QMS is not a one time job and
implemented and monitored on a continuous basis, still we need to prepare
our selves for facing audits. The Chapter 7 explains various fine aspects
of getting ourselves prepared for an audit. Once the audit is started, face
with confidence. Your confidence helps you to win over the auditor.
2.4
Post-certification audits
48
2.5
Points to remember
Customer focus
Leadership
Involvement of people
Process approach
Continual improvement
3
Roles and responsibilities of management
representative
3.1
49
50
representative. His work is to maintain the records and keeping the manuals
and procedure documents in a safe place. In one such case it was found
that the management representative had not undergone the basic awareness
programme on ISO 9001, but the company was an ISO 9001:2000 certified.
Some consultants were managing to get the certificate. By taking certificate
in this manner, the company cannot get any benefit as the systems are not
improved. They will have a certificate hanging, without realizing that the
companys future itself is hanging.
In some of the companies, it is seen that management representative
is a separate man from the regular activities of the organization and is
not assigned any regular responsibilities. This man will concentrate
only of documentation, conducting audits and liaising for management
reviews and audits. The reason given is The activities are too many
and the documentation is difficult. A separate man as MR can
concentrate on documentation, and shall be able to explain to auditors
so that the certificate is got. Here the basic purpose of implementing
ISO 9000 is lost. The organizations should realize that ISO is not a
separate activity, but a part of the activities that are being carried out
in order to meet the objectives of the company. There is no need for
doing an activity that is not contributing for meeting the objectives of
the company. By keeping MR as a separate entity, without any regular
assignments, the management gives a message to all that ISO 9000
activities are additional activities, and is not a part of regular activities.
By this the MR shall have resistance from the co-employees, who get
a feeling the ISO 9000 activities are a burden. A management
representative should be a role model, who can demonstrate to the
people by implementing the concepts of quality management system in
his routine works. The management representative should be a senior
manager with regular responsibilities, and should be able to implement
the systems while doing his regular activities. Then only he can
command others to implement the systems as a part of their regular
activities. If he is a separate man, he shall never get recognition.
It is a normal practice in majority of the companies that the chief of
quality control becomes the management representative, because they are
implementing quality management systems. It is a wrong understanding.
The quality control activities are normally concentrated on product quality,
and it is a technical job. The ISO 9001 is concentrating on the quality of
the management system and not only on the quality of the products. If the
management system is good, the quality shall be good at all places.
Therefore, a senior manager having command on all the sections and
departments is the best person to become a management representative
and he should be dedicated.
3.2
51
The following are the jobs normally expected from the management
representative.
1. Understanding the company mission, vision, policies and objectives
carefully, and communicating the same in simple language down the
line. He should ensure that people have understood the same and
will be able to demonstrate it in their routine activities.
2. Helping HODs in deriving the departmental objectives, policy and
goals considering the company objectives and policies. The concerned
HOD is responsible for writing the policy and goals for his department
and sections. The management representative helps in writing them
precisely by linking them with the company objectives and goals.
3. Liaising with standard bodies and getting the latest applicable national
and international standards required for implementing and
maintaining ISO 9000 series of standards. It is expected that the
management representative is always thorough with the changes in
the standards. It is suggested that he become a member of professional
bodies, create alerts in internets, browse the internet on regular basis
and get updated with the changes. He should be a leader in
understanding the concepts.
4. Explaining the concepts of ISO 9000 throughout the organization.
Help of expert professionals can be obtained in giving training. It is
always better that the management representative trains people within
the organization for explaining the concepts down the line rather
than hiring experts from outside. The help of outside experts are to
be taken only to educate the top management and senior managers.
5. Communicating the importance of meeting customer as well as
regulatory requirements during the training programme or in any other
occasion found suitable for this purpose. The management
representative needs to liaise with marketing, quality and production
people in understanding the real concerns and requirements of
customers and ensure that they are communicated down. It does not
mean that the management representative should personally
communicate these things down the line. He needs to verify and
ensure that the systems are working to communicate the customers
concerns and needs down the line.
6. Proactively discussing with the people and ensuring that all have
understood the real essence of the quality policy, quality objectives
and goals, their role in achieving the goals and in complying with
the statutory, legal and regulatory requirements. He should educate
52
7.
8.
9.
10.
11.
12.
13.
14.
15.
16.
17.
18.
19.
20.
21.
53
modify them to reduce the number of forms and make them more
effective and user friendly.
Maintaining the master list of all documents, records and forms, and
the distribution charts is one of the prime responsibilities of the
management representative.
It is normally seen that numbers of records are maintained in any
organization. There might be duplication of records, and some vital
information might not have documented at any place. It is the
responsibility of management representative to help the HODs in
identifying the records to be maintained considering the company/
department/section and individual activities, goals and targets.
Interpreting the customer requirements and communicating down the
line is an important activity in any organization. The management
representative is expected to help the concerned HODs in preparing
the specifications and guidelines for meeting the requirements.
As the technology advances and the company adopts new technology
and systems, there is a need to amend the procedures and the
documents. Arranging for adequacy audits in case of any changes in
system, process or the people is one of the main tasks of a management
representative.
Preparing the procedures, instructions, manuals and documenting
them is not the end of implementation. Everyone needs to read them,
understand and implement in their routine works. Training the people
to adapt to the systems is very important. The management
representative is expected to arrange for training of users for the use
of documents and records.
We need a team of internal quality auditors to periodically audit the
systems through out the organization. Identifying the potential internal
quality auditors and arranging for their training is one of the
responsibilities of the management representative.
Internal quality audits should be effective and all auditors and auditee
should follow the requirements meticulously. Developing procedures
for internal quality audits and training the users for the
implementation is the responsibility of management representative.
Internal audits needs to be planned in advance and communicated to
the users for the effective implementation of the systems. It cannot
be a surprise audit as a quality control man does. Planning internal
quality audits and arranging for the audits is one of the prime
responsibilities of the management representative.
Closing the non-conformities without undue delay is the responsibility
of the auditee. However, it is seen in a number of cases that unless
the management representative is after the auditee and auditor, the
non-conformities are not attended and closed. Hence, following up
54
22.
23.
24.
25.
26.
27.
28.
29.
with the auditors and auditee for the timely closing of non-conformity
has become the responsibility of the management representative.
Due to various reasons, the auditee might not accept the nonconformity raised by an auditor (especially in the internal quality
audits). Sorting out the difference of opinions between auditors and
auditee relating to the non-conformities and the observations during
audits by referring to the standards is one of the responsibilities of
the management representative.
It is seen in a number of cases that the auditors fail to write the nonconformity notes precisely explaining the nature of the nonconformity and its potential effects and linking the observed nonconformity to the clauses of ISO 9001. Guiding the auditors in writing
the non-conformity notes and linking them to the guidelines given in
the standards has become one of the responsibilities of the
management representative.
Conducting periodic review of the activities is the responsibility of
the top management. However, due to their varied nature of activities
and the changing priorities, they do not proactively conduct the
reviews. They expect that discussing with the top management and
arranging for periodic review as the responsibility of management
representative. Therefore, this activity becomes one of his regular
tasks.
Similar to internal quality audits, the external audits also are to be
done periodically. Liaising with the certifying body and top
management and getting audits done is the responsibility of
management representative.
Normally the auditee, although capable, expects the management
representative to guide him in closing the non-conformity raised
during external audits. Following up for closing of non-conformities
in time becomes the responsibility of the management representative.
After the audits, getting the certificate and audit reports is very
essential. Following up with the certifying body in getting certificate
is one of the responsibilities of the management representative.
Educating all concerned in the organization regarding the certificate
and ensuring proper display of the same at prominent points also is
the responsibility of the management representative.
The responsibilities of the management representative include
maintaining the records of internal quality audits, management
review, external audits, auditors attendance and performance,
auditors training, trends in performance, follow up for the actions
decided in the management review and the correspondences relating
to the implementation of quality management systems.
55
3.3
56
Internal
quality audits
Effective implementation of quality
management
systems
4
Internal quality audits:
A strong tool for quality management
4.1
We might claim to have developed good procedures and systems and might
be following them religiously; however, we cannot forget that we are human
beings, have a tendency to relax and forget vital things unconsciously.
We, unlike machines, get tired and use our own logics while following
instructions or procedures and tend to bypass parts of system feeling it as
not essential. It also might be a fact, that a particular activity was really
not essential to get our results and meeting objectives without problems.
In a number of cases, we are unable to identify the inadvertent mistakes or
deviations while we are on the job, but can realize when others point it
out. It is essential that there is a system of monitoring.
A process can be monitored by various means, which include supervision
by the concerned supervisors, checking by quality control investigators,
review by heads of the department, online process monitoring by using
electronic devices, internal quality audits and audits by external agencies,
etc.
The quality audit (15) is defined as timely process or system inspection
to ensure that specifications conform to documented quality standards.
An audit also brings out discrepancies between the documented standards
and the standards followed and also might show how well or how badly
the documented standards support the processes currently followed [Ref:
Six Sigma Quality Dictionary].
As per ISO 9000 (16), the audit is a systematic, independent and
documented process for obtaining audit evidence (records, statements
of facts or other information which are relevant to audit criteria), and
evaluating it objectively to determine the extent to which audit criteria
(set of policies, procedures or requirements used as a reference) are
fulfilled. The book by Pradeep Kumar Mathur (4) on implementing ISO
9001:2000 defines quality audit as a systematic, independent and
documented process of examining any activity of an organization based
56
57
58
4.2
Internal quality audits are done by the people inside the organization, who
are normally engaged in different tasks like production, quality control,
maintenance, accounts, stores, human resource management, information
management, etc. They audit the process of different sections, other than
their own, as per the planned programme. The auditors are specially trained
with a skill of identifying the deviations. They are also trained for
highlighting the non-conformances without targeting the person working,
but as a deviation in the process or system being followed. They explain
the deviations and verify the corrective actions taken and report to the top
management.
Internal quality audits are not surprise checks as done by quality control
investigators, but are planned. They are planned well in advance and
informed to the auditee. In case of surprise checks, only a small area can
be checked, and in that some deviation if found may be highlighted. The
concerned persons correct the deviations highlighted. In this case we do
not know about the deviations in the areas not checked, which shall
continue to produce poor results. In case of internal quality audit, as the
information is given well in advance, the process is checked by the people
on spot thoroughly, and they themselves take corrective actions. What the
company needs is corrective actions in time and produce good results, and
not finding fault and taking action on some one.
The auditors are in-house people, and they know the company systems.
Hence while auditing they shall be keeping that point in view. As the
internal auditors conduct audits of different sections of an organization in
rotation, they get an idea of the complete systems in the organization.
Therefore, it helps the development of staff conducting audits in
understanding the complete systems and problems of the company. It helps
them when they are promoted to higher posts and they shall be able to
tackle the problems effectively. This system also wakens up the inner
morale of the auditors. When I see a deviation in some other department,
my mind works to find out whether I have a similar deviation in my section.
I shall try to attend it immediately, as I do not want someone raising nonconformity in my operations. So in one stroke we are correcting at two
places, with out making a hue and cry.
4.3
The quality control and quality audit, although look similar, have number
of differences. A process can be monitored by various means, which include
supervision by the concerned supervisors, check by quality control
investigators, review by heads of the department, online process monitor
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60
4.4
The product audit consists of verifying the parameters of the product against
customer requirements; for e.g., in garments the fabrics feel, garment
dimensions, fittings, the trims used, the labels, etc. In case of deviations found
the materials are returned for rework. If rework is not possible or not feasible,
they shall be down graded. Depending on the lot size offered for inspection,
sample size is decided. The acceptance or rejection is decided referring to
AQL tables or as agreed between customer and the supplier. The product
audits do not verify whether the people are following the systems as required
to get the required quality. The system audits emphasize on following of the
systems in line with standards or documented procedures. If system is followed
religiously, the result is bound to come and assure quality.
In labour-oriented consumer product industry, both product audit and
system audits are followed regularly. The system audit is more important,
when it is a labour intensive industry, and the employee turnover is very
high. Recruitment, training and system audits are continuous processes.
The system audits verify not only the manufacturing activities but also the
management systems, adhering to legal and regulatory requirements, social
accountability, and welfare activities.
4.5
61
questions the basis of the procedure adopted, and modifies them. An auditor
being an outsider cannot suggest any improvement, but can only say that
a deviation is found. He doesnt know whether the deviation found was
advantageous or disadvantageous. Table 4.1 gives few differences among
quality control, review by top man and internal quality auditing.
Table 4.1 Few differences among quality control, review by top man and internal
quality auditing.
Type of
monitoring
Quality control
checks
Review by top
man
Planned/Surprise
Surprise checks
Planned review
Planned audit
Action taken on
Deviations found
Deviations found
On all aspects in
advance, and
especially on
deviations found.
Relations
The production
person always
sees QC man as
a faultfinder, and
hence no team
work.
Free atmosphere as
auditor is a third
person, and does not
find only faults, but
shows the area for
improvement. Hence it
is teamwork.
Action starts
What is reported
Mainly deviations
Both compliance
and deviations
Career
development
No chances
Self-learning while
auditing the systems
of other sections.
Improvement
chances at the
other end
Nil
Nil
Anxiety
Anxiety prevails
as we do not
know what shall
be reported by
QC man to top
person.
No anxiety as the
boss tells clearly
his findings.
No anxiety as the
auditor discusses with
auditee while drafting
his report, and while
rising nonconformities.
Participation
4.6
The internal audits are of two types: adequacy audit and compliance audit.
The adequacy audit is to ensure that the procedures laid out cover all the
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4.7
Pre-requirements of an auditor
Internal auditors are people from within the organization those have been
trained to conduct audits. The training can be done by the organization
itself if the expertise exists or by an expert body hired for the purpose.
There may be any number of internal auditors in a section. More the
auditors, it is always better.
The auditors shall not audit their own section except for internal
adequacy audits.
The auditing is not a fault-finding process but a fact-finding process. It
is not a crime if deviations are found. If we are not getting the results as
required, then we need to re-discuss as to whether follow the process as
documented or not. When we get the results, it is suggested to document
63
the process as being followed. Our final aim is to achieve the results as a
result of following a judicious system and not getting a result by chance,
or in other words, by grace of someone like God. So the auditor shall
instigate the auditee to think and take the real corrective action for the
deviation found, and not just changing the documents to close the nonconformity rose.
The auditor is a friend and not an enemy. He comes to show the
deviations made by us so that we correct ourselves. Auditor is not supposed
to suggest corrective actions. However, in case of process management
relating to production operations done by a senior technical person of the
same organization, the advantage can be taken to improve the system.
The auditor finds the deviation as a deviation from the system and not
as a mistake done. A deviation in system can be due to improper
communication, improper understanding of the process or by some new
developments done recently for improvement that was not documented.
The auditor shall not target any person for highlighting the deviations.
He shall highlight the events where deviations were found, and can give
the name of the person as an example.
The auditor should verify the compliance by asking for evidences, like
production records, test results, demonstration of calibration, demonstration
of an activity, personally checking the speeds, setting, etc., visiting the
spot of actions being taken and the process going on, questioning the people
on the spot to understand the extent of understanding of the objectives,
targets, procedures and systems by the people working on the spot, the
display boards put in the department for giving various instructions, etc.
The auditor is not supposed to assume any thing, and he should record
only what he has verified.
The auditor should go with a proper checklist prepared after carefully
going through the procedures, work instructions, job descriptions, process
parameters, etc. He should identify the links between the processes and
procedures and verify the effects of non-compliance. This is called a linking
exercise. A change done at one place might affect the performance of other
section, and auditor is the person who can highlight that.
The auditor should be friendly with people and has no authority to fire
any of the auditee members, even though he is a junior person. His job is
to convince the other man regarding the deviation observed comparing to
what was planned.
The auditor is not a trouble shooting man, going with a mission of
identifying a root cause for a problem and implementing corrective actions.
His job ends only in identifying the deviations. If required, the company
can ask the auditor, after the audits are over, to become a member of trouble
shooting team to solve the problems found during audit, as a normal process
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4.8
What is to be verified?
The auditors need to plan and carry out internal audits based on the status
and importance of the area to be audited as well as the results of the previous
audit. The most important is ensuring objectivity and impartiality in the
audits carried out. The auditor should ensure that the actions taken after
audit are verified again.
In order to make the job easy, the auditor should prepare a questionnaire
before starting an audit and prioritize the questions in order to save his as
well as the auditees time. This depends on the purpose of audit.
In case of adequacy audits, the questions are prepared to verify whether
a particular aspect is addressed effectively or not. These are done mainly
for the formats designed for various purposes in process monitoring, the
flow chart and the procedures, the work instructions and process
parameters. For example, a questionnaire designed to verify a form for
sort change on loom in a textile mill could be as follows.
Table 4.2 Questionnaire for sort change
Question
Status
Yes
Yes
Yes
No. left to the weaver
Yes
No. Left to the weaver
Only construction.
No. Left to the weaver
Yes
Yes
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4.8.1
General
1. Understand the activities carried out in the auditee section, and link
it to the main process of the company.
2. Find out the importance of the activity in achieving the company
goals.
3. Verify whether any targets are set for the goals.
4. Find out how the auditee is monitoring the activity.
5. Check for the evidence for monitoring.
6. Find out whether the procedure for doing and monitoring the activities
are documented.
7. Verify how the objectives stated in the procedures have been linked
to the targets set.
8. Verify whether the objectives specified for each procedure are
measurable or not.
9. Enquire how the procedure written is helping in achieving the targets
set.
10. Verify whether the people performing the job have understood the
procedures documented.
11. Check whether the resources required are adequately documented.
12. Verify the process of getting the resources for performing the job.
13. Verify whether the applicable legal, regulatory and statutory
requirements are identified and documented.
14. Verify the legal and regulatory requirements section wise that are to
be fulfilled.
15. Check whether the people performing are clear about the legal and
regulatory aspects that they need to fulfil.
16. Verify the records identified by the section.
17. Verify whether the records cover all the activities of the section or not.
18. Verify how the records are used in taking decisions.
19. Whether the records identified cover all the objectives spelled out?
20. Whether the records are maintained properly to have easy retrieval?
21. Verify whether the records are controlled and protected from getting
damaged.
22. Verify whether the life and disposal of records are determined and
followed.
23. Verify whether the people are aware of their authorities and
responsibilities.
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4.8.2
Top management
67
4.8.3
Production
68
69
26. Verify whether the design out put meet the design input requirements
or not.
27. Whether the design changes are properly recorded?
28. Verify whether the designs of the products are controlled effectively
or not.
29. Verify the process parameters adopted and compare with those derived
by the design process.
30. Whether any special processes exist in the production line, where
the results can be known only after the work is complete?
31. Whether the special processes are identified or not?
32. In case of special processes, whether the process is validated to ensure
the requirements are met?
33. Does the validation demonstrate the ability of these processes to
achieve planned results?
34. Whether any control points and check points are prepared for the
process being followed?
35. Verify whether the working conditions like temperature, humidity,
noise level, light, dust level, etc., are maintained as appropriate to
the process.
36. Verify whether the men employed are having adequate knowledge
and skills required for the job.
37. Verify the safety precautions that are followed in relation to the safety
requirements.
38. Verify the system adopted for identification and traceability of
materials in relation to the systems documented.
39. Verify whether the status of the product is displayed based on
monitoring and measurement requirements.
40. Look for the monitoring systems available on the production
equipments, and their utilization in process monitoring.
41. Is the monitoring and measuring device that has been devised and
implemented are capable of providing evidence of conformity of
product to determined requirements?
42. Does the monitoring and measuring are in a manner that is consistent
with the monitoring and measuring equipment?
43. Check whether the validity of results measured previously are
revalidated when equipment is found non-conforming to the
requirements.
44. Check the material handling systems adopted and their suitability
for the materials being handled.
45. Inspect the material storage place and verify in relation to norms
considering the safety and quality.
46. Verify the maintenance systems adopted and compare with
documented system.
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4.8.4
71
72
4.8.5
Maintenance activities
4.8.6
Marketing
73
2. Verify the system of segmenting the markets and products, and for
targeting the customers before approaching them for offering the
products.
3. Verify whether any requirement is given by the production/service
department as minimum information to be collected from customer
while deciding on the customer requirements.
4. What is the system adopted to determine the customer requirements
when the customer has not given documented requirements?
5. Whether the product requirements worked out by the mills are
communicated to customers and their approval taken prior to
acceptance of order?
6. Verify the communication systems for dealing with customer.
7. Verify whether the communication systems followed with customers
cover the product information, enquires, contracts or order handling,
amendments to contracts, customer feed backs and customer
complaints.
8. Verify the training needs identified for the customer contact
personnel.
9. Verify whether the training is imparted effectively.
10. Verify whether the contracts or orders differing from those previously
expressed and accepted are resolved.
11. Whether records are maintained for the reviews done for each contract
and their results?
12. Verify whether the contracts entered have been reviewed to ensure
taking care of company capability for supplying the product.
13. Verify how the customer perception as to whether the product and
services met their requirements is gathered.
14. How the customers perception data and feedback are analysed to
take suitable action to enhance customer satisfaction?
15. Verify whether all the requirements of customers are documented in
the contracts or not.
16. Verify the method of ensuring that all the requirements of the
customers are covered in the contract.
17. Verify whether the legal requirements relating to products and trade
applicable are identified and communicated to the personnel
responsible to fulfill.
18. Verify the system of communicating the customer requirements,
including the amendments in time to concerned personnel at
production area, viz, production planning, manufacturing and quality
assurance, packing of final products, despatch, costing and training
sections.
19. Verify the system of following up to ensure that the customers get
the materials and services as specified by them.
74
20. Whether any defined procedure is there to collect the dues from
customer in time for the materials supplied to them?
21. Verify the system of getting customer feedback/complaints, and
communicating the information to concerned production personnel
and back to customers.
22. Verify the system of deciding on the prices and other terms and
conditions of marketing while entering a contract.
23. Verify the system of reviewing marketing performance.
24. Verify whether the system adopted to review marketing performance
has helped in achieving continuous improvements.
4.8.7
1. Verify the system of getting requirement from the users for various
materials to be procured.
2. Verify the system of ensuring that the users have given the complete
description of the materials required to ensure procurement of correct
material.
3. Verify the system of identifying the appropriate supplier for various
materials being procured.
4. Verify the system of grouping the materials and suppliers in order to
have effective purchase management.
5. Verify the system of evaluating the suppliers to ensure their suitability
for supply.
6. Verify whether there exists a formal periodic vendor rating system.
7. Verify the factors and weightage for various materials considered
for supplier evaluation and the logic behind it.
8. Verify whether the description given by users is promptly forwarded
to suppliers.
9. Verify the system of informing suppliers on their supply performance
to enhance supply services.
10. Verify the system of ensuring the statutory requirements are met in
purchase activities.
11. Verify the system of following up with suppliers for timely supplies.
12. Verify whether the acceptance criteria and the method of inspection
are made clear to the supplier.
13. Verify the system adopted for identifying the received items and their
inspection and storing.
14. Verify whether the persons involved in inspection of received
materials are adequately trained and equipped.
15. Verify whether the system of storing is suitable for the type of material
being stored to prevent any damage or deterioration during storage.
75
16. Verify the system of issuing materials to users while ensuring only
approved materials are issued.
17. Verify the methods adopted for effective traceability of supplies and
suppliers.
18. Verify whether any system exists for visiting suppliers for inspection
evaluation. In such cases whether the suppliers are informed suitably
the purpose of visit.
19. Whether any material is given to suppliers for conversion or
incorporation in the product being procured. In such cases, what
system is followed to ensure that the same materials are being used
and accounted properly?
20. Verify the system of covering the risk while materials are in transit
or in stores.
21. Verify the system of ensuring that the materials in stock maintain the
properties similar to that of while receiving.
22. In case of materials likely to lose their salient features over a period
of time, verify how the shelf-life is determined and the deliveries
monitored.
23. Verify the system of informing accounts section relating to the
materials received and approved.
24. Verify the system of informing the users relating to the delivery
positions of the materials ordered.
25. Verify the system of monitoring the stock levels of regular moving
items in order to have smooth working.
26. Verify the system of actions taken for non-moving items and rejected
items.
27. Verify the system of stocktaking and their valuation.
4.8.8
Despatches
76
4.8.9
Information management
1. Verify the system of identifying the information required for decisionmaking in the process adopted.
2. Verify how the data source is identified to get the required
information.
3. Verify the system of data integration and information generation.
4. Verify how the reliability of data is ensured.
5. Verify the system of data control to ensure that data are made available
to concerned only.
6. Verify the system of data accessibility for the users.
7. Verify the system of reviewing the information generation and utility.
8. Verify the systems of maintenance of IT equipments and software.
9. Verify the system of validation of software for reliability.
10. Verify the system of educating users for use of data integration and
information generation activities.
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78
79
13. Verify the system of handling cash and assuring security for the
persons handling cash.
4.8.13 Security
1. Verify the system of checking the incoming vehicles and the materials.
2. Verify the method of checking the incoming men and their belongings.
3. Verify the system of checking the out going vehicles, men and
materials.
4. Verify the system of checking the documents and signatures on
documents and gate passes.
5. Verify the system followed for security in final packing area.
6. Verify the system of security patrols.
7. Verify the training provided for the security personnel.
8. Verify the method of selecting security service providers and the
security personnel.
9. Verify the system of monitoring the fire extinguishers, fire hoses
and the condition of fire fighting equipments.
10. Verify the system of maintenance of weapons and security tools.
4.9
From the discussions we had till date, we can conclude that the internal
quality audit is a strong tool for monitoring the process. It does not mean
that we should discontinue with routine quality control checks or reviews.
Internal quality auditing should be an additional activity, as it shall bring
involvement of people for taking proactive corrective and preventive
actions. Also the expertise of internal auditors is different compared to
the expertise of quality control investigators. Where analysis of a specific
technical problem and trouble shooting is to be done, the quality control
investigators shall be more helpful. They shall concentrate on one area
and spend more time, and view the problem with different angles. They
shall be able to do root cause analysis, where as an internal quality auditor
can only identify that there is a deviation, but cannot identify the root
cause.
The quality control investigator is a specialist trained in a particular
area, and has always has the market complaints and feed back in the back
of his/her mind, and hence shall concentrate from the point of view of
customer. The internal quality auditor concentrates only on adhering to
systems as documented, and cannot visualize the necessity for change in
a system from his angle. The quality control investigator goes beyond the
set procedures, and insists a change in system to avoid market complaints
80
4.10
Process audits
5.
6.
7.
8.
81
82
83
(c)
13.
14.
15.
16.
4.11
84
85
4.12
Affinity diagram
86
Relation diagram
Tree diagram
Matrix data analysis
Matrix diagram
Process decision programme chart (PDPC)
Arrow diagram
Customer
Expectations
Company
Policies and
Objectives
87
Departmental
Policies and
Objectives
Departmental
Procedures
Statutory,
Legal and regulatory
Requirements
Company Manual
and
General Procedures
Organization
Structure
Training
Work Instructions
Job Descriptions
Records
Arrow diagram or PERT chart (Fig. 4.4), which helps in project planning,
scheduling and monitoring is a network technique using nodes for events
and arrows for activities. It is a very useful tool when we want to plan the
activities of a known but complex task. Process mapping can be in the
form of an arrow diagram also.
After mapping the process, it becomes easy to find the links.
88
work is
not done
HOD is leaving the
responsibility to
senior executive
Job description of
senior executive
mentions this
Job description of
HOD does not
mention
Quality manual says HOD is
responsible for the activity
Senior executive
is waiting for the
instructions from
HOD
The matrix can also be used to identify the links between the company
objectives, the departmental objectives, the targets and action plans.
Table 4.3 is an illustration for the same.
Process design programme chart This is a useful and powerful method
to overcome problems when a goal is to be achieved by mapping out all
the conceivable events or contingencies that can occur in the
implementation stage. A PDPC chart is constructed by the following steps.
89
Activity 1
Check 1
Activity 2
Support 2
Support 1
Activity 3
Check 2
Support 3
Support 5
Check 3
Activity 4
Activity 7
Check 4
Activity 7
Activity 2
Activity 8
90
Arrow Diagram
6
5 days
1
Start
4 days
3
4
End
91
Objective 5
=
=
Objective 4
=
=
Objective 3
=
=
Objective 2
=
=
Objective 1
=
=
=
Objective 4
Objective 3
Objective 2
Objective 1
Action plans
Plan 1
Plan 2
Plan 3
Plan 4
Quality Policy
Departmental objectives
Sectional objectives
Company objectives
Objective - 1
=
Objective - 2
=
=
=
= =
Objective - 3
=
=
= =
Objective - 4
Objective - 5
=
=
Let us discuss some examples of how an auditor can expand the meaning
of a small statement made in a document and search for the links.
Example 1
Procedure says Supervisor shall give an indent for..
92
Verify the list of format, and see whether that indent format is
controlled.
Ask for the record where the copies of indent are filed.
Check the list of records, whether that record is controlled.
Check to whom this indent is given. Verify the procedure at the
receiving end, whether the acceptance of this indent is documented.
Verify whether any work instruction is written for writing this indent.
Verify the procedure for deciding on writing the indent.
Verify whether all the criteria were fulfilled for a completed indent.
Example 2
Verification of the linkage between procedure and departmental objectives.
Note down the points in the procedure that has a link with the objectives.
Department ABC
Linking procedure to departmental objectives
Department objectives
WP No
OBJ- 1
OBJ- 2
XXX-WP-01
Point 1 Point 5
XXX-WP-02
OBJ- 3
Point 2
OBJ- 4
OBJ- 5
OBJ- 6
OBJ- 7
Point 5
XXX-WP-03
Point 2
XXX-WP-04
XXX-WP-05
OBJ- 8
Point 3
Point 5
Point 7
Point 8
Point 2
Point 3
Point 8
XXX-WP-06
XXX-WP-07
XXX-WP-08
Point 5
Point 3
93
OBJ- 1
OBJ- 2
XXX-JD-01
Point 1 Point 5
XXX-JD-02
OBJ- 3
OBJ- 4
Point 2
OBJ- 5
OBJ- 6
OBJ- 7
Point 5
XXX-JD-03
Point 2
XXX-JD-04
XXX-JD-05
Point 7
Point 3
XXX-JD-06
Point 6
XXX-JD-07
XXX-JD-08
OBJ- 8
Point 3
Point 5
Point 8
Point 3
Example 4
Verification of the minimum competency levels specified and comparing
with the hierarchy for the mismatches. The competency expectations must
be of higher level for seniors in the hierarchy compared to those at junior
level. Following is an example of mismatch.
Minimum competency Training staff in a garment factory
Education
Experience
Training
Skills
Training
manager
10 years
experience in
shop floor
G.S.D
Good communicator
Training
in-charge
Degree or Diploma
in garment
manufacturing
G.S.D and
train the
trainer
course
Good communicator,
keen observer, good
counsellor
Training
executive
PG degree or
diploma in garment
manufacturing
5 years as a
trainer
G.S.D
Good communicator,
keen observer, good
counsellor
Trainer
Diploma in tailoring
Not specified
Not
specified
Training skills
94
Example 5
Verify the records of stoppages and the reasons documented. Link it to the
efficiency or productivity achieved. Say, the production department has
recorded 4 hours stoppage of a machine for breakdown, where as the
maintenance department has recorded 3 hours stoppage. When the
production is verified, they have achieved 60% of their normal production
in that shift indicating a loss of 3 hours and 12 minutes. It means the
machine was started 12 minutes late after it was handed over by the
maintenance, but additional stoppage was shown to project a better
efficiency.
Example 6
Verify the objectives and targets specified for a section and between
sections of an organization. See whether they are complementary or
contradictory.
Example 7
For each target check the proposed action plan. Each target should be
supported by an action plan in order to achieve it. The method of
implementation of the action plans must be specified in the work
procedures, or else it is not possible to implement. There should be the
responsibilities defined and the records identified. Auditor needs to check
whether the documents explain the method of taking action, where the
records are kept and who is responsible.
Linking exercises can be a very powerful tool for an auditor. It helps in
identifying the real pits and helps the management to take necessary
corrective actions. The seven management tools can be suitably made use
for linking exercises.
Linking exercise helps to integrate different activities of an organization.
It helps effective implementation of systems organization wide.
95
5
Measuring maturity in QMS implementation
5.1
95
96
a number of cases, it is found that auditors are closing their eyes even
when a major non-conformance is noticed.
ISO 9001 guidelines give basic requirements for a good quality
management system, which are practical and simple. In the initial stages,
people were considering the certification of ISO 9000 as a great
achievement, but now due to innumerable number of certificate holders, it
is no more considered as an achievement. It has become the basic or
fundamental requirement for any organization to survive. If one is not
following a QMS, he is likely to collapse shortly.
With over one million ISO 9000 certified companies world over, the
significance of the certificate is getting lost. Almost everyone is ISO
certified. The customers, who were recognising their suppliers because of
their accreditation to QMS, are now in confusion. They are finding
difficulty in identifying good suppliers those are matured in understanding
the requirements, could proactively respond and have quality management
systems implemented effectively company wide and following religiously.
There is no method of assessing the effectiveness of implementation,
although some companies have developed their own systems to measure
their performance. There is a need for scientific/logical measurement of
the maturity of implementation of quality management in an organization.
5.2
The British Standard Institute (BSI) (17) has recently started benchmarking
system in QMS. The companies are assessed considering the eight quality
management principles adopted in ISO 9001:2000. For each principle five
criteria are verified, and the companies are fitted in one of the five levels,
viz No level, Bronze, Silver, Gold and Platinum.
In BSI method, there are 5 8 = 40 questions, and each question has
maximum of 50 marks. Total marks are 2000. The companies scoring 20%
and below shall not get any rank. The Bronze status is given for companies
getting 2140% marks, Silver for 4160% marks, Gold for 6180% marks
and Platinum for 81100%. The members can have an access to find out
the highest ranking in each category. BSI gives reports for each principle
separately and also indicates threat, risk, business impact and area for
improvement. Any company, whether ISO 9000 certified or not, can
participate in this benchmarking assessment. Once a company is assessed
and graded, a certificate is issued, which is valid for 2 years. There shall
be one assessment every year.
This certificate helps the companies in impressing their customers. The
customers are likely to prefer the companies with platinum ranking
compared to bronze or silver ranking, although they are ISO 9001 certified.
5.3
97
Any one if wants to improve, should first know the level in which he is. It
is true for the companies also. It might not be feasible for all to go for a
benchmarking survey, as one need to wait for one year after getting
assessment to understand the changes in status if any. Also the external
auditors might not get complete exposure to the depth the systems have
gone. As the purpose is to assess self and plan for improvement, we need
to device a method, which is simple and can be handled by internal quality
auditors. The assessment should be done after each internal quality audit
so that the effects of efforts made can be understood.
One needs to carefully understand the requirements of the quality
management system and the extent to which it can be implemented. The
various levels between a starting level company and the best company
may be identified and marks may be allotted. By this it shall be possible
to understand the level at which we are working and the area needed to be
improved and track the performance of quality management systems in
numerical terms.
The internal auditors, who are matured enough and trained in assessment
for maturity, can allot the marks independently followed by a consensus
method. By this the company can assess the level of implementation of
QMS and work out the plans to make it more effective.
The guidelines are explained in section 5.4. The companies, who are
still not matured enough to have self-assessment, can understand the
expectations of a good QMS system by reading the guidelines for
assessment. The concepts which have been given higher marks are the
ones to be benchmarked.
In the guidelines prepared, the maturity is assessed by 100 different
angles, referred as elements of implementation of QMS. In each element,
5 possible levels are identified and marks are allotted for them. One need
to verify in which level the company is there against each element of QMS.
The maximum marks are 5 for each element and minimum is 1. Zero mark
is not considered as we have taken a company for assessment which already
has implemented QMS and is certified.
A company can therefore have maximum of 500 marks and minimum
of 100. If the company scores 100 marks, it is considered as base level or
Level 1. Company scoring between 101 and 200 is Level 2, 201 and 300
is Level 3, 301 and 400 is Level 4 and 401 and 500 shall be Level 5. The
chances of a company falling in Level 1 is very remote, as they cannot
score just 1 in all the 100 elements, but could score more than 1 in number
of elements.
As the concepts in QMS change depending on the developments of
new concepts, the guidelines prepared also will change. However, by the
98
5.4
The following are the general guidelines. They are developed considering
the clauses of ISO 9001:2008. The auditee should give frank answers.
There is nothing called as wrong. Frankness helps in understanding the
level, and suitable action plan might be prepared to move further. As
systems undergo changes, we can rework the guidance.
Level
and
marks
1
2
Description
1. Scope of application
Covers production, maintenance and quality control sections.
Covers production, purchases, production planning, quality
control, research and development, maintenance and delivery
operations.
Covers production, purchases, production planning, quality
control, research and development, marketing, maintenance and
delivery operations.
Covers production, purchases, production planning, quality
control, research and development, designing, marketing,
outhouse trading, maintenance and delivery operations.
Covers all sections of the organization including accounts,
finance and corporate functions.
2. Purpose of implementing QMS
1
2
3
4
99
4
5
1
2
3
4
100
3
1
2
3
4
5
1
2
3
4
101
1
2
3
4
5
1
2
3
4
5
102
2
3
4
1
2
1
2
3
4
103
1
2
3
4
5
1
2
3
4
5
1
2
3
104
1
2
3
4
1
2
3
4
2
3
4
5
105
1
2
3
4
5
106
4
5
1
2
The users are responsible for ensuring that they get the required
information from the right source.
The concerned HOD by his experience and knowledge identifies
the key information requirement, and arranges for data
collection and information generation on a regular basis.
The information required for the effective implementation of
QMS is identified by an expert committee, and programme is
developed to collect those data and information on a regular
basis.
The users review periodically the effectiveness of the
information available for the implementation and control of the
required activities, and design means to acquire the data from
the reliable sources.
The HODs review the information availability for taking
decisions and for carrying out the activities, and discuss with
the concerned persons and make arrangements for their
procurement.
24. Understanding customer requirements
1
2
3
4
107
1
2
3
4
5
1
2
3
4
5
1
2
108
1
2
3
4
5
1
2
3
4
5
109
3
4
1
2
3
4
5
1
2
3
4
5
1
2
3
4
5
Conducted
Conducted
Conducted
Conducted
Conducted
110
2
3
4
5
1
2
3
4
5
1
2
3
4
5
The internal auditors and the auditee who faced the audits
All staff members
One representative from each department
The heads of the departments or their next person in hierarchy
All HODs and senior executives
37. Minimum competency fixed
1
2
3
4
People best suitable for the job are selected from the available
candidates. No minimum criteria are fixed.
Minimum competency is documented for all posts by actually
referring to the competency the people have.
The minimum competency is fixed in consultation with a
qualified HR consultant.
Jobs of similar nature are identified and grouped. The company
requirement is judged by a team of experts along with an expert
in HRD.
111
1
2
3
1
2
3
4
5
112
1
2
3
4
1
2
3
4
5
113
1
2
3
4
5
1
2
3
4
5
1
2
3
The shift supervisors plan the activity for their shift considering
the production completed and to be completed.
Production plans for next day is written on a white board, so
that the activities can be done smoothly.
Weekly planner board with the details of machines to be used,
the critical points to be observed is displayed prominently.
Monthly operation plans are maintained with the HOD.
Order-wise plans are made and the shop-floor operators are
made clear about the production plan by their superiors so that
114
1
2
3
4
5
1
2
2
3
4
5
115
1
2
3
4
5
1
2
3
4
5
The design head knows the problems and shall specify if there
is any thing likely to affect.
The design head discusses with the design team members and
quality control team.
The design team discuss with production team for the likely
problems.
A team consisting of members from design, quality and
production work together to identify the likely problems.
A team consisting of members from design, manufacturing,
quality, maintenance, purchase study the design in detail and
identify the likely problems.
52. Design verification
1
2
3
116
4
5
1
2
3
4
5
1
2
1
2
3
4
5
117
1
2
3
1
2
118
1
2
3
4
1
2
3
4
5
1
2
3
4
5
119
1
2
3
4
5
1
2
120
3
1
2
3
4
5
1
2
3
4
1
2
3
121
1
2
3
4
5
1
2
3
4
5
Audits are not done as per plan and in some cases audits are
not done.
Audits are not done as per plan in 50% of the cases and are replanned where it is not done.
Audits are not done as per plan in some area, where as 75%
area, it is as per plan.
Audits are not done as per plan on the same day but at different
timing.
All audits are done as per plan.
70. IQA Quality of audit
The audit reports are written but auditors have not written date,
time, etc. at number of places. The auditee has signed and
accepted the non-conformity, but has not written the root cause,
the proposed date of taking action. The clause numbers are not
correct.
The clause numbers written by auditor are not correct and no
one has taken objection for that. The auditee has written the
122
3
4
5
proposed date of action, but has not identified the root cause.
The clause number is correct, but the non-conformity is in a
suggestion mode or dictation mode. The root cause analysis is
not made by the auditee. The MR has written the root cause.
The root cause analysis is made by the auditee for all the nonconformities and actions taken.
Trend analysis is made for identifying the repeated type of nonconformities and taking preventive actions. The MR is tracking
the progress.
71. IQA Closing of the NC
2
3
4
5
1
2
3
2
3
4
5
123
Some of the auditors could not attend in time, but have informed
the MR in advance. No alternative arrangement is made.
Auditors are conducting the audits on specified date or on
mutually agreed date in consultation with the management
representative. Some reports are delayed.
Analysis of auditors punctuality shows a positive trend and
continuous improvement. Some audit reports are submitted late.
All auditors are attending the audit as per schedule, and
submitting the report in time.
74. IQA Auditee response
1
2
3
4
5
1
2
3
4
5
1
2
3
Heads of the department are not following for getting their area
audited.
Heads of the department are not getting their area audited, but
are directing the auditors towards subordinates.
Head of the department sits for audit for some time, and then
124
4
5
1
2
3
4
1
2
3
4
1
2
3
125
1
2
3
4
126
1
2
1
2
3
4
5
127
1
2
1
2
3
4
5
1
2
The concerned supervisor or in-charge analyses the data on dayto-day basis to ensure it as correct, and takes decision accordingly.
The HOD analyses the data submitted to him for its correctness
and takes actions for the deviations.
128
3
4
The HOD gets the trend charts prepared of the data and analyses
on a monthly basis.
The cause-wise trends are prepared and analysis is made on
monthly basis, season wise, product wise and submitted to top
management.
The trends of improvement or deterioration are compared with
similar industry, and also with the best in the class. The reasons
for deviations are identified.
88. Measuring the objectives
1
2
3
4
1
2
3
4
129
1
2
3
1
2
130
4
1
2
3
4
131
1
2
3
4
5
1
2
3
4
5
1
2
132
3
4
5
2
3
4
5
1
2
3
4
5
Welcome
Welcome
the complaints
133
6
Welcome the complaints
$.1
The shloka (stanza) quoted above is from Ramayana, the first known written
epic on this earth; that was written about 51 centuries back by saint
Valmeeki. He quotes the advices of Guru Vasista explaining to Lord Rama
when he was crowned as an emperor. He says that it is very easy to get
people always uttering sweet words and praising, but it is very difficult to
get people who can tell the truth (comments and facts) that is not liked or
tolerated by others and also the people who can listen to those comments
and facts. This does not apply only to an emperor like Lord Rama, but also
for all and at all the time. It is true with our customers also.
The customers are interested in doing their business and are not really
interested in wasting their time and efforts in making comments, either
good or bad, about the products and services they received. If the quality
is good, they shall be happy to come back to us. If the quality is not
satisfactory, the customer might grumble. Customer makes a complaint
when he/she feels that the complaint is likely to help his/her business/
activities.
It is observed that a customer will not complain every time even though
the quality of products and services are very poor. Out of 100 customers,
only 1015 customers make complaints or comments. Even if we send the
questionnaire, or personally request the customers also, we never get 100%
response. A response of 2530% is found normal in the customer
satisfaction surveys. Let us have some examples.
133
134
6.2
at some other caf, and not go to same place where your experience
was not good.
You feel something as unethical and you are not doing it. Some one,
whom you do not know is doing that unethical work, are you going
to advise him? The answer is No. It is not my business. If the same
is done by your brother or a close friend, you are advising.
In your office, your boss is not good in language. He makes mistakes
in using appropriate words, and hence it might mean different. Are
you going to tell your boss to correct his language? The answer is
No. If the same mistake is done by your younger brother or sister,
you would like to correct them and explain as to why that was wrong.
Some times you might make a skit by imitating the language and
style of your boss on a happy occasion with your friends.
A customer makes a complaint when he/she has a feeling that the company
listen him/her and is likely to improve. When customer is interested in
your products and services, and feels to continue business, he shall explain
the lapses and request you to improve in those areas. The customer is
interested in getting good products and services in time so that his business
is not affected.
Normally, customers are not interested in changing their suppliers. You
can take your own example. Even though there are hundreds of grocery
shops dealing with the same commodities in a market, you normally go to
a specific shop. The products are same, the quality is same, the price is
same and even then you do not go to another shop. Somehow you are
comfortable with that shop. If some one asks you, you cannot justify with
proper reasons as to why you like that shop. Similar is the case with our
customers also.
For any business identifying new customers and convincing them to buy
their products and services is not an easy task. It requires lot of efforts and
there will be expenses. Similar is the case with developing a supplier.
Developing a supplier to meet our exact requirements may be sometimes
costlier and also risky. This is truer when we are making specialty products
with our own innovations. The customers do not like to change their suppliers
if they have a confidence that the supplier shall improve and provide quality
and services as needed. The customers give their feed back to their suppliers
when they are satisfied with the performance. If the supplier is not improving,
the customers have no other alternative than to search for a new one.
Another interesting phenomenon observed is that as the quality
improves, the complaints also increase. People might laugh at this
statement, but it is true. Take some examples.
135
People travel daily in crowded city busses or local train. The buses or
trains might come late or the commuters might not get a seat to sit
comfortably. But they never complain either for the train or bus coming
late or for not getting a seat for sitting comfortably, although they have
paid money for ticket. They can sue the railways or bus service for not
providing a seat and making them standing or virtually hanging in a bus or
train, or not for maintaining the time as per the published time table. It is
the duty of railways or road transport corporations to provide seat to all
their passengers, or charge less for the passengers standing. The bus or
train services should compensate for loses incurred by the commuters for
delays. But it never happens. By seeing the plight of their employees, if a
company introduces free bus service, then people complain of not coming
in time. Normally, seat is provided for all on all the days; however, on a
particular day, due to some emergency, if one or two passengers are taken
extra, the people make complaint.
The customers want consistency in quality and supplies and not very
good quality at some times. If you are consistently providing a poor quality
and service, your customers get adjusted to it. They will be coming to you
till they find another alternative that is better than you. They will not make
any complaint. However, if you start improving your quality of products
and services, the customers shall be happy and they will stick to you. The
expectations of customer will increase as your quality of product and
services improve. They will now have a different tolerance for the same
products and services, based on the best services you provided. They will
show their displeasure if you slip down from your achieved levels.
Therefore, you should always have a system of reinforcing the systems
and sustaining the performance at improved levels.
6.3
Normally, people will be happy when they do not receive any complaint.
They assume that their products and services are good. They feel bad when
they receive a complaint. However, we need to go deep and analyse.
A customer, who was earlier making complaints, has stopped making
complaints. Is it a good sign or a bad sign? Please make analysis. Have
you really improved the products and services to his satisfaction? Have
you responded to customer all the time positively? Whether customer had
agreed with your views and changes made? Are you having a mechanism
to verify from whom that customer is procuring similar products? What is
your share in the products and services to that customer? Whether that
share is increasing or decreasing? Whether the customer is having the
same confident as he was having earlier? A customer who was regularly
complaining cannot stop complaining unless he has decided to move out
136
6.4
137
138
7
Face the audits
7.1
The audits are conducted to ensure that the company is adhering to the
requirements of the standards, and are following their procedures that are
written in order to achieve their organization goals. A periodic audit helps
the auditee to take corrective actions on the deviations and align the
processes inline with the requirements. This helps in reducing the mistakes.
Audits may be internal or external, but have the same objective of ensuring
compliance to the systems and to highlight the deviations for taking actions.
Audits are the eye openers and help in detecting the deviations in the
beginning itself, before it grows as a major problem or become fatal. The
studies and experiences have shown that eliminating a problem at seed
stage is easier than removing a grown tree.
The analysis made by American Association for Safety and Health revealed
that behind every fatal accident there were 30 near misses and 300 unsafe
conditions. To prevent fatal accidents one has to concentrate for proactively
eliminating unsafe conditions. The unsafe condition is easy to attend like a
problem in the seed stage; but people ignore the signal given by the spread of
unwanted seeds. The near misses are like a problem in the seedling stage. It
is possible to remove the seedling with slight effort, but people do not spare
their time to do that. Finally, when it becomes a tree, it is not possible to
remove or not viable to remove. People learn living with the problem or become
a victim of it. The same is true in case of the non-conformities raised by the
internal and external auditors. It is easy to stabilize the systems by making
root cause analysis for all the non-conformities observed and taking prompt
corrective and preventive actions. However, it is seen in a number of cases
that the people try to avoid facing audits because of the fear of a non-conformity
being identified in their section. They feel bad when non-conformity is written.
By feeling bad or avoiding the auditor, we will be allowing the unwanted
seeds of problem to grow ultimately resulting in major problems.
One might have devised a very good system, but whether the same is
implemented as per expectations is always a question, as the one who
designed is normally different from the one implementing. There might
be number of unintentional deviations because of communication lapses,
understanding with a different perspective and the circumstances.
138
139
Some times it is seen that the system documented is outdated and the
people have adopted an improved method for their works. In such cases,
the audits indicate that the procedures need to be documented properly as
per the changed working systems. If the documentation is not changed,
there are chances of some people following the old system and some with
new, finally resulting in the variations and poor quality. It is a known fact
that one cannot identify some of his/her mistakes or deviations, where as
an outsider with an open mind can identify them. Therefore, getting the
self-audited by an outsider at periodic intervals is suggested.
Audit is a process to ensure conformity to the systems.
Audit is conducted by trained experts.
Auditor is not interested in finding a mistake, but any deviation found
from actual to practice shall be highlighted as a deviation; might be
a non-conformity or an observation.
We go to doctor periodically to get ourselves checked. If any disease
is found building up, we take preventive medicines, and some times
even undergo surgery (for e.g. by pass surgery) to prevent the problem.
Here auditor is a doctor, and hence we should cooperate with him
and show frankly whatever is asked.
Do not show anything which is not asked, as auditor is not a perfect
doctor to suggest you remedies for everything.
Behind every fatal accidents there are 30 near misses and 300 unsafe conditions.
1 Fatal Accident
30 Near Misses
300 Unsafe
Conditions
140
7.2
It is normal that human beings want to rest and enjoy their life. They try
to avoid the works whenever an opportunity is there. This basic nature led
to the development of science and technology. Lots of automations are
done and the machines are doing the works that were earlier done by
humans. The basic aim is to reduce the works as much as possible and still
get the result.
Another nature of a human being is to forget. It is a gift given by got,
although we find in a number of cases the ill effects of forgetting. We
cannot remember everything. But we cannot always remember what we
are supposed to remember. The reason for forgetting is mainly due to
diversions in our attention because of changed requirements. We normally
do not forget the steps in an activity that is done on a regular basis. As the
time passes, we forget those events. It is therefore suggested to refer the
documented manual and procedures periodically and ensure that we are
following all the steps as documented, and modify the documents in the
event of any improvement done.
7.3
The auditing is done mainly to verify the conformity to systems and not to
pinpoint that a person has done a mistake. It should identify the deviations
in systems and not one persons failure in performing an act. The audit
should concentrate on;
7.4
141
Although we say that we work always as per the systems, the mind needs
certain preparation before facing an audit. We need to keep some time
reserved for interacting with an auditor. Therefore it is common that the
audit date and time are fixed with the consent of the auditor and the auditee.
The dates are announced in advance so that both auditor and auditee can
prepare themselves.
The auditor prepares himself by reading the manuals, procedures and
the previous audit reports before coming for an audit. The auditee needs
to ensure that all are working as per the systems, people are confident and
can explain their activities to the auditor and clarify the doubts or questions
asked. The following are some of the tips to prepare for facing an audit.
Ensure that all the staff members have read quality manual and
understood.
Ensure that all are well versed with the procedures and instructions.
Ensure that all are clear about quality policy and can explain their
role in implementing it.
Prepare trend chart for the objectives achieved in your section for at
least one year.
Ensure that all records are up to date.
See that records are kept in their respective places all the time.
Check for the label, title etc., for the records as per procedure.
Ensure that for all non-conformities, complaints etc., actions are taken
and are recorded. [Note: There should not be any pending nonconformity]
Check the calibration status for all the equipments.
Ensure calibration stickers on instruments.
Demark place for keeping non-conforming products at appropriate
places in production, stores and ware houses.
Do not keep any unwanted material, machine, men etc., in work place.
If any idle machine is there, put a board stating it as idle, and not to
start. Remove the fuse for safety.
Ensure that all associates are clear about work instructions. They
should read and explain.
Ensure that all forms used are numbered, and referred in work
procedures and work instructions.
Ensure that all non-conformities raised in previous audits are closed
in time.
There should be a root cause analysis for each of the market
complaints, non-conformities raised not only in ISO 9000 audits,
but also for the points given in quality control audits, buyer audits,
safety audits, tool audits etc. Keep evidences for the actions taken.
142
7.5
Ensure that actions are taken in time for the points raised in
Management Review Meeting. [Note: Any delay or non-taking action
shall be taken seriously by external auditors as they reflect badly on
top management commitment].
Make market complaint analysis party wise, reason wise, and product
wise and show the trends for at least one year.
Keep the records of vendor analysis ready.
Keep the proof of letter written to suppliers for rejections, and low
rating in vendor evaluation.
Keep the records of training need identified and training given as
per the training need identified.
Face the audits with confidence. There is no need for panicking. An auditor
is a friend who has come to show us the possible areas for improvement.
Following are some tips for facing an audit.
The Audit shall start with an Opening Meeting. All H.O.D and the
guides must be present in time. No one should come late.
Introduce yourself briefly to the auditor during opening meeting and
express your willingness to improve self by the audits.
Ensure that meeting is concluded as per the time table given. Do not
waste the time by talking unrelated matters.
Keep good house keeping as it shall give the first impression of your
systems.
Head of the Department must be present in the audit.
Introduce yourself and your assistants to the auditor before the audit
starts.
Offer Tea, Coffee or soft drinks while the audit is going on, but after
asking the auditor about his/her choice.
Do not attend to any phone calls during audits. Tell very clearly that you
are in audit, and no one should disturb you. The top management must
ensure that they do not disturb any one when an audit is in progress.
Do not allow any one to enter the auditing area, unless the auditor/
auditee wanted him/her for audit purpose.
Listen to the question carefully before answering.
Answer only to the point, and do not show or tell any thing which is
not asked.
Do not argue with auditor while auditing is going on. Just note down
his remarks and discuss with MR and unit head before closing
meeting.
Do not bluff. Remember that auditor is a well matured person who
7.6
143
can make out what is real. He shall be linking your statement to some
other area for verification.
Do not become nervous. Remember that auditor is our friend who
shall show the area where we need improvement.
Auditor has seen different industries and has a fair idea of what is
practicable and what is not. Although auditor is not supposed to
suggest, shall give a hint while asking questions. Observe him
carefully and note down his reactions or observations.
Show the actions taken on the observations and nonconformities to
the auditor before the closing meeting. It shall impress the auditor
and shall demonstrate our enthusiasm for improvement.
Everyone who attended the opening meeting must be present in the
closing meeting, along with representatives of the area audited.
Maintain timings of the audit and the meetings.
Role of a guide
As auditors are out siders and do not have the clarity of different departments
and sections you have, please provide some one as guide. The guide should
be a neutral person for the section being audited. He shall just introduce the
auditor to auditee and make arrangements for getting the required people.
The guide will not answer any question on behalf of the auditee. He shall
just note down the questions and the reactions, and inform the management
representative in brief. Following are some tips for the guides.
7.7
A guide is a person who shall take the auditor round the sections as
required and introduce him to auditee.
Guide shall not answer to any question asked during audit, unless
the auditor asks the guide to give clarification.
Guide shall note down all the points like the questions asked, answers
given, points highlighted and remarks of auditor etc.
Normally a guide shall be a trained auditor from other section. We
need to announce the guides in the opening meeting itself and
introduce them to auditors.
Guide shall be interacting with management representative regarding
the progress of the audits, deviations found etc., so that MR shall
initiate corrective actions to close the NC before the closing meeting.
During the audits, the auditors observe some deviations. They either put
it as nonconformity or as an observation. The non-conformities are
144
145
146
Appendix
Effective implementation of quality management
systems
Appendix 1
Departmental objectives and expectations
1. Training
Objectives
1. To provide required training to the employees to meet the product
requirements and to achieve company objectives while adhering to
legal and regulatory requirements.
2. To enhance the skill of employees to help them improve productivity
and quality while reducing the wastes.
3. To build confidence in the employees regarding their ability to
perform and to achieve.
4. To build the feeling of oneness among the employees.
Performance indicators
1.
2.
3.
4.
146
Appendix
147
Records
1.
2.
3.
4.
5.
Reference documents
1.
2.
3.
4.
5.
6.
Operating instructions
Standard work practices
Work norms
Product safety requirements
Company standing orders
Job descriptions
148
Appendix
149
Procedures
1. Planning the human resource requirement.
2. Calling the applications, conducting interviews, selecting the
candidates by referring to minimum competency requirements.
3. Providing induction to new recruits and explaining Standing orders
of the company and the legal requirements.
4. Maintaining attendance and providing data to accounts section for
salary and bonus payments.
5. Preparation and maintenance of personal records.
6. Preparation of statutory returns and submitting.
7. Monitoring the compliance to statutory, legal and regulatory
requirements.
8. Taking disciplinary actions for wilful violations of laid out laws and
systems.
9. Taking actions on absenteeism.
10. Taking action on negligence.
11. Monitoring overtime.
12. Counselling and handling grievances.
13. Encouraging employee involvement in activities of the company.
14. Receiving suggestions, processing them and taking necessary actions.
15. Transferring of employees.
16. Promoting employees.
17. Fixing salary for each job category.
18. Evaluating the job contents and fixing work loads.
19. Negotiating with trade unions and community leaders.
20. Planning welfare activities and implementing them.
Records
1. Personal files of each employee including those of retired, left and
dead.
2. Applications received for jobs.
3. Selection formalities like written tests, interviews and offers.
4. Attendance records.
5. Leave records.
6. Provident fund records.
7. ESI records.
8. Records of welfare activities.
9. Suggestions received and actions taken.
10. Records of grievances received and handled.
11. Minutes of meetings and negotiations.
12. Correspondence with factory inspector and other government offices.
13. Records of legal proceedings.
150
Reference documents
1. Applicable Factory Acts
(a) Minimum wages
(b) ESI
(c) PF
(d) Safety
(e) Working hours
(f) Settlement of disputes etc.
2. Applicable legislations Copy of gazettes
3. Reference of dispute settlements (Court judgments)
4. Standing orders
3. Stores
Objectives
1. To receive the materials and store them in identified location.
2. To get the approval of materials received by the concerned user
department.
3. To issue the approved materials to the users as per requirements.
4. To send the bills of approved materials for passing to accounts section.
5. To ensure safe storage of material .
6. To educate management regarding non-moving items from time-totime .
7. To maintain accounts of materials received, issued and materials in
stock and provide information for taking decisions on purchases.
8. To dispose rejected, damaged and non-moving items.
9. To send materials out on returnable or non-returnable basis depending
on the situation.
Performance indicators
1. Reduction in complaints relating to non-traceability of materials intime.
2. Time taken for preparing the goods receipt notes (GRN) and getting
the materials approved.
3. Zero difference in stock shown and the actual stocks in stores.
4. Reduction in wastes and damages due to handling/storing at stores.
5. Clarity about the shelf-life of materials, storing them accordingly
and issuing by referring to expiry date.
6. Clarity about the materials requirement for different sections of the
organization.
7. No loss of production due to shortage of required materials in stores.
Appendix
151
Records
1.
2.
3.
4.
5.
6.
7.
Reference documents
1.
2.
3.
4.
152
4. Accounts department
Objectives
1.
2.
3.
4.
Performance indicators
1. Speed of giving the accurate information relating to monetary
position.
2. Time taken for preparing the accounts statements like Income and
Expenditure statements, Profit and Loss accounts, Balance sheet, etc.
3. Zero difference in accounts shown and the actual money in hand.
4. Reduction in wastes and losses due to improper accounting and nonfulfilment of statutory and legal requirements.
5. Clarity about the accounts, and appropriate allocations.
6. Clarity about the money requirement for different activities of the
organization.
7. No loss to the company due to mistakes or delays in accounts sections.
8. Following up activities relating to money to be recovered.
Key result areas
1. The complaints and feedbacks received from other departments,
suppliers and customers relating to accounts.
2. Number of days for preparing accounts statements and balance sheet.
3. Number of days taken for passing the bills and making payment.
4. Difference in actual money in hand and book figures.
Procedures
1. Classification of income and expenditure and entering in records.
2. Preparation of accounts statements and submitting to management.
Appendix
153
The money received and spent party wise, section wise, reason wise.
The statutory returns filed.
The tax deducted and paid to government and taxes to be deducted.
Cash flow analysis and cash in-hand.
Audited statement of accounts and balance sheet.
Reference documents
1. Tax regulations latest.
2. Bank and other financial institution regulations.
3. Statutory regulations.
5. Production department
Objectives
1. To produce the required quality materials in time of the required
quantity.
2. To maintain the efficiency and utilization at optimum level to have
the lowest cost and get the required quality.
3. To maintain health and safety conditions for the employees as well
as for the products and equipments.
Performance indicators
1.
2.
3.
4.
5.
6.
154
7.
8.
9.
10.
Procedures
1.
2.
3.
4.
5.
6.
7.
8.
9.
Records
1.
2.
3.
4.
5.
6.
Production records
Rejection records
Analysis of rejections and action taken
Analysis of breakdowns and actions taken
Analysis of accidents and actions taken
Action taken records for other non-conformities
Appendix
155
6. Maintenance department
Objectives
1. To maintain the machines to produce the required quality materials
in time of the required quantity.
2. To maintain breakdown free performance of the machines.
3. To maintain health and safety conditions of the machines and
equipments.
4. To maintain machines at lowest possible cost.
Performance indicators
1.
2.
3.
4.
5.
6.
Procedures
1. Procedures for periodic preventive maintenance.
156
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
12.
Records
1.
2.
3.
4.
5.
6.
Reference documents
1. Machinery catalogues and manuals.
2. Catalogues and manuals of lubricants, bearings, belts, etc., required
in the company.
References
157
References
References
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
12.
13.
14.
15.
16.
17.
18.
Index
158
Customer perception, 73
Customer property, 41, 119
Customer requirements, 12, 72, 73, 77, 106
Customer satisfaction, 43, 120
Data analysis, 127
Departmental objectives, 19
Design control, 37
Design documentation, 37
Design review, 37, 115
Design validation, 116
Design verification, 37, 115
Despatch, 75
Document changes, 105
Document control, 26, 104
Documentation, 26
Documented quality standards, 56
Documents, 26
list of, 27
Effective audit, 83
Effective communication, 36
Employees, 9
Engineers International, 5
Ethical requirements, 9
Final audit, 47
Finance requirements, 78
Free consultant, 136
Full-proof systems, 42
General regulatory requirements, 10
Human resource, 31, 147
Information availability, 106
Information management, 76
Information, 42
Infrastructure, 33
Index
Internal auditors, 62
Internal communication, 23
Internal quality audits, 43, 56, 58
International Organization for Standardization, 5
International Quality Standards, 8
ISO 9000 activities, 50
ISO 9000 quality management systems, 95
ISO 9000 series, 4, 14
ISO 9000, 12, 46
ISO 9000:2005, 16
ISO 9001 guidelines, 96
ISO 9001, 13
Key result areas, 22, 146, 148
Legal and regulatory requirements, 9, 26,
107, 108
Linking exercises, 85, 94
Maintenance activities, 72
Maintenance department, 155
Management representative, 49, 50, 109
Management review, 29, 30, 109
Management system, 4
Management tools, 94
Market complaints, 107
Marketing performance, 74
Material handling, 41
Maximum retail price, 10
Measurement data, 42
Measuring devices, 42
Minimum competency, 31
Mission, 17
Monitoring devices, 42
Non-conformities, 122, 138
Normative references, 15
Obsolete documents, 105
Organization structure, 33, 103
Out sourcing contractor, 120
Out sourcing, 120
Packing quality, 41
Packing, 41
Performance indicators, 146
Periodic audits, 57, 119
Periodic evaluation, 31
Periodic reviews, 121
159
Planned arrangements, 57
Poka-Yoke, 29
Potential problems, 45
Procedure, 20, 28
Process audit, 80
Process design programme chart, 88
Process evolution, 101
Process implementation, 101
Process mapping, 87
Processes, 21
Product audit, 60
Product conformity, 44
Product design, 37
Product preservation, 41
Product realization, 33, 38
Product safety requirements, 10
Production control, 39
Production department, 153
Provision of resources, 30
Purchase order, 117
Purchased product verification, 39
QMS effectiveness, 128
QMS elements, 86
QMS implementation, 95, 98
Quality assurance, 76
Quality audit, 56, 79
Quality control investigator, 79
Quality control, 58, 59
Quality management system, 4, 5, 13, 14,
49, 52
Quality manual, 15, 23, 52, 100
Quality objective, 18, 19, 34, 35, 99
Quality plan, 35
Quality policy, 18, 99
Quality standards, 11
Quality systems, 11
Quality, 6, 7, 11
Questionnaire, 64, 65
Rationalization of employment, 2
Recession, 2, 3, 4
Record control, 105
Record maintenance, 106
Record, 28
Regulatory requirements, 9, 10, 25
Rejected materials, 126
Relations diagram, 86
Renewal audit, 47
Reviews, delegation of, 30
160
Routine problems, 45
Safety requirements, 108
Security, 79
Societal safety factors, 11
Special process, 40
Specific bins, 126
Standard formats, 28
Statement, 17
Statistical control process, 59
Stoppages, 94
Storage space, 38
Store, 150
Surveillance audit, 47
Sustained success, 4
System audit, 60
Technical know-how, 41