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January Articles	Training Spotlight
1. ISO 10018 on Complaints Handling 2. Toughest ISO 9001:2000 Requirements (5.1) 3. Toughest ISO 9001:2000 Requirements (5.4.1) 4. AS9120 - Aerospace Requirements for Distributors  5. List of Quality Standards 6. ISO/TR 16982:2002 - Usability Methods 7. Class Schedule: January, 2003 - March, 2003 8. Schedule of Quality Events To see previous articles, go to Newsletter Archives.	Atlanta, Georgia ISO 9001:2000 Lead Auditor February 24-28, 2003 ISO 9001:2000 Internal Auditor January 29-31, 2003 March 24-26, 2003 Implementing ISO 9001:2000 January 27-28, 2003 ISO 9001:2000 - Understanding March 19, 2003 Quality System Documentation March 20-21, 2003 Training Classes in Other Cities

1. ISO 10018 on Complaints Handling

A planned ISO standard on complaints handling is expected to help safeguard consumers. The committee draft, ISO/CD 10018, Complaints Handling, sets out an effective complaints handling process that would provide a fair result in the marketplace, as well as, give industry the capacity to recognize and address systematic consumer problems. The standard provides the essential elements for handling complaints: from initial receipt to the final assessment of complainant satisfaction, including those related to electronic commerce.

According to Bill Dee, convenor of the working group, complaints handling is a critical business issue and one that can benefit both consumers and business. "It is now an accepted fact that companies operating in a competitive environment can maintain customer loyalty by handling customer complaints effectively. Customer complaints can also form the basis for product and service improvement. In short, complaints are feedback to a company on how its goods and services are performing where it counts most, i.e., the marketplace."

"Complaints handling" refers to an avenue of appeal for business-to-consumer transactions to provide optimal levels of consumer protection in the global marketplace. This process is intended to supplement or complement dispute resolution mechanisms already in place and, where none exist, to provide a process for customers to obtain redress when internal complaints handling does not provide resolution.

The development of ISO 10018 is designed to encourage harmonization of the divergent complaints handling processes practiced in different countries and by different businesses. A common and internationally accepted International Standard will provide a uniform set of guidelines to ensure consist treatment of complaints, irrespective of where the transaction takes place.

"If consumers deal with organizations who have implemented the new standard, they should be able to expect an organization that will take their complaints seriously, but not only that, they will be dealing with organizations that are willing to learn from their complaints to continuously improve their products and service delivery," said Bill Dee.  "We have all been victims of organizations that have no sense of customer service or continuous improvement in the way they deal with customers, and the new standard will provide guidance on how this situation can be improved."

The draft ISO 10018 addresses the following aspects of complaints handling:

• Helping to enhance customer satisfaction by creating a customer-focused environment which invites complaints, and commits to resolving complaints, while simultaneously enhancing the organization's ability to improve its product or services and customer service;
• Management involvement and commitment through adequate acquisition and deployment of resources, including personnel training;
• Recognizing and addressing needs and expectations of complainants;
• Providing complainants with an open, effective, and easy-to-use complaints process, which is fair to all parties;
• Analyzing and evaluating complaints in order to improve the product or service and customer service quality;
• Auditing and reviewing the effectiveness of the complaints handling process.

In the last newsletter, I identified twelve ISO 9001:2000 clauses as the toughest requirements to understand and meet with conforming practices. That article explained the first clause, 4.1 General Requirements. This article will focus on clause 5.1, Management Commitment. The next article in this newsletter deals with clause 5.4.1, Quality Objectives. 

   4.1  General Requirements (and 0.2 Process Approach)
   5.1  Management Commitment
5.4.1  Quality Objectives
5.4.2  Quality Management System Planning (vs. 7.1)
6.2.2  Competence, Awareness, and Training
   6.3  Infrastructure
7.3.1  Design and Development Planning
7.5.2  Validation of Processes for Production and Service Provision
8.2.1  Customer Satisfaction
   8.4  Analysis of Data
8.5.1  Continual Improvement
8.5.3  Preventive Action

5.1  Management Commitment

The requirement begins: "Top management shall provide evidence of its commitment to the development and implementation of the quality management system and continually improving its effectiveness ..."

Top management is defined in ISO 9000:2000 as "the person or group of people who directs and controls an organization at the highest level". So, the highest level managers in your organization must make a visible pledge to develop and implement a continually improving system. Top managers of a small business may be the owners or partners. In a larger company, the top managers at a registered site may be the general manager or plant manager, along with their direct reports.

As evidence, top managers must ensure their commitment is well known throughout the organization. In addition, there must be records to show how they are keeping their promise. Prepare your top managers by asking this question during internal audits: "How are you demonstrating your commitment?" Fortunately, clause 5.1 lists the following actions that should become part of their answer:

a) communicating to the organization the importance of meeting customer, as well as, statutory and regulatory requirements,

This message on the importance of meeting requirements can be communicated through activities such as: new employee orientation, department meetings, bulletin board postings, company newsletters, email notes, and performance reviews. See related clauses 5.2 and 5.5.2.c

b) establishing the quality policy,

Clause 5.3 defines the need for a quality policy that conveys management's commitment to meeting requirements and continually improving the system effectiveness. Declaring the policy and ensuring its understanding is the required evidence.

c) ensuring that quality objectives are established,

Clause 5.4.1 requires quality objectives be established. It also requires the objectives to be measurable targets at the relevant functions and levels. They should be identified in the quality manual (without specific targets) and reviewed on a regular basis by management (with evidence in the form of meeting minutes). 

d) conducting management reviews, and

Clause 5.6 expresses the requirement for management reviews. Records of these reviews must show active top management participation, as well as, coverage of the required topics. The evidence must indicate that management is analyzing results, making  decisions, and taking the appropriate actions.     

e) ensuring the availability of resources.

3. Toughest ISO 9001:2000 Requirements (5.4.1)

ISO 9001:2000 states that “Top management shall ensure that quality objectives, including those needed to meet requirements for product, are established at relevant functions and levels within the organization.”

So, process and product objectives must be set at the relevant functions and levels within an organization. An example would be a manufacturing scrap target that is applicable to only a few departments. In addition, each department may have a different objective, depending on their current scrap levels.      

However, be careful how you set these objectives and communicate them. You might find people actually manipulating processes to achieve the desired results, especially if the numbers are used to evaluate employee performance.

When handled poorly, performance targets can result in internal competition and a lack of cooperation. In fact, a specific quality objective may be optimized at the expense of overall system performance.

If a target is perceived as arbitrary, and set beyond the capability of the process, it may lead to employee frustration, reduced morale, and even lower performance. Individuals must feel they have some control over the outcome for an objective to actually promote improvement. The objectives should help control the processes, not the people.

Quality objectives should be based on comprehensive strategic planning and be consistent with the quality policy. Management should define measurements to help identify process improvements, not as evidence for employee appraisal sessions.

Clause 6.2.2 (d) requires organizations to tell employees about the relevance of their activities and how they contribute to achieving the quality objectives. To support these objectives, management must provide the necessary training, resources, and internal communications to enable their competent, informed workforce to be successful.

Clause 5.4.1 continues with “The quality objectives shall be measurable and consistent with the quality policy.”

When you drive down the road, you can glance at the indicators on the dashboard to see how your car is performing. In a similar fashion, your organization needs to identify the key quality measures for evaluating the performance of your quality management system. 

Use the quality policy as the framework for establishing your process and product goals. However, be careful about the policy content. For example, if the policy statement refers to “reliable” products, then a corresponding reliability objective will be expected. Using the quality policy, set specific, measurable targets on the path to attaining your goals. 

The product objectives will be largely determined by your product specifications. Focus your attention on the process objectives and the methods you will use to measure process performance. Also, identify the timeframes and responsibilities for achieving them.   

Keep your objectives realistic and related to achievable outcomes. For example, meeting requirements, keeping to schedules, pleasing customers, and identifying improvements (with measurable targets for each one). 

Provide the necessary resources to collect the product and process data. Analyze the data (as called for by clause 8.4) and use the facts for more effective decision making. If your desired results are not being achieved, identify the actions necessary to make it happen. 

The standard requires an “effective” system, in other words, a system that is carrying out activities according to planned arrangements and achieving planned results. An efficient system is certainly desirable, but not required by the standard. Efficiency relates to the resources used to achieve the results. Keep this in mind as you set objectives.
 

4. AS9120 - Aerospace Requirements for Distributors

AS9120, Quality Management Systems - Aerospace Requirements for Stockist Distributors, has been released. The standard is based on ISO 9001:2000 and specifies additional requirements that are applicable to stockist distributors. These additional aerospace requirements are highlighted in the document by bold, italic text. 

AS9120 is available at <http://www.sae.org> for $59 in hardcopy or electronic media. AS9110 for Aerospace Maintenance and Repair Facilities is in progress.

5. List of  Quality Standards

You are probably aware of the basic ISO 9000 family of standards:

ISO 9000: 2000 - Quality Management Systems - Fundamentals and Vocabulary
ISO 9001: 2000 - Quality Management Systems - Requirements
ISO 9004: 2000 - Quality Management Systems - Guidelines for Performance Improvement

ISO 9000-4: 1993 - Quality Management and Quality Assurance Standards - Part 4: Guide to Dependability Program Management
IEC 60300-1: 200x - Dependability Management - Part 1: Dependability Program Management (revision of ISO 9000-4)

ISO 10005: 1995 - Quality Management - Guidelines for Quality Plans
ISO/AWI 10005: 200x - Quality Management - Guidelines for Quality Plans

ISO 10006: 1997 - Quality Management - Guidelines to Quality in Project Management
ISO/DIS 10006: 200x - Quality Management Systems -- Guidelines for Quality Management in Projects

ISO 10007: 1995 - Quality Management - Guidelines for Configuration Management
ISO/DIS 10007: 200x - Quality Management Systems -- Guidelines for Configuration Management

ISO/TR 10013: 2001 - Guidelines for Quality Management System Documentation

ISO/TR 10014: 1998 - Guidelines for Managing the Economics of Quality
ISO/AWI 10014: 200x - Guidelines for Managing the Economics of Quality

ISO 10015: 1999 - Quality Management - Guidelines for Training

ISO/TR 10017: 1999 - Guidance on Statistical Techniques for ISO 9001: 1994
ISO/CD TR 10017: 200x - Guidance on Statistical Techniques for ISO 9001: 2000

ISO/CD 10018: 200x - Complaints Handling

ISO 11462-1: 2001 - Guidelines for Implementation of Statistical Process Control (SPC) - Part 1: Elements of SPC

ISO 15161: 2001 - Guidelines on the Application of ISO 9001:2000 for the Food and Drink Industry

ISO 15489-1: 2001 - Information and Documentation - Records Management - Part 1: General
ISO/TR 15489-2: 2001 - Information and Documentation - Records Management - Part 2: Guidelines

ISO 19011: 2002 - Guidelines for Quality and/or Environmental Management Systems Auditing

ISO/TS 21095: 200x - Guidelines for Qualification of Quality Management System Consultants

IWA 1: 2001 - Quality Management Systems: Guidelines for Process Improvements in Health Care Organizations

6. ISO/TR 16982:2002 - Usability Methods

Want to know how to achieve a happy marriage between people and computers? The methods for evaluating computer-based systems and products for ease of use by people are described in a new ISO technical report: ISO/TR 16982:2002, Ergonomics of Human-System Interaction - Usability Methods Supporting Human-Centered Design. The document is expected to increase user satisfaction and productivity, decrease support and training costs, and improve user health and well-being.

The new technical report provides guidance on the different types of methods which can be used to diagnose problems and facilitate the design of computer-based systems or products. It is intended to help project managers gain a better understanding of the situation and context, in order to guide the design of the system or product to maximize its usability for users.

Ergonomics (human factors) is the scientific discipline concerned with an understanding of the interactions between human and other elements of a system, and the profession that applies theory, principles, data, and methods to design for optimizing human well-being and overall system performance. When ergonomics is ignored in the design of equipment, users can develop injuries and disorders, such as, carpal tunnel syndrome, tendinitis, and lower back pain, which result from repetitive motion, performing work in awkward positions, or constant heavy lifting.

The principles of ergonomics can also be applied to the design of computer-based systems and software to consider user capabilities, skills, limitations, and needs, and at the same time, increase their acceptance, commitment, and compatibility to the end product, thereby decreasing the likelihood of injuries and disorders.

ISO/TR 16982 provides an overview of usability methods which can be applied during the design and evaluation of computer-based systems or products before they are put on the market for consumer use. It applies throughout the life cycle of the system or product, including conception, design, implementation, support, use, and maintenance.

The new ISO technical report is expected to help managers make informed decisions about the selection of the appropriate usability methods, thereby enabling them to implement and plan effective and timely human-centered design activities.

Making interactive systems more human-centered has substantial economic and social benefits. In most countries, employers and system providers have legal obligations to protect users from risks to their health and safety. Making systems more usable is part of that process and helps ensure systems meet user and organizational needs.

"Human-centered design" is an approach to interactive system development that focuses specifically on making systems usable. The involvement of usability methods in the development process provides a valuable source of knowledge about the context of use, tasks, and how users are likely to work with the future product or system.

Usability methods help to ensure that systems can be developed to meet the usability goals of a human-centered design process and, at the same time, provide a means to increase the chances that systems used, or to be used, will achieve these objectives.

The new technical report is aimed at human factor specialists and project managers, as well as, everyone involved in human-centered system development, including end users.

7. Class Schedule for January, 2003 - March, 2003

To enroll in any of these public classes, go to the Class Schedule at our web site, or call us at 800-404-7585. The classes taught by Larry Whittington are shown in gold.

ISO 9001:2000 Lead Auditor (ANSI/RAB-NAP Accredited) - BSI Management Systems

January	February	March
06-10  Orlando, FL	03-07  Reston, VA	03-07  St. Louis, MO
13-17  Dallas, TX	10-14  Dallas, TX	10-14  Charlotte, NC
27-31  San Jose, CA	17-21  Detroit, MI	17-21  Woodcliff Lakes, NJ
- -	24-28  Atlanta, GA	17-21  Los Angeles, CA
- -	24-28  San Diego, CA	24-28  Detroit, MI
- -	- -	31-04  Reston, VA

ISO 9001:2000 Internal Auditor (ANSI/RAB-NAP Accredited) - BSI Management Systems

January	February	March
22-24  San Jose, CA	19-21  Dallas, TX	04-06  Los Angeles, CA
29-31  Atlanta, GA	- -	19-21  Charlotte, NC
- -	- -	24-26  Atlanta, GA

ISO 9001:2000 Auditor Transition (RAB-Approved)

January	February	March
13-14  Orlando, FL	13-14  Detroit, MI	10-11  St. Louis, MO
27-28  Reston, VA	27-28  San Diego, CA	24-25  Reston, VA

Implementing ISO 9001:2000 (for New Systems)

January	February	March
09-10  Dallas, TX	18-19  San Diego, CA	17-18  Charlotte, NC
27-28  Atlanta, GA	- -	- -

Understanding ISO 9001:2000

January	February	March
08  Dallas, TX	- -	17  St. Louis, MO

ISO 9001:2000 - Understanding (Atlanta Course - Only $295)

January	February	March
- -	- -	19  Atlanta, GA

ISO 9001:2000 Conversion (for Existing Systems)

January	February	March
15-17  Orlando, FL	10-12  Detroit, MI	12-14  St. Louis, MO
29-31  Reston, VA	24-26  San Diego, CA	26-28  Reston, VA

Quality System Documentation (Revised for ISO 9001:2000)

January	February	March
- -	20-21  San Diego, CA	20-21  Atlanta, GA

To arrange an economical on-site class, please call us at 800-404-7585.
 

8. Schedule of Quality Events

ASQ's 3rd Six Sigma Conference
January 27-28, 2003 in Palm Springs, CA

ASQ Quality Audit Division Conference
February 6-7, 2003 in Reno, NV

ASQ's Business Excellence and Customer Satisfaction Conference
February 10-11, 2003 in New Orleans, LA

Association for Quality and Participation - 25th Annual Conference
February 24-26, 2003 in New Orleans, LA

11th Annual Conference on Quality in the Space and Defense Industries
March 2-4, 2003 in Cape Canaveral, FL

ASQ Quality Management Division Conference
March 12-14, 2003 in Phoenix, AZ

WESTEC 2003 - Advanced Productivity Exposition
Society of Manufacturing Engineers
March 24-27, 2003 in Los Angeles, CA

25th International Conference on Software Engineering
May 3-10, 2003 in Portland, OR