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June, 2005

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June Articles
Atlanta Classes

BOOKS: See recommended ISO 9001, Auditing, and Six Sigma books at:
http://www.whittingtonassociates.com/v2/books.shtml

Click on a title to jump to the article:

1. What Has Changed in ISO 14001:2004

2. See the References at our Web Links

3. Quick Reference for AS9100B:2004

4. Fact Sheet for Continual Improvement

5. Check Your E-Mail Before You Click Send

6. Transition to New RABQSA Auditor Grades

7. Classes: June, 2005 - August, 2005

Call us at 1-800-404-7585 for these 1-day onsite classes:

  • AS9100B: Requirements Beyond ISO 9001:2000
  • ISO 9001:2000 Auditor Update - The Process Approach
  • Understanding ISO/TS 16949:2002 Requirements

To see previous articles, go to Newsletter Archives.

To avoid this newsletter being rejected, or placed in a junk folder, please add <Larry@WhittingtonAssociates.com> to your address book or accepted list.

Students attending a class in Atlanta receive a 20% discount on future Atlanta classes.

ISO 9001:2000 Lead Auditor
June 20-24, 2005
August 15-19, 2005

ISO 14001:2004 Lead Auditor
July 11-15, 2005

ISO 9001:2000 Internal Auditor
July 12-14, 2005

ISO 14001:2004 Internal Auditor
June 28-29, 2005

ISO/TS 16949:2002 Internal Auditor
July 19-21, 2005

Understanding ISO 9001:2000 Requirements
August 22, 2005

Quality System Documentation
August 23-24, 2005

Implementing ISO 9001:2000
August 25-26, 2005

Green Belt Certification
June 27-29, 2005
July 18-20, 2005

Black Belt Certification 
Group 17 (3 weeks): August 15-19
+ September 19-23 + October 17-21

See Training Classes in Other Cities


1. What Has Changed in ISO 14001:2004

In a January-February 2005 article in ISO Management Systems, Oswald Dodds (who chairs ISO/TC 207) summarized the main changes in ISO 14001:2004 compared to the 1996 version as:

  • An explanation of "Plan, Do, Check, Act" has been added to figure 1 (the EMS improvement spiral) closely modeled on that contained in ISO 9001:2000
  • Six new definitions have been added and several have been changed (to enhance compatibility and improve clarity)
  • There is now an explicit requirement to define the scope of the EMS and to then include all activities, products, and services that are within the scope
  • The requirements for Legal and Other Requirements have been clarified
  • It is now clearer that significant Environmental Aspects are to be taken into account in developing, implementing, and maintaining the EMS
  • The reason for identifying and having access to legal and other requirements is now clearly stated (to determine how they apply to the environmental aspects)
  • The sub-clause on Programs has been absorbed into that dealing with Objectives and Targets and the text modified to its intent and purpose
  • The old structure and responsibility requirements have been changed to improve compatibility with ISO 9001:2000
  • The old Training, Awareness, and Competence clause has been reworked to improve understanding of its intent
  • The Communications clause has been revised
  • Documentation and Control of Documents requirements have been simplified
  • The standard now only requires one documented procedure (in the sub-clause dealing with operational control)
  • Evaluation of Compliance has been split into two elements and the text has been amended to improve the clarity of its intent and purpose
  • The Nonconformity, Corrective Action, and Preventive Action sub-clause has been revised
  • The Internal Audit (was EMS audit) clause has been revised with new text added on objectivity and impartiality
  • The Management Review clause has been extensively changed to clarify its intent and to improve compatibility
  • Annex A (the guidance annex) has been extensively revised
  • Annex B has been updated to reflect the new version of ISO 14001 and ISO 9001:2000
To learn more about the ISO Management System magazine, go to (http://www.iso.org/iso/en/iso9000-14000/ims.html).
 
2. See the References at our Web Links

We have 120 web sites listed on our LINKS page. Most of the links are to non-profit associations, institutes, and societies. If your favorite web site isn't listed, please let us know. Try out a few of the links and find valuable resources for future reference.
 
3. Quick Reference for AS9100B:2004

A clause-by-clause summary of the AS9100B:2004 requirements has been added to our web site. This Quick Reference identifies the additional AS9100B:2004 clauses beyond those in ISO 9001:2000 by displaying them in Italics. ISO 9001:2000 clauses with additional AS9100B:2004 requirements or notes have an "*" in the AS column. Clauses with AS9006 clarifications or requirements for deliverable software are identified with a "S". See the example for clause 4 below:

AS9100 Revision B Clauses
AS
Summary of Requirements

4. Quality Management System

 

 

4.1 General Requirements

 

Implement quality system and continually improve it

4.2 Documentation Requirements

*

 

4.2.1 General

*

Include the required documents and records

4.2.2 Quality Manual

*S

Establish and maintain a quality manual

4.2.3 Control of Documents

S

Ensure documents are at right revision in right places

4.2.4 Control of Records

*S

Identify records and keep as evidence of conformity

4.3 Configuration Management

*S

Use product configuration management process

Go to the quick reference at our web site to see all the clauses and requirement summaries. Refer to the AS9100B:2004 standard for the specific requirements.

4. Fact Sheet for Continual Improvement

What is continual improvement?
Continual improvement is a type of change that is focused on increasing the effectiveness and/or efficiency of an organization to fulfill its policy and objectives. It is not limited to quality initiatives. Improvement in business strategy; business results; and customer, employee and supplier relationships can be subject to continual improvement. Put simply, it means 'getting better all the time'.

What should be improved?
Continual improvement should focus on enablers such as leadership, communication, resources, organization structure, people, and processes - in other words, everything in the organization, in all functions at all levels.

Continual improvement should also lead to better results, such as, price, cost, productivity, time to market, delivery, responsiveness, profit, and customer and employee satisfaction. There has been a tendency in total quality management programs to focus on departmental improvements which do not improve business results overall. Departmental improvements may merely move the constraints or problem somewhere else in the process chain.

What continual improvement is not
Improvement is not about using a set of tools and techniques. Improvement is not going through the motions of organizing improvement teams and training people. Improvement is a result, so it can only be claimed after there has been a beneficial change in an organization's performance.

Gradual, incremental or breakthrough
There are three types of improvement. Continuous improvement is gradual never-ending change, whereas continual improvement is incremental change. Both types of improvements are what the Japanese call Kaizen. Breakthroughs are improvements, but in one giant leap - a step change. However, the method of achievement is the same, but breakthroughs tend to arise out of chance discoveries and could take years before being made.

Relationship with TQM and ISO 9000
Continual improvement is one aspect of a Total Quality Management philosophy. It is also an element of an ISO 9001:2000-based quality system since the standard includes requirements for continual improvement (see clause 8.5.1).

Why is continual improvement important to an organization?
All managerial activity is either directed at control or improvement. Managers are either devoting their efforts at maintaining performance, preventing change, or creating change, breakthrough, or improvement. If businesses stand still, they will lose their competitive edge, so improvements must be made to keep pace and stay in business.

When should continual improvement be started?
Every system, program, or project should provide for an improvement cycle. Therefore, when an objective has been achieved, work should commence on identifying better ways of doing it.

How should continual improvement be undertaken?
There is no improvement without measurement. An organization must establish current performance before embarking on any improvement. If it does not, it will have no baseline from which to determine if its efforts have yielded any improvement.

A ten step sequence
There are ten steps to undertaking continual improvement:

  1. Determine current performance.
  2. Establish a need to improve.
  3. Obtain commitment and define the improvement objective.
  4. Organize the diagnostic resources.
  5. Carry out research and analysis to discover the cause of current performance.
  6. Define and test solutions that will accomplish the improvement objective.
  7. Produce improvement plans which specify how and by whom the changes will be implemented.
  8. Identify and overcome any resistance to the change.
  9. Implement the change.
  10. Put in place controls to hold new levels of performance, and repeat step one.
Where do the ideas come from?
If the organization has identified its critical success factors (that handful of things at which it must be supremely good in order to succeed), then focusing the attention of the continual improvement process onto one or more of these for a defined period might give rise to major improvements.

Whose responsibility is it?
No one in the organization, from top to bottom, is exempt from the responsibility for improvement. It is a normal component of all employees' jobs to search out ways of improving performance. Furthermore, no one is expected to do this without help and support from others.

How does a company organize for improvement?
Most continual improvement programs are executed by teams that either diagnose problems, search for solutions, or implement changes. These teams may be within departments or cross-functional. However, there needs to be a steering group of managers which direct the teams towards their goal, and above all, provides the environment for success.

What tools should be used?
The portfolio of tools used for continual improvement should be those which enable an organization to execute the ten steps above. These include:
  • Ishikawa fishbone diagram to examine cause and effect
  • Failure mode and effects analysis to predict failure and prevent its occurrence
  • Pareto analysis to identify the few influences on a situation which have the biggest impact
  • Force field diagram to display the forces for and against change
  • Charting techniques to demonstrate whether improvement is being achieved
Changing the culture
Continual improvement is far more than a set of techniques. For many organizations, it involves a radical change in attitudes. The defense of the status quo, and resistance to innovation, cannot be treated as normal management behavior. A fear of reprisals for reporting problems has to be replaced by congratulating people for identifying an opportunity to improve. Hoarding of good ideas within departmental walls must be a thing of the past as people share their knowledge and experience in the search for greater collective success.

The importance of commitment
Continual improvement is about the entire organization and everything it does. It has to be a prime concern of executive management and its success depends upon commitment from the top. The commitment must also be highly visible. It is not enough to have a quality policy signed by the chief executive. If executive management does not demonstrate its commitment by doing what it says it will do, they cannot expect others to be committed to the policy.

Reward success
The encouragement of people who have initiated improvements, however small, is an important component. This can be done in many ways, from displays on special improvement notice boards to the awarding of prizes. This is an area in which the culture and style of the organization has to be considered. The sudden introduction of a show business style into a staid environment may lead to cynicism rather than effective promotion of improvement. Rewards may, but need not, have a financial component.

Dealing with failure
It is very common to find that about 12 to 18 months into a continual improvement program it is felt that it is not delivering what was expected. This is just the time to redouble efforts. It is a long-term haul to change behavior, therefore persistence and extra imaginative effort is the key.

This information was based on a fact sheet at the web site for the Institute of Quality Assurance. To see additional resources, go to the IQA Quality Information Center.


5. Check Your E-Mail Before You Click Send

Deborah Dumaine, author of Write to the Top, states that poorly conceived and written e-mail can do a grave disservice to our careers. She says, "Too many managers just don't believe that taking the time to write a professional-sounding e-mail makes a difference." She adds, "Many executives judge managers poorly who haven't mastered the skill." Dumaine discovered that top management will often doubt a manager's skills when they receive careless, error-filled e-mail communication.

Among the questions she suggests you ask about your e-mail, are:

1. How many messages are in your one note? A multi-topic message is hard to read and harder to remember. Readers may only focus on the first one or two issues.

2. Is the main point of your message clear? If readers were to forget everything else, would they still remember the point of the message?

3. Is it clear who are the readers? Keep in mind the readers aren't only those to whom the message is sent; other people are likely to see it.

4. Have you considered the attitude of the reader? Will the reader be positive, indifferent, or resistant? Begin your message in an upbeat manner.

5. Is it clear what you want the reader to do? Messages often fail to indicate the next steps. Clearly spell out the necessary actions.

6. Is your subject line written to get the reader's attention? The information in the message will dictate the subject, but be as specific as possible.

7. Is the opening statement designed to interest the reader? As with any document, your opening statement should give an overview of the rest of the message.

8. Are the sentences and paragraphs readable? Sentences should be limited to 20 words each; paragraphs should contain no more than 6 lines.

How do your e-mail notes fare against these questions?

6. Transition to New RABQSA Auditor Grades

The new RABQSA organization (replaced the RAB on January 1, 2005) offers two types of certification schemes for quality management system auditors:

1. Accredited: competency-based referencing ISO 17024:2003, and
2. Non-Accredited: based on the prior RAB scheme (phasing out YE2006).

Certification Grades
The old RAB scheme had three QMS auditor certification grades: Provisional Auditor, Auditor, and Lead Auditor. The new RABQSA accredited scheme has five grades:

  • Provisional QMS Auditor
  • QMS Auditor
  • Principal QMS Auditor
  • Lead QMS Auditor
  • Business Improvement QMS Auditor
The Provisional QMS Auditor grade recognizes that an applicant has demonstrated the knowledge competencies required for QMS Auditors. The QMS Auditor grade recognizes that an applicant has demonstrated the competencies to conduct a QMS audit as part of an audit team.
 
The new Principal QMS Auditor grade recognizes that an applicant has demonstrated the competencies to conduct a QMS audit either solo, or as a member of a team. In the old RAB scheme, a QMS Auditor could perform both these duties. Now, the QMS Auditor can only audit as part of a team.
The Lead QMS Auditor grade recognizes that an applicant has demonstrated the competencies required to conduct a QMS audit and lead an audit team. The new Business Improvement QMS Auditor grade recognizes that an applicant has demonstrated the competencies of a Lead QMS Auditor, plus can advise an organization using business improvement tools.

Applicants must demonstrate RABQSA-defined competencies covering: 
  • Knowledge
  • Skills
  • Qualifications
  • Personal attributes
Knowledge Competencies
Knowledge competencies are demonstrated through the successful completion of an examination by a RABQSA Approved Training Provider. Applicants must submit a certificate from a RABQSA Approved Training Provider that the required competencies have been demonstrated. RABQSA maintains a Register of RABQSA Accredited Training Providers at (http://www.rabqsa.com).
 
Skill Examination
The new RABQSA accredited scheme requires all QMS auditor grades (except Provisional) to undertake a Skill Examination. In other words, RABQSA will assign a Skill Examiner to witness one of the applicant's audits and return the Skill Examination results.

This Skill Examination will be conducted for the initial Certification and every four years for the Re-Certification. In addition, every two years from the initial Certification and the Re-Certification, a free RABQSA e-based examination on current knowledge competencies must be successfully completed.      

Attribute Examination
PAAS Master is a simple e-based online examination consisting of 85 psychometric questions, which examine 12 personal attributes. These attributes identify the more effective and efficient auditors. A software matrix-analysis of each answer determines whether the applicant has the potential to demonstrate the required attributes.

It is not a 'go/no-go' evaluation. Simply, it will indicate to RABQSA where an applicant may experience difficulty in terms of demonstrating specific attributes and will be considered in relation to the other competencies of skill, knowledge, and qualification.

Where the RABQSA may have a concern, the applicant will be required to attend an interview with a RABQSA scheme examiner. The examiner will validate the results and recommend the appropriate professional development. In the most extreme case, RABQSA may decline certification.

The PAAS Master online examination is taken as part of the Application (except for Provisional QMS Auditors) and again every four years for the Re-Certification.

Education Level
The old RAB scheme required a minimum of a secondary education. The new RABQSA accredited scheme requires a "tertiary" education level, defined as post-secondary education, e.g., trade school, associate, bachelor, and/or higher college degree. However, applicants may be considered for certification if they can demonstrate that through their work experience, and/or other means, they have achieved an educational standard that enables the effective conduct and management of QMS audits.
 
Work Experience
The old RAB scheme required a minimum of 8 years of work experience with a secondary education, 6 years of work experience with an associate's degree, and 4 years of work experience with a bachelor's degree or higher. The new RABQSA accredited scheme requires only 2 years of work experience in a technical or managerial position with direct quality management responsibilities.
 
Certification Fees
The old RAB scheme required a certification and annual fee for Provisional QMS Auditor = $160, QMS Auditor = $210, and QMS Lead Auditor = $220. The new RABQSA accredited scheme has similar certification and annual fees for the new grades: Provisional QMS Auditor = $160, QMS Auditor = $220, Lead QMS Auditor = $240, Principal QMS Auditor = $240, and Business Improvement QMS Auditor = $240.

However, the new RABQSA accredited scheme has an increased application fee of $525 (Administration Fee = $100, Skill Examination Fee = $400, and PAAS Master = $25). After the application has been approved, the certification fee is paid (the annual amount shown in the prior paragraph).

The applicable Annual Fee is payable each year on the anniversary of the certification. And, a Re-certification Fee is payable every 4th anniversary of the initial certification and re-certification. This Re-certification Fee is $425 (Skill Examination = $400 and PAAS Master = $25), plus the applicable Annual Fee (Provisional QMS Auditor = $160; QMS Auditor = $220; and Lead QMS Auditor, Principal QMS Auditor, and Business Improvement QMS Auditor = $240).

Note: The Skill Examiner expense, e.g., travel, accommodations, and incidentals, is NOT included in the $400 Skill Examination Fee. The applicant (for certification) or auditor (for re-certification) will be invoiced for these expenses, which may add hundreds of dollars, depending on the travel location of the Skill Examiner.

Audit Logs and CPD Points
The audit logs that were maintained for RAB certification and recertification will not be required by the RABQSA accredited scheme. Likewise, evidence of continuing professional development will no longer be needed for the RABQSA accredited scheme.

Transition
Auditors currently certified by RABQSA seeking to transition to an accredited scheme can do so by completing the Application Form (Accredited Scheme) available on the RABQSA web site. Certified auditors will not be required to re-submit their qualifications (work experience, tertiary education or training) and will be awarded their currently certified scopes in the accredited scheme if deemed competent in the knowledge, skill and personal attribute requirements. If expanding certification scopes upon transition, you will be required to complete the Expansion Application Form and provide the necessary qualifications for the additional scopes.
 
Applications for the unaccredited scheme will be accepted until December 31, 2006. To apply for certification or recertification after this date, you will be required to transition to an accredited scheme. RABQSA is recommending that certified persons transition to the accredited scheme at their next annual fee payment date.
 
RABQSA Web Site
For more information on QMS auditor certification, go to this RABQSA page: <http://www.rabqsa.com/per_quality.shtml>.

7. Class Schedule: June, 2005 - August, 2005
To enroll in these public classes, you can click on the course title, go to Class Schedule at our web site, or call us at 800-404-7585.

Classes taught by Larry Whittington are shown in yellow.

ISO 9001:2000 Lead Auditor (RABQSA Certified) - BSI Management Systems
Initial course version developed by Larry Whittington 
June July August
06-10  Las Vegas, NV 11-15  San Jose, CA 01-05  Anaheim, CA
13-17  Reston, VA 18-22  Reston, VA 08-12  New York, NY
20-24  Atlanta, GA 25-29  St. Louis, MO 15-19  Atlanta, GA
20-24  Chicago, IL   - - 15-19  Dallas, TX
  - -   - - 22-26  Reston, VA
  - -   - - 29-02  Las Vegas, NV

ISO 9001:2000 Internal Auditor (RABQSA Certified) - BSI Management Systems
Initial course version developed by an Associate at Whittington & Associates

June July August
01-03  San Diego, CA 06-08  Chicago, IL 09-11  Reston, VA
  - - 12-14  Atlanta, GA 30-01  San Jose, CA

Implementing ISO 9001:2000

Course developed by Larry Whittington
July August
07-08  Anaheim, CA 25-26  Atlanta, GA

Understanding ISO 9001:2000
July August
06  Anaheim, CA 01  Detroit, MI


Understanding ISO 9001:2000 Requirements (Atlanta Only - $295)
Course developed by Larry Whittington
August November
22  Atlanta, GA 14  Atlanta, GA

Quality System Documentation (ISO 9001:2000)
Course developed by Larry Whittington

August September
23-24  Atlanta, GA 22-23  Reston, VA

The above public courses can be offered on-site at your facility. In addition, we offer these on-site courses:

  • ISO 9001:2000 Auditor Update - The Process Approach (1 Day) - Course developed by Larry Whittington
  • Understanding ISO/TS 16949:2002 Requirements (1 Day) - Course developed by Larry Whittington
  • Internal Quality Auditing (2 Days) - Course developed by Larry Whittington (based on ISO 19011)
  • AS9100B: Requirements Beyond ISO 9001:2000  (1 Day) - Course developed by Larry Whittington
To arrange an economical on-site class, please call us at 800-404-7585.  


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