ISO 9001:2000 and Quality Management Principles

Clause 0.1 – Introduction to ISO 9001:2000 says the eight quality management principles stated in ISO 9000:2000 and ISO 9004:2000 were considered in the development of ISO 9001:2000. According to ISO 9000:2000, these principles can be used by management to lead an organization towards improved performance.

Now the big question: Will the registrar assess the degree to which your organization has applied these principles?

In a fashion, yes – because the quality management principles were used to develop the requirements of ISO 9001:2000. If your system is in conformity with the standard, there will be evidence you have adopted the principles (although the principles are not stated as requirements).

1. Customer Focus

Organizations depend on their customers and therefore should understand current and future customer needs, should meet customer. requirements, and strive to exceed customer expectations.

This principle is addressed by:

5.1.a – Management Responsibility – Management Commitment 
(communicate importance of meeting customer requirements)

5.2 – Management Responsibility – Customer Focus 
(ensure customer requirements are determined and met)

5.5.1 – Management Responsibility – Management Representative 
(ensure promotion of awareness of customer requirements)

5.6.2 – Management Responsibility – Management Review – Review Input 
(include information on customer feedback)

6.1.b – Resource Management – Provision of  Resource 
(provide resources to enhance customer satisfaction)

7.2 – Product Realization – Customer-Related Processes 
(determine and review the customer requirements)
 
(implement effective communication with customers)

7.5.4 – Product Realization – Production and Service Provision – Customer Property 
(exercise care with customer property)

8.2.1 – Measurement, Analysis, and Improvement – Customer Satisfaction 
(monitor customer perception as to how well you are meeting requirements)

8.4.a – Measurement, Analysis, and Improvement  – Analysis of Data 
(analyze data to provide information on customer satisfaction)

8.5.2.a – Measurement, Analysis, and Improvement – Corrective Action 
(define the requirements for reviewing customer complaints)

2. Leadership

Leaders establish unity of purpose and direction of the organization. They should create and maintain the internal environment in which people can become fully involved in achieving the organization’s objectives.

This principle is addressed by:

5.1 – Management Responsibility – Management Commitment 
(provide evidence of commitment to the effectiveness of the system)

5.3 – Management Responsibility – Quality Policy 
(establish and communicate the quality policy to the organization)

5.4.1 – Management Responsibility – Planning – Quality Objectives 
(establish measurable quality objectives within the organization)

5.5.2. – Management Responsibility – Responsibility, Authority, and Communication – Management Representative 
(appoint member of management to be responsible for system)

5.5.3 – Management Responsibility – Responsibility, Authority, and Communication – Internal Communication 
(ensure communication within the organization on system effectiveness)

3. Involvement of People

People at all levels are the essence of an organization and their full involvement enables their abilities to be used for the organization’s benefit.

This principle is addressed by:

5.1.a – Management Responsibility – Management Commitment 
(communicate importance of meeting customer requirements)

5.5.1 – Responsibility, Authority, and Communication – Responsibility and Authority 
(define and communicate responsibilities and authority within the organization)

6.2.2.b – Resource Management – Competence, Awareness, and Training 
(train personnel in order to meet the competency needs of the organization)

6.2.2.d – Resource Management – Competence, Awareness, and Training 
(ensure personnel are aware of relevance and importance of their activities)
 
(ensure they are aware of how they contribute to achievement of objectives)

4. Process Approach

A desired result is achieved more efficiently when activities and related resources are managed as a process.

This principle is addressed by:

4.1.a – Quality Management System – General Requirements 
(identify the processes needed for the quality management system)

7.1 – Product Realization – Planning of Product Realization 
(plan and develop the processes needed for product realization)

7.3 – Product Realization – Design and Development – Design and Development Planning 
(determine the design and development stages)

7.5 – Product Realization – Production and Service Provision 
(validate any special processes needed for production and service provision)

8.1 – Measurement, Analysis, and Improvement – General 
(plan and implement the measurement, analysis, and improvement processes)

5. System Approach to Management

Identifying, understanding, and managing interrelated processes as a system contributes to the organization’s effectiveness and efficiency in achieving its objectives.

This principle is addressed by:

4.1.a – Quality Management System – General Requirements 
(identify the application of the processes throughout the organization)

4.1.b – Quality Management System – General Requirements 
(determine the sequence and interaction of the processes)

4.1.c – Quality Management System – General Requirements 
(determine the criteria and methods for effective process operation)

4.1.d – Quality Management System – General Requirements 
(provide resources and information to support the processes)

4.1.e – Quality Management System – General Requirements 
(monitor, measure, and analyze the processes)

4.1.f – Quality Management System – General Requirements 
(implement actions to achieve the planned results for the processes)

4 – Quality Management System – General Requirements 
(manage processes in accordance with ISO 9001:2000 requirements)

4.2.2.c – Quality Management System – Documentation Requirements – Quality Manual 
(describe the interaction between the processes of the system)

6. Continual Improvement

Continual improvement of the organization’s overall performance should be a permanent objective of the organization.

This principle is addressed by:

4.1.f – Quality Management System – General Requirements 
(implement actions for continual improvement)

5.3.b – Management Responsibility – Quality Policy 
(include a commitment to continually improve the system)

8.1.c – Measurement, Analysis, and Improvement – General 
(evaluate where continual improvement can be made)

8.5.1 Improvement – Continual Improvement 
(continually improve the effectiveness of the system)

7. Factual Approach to Management

Effective decisions are based on the analysis of data and information.

This principle is addressed by:

5.6.2 – Management Responsibility – Management Review – Review Input 
(reviews of quality management system must cover specific information)

5.6.3 – Management Responsibility – Management Review – Output 
(recording of management reviews must include decisions and actions)

8.4 – Measurement, Analysis, and Improvement – Analysis of Data 
(determine, collect, and analyze data about the system

8.5.1 – Measurement, Analysis, and Improvement – Continual Improvement 
(continually improve the system through the analysis of data)

8. Mutually Beneficial Supplier Relationships

An organization and its suppliers are interdependent and a mutually beneficial relationship enhances the ability of both to create value.

This principle is addressed by:

7.4.1 – Product Realization – Purchasing – Purchasing Process 
(ensure the purchased product conforms to the specified requirements)
 
(evaluate and select suppliers based on their ability to meet requirements)

7.4.2 – Product Realization – Purchasing – Purchasing Information 
(ensure adequacy of requirements before communicating them to suppliers)

8.4.d – Measurement, Analysis, and Improvement – Analysis of Data 
(analyze data to provide information about suppliers)

In summary, the requirements of ISO 9001:2000 are based on the eight quality management principles. The clauses listed are examples.. I’m sure you can find others that demonstrate the application of these principles in your system.