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1 HB The Service Industry Handbook Guide to ISO 9001:2000

2 The Service Industry Handbook Guide to ISO 9001:2000 The competency approach to implementing management systems Colin Foxwell COPYRIGHT Standards Australia International All rights are reserved. No part of this work may be reproduced or copied in any form or by any means, electronic or mechanical, including photocopying, without the written permission of the publisher. Published by Standards Australia International Ltd GPO Box 5420, Sydney, NSW 2001, Australia ISBN

3 HB Foreword This handbook gives advice on how to develop and document a quality management system for organizations in the service industry. It was commissioned by Standards Australia and written by leading management consultant and committee member Colin Foxwell. Service organizations may find it hard to document all their processes in detail, because they are constantly changing to adapt to each customer s requirements. Resorting to extensive quality plans and procedures to achieve this necessary range and flexibility can result in over-documentation, and a considerable overhead for doing business. This may also apply to organizations manufacturing in small quantities or carrying out project work. A common feature of such organizations is that the services they provide, in one form or another, rely on the competence of the people who deliver that service. Therefore much of this handbook is about people management; what management must do to be sure that employees and contractors know what is required of them, and what must be done to achieve customer satisfaction. The handbook offers an approach which relies on people being trained and competent to operate without the need for detailed documented procedures. It gives advice on how to prepare a quality management system, and what should be included in your documentation. Services and products ISO 9001:2000 is by nature generic. It applies the term product in a universal sense throughout the text, i.e. by definition it also means service. This handbook uses the phrase product and/or service to reinforce the idea that it means goods, services, or both. The term product is used when referring to a physical item. Similarly service is used when referring to the concept of meeting a customer need that has an intangible component. This is a wide definition, but is relevant to the approach that this handbook takes. The competency approach The approach that this handbook describes, and which it refers to as the competency approach, broadly consists of examining your business and the expectations of your customers; identifying the building blocks (people, resources, services) that make up your products and/or services and your business; and

4 3 HB matching the competence of service providers and support systems to the service levels needed to achieve customer satisfaction. This focus on competence and performance should reduce the need for detailed written procedures, work instructions and control points, and is consistent with ISO 9001:2000. Examples of how ISO 9001:2000 may apply to a variety of service organizations illustrate the expected level of detail. This approach is explained further in Appendix A, and contrasted with the alternative which is referred to as the detailed procedure approach. Structure of this Handbook This handbook takes a walk-through your business, before looking into the requirements of ISO 9001:2000 in detail. This approach is intended to focus on the way service industries operate, and help you to identify options for improvement. The main body of this handbook is divided into four parts: PART ONE, Getting started, provides an introduction to quality management systems, and explains how to use this handbook. PART TWO, Customer contact, deals with your customers and your interface with them ( front of house activities) PART THREE, Supporting management structure, studies the organization s management, starting at the top with management s role and what top management has to do in planning activities, providing resources and developing the organization s capability. PART FOUR, Support processes, covers the back of house activities that are necessary to support the front of house ones. In chapter 11 quality control is discussed and we look at data collection and analysis. Appendix A, How to document the competency approach, describes the competency approach which underlies the guidance given in the main body of the Handbook, and offers an alternative to the more traditional way of documenting procedures. Appendix B, ISO 9001:2000, provides an overview of the main changes between the 2000 and 1994 editions of ISO It also provides the full text of ISO 9001:2000, Quality management systems Requirements, (except for Annex A) with cross-references back to the relevant guidance in the main body of this handbook. In making cross-references to other parts of this handbook the words part, chapter or section are used, as appropriate. In referring to ISO 9001 the clause number is given, or the standard used for more general references.

5 HB CONTENTS Page PART ONE: GETTING STARTED INTRODUCTION GETTING STARTED CHARACTERISTICS OF THE SERVICE INDUSTRY WHAT IS COMPETENCE? COMPETENCY BASED APPROACH TO QUALITY MANAGEMENT SYSTEMS IMPLEMENTING A COMPETENCY APPROACH A MODEL TO HELP EXPLAIN THE STANDARD RELATIONSHIP WITH ISO COMPATIBILITY WITH OTHER MANAGEMENT SYSTEMS GENERAL DOCUMENTATION REQUIREMENTS SUMMARY...18 PART TWO: CUSTOMER CONTACT FRONT OF HOUSE CUSTOMER CONTACT ACTIVITIES UNDERSTANDING YOUR CUSTOMERS CUSTOMER REQUIREMENTS FOCUSING ON CUSTOMER SATISFACTION SUMMARY COMMUNICATING WITH YOUR CUSTOMERS THE WAY YOU COMMUNICATE WITH YOUR CUSTOMERS DEALING WITH CUSTOMER COMPLAINTS TYPES OF SERVICE DELIVERY SUMMARY FULFILMENT OF ORDERS HOW DO YOU CAPTURE WHAT EACH CUSTOMER REQUIRES? CHECKING THAT YOU CAN MEET CUSTOMER NEEDS AND EXPECTATIONS TRANSFERRING REQUIREMENTS TO BACK OF HOUSE SERVICE DELIVERY POST-DELIVERY SERVICES...38

6 5 HB MOMENTS OF TRUTH SERVICE RECORDS SUMMARY PART THREE: SUPPORTING MANAGEMENT STRUCTURE MANAGEMENT RESPONSIBILITY AND SUPPORT WHAT MANAGEMENT HAS TO DO MANAGEMENT COMMITMENT MISSION, VISION AND VALUES THE NEED FOR A QUALITY POLICY CODE OF ETHICS OBJECTIVES ESTABLISHING A QUALITY MANAGEMENT SYSTEM TO MEET THE OBJECTIVES QUALITY MANUAL DOCUMENTING THE REST OF YOUR QUALITY MANAGEMENT SYSTEM DOCUMENT CONTROL GOOD RECORD KEEPING SUMMARY PLANNING AND RESOURCES PLANNING RESOURCES PEOPLE, TRAINING AND COMPETENCE ORGANIZATION AND INTERRELATIONSHIPS RESPONSIBILITIES AND AUTHORITIES SUMMARY PROCESS MONITORING, VALIDATION AND CONTROL UNDERSTANDING YOUR PROCESSES CONTROL OF YOUR PROCESSES VALIDATION OF PROCESSES SUMMARY... 79

7 HB CONTINUAL IMPROVEMENT CORRECTIVE AND PREVENTIVE ACTION AUDITING MANAGEMENT REVIEW THE IMPORTANCE OF BECOMING BETTER SUMMARY...87 PART FOUR: SUPPORT PROCESSES BACK OF HOUSE SUPPORT ACTIVITIES DESIGN AND DEVELOPMENT PLANNING INPUTS DESIGN OUTPUTS REVIEWS MANAGING CHANGES SUMMARY PRODUCT REALIZATION RESEARCH AND DEVELOPMENT PURCHASING PREPARATION PROCESSING CLEARING UP SUMMARY QUALITY CONTROL CHECKING/TESTING/VERIFICATION/VALIDATION WHEN THINGS GO WRONG DATA ANALYSIS PLANNING MONITORING AND MEASURING DEVICES MONITORING AND MEASUREMENT OF PROCESSES MONITORING AND MEASUREMENT OF PRODUCT AND/OR SERVICE GATHERING AND EVALUATING DATA ANALYSIS OF DATA SUMMARY

8 7 HB FURTHER READING APPENDIX A HOW TO DOCUMENT THE COMPETENCY APPROACH A.1 TWO APPROACHES TO QUALITY MANAGEMENT SYSTEMS A.2 CHOOSING A PROCEDURE STYLE A.3 USE OF WORK INSTRUCTIONS A.4 THE COMPETENCY APPROACH A.5 SERVICE INDUSTRIES A.6 COMPETENCY BASED MANUFACTURING A.7 WHAT IS NEEDED TO ACHIEVE COMPETENT STAFF? APPENDIX B AS/NZS ISO 9001: WHAT HAS CHANGED? AS/NZS ISO 9001:2000 QUALITY MANAGEMENT SYSTEMS REQUIREMENTS FOREWORD INTRODUCTION SCOPE NORMATIVE REFERENCE TERMS AND DEFINITIONS QUALITY MANAGEMENT SYSTEM MANAGEMENT RESPONSIBILITY RESOURCE MANAGEMENT PRODUCT REALIZATION MEASUREMENT, ANALYSIS AND IMPROVEMENT BIBLIOGRAPHY ANNEX B CORRESPONDENCE BETWEEN ISO 9001:2000 AND ISO 9001:

9 HB PART ONE: GETTING STARTED 1 Introduction Getting started 1.1 Characteristics of the service industry Welcome to this handbook. It has been written to help people in the service industry understand how to establish a management system that will assure quality, and give you the necessary information to enable you to build such a system. Such a system, if well planned and written, will underpin any service business. You should not need to restructure all your processes to meet the new edition of the standard. You will find that most of it makes good business sense and should lead to improvements. If at first a requirement seems to be at odds with your commercial practice, look to find ways of applying the standard to fit what you do, not the other way round. Service customers can be fussy. They may also be less forgiving than purchasers of mass-produced products. Often there is no middleman, and the resulting close customer/supplier relationship depends on adapting the products and/or services the organization supplies to meet the expectations of individual customers. Service organizations have to build a management system that assures that things do not go wrong. And if problems arise, they must have systems in place to address them as they occur and put things right as quickly as possible. To operate in this way you will need competent people who can adapt to customers demands and expectations. 1.2 What is competence? Competence is a person s demonstrated ability to apply the necessary knowledge and skills to perform an assigned task satisfactorily. The key to this definition is demonstration, because it then becomes relatively easy to test for competence (a driving test is a common example of assessing competence). Standards Australia

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