Transcript Overview of the NASA Strategic Management System

ISO 9001
CERTIFIED
ISO 9001 Program Office, Code JI
Implementing ISO 9001:2000
at NASA Headquarters
Presented to the joint meeting of the ASQ 509 general membership
and the ISO 9000 Users Group, Washington, DC
January 16, 2003
Scott Holliday
Director, ISO 9001 Program Office
NASA Headquarters
(202) 358-1096
[email protected]
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ISO 9001
CERTIFIED
ISO 9001 Program Office, Code JI
Background
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“Implementing” is somewhat of a misnomer since the focus of the
presentation will actually be transitioning the NASA HQ QMS from the
requirements of ISO 9001:1994 to ISO 9001:2000.
• Knowledge of ISO 9001:1994 useful in understanding the presentation
NASA HQ and all NASA Centers all achieved registration to ISO
9001:1994 in by September 1999
ISO 9001:2000 issued on December 13, 2000, with guidance that all
registered sites must transition to the new standard by December 2003
or lose their registration
ISO 9001 has been very controversial within NASA recently -- two
primary (not necessarily complimentary) schools of thought:
• Take advantage of the improvements the new standard offers in making a
smooth transition to ISO 9001:2000, and
• Change the policy requirement under the President’s Management Agenda
Freedom to Manage initiative
• Currently states that HQ and all Centers shall be registered and
suppliers required to registered where deemed beneficial to NASA
Today, HQ and 6 of NASA’s 10 major Centers are now registered to ISO
9001:2000
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ISO 9001
CERTIFIED
ISO 9001 Program Office, Code JI
Understanding ISO 9001 - Personal Thoughts
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I believe there are 3 levels of understanding ISO 9001:
• Knowing what the standard says
• Requires reading it - sometimes over and over, especially when issues
in implementation come up
• Knowing what the standard means
• In many cases, interpretation comes from a deeper understanding of
quality management principals and practices (amongst other things,
e.g., 4.3 of ISO 9001:1994, “Contract Review”
• Knowing how to apply it to your business
• Requires a thorough understanding of most if not all aspects of your
business as well as the standard, the culture of the organization, etc.,
or you risk implementing a system that suboptimizes and results in
decreased effectiveness and efficiency
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ISO 9001
CERTIFIED
ISO 9001 Program Office, Code JI
Focus Items for NASA HQ Transition
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“If you have a pretty good QMS certified to ISO 9001:1994, you’ve
probably already met 80% of the 2000 requirements”
• The basic intent of the 1994 standard is captured in the 2000
standard
However, there is increased emphasis and requirements in the
areas of:
• Top Management involvement
• Customer Interactions
• Continual Improvement
• Measuring Results
Although the 2000 standard allows for fewer documented
procedures, deletion of procedures is not required (nor
necessarily encouraged)
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ISO 9001
CERTIFIED
ISO 9001 Program Office, Code JI
NASA HQ QMS
ISO 9001 Program Office, Code JI
Possible Mechanisms
GPRA Product Feedback
SMHB, QSM, NPDs, NPGs
Advisory Group Reports
IG/GAO Reports
Congressional Feedback
ACSI Results
Customer surveys
GPRA
Management Responsibility
C
u
s
t
o
m
e
r
R
e
q
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t
s
1000.1 Strategic Plan*
Enterprise Strategic Plan
Functional Leadership Plan
1000.2 SMHB
1000.3 NASA Organization
Resource Management
Budget Formulation
(Annual Budget*)
Performance Plan*
S
a
t
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s
f
a
c
t
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o
n
Measurement, Analysis,
and Improvement
Budget Execution
Performance Report*
Product/Service Realization
Input
Policies, Guidelines
&
OWIs
Product/
Service
Output
C
u
s
t
o
m
e
r
HQ Products
Strategic Plan*
Annual Budget*
Performance Plan*
Performance Report*
Accountability Report
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ISO 9001
CERTIFIED
ISO 9001 Program Office, Code JI
ISO 9001:1994 vs. ISO 9001:2000 9001:2000
Principle
1994
Customer
- Assure conformance to
Focused
defined customer
Organization
requirements
- React to customer complaints
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System
- Establish and maintain a
Approach to
suitable and effective
management
documented Quality System
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Continual
- Through management review,
Improvement
audits, and
corrective/preventive actions,
maintain the effectiveness of
the Quality System
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2000
Understand who your customer
is
Understand current and future
customer needs and
expectations
Measure customer satisfaction
and act on it
Identify the processes in the
organization and understand
their interdependencies.
Align the processes with the
organizational goals and
targets. Measure results
against key objectives.
Set realistic and challenging
improvement goals, and give
people the tools, opportunities
and encouragement to
contribute to continual
improvement
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ISO 9001
CERTIFIED
ISO 9001 Program Office, Code JI
ISO 9001:1994 vs. ISO 9001:2000 9001:2000
Principle
Factual
approach to
decisionmaking
1994
- Management decisions and
actions on the Quality System
are based on the analysis of
information and data defined
as “Statistical Techniques”
(4.20)
Leadership
- Set policy
- Provide resources
- Establish an environment for
Quality
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Involvement
of People
- Establish training needs and
qualify personnel
- Provide clear authority and
responsibility
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2000
Decisions and actions are
based on analysis of data from
PRODUCT and QMS sources in
an effort to maximize
productivity while minimizing
cost and waste through the use
of suitable management tools
and technology
Establish vision, direction and
shared values
Set challenging targets/goals
and implement strategies to
achieve them
Coach, facilitate and empower
people
Create personnel ownership of
the organization’s targets and
goals by using its’ peoples
knowledge and experience
Through training, achieve
involvement in operational
decisions and process
improvement
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ISO 9001
CERTIFIED
ISO 9001 Program Office, Code JI
ISO 9001:1994 vs. ISO 9001:2000 9001:2000
Principle
Process
Approach
1994
2000
- Establish control and maintain - Explicitly identify
documented processes related
internal/external customers
to product
and suppliers of processes.
- Create an environment where a
series of interrelated
sequences (departments,
groups, individuals, etc., work
as a process.
- Focus on the use of resources
in process activities, leading to
effective use of people,
equipment, methods and
materials.
Mutually
- Define and document
- Establish strategic alliances to
Beneficial
requirements to be met by
ensure early involvement in
Supplier
contractors and evaluate their
defining requirements for joint
Relationships
performance to control the
activities. Develop mutual
quality of products and
trust, respect, and commitment
services
to customer satisfaction and
continual improvement.
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ISO 9001
CERTIFIED
ISO 9001 Program Office, Code JI
Recommended high-level implementation process
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Obtain the services of an expert to help you analyze what needs to be
done and avoid engaging in a great deal of unnecessary activity
Understand your system and how it will be audited (see next slide)
Determine gaps and what needs to be done to fill them
Make your business case for implementing to top management and
ensure their commitment and involvement
Choose a registrar and engage them early
• Brief them on your system and plans – they can’t consult but they
can point out concern or possible issues
Implement system changes as determined by the gap analysis
Measure results
Perform a full internal audit
Perform a top management review of the system
Take corrective/preventive action
Go to registration audit
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ISO 9001
CERTIFIED
ISO 9001 Program Office, Code JI
Understand your system and how it will be audited
Top-Down Audit line-of-inquiry
Planning
Objectives
Measurement
Data Analysis
Improvement
(Section 5)
(Section 5)
(Section 8)
(Section 8)
(Section 8)
Customer
Satisfaction
Resources
(Section 6)
(Section 5)
Product
(Sections 5)
Process
Supplier
Understanding
Management
Review
Planning
(Section 7)
Implementation
Expectation
Maturity
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HLD page 17
ISO 9001
CERTIFIED
ISO 9001 Program Office, Code JI
NASA HQ Challenges to Implementation
Top Management
• NASA’s former Administrator was the primary driver behind ISO 9001
registration
• HQ began preparing for the transition to ISO 9001:2000 in October
2000, 2 months before the final standard was published.
• Then came a new President in January 2000
• …and eventually a new Administrator,
• ...and turnover in top management,
• ...with new agendas,
• …and the chance to use the agendas to “spin” new approaches
• …and the pendulum swung several ways.
• But eventually new top management made the decision to press
forward with the transition for HQ in October 2001, and we were
recertified (with a new registrar) in May 2002.
• Since then, the appointment of a new Deputy Administrator with a
quality management background has reinforced the need for a 3rd
party validated QMS for HQ and NASA Centers
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ISO 9001
CERTIFIED
ISO 9001 Program Office, Code JI
NASA HQ Challenges to Implementation
Customer Interactions
• At NASA we were pretty certain who the customer was until we had a
requirement to respond to their complaints; albeit with some good
reason I’ll address in a minute
• But how do we go from system whereby we were merely required to
respond to customer complaints to a system that required much
more, including the assessment of customer perceptions and their
satisfaction?
• One of the biggest challenges is who’s the customer of a federal R&D
organization where the products tend to be such things as
Knowledge
• Complicating matters is that NASA HQ does not have a corporate
registration, but a stand alone registration
• Net result is we’re assessing perceptions and satisfaction
associated with corporate management
• Let’s briefly discuss why defining the customer is difficult at NASA,
or for that matter federal agencies heavily engaged in R&D
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ISO 9001
CERTIFIED
ISO 9001 Program Office, Code JI
NASA Customers
and Benefits
The American people are
our ultimate customers
represented by the
Congress and the
President.
Through our five
Enterprises NASA
contributes to National
priorities:
• S&T understanding,
• Education,
• the Environment,
• the Economy, and
• Exploration & Discovery
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ISO 9001
CERTIFIED
ISO 9001 Program Office, Code JI
Agency-wide Management Systems
Customer/Supplier Relationship Model
NASA
Centers
HQ
“FUNDERS”
Satisfaction
• Funding
Satisfaction
• Direction
Satisfaction
“PRODUCT
USERS”
• Advocacy
Knowledge
Info
Reporting
Info
Reporting
Info
Reporting
F E E D B A C K
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ISO 9001
CERTIFIED
ISO 9001 Program Office, Code JI
NASA HQ Challenges to Implementation
Measuring Results
• Not that this was new – The Government Performance and Results
Acts requires measurement at the high level for us as a federal
agency, but doesn’t really specify what we need to measure
• ISO 9001:1994 only alluded to measurement under “Statistical
Techniques” but this element could also be invalidated
• ISO 9001:2000 places a whole new set of measurement requirements
on an organization to include process, as well as product measures
and “analysis of data”, and it cannot be invalidated
• Other concerns:
• How do you measure knowledge generation and the transfer of
that knowledge for public benefit?
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ISO 9001
CERTIFIED
ISO 9001 Program Office, Code JI
What does it take/cost to implement ISO 9001:2000?
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Very difficult to answer because it depends on:
• Organizational complexity – Are you
• A 100 person organization with one product line?
• A 3,000 person organization with multiple product lines and complex
subsystems?
• A corporate HQ with several to many diverse business units where the
primary product is corporate leadership and management?
• Process Culture of the organization – Does your culture lend itself to
managing by process?
• Not the ethereal process we all have a different version of in our
heads, but agreed upon, consistent, repeatable, and well
communicated processes.
• KSC vs. NASA HQ
• Approach to systems management - common mistake is to think you
manage the system by managing the parts of the system.
• Managing the system by managing the parts is managing in
stovepipes; tends to be be suboptimal, and typically provides little
ability to assess how the system is performing as a whole.
• ISO 9001:2000 will require you to manage the system as a whole.
• Manage the system and the parts will manage themselves
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HLD page 5
ISO 9001
CERTIFIED
ISO 9001 Program Office, Code JI
What were some transition benefits to NASA
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Has led to measurable and less tangible* improvements in our corporate
management responsibilities including:
• Strategic and Performance planning and reporting
• Budget development, integration, execution and oversight
• Functional Management planning and oversight
• Program/Project Planning and oversight
• Policy Development, implementation and oversight
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Long term we hope to see:
• Improved Congressional and OMB support for NASA’s efforts
• Public approval has always been one of the highest if not highest of all
federal agencies
• Improved program and project performance – cost, schedule, quality
• More efficient use of resources
* Recognizing the difficulty in measuring such things as knowledge in a corporate R&D environment – does not
include benefits in originally registering to ISO 9001:1994
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HLD page 5
ISO 9001
CERTIFIED
ISO 9001 Program Office, Code JI
KEY Lessons Learned
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ISO 9000-2000 management principles are universal, but difficulty in
implementing is relative - perform a gap analysis before you commit
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Avoid the answer “because the standard says so”
Direct involvement of Top Management is not optional.
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If it’s a “box checking” exercise, don’t waste your time
Don’t starting by having everybody document their processes
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Balance between competencies, training and documented processes
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Apply to entire management system; don’t create a separate system
Focus on your organization’s mission and goals, and the relationship,
integration and flowdown of work to the individual level
You don’t need to measure everything
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Measure key activities that affect product/process quality, analyze the
results, and do something with them
Res Firma Mitescera Nescit – not enough to get registered, you have to
continually improve your system.
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A good registrar will look deeper on each successive surveillance audit
Corrective and Preventive Action – Not good enough to just show
you’re taking action. Need to look holistically across C/P actions within
the system, and analyze them to determine systemic vulnerabilities
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HLD page 5
ISO 9001
CERTIFIED
ISO 9001 Program Office, Code JI
Backup Slides
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ISO 9001
CERTIFIED
ISO 9001 Program Office, Code JI
ISO 9001:2000 Transition Schedule
ISO 9001 Program Office, Code JI
2001
Task
Resp
Audits
- DNV
- internal
- NQA (2000)
DNV
PO
NQA
Gap Analysis
PO
System
Adjustments
Reps
PO
-
Feb Mar Apr May Jun Jul
2002
Aug Sep Oct
Nov Dec
@
@
5/14-18
@
11/5-9
@
@
9001:2000 Pre-Assessment
2/12-16
ID HQ products
HQ recipients
Develop metrics
Improvements
Draft
10/19
Concur
11/21
2000 Registration
@
Baseline
12/21
Legend:
requires Reps action
@ - Systemic Analysis
# - QC reporting
Trans Implem Train Reps
9K:2K Reqts Training PO
HQ Quality System
Codes
Jan Feb Mar Apr May
3/20-23
summer
12/1
5/1
Sr Mgmt Tran Rev SMTT
Quality Council
QC
#
5/4
#
#
4/30/01
May 4, 2001
1
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ISO 9001
CERTIFIED
ISO 9001 Program Office, Code JI
Thank you!
Implementing ISO 9001:2000
at NASA Headquarters
Scott Holliday
Director, ISO 9001 Program Office
NASA Headquarters
(202) 358-1096
[email protected]
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