ENQA Seminar IQA-GroupInternal QA-Systems and the ESG

14 April 2008

Birgit Hanny

Gaining benefit from ISO and EFQM in the IQA of an agency

www.asiin.de

www.asiin.de 2

Content

1.1. The IQA System of ASIINThe IQA System of ASIIN

2.2. Goals, measures and instruments for Goals, measures and instruments for meeting the European Standards and meeting the European Standards and Guidelines (ESG)Guidelines (ESG)

3.3. References to ISO and to EFQMReferences to ISO and to EFQM

4.4. Lessons learned and still to be learnedLessons learned and still to be learned

www.asiin.de 3

1. Introduction

• purpose and area of application

• liability statement

2. Organisational structure and responsibilities

3. Quality policy and objectives

• goals and objectives of the organisation

• fields of activity for quality assurance and resulting management

• expectations on quality results

4. Quality management: measures and instruments

Annex: process documentation

1. Introduction

• purpose and area of application

• liability statement

2. Organisational structure and responsibilities

3. Quality policy and objectives

• goals and objectives of the organisation

• fields of activity for quality assurance and resulting management

• expectations on quality results

4. Quality management: measures and instruments

Annex: process documentation

The quality manual was introduced by decision of the ASIIN board and is implemented and regularly revised by the head quarters:

The quality manual was introduced by decision of the ASIIN board and is implemented and regularly revised by the head quarters:

The ASIIN quality manual

www.asiin.de 4

Fields of activity for quality management within ASIIN:

1.Field – quality of pool of peers and experts (parameters: expertise, experience, composition of teams, independence and impartiality, availability)

2.Field – quality of requirements and procedural principles (parameters: validity, objectivity, up-to-dateness, accessibility)

3.Field – quality in the implementation of the requirements and procedure (parameters: transparency, confidentiality, constancy, objectivity, efficiency)

4.Field – acceptance of the procedures and the results by third parties (parameters: acceptance by national / international actors)

Fields of activity for quality management within ASIIN:

1.Field – quality of pool of peers and experts (parameters: expertise, experience, composition of teams, independence and impartiality, availability)

2.Field – quality of requirements and procedural principles (parameters: validity, objectivity, up-to-dateness, accessibility)

3.Field – quality in the implementation of the requirements and procedure (parameters: transparency, confidentiality, constancy, objectivity, efficiency)

4.Field – acceptance of the procedures and the results by third parties (parameters: acceptance by national / international actors)

The purpose is to support the management and optimisation of our core business process, i. e. the realisation of accreditation procedures

The purpose is to support the management and optimisation of our core business process, i. e. the realisation of accreditation procedures

Purpose and coverage of the internal QM

www.asiin.de 5

Mapping of objectives

Departing from the organisational goals, related fields of activity and the related quality-parameters > expected results of a certain quality are

described:

field of activity parameter results / quality expected

Field 1 – peers and experts in permanent bodies

availability of peers and experts in permanent bodies respectively

Availability in terms of time:Peers and experts in permanent bodies get to know their relevant time schedules asap.Relevant time schedules for peers and experts arise from agreements among all concerned parties; normally, dates are not centrally determined.Attractiveness for peers:The agency covers the expenses for the peers’ and experts’ arising from their commitment (travel expenses, expense allowance as a lump sum).Peers and experts in permanent bodies identify with the objectives, the methodology, and the agency’s requirements and procedural principles for accreditation.ASIIN’s member organisations support the recruitment of peers and experts in permanent bodies.

Field 3 – implementation of requirements and procedures

objectivity Mechanisms work that compensate subjective positions of individuals involved in the procedure or that relate them to positions which are at least likely to be accepted by a majority.

Field 2 – requirements and procedural principles for accreditation

validity The requirements and procedural principles have been passed by the responsible permanent bodies. ASIIN’s member organisations support in principle the requirements and procedural principles. The applicant bodies rate the requirements and procedural principles as comprehensible.The authorisation bodies for accreditation agencies inland and abroad accept the requirements and procedural principles.

www.asiin.de 6

Measures and instruments 1

a) Embedded mechanisms: mutual control and interdependencies of the (permanent) bodies involved in the accreditation procedures with the help of a system of “checks and balances” laid down in the organisational structure of the agency

Rights to participate in the procedure, decision rights, rights to comment, to propose, to forward issues and to prepare decision memos are defined in by-laws and procedural principles

The specific setting of distribution of these rights among the (permanent) bodies helps to meet part of the quality expectations defined – e. g. increase objectivity, reach consistency of decisions when faced with same problems in different procedures.

Different quality assurance mechanisms are integrated in the structure of the organisation and its processes in order to reach the quality expectations defined:

www.asiin.de 7

Measures and instruments 2

b) Additional mechanisms for collecting and analysing data about the functioning of the accreditation procedures and the effectiveness of the requirements and procedural principles.

Different quality assurance mechanisms are integrated in the structure of the organisation and its processes in order to reach the quality expectations defined:

www.asiin.de 8

Completion of the map

From

organisational goals > fields of activity > related quality-parameters > expected results / quality > measures > instruments > responsibilities > rhythm > to feedback

for management actions

fields of activity

parameter measures instr. respons. rhythm feedback

… … … … … … …

www.asiin.de 9

Measures and instruments – examples 1

fields of activity

parameter measures instr. respons. rhythm feedback

1 – Peers and experts in permanent bodies

expertiseexperienceindependence/ impartiality

decision on acceptance for the pool of peers / into a permanent body exclusively by the next higher entity.Acceptance into a permanent body involved in the procedure normally upon suggestion by a relevant (professional) organisation

Sheet of personal detailsSuggestions by ASIIN’s member organisations for peer pool Suggestions by external relevant (professional) organisations

HO (head office - responsible person for the respective permanent body)B (board)AC (accreditation commission)

upon presentation of applications: quarterly or corresponding to cycle of meetings of the body authorized for decision

acceptance for the pool of peers / into a permanent body or refusal

www.asiin.de 10

Measures and instruments – examples 2

fields of activity

parameter measures instr. respons. rhythm feedback

2 – Requirements for accreditation

3 – Implementation of requirements and procedures

4 - Acceptance

validityobjectivityup-to-datenessconfidentialityconstancyefficiencyacceptance by national / international actors

revision of requirements and procedural principles

comparison of external requirements for accreditation of study programmes and the agency’s requirements and procedural principles

meetings of

-AC

-TCs

-Chairs of TCs

-working group of AC

HO

TC

AC

annually transmission of results to the concerned permanent bodies according to their competence

from case to case proposals for decisions by HO and adjustment of methodology, requirements, procedural principles by AC

www.asiin.de 11

Process documentation: overview

envi

ronm

ent

1.1 preparation + application

2.1 inspection

3.1 decision

1. Core process: accreditation procedure

support processes

resultsgo

als

+ o

bjec

tives

, st

rate

gy,

qual

ity

expe

ctat

ions

, ex

tern

al r

eque

sts

environment

2. development of requirements and principles

3. allocation of human resources

4. leadership

5. management of co-operations with third parties

6. continual improvement

7. data security and data storage

8. provision of infrastructure

www.asiin.de 12

Process documentation: template

input actions output / outcome

responsibility a. documentsb. tools

e. g.request, draft report

e. g. final report,decision memo

e. g. persons,function owners

e. g. templates,databases,rules

www.asiin.de 13

Content

1.1. The IQA System of ASIINThe IQA System of ASIIN

2.2. Goals, measures and instruments for Goals, measures and instruments for meeting the European Standards and meeting the European Standards and Guidelines (ESG)Guidelines (ESG)

3.3. References to ISO and EFQMReferences to ISO and EFQM

4.4. Lessons learned and still to be learnedLessons learned and still to be learned

www.asiin.de 14

Meeting the ESGMeeting the ESG

• The quality manual is published on the website of the agency (besides the process documentation)

• The implementation of the core process is monitored with the help of several measures + instruments in order to compare the effective performance to the pre-defined quality expectations

• A system of checks and balances and additional instruments (list of reasons for exclusion of peers, self-declaration of peers) support the no-conflict-interest-policy

• no use of subcontractors in the core process

• feedback mechanisms are in place for every quality assurance measure foreseen in the manual

• external reviews of the agency take place at least every five years; agency is reviewed by different organisations

www.asiin.de 15

Content

1.1. The IQA System of ASIINThe IQA System of ASIIN

2.2. Goals, measures and instruments for Goals, measures and instruments for meeting the European Standards and meeting the European Standards and Guidelines (ESG)Guidelines (ESG)

3.3. References to ISO and to EFQMReferences to ISO and to EFQM

4.4. Lessons learned and still to be learnedLessons learned and still to be learned

www.asiin.de 16

Adapting the essence of Adapting the essence of ISO / EFQMISO / EFQM

► Start slim with the potential for growing – We tried to design a quality management system that respects the basic philosophy of

ISO and the EFQM-model.

► We want to keep the option to improve our QM-system step by step towards full compliance with the principles of the EFQM-

model or towards ISO-certification in the future.

► Therefore we tried to respect the (partly corresponding) basic principles of the two approaches when defining fields of activities,

parameters, measures and instruments.

www.asiin.de 17

Principles adapted and Principles adapted and adoptedadopted

• system approach: integrated view of the organization with quality management contributing to the achievement of its objectives

• identification and consideration of the relevant stakeholders

• customer orientation

• involvement of people

• process approach

• focus on results

• continual improvement

• follow the form: structural approach and vocabulary of the ISO fundamentals (ISO 9000:2005) for quality management systems were considered when writing the quality management manual

to enable recognition by those of our volunteers familiar to the ISO- and or EFQM-approach in their own professional environment

to avoid the re-invention of principles and vocabulary already existing in other environments

www.asiin.de 18

Content

1.1. The IQA System of ASIINThe IQA System of ASIIN

2.2. Goals, measures and instruments for Goals, measures and instruments for meeting the European Standards and meeting the European Standards and Guidelines (ESG)Guidelines (ESG)

3.3. References to ISO and to EFQMReferences to ISO and to EFQM

4.4. Lessons learned and still to be learnedLessons learned and still to be learned

www.asiin.de

measures and instruments should serve as many fields of activity and the related objectives as possible at the same time

embedded measures and instruments are more efficient but harder to make evident; nevertheless avoid “extra” measures, instruments, structures and procedures for quality management whenever possible

“extra” measures/instruments/structures seem to make sense mainly for collecting and assessing data on the performance and the results of the core processes

avoid the cultivation of process descriptions known to nobody besides yourself and keep the documentation as easily accessible as possible

efficiency is crucial for the acceptance of the staff and volunteers addressed efficiency is crucial to get a quality management systems “alive” in the

organisation

Lessons learned

For quality managers: frustration is lower when getting used to the idea of living and working at a never ending construction side!

www.asiin.de 20

Thank you for your patience!