Understanding Leadership -Section 5 of ISO 9001/AS9100/AS9120 Standard

Each time the ISO 9001/AS9100/AS9120 standard has been revised, there has been an increased emphasis on Leadership (Section 5 of the standard). In the latest revision of the standard, leadership is placed at the forefront of the quality management system (QMS) and commits to 10 different items in contrast to the previous commitment of 4. 

While considering the quality management system, top management will be expected to demonstrate leadership by committing to:

• • • Taking accountability for the effectiveness of the QMS. This requirement lets leadership know that they are ultimately responsible for the QMS and its outcomes. If there are any issues with the outcome, the responsibility will fall on the leadership regardless of where the root cause originated from. The purpose of this requirement is to encourage top management to be more involved in the functioning of the QMS. While leadership is not expected to be hands-on in every step of the process, they are expected to have management reviews to ensure processes are being carried out as planned.
  • • Ensuring that the quality policy and objectives are established for the QMS and are compatible with the context and strategic direction of the organization. This commitment includes multiple requirements. The quality policy and objectives must be defined while also being consistent with the strategic direction of the organization. This means that the quality policy and objectives should lead in the same direction as the strategic plan and mirror the actions within it.
  • • Ensuring the integration of the quality management system requirements into the organization’s business processes. The QMS is sometimes disconnected from the rest of the organization when it comes to decision making. However, the QMS should be fully integrated in the business processes. The goal of QMS is to continuously improve processes, increase efficiency, increase customer satisfaction, minimize costs, etc., which is why it should be involved in the decision-making process of the organization.
  • • Promoting the use of the process approach and risk-based thinking. The process approach involves managing all activities within a process from start to finish while considering elements such as the inputs/outputs, resources, monitoring, etc. The goal is to understand all parts of the processes rather than a few pieces of it. The second part of this commitment is advocating for risk-based thinking. Risk-based thinking involves identifying risks and opportunities, determining which are the most significant, determining how to manage the risks and opportunities, and continuously evaluating the effectiveness of this process. (see our previous risk-based thinking blog for more info).
  • • Ensuring that the resources needed for the QMS are available. Top management should define how the resources were determined and provided in order to effectively maintain the quality management system.
  • • Communicating the importance of effective quality management and of conforming to the QMS requirements. It is important that everyone involved with the QMS understands the importance of adhering to the standard and its requirements. Top management should be communicating its significance through throughout the organization.
  • • Ensuring that the QMS achieves its intended results. It is important to ensure that the QMS is yielding intended results such as reduced costs, less waste, customer satisfaction, etc. The best way for top management to monitor these intended results is by tracking the progress of the aforementioned quality objectives and conducting management reviews. 
  • • Engaging, directing, and supporting persons to contribute to the effectiveness of the QMS. Top management should directly oversee any individual who is involved in the efforts to adhere to standards. It is important to review relevant processes and analyze its inputs.
  • • Promoting improvement. Top management should acknowledge improvement efforts within the organization and promote and support these efforts.

• Supporting other relevant management roles to demonstrate their leadership as it applies to their area of responsibility. Oftentimes, middle management is least considered during decision making process. However, they are much more likely to support the QMS when top management indicates that their support is needed and their participation is important. Supporting other management positions produces a common effort to achieve the same goal and is likely to improve the effectiveness of QMS.

Some of these commitments may seem redundant; however, they are intended to emphasize how important it is for top management to oversee all aspects of the QMS. Their direct involvement is absolutely imperative to have a successful quality management system.