Kohl Standards for Management Systems

A Comprehensive Guide to Content, Implementation Tools, and Certification Schemes
1. Auflage 2020
ISBN: 978-3-030-35832-7
Verlag: Springer International Publishing
Format: PDF
Kopierschutz: 1 - PDF Watermark

E-Book, Englisch, 819 Seiten

Reihe: Management for Professionals

This book guides readers through the broad field of generic and industry-specific management system standards, as well as through the arsenal of tools that are needed to effectively implement them. It covers a wide spectrum, from the classic standard ISO 9001 for quality management to standards for environmental safety, information security, energy efficiency, business continuity, laboratory management, etc. A dedicated chapter addresses international management standards for compliance, anti-bribery and social responsibility management. In turn, a major portion of the book focuses on relevant tools that students and practitioners need to be familiar with: 8D reports, acceptance sampling, failure tree analysis, FMEA, control charts, correlation analysis, designing experiments, estimating parameters and confidence intervals, event tree analysis, HAZOP, Ishikawa diagrams, Monte Carlo simulation, regression analysis, reliability theory, data sampling and surveys, testing hypotheses, and much more. An overview of the necessary mathematical concepts is also provided to help readers understand the technicalities of the tools discussed. A down-to-earth yet thorough approach is employed throughout the book to help practitioners and management students alike easily grasp the various topics.



Herfried Kohl holds a PhD in Physics, and has over 25 years of international experience in the field of management systems, auditing and certification. He is the author of three German language books on quality management published by Springer.

Autoren/Hrsg.

Kohl, Herfried

Inhaltsverzeichnis

1;Preface;7
2;What Is in the Book and How to Navigate Through It;10
3;Declaration;14
4;Contents;15
5;About the Author;23
6;Abbreviations;24
7;1 Standards for Management Systems: Overview and Main Ingredients;26
7.1;1.1 Does the World Need Management System Standards?;26
7.1.1;1.1.1 General Motivation;26
7.1.2;1.1.2 Global Supply Chains;28
7.1.3;1.1.3 Robust Processes and Reliable Process Management;29
7.1.4;1.1.4 Globally Accepted Requirements for Management Systems;29
7.1.5;1.1.5 Genuine Versus Industry-Specific Models for Quality Management Systems;30
7.1.6;1.1.6 Certification Schemes;31
7.2;1.2 Where Do All These Management System Standards Come from?;32
7.2.1;1.2.1 Why Are Most Management System Standards Global?;32
7.2.2;1.2.2 ISO—International Organization for Standardization;32
7.2.3;1.2.3 National Organizations for Standardization;33
7.2.4;1.2.4 The Role of Industry Organizations and Other Interested Parties;34
7.3;1.3 Processes: Why Are They in the Focus of Management Systems?;35
7.4;1.4 Risk-Based Thinking: A Cornerstone of Management System Standards;40
7.5;1.5 Universal Design: The Architecture of Management System Standards;41
8;2 Generic Standards for Management Systems: An Overview;43
8.1;2.1 Introduction;44
8.2;2.2 ISO 9001—QMS—Quality Management System;45
8.2.1;2.2.1 Introductory Remarks;46
8.2.2;2.2.2 The Principles Behind ISO 9001;48
8.2.3;2.2.3 Discussion of the Clauses of ISO 9001;51
8.2.4;2.2.4 Shortened Checklist for ISO 9001;83
8.2.5;2.2.5 Frequently Asked Questions;83
8.2.6;2.2.6 Examples for Illustrational Purposes;96
8.2.7;2.2.7 Some Supportive Standards for Quality Management Systems;100
8.3;2.3 ISO 14001—EMS—Environmental Management System;101
8.3.1;2.3.1 Introductory Remarks;103
8.3.2;2.3.2 Discussion of the Clauses of ISO 14001;105
8.3.3;2.3.3 Other Important ISO Standards in the ISO 140XX-Series;113
8.3.4;2.3.4 Shortened Checklist for ISO 14001;113
8.3.5;2.3.5 Frequently Asked Questions;116
8.4;2.4 ISO/IEC 17025—Laboratory Management;116
8.4.1;2.4.1 Introductory Remarks;116
8.4.2;2.4.2 Discussion of the Clauses of ISO 17025;125
8.4.3;2.4.3 Frequently Asked Questions;136
8.5;2.5 ISO 21001—EOMS—Management Systems for Educational Organizations;140
8.5.1;2.5.1 Introductory Remarks;140
8.5.2;2.5.2 Discussion of the Clauses of ISO 21001;141
8.5.3;2.5.3 Frequently Asked Questions;164
8.6;2.6 ISO 22301—BCMS—Business Continuity Management System;165
8.6.1;2.6.1 Introductory Remarks;165
8.6.2;2.6.2 Discussion of the Clauses of ISO 22301;168
8.6.3;2.6.3 Frequently Asked Questions;179
8.7;2.7 ISO 27001—ISMS—Information Security Management System;180
8.7.1;2.7.1 Introductory Remarks;180
8.7.2;2.7.2 Discussion of the Clauses of ISO 27001;181
8.7.3;2.7.3 Frequently Asked Question;195
8.8;2.8 ISO 31000—RM—Risk Management;197
8.8.1;2.8.1 Introductory Remarks;197
8.8.2;2.8.2 Discussion of the Clauses of ISO 31000;198
8.8.3;2.8.3 Implementation Hints;206
8.8.4;2.8.4 Frequently Asked Questions;211
8.9;2.9 ISO 44001—CBRMS—Collaborative Business Relationship Management System;212
8.9.1;2.9.1 Introductory Remarks;212
8.9.2;2.9.2 Discussion of the Clauses of ISO 44001;213
8.9.3;2.9.3 Frequently Asked Questions;226
8.10;2.10 ISO 45001—OH&SMS Occupational Health and Safety Management System;227
8.10.1;2.10.1 Introductory Remarks;227
8.10.2;2.10.2 Discussion of the Clauses of ISO 45001;229
8.10.3;2.10.3 Frequently Asked Questions;242
8.11;2.11 ISO 50001—EnMS—Energy Management System;244
8.11.1;2.11.1 Introductory Remarks;244
8.11.2;2.11.2 Discussion of the Clauses of ISO 50001;245
8.11.3;2.11.3 Frequently Asked Questions and Implementation Hints;255
8.12;2.12 ISO 55001—AMS—Asset Management System;257
8.12.1;2.12.1 Introductory Remarks;257
8.12.2;2.12.2 Discussion of the Clauses of ISO 55001;259
8.12.3;2.12.3 Frequently Asked Questions;266
8.13;2.13 ISO 22316—Organizational Resilience;267
8.14;2.14 Finishing This Chapter and Looking Forward to Chap. 3;272
9;3 Industry-Specific Standards for Management Systems;274
9.1;3.1 Introduction and Overview;274
9.2;3.2 Automotive Industry;275
9.3;3.3 Aerospace Industry;282
9.4;3.4 Railway Industry;283
9.5;3.5 ICT—Information and Communication Technology Industry;285
9.6;3.6 Quality Management Schemes for Food Industry and Agriculture;290
9.6.1;3.6.1 General Introduction;290
9.6.2;3.6.2 ISO 22000—FSMS—Food Safety Management System;296
9.6.3;3.6.3 More Standards for Food Industry and Agriculture;308
9.6.4;3.6.4 Concluding Remarks: Which Scheme to Choose?;313
9.7;3.7 Forestry and Chain of Custody;313
9.7.1;3.7.1 General Introduction;313
9.7.2;3.7.2 PEFC and FSC;314
9.7.3;3.7.3 ISO 38200: Chain of Custody of Wood and Wood-Based Products;315
9.8;3.8 Healthcare;317
9.8.1;3.8.1 General Introduction;317
9.8.2;3.8.2 International ISO Standards for Healthcare;317
9.8.3;3.8.3 The European Standard EN 15224;318
9.8.4;3.8.4 JCI—Joint Commission International;322
9.8.5;3.8.5 Case Study: Quality Management Initiatives in German Healthcare;326
9.9;3.9 ISO 20121—ESMS—Event Sustainability Management System;328
9.9.1;3.9.1 Introduction to the Standard;328
9.9.2;3.9.2 Discussion of the Clauses of ISO 20121;329
9.9.3;3.9.3 Example to Illustrate Some Concepts of the ESMS;333
9.9.4;3.9.4 Beyond Event Sustainability;335
9.10;3.10 ISO 28000—SCSMS—Supply Chain Security Management System;336
9.11;3.11 ISO 41001—FMS—Facility Management System;342
9.11.1;3.11.1 Introductory Remarks;342
9.11.2;3.11.2 Discussion of the Clauses of ISO 41001;343
9.12;3.12 ISO 39001—RTSMS—Road Traffic Safety Management System;354
9.13;References;357
10;4 Standards for Compliance, Anti-bribery and Corporate Social Responsibility (CSR);358
10.1;4.1 Introductory Remarks;358
10.2;4.2 ISO 19600—CMS—Compliance Management System;359
10.2.1;4.2.1 Introduction;359
10.2.2;4.2.2 Discussion of the Clauses of ISO 19600;360
10.3;4.3 ISO 26000—Guidance on Social Responsibility;370
10.3.1;4.3.1 General Description of ISO 26000;370
10.3.2;4.3.2 Integrating ISO 26000 into the Organization’s Management System;374
10.4;4.4 ISO 37001—ABMS—Anti-bribery Management System;375
10.4.1;4.4.1 Introductory Remarks;375
10.4.2;4.4.2 Discussion of the Clauses of ISO 37001;376
10.5;4.5 CSR—Corporate Social Responsibility;385
11;5 Special Purpose Audit Schemes and Quality Awards;387
11.1;5.1 Special Purpose Audits Schemes;387
11.2;5.2 Quality Awards;390
11.2.1;5.2.1 The Deming Prize;391
11.2.2;5.2.2 MBNQA—Malcolm Baldridge National Quality Award;391
11.2.3;5.2.3 The Continuum of National Quality Awards;392
12;6 How to Get Things Done: A Practitioner’s Toolbox;394
12.1;6.1 Introduction and Overview;394
12.2;6.2 DMAIC: Define-Measure-Analyze-Improve-Control;396
12.2.1;6.2.1 General Description of the DMAIC Approach;396
12.2.2;6.2.2 Detailed Steps of the DMAIC Approach;397
12.3;6.3 Integrated Management Systems;403
12.4;6.4 Tools and Concepts in Alphabetical Order;404
12.4.1;6.4.1 Introduction;404
12.4.2;6.4.2 5S Method;405
12.4.3;6.4.3 5 Whys;408
12.4.4;6.4.4 5W2H—5 Whys and 2 Hows;409
12.4.5;6.4.5 8D-Reports;410
12.4.6;6.4.6 Acceptance Sampling;413
12.4.7;6.4.7 Affinity Diagrams;420
12.4.8;6.4.8 ALARP—As Low as Reasonably Practicable;422
12.4.9;6.4.9 ANOVA—Analysis of Variance;423
12.4.10;6.4.10 Balanced Scorecards;430
12.4.11;6.4.11 Bayesian Analysis;432
12.4.12;6.4.12 Bow-Tie Analysis;433
12.4.13;6.4.13 Brainstorming;434
12.4.14;6.4.14 Brainwriting—6-3-5 Method;435
12.4.15;6.4.15 Causal Mapping and Relationship Diagrams;437
12.4.16;6.4.16 CBA—Cost Benefit Analysis;439
12.4.17;6.4.17 Checklist;440
12.4.18;6.4.18 Check Sheet;441
12.4.19;6.4.19 C&E Matrix—Cause-and-Effect Matrix;442
12.4.20;6.4.20 CIA—Cross-Impact Analysis;443
12.4.21;6.4.21 Control Charts, Process Capability and Process Sigma;445
12.4.22;6.4.22 Correlation Analysis;463
12.4.23;6.4.23 CTQ—Critical to Quality;470
12.4.24;6.4.24 CVAM—Customer Value Assessment Matrix;474
12.4.25;6.4.25 Data Collection and Presentation;475
12.4.26;6.4.26 Decision Tree Analysis;478
12.4.27;6.4.27 Delphi Technique;481
12.4.28;6.4.28 DOE—Design of Experiments;482
12.4.29;6.4.29 Estimation of Parameters and Confidence Intervals;486
12.4.30;6.4.30 ETA—Event Tree Analysis;511
12.4.31;6.4.31 Five Max Method;514
12.4.32;6.4.32 FMEA—Failure Modes and Effects Analysis;515
12.4.33;6.4.33 Force Field Analysis;520
12.4.34;6.4.34 FTA—Fault Tree Analysis;521
12.4.35;6.4.35 HACCP—Hazard Analysis and Critical Control Points;526
12.4.36;6.4.36 Hazard Level Matrix;527
12.4.37;6.4.37 HAZOP—Hazard and Operability Studies;528
12.4.38;6.4.38 HRA—Human Reliability Analysis;532
12.4.39;6.4.39 Involvement Matrix;533
12.4.40;6.4.40 Interested Parties—Selection Criteria;535
12.4.41;6.4.41 Interviews;535
12.4.42;6.4.42 Ishikawa Diagrams—Root-Cause Analysis;537
12.4.43;6.4.43 Kaizen;540
12.4.44;6.4.44 Kappa Index Calculation and Inter-Rater Agreement;542
12.4.45;6.4.45 Markov Analysis;545
12.4.46;6.4.46 MEP—Maximum Entropy Principle and Probability Distributions;549
12.4.47;6.4.47 Mind-Mapping;552
12.4.48;6.4.48 Monte Carlo Simulation;554
12.4.49;6.4.49 NGT—Nominal Group Technique;561
12.4.50;6.4.50 Order Statistics and Distribution of Extreme Values;563
12.4.51;6.4.51 Pareto Analysis and Pareto Charts;565
12.4.52;6.4.52 PDCA: Plan-Do-Check-Act;568
12.4.53;6.4.53 PESTLE Analysis;568
12.4.54;6.4.54 PHA—Preliminary Hazard Analysis;569
12.4.55;6.4.55 PMI—Plus-Minus-Interesting;571
12.4.56;6.4.56 Poka-Yoke;572
12.4.57;6.4.57 Prioritization Matrix;573
12.4.58;6.4.58 Process Flow Tools;574
12.4.59;6.4.59 RACI Matrix;583
12.4.60;6.4.60 Regression Analysis;585
12.4.61;6.4.61 Reliability Theory;596
12.4.62;6.4.62 Sampling of Data and Surveys;617
12.4.63;6.4.63 Scenario Analysis;621
12.4.64;6.4.64 SIPOC Diagrams;623
12.4.65;6.4.65 Solution Selection Matrix;624
12.4.66;6.4.66 Stakeholder Profile Matrix;627
12.4.67;6.4.67 Strategy Alignment with Operational Capabilities and Needs;628
12.4.68;6.4.68 SWIFT—Structured What-IF Technique;629
12.4.69;6.4.69 SWOT Analysis;631
12.4.70;6.4.70 Taguchi Loss Function;633
12.4.71;6.4.71 Teams and Meeting Guidelines;634
12.4.72;6.4.72 Testing of Hypotheses;637
12.4.73;6.4.73 To-Do-List;664
12.4.74;6.4.74 Tree Diagrams;665
12.4.75;6.4.75 Visual Management;667
12.4.76;6.4.76 VOC—Voice of the Customer;668
12.4.77;6.4.77 VSM—Value Stream Mapping;670
12.4.78;6.4.78 Y = F(X);672
12.5;Reference;673
13;7 Auditing the Management System;674
13.1;7.1 Introduction: The Need for Performance Control and the Role of Audits;674
13.2;7.2 Audits: A Means to Control the Performance of Management Systems;675
13.2.1;7.2.1 The Role and Content of ISO 19011:2018;675
13.2.2;7.2.2 Auditors: General Requirements;681
13.2.3;7.2.3 Audits: General Process;683
13.2.4;7.2.4 Determining Audit Time and Some Related Issues;685
14;8 Certification and Accreditation: Types and Rules;689
14.1;8.1 Why This Chapter?;689
14.2;8.2 Types of Certification;690
14.3;8.3 Accreditation: Organizations, Rules and Achievements;691
14.4;8.4 Organizational Requirements for Organizations Certifying Management Systems;694
14.5;8.5 How to Select the Right Certification Body?;708
15;9 Mathematical Methods and Statistical Tables;709
15.1;9.1 Introduction;709
15.2;9.2 Why Logic Is Important;710
15.3;9.3 Sets;713
15.3.1;9.3.1 Introduction to Sets;713
15.3.2;9.3.2 Definition and Basic Properties of Sets;713
15.3.3;9.3.3 Combinatorics and Principles of Counting;715
15.4;9.4 Analysis;718
15.4.1;9.4.1 Numbers;718
15.4.2;9.4.2 Sequences and Limits;721
15.4.3;9.4.3 Maps and Functions;722
15.4.4;9.4.4 Differential Calculus;724
15.4.5;9.4.5 Integral Calculus;728
15.5;9.5 Algebra;733
15.5.1;9.5.1 Introductory Remarks on Algebra;733
15.5.2;9.5.2 Matrices and Vectors;733
15.5.3;9.5.3 Determinants;738
15.5.4;9.5.4 Derivatives of Matrices and Vectors;738
15.5.5;9.5.5 Boolean Algebra;740
15.6;9.6 Probability and Statistics;741
15.6.1;9.6.1 Why Is Probability Theory Important in Our Context?;741
15.6.2;9.6.2 The Intuitive Versus Formal Approach to Probability;742
15.6.3;9.6.3 Conditional Probabilities;744
15.6.4;9.6.4 Bayes’ Theorem;746
15.6.5;9.6.5 Random Variables, Probability Distribution Functions and Expected Values;748
15.6.6;9.6.6 Functions of Random Variables and Their Distributions;752
15.6.7;9.6.7 Approximations of Important Expectation Values;752
15.6.8;9.6.8 Inequalities for Probabilities;754
15.6.9;9.6.9 Law of Large Numbers;756
15.6.10;9.6.10 Characteristic Functions and Moment Generating Functions;757
15.6.11;9.6.11 CLT—Central Limit Theorem;760
15.6.12;9.6.12 Important Discrete and Continuous Probability Distributions;764
15.7;9.7 Statistical Tables;792
15.7.1;9.7.1 Quantiles and Percentiles;792
15.7.2;9.7.2 Description and Usage of the Tables;793
16; Suggested Further Reading;813
17;Index;814