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106 S. Karapetrovic et al.
EXPLANATION
TERM
(ISO 9001) Student Knowledge Program/Courses Research
consists of twenty requirements, each representing whether these needs have been met. The first
one element of the quality system. Nevertheless, process in the loop is the determination of cus-
interrelationships of the twenty elements of ISO tomer requirements, and the ability of the organi-
9001 are not clear, and the elements do not seem to zation to meet them. This is the subject of the
follow a logical order. For example, element 4.4 ISO 9001 requirement 4.3 Contract Review. The
Design control is followed by 4.5 Document and product that meets these requirements is then
data control, and 4.6 Purchasing, after which designed (4.4 Design Control), and a quality plan
comes 4.7 Control of customer-supplied product. addressing this specific product is prepared (4.2.3).
Some organizations have tried to document and The procurement of necessary resources follows,
implement these quality system elements in the with sections 4.6, 4.7 and 4.11 of ISO 9001 focus-
order in which they appear in the standard, and ing on these issues. Human resources must be
encountered a treacherous path. The danger in this trained to effectively use procured resources (4.18
approach lies in the increased emphasis on docu- Training). The product subsequently goes through
mentation and a loss of the focus on the quality processing (4.9 Process Control), inspection and
system [8]. testing (requirement 4.10 and 4.12), as well as
In a university environment, the development handling and storage (4.15). Defective products
of a quality system and concepts of quality are removed (4.13) and corrective and preventive
assurance will certainly encounter mixed reviews actions implemented (4.14). Finally, servicing is
by academics, who are often weary of structured available, if required (4.19).
approaches requiring additional documentation. The group of seven supporting elements con-
Thus, the focus has to be on the establishment of a sists first of the requirement 4.1 Management
meaningful quality system with numerous benefits responsibility, which is implied in all other ele-
to each individual professor and staff member, ments of the quality system. Necessary documenta-
rather than documenting each requirement and tion resources are the subject of sections 4.2, 4.5
having impeccable and seldom-used records made and 4.16 of the standard. Element 4.8 Product
just for a registrar's visit. Identification and Traceability, is also implied
In order to provide the universities with a focus throughout the product's life cycle. Finally, 4.17
on a quality system, ISO 9001 elements have been Quality Audits and 4.20 Statistical Techniques are
re-ordered into two categories: quality loop and designed and implemented to improve the quality
supporting elements (Fig. 1) according to [9]. The system.
quality loop is a set of interacting activities and Armed with this systems approach to ISO 9001,
processes that influence the quality of the product as well as the concept of the University Production
through various stages of its life-cycle: from System, we will proceed with the interpretation of
determining customer needs to the evaluation of all twenty elements of the standard for application
Fig. 1. Graphical model of an ISO 9001 quality system (modified from [9]) .
108 S. Karapetrovic et al.
in higher education. In our preceding paper [1], a Design control. Following contract review activ-
glossary and interpretation of ISO 9000 terms was ities, the faculty (department) must demonstrate
included. the ability to translate customers' specifications
into appropriate design of programs/courses
offered, individual student curricula and research
ISO 9001 INTERPRETATION projects. Design control may consist of several
stages, such as: identifying the input into the
Quality Loop Elements design process, verification of the program/
curriculum/research design against design input,
Contract review. Quality can be defined as the as well as validation of the design output against
ability of the product to satisfy stated and/or customers' requirements. Design input may
implied customer requirements. Therefore, the include suggestions for new programs from
first step in the development of a quality system CEAB/ABET or industry, analysis of customer
in a university is to adequately identify these needs and market position of the faculty (depart-
requirements. The objective of the contract ment), and feasibility studies for new programs or
review element of ISO 9001 is to provide the research. Design output should include the state-
faculty (department) with a clear understanding ment of factual content and format of programs,
of customers' needs and specifications, to evaluate skills and competencies to be developed in students
if these needs can be achieved, and to provide the or research projects, as well as an illustration of
customers with a clear understanding of the how the course/program/research project content
manner in which the faculty (department) shall is relevant to its aims and objectives. The respon-
meet them. The following processes are covered: sibilities and authorities and the vertical and lateral
interrelationships between the personnel which are
. Defining and documenting the industry and
involved in the design process should be defined
society requirements with respect to under- and documented. Also, the faculty (department)
graduate and graduate programs offered, by must identify, document, review and approve
means of alumni and employers surveys, ques- design changes and modifications. The following
tionnaires, interviews, as well as the analysis of processes should be included:
available legislation, governmental guidelines
and standards.
. Accreditation of programs by regulating bodies, . Design planning, review, verification and vali-
such as the Canadian Engineering Accreditation dation of new undergraduate and graduate
Board (CEAB) in Canada or the Accreditation programs and courses.
Board for Engineering and Technology (ABET) . Design control of the individual student curri-
in the United States. cula, including the statement of minimum paths
. Review of contracts with the employers parti- to graduation, elective and compulsory courses,
cipating in co-operative programs offered by the responsibility and authority of students, and
faculty (department). defining the student's input into the design
. Review of students' understanding of the process.
admission requirements, program content and . Contractual research with industry and govern-
context, graduation requirements, and their res- ment agencies.
ponsibilities and authorities, through interviews . Identification, documentation, review and
and surveys. approval of program design changes, including
. Review of industry and government-sponsored the addition of new courses and deletion of
research contracts, such as research projects existing courses and programs.
undertaken with the Natural Sciences and
Engineering Research Council (NSERC) in An example of a program design control flow-
Canada. chart is presented in Figs. 3a and b.
. Assessment of the faculty's (department's)
ability to meet the requirements.
. Contract changes, such as when a research Quality planning. Quality planning covers the
identification, classification and weighing of
sponsor changes the requirements.
product quality characteristics (see [1]), establish-
As an output of contract review activities, pro- ing the objectives, requirements and constraints
gram and research design/planning committees for quality, as well as the preparation of quality
should have a clear understanding of the kind of plans. Quality plans are documents setting out
programs/courses/research required, as well as the the specific quality practices, resources and
faculty's (department's) ability to offer such pro- sequence of activities relevant to a particular
grams and research. A document outlining core product, project or contract. This means that
requirements can be prepared in the form of a each course, program and a contracted research
program or research project brief, much like project should have a separate quality plan, stand-
product briefs in manufacturing. An example of ing alone or as a part of the course or research
a typical contract review process in an engineering project plan. A typical course quality plan should
department is presented in Fig. 2. include:
ISO 9001 Quality System for the University 109
. course requirements from the General Calendar; . instructions for teaching assistants and
. course objectives and specific knowledge/ laboratory technicians;
competencies to be developed in students; . detailed inspection plan, including the type of
. course prerequisites & statement of any tests (exams) planned, topics covered and
incoming inspection of student background weights assigned for each test.
knowledge;
. detailed topic layout and schedule of presenta- Purchasing. Product design and quality planning
tion (can be in a checklist form to provide the is followed by the acquisition of necessary
record of topics covered in class and the topics resources, including academic and support staff,
students would study on their own); information and material resources (hardware, soft-
. list of required textbooks, software and labora- ware, equipment and facilities), as well as students.
tory notes; The objective of the purchasing requirement of
110 S. Karapetrovic et al.
ISO 9001 is to ensure that these resources con- . subcontracting of resources (facilities manage-
form to the specified requirements. This is neces- ment, equipment maintenance, student trans-
sary because the university builds the acquired port);
resources into its products. For example, only the . appointment of academic and support staff,
students who meet entrance standards should be including professors, teaching and research
allowed to enroll. Defective purchased material, assistants/associates, administrative and techni-
such as a faulty overhead projector or inappro- cal staff (see Fig. 4);
priate software loaded on the network, may nega- . admission of undergraduate and postgraduate
tively affect the quality of the teaching, learning or students.
research processes.
The following processes should be covered by Also, the appropriate verification of a purchased
adequate procedures and records: product or an acquired resource must be planned,
executed and reviewed. Where specific contracts
. purchasing of hardware and software required require the department or faculty/staff members to
for the proper delivery of programs, courses and verify purchased products or acquired resources at
research projects; subcontractor's premises, this verification should
ISO 9001 Quality System for the University 111
be planned, conducted and recorded according to equipment and methods. This ISO 9001 require-
the particular contract. An example of such ment covers the methods and equipment used
activities may include screening of high school for measuring and testing of student knowledge/
students through visits, the assessment of com- abilities, methods applied to ensure that programs/
munity college programs to provide credits to courses conform to the specified requirements, as
transfer students and so on. In some instances, well as the measuring and testing equipment used
specific contracts may require the customers to in research activities. The following processes are
verify purchased products or services at univer- included:
sity's premises. This, in general, pertains to
research contracts, but may include visits by the . design of tests, quizzes, assignments, project
representatives of industry and governmental requirements, exams;
agencies to verify the delivery of programs and . designing, applying, reviewing, validating, chang-
research. ing and improving the marking and grading
schemes;
Control of inspection, measuring and testing equip- . review of inspection and testing methods for
ment. Another set of resources that has to be student knowledge, experience and skills;
allocated before the actual delivery of programs . control, calibration and maintenance of
and research includes the inspection/measuring equipment used for inspection, measuring and
112 S. Karapetrovic et al.
testing at the course level, such as instant scoring . compliance with reference course and research
machines, standardized and computerized tests; project quality plans;
. control, calibration, maintenance, handling and . monitoring and control of product quality
safeguarding of inspection, measuring and test characteristics and suitable process parameters;
equipment used in research activities; . preventive/corrective maintenance of equipment
. control, maintenance and review of methods used for teaching, learning and research.
used for inspection and measurement of the
degree to which an undergraduate or a graduate It is important to note that the control of the
program meets specified requirements. learning process and its product, namely student
knowledge, is also focused by the inspection and
testing element of ISO 9001 (see following section).
Control of customer-supplied product. The objective This element covers the student-based control
of this element of the quality system is to demon- of individual learning, via student presentations,
strate the capability of the faculty (department) to seminars and design projects.
identify, maintain, store, preserve and properly Process control activities may be categorized
handle all material provided by students in the into four groups:
course of studies, and all products provided by . process control design
external organizations with which the department . control of resources
has contracts for research projects. The identi- . process control implementation
fication, verification and handling of student- . process control improvement.
supplied material, such as exams, tests, assign-
ments, reports, theses, software and books are Table 2 illustrates the activities of teaching and
covered. Also, the examination, storage, main- research process control, respectively.
tenance, preservation, handling and proper
usage of hardware and software provided by Inspection and testing. Student knowledge, pro-
research sponsors, industry and governmental grams/courses and research must be inspected
institutions and/or agencies should be documented and tested against the requirements set in appro-
by appropriate procedures and records. priate procedures and quality plans. Also, records
of such activities must be kept. The ISO require-
ment 4.10 Inspection and Testing applies to the
Training. The faculty (department) and individual
receiving, in-process and final inspection of:
faculty and staff members must identify the train-
ing needs of its faculty and staff, and provide for . undergraduate students' knowledge and skills
the adequate training. Also, student counseling acquired in a particular course;
needs should be identified and proper counseling . student's academic status (program level inspec-
services supplied. Thus, the following processes tion);
should be addressed by appropriate procedures: . graduate students, including course-work and
. development and training of faculty, teaching thesis-related work;
. research projects against the requirements set
and research assistants, and support staff;
. student curriculum counseling; out in the research contract and/or project plan.
. faculty members' maintenance of professional Specific activities are outlined in Table 3.
competence;
. research staff development and training, including Inspection and test status. After performing inspec-
sabbatical leaves; tion and testing of its products, the faculty (depart-
. faculty promotion and tenure. ment) must ensure that the products are properly
Appropriate records of training activities must be identified, and that the inspection and test status
maintained. indicates whether the products are conforming
or nonconforming to specified requirements. For
example, a class list with grades for specific com-
Process control. After the allocation and deploy-
ponents of the course indicates a student's inspec-
ment of adequate resources, the delivery of pro-
tion and test status in a course. Another example
grams and research is soon to follow. In general,
is the student academic status, determined after
the teaching, learning and researching processes
evaluation by the board of examiners. A student
are addressed by this requirement. The objective is
may also be requested to repeat a course, and his/
to ensure proper identification and planning of
her status indicated on the transcript. Thus,
these processes, and to ensure that they are carried
inspection and test status of undergraduate and
out under controlled conditions. Controlled con-
graduate students at the course and program
ditions include:
levels, as well the status of research projects
. documents defining the manner in which the conducted in the faculty (department) must be
processes are carried out, such as course/ identified.
research project plans and procedures;
. use of a suitable equipment and a suitable Control of nonconforming product. The purpose
working environment; of inspection is to confirm whether a product
ISO 9001 Quality System for the University 113
GROUP ACTIVITY
GROUP ACTIVITY
conforms or does not conform to specified require- Corrective and preventive action. A logical path
ments. Nonconforming products are students who after the occurrence of nonconforming products
do not meet course or program requirements, is to look for and eliminate the causes of these
courses/programs that failed to achieve stated nonconformities, if feasible. This is done by plan-
objectives, as well as research projects that did ning, designing, implementing and reviewing
not meet specified contract requirements. Research adequate corrective actions to prevent existing
activities have such a nature that sometimes a nonconformities from occurring again, and
failure to prove a hypothesis is a valuable research adequate actions to prevent the occurrence of
result. In this case a `failure' is not necessarily potential nonconformities. Corrective and pre-
identical to nonconformance. Only when a con- ventive actions taken at all stages of planning,
tract with industry or a research sponsor exists design and delivery of programs, courses and
should this ISO 9001 element be applied in research in the faculty (department) are included
research. in this element. Existing and potential nonconfor-
The identification, evaluation, documentation mancies are identified, for instance, by means of
and segregation of nonconforming students, internal Quality Audits, statistical techniques, tests
courses/programs or research projects are required. or personal observations.
In terms of undergraduate students, control of
nonconformancies related to term-work and final
exams, as well as control of students under academic Handling, storage, packaging, preservation and
suspension is required. Control of graduate stud- delivery. The material and equipment used in
ents who do not meet course or thesis requirements, teaching, learning and research should be properly
as well as nonconforming contracted research handled, stored and preserved in order to prevent
must be addressed by appropriate procedures and damage or deterioration. Also, a safe and healthy
records, as well. environment should be provided. In case of any
114 S. Karapetrovic et al.
PROCESS ACTIVITY
drafted and signed by the dean (department head). general is the main objective. A documented and
An example follows: implemented quality assurance system, that complies
with the International ISO 9001 Standard, and will be
The Faculty of Mechanical Engineering has committed
itself to provide the best quality in teaching, learning registered, supports this policy. All members of the
and research. Meeting the needs of our students, their Faculty understand and follow this policy.
future employers and the needs of the community in Signature and date
116 S. Karapetrovic et al.
The executive management (defined in Table 1) engineering faculty with three departments can
ensures that the quality policy is understood, have three separate manuals, one for each depart-
implemented and maintained. Apart from clearly ment, or one for each product: undergraduate
emphasizing quality objectives, management res- programs, and graduate programs and research.
ponsibility facilitates that the interrelationships In terms of procedures, the faculty (department)
and authorities of all persons whose work influ- may decide to prepare one procedure for each
ences quality of student knowledge, courses and requirement of the standard. The procedures
research is defined. This includes responsibility explain in detail who does what, when and
and authority of the faculty/department adminis- where. Procedures make reference to instruc-
tration, professors (instructors), teaching/research tions that define how an activity or part of a
assistants/associates, technicians and adminis- process is performed. Examples of instructions
trative/support staff. Organizational charts or may include the teaching assistant's instruction
responsibility matrices may serve in this mandate. for conducting laboratory experiments, librarian/
The executive management must also identify the technician instructions, and so on.
need for appropriate resources (instructors, assist-
ants, courses, laboratory equipment, library, audio/ Document and data control. Document control
video/computer equipment), as well as appoint an ensures that accurate, up-to-date documents are
ISO 9000 Coordinator. The coordinator should readily available when and where required. All
be a faculty member with a thorough under- documents and data pertaining to the quality
standing of the ISO 9001 quality system and the system must be adequately identified, prepared,
educational and research processes in the faculty reviewed, revised, approved and maintained.
(department). His/her responsibilities include Thus, the issuance and approval of quality system
liaison with external parties, such as other faculties documents and data, including the preparation,
and/or universities, university administration, stu- updating and maintaining the Master List of
dent records office and customers/subcontractors Quality System Documents, as well as the docu-
of the faculty (department). ment and data changes are covered here. The scope
At prescribed intervals, or when required, the of documentation to be controlled includes the
executive management conducts management Quality Manual, procedures, instructions, records
reviews. A management review includes: and course and research project plans. The need
. internal Quality Audits; for and use of each document must be clear and
. overview and analysis of the quality policy and regularly reviewed.
objectives;
. assessment of quality system effectiveness; Control of quality records. For the purpose of
. analysis of customers requirements/needs; providing evidence that adequate quality assur-
. interrelationship between customer requirements ance activities are being carried out, the faculty
and policy and objectives. (department) must have a procedure in place for
the control of all quality records. This requirement
While Quality Audits are performed against the of the standard applies to the identification, collec-
departmental goals and objectives, management tion, indexing, access, filing, storage, maintenance
reviews are performed by the executive manage- and disposition of quality records. To maintain the
ment against the quality policy. A management scope of these records, a master list of all forms
review may include the review of documentation considered to be `quality records' should be kept.
emerging from the audits. Records of management
reviews must be kept and evidence of actions Product identification and traceability. There is a
arising from them must be available. need to properly identify the product and provide
means for the traceability of related quality prob-
Quality system. This requirement addresses the lems to their causes. Therefore, adequate identifi-
scope of the quality system, and the required cation of all courses, research projects, students,
documentation. If the faculty (department) faculty and staff, as well as the traceability of
plans not to include certain products in the quality nonconformancies in student academic progress,
system, such as research, the range of products and courses/programs and research projects are very
services included in the quality system must be important. The following processes are addressed
stated. A quality system must be documented with by this ISO 9001 element:
an appropriate quality manual, procedures,
instructions and records. This allows proper com- . issuing and safekeeping of student numbers and
munication, audits and verification activities. The identification cards;
Quality Manual describes the quality system and . issuing and safekeeping of faculty and staff
refers to quality system procedures. Depending on identification cards;
the scope of the quality system and the organi- . handling of department and course numbers;
zational structure of the institution, a Quality . issuing and distributing registration calendars to
Manual can be drafted on a faculty or depart- students;
mental basis, or it can address specific products, . assigning numbers and codes to research
such as programs or research. For example, an projects.
ISO 9001 Quality System for the University 117
REFERENCES
1. S. Karapetrovic, D. Rajamani and W. Willborn, The University Manufacturing System: ISO 9000
and accreditation issues, Int. J. Engineering Education 13(3), p. 180±189 (1997).
2. R. G. Lewis and D. H. Smith, Total Quality in Higher Education, St. Lucie Press, Delray Beach,
Florida (1994).
3. W. Willborn and T. C. E. Cheng, Global Management of Quality Assurance Systems, McGraw Hill,
New York (1994)
4. British Standards Institute, BS 5750: Guidance Notes for Application to Education and Training, BSI,
Milton Keynes, UK (1994).
5. National Accreditation of Certification Bodies, Guidelines on the Application of the ISO 9000 Series
to Further Education and Training, NACCB, London, UK (1994).
6. Mission of the University of Manitoba, General Calendar, 1997, University of Manitoba, p. 4.
7. S. Karapetrovic and W. Willborn, Creating zero defect students, Total Quality Management
Magazine, 9(4), pp. 287±291 (1997).
8. J. Velury, ISO 9000: Focusing on Quality Systems, Industrial Management, 38(6), p. 11±15
(1996)
9. S. Karapetrovic and W. Willborn, The system's view for clarification of quality vocabulary, Int. J.
Quality and Reliability Management, 15(1), pp. 99±120 (1998).
118 S. Karapetrovic et al.