The design of the certification service of quality management systems ISO 9001: a case study in a military organization of the Brazilian Navy

Sousa, Antonelly Assis Gregorio de; Lima, Manoel Paulo da Silva; Fermam, Ricardo Kropf Santos

doi:10.1590/0104-530X4715-20

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ORIGINAL ARTICLE • Gest. Prod. 27 (4) • 2020 • https://doi.org/10.1590/0104-530X4715-20 copy

The design of the certification service of quality management systems ISO 9001: a case study in a military organization of the Brazilian Navy

O projeto de concepção do serviço de certificação de sistemas de gestão da qualidade ISO 9001: um estudo de caso em uma organização militar da Marinha do Brasil

Authorship SCIMAGO INSTITUTIONS RANKINGS

Abstract:

The Brazilian Navy is preparing to design, build and repair nuclear submarine. One of the initiatives adopted was the creation of the Naval Agency for Nuclear Safety and Quality (AgNSNQ) which aims to assist the licensing of nuclear and naval facilities and conformity assessment of Quality Management Systems. The concept of the certification service of management systems needs to be evaluated, before expending resources and people to develop. This article aimed to assess the characteristics of AgNSNQ to design the ISO 9001 QMS certification service through the service project model. A case study was conducted to evaluate the characteristics of the AgNSNQ concerning the criteria. The article's contributions indicate that AgNSNQ should primarily promote efforts to train its auditors to create favorable conditions for designing the ISO 9001 QMS certification service.

Keywords:
Certification; ISO 9001; Quality Management Systems; Service Design Project

Military Organization	UF	Certification Body	Scope	S	P
Arsenal de Marinha do Rio de Janeiro	RJ	BVQI DO BRASIL SOCIEDADE CERTIFICADORA LTDA	Manufacture of tubes, pipes, hollow profiles, and associated steel fittings	5	5
	RJ		Other consulting, scientific, technical and similar activities, n.e.	5	5
	RJ		Activities auxiliary to water transport	5	2
Caixa de Construções de Casas para o Pessoal da Marinha	RJ	ICQ BRASIL - INSTITUTO DE CERTIFICACAO QUALIDADE BRASIL	Other financial service activities, except insurance and pension funds, n.e.	2	1
Capitania dos Portos de Alagoas	AL	FCAV - FUNDAÇÃO CARLOS ALBERTO VANZOLINI	Technical and vocational secondary education	2	2
Capitania dos Portos de Sergipe	SE	ABNT - ASSOCIAÇÃO BRASILEIRA DE NORMAS TÉCNICAS	Other educational activities, n.e.	2	2
Capitania dos Portos de Sergipe	SE	ABNT - ASSOCIAÇÃO BRASILEIRA DE NORMAS TÉCNICAS	Other educational activities, n.e.	2	2
Capitania dos Portos do Ceará	CE	BRTUV AVALIAÇÕES DA QUALIDADE S.A.	Sea driving and driving schools	2	2
Capitania dos Portos do Ceará	CE	BRTUV AVALIAÇÕES DA QUALIDADE S.A.	Sports and recreational education	1	2
Capitania Fluvial do Araguaia	TO	FCAV - FUNDAÇÃO CARLOS ALBERTO VANZOLINI	Sea driving and driving schools	1	1
Centro de Análise de Sistemas Navais	RJ	LLOYDS REGISTER DO BRASIL LTDA	Other consulting, scientific, technical and similar activities, n.e.	5	5
Centro de Análise de Sistemas Navais	RJ	LLOYDS REGISTER DO BRASIL LTDA	Other telecommunications activities	5	5
Centro de Instrução Almirante Graça Aranha	RJ	ABNT - ASSOCIAÇÃO BRASILEIRA DE NORMAS TÉCNICAS	Technical and vocational secondary education	4	3
Capitania dos Portos do Espírito Santo	ES	ABNT - ASSOCIAÇÃO BRASILEIRA DE NORMAS TÉCNICAS	Other educational activities, n.e.	2	2
	ES		Technical and vocational secondary education	2	2
	ES		Other educational activities, n.e.	2	2
	ES		Other educational activities, n.e.	2	2
Capitania dos Portos do Rio de Janeiro	RJ	ABNT - ASSOCIAÇÃO BRASILEIRA DE NORMAS TÉCNICAS	Technical and vocational secondary education	3	2
	RJ		Sports and recreational education	3	2
	RJ		Teaching of cultural activities	3	1
	RJ		Other educational activities, n.e.	3	2
Delegacia da Capitania dos Portos em Macaé	RJ	ABNT - ASSOCIAÇÃO BRASILEIRA DE NORMAS TÉCNICAS	Technical and vocational secondary education	2	2
Centro Tecnológico da Marinha em São Paulo	SP	BVQI DO BRASIL SOCIEDADE CERTIFICADORA LTDA	General mechanical activities	4	5
Average				2.91	2.61

Base	Results found	Selected Result	Author	Synthesis	Criterion	Score	Justification
Scielo	15	A multi-criteria approach to a service consultancy and certification of Quality Management Systems	Silva & Melo (2017)Silva, A. M., & Melo, R. M. (2017). Uma abordagem multicritério para a seleção de serviços de consultoria e certificação de Sistemas de Gestão da Qualidade. Gestão & Produção, 25(1), 160-174. http://dx.doi.org/10.1590/0104-530x2753-16. http://dx.doi.org/10.1590/0104-530x2753-...	Paper of Gestão & Produção Journal in which the authors elaborated a multicriteria methodology for the qualification and selection of Consultants for the implementation of ISO 9001 QMS and accredited ISO 9001 QMS Certification Bodies.	Cost	5	Because the organization has its operating costs borne by the Union, because not depend on income from certification activities to sustain itself.
					Payment methods	5	Because the organization has its operating costs borne by the Union, because not depend on income from certification activities to sustain itself.
					Transparency	5	For the planned market segment (MO of MB) the organization can act with total transparency without fear of exposing intellectual property.
					Ability to Answer Complaints	1	Currently, the body has no experience to meet the criteria.
					Certification Proposal	1	Currently, the body has no experience to meet the criteria.
Capes thesis and dissertations catalog	9	The impact of certification on the quality of the Brazilian aerospace sector from the perspective of certified organizations	Rambo (2011)Rambo, A. C. (2011). O impacto da certificação na qualidade do setor aeroespacial brasileiro na perspectiva das organizações certificadas (Dissertação de mestrado). Universidade de Taubaté, Taubaté.	Master's thesis in which the author evaluated 18 factors that interfere in the audits of QMS in the aerospace sector. Among the factors, 5 are related to the performance of the auditors.	Technical competence and personal attributes of the auditor;	3	Although the body of auditors have a higher level and a postgraduate degree in Metrology and Quality, they have little experience in audits of QMS ISO 9001
					Prior analysis of the organization's QMS;	3	MB has few organizations and few types that deliver similar products and services, it is believed, therefore, that auditors did not have difficulty to understanding the QMS of these organizations; however, it does not currently have the experience to review QMS in the light of ISO 9001 critically
					The presentation of findings and conclusions of the audit;	2	Auditors' knowledge of this criterion is essentially theoretical
					The critical analysis and dissemination of audit results;	2	Auditors' knowledge of this criterion is primarily theoretical.
					Take note of the results during and at the end of the audit;	2	Auditors' knowledge of this criterion is primarily theoretical.
Average						2.9

Results found	Selected Result	Author	Synthesis	Identified gaps (explanation)	Score	Justification
4	Critical analysis of the audit process of the quality management system in the aerospace sector	Souza (2010)Souza, L. P. (2010). Análise crítica do processo de auditoria de sistema de gestão da qualidade no setor aeroespacial (Dissertação de mestrado). Universidade de Taubaté. Taubaté.	The author interviewed auditors to identify which requirements are ranked as the most important and which have the highest compliance rate in practice in the QMS audit process. Through a Pareto chart, the author identified the 5 most significant gaps between the most critical requirements and their levels of application in practice.	Selection of the audit team: indicates that greater attention should be given to the planning of the audit, as to the skills required for the auditors selected to perform the audit.	3	Considering the academic qualification criteria, the AgNSNQ (postgraduate) auditors have the potential to fill this gap; however, the low and experience in QMS audits prevents filling this gap.
				Top management commitment: it shows that, in the perception of the auditors, the commitment of the top management of the organizations is precarious but fundamental for the audit to reach the desired effect.	1	The AgNSNQ has no potential to promote a more significant commitment of the Senior Management of the audited organizations because involved in a hierarchical environment
				Improvement of the audit process: denotes the need to establish a more effective system for the continuous improvement of the audit process from both the auditee and INMETRO evaluators.	1	Because it has little experience, this gap has a low potential to be filled by AgNSNQ auditors
				Previous analysis of the organization's QMS: shows that there is a potential need to improve the prior analysis of the organization's QMS by understanding its products and processes adequately.	3	MB has few organizations and few types that deliver similar products and services, it is believed, therefore, that auditors did not have difficulty understanding the QMS of these organizations; however, it does not currently have the experience to critically analyze QMS in the light of ISO 9001
				Communication during the audit: the ability to communicate effectively through the various hierarchical levels of the organization audited during audits.	5	Because it belongs to the same institution (MB), it is expected that the AgNSNQ auditors don't have difficulties communicating with the audited organizations
Average					2.6

Feature	Innovation	D	P	V	Average	Justification
Independence of revenue from services rendered	Free service	5	5	3	4.34	Because the organization is not for profit, the service can be offered free of charge, is the responsibility of the audited the costs with the transfer and hosting of the auditors vis-a-vis SGQ outside RJ (AgNSNQ headquarters)
Independence of revenue from services rendered	Detailed audits	1	5	1	2.34	Given the lack of pressures to minimize audit times, these would prioritize compliance; however, the auditees would prefer less time-consuming audits to minimize the impact on the organization's operation and the values with hosting audit staff
Auditors of the institution itself	Procedures Using MB Terms and Codes	5	4	5	4.67	The auditees would have a natural understanding of certification procedures due to the use of terms and codes used by the institution; however, this customization could create confusion for INMETRO evaluators
Auditors of the institution itself	Audits following the MB secrecy requirements	5	5	5	5	Since the auditors belong to the same institution, the probability of leakage of sensitive information from organizations involved with the SN-BR project is small
The body belonging to the same institution as the audited	Full access to the body's procedures	3	2	4	3	Despite the facility for auditees to access procedures for certification activities, routine procedural revisions could lead to a gap between current procedures and those available on the sharing platform
Average General					3.87

Process	Score	Justification
Critical Review of QMS Documentation	2	The auditors only have theoretical knowledge regarding the criteria evaluated in this process.
Audit program planning and certification contract	2	The auditors only have theoretical knowledge regarding the criteria evaluated in this process.
Audit Planning for Phase 01	2	The auditors only have theoretical knowledge regarding the criteria evaluated in this process.
Conducting Phase 01	3	Auditors have theoretical and practical knowledge, but the experience is lacking.
Phase 02 Audit Planning	2	The auditors only have theoretical knowledge regarding the criteria evaluated in this process.
Conducting Phase 02	3	Auditors have theoretical and practical knowledge, but the experience is lacking.
Certification Decision	2	The auditors only have theoretical knowledge regarding the criteria evaluated in this process.
Certificate Issuance	3	Although they only have theoretical knowledge about this process, it is of low complexity
Supervision Audits	3	Auditors have theoretical and practical knowledge, but the experience is lacking.
Recertification	3	Auditors have theoretical and practical knowledge, but the experience is lacking.
Management of Impartiality	2	The auditors only have theoretical knowledge regarding the criteria evaluated in this process.
Competence of staff	5	AgNSNQ has an established process for the selection, qualification, and evaluation of its personnel
Confidentiality guarantee	4	AgNSNQ officers are subject to strict confidentiality procedures that can be used for the certification service
Suspension, cancellation or reduction of the scope of certification	2	The auditors only have theoretical knowledge regarding the criteria evaluated in this process.
Appeals	2	The auditors only have theoretical knowledge regarding the criteria evaluated in this process.
Claims	2	Os auditores possuem apenas conhecimentos teóricos a respeito dos critérios avaliados neste processo.
Customer registration	2	The auditors only have theoretical knowledge regarding the criteria evaluated in this process.
Control of Documents and Records	2	The auditors only have theoretical knowledge regarding the criteria evaluated in this process.
Critical review by senior management	2	The auditors only have theoretical knowledge regarding the criteria evaluated in this process.
Internal audits	2	The auditors only have theoretical knowledge regarding the criteria evaluated in this process.
Corrective actions	2	The auditors only have theoretical knowledge regarding the criteria evaluated in this process.
Average	2.43

Results	Author	Synthesis	Specifications	Score	Justification
The critical review of the quality audit process	Almeida (2012)Almeida, P. A. O. (2012). Análise crítica ao processo de auditoria da qualidade (Dissertação de mestrado). Instituto Superior de Contabilidade e Administração do Porto, Porto.	The author carried out a case study at a company where he collected data on the contribution of the audit process to the verification of the effectiveness of the organization's QMS	Experience	2	AgNSNQ auditors have little experience with QMS audits
			Good oral and written communication	4	The military training centers focus on oral and written communication skills as well as these skills are practiced during the career
			Technical knowledge of the standard and the audited process	2	The technical knowledge of the AgNSNQ auditors' standard is primarily theoretical; however, they have good prior knowledge of the auditees
			Leadership and ethical posture	3	The military career imposes as performance requirements criteria such as leadership and ethics, however, such characteristics were not applied during QMS audit processes
Audits of management systems: skills for adding value	Soratto da Silva (2011)Soratto da Silva, A. N. R. (2011). Auditorias de sistemas de gestão: competências para agregação de valor (Tese de doutorado). Universidade Federal de Santa Catarina, Santa Catarina.	The author identified a framework of audited and audited knowledge, skills, and attitudes that add value to audit processes	Knowledge in the scope of the audit and the processes to be audited	4	AgNSNQ auditors have good experience of the processes of MB organizations that are audited, but this expertise has never been applied in QMS audits
			The significance of findings, opportunities for improvement and nonconformities	2	As they have never participated as lead auditors in QMS audits, auditors currently only have theoretical knowledge regarding the criterion
			Useful report and appropriate analysis of the effectiveness of the corrective actions implemented by the auditee	2	As they have never participated as lead auditors in QMS audits, auditors currently only have theoretical knowledge regarding the criterion
Average				2.71

Design Phase of the Service Design Project	Average	Ranking
Strategic Analysis (item 4.3)
Segmentation (item 4.3.1)	2.91	With a great effort of the organization, this criterion can be taken care of
Positioning (item 4.3.2)	2.61	With a great effort of the organization, this criterion can be taken care of
Definition of Competitiveness Criteria and Focus Analysis (item 4.3.3)	2.9	With a great effort of the organization, this criterion can be taken care of
Definition of the Service Concept (item 4.3.4)	5	The characteristics found to meet the established criteria
Analysis of the gaps in the services offered by the market (item 4.3.5)	2.6	With a great effort of the organization, this criterion can be taken care of
Ideas for the service (item 4.4)	3.87	With little organization effort, this criterion can be met
Service Package (item 4.5)	2.43	With a great effort of the organization, this criterion can be taken care of
Specifications for the Service (item 4.6)	2.71	With a great effort of the organization, this criterion can be taken care of

Universidade Federal de São Carlos Departamento de Engenharia de Produção , Caixa Postal 676 , 13.565-905 São Carlos SP Brazil, Tel.: +55 16 3351 8471 - São Carlos - SP - Brazil
E-mail: gp@dep.ufscar.br

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[1] Source: INMETRO (2018)Instituto Nacional de Metrologia, Qualidade e Tecnologia – INMETRO. (2018). Portal certifique: consulta empresas. Retrieved in 2018, January 5, from http://certifiq.inmetro.gov.br/Consulta/ConsultaEmpresas
http://certifiq.inmetro.gov.br/Consulta/... . Legend: P = consistent with the proposed segmentation; S = ability to meet the scope.