The ISO 9001 standard is filled with references to the term “top management.” In addition to various clauses that cite its responsibilities, there is a specific item that outlines the expectations of its engagement with the critical aspects of the quality management system.
This item, the fifth in the standard that talks about leadership, encompasses a series of activities that top management needs to demonstrate authority and commitment to the management system.
But after all, what is top management? What are its true responsibilities within a company? What is top management review? Next, we will answer these and other questions regarding this crucial topic when we talk about quality management systems (QMS).
What is top management?
According to ISO 9000:2015 Quality Management Systems – Fundamentals and Vocabulary, Top Management “is a person or group of people who directs and controls an organization at the highest level.” It also defines that “Top Management has the power to delegate authority and provide resources within the organization.”
Therefore, top management is the one who has authority, resources, and decision-making power over changes in the company. Besides leadership, it must also demonstrate commitment to the quality management system.
It is known that the standard does not mandate which position(s) should assume this function. However, it is important that this person or group is aware of their responsibilities and demonstrates knowledge, engagement, and active participation in the entire process involving the management system.
What are the responsibilities of top management?
Top management is responsible for establishing policies, guidelines, and strategic objectives, as well as providing leadership and direction for quality management within the organization. It must also establish and hold accountable those responsible for the various processes of a management system.
Check below the responsibilities of top management as described in ISO 9001:2015:
- Account for the effectiveness of the quality management system;
- Ensure that the quality policy and objectives are established for the QMS and are compatible with the context and strategic direction of the organization;
- Ensure the integration of the quality management system requirements into the organization’s business processes;
- Promote the use of the process approach and risk-based thinking;
- Ensure that the resources needed for the QMS are available;
- Communicate the importance of effective quality management and its compliance with the quality management system requirements;
- Ensure that the QMS achieves its intended results;
- Engage, direct, and support people to contribute to the effectiveness of the quality management system;
- Ensure that the responsibilities and authorities for relevant roles are assigned, communicated, and understood within the organization.
The detailing of each of these responsibilities can be found directly in the standard. However, this listing shows how important and vital this function is within an organization.
The last item also emphasizes that besides preparing the company to face all challenges, top management also assists teams in performing their functions. Thus, everyone in the company needs to be involved and willing to make it happen.
Leaders must show employees that leadership is something that applies to all areas at all times, just as each function directly influences the quality of the services and/or products produced by the organization.
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Role of top management in quality management
Quality management must always start from the top management of the organization. After all, it is the one that initiates the quality management system (QMS) of the company. It is the directors of the company who set the corporate goals and objectives for each quarter.
It is the role of the board to ensure that the necessary quality is maintained through all those involved in the business, as well as to encourage employees to stay engaged in the implementation of the QMS.
Leaders are also responsible for ensuring that organizational policies are communicated, understood, and implemented. They must maintain a healthy internal environment within the company, allowing workers to have the necessary tools to meet their objectives.
Monitoring quality management
After the QMS has been implemented, top management must also ensure that it continues to be effective. This includes monitoring, analyzing, and frequently reviewing performance metrics.
It is also the directors’ responsibility to monitor customer feedback and process efficiency. After verifying all these points, areas that need improvement should be determined, and a plan should be created to achieve these quality improvements.
Risk assessment
The executive team of the company also needs to have a proactive approach to risk management. Therefore, it is necessary to ensure that potential threats are identified, assessed, and controlled effectively.
Top management is responsible for dealing with both internal risks—such as operational inefficiencies—and external threats, such as changes in market dynamics.
Senior leadership must also ensure that risk assessment is integrated into the company’s strategic planning, ensuring that all decisions are made based on a thorough analysis of the possible impacts on quality.
What does ISO 9001:2015 say about top management
To obtain ISO 9001 certification, the organization’s board must ensure that the QMS is achieving the expected results, as well as that the philosophy of continuous improvement has been successfully implemented.
So much so that clause 5 of the standard specifically talks about the company’s top management. In this section, we will talk a little about the sub-clauses of section 5 of ISO 9001 and what they express about the topic.
5.1 Leadership and commitment
The standard determines that leadership must take the lead in the organization’s quality management. For this, it must show involvement and commitment to this system.
The board must understand each indicator measured in the process, provide the necessary resources, and encourage continuous improvement within the organization. For this, it is necessary that it:
- Takes responsibility. It must take responsibility for the effectiveness of quality management. The board is the first to be held accountable for the success of the QMS.
- Integration with processes. The quality management system must be integrated with the organization’s business processes. For example, the quality policy must be aligned with the company’s objectives, with the adoption of procedures that reflect its daily activities.
- Show the importance of the QMS. ISO 9001 also determines that top leadership must influence all those involved in quality management to work towards the same goals.
- Support managers. Being in the middle of the hierarchy, it is common for managers not to receive the attention they need. To remedy this, top management must work together with managers, supervisors, and other leaders—always reinforcing the importance of their contribution to quality management.
5.2 Quality Policy
The second subclause talks about something we have already mentioned in this article: top management is responsible for creating, documenting, and communicating the quality policy. It must also ensure that these guidelines are available to all relevant stakeholders.
In general, this ISO 9001 requirement addresses both the development and communication phases of the organization’s quality policy. The standard also determines that quality management should align with the company’s purpose and context at the time of its formulation.
5.3 Organizational Roles, Responsibilities, and Authorities
To complete, we have subsection 5.3, which establishes that top management must define responsibilities and authorities within relevant roles. In other words, the board is responsible for assigning, communicating, and ensuring the understanding of each stakeholder’s role in quality management.
In this context, authority corresponds to the right to perform an action or order someone else to do so. Meanwhile, responsibility is the duty to answer for a particular action, including the blame if the project fails.
Additionally, top management must ensure that all employees understand their responsibilities and authorities, promoting an environment of transparency and shared accountability.
What is top management review?
One of the previously mentioned responsibilities is to critically review the organization’s quality management system, which refers to the term “top management review.” Item 9.3 of the ISO 9001:2015 standard outlines all the characteristics that this review should contain.
According to the terms of the standard: “Top management shall review the organization’s quality management system at planned intervals to ensure its continuing suitability, adequacy, effectiveness, and alignment with the strategic direction of the organization.”
In other words, after implementing a Management System, top management must monitor the performance of the results obtained — as well as verify if the established requirements have been met and what improvements can add value.
This review assesses whether the defined indicators are truly demonstrating the system’s effectiveness. Additionally, it is crucial to verify compliance with customer and other stakeholder requirements.
Conclusion
Top management plays an essential and multifaceted role within an organization, especially in the context of a Quality Management System (QMS) created in accordance with the ISO 9001:2015 standard.
Its responsibilities go beyond simple supervision: they involve active leadership, commitment to continuous improvement, and the integration of quality processes into the company’s strategic objectives.
By taking control and continuously monitoring the effectiveness of the QMS, top management not only ensures compliance with regulatory requirements but also drives the company towards sustainable success. This commitment must be shared at all levels of the organization, promoting a quality culture that permeates operations in their entirety.
Ultimately, top management must act as the engine that drives the organization towards excellence, ensuring that quality policies are more than a formal requirement but a living practice integrated into all aspects of the business.
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