Defining Roles, Responsibilities, and Authority Procedure (SOP) | ©AllaboutQMS

 

1. Purpose

The purpose of this procedure is to establish a structured system for defining and understanding roles, assigning responsibilities, ensuring accountability, and delegating authority. It also ensures the provision of essential resources for effective quality management. The procedure aims to confirm that personnel are appointed formally in writing and that each appointed individual performs their assigned activities and responsibilities in line with the organization’s Quality Management System (QMS), corporate policies, and legal requirements.

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2. Scope

This procedure is applicable to any organization implementing or maintaining a QMS. All departments, branches, or affiliates are required to comply with the minimum legal requirements and, where possible, adhere to international standards and best practices.

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3. Details of the Procedure

3.1 Assignment and Communication of Roles

Top management must ensure that responsibilities and authorities for relevant roles are clearly assigned and communicated across the organization. These responsibilities should include:

• Ensuring conformity to QMS requirements.
• Reporting on QMS performance and effectiveness.
• Supporting continual improvement initiatives.

Responsibilities and authorities must be documented and maintained.

3.2 Key Examples of Assigned Responsibilities

These may include:

• Reporting QMS performance to top management.
• Communicating with regulatory bodies and public authorities.
• Handling of hazardous waste manifests.
• Submitting reports to regulatory bodies.

An effective QMS requires the full commitment and understanding of all employees regarding their responsibilities and authorities.

3.3 Structured Responsibility Assignments

This clause ensures each individual assigned to a role within the QMS understands their duties and who they report to. Job descriptions and project-specific role assignments should reflect these expectations. Clear communication and documentation are vital to the effectiveness of the system.

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3.4 Role in QMS Evaluation

Organizations must establish clear roles for evaluating QMS performance. These include assessments of:

• Quality policy effectiveness
• Achievement of quality objectives
• Compliance evaluations
• Operational controls

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3.5 Responsibilities and Accountability Levels

3.5.1 Top Management

Responsible for:

• Formulating and monitoring quality policies and objectives
• Providing financial, human, and technical resources
• Ensuring personnel understand their QMS responsibilities
• Supporting personnel in achieving QMS objectives
• Enforcing and maintaining the QMS
• Reviewing and ensuring achievement of QMS goals

3.5.2 Middle Management

Responsible for:

• Managing resources (financial, human, technological) within their departments
• Applying knowledge and technical skills
• Supporting QMS implementation
• Enforcing QMS requirements in their domain
• Contributing to the achievement of organizational quality objectives

3.5.3 Management Representative (MR)

Responsible for:

• Developing and maintaining QMS procedures and documentation
• Ensuring resources are identified and provided
• Reporting QMS performance to top management
• Establishing standardized practices for compliance
• Supporting formation and functioning of the QMS Committee
• Conducting periodic audits for QMS effectiveness
• Recommending improvements during management reviews

3.5.4 MR’s Review and Corrective Action Role

The MR also regularly reviews:

• Audit results
• Communication feedback
• Compliance data

Based on the analysis, the MR initiates corrective and preventive actions and reports trends to top management for decision-making during review meetings.

3.5.5 All Other Employees

Responsible for:

• Supporting management in achieving QMS goals
• Following procedures and work instructions
• Reporting non-conformances and participating in corrective actions

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3.6 Job Descriptions

Each position in the organization must have a documented job description that outlines:

• Key responsibilities
• Required skills and competencies

The Human Resources Manager maintains an updated master list of all approved job descriptions. A copy is kept in each employee’s personal file.

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3.7 Organizational Structure

The organization must develop and maintain an updated organizational chart (organogram) that shows:

• Departmental structures
• Appointed responsible persons in each area

The organogram should be displayed where necessary and reviewed annually or whenever significant changes in management occur.

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This comprehensive approach ensures the QMS is not just a policy on paper but an integrated part of how the organization operates—from top management to every employee.