Toleubay Z. Buzauova T.
Toleubay Z., Buzauova T. DEVELOPMENT OF CRITERIAL METHODS FOR SELF-ASSESSMENT OF SMALL ENTERPRISES IN ACCORDANCE WITH STANDARDS ST RK ISO 9001 - 2016 // Universum: технические науки : электрон. научн. журн. 2022. 4(97). URL: (дата обращения: 09.08.2022).
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The success of any business depends on its quality. It is time for manufacturers to adapt to the market environment and realize that they need to produce competitive and high quality products in the domestic and foreign markets. The development, implementation and certification of quality systems in accordance with international standards of the ISO-9001 series will become a necessary stage in the development of a modern enterprise, which will ensure the competitiveness of its products or services in the domestic and foreign markets. Today, leading companies conduct self-assessments not only to receive quality awards, but also to continuously improve their business performance. There are several factors to conduct the self-assessment. Traditionally, self-assessment is based on the organization's introduction to set up rules to achieve certain goals, and self-assessment determines the accuracy of these rules. The self-assessment process can use a set of defined criteria or methods of measurement and statistics. Quality control includes control of raw materials, technological processes and finished products. With continuous monitoring, information about the controlled parameters of technological processes is obtained continuously. Businesses today need methods to identify their shortcomings in advance and eliminate them in the future. As a result, businesses must be able to self-assess.


Успех любого бизнеса зависит от его качества. Производителям пора адаптироваться к рыночной среде и осознать, что им необходимо производить конкурентоспособную и высококачественную продукцию на внутреннем и внешнем рынках. Разработка, внедрение и сертификация систем качества в соответствии с международными стандартами серии ISO-9001 станут необходимым этапом в развитии современного предприятия, что обеспечит конкурентоспособность его продукции или услуг на внутреннем и внешнем рынках. Сегодня ведущие компании проводят самооценку не только для получения наград за качество, но и для постоянного улучшения показателей своего бизнеса. Существует несколько факторов для проведения самооценки. Традиционно самооценка основана на введении организацией правил для достижения определенных целей, а самооценка определяет точность этих правил. В процессе самооценки может использоваться набор определенных критериев или методов оценки


Keywords: quality system, petal diagram, requirements of standards, criteria, compliance, preparation process algorithm.

Ключевые слова: система качества, лепестковая диаграмма, требования стандартов, критерии, соответствие, алгоритм процесса подготовки


There was established new qualitative approach to the self-assessment procedure of small enterprises to increase the effectiveness of the development processes  and implementation of new certification quality systems in “Saryarka Nan” LLP enterprise in accordance with international standards of the ISO-9001-2016.

According to the self-assessment recommendations listed in the ST RK ISO 9001 - 2016 standard, there are, the main sectors which are taken into account to analyze the condition of the enterprise:

- Quality Management System;

- Management responsibility;

- Resource management;

- Processes of the life cycle of products (services);

- Measurement, analysis and improvement.

There are main criteria of enterprise evaluation to define:

Кс - evaluation criterion for to section 4 (Quality management system);

Ко - evaluation criterion for section 5 (Management responsibility);

Кр - evaluation criterion for section 6 (General management of resources);

Кп - evaluation criterion for section 7 (Release of products and / or services);

Ка -  evaluation criterion for section 8 (Measurement, analysis, improvement).

Thus, the general state of the quality system at the enterprise (Q) will depend on the values of these criteria (1):

Q = f (Кс, Ко, Кр, Кп, Ка)                                                        (1)

The values of these five criteria should fully reveal the state of the quality system at the enterprise. For convenience of calculations, the minimum value of each criterion is equated to zero, and the maximum value - to one (2):





With the maximum value of the criterion (Kmax), we can say that all elements of the enterprise quality system included in the relevant section fully comply with the requirements of the standards (3). The actual (or real) value of each criterion, which is in the range of values from, Kmin to Kmax, will tend to the maximum value (4).


Кact <1                                                           (3)


Кact® Kmax                                                         (4)


The criteria Кс, Ко, Кр, Кп, Ка will be the main criteria of assessment, and the approach to self-assessment that is based on the application of these criteria, will be the criterion approach.

The following graphic instructions are used to visualize the values of the main criteria:

a) histogram;

b) petal diagram;

c) histogram / graph;

d) 3-D area chart

Among the charts presented, the the preference is given to the petal chart. This decision is based of the following considerations:

• the ability to display the values ​​of all four criteria in one diagram with the formation of a single graphic figure (unlike the other types of diagrams);

• the ability to visually compare the values ​​of the criteria with the maximum values, and, consequently, the practical application - to visually identify inconsistencies;

• the informative content of the diagram particularly during the initial and subsequent self-assessment processes of tracking the dynamics of the values ​​of the criteria.

It is important to dynamically visualize the results of self-assessment of small businesses, defining the main assessment criteria and the way information is presented to track changes in the values ​​of the main criteria. During the process of monitoring the changes of the relevant criteria, it is difficult to use only one reference point that is the maximum value of the criterion and the control value for this part of the quality system structure. Consequently, it is important to determine several intermediate criteria values to comply with certain requirements of the system. These cases can be identified using the algorithm process of preparation of a small enterprise to certification of quality systems in accordance with the standards of ST RK ISO 9001-2016.

Therefore, using the five main criteria for a complex assessment of the quality system in a small enterprise and defining the main stages of development and implementation of the quality system, it is necessary to set up the range value criteria for each of the stages. These reference values will allow the enterprise to determine at what stage of implementation of the quality system it is to identify priority areas for improvement, as well as deficiencies that must first be eliminated to move on to the next stage.

Based on the above, we will define several ranges values for each of the main evaluation criteria. Using relations (2-4), the numerical values of the main evaluation criteria at intermediate points K1, K2, K3, K4 (selected based on the number of stages) can be equated, respectively, to (0.2; 0.4; 0.6; 0.8 ) (5).

• the validity of the choice of these values can be explained by the following factors: such values will lead to simplification of further calculations;

• each of the stages of implementation of the quality system is approximately equivalent in terms of time and resource costs, although, as noted above, the division into stages is rather arbitrary;

• the main emphasis is planned to be made on the content aspect of the main criteria (i.e. on the values and content of subcriteria).

K1= 0,2

К2= 0,4

К3= 0,6

К4= 0,8                                                                                                          (5)

So, the range values ​​of the main evaluation criteria for each of the stages of implementation of the quality management system will graphically look as follows (Pic. 1). As from the diagram, when the values ​​of the criteria are below the first control value (K1), there is one more stage, which can be characterized as pre-preparatory. Formally, the enterprise at this stage has not yet made a decision about the implementation of a quality system and bringing all the business processes in accordance with standard requirements (and, perhaps, the company's management has not yet fully realized the need for a certified quality system), however, the enterprise has already a certain management system, workflow, as well as other element characteristics of the quality system, and for the benefit of the enterprise it is important to evaluate all these elements and outline priority areas for the transition to the next stage (pic.1).


Picture 1. Graphic scale of the main criteria values to assess the enterprise in accordance with four stages of implementation in the quality system.


Each of the five main criteria to assess the quality system of small businesses must be represented by a set of internal criteria in turn. Following the  recommendations to improve efficiency (ST RK ISO 9001-2016), where self-assessment is based on the initial stages of control elements of sectors 4-8 of ST RK ISO 9001-2016, the selected information of these elements is based on the internal criteria of the assessment of enterprise.

Thus, there is a complete list of sub criteria grouped by sections, i.e., according to the main criteria for assessment of enterprise:

Кс - criterion "Quality management system" (1 subcriteria):

Кc1- Requirements for the quality system documentation.

Ко - criterion "Responsibility of management" (6 subcriteria):

Кo1 - Management commitment;

Ко2 - Customer orientation;

Ко3 - Quality Policy;

Ко4 - Planning;

Ко5 - Responsibility, authority and exchange of information;

Ко6 - Analysis by the management.

Кр - criterion "Resource Management" (4 subcriteria):

Кp1 - Provision of resources;

Кр2 - Human resources;

Кр3 - Infrastructure;

Кp4 - Working environment.

Кп - criterion "Product life cycle processes" (6 subcriteria):

Кп1 - Planning the life cycle of products;

Кп2 - Processes associated with the consumer;

Кп3 - Design and development;

Кп4 - Purchases;

Кп5 - Production and service;

Кn6 - Control of devices for measurement and monitoring.

Ка - criterion "Measurement, analysis and improvement" (4 subcriteria):

Кa1 -Monitoring and measurement;

Ка2 - Management of nonconforming products;

Ка3 - Data Analysis;

Ка4 - Improvement.

Therefore, the overall assessment system will consist of 5 main criteria and 21 sub-criteria (6).

Кс  = ¦ (Кс1);

Ко = ¦ (Ко1 , Ко2 , Ко3 , Ко4 , Ко5 , Ко6);

Кр  = ¦ (Кр1, Кр2 , Кр3 , Кр4);

Кп = ¦ (Кп1, Кп2 , Кп , Кп4, Кп5, Кп6);

Ка = ¦ (Ка1, Ка2, Ка3, Ка4 );                                                                             (6)

After the assessment according to this methodology, the state of the enterprise can be represented not only by one petal diagram showing at what stage each section of the quality system is, and what direction requires the involvement of additional resources of the enterprise, but also by four supplementary petal diagrams for each section (since the section "Quality Management System" is represented by only one sub criterion, building a diagram according to this criterion is inefficient), moreover, the coordinate axes in the diagrams will be sub criteria, and the number of axes will be equal to the number of sub criteria for each section. This division seems appropriate for a more complete picture of the state of the enterprise, i.e., for a more exact definition of those elements of the quality system that need improvement to move to the next stage and, therefore, to bring them in line with the requirements of ST RK ISO 9001-2016 [1].

At “Saryarka Nan” LLP, many elements of the quality system were developed and implemented using a criteria-based approach, and the processes associated with them were maintained in working order.

During the initial calculation of the main evaluation criteria, the following values of the main and additional criteria were obtained (7) [2]:










Ко2 =0,71  

Ко3 =0,86  

Ко4  = 0,5  

Ко5 =0,8  

Ко6 = 0,5 



Кр2= 0,71  

Кр3= 0,66  

Кр4 = 0,33





Кп2= 0,66   

Кп3= 0,81   

Кп4 = 0,9    

Кп5 =0,75 

Кп6 = 0,5



Ка2 = 0,4

Ка3= 0,55     

Ка4 = 0,73





There were generated petal charts and identified areas for improvement after an analysis made (pic. 2).


а) Ко criterion

         b) Кп criterion





c) Ка criterion


d) Кр criterion


Picture 2 - Petal diagrams obtained using the criterion approach at “Saryarka Nan” LLP



- Based on the analysis carried out, the criteria for self-assessment of “Saryarka Nan” LLP were determined in accordance with the standards of ST RK ISO 9001-2016.

- The basic principles of the criterion approach have been developed.

- The data on the self-assessment of the enterprise were obtained and the calculations were made. As a result, the most criteria values were close to 1. Values ​​close to 1 are the maximum value costs of the quality system of the enterprise.

- Consequently, based on the conducted research, the quality system of “Saryarka Nan” LLP is ready for certification according to ST RK ISO 9001-2016 standards.

- The developed criterion method for self-assessment of small businesses in accordance with the standards of ST RK ISO 9001 - 2016 allows small businesses to identify the inconsistencies with the requirements and take regulatory actions to eliminate the problem.



  1. ST RK ISO 9001 - 2016. Quality management systems / [Electronic resource].;
  2. ISO 22000 HAASP. Food safety management system / [Electronic resource]..
Информация об авторах

Master’s student, Karaganda Technical University, Kazakhstan, Karaganda

магистрант, Карагандинский Технический Университет, Казахстан, Караганда

Candidate of Technical Sciences, Karaganda Technical University, Kazakhstan, Karaganda

канд. техн. наук, Карагандинский Технический Университет, Казахстан, Караганда

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