Implementing a QMS — a Consultant's Viewpoint

New to ISO 9001?

Whether your customer base is driving you down the ISO 9001 route, or you are looking to open doors to new markets, there are a growing number of good business reasons for implementing a business management system compliant and certificated to the quality management system (QMS) standard, ISO 9001:2000.

However, for those new to management systems or with limited knowledge of the latest version of the Standard, the journey towards certification can seem a daunting prospect. But it needn’t be! With careful planning and top management commitment, organisations can soon reap the benefits that a well-implemented management system can bring.

This article provides some practical guidance and advice for those who have been tasked in gaining certification for their organisations. It was written following an interview with David Wadlow, an independent management consultant with over a decade of experience in implementing process format systems in small to medium sized companies. An active Fellow of the IQA, David is a Registered Senior Consultant listed on the IQA Management Consultants Register and is also a Business Link SBS listed consultant.

It includes sections on the following:

• First steps - approaching ISO 9001
  Are you new to quality management and tasked by your organisation to implement a system? This section briefly examines why, with the introduction of the revised quality management system (QMS) standard, ISO 9001:2000 this an ideal time to be implementing a business management system to meet its requirements.
• Drawing up your shortlist
  If you have made the decision to use a consultant, you need to ensure you find the best ‘fit’ possible. But how do you start the process of finding the right consultant that will meet your needs? Here, we explore three options: referrals, IQA Management Consultant Register and the Business Link national register.
• Choosing your consultant
  Once you have drawn up your shortlist, you need to meet with your chosen consultant(s). This section includes some pointers for you to consider when making your final selection.
• Scoping your system
  Here we offer some guidance for outlining your requirements for a management system prior to beginning work with your consultant.
• Implementing your system
  Here, David Wadlow outlines his typical path for implementing a system and provides some pointers for management representatives to consider.
• Certification – Trial by audit?
  Offers tips on what organisations should look for in a certification body.
• Sources of further information
  This section includes web links to useful sources of further information.
• Have your say!
  We hope this article has provided some guidance and inspiration for you to start planning the implementation of your management systems. If you would like to comment on any aspect of this article or indeed the content in general on the LRQA UK website – then here is your right to reply.

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First steps - approaching ISO 9001

“If your business is well established and been trading for at least three years, I could carry out an ISO 9001 audit today and it is likely you will be around 80% compliant, because ISO 9001 is not just good management practice – it is common sense.”

David Wadlow

Top management may have identified a business requirement for a management system certified to ISO 9001:2000, but typically the task of physically implementing the system will be given to a middle manager.

Within small to medium sized organisations, the role of quality representative may be just one of several ‘hats’ worn by a manager, whose ‘day job’ lies elsewhere in the company – in HR, finance, manufacturing or as the PA to the MD. This is in contrast to larger organisations where the quality role is often a full time position undertaken by a manager with a background in quality, which may also cover environmental management, and health and safety. While this article has useful guidance material for anyone involved in quality, it has been written in particular with the smaller organisation in mind.

It is important that senior management commitment is seen to be given – this will help ease the implementation and rollout throughout the organisation. It is also important that all those involved in the decision making process have a broad understanding of ISO 9001, its rationale and implications for the business. There is a wealth of literature available on this site to help in this respect – and we have included links to further on-line sources of information later in this article.

It may seem on first consideration to be something of a disadvantage to have little or no knowledge of ISO 9001 or comparable standards. Not so – starting with a blank sheet of paper can sometimes be the best starting point of all.

With the latest version of the quality standard, issued in 2000, it is a good time to be taking the first step in implementing a system. The changes have seen many organisations take the opportunity to do just that, and throw away their quality manuals and start afresh with streamlined processes and slimmed down documentation, and a clearer focus on customer satisfaction and continual improvement.

But where to start?

The first step is for management to commit to implementing ISO 9001, then to decide whether to develop the management system in-house or to employ a consultant to assist in implementation. Here, organisations should consider the resource, knowledge and skills currently available, and the current state of any management system.

Many smaller and medium sized organisations simply do not have the spare capacity in their business to commit the time necessary to develop, and subsequently maintain, a system for registration. Even if the organisation has developed many of its own procedures, and has a skeleton management system in place, bringing in a consultant may be the most effective option in the long term.

There are both advantages and disadvantages in using a consultant to develop your management system. A well-chosen consultant will bring experience and knowledge from developing systems for many organisations, but will have less knowledge of your particular processes.

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Drawing up your shortlist

“Like house conveyancing, you are not obliged to go to a solicitor. However, there is a steep learning curve involved in implementing a system. You must commit time and resource to understand and learn a process that hopefully you will only do once. Basically, when choosing a consultant you are buying in the knowledge and expertise that will facilitate the process.”

David Wadlow

You will be committing investment, management time and company resource in implementing your system. The consultant you choose to work with will certainly need to spend time on-site understanding your existing business processes, systems and people. It is therefore vital that you choose someone who is going to be a good ‘fit’ with your company.

We have outlined three options here to help you start the search for your consultant.

Referral

Word of mouth and personal recommendation from a trusted source is always a good starting point. Ask around in your local business community, trade association partner companies, or at the local Chambers of Commerce.

IQA MCR

The Institute of Quality Assurance (IQA) holds a Management Consultants Register to help organisations find the most appropriate consultant. To be listed on the register, consultants must demonstrate they meet the IQA standards through an evaluation against strict entry criteria and once registered are re-assessed every three years.

Companies wishing to find a consultant can do so by using the MCR referral process, a 6-stage process designed to provide the best fit between client and consultant. The client submits an outline brief from which the IQA searches the register to find consultants who are in scope, competent to carry out the activity and suited to the geographic area. The IQA would select three consultants to put forward to the client to consider and agree commercial terms. The final stage of the MCR process is feedback, following the completion of the project.

The IQA also produces guidance material for companies on how they should manage the project. This includes information on the proposal that should define the scope of work, fees, and timescales with milestones. This will help give a yardstick by which to measure your consultant’s performance.

SBS Business Link

Consultants included on the National Business Link Consultants Register have completed an accreditation process to demonstrate they have a proven track record. This can demonstrate continuing professional development, will have recommendations from a number of clients and hold professional indemnity insurance.

In some instances, funding can be available towards the costs of consultancy, however this is only where a need for an implemented quality management system has been recognised. Companies choosing this route will also typically be offered a choice of three consultants.

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Choosing your consultant

“You are allowing someone to open you up from head to toe, pull your business systems out, tamper with them and rearrange them and put them back in again! You have really got to trust a person to do that.”

David Wadlow

Once you have drawn up your shortlist of consultants – and it may only be a shortlist of one – what criteria should you consider before signing on the dotted line? Here, we outline a few areas to help you in the decision making process.

Proven track record in sector – are they able to provide suitable references for previous work in your business sector? If you are in a niche market or carry out an unusual business activity you may not be able find a consultant who has the credentials or appropriate experience of your sector. If you had taken the IQA route however, in this instance, the IQA will approach its Registered Senior Consultants who it considers to have the experience and knowledge to be able to go out of scope and be able to quickly get to grips with your industry.

Professional recognition – is the consultant a member of a recognised body that gives independent credibility? Consider here the previous section of this article that looked at the IQA Management Consultants Register and the National Business Link Consultants Register.

Integrity and reputation – you need to be sure that the person you choose has integrity. Here, a personal recommendation from a trusted source can be useful. Also consider whether they have signed up to the IQA Code of Conduct.

Experience of implementing ISO 9001:2000 – how much experience have they had of implementing management systems that will meet the requirements of the new standard?

Proposal – your consultant should be able to provide a detailed proposal with costs and timescales in order that your project can be monitored against the proposal.

Communication skills – for the consultant to provide realistic and feasible solutions they will need access to all levels within the organisation. It is important they can relate to, and be at ease with, all those that work within your company.

Accessibility – you should be able to contact your consultant relatively easily. Do they have good office support and are they in a position to respond reasonably quickly to your queries?

Commercial awareness – your prime business objective is likely to be making a profit by providing a quality products or service. The consultant must have commercial experience and awareness.

Fees – take the view that this is capital investment for the long term. Fees are important, but should be viewed alongside other criteria mentioned here and your specific objectives. Cheapest may not be the best value.

Ongoing support – if you decide not to retain your consultant following system implementation and certification, will they be prepared to offer advice and guidance on a complimentary basis following the initial project?

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Scoping your system

“I find the majority of companies go for ISO 9001 because they want the certificate or their customers expect them to have it. The job of a good consultant is to ensure the client gains certification and importantly, that they get a real benefit out of the process at the end of the day.”

David Wadlow

Ask yourself – what do you expect your management system to deliver?

In the past, many companies have had their quality management system separate from their business management system. However, ISO 9001:2000 has aligned quality far closer to other business functions. Today, it makes sound commercial sense to design a system that meets the needs of the business first – and one that also meets the requirements of the standard.

Using a consultant to implement your system represents a significant capital investment. With this in mind, it is important to protect this investment by taking a long-term view in implementing a robust system that will help deliver real business improvement.

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Implementing your system

“I generally find that a company starts to see business improvement within the first eight weeks of implementing a system. This is because that for the first time ever, they are finding out who is responsible for what and how their processes interlink. Even if they don’t go any further than this, they will have thought through all their business processes and start to see real benefit.”

David Wadlow

Here, we ask David Wadlow to outline the process he uses with clients which is broadly typical for many consultants.

There are basically two options available for companies. The first is very much driven by the consultant, where they document all processes and carry out as much of the implementation of the system as is possible. The second route is client-driven where the consultant takes on a mentoring role, and is on hand to advise and give guidance where appropriate. The latter is very much dependent on the resource in-house available.

Documenting the System

Regardless of whether it is consultant or client driven, the first step is the initial review where all key processes are identified, mapped out into a logical structure, which then forms the index of the management system manual. These processes will include how the company processes enquiries, quotations, orders and how this subsequently translates into delivery of the service/product.

Where the system will be consultant driven, David will interview selected employees to look at how they carry out their day-to-day tasks before writing the processes involved. These are then issued to the individual and their department for review and agreement before their inclusion within the final manual.

The process is slightly different for client driven systems, in that David will provide useful guidance notes on what each section within the manual should be covering.

No doubt a legacy from previous versions of the standard is the myth that ISO 9000 is a paper generating exercise. However, it is worth noting there are only 6 mandatory procedures requiring documentation within ISO 9001:2000. It is then for the company to decide what other procedures it should document to effectively control its processes.

In addition, advances in technology over the last five years now means that the majority of companies can easily place their management systems, including all procedures, on the network, which has largely done away with the need for multiple paper copies. A good consultant should aim to introduce very little or no new paperwork within the core day-to-day activity, and where possible look to streamline some of the paperwork and simplify the system.

Rolling it out

By involving employees in the documenting stages of the project, the written procedures will better reflect what is actually happening, and there should be a wider acceptance and greater company-wide ownership of the system. This is vital in creating a really viable and sustainable management system for the long term. In addition it is important to have had top management commitment from the beginning.

A consultant can help in facilitating briefings and presentations throughout the company to ensure that all employees at all levels understand the reasons for the management system and their role within it.

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Certification - Trial by audit?

All organisations are different and therefore the time it takes for a company to implement a system capable of certification by an external, assessment body – such as LRQA - will differ. David would expect to have a system fully documented within 8 weeks ready for roll out and to operate the system for approximately 4-6 months to allow for a number of audits to be carried out and to demonstrate subsequent improvements. At LRQA, we advise organisations that they should have a minimum of 3 months documentation before going for external audit.

What should you look for when choosing a certification body?

Again your consultant will be able to advise, however typically you need to consider the following:

• Accreditation: Choose a body that is accredited by the United Kingdom Accreditation Service (UKAS) or other national accreditation body. For information on accredited bodies in the UK, visit: www.ukas.com
• International capabilities: You should choose a certification body that can support you now and in the future should you decide to move into new international markets.
• Industry experience: Has the certification body got a track record in your market sector?
• Recognition: The certification body you choose says a lot about your organisation – if you want your stakeholders to know you have certification then you should choose a body whose name is well recognised within the business community.
• Ease of communication: Need an answer to a technical query? Or have an issue with planned dates? LRQA has a dedicated team of business advisors and account managers to answer your commercial queries and a freephone helpdesk for all organisations with technical queries.
• Assessor with sector experience: Assessors with detailed knowledge of your business sector who are able to add value by identifying areas where improvements can be made to your business.

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