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IS O 9 00 1 Q u al i t y M a na g e me n t S y s t e ms t h ro u g h t h e Le n s
o f Or g an i z at i on a l C ult ur e
Abstract
Both managers and scholars have convictions about the organizational approaches that best support organizational
performance of the respective organizations and its Quality Management Systems. After a literature review of ISO 9001
Quality Management Systems (including the changes introduced by the 2015 edition), Organizational Culture theories
are addressed and input from a CEO´s focus group was gathered. The importance of organizational culture for the
success of Quality Management Systems and the achievement of the organizational desired results is highlighted. The
article advances a proposal to analyze ISO 9001 International Standard through the lens of organizational culture
theories identifying a stronger open systems approach (influence of the environment, dynamic perspective, need for
survival) of the 2015 ISO 9001 edition when compared with the 2008 one. This provides additional knowledge both to
scholars and practitioners for a better understanding of the culture issues that can maximize ISO 9001 Quality
Management Systems 2015 edition contributions to organizational enduring success.
2. Literature Review
2.1. Quality Management Systems Figure 1. ISO 9001 Certified Organizations Survey Trends
To respond to the increase on global competition, a conside- Karapetrovic, Casadesus and Heras (2008) identified 115
rable number of organizations have implemented ISO 9001 empirical studies that investigate the impact of ISO 9000 stan-
Quality Management Systems, aiming to respond to external dards worldwide. Tari et al. (2012) also suggest that ISO 9001
stakeholder pressures or to internal motivations and achieve in- has clear benefits on organizational, operational, people and
creased performance. customer results. Boiral (2012) summarized the results stating
ISO (ISO, 2015) published the first version of the ISO 9000 that the success in the implementation of ISO 9001 Quality Ma-
series of International Standards in 1987 in response to the gro- nagement Systems (QMS) is linked to the organization and to the
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* ISEP-IPP, School of Engineering Polytechnic of Porto and CIDEM, E-mail: lmf@is ep.ipp.pt.
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way the standard is interpreted and implemented. When the 2.2. Organizational Culture
main motivations to implement the standard are internal (organi-
zational improvement) more benefits are achieved than when According to Scott (2003), an organization is a group whose
they are external (e.g., respond to customer requirements or ex- members coordinate their behaviors to achieve shared goals or
pectations, achieving marketing differentiation). Also accordingly produce a product, whether businesses, schools, families or
to Yin and Schmeidler (2009) standardized management systems voluntary associations.
may be implemented in very different ways depending on organi- The qualities that distinguish these organizations between
zations, which might explain the heterogeneous performance of themselves are the roles, rules, purposes, recurring behaviors
these standardized systems. Fonseca (2015a), on a study of Por- and clearly defined borders. Isolated individuals or random
tuguese certified organizations that also implemented the EFQM groups are not considered as organizations, although there are
Business Excellence Model (BEM), reported there is indeed a mo- some groups and social movements that can be classified as
derate positive correlation between ISO 9001 certification ma- ambiguous cases of organizations.
turity and EFQM BEM results, the higher the number of years of Organizations are necessary to achieve most of society
ISO 9001 certification, the higher the results of the organization shared goals, are everywhere and have evolved in a remarkable
EFQM model evaluation and recognition. way. But there are still a considerable number of open questions:
In summary, certification is indeed a measure of QMS imple-
mentation intensity and it brings but we need to take into consi- How to set goals that sometimes are in competition or
deration how variations in QMS implementation may affect per- even antagonist?
formance results and certification to ISO 9001 should be a result How to get the best people to perform the necessary
of a well implemented Quality Management System, not just tasks?
“certification”. How to coordinate the different people needed to achieve
The release of the 2015 version of ISO 9001 is under way the various goals and the several tasks that contribute to
and the new standard version should be closer and more in line achieving these goals?
with the Business Models (Fonseca, 2015b): How to obtain the resources/inputs (human, material, and
financial resources) to fulfill the organization’s mission
Concepts like change control, strategic direction and and objectives?
knowledge management will be reinforced on the ISO How to achieve the results/outputs intended (whether
9001:2015 International Standard approaching and goods or services) and make them reach the end con-
embedding ISO 9001 and business management; sumer?
Organizational context and relevant interested parties How to identify the needs and expectations of the various
(those that have some actual or potential impact on the stakeholders that influence or are influenced by the orga-
quality of products and services) were introduced; nization and how to adapt this to the external context and
There will be more emphasis on process approach and the surrounding environment?
less on documentation and Risk-based thinking was intro-
duced adding a systematic evaluation of potential and ac- To help answer these and other questions, academics and
tual issues with the aim of making processes more robust managers have developed a set of theories which will be briefly
and capable. outlined.
Although there is a certain degree of ambiguity concerning
ISO 9001:2015 also will bring some change to the Quality the organizational culture construct (Verbeke, Volgering and
Management Principles (QMP) as presented in Table 1. Hessels, 1998) with several definitions of organizational culture
and different dimensions to describe it, most scholars (Hofstede,
Table 1. Quality Management Principles 2001; Schein, 2004; Cameron and Quinn, 1999) suggest that
organizational culture is a pattern of shared values and assump-
tions within an organization which enables this to operate:
ISO 9000:2005/ISO 9001:2008 Proposed ISO 9001:2015
O’Reilly, Chatman and Caldwell (1991) identified seven
1. Customer Focus 1. Customer Focus
dimensions to develop its organizational culture profile:
2. Leadership 2. Leadership innovation, stability, respect for people, focus on results,
3. Involvement of People 3. Engagement of People
attention to detail, orientation to the team and aggressi-
veness;
4. Process Approach 4. Process Approach Other researchers (Handy, 1999) suggest that there are
5. System Approach key factors that determine the choice of culture and struc-
to Management
............................... ture: history, technology, ownership, size, objectives, envi-
ronment and people;
6. Continual Improvement 5. Improvement Hofstede’s theoretical model has received considerable
7. Factual Approach 6. Evidence-based attention within Organizational Theory field (Hofstede,
to Decision Making Decision Making 2001; Hofstede and Minkov, 2010). It consists of six di-
8. Mutually Beneficial 7. Relationship mensions with quantitative indices that can be used to
Supplier Relationships Management describe different national cultures: power distance (the
way a society way manages inequalities between indivi-
duals); individualism (“I”) versus collectivism (“We”); mas-
The QMP will be reduced from 8 to 7; the one which was culinity versus femininity (focus on success and material
omitted is “Systems Approach”, with “systems” and “process” reward versus a preference for cooperation quality of life
both considered under the new principle “Process Approach” and caring for the vulnerable); uncertainty avoidance
which refers to “managing inter-related processes”. A system is (how a society deals with uncertainty and ambiguity);
the management of inter-related processes so, although “Systems pragmatic orientation (people accept the adversities of
Approach” is not a principle, the new principle is more powerful life and adapt accordingly) versus normative orientation
as it redefines Process Approach as the processes and their inter- (follow social conventions and tradition, need to know
relationships. “Engagement of People” and “Relationship Ma- the absolute truth); and indulgence (fun and joy are basic
nagement” will have a reinforced intensity while “Improvement” human needs) versus restraint (need social norms to
clearly states that there are several sorts of improvement with regulate “acceptable” fun and joy). A possible synthe-
continuous improvement being one of them. “Evidence-based sis approach is presented in Table 2, after the works of
Decision Making” is more adjusted to the real management si- Mcfarland and Gomes (2013), Scott (2003) and Leavitt
tuations. (1965).
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Table 2. Organizational dimensions petitive edge to more agile and innovative competitors
(Brown, 1995);
Organizational
According to the theory based on the concept of con-
elements
Description tingent thinking (Wilkins and Ouchi, 1993), certain types
of organizational cultures are more suited to specific
Participants that contribute and benefit from the
Actors/participants
organization
situations.
There are persistent social relations among the Although it is difficult to empirically test these various theories
Social structure
organization’s members
(Brown, 1995; Calori and Sarnin, 1991; Siehl and Martin, 1990)
Goals that participants aim to ensure the this does not necessarily means that these relations are not
Objectives
performance of tasks and activities present. There is a general agreement that what we call organi-
Technologies/Tasks
Means by which organizations carry out their zational culture has a significant impact on many actions and
work or transform inputs into outputs subsequent outcomes of organizations, including the respective
The physical, technological, cultural and social operating and financial performance (Kotter and Hesett, 2004).
Environment
context in which organizations are inserted Moreover, evidence more recent research supports that there is
indeed an association between certain features of organizational
culture and organizational performance outcomes (e.g., Hartnell,
Following literature review from Mcfarland and Gomes, Ou and Kinicki, 2011; Sackmann, 2011).
(2013), Scott (2003), Allison (1969) and Leavitt (1965), a consi- With the purpose of collecting the “C suite” view on these re-
derable stream of Organizational Theories has been identified, levant issues, a focus group of six CEO´s of Portuguese compa-
as briefly presented in Table 3. nies with annual sales greater than 1 Million Euros and more
Both scholars and practitioners have focused on the million than 25% export ratio was set up. The participative discussion
dollar question: “What is the Best Organizational Culture to yielded several common perspectives:
maximize performance”?
Based on the empirical studies considered for this research, Each organization has its own organizational culture that
the four following approaches can be outlined: evolves over time;
Within a culture there may be different subcultures or cul-
Perhaps the most solid and frequent argument is the thesis tural differences between the subgroups of the organi-
of the strong organizational culture. Some experts in zation;
Organizational Management (Denison, 1984) believe It is easier to change observable actions and behavior
that in order for organizational culture to be able to affect than beliefs and assumptions and the change in a cultural
organizational performance, it must be strong. A strong element can affect another and vice versa;
organizational culture contributes to shared goals and We can apply and combine multiple theories in an orga-
increases the commitment to the organization and aligns nization.
individual and organizational goals, which positively
contributes to increased productivity and organizational Taking into consideration the literature review and the feed-
performance (Brown, 1995); back from the CEO´s Focus Group, the following summary is
However, there are researchers that suggest an inverse proposed in Table 4.
relationship between organizational culture and perfor-
mance. According to these authors, it is a high perfor-
mance that leads to a strong and homogeneous organi- 3. Quality Management Systems
zational culture and not the other way; and Organizational Culture
There are also researchers that consider that the two
previous approaches can be problematic in volatile envi- The study of the reasons for success or failure of Quality Ma-
ronments and that such organizations may not be able to nagement Systems has highlighted the importance of organiza-
change as quickly as would be required, losing com- tional culture for the achievement of the expected results (Prajogo
Rational model (satisfactory rationality Decisions based on the results, follow the rules and procedures Finance (theories based on the
as a variant) or rule-based (however, what are the rules to follow?) consequences), Politics and bureaucracy
Multiple actors with inconsistent preferences and none alone
Decision by the ruling coalition can decide. Direct management of relations through Politics
negotiation
Anarchic process (with no agenda and predefined rules )
during and between meetings; its effectiveness depends on the Industry Knowledge (e.g., Universities,
Organizational Anarchy
flow issue, actors and present solutions, also known as industry and high-tech services)
“Garbage Can Theory” (Coehn et al., 1972)
Learning and organizational Industry Knowledge (e.g., Universities,
Ability to learn and adapt
intelligence industry and services)
Focused on the structure and on the ingrained culture of the Industry Knowledge (e.g., Universities,
Organizational Culture
organization industry and services)
Open systems, extensible environment and how it influences
Management of Resources dependency behavior and survival of the organization. Focused on the Finance, Politics, Industry and Services
dependency relationships of resources between organizations
Network Organizations Patterns and relationship agreements Politics
Institutional Theory and Organizational Industry Knowledge (e.g., Universities,
Adoption of models of successful organizations
Legitimacy Industry and Services)
Environmental determinism and natural selection due to
Organizational Ecology Finance, Industry and Services
competition between organizations
and McDermott, 2005). In order for the organizations achieving CVF model has two axes (Internal Focus & Integration versus Ex-
enduring improvements, changes to the way they carry their ternal Focus and Competitiveness; Control and Stability versus
business have to happen (Reger et al., 1994; Rajamanoharan Flexibility and Spontaneity) resulting into four types of Organiza-
and Collier, 2006;). The existence of an organizational culture tional Culture: Hierarchical, Group, Rational and Development
favorable to the implementation for those changes and of the cultures.
corresponding attitudes and behaviors of the employees are of However, most researchers only consider a limited range of
great importance for success (Van de Wieleetal, 1993; Lewis, Organizational Theories and do not focus on ISO 9001 Interna-
1996; Buch and Rivers, 2001; Sousa-Poza et al., 2001; La- tional Standard Management Systems. Considering the relevance
grosen, 2003; Prajogo and McDermott, 2005; Skerlavaj et al., of ISO 9001 and the edition of ISO 9001:2015 version, it is
2007). appropriate to evaluate how the new 2015 ISO 9001 edition re-
As an example, several studies (Zu et al. 2010) have used the lates to relevant Organizational Theories. Table 5 below attempts
CVF model developed by Quinn at al. (Quinn, 1988; Quinn and to analyze ISO 9001:2015 edition with the lens of Organiza-
Rohrbaugh, 1981, 1983) to access organizational culture. The tional Culture Theories.
Table 5. ISO 9001:2015 QMS through the lens of Organizational Culture Theories
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4. Conclusions is a key consideration in whether a Quality Management initiative
will be successful or not.
This paper attempted to address Quality Management System The main aim of this article is to shed some light into the
through the lens of Organizational Theories, focusing on ISO connections between the Quality Management and Organiza-
9001 International Standard and the changes introduced on the tional Theory fields of knowledge. More than 1 Million organi-
2015 version. zations with ISO 9001:2008 certified Quality Management Sys-
Following a literature review of Quality Management Systems tems will have to adapt and make the transition to the 2015
and Organizational Theories, a proposal to support Quality version within the 3 years after the 2015 version release date. So
Management System within the several Organizational Theories it is of upmost importance to try to maximize the potential benefits
is made. of ISO 9001:2015 and to minimize the difficulties of the tran-
No attempt has been made by the author to suggest whether sition process (for the organizations already certified) or of the
an organizational model is better than the other. It might be advi- implementation process (for those that have still to start or to
sable to look within the scope of all the organizational models finish this process). By analyzing the changes to ISO 9001 Inter-
presented to understand the underlying culture issues that can national Standard 2015 edition, several supporting organi-
maximize (or jeopardize) Quality Management Systems imple- zational theories were identified. Practitioners should be aware of
mentation strategies, difficulties and benefits. Depending on the these theories and when and how to apply them for maximizing
organization strategy and value proposition, sector of activity, life the Quality Management Systems benefits to the relevant Stake-
cycle phase, resources and external environment, different theo- holders.
ries should apply. However, as general statement, the 2015 It should be acknowledged that this paper is a simplification
edition of ISO 9001 adds a stronger open systems perspective of a very complex issue and the analysis proposed by the author
(influence of the environment, dynamic environment, need for is open to criticism. Research should be carried out to access the
survival) to the 2008 edition more natural systems views (follow validity of these proposals and to compare, in the future, or-
rules and processes). ganizational cultures of companies that have been successful
As stated by Zbaracki (1988) the difference between the do- at implementing ISO 9001:2015 with those that have been un-
minant culture and the culture required by Quality Management successful. Q-as
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