Records Management Journal

Information and records management: A precondition for a well functioning quality

management system
Johanna Gunnlaugsdottir

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170

Information and records

management
A precondition for a well functioning quality
management system
Johanna Gunnlaugsdottir

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Department of Library and Information Sciences,

Faculty of Social and Human Sciences, University of Iceland, Reykjavik, Iceland
Abstract
Purpose The purpose of this paper is to present findings of a survey conducted during 2010 in the
Icelandic organizations that held certification according to the ISO 9001:2008 quality management
standard.
Design/methodology/approach The organizations were questioned about problems in obtaining
and maintaining certification, what motivated the quest and which were the benefits. Information on
the software used and the cost and the time it took to obtain certification was also sought. A
questionnaire was sent to those in charge of the quality management programme in the organizations.
The questionnaire contained both open-ended and closed questions. A comparison was made to a
previous Icelandic survey from 2001.
Findings The results show that necessary improvements were needed regarding information and
records management (IRM). The reasons for obtaining certifications were mainly demands from
customers, a way to introduce more disciplined work procedures and transparency, and to gain a
better overview in management. The main benefits from receiving the certification were regarded to be
improved management and improvement in meeting demands from customers and public authorities
as well as improved IRM, more disciplined work procedures and increased traceability. Organizations
involved in an international business believed the certification was a great benefit. Obtaining
certification took on average two years and five months. The cost amounted to about 65,500.
Research limitations/ implications Although the survey is limited to Iceland, this knowledge
may also be of value to researchers, records managers and managers in other countries. The survey
can lay the foundation for further research into the field.
Practical implications The results could be of value to organizations that want to implement or
re-implement a certified quality management system. They define various factors that can support a
better and a more reliable implementation of quality management systems. The results show that
certified quality systems bring varied and valuable opportunities to the profession of records
managers.
Originality/value The survey adds valuable information and fulfils a need for a better
understanding of the status of ISO 9001 in Iceland.
Keywords Information and records management, Quality management, International standards,
Iceland, Work procedures, Transparency, ISO 9000 series
Paper type Research paper

Records Management Journal

Vol. 22 No. 3, 2012
pp. 170-185
q Emerald Group Publishing Limited
0956-5698
DOI 10.1108/09565691211283138

Introduction
Certification according to international standards has proven its value for companies
during times of increasing competition and expanding international trade. News on
economic hardship in many countries, Iceland included, following years of optimism
globally, make an international recognition or certification all the more valuable.

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Icelandic companies have experienced a lack of trust abroad subsequent to the collapse
of the three major Icelandic banks in October 2008 and the economic difficulties that
followed. A certified quality management system has proven to be a good letter of
introduction during these times. The purpose of this paper is to present a questionnaire
survey that was conducted during 2010 of the Icelandic organizations that had at the
time received certification according to the ISO 9001:2008 quality management standard
(ISO, 2008). A comparison is also made to a previous survey that was undertaken in 2001
(Gunnlaugsdottir, 2002b). The participants in the previous survey had received
certification according to an older edition of the standard, i.e. ISO 9001:1994 (ISO, 1994).
One of the aims of the present survey was to discover which organizations in
Iceland had received such certification and what was their main activity or line of
work. The main objectives, however, were to find out which were the obstacles and
challenges as well as the motivators and benefits for the organizations to gain the
certification. The objectives were also to find out what kind of computer software were
being used to manage the records of the quality management system. Finally, an
attempt was made to estimate the time and cost involved in obtaining the certification.
Similar surveys to these two of the ISO 9001 quality management standard have not
been undertaken in Iceland. One study, however, has been made of how extensive the
certification for ISO 9001 has been (Ingi Thor Helgason, 2006).
This article is organized into several sections starting with a presentation of the
theoretical background and the methodology used. The results of the survey are
presented in four sections and then the findings are discussed. The final section
contains some closing comments on the value of this research as well as future research
in the field.
Theoretical background
Quality management and the quality movement had its origin in the US of America
and Japan during the middle of the twentieth century with its pioneers such as
W. Edwards Deming, Joseph M. Juran, Philip B. Crosby, Kaoru Ishikawa, Shigeo
Shingo, and Yoshio Kondo. They all had a different approach to quality management
but their goal was always the same, that is, to increase quality (Brocka and Brocka,
1992; Gryna et al., 2007).
Quality management involved originally mostly the supervision of production, that
is, to separate the faulty product from those that were without flaws. The requisite
work processes later developed and quality control became the main focus, based on
statistics. Then, an attempt was made to ensure quality by guaranteeing quality
assurance and the focus became the cost of quality, the dependability of technology
and the elimination of items that did not meet specifications. Now, the main emphasis
is on strategic planning and having the customer define the desired quality. Quality
management requires the commitment of the total workforce. Quality management is
connected to profit and cost and is an inseparable part of strategic management
(Kerzner, 2006; van Houten, 2000).
The ISO 9000 quality management system was originally based on five quality
management standards that were introduced by the International Organization for
Standardization in 1987. The exemplary model was a British standard that was mainly
designed for industrial production. These standards were later revised and republished
in 1994, 2000 and finally in 2008. The development has for the most part been to adapt
the standards more in the direction of general management, documentation, information

Information and
records
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172

and records management, and the use of processes for making improvements and
measuring results (Gunnlaugsdottir, 2002b; ISO, 2008; Niven, 2005). The ISO 9001
quality management standard is the best known of the standards that the International
Organization for Standardization has published. Over a million ISO 9001 certificates had
been issued in the end of 2011 in about 180 countries (ISO, 2012).
Documentation information and records management
Ever since the first editions of the ISO 9000 standards there has been an emphasis on
documentation and records management. Many consider these areas to be a focal point
in the certification process (Stephens, 1996). Experience from being a consultant in the
field of information and records management for 25 years has shown the author that
companies that plan to implement a quality management system that can be certified
must also, and often at the same time, introduce systematic information and records
management as a part of the quality management system. According to the
international standard Information and Documentation Records Management (ISO
15489), records management is defined as a field of management responsible for the
efficient and systematic control of the creation, receipt, maintenance, use and
disposition of records, including processes for capturing and maintaining evidence of
and information about business activities and transactions in the form of records (ISO,
2001a, sec. 3.16). The records can be in any form, electronic or paper.
Proper documentation and control of records is central to any quality management
system as evidenced in the ISO 9001 standard: Records established to provide
evidence of conformity to requirements and of the effective operation [. . .] shall be
controlled. The organization shall establish a documented procedure to define the
controls needed for the identification, storage, protection, retrieval, retention and
disposition of records. Records shall remain legible, readily identifiable and
retrievable (ISO, 2008, sec. 4.2.4). ISO 15489 provides guidance on records
managements in support of a quality process framework to comply with ISO 9001 and
ISO 14001 (ISO, 2001a, sec. 1).
Information and records management is quite often one of the weakest links in
Icelandic organizations in implementing a quality management programme that can be
certified. Foreign companies have had the same experience where various statistics
from different sources reveal that about 60 percent of companies fail to win immediate
recommendations for certification with most problems centring on document control
(Brumm, 1995, p. 4).
Reasons and motivators
The motivators that induce companies to decide to obtain certification according to the
ISO 9001 quality management standard are varied. A Canadian survey shows that the
top five reasons for implementing a quality management system were:
(1) Customer demand/expectations.
(2) Improved quality management practices.
(3) Improved quality of products.
(4) Cultured or disciplined organizations.
(5) Market advantage (Bhuiyan and Alam, 2005).

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A study done by Singels et al. (2001) in Holland revealed that the main reason that
companies wanted to introduce a certified quality management system was
competitive advantages. One of the reasons in the study conducted by Yusof and
Aspinwall (2001) in Britain and one of the main reasons revealed in the study by the
Spaniards Heras et al. (2006) was to meet customer demands. Salaheldin (2003), who
made a study of 83 companies in Egypt, came to the conclusion that one of the most
important reasons was export and marketing efforts abroad.
The study done by Gotzamani and Tsiotras (2002) in Greece deviated from the
conclusions of the studies mentioned above. It revealed that of the many reasons
mentioned, the least important reasons turned out to be demands from customers and
competitive advantages. Their countrymen Fotopoulos et al. (2010) made a study of
companies in the food processing industry in Greece and concluded that demands from
customers were a minor reason. The main reason was the improved image of the company.
Advantages and benefits
A number of studies have been made to discover the main benefits of obtaining a
certified quality management system. Most of these studies are in agreement that the
main benefits are:
.
Greater satisfaction of customers and customer demands are better met.
.
A better company image.
.
More disciplined work procedures and management improvements that include
for example transparency and standardization of work methods and processes.
.
Increased awareness by company managers that quality matters.
.
Increased market share and a head start on the competition (see for example
Chang and Lo, 2007; Lundmark and Westelius, 2006; Tam et al., 2007).
In the study conducted by Dissanayka et al. (2001) 97 percent of the participants
believed that the main advantage of implementing the quality management system
was more effective records management. The studies of Chang and Lo (2007) also
mention effective records management as one of the principal advantages. One of the
five most popular perceived benefits of ISO 9000 registration, and the first listed in
Canadian companies was improved documentation (Bhuiyan and Alam, 2005).
Time and investment
It takes considerable time and investment to have a quality management system
certified. Studies show, however, that the time and cost required has been decreasing
over the years. The conclusions of the studies of Karapetrovic et al. (2010) from 1998,
2002 and 2006 show that both time and cost for obtaining certification did decrease
between the studies. It also goes to show that it may be relatively more expensive for
small companies compared to large ones to obtain certification as some of the cost
factors are fixed and take no notice of whether the companies are small or large
(Dmytrenko, 1995; Gunnlaugsdottir, 2002b).
A different approach
This paper approaches the research topic from the point-of-view of information and
records management, first and foremost, and as it is defined in the ISO 15489 records
management standard (ISO, 2001a). It appears that other authors have not examined

Information and
records
management
173

RMJ
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quality management from this viewpoint since the publication of the ISO 15489. The
paper fills a gap in the literature in this respect. Although various factors are being
examined in this survey, one of the main factors of interest was to learn whether
records management is still the problem area in the implementation and the operations
of the quality systems. The answer to that question, whether anything has changed
since the previous survey in 2001, adds to our knowledge.

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174
Methodology
The preparation of the survey started in May of 2010. New aims, in addition to those of
the previous survey from 2001, were added to the present survey to reflect changes, for
example, in the economic situation. The questionnaire reflected these changes. The
main aims of the present survey were:
.
To discern which factors needed correction or improvement in order to obtain
certification.
.
To discover which factors went wrong and needed correction or attention during
regular inspections and prior to audits.
.
To obtain knowledge of which were the motivators for the organizations to
obtain certification and whether the economic difficulties in the country were one
of these.
.
To study what were considered the main benefits of obtaining certification.
.
To find out whether the organizations used especially designed information
systems to store and manage the records of the quality management system, and
if they did, which software they used.
.
To find out how long it took and what was the cost involved in obtaining
certification.
During the summer of 2010 there were 48 organizations in Iceland that had received
certification according to the ISO 9001 quality management standard. Information
regarding the number of organizations enjoying certification was based on replies from
the two ISO auditing firms operating in Iceland. Information was also sought through
informal channels. It should be noted that only about half of the 24 organizations that
enjoyed certification during the previous survey seem to have managed to maintain
certification. Organizations had fallen off the previous list due to reorganizations,
mergers and other reasons, but new members are constantly being added to the club.
Of the 48 organizations currently on the list 45 had received their certification from the
two auditing firms in Iceland and three from auditing bureaus abroad.
As required by the Privacy Act (n.d.), no. 77/2000, the Icelandic Data Protection
Authority was notified of the study in May of 2010 (notification no. S4795/2010 on
processing personal information). Subsequently, questionnaires were sent to the 48
organizations. The questionnaires were sent using the web survey software K2. Three
reminders were sent during the summer. Anonymity was promised to the participants
and full confidence regarding the replies to the questions (Gorman and Clayton, 1997).
A questionnaire was sent to the quality managers or those in charge of the quality
management programme in the 48 organizations. These were sometimes the CEO of
the organization due to the size of the organization but always persons that were a part
of or close to top management. The questionnaire, which contained both open-ended
and closed questions, was made up with assistance from quality managers with long

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and extensive experience in the field. Two specialists in the field tested the
questionnaire.
The response rate for the questionnaire was 68 percent. The response rate in the
previous survey, in comparison, was 87.5 percent in 2001. It is important to note that a
sample survey was not involved but rather a general survey of all of the organizations
that enjoyed certification according to the standard at the time of the surveys. The
response rate in the previous survey can, therefore, be regarded as good and
satisfactory in the present survey.
Table I gives an overview of the field of activity of the organizations in Iceland
having ISO 9001 certification in the year 2001 (previous survey) and those having ISO
9001 certification in the year 2010. These organizations fall into ten different categories
of activity or industry. The number of organizations having the certification has
doubled in this period even though many of the organizations that were certified in
2001 are no longer among those certified in 2010.
It is interesting to note that large companies that were engaged in the export of fish
and fish products are no longer on the list of organizations having ISO 9001
certification. These companies were household names earlier but have lost their
prominence due to name changes, mergers and acquisitions. Companies in the field of
programming, consulting and engineering services now see an advantage of having
certification (three in 2001 and 11 in 2010). These companies are now seeing more
opportunities abroad. Changes can as well be seen in the category of energy utility etc.
(one in 2001 and ten in 2010). That group seems to regard certification as a good letter
of introduction. Companies in new fields are also being added to the list, such as
companies engaged in importing and retailing, as are organizations involved in
education, research and public administration. It should be mentioned that since 2010,
in November 2011, seven more organizations have obtained ISO 9001 certification
one in group 2, one in group 5, one in group 7, two in group 8, and two in group 10. This
growth demonstrates the value of quality management and certification during these
times of uncertainty.

Nature of business
1. Export of fish and fish products
2. Programming, consulting and engineering
3. Food processing
4. Production of pharmaceuticals, disability aids and measuring instruments
5. Construction and metal industry
6. Production of packaging, e.g. for food
7. Energy intensive manufacturing
8. Energy utility, communication and transporting
9. Importing and retailing
10. Education, research and public administration
Total

Information and
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175

Year 2001 Year 2010

Number of Number of
companies companies
2
3
5
5
3
2
3
1
0
0
24

0
11
2
4
6
2
3
10
3
7
48

Table I.
Organizations in Iceland
which had received
certification according to
ISO 9001

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176

Obstacles and challenges

Both of the surveys in 2001 and 2010 in Iceland raised the question which factors or
functions in the organizations needed improvement before the certification could be
obtained. The replies are shown in Table II.
There were three factors in both surveys that stand out as being those in most need
of improvement: Firstly, traceability and improved documentation in general (almost
12 percent of all answers in 2001, just below 17 percent in 2010); secondly, control of
documents (almost 26 percent in 2001, almost 23 percent in 2010); and thirdly,
documentation and definition of work procedures, rules and processes (just above 23
percent in 2001, just above 27 percent in 2010). These three factors, all relating to
records management, cover the major share of the answers or about 61 percent in 2001
and about 67 percent in 2010.
The participants in the 2010 survey were asked which factors in the operations of
the organizations were given consideration and required attention prior to the audit.
The answers are listed in Table III.
As before in the earlier study, more efficient document control, traceability and
registration was felt to be lacking and needed improvement ( just below 37 percent in
total, i.e. factors 1 and 2). In addition, examination of available records that is,
internal audits, the quality policy and certification plans were important (almost 39
percent in total, i.e. factors 5 and 7) and needed attention.
The participants in the 2010 survey were asked what problems the auditors
discovered during the audits and regular checks of the quality management system.
The participants were asked to identify five problem areas, as reported in Table IV,
and give the most common problem the value 1, the second most common problem the
value 2, and so on. The average of all answers was calculated in order to show the
degree of the problem as shown in Table IV. The table is based on the requirement
sections in ISO 9001:2008, sections 4-8.
The lower the average value the more serious was the problem. The greatest
problem seems to have been connected to the requirements in section 8, measurements,
analysis and improvement (2.07). The second greatest problem related to the

Factor/process

Table II.
Factors/processes in the
operation that needed
improvement before
certification could be
obtained

Traceability and improved documentation in

general
Control of documents
Adoption of more disciplined work procedures
Documentation and definition of work
procedures, rules and processes
Calibration of measuring equipment
Design control
Training
Management review
Internal audits
Total

Number of Number of Percentage Percentage

responses responses of responses of responses
2010
2001
2010
2001
5
11
1

8
11
3

11.63
25.58
2.32

16.67
22.92
6.25

10
5
2
4
3
2
43

13
3
2
1
3
4
48

23.26
11.63
4.65
9.30
6.98
4.65
100.00

27.08
6.25
4.17
2.08
6.25
8.33
100.00

Note: Respondents could highlight more than one factor/process

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Factors
1. Control of documents and traceability
2. Registration, documentation of procedures and working processes
3. Calibration of measuring equipment
4. Management review
5. Internal audits
6. Examination of nonconforming product/service
7. Quality policy and certification plans
8. Comments from last audit
9. Review of improvement projects
Total

Number of
responses
2010

Percentage of
responses
2010

6
10
1
3
9
3
8
2
2
44

13.63
22.73
2.27
6.82
20.45
6.82
18.18
4.55
4.55
100.00

Note: Respondents could highlight more than one factor

Problem factors
Sec. 4: Quality management system; quality manual, documentation, control of
documents and records etc.
Sec. 5: Management responsibility; quality policy and objectives, commitment,
responsibility, authority, communication, review etc.
Sec. 6: Resource management; provision of resources, human resources,
infrastructure, work environment etc.
Sec. 7: Product realization; planning of product, customer-related processes,
design and development, purchasing, production and service provision, control
of monitoring and measuring equipment etc.
Sec. 8: Measurement, analysis and improvement; monitoring and measurement,
control of nonconforming product, analysis of data, improvement etc.

Information and
records
management
177
Table III.
Factors in the operation
that required attention
and consideration prior to
an audit each time

Average
2.96
3.54
3.25

2.39
2.07

requirements in section 7, product realization (2.39), and the smallest problem related to
the requirements in section 5, management responsibility (3.54). Problems regarding
the requirements in section 4 showed a rather high average value (2.96). However, this
value does not tell the full story regarding information and records management and
document control. Although section 4 deals directly with the quality management
system and documentation requirements, direct and indirect demands regarding
records, documents, registration, traceability and records management are to be found
in the other sections to a considerable degree as well.
In the 2001 survey the participants received the same question but it related to the
requirements in the 20 sections of ISO 9001:1994, namely sections 4.1-4.20 (ISO, 1994).
In comparison, it should be noted that in this survey document and data control
(section 4.5) and process control (section 4.9) were given equal values as the most
common problem areas. The next in line was inspection and testing (section 4.10). The
2001 survey revealed that it seemed the least problematic to fulfill the requirements in
sections 4.12 and 4.20, i.e. inspection and test status and statistical techniques
(Gunnlaugsdottir, 2002b).

Table IV.
Problems that the quality
auditors observe during
audits and regular control
of the quality
management system

Even though the results of the two surveys do not appear to be very much alike,
similarities can be found. The comparison is difficult to make due to the changes in
how the requirements were presented as the sections of the standard are no longer the
same. The requirements regarding documentation and records management in section
4.10 in the 1994 edition and in section 8 in the 2008 edition are a case in point.

178

Motivators and benefits

There are many reasons why companies establish a certified quality management system.
International trade has been growing and the emphasis is on quality and competitiveness.
It should also be noted that cases that involve safety of goods and services and hence
producer liability are increasingly being taken to the courts to resolve. A certified quality
management system can be an asset in such cases and its records help in responding to
accusations (Gunnlaugsdottir, 2002b). The conclusions on what was the main motivation
of the Icelandic organizations to seek certification can be found in Table V.
In both surveys the main motivation turned out to be demands from customers (36
percent of the responses in 2001 and just over 24 percent in 2010). A way to introduce
more disciplined work procedures and to gain a better oversight and transparency was
of considerable importance in both surveys (24 percent of responses in 2001 and just
over 21 percent of responses in 2010) as well as managements own decision-making,
which increased between surveys (12 percent of responses in 2001 and just over 18
percent of responses in 2010). Many respondents mentioned that it was important to
have a certified quality management system for their marketing activities abroad (16
percent of responses 2001 and a little over 12 percent in 2010). The importance of this
factor appears to be declining, however. The main motivators in obtaining certification
were the same in both the surveys but to gain a competitive advantage seems much
stronger in the latter survey (8 percent in 2001 but just over 21 percent in 2010).
The benefits that the respondents believed to follow from certification are to be
found in Table VI.
It seems obvious in both surveys that the quality management system has proven to
be a powerful tool to motivate employees due to improved management and their
acceptance of responsibility (seven replies in 2001, ten in 2010) in meeting demands
from customers and public authorities (five replies in 2001, 11 in 2010). Improved

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Motivators

Table V.
Motivators for
implementing and
seeking certification

Demands from customers

Desirable or necessary in order to gain access to
foreign markets
Demands from government authorities
Own decision by the management
To introduce more disciplined work
procedures, to gain a better oversight and
transparency by properly documenting cases
To gain a competitive advantage
Total

Number of Number of Percentage Percentage

responses responses of responses of responses
2010
2001
2010
2001
9

36.00

24.25

4
1
3

4
1
6

16.00
4.00
12.00

12.12
3.03
18.18

6
2
25

7
7
33

24.00
8.00
100.00

21.21
21.21
100.00

Note: The respondents could highlight more than one motivator

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Benefits
Better image
More disciplined work procedures and
traceability
Improved management and acceptance of
responsibility
Improved communication and training
Improved records management
Improvement in meeting demands from
customers and public authorities
Competitive advantage, especially in export
Total

Number of Number of Percentage Percentage

responses responses of responses of responses
2010
2001
2010
2001
5

13.89

9.52

13.89

9.52

7
4
5

10
3
5

19.44
11.11
13.89

23.81
7.14
11.91

5
5
36

11
5
42

13.89
13.89
100.00

26.19
11.91
100.00

Note: The respondents could highlight more than one benefit

records management, more disciplined work procedures and traceability (ten replies in
2001 in total and nine replies in 2010 in total) appears to have made it possible to meet
these demands. It turned out that all of the organizations that were involved in an
international business of some sort considered the certification to be of great benefit.
Information systems
Important aspects of the quality management system are documented work
procedures and processes and the documentation of the quality management system
itself (ISO, 2008). Software especially designed for this purpose makes it possible to
manage the publication of the quality documents, to track decisions electronically, to
carry out statistical analysis, and to trace registrations and events. Such software
facilitates the management of the records.
All of the respondents except five used especially designed information systems to
manage the records of their quality management systems. This had been the practice
from the outset, except in three cases. Software of various kinds was being used, both
homemade and mass produced. More than a third used an Icelandic software package
that had been developed in Lotus Notes. Three used solutions designed in SharePoint.
Others used various systems developed using spreadsheet software, word processing
or data base software. For comparison, all of the respondents in the 2001 survey except
one used especially designed information systems to manage the records. More than 70
percent of the group had done so from the beginning.
Estimated time and investment
The first company in Iceland received certification according to ISO 9001 in March 1992.
Two other companies received their certification later in the same year. These were
companies in food processing, an aluminium smelter and an export sales organization of
fish and fish products (Sigurdur Freysson, 2006). The time and investment involved in
obtaining certification is substantial and relatively higher for the smaller organizations.
Most of the Icelandic organizations belong to that group (European Union, 2003).
One of the organizations managed to obtain certification within a year but the time
it took was usually longer and in some cases up to six years. One of the organizations

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Table VI.
Benefits received from
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was an extreme case. It took that company ten years to obtain certification. If such
extreme cases are excluded, then it took on average two years and five months for the
organizations to obtain certification. In comparison, the time it took the organizations
to obtain certification in the previous survey from 2001 turned out to be two years and
two months. The time it takes to obtain certification is, therefore, on average becoming
slightly longer, based on a comparison of the two surveys which compare the
organizations presently having certification to those having certification in 2001.
Not all of the organizations managed to obtain certification during the first try. Five
of the organizations, however, succeeded after the second trial. The second attempt
took from two weeks up to one and a half years. It was revealed that the most common
reasons for not receiving the certification during the first trial were that records
management and registration were defective and the supervision and calibration of
measuring instruments was not satisfactory.
Information on the cost of obtaining certification was originally calculated in
Icelandic Kronas. These amounts have been converted into GBP for ease of reference.
The average cost for the organizations in obtaining certification according to the
survey was about 65,500. The cost ranged from 7,900 up to 132,000. It can be
broken down into three cost groups. About 41,000 is work done by the companies
themselves (62 percent), outside services about 19,000 (29 percent), and registration
fees about 5,500 (9 percent). The average cost of obtaining certification as revealed in
the 2001 survey was the equivalent of 70,300 when adjusted for the change in the
price level. The cost of living index rose by 70 percent in Iceland from 2001 to 2010. It
seems a little less costly to obtain certification now compared to the earlier survey.
The question of whether any other costs were involved in obtaining certification was
raised. Five organizations responded and mentioned the cost of buying or updating
computer hardware and software. This cost, however, never exceeded 5,300. The
exchange rate as of July 1, 2010 was used to calculate all currency conversions.
It must be borne in mind that various management systems and documented work
processes were already in place in the organizations before the certification process
began. The findings of the survey relate only to the time and cost that was necessary to
adjust and adapt systems and work processes in order for the quality management
system to become certified.
Discussions
As revealed in the Icelandic surveys from 2001 and 2010 the activities that seemed to
be in most need of improvement prior to certification and subsequently before regular
inspections were in the field of information and records management. This field is an
important part in the sections of the quality management standard. Efficient
information and records management and the possibility to trace records and the
processing of cases is an important benefit of implementing quality management
systems (Bhuiyan and Alam, 2005; Chang and Lo, 2007; Dissanayka et al., 2001).
Quality management standards and quality management make detailed demands,
both directly and indirectly, on documentation and the management of records.
Documentation is important and will always pay off in the end. The records are in
fact the proof that an organization is being run according to a quality management
system (Brumm, 1995, 1996; Hofman, 2006; ISO, 2008).
Documentation and records management are a central issue in the certification
process (Stephens, 1996). However, many organizations have found it difficult to fulfill

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the requirements regarding documentation, information and records management and

traceability, as discovered during the two surveys from 2001 and 2010. It has been
discovered in other surveys as well that one of the main obstacles in obtaining and
maintaining certification is related to accepted requirements in records management
(Brumm, 1995; Duff and McKemmish, 2000; Gunnlaugsdottir, 2002b; Rosenberg and
Weiss, 2002).
Standards on information, documentation and records management, ISO 15489-1
and 15489-2, provide good advice and directions for the field. These standards refer
directly to the ISO 9001 quality management standard and show how records
management supports the quality effort (ISO, 2001a, b; Gunnlaugsdottir, 2002a).
Documentation is, however, not an aim in itself but rather a value-added activity that
supports an efficient quality management system (ISO, 2005; Gunnlaugsdottir, 2002b).
Ways to introduce more disciplined work procedures and transparency were
important in the Icelandic surveys from 2001 and 2010. The main motivators from
gaining the certification, however, were demands from customers. To gain competitive
advantages was an important factor in the survey from 2010 which agrees with the
findings of Singels et al. (2001) where improved competitiveness proved to be the main
motivator. They also agree with the surveys conducted by Yusof and Aspinwall (2001),
Heras et al. (2006), and Bhuiyan and Alam (2005), where one of the main motivators was
to meet demands from customers. The findings of the two Icelandic surveys regarding
marketing activities abroad are, on the other hand, different compared to the findings in
the survey of Salaheldin (2003) where export and marketing activities abroad were most
important. This factor was the second least important in the Icelandic survey in 2010.
This result may, however, be explained by the fact how relatively few of the respondents
were solely involved in exports or marketing abroad. All of the companies that were in
the exporting field, however, considered the certification to be one of the most important
reasons. The findings in the Icelandic surveys differ from those of Gotzamani and
Tsiotras (2002) and Fotopoulos et al. (2010) that found demands from customers and
competitiveness not to be of much importance.
The Icelandic surveys show that the main benefit from gaining the certification was
considered to be improved management and it turned out to be easier to meet demands
from customers and public authorities after obtaining the certification. This is in
agreement with the findings of Lundmark and Westelius (2006). The findings in the
survey from 2010, that revealed a greater emphasis on meeting demands from
customers, agrees with the conclusions of Tam et al. (2007) regarding the increased
satisfaction of customers. Then it is also clear that both government authorities and
customers placed an even greater emphasis on companies having certified quality
management systems in the survey in 2010. Improved documentation and records
management as well as more disciplined work procedures and traceability were
considered of importance in the Icelandic surveys. Others have come to similar
conclusions (Bhuiyan and Alam, 2005; Dissanayka et al., 2001).
Most of the organizations used especially designed information systems to manage
the records of the quality management system. The most common used was an
Icelandic software package that had been developed in Lotus Notes. It is not clear from
the survey whether these systems fulfill the requirements of being electronic
documents and records management systems (EDRMS) as defined for example in
MoReq2010 (DLM Forum Foundation, 2010). All the information registered in the
quality management system is evidence of business activities and transactions and
hence records. It is, therefore, important that the systems that are used possess all the

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important qualities of EDRMS, such as version and access control, safe storage in a
central data base with easy access and retrieval, offering tracking and traceability.
Moreover, a classification scheme for records could be used to classify the quality
management records. The following is an example:
5 Quality management
5.1 Quality manual
5.2 Quality policy
5.3 Work procedures
5.4 Work instructions
5.5 Standardized forms
5.6 Quality audits.

In this example the main class number five has been chosen for the quality
management function in a hierarchical classification scheme.
The average cost of obtaining certification turned out to be about 65,500 in the
Icelandic survey from 2010 and it took on average two years and five months to obtain
it. The time it took to gain certification according to the survey in 2010 proved a little
longer compared to the answers to the survey in 2001. The difference was, however,
small, an increase of only three months. This is, however, opposite to the conclusions of
the surveys of Karapetrovic et al. (2010) that show that the time that it takes to
implement a certified quality management system is becoming shorter over time. The
Icelandic surveys show that the cost of obtaining certification is, however, becoming
lower, which is in accordance with the conclusions of Karapetrovic et al. (2010).
Conclusions
This paper has given a presentation of quality management and surveys of
organizations that have received certification of their quality management systems
according to the ISO 9001 standard. A comparison of two surveys made in 2001 and
2010 of Icelandic organizations that had received such certification was made. The
surveys were in both cases a survey of the total population
It was revealed that the main challenges and obstacles to be overcome in obtaining and
maintaining the certification were still related to information and records management as
it affects various requirements in the quality management standard. Transparency and
traceability were important factors when motivators and benefits were being discussed.
Information and records management is an underlying premise in this respect. It is
noteworthy that both surveys are giving this conclusion. The surveys were made nine
years apart and the respondents are quite different although the total number of
organizations having the ISO 9001 certification is being surveyed in both cases.
The surveys add valuable information and fulfill a need for a better understanding
of the status of ISO 9001 in Iceland. Although the surveys are limited to Iceland, this
knowledge may also be of value to researchers, records managers and managers in
other countries where the culture is similar. The business environment in Iceland is, for
example, not that different from other countries in Western Europe. The findings,
therefore, do not have a restricted regional value.
Quality management is reaffirming its proper place in business internationally and
it is important that records managers realize the opportunities that this development
brings to the profession. The role of records management is important when quality
management standards are being implemented and when their demands need to be
met. The records management function is the common thread that can be traced

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through these standards. The basic norm is always the same: Record what you plan to
do and act accordingly. The success of the quality management system depends
largely on how successful the records management system is. Quality management is
inconceivable without systematic information and records management and cannot
function without it. This can be simply translated into a multitude of interesting job
opportunities for records managers.
The results could be of value to organizations that want to implement or
re-implement a certified quality management system. They define various factors that
can support a better and a more reliable implementation of quality management
systems. The findings are of practical use and do provide arguments for records
managers when they demonstrate to top management the importance of information
and records management for quality management.
The surveys can lay the foundation for further research into the field involving
other countries and could also lead to opportunities to make a broader international
comparison. In addition it could be of interest to focus more on objective rather than
subjective data. Questionnaire surveys may be rather subjective as they present the
personal views of the respondents. It would be of interest to examine the organizations
themselves, visit the place of work, analyze the actual quality manuals and records. It
would also be of interest to observe the employees and the auditors in their work.
Objective data, obtained in the field, may provide findings of additional interest.
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About the author
Johanna Gunnlaugsdottir is a Professor at the University of Iceland. Her main field of teaching
and research is in information and records management, total quality management and
knowledge management. Her research field also includes taxonomy and classification theory.
She has received a BA in History and Library and Information Sciences from the University of
Iceland, an MSc (Econ) from the University of Wales, and a PhD from the University of Tampere,
Finland. In 1985 she founded a consulting company on information and records management,
Gangskor, and has been working for more than 100 organizations in Iceland. She has also held
seminars and given lectures on information and records management, quality management and
knowledge management for various institutions, companies and associations, both in Iceland
and at international conferences. She is a reviewer of manuscripts in the field of information
science, Icelandic and foreign, and sits on editorial advisory boards. Johanna Gunnlaugsdottir
has written reports, handbooks, book chapters as well as articles which have been published in
Icelandic and foreign journals and books. Her resume and list of publications can be found on the
bottom of her hompage: www.hi.is/en/simaskra/1373. Johanna Gunnlaugsdottir can be contacted
at: jg@hi.is

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