How much documentation is needed

Here's a question from a reader that often comes up.

Q: 'I am implementing ISO 9001 in a small-medium size company.
Staff have the perception that detailed instructions are required for every function in the company (some one from the street should be able to come in and do the job!!!).
I am trying to convince them that only critical functions which affect the quality of our product should have detailed instructions (eg assembly work, critical operations). How and what arguments can I use in order convince staff (and even the MD)? I do not want to create a mountain of documents no one reads.' D.V.

And here's my answer:

Good question, & mostly you’re right. I've recently reviewed 2 complicated, over-documented systems that cost their owners lots of money, and which are so unwieldy & document heavy they're unworkable.

The idea that 'anyone from the street should be able to pick up the quality manual/procedures & do the job' is a completely outmoded idea – thank heavens. It might possibly be true in, say a McDonalds-type environment, but only in something like that -- & even then selection, induction & training is part of the quality system.

Another reason: it didn't work. Worst of all, it resulted in massively, massively detailed instructions which no one could follow or had the time to read, let alone maintain as the business changes!

The ultimate aim of ISO 9001 is customer satisfaction (ie, going beyond just quality of product).

The Standard does say that you need to identify your critical processes, their sequence & how they inter-relate (4.1). It does not say that you have to document them all. It does say also that 'controlled conditions' (7.5.1) are required for production (or service delivery).

But written instructions are not the only means of control: you can also use, for example, computer systems, checklists, bills of materials, specifications, engineering drawings, equipment, suitable tools, monitoring, measuring, activities such as review or inspection, etc.

Here are some guidelines from The System – the Complete Guide to Getting ISO 9001.

'Do we need documentation? Questions to ask:

• If we don’t document this, would that affect our service or product quality? If it would, what are the risks and how serious are they?
  Don’t document something that is very, very unlikely but just might possibly happen if the moon was in the seventh house and the planets lined up in this particular way and a black cat also happened to be walking under the ladder at the exact same instant, etc. Keep it sensible.
• Is this area reasonably well under control? Or are there frequent problems such as mistakes, customer complaints, rework, loss of money or time, angst, etc?
• What happens if the person who usually does this is away or absent? Is there much turnover in this job? How does someone new or a stand-in know what to do and how? And how likely is that to occur, or how often?
• How many people do this? If it is several or many, how do we get them to do it with consistency?
  If it is only one, what would happen if they left suddenly? Were ill? (Don’t ignore this, or say ‘well, that would never happen, because he/she is the owner’s wife’. Remember, it’s a system. There is no clause in ISO 9001 that says it’s all OK if it’s the owner’s wife!)
• Are there critical points where things must be right or done consistently? How do we ensure that if not documented?

For example, should you document your sales or marketing process?
A consulting company or a software development firm usually does, because each job is different, and there needs to be a clearly written agreement in place about what they will do for a particular customer. A company selling retail garden plants probably doesn’t, provided it trains its staff in how to use the cash register.

Do you need a documented recruiting process? A recruitment firm definitely would. A security company that places security guards in shopping centres and hospitality venues would; they have a relatively high turnover of people, and must get suitably qualified and experienced people. So would a firm providing, say corporate fitness programs, or managing gymnasiums. A small, relatively stable IT or consulting firm where the MD does all the recruiting wouldn’t.'

What you probably have is people who've either had some experience in an old-style system (ie, not the current, 2000 version of the Standard) and/or who've been infected by people who have. And unfortunately, mostly those experiences of 'quality' were negative.

How to convince? A tricky one. Here's a few suggestions.

1. Remind them that ISO 9001 is the requirements for a 'quality management system'. Yes, that system includes documentation, but that isn't the be-all and end-all. The system includes all those other elements, such as people being competent, management, etc. What on earth would be the point, say, in hiring a qualified & experienced engineer... and then telling them, line by laborious line, how to do an engineering drawing? Or providing a detailed, step by step instruction to tell a truck driver to collect waste and take it to the rubbish tip when the truck is full. Neither of them need it, but I've seen examples of both!

2. Know exactly what it says in the Standard. Wherever in the Standard it says 'a documented procedure shall be established...' it means you *must* have one. (And it only says that in 6 clauses).

3. Show them examples. There are 2 examples of 'skinny documentation in my DIY Pack because few things convince like seeing real examples.

4. Select a good certifier (auditor) eg, see Links. Talk with someone from there who knows - an auditor/audit manager etc & ask them to confirm your general approach & understanding, & what I say.

5. Give them a copy of my report on the 10 most common mistakes. Send them to my website for more information - eg, see what people say about the 'minimal documentation' approach. Tell them all my clients (large, medium & small) got their certificate first time - and not one had massive reams of documentation!

6. Keep it practical and manageable. Have only 'just enough'. Less is usually more - you can add more if required.

Good luck & have a great week.
Jane Bennett

Get ISO 9001 yourself, without struggle. Click here for details.