16 QUALITY INNOVATION PROSPERITY / KVALITA INOVÁCIA PROSPERITA 22/2 – 2018

Empirical Research of the ISO 9001:2015 Transition Process

in Portugal: Motivations, Benefits, and Success Factors
DOI: 10.12776/QIP.V22I2.1099

Luis Miguel Fonseca, José Pedro Domingues

Received: 03 April 2018 Accepted: 14 July 2018 Published: 31 July 2018

ABSTRACT
Purpose: With the transition period for ISO 9001 certified organisations to
migrate to the 2015 edition ending 15th September 2018, this investigation aims
to evaluate the status of ISO 9001:2015 transition process and provide useful
knowledge on the corresponding motivations, benefits, and success factors.
Methodology/Approach: An empirical study of more than 300 Portuguese
organisations ISO 9001 certified, or in certification process, encompassing a
wide range of activities sectors, was carried out.
Findings: As of May 2017, 19% of the respondents already have ISO 9001:2015
certification and all the remaining one’s plan to complete the process in time. The
principal reported benefits are risk-based thinking, mapping of the organisational
context, and stakeholder identification. Simultaneously those were the issues that
required more attention and effort to be mastered and implemented. Additionally,
there is evidence that ISO 9001:2015 enhances both internal and external
organisational issues and generates benefits for all the researched dimensions.
Based on the respondents’ responses, organisations who claimed that external
motivations were the primary drivers to ISO 9001:2015 implementation
systematically rate higher all the benefits when compared with the rating ascribed
by those organisations who claimed internal motivations. Moreover, it is possible
to conclude that the perceived benefits from ISO 9001:2015 implementation and
certification seem to be strongly influenced by two primary dimensions: the
(smaller) organisation size and the (lesser) international presence.
Research Limitation/implication: Due to ISO 9001:2015 novelty, the results of
this investigation should be subject to future confirmation and replicated in other
countries to allow a generalisation of the conclusions. Since the survey is based
on the perceptions of the organisation’s Managers, there is a potential response
bias risk that should be acknowledged.

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Originality/Value of paper: With more than 1.2 million ISO 9001 certified
organisation worldwide, this a highly relevant issue both for organisations,
practitioners and academics. Due to ISO 9001:2015 novelty, this investigation
aims to fill this research gap.
Category: Research paper
Keywords: ISO 9001:2015; quality management systems; certification; benefits

1 INTRODUCTION

1.1 The ISO 9001:2015 International Standard Edition

ISO 9001:2015 (ISO, 2015) was published in September 2015 comprising a
twofold goal: reliability- by ensuring that organizations who meet its
requirements on a consistent basis provide products and services that satisfy their
customers’ needs and expectations addressing the relevant statutory and
regulatory requirements; flexibility- by developing the 2015 edition appropriate
and suitable for the present complex, demanding and dynamic business
environments. According to Fonseca (2015a) some of the major new approaches
of the ISO 9001:2015 are:
• A strengthened approach enabling managers to demonstrate their
leadership throughout all levels of the organisation;
• A reinforced integration with the organisation’s business and other
management systems (MS) components;
• The consideration of the organisation’s context (including its internal
culture, external factors, and the requirements and expectations of the
relevant stakeholders);
• The adoption of risk-based-thinking;
• The introduction of novel concepts such as organisational knowledge and
change management;
• The consideration of both continual and disruptive improvement;
• The adoption of more pragmatic and non-prescriptive requirements with
greater emphasis on the achievement of results and less on documentation.
As of 15th September 2018, all ISO 9001:2008 (ISO, 2008) certificates will be
no longer valid. Organisations intending to comply with the requirements of the
ISO 9001 certificate should transition from their existing ISO 9001:2008 Quality
Management System (QMS) to the new edition, via a successful transition audit,
or, in case they are not yet ISO 9001:2008 certified, to be audited and certified
against the ISO 9001:2015 international standard. In both cases, either the
transition process or the initial certification process should be assessed by a

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credible and recognised certification body, preferably operating under ISO

17,021 accreditation. Although still a novel theme, ISO 9001:2015 has “caught”
researchers’ attention as depicted in Tab. 1.

Table 1 – ISO 9001:2015 Research Summary (Authors Own Elaboration)

Research conclusion Author(s)
ISO 9001:2015 is compared with Total Quality Management approaches Fonseca
concluding it is a step towards TQM, with significant benefits for the (2015a)
organisations, such as less emphasis on documentation and new/reinforced
approaches.
A stepwise ISO-based Total Quality Management implementation approach Chen, et al.
based on ISO 9001:2015 is proposed. (2016)
Based on an empirical worldwide study among IRCA registered auditors the Domingues, et
authors concluded that ISO 9001:2015 with the adoption of the Annex SL, al. (2016)
common high-level structure for MSs, and the adoption of identical core
context, common terms, and definitions, favours integration with other MSs
such as the ISO 14001:2015- Environment MS.
The authors propose a model for integrating Lean or Six Sigma projects by Marques, et al.
systematical linkage with the applicable clauses and sub-clauses of ISO (2016)
9001:2015.
Based on a survey of 393 IRCA registered auditors worldwide, the authors Fonseca and
conclude that ISO 9001:2015 is in line with modern business and quality Domingues
management concepts and will be a useful tool for the companies. (2017)
By analysing ISO 9001:2015 and gathering feedback during the first six Anttila and
months of its application, the authors consider that there are improvements Jussila (2017)
such as the new harmonized structure, the adoption of risk-based thinking
and the reinforced business-centred focus on business processes. However,
they claim that ISO 9001:2015 is generally ambiguous and encompasses
some incomplete and imperfect text and requirements.
Based on an empirical study amidst 1175 German companies the authors Rybskia, et al.
point out that there is a lack of training and knowledge concerning the ISO (2017)
9001:2015 new requirements particularly concerning the adoption of “risk-
based thinking”.
Given the new ISO 9001:2015 requirements, a survey was held amidst ISO Fonseca,
9001 certified organisations, to ascertain the competencies demanded today Domingues and
for Quality and Organizational Excellence Managers. The results highlight Sá (2017)
that “the knowledge of culture and the organisational process” is the most
highly required competency and skill for these professionals.

To sum up, on the one hand, there is a stream of authors that regard the ISO
9001:2015 standard a valuable step towards TQM. Concurrently, these authors
consider that the last revision of the ISO 9001 standard favours the integration
with other management disciplines. Conversely and on the other hand, there is a
stream of authors that acknowledge the ISO 9001:2015 benefits but also some
shortcomings. Furthermore, some authors point out that there is a lack of
awareness and training on ISO 9001:2015. This research study aims to tighten
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this research gap, by gathering empirical knowledge (to formulate grounded

theoretical propositions) on the ISO 9001:2015 transition and certification
phenomenon, notably the approaches adopted by the organisations that
proceeded with the transition, the significant benefits attained and the obstacles
faced throughout this process. With more than 1.2 million ISO 9001 certified
organisation from all sectors of activity, worldwide (ISO, 2017), this is a relevant
issue both for organisations, practitioners and academics and due to ISO
9001:2015 novelty, empirical investigations are still scarce.

1.2 Motivations and Benefits of ISO 9001 Certification

Researchers have paid significant attention to the ISO 9001 certification
phenomenon focusing on the motivations for its implementation and certification
and the achieved benefits. Tab. 2 presents a summary of the more relevant
studies addressing this research topic and the soundest conclusions.

Table 2 – ISO 9001 Certification Research Synthesis (Authors Own Elaboration)

Dimension Conclusions/Authors
Benefits of the ISO 9001 Positive results due to ISO 9001 implementation and
certification certification: Bernardo, et al. (2015); Boiral and Amara
(2009); Heras, et al. (2002); Martínez-Costa and Martínez-
Lorente (2007); Martínez-Costa, et al. (2009); Poksinska
and Dahlgaard (2003); Psomas (2013); Sampaio, Saraiva
and Rodrigues (2009); Tari, Molina-Azorin and Heras
(2012), Fonseca, et al. (2017).
Emphasis on positive internal results such as organizational
and operational improvements: Calvo, et al. (2016);
Martínez-Costa, Martínez-Lorente and Choi (2008);
Terziovski and Power (2007); Wahid and Corner (2009).
Emphasis on positive external results, e.g., better brand
image, improved customer relationships; more favourable
market position of the company; access to markets;
financial benefits, strengthening of relationships in
distribution channels and improve logistics: Benner and
Veloso (2008); Corbett, Montes and Kirsch (2005); Dick,
Heras and Casadesús (2008); Martínez-Costa and Martínez-
Lorente (2003, 2007); Sharma (2005); Terlaak and King
(2006), Zimon, Gajewska and Bednárová (2017).
The emphasis of the Emphasis on external motivations such as regulations for
internal/external type of market access; customer demands; pressure from
motivation for the competitors; access to government incentives: Bhuiyan and
implementation and certification Alam (2010); Heras and Arana (2006); Martínez-Costa,
of ISO 9001 Martínez-Lorente and Choi (2008); Terziovski, Power and
Sohal (2003).
Emphasis on internal motivations lead organisations to
implement and certify their QMS to achieve internal and
external benefits: Calvo, et al. (2016); Chang and Lo

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Dimension Conclusions/Authors
(2005); Fotopoulos and Psomas (2010); Llopis and Tari
(2003); Willar, Coffey and Trigunarsyah (2015), Castillo-
Peces, et al. (2017).
Influence of the internal/external Internal motivations to implement ISO 9001 can foster
type of motivation for the organisational and process improvements which may
implementation of the ISO 9001 contribute to better quality and customer satisfaction,
on achieving positive results leading to improved financial performance, and
competitive position. External motivation contributes to
better access to markets and image enhancement, but if no
internal improvements are implemented, the external
benefits might not endure: Boiral and Roy (2007); Llopis
and Tari (2003); Martínez-Costa, Martínez-Lorente and
Choi (2008); Prajogo (2011); Sampaio, Saraiva and
Rodrigues (2009).
The impact of the organization There are observed differences in the driving forces for ISO
sector of activity on the positive 9001 certification between manufacturing and services:
benefits of ISO 9001 certification Pekovic (2010).
Influence of the organization size It is more difficult to SME´s because those organizations
on the positive benefits of ISO have fewer relevant resources than larger ones: Gustafsson,
9001 certification et al. (2001); Ismyrlis and Moschidis (2015).
Size is not relevant, since SME´s are more flexible and
open to change than larger ones, and the start point might
be lower: Briscoe, Fawcett and Todd (2005); Lee, To and
Yu (2009); Prado, et al. (2013); Fotopoulos and Psomas,
(2010); Terziovski, Power and Sohal (2003).
The impact of the organization Some research shows a positive relationship between
international presence intensity export intensity (the ratio of export sales to total sales) and
on the positive benefits of ISO firm performance, since firms with a higher rate of export
9001 certification must be more effective and efficient (Bernard and Jensen,
1999; Ling-Yee, 2004), and have access to more
knowledge, therefore becoming more competitive (Ellis,
Davies and Wong, 2011).
Influence of number of years of The benefits of the implementation and certification of an
the certification on the positive ISO 9001 QMS need time to be achieved and growth with
effects of ISO 9001 certification the number of years since certification: Corbett, Montes
and Kirsch (2005); Fonseca (2015b); Martínez-Costa,
Martínez-Lorente and Choi (2008); Terziovski and Power
(2007); Wilson, Walsh and Needy (2003), Castillo-Peces,
et al. (2017)
Time is not significant, and the benefits of certification may
even decrease with time: Casadesus and Karapetrovic
(2005); Casadesus, Karapetrovic and Heras (2004);
Karapetrovic, Fa and Heras (2010); Sampaio, Saraiva and
Rodrigues (2009).
Influence on the intensity of There are synergies between Six Sigma and ISO 9001:
Quality improvement Pfeifer, Reissiger and Canales (2004); Lupan, et al. (2005);
methodologies application (such Dey (2010).

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Dimension Conclusions/Authors
as Lean, Kaizen, 6 Sigma) to There is a potential role of the Lean principles and tools
maximize ISO 9001 certification and principles under the requirements of ISO 9001:2008
benefits clauses. There are synergies between the ISO 9001
requirements and improvement Kaizen events and the
application of structured Lean tools: Chiarini (2011);
Micklewright (2010).

With the introduction of the ISO 9001:2015 new approaches, when compared to
the ISO 9001:2008 version, it is advisable to investigate where we stand
concerning the motivations, benefits, and success factors for ISO 9001:2015
certification. Moreover, as the three-year transition for ISO 9001 will end 15th
September 2018, the Accreditation Forum (IAF) that supersedes the developing
of principles and practices for the conduct of conformity assessment, passed a
resolution that as of 15th March 2018, conformity assessment bodies must
conduct all ISO 9001 audits to the new version ISO 9001:2015 (IAF, 2017). With
estimates that more than 50% of ISO 9001 certified organisations still didn´t
complete the transition at the end of 2017 (informal survey carried by the authors
within ISO 9001 certification bodies), the results of this investigation can be of
value to understand and support the ISO 9001:2015 transition process.

2 METHODOLOGY
The research started with the review of the published studies addressing ISO
9001:2015, its benefits and shortcomings and previous studies concerning ISO
9001 certification (motivations, benefits and organisational dimensions that
influence its outcomes). Due to ISO 9001:2015 novelty, there are limited
empirical studies on its implementation and certification, which lead to the
proposal of the following research questions (RQ):
RQ 1: Halfway through the transition period, what is the status concerning ISO
9001:2015 transition and certification?
RQ 2: What are the main benefits achieved with ISO 9001:2015 implementation
and certification?
RQ 2.1: Are there significant differences between Quality Managers and CEOs?
RQ 3: What are the new ISO 9001:2015 themes that your organisation considers
most difficult to implement successfully?
RQ 3.1: Are there significant differences between organisations that have
already been certified and those have not yet done it?
RQ 4: What are the main dimensions that influence the successful ISO
9001:2015 implementation and certification?

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RQ 4.1: Does the internal/external type of motivation to implement ISO

9001:2015 influence the achievement of positive results?
RQ 4.2: Does the organisational sector influences the achievement of positive
results with ISO 9001:2015 implementation and certification?
RQ 4.3: Does the organisation size influence the achievement of positive results
with ISO 9001:2015 implementation and certification?
RQ 4.4: Does the organisation international presence intensity impact on the
achievement of positive results with ISO 9001:2015 implementation and
certification?
RQ 4.5: Does the number of year of the organisation certification influence the
achievement of positive results?
Quantitative research, supported on a survey online was adopted, with a structure
similar to Fonseca and Lima (2015), where construct reliability was tested and
validated with Cronbach Alpha (greater than 0.7).
The collection of data to address these research questions were supported by in
an online survey that was carried out for three weeks, throughout April and May
2017, among organisations ISO 9001 certified or in certification process by the
leading Portuguese certification body (APCER, 2017).
The online survey is a suitable research technique widely adopted to reach a
restricted population. This technique is particularly appropriate in the context of
this study characterised by scarce resources and the need for fast response time.
The participants could access their survey via an individual link sent per mail.
The survey structure encompassed 4 primary group of questions addressing the
following central themes: organisation characterization, ISO 9001:2015
certification/transition, internal/external certification motivation (Likert 1-
Totally Internal to 7- Totally External scale), certification benefits (8 items based
on literature review, assessed through a Likert Scale: 1- No relevance to 5-
Totally Relevant) and respondent data. The statistical analysis and statistical
hypotheses testing were supported by the use of IBM SPSS Statistics 23
software. Both the Chi-square and the Wilcoxon signed ranks statistical test were
adopted throughout the results analysis.
The survey results were monitored during the survey period to check for possible
non-respondent bias using “wave analysis” to compare the results from late
respondents and early respondents (Armstrong and Overton, 1977). Since no
significant differences were found, we can assume that non-respondents’
responses would be similar, minimising the possible bias error. Additionally, the
analysis of the survey results suggests that it is representative since the
distribution of the sample is consistent with the population.

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3 RESULTS AND DISCUSSION

3.1 Characterization of the Respondent Companies

The survey yielded a total of 310 valid responses (response rate 18%).
Concerning the sector of activity, industry accounted for nearly 38% of the
survey responses, commerce (11%) and services (51%). These results assure a
well-balanced sample of service-oriented and producing businesses for this
research, as depicted in Fig. 1.

Figure 1 – Respondent Companies - Breakdown by

Sector of Activity (Authors Own Elaboration)

Respondents were mainly quality managers (80%), followed by CEOs (11%) and
other quality management collaborators (8%), as one may observe in Fig. 2.

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Figure 2 – Respondent Companies - Breakdown by

Organisational Function (Authors Own Elaboration)

As depicted in Fig. 3, most organisations operate in the internal market (41%),

while 36% have some international presence (less than 25% of total revenue) and
23% are more internationalised (more than 25% total revenue).

Figure 3 – Respondent Companies - Breakdown by

the International Export Intensity
(Authors Own Elaboration)

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Concerning the number of employees, 62% of the respondent organisations

employ less than 50 collaborators and 31% employ between 50 and 250
collaborators. Solely 6% of the organisations have more than 250 employees
(Fig. 4). These results are aligned with the Portuguese profile of the certified
companies which is characterised mainly by a high density of SMEs.

Figure 4 – Respondent Companies - Breakdown by

the Number of Employees
(Authors Own Elaboration)

Concerning the distribution of the number of years the organisations have

implemented their QMSs, it shows a balanced distribution concerning the QMS
years since its implementation and is in line with the population distribution
suggesting that the sample accurately matches the population (Fig. 5).

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Figure 5 – Respondent Companies - Breakdown by

the Number of Years Since the Implementation of the
QMS (Authors Own Elaboration)

3.2 Study on ISO 9001:2015 Transition/Certification

Concerning the research question 1 (Halfway through the transition period, what
is the status concerning ISO 9001:2015 transition and certification?), as shown in
Fig. 6, by May 2015 20% of the respondents were indeed certified accordingly
the ISO 9001:2015 (either by transitioning from ISO 9001:2018 or direct
certification with ISO 9001:2015) and 79% mentioned the desire to proceed with
the transition to ISO 9001:2015.
From the 72 organisations that proceeded with the transition, 58% made only
minor adjustments to their QMS, while 37% made a full a substantial
reformulation. Concerning the 238 organisations that have not yet completed the
transition/certification to ISO 9001:2015 they plan to do it throughout 2017
(46%) and 2018 (52%) (Fig. 8) and stressed that they are in the process of
studying the ISO 9001:2015 international standard (39%) or lacked time to do it
(36%). However, as one may observe both in Fig. 7 and 8, the rate of transition
increased 64% in the first four months of 2017, when compared to 2016, and
approximately half of the organisations plan to proceed with the transition in
2017, and the other half throughout 2018 (Fig. 8).

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Figure 6 – Respondent Companies - Status Concerning ISO

9001:2015 Transition/Certification (Authors Own Elaboration)

These results suggest that the transition rate is growing and (by May 2017)
almost all organisations plan to proceed with it till 15 September 2018. The
organizations which proceed with the transition to the novel ISO 9001:2015
relied mainly on external consultants (57%) and training (47%); however, among
those organizations that have not yet completed the ISO 9001:2015
transition/certification some are still trying to master the international standard
(40%) and others reported lack of time to do it successfully (37%). From the 72
organisations that proceeded with the transition, 58% made only minor
adjustments to their QMS, while 37% made a full a substantial reformulation.

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Figure 7 – Status Concerning ISO 9001:2015 Transition/Certification

- Breakdown by Date of Completion (Authors Own Elaboration)

Figure 8 – Organizations Still in Transition Process - Breakdown

by the Planned Deadline for the ISO 9001:2015 Certification
(Authors Own Elaboration)

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Based on the results collected, five new ISO 9001:2015 themes were identified as
the most beneficial ones:
• Risk and opportunities determination and adoption of risk-based thinking;
• Organizational context determination - internal and external relevant
issues;
• Determination of the relevant stakeholders and their relevant
requirements;
• Organisational knowledge;
• Change control.
Research question 2.1 aims to evaluate if there are there significant differences
concerning ISO 9001:2015 main benefits, between the Quality Managers and the
CEOs. The graphical depiction of the summarized results (Fig. 9) suggests three
main themes as those that experienced the most beneficial evolution upon the
ISO 9001:2015 implementation: Risk and opportunities determination and
adoption of risk-based thinking, determination of the relevant stakeholders and
their relevant requirements and the organizational context determination- internal
and external relevant issues. One should stress that both CEOs and Quality
Managers pointed out these same three beneficial themes over the others.

Figure 9 – Relative Distribution of the Most Often Reported

Beneficial Themes Collected Upon ISO 9001:2015 Implementation
- Breakdown by CEOs and Quality Managers (Authors Own
Elaboration)

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To statistically assess if a significant difference does exist among the perceptions

expressed by the CEOs and those expressed by quality managers the Chi-Square
statistical test was conducted. The p-value (0.619) suggests that based on the
collected results there is no evidence of statistical differences between the two
groups (Tab.3), however, due to the small CEOs sample size, their results need to
be considered with caution.

Table 3 – Chi-Square Tests (Authors Own Elaboration)

Value df Asymptotic Significance Exact Sig.
(2-sided) (2-sided)
Pearson Chi-Square 29.967a 33 0.619 0.694
Likelihood Ratio 30.510 33 0.592 0.580
Fisher's Exact Test 33.740 0.360
N of Valid Cases 62

Concerning the research question 3 “What are the new ISO 9001:2015 themes
that your organisations consider most difficult to successfully implement?” the
summarized results are depicted in Fig. 10. These results (breakdown by
companies already certified and not yet certified) concerning the most difficult
themes to be implemented (or the themes expected to be most difficult to
implement) suggest that both the organizations that proceeded with the transition
to the ISO 9001:2015 and those that did not point out the “Risk and opportunities
determination and adoption of risk-based thinking” as the theme presenting more
challenges to implement. Additionally, the “Determination of the relevant
stakeholders and their relevant requirements” and “Organizational context
determination- internal and external relevant issues” are mentioned by both
groups as other themes indeed difficult to implement (companies that proceeded
with the transition) or expected to be difficult to implement (companies that not
yet proceeded with the transition).
To answer research question 3.1 “Are there significant differences concerning the
ISO 9001:2015 most difficult themes, between organisations already certified
with ISO 9001:2015 and those that have not yet done it?”, the Chi-Square
statistical test was adopted to ascertain statistical differences between the
distributions of the two groups. The p-value suggests that based upon the
collected results there is no evidence of statistical differences between the two
groups, i.e., the expected difficulties to be faced during the implementation
process are in fact those that are experienced by the companies that proceeded
with the transition.

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Figure 10 – Relative Distribution of the Most Often Reported

Difficulties Faced (or Expected to Be Faced) During ISO
9001:2015 Implementation Process - Breakdown by Certified
Organisations and Those Not Yet Certified (According to the ISO
9001:2015 Standard) (Authors Own Elaboration)

3.3 Study on ISO 9001:2015 Motivations and Benefits

Considering ISO 9001:2015 novelty, the investigation aimed to address if the
dimensions stated in the literature for achieving successful benefits with ISO
9001 implementation remain valid with the ISO 9001:2015 edition (RQs 4.1 to
4.5). The benefits were outlined according to the literature review and yield the
results listed in Table 3 (Likert scale: 1- No relevance to 5- Highly relevant).
With the purpose of simplification and benchmarking two composite indicators,
presented in equations 1 (for Total Internal Benefits) and 2 (for Total External
Benefits) were defined based on each benefit assessed and on it internal or
external relevance:
∑ ∑ + ∑
= 1∗ 8
+ 0,5 ∗ 4
+0∗ 2
(1)

∑ ∑ + ∑
= 0∗ + 0,5 ∗ +1∗ (2)
8 4 2

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Based on the results presented in Tab. 4 it is possible to point out that

organisations perceived and rate the achievement of external benefits higher than
the achievement of internal benefits (Average of 3.9 versus 3.745) upon ISO
9001:2015 implementation and certification. Also, the results suggest that
organisations find “Improved awareness regarding risk and its minimisation” as
the most beneficial issue attained upon ISO 9001:2015 certification (Average
4.3). Among other high rated benefits (Average 4.0) reported, one should stress
the following: increased Top Management commitment, improved awareness of
the stakeholders, their expectations, and requirements concerning the products
and services (P&S) and opportunities identification. Regarding those potential
benefits rated lower by the organisations (Average lower than 3.5) the following
should be mentioned: sharpen the definition of the requirements of the products
and services (P&S), cost reductions and improved integration with ISO 14001.

Table 4 – ISO 9001:2015 Benefits Summary (Authors Own Elaboration)

Benefits Internal (I) Average (1 to 5) Std
/External € Dev.
[B1] Alignment with business strategy I+E 3.9 1.13
[B2] Increased Top Management I 4.0 1.15
commitment
[B3] Improved accountability from the I 3.9 1.09
processes leaders and involved
employees
[B4] Improved awareness of the E 4.0 0.85
stakeholders, their expectations, and
requirements concerning the P&S
[B5] Sharpen definition of the I+E 3.4 1.06
requirements of P&S
[B6] Improved awareness regarding risk I+E 4.3 0.83
and its minimization
[B7] Opportunities identification I+E 4.0 0.97
[B8] Safeguard and access to relevant I 3.7 0.93
knowledge
[B9] Less prescriptive and documentation I 3.6 1.07
requirements
[B10] Cost reductions I 3.5 1.40
[B11] Productivity improvements I 3.6 1.29
[B12] Increased product/service quality E 3.8 1.18
[B13] Improved processes performance I 3.9 1.15
[B14] Improved integration with I 3.1 1.48
ISO 14001
Total Internal benefits Equation 1 3.745 ---

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Benefits Internal (I) Average (1 to 5) Std

/External € Dev.
Total External benefits Equation 2 3.9 ---

The external/internal type of motivation, the sector of activity, the organisation

size, the international business intensity, and the number of years of the
certification were the dimensions used to study the factors that might influence
the achievement of ISO 9001:2015 implementation and certification benefits.
Tab. 5 summarises the average scores.

Table 5 – ISO 9001:2015 Dimensions That Influence Positive Results. Summary

of Research Questions (RQ) Testing (Authors Own Elaboration)
RQ4: What are the main dimensions that influence the successful ISO 9001:2015
implementation and certification?
Hypothesis Average value
RQ4.1: Does the internal/external type of Mainly Internal Mainly External
motivation to implement ISO 9001:2015 3.7 3.9
influence the achievement of positive results?
RQ4.2: Does the organisational sector Industry Commerce and Services
influences the achievement of positive results 3.8 3.9
with ISO 9001:2015 implementation?
RQ4.3: Does the organization size influence Small (less than 50 Medium/Large (more
the achievement of positive results with ISO employees) than 50 employees)
9001:2015 implementation and certification? 3.9 3.5
RQ4.4: Does the organization international Small international Medium international
presence influence the achievement of presence (less than presence (more than
positive results with ISO 9001:2015 25% total revenue) 25% total revenue)
implementation and certification? 3.8 3.5
RQ4.5: Does the number of years of Less than 6 years’ More than 6 years’
certification influence the achievement of certification certification
positive results? 3.7 3.8

To answer research questions 4.1 to 4.5 the statistical Wilcoxon signed rank test
was adopted to assess the statistical relevance of the differences among each one
of the benefits for the two groups. Concerning the Wilcoxon signed rank test, the
solely statistical difference ascertained relates with the benefit- Access to
relevant knowledge that was statistically perceived different concerning the type
of motivation leading to the implementation of the ISO 9001:2015 (Z = -2.292;
p-value < 0.05 (0.022)).
Supported on the summarised results listed in Tab. 4 it is possible to conclude
that the perceived benefits seem to be strongly influenced by two primary
dimensions: the organisation size and the international presence (highest
differences). Both the activity sector where the organisation operates and the
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organisational number of years since certification seems not to impact so much

on the perception of the attained benefits with ISO 9001:2015 implementation
(lowest values).
The results are graphically depicted breakdown by benefit throughout Fig. 11 to
15. Tab. 6 presents information regarding the assessment of each group within
each assessed dimension. On this regard, it is possible to point out that those
organisations who claimed that internal motivations were the primary drivers to
ISO 9001:2015 implementation systematically rate lower all the benefits when
compared with the rating ascribed by those organisations who claimed external
motivations. Furthermore, based on the information in Tab. 6, smaller
organisations and those who reported a low international presence rate higher all
the benefits attained upon ISO 9001:2015 certification.

Figure 11 – Motivation Driving ISO 9001: 2015

Implementation (Authors Own Elaboration)

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Figure 12 – Activity Sector (Authors Own Elaboration)

Figure 13 – Organization Dimension (Authors Own Elaboration)

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Figure 14 – International Presence (Authors Own Elaboration)

Figure 15 – The Number of Years Since the QMS First

Certification (Authors Own Elaboration)

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Table 6 – Comparison between Ratings among the Groups within Dimensions

(Authors Own Elaboration)
Internal Industry vs. Small vs. Int. Pres. Number of years
vs. Commerce & Medium/Large < 25% vs Int. QMS certification,
External Services Pres. > 25% “less than 6” vs. “6
motivation or more”
B1
B2
B3
B4
B5
B6
B7
B8
B9
B10
B11
B12
B13
B14

4 CONCLUSION
Halfway through the transition period, concerning ISO 9001:2015 transition and
certification 19% of the respondents are already certified to ISO 9001:2015 and,
from this group, 58% made only minor adjustments to their QMS, while 37%
made a substantial reformulation. From the remaining 81%, 46% plan to
complete the process in 2017 and 52% in 2018; 39% are still studying the ISO
9001:2015 International Standard or lacked time to do it (36%). The rate of
transition to ISO 9001:2015 increased 64% in the first four months of 2017 when
compared to 2016b (Conclusions concerning RQ1).
Relating to RQ2, “what are the main benefits achieved with ISO 9001:2015
implementation and certification” (respondents: ISO 9001:2015 certified
organisations) the results are Risk and opportunities determination and adoption
of risk-based thinking” (67%), followed by “Organizational context
determination – internal and external relevant issues” (36%) and the
“Determination of the relevant interested parties and the relevant requirements”
(29%).
To statistically assess if a significant difference does exist among the perceptions
expressed by the CEOs and those expressed by Quality Managers (RQ 2.1) the

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Chi-Square statistical test was applied. The p-value (0.619) suggests that based
on the collected results there is no evidence of statistical differences between the
two groups, however, due to the CEO’s small sample size, this should be further
investigated.
Following with RQ3, “the new ISO 9001:2015 themes that the organisation
considers most difficult to successfully implement (respondents: ISO 9001:2015
certified organisations) are also “Risk and opportunities determination and
adoption of risk-based thinking” (57%), “Organizational context determination –
internal and external relevant issues” (31%) and the “Determination of the
relevant interested parties and the relevant requirements” (24%). The Chi-Square
statistical test was adopted to ascertain if there are statistical differences between
the distributions of the two groups (RQ 3.1). The p-value suggests that based
upon the collected results there is no evidence of statistical differences between
the two groups, i.e., the expected difficulties to be faced during the
implementation process are in fact those that are experienced by the companies
that proceeded with the transition.

Table 7 – Summary of RQ 4.1 To 4.5 (Authors Own Elaboration)

Research Question (RQ) Results of hypotheses testing
RQ 4.1: Does the internal/external The statistical Wilcoxon signed rank test was adopted
type of motivation to implement ISO to assess the statistical relevance of the differences
9001:2015 influence the achievement among each one of the benefits between the two
of positive results? groups. Concerning the Wilcoxon signed rank test, the
solely statistical difference ascertained relates with the
benefit “Access to relevant knowledge” that was
statistically perceived different concerning the type of
motivation leading to the implementation of the ISO
9001:2015 (Z = -2.292; p-value <0.05 (0.022)).
However, based on the graphical analysis presented in
Figure 11 it is possible to hint that those organisations
who claimed that internal motivations were the
primary drivers to ISO 9001:2015 implementation
systematically rate lower all the benefits when
compared with the rating ascribed by those
organisations who claimed external motivations.
RQ 4.2: Does the Organisational Supported on the summarised results listed in Table 5
sector influences the achievement of it is possible to conclude that the perceived benefits
positive results with ISO seem to be strongly influenced by two primary
dimensions: the organisation size and the international
presence (highest differences). Both the activity sector
where the organisation operates and the number of
certification years seems not to impact so much on the
perception of the attained benefits upon ISO
9001:2015 implementation (lowest differences).
RQ 4.3: Does the organisation size Supported by the summarised results listed in Table 5
influence the achievement of positive it is possible to conclude that the perceived benefits
results with ISO 9001:2015 seem to be strongly influenced by two primary

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 QUALITY INNOVATION PROSPERITY / KVALITA INOVÁCIA PROSPERITA 22/2 – 2018 39

Research Question (RQ) Results of hypotheses testing

implementation and certification? dimensions: the organisation size and the international
presence (highest differences). Both the activity sector
RQ 4.4: Does the organisation where the organisation operates and the number of
international presence intensity impact certification years seems not to impact so much on the
on the achievement of positive results perception of the attained benefits upon ISO
with ISO 9001:2015 implementation 9001:2015 implementation (lowest differences).
and certification?
R Q4.5: Does the number of years of
QMS certification influences the
achievement of positive results?

As a conclusion, based on the respondents’ responses, it is possible to hint that

organizations who claimed that external motivations were the primary drivers to
ISO 9001:2015 implementation systematically rate higher all the benefits when
compared with the rating ascribed by those organizations who claimed internal
motivations, contesting some previous research still based on ISO 9001:2008.
Moreover, it is possible to conclude that the perceived benefits from ISO
9001:2015 implementation and certification seem to be strongly influenced by
two primary dimensions: the (smaller) organisation size and the (lesser)
international presence.
With more than 1 million ISO 9001 certified organisation from all sectors of
activity, worldwide, the transition/certification for ISO 9001:2015 is a highly
relevant issue both for organisations and their professionals and academics. ISO
9001:2015 aims for the consistent delivery of quality products and services and
the fulfilment of the applicable requirements. It also focuses on business and
quality approaches that are relevant to the organisations enduring success. It is
indeed a highly valuable research topic to observe what will be the successful
transition rate for ISO 9001:2015, and if the motivations, critical dimensions,
benefits, and obstacles, are consistent with this investigation results. However,
due to ISO 9001:2015 implementation novelty, the results of this investigation
should be subject to future confirmation and possibly extended to other countries.
It should also be acknowledged that the survey was based on the perceptions of
the organisation’s Managers and there is a risk of some potential response bias.

ACKNOWLEDGEMENTS
The authors would like to acknowledge the contribution of the respondents.
CIDEM Centro de Investigação e Desenvolvimento em Engenharia Mecânica
R&D unit is funded by the FCT – Portuguese Foundation for the Development of
Science and Technology, Ministry of Science, Technology, and Higher
Education, under the Project UID/EMS/0615/2016. This study had the financial
support of FCT Fundação para a Ciência e Tecnologia of Portugal under the
project UID/CEC/00319/2013. Pedro Domingues is supported by FCT Post-Doc
Grant Reference SFRH/BPD/103322/2014.
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46 QUALITY INNOVATION PROSPERITY / KVALITA INOVÁCIA PROSPERITA 22/2 – 2018

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ABOUT AUTHORS
Luis Miguel Ciravegna Martins da Fonseca – professor at Instituto Superior de
Engenharia do Porto (ISEP), School of Engineering, Polytechnic Institute of
Porto, Portugal, and a researcher at the Center for Research and Development in
Mechanical Engineering in Porto. An ASQ fellow, he holds a doctorate in
management from Lisbon University Institute in Portugal, and an electrical
engineering degree from Porto University, e-mail: lmf@isep.ipp.pt. Author’s
ORCID: http://orcid.org/0000-0001-5668-0656.
José Pedro Domingues – received the Bachelor degree in Chemistry (1996), the
MSc Degree in Textile Environmental Chemistry (2001) and a PhD Degree in
Industrial Engineering and Systems (2013) all of them from the University of
Minho. He is an invited professor at ISEP – Porto School of Engineering and
researcher at the University of Minho in Braga, Portugal, e-mail:
jpd@isep.ipp.pt. Author’s ORCID: http://orcid.org/0000-0003-1406-4905.

© 2018 by the authors. Submitted for possible open access publication under the
terms and conditions of the Creative Commons Attribution (CC-BY) license
(http://creativecommons.org/licenses/by/4.0/).

ISSN 1335-1745 (print) ISSN 1338-984X (online)