Everything you need to know about ISO 9001 QMS in Microsoft SharePoint

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    ISO 9001 QMS Requirements

    In this article we explain how your business can benefit from the ISO 9001 standard. We will discuss how Microsoft SharePoint can implement the quality management system that is required to meet the requirements for the ISO certification. By the end of this article you will understand the benefits of a ISO 9001 QMS in SharePoint.

    SharePoint Quality Management System (QMS)

    We will now look at the key requirements for a IS0 9001 and how you can achieve an ISO 9001 QMS in SharePoint.

    Implementing the requirements of the ISO standard is not an easy task, it can be a long-winded process, but SharePoint can be used as a platform to build the quality management system quickly.

    SharePoint can be used to meet multiple requirements for the certification, specifically in satisfying the requirements for Control of Documentation.

    ISO standard offers guidance for the requirements that must be met regarding control of documents throughout their life cycle.

    The stages of this cycle have been outlined below, along with the native SharePoint features that may be used to satisfy the requirements if you build your ISO 9001 QMS in SharePoint.

    A man at a computer

    Documents Must Be Approved Before They Are Published

    Out of the box SharePoint offers functionality such as document libraries and workflows to meet the requirement of approving documents.

    Inside of Microsoft 365 (Formerly Office365) there are now additional products such as Power Automate (Formerly Flow), available for automating the creation of approval tasks. Our pre-built system will send emails to the approvers of each document to ask them to review the document and either approve or reject.

    All of this is done within the email, as it provides a link to the relevant document and two buttons with an additional comments box as shown below:

    Documents Must Be Reviewed/Maintained/Re-Approved or Removed After a Set Amount of Time

    ISO 9001 QMS in SharePoint offers multiple ways to satisfy this requirement. For businesses with SharePoint Server the best way would be to create an information management policy that can automatically initiate workflows after a specified amount of time after the previous approval. This can then start off the next review approval process.

    We have built a a Microsoft Power Automate that uses a schedule timer to check the documents review date on a frequent basis. If the document was passed its review date it can initiate a review process.

    Both methods can be tailored based on your unique timeframe of days/weeks/years.

    The Latest Version of Documents Must Be Readily Available

    ISO 9001 QMS in SharePoint functionality covers this requirement in several ways. The first would be to enable draft working with check in/out functions and to only show Major versions to end users.

    This would allow for document owners to work on documentation in a draft state without it appearing to all other users of the system or requiring approval.

    Once the document owner is ready to submit the document back to the quality management system they would publish a major version that would trigger the approval workflow.

    Once approved the document would become a Major version and appear to all users.

    The second option would be to enable document version history on the document library. This would force the library to maintain a specified number of major and minor versions. Certain users can be given access to review previous versions of the documents.

    Whereas majority of users would only see the latest major version of the document that has been through the approval process.

    Microsoft sharepoint iso 9001 latest document version examples from valto it services microsoft partner

    The Latest Changes To The Documents Can Be Reviewed

    Enabling the document version history is the simplest way to meet this requirement. This will allow you to simply view what amendments have been made to each document.

    With a ISO 9001 QMS in SharePoint you can even restore a document back to a previous version if a mistake has been made to the document and this will be tracked as part of the version history.

    SharePoint version history can now even be surfaced directly inside a Microsoft Word document, see an example below.

    Microsoft sharepoint iso 9001 version history example
    SharePoint Version Histroy in Word

    Govern and Monitor External Documents

    Recently majority of SharePoint extranets are being built in SharePoint Online to take full advantage of free external users. This means you only need to pay for the licenses your employees are using and not for external users such as contractors or suppliers.

    This means you can give access to external users and they can upload the documentation directly. No longer do you have to move documents from email attachments manually into folders or scan pieces of paper you have received from your supplier.

    Stop The Use of Documents That Are NO Longer Required

    The features mentioned in the previous sections would address this requirement for example:

    • Using workflows and polices to alert document owners when they must review, update or remove their documents on a regular basis.
    • Only the latest versions of documents are available for all users.
    • Ability to delete expired and unused documents that could be restored if required.
    Controlled Documents recycle bin recovery from SharePoint

    Ensure The Documents Constant Accessibility

    The documents must be easy to access and understand. This is achieved by storing the documents within SharePoint in a logical way. The documents can then be tagged with key words to make them even easier for end users to find via search.

    The documents can be easily accessed through the web interface or even synced off-line for users with intermittent internet connection.
    SharePoint can also be used as an Intranet Portal with web pages that make it simple to navigate to key policies as shown below:

    Policies GIF

    Additional ISO 9001 QMS in SharePoint Functionality

    Our SharePoint system can be tailored to meet your company’s bespoke requirements; the possibilities are endless. Below is some possible additional functionality that can be bolted onto the basic ISO process:

    • Audit Trial

      Audits that can be exported directly into excel for analysis

    • Escalations

      Additional automated steps can be in place to escalate polices and procedures that have not been reviewed in a timely manner

    • Multi Approvals

      Multiple approval steps can be configured for specific users such as document owners, quality managers, sponsors, legal, Heads of departments and Directors.

    • Views

      Have specific views of document based on ISO accreditation, Teams, Document types and more

    • Who’s Read

      Track who from specific teams has read relevant documents, store the date and time they confirmed they have read the document

    Read receipt of policies and Controlled Documents

    Keep track on the date and time of when employees have read specific documents.

    Policy tracker

    How Does ISO 9001 QMS in SharePoint Benefit Me?

    • Managment

      It will provide senior management with an efficient management process

    • Responsibility

      Documented evidence of key responsibility across the organisation

    • Tender Process

      Often a mandatory requirement if your business wants to tender for some public sector or enterprise work

    • Reduce Costs

      The QMS will identify then encourage efficient and time saving processes

    • Continuous Improvement

      Periodic review processes ensures your business processes are constantly improving

    Talk To Us

    If your business is interested in creating a ISO certified quality management system or you would just like to maintain your company policies in a structured way, feel free to contact us today.

    At Valto, we’re committed to helping our clients get the most out of Office365 & SharePoint. If you’d like a FREE demonstration of any of the Office365 products please contact me.

    Frequently Asked Questions

    Yes, SharePoint is an example of a document management system (DMS). SharePoint is a web-based collaborative platform developed by Microsoft that integrates with Microsoft Office. It provides various functionalities for managing documents, content, and information within an organization.

    As a document management system, SharePoint allows users to store, organize, share, and collaborate on documents and files in a centralized location. It offers features such as versioning, document check-in/check-out, access control, document searching, metadata management, and workflow automation. Users can create and edit documents directly within SharePoint, making it easy for teams to collaborate in real-time.

    SharePoint is widely used in businesses and organizations of all sizes as a means to enhance document collaboration, improve content management, and streamline various processes related to document handling and sharing.

    Yes, SharePoint can be used as a quality management system (QMS). While SharePoint is primarily known as a document management and collaboration platform, its flexibility and customization capabilities allow organizations to adapt it to various use cases, including quality management.

    Here are some ways SharePoint can be utilized as a quality management system:

    1. Document Control: SharePoint can serve as a central repository for storing and managing quality-related documents, such as standard operating procedures (SOPs), work instructions, quality manuals, and policies. The version control and check-in/check-out features help maintain document integrity and control revisions.
    2. Training and Competency Management: SharePoint can facilitate the management of employee training records and competency assessments. Training materials, quizzes, and certification records can be stored and tracked within the platform.
    3. Non-Conformance and Corrective Actions: SharePoint can be configured to track non-conformance incidents and initiate corrective and preventive actions (CAPAs). Workflows can be set up to route issues to the appropriate personnel for investigation and resolution.
    4. Audits and Inspections: SharePoint can be used to schedule and manage internal and external audits or inspections. Checklists, findings, and audit reports can be recorded and accessed in a structured manner.
    5. Risk Management: SharePoint can support the identification, assessment, and monitoring of quality-related risks. Risk registers and risk mitigation plans can be maintained within the platform.
    6. Change Management: SharePoint can help manage change control processes related to products, processes, or systems, ensuring proper documentation and approvals are in place.
    7. Dashboard and Reporting: SharePoint’s reporting capabilities can be utilized to create quality-related dashboards, providing insights into key performance indicators (KPIs) and quality metrics.
    8. Collaboration and Communication: SharePoint’s collaboration features enable cross-functional teams to collaborate on quality-related projects and initiatives.

    Yes, SharePoint can be used as a quality management system (QMS). While SharePoint is primarily known as a document management and collaboration platform, its flexibility and customization capabilities allow organizations to adapt it to various use cases, including quality management.

    Here are some ways SharePoint can be utilized as a quality management system:

    1. Document Control: SharePoint can serve as a central repository for storing and managing quality-related documents, such as standard operating procedures (SOPs), work instructions, quality manuals, and policies. The version control and check-in/check-out features help maintain document integrity and control revisions.
    2. Training and Competency Management: SharePoint can facilitate the management of employee training records and competency assessments. Training materials, quizzes, and certification records can be stored and tracked within the platform.
    3. Non-Conformance and Corrective Actions: SharePoint can be configured to track non-conformance incidents and initiate corrective and preventive actions (CAPAs). Workflows can be set up to route issues to the appropriate personnel for investigation and resolution.
    4. Audits and Inspections: SharePoint can be used to schedule and manage internal and external audits or inspections. Checklists, findings, and audit reports can be recorded and accessed in a structured manner.
    5. Risk Management: SharePoint can support the identification, assessment, and monitoring of quality-related risks. Risk registers and risk mitigation plans can be maintained within the platform.
    6. Change Management: SharePoint can help manage change control processes related to products, processes, or systems, ensuring proper documentation and approvals are in place.
    7. Dashboard and Reporting: SharePoint’s reporting capabilities can be utilized to create quality-related dashboards, providing insights into key performance indicators (KPIs) and quality metrics.
    8. Collaboration and Communication: SharePoint’s collaboration features enable cross-functional teams to collaborate on quality-related projects and initiatives.

    Creating a Quality Management System (QMS) in SharePoint involves several steps to set up the necessary components and customize the platform to meet your organization’s specific QMS requirements. Here’s a general guide to help you get started:

    1. Define QMS Requirements:
      • Identify the specific processes and areas you want to include in your QMS, such as document control, non-conformance management, training, audits, etc.
      • Determine the document types and metadata required for each process.
      • Establish roles and permissions for users based on their responsibilities within the QMS.
    2. Site Collection and Site Setup:
      • Create a new SharePoint site collection dedicated to your QMS or use an existing site if appropriate.
      • Set up individual sites or site pages for each QMS process or module (e.g., Document Control, Non-Conformance, Training).
    3. Custom Lists and Libraries:
      • Utilize SharePoint lists and document libraries to manage different aspects of your QMS.
      • Create custom lists for storing data related to non-conformance, corrective actions, risk registers, training records, etc.
      • Use document libraries for managing SOPs, work instructions, and other QMS documents.
    4. Custom Workflows:
      • Design and implement custom workflows to automate QMS processes.
      • Workflows can help with tasks such as document approval, non-conformance escalation, and training request approval.
    5. Metadata and Content Types:
      • Define metadata fields for each document and record type to aid in categorization and searching.
      • Create content types to standardize document structures and metadata across the QMS.
    6. Document Control:
      • Establish versioning and approval processes for documents to ensure proper control.
      • Configure document check-in/check-out functionality to prevent conflicting changes.

    Remember that customizing SharePoint for a QMS can be complex, and it may be helpful to seek assistance from SharePoint experts or consultants if your organization lacks the required expertise.

    Valto offer a pre-built QMS in SharePoint solution. Use the contact form on this page to discuss fix price costs with us.

    SharePoint itself is not ISO 9001 compliant out of the box, as ISO 9001 compliance is primarily related to the processes and practices an organization follows to achieve quality management. However, SharePoint can be configured and customized to support an ISO 9001 compliant Quality Management System (QMS) within an organization.

    The ISO 9001 standard sets requirements for a quality management system, and compliance involves adherence to those requirements in the organization’s processes, documentation, and overall quality management practices. SharePoint can be utilized as a platform to implement and manage various aspects of an ISO 9001 compliant QMS, but it requires customization and adherence to specific guidelines.

    Here’s how SharePoint can support ISO 9001 compliance:

    1. Document Management: SharePoint’s document management capabilities can be utilized to manage ISO 9001-related documents, such as quality manuals, procedures, work instructions, and records.
    2. Version Control and Approval Workflows: SharePoint’s versioning and approval workflows can ensure that documents are controlled and properly reviewed before release, meeting ISO 9001 requirements for document control.
    3. Non-Conformance Management: SharePoint can be configured to track non-conformances, initiate corrective actions, and maintain records of these processes.
    4. Risk Management: SharePoint can help manage risks and opportunities in line with ISO 9001 requirements.
    5. Training and Competency Management: SharePoint can support training record management and competency assessments to ensure employees are adequately trained and qualified for their roles.
    6. Audits and Inspections: SharePoint can be used to schedule, conduct, and record internal and external audits, including corrective actions stemming from audits.
    7. Change Control: SharePoint can assist in managing changes to documents, processes, and systems as required by ISO 9001.
    8. Performance Monitoring: SharePoint’s reporting capabilities and integration with Power BI can provide insights into key performance indicators (KPIs) related to the QMS.

    To achieve ISO 9001 compliance with SharePoint, organizations need to customize the platform to align with ISO 9001 requirements and implement appropriate processes. Additionally, organizations may need to maintain proper documentation and demonstrate adherence to ISO 9001 standards during external audits for certification purposes.

    It’s crucial to note that SharePoint is a tool to support ISO 9001 compliance, and the compliance itself depends on how an organization implements and follows the ISO 9001 standard’s guidelines in its quality management practices. Organizations should work with experienced consultants or experts familiar with both ISO 9001 and SharePoint to ensure a successful and compliant implementation.

    We demonstrate a product from Valto that handles the document managmenet and controlling documents. However, we can offer seperate solutions for non conformance, audits and correct actions.

    Contact our ISO 9001 QMS in SharePoint Experts