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A classification model for prediction of certification motivations from the contents of ISO 9001 audit reports

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ISO 9001 certification motivations can be classified into two main categories: (1) internal motivations; and (2) external motivations. Internal motivations are related with genuine organisational improvement goals (productivity, internal communication, process performance), while external motivations are mainly related to promotional and marketing issues (customer and market pressures, market share). Some companies that become certified mostly upon the basis of external motivations define their main goal as ‘obtaining registration’, and thus typically adopt a limited view over the scope of quality management systems implementation and certification.Based upon a detailed review of 100 ISO 9001 audit reports, we performed a detailed statistical comparison between both types of motivations driving companies in their certification efforts, explored their differences and similarities and derived a statistically based classification model that was able to predict, for a particular organisation, what kind of predominant motivation lead to its certification, from information that can be retrieved from the contents of the corresponding ISO 9001 audit reports.
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... Finally, research taking a vendor perspective-which this study aims to contribute to-analyzes the motivations of organizations to adopt certifications and whether organizations can utilize the benefits of adoption, such as improved performance or increased sales (e.g., Naveh & Marcus, 2004;Djofack & Camacho, 2017). At present, researchers have not reached a clear consensus on the main driving forces behind the adoption of certifications (Prajogo, 2011; • Increase in sales and profit (Gopal & Gao, 2009) • Use certifications as marketing tool (Sampaio et al., 2010) Heras-Saizarbitoria & Boiral, 2013;Djofack & Camacho, 2017). However, there is an agreement to group those motivations into external and internal driving forces (Table 2). ...
... In this regard, certifications provide guidelines that must be internalized into the organizations' internal operations and used as daily practices (Naveh & Marcus, 2004). Our findings support this resource-based view, given that vendors adopt IS certifications for "Quality and Productivity Improvements," such as increasing the efficiency and quality of internal processes (Sampaio, Saraiva, & Guimarães Rodrigues, 2010: "Checking and optimizing the ordering processes" [online vendor]). Two specific areas of quality improvements were noted by the panelists: "Increasing IT Security" and "Ensuring Legal Conformity." ...
... Research shows that such mimetic pressure typically stems from competitors and peers (Mignerat & Rivard, 2009). Both prior research and the panelists highlight that vendors perceive "Pressure from Competitors" to adopt certifications (Quazi et al., 2001;Sampaio et al., 2010;Prajogo, 2011). In particular, IS certifications are regarded as a common practice and a "must-have" to ensure survival: "Other providers already have seals, they belong to the state of the art" [certification authority]. ...
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While the importance of information system (IS) certifications to demonstrate compliance with security and personal data protection requirements is constantly increasing, competing (theoretical) viewpoints exist that outline the rationales for organizations to adopt certifica-tions. The results of these competing perspectives are inconclusive research findings in the certification adoption literature. While organizations may use certifications to signal quality to consumers, others mainly adopt certifications to improve internal processes or create institu-tional legitimacy. To enhance our understanding of the motivation for online vendors to adopt IS certifications, we conduct a literature review and a ranking-type Delphi study with two unique panels comprising certified online vendors (N=15) and certification authorities (N=24). As a result, we provide a rank-order list of 24 motivators and 17 demotivators im-pacting online vendors’ intentions to adopt IS certifications. We reveal that certain motives are context-independent, whereas other motives are specific for electronic markets (e.g., sig-nal data protection). We also provide rich descriptions of potential demotivators, thereby in-creasing our understanding of the boundary conditions for IS certification adoption. Compar-ing our findings to three competing theoretical perspectives enabled us to derive a typology of distinctive certification adopters: functionalists, institutionalists and signalers. In developing this typology, our findings constitute a first step toward alleviating the inconclusive findings in the academic literature as well as highlighting differences in motivating and inhibiting fac-tors that impact vendors’ adoption intentions.
... An empirical analysis of the relationship between these factors and the audit results may lead to interesting outcomes that can trigger discussions regarding the effectiveness of auditing procedures in eliminating the influence of the procedural factors. This has been the case for other more disseminated third-party certification schemes such as ISO 9001 and ISO 14001 certifications [31][32][33][34]. However, with regard to these certification schemes, as underlined by Heras-Saizarbitoria and Boiral [34], the key issues (i.e., the misconceptions of the certification and auditing practices for sustainability) of the independent external audits have been surprisingly overlooked, with very few exceptions, e.g., [31,32,35]. ...
... This has been the case for other more disseminated third-party certification schemes such as ISO 9001 and ISO 14001 certifications [31][32][33][34]. However, with regard to these certification schemes, as underlined by Heras-Saizarbitoria and Boiral [34], the key issues (i.e., the misconceptions of the certification and auditing practices for sustainability) of the independent external audits have been surprisingly overlooked, with very few exceptions, e.g., [31,32,35]. The findings of these works pointed out a set of procedural factors that impact on the results of external audits. ...
... Similarly, Biazzo [35] highlighted the importance of the role adopted by auditors in the case of the Italian companies. In the work by Sampaio et al. [32] developed in Portugal and based on the analysis of ISO 9001 audit reports, factors such as the number and type of the non-conformities were found to be relevant, as pointed out also by Karapetrovic and Willborn [36] in their seminal theoretical paper about the effectiveness of audit systems for quality assurance. Finally, on the basis of their empirical work carried out in Italy, Chiarini and Vagnoni [37] identified a set of key factors for an audit, such as auditors' skills, the use of standardized checklists, and the type of assessment (e.g., scheduled or not). ...
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In the recent decades, forest certification based on third-party external audits has gained momentum. This type of certification has been developed as a monitoring tool aimed at improving governance in corporate environmental management and differentiating products in the increasing environmentally sensitive markets. Although the scholarly literature has extensively analyzed the adoption and dissemination of forest certification, the findings of the external audits and certification practices remain under researched. On the basis of the analysis of 105 audit reports issued by accredited third-party certification bodies in Romania, this article sheds light on procedural factors that have significant influence on the characteristics of non-conformities (NCs) identified by Forest Stewardship Council (FSC) third party audits. Our research offers empirical evidence that certain procedural factors such as the type of assessment, auditing days, number of auditors, or the presence of foreign members in an audit team have a significant influence on the auditing process outcomes: number and grade of non-conformities, standard references, or methods of NC detection. The study opens interesting new lines of research-the influence of procedural or other types of contextual factors on certification outcomes-and provides indications on the effectiveness of the certification procedures and guidelines in certification process quality assurance.
... No sexto e último fator, Percepção pelo Cliente, foi percebido que: a maioria dos serviços é entregue aos clientes nos prazos prometidos, há melhorias nos controles internos e a obtenção da certificação foi notada pelos clientes externos. Os autores Sampaio et al. (2010) relatam a melhoria nos prazos de entrega e na organização interna, e Jones et al. (1997) ...
... Os fatores internos tencionam melhorar a produtividade e rentabilidade, diminuir custos, incrementar a qualidade etc., sendo que os externos procuram realçar a imagem da empresa, atender à pressão de clientes ou fornecedores(Ebrahimpour, Withers e Hikmet, 1997;Neumayer e Perking, 2005; Rayner e Porter, 1991; Sampaio, Saraiva e Rodrigues, 2010).Sampaio, Saraiva, & Rodrigues (2010) esclarecem que as motivações internas estão presentes nas organizações que estão verdadeiramente comprometidas com a melhoria contínua de seus processos internos e que visam obter melhorias organizacionais eficazes. Em contrapartida, as motivações externas estão principalmente associadas a questões de marketing e promocionais, clientes ...
... Como consequências percebidas nos Fatores Interno I, é possível perceber que as atribuições formais de trabalho são entendidas pelos funcionários, que se sentem mais estimulados e passam a trocar um maior número de informações entre si, corroborando os benefícios internos relatados na literatura porSampaio et al. (2010) sobre a definição das responsabilidades pessoal e obrigações, motivação pessoal e melhoria na comunicação interna. Também foi evidenciada a imagem corporativa, propiciando um aumento na prestação de serviços. ...
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As empresas contábeis, por atuarem num ambiente corporativo altamente disputado, devem gerar informações de qualidade, com a melhoria na execução de suas tarefas, uma equipe treinada e mecanismos que garantam a satisfação do cliente. Esta pesquisa buscou identificar quais foram as principais consequências percebidas pelas empresas contábeis após a obtenção da certificação de qualidade. Os principais beneficiários deste trabalho são todas as empresas contábeis, que irão descobrir as vantagens da obtenção da certificação de qualidade e a importância do trabalho do Programa de Qualidade de Empresas Contábeis (PQEC), desenvolvido pelo SESCON-SP e pelos sindicatos das empresas contábeis dos estados do Brasil que possuem programa de certificação, em virtude do comprometimento com a ética e a qualidade dos serviços prestados por seus associados. É uma investigação de caráter exploratório, quantitativo e descritivo, suportada por pesquisa bibliográfica. Para a coleta de dados foi usado o método de pesquisa survey, com o encaminhamento de um questionário para as empresas contábeis que obtiveram, em 2014 e 2015, certificação PQEC e PQEC + ISO. Foram gerados 50 questionários válidos e os dados obtidos foram analisados mediante o uso da análise fatorial. Os resultados da pesquisa confirmaram o agrupamento de seis fatores, apresentados com base na revisão da literatura: Internos I, Internos II, Externos, Oportunidade de Serviços e Negócios, Processos e Melhorias, e Percepção pelo Cliente.
... Studies on ISO 9000 classify its benefits in terms of the type of motivation ( internal vs. external; Bernardo et al., 2015;Sampaio et al., 2010;Tar ı et al., 2012 ) or in terms of whether the company's decision was reactive or proactive (Rodriguez-Escobar et al., 2006). These studies assert that, when the motivations for standard implementation are only external or the decision is reactive, there is a higher risk that the company will not acquire new capacities because the standard's philosophy may not be properly adopted. ...
... This result is in line with the EN 9100 research of Rodriguez-Escobar et al. (2006) and the ISO research of Bernardo et al. (2015), Sampaio et al. (2010), andTar ı et al. (2012). They find that, if a company is looking for a certification that serves as an entry to the aeronautical sector, the philosophy of the UNE EN 9100 standard will not be acquired properly, and the level of implementation will be relatively low in these enterprises, and may be purely aesthetic. ...
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This study analyses if the objectives of the EN 9100 framework, EN 9100 standard, and its certification schema developed by the International Aerospace Quality Group have been reached and if they have been beneficial for aerospace companies. Fewer studies have been conducted on the EN 9100 framework than on other standards, and studies on the compulsory component are also rare. This in-depth interview study aims to address that gap. Case selection is conducted by identifying experienced actors in the sector, high-level managers from all layers of the Spanish aerospace supply chain (Tiers 0, 1, and 2), and certified auditors. The results show that the framework has been beneficial for the companies , even though some of its objectives-such as sharing best practices and cutting additional customer requirements-have not been achieved. Opinions regarding the framework's benefits vary according to the supply chain level. The most favourable view is found in larger companies, all of which highlighted company motivation as a prime factor. These firms consider that EN 9100 is not focused on innovation but on improving the effectiveness and efficiency of the established strategy.
... Therefore, integrating management systems is widely promoted as a positive behavior. Also, intrinsically motivated SMEs show a strong and positive instrumental attitude as these SMEs are committed to developing process and knowledge throughout the firm to achieve a culture where reduced errors (Velcu, 2010;Sampaio et al., 2010;Arifin et al., 2009), improved employee efficiency (Savino and Batbaatar, 2015;Khanna et al., 2010), and better performance (Zahid and Ghazali, 2017;Rebelo et al., 2014a;Zeng et al., 2007) are an outcome. Internal motivation helps organizations to continuously improve their management systems rather than maintaining them at a minimum level of compliance achieved through external motivation (Nair and Prajogo, 2009). ...
Article
This study aims to assess the impact of the antecedents of Integrated Management System (IMS) implementation on the IMS maturity and its subsequent impact on operational performance in the context of Indian Small and Medium Enterprises (SMEs). Using Theory of Planned Behavior, this study develops research hypotheses linking challenges and motivation to implement IMS with IMS maturity and its impact on operational performance. Using Structural Equation Modeling to analyze the primary data collected from 144 SMEs in India, this study finds that intrinsic motivation drives firms towards higher levels of maturity while extrinsic motivation for implementation leads to lower levels of IMS maturity. This study not only empirically evaluates a comprehensive framework on IMS maturity but also contributes to growing literature on analysis of Developing Economy SMEs. The findings of this research may drive SMEs to focus on IMS maturity, as the results suggest that it is positively related to operational performance.
... Según la literatura especializada (Jones,Arndt y Kustin1997; Gotzamani y Tsiotras, 2002;Llopis y Tari, 2003;Sampaio et al, 2010;Prajogo et al, 2012), hay una opinión consensuada que indica que las empresas que se basan principalmente en motivaciones externas para certificarse en estos estándares de gestión obtienen prioritariamente mejoras y beneficios de carácter externo. ...
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El objetivo de este artículo es analizar el impacto de la certificación en las normas de sistemas de gestión ISO 9001 e ISO 14001 y de su implementación en un sistema integrado de gestión (SIG) sobre la legitimidad y la reputación de las organizaciones, así como contrastar la influencia de dichos activos intangibles en el rendimiento financiero. Como complemento a este objetivo se estudió la posible relación bidireccional entre los dos activos intangibles. Para ello se han seleccionado las empresas del IBEX-35, y se ha utilizado una modelización estructural con PLS. Los resultados evidencian una influencia positiva entre la certificación con la legitimidad y con la reputación, entre la integración de los sistemas de gestión con la legitimidad, y entre la legitimidad y la reputación con el rendimiento financiero. Sin embargo, no se ha podido evidenciar la relación entre la integración de los dos sistemas de gestión con la reputación. Se concluye que la implementación en las organizaciones de manera independiente o integrada de normas ISO 9001 e ISO 14001 va a permitir responder a las empresas a las expectativas del entorno y grupos sociales, mejorando tanto su legitimidad como su reputación.
... Several scholars have studied the motivations and benefits of ISO 9001 implementation. Sampaio et al. (2009Sampaio et al. ( , 2010 and Heras-Saizarbitoria and Boiral (2013) presented related literature reviews of several studies that focused on the motivations and benefits behind ISO 9001 implementation. According to the reviews, motivations can be classified as internal and external factors of an organization. ...
Article
Purpose While ISO 9001 standard certification is approaching saturation in developed countries, other nations are still struggling with the implementation of ISO 9001. This study provides insights into countries with a very low number of registered certifications to understand the reasons behind the limited implementations, more particularly using evidence from Yemen. The objective of the study is to assess: the awareness, understanding, motivations, barriers and the benefits of implementing ISO 9001. Design/methodology/approach A survey was conducted to measure awareness levels, understanding, driving factors, barriers and the benefits of ISO 9001. Data collection was carried out through the classification of targeted firms into two separate categories, certified and noncertified organizations. The classification of firms was conducted to enrich the understanding from two different perspectives. A total of 72 responses, from companies ranging in size from large to small, and in both the private and public sectors, were analyzed using the descriptive and multiple correspondence analysis (MCA). Findings The data analysis showed that the limited implementation of ISO 9001 certifications could be due to several internal and external factors such as the relatively low awareness level of the certification and guidelines, and the inconsistency of understanding the certification purpose. The benefits focused solely on improving the quality of systems efficiency and increasing quality awareness, and not on internationalization. Research limitations/implications The findings of this work provide the groundwork for decision-makers to understand the drivers and challenges of ISO 9001 to plan corrective actions and contribute to promote and increase the number of certified organizations in similar countries and economies. While the data in this study were collected in the context of one country, the methodology and framework used in this study can be utilized by other researchers to collect data in similar countries with a low number of ISO 9001 certifications. Originality/value This research is one of the very few that addresses the limited implementation of ISO 9001 in the Middle East and North Africa region and Yemen in particular.
... Internal intentions refer to when the seal is acquired autonomously, for the organizational benefits that can be derived from its implementation, such as minimization of costs associated with improved internal efficiency. Prior research taking an internal perspective argues that organizations can mature in their implementation of, for example, the ISO 9000 quality management standard underlying the seal by internalizing the actual practices contained in the standard and making [69,108] changes in organizational quality practices [79]. On the other hand, external intentions refer to the implementation of the seal in response to certain external pressures (e.g., from competitors, consumers, or governments) or incentives such as an enhancement in the image of the organization. ...
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Web assurance seals are actions taken by e-commerce vendors to increase their trustworthiness and alleviate consumers’ concerns. In their essence, web assurance seals are a product of negotiations, adoptions, and settlements among various groups of interests (e.g., seal authorities, vendors, consumers, or governmental institutions). However, previous research has hitherto used a unilateral research perspective when studying web assurance seals (i.e., either consumer- or vendor-centric), which has acted as a gridlock for web assurance seal literature development. Drawing on signaling theory, we use a ranking-type Delphi study with three distinct, yet mutually supportive expert panels (N=60) to compare vendors’ intentions to acquire web assurance seals and perceived effects by consumers. Our results uncover a mismatch between consumers’ perceptions and vendors’ intentions of web assurance seals, unintended side effects as well as vendors’ targeting other stakeholders than consumers, ultimately providing starting points for research to move forward.
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This paper tests and proves empirically the dramatic effect that an organisation’s true motives towards ISO 9000 certification may have on its future effectiveness and value to the certified companies. The paper reveals the true motives behind ISO 9000 certification for 85 large Greek companies and statistically tests their relationship with: after‐ISO performance and performance improvement in eight basic TQM categories; and the overall benefits gained from certification. The paper also reveals the real quantitative and qualitative “results” that these companies had from the standards implementation, addressing one main deficiency of the standards, which is the absence of requirements related to real “results” in the organisations. Finally, factor analysis is applied in both certification motives and benefits, revealing the main factors/categories of both, and their in‐between relationship.
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Describes a project focusing on the experiences of implementing a third-party certified quality system in small (maximum 50 employees) Swedish organisation. The project consisted of a questionnaire to CEOs, and then a more comprehensive case study of selected organisations. Results show that the more the CEO and employees have been involved in the implementation process, the more the system is used, that the CEO is more satisfied with the results; and quality improvements have continued after certification. Furthermore, the higher the level of education within the company, the less help has been required from external consultants. Indicates that important factors for a successful implementation are the attitude of the organisation when the implementation starts, that fairly detailed plans for the implementation are performed and that the documentation is adapted to the business and not necessarily to the ISO standard.
Utilizes a survey of 272 Australian ISO 9002 quality certified companies to examine two issues: first, the relationship between a company’s initial motivation for seeking certification (QCert) and its perception of the benefits it has received; and, second, the impact of time on perceptions of benefits received. Companies which sought QCert because of an externally-imposed perception of the necessity to “obtain a certificate” were found to experience fewer beneficial outcomes of QCert, in comparison with companies which sought QCert because of an internally-driven desire to improve organizational performance. Additionally, no evidence was found that longer-certified companies experience more benefits than recently-certified companies, regardless of the initial motivation for seeking QCert. Cautions against the drive towards “forcing” companies to seek QCert as a result of a perception of an external threat. Such a process appears to be counterproductive.
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This work presents part of the results of a multi-sector environment study undertaken in Spain on the Spanish firms' experience with the ISO 9000 certification and its consequences. Specifically, the article is focused on the analysis of the firm's technological status and its influence on the perception of the certification's results, as well as its possible relationship with the firm's decision to proceed towards Total Quality. The results show that the technologically superior firms are the ones that seem to be the most satisfied with the certification's results. In like manner, the analyses performed have enabled us to confirm the presence of a positive relationship between a high technological level and the firm's advance towards TQM.
Presents the findings of an empirical study conducted on Canadian firms on the latest version of the ISO9000 standard, ISO9001:2000, which takes a process-based approach to quality management systems. The study focuses on the difficulties faced by firms and attempts to determine the characteristics of firms that face difficulties. Results show that: large companies faced fewer difficulties; the number of years that companies were in operation had no effect on the difficulties they faced; companies serving markets outside of North America, mainly in Europe, faced fewer difficulties than those that serve North American markets only.