6-10. A Case of Non-conformity that Forced a Company to Surrender its ISO Certification

While ISO certification is a crucial testament to a company's management systems meeting international standards for quality, environment, and health and safety, it is not a permanent achievement. If major non-conformities are discovered during surveillance or recertification audits, a company may be forced to suspend or voluntarily relinquish its certification. This article discusses typical examples of non-conformities that led to companies giving up their ISO certification, the reasons behind them, and lessons for preventing recurrence.

1. Non-conformities Due to Inadequate Document Control

A common issue found in many companies is poor document control and record keeping. For example, ISO 9001 and ISO 14001 require that procedures and work records are maintained accurately and kept up-to-date. If a company is found to be using outdated documents or if records are suspected of being falsified, it is considered a major non-conformity. This undermines the credibility of the entire management system, which can lead to the certifying body requiring the company to relinquish its certification.

2. Neglecting Legal Compliance Violations

Adherence to laws and regulations is a fundamental prerequisite for ISO certification. ISO 14001 (environmental management) and ISO 45001 (occupational health and safety management) particularly focus on compliance with environmental and occupational health and safety laws. Companies that neglect violations of laws related to waste management or chemical control, or that fail to implement measures to prevent industrial accidents, may find it impossible to maintain their certification if they cannot fulfill corrective action requests, forcing them to give it up.

3. Perfunctory Internal Audits and Management Reviews

For the ISO's core PDCA (Plan-Do-Check-Act) cycle to be effective, internal audits and management reviews must be carried out rigorously. However, some companies only perform these as a formality, leaving non-conformities uncorrected while simply creating a report. This tendency is more pronounced when management disregards the importance of the management system, which eventually leads to a failure to maintain certification after continuous audit findings.

4. Lack of Continuous Improvement

A key feature of ISO certification is the requirement for "continuous improvement." When a company's improvement activities stagnate after certification is obtained, and employee training or equipment upgrades are neglected, the certifying body will note the lack of improvement. The credibility of the certification is significantly damaged, especially if quality defects, environmental incidents, or workplace accidents repeatedly occur and recurrence prevention measures are only a formality.

5. Business Impact of Relinquishing Certification

A company that gives up its ISO certification risks losing trust from business partners and investors and losing business opportunities, such as eligibility to bid on certain projects. In the global market, ISO certification is often a prerequisite for business, so relinquishing it can lead to a decline in international competitiveness. Additionally, there is a concern that a decline in safety, quality, and environmental awareness within the company can trigger a chain reaction, increasing the risk of accidents and misconduct.

6. Lessons Learned for Recurrence Prevention

The lesson to be learned from these non-conformity cases is that ISO certification should not be treated as a mere "achievement." It must function as a system deeply integrated into business operations. Specifically, strong commitment from management, thorough employee training, strengthening the internal audit system, and utilizing external experts are all effective measures. By continuously pursuing improvement based on legal compliance, ISO certification becomes more than just a qualification; it becomes an asset that enhances a company's credibility and competitiveness.