AV Cert Policies

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• We understand that the aim of certification is to give confidence to all parties that a certified management system is capable of fulfilling requirements. The value of certification is the degree of confidence and trust on the certified client and the certification body.

            We commit to the principles that inspire such confidence and trust:   — impartiality; — competence; — responsibility; — openness; — confidentiality; — responsiveness to complaints; — risk-based approach.

• We ensure that the internal and external personnel are aware of the need for impartiality and act accordingly. We shall have procedures to ensure threats arising from self-interest, self-review, familiarity, intimidation and other threats;
• We manage competence of our personnel to ensure that intent, process and delivery of certification process within the principles that inspire confidence in certification;
• We understand our responsibility for consistently ensuring that the certification decisions are fully based on objective evidence that are obtained knowing and considering the risk of sampling;
• We shall remain transparent to the interested parties, limited to non-confidential information and information not controlled by a non-disclosure agreement, and

1. by giving access to information about the audit and certification process,
2. by providing information about the certification status of an organization;
3. any information that are not restricted;
4. by allowing governance authorities access to information as mandated by law;
5. by allowing disclosure with permission from the certified client.

• We shall treat confidentially information gained during the process of audit and certification, and shall not disclose such information unless permission is granted by the certified client or mandated by the local laws and regulations;
• We shall make available public or other interested parties’ access to our appeals and complaints mechanism and the appeals and complaints shall be addressed with commitment and within reasonable time;
• We shall follow a risk-based approach by managing risks associated with providing competent, consistent and impartial certification.

Adequate management system shall be established, documented,           implemented, maintained, operated, monitored and continually improved to ensure that the principles that inspire confidence in our certification is fully met.

We are committed to impartiality by:

• Ensuring Independence In the audit process within the certification scheme;
• Ensuring conflict of interest of the personnel and our interests during the conduct of the audit and certification process;
• Ensuring freedom from bias and prejudices originating from the conflicts of interest;
• Ensuring the effective use of established procedures to meet the requirements of the management system standard;
• Ensuring professional approach to deliver the audit and certification processes;
• Implementing monitoring and governance approach Internally;
• Empowering the Impartiality Committee to review the highest standards of our certification Integrity;
• Implementing Internally and empowering the Impartiality committee to address complaints and appeals received by Interested parties.

Adequate management system shall be established, documented, implemented, maintained, operated, monitored and continually improved to demonstrate our commitment to the impartiality of the certification process.

We understand that the aim of certification is to give confidence to all parties that a certified management system is capable of fulfilling requirements. The value of certification is the degree of confidence and trust on the certified client and the certification body. The degree of confidence may require access to confidential

information and the need for privileged access.

Privileged access may be related to confidential information that is needed for the certification body to assess conformity to requirements for certification or meet audit objectives.

In the course of your audit and interaction process, you may create, receive, know of or gain access to information that is confidential and/or proprietary. It is essential that a certification body does not disclose any confidential information.

We are committed to confidentiality by:

• Confidential information may be communicated only to those persons who need to know it for a legitimate audit and /or certification purpose;
• Confidential information relating to third parties is often governed by legal requirements or a confidentiality or non-disclosure agreement when an applicable confidentiality or non-disclosure agreement is requested by the parties concerned within the certification and/or audit process;
• Confidential information shall not be communicated to third parties if it would give rise to a conflict between the interests of the recipient and the clients, or if it is reasonably foreseeable that the recipient would misuse the information;
• Parties to the audit and/or certification process shall not leave documents containing confidential information where they may be seen by persons who do not have a need to know the content of the documents;
• Parties to the audit and/or certification process shall avoid unnecessary copying and/or distribution of documents containing confidential information;
• AV CERT shall cooperate fully with conflicts generated through compromise of confidentiality within the audit and/or certification process;
• AV CERT shall ensure commitment and compliance of the personnel during the conduct of the audit and certification process.

Adequate management system shall be established, documented, implemented, maintained, operated, monitored and continually improved to demonstrate our commitment to the confidentiality policy in the audit and /or certification process.

We understand that the need to maintain integrity in our actions in the certification process. The value of certification is the degree of confidence and trust on the certified client and the certification body.

Marketing and client relationship can pose threat to integrity in our actions. We commit to control and eliminate this risk by:

• The need to remain impartial and to maintain integrity in our actions within the marketing and contract process shall be communicated to personnel and organizations linked to marketing the certification;
• Marketing personnel are not permitted to offer and consultancy linked quotations;
• Marketing personnel shall not offer relaxation in the audit time, audit process or other concessions for the purpose of procuring a contract;
• Marketing shall not execute or confirm agreements with any one including external parties, that confirms guaranteed certification or concessions in audit process;
• No incentives shall be offered violating local laws or clients policies;
• Any finder’s fee offered and paid shall not be tied to compromises in certification processes
• All finders’ fee shall be paid legally;
• Finders’ fee paid shall be disclosed in the event requested by the client or other governance bodies.

Periodic monitoring shall be carried out as part of the internal audit process to ensure that the policy is complied with.

a. Granting of certification: This happens after the audit process has been completed,

outstanding issues from the audit process resolved, certification recommendation accepted by the decision-making team. Multiple procedures are deployed from application for certification and decision for granting certification.

b. Refusing of certification: This can be due to serious adverse findings during the audit and interactions that impact the effectiveness of the management system and its capabilities, or any other justified reason that leads to refusal of certification.

c. Maintaining of the certification: The is ensured during the conduct of the periodic surveillance audits as per audit programme. Any serious findings that affect the management system effectiveness or

legal and regulatory issues or any verifiable complaints may impact the status of certification.

d. Expanding the scope of certification: The certification body shall, in response to an application for expanding the scope of a certification already granted, undertake a review of the application and determine any audit activities necessary to decide whether or not the extension may be granted. This

may be conducted in conjunction with a surveillance audit.

e. Renewal of certification normally happen at the end of certification cycle, provided that adequate evidence are available to  emonstrate continued effectiveness of the management system.

The policy and procedure for reducing the scope of certification, suspending or restoring following suspension, or withdrawing of certification:

Action/s shall be taken on clients’ certification status when they do not continue to meet the certification requirements. The situations can be the following, but not limited to:

• The management system of the client is not able to, persistently and seriously, meet the

requirement of the standard and that of certification;

• Results of a special audit based on reports of serious deficiencies including legal non-compliance, indicate serious lack of conformance (refusal to present themselves for such a special audit shall be construed to indicated serious lack of conformance);

• The certified clients do not allow or present themselves for surveillance activities as part of the agreed audit programme;

• The certified clients do not allow or present themselves for recertification activities as part of the agreed audit programme;

• The certified client has voluntarily requested for a suspension or withdrawal of certification.

• This procedure shall be applied to any client which undergo such conditions where suspension of certification is a strong possibility.
• Reduction of scope, when requested by the client, shall be subjected to regular offsite or on-site review as determined after a review of the request.
• Reduction of scope may be determined as a result of the complaint/feedback mechanism involving an interested party.
• Suspension may be result of major nonconformance or serious adverse obligatory compliance requirements or any other reasons demonstrating lack management system conformance that would include not meeting, or not permitting, surveillance requirements and serious findings during surveillance audits.
• The certified client may voluntarily request suspension
• Suspension, in most cases, would not exceed 6 months. If the suspension exceeds more than 6 months, the scheme manager shall review to decide if an on-site audit required to revoke the suspension.
• There would be no change in the overall validity end date, nor a proportional extension, of the certificate period even when part of the period has been lost in suspension.
• The scope of certification shall be reduced to exclude the parts not meeting the certification requirements, when a certified client has persistently or seriously failed to meet the certification requirements for those parts of the scope of certification. Such reduction shall meet the requirements specific to the scheme.
• Continued serious non-conformances impacting requirements of certification may result in. withdrawal of the certification.

• Status change approval shall be given by the Scheme Manager.
• Certification status changes shall be registered indicating the reasons and action taken.
• Status change registrations shall be reviewed to consider follow-up actions

Use of Certification body mark and Accreditation body Logo on certificates

• The above certification body mark and AB logo shall only be displayed together on all issued certificates. Accreditation body logo cannot be used in isolation, without the certification body logo.
• The mark may be reproduced in any size or approved colours provided the configuration is strictly adhered to, including the surrounding frame.
• The mark may be used on stationery, such as headed letter paper and advertising brochures, and only in connection with the Management System Standard scope of supply listed on the certificate.
• The mark shall not be used on flags, buildings, vehicles, packaging, directly on products, nor on promotional products such as calendars, diaries, coasters, etc.
• The mark shall not be used in any way to imply product approval, or on documentation such as test certificates and certificates of conformity.
• The certificated Client shall, upon reasonable notice, discontinue any use of the mark which is considered to be unacceptable to the Certification Body.
• Upon termination of the certification, for whatever reason, the Client shall discontinue all use of the mark immediately.

Use of the Certification Mark and AB logo for use on Certification Body communications and documentation

The Certification mark and AB logo may be used on certification body office

• Stationery, such as headed letter paper, advertising brochures, only in connection with the International Management System Standard and scope of supply listed on the Certificate.
• Certification body procedural forms, such as estimates, tenders, quotes, contracts, invoices and reports to clients.

Accreditation body logo shall not be used on documents or other such media which misrepresent the use of accreditation body marks

The policy for handling appeals and complaints:

The policy adopted for the handling of complaint is generally on the lines on ISO 10002. The guiding principles on which the process is developed, are - 

• Visibility,
• Accessibility,
• Responsiveness,
• Objectivity,
• Charges,
• Confidentiality,
• Customer-focussed approach,
• Accountability, and
• Continual improvement

Commitment:

The certification is committed to the process of appeals/complaints resolution and shall have a formal processfor handling appeals/complaints.

Policy:

The appeals and complaint handling policy:

We shall put our best efforts to address and resolve the appeals and complaints from our clients and interested parties. Adequate transparency shall be maintained without compromising confidentiality. that the appeals and complaint arising from the activities of service delivery. We shall take customer focussed approach, be objective, be impartial and be accountable to the process of resolution of appeals and complaints. We shall ensure to remain in compliance to the local laws and regulations with respect to this process. We shall be available for

access at the highest level for making the appeals and complaints. Through the process of analysis and review we will continue to improve the appeals and complaints handling process. No charges shall be levied to the

clients who has made the appeal / complaint.

Communication:

Complaints handling process shall be made available to those interested parties desiring to appeal/complaint. A contact address is made available on the website to make a request for the process and to make an appeal /

complaint.

Responsibility and authority:

Scheme manager is accountable to ensure that the appeals/complaints received as processed without delay. Appeals/complaints which cannot be resolved by the Scheme manager, or the head of certification shall be

assigned to the impartiality committee for resolution. Appeals/complaints received shall be periodically reviewed by the impartiality committee

Receipt of appeals/complaints:

Appeals / complaints can be received at any point of contact. The same will be transferred to the scheme manager immediately. The appeal / complaint shall be recorded (P24 DF33) by the admin personnel and a

tracking ID shall be generated. The record of appeal/complaint shall include the appellant/complainant details, details of the complaint with evidence available (if any), requested remedy, due date for response and other relevant details adequate to handle the complaint. An appeal / complaint folder is  created at this stage.

Tracking of appeals/complaints:

The tracking ID shall be used to tack the status of the complaint through the entire process of registration to disposal and closure. The status shall be made available when requested by the appellant / complainant.

Acknowledgement of complaint:

The receipt of the appeal / complaint shall be done immediately using appropriate means.

Initial assessment:

An initial assessment shall be carried out by the scheme manager to assess the severity, implications, complexity, impact on the appellant/complainant and the certification body and extent of urgency of action required.

Investigation:

The evidences given and the other circumstances surrounding the appeal / complaint shall be made to the extent

possible. The level of investigation shall be commensurate with the seriousness, frequency of occurrence and severity of the appeal / complaint.

Response to appeal/complaint:

Investigation results are reviewed to verify the need for any immediate remedial action required. If required, a corrective action shall be initiated within appropriate time lines in proportion to the extent of impact.

Communicating the decision:

The decision taken on the resolution on the appeal /complaint shall be communicated to the personnel involved by the scheme manager concerned

Closing the complaint:

If the appellant /complainant accepts the decision or resolution, the same shall be records and the decision or resolution action shall be initiated.

In the event that the decision or resolution is not acceptable, appropriate alternate source of resolution (internal or external) shall be indicated. The appeal / complaint shall remain open. The progress of the appeal/complaint

shall be continued until closure.

Monitoring, review and improvement of appeals/complaint handling

process:

Data on appeals and complaints are reviewed periodically to identify areas of improvement in the process.