Statement of Impartiality

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Statement of Impartiality

Safeguarding Impartiality in Assessment & Certification

ICV is committed to maintaining complete impartiality in all assessment and certification activities. Through systematic risk identification, a dedicated Committee for Safeguarding Impartiality (CSI), and documented procedures aligned with ISO 17021-1:2015, we ensure that every certification decision is made objectively, free from conflict of interest.

  • 1.0 Purpose

    To lay down documented guidelines for safeguarding impartiality in our assessment and certification processes.

  • 2.0 Scope

    This procedure is applicable over all activities performed by ICV in matters related to assessment and certification of a client's management system.

  • 3.0 Responsibility

    CEO of ICV and members of the CSI are responsible for effective implementation of this procedure.

  • 4.0 Authority

    This procedure is authorized by the CEO and can be amended only by him.

5.0 Procedure

Our impartiality procedure establishes a robust system for identifying, evaluating, and mitigating risks that could compromise the objectivity of our assessment and certification processes.

  1. STEP-01

    Risk Identification System

    ICV has established a system to identify, analyse, evaluate, treat, monitor, and document the risks arising out of any conflict of interest of its top management, auditors, certification decision makers — due to its relationship with any organization or business interest, or from the activities of other associated persons, bodies or organizations.

  2. STEP-02

    Periodic Risk Review

    The CEO shall review and document, at least once every 6 months, all potential risks and threats to the impartiality of our assessment and certification process (refer document SMR-1). In case of any imminent threat or risk, the issue is identified and documented in record SMR-1 by the CEO, even before the scheduled time. The CEO interacts with subject experts and the risk or threat is analysed, evaluated and appropriate action is taken to neutralize or minimize it. Result of action is monitored and associated information is recorded in folder SMR-1.

    • Ref: SMR-1
  3. STEP-03

    Impartiality Policy

    To ensure impartiality in its assessment and certification process, ICV has resolved and established a policy that it shall never establish any subsidiary, joint venture or business partnership that may pose an unacceptable threat to impartiality. It has further resolved to not accept applications for assessment and certification from organizations where its auditors or decision makers have any relationship of direct financial interest.

  4. STEP-04

    Residual Risk Management

    After taking action to neutralize or mitigate risk or threat, the top management reviews whether any residual risk falls within unacceptable or acceptable risk. If it falls within acceptable threat range, further action is not taken. Monitoring is done and as and when the risk escalates, additional action is taken to eliminate the risk. If even after taking action to contain or eliminate the threat, it still poses unacceptable risk to our impartiality, the issue is discussed with the Impartiality Committee and their advice is recorded in the minutes of the Impartiality Committee (SMR-4). The CEO acts upon the recommendations of the Impartiality Committee.

    • Ref: SMR-4

6.0 Committee for Safeguarding Impartiality (CSI)

To establish a committee that is not employed by ICV and has supervisory authority over its assessment and certification process in matters related to impartiality, ICV has established a 5-member Committee for Safeguarding Impartiality. Members are selected from civil society and are not employees of ICV. The CEO, who is the Secretary/Convener of the committee and a non-voting member, implements the decisions of the committee. Care is taken to ensure that no single group interest shall prevail over the decisions of the committee.

  1. a

    Clients of the CB

    Representatives from clients of the certification body.

  2. b

    Customers of Certified Organizations

    Representatives of customers of organizations whose management system has been certified.

  3. c

    Association of Industries

    Representative of the Association of Industries.

  4. d

    Governmental / NGO

    Representatives of governmental or non-governmental organizations.

  5. e

    Consumer

    Consumer representative on the committee.

6.1 – 6.4 Committee Governance

  • 6.1 Appointment: Members are appointed by the CEO for at least one year. Their tenure may be extended for one or more years as per decision of the CEO. The CEO selects those candidates who have received endorsement (for representing their interest) from their respective organizations.
  • 6.2 Meetings & Review: The Impartiality Committee meets at least once every 6 months and reviews assessment and certification processes. Cases where bias is suspected are investigated in detail. Appropriate action is taken to correct the situation and further management system improvement is done to prevent occurrence of such cases. Minutes of the meeting are documented and maintained for at least 3 years. The Impartiality Committee performs ombudsman duties, and the credibility and reputation of the certification body depends on its performance.
  • 6.3 Decision Making: For any decision to become effective, at least three out of 5 members should support the decision in writing. The CEO (non-voting) of ICV acts as Secretary/Convener of the committee and implements decisions taken by the committee. The Impartiality Committee members have full authority to ask for any record which might provide information about audit and certification process.
  • 6.4 Benefits & Compensation: The Chairperson and members of the Impartiality Committee are not employees of ICV and as such are not paid any salary. However, they are paid conveyance facility and food and refreshments whenever they come to attend meetings of the Impartiality Committee.

7.0 Responsibilities of the Impartiality Committee

The Committee for Safeguarding Impartiality carries the following key responsibilities to uphold the integrity of ICV's certification activities.

  1. i

    Policy Development

    To advise and help in development of policies and procedures in order to improve credibility and impartiality of the auditing and certification process.

  2. ii

    Complaints & Appeals

    To investigate complaints or appeals related to actual or suspected impartiality and to take appropriate corrective or preventive action.

  3. iii

    Certificate Suspension

    In case of suspected breach of impartiality, the committee orders in writing to suspend the validity of the issued certificate, pending full investigation. The Impartiality Committee ensures full or partial re-audit by some other auditor, and ensures appropriate evidence-based decision by the Technical Committee about continuation, withdrawal, or reduction in scope of certificate is taken.

  4. iv

    Conflict of Interest

    To gather information from both internal and external sources to reveal any situation known to them that may present them or the certification body with a conflict of interests. To ensure that the certification body uses this information as input for identifying threats to impartiality raised by the activities of such personnel or by the organizations that employ them.

  5. v

    Personnel Screening

    To ensure that the certification body does not use personnel, either internal or external, whose background and professional activities cannot demonstrate that there is no conflict of interests.

8.0 Records to Be Maintained

  • Record of CSI Members — Retention: 3 years
  • Record of Appointment of Impartiality Committee Members and its Head
  • Schedule of Meeting — Retention: Duration of Office (DO)
  • Record of Minutes of Meeting (MOM) — Retention: Duration of Office (DO)
  • Record of MOM and Decisions Taken During the Meeting

Reference: ISO 17021-1:2015 Standard Requirements  |  Documents: SMR-1, SMR-4

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