- Impartiality Policy
- Confidentiality Policy
- Information/Data Security Policy
- Code of Ethics
- Appeals
- Privacy Policy
- Complaints Policy
- Non-discriminatory Principle
- Publicly Available Information
- Reconciliation Statement of Intent
Impartiality Policy
Certification Oceania shall:
- ensure the impartiality of its certification services, not allowing commercial, financial or other pressures to compromise impartiality;
- identify the risks to its impartiality on an ongoing basis with every client, including those potential conflicts of interest which may arise from its activities, relationships, or from previous work relationships between clients and Certification Oceania personnel;
- ensure employees and contractors sign a confidentiality agreement upon commencement of employment or contract work and when assigned work with a new client, a Declaration of Conflict of Interest is completed before participating in the Certification process to ensure that there are no situations or circumstances that could affect their impartiality;
- function independently from other legal entities and operate in a non-discriminatory manner, undertaking all certification activities impartially;
- not state, or imply that certification would be simpler, easier, faster or less expensive if a specified consultancy organisation were used;
- respond to any risks to its impartiality arising from the actions of other persons, bodies or organisations, of which it becomes aware, so as to ensure that impartially is preserved for all certification activities;
- not market or offer as linked with the activities of an organisation that provides consultancy services;
- ensure that there is segregation of functions or duties to ensure that no one person can be in a position to control all stages of processing a client’s application for certification, assessment, assessment review and recommendation, and certification decision; and
- shall ensure that risk mitigation control measures and procedures are followed to ensure that there is no conflict of interest in application evaluation, auditing, review and certification decision making – eg, assessments, assessment reviews and recommendations to Certify, and Certification decision/Certificate sign-off/approval are undertaken by an independent and objective, competent and authorised persons.
Where a risk to impartiality is identified, Certification Oceania demonstrates and documents how it eliminates or risk-mitigates/manages the identified risk; with control strategies documented and recorded.
During the certification, accreditation and compliance assessment of clients’ management system/s, Certification Oceania shall ensure that personnel undertaking client assessments or involved in the Certification decision-making process/decision to certify, shall maintain impartiality and within a period two years, personnel shall not be used to assess, review, or make a certification decision for a client’s management system for which they have provided consultancy.
Commitment
Certification Oceania has Director and management commitment to impartiality, with an Impartiality Committee appointed to ensure impartiality is maintained for the Certification Oceania’s Management System Certification Schemes, and is committed to:
- the importance of impartiality and management of conflict of interest in all management system Certification activities; and
- operating independently and with integrity in conducting management system Certification activities in conformity with the International Standard ISO/IEC 17021 and the requirements of the Regulatory Authority.
Confidentiality Policy
All information relating to management system certification activities received by or made available to Certification Oceania staff, contractors or impartiality committee members shall be regarded as confidential within the provisions of ISO 17021 Conformity Assessment - Requirements for Bodies Providing Audit and Certification of Management Systems. The requirement to keep confidential any business-related information will also include any accreditation bodies/authorities which have a legitimate right to audit or evaluate Certification Oceania, and in so doing view client related records.
Where Certification Oceania is required by law to release confidential information to a third party, the client or individual concerned shall, unless regulated by law, be notified in advance of the information being provided to a third party; however, where a client has been observed by Certification Oceania personnel to be operating contrary to legal requirements or has operating practices which pose a danger and risk to staff or the public or the environment, Certification Oceania reserves the right to report (subject to the Directors authorisation) any such situations or incident to the relevant authority.
Certification Oceania held documents, data and records are held electronically in a secure manner with password access granted to authorised staff, as determined by the Director. Certification Oceania’s contracted assessors will be limited to accessing information produced by them in the conduct of the assessment.
All Certification Oceania employees, contracted assessors and Impartiality Committee members will be required to sign-off on this Confidentiality Policy.
Information/Data Security Policy
Certification Oceania shall:
- show commitment to security at all levels of the organisation, with overall responsibility for security assigned;
- maintain an adequate level of security/data protection and privacy for the protection of client information;
- ensure that where there are security and privacy requirements as part of contractual agreements, laws and regulations, the strictest requirements shall be implemented;
- ensure that all Certification Oceania personnel and Certification Oceania contractors are made aware of the meaning of security, the importance of complying with this policy and their personal responsibilities for security, including reporting any witnessed or suspected security incident;
- in a timely manner, report all security incidents to the client, including, but not limited to, information or systems used for collection, use of and internal handling client information;
- conduct security internal audits at least annually and evaluate findings for possible corrective actions;
- have a documented security incident management process to detect and handle security incidents, in accordance with Certification Oceania’s Data Breach policy and procedures;
- ensure that access to client information is restricted to Certification Oceania personnel, authorised contracted assessors and accreditation bodies.
Code of Ethics
Certification Oceania staff and contractors will:
- conduct themselves professionally, with honesty, accuracy, fairness, responsibility and independence;
- act at all times solely in the best interest of Certification Oceania, clients and the Certification profession;
- provide only professional services for which they are qualified to perform, and adequately inform clients about the nature of proposed services, including any relevant concerns or risks;
- inform Certification Oceania of any business interests or affiliations which might influence their judgment or impair their fairness, objectivity and impartiality;
- treat in a confidential and private manner information acquired during professional and business dealings of any present or former client without their proper consent;
- comply with all laws and regulations of the jurisdictions where professional activities are conducted;
- not intentionally communicate false or falsified information that may compromise the integrity of the evaluation, assessment, or Certification process;
- not act in any manner that could compromise the reputation of Certification Oceania and will fully cooperate on the inquiry following a claimed infringement of this Code of Ethics; and
- respect the intellectual property and contributions of others;
- treat all client supplied information as private and confidential;
- will not discuss client related information with or visually present client related information to other than Certification Oceania; and
- be aware that breaches of client confidentiality may provide grounds for disciplinary action or dismissal.
Appeals
Purpose
The Appeals process is relevant to clients who wish to appeal the certification decision made by Certification Oceania.
Process
Clients wishing to appeal must complete a Certification Oceania Appeals form, which will be made available upon request.
Upon receipt of an appeal, Certification Oceania’s General Manager:
- acknowledges receipt of the appeal;
- on the basis of information contained within the appeal, reviews the client’s audit assessment and findings and verifies the basis and validity of the grounds for the appeal; and
- refers the matter to Impartiality Committee’s nominated Appeals representative/s for review and their recommended response.
The decision/outcome in respect of the appeal is made based on the Impartiality Committee’s nominated Appeals representative/s recommendations. Such person/s has/have not been involved in the appeal-related certification activities.
Also, to ensure no conflict of interest in handling the appeal, staff and contractors who have previously provided consultancy to the appellant or have been previously employed by the appellant, shall not be involved in the review or appeal decision until at least two years have lapsed since their consultancy or employment.
Certification Oceania shall give formal notice of the final outcome to the appellant.
Privacy Policy
Purpose
This privacy policy explains how Certification Oceania handles information and complies with the requirements of the Australian Privacy Act 1988 (Cth) ("Privacy Act"), 13 Australian Privacy Principles (APPs) and relates to Certification Oceania's collection and handling of information that is covered by the Privacy Act, but is not intended to cover other types of information not covered by the Privacy Act.
Collection of Information
Certification Oceania collects and holds information from employees, clients, contractors and accreditation authorities. We collect and hold this information when it is necessary for business purposes.
The main types of information Certification Oceania collects and holds relates to the contact details and organisational information of our clients and other business contacts. Typically, this information includes names, addresses, telephone numbers, e-mail addresses and job titles. In the course of providing services to our clients, we may collect and hold more detailed information, such as potential health and safety risk exposures and environmental aspects relevant to an organisation - for Certification purposes.
We collect most information directly from clients when we deal with them. The information we collect may be provided in application forms filled out by clients, email messages, telephone conversations, enquiries from our websites or on social media. Because of the nature of our business, it is generally impracticable for us to deal with clients on an anonymous basis or through the use of a pseudonym.
Use of Information
The main purposes for which we collect, hold and use information are:
- to provide our services;
- to respond to an enquiry;
- to maintain contact with clients;
- to informed contacts of the services we offer, standards and industry developments that may be of interest to them, and to notify them of events we may be holding within their countries; and
- for general management and accreditation body reporting purposes, such as invoicing and account management;
Security of Information
Information that we have collected (eg, application for certification, or for a Certification Oceania services or marketing events), is stored electronically. Relevant information is available to Certification Oceania staff and contracted assessors and is used in accordance with this policy and Certification Oceania’s Information/Data Security Policy.
Certification Oceania will endeavour to take all reasonable steps to keep secure any information which we hold, keeping the information accurate and up to date and not retaining information once there is no longer a legal or business need for us to do so.
Disclosure of Information
Certification Oceania endeavours, so far as is reasonably practicable, not to disclose information to other organisations unless:
- it is to protect the rights, property or personal safety of any member of the public, or the environment or a client of Certification Oceania or the interests of Certification Oceania; or
- some or all of the information may be transferred to another organisation as part of the sale of some or all of Certification Oceania's business; or
- the owner of the information gives written consent; or
- such disclosure is otherwise required or permitted by law, regulation, rule or Certification Oceania’s scheme rules.
Clients and organisations outside of Certification Oceania will sometimes have access to information held by Certification Oceania. This may include, but is not necessarily limited to Certification Oceania’s contractors, travel and accommodation service providers, cloud-based security storage providers, information technology contractors, event managers, and debt collecting agencies.
We require our external service providers to adhere to our Privacy Policy and not to keep, use or disclose information we provide to them for any purposes that are not consistent with this Policy.
Our Website
This Privacy Policy and our Information/Data Security Policy also applies to any information we collect via our website www.certificationoceania.com including information you provide to us such as when you make an enquiry.
Access to Information
We will provide access to information upon request by an individual, except in situations where release is unauthorised by the owner of that information and in situations where granting such access would infringe another person's privacy or a client’s request for anonymity.
When you make a request to access information, we will require you to provide some form of identification (such as a driver's licence, or passport) so we can verify that you are the person or client’s authorised representative to whom the information relates.
If you believe that information we hold about you, or the organisation you are authorised to represent, is either incorrect or out of date, or if you have concerns about how we are handling your information, please contact us and we will try to resolve those concerns.
If at any time you want to access information you believe we hold, you may contact us by emailing us at contact@certificationoceania.com
Transfer of Information Outside Australia
In addition to disclosures permitted under this Privacy Policy, Certification Oceania may disclose information to organisations such as accreditation bodies within the Certification global network. These organisations are not Australian entities and are not or regulated by the Australian Privacy Act, and accordingly may not be subject to privacy laws that provide the same level of protection as Australia’s.
Any such disclosure, or transfer, of information does not change our commitment to safeguard information, consistent with our Information/Data Security Policy.
Concerns or Complaints
If Certification Oceania becomes aware of any ongoing concerns or problems relating to our Privacy Policy, we will take these issues seriously and work to address any concerns that have been brought to our attention.
If you have any further queries relating to our Privacy Policy, or you have a problem or wish to make a compliant, please contact us on contact@certificationoceania.com or contact us via our Complaints Handling Information for Interested Parties process.
If you are not satisfied with our handling of your concern or complaint you may make a complaint to the Australian Information Commissioner (www.oaic.gov.au).
Review and Amendment
This Privacy Policy may be updated from time to time to keep abreast of our changing operating environment or legislative changes. Each time this Policy is changed it is given a new version, by date if issue. It is not our policy to give any specific notices regarding changes to this Policy, other than posting the updated version on our website.
Complaints Policy
Purpose
The purpose of this document is to provide complaints handling information to interested parties, regarding how to make a complaint, where to make a complaint, and what complainants might reasonably expect when making a complaint which is related to Certification Oceania.
Commitment
Certification Oceania takes complaints seriously and manages them in a confidential, timely, objective, transparent and meaningful way. We achieve this by:
- maintaining the confidentiality of all parties in line with our Privacy Policy;
- acknowledging that a common goal is achieved with an outcome acceptable to all parties;
- acting in good faith and in a calm and courteous manner;
- showing respect and understanding of each other’s point of view and value difference, rather than judge and blame;
- respecting and acknowledging the need for cultural appropriateness;
- ensuring complaints are handled objectively and confidentially, and that clients are not unfairly treated as a result of making a complaint; and
- recognising that all parties have rights and responsibilities which must be balanced; ensuring that the complaints handling process is free of charge to the complainant.
Complainant will Not be Disadvantaged
Certification Oceania shall not cease providing a complainant with certification services or otherwise recriminate against any complainant because they have made a complaint.
How to make a Complaint
Complaints can be made by completing a Certification Oceania Feedback form, which can be made available from any member of Certification Oceania staff.
Complainants will be asked to put their concerns in writing and provide all relevant supporting documentation, such that the matter can be properly investigated.
Responsiveness
All complaints will be acknowledged and responded to as soon as practicable. Our aim is to acknowledge receipt of complaints within three business days of receipt.
Complaints will be dealt with in a timely manner and complainants will be kept informed about the progress of their complaint and anticipated timeframes.
Certification Oceania shall endeavour to resolve/close out complaints, wherever practicable, within 35 business days.
Allegations of suspected harm, risk of harm to a person or possible criminal activity will be actioned immediately by urgent referral or reporting to the relevant agency.
Confidential
Information concerning the complainant shall be available where needed, but only for the purposes of addressing the complaint within Certification Oceania and such information shall be actively protected from disclosure, unless the complainant expressly consents to its disclosure, or disclosure is required by law.
Managing the Complaint
Where possible, complaints will be dealt with as quickly as possible by a senior manager, referred to as Certification Oceania’s Complaints Handling Management Representative, who is appointed by the Certification Oceania Director.
Certification Oceania’s corrective action decision/s shall be tailored to the nature and severity of the complaint and shall be subject to any statutory requirements. To address a complaint, Certification Oceania may:
- gather relevant information concerning the complaint;
- investigate and assess relevant information to the complaint;
- refer the complaint to an independent external party (as required) – to investigate, assess, and conduct an independent review of relevant information, and provide a recommended response to the complaint; and/or
- escalate the complaint to the relevant accreditation authority/body.
Where mediation is required, all parties will have the right to agree to the appointment of the mediator.
Serious matters, such as the following, shall be immediately brought to the attention of the Certification Oceania General Manager:
- the safety, health or wellbeing of staff or the public; and/or
- contravention of relevant legislation.
The Certification Oceania General Manager will take the lead in having such matters investigated and dealt with in a timely manner.
Follow-Up and Review
Each complaint will be viewed as an opportunity for improvement. After the complaint has been dealt with, Certification Oceania will analyse the complaint to determine if any policy or procedural changes need to be implemented.
The Certification Oceania General Manager will follow-up to confirm that complaints have been successfully resolved to relevant parties’ satisfaction.
Complainant’s Right of Appeal
If complainants are not satisfied with our decision and the outcome, they are entitled to seek review of the outcome. An application to have the outcome/decision internally reviewed must be made to Certification Oceania within 20 business days of the date of the letter communicating the original decision.
When a review is requested by a complainant, an internal review will be conducted by a staff member or external agent who was not involved in the original investigation and assessment of the complaint.
Complainants are to be made aware that:
- such a review is not a new investigation of their complaint;
- the review process will consider:
- the process adopted by the original investigating officer and whether it was appropriate to identify the validity of the complaint and where applicable, address the concerns raised; and
- the merit of the conclusions and whether they were clearly and appropriately explained to the complainant; and
- the second review will finalise the complaint (subject to the finalisation of any additional matters referred back to the General Manager for consideration); and
complainants may also choose to directly engage with an external body, such as the Commonwealth Ombudsman (Level 5/14 Childers St, Canberra ACT 2600) to seek a review of Certification Oceania’s handling and/or the outcome of the complaint.
Non-discriminatory Principle
The Quality Management System policies and procedures under which Certification Oceania operates are non-discriminatory and are consistent with the World Health Organisations principal of non-discrimination namely: “to guarantee that human rights are exercised without discrimination of any kind based on race, colour, sex, language, religion, political or other opinion, national or social origin, property, birth or other status such as disability, age, marital and family status, sexual orientation and gender identity, health status, place of residence, economic and social situation”.
Accordingly, Certification Oceania policies and procedures are not used to impede or inhibit access by applicants, other than as provided for in ISO 17021 Conformity Assessment - Requirements for Bodies Providing Audit and Certification of Management Systems.
Access to the Management System Certification process is not be conditional upon the size of the client or membership of any association or group, nor is certification conditional upon the number of certifications already held by a client. There are no undue financial or other conditions.
Certification Oceania shall make its services accessible to all applicants whose activities fall within Certification Oceania‘s scope of its operations and shall confine its activities to the compliance assessment, review, decision and ongoing surveillance specifically related to a client’s management system certification or accreditation.
Publicly Available Information
Certification Oceania makes available via our website or upon request, the following:
- information about the services we offer and the regions in which we offer those services;
- information which explains what certification is about and what the different ISO certifications and other certifications that are available;
- details about the certification schemes managed and administered by Certification Oceania;
- Scheme Rules including:
- the certification process and procedures for granting, for maintaining certification; and for extending or reducing the certification scope;
- rights and responsibilities, and
- restrictions or limitations on the use of Certification Oceania's name and certification when awarded
- information on certification fees for those certification/s the client seeks;
- Complaints Handling information;
- Appeals Handling information;
- Privacy Policy;
- Information/Data Security Policy;
- Management of Impartiality Policy;
- Confidentiality Policy;
- Non-Discriminatory Principle;
- Quality Policy; and
- Code of Ethics.
Reconciliation Statement of Intent
Certification Oceania:
- recognises Aboriginal and Torres Strait Islander peoples as the first Australians;
- recognises the unique cultural and spiritual relationship Aboriginal and Torres Strait Islander people have with the land and sea;
- recognises that Aboriginal and Torres Strait Islander people believe in the importance of “social, emotional, spiritual and cultural well-being of the whole community, which is a whole life view” and accordingly, community and social services should aim to bring about a reality of every individual achieving their full potential thereby bringing about total well-being for all communities;
- acknowledges that achieving the best “social, emotional, spiritual and cultural well-being” outcomes will require a combined effort from a range of services and sectors, and effective partnerships at national, state, regional and local levels;
- supports and encourages the ongoing need for Aboriginal and Torres Strait Islander peoples to engage and participate in areas of planning and development of services that contribute to improving Indigenous outcomes;
- recognises the positive impact on the outcomes of Aboriginal and Torres Strait Islander families where Aboriginal and Torres Strait Islander employees are part of the community service delivery and where Aboriginal and Torres Strait Islander peoples are involved in planning the services that establish long term management regimes that safeguard the biodiversity and ecosystems and cultural heritage of their land;
- affirms its commitment to reconciliation and will work toward the vision of “A united Australia, which respects this land of ours, values the Aboriginal and Torres Strait Islander heritage and provides justice and equity for all”
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Certification Oceania ©
Certification Oceania acknowledges the Kabi Kabi and Jinibara Peoples who are the Traditional Custodians of this land on which we work. We acknowledge the Traditional Custodians of Country throughout Australia. We recognise their continuous relationship to the land and pay our respects to Elders past, present and emerging.