Being impartial, and being perceived to be impartial, is necessary for CHS to deliver certification that provides confidence. It is important that all internal and external personnel are aware of the need for impartiality.

It is recognized that the source of revenue for a certification body is its client paying for certification, and that this is a potential threat to impartiality.

To obtain and maintain confidence, it is essential that CHS decisions are based on objective evidence of conformity (or nonconformity) obtained by CHS, and that its decisions are not influenced by other interests or by other parties.

CHS’s directors, managers, staff and others involved in the certification organization fully understand the importance of impartiality in undertaking its certification activities. CHS will therefore ensure that in its dealings with clients or potential clients, all employees or other personnel involved in certification activities are, and will remain, impartial. To ensure that impartiality is both maintained and can be demonstrated, CHS has identified and risk assessed all relationships which may result in a conflict of interest or pose a threat to impartiality.

Threats to Impartiality:

• Self-interest: threats that arise from a person or body acting in their own interest. A concern related to certification, as a threat to impartiality, is financial self-interest. 

• Self-review: threats that arise from a person or body reviewing the work done by themselves. Auditing the management systems of a client to whom the certification body provided management systems consultancy would be a self-review threat. 

• Familiarity (or trust): threats that arise from a person or body being too familiar with or trusting of another person instead of seeking audit evidence. 

• Intimidation: threats that arise from a person or body having a perception of being coerced openly or secretively, such as a threat to be replaced or reported to a supervisor.

• Advocacy: a certification body or its personnel acting in support of, or in opposition to, a given company which is at the same time its client. 

• Competition: between the client and a contracted person.

  CHS Impartiality Norms

  CHS directors, staff, and sub-contractors fully understand the importance of impartiality in undertaking certification activities. CHS will therefore ensure that in all its dealings with clients or potential clients, all employees or other personnel are and will remain impartial. To ensure that impartiality is both maintained and can be demonstrated the following principles have been established. 

• CHS certificates are only issued following a review by an independent authorized and competent member of the management team (who has not been involved in the audit) to ensure that no interest shall predominate

• CHS does not offer (and has never offered) management system consultancy or any other form of consultancy to companies or individuals. 

• CHS does not offer (and has never offered) an internal audit service to its certified clients.

• CHS does not own or have any interest (financial or otherwise) in any other company that offers management system consultancy services. 

• CHS does not have (and will not form) any relationships with companies who offer consultancy or other services that can be construed as having an impact on the certification services provided by CHS. 

• Any proposed relationship between CHS and any other company will undergo a risk assessment by the Committee for Impartiality prior to that relationship being formalized. 

• Any current relationships with companies, organizations and individuals will be risk assessed on a regular basis to ensure that the relationship does not impact upon the impartiality of the certification process.

• Individuals employed by or otherwise contracted to CHS are required to document and record their current and past relationships with all companies. Any situation past or present which may present a potential conflict of interest is required by CHS to be declared. CHS will use the information to identify any threats to impartiality and will not use that individual in any capacity unless they can demonstrate that there is no conflict of interest. 

• CHS will not allocate a member of staff or sub-contractor to a management system audit where any past relationship has existed. Exceptionally and at the discretion of the Certification Manager or Directors an individual or sub-contractor may be allocated to a management system audit where a past relationship has existed but there has been no relationship for a minimum of 2 years. 

• CHS does not and will not offer any commission, (‘finders fees’ or other inducements) to any individual or company in respect of referrals of clients unless:

  • The terms and conditions of any such referral are clearly established and can be demonstrated that the fee is for a referral and the fact that a commission has been paid will in no way affect the outcome of an audit.

  • A risk assessment (to establish the potential for an unacceptable threat to impartiality) has been carried out on the process through which any such payment is made to an individual or organization (normally a consultant) requesting the commission for referrals.

  • All such payments are documented, recorded, and traceable and accompanied by a purchase order and invoice.

  • CHS does not offer specific training to any company in respect of implementing a particular standard for that company. Any training offered by CHS is general in nature and available to all companies or individuals who wish to attend.

  • CHS will ensure that it is not linked or marketed in any way which links it with the activities of a management system consultancy and will take appropriate action should any such link be identified.

  • Auditors and others involved in the certification process are not and will not be put under any pressure and will not be influenced in any way to come to a particular conclusion regarding the result of an audit.

• No outsourcing of Audits to consultancy organization. 

• No Referral Fees to be paid to consultancy organization. 

• Facts based communication to clients/ consultancy organization. 

• Adherence to all accreditation and other CHS Policies. 

• CHS shall not carry out any other conflicting services other than its core business of certification. 

• CHS shall not employ any professional conflicting its ethical policies. 

• CHS shall not allow any of its auditors to market the services and conduct the audits for the same client. 

• CHS shall not allow any of its auditors to carry out financial transactions with clients / consultants. 

• CHS shall not carry out business with any consultant inducing pressures to compromise impartiality. 

• All employees of CHS shall disclose any situation impairing the business ethics. 

• CHS shall not allow any of the auditors to carry out audits for the client at least for 2 years from the date of relinquishment from their services for the client. 

• CHS shall not allow any auditor to compromise on the audit timing as required as per the accreditation/ CHS norms.

• CHS shall not allow any auditor to conduct the audit for the client for which it has not been approved for. 

• CHS shall maintain transparency with regard to all information. 

• No auditor shall divulge any confidential information of the client to any third party without written consent from the client and approval by Director’s. 

• No auditor shall carry any client information with them after the usage period. All client information shall be returned after usage. 

• Utmost care/ verification to be carried out for granting the right scope of certification.  Any unethical practice observed should be notified to the management at the earliest.  CHS shall not allow any of its auditors to accept any gifts from client / consultant of value greater than AED 100. 

• CHS shall not allow any auditor to conduct audit for the organization where any of its family members/ close relatives are involved at a decision-making position.

• Disciplinary actions for non-adhering to impartiality policies shall be taken by the management in consultation with Impartiality Committee.