Policies, Integrity & Trust.
UKCAB maintains a structured policy framework supporting impartiality, confidentiality, competence, transparency, fairness and professional integrity throughout its conformity assessment and certification activities.
A clear framework for credible certification.
UKCAB's public policy framework explains the principles and controls that support its certification and conformity assessment activities.
The framework addresses matters including impartiality, confidentiality, complaints, appeals, certification decisions, use of certification marks, client responsibilities, privacy, professional conduct and continual improvement.
These policies are intended to provide applicants, certified clients and other interested parties with clear information about UKCAB's operating principles.
Certification Governance
UKCAB's governance approach is designed around the fundamental principles expected of conformity assessment bodies, together with applicable certification schemes and contractual requirements.
What UKCAB's policies protect
Our policy framework is designed to protect the credibility of certification and the interests of clients, applicants and other relevant interested parties.
Browse UKCAB Policies
Commitment
UKCAB is committed to conducting certification activities impartially and to managing risks that could compromise objective certification decisions.
Core controls
- Identification and evaluation of impartiality risks
- Management of actual, potential and perceived conflicts of interest
- Appropriate separation of evaluation, review and certification decision functions
- Personnel requirements addressing conflicts and independence
- Periodic review of impartiality risks and safeguards
Commitment
Information obtained or created during certification activities is handled responsibly and protected against unauthorised access, disclosure, alteration or loss.
Protected information may include
- Client business and operational information
- Audit and assessment records
- Certification reports and decisions
- Personal information
- Commercial and financial information
UKCAB controls
- Confidentiality commitments for relevant personnel
- Controlled access to records
- Appropriate information-security practices
- Secure retention and disposal arrangements
Commitment to competence
UKCAB recognises that credible certification depends on competent personnel and appropriate resources.
Personnel controls
- Defined competence criteria for relevant certification activities
- Appropriate qualification, knowledge and experience
- Competence evaluation before assignment where applicable
- Ongoing monitoring and development
- Records demonstrating relevant competence
Accessible complaint handling
UKCAB provides a documented mechanism through which clients and other interested parties may submit complaints concerning relevant UKCAB activities.
General process
- Complaint submission and registration
- Review of whether the complaint relates to UKCAB activities
- Appropriate investigation
- Objective evaluation of evidence
- Decision and communication of the outcome
- Corrective or improvement action where appropriate
Email: info@ukcas.org
Right to appeal
Where an applicable certification scheme or UKCAB procedure provides an appeal mechanism, an applicant or certified client may challenge an applicable certification decision through the established process.
Appeal principles
- Appeals are formally recorded
- Relevant evidence is reviewed
- The appeal is handled impartially
- Persons involved in the original decision are appropriately managed in the appeal process
- The final outcome is communicated to the appellant
General certification framework
UKCAB certification activities are performed according to the applicable certification scheme, documented procedures, contractual arrangements and applicable conformity assessment requirements.
Typical certification stages
- Application and scope definition
- Application review
- Planning of evaluation activities
- Audit, inspection, testing or other applicable evaluation
- Review of evaluation results
- Independent certification decision where applicable
- Certification documentation and status management
Client responsibilities
- Provide accurate and complete information
- Maintain continuing conformity with applicable requirements
- Provide access required for agreed certification activities
- Inform UKCAB of significant changes affecting certification
Maintaining certification
Certification status is maintained subject to the applicable certification requirements, surveillance or other continuing evaluation activities and the terms of the certification agreement.
Changes to certification status
- Scope may be changed where the applicable requirements are satisfied
- Certification may be suspended where applicable requirements are not maintained
- Certification may be withdrawn according to applicable procedures
- Certification may terminate or expire according to the applicable certification arrangement
- Clients must stop references to certification when such references are no longer authorised
Responsible use
Certified clients may use applicable UKCAB certification marks and make certification claims only in accordance with the relevant certification requirements and mark-use rules.
Appropriate use
- Approved corporate communication and marketing materials
- Websites and company information where permitted
- Other uses expressly permitted by the applicable certification requirements
Prohibited or misleading use
- Claims extending certification beyond its approved scope
- Implying certification of products, sites or activities not covered by the certification
- Misleading claims about the status or extent of certification
- Continued use after certification has been suspended, withdrawn or otherwise ceased where such use is no longer authorised
Fair access
UKCAB seeks to make applicable certification services accessible on a non-discriminatory basis, subject to the scope, competence, certification scheme and applicable legal or regulatory requirements.
- Applications are evaluated against applicable requirements
- Decisions are not based on irrelevant discriminatory factors
- Accessibility needs may be considered where reasonably applicable
- Relevant conflicts and impartiality risks are considered
Responsible processing
UKCAB is committed to responsible handling of personal information and to applying appropriate safeguards according to applicable privacy and data-protection requirements.
Key principles
- Appropriate collection and use of personal information
- Appropriate information security
- Access control and confidentiality
- Retention according to applicable requirements
- Respect for applicable data-subject rights
Certification agreement
Applicable UKCAB terms and certification agreements establish the rights, responsibilities and obligations of UKCAB and the client throughout the relevant certification lifecycle.
Typical areas include
- Certification scope
- Evaluation and certification arrangements
- Client responsibilities
- Fees and payment arrangements
- Confidentiality
- Certification mark and certification claims
- Suspension, withdrawal and termination provisions
- Complaints and appeals
Zero tolerance
UKCAB does not tolerate bribery, corruption, improper payments, kickbacks or attempts to improperly influence certification decisions.
Prohibited conduct
- Offering or accepting improper payments
- Kickbacks or hidden commissions
- Improper gifts or benefits intended to influence decisions
- Manipulation of audit or certification outcomes
- Any other improper attempt to influence certification activities
Commitment to quality
UKCAB is committed to maintaining effective certification processes, competent personnel and controls that support reliable and consistent conformity assessment activities.
Improvement activities may include
- Monitoring process performance
- Internal review and evaluation
- Corrective and improvement actions
- Personnel competence development
- Review of complaints and appeals
- Management review and improvement planning
Safe working environment
UKCAB seeks to maintain appropriate health and safety arrangements for personnel, auditors, assessors and other persons involved in certification activities.
- Personnel follow applicable health and safety arrangements
- Site-specific requirements are considered during visits
- Relevant hazards are communicated where applicable
- Unsafe conditions may be escalated through appropriate channels
Responsible operations
UKCAB seeks to reduce unnecessary environmental impacts associated with its operations and encourage responsible resource use.
- Digital documentation where practical
- Responsible use of paper and office resources
- Appropriate consideration of travel and operational efficiency
- Continual review of opportunities for responsible practices
Need Clarification About a UKCAB Policy?
If you require clarification regarding certification requirements, complaints, appeals, certification marks, privacy, certification status or another UKCAB policy matter, please contact our team.