Legal Stuff

Certification Rules at Speeki Europe SAS

Last updated: September, 2022

About the certification rules

Speeki Europe is committed to delivering excellence in anti-corruption and compliance certification.

To achieve this goal, Speeki Europe attaches the utmost importance to the following four principles:

  • Expertise in anti-corruption and general compliance
  • Professionalism in audit practices
  • Impartiality in certification
  • Transparency in methodology and processes

To ensure that these principles are fully implemented in our day-to-day operations, Speeki Europe respects the following rules throughout our certification processes according to the ISO/IEC 17021-1:2015, ISO/IEC 17021-9:2016 and 17021-13:2021 standards.

Alerts and complaints

Speeki Europe uses the Speeki Hear All Voices whistleblowing programme.  Find out more.

Suspension, Withdrawal, Reduction in Scope, Restoration of a Certificate

Speeki Europe ensures that decisions are taken according to the ISO 17021-1 rules and that all certified organisations are treated in the same consistent and fair manner.

All decisions related to the Suspension, Withdrawal, Reduction in Scope, Restoration of a certificate are:

  • taken by the Certification Committee.
  • communicated to the Client i.e., the official who signed the certification contract
  • eligible to appeal
  • status of the certificate for one given customer will be provided to any stakeholder upon request.

A certificate will be suspended if:

  • there is a persistent failure of the client’s management system to meet certification requirements – this includes effectiveness of the management system
  • the Certificate or the Certification mark or logo of Speeki is used in an inappropriate manner (ex: for a different scope) and this has not been resolved by the client after notification by Speeki Europe
  • the certified client fails to close a major non-conformity within the required time frame, or to provide a relevant action plan to close of minor non-conformity within the required time frame
  • the certified client fails to accept surveillance audits or recertification audits at the required frequencies. This includes when the client fails to accept a first surveillance audit after initial certification within 12 months of initial certification decision
  • the certified client has not paid audit fees
  • the certified client has voluntarily requested a suspension

A certificate will be withdrawn if:

  • it is discovered that important facts have been hidden purposely from the audit team
  • if the facts that have prompted the Certification Committee to suspend the certificate have not been remediated within three months
  • the certified client voluntarily requests a withdrawal
  • The scope of certification will be reduced:
  • if the organisation requires the scope to be reduced

Restoration

The certificate, or the scope of the certificate, will be restored by decision of the Certification Committee, and, if required, after an in-situ audit, when the organisation has taken actions to remediate the causes that led the certificate to be suspended, or the scope to be reduced. Failure to resolve the issues that led to the suspension in a time established by Speeki Europe shall result in the withdrawal or a reduction of the scope of certification.

Once a certificate has been withdrawn, it cannot be restored, and the client needs to enter a new certification process starting with an initial audit.

Following expiration of certification, Speeki Europe can restore certification to the organisation within six months provided that the outstanding recertification activities are completed. The effective date on the certificate shall be on or after the recertification decision and the expiry date shall be based on the prior certification cycle.

The scope of certification will be changed:

  • If the organisation requires the scope to be reduced.
  • If the organisation notifies a scope change or requires a scope extension.

In both instances, the request will be reviewed and subject to an ad hoc audit (for scope extension) and a Certification Committee decision to modify certification documents.

 

The Head of Certification launches an SWRSC Procedure investigation when they learn, through their own research or any other means that could justify the suspension, withdrawal, or change in scope of a Certificate.

Once the Head of Certification has assessed the evidence and the seriousness of the fact(s), they report in writing to the Certification Committee. They inform the client in writing of the initiation of the procedure and requests the client to provide any additional information that could be useful to the Certification Committee.

The situation and Client’s answers are examined by the Certification Committee within 7 working days, during which time the committee may call for additional information.

The decision of the Certification Committee is communicated to the Client by the Head of Certification.

If an appeal is lodged, the CertificationCommittee’s decision is not suspended until the Appeals Board Decision, which is final.

The report is filed in the “Speeki T13 Certification Committee Review”

During the period of suspension, the certificate is temporarily invalid, and the client shall not promote or advertise its certification. Unless the suspension is lifted and the certificate validity is reinstated, recertification or transfers shall not be performed.

A certified organisation may challenge a Certification Committee Decision and lodge an appeal to the Appeals Board.

Appeals

Appeals at Speeki Europe allow a Speeki Europe client to challenge a decision which concerns the client - and only the client - related to an audit finding, grading of a non-conformity from the audit team, or a certification-related decision taken by the Certification Committee (awarding, denying, suspension, etc.)


Any person engaged in the appeals-handling procedure is separate from those who carry out audits and make the certification decisions. Submission, investigation, and decisions on appeals shall not result in any discriminatory actions against the appellant.

The decision to be communicated to the appellant shall be made, approved, and reviewed by individuals not previously involved in the subject of the appeal. Records must be registered in the file: “Speeki R12 Appeals Reporting”. All steps taken during an appeal must be filed appropriately.

No one can challenge a Speeki Europe certification decision if they do not represent the client under a certification process.

  • Every appeal shall be addressed, in writing, to the Head of Certification, who will examine if the appeal is admissible i.e. if it is made by a client challenging a decision that concerns itself exclusively. The client is the person who signed the contract with Speeki Europe. If the appeal is admissible, the Head of Certification informs the client that an appeals process will start within a maximum of four weeks. The appeals process will be performed in a timely manner. The time allotted for remediation (6 months for major NC in the initial audit or 3 months for minor NC or major during surveillance audit) continues to run during the appeals process.
  • The Head of Certification nominates a Lead Auditor who has had no relation with said client to assess the appeal.  
  • The nominated Lead Auditor determines how the case will be investigated.
    Investigations include:
    o interview of the appellant by telephone, in person or via WebEx depending on time zone and/or availability.
    o  interview of the Certification Committee if appropriate
    o  interview with the auditor team
    o  thorough investigation of documentation
  • Prior to the investigation, the Lead Auditor receives from the Head of Certification an assignment sheet and confidentiality agreement for the investigation detailing his/her mission and stating that all the costs, including their remuneration, will be borne by Speeki Europe.
  • The Head of Certification will provide the appellant with progress reports in addition to the result of the appeal.
  • The Lead Auditor sends their report to the Head of Certification who communicates the decision to the appellant.
  • The final decision is taken by a member of the Certification Committee if they have not been involved in the appeals process in question. If a certification committee review has already occurred, then the final decision will be taken by a board member of Speeki Pte. In both instances the final decision will be taken in consultation with the designated Lead Auditor as part of the ad hoc Appeals Board.
  • No further appeal is possible following an appeal decision.


Rules on the Use of Marks and Logos

The objective of the Rules on the Use of Marks and Logos is to ensure that the use of the Speeki logo, the Speeki Certification Mark and any Accreditation Body Accreditation Mark are used appropriately in a manner which is neither misleading nor creates confusion. The Speeki Rules on the Use of the ISO 37001 Certification Mark abide by the ISO 17021 standard applicable to accredited certification bodies.

As annex to the Speeki Europe Certification contract with an Organisation, it is part of said contract.

As such it is binding on any Organisation certified by Speeki Europe.

Speeki Rules on the Use of the ISO 37001 Certification Logo annexed to a certification contract


These regulations apply to the trademarks of the ISO37001 Certification of Anti-bribery Management Systems by Speeki Europe in Figure 1 and Figure 2 below. These rules reflect the obligations of ISO 17021 applicable to accredited certification bodies.

 

The trademarks

Speeki Europe has two trademarks. The Speeki Europe ISO 37001 Certification Mark, hereinafter the Certificate Trademark (figure 1) and the Speeki Europe Logo (figure 2).

The Certification Mark (figure 1) is provided by Speeki Europe to the organisation once the organisation is certified. During the validity period of the certificate, the Certificate Logo can be used by the Organisation according to the following rules.

The use of the Speeki Logo (figure 2), is generally not permitted and subject to written authorisation. The organisation should submit a written request explaining why and in which context it is to be used. Speeki will examine the request and will indicate in writing the rules and conditions under which it can be used and for which period.

Figure 3.1 and 3.2 is for use by organisations certified ISO37001 under the accreditation of COFRAC (Accreditation N° 4-0609 List of locations and scope available at www.cofrac.fr) while Figure 4 is for use by companies certified ISO 37001 under the ANAB accreditation process.

Definitions within the framework of these regulations

  • “Accreditation body” refers to the organisation responsible for accrediting the entity which will carry out certifications of third-party anti-bribery management systems.
  • “Accreditation Mark” refers to the mark that the Accreditation Body confers on the certifying organisation, and which can be used by the client whose anti-bribery management system has been certified unless the Accreditation body objects to this use.
  • “Certificate” refers to the compliance certificate which includes the dates of the evaluation executed by Speeki Europe and details the scope of the client’s anti-bribery management system certification audit.
  • “Client” refers to the organisation to which the Certificate is attributed.
  • “Best practices code” refers to a document which details the conditions under which the Speeki Europe Certification Trademark can be attributed, renewed, suspended, or withdrawn.
  • “Communication materials” refers to the client’s promotional materials including flyers, posters, commercials, websites, brochures, external publicity like billboards and posters, stationary like sales contracts, letterhead, business cards, invoices.
  • “Abusive use” of the Certification Trademark refers to any use that breaches these regulations. This includes any imitation or counterfeit of the Certification Trademark.
  • “Benchmark” refers to the specifications that the management system must demonstrate as well as the means for monitoring and controlling the anti-bribery management system to ensure that these specifications are maintained.
  • “Use” refers to the legitimate, authorised, limited, non-exclusive and revocable right to use the Certification Trademark.


Use of the Certification Trademark

When signing the certification contract with Speeki Europe, the Client accepts:

  • To use the Certification Trademark exclusively as outlined in these regulations and in the certification document itself.
  • To use the Certification Trademark only in activities which pertain to the client’s anti-bribery management system.
  • To use the Certification Trademark on all communications materials in such a way as to avoid confusion between the certification and the client’s other activities.
  • Not to use the Certification Trademark on its products or packaging in to avoid confusion over the certification of the product.
  • Not to use the accreditation trademark when there is no relation to Speeki ISO 37001 certification.
  • That it can use the Certification Trademark on its stationary including sales documents or contracts, letterhead, business cards, promotional material including posters, commercials, promotional videos, internet sites, brochures or external ads including signs and billboards.
  • It can use the Accreditation Mark on its stationary like sales contracts, letterhead, business cards, invoices, or on promotional material like posters and billboards, TV ads, videos, internet sites, brochures, on internal and external signage as long as the Accreditation Mark is accompanied by the Certification Trademark which indicates the type of management system certified and the accreditation agency which confers the ability to certify and the subsequent publicity.
  • Not to use the Certification Trademark or the Accreditation Mark on laboratory tests, calibration, or inspection reports.
  • Not to use the Certification Trademark or the Accreditation Mark in such a way as would result in the certification body or its processes losing the confidence of the public.
  • That it can use the Certification Trademark on its website as long as the certification mark or logo contains a link to the Speeki URL: http://www.speeki.com/.
  • Not to, during the period of the certificate’s validity or beyond, deposit or try to deposit the Certification Trademark or any imitation of it, declare itself owner or having a viable claim to the Certification Trademark or contest the rights of the Certifying Body, its successors, to authorise the use of the Certification Trademark.
  • To cease using the Certification Trademark immediately following the suspension, reduction in scope, withdrawal, cancellation, or expiration of the certificate or to make any reference to it or to the Accreditation Mark and to refrain from using any copy or imitation of either. In the case of an imminent expiration of the certificate (if it has not already been renewed), the Head of Certification will contact the certified organisation to remind them of the rules.
  • The use of the Certification Trademark does not absolve the client of its obligations vis-à-vis the law in the execution of its services, performance, manufacture, expedition, sale, or distribution of its products.

To comply with any specific regulation from the relevant accreditation body pursuant to the use of its Accreditation Mark:

ANABRules are available at the following link: https://anab.qualtraxcloud.com/ShowDocument.aspx?ID=12436

COFRAC rules are available at the following link:

https://www.cofrac.fr/fileadmin/user_upload/GEN__REF_11_07_EN.pdf

Client controls

The Certifying Body can, throughout the period of the certificate’s validity, undertake or have a third party undertake, controls on marks and logos judged necessary using the methods and frequency outlined in the benchmark. The controls will ensure that the benchmark is applied appropriately in the management system and that this application will be maintained and in compliance with these regulations and the code of best practices.


Sanctions and appeal

In the event of abusive use of the Certification Trademark or Accreditation Mark, the Certifying Body can immediately suspend or withdraw the certification as well as the rights to use the Certification Trademark in line with the procedures on sanctions available from the Certifying Body on demand. The client can appeal the Certifying Body’s decision in line with the procedures for appeal available from the Certifying Body on demand.

Waiver

The client can waive or suspend the use of the Certification Trademark for a defined period. The client will warn the Certifying Body in writing and will adjust its communications material accordingly. On this basis, the Certifying Body will inform the client of the general conditions of a temporary or definitive suspension of the Certification Trademark.

Financial conditions

The financial conditions authorising the use of the Certification Trademark are detailed in the contract signed between the client and the Certifying Body.

Confidentiality

Unless otherwise agreed upon with the Certifying Body the client must ensure that all documents received from the Certifying Body are kept confidential except for the certificate and these regulations.

Modifications to the rules

The Certifying Body retains the right to modify its rules at any time. Any modification will be communicated to the client immediately who will be obliged to implement the changes.

 

The logos and their graphic rules

The Certification Trademarks in Figures 1, 3.1, 3.2 and 4 are examples of what the Certifying Body will supply to the client at the appropriate time depending on the ISO 37001 certification granted.

  • On coloured or black and white documents, the Certification Trademark can also be placed on a dark background as long as it remains visible.
  • For use on the internet the client will be given a logo by Speeki.
  • The Certification Trademark can be enlarged or reduced as long as the text remains legible.
  • When it accompanies the Certification Trademark, the Accreditation Mark must be of a size equal to or smaller than the Certification Trademark.
ISO 37001 Certification by Speeki
Figure 1: ISO 37001 Certification by Speeki

Figure 2: Speeki Logo

Figure 3.1: Speeki ISO 37001 certification under COFRAC accreditation (French)

Figure 3.2: Speeki ISO 37001 certification under COFRAC accreditation (English)

Figure 4: Speeki ISO 37001 certification under ANAB accreditation