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Code of Conduct Policy
In Global Compliance Certification, we are committed to consistently behave according to a set of values and ethics and strive to meet our customers’ needs while serving the best interests of our surrounding communities and the public at large.
In Global Compliance Certification, all employees and contractors (auditors) are expected to:
- respect all employees, clients and business partners and be always polite and helpful
- disclose any potential conflict of interest with GCC and its clients before accepting any job of that company or organisation
- act in a trustworthy, ethical and unbiased manner in relation to both GCC, GCC clients and their interested parties while conducting duties as described in the agreement and requested by GCC
- act professionally and ethically
- reply to inquiries respectfully, and, if unable to supply the information requested, refer to the person from whom the information may be obtained
- not discriminate against anyone in connection with their duties on the grounds of race, nationality, religion, political activity, gender, marital status, age, carer or family responsibilities, physical features, disability or impairment, pregnancy, breastfeeding or parental status, sexual preference
- be frank and honest at all times and refrain from any form of conduct that may cause any reasonable person unwarranted offence or embarrassment
- adhere to the requirements of the Privacy Act 1988 (Cth), the Act and procedures, Competition and Consumer Act 2010 (Cth), Work Health and Safety Act 2011 (Cth) or equivalent Work Health & Safety legislation, and all other relevant legislation or regulations where applicable
- not promote or represent any business interests or any entity with which they have an interest or may have an interest
- not accept any inducement, commission or gift or any other benefit from any interested party
- not communicate false, erroneous or misleading information that may compromise the integrity of any audit
- cooperate fully with any inquiry in the event of a complaint or any alleged breach of this policy
- Global Compliance Certification (GCC) identifies, analyses and documents the possibilities for conflicts of interest arising from the provision of certification, including any conflicts arising from its relationships.
- If any relationship creates a threat to impartiality, GCC will document the instance and be able to demonstrate how it eliminates or mitigates such threats. This information will be made available to the committee for safeguarding impartiality.
- The demonstration shall cover all potential sources of conflicts of interest that are identified, whether they arise from within the GCC or from the activities of other persons, bodies or organisations.
- GCC ensures that where relationships pose an unacceptable threat to impartiality, certification shall not be provided.
- Any potential conflict of interest is discussed during the contract review and at the time of selecting the audit team. Audit team members have signed confidentiality agreements which includes declarations of independence to ensure confidentiality and impartiality of them.
- GCC and any part of the same legal entity do not offer or provide management system consultancy.
- If the relationship between the consultancy organisation and GCC or its employees poses an unacceptable threat to impartiality, GCC will not provide certification services. (A relationship that threatens the impartiality of GCC can be based on ownership, governance, management, personnel, shared resources, finances, contracts, marketing and payment of a sales commission or other inducement for the referral of new clients, etc.)
- GCC will not certify another certification body for its management system certification activities.
- GCC is an independent company and has a policy not to own any other business/company (wholly or partially). If a relationship poses an unacceptable threat to impartiality, such as a wholly/partially owned subsidiary of GCC or any employee of GCC, certification services will not be provided.
- GCC, through legally enforceable agreements, have a policy and arrangements to safeguard the confidentiality of the information obtained, or created during the performance of certification activities at all levels of its structure, including committees and external bodies or individuals acting on its behalf.
- GCC will inform the client in advance, of the information it intends to place in the public domain. All other information, except for information that is made publicly accessible by the client, shall be considered confidential. Except as required by accreditation bodies or governmental authorities, information about a particular client or individual will not be disclosed to a third party without the written consent of the client or individual concerned. Where GCC is required by law to release confidential information to a third party, the client or individual concerned will, unless regulated by law, be notified in advance of the information provided.
- GCC has established a confidentiality agreement to make sure that all staff, employees, auditors, contractors, and members of committees act in a strictly trustworthy and unbiased manner in relation to both GCC and GCC’s client while fulfilling their duties. The agreement requires them to disclose confidential information relating to GCC’s Client to GCC only and may not divulge or disclose any of it to any third party. This is a requirement to keep all documents and other material incorporating any confidential information separate from their own documents and materials.
- GCC requires that all staff (including directors), employees, auditors, contractors, and members of committees to sign confidentiality agreements before doing any activity related to GCC.
- GCC makes available and uses equipment and facilities that ensure the secure handling of confidential information.
Suspending, Withdrawing or Reducing the Scope of Certification Policy
- Global Compliance Certification (GCC) has documented a ‘Suspension and Withdrawing’ procedure which specifies the activities for suspension, withdrawal, extension or reduction of the scope of certification and the subsequent actions.
- GCC maintains certification based on demonstrations from the client that continue to satisfy the requirements of the management system standard.
- GCC will publish, or make publicly available, the suspended status of certificates or take other measures it appropriate.
- GCC has enforceable agreements with the certified client concerning conditions of withdrawal ensuring upon notice of withdrawal of certification that the client discontinues its use of all advertising matter that contains any reference to a certified status.
- GCC, upon request, or by its own initiative will update the correct status of certification of a client’s management system as being suspended, withdrawn or reduced in scope.
GCC will suspend certification in cases when:
- The client’s certified management system has persistently or seriously failed to meet certification requirements, including requirements for the effectiveness of the management system
- The certified client does not allow surveillance or recertification audits to be conducted at the required frequencies
- The client fails to meet the requirements for maintaining the Certification of management systems, relevant legislation requirements or this Agreement
Failure to take effective corrective actions to identified non-conformities within the set time limit
- Failure to pay the fees due, upon written notice from GCC
Improper use is made of the certification status, the Certificate of Registration, or the GCC and/or JAS-ANZ Certification Marks
- If the certified client has voluntarily requested a suspension. (such a request must be submitted in writing)
Complaints and Appeals Policy
- GCC has established a documented complaints and appeals procedure for handling and resolving issues with clients, or third parties regarding any of its services
- GCC is responsible for all decisions at all levels of the appeals-handling process. GCC ensures that the persons engaged in the handling process are different from those who carried out the audits and made the certification decisions
- Submission, investigation and decisions on complaints or appeals will not result in any discriminatory actions against the complainant or appellant
The handling process includes at least the following elements and methods:
- Receiving and documenting any written or verbal complaints or appeals in the internal NC sheet
- Acknowledging receipt of the complaint or appeal and providing the appellant with progress reports and the outcome
- Appointing a respondent for each complaint or appeal
- Organising investigation of the complaint or appeal and take necessary actions to resolve the issue
- Sending a formal report on the complaint or appeal and actions taken to the complainant or appellant within ten (10) working days of the receipt
- Contacting the complainant or appellant within one month to seek confirmation that the response was received and found acceptable