This question is the result of a workshop held at the EACC meeting in March 2017
Can a CB provide finders fees to consultants
March 2018
ISO/IEC 17021-1: 2015 – Clause 5.2.1; 5.2.3; Attention is drawn to the IAF Technical Committee decision 10/10/01 which his reproduced here: –
It should be noted that this decision was made in 2010 and there have been some changes since then, for example the bullet point referring to Impartiality Committee, which is no longer a requirement; reference should be made to the risk processes of the certification body.
“Consensus of the IAF TC is that there are alternative methods to the 2-year option to manage impartiality in the case of payment of commission/finder’s fee to consultants. A CAB has to demonstrate the following:
- Transparency – all documentation relevant to this relationship are recorded and available on request to AB. The client and relevant CAB personnel are aware of this relationship and/or payment of commission/finder’s fee and that the CAB does not provide special treatment.
- Management of the CAB has signed the relevant declaration of impartiality that includes reference to such relationships and their management.
- Risk assessment conducted for the specific relationship between the involved parties. Special attention given to the threats arising from relationships of the parties/individuals involved.
- Impartiality committee reviews the effectiveness of management of risk due to such relationships.
- A process is established to ensure there is no special treatment of clients during the certification process.
- Instances of pressure or influence from management, consultant or client are reported and mitigated.
- Additional witnessing of the audits may need to be conducted by the CAB.
- Closer scrutiny of audit output and certification / recertification decisions.
- Monitoring of such relationships through internal audit.
- An AB may need additional time to assess the management of such relationships and may also need to conduct additional witness audits.”