Averum shall ensure that the assigned lead auditor (or, in some cases requiring escalation, the Averum CEO) to make the decision for granting or refusing certification, expanding, or reducing the scope of certification, suspending, or restoring certification, withdrawing certification, or renewing certification are different from those who conducted the audits. The individual(s) appointed to conduct the certification decision shall have appropriate competence.
The person(s) assigned by Averum to make a certification decision shall be employed by or shall be under legally enforceable arrangement with either Averum or an entity under the organizational control of Averum. Averum’s organizational control is a documented authority by Averum over another entity (Pinion, LLC, the parent company) in a network of legal entities (in which Averum resides), linked by ownership or board of director control.
The persons employed by, or under contract with, entities under organizational control shall fulfil the same requirements of this part of ISO/IEC 17021 as persons employed by, or under contract with, Averum.
Averum shall record each certification decision including any additional information or clarification sought from the audit team or other sources.
Actions prior to making a decision
Averum shall conduct a review prior to making a decision for granting, expanding, renewing, suspending, restoring, withdrawing or reducing the scope of certification. Averum confirms:
- the information provided by the audit team is sufficient with respect to the certification requirements and the scope for certification. Averum accepts a variety of evidence to demonstrate conformance, including copies of policies and practices, training records or certifications, interviews with client staff or relevant business partners (e.g.,tenants and operators), monitoring documentation, including property survey forms, vendor invoices, audit certifications, and quantitative or qualitative indicators of resource use and activity impacts used to evaluate progress toward a goal or objective such as energy invoices, etc.
- major nonconformities are shared with the client who receives a completed NCR form to document the nonconformity. The client confirms the nonconformity and recommends an appropriate correction or corrective action, OR resolves the nonconformity by providing documentation, explanation, or clarification to demonstrate conformance. If the nonconformity is accepted by Averum and resolved, certification may proceed. If the major nonconformity may not be resolved, certification is denied or withdrawn.
- minor nonconformities are presented to the client using a completed NCR form. The client reviews the nonconformity and recommends a correction or corrective action plan. Averum documents the correction and its acceptance on the NCR form.
Information for granting initial certification
The information provided by the audit team to Averum for the certification decision shall include, as a minimum:
- the audit reports
- The audit report is reviewed by an independent reviewer and the certification decision maker to ensure a complete and effective audit prior to distribution to the client.
- comments on the nonconformities and, where applicable, the correction and corrective actions taken by the client
- Averum uses an audit management software program that allows users to explain gaps identified in conformance. Examples of gaps in conformance may include an absence of documentation evidence, observed behaviors that demonstrate non-conformities, and incomplete remediations of previously identified issues (if applicable).
- Where applicable, the audit team may present correction and corrective actions taken by the auditee using a non-conformity report.
- confirmation of the information provided to Averum used in the application review
- Audit staff confirms information provided in application is consistent and supports complete scope provided by clients during the Opening Meeting. Application information included in the audit report includes:
- Company name, address, website, and client contact information
- Identification of a singular or group audit
- Assurance level (report type)
- Other parties (management offices) included in scope of audit
- confirmation that the audit objectives have been achieved
- Audit Objectives and Scope are defined in Averum’s Audit Program and Sampling Methodology. Audit objectives and familiarity with the standard language are confirmed during the Opening Meeting, and audit objectives are defined in the audit report in accordance with the audit standard.
- a recommendation whether or not to grant certification, together with any conditions or observations.
- Audit staff includes recommendations from audit team to certification body presented in an audit summary report draft. Draft is reviewed by independent reviewer and certification body prior to completion. Certification body retains final decision-making responsibility.
- Lean resources may require Averum’s CEO to provide final certification decisioning to maintain independence. The audit team recommendation is presented along with supporting body of evidence and explanation for recommendation reasoning. Averum’s CEO provides certification decision
If Averum is not able to verify the implementation of corrections and corrective actions of any major nonconformity within 6 months after the last day of certification audits (stage 2), Averum shall conduct another stage 2 prior to recommending certification.
When a transfer of certification is envisaged from Averum to another, the accepting certification body shall have a process for obtaining sufficient information in order to take a decision on certification.
Information for granting recertification
Averum shall make decisions on renewing certification based on the results of the recertification audit, as well as the results of the review of the system over the period of certification and complaints received from users of certification. Averum takes the following into consideration:
- Number and severity of complaints received, and program user’s response is considered.
- Results of the recertification audit in comparison with prior surveillance years. E.g., non-conformity responses, corrective action, and progress on remediation efforts.
- Overall performance during period of certification, as demonstrated by fulfillment of the intent of the audit management standard or the program user’s continual improvement over the period of certification.
Averum shall maintain certification based on demonstration that the client continues to satisfy the requirements of the management system standard. It may maintain a client’s certification based on a positive conclusion by the audit team leader without further independent review and decision, provided that:
- for any major nonconformity or other situation that may lead to suspension or withdrawal of certification, Averum requires the audit team leader to report the need to initiate a review by competent personnel, different from those who conducted the audit, to determine whether certification can be maintained.
- If a nonconformity or other situation that may lead to suspension or withdrawal of certification is witnessed during an audit, a review is initiated by competent personnel other than the initial field auditor.
- Averum confirms the following with all clients who have achieved certification, continued certification during surveillance, or recertification during the Closing Meeting.:
Major non-conformances or unaddressed minor non-conformances can result in consequences including delays to future audits, additional corrective actions for management staff, and the revocation of an issued certification.
Documentation is retained in Closing Meeting Agendas
- If the nonconformity or other situation that may lead to suspension or withdrawal of certification was witnessed by the audit team leader, certification maintenance would be escalated to Averum’s CEO.
- competent Averum personnel monitor its surveillance activities, including monitoring the reporting by its auditors, to confirm that the certification activity is operating effectively. Based on the complexity and nature of Averum’s organization, ongoing competence is monitored through the following activities:
- Audit staff are monitored by the Audit Team Leader through annual surveillance audits including shadowing of audit activities relevant to staff’s function. Ongoing competency behaviors are documented in Averum’s Personnel Competence Workbook. Audit Team Leader’s competence is monitored annually at a minimum by Averum’s CEO.