Handling of Certification Mark Misuse and Fraudulent Certificates for Product Certification

1.0 Objective

The objective of this procedure is to define the process for monitoring, identifying, investigating, and addressing misuse of AQMA CERT certification marks and fraudulent certificates, including enforcement actions and record control.

2.0 Scope

This procedure applies to all AQMA CERT certification schemes and to any organization or individual using or referring to AQMA CERT certificates or certification marks. It covers all cases of unauthorized, incorrect, misleading, or fraudulent use of certificates or marks identified through internal activities, external complaints, market surveillance, or public information sources. The procedure applies to all AQMA CERT personnel involved in certification, surveillance, or market monitoring activities.

3.0 Responsibilities

3.1 Chief Executive Officer (CEO)

The CEO shall:

• Provide overall oversight and authority for enforcement related to misuse or fraudulent certification
• Act on recommendations submitted by the Head of Product Certification
• Approve escalated actions such as suspension, withdrawal, notification to authorities, or legal action, where required

3.2 Head of Product Certification (HOD)

The HOD shall:

• Review all reported cases of misuse or suspected fraudulent certificates
• Verify facts and determine appropriate corrective or enforcement actions
• Issue formal notices related to misuse or fraud
• Recommend escalation actions to the CEO, when necessary
• Communicate with certificate holders or concerned parties regarding misuse or fraud

3.3 Operations Team

The Operations Team shall:

• Monitor potential misuse during routine certification activities, surveillance, market visits, exhibitions, trade fairs, and digital platforms
• Collect evidence and support verification activities
• Conduct follow-up checks to confirm implementation of corrective actions as directed by the HOD
• Support documentation and record maintenance of identified cases

4.0 Operational Procedures

4.1 Control of the Use of Certificates and Certification Marks

4.1.1 AQMA CERT shall issue certificates and certification marks only for products that have successfully completed conformity assessment in accordance with the applicable certification scheme.

4.1.2 Certification applies only to the specific product model(s), batch(es), or sample(s) evaluated. Any other variants, additional models, or unrelated products are outside the certified scope.

4.1.3 For certification scheme type 1a, surveillance activities are not part of the certification cycle. Therefore, certification marks under this scheme shall not imply ongoing conformity beyond the evaluated sample and defined validity period.

4.1.4 For certification scheme type 3, continued use of the certification mark is subject to ongoing surveillance activities, such as audits, inspections, or testing, as defined in the applicable scheme.

4.1.5 AQMA CERT personnel attending exhibitions, trade shows, market visits, or industry events shall observe and verify compliance with certification mark usage rules and report any suspected misuse to the reporting manager or the HOD or QA without delay.

4.2 Misuse of Certificates or Certification Marks

4.2.1 Misuse includes, but is not limited to, the following situations:

• Incorrect or misleading references to AQMA CERT certification or certification schemes
• Use of a certificate or mark after expiry, suspension, withdrawal, or termination
• Use of the mark in a manner that misrepresents the certified product or applicable standard, so that the user cannot determine which standard the product has been certified against
• Using AQMA CERT marks on non-certified products, variants, or models
• Using a certification mark issued by another certification body but claiming it belongs to AQMA CERT
• Any use of AQMA CERT certification claims outside the approved scope or product category

4.2.2 Upon identification of any such misuse, the HOD shall formally issue a written notice to the certificate beneficiary that includes description of misuse, required corrective actions and a deadline for correction, with instructions of immediate discontinuation of misuse, including removal of marks, withdrawal of marketing material, and correction of public statements.

4.2.3 The Operations Team shall conduct a follow-up verification within provided deadline by HOD to confirm correction.

4.2.4 If misuse is not corrected or is repeated, the HOD shall recommend escalation to the CEO, which may include, but not limited to:

• Prohibition of further use of the certificate or mark
• Suspension or withdrawal of certification in accordance with Certification Process (AC-QP-05)
• Request for formal corrective action(s)
• Inform regulatory authorities, or other affected parties
• Initiation of legal action in accordance with applicable laws, where applicable

4.3 Handling of Fraudulent Certificates

4.3.1 Fraudulent certificates include:

• Forged, altered, or manipulated certificates
• Certificates issued without proper evaluation
• Unauthorized duplication or reproduction of AQMA CERT logos or certification marks
• Certificates modified to change expiry date, scope, product details, or issuer information

4.3.2 Upon discovering or being informed of a suspected fraudulent certificate, the HOD and Operations Team shall immediately assess the case and collect evidence.

4.3.3 The HOD shall formally issue a written notice to the certificate beneficiary with instructions of immediate recall and discontinuation of use of the fraudulent certificate.

4.3.4 The notice shall clearly state that:

• Use or issuance of fraudulent certificates is a legal violation
• Continued use will result in certification withdrawal, where applicable
• Custom authorities and regulatory bodies may be notified
• Legal action may be initiated
• Corrective measures must be implemented

4.3.5 If the user of the fraudulent certificate ignores the warning or repeats the offence, the HOD shall recommend escalation to the CEO, which may include, but not limited to:

• Suspension or withdrawal of existing certification
• Notification to authorities, customs bodies, regulators, or accreditation bodies
• Public disclosure upon request
• Legal proceedings as permitted by law

4.4 Record Keeping and Retention

4.4.1 Email correspondence and related electronic communications exchanged during identification, investigation, corrective action, and enforcement of certification mark misuse or fraudulent certificates shall constitute the official record for such cases. No separate case file or dedicated form is required.

4.4.2 Such records shall be retained and controlled in accordance with the Records Control (AC-QP-11).

5.0 Relevant Documents

• ISO/IEC 17065:2012
• ISO/IEC 17067:2013
• AC-QM-01 Quality Manual
• AC-QP-05 Certification Process

6.0 Relevant Records

• Correspondence email communication records related to misuse or fraud