Chapter 27 — Core Conformance and Certification Framework
Part III — Certification Schemes, Accreditation and Lifecycle Governance
Part III defines the formal trust architecture through which a valid Conformance Outcome may support a governed Certification Decision, an integrity-protected Certificate, continued surveillance, public verification and, where applicable, accreditation of the bodies that assess or certify.
Part I established:
- the Core conformance boundary;
- distinctions among validation, conformance, assurance, certification, accreditation, approval and Runtime Admission;
- Conformance Subjects and Subject Snapshots;
- Requirements, Controls, Criteria and Profiles;
- evidence and Findings;
- Conformance Outcomes;
- assessment lifecycle foundations;
- Certification Scheme foundations;
- Runtime and Publication integration.
Part II established:
- Conformance Assessment Programmes;
- subject discovery;
- authoritative inventories;
- Scope Manifests;
- Conformance Traceability Matrices;
- evidence engineering;
- Test Suites, Fixtures and Oracles;
- automated and manual assessment;
- sampling;
- materiality;
- Finding adjudication;
- remediation;
- Assessment Packages;
- decision-support artefacts.
Part III governs the certification and accreditation lifecycle.
It defines:
- Certification Programmes;
- Scheme governance;
- Scheme rulebooks;
- Scheme profiles;
- applications;
- applicant declarations;
- certification review;
- Certification Decisions;
- Certificate issuance;
- Certificate Registries;
- certification claims;
- marks and badges;
- surveillance;
- continued conformance;
- change notification;
- scope extension and reduction;
- suspension;
- withdrawal;
- expiration;
- reinstatement;
- recertification;
- transfer;
- Scheme transition;
- Certification Bodies;
- Conformity Assessment Bodies;
- competence;
- impartiality;
- independence;
- accreditation;
- peer recognition;
- assurance integration;
- public verification;
- complaints;
- appeals;
- disputes;
- enforcement;
- fraud prevention;
- certification supply-chain integrity;
- Part III provenance.
The governing principles are:
Certification SHALL be a separate, explicit and authorised decision based on a valid assessment. It SHALL not arise automatically from a passing test suite, Conformance Outcome, assurance conclusion, workflow completion or commercial contract.
Every Certification Decision SHALL bind to an exact Scheme version, exact certified subject, exact Subject Snapshot, exact Constitutional Baseline, exact scope, exact Assessment Package digest, exact conditions and exact validity period.
A Certificate SHALL be an immutable representation of the Certification Decision. Later suspension, scope reduction, withdrawal, expiration or reinstatement SHALL create new governed status records rather than rewrite the issued Certificate.
Certification SHALL remain bounded. It SHALL not imply universal legal compliance, universal ESG performance, absence of all defects, future conformance, accreditation, regulator approval or certification of excluded dependencies.
A certification mark SHALL be verifiable and status-aware. A static badge disconnected from the Certificate Registry SHALL not support a high-assurance public claim.
Continued certification SHALL depend on surveillance, change notification, incident treatment, evidence freshness and ongoing conformity with the applicable Scheme.
Certification Bodies SHALL demonstrate authority, competence, impartiality, independence, secure operations and decision integrity. Accreditation SHALL remain distinct from certification and SHALL itself be Scheme-bound and scope-bound.
Assurance, certification and accreditation SHALL reinforce trust without collapsing into one another. Each SHALL identify its exact subject matter, criteria, authority, scope, period and limitations.
Suspension and withdrawal SHALL propagate to public verification, certification marks, Runtime Admission dependencies, Publication claims, assurance references and tenant or white-label representations without erasing historical evidence.
Every certification path SHALL preserve Module lineage and Component lineage, together with tenant, white-label, Extension, Runtime, Publication and temporal lineage.
The Part III trust chain is:
Approved Certification Scheme
│
├── Scheme Rulebook
├── Conformance Profiles
├── Eligibility Rules
├── Assessment Requirements
├── Decision Rules
├── Surveillance Rules
├── Claim Rules
└── Appeal Rules
│
▼
Certification Application
│
▼
Valid Assessment and Assessment Package
│
▼
Independent Certification Review
│
▼
Certification Decision
│
├── Grant
├── Grant with Conditions
├── Restrict Scope
├── Defer
└── Reject
│
▼
Certificate and Registry Record
│
▼
Public Claim and Verification
│
▼
Surveillance and Continued Conformance
│
├── Maintain
├── Condition
├── Reduce Scope
├── Suspend
├── Withdraw
├── Expire
└── Renew
│
▼
Historical Verification and Archive
Part III SHALL remain independent of any one certification body, accreditation body, assessment platform, badge system, public-verification portal, signature technology, identity provider, registry technology, surveillance platform or commercial licensing model.
27.25. Certification Programme and Scheme Governance
A Certification Programme coordinates one or more Certification Schemes, certification applications, Certification Bodies, assessors, surveillance activities, public claims and lifecycle decisions.
A Certification Scheme defines the exact requirements, procedures and authority through which certification may be granted, maintained, reduced, suspended, withdrawn, renewed or transferred.
27.25.1. Certification Programme Identity
Every Certification Programme SHALL possess:
- Certification Programme Identifier;
- canonical name;
- Programme Charter;
- Programme owner;
- constitutional sponsor;
- Scheme inventory;
- subject classes;
- jurisdictions;
- frameworks;
- eligible applicants;
- recognised Certification Bodies;
- recognised assessment bodies;
- accreditation requirements;
- public-verification model;
- risk profile;
- lifecycle;
- version;
- provenance.
27.25.2. Certification Programme Types
Programme Types MAY include:
- ZAYAZ Core Certification Programme;
- Runtime Certification Programme;
- Module Certification Programme;
- Component Certification Programme;
- Extension Certification Programme;
- Tenant Certification Programme;
- White-Label Certification Programme;
- Organisation Certification Programme;
- Publication-System Certification Programme;
- Security Certification Programme;
- Tenant-Isolation Certification Programme;
- Migration Certification Programme;
- Historical-Trust Certification Programme;
- Certification-Body Recognition Programme.
27.25.3. Programme Charter
The Programme Charter SHALL define:
- purpose;
- authority;
- constitutional basis;
- intended trust claim;
- subject classes;
- Scheme governance;
- Certification Body model;
- accreditation model;
- assessment model;
- surveillance model;
- public-claim model;
- funding model;
- conflicts-of-interest treatment;
- appeals;
- enforcement;
- success criteria;
- stop conditions;
- provenance.
27.25.4. Scheme Identity
Every Certification Scheme SHALL possess:
- Scheme Identifier;
- canonical name;
- Programme;
- Scheme Owner;
- Scheme Authority;
- subject classes;
- eligible applicants;
- applicable Constitutional Baselines;
- applicable Conformance Profiles;
- jurisdictions;
- frameworks;
- business domains;
- assessment requirements;
- evidence requirements;
- competence requirements;
- impartiality requirements;
- Certification Decision rules;
- Certificate rules;
- claim rules;
- surveillance rules;
- suspension and withdrawal rules;
- recertification rules;
- appeal rules;
- lifecycle;
- version;
- provenance.
27.25.5. Scheme Rulebook
Every Scheme SHALL possess a Rulebook containing:
- scope;
- terminology;
- authority;
- eligibility;
- application;
- assessment;
- review;
- decision;
- Certificate;
- claims;
- marks;
- surveillance;
- change notification;
- conditions;
- scope change;
- suspension;
- withdrawal;
- expiration;
- recertification;
- transfer;
- complaints;
- appeals;
- confidentiality;
- public verification;
- archive;
- provenance.
27.25.6. Scheme Profile
A Scheme Profile SHALL bind:
- Certification Scheme;
- Conformance Profiles;
- subject class;
- Baseline;
- jurisdiction;
- framework;
- assessment depth;
- mandatory Criteria;
- certification-blocking Findings;
- evidence period;
- surveillance;
- validity;
- provenance.
27.25.7. Scheme Requirement Classes
Scheme requirements MAY include:
- subject-eligibility requirements;
- applicant-eligibility requirements;
- Conformance Profile requirements;
- evidence requirements;
- assessment-method requirements;
- assessor-competence requirements;
- independence requirements;
- review requirements;
- Certification Decision requirements;
- public-claim requirements;
- surveillance requirements;
- incident-notification requirements;
- record-retention requirements.
27.25.8. Certification Claim Model
The Scheme SHALL define the exact claim that certification supports.
The claim model SHALL identify:
- claim text;
- certified subject;
- certified characteristics;
- excluded characteristics;
- Baseline;
- scope;
- period;
- limitations;
- required verification reference;
- prohibited implications;
- provenance.
27.25.9. Scheme Scope
Scheme scope SHALL identify:
- subject types;
- eligible versions;
- Baselines;
- jurisdictions;
- tenant and white-label contexts;
- Module and Component contexts;
- Extension contexts;
- Runtime contexts;
- Publication contexts;
- exclusions.
27.25.10. Scheme Boundary
The Scheme boundary SHALL define whether certification concerns:
- design conformance;
- implementation conformance;
- operating effectiveness;
- point-in-time state;
- period-of-time state;
- product or Package state;
- Runtime state;
- organisational processes;
- tenant operation;
- white-label operation;
- Publication system;
- historical reconstruction.
27.25.11. Scheme Validity Model
The validity model SHALL define:
- issue time;
- effective time;
- validity period;
- surveillance cadence;
- change triggers;
- incident triggers;
- expiration;
- renewal window;
- grace period if any;
- provenance.
27.25.12. Scheme Severity Policy
The severity policy SHALL define:
- certification-blocking Findings;
- conditionally acceptable Findings;
- prohibited exceptions;
- permitted temporary conditions;
- scope-reduction rules;
- suspension triggers;
- withdrawal triggers.
27.25.13. Scheme Exception Policy
The Scheme SHALL identify:
- exceptionable requirements;
- non-exceptionable requirements;
- exception authority;
- maximum duration;
- compensating Controls;
- disclosure;
- surveillance;
- certification effect;
- provenance.
27.25.14. Protected Certification Requirements
Protected requirements MAY include:
- valid subject identity;
- valid Baseline;
- valid Certification Authority;
- tenant isolation;
- evidence integrity;
- decision independence;
- Certificate integrity;
- claim accuracy;
- public-verification integrity.
Protected requirements SHALL not be waived by commercial agreement.
27.25.15. Scheme Assessment Model
The assessment model SHALL define:
- permitted assessment bodies;
- first-, second- or third-party assessment;
- assessment depth;
- required Assessment Package;
- sample rules;
- Test Suites;
- manual review;
- independent review;
- reassessment;
- acceptance of external evidence.
27.25.16. Scheme Decision Model
The decision model SHALL define:
- Certification Decision Authority;
- reviewer independence;
- quorum where applicable;
- decision options;
- conditions;
- scope restrictions;
- rationale requirements;
- signatures;
- appeals.
27.25.17. Scheme Surveillance Model
The surveillance model SHALL define:
- surveillance frequency;
- surveillance methods;
- evidence requirements;
- change notifications;
- incident notifications;
- unannounced assessment where permitted;
- sampling;
- remote or on-site activity;
- public-status update;
- provenance.
27.25.18. Scheme Publicity Model
The publicity model SHALL define:
- public Certificate fields;
- restricted fields;
- public claim wording;
- mark use;
- verification endpoint;
- suspension display;
- withdrawal display;
- historical status;
- retention.
27.25.19. Scheme Ownership
The Scheme Owner SHALL be accountable for:
- Rulebook;
- Profile;
- interpretation;
- maintenance;
- change control;
- recognised bodies;
- public verification;
- appeals architecture;
- lifecycle;
- provenance.
Scheme ownership SHALL not grant unilateral certification decision authority unless explicitly assigned.
27.25.20. Scheme Interpretation
A formal Scheme Interpretation SHALL possess:
- Interpretation Identifier;
- Scheme version;
- question;
- authoritative text;
- interpretation;
- authority;
- scope;
- effective time;
- affected applications;
- affected Certificates;
- provenance.
Interpretation SHALL not amend Scheme meaning.
A material meaning change SHALL follow Scheme change governance and, where Core meaning changes, Constitutional Evolution.
27.25.21. Scheme Guidance
Guidance MAY explain implementation or evidence expectations.
Guidance SHALL be identified as:
- normative;
- interpretive;
- advisory;
- illustrative.
Advisory guidance SHALL not create new mandatory requirements.
27.25.22. Scheme Change Proposal
Every material Scheme change SHALL identify:
- current Scheme;
- proposed version;
- reason;
- changed requirements;
- changed Profiles;
- changed eligibility;
- changed assessment;
- changed decision rules;
- changed surveillance;
- changed claims;
- impact;
- transition;
- authority;
- provenance.
27.25.23. Scheme Change Impact
Impact analysis SHALL cover:
- active applications;
- active assessments;
- pending decisions;
- active Certificates;
- suspended Certificates;
- certification marks;
- public claims;
- Certification Bodies;
- assessors;
- accreditation;
- tenants;
- white-label deployments;
- Modules;
- Components;
- Extensions;
- Runtime Admissions;
- Publications.
27.25.24. Scheme Transition
A Scheme transition SHALL identify:
- source Scheme version;
- target Scheme version;
- transition period;
- grandfathering;
- recertification;
- surveillance;
- Certificate treatment;
- claim treatment;
- public verification;
- provenance.
27.25.25. Scheme Versioning
Released Scheme versions SHALL be immutable.
A new version SHALL preserve:
- source version;
- change history;
- compatibility;
- effective time;
- transition;
- provenance.
27.25.26. Scheme Lifecycle
Lifecycle states MAY include:
- Draft;
- Consultation;
- Review;
- Approved;
- Active;
- Active with Conditions;
- Deprecated;
- New-Application Prohibited;
- Superseded;
- Suspended;
- Withdrawn;
- Retired;
- Historical Only.
27.25.27. Scheme Suspension
A Scheme MAY be suspended due to:
- invalid authority;
- defective requirements;
- compromised decision process;
- accreditation failure;
- public-verification failure;
- legal prohibition;
- security compromise;
- systemic misleading claims.
Scheme suspension SHALL identify treatment of active Certificates.
27.25.28. Scheme Withdrawal
Scheme withdrawal SHALL identify:
- reason;
- authority;
- effective time;
- active Certificate treatment;
- surveillance treatment;
- public claims;
- replacement Scheme;
- archive;
- provenance.
27.25.29. Scheme Registry
The Scheme Registry SHALL preserve:
- Scheme identities;
- versions;
- Rulebooks;
- Profiles;
- authorities;
- recognised bodies;
- interpretations;
- guidance;
- transitions;
- lifecycle;
- provenance.
27.25.30. Scheme Receipt
A Scheme Receipt SHOULD contain:
- Scheme;
- version;
- Rulebook digest;
- Profile inventory;
- authority;
- status;
- effective time;
- recognised bodies;
- public-verification reference;
- provenance.
27.25.31. Scheme Validation
HECATE SHALL validate:
- Scheme identity;
- authority;
- Rulebook;
- Profiles;
- claim model;
- severity;
- exception policy;
- assessment model;
- decision model;
- surveillance model;
- lifecycle;
- version;
- provenance.
HECATE SHALL not establish Scheme authority through validation.
27.26. Certification Application, Eligibility and Contractual Boundary
A Certification Application initiates the formal certification process.
Application admission SHALL confirm eligibility and scope readiness.
It SHALL not imply conformance or certification.
27.26.1. Certification Application Identity
Every Certification Application SHALL possess:
- Application Identifier;
- Scheme;
- Scheme version;
- applicant;
- certified-subject candidate;
- subject version or Snapshot strategy;
- requested scope;
- requested claim;
- Baseline;
- Conformance Profiles;
- jurisdictions;
- tenants or white-label deployments;
- Modules;
- Components;
- Extensions;
- Runtime context;
- Publication context;
- declarations;
- submission time;
- lifecycle;
- provenance.
27.26.2. Applicant Identity
Every applicant SHALL possess:
- Applicant Identifier;
- legal or organisational identity;
- authority to apply;
- relationship to subject;
- tenant or white-label identity where applicable;
- contact;
- ownership;
- conflicts;
- sanctions or restrictions where applicable;
- provenance.
27.26.3. Applicant Types
Applicant Types MAY include:
- ZAYAZ Core custodian;
- Module owner;
- Component owner;
- Extension publisher;
- white-label operator;
- tenant;
- organisation;
- integration provider;
- Publication-system operator;
- assurance provider;
- Certification Body;
- Conformity Assessment Body.
27.26.4. Authority to Apply
The applicant SHALL demonstrate authority to:
- submit the subject;
- provide evidence;
- permit assessment;
- receive Findings;
- commit to remediation;
- use certification claims;
- notify changes;
- accept surveillance;
- permit public status disclosure where required.
27.26.5. Application Scope
The requested scope SHALL identify:
- certified subject;
- subject boundary;
- included versions;
- included environments;
- tenant and white-label scope;
- jurisdictions;
- Modules;
- Components;
- Extensions;
- external dependencies;
- Publications;
- exclusions;
- claim language.
27.26.6. Application Declaration
The applicant SHALL declare as applicable:
- subject identity is accurate;
- known material changes are disclosed;
- known material Findings are disclosed;
- prior certification history is disclosed;
- prior suspension or withdrawal is disclosed;
- evidence is authentic;
- conflicts are disclosed;
- certification claims will follow Scheme rules;
- surveillance obligations are accepted.
27.26.7. Known Non-Conformity Declaration
Known material non-conformities SHALL be disclosed.
Disclosure SHALL not automatically prohibit application unless the Scheme requires.
Concealment MAY trigger rejection, suspension or withdrawal.
27.26.8. Prior Certification Disclosure
The applicant SHALL disclose:
- active Certificates;
- expired Certificates;
- suspended Certificates;
- withdrawn Certificates;
- rejected applications;
- relevant external certifications;
- unresolved appeals;
- provenance.
27.26.9. Application Evidence
Application evidence MAY include:
- legal identity;
- subject ownership;
- subject inventory;
- Scope Manifest;
- Baseline;
- Profile;
- existing Assessment Package;
- external Certificates;
- policies;
- declarations;
- competence records;
- prior Findings;
- provenance.
27.26.10. Application Admission Gate
The Gate SHALL evaluate:
- valid Scheme;
- valid applicant identity;
- authority to apply;
- eligible subject;
- requested scope;
- claim validity;
- Baseline;
- Profile availability;
- assessment feasibility;
- Certification Body competence;
- conflicts;
- sanctions or restrictions;
- provenance.
27.26.11. Admission Outcomes
Outcomes MAY include:
- Admitted;
- Admitted with Scope Clarification;
- Additional Information Required;
- Deferred;
- Rejected as Ineligible;
- Referred to Another Scheme;
- Conflict Review Required;
- Indeterminate.
27.26.12. Application Rejection
Rejection SHALL identify:
- reason;
- Scheme rule;
- missing or invalid condition;
- appeal path;
- resubmission conditions;
- provenance.
27.26.13. Certification Agreement
A Certification Agreement MAY govern:
- subject and scope;
- Scheme;
- assessment access;
- evidence;
- confidentiality;
- surveillance;
- change notification;
- mark use;
- public status;
- fees;
- complaints;
- appeals;
- suspension;
- withdrawal;
- records;
- termination.
Commercial terms SHALL not alter certification criteria or decision independence.
27.26.14. Contractual Independence
The Certification Agreement SHALL state that:
- payment does not guarantee certification;
- commercial pressure does not alter Findings;
- the applicant cannot direct the Certification Decision;
- non-payment treatment shall not misrepresent conformance;
- termination does not erase historical status.
27.26.15. Confidentiality Boundary
Confidentiality SHALL define:
- protected application information;
- assessor access;
- Certification Body access;
- accreditation access;
- regulator access;
- public fields;
- incident disclosure;
- appeal disclosure;
- archive;
- provenance.
27.26.16. Certification Fees
Fees MAY cover:
- application;
- assessment;
- review;
- surveillance;
- travel;
- verification services;
- mark licensing.
Fees SHALL be transparent enough to assess conflicts.
27.26.17. Contingent Fee Prohibition
Certification fees SHOULD NOT depend on granting certification, outcome severity or suppression of Findings.
27.26.18. Application Change
A material application change SHALL identify:
- changed applicant;
- changed subject;
- changed version;
- changed scope;
- changed Baseline;
- changed Profile;
- changed claim;
- changed tenant population;
- changed Modules or Components;
- changed Extensions;
- impact;
- approval;
- provenance.
27.26.19. Application Withdrawal
An applicant MAY withdraw an application.
Withdrawal SHALL preserve:
- application;
- reason where provided;
- completed activities;
- Findings;
- evidence retention;
- claim restrictions;
- fees where applicable;
- provenance.
A withdrawn application SHALL not be represented as rejection or certification.
27.26.20. Application Transfer
Application transfer to another Certification Body SHALL require:
- Scheme permission;
- applicant consent;
- transferring body;
- receiving body;
- Assessment Package integrity;
- unresolved Findings;
- conflicts;
- confidentiality;
- authority;
- provenance.
27.26.21. Application Lifecycle
Lifecycle states MAY include:
- Draft;
- Submitted;
- Under Admission Review;
- Admitted;
- Additional Information Required;
- Assessment Planned;
- Assessment Active;
- Certification Review;
- Decision Pending;
- Granted;
- Rejected;
- Deferred;
- Withdrawn;
- Transferred;
- Closed;
- Archived.
27.26.22. Application Registry
The Application Registry SHALL preserve:
- applications;
- applicants;
- Schemes;
- requested scopes;
- declarations;
- admission;
- changes;
- withdrawal;
- transfer;
- lifecycle;
- provenance.
27.26.23. Application Receipt
A receipt SHOULD contain:
- Application;
- applicant;
- Scheme;
- requested subject and scope;
- declarations;
- admission outcome;
- Certification Body;
- time;
- provenance.
27.26.24. Application Validation
HECATE SHALL validate:
- Application identity;
- Scheme;
- applicant;
- authority to apply;
- subject identity;
- requested scope;
- declarations;
- conflicts;
- admission;
- changes;
- lifecycle;
- provenance.
27.27. Certification Review and Decision
Certification Review is the governed evaluation of whether the assessment, subject, scope, Findings, exceptions, conditions and evidence satisfy the Certification Scheme.
The Certification Decision SHALL be made by valid authority independent of assessment execution where the Scheme requires.
27.27.1. Certification Review Package
Every Certification Review SHALL use a Certification Review Package containing:
- Certification Application;
- Scheme and version;
- subject;
- Subject Snapshot;
- Baseline;
- Profile;
- Scope Manifest;
- final Assessment Package;
- Conformance Outcome;
- Finding inventory;
- exception inventory;
- remediation state;
- proposed conditions;
- surveillance recommendation;
- claim recommendation;
- limitations;
- provenance.
27.27.2. Review Identity
Every Certification Review SHALL possess:
- Review Identifier;
- Application;
- Scheme;
- Package digest;
- reviewer;
- reviewer authority;
- reviewer competence;
- independence;
- review criteria;
- start and completion time;
- Findings;
- recommendation;
- provenance.
27.27.3. Review Independence
The reviewer SHALL not be the sole person who:
- performed the assessment;
- implemented the subject;
- owns the assessed Module;
- operates the assessed Component;
- authored material evidence;
- sells contingent certification services;
- represents the applicant.
27.27.4. Review Competence
Review competence SHALL cover:
- Scheme;
- Conformance Profiles;
- subject class;
- Baseline;
- assessment methods;
- evidence;
- Findings;
- relevant jurisdiction;
- certification decision rules.
27.27.5. Review Criteria
Certification Review SHALL evaluate:
- applicant eligibility;
- subject identity;
- Scope Manifest;
- Snapshot integrity;
- Baseline validity;
- Profile validity;
- assessment authority;
- assessor competence;
- assessor independence;
- assessment completeness;
- CTM completeness;
- evidence sufficiency;
- sampling;
- Findings;
- exceptions;
- remediation;
- Outcome;
- proposed claims;
- surveillance readiness;
- provenance.
27.27.6. Review Finding
A Review Finding SHALL identify:
- review criterion;
- observed state;
- expected state;
- affected assessment or application;
- severity;
- required action;
- provenance.
27.27.7. Additional Assessment Request
The reviewer MAY require:
- additional evidence;
- additional Test;
- expanded sample;
- independent review;
- clarification;
- scope reduction;
- remediation;
- reassessment.
The request SHALL identify why it is necessary.
27.27.8. Certification Recommendation
Recommendation classes MAY include:
- Recommend Grant;
- Recommend Grant with Conditions;
- Recommend Restricted Scope;
- Recommend Deferral;
- Recommend Additional Assessment;
- Recommend Rejection;
- Unable to Recommend.
A recommendation SHALL not itself grant certification.
27.27.9. Certification Decision Request
Every Decision Request SHALL contain:
- Decision Request Identifier;
- Application;
- Scheme;
- Review;
- Review Package digest;
- recommendation;
- unresolved matters;
- proposed scope;
- proposed conditions;
- proposed validity;
- proposed surveillance;
- provenance.
27.27.10. Certification Decision Authority
The Decision Authority SHALL possess:
- valid Role;
- Scheme scope;
- subject-class scope;
- jurisdictional scope;
- competence;
- independence;
- active authority;
- no disqualifying conflict;
- provenance.
27.27.11. Decision Maker
A Decision Maker MAY be:
- authorised individual;
- certification committee;
- multi-role panel;
- automated objective decision Component where the Scheme explicitly permits;
- authorised external Certification Body.
27.27.12. Automated Certification Decision
Automated certification MAY be permitted only where:
- subject scope is narrow;
- all Criteria are objective;
- Scheme explicitly authorises automation;
- Certification Authority is assigned to the decision service;
- rules are deterministic and versioned;
- no exception or unresolved Finding exists;
- appeal remains available;
- decision integrity is independently monitored.
An AI model SHALL not be the sole automated Certification Decision Maker.
27.27.13. Certification Committee
A committee SHALL preserve:
- membership;
- Roles;
- competence;
- independence;
- conflicts;
- quorum;
- votes or concurrence;
- dissent;
- decision;
- provenance.
27.27.14. Decision Preconditions
Preconditions SHALL include:
- active Scheme;
- admitted Application;
- exact subject;
- exact Snapshot;
- valid Baseline;
- valid Assessment Package;
- acceptable Conformance Outcome;
- review complete;
- no unresolved certification-blocking Finding;
- valid exceptions;
- valid authority;
- provenance complete.
27.27.15. Decision Classes
Decision Classes MAY include:
- Grant Certification;
- Grant with Conditions;
- Grant Restricted Scope;
- Defer;
- Additional Assessment Required;
- Reject;
- Unable to Decide;
- Application Withdrawn.
27.27.16. Grant Certification
Grant SHALL identify:
- certified subject;
- Snapshot or version;
- Baseline;
- scope;
- certified characteristics;
- conditions;
- exclusions;
- validity;
- surveillance;
- claims;
- mark eligibility;
- provenance.
27.27.17. Grant with Conditions
Every condition SHALL identify:
- condition;
- affected requirement;
- owner;
- due time;
- interim state;
- monitoring;
- public disclosure;
- failure consequence;
- provenance.
27.27.18. Restricted Scope
A Restricted-Scope Decision SHALL identify:
- requested scope;
- certified scope;
- excluded scope;
- reason;
- dependencies;
- public-claim restriction;
- surveillance;
- provenance.
27.27.19. Deferral
Deferral SHALL identify:
- unresolved matter;
- required action;
- owner;
- deadline;
- whether the assessment remains valid;
- evidence freshness;
- provenance.
27.27.20. Rejection
Rejection SHALL identify:
- blocking requirement;
- Findings;
- evidence;
- scope;
- appeal;
- reapplication conditions;
- provenance.
27.27.21. Unable to Decide
Unable to Decide SHALL be used where authority, evidence, competence, conflict or procedure prevents a valid Decision.
It SHALL not be represented as rejection or certification.
27.27.22. Decision Rationale
Every Decision SHALL preserve:
- Scheme criteria;
- assessment basis;
- material Findings;
- exceptions;
- conditions;
- scope;
- reasoning;
- limitations;
- provenance.
27.27.23. Decision Signature
The signature SHALL bind:
- Decision Identifier;
- Scheme and version;
- Application;
- subject;
- Snapshot digest;
- Baseline;
- Assessment Package digest;
- scope;
- conditions;
- validity;
- decision maker;
- authority;
- time;
- key;
- provenance.
27.27.24. Multiple Signatures
A Scheme MAY require signatures from:
- Decision Maker;
- Certification Body;
- technical reviewer;
- independent reviewer;
- Scheme Authority;
- accreditation witness.
Each signature SHALL identify its scope.
27.27.25. Decision Notification
Notification SHALL identify:
- Decision;
- certified or rejected scope;
- conditions;
- validity;
- surveillance;
- claim rules;
- appeal;
- verification;
- provenance reference.
27.27.26. Decision Correction
An administrative error MAY be corrected where meaning is unchanged.
A material decision error SHALL require:
- renewed review;
- new Certification Decision;
- Certificate correction, suspension or withdrawal;
- public-status update;
- provenance.
27.27.27. Decision Supersession
A Decision MAY be superseded by:
- scope extension;
- scope reduction;
- recertification;
- transfer;
- suspension;
- withdrawal;
- reinstatement;
- corrected Decision.
The prior Decision SHALL remain historically preserved.
27.27.28. Certification Decision Registry
The Registry SHALL preserve:
- Decision Requests;
- reviews;
- recommendations;
- Decisions;
- authorities;
- signatures;
- conditions;
- corrections;
- supersession;
- provenance.
27.27.29. Decision Receipt
A receipt SHOULD contain:
- Application;
- Scheme;
- subject;
- Snapshot;
- Assessment Package digest;
- Review;
- recommendation;
- Decision;
- scope;
- conditions;
- validity;
- signatures;
- provenance.
27.27.30. Decision Validation
HECATE SHALL validate:
- Review Package;
- reviewer competence;
- reviewer independence;
- Decision Request;
- Decision Authority;
- preconditions;
- Decision;
- rationale;
- scope;
- conditions;
- signature;
- Registry state;
- provenance.
HECATE SHALL not convert a recommendation into certification without valid Decision Authority.
27.28. Certificate Issuance, Registry, Claims and Marks
A Certificate is the integrity-protected representation of a valid Certification Decision.
Certificate issuance SHALL reproduce the Decision exactly.
The Certificate SHALL not expand certified scope, duration, claim or authority.
27.28.1. Certificate Identity
Every Certificate SHALL possess:
- Certificate Identifier;
- Certification Scheme;
- Scheme version;
- Certification Decision;
- certified subject;
- Subject Snapshot or version;
- Constitutional Baseline;
- certified scope;
- certified characteristics;
- exclusions;
- conditions;
- status;
- issue time;
- effective time;
- expiration;
- Certification Body;
- signatures;
- verification reference;
- provenance.
27.28.2. Certificate Classes
Certificate Classes MAY include:
- Core Baseline Certificate;
- Runtime Bundle Certificate;
- Module Certificate;
- Component Certificate;
- Extension Certificate;
- Tenant Certificate;
- White-Label Certificate;
- Organisation Certificate;
- Publication-System Certificate;
- Security Certificate;
- Tenant-Isolation Certificate;
- Migration Certificate;
- Historical-Trust Certificate;
- Certification-Body Certificate.
27.28.3. Certificate Manifest
Every high-assurance Certificate SHOULD possess a Certificate Manifest containing:
- Certificate Identifier;
- Scheme;
- Decision digest;
- subject identity;
- Snapshot digest;
- Baseline;
- Scope Manifest digest;
- certified characteristics;
- conditions;
- exclusions;
- validity;
- surveillance plan;
- public claim;
- status endpoint;
- signatures;
- provenance.
27.28.4. Certificate Issuance Request
Every issuance request SHALL contain:
- Certification Decision;
- exact certified scope;
- exact claim;
- exact validity;
- conditions;
- Certificate template or schema;
- signature requirements;
- Publication Profile;
- issuer;
- provenance.
27.28.5. Issuance Authority
Certificate issuance authority MAY be assigned to:
- Certification Body;
- Scheme Authority;
- governed Certificate Issuance Component.
Issuance authority SHALL not grant Certification Decision Authority.
27.28.6. Certificate Issuance Gate
The Gate SHALL validate:
- valid Decision;
- Decision finality;
- Decision signature;
- exact subject;
- exact Snapshot;
- exact Baseline;
- exact scope;
- exact conditions;
- exact validity;
- issuer authority;
- Certificate schema;
- verification registration;
- provenance.
27.28.7. Certificate Content Fidelity
Certificate issuance SHALL NOT:
- broaden scope;
- remove exclusions;
- remove conditions;
- change validity;
- change subject identity;
- omit Baseline;
- imply accreditation not held;
- imply regulator approval not held;
- alter Scheme wording;
- hide restrictions.
27.28.8. Certificate Format
Certificate formats MAY include:
- signed structured data;
- signed PDF;
- verifiable credential;
- machine-readable Registry record;
- human-readable web record;
- printed Certificate with verification reference.
The authoritative Certificate representation SHALL be identified.
27.28.9. Machine-Readable Certificate
A machine-readable Certificate SHOULD support:
- subject resolution;
- Scheme resolution;
- status resolution;
- signature verification;
- validity evaluation;
- scope inspection;
- condition inspection;
- supersession;
- revocation;
- provenance.
27.28.10. Human-Readable Certificate
The human-readable representation SHALL state clearly:
- what is certified;
- under which Scheme;
- against which Baseline;
- for which scope;
- from which date;
- until which date;
- with which conditions;
- with which exclusions;
- how to verify status.
27.28.11. Certificate Signature
A Certificate Signature SHALL bind:
- Certificate Identifier;
- Certificate Manifest digest;
- Certification Decision digest;
- subject;
- scope;
- validity;
- signer;
- issuer authority;
- time;
- key;
- provenance.
27.28.12. Certificate Root of Trust
The Scheme SHALL define:
- trusted issuers;
- trusted keys;
- trust anchors;
- key rotation;
- revocation;
- timestamping;
- historical verification;
- compromise treatment.
27.28.13. Certificate Status
Certificate status MAY include:
- Pending Issuance;
- Active;
- Active with Conditions;
- Restricted;
- Surveillance Due;
- Under Review;
- Suspended;
- Scope Reduced;
- Expired;
- Withdrawn;
- Superseded;
- Invalid;
- Historical.
27.28.14. Immutable Certificate Principle
An issued Certificate SHALL remain immutable.
A status change SHALL create a status record linked to the Certificate.
27.28.15. Certificate Status Record
Every status record SHALL possess:
- Status Record Identifier;
- Certificate;
- prior status;
- new status;
- reason;
- authority;
- effective time;
- affected scope;
- public treatment;
- provenance.
27.28.16. Certificate Registry
The Certificate Registry SHALL preserve:
- Certificate identities;
- Scheme and version;
- subjects;
- Snapshot digests;
- Baselines;
- scopes;
- conditions;
- status;
- validity;
- Decision references;
- Certification Body;
- signatures;
- status history;
- provenance.
27.28.17. Public Certificate Registry
A public Registry MAY expose:
- Certificate Identifier;
- certified subject;
- Scheme;
- certified scope;
- status;
- issue time;
- expiration;
- conditions at permitted disclosure level;
- Certification Body;
- verification;
- provenance summary.
27.28.18. Restricted Registry Fields
Restricted fields MAY include:
- tenant-confidential scope;
- detailed Findings;
- security-sensitive conditions;
- commercial terms;
- privileged evidence;
- personal data.
Restrictions SHALL not make the public claim misleading.
27.28.19. Certification Claim Object
Every formal certification claim SHALL possess:
- Claim Identifier;
- Certificate;
- subject;
- claim text;
- scope;
- audience;
- channel;
- language;
- validity;
- verification reference;
- approval;
- lifecycle;
- provenance.
27.28.20. Claim Classes
Claim Classes MAY include:
- Certificate Statement;
- Product Claim;
- Service Claim;
- Module Claim;
- Component Claim;
- Extension Claim;
- Tenant Claim;
- White-Label Claim;
- Organisation Claim;
- Public Website Claim;
- Procurement Claim;
- Regulatory Submission Claim;
- Publication Claim.
27.28.21. Claim Fidelity
A claim SHALL NOT exceed:
- certified subject;
- certified scope;
- certified characteristics;
- active validity;
- permitted Scheme wording;
- current Certificate status.
27.28.22. Prohibited Claim Implications
Claims SHALL not imply:
- universal legal compliance;
- universal ESG excellence;
- environmental superiority;
- future performance;
- absence of incidents;
- certification of the applicant's entire organisation where only a Component is certified;
- certification of every tenant where only one tenant is certified;
- accreditation where only certification exists;
- regulator endorsement where none exists.
27.28.23. Conditional Claim
A claim based on conditional certification SHALL disclose material conditions according to the Scheme and CPF.
27.28.24. Restricted-Scope Claim
A Restricted-Scope Certificate SHALL not be presented as whole-system certification.
27.28.25. Certification Mark
Every certification mark SHALL possess:
- Mark Identifier;
- Scheme;
- permitted Certificate classes;
- visual or machine form;
- usage rules;
- minimum verification reference;
- status dependency;
- language rules;
- modification rules;
- withdrawal rules;
- provenance.
27.28.26. Mark Licence
A mark licence SHALL identify:
- licensee;
- Certificate;
- permitted uses;
- territories;
- channels;
- start and end;
- monitoring;
- suspension;
- termination;
- provenance.
Mark licensing SHALL not alter certification scope.
27.28.27. Dynamic Mark
A dynamic mark SHOULD resolve current status from the Certificate Registry.
It MAY display:
- active;
- conditional;
- suspended;
- expired;
- withdrawn;
- verification unavailable.
27.28.28. Static Mark
A static mark SHALL include a durable verification reference.
It SHALL be removed or corrected where status changes according to Scheme rules.
27.28.29. Badge Misuse
Misuse MAY include:
- mark used without Certificate;
- mark used after expiration;
- mark used during suspension;
- mark used for unscoped products;
- mark altered misleadingly;
- verification link removed;
- mark associated with a different legal entity;
- mark implying accreditation.
27.28.30. Claim Approval
High-impact claims SHOULD require approval by:
- certified-subject owner;
- Certification Body or Scheme Authority where required;
- Publication Authority;
- legal or regulatory reviewer where required.
27.28.31. Claim Monitoring
Claim monitoring MAY include:
- website scanning;
- document review;
- procurement-material review;
- Publication review;
- API review;
- marketplace review;
- tenant portal review;
- white-label review;
- public complaint intake.
27.28.32. Claim Correction
An inaccurate claim SHALL be:
- corrected;
- restricted;
- withdrawn;
- publicly clarified;
- escalated
according to severity and Scheme rules.
27.28.33. Certificate Correction
An administrative Certificate error MAY be corrected through a governed correction record and reissued representation.
A material scope, subject, validity or Decision error SHALL require a new Certification Decision.
27.28.34. Certificate Supersession
A Certificate MAY be superseded due to:
- recertification;
- scope extension;
- scope reduction;
- Scheme transition;
- subject-version change;
- ownership transfer;
- corrected Decision.
27.28.35. Certificate Verification Receipt
A verification receipt SHOULD contain:
- Certificate Identifier;
- Registry status;
- subject;
- Scheme;
- scope;
- validity;
- signature state;
- verification time;
- supersession or withdrawal state;
- provenance.
27.28.36. Certificate and Claim Validation
HECATE SHALL validate:
- issuance request;
- Decision binding;
- Certificate Manifest;
- content fidelity;
- signature;
- Registry record;
- status;
- claim scope;
- mark eligibility;
- verification reference;
- correction;
- supersession;
- provenance.
27.29. Surveillance and Continued Certification
Certification SHALL remain valid only while the certified subject continues to satisfy the Scheme within the certified scope.
Surveillance SHALL provide proportionate evidence of continued conformance.
27.29.1. Surveillance Plan
Every Certificate requiring surveillance SHALL possess a Surveillance Plan containing:
- Surveillance Plan Identifier;
- Certificate;
- Scheme;
- certified subject;
- certified scope;
- Baseline;
- Profile;
- surveillance period;
- surveillance methods;
- evidence requirements;
- sampling;
- change-notification triggers;
- incident-notification triggers;
- assessor;
- reviewer;
- decision rules;
- provenance.
27.29.2. Surveillance Types
Surveillance Types MAY include:
- Continuous Surveillance;
- Periodic Surveillance;
- Annual Surveillance;
- Risk-Based Surveillance;
- Change-Triggered Surveillance;
- Incident-Triggered Surveillance;
- Complaint-Triggered Surveillance;
- Unannounced Surveillance;
- Remote Surveillance;
- On-Site Surveillance;
- Document-Only Surveillance;
- Technical Continuous-Control Surveillance.
27.29.3. Surveillance Scope
Surveillance SHALL identify:
- requirements monitored;
- Controls monitored;
- evidence refreshed;
- subject versions;
- environments;
- tenants;
- white-label deployments;
- Modules;
- Components;
- Extensions;
- Runtime state;
- Publications;
- certification claims.
27.29.4. Continued-Conformance Baseline
Surveillance SHALL determine whether the original Baseline and Profile remain applicable.
Where the Scheme transitions, the Surveillance Plan SHALL identify the target basis.
27.29.5. Change Notification Obligation
The certified party SHALL notify material change including:
- legal identity;
- ownership;
- certified subject;
- subject version;
- Constitutional Baseline;
- Runtime Bundle;
- Runtime Manifest;
- Module ownership;
- Component version;
- Extension Set;
- tenant population;
- white-label operator;
- jurisdiction;
- policy;
- methodology;
- model;
- Agent Profile;
- tool permission;
- security architecture;
- Publication process;
- significant supplier.
27.29.6. Material Change Object
Every material change SHALL possess:
- Change Notification Identifier;
- Certificate;
- changed subject;
- prior state;
- new state;
- reason;
- effective time;
- affected scope;
- self-assessed impact;
- evidence;
- submitter;
- provenance.
27.29.7. Change Triage
Change triage SHALL classify:
- no certification impact;
- administrative update;
- surveillance update;
- partial reassessment;
- full reassessment;
- scope extension;
- scope reduction;
- suspension review;
- recertification required;
- Scheme transition required;
- Indeterminate.
27.29.8. Incident Notification Obligation
The certified party SHALL notify material incidents affecting:
- evidence integrity;
- tenant isolation;
- security;
- certified capability;
- certification claim;
- Runtime Admission;
- Publication;
- key material;
- regulatory status;
- subject availability;
- historical trust.
27.29.9. Incident Triage
Incident triage SHALL identify:
- Certificate;
- subject;
- affected scope;
- severity;
- containment;
- continued-certification impact;
- reassessment;
- public-status impact;
- provenance.