Complaints ProcedureASI-PRO-20-104-Complaints-V4.0Approved by:ASI Managing DirectorDate of approval:1 August 20131 PURPOSE AND SCOPE1.1 This procedure outlines the processes to be followed when any person ororganization expresses dissatisfaction to ASI relating to its activities, the activities ofan accredited Conformity Assessment Body (CAB) or a certificate holder.1.2 Complaints relating to the activities of an accredited CAB or a certificate holder shallfirst be directed to the relevant CAB and dealt with under the CAB’s own complaintprocedure.2 CHANGE HISTORYVersion Date of approval Description of changesnumber (Effective date)1 19/01/2009 First publication2 26/02/2009 Minor corrections3 11/08/2010 Minor corrections to reflect changes in organizationalstructure4 01/08/2013 Major review: Harmonization with ISO language,ownership of complaints now lies with the ASICompliance Manager, summary of complaint may bepublished on ASI webpage, ASI reserves the right toinvoice for complaint investigation.3 TERMS AND DEFINITIONS3.1 All terms and definitions are provided in the ASI Glossary.4 ASSOCIATED DOCUMENTATION4.1 Standards and Policies ISO/IEC 17011:20044.2 Procedures, Guidelines ASI-POL-20-100-Quality ManualASI-PRO-20-101-AccreditationASI-PRO-20-103-AppealsASI-INF-20-100-ASI GlossaryASI-PRO-20-106-Assessment Findings4.3 Checklists, Templates, etc. Complaints File – Accreditation ManagementSystem (AMS)ASI-TPL-20-114-Complaints Submission FormASI-PRO-20-104-Complaints-V4.0 1 August 2013 Page 1 of 4The version of this document on the ASI server is the latest version. All printed material is uncontrolled. It is the reader’sresponsibility to check that printed copies are the current version.
5 GENERAL5.1 To be accepted and classified as a complaint, it shall:5.1.1 Be in writing (email@example.com/letter/fax). Thecomplainant may use the ASI Complaints Submission Form (ASI-TPL-20-114-Complaints Submission Form) which can be downloaded from the ASIwebsite;5.1.2 Be submitted in English. Other languages may be accepted by ASI on a caseby case basis;5.1.3 Include a detailed description of the complaint;5.1.4 Include evidence to substantiate any complaint.5.2 Complaints based upon hearsay or anonymous submissions shall not be accepted.5.3 ASI will consider complaints from:5.3.1 Any person or organization expressing dissatisfaction regarding ASI’saccreditation function or other activities of ASI, or;5.3.2 Any person or organization expressing dissatisfaction regarding the activitiesof an ASI accredited CAB or certificate holder, where the complaint has notbeen satisfactorily addressed by the CAB.5.4 If certification scheme owners operate independent objection, complaint or appealsystems, ASI should take the results of these systems into account but shall not bebound by them.5.4.1 ASI reserves the right to pause its complaints investigation pending theconclusion of any concurrent investigation by the scheme owner’sindependent system.5.5 The Compliance Manager shall within 10 calendar days provide an initial responseinforming the complainant that the complaint submission according to section 5.1 iseither:5.5.1 complete and provide an outline of ASI’s proposed course of action to followup on the complaint, or5.5.2 incomplete and provide an overview of missing information.5.6 The Compliance Manager shall keep the complainant informed of the progress inevaluating the complaint and shall have investigated the complaint according to thisprocedure and inform about outcome of the complaint within three months ofreceiving the complaint. In the event where a complaint cannot be closed within aperiod of three months, the complainant shall be informed about the delay and itscorresponding reasons.5.7 All complaints and resulting actions shall be recorded in the electronic ASIAccreditation Management System.5.8 If a person or organization expresses dissatisfaction to ASI staff or a contractor(hereafter referred to as ASI personnel), ASI personnel shall first attempt to resolveASI-PRO-20-104-Complaints-V4.0 1 August 2013 Page 2 of 4The version of this document on the ASI server is the latest version. All printed material is uncontrolled. It is the reader’sresponsibility to check that printed copies are the current version.
diverging viewpoints. If this is not possible, the dissatisfied party shall be informed ofASI’s complaints procedure and invited to lodge a complaint following instructionslaid down in this procedure.6 COMPLAINTS ABOUT ASI6.1 A complaint about the ASI Managing Director (MD) shall be forwarded to the Chairof the ASI Board of Directors for review and allocation of action.6.1.1 The Chair of the ASI Board of Directors shall ensure that appropriatemeasures to address the complaint are implemented.6.2 A complaint about ASI personnel shall be forwarded to the MD for review andallocation of action. The complaint about ASI personnel shall be investigated andaddressed according to the instructions laid down in this procedure and any relevantlegal requirement in order to protect the rights of ASI personnel.6.2.2 The MD shall allocate each complaint either to the Compliance Manager orappoint an ‘investigator’, who shall either be from amongst ASI personnel ormay be independent of ASI.184.108.40.206 The investigator can be a team of individuals;220.127.116.11 If the investigator is independent of ASI he/she shall be provided witha copy of the complaint file, including all relevant documentation andcorrespondence;18.104.22.168 The investigator shall be independent of the complaint.6.2.3 The investigator or the Compliance Manager may contact the complainant orany other party related to complaint to obtain additional information asnecessary.6.2.4 The investigator or the Compliance Manager, having reviewed all availableinformation, shall make a decision on whether the complaint is justified, andshall report back to the MD.6.2.5 The MD shall ensure that ASI implements appropriate measures to addressthe complaint.6.2.6 The Compliance Manager shall inform the complainant on actions taken byASI to address and resolve the complaint, providing that confidentiality is notbreached.6.2.7 Complaints about ASI personnel, including relevant correspondence andmeasures taken, shall be retained.6.2.8 If the complainant is not satisfied with the outcome of the complaintinvestigation, the complainant, after discussing the outcome with the MD,may elevate the complaint to the Chair of the ASI Board of Directors forreview and allocation of action. In such instances, the communicationbetween the complainant and the Chair of the ASI Board of Directors isfacilitated by the MD.ASI-PRO-20-104-Complaints-V4.0 1 August 2013 Page 3 of 4The version of this document on the ASI server is the latest version. All printed material is uncontrolled. It is the reader’sresponsibility to check that printed copies are the current version.
7 COMPLAINTS ABOUT ASI ACCREDITED CABS AND/OR CERTIFICATEHOLDERS7.1 For a complaint about the activities of a CAB and/or a certificate holder to beconsidered by the Compliance Manager, they must:7.1.1 First have been directed to the CAB for action and, in the view of thecomplainant, the complaint has not been satisfactorily addressed andresolved by the CAB after the implementation of the CAB’s complaintsprocess;7.1.2 Be related to activities under the authority of ASI, which are covered by theassessment criteria against which the CAB has been accredited.7.2 Complaints against an ASI accredited CAB or a certificate holder shall be reviewedby the Compliance Manager or investigator as appointed by the ComplianceManager or MD.7.3 The Compliance Manager or appointed investigator shall conduct an appraisal todetermine the appropriate assessment type of the complaint investigation, whichmay be a desk-review, on-site assessment, or compliance assessment, or any othertype of assessment deemed appropriate to investigate the complaint received.7.4 The subject of the complaint and other parties may be approached to determine thecomplaint’s validity.7.5 If a complaint investigation confirms nonconformity with relevant certification and/oraccreditation requirements, one or more findings shall be raised against the CAB,following the ASI Assessment Findings Procedure (ASI-PRO-20-106).7.6 The Compliance Manager or appointed investigator shall inform the complainant andthe relevant CAB about the progress and outcome of a complaints investigation.This may include a summary of the ASI complaint investigation report.7.7 If all parties affected by the complaint agree in writing, a summary of the ASIcomplaint investigation may be published on the ASI webpage.7.8 ASI reserves the right to invoice the full person time and expenses needed forcomplaints investigations resulting in CAB or certificate holder nonconformity, to therespective CAB at the ASI full daily rate.------------------------------ End of Document ------------------------------------© 2013 Accreditation Services International GmbHThis work is copyright to ASI. It may be reproduced or copied for fair use by those seeking accreditation, or those wishing tolearn more about accreditation, but may not be used by others without the written permission of ASI.ASI-PRO-20-104-Complaints-V4.0 1 August 2013 Page 4 of 4The version of this document on the ASI server is the latest version. All printed material is uncontrolled. It is the reader’sresponsibility to check that printed copies are the current version.