1. Purpose

The purpose of this procedure is to define the method by which Standcert Global Ltd receives, evaluates, investigates, resolves, and records complaints relating to its certification activities in a fair, transparent, timely, and impartial manner.

This procedure is established to meet the requirements of ISO/IEC 17021-1:2015, applicable accreditation requirements, and good certification body practice.

2. Scope

This procedure applies to complaints received from any interested party relating to:

• Certification decisions

• Conduct or competence of auditors, technical experts, or personnel

• Audit delivery or certification processes

• Delay in service or communication failures

• Misuse of certification marks by certified clients

• Activities of certified organisations

• Breach of confidentiality

• Impartiality concerns or conflicts of interest

• Behaviour of Standcert Global Ltd personnel

• Failure to meet contractual or scheme requirements

This procedure does not apply to appeals against certification decisions, which are managed under the separate Appeals Procedure.

3. References

• ISO/IEC 17021-1:2015 – Clause 9.8 Complaints

• ISO/IEC 17021-1:2015 – Clause 5 Impartiality

• ISO 9001:2015 – Clause 10.2 Nonconformity and Corrective Action

• ASCB Accreditation Requirements

• Standcert Global Ltd Impartiality Policy

• Standcert Global Ltd Appeals Procedure

4. Definitions

Complaint

Expression of dissatisfaction, other than appeal, by any person or organisation relating to the activities of Standcert Global Ltd or a certified client, where a response is expected.

Complainant

Person or organisation submitting the complaint.

Subject of Complaint

The activity, process, person, or certified client against whom the complaint is made.

5. Principles

Standcert Global Ltd shall ensure that complaint handling is:

• Independent and impartial

• Accessible to all interested parties

• Non-discriminatory

• Confidential where appropriate

• Evidence-based

• Free from retaliation

• Completed within reasonable timescales

• Subject to management oversight and continual improvement

Persons involved in investigating complaints shall not have been directly involved in the matter complained of wherever possible.

6. Responsibilities

Managing Director / Compliance Manager

Responsible for:

• Overall implementation of this procedure

• Ensuring impartial handling of complaints

• Appointment of competent investigators

• Approval of outcomes

• Reporting trends to management review and impartiality committee

Complaint Coordinator

Responsible for:

• Logging complaints

• Acknowledging receipt

• Monitoring timescales

• Maintaining records

• Communication with complainants

Investigating Officer

Responsible for:

• Conducting objective investigations

• Gathering evidence

• Recommending actions

• Submitting investigation reports

Impartiality Committee

Responsible for:

• Oversight of complaints affecting impartiality, ethics, or integrity

• Reviewing systemic concerns where required

7. How Complaints May Be Submitted

Complaints may be submitted by:

• Email: Standcert Global Ltd admin@standcertglobal.com

• Website contact form

• Letter

• Telephone (to be formally recorded)

• In person during audits or meetings

Complaints should include where possible:

• Name and contact details

• Organisation (if applicable)

• Description of complaint

• Relevant dates

• Persons involved

• Supporting evidence

Anonymous complaints may be considered where sufficient evidence exists.

8. Complaint Handling Process

8.1 Receipt and Registration

Upon receipt, the complaint shall be entered into the Complaints Register and assigned a unique reference number.

8.2 Acknowledgement

The complainant shall receive acknowledgement within 5 working days, including:

• Reference number

• Summary of complaint

• Expected process and indicative timeline

8.3 Initial Review

Standcert Global Ltd shall determine:

• Whether the complaint relates to certification activities

• Whether sufficient information has been provided

• Whether immediate risks exist

• Whether escalation is required

Where the complaint relates to a certified client, Standcert may request information from that client.

8.4 Investigation

A competent and impartial person shall investigate by:

• Reviewing records, reports, correspondence, contracts

• Interviewing relevant personnel

• Reviewing certification files

• Assessing whether requirements were met

• Identifying root cause where applicable

8.5 Decision and Actions

Based on evidence, Standcert shall determine:

• Complaint upheld

• Complaint partially upheld

• Complaint not upheld

• Insufficient evidence

Actions may include:

• Corrective action

• Staff retraining

• Re-audit or file review

• Process improvement

• Disciplinary action

• Certification review (if complaint concerns certified client)

8.6 Response to Complainant

A formal written response shall normally be issued within 20 working days of receipt. Where more time is needed, interim updates shall be provided.

The response shall include:

• Whether the complaint was upheld

• Summary of findings

• Actions taken or planned (where appropriate)

• Right to escalate if dissatisfied

9. Complaints Relating to Certified Clients

Where the complaint concerns a certified client of Standcert Global Ltd:

• The complaint shall be reviewed for relevance to certification scope

• The certified client may be required to investigate and respond

• Evidence may be reviewed during surveillance or special audit

• Certification status may be reviewed where serious concerns are substantiated

Standcert shall maintain confidentiality while ensuring effective oversight.

10. Impartiality Safeguards

Any complaint involving:

• Auditor conflict of interest

• Bias

• Consultancy/certification crossover

• Unethical conduct

• Undue influence

shall be escalated to senior management and, where appropriate, the Impartiality Committee.

11. Escalation Where Complainant Is Dissatisfied

If the complainant remains dissatisfied, they may request an internal review by a person not previously involved.

If still unresolved, they may be informed of further routes available through accreditation or legal channels, where applicable.

12. Confidentiality

All complaint information shall be treated confidentially and disclosed only to persons necessary for investigation or where legally required.

The identity of complainants may be protected where justified.

13. Records Retention

The following records shall be retained for a minimum of 6 years or longer where scheme rules require:

• Complaint submission

• Correspondence

• Investigation notes

• Findings

• Actions taken

• Closure evidence

14. Monitoring and Improvement

Complaint data shall be analysed periodically for:

• Trends

• Repeat issues

• Personnel concerns

• Process weaknesses

• Risks to impartiality

Results shall be reviewed during:

• Management Review

• Internal Audit

• Impartiality Committee meetings

15. Performance Targets

Standcert Global Ltd aims to:

• Acknowledge complaints within 5 working days

• Close routine complaints within 20 working days

• Keep complainants informed where delays occur

• Implement corrective actions promptly

16. Related Forms

• SGL-FRM-08 Complaints Form

• SGL-REG-08 Complaints Register

• SGL-PRO-09 Appeals Procedure

• SGL-PRO-05 Corrective Action Procedure

17. Flow Summary

Complaint Received → Logged → Acknowledged → Reviewed → Investigated → Decision Made → Response Issued → Actions Closed → Trend Analysis