Submitting a formal complaint to ASI
If you have been involved in a formal dispute resolution process with a Conformity Assessment Body (CAB) and/or certificate holder and are not satisfied with the outcome, you can submit a formal complaint to ASI. If you have a concern with the conduct of ASI, you can also submit a formal complaint. CABs wishing to dispute ASI assessment decisions should file an appeal.
With complaints against ASI, the scope will depend on who within ASI is the focus of the complaint. A complaint will be appraised and investigated and appropriate action determined to resolve the issue. If the complaint is in relation to the ASI Managing Director, this will be conducted by the ASI Board of Directors. If the complaint is against an ASI staff or contractor, the complaint will be addressed by the ASI Managing Director.
With complaints against CABs and/or certificate holders, the scope of an ASI complaint investigation is first and foremost the performance and decision-making of the CAB. The investigation is done in relation to the accreditation and certification standards applicable to the situation and the outcomes of the CAB’s dispute resolution process (note: ASI requires that CABs have addressed the complaint prior to ASI formally accepting it for investigation. Exceptions to this rule can be made). We also investigate the compliance of the certificate holder with the applicable certification standard, but always in relation to the focus on CAB performance. For more information, see the description of our scope and remit here.
It is important to note that ASI does not make certification decisions. Only accredited CABs can issue non-conformances to certificate holders or suspend or terminate certificates. We have the authority to issue non-conformances to CABs or suspend or terminate a CAB’s accreditation. See FAQs for more details.
Please find the ASI Complaints Procedure (ASI-PRO-20-104) for download here.
How to submit a complaint
ASI provides a template for complaints submissions that we strongly encourage you to use. You can download the template here
Some basics for complaint submissions
- ASI does not accept anonymous complaints.
- Evidence must be provided for all of the allegations made in the complaint submission. ASI may reject the complaint submission based on lack of evidence.
- Confidentiality is important. All complainants will be asked to sign a confidentiality and non-disclosure agreement before a complaint investigation can begin. Please see our page on confidentiality for more information (link to confidentiality page)
- In fairness to all parties involved in the complaint, ASI strives for transparency and will share the complaint submission with the complaint parties involved.
- Unless otherwise stated, the complaint parties for a complaint against a CAB and/or certificate holder will include the complainant, the CAB implicated in the complaint, and the certificate holder(s), if any. For a complaint against ASI, the parties are the complainant and ASI.
Resolution of an ASI complaint investigation against a CAB and/or certificate holder
Resolution can take many forms. Non-conformances to CABs, recommendations for changes to practices, and recommendations to scheme owners on issues with the implementation of standards are some of the ways that ASI strives to resolve complaints. Resolutions are recommended in the complaint investigation report and those which are CAB non-conformances are issued through ASI’s assessment procedures. Other resolutions are implemented in a manner deemed appropriate by ASI.
Public Summary Reports
The final complaint investigation report, as well as any drafts thereof, is a confidential document. The only public version of an ASI complaint investigation report is the Public Summary officially posted to the ASI website.
Public summary reports for appeals and complaints can be found here.
Beyond the ASI complaint process
If complainants still have concerns, they may be encouraged to contact the appropriate scheme owner to pursue further dispute resolution. Please see the links below:
If the complaint is about ASI, the complainant may choose to escalate their concern to the ASI Board of Directors.
If CABs are not satisfied with an ASI complaint process, they may file an appeal.
Questions? Visit our FAQ page
Would you like to submit a complaint? Please use this form.
Are you a CAB who would like to make an appeal?
Want an update on a complaint you have already submitted? Contact ASI at email@example.com.
Lists of members and certificate holders for schemes who use ASI accreditation services: