ANAB Complaint Center Help

How to Get Your Complaint Resolved
Complaints can be submitted for resolution at multiple levels in the-third party conformity assessment system for registration to various standards. The standards and related guidance documents include specific requirements to which certified organizations, certification bodies, and accreditation bodies are held accountable.

First Level - Certified Organization
A certified organization that claims conformance to ISO 9001 or ISO 14001 must effectively handle complaints. ISO 9001 requires an organization to have a "documented procedure...for reviewing nonconformities (including customer complaints)" (clause 8.5.2a). ISO 14001 focuses on the organization's management of environmental aspects, so it doesn't address complaints about products or services. However, it does require an organization to "establish and maintain procedures for receiving, documenting, and responding to relevant communication from external interested parties" (clause 4.4.3b).

Second Level - Certification Body
A certification body (CB) is a third-party (independent of suppliers and customers) that assesses an organization. If the CB determines the organization has effectively implemented a management system conforming to a standard, it issues the organization a registration certificate. The CB is required to ensure that the organizations it has certified effectively handle complaints, and the CB itself must effectively handle complaints.

Internationally accepted documents require that the CB conform to ISO/IEC Guide 62:1996: The CB must "require each supplier whose...system is certified to make available records of all complaints and corrective action taken" to the CB (clause 3.8). This requirement provides the CB the authority to monitor and confirm that a certified organization is effectively handling complaints.

The CB is also required to have a process for handling complaints against itself. Guide 62 requires the CB to "keep a record of all...complaints...[and] take appropriate corrective and preventive action; document the actions taken and assess their effectiveness" (clause 2.4.2).

CBs that certify to ISO 14001 are to conform to ISO/IEC Guide 66:1999: The CB must "require each organization whose EMS is...certified to make available records of all communications and action taken in relation to the requirements of the EMS standards" (clause 5.8). This requirement provides the CB the authority to monitor and confirm that a certified organization is effectively handling communication about its EMS.

The CB is also required to have a process for handling complaints against itself. Guide 66 requires the CB to "have policies and procedures for the resolution of complaints" (clause 4.1.2p), have this documented in its quality manual (clause 4.1.4.3m), and make available upon request "information on procedures for handling complaints" (clause 4.1.7.1f), and "keep a record of all...complaints...[and] take appropriate corrective and preventive action; document the actions taken and assess their effectiveness (clause 4.4.2).

Effective no later than 15 September 2008, CBs shall conform with ISO/IEC 17021:2006. This standard will replace ISO/IEC Guides 62 and 66, and applies to CBs for all management systems standards (not just QMS and EMS). This standard requires CBs to have a complaint-handling process for complaints about a certified client or about the CB (section 9.8).

Third Level - Accreditation Body
An accreditation body such as ANAB makes sure the CBs it has accredited conform to ISO/IEC 17021 or Guides 62 and 66. The accreditation body ensures that the CBs are doing their job in making sure the organizations to which they have issued accredited registration certificates effectively handle complaints.

An accreditation body is required to conform with ISO/IEC Guide 17011:2004, and must "require the CAB [that is, each accredited CB] provide access to…records as necessary for…accreditation…(clause 8.1.1.c). This requirement gives the accreditation body the authority to confirm (through the accredited CB) that an organization with an accredited certification is effectively handling complaints.

The accreditation body is also required to appropriately handle complaints concerning an accredited [CB] or against itself. ISO/IEC 17011 requires the accreditation body to have "procedures for dealing with complaints" (clause 5.9).

The benefits of three levels for resolution of complaints apply only when an organization has earned an accredited certification.

While ISO management systems standards require any organization that claims to conform to the standards to be responsive and effectively handle complaints, only when that organization is certified can you take a complaint about the organization to a second level - the CB. Likewise, only when the CB is accredited and has issued an accredited certificate to an organization, can you submit a third-level complaint to an accreditation body such as ANAB.

If you have a complaint about a certified organization:
If you have a complaint about a product, service, or marketing provided by an organization with an accredited certification, first submit your complaint directly to the certified company, which is required to investigate your complaint. If you don't receive a reasonable response, then take your complaint to the company's CB. If the company and its CB fail to provide a reasonable response, take your complaint to the accreditation body whose mark appears on the certificate issued by the CB.

It is strongly recommended that complaints be made in writing and that you keep copies of your correspondence. If you need to escalate the complaint to a higher level, provide a copy of any written records about your complaint that you sent to the certified company and/or its CB.

Any individual, registered company, or CB should follow this process to file a complaint or allege any nonconformance with the requirements of the appropriate standard.

If you have a complaint about a CB:
If you represent a certified company with a complaint about your CB, make your complaint in writing directly to the CB. If you don't receive a reasonable response, complain in writing to the accreditation body whose mark appears on the certificate issued by the CB and include a copy of any correspondence with your CB about your complaint. The same process applies for anyone - including a competing CB - with a complaint about a CB.

If you represent a CB and have a complaint about your accreditation body:
Make your complaint in writing directly to your accreditation body. If ANAB is your accreditation body and you don't receive a reasonable response, you can file a complaint with or appeal to ANAB's Accreditation Council. If you don't receive a reasonable response from the Council, you can make a final appeal to the ANSI Appeals Board.