Legal Notices
Appeals and Complaints Procedure
Definitions:
An appeal is a request made by the client or responsible party for Ascent Certification & Compliance Services Pty Ltd (ACCS) to reconsider its decision regarding certification, inspection, or verification audits.
A complaint is the expression of dissatisfaction, other than an appeal, made by any person or organization to ACCS regarding its activities, where a response is expected.
1.1 General Procedure for Appeals and Complaints
This process applies to all appeals and complaints addressed to ACCS, whether arising from certification, verification audits, or identified at any other time during the certification or verification activities. ACCS is responsible for all decisions at every level of the appeals and complaints handling process, unless and until the issue is escalated to the relevant accreditation body, regulator, scheme administrator, or the firm’s legal counsel. ACCS will fulfill its duty of reasonable cooperation with all accreditation bodies, regulators, and scheme administrators.
Channels for receiving appeals, complaints, and general inquiries include the ACCS Contact Form (under the"Contact" section of the ACCS website) or a request directed to the Certification Manager or emailing support@ascentcertification.com.
The complainant or appellant must provide a clear description of the complaint or appeal, objective evidence supporting each element or aspect of the complaint or appeal, and the name and contact information of the submitter. The individuals leading the appeals and complaints handling process will be different from those who carried out the certification, inspection, or verification.
1.2 Identification of Appeals and Complaints
Appeals and complaints must be formally addressed in writing to the relevant Certification Manager and will be handled in accordance with all ACCS confidentiality policies. Complaints may also be received through the ACCS website's Contact page, in which case the procedures for that system will be followed, in addition to the procedures outlined below.
The Certification Manager will acknowledge all appeals and complaints in writing within 14 business days of receipt.
To ensure independence, the Certification Manager will consult with the Lead Auditor or relevant staff to determine whether any existing relationship might compromise their impartiality in overseeing the resolution of the appeal or complaint. If such a relationship exists, the Certification Manager will appoint an alternate responsible staff member or Manager to assist with the investigation and assume the responsibilities of the Certification Manager in resolving the appeal or complaint. Any ACCS manager or staff who have consulted for or been employed by the client within the last two years shall not be involved in the appeal/complaint process.
The appeal and complaint handling process will include tracking and recording appeals and complaints, as well as documenting the actions taken to resolve them.
The Certification Manager or their delegate will ensure that all necessary information is gathered to validate an appeal or complaint. Any complaint received from a client or stakeholder that is not related to the ACCS scope will be redirected to the client for resolution. The Certification Manager and the investigator, in consultation with the client, will determine whether to disclose information about the appeal or complaint to the public and, if so, to what extent.
ACCS shall ensure that the submission, investigation, and decisions regarding appeals or complaints do not result in any discriminatory actions against the appellant or complainant.
1.3 Investigation Process for Appeals and Complaints
Upon receipt of an appeal or complaint, the Certification Manager will appoint an independent senior ACCS staff member (manager or above) to investigate. This person will be referred to herein as "the investigator."
The investigator, in consultation with the client or third party, will determine if the parties can find a mutually agreed-upon solution for the appeal or complaint.
The investigator will consider the results of previous appeals or complaints involving the client or a third party.
The investigator will review records and documentation of appeals and complaints brought before ACCS and will ensure that, if any non-conformity or failure to meet the requirements of ACCS or any other product certification or verification programs is revealed, the provider of the object of the conformity audit has investigated its management systems and procedures and taken appropriate corrective action.
The investigator will document the actions taken by the organization and communicate them to the Certification Manager (or their delegate) or the Key Account Manager who has primary responsibility for the relevant contract. The responsible Lead Auditor or delegate will assess the actions for effectiveness at the next audit. The report(s) documenting the outcome of the actions taken and the results of the audit will be reviewed and approved by the Certification Manager.
The investigator will prepare a written statement outlining the actions taken, the resolution of the appeal orcomplaint, and the reasons for the decision reached. The resolution must be approved before being provided to the client or third party.
The Certification Manager or delegate will inform the appellant or complainant of the termination of the ACCS appeal orcomplaint process, as appropriate under the circumstances.
ACCS shall keep the complainant informed of the progress in evaluating the appeal or complaint. ACCS shall have investigated the allegations and specified all proposed actions within six months of receiving the appeal or complaint, or within the time frame required by the relevant standard if it differs.
The investigator will document the decision statement in the client's certification, inspection, or verification file.
The investigator will record corrections or corrective actions taken in the client's file and address them in the ACCS Management System Manual, as appropriate.
1.4 Review by ACCS External Advisory Committee
If the appeal or complaint cannot be resolved by the process as described above, the investigator or the Certification Manager will escalate it to the ACCS External Advisory Committee (or delegate), who is independent of the certification, inspection, and verification activities. The ACCS External Advisory Committee will review the appeal or complaint and discuss the issues surrounding the problem(s) with the investigator, the Certification Manager, and the client/third party as appropriate, with the goal of reaching a mutually-agreeable solution within two months of receipt by the ACCS External Advisory Committee.
The ACCS External Advisory Committee will document, in a written statement to the client or third party, the actions taken, the resolution of the appeal or complaint, including the reasons for the decision, and indicate the termination of the ACCS appeal or complaint handling process, as appropriate. Upon request, regular progress reports will be issued to the client/third party. The ACCS External Advisory Committee will document the decision statement in the client's certification, inspection, or verification file.
The ACCS External Advisory Committee will record any corrections or corrective actions taken in the client's file and address in the ACCS Management System Manual, as appropriate.
1.5 Creation of a Claim Against ACCS
In the event that a mutually agreeable solution to an appeal or complaint against ACCS cannot be reached, ACCS will advise the client/third party that it can appeal the decision to the appropriate accreditation body.
1.6 Appeals or Complaints Raised to Accreditation Bodies from ACCS
In the event of an unsuccessful appeal or complaint, the Certification Manager will inform the client or third party that they may appeal the internal ACCS decision to the appropriate accreditation body. The appeal or complaint findings will be made available by ACCS to the accreditation body for resolution.
The Certification Manager will ensure that the client or third party is informed that the accreditation body’s review will involve determining whether ACCS has operated in conformity with all accreditation body requirements, the standards for which ACCS has been accredited, the accreditation agreement (between ACCS and the accreditation body), and ACCS’s internal certification, inspection, and verification procedures in processing the appeal or complaint. The accreditation body’s decision will be considered the final level of appeal or complaint resolution.
1.7 Timing of Appeals or Complaints Arising from Provision of Certification Services
Clients will have 30 days following the release of the ACCS management system audit report to submit an appeal or complaint against the results of the audit. Appeals or complaints must be made in writing and will be acknowledged in writing. Verbal appeals or complaints will not be accepted. Any appeals or complaints submitted more than 30 days after the release of the ACCS audit results (i.e., the date of the Continual Improvement Report, Certification Report, or Verification Statement) will not be accepted, unless required by the terms of ACCS’s accreditation agreement.
1.8 Civic Accessibility
A summary of the appeals and complaints process will be made accessible to clients, applicants, or other interested parties, upon request, and on the ACCS website. This information shall be publicly available in the same languages as the public certification summaries published by the certification body. Information about specific clients will remain confidential unless the Certification Manager approves the sharing of information.
1.9 Effectiveness Evaluation of Action Takenin Response to Appeals, Complaints, and Disputes
ACCS will review the actions taken in response to an appeal, complaint, or dispute with stakeholders (e.g., the complainant, an external advisory committee, a standards body) to assess the effectiveness of the process. The results of this review will be documented and maintained in the ACCS Shared Drive.
Privacy Policy
At Ascent Certification & Compliance Services Pty Ltd (ACCS), we are committed to protecting the personal information of individuals who interact with our business. This Privacy Policy outlines how we collect, use, store, and protect personal information in accordance with the Privacy Amendment (Private Sector) Act 2000.
1.0 Definitions
Personal Information: Information or opinions (whether true or not and whether recorded in a material form or not) about an individual whose identity is apparent, or can reasonably be ascertained. This may include names, contact details, employment history, and other identifying data provided in the course of our business.
Sensitive Information: A subset of personal information including, but not limited to, details about an individual’s racial or ethnic background, political beliefs, religious affiliations, union membership, sexual orientation, criminal history, or health status.
2.0 Collection and Use of Information
ACCS collects personal information where it is reasonably necessary for business functions, such as recruitment, employment, client service delivery, compliance, and communication. Typical reasons for collection include:
- Employment onboarding and management (e.g., payroll, tax, superannuation, WorkCover)
- Maintaining client and partner records
- Providing and promoting ACCS services
- Distributing newsletters, surveys, and updates on events or loyalty programs
Where sensitive information is required, ACCS will only collect it with the individual’s express consent and will use it solely for the stated purpose.
We collect personal information through direct contact, forms, digital communications, and interactions with our services.
ACCS does not sell, rent, or disclose personal information to third parties unless required by law or with the individual’s permission.
3.0 Storage, Access, and Security
All personal data is securely stored and managed. ACCS maintains both physical and digital safeguards to protect information from unauthorized access, loss, misuse, or alteration. These include:
- Secure physical storage of hardcopy documents
- Use of up-to-date antivirus software, firewalls, access controls, and regular system backups for electronic data
Access to personal information is restricted to authorized personnel who need the information for legitimate business purposes.
Individuals have the right to request access to their personal information held by ACCS. Requests will be responded to within a reasonable timeframe. If the information is found to be inaccurate or outdated, we will update it promptly upon receiving verified correction.
4.0 Retention and Disposal
ACCS retains personal information only as long as necessary for the purposes for which it was collected or as required by law. Once no longer needed, and where legal obligations permit, personal information will be securely destroyed or de-identified.
Contact Us
For any questions or concerns regarding this Privacy Policy, or to request access to your personal information, please contact ACCS via our official communication channels.
Management System Policy
Ascent Certification & Compliance Services Pty Ltd (ACCS) is committed to maintaining and continually improving the quality of its operations. The firm's general and specific MSM policies and procedures are communicated to ACCS staff and contractors (as appropriate), to ensure achievement of the ACCS business objectives. Responsibility for achievement of business objectives is defined in job descriptions or contract conditions for staff and/or contractors.
1.0 Commitment to certification
ACCS is committed to maintaining a leadership position in the area of certification and verification. The values of ACCS are fundamental to the vision of ACCS, and staff members within the ACCS team. ACCS is committed to:
- Working together in a spirit of professional and respectful cooperation;
- Working in cross-geographic teams to bring the most effective combination of experience, education, training, and skills to meet or exceed the needs of our clients;
- Combining decisive leadership with the application of innovative solutions to assist us in reaching our business objectives.
The ACCS organizational structure shall be made available to stakeholders on request, including the names of members of the certification body’s entities responsible for:
- Overall performance of the certification body’s activities;
- Reviewing the independence ofthe certification body;
- Formulation of policy matters which relate to the operation of the certification body;
- Certification decision making;
- Implementation of the policies of the certification body;
- Resolution of complaints and appeals.
2.0 Objectives
The objectives of ACCS are:
- Adherence to ACCS corporate requirements - No significant non-conformances identified through the internal ACCS Quality Reviews (Internal Audit).
- Compliance with applicable codes of ethics – An absence of disciplinary actions from applicable professional organizations.
- Satisfactory client service delivery in accordance with contractual requirements – An absence of troublesome practice matters (potential litigation).
- Continual improvement in the performance of our quality system - Conduct a minimum of one internal audit per year following accreditation.
- No significant non-conformities as per the requirements of the standards to which we are accredited.
- Verify that ACCS’s quality system continues to meet the requirements of the standards to which ACCS is accredited.
- Address issues (within a reasonable timeframe) identified by management procedures such as internal audits, internal management review, witness audits, and input from the External Advisory Committee.
These objectives and related performance will be reviewed annually at the Management Review Meeting to facilitate the continual improvement process.
To facilitate communication throughout the organization, these objectives and any actions or outcomes from the Management Review will be incorporated as appropriate into training and education programs and duties and responsibilities for certification personnel.
3.0 Client acceptance and conflict of interest check
All clients are subject to the ACCS contract review process which is described in the ACCS website.
General Requirements
Confinement of scope of certification
ACCS will confine its requirements, audit, and decision on a certification to those matters specifically related to the scope of the Certification being considered.
Accessible, Impartial and Non-Discriminatory
ACCS will be impartial and non-discriminatory in the offering of its certification services. Access to ACCS audit services is not restricted by financial conditions or the size, membership, or certification status of an organization or the number of bodies already accredited/certified within that organization.
Evaluation Criteria
The audit of an organization is conducted within the agreed-upon scope and based on criteria as documented in established ACCS proposal (contract) and supporting audit protocols.
Ongoing Evaluation and Surveillance of Legal Compliance
The client organization understands its responsibility to ensure the ongoing evaluation and Surveillance of legal compliance through signature of the ACCS Proposal/Contract. ACCS restricts itself to checks and samples required in order to establish confidence that the organization's processes and controls function in this regard.
ACCS verifies that the client organization has evaluated its legal and regulatory compliance and can show that action has been taken in cases of non-compliance with relevant legislation and regulations.
Refusal of Service
ACCS may deny certification to a client when fundamental or demonstrated reasons exist, such as illegal activities, history of repeated non-conformities with the certification requirements and similar issues.
ACCS will not be obliged to enter or maintain any commercial relationship with any entity or issue or maintain a certificate previously issued to any entity whose activities conflict with the obligations of the certification body. This is to apply, where in the sole opinion of the certification body, that the relationship would reflect badly on the good name of the certification body. This is to apply notwithstanding the requirements of ISO/IEC 17021 and ISO/IEC17065.
ACCS shall include a specific and legally binding clause to this effect in its contracts with its clients in relation to any services related to any management system, product certification standards, or any verification and inspection activity protocol.