Complaint & Appeal

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A client may appeal following a decision made during the certification process. In the event of a verbal appeal, the client shall be requested to confirm their appeal in writing, with details of their reasons for appeal. An appeal may also occur;

  • After an Auditor leading an assessment has made a decision not to recommend certification, as per Audit and Certification Procedure,
  • or
  • When a decision is made either;
    • not to accept a recommendation for certification and/or extension to scope, or
    • to reduce or withdraw certification as per Certification Decision Procedure,
  • or
  • Following the review of a complaint.

The appeals process follows two stages;

Stage 1: Appeals response

Director, Certification & Quality Manager will;

  • Attempt to resolve the appeal, where possible, and indicate a ‘closed’ date. This may involve;
    • Discussions with SRI staff and an examination of all the relevant documentation and reports and/or
    • An assessment visit to obtain further evidence, or to check the authenticity of a decision or recommendation made.
  • Send a formal written reply to the appellant, notifying them of the decision regarding their appeal.
    • If the results have already been discussed with the client during the subsequent assessment visit the findings will be recorded in the assessment report.

Note: The Certification & Quality Manager will only attempt to resolve the appeal where they have not been included in the decision-making process or the process related to appeal.

Stage 2: Advisory Panel Investigation

  • Director will convene an Appeals Panel comprising available members of the Advisory Committee to investigate the appeal if the client is still dissatisfied with the outcome,


  • Send letter to the appellant notifying them of the decision regarding their appeal.
    • The outcome of the investigation, and any remedial action required, shall be recorded within the client’s file.
    • The effectiveness of the corrective actions taken is also assessed at management review as per the conformity assessment Manual.

Decision reached by the Appeals Panel will be final.


  • Whenever SRI receives the complaint, SRI shall be responsible for gathering, verifying all necessary information to validate the complaint.
  • SRI shall always acknowledge receipt of the complaint and keep records of such acknowledgement
  • SRI provides the complainant with progress reports and the outcome.
  • SRI tracks and records complaints, including actions undertaken in response to them;
  • Ensuring that any appropriate correction and corrective action are taken.
  • The final decision will be communicated to the complainant and shall be made by, or reviewed and approved by SRI employees not previously involved in the subject of the complaint.
  • Whenever possible SRI shall give formal notice of the end of the complaints handling process to the complainant.
  • SRI shall determine, together with the client and the complainant, whether and, if so to what extent, the subject of the complaint and its resolution shall be made public