Certification rules
Audit London Certification Bureau LLP (ALCB) is committed to impartial, effective, and transparent certification services. This page outlines our certification rules and procedures, including the standards we cover, our certification process, conditions for suspension or withdrawal of certification, and how clients can appeal decisions or lodge complaints. All information is presented in a formal yet accessible manner for our clients and interested parties.
Standards Covered
ALCB offers certification for a wide range of internationally recognized standards and best practice guidelines. Our service includes:
- ISO 9001:2015 – Quality Management Systems (QMS);
- ISO 13485:2016 – Medical Devices Quality Management Systems (MDQMS);
- ISO 14001:2015 – Environmental Management Systems (EMS);
- ISO 17100:2015 – Translation Services Management (Requirements for translation services);
- ISO 19650:2018 – Building Information Modelling (BIM) – Information Management standards;
- ISO 21500:2021 – Project Management (Guidance on project management processes);
- ISO 22000:2018 – Food Safety Management Systems (FSMS);
- ISO 22716:2007 – Cosmetics Good Manufacturing Practices (GMP) – Guidelines;
- ISO/IEC 27001:2022 – Information Security Management Systems (ISMS);
- ISO 37001:2020 – Anti-Bribery Management Systems;
- ISO 45001:2018 – Occupational Health and Safety Management Systems;
- ISO 50001:2018 – Energy Management Systems (EnMS);
- GMP (Good Manufacturing Practice) – Quality guidelines for manufacturing (e.g., in pharmaceuticals);
- GDP (Good Distribution Practice) – Quality guidelines for distribution of regulated products.
Certification Process
ALCB’s certification process is designed to be thorough and fair, following a step-by-step approach from initial enquiry to certification and beyond. Our process is aligned with international best practices for management system certification. Below is an overview of the key steps:
- Enquiry and Quotation – The process begins with your enquiry. You will be asked to provide basic information about your organisation and the scope of certification sought (often by completing a questionnaire or application form). Based on this information, ALCB will prepare a detailed fee quotation for your consideration. This quotation outlines the proposed scope of work and costs for the certification.
- Application and Agreement – If you decide to proceed, you will accept the quotation and submit a formal application for certification. This includes signing a certification agreement and paying any applicable application fee. Upon receiving your accepted proposal and application, ALCB will initiate the certification process by scheduling the required audits on mutually agreed dates. (At this stage, a multi-year certification plan may be established, covering the initial audit and future surveillance audits.)
- Stage 1 Audit (Documentation Review) – ALCB conducts a Stage 1 Audit, which is a preliminary assessment of your management system documentation and readiness for certification. The audit team reviews your documented policies and procedures to ensure they address all requirements of the relevant standard. This audit may be performed on-site or off-site. The purpose is to confirm that your organisation is prepared for the full audit and to identify any areas of concern. The auditors will issue a Stage 1 Audit report detailing any non-conformities or gaps found, which you will need to address before the Stage 2 Audit. (If significant issues are found, you will be given time to implement corrective actions before moving forward.)
- Stage 2 Audit (Certification Audit) – The Stage 2 Audit is the full assessment of your management system implementation and is usually conducted on-site. During Stage 2, ALCB auditors evaluate the effectiveness of your management system and verify that it has been fully implemented in line with the standard’s requirements. They will gather evidence of compliance through interviews, observation, and review of records across your operations. Any findings will be classified in an audit report, which categorises any non-conformities or weaknesses identified in the system. The audit team will discuss their findings with you in a closing meeting, ensuring you understand any issues that need correction. You will be required to address all identified non-conformities by taking appropriate corrective actions.
- Corrective Actions and Follow-up – If the Stage 2 Audit identifies non-conformities (particularly major non-conformities), you must implement corrective actions and provide evidence of these corrections. Minor non-conformities can often be closed by submitting a corrective action plan and evidence of implementation, while major non-conformities may require a follow-up audit to verify that issues have been resolved. ALCB will provide you with a timeline for addressing findings (for example, major issues typically need to be corrected before certification can proceed). Once you have addressed all audit findings to the satisfaction of the auditor(s) and ALCB’s review team, the certification process moves to the decision stage.
- Certification Decision and Issuance – After successful completion of the audits and closure of any non-conformities, ALCB conducts an independent review of the audit findings and your corrective actions. An authorised certification manager or committee at ALCB will make the final certification decision. If all requirements are met, ALCB will issue your certificate of registration. The certificate will include your organisation’s name, the scope of certification, the standard(s) certified against, and the issue and expiry dates. Certificates issued by ALCB are valid for three years from the date of certification, provided you continue to comply with the standard. (The certification decision may be to grant certification, or in some cases to refuse or defer certification if there are unaddressed issues, but such cases will be communicated with you.)
- Surveillance Audits and Maintenance – Certification is not a one-time event; it requires ongoing compliance. Throughout the three-year certification cycle, ALCB will conduct periodic surveillance audits to verify that your management system continues to meet the standard. Typically, a surveillance audit is conducted annually – with the first surveillance audit about 12 months after the initial certification audit, and another around the 24-month mark. These audits are shorter than the initial audit and focus on key areas of the standard, changes in your organisation, and areas from previous audits. Surveillance audits ensure that any issues are identified and corrected in a timely manner. As long as surveillance audits are passed successfully and you maintain compliance, your certification remains valid for the full three-year term. (If surveillance audits find major lapses, additional follow-up or actions may be required to maintain certification.)
- Recertification – Before the three-year certificate expires, you will need to undergo a recertification audit to renew your certification for the next cycle. A recertification audit is a comprehensive review of your management system similar to a Stage 2 audit, though it may be tailored based on past performance. It must be conducted and completed before your certificate’s expiry to avoid a lapse in certification. Upon successful completion of the recertification audit (and closure of any findings), your certification will be renewed for another cycle (usually another 3 years), and a new certificate is issued. This ensures continuous certification.
Suspension & Withdrawal of Certification
While ALCB’s aim is to help clients maintain their certification, certain circumstances may require suspending or withdrawing a certificate to uphold the credibility of the certification. This section explains the conditions under which ALCB may suspend or withdraw a certification, and the process involved. We follow a structured approach consistent with international accreditation guidelines
Suspension of Certification
A suspension is a temporary invalidation of your certification status. ALCB may suspend a client’s certification in cases such as:
A suspension is intended to be temporary and corrective. ALCB will provide the client with a timeframe to resolve the issues that led to suspension. Typically, the client is given up to 30 days (or another specified period) to take corrective action and address the problems. During this time, ALCB may require an on-site verification or submission of evidence to confirm that the issues have been resolved. If the client successfully resolves the identified issues within the allowed time, the certification can be restored to good standing (the suspension is lifted) and the client may resume normal use of the certificate. The suspension status will be cleared from our records once the certificate is reinstated.
If the client fails to resolve the issues within the given timeframe, or if there is no satisfactory progress, ALCB will take further action, which may include withdrawing the certification or reducing the scope of certification. Suspension should not extend indefinitely – prolonged or unaddressed suspension situations will lead to the certificate being withdrawn for integrity reasons.
- Serious or Persistent Non-Compliance – If a certified organisation’s management system has persistently or seriously failed to meet the certification requirements, such as ongoing major non-conformities or repeated neglect of standard requirements. This indicates that the effectiveness of the management system is in doubt and immediate improvement is required.
- Failure to Permit Required Audits – If the certified client does not allow ALCB to conduct required surveillance or recertification audits at the scheduled times (per the certification agreement), or unreasonably delays these audits. Regular surveillance is a condition of maintaining certification; failure to undergo these audits means we cannot verify continued compliance.
- Misuse of Certification or Logo – If the client is found to misuse the ALCB certification logo or make any misleading statements about its certification that could damage the reputation of ALCB or the accreditation body. For example, using the certification mark beyond the scope of certification, or implying certification for activities not covered, is not allowed. Such misuse can lead to immediate suspension.
- Voluntary Request – If the certified client voluntarily requests a suspension (for instance, due to a temporary business closure or internal issues), ALCB can suspend the certification upon written request. The client may choose this option to pause their certification when they know they cannot maintain the requirements temporarily.
A suspension is intended to be temporary and corrective. ALCB will provide the client with a timeframe to resolve the issues that led to suspension. Typically, the client is given up to 30 days (or another specified period) to take corrective action and address the problems. During this time, ALCB may require an on-site verification or submission of evidence to confirm that the issues have been resolved. If the client successfully resolves the identified issues within the allowed time, the certification can be restored to good standing (the suspension is lifted) and the client may resume normal use of the certificate. The suspension status will be cleared from our records once the certificate is reinstated.
If the client fails to resolve the issues within the given timeframe, or if there is no satisfactory progress, ALCB will take further action, which may include withdrawing the certification or reducing the scope of certification. Suspension should not extend indefinitely – prolonged or unaddressed suspension situations will lead to the certificate being withdrawn for integrity reasons.
Withdrawal of Certification
Withdrawal (also known as revocation) of a certificate is a permanent cancellation of the certification. ALCB may withdraw a client’s certification in the following scenarios:
In certain cases, instead of full withdrawal, ALCB may choose to reduce the scope of certification. This means removing the parts of the scope that are not meeting requirements, while maintaining certification for the compliant parts. Scope reduction is applied if the issues are isolated to specific sites, products, or divisions of the company. The client’s certificate would be reissued with a reduced scope of validity. This action is taken to avoid penalising areas that remain in compliance, but it is only possible if the standard allows partial certification. The client will be informed of any scope change and must agree not to use the certification for the removed parts.
Both suspension and withdrawal decisions are made under defined authority within ALCB. The Managing Director or an authorised Certification Manager of ALCB has the authority to suspend or withdraw certifications based on the criteria above. ALCB ensures that enforceable arrangements are in place with every certified client so that in the event of suspension or withdrawal, the client is contractually obligated to discontinue use of all advertising materials that reference their certified status. This is to prevent any public confusion about the organisation’s certification status. ALCB may also make the suspended or withdrawn status publicly accessible, for example by noting it on our website or informing the relevant accreditation bodies, to maintain transparency.
Note: Our aim is to work with clients proactively to avoid suspensions or withdrawals. We will generally issue warnings or discuss concerns during audits so that clients have the opportunity to correct issues. Suspension or withdrawal is used as a last resort or in cases of serious breach. Clients can always contact ALCB if they have questions about maintaining their certification. If a certificate is suspended or withdrawn and the client disagrees with this decision, they have the right to appeal (see the Appeals procedure below).
- The client has not resolved the causes of a suspension in the time provided, or the issues are so severe that suspension is not adequate to protect the integrity of the certification. In other words, if a management system fails to improve after suspension, or continual non-compliance is observed, the certificate will be withdrawn.
- A certified client is found to seriously breach the certification agreement, such as willfully misleading use of the certificate, fraud, or refusal to implement required corrective actions. Gross violations (for example, falsifying records or refusing to address major non-conformities) will result in withdrawal.
- The client ceases to operate or ceases the activities covered by the certification (e.g. going out of business in that scope) and does not need the certification anymore. In such cases, withdrawal may be initiated by the client’s request or by ALCB if the situation comes to light.
In certain cases, instead of full withdrawal, ALCB may choose to reduce the scope of certification. This means removing the parts of the scope that are not meeting requirements, while maintaining certification for the compliant parts. Scope reduction is applied if the issues are isolated to specific sites, products, or divisions of the company. The client’s certificate would be reissued with a reduced scope of validity. This action is taken to avoid penalising areas that remain in compliance, but it is only possible if the standard allows partial certification. The client will be informed of any scope change and must agree not to use the certification for the removed parts.
Both suspension and withdrawal decisions are made under defined authority within ALCB. The Managing Director or an authorised Certification Manager of ALCB has the authority to suspend or withdraw certifications based on the criteria above. ALCB ensures that enforceable arrangements are in place with every certified client so that in the event of suspension or withdrawal, the client is contractually obligated to discontinue use of all advertising materials that reference their certified status. This is to prevent any public confusion about the organisation’s certification status. ALCB may also make the suspended or withdrawn status publicly accessible, for example by noting it on our website or informing the relevant accreditation bodies, to maintain transparency.
Note: Our aim is to work with clients proactively to avoid suspensions or withdrawals. We will generally issue warnings or discuss concerns during audits so that clients have the opportunity to correct issues. Suspension or withdrawal is used as a last resort or in cases of serious breach. Clients can always contact ALCB if they have questions about maintaining their certification. If a certificate is suspended or withdrawn and the client disagrees with this decision, they have the right to appeal (see the Appeals procedure below).
Appeal & Complaints Procedure
ALCB strives for fair and objective certification decisions. However, if a client or any interested party is dissatisfied with a decision or service, ALCB provides formal appeal and complaint procedures to address these issues. We treat appeals and complaints seriously, handling them in confidence and without prejudice to the appellant or complainant. Below we outline how you can appeal a certification decision or make a complaint, and how these will be processed.
Appeals
If you disagree with a certification decision made by ALCB – such as a decision to deny, suspend, or withdraw certification – you have the right to appeal. Any applicant, certified client, or other interested party may lodge an appeal against a certification decision. ALCB ensures that the appeals process is impartial and that no discriminatory action will be taken against anyone filing an appeal.
How to Appeal
Appeals must be submitted in writing (by letter or email) within 30 days of the notice of the decision you are contesting. In your appeal, you should clearly state the decision being appealed and the reasons why you believe the decision is incorrect or unjust. Send the appeal to the contact address provided by ALCB (as given in your certification agreement or on our website for appeals/complaints).
Acknowledgement
Upon receiving your appeal, ALCB will acknowledge receipt in writing. Your appeal will be logged in our appeals register for tracking. We will ensure all relevant information regarding the case is gathered and verified to fully understand the circumstances. Importantly, the individuals involved in reviewing the appeal will be different from those who made the original certification decision, to maintain impartiality.
Appeals Panel Review
ALCB will convene an Appeals Panel to consider the appeal. This panel typically consists of members of ALCB’s independent Impartiality Committee or other competent, unbiased persons not involved in the original decision. The Appeals Panel will investigate the matter thoroughly. They may review audit reports, speak to the audit team or the appellant, and examine similar past cases for consistency in decision-making. The panel has the authority to request additional information or evidence from both the appellant and relevant ALCB personnel. Both parties are expected to provide any information requested by the panel within the stipulated time.
Decision on Appeal
After due consideration, the Appeals Panel will make a decision to either uphold the original certification decision or overturn/modify it in favor of the appellant. ALCB will ensure that the appellant is kept informed of the progress of their appeal. Once a decision is reached, ALCB will provide the appellant with a formal notice of the outcome of the appeal and the reasoning behind it. We aim to conclude the entire appeals process within 60 days from the date the appeal was filed. If there are unavoidable delays causing the process to exceed 60 days, ALCB will communicate the reasons for the delay to the appellant and strive to resolve the appeal as soon as possible. The decision of the Appeals Panel is final, and ALCB will abide by the panel’s decision and implement any required actions (such as reversing a suspension if the appeal is successful).
Throughout the appeal process, ALCB as a certification body remains responsible for gathering and verifying all necessary information and ensuring that the process is carried out without bias. Filing an appeal will not affect your certification status negatively while the appeal is in progress; for example, if you appeal a notice of suspension, the suspension will remain in effect but you will not be penalised simply for appealing. ALCB treats appellants respectfully and ensures no retaliatory or discriminatory measures are taken for exercising your right to appeal.
How to Appeal
Appeals must be submitted in writing (by letter or email) within 30 days of the notice of the decision you are contesting. In your appeal, you should clearly state the decision being appealed and the reasons why you believe the decision is incorrect or unjust. Send the appeal to the contact address provided by ALCB (as given in your certification agreement or on our website for appeals/complaints).
Acknowledgement
Upon receiving your appeal, ALCB will acknowledge receipt in writing. Your appeal will be logged in our appeals register for tracking. We will ensure all relevant information regarding the case is gathered and verified to fully understand the circumstances. Importantly, the individuals involved in reviewing the appeal will be different from those who made the original certification decision, to maintain impartiality.
Appeals Panel Review
ALCB will convene an Appeals Panel to consider the appeal. This panel typically consists of members of ALCB’s independent Impartiality Committee or other competent, unbiased persons not involved in the original decision. The Appeals Panel will investigate the matter thoroughly. They may review audit reports, speak to the audit team or the appellant, and examine similar past cases for consistency in decision-making. The panel has the authority to request additional information or evidence from both the appellant and relevant ALCB personnel. Both parties are expected to provide any information requested by the panel within the stipulated time.
Decision on Appeal
After due consideration, the Appeals Panel will make a decision to either uphold the original certification decision or overturn/modify it in favor of the appellant. ALCB will ensure that the appellant is kept informed of the progress of their appeal. Once a decision is reached, ALCB will provide the appellant with a formal notice of the outcome of the appeal and the reasoning behind it. We aim to conclude the entire appeals process within 60 days from the date the appeal was filed. If there are unavoidable delays causing the process to exceed 60 days, ALCB will communicate the reasons for the delay to the appellant and strive to resolve the appeal as soon as possible. The decision of the Appeals Panel is final, and ALCB will abide by the panel’s decision and implement any required actions (such as reversing a suspension if the appeal is successful).
Throughout the appeal process, ALCB as a certification body remains responsible for gathering and verifying all necessary information and ensuring that the process is carried out without bias. Filing an appeal will not affect your certification status negatively while the appeal is in progress; for example, if you appeal a notice of suspension, the suspension will remain in effect but you will not be penalised simply for appealing. ALCB treats appellants respectfully and ensures no retaliatory or discriminatory measures are taken for exercising your right to appeal.
Complaints
ALCB welcomes feedback and is committed to addressing complaints about its services or about the compliance of its certified clients. A complaint can be lodged by clients, customers of clients, or any other interested parties if they encounter problems with ALCB’s certification service or observe issues with an ALCB-certified organisation. All complaints are handled in a constructive and unbiased manner, and we seek to resolve them to the satisfaction of all parties where possible.
How to File a Complaint
Complaints can be submitted in writing (by letter or email) or via telephone. For transparency and tracking, we encourage written complaints via email or our website contact form, so that there is a clear record. When submitting a complaint, please provide your name and contact information, the organisation or issue you are complaining about, and as much detail as possible regarding the concern. ALCB will acknowledge receipt of your complaint and may ask for additional information if needed to understand the issue fully. All complaints received are logged in our complaint register with details of the nature of the complaint.
Complaint Handling Process
Once a complaint is received, it is assigned to an appropriate manager (independent of the issue) for review. ALCB takes responsibility for all decisions at every level of the complaints handling process. We ensure that submission, investigation, and decision on complaints do not result in any discrimination against the complainant. Your complaint will be investigated fairly and impartially.
If the complaint relates to ALCB’s certification services or personnel (for example, if you believe an auditor behaved inappropriately, or you have an issue with how the certification was conducted), the matter will be investigated internally by ALCB management. We may involve our Impartiality Committee or top management to ensure objectivity, especially if the complaint concerns the conduct of a specific auditor or ALCB staff member. For instance, if a complaint is lodged against a specific ALCB auditor or manager, a senior manager or the chair of the Impartiality Committee will investigate the issue to avoid conflicts of interest.
If the complaint relates to a client certified by ALCB (for example, a customer of a certified company complains that the company is not adhering to the certified standard), ALCB will evaluate the validity of the complaint and may need to investigate the certified client’s management system. We will typically notify the certified client of the complaint (without revealing the complainant’s identity, if confidentiality is requested or required) and seek their response. ALCB may conduct a special audit or verification on the certified client if necessary, especially to check the effectiveness of their management system in relation to the complaint. We will assign competent auditor(s) who were not involved in the original certification audit of that client to carry out any investigation or special audit, ensuring an independent review. This helps maintain impartiality while determining if the complaint is justified.
During the investigation, ALCB will gather and verify all information relevant to the complaint. We may contact the complainant for further details or evidence, and we will certainly engage with the certified client (if the complaint is about a client) to get their perspective and any corrective action they propose.
Resolution and Outcome
ALCB aims to resolve and close complaints within 60 days of receipt. Simple issues may be resolved more quickly, whereas complex issues (for example, requiring a special audit or coordination with a client) might take closer to this timeframe. If a complaint cannot be fully investigated and resolved within 60 days, we will inform the complainant about the delay and provide an updated timeline. Once our investigation is complete, ALCB will decide on the appropriate actions to address the complaint. This could include corrective actions by ALCB (if the issue was on our side), corrective action requests to the certified client, suspension of a client’s certification if serious non-compliance is confirmed, or other measures as needed to resolve the issue.
The complainant will be informed of the outcome of the complaint investigation. ALCB will provide a formal response detailing our findings and any actions taken as a result of the complaint. We ensure that the person or group deciding on the complaint’s resolution was not involved in the subject of the complaint, to maintain impartiality. Once the actions are implemented, we will notify the complainant that the complaint has been closed and describe the resolution. Where possible, a courtesy communication (such as a closing letter or call) will be made by the Certification Manager to ensure the complainant understands the outcome and to thank them for their feedback.
Throughout the process, confidentiality is maintained. Details of the complaint are shared only with those who need to know in order to investigate (e.g., relevant auditors or managers, and the client involved, if applicable). The identity of the complainant can be kept confidential upon request, especially if the complainant is an employee of the certified client or a third party who fears reprisal. ALCB will also determine, together with the client and complainant, the extent to which the complaint and its resolution should be made public. Significant issues that affect public trust (for example, a serious safety complaint) may be summarised publicly, but only after consultation and in line with confidentiality requirements.
After resolving a complaint, ALCB analyses the case to see if any corrective or preventive actions are needed to improve our certification system. For instance, if a complaint reveals a weakness in our audit process, we will take steps to prevent similar issues in the future (such as additional auditor training or process changes). We also review complaint trends during our management review meetings to continually improve our services.
If the complainant is not satisfied with the resolution provided by ALCB, they have the right to escalate the matter. Internally, they may escalate it to ALCB’s top management or even to the Impartiality Committee for further review. Externally, if ALCB is accredited by an oversight body, the complainant may contact the accreditation body to review ALCB’s handling of the complaint. (Details on how to escalate externally, if needed, can be provided on request. However, we encourage resolving issues directly with ALCB first.) In case a complaint leads to a certification suspension or withdrawal and the client disagrees, the client may file an appeal as described in the Appeals section above.
Summary
Our appeals and complaints procedures are in place to ensure fairness and maintain trust in the certification process. ALCB values all feedback. We view appeals and complaints as opportunities to improve our services and uphold the integrity of our certifications. Clients and stakeholders can use these mechanisms without fear of prejudice. We are committed to timely and effective resolution of issues: appeals decisions are typically provided within 60 days, and complaints are addressed as quickly as possible (also targeting 60 days). All records of appeals and complaints are maintained by ALCB, and these processes are subject to internal audit and management review to ensure their effectiveness and impartiality.
For more information or to submit an appeal or complaint, please contact us via the contact details provided on our website or in your certification agreement. We will guide you through the process and ensure your concerns are addressed in line with the above policy.
This ensures that the appeals and complaints process is thorough, transparent, and fair, reflecting our commitment to upholding high standards of service and integrity throughout the certification process.
How to File a Complaint
Complaints can be submitted in writing (by letter or email) or via telephone. For transparency and tracking, we encourage written complaints via email or our website contact form, so that there is a clear record. When submitting a complaint, please provide your name and contact information, the organisation or issue you are complaining about, and as much detail as possible regarding the concern. ALCB will acknowledge receipt of your complaint and may ask for additional information if needed to understand the issue fully. All complaints received are logged in our complaint register with details of the nature of the complaint.
Complaint Handling Process
Once a complaint is received, it is assigned to an appropriate manager (independent of the issue) for review. ALCB takes responsibility for all decisions at every level of the complaints handling process. We ensure that submission, investigation, and decision on complaints do not result in any discrimination against the complainant. Your complaint will be investigated fairly and impartially.
If the complaint relates to ALCB’s certification services or personnel (for example, if you believe an auditor behaved inappropriately, or you have an issue with how the certification was conducted), the matter will be investigated internally by ALCB management. We may involve our Impartiality Committee or top management to ensure objectivity, especially if the complaint concerns the conduct of a specific auditor or ALCB staff member. For instance, if a complaint is lodged against a specific ALCB auditor or manager, a senior manager or the chair of the Impartiality Committee will investigate the issue to avoid conflicts of interest.
If the complaint relates to a client certified by ALCB (for example, a customer of a certified company complains that the company is not adhering to the certified standard), ALCB will evaluate the validity of the complaint and may need to investigate the certified client’s management system. We will typically notify the certified client of the complaint (without revealing the complainant’s identity, if confidentiality is requested or required) and seek their response. ALCB may conduct a special audit or verification on the certified client if necessary, especially to check the effectiveness of their management system in relation to the complaint. We will assign competent auditor(s) who were not involved in the original certification audit of that client to carry out any investigation or special audit, ensuring an independent review. This helps maintain impartiality while determining if the complaint is justified.
During the investigation, ALCB will gather and verify all information relevant to the complaint. We may contact the complainant for further details or evidence, and we will certainly engage with the certified client (if the complaint is about a client) to get their perspective and any corrective action they propose.
Resolution and Outcome
ALCB aims to resolve and close complaints within 60 days of receipt. Simple issues may be resolved more quickly, whereas complex issues (for example, requiring a special audit or coordination with a client) might take closer to this timeframe. If a complaint cannot be fully investigated and resolved within 60 days, we will inform the complainant about the delay and provide an updated timeline. Once our investigation is complete, ALCB will decide on the appropriate actions to address the complaint. This could include corrective actions by ALCB (if the issue was on our side), corrective action requests to the certified client, suspension of a client’s certification if serious non-compliance is confirmed, or other measures as needed to resolve the issue.
The complainant will be informed of the outcome of the complaint investigation. ALCB will provide a formal response detailing our findings and any actions taken as a result of the complaint. We ensure that the person or group deciding on the complaint’s resolution was not involved in the subject of the complaint, to maintain impartiality. Once the actions are implemented, we will notify the complainant that the complaint has been closed and describe the resolution. Where possible, a courtesy communication (such as a closing letter or call) will be made by the Certification Manager to ensure the complainant understands the outcome and to thank them for their feedback.
Throughout the process, confidentiality is maintained. Details of the complaint are shared only with those who need to know in order to investigate (e.g., relevant auditors or managers, and the client involved, if applicable). The identity of the complainant can be kept confidential upon request, especially if the complainant is an employee of the certified client or a third party who fears reprisal. ALCB will also determine, together with the client and complainant, the extent to which the complaint and its resolution should be made public. Significant issues that affect public trust (for example, a serious safety complaint) may be summarised publicly, but only after consultation and in line with confidentiality requirements.
After resolving a complaint, ALCB analyses the case to see if any corrective or preventive actions are needed to improve our certification system. For instance, if a complaint reveals a weakness in our audit process, we will take steps to prevent similar issues in the future (such as additional auditor training or process changes). We also review complaint trends during our management review meetings to continually improve our services.
If the complainant is not satisfied with the resolution provided by ALCB, they have the right to escalate the matter. Internally, they may escalate it to ALCB’s top management or even to the Impartiality Committee for further review. Externally, if ALCB is accredited by an oversight body, the complainant may contact the accreditation body to review ALCB’s handling of the complaint. (Details on how to escalate externally, if needed, can be provided on request. However, we encourage resolving issues directly with ALCB first.) In case a complaint leads to a certification suspension or withdrawal and the client disagrees, the client may file an appeal as described in the Appeals section above.
Summary
Our appeals and complaints procedures are in place to ensure fairness and maintain trust in the certification process. ALCB values all feedback. We view appeals and complaints as opportunities to improve our services and uphold the integrity of our certifications. Clients and stakeholders can use these mechanisms without fear of prejudice. We are committed to timely and effective resolution of issues: appeals decisions are typically provided within 60 days, and complaints are addressed as quickly as possible (also targeting 60 days). All records of appeals and complaints are maintained by ALCB, and these processes are subject to internal audit and management review to ensure their effectiveness and impartiality.
For more information or to submit an appeal or complaint, please contact us via the contact details provided on our website or in your certification agreement. We will guide you through the process and ensure your concerns are addressed in line with the above policy.
This ensures that the appeals and complaints process is thorough, transparent, and fair, reflecting our commitment to upholding high standards of service and integrity throughout the certification process.