We can help you make it happen
Whether you’re looking to manage risks more effectively or for system improvement.
Our people are what defines us as a company and what sets us apart.
What is it about us that has everyone taking notice?
We have a shared passion for making a difference and adding value. We care about our clients and we strive to add value to their businesses every day.
We want to stand out amongst our peers. We know we are different and want you to see this too.
We’re open minded
We threw out the cookie cutter – there’s lots of ways to comply and improve. We’re interested in how you do things and if there’s a better way to do something let’s look at it together.
We’re lively
We’re not about tick box compliance. We get on with it and help you identify ways to drive value and improve performance.
We’re collaborative
We’re not confrontational and we don’t pretend to be law enforcers. We’re about partnerships – we listen, we’re inclusive and there are never any surprises with our findings.
Our Policies
At Compass we believe it is important to be transparent and to behave with integrity at all times.
Risk Policy
How we do business
Compass Assurance Services is committed to delivering outstanding services to our clients, meeting our external requirements and providing a fulfilling work environment for our people. We recognise that effective and responsible risk management processes are required to achieve this.
Our risk objectives are to:
• Implement an effective system to assess and manage all risks within agreed tolerance levels and to meet legal obligations;
• Recognise and pursue opportunities in a structured and prudent way;
• Be risk leaders by doing what we say.
Compass has implemented a risk management system to achieve these goals. Our system is based on meeting the principles and guidelines of ISO 31000:2009 and our legal obligations.
We are committed to ensuring necessary resources are available to implement the risk management system. The system is reviewed by the Board on an annual basis and more frequently when circumstances change significantly.
Our workers have a responsibility to identify and consider risk when making decisions, comply with policies and procedures and to take responsibility for risk management as appropriate to their role. Managers are responsible for ensuring the effective implementation of the risk management system. The Board have overall accountability for risk management.
This policy is endorsed by the Board of Directors and the document is owned by the Managing Director. This Policy supports other Compass policies such as the Safety Policy.
Compass Assurance Services is committed to delivering outstanding services to our clients, meeting our external requirements and providing a fulfilling work environment for our people. We recognise that effective and responsible risk management processes are required to achieve this.
Our risk objectives are to:
• Implement an effective system to assess and manage all risks within agreed tolerance levels and to meet legal obligations;
• Recognise and pursue opportunities in a structured and prudent way;
• Be risk leaders by doing what we say.
Compass has implemented a risk management system to achieve these goals. Our system is based on meeting the principles and guidelines of ISO 31000:2009 and our legal obligations.
We are committed to ensuring necessary resources are available to implement the risk management system. The system is reviewed by the Board on an annual basis and more frequently when circumstances change significantly.
Our workers have a responsibility to identify and consider risk when making decisions, comply with policies and procedures and to take responsibility for risk management as appropriate to their role. Managers are responsible for ensuring the effective implementation of the risk management system. The Board have overall accountability for risk management.
This policy is endorsed by the Board of Directors and the document is owned by the Managing Director. This Policy supports other Compass policies such as the Safety Policy.
Code of Conduct
How we do business
Background
Compass Assurance Services is a privately owned business that provides a suite of assurance and risk services including management system certification, auditing, training and assurance services.
Governance
Compass Assurance Services is governed by its Board of Directors whose expectations are outlined in the strategic plan and vision. All policies are approved by the Board.
We are managed by the Managing Director who delegates specific responsibilities to all workers.
Code of Conduct
We will:
• Behave honestly and with integrity;
• Ensure the safety of our workers and our clients to the best of our ability;
• Treat our colleagues and clients fairly and with respect at all times;
• Strive to do our very best in everything at work;
• Disclose immediately and take steps to avoid any conflict of interest;
• Comply with all applicable Australian laws and the laws in the countries we operate in.
• Maintain confidentiality in all dealings with clients, client information and Compass Assurance Services information.
• Use resources in an appropriate manner;
• Not make improper use of insider information or our status to gain or seek to gain a benefit.
Questions
Any questions relating this policy should be directed to the board of directors at [email protected]
Monitoring and Reporting
The effectiveness of this policy will be monitored. An annual review of the policy and its effectiveness will be undertaken by the Board of Directors.
Endorsement
This Policy is endorsed by the Board; accepted by the Compass Impartiality Committee and the document is owned by the Managing Director.
Background
Compass Assurance Services is a privately owned business that provides a suite of assurance and risk services including management system certification, auditing, training and assurance services.
Governance
Compass Assurance Services is governed by its Board of Directors whose expectations are outlined in the strategic plan and vision. All policies are approved by the Board.
We are managed by the Managing Director who delegates specific responsibilities to all workers.
Code of Conduct
We will:
• Behave honestly and with integrity;
• Ensure the safety of our workers and our clients to the best of our ability;
• Treat our colleagues and clients fairly and with respect at all times;
• Strive to do our very best in everything at work;
• Disclose immediately and take steps to avoid any conflict of interest;
• Comply with all applicable Australian laws and the laws in the countries we operate in.
• Maintain confidentiality in all dealings with clients, client information and Compass Assurance Services information.
• Use resources in an appropriate manner;
• Not make improper use of insider information or our status to gain or seek to gain a benefit.
Questions
Any questions relating this policy should be directed to the board of directors at [email protected]
Monitoring and Reporting
The effectiveness of this policy will be monitored. An annual review of the policy and its effectiveness will be undertaken by the Board of Directors.
Endorsement
This Policy is endorsed by the Board; accepted by the Compass Impartiality Committee and the document is owned by the Managing Director.
Confidentiality Policy
How we do business
Policy Statement
At Compass Assurance Services (“Compass”), we value the trust and confidence of our clients and other stakeholders. We see discretion and confidentiality as inextricable in living our values of service, honesty, integrity and sound investment.
It is our policy that the confidentiality of our clients is not compromised.
Governance
Ultimately our Managing Director and Board of Directors are responsible for our business’ performance.
The Managing Director will develop business systems and an audit plan in support of this policy.
Every worker is responsible for their conduct at work. This policy and its related procedures apply to all workers, managers and directors of Compass.
What we will do
1. Ensure all worker’s, contractors, board members and relevant business partners sign a confidentiality agreement;
2. Inform our clients and stakeholders of information that must be made public or disclosed to a third party such as an accreditation body;
3. Treat information about our clients as confidential unless obliged to do otherwise legally or as part of our accreditation obligations;
4. Maintain appropriate tools and systems to facilitate confidentiality;
5. Ensure contracts and other formal documents have provision for confidentiality as appropriate;
6. Understand how this policy effects our individual work environment;
7. Report on any violations of this policy;
8. Ask questions if anything is not 100% clear.
What we will never do
1. Act in any way that contravenes this policy;
2. Witness any act that contravenes this policy without reporting it;
3. Make arrangements with business partners that are not disclosed in a contractual agreement.
Questions
Any questions relating this policy should be directed to the Managing Director. If that’s not appropriate direct them to the Impartiality Committee Chair at [email protected]
Monitoring and Reporting
The effectiveness of this policy will be monitored. An annual review of the policy and its effectiveness will be undertaken by the Board of Directors.
Endorsement
This Policy is endorsed by the Board and the document is owned by the Managing Director.
Policy Statement
At Compass Assurance Services (“Compass”), we value the trust and confidence of our clients and other stakeholders. We see discretion and confidentiality as inextricable in living our values of service, honesty, integrity and sound investment.
It is our policy that the confidentiality of our clients is not compromised.
Governance
Ultimately our Managing Director and Board of Directors are responsible for our business’ performance.
The Managing Director will develop business systems and an audit plan in support of this policy.
Every worker is responsible for their conduct at work. This policy and its related procedures apply to all workers, managers and directors of Compass.
What we will do
1. Ensure all worker’s, contractors, board members and relevant business partners sign a confidentiality agreement;
2. Inform our clients and stakeholders of information that must be made public or disclosed to a third party such as an accreditation body;
3. Treat information about our clients as confidential unless obliged to do otherwise legally or as part of our accreditation obligations;
4. Maintain appropriate tools and systems to facilitate confidentiality;
5. Ensure contracts and other formal documents have provision for confidentiality as appropriate;
6. Understand how this policy effects our individual work environment;
7. Report on any violations of this policy;
8. Ask questions if anything is not 100% clear.
What we will never do
1. Act in any way that contravenes this policy;
2. Witness any act that contravenes this policy without reporting it;
3. Make arrangements with business partners that are not disclosed in a contractual agreement.
Questions
Any questions relating this policy should be directed to the Managing Director. If that’s not appropriate direct them to the Impartiality Committee Chair at [email protected]
Monitoring and Reporting
The effectiveness of this policy will be monitored. An annual review of the policy and its effectiveness will be undertaken by the Board of Directors.
Endorsement
This Policy is endorsed by the Board and the document is owned by the Managing Director.
Impartiality Policy
Policy Statement
At Compass Assurance Services (“Compass”), we provide our clients with assurance solutions including management system certification, assurance and training. We believe that the foundation for legitimate certification is an objective and impartial auditor and certification decision.
It is our policy that any accredited certification activity for a client is undertaken by workers who:
1. Understand the concept of impartiality and agrees to the Compass Code of Conduct;
2. Have not provided management system consulting or internal management system auditing services to the client organisation within the last 2 years;
3. Have not provided customised management system training to the client organisation that involves the development of new or amended system documents, forms, policies or procedures within the last 2 years.
4. Have no direct or indirect interest in the client organisation;
5. Have no undisclosed benefits that relates to the audit findings or success of the client.
It is our policy that any certification issued by Compass:
1. Is endorsed by the Managing Director;
2. Represents a fair and unbiased assessment of the client’s management system
Our Board will use its best endeavours to appoint an Impartiality Committee that is made up of a majority of independent members to oversee the impartiality of our business, our auditors and their findings, and the decisions of certification managers.
Governance
Ultimately our Managing Director and Board of Directors are responsible for our business’ performance.
The Managing Director will oversee the Impartiality Committee charter.
The Managing Director will report to the Impartiality Committee on an annual basis or more frequently if required.
The Managing Director will develop business systems and an audit plan in support of this policy.
Every worker is responsible for their conduct at work. This policy and its related procedures apply to all workers, managers, committee members and directors of Compass.
What we will do
1. Take action to respond to any threats to our impartiality arising from the actions of other persons, bodies or organisations;
2. Offer our accreditation body representatives such reasonable access, cooperation, courtesy, and without harassment; to enable monitoring of our compliance with the Accreditation Criteria;
3. Not allow commercial, financial or other pressures to compromise impartiality;
4. Report any situation that may present workers or Compass with a conflict of interests;
5. Disclose any potential or actual conflict of interest before accepting or commencing any work
6. Not use workers on client engagements unless they demonstrate that they have no conflict of interests;
7. Record any actual or potential conflicts of interest;
8. Evaluate our finances and sources of income and demonstrate to the Impartiality committee and board of directors that commercial and financial matters do not compromise impartiality;
9. Understand how this policy affects our work environment;
10. Disclose all gifts from any source greater than $100 to a Compass director
11. Ask questions if we’re not 100% clear.
What we may do
1. Arrange and participate as a lecturer in training courses, provided that, where these courses relate to management systems or auditing. Compass will confine itself to the provision of generic information and advice which is publicly available, i.e. Compass will not provide company-specific advice which contravenes the requirements of 2 below;
2. Make available or publish on request information describing Compass’s interpretation of the requirements of certification audit standards
3. Carry out activities prior to audit solely aimed at determining readiness for certification audit; however, such activities will not result in the provision of recommendations or advice that would contravene this clause and they are not used to justify a reduction in the eventual certification audit duration.
4. Perform second and third-party audits according to standards or regulations other than those being part of the scope of accreditation
5. Add value during certification audits and surveillance visits, e.g. by identifying opportunities for improvement, as they become evident during the audit, without recommending specific solutions
6. Deliver published courses to clients and the public in the classroom, at the client’s premises and remotely providing it is in accordance with our policy statement
What we will never do
1. Engage with business partners or in activities that create a conflict of interest;
2. Act in any way that contravenes this policy;
3. Witness any act that contravenes this policy without reporting it;
4. Certify another certification body or a subsidiary of Compass for its management system certification;
5. Outsource audits to a management system consultancy organisation;
6. Market or offer our services as linked with the activities of a management system consultancy firm;
7. Provide management system consultancy services;
8. Conduct internal audits of management systems for our certified clients;
9. Certify a system where we have conducted internal audits of the system within a 2-year period;
10. Make arrangements with business partners that are not disclosed in a contractual agreement.
11. Certify a management system that poses an unacceptable risk as defined by the Compass risk policy and procedure
12. Accept Gifts that could be perceived to constitute a risk to impartiality. All gifts above $100 must be disclosed to a director.
Questions
Any questions relating this policy should be directed to the board of directors at [email protected]
Monitoring and Reporting
The effectiveness of this policy will be monitored. An annual review of the policy and its effectiveness will be undertaken by the Board of Directors.
Endorsement
This Policy is endorsed by the Board; accepted by the Compass Impartiality Committee and the document is owned by the Managing Director.
At Compass Assurance Services (“Compass”), we provide our clients with assurance solutions including management system certification, assurance and training. We believe that the foundation for legitimate certification is an objective and impartial auditor and certification decision.
It is our policy that any accredited certification activity for a client is undertaken by workers who:
1. Understand the concept of impartiality and agrees to the Compass Code of Conduct;
2. Have not provided management system consulting or internal management system auditing services to the client organisation within the last 2 years;
3. Have not provided customised management system training to the client organisation that involves the development of new or amended system documents, forms, policies or procedures within the last 2 years.
4. Have no direct or indirect interest in the client organisation;
5. Have no undisclosed benefits that relates to the audit findings or success of the client.
It is our policy that any certification issued by Compass:
1. Is endorsed by the Managing Director;
2. Represents a fair and unbiased assessment of the client’s management system
Our Board will use its best endeavours to appoint an Impartiality Committee that is made up of a majority of independent members to oversee the impartiality of our business, our auditors and their findings, and the decisions of certification managers.
Governance
Ultimately our Managing Director and Board of Directors are responsible for our business’ performance.
The Managing Director will oversee the Impartiality Committee charter.
The Managing Director will report to the Impartiality Committee on an annual basis or more frequently if required.
The Managing Director will develop business systems and an audit plan in support of this policy.
Every worker is responsible for their conduct at work. This policy and its related procedures apply to all workers, managers, committee members and directors of Compass.
What we will do
1. Take action to respond to any threats to our impartiality arising from the actions of other persons, bodies or organisations;
2. Offer our accreditation body representatives such reasonable access, cooperation, courtesy, and without harassment; to enable monitoring of our compliance with the Accreditation Criteria;
3. Not allow commercial, financial or other pressures to compromise impartiality;
4. Report any situation that may present workers or Compass with a conflict of interests;
5. Disclose any potential or actual conflict of interest before accepting or commencing any work
6. Not use workers on client engagements unless they demonstrate that they have no conflict of interests;
7. Record any actual or potential conflicts of interest;
8. Evaluate our finances and sources of income and demonstrate to the Impartiality committee and board of directors that commercial and financial matters do not compromise impartiality;
9. Understand how this policy affects our work environment;
10. Disclose all gifts from any source greater than $100 to a Compass director
11. Ask questions if we’re not 100% clear.
What we may do
1. Arrange and participate as a lecturer in training courses, provided that, where these courses relate to management systems or auditing. Compass will confine itself to the provision of generic information and advice which is publicly available, i.e. Compass will not provide company-specific advice which contravenes the requirements of 2 below;
2. Make available or publish on request information describing Compass’s interpretation of the requirements of certification audit standards
3. Carry out activities prior to audit solely aimed at determining readiness for certification audit; however, such activities will not result in the provision of recommendations or advice that would contravene this clause and they are not used to justify a reduction in the eventual certification audit duration.
4. Perform second and third-party audits according to standards or regulations other than those being part of the scope of accreditation
5. Add value during certification audits and surveillance visits, e.g. by identifying opportunities for improvement, as they become evident during the audit, without recommending specific solutions
6. Deliver published courses to clients and the public in the classroom, at the client’s premises and remotely providing it is in accordance with our policy statement
What we will never do
1. Engage with business partners or in activities that create a conflict of interest;
2. Act in any way that contravenes this policy;
3. Witness any act that contravenes this policy without reporting it;
4. Certify another certification body or a subsidiary of Compass for its management system certification;
5. Outsource audits to a management system consultancy organisation;
6. Market or offer our services as linked with the activities of a management system consultancy firm;
7. Provide management system consultancy services;
8. Conduct internal audits of management systems for our certified clients;
9. Certify a system where we have conducted internal audits of the system within a 2-year period;
10. Make arrangements with business partners that are not disclosed in a contractual agreement.
11. Certify a management system that poses an unacceptable risk as defined by the Compass risk policy and procedure
12. Accept Gifts that could be perceived to constitute a risk to impartiality. All gifts above $100 must be disclosed to a director.
Questions
Any questions relating this policy should be directed to the board of directors at [email protected]
Monitoring and Reporting
The effectiveness of this policy will be monitored. An annual review of the policy and its effectiveness will be undertaken by the Board of Directors.
Endorsement
This Policy is endorsed by the Board; accepted by the Compass Impartiality Committee and the document is owned by the Managing Director.
Quality Policy
How we do business
Policy Statement
At Compass Assurance Services (“Compass”) the quality of our service, the development of our people and the satisfaction of our clients are what guides us.
We strive to be innovative, open-minded, lively, collaborative and skilled
Our Commitments
We are committed to:
• Meeting the requirements of our clients
• Maintaining effective systems that assist us to comply with requirements
• Embracing every opportunity to continually improve what we do and how we do it
• Ensuring our policies are accessible, communicated and understood
• Reviewing our quality objectives and performance against these objectives on a regular basis
• Contributing to the credibility of certification, assurance and training
• Acknowledging the needs of all parties that rely upon us or we have a significant impact upon
Monitoring & Reporting
The effectiveness of this policy shall be monitored. An annual review of its effectiveness shall be made by the Board.
Endorsement
This policy is endorsed by the Board of Directors and the document is owned by the Managing Director.
Policy Statement
At Compass Assurance Services (“Compass”) the quality of our service, the development of our people and the satisfaction of our clients are what guides us.
We strive to be innovative, open-minded, lively, collaborative and skilled
Our Commitments
We are committed to:
• Meeting the requirements of our clients
• Maintaining effective systems that assist us to comply with requirements
• Embracing every opportunity to continually improve what we do and how we do it
• Ensuring our policies are accessible, communicated and understood
• Reviewing our quality objectives and performance against these objectives on a regular basis
• Contributing to the credibility of certification, assurance and training
• Acknowledging the needs of all parties that rely upon us or we have a significant impact upon
Monitoring & Reporting
The effectiveness of this policy shall be monitored. An annual review of its effectiveness shall be made by the Board.
Endorsement
This policy is endorsed by the Board of Directors and the document is owned by the Managing Director.
Quality Objectives
We:
1. Respond to people in a timely manner, if someone asks us a question we answer them within 1 business day
2. Ensure key deliverables such as reports and certificates are delivered as soon as is practicable and no later than 10 days following the engagement
3. Ensure audits are planned appropriately with programmes ready at least 2 weeks before the engagement as practicable
4. Train our people, listen to them and contribute to their development and growth
5. Grow our business responsibly and sustainably by setting budgets for revenue, profit, client retention and new business and plans to achieve them
6. Help our clients by listening and acting upon feedback, providing tools, thought leadership and sharing our knowledge
7. Challenge the status quo, improve our systems regularly and resource opportunities for our people to manage interesting and challenging projects
1. Respond to people in a timely manner, if someone asks us a question we answer them within 1 business day
2. Ensure key deliverables such as reports and certificates are delivered as soon as is practicable and no later than 10 days following the engagement
3. Ensure audits are planned appropriately with programmes ready at least 2 weeks before the engagement as practicable
4. Train our people, listen to them and contribute to their development and growth
5. Grow our business responsibly and sustainably by setting budgets for revenue, profit, client retention and new business and plans to achieve them
6. Help our clients by listening and acting upon feedback, providing tools, thought leadership and sharing our knowledge
7. Challenge the status quo, improve our systems regularly and resource opportunities for our people to manage interesting and challenging projects
Complaints and Appeals Procedure
Purpose & Our Commitment
The purpose of this procedure is to describe the process that all stakeholders may initiate to lodge a complaint or an appeal with Compass Assurance Services Pty Ltd “Compass”.
Compass is committed to continually improving our service and see feedback as a key input into this process. We encourage feedback so that we may resolve your concern in a constructive and timely manner and so that we may improve our business.
We take all complaints and appeals seriously and commit to resourcing the complaints resolution process in an appropriate manner. We take full responsibility for decisions related to complaints and appeals. We recognise that clients and stakeholders have the right to provide feedback or make a complaint. We commit to dealing with all complaints and appeals fairly and without prejudice at all times ensure confidentiality is maintained.
We commit to managing complaints and appeals in a timely manner and providing ongoing feedback throughout the complaint resolution process. Compass aim to have every complaint and appeal resolved within a 3 month period from lodgement.
The Complaints and Appeal Process
An appeal is an application for reversal of a decision. An appeal may be lodged with regard to an audit finding such as a non-conformance or a certification decision such as to grant, suspend or withdraw a certificate.
A complaint is a statement that something is unacceptable or unsatisfactory.
Lodging A Complaint or an Appeal
Appeals or complaints must in the first instance be lodged directly with Compass.
These can be submitted by emailing the Managing Director care of [email protected] or in writing care of 1C, 60 Enterprise Place, Tingalpa, QLD 4173
For more information on lodging a complaint or an appeal you may phone the Managing Director on 1300 495 855.
Initial Handling
All complaints and appeals relating to Compass or Compass clients or workers are scanned for validity and are then lodged in our corrective action database and given a unique corrective action number, responsible person, date of lodgement and target resolution date. A letter confirming the corrective action number and acknowledging receipt of the complaint are sent to the initiator within 5 working days.
Resolution Process
The nominated responsible person is responsible for managing the resolution process. The responsible person will be someone who is a competent person, independent and has not been involved in the client specific audit or certification decision.
The responsible person will analyse the complaint, taking into consideration other complaints and the overall management system of the client and determine a cause. An action plan will then be developed to correct the current issue and for corrective action.
If the complaint in question refers to a certified client then the responsible person will notify the client at an appropriate time.
The action plan will be approved by the Managing Director and then actioned as soon as is reasonably practicable.
The responsible person may nominate action owners but is ultimately responsible for the resolution process.
Once the action plan has been deployed and completed a review is undertaken by a person not involved in the complaint to ensure the corrective actions were effective. Written confirmation of the actions taken and the status of the resolution will be sent to the initiator and the complaint will be closed.
Compass shall only on the basis of consultation with its client and the complainant whether and to what extent, the subject of the complaint and its resolution shall be made public.
If the complaint has not been resolved within the nominated time frame, the complainant may escalate the complaint to the Managing Director for immediate review.
Tracking Process
Initiators may contact the Managing Director care of [email protected] or in writing care of PO Box 1408 Cleveland, QLD, 4163 or by phone on 1300 495 855 stating their name, address and the unique corrective action number. Written confirmation of status of complaint will be sent no less than on a quarterly basis.
The Managing Director reviews all complaints and appeals as part of the monthly board meeting any complaints or appeals that have not been closed within the target resolution date are discussed at the board meeting to ensure appropriate resources are available and the complaint has the appropriate priority.
Formal Review
All complaints and appeals are reviewed at board meetings and at the impartiality committee meetings. Top management review Complaints and corrective actions are also an input into the formal management review process of Compass’s Quality Management System.
Escalation
If unhappy with the outcome of the Compass review of your complaint and the decisions made by Compass then initiators have a right to make a formal complaint to JAS-ANZ www.jas-anz.org. All complaints or appeals unresolved by Compass within 3 months of our target resolution date are brought to the attention of JAS-ANZ by Compass.
The following information will be forwarded to JAS-ANZ:
• Written details of the original complaint
• Records of the review of the complaint
• Documented response to the complainant
• Any other correspondence with the complainant
The purpose of this procedure is to describe the process that all stakeholders may initiate to lodge a complaint or an appeal with Compass Assurance Services Pty Ltd “Compass”.
Compass is committed to continually improving our service and see feedback as a key input into this process. We encourage feedback so that we may resolve your concern in a constructive and timely manner and so that we may improve our business.
We take all complaints and appeals seriously and commit to resourcing the complaints resolution process in an appropriate manner. We take full responsibility for decisions related to complaints and appeals. We recognise that clients and stakeholders have the right to provide feedback or make a complaint. We commit to dealing with all complaints and appeals fairly and without prejudice at all times ensure confidentiality is maintained.
We commit to managing complaints and appeals in a timely manner and providing ongoing feedback throughout the complaint resolution process. Compass aim to have every complaint and appeal resolved within a 3 month period from lodgement.
The Complaints and Appeal Process
An appeal is an application for reversal of a decision. An appeal may be lodged with regard to an audit finding such as a non-conformance or a certification decision such as to grant, suspend or withdraw a certificate.
A complaint is a statement that something is unacceptable or unsatisfactory.
Lodging A Complaint or an Appeal
Appeals or complaints must in the first instance be lodged directly with Compass.
These can be submitted by emailing the Managing Director care of [email protected] or in writing care of 1C, 60 Enterprise Place, Tingalpa, QLD 4173
For more information on lodging a complaint or an appeal you may phone the Managing Director on 1300 495 855.
Initial Handling
All complaints and appeals relating to Compass or Compass clients or workers are scanned for validity and are then lodged in our corrective action database and given a unique corrective action number, responsible person, date of lodgement and target resolution date. A letter confirming the corrective action number and acknowledging receipt of the complaint are sent to the initiator within 5 working days.
Resolution Process
The nominated responsible person is responsible for managing the resolution process. The responsible person will be someone who is a competent person, independent and has not been involved in the client specific audit or certification decision.
The responsible person will analyse the complaint, taking into consideration other complaints and the overall management system of the client and determine a cause. An action plan will then be developed to correct the current issue and for corrective action.
If the complaint in question refers to a certified client then the responsible person will notify the client at an appropriate time.
The action plan will be approved by the Managing Director and then actioned as soon as is reasonably practicable.
The responsible person may nominate action owners but is ultimately responsible for the resolution process.
Once the action plan has been deployed and completed a review is undertaken by a person not involved in the complaint to ensure the corrective actions were effective. Written confirmation of the actions taken and the status of the resolution will be sent to the initiator and the complaint will be closed.
Compass shall only on the basis of consultation with its client and the complainant whether and to what extent, the subject of the complaint and its resolution shall be made public.
If the complaint has not been resolved within the nominated time frame, the complainant may escalate the complaint to the Managing Director for immediate review.
Tracking Process
Initiators may contact the Managing Director care of [email protected] or in writing care of PO Box 1408 Cleveland, QLD, 4163 or by phone on 1300 495 855 stating their name, address and the unique corrective action number. Written confirmation of status of complaint will be sent no less than on a quarterly basis.
The Managing Director reviews all complaints and appeals as part of the monthly board meeting any complaints or appeals that have not been closed within the target resolution date are discussed at the board meeting to ensure appropriate resources are available and the complaint has the appropriate priority.
Formal Review
All complaints and appeals are reviewed at board meetings and at the impartiality committee meetings. Top management review Complaints and corrective actions are also an input into the formal management review process of Compass’s Quality Management System.
Escalation
If unhappy with the outcome of the Compass review of your complaint and the decisions made by Compass then initiators have a right to make a formal complaint to JAS-ANZ www.jas-anz.org. All complaints or appeals unresolved by Compass within 3 months of our target resolution date are brought to the attention of JAS-ANZ by Compass.
The following information will be forwarded to JAS-ANZ:
• Written details of the original complaint
• Records of the review of the complaint
• Documented response to the complainant
• Any other correspondence with the complainant
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