Complaints and Appeals Procedure

Our Complaints and Appeals Procedure Policy

At Compass we believe it is important to be transparent and to behave with integrity at all times.

Purpose & Our Commitment
The purpose of this procedure is to describe the process that stakeholders may use to lodge a complaint or an appeal with Compass Assurance Services Pty Ltd (CAS).

CAS is committed to continually improving our service, encouraging feedback, and ensuring complaints and appeals are managed fairly, impartially, confidentially, and in a timely manner. CAS aims to resolve all complaints and appeals within three months of lodgement.

Complaints as Potential Incidents and Indicators of Nonconformity
CAS recognises that all complaints represent potential incidents and indicators of possible nonconformity. All accepted complaints are entered into the CAS corrective action system, evaluated for root cause, and assessed for correction and corrective action. 

Definitions 
Complaint: A statement that something is unacceptable or unsatisfactory.  

Appeal: A request for reconsideration of a decision. 

Lodging A Complaint or an Appeal
Complaints and appeals may be submitted by email or phone. CAS will acknowledge receipt in a timely manner. 

Initial Handling
CAS will review the complaint or appeal for validity and scope. Accepted complaints will be logged in the corrective action system with a unique identifier, responsible person, date of lodgement, and target completion date. All accepted complaints are treated as potential nonconformities. 

Resolution Process
CAS will assign a competent, impartial, and independent person to investigate. Individuals previously involved will not participate. Complaints related to certified clients will be evaluated for management system effectiveness, and corrective action will be required where appropriate.

Appeals Handling 
An appeal is handled independently to ensure impartiality. CAS will acknowledge the appeal in a timely manner, validate its scope, and assign a competent and impartial reviewer who was not involved in the original audit or certification decision. The reviewer will examine all relevant evidence, reconsider the decision where appropriate, and determine the outcome. CAS will notify the appellant in writing once the appeal review has been finalised.

Additional Requirements for DEWR ISMS Certified Clients
For appeals related to clients certified under the DEWR ISMS scheme, CAS shall notify the Department of Employment and Workplace Relations (DEWR) in accordance with scheme requirements. CAS shall: 

• notify DEWR of the substance of the appeal within seven (7) calendar days of receipt, via [email protected]; and 

• notify DEWR of the outcome of the appeal handling process within seven (7) calendar days of its completion, using the same contact address. 

Tracking and Reporting
Complaints and appeals may be tracked by contacting CAS. 

Complaints and appeals, including their status and trends, are reported monthly to the Kiwa Quality Lead – Australia and New Zealand as part of corporate oversight requirements.

Formal Review
All complaints and appeals are reviewed by the Leadership Team during the annual management review meeting.

5. Escalation
If a complainant or appellant is dissatisfied with the way CAS has handled their matter or with the outcome provided, they may lodge a formal complaint directly with JAS-ANZ by accessing the link:  

Contact us • JASANZ 

Complaints that remain unresolved within three months beyond the target date, or those indicating risks to accreditation, impartiality, or certification integrity, will also be notified to JAS-ANZ without undue delay.