Any verbal complaints received will be requested to be confirmed in writing. Only written complaints relating to auditing activities operated by ACTS will be processed in accordance with this procedure.
All complaints are referred initially to the Operations Manager who records summary details in the Complaints Register.
The Operations Manager will write to acknowledge receipt of the complaint and is responsible for establishing the relevance of the complaint.
The Operations Manager is authorised to confirm the validity of the complaint for carrying out subsequent investigation, including tracking and deciding the appropriate action if any to be taken in response.
The Operations Manager is responsible for advising the Director of all complaints received. Details of all such complaints and resolution shall be recorded in the minutes at the next available Management Review Meeting.
The Operations Manager is responsible for negotiating resolution of complaints with the complainant. He/She will advise the complainant about the outcome of the investigation. He/She will also decide, together with the client and complainant, how much information if any, including the outcome is made public.
The Director will be kept informed on the progress of the complaint and final outcome of the investigation and corrective action if any.
When the Operations Manager is the subject of the nature of the complaint, the Sales & Marketing Manager is responsible to establish the relevance of the complaint and take appropriate action as defined above.
When ACTS is the subject of the nature of the complaint, the Operations Manager is responsible to establish the relevance of the complaint and report to the Director the progress and outcome of the investigation. The final outcome of the investigation and action(s) to be taken shall be agreed by Director and communicated to the complainant.
When the complaint is against ACTS audit team that warrants a special visit to the client, the Operations Manager will determine the duration of the audit to be conducted taking into consideration the impartiality, responsibility, competence and openness of delivering the audit that gain/maintain public/stake holders’ confidence. The planning of the audit such as Audit Plan is to be provided to the client before the audit. The outcome of the special visit will be reported to the Director by the Operations Manager for review. The Operations Manager will communicate the decision to the complainant.
Any verbal complaints received will be requested to be confirmed in writing. Only written complaints will be processed in accordance with this procedure. All complaints are referred initially to the Operations Manager who records summary details in the Complaints Register.
If the company is not audited by ACTS the Operations Manager will write to explain this and take no further action.
If the company is audited by ACTS the Operations Manager will write to acknowledge receipt of the complaint and confirm that the audited company operates a system that requires all complaints to be investigated and appropriate action taken. The response will also explain that the matter should be investigated with the company concerned. It must be made clear that ACTS will not become a party to the dispute and the matter must be resolved by the complainant and company.
The Operations Manager will write to the company explaining that a complaint has been received and that the matter will need the company to initiate correction and corrective action, if applicable. The company is to keep ACTS informed of the actions taken to address the complaint. In the case of a serious complaint a special visit may be necessary and step 3.10 above shall be followed. In every complaint, the Operations Manager shall update the complainant with progress reports and the result and decision made on the complaint.
Action taken as a result of complaints are documented; including where appropriate, the corrective and preventive action taken.
