Complaints Questioning the Validity of a Certification
A process that openly investigates complaints is an important component of any legitimate certification program. The transparency requirements of the SFI Standard and supporting documents allow individuals and organizations to bring forward concerns, as outlined in SFI Requirements: Section 11 – Public Inquiries and Official Complaints.
A complaint does not challenge the credibility or the content of the standard requirements; rather it challenges the audit findings and the decision to grant the certification, or events occurring since the audit that question the maintenance of the certification.
Complaints Process Related to Certification to the SFI 2010-2014 Standard
- Concerns about SFI-certified operations should be taken to the company or organization holding the certificate, with a detailed, written account of the specific non-conformance. The program participant shall respond in writing to the complainant within 45 days after receiving the complaint, and forward a copy of the complaint and its response to the certification body responsible for the audit for future review through surveillance or certification audits.
If the response from the program participant is not satisfactory, the complainant can lodge an official complaint as follows:
- First, the complainant should outline concerns in a letter to the certification body responsible for the audit.
- The certification body may request additional specifics associated with the concerns, and will investigate the issue in accordance with procedures approved by their accreditation body.
- If the certification body finds a sound basis for the complaint, it will require that the program participant take corrective action to address the complaint and advise the complainant accordingly.
- If the certification body does not find a sound basis for the complaint and feels the certification was appropriately granted and performance has not changed since the certification, it would inform the complainant of this.
If the findings of the certification body are not satisfactory, the complainant can move to the higher authority, which is the body that accredited the certification body. These include the American National Standards Institute (ANSI), the ANSI-ASQ National Accreditation Board (ANAB) or the Standards Council of Canada (SCC). The accreditation body will then conduct its own investigation into the complaint as the highest authority.
In the event litigation is involved between the external party and program participant, the complaint process shall be suspended pending resolution of the litigation, and begin once the litigation is resolved assuming the non-conformity issues still remain.
Complaints Process Related to On-Product Label Use
Any party with information or claims about the practices of an SFI program participant or label user, or questions about the validity of a certification under the SFI Requirements: Section 3 – Chain-of-Custody Standard or Section 4 – Rules for Use of SFI On-Product Labels use may seek to have those claims investigated as follows:
- The complainant should outline concerns in a letter to the program participant or label user.
- Within 45 days, the program participant or label user shall respond to the complainant, and forward a copy of the complaint and response to its certification body.
- The certification body shall investigate the validity of the complaint based on the seriousness of the complaint, and respond no later than the next annual surveillance audit.
- If the complainant is not satisfied, they may provide the original documentation and response to the SFI Office of Label Use and Licensing, which shall investigate and respond within 45 days.
After reviewing the information, the SFI Office of Label Use and Licensing may:
- Seek more information.
- Find the complaint is without merit and no further action is required.
- Find that corrective actions are necessary.
- Suspend the label licence if the certificate holder or label user fails to take action or no action would be sufficient to remedy the situation.