Standard Operating

Procedures
For IAPMO Uniform Evaluation Service (IAPMO UES)

No: ES-008
Title: Complaints Procedure
By: RB Appr. By: OD Date: 08/01/2016

1.0 Scope: This policy covers complaints directed at IAPMO UES, from persons external to it or its own
employees, contractors and committee members. Complaints cover all manner of communications with
IAPMO UES including, but not limited to: telephone calls, letters, faxes, E-mails, and personal visits to
the UES office for the purpose of communicating a problem. External persons directing a complaint
toward an IAPMO UES client should first contact that client and attempt to resolve their issue directly
with the client, however, IAPMO UES staff have the right to forego this requirement depending on the
nature of the complaint and its sensitivity.

2.0 Responsibility: The Vice President of IAPMO UES is ultimately responsible for the expeditious
resolution of all complaints, their documentation and dissemination among appropriate departments
and/or staff persons within IAPMO UES. IAPMO UES typically attempts to resolve a complaint within
six months from the receipt of the complaint. However, it is not possible to do so on all complaints
received due to various circumstances, such as delay in receiving additional information from the
complainant, time it takes to complete testing, etc. The underlying goals of the IAPMO UES complaint
system are; the mutually satisfactory resolution of problems between IAPMO UES and its customers, the
overall strengthening of the service provider/customer relationship, and the improvement of IAPMO
UES's internal policies and procedures.

3.0 Procedures:
Complaint is processed in accordance to section 4.0 “Complaint Process Flowchart”. Depending on the
nature of the complaints, additional information such as proof of failure of a product testing conducted by
an ISO/IEC 17025 compliant testing laboratory, photograph/document providing evidence of the
complaint, etc. may be requested. Complaint Committee referred in the flowchart consists of at least 3
(three) staff members in the Managerial or Engineer level, who have not been involved in the certification
activities related to the complaint, to discuss this complaint. A complaint can only be closed if the
majority votes to close the complaint. Depending on the nature of the complaints and/or staff
availability, the votes may be collected through a meeting, a conference call, or balloting. The steps to
document a complaint in the complaint database (intranet) is are as follows:
a) Complaint Form. All complaints are to be documented using the IAPMO UES Complaint Form on
the UES Intranet. The complaint form has ample room for documenting all communications and
actions pertaining to the case. All key information and decisions shall be documented.
b) All customer correspondence must be attached to the form for the record.
c) All complaint forms documenting resolved issues should be marked "Closed". Evidence of
committee approval for closure is to be uploaded in the appropriate complaint record.
d) All complaints are considered a high priority action and the goal should be to resolve the issues as
quickly as possible and to properly document the case consistently throughout its life cycle.
e) If the complaint results in a corrective action for IAPMO UES, ES-016 is followed accordingly.
Complaint log is to reference the corrective action number.
f) All complaints shall remain confidential in the following manner:

IAPMO UES shall not disclose the identity of the complainant to the client the complaint was served.
Any data generated during the investigation of the complaint including the results of the investigation
shall not be shared with the complainant and be kept confidential as per Licensing Agreement para 34.

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 Standard Operating
Procedures
For IAPMO Uniform Evaluation Service (IAPMO UES)

No: ES-008
Title: Complaints Procedure
By: RB Appr. By: OD Date: 08/01/2016

When possible, IAPMO UES will give formal notice of the outcome and the end of the complaint process
to the complainant without disclosing any confidential information.

4.0 Complaint Process Flowchart:

Mark NO Counterfeit NO Product NO
Start
Infringement? Product? Performance?

Complaint
YES YES YES Administrator to
process this
Complaint Received complaint in
Follow ES-009 Contact legal accordance with
Section V to department for directions from the
resolve the issue directions VP of UES. If
corrective action is
Complaint necessary, ES-016
Administrator is Complaint is followed
notified and entered Complaint Administrator to accordingly.
into complaint Administrator to process this
database NO Has the issue process this complaint in
been resolved? complaint in accordance with
accordance with directions from VP of
directions from legal UES
department
YES
Sufficient
Complaint Administrator
information to NO Has the issue
sent acknowledgement
NO validate the been resolved?
receipt of complaint and NO
complaint and Has the issue
request for additional
proceed with been resolved?
information
investigation?
YES
NO Confirm issue
YES
with product
performance?
YES

Complaint YES
Additional
Administrator sent Complaint Administrator
information received YES
acknowledgement submits the complaint to Send CC Inspector
from complainant within
receipt of complaint to Complaint Committee for to select samples of
3 months?
complainant review to ensure that actions the product in
taken are effective and question for testing
approval for closure
NO
YES
Is the complaint YES Sample pass
Complaint Administrator valid*?
testing?
closes the complaint due Committee requests for Approve
to insufficient information NO
additional information for
and/or clarification closure? NO
NO
Complaint
Complaint Administrator
YES
Administrator closes requests for back up
Complaint Administrator
the complaint due to sample to be sent for
notifies complainant of Additional Complaint Administrator
inability to validate NO testing
closure of complaint information/ closes the complaint and
complaint
clarification found notifies complainant of
satisfactory? closure**

YES Backup sample

Complaint pass testing?
Administrator notifies YES
End
complainant of closure End
of complaint NO

Follow ES-009
Section VIII.A
“Addendum 1” to
resolve the issue
End

NOTES:
*Complaint is considered invalid when information received was proven to be fraudulent. YES Has the issue NO
**There may be times that complainant may not be notified of the outcome of the complaint investigation due to confidentiality been resolved?
agreement and any related legal matters.

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