Appeals & Complains

Appeals & Complaints

1.0 Purpose

To establish procedures for handling complaints.

2.0 Scope

These procedures apply when an Appeal/Complaint is received from a client. Appeals/Complaints may also be received from a client’s customers or other interested parties. Such Appeals/Complaints will also be processed in accordance with these procedures.

3.0 Responsibilities and Authorities

Managing Director

When a client complaint is received, it will be recorded using the Client Complaint Log by the Managing Director or Office administrator. The processing of the complaint will be assigned to an auditor who is independent of the issue raised.

An initial investigation will be conducted, recording the results, to determine whether all relevant information is available. (Please note that complaints may be part of a suspension and pending certification withdrawal process.)

The independent auditor will determine the need for corrective action. If it is determined that such action is necessary, the auditor will complete a corrective action request form and monitor its progress.

The independent auditor will ensure that the appropriate corrective action is taken and will record the details progressively, including updates to the Client complaint record.

Prior to the management review meeting (or earlier if the trend is apparent), the Managing Director will analyze client Appeals/Complaints to determine overall failure patterns so that effective preventive measures can be formulated and implemented. (Please note that the analysis will include ‘unjustified’ Appeals/Complaints as these may indicate a lack of understanding of client needs.) The analysis method is generally a Pareto analysis, using client and customer groupings, auditors, and procedures/processes as the basis for analysis.

The analysis will be submitted to management for review.

If the complaint originates from a client’s customer or stakeholder, an independent auditor will review the content to determine the urgency of a justified response in relation to the next scheduled audit.

If appropriate, an independent auditor will schedule a special audit at the client to determine the actual position, with nonconformities prepared as necessary. In other circumstances, and if appropriate, at the next scheduled audit, the scheduled auditor will be asked to conduct an investigation as part of normal audit activities.

If the resolution of the complaint is an extended activity, the reporter will continue to be informed about the resolution process and its progress. The reporter will be informed of the results of the investigation.

4.0 Records

Records shall be kept in both printed and electronic formats. Records shall be kept for a period of not less than three years from the date of review.