Appeals & Complaints Handling

Appeals & Complaints Handling

Annex 1: Handling Appeal & Complaints:

1.1 Title:

Standard Operating Procedure for Handling Appeal and Complaints.

1.2 Purpose:

This process explains the process for handling appeal and complaints.

1.3 Scope:

This procedure is applicable by RICGISO from any applicant or certified organization of RICGISO can make appeal against all decision of (QAAC) which includes application reviewer, audit team and decision maker, The procedure includes handling of all complaints received by customers against the quality of the services provided, personnel involved in certification process certified clients, or any other by any means or even relevant reference appearing in print media.

The RICGISO will be responsible for collecting and verifying all necessary information to validate the appeals or complaint, The top management of RICGISO Quality Assurance Analyst Committee (QAAC) ensures that there will be not any discriminatory action against the applicant and complainant on submission investigation and decision on appeal and complaint.

1.4 Responsibilities:

Quality Assurance Analyst Committee- QAAC (CEO, Operation Head & Certification Manager)

1.5. Appeals:

1.5.1. Appeals of certification results.

1.5.2. Appeals of certification suspension or withdrawing.

1.5.3. Appeals of nonconformities.

1.5.4. Appeals of audit costs.

1.5.5. Appeals of rejection of certification applications.

1.6. Complaints:

1.6.1. Dissatisfaction of certification outcome.

1.6.2. Failure of client services for quality management system.

1.6.3. Dissatisfaction of auditors’ qualification.

1.6.4. Dissatisfaction of resolution clients may ask the quality control manager to refer the matter.

1.6.5. Delay of issuing certification and resolution clients may ask.

1.6.6. Complaints about certain auditors.

1.7. Receiving Appeals and Complaints:

1.7.1. All appeals and complaints are revived by email, fax, written letters or verbal messages; only clarified client’s name and contact details shall be reported and received.

1.7.2. If appeals and complaints occur related with certification issues, the receiver shall initiate preventive/corrective action request and report to Certification Manager, If Appeals and complaints are received through the RICGISO website and they are simple cases, the receiver responds to the originator of the complaint.

1.7.3. All necessary measures shall be taken to preserve the confidentiality of information obtained during the investigation of a complaint.

1.8. Follow Up Actions:

1.8.1. Records for all appeals, complaints and dispute and its resolution.

1.8.2. Decisions of resolution measures, root cause analysis and corrective action.

1.8.3. Execution of corrective actions.

1.8.4. Documentation and evaluations about effectiveness of corrective action taken.

1.8.5. QAAC will record all complaint and investigation findings and the corrective action taken.

1.8.6. The complaints file shall be reviewed prior to each annual management review meeting in order to determine any trends and additional corrective actions required to prevent recurrence.

1.9. Notification of Results:

The Certification Manager will inform the client of the outcome of the appeals and complaints by email, written letter or telephone, the written response will include the outcome of the complaint, reasons for the decision and any changes which resulted from the complaint.

1.6. Policy and Methods:

Rawan Quality Assurance Analyst (RICGISO) did developed the policy for receiving the appeals which will be recorded by Certification Manager and discuss with Quality Assurance Analyst Committee (QAAC) to take necessary action, The QAAC appointed an Investigation Officer (01) who will handle all the appeals and complaints from the clients.

1.6.1. Investigation of Complaints:

There are three categories of complaints received by RICGISO:

1. 1. Complaints against clients.

1. 1. Complaints against certification committee members and assessors.

1. 1. Complaints against RICGISO officials.

1.6.2. Complaints against clients:

The complaint received against a certified client the content of complaint will be noted and severity of complaints will be analyzed, If complaint is from any regulatory body, The RICGISO will sent notice immediately for a corrective action, If the complaint is about ISO 14001 & 45001 a special short visit audit will be planned to review effectiveness of certified management system.

The client will be informed for all complaints received against it, if the evidence required corrective action; (QAAC) will take prior approval from client and complainant for making complaint and its resolution publically accessible.

1.6.3. Complaints against certification committee members:

Procedure for dealing with complaints against certification committee members and assessors will be reviewed by organizing a specific committee where the member who has been claimed for complain be not member of this committee for investigation.

The (QAAC) appeals and complaints main responsible are consist of (1) Appeals and Complaint Officer & (1) Investigation Officer who will review the complaint and will work for the resolution closely with (QAAC) If the complaints was about any of the party which includes assessors, certification committee members or any other.

The committee shall submit their findings to technical team and inform (QAAC) for the final decision on resolution, In case of valid complaints action taken by (QAAC) my involve feedback for corrective action followed by monitoring, warning against future recurrence and in extreme cases, deletion of the assessor from empaneled list or remove of certification committee member from the committee.

The outcome of the investigation shall be informed to the complainant and a brief summary of nature of the complaint, outcome of the investigation and action taken shall be added to the monitoring information regarding the concerned assessors or certification committee members.

1.6.4. Complaints against the RICGISO officials:

If the complaint is against RICGISO any officer, He/she will be not involved in investigation of process either directly or indirectly. All complaints should be bright to the notice of (QAAC) General Director/CEO who will seek clarification from the person concerned, if an investigation is required, The responsible team chosen by the committee may conduct the investigation, The findings of the committee will be placed before the General Director/CEO for the (QAAC) decision.

If the complaint is found to be valid, General Director/CEO shall ask the concerned staff to take required corrective action for effectiveness, This information will be also filed in performance review record of the concerned staff in which case (QAAC) staff rules and bye laws shall be followed, The complainant will be informed about the outcome of the complaint and action will be taken by the (QAAC) Head and Members.

If complaint is against the General Director/CEO or Technical Operation Team the (QAAC) members and the Head of All operation will be noticed and the action will be taken by the Top Management Committee.

1.6.5. Report and Record of Appeals and Complaints:

All the appeals and complaints will be recorded both soft and hard in the management system, an outcome of investigation of complaint and root cause analysis if any corrective action is felt necessary the appeals and complaints officer shall inform the concern department and corrective action should be initiated by department in line with requirements of procedure for control of non-conformities and correction actions.

All records pertaining appeals and complaints will be maintained up to date by the appeal and complaints officer, the status of complaints shall be reported to the Certification Manager and (QAAC) who will be responsible for monitoring of the complaints.

The Appeals and Complaints Officer will analyses all the complaints and their outcome for possible trends, The complaints received, Their handling and the correction actions taken will be discussed as an agenda items in the internal analysis and review meeting under the (QAAC) General Director, The analysis of complaints will be placed before (RICGISO) governing body for management review.

All complaints pending for more than 90 days will be transferred to accreditation board a long all documents original complaint, record review, respond to complainant and with details of action taken by (QAAC).

Appeals and Complaints file is maintain by the Appeals and Complaints Officer, Where all correspondence in respect of complaints received, The (QAAC) decision and other relevant documents are filed date wise.

Appeals and Complaints:

Documented Information: