Apeals and Complaint Handling Process
A.13d | Effective Date : 15/05/2016 | |
Sl.No. |
Activity |
Responsibility |
1. |
Appeals |
|
1.1 |
Any person affected by the decision of QMSI can file an appeal. Appeal against decision made by QMSI must be filed within one month of decision by QMSI. |
Appellant |
1.2 |
Review the documents in relation to appeal and seek additional information and/or documents, if necessary. |
Director - Operations |
1.3 |
Confirm appellant about receipt of appeal within 15 days of registering it as an Appeal in (format F.26) ‘Quality Problem Report’. |
Do |
1.4 |
Review Appeal and disallow, if not convinced with the merit of appeal and accordingly update appellant. |
Do |
1.5 |
If appeal has some merit, appoint an independent and impartial Appeals Panel to investigate the matter and produce a report within 3 months. Appeal Panel is headed by Director - Operations and two other members can be selected from ‘List of competent auditors, Lead Auditors &Technical Experts’ (A.7), from regulators, etc. or suggested by Appellant (if allowed by Director - Technical). It is ensured that the persons who carried out the audits and made the certification decision are not included in the Appeals Panel. |
Do |
1.6 |
Investigate the case and provide the appellant with the opportunity to formally present its case. Prepare report and give recommendation to Director - Technical. |
Appeal Panel |
1.7 |
Review and seek clarifications, if required. Otherwise, approve and accept recommendation. |
Chairman |
1.8 |
Appeal upheld |
|
1.8.1 |
Immediately rectify the consequences of the initial (inappropriate) decision and prepare a formal written reply to the appellant, including a description of the action taken and an apology for any inconvenience. |
Director - Operations |
1.8.2 |
Ensure that appropriate corrective action (as per section 10.7 of Management Manual) is planned and taken to prevent the recurrence of similar problem. |
Do |
1.9 |
Appeal not upheld |
|
1.9.1 |
Prepare a written response to the appellant. The report will include a clear account of the reasons for supporting the original decision. |
Do |
1.10 |
A copy of the response letter shall be attached to the QPR (F.26). |
Do |
1.11 |
Give a formal notice to appellant of the end of appeals-handling process. |
Do |
1.12 |
Ensure that submission, investigation and decision on appeals do not result in any discriminatory actions against the appellant. |
Do |
2. | Complaints | |
2.1 |
Receive complaint and record in F.26 ‘Quality Problem Report’. |
Director - Operations |
2.2 |
Review complaint to confirm, whether it is related to QMS International certification activities or related to QMSI certified client. |
Do |
2.3 |
Acknowledge the complainant within one week, giving brief details on the approach being followed for resolving the issue. |
Do |
2.4 |
Gather and verify all necessary information to validate the authenticity of complaint. |
Do |
2.5 |
Ensure adequate confidentiality, as it relates to the complainant and to the subject of the complaint. |
Do |
2.6 |
Complaint related to QMS International activities |
|
2.6.1 |
Follow Section 10.2.7 of Management Manual for initiating root cause analysis and initiation of appropriate correction &corrective action(s). |
Do |
2.7 |
Complaint related to Certified Client of QMSI |
|
2.7.1 |
Refer valid complaint to the certified client within ONE weekfor comments, and if required, details of correction and corrective actions being planned or taken to resolve the situation within a specified time period. |
Do |
2.7.2 |
Investigate the problem and take appropriate correction and corrective action and update QMSI |
Certified client |
2.7.3 |
Review the actions taken by client and confirm with complainant, if they are satisfied with the actions taken. |
Director - Operations |
2.7.4 |
If complainant is not satisfied, initiate further action(s) which may include scheduling special short-notice audit to investigate the situation and review effectiveness of the certified management system processes related to complaint area. |
Do |
2.8 |
Kindly ensure that complaint is being investigated, reviewed and approved, including communication to complainant is carried out by individual(s) not previously involved in the subject of the complaint. |
Do |
2.9 |
Ensure that complainant is provided with progress report and the outcome. |
Do |
2.10 |
Give a formal notice to complainant of the end of complaint-handling process. |
Do |
2.11 |
Where complainant or other interested parties are not satisfied with the action taken, ensure that they are aware of the appeal process & the procedures to be followed. |
Do |
2.12 |
All disputes & complaints are reviewed by the Director – Technical, who may appoint an independent and impartial appeals panel to investigate any complaint that they feel has not been dealt with properly. The decision of such a panel shall be implemented and may not be vetoed by QMSI. |
Do |
2.13 | Information about the subject of the complaint and its resolution can be made public in consultation with complainant and the related certified client. | Do |
2.14 |
All complaints that are not resolved within three months of the timeframe (aged complaints) are informed to Accreditation Board. |
Do |
2.15 | Ensure that submission, investigation and decision on complaints do not result in any discriminatory actions against the complainant. | Do |