Complaint and Appeal Process

2. Scope

This procedure applies to all personnel involved in certification activities, including the submission, investigation, and resolution of appeals and complaints, as well as the creation, maintenance, and secure storage of records for clients and applicants. It covers all steps necessary to document, track, and review information, ensuring accessibility for accreditation audits and internal management purposes.

3. Complaints Procedure

• Receiving Complaints

• Complaints may be submitted in writing, by email, phone, or web form.
• Complainant information and supporting evidence must be recorded in the Complaints Log. 
  

• Acknowledgment

• Acknowledge receipt within 5 working days, including the reference number and expected timeline for resolution.

• Assigning Responsibility

• Appoint a Complaints Review Officer not involved in the activity under complaint.

• Evaluation of Complaint

• Review all relevant documentation, audit records, and certification reports.
• Interview personnel if necessary to gather evidence. 
  

• Investigation and Actions

• Determine validity of complaint.
• Recommend corrective or preventive actions.
• Ensure actions do not compromise impartiality or confidentiality. 
  

• Decision and Communication

• Provide written response within 30 calendar days.
• Inform complainant of resolution, actions taken, and appeal options if dissatisfied. 
  

• Record Keeping

• Maintain complaints register, evidence, investigation notes, and communications for 6 years.

• Review and Improvement

• Include complaint trends, corrective actions, and lessons learned in management review to improve CB operations.

4. Appeals Process

• Submission of Appeals

• Appeals shall be submitted in writing via email or post using the Appeal Request Form.
• Required information includes:

• Name of appellant
• Client/Application number
• Description of the decision or action being appealed
• Grounds for appeal
• Supporting evidence

• Acknowledgment of Appeal

• CB shall acknowledge receipt within 5 working days.
• An acknowledgment letter/email shall include the assigned appeal reference number and expected timeline for resolution. 
  

• Assignment of Appeal Review Team

• Appeals shall be handled by personnel not involved in the original decision or audit.
• The review team must have appropriate competence and impartiality. 
  

• Evaluation of Appeal

• Review documentation, audit reports, certification decision records, and any supporting evidence.
• Interview relevant personnel if needed. 
  

• Resolution and Decision

• The appeal review team shall determine whether to:
  

• Uphold the original decision
• Modify the decision
• Request further investigation or audit 
  

• Communication to Appellant

• Written communication of the outcome within 30 calendar days of appeal receipt.
• Include reasons for the decision, evidence considered, and actions taken. 
  

• Record Keeping

• Maintain appeal documentation, evidence, and communication in the Appeals Register for at least 6 years.

• Continuous Improvement

• Analyze appeals trends during management review to identify process improvements or training needs.