1. Scope of this Document
| PURPOSE: |
Appeal and Complaint |
| SCOPE: |
To respond to appeals and complaints about the Management System Certification of the organization and to define the Terms for dealing with the appeals and complaints. |
| RESPONSIBILITY: |
BOD/CEO/QM/IC |
2. Introduction
| 2.1 |
An applicant, a certified company or any interested party may appeal against a decision of GUARDIAN. The matter is referred to the Appeals Panel whose decision is final. This Procedure is also publicly available on the GUARDIAN website www.guardiancertification.com |
| 2.2 |
Any complaint received by GUARDIAN in writing or by e-mail or telephone in respect of its functions as a certification body or a company certified by it shall be fully reviewed by the CEO and shall be recorded in the complaint register with its nature. The tracking and recording of complaints, including actions undertaken in response to them, is maintained by the CEO in GUARDIAN –F-016 |
| 2.3 |
Any appeal may be filed by writing a mail to guardianassessment@gmail.com |
3. Administration of appeal
| 3.1 |
GUARDIAN shall have a documented process to receive, evaluate and make decisions on appeals. any complaint not filed online shall be recorded on the website automatically and a unique complaint number shall be allocated to the complainant, within 05 days QM / ED shall review the complaint and shall ensure an action plan and acknowledgement of the same shall be sent to the client directly from the website. Status of the complaint is always visible to the client for the next 2 years. |
| 3.2 |
shall be responsible for all decisions at all levels of the appeals-handling process. The certification body shall ensure that the persons engaged in the appeals-handling process are different from those who carried out the audits and made the certification decisions |
| 3.3 |
Submission, investigation and decision on appeals shall not result in any discriminatory actions against the appellant. |
| 3.4 |
The appeals-handling process shall include at least the following elements and methods:
- an outline of the process for receiving, validating and investigating the appeal, and for deciding what actions need to be taken in response to it, taking into account the results of previous similar appeals;
- tracking and recording appeals, including actions undertaken to resolve them;
- ensuring that any appropriate correction and corrective action are taken.
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| 3.5 |
The GUARDIAN ASSESSMENT receiving the appeal shall be responsible for gathering and verifying all necessary information to validate the appeal. |
| 3.6 |
GUARDIAN shall acknowledge receipt of the appeal and shall provide the appellant with progress reports and the result of the appeal. |
| 3.7 |
The decision to be communicated to the appellant shall be made by, or reviewed and approved by, individual(s) not previously involved in the subject of the appeal. |
| 3.8 |
The certification body shall give formal notice to the appellant of the end of the appeals handling Process |
| 3.9 |
In the event of an applicant, Certified Company or any interested party, wishing to contest any decision of GUARDIAN, he shall, within 14 days after having been officially informed of such a decision, give notice in writing to GUARDIAN ASSESSMENT of his desire to appeal against the decision. The receipt of the appeal is acknowledged by the CEO and the applicant is informed of the progress made and the outcome. GUARDIAN is responsible for all decisions at all levels of the appeals-handling process |
| 3.10 |
Tracking and recording appeals, including actions undertaken to resolve them and ensuring that any appropriate correction and corrective action are taken, are done by the CEO in a format no GUARDIAN-F-018 and presented in front of the Appeal panel |
| 3.11 |
On receipt of such an appeal, the CEO shall advise the Board of Directors and the Impartial Committee of the details of the appeal received. The Board of Directors will proceed to constitute an independent Appeals Panel in each case in consultation with the Impartial Committee. The Appeals Panel will comprise a Chairman who will be assisted by two members of the Impartial Committee representing the area of technical expertise related to the nature of the appellant's activities under certification. The appellant will have the right to object against the inclusion of any person in the Appeals Panel. All members chosen to form the Appeals Panel shall not have been previously involved in the decision appealed against. GUARDIAN also ensures that the persons engaged in the appeals-handling process are different from those who carried out the audits and made the certification decisions |
| 3.12 |
The meeting of the Appeal Panel shall be held within 30 days of the receipt of notification from the appellant and the appellant will be provided with at least 7 clear days of written notice of the time and place of the Appeals Panel Meeting. Before the meeting of the Appeals Panel, the existing decision of GUARDIAN is to remain in force |
| 3.13 |
At the Appeals Panel meeting both the appellant and the appropriate representative from GUARDIAN shall be entitled to be heard in confidence and the majority decision of the Appeals Panel shall be final. While making a decision the results of previous similar appeals are taken into account |
| 3.14 |
The CEO shall ensure that the appellant is advised in writing of the decision of the Appeals Panel within 7 days of the decision. The CEO shall record details of the appeal in the Register of Appeals and implement the decision of the appeals panel, as required |
| 3.15 |
At conclusion of the appeal, the CEO will also review the grounds of appeal and evaluate if any possible improvements to GUARDIAN ASSESSMENT’s control systems are required. A description of the appeals handling process is available on GUARDIAN ASSESSMENT website to make it publicly accessible |
| 3.16 |
GUARDIAN ASSESSMENT ensures through the Appeal Panel that the decision to be communicated to the appellant made by, or reviewed and approved by, individual(s) not previously involved in the subject of the appeal |
| 3.17 |
The CEO shall ensure that the submission, investigation and decision on Appeals shall not result in any discriminatory actions against the appellanand t that any appropriate correction and corrective action are taken. The certification body shall give formal notice to the appellant at the end of the appeals handling process. |
4. Appeal Panel
| 4.1 |
Appeal panel is a temporary penal constituted for hearing the appeal and shall consist of the following members |
| 4.2 |
- One Expert Member having sectoral competencies.
- One Retired government officer having experience of appeal and similar penal.
- One Member of Impartial Committee
- One member from the Board of Director of the company who is not part of the certification team.
- One member from Certification team preferably CEO / QM to clarify the aspect of the GUARDIAN ASSESSMENT, such member shall have no right to make a decision but shall help the panel to reach on decision with the help of the facts and evidence.
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| 4.3 |
One member can have up to 2 representations and any member from a government department may represent the government as well expert or IC. |
| 4.4 |
Competence criteria for selection of a member of the appeals panel are defined in GUARDIAN-F-12 Job Description which includes a brief introduction, constitution, educational criteria, experience, duties, authorities and responsibilities. |
5. Administration of Complaint
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| 5.1 |
shall be responsible for all decisions at all levels of the complaints-handling process |
| 5.2 |
Submission, investigation and decision on complaints shall not result in any discriminatory actions against the complainant |
| 5.3 |
Upon receipt of a complaint, QM shall confirm whether the complaint relates to certification activities that it is responsible for and, if so, shall deal with it. If the complaint relates to a certified client, then examination of the complaint shall consider the effectiveness of the certified management system. |
| 5.4 |
Any valid complaint about a certified client shall also be referred by the GUARDIAN ASSESSMENT to the certified client in question at an appropriate time |
| 5.5 |
The certification body shall have a documented process to receive, evaluate and make decisions on complaints. This process shall be subject to requirements for confidentiality, as it relates to the complainant and the subject of the complaint |
| 5.6 |
The complaints-handling process shall include at least the following elements and methods |
| 5.7 |
- An outline of the process for receiving, validating, and investigating the complaint, and deciding what actions need to be taken in response to it;
- tracking and recording complaints, including actions undertaken in response to them;
- Ensuring that any appropriate correction and corrective action are taken.
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NOTE ISO 10002 guides complaints handling |
| 5.8 |
GUARDIAN ASSESSMENT receiving the complaint shall be responsible for gathering and verifying all necessary information to validate the complaint |
| 5.9 |
Unless the complaint is submitted online, a copy of the complaint shall be marked to the complainant too, in other conditions, whenever possible and the complaint is maintainable, QM shall acknowledge receipt of the complaint and shall provide the complainant with progress reports and the result of the complaint |
| 5.10 |
The decision to be communicated to the complainant shall be made by, or reviewed and approved by, individual(s) not previously involved in the subject of the complaint if the complaint is related to GUARDIAN or a certified client of GUARDIAN ASSESSMENT. |
| 5.11 |
Whenever possible, QM shall give formal notice of the end of the complaints-handling process to the complainant |
| 5.12 |
CEO shall determine, together with the certified client and the complainant, whether and, if so to what extent, the subject of the complaint and its resolution shall be made public. |
6. Complaint Process
| 6..1 |
Any complaint can be filed by providing details on the website of the GUARDIAN ASSESSMENT in the complaint section or by writing a mail to info@Guardiangroup.org. any complaint not filed online shall be recorded in the website automatically and unique complaint number shall be allocated to the complainant, within 05 days QM / ED shall review the complaint and shall ensure that an action plan and acknowledgement of the same are sent to the client directly from the website. The status of the complaint is always visible to the client for the next 2 years. |
| 6.2 |
- Complaint can be filed in respect of the following:
- Details of the certified client is not publicly available
- Publicly available information is incorrect or misleading
- The company have no system in place
- Integrity Violation
- System / Procedure Violation
- Any other complaint
- Note: The nature of the complaint may be added or deleted to ensure suitability and the right to add or delete the complaint shall remain with the CEO.
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| 6.3 |
The client needs to provide minimum following documents |
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- Certificate number if the client is certified
- Name of the company under reference (If Any)
- Complainant's name
- Complaint mail id
- Contact number of the complainant
- Relationship with the company under reference
- Nature of complaint
- Details of complaint
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| 6.4 |
Any complaint filed shall be immediately issued a unique complaint tracking id number in YYYYMMDDNN where YYYY is the year of filing the complaint MM is the month DD is the date of filing the complaint and NN is the complaint number. |
| 6.5 |
The date of filing the complaint shall be automatically recorded in the software. |
| 6.6 |
The complainant nt may track the complaint status and may get in touch with the GUARDIAN or CEO directly if not satisfied with the response of the primary team. |
| 6.7 |
Copy of the mail shall be sent to the complainant, in case the complaint does not get the copy of the mail, they are advised to check their spam too, despite in case the mail is not received, complainant is advised to please write a mail in the above format to guardianassessment@gmail.com. |
| 6.8 |
All the complaint shall be verified in 05 (five) working days by Manager Finance and if complaint are found considerable same shall be acknowledged. In case any other clarification is required, Manager Finance shall start communication with the complainant and shall understand the complaint. If its minor problem (Details of the certified client is not publicly available and Publicly available information is incorrect or misleading) which have no impact or low in nature shall be analysed and resolved by Manager Finance in 5 working days. In case issue substantial system failure (i.e. Company have no system in place, Integrity Violation, System / Procedure Violation) this shall be discussed with the CEO and action shall be taken in discussion with CEO. in case CEO is not available in the office, QM shall be consulted and as early CEO is available in the office, list of complaint shall be presented before the CEO. |
| 6.9 |
If the complaint relates to the certified client:
CEO must ensure that the effectiveness of the certified management system is checked by competent auditor(s), who were not involved with the client previously.
The letter in question is sent to certified client within 14 days of receiving of complaint and recorded in the complaint register. The tracking and recording complaints, including actions undertaken in response to them is maintained by manager finance on portal and back up is recorded from time to time.
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| 6.10 |
If the complaint is about certified client management system
The CEO ensures that the effectiveness of the certified management system is checked by competent auditor(s)/person(s) who were not involved with the client previously.
The concerned auditors may be summoned to confirm the facts if it relates to certification activity.
After root cause analysis, method to eliminate cause of complaint would be arrived at and suitable corrective and preventive measures instituted
If the complaint is against an officer of GUARDIAN including CEO then it will be investigated by the chairman of the Impartial Committee. The complaint shall be closed within 45 days of the receiving of the complaint.
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| 6.11 |
Manager finance in consultation with CEO or QM shall submit reply to the complainant or may seek further information and may treat the complaint. |
| 6.12 |
Status of the complaint shall be made available and complainant may search the complaint status by entering unique complaint number, following number shall be made available to the complainant: |
| 6.13 |
- Name of complainant
- Company name under reference
- Complaint Date
- Complaint Status
- Remark of the GUARDIAN
- Response date
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| 6.14 |
In case of any complaints CEO shall monitor:
Promptness and effectiveness of the actions. Taken in respect of the complaint received ensure its prompt disposal.
Ensure that the complainant is advised of the result of the investigation within Five days of the receipt of the complaint.
All complaints, after redressed & disposal, shall be closed through a closing note / closing call by the Manager in consultation with QM/CEO.
Ensures that any appropriate correction and corrective action are taken and also suitable preventive action is taken to avoid recurrence of such cases.
Ensure that Effectiveness of the measures adopted are covered during the Management Review Meeting
The entire process to be followed meets the requirement of confidentiality as it relates to the complaint and to the subject of the complaint. The complaints are recorded in the complaint register.
Gather and verify all necessary information to validate the complaint.
Ensures that the acknowledgement of receipt of the complaint is sent to the complainant and is informed about the progress and outcome of the result in writing every month till its closure.
Ensures that the decision communicated to the complainant is made reviewed and approved by the individual(s) not previously involved in the subject of the complaint.
Give formal notice of the end of the complaints-handling process to the complainant.
Ensures with the client and the complainant to the extent to which complaint may be made publicly available.
Ensure that the complaint has been closed within the 45 days of the receiving of the complaints.
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7. Escalation of complaints
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In case complainant is not satisfied with the response of the GUARDIAN, complainant may contact board of director at info@guardiancertification.com along with all information and response of the GUARDIAN and ground for dissatisfaction for further investigation.
if a complainant is not satisfied with the outcome of the GUARDIAN’s complaints and further interference of CEO or its complaint handling process, the complainant may refer the complaint to ACCREDITATION BOARD directly.
if the Complaints are not closed out within a timeframe as prescribed then agreed with the complainant shall be escalated to the GUARDIAN top management to ensure that the complaint receives the appropriate priority.
The Complaints which are not closed within agreed timeframe as prescribed shall be brought to the attention of board of the director / impartial committee.
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