Appeals and Complaints

Receipt of Appeals and Complaints

When we receive an appeal, the Certification/Deputy Manager ensures that the appeal is recorded in the Appeals Register with the following information:-

  • Appeal number
  • Appellant
  • Date received
  • Nature of the Appeal

The Certification/Deputy Manager sends a receipt to the appellant and validates the appeal and passes the information to the formed appeals panel.

The Certification/Deputy Manager appoints the Appeals Panel. For appeals against an Assessor's decision to issue an Improvement Action Report (IAR), the Appeals Panel will co-opt another Independent European Certification Malaysia Lead Assessor onto the Panel (independent of the appellant certification activity).

The Chairman of the Appeals Panel (elected by simple majority from their group) must ensure that an Appeals hearing takes place within 30 clear days of receipt of the appeal and the Appellant is given at least 7 days notice of the time and place of the hearing.

The Certification/Deputy Manager shall act as the Appeals Panel Secretary unless he has been involved in the subject of appeal in such a case the Chairman of the Appeals Panel shall appoint another person to act as secretary.

Conduct of Appeals Panel

The appellant and the Assessor/Certification/Deputy Manager are entitled to be heard in confidence. The panel reviews in detail the submission from the appellant the relevant Independent European Certification Malaysia reports such as:-

  • Assessment Checklists
  • Improvement Action Reports
  • Assessment Reports
  • Certification Manager1s review of reports

The documentation available is then examined and a decision made on the validity of the appeal. Decisions are made based on the Independent European Certification Malaysia Quality Manual and Operating Procedures, Regulations and the Scheme Description. The decision of the Appeals Panel as declared by its Chairman shall be final.

The Certification Manager then informs the appellant in writing of the Appeals Panel's decision. Any corrective and preventative actions following the complaint review will be recorded on the Improvement Action report (QA12) and progressed by the Certification/Deputy Manager who will carry out a follow up verification assessment to ensure that the corrective actions taken are effective in preventing recurrence or by the Deputy Certification Manager if the Certification/Deputy Manager was involved in the appeal.

Review of Appeals

During the periodic Management Review and Board of Governors Meeting, all Appeals will be analysed to determine whether the action taken has been effective from the NCR and investigation information. This review will also determine whether there are any trends/similarities in the nature of complaints and determine what action should be taken in the light of such findings.

Receipt of Complaints

When a verbal complaint is received or dispute arises, it is recorded in the Complaints Register and a brief summary prepared on the Complaint Form and passed to the Certification/Deputy Manager and the complainant requested to put the complaint in writing (until it is confirmed in writing it is not forwarded to the Complaints Panel but investigated by the Certification Manager and reported in the form of a complaint log of the actions taken until the formal complaint in writing is received).

A written complaint (the only recognised formal complaint) is recorded in the Complaints Register and passed to the Certification/Deputy Manager who acknowledges receipt to the complainant and ensures that the complaint/dispute has been recorded in the Complaints Register with the following information and keeps at least every week or as detailed within the receipt letter a progress report to the complainant/appellant:-

  • Complaint number
  • Complainant
  • Date received
  • Nature of the Complaint/Dispute
  • Complaint Form completed for verbal/telephone complaints

The Certification/Deputy Manager appoints the Complaints Panel 3 people. For complaints or disputes involving an Assessor, the Complaints Panel will co-opt another Independent European Certification Malaysia Lead Assessor onto the Panel and a Director of the company.

The Chairman of the Complaints Panel must ensure that a Complaints hearing takes place within 30 clear days of receipt of the complaint and the Complainant is given at least 7 days’ notice of the time and place of the hearing.

The Certification/Deputy Manager shall act as the Complaints Panel Secretary unless he has been involved in the subject of complaint in such a case the Chairman of the Complaints Panel shall appoint another person to act as secretary and to keep the clients at least weekly involved or at another deadline as detailed in written correspondence with the complainer.

Conduct of Complaints Panel

The complainant and the subject of the complaint are entitled to be heard in confidence.

The panel reviews in detail the submission from the complainant and any relevant Independent European Certification Malaysia reports such as:-

  • Assessment Reports
  • Certification/Deputy Manager's review of reports

The documentation available is then examined and a decision made on the validity of the complaint. Decisions are made based on the policies and procedures in the Independent European Certification Malaysia Manual, Operating Procedures, Regulations and the Scheme Description.

Decisions are made on a majority vote basis.

The Panel's decision on the matter is final and is recorded in the meeting minutes, which are circulated to the Certification/Deputy Manager who updates the Complaints Register. The Governing Board is advised as of the nature of the complaint and the actions taken/resolution.

The Certification/Deputy Manager then informs the complainant in writing of the Complaints Panel's decision. Any non-compliance or corrective and preventative actions following the complaint review will be recorded on the improvement action report (QA12) and progressed by the Certification/Deputy Manager who will carry out a follow up verification assessment to ensure that the non-compliance or corrective actions taken are effective in preventing recurrence or by the Deputy Certification Manager if the Certification Manager was involved in the complaint/dispute/non-compliance.

Review of Complaints

During the periodic Management Review and Board of Governors Meeting, all complaints and disputes will be analysed to determine whether the action taken has been effective from the improvement action report and investigation information. This review will also determine whether there are any trends/similarities in the nature of complaints and determine what action should be taken in the light of such findings.

Corrective Actions

The Certification/Deputy Manager is responsible for determining the causes of nonconformity, correcting the nonconformities and for evaluating the need for actions to ensure that nonconformities do not recur; determines and implements in a timely manner the actions needed and records the results of the actions taken and reviews the effectiveness of the corrective actions.

Preventative Actions

The Certification/Deputy Manager is responsible for taking preventative actions to eliminate the causes of potential nonconformities to be commensurate with the probable impact of the potential problems including the following:

  • Identification of the potential nonconformity and their cause
  • Evaluating the need for action to prevent the occurrence of nonconformities
  • Determining and implementing the necessary actions and recording the results of the actions taken
  • Reviewing the effectiveness of the preventative actions