• Putting knowledge and experience behind Certification

  • QMS Assessment to minimise avoidable mistakes

  • A Certification Programme that provides independent assessment

  • Reducing Non-productive Time - Increasing Performance

Complaints and Appeals

1.0 Purpose

1.1.1 The purpose of this document is to specify the activities to be carried out by Fearnley Certification FZCO to document and follow-up on complaints and appeals made by a party affected by the certification body personnel including Fearnley Certification FZCO auditors carrying out the audit or the making certification decisions for the certification body.

1.1.2 The document also specifies the activities to be carried out by the Fearnley Certification FZCO Certification Manager to document and follow-up on complaints made by the certified client organisation, certification application organisations and interested parties (e.g. NGO, labour expert, research institution, trade unions, customers etc.) against the certification body activities.

2.0 Scope

2.1 This procedure applies to all activities associated with complaints and appeals on decisions made relating to management system certification.

3.0 References

3.1 Fearnley Certification FZCO Quality Manual

3.2 ISO/IEC 17021:2015 - Conformity Assessment – Requirements for bodies providing audit and certification of management system.

4.0 Definitions

4.1 See Fearnley Certification FZCO Management System Manual.

5.0 Responsibilities

5.1 Impartiality Committee: The impartiality committee consists of representatives of key interests which includes, Fearnley Certification FZCO Clients, Customers of Fearnley Certification FZCO clients, industry representatives and Fearnley Certification FZCO Personnel. The responsibilities of the impartiality committee include:

  • Assisting in developing the policies relating to impartiality of the certification activities of Fearnley Certification FZCO
  • Counteracting any tendency on the part of Fearnley Certification FZCO to allow commercial or other considerations to prevent the consistent objective provision of certification activities
  • Advising on matters affecting confidence in certification, including openness and public perception
  • Conducting a review, as least once annually, of the impartiality of the audit, certification and decision making processes of Fearnley Certification FPCO
  • Reviewing complaints and appeals to ensure they are handled and dealt with in accordance with this procedure.

5.2 Audit Review Committee: The Audit Review committee made up of Fearnley Certification FZCO directors and managers who shall not be persons who previously carried out or were involved in the audit or certification decision for the appellant. The committee is responsible for investigating on complaints/appeals in relation to the certification decision.

5.3 Fearnley Certification FZCO Certification Manager: Control and monitor appeals and complaint procedures and ensures that all complaints received are responded to in a timely manner, usually within 7 days. Where this cannot be achieved, the Certification Manager shall document the reasons for the delay in response.

5.4 Fearnley Certification FZCO employee: Recipient of the complaint/appeals shall forward to Fearnley Certification FZCO Manager within 2 working days.

6.0 Procedure

6.1 Appeals.

6.1.1 An Fearnley Certification FZCO Certified client organisation or a new certification applicant who disagrees with the certification decision can appeal against the decision by completing QAF-021 Certification Decision Appeal Form and submitting it to Fearnley Certification FZCO.

6.1.2 The appellant should appeal within thirty days of registered mail notification regarding decline of their application received from Fearnley Certification FZCO. Where available, the appellant should provide necessary documents to support their appeal.

6.1.3 The Fearnley Certification FZCO Certification Administrator shall maintain a register for all appeals. The details recorded shall include the date of receipt, client details, summary of appeal and an appeal reference number. Appeals are registered immediately on receipt and the register is updated with the details of the decision of appeal. An acknowledgement receipt of the appeal shall be send to the appellant via email within five working days.

6.1.4 The Fearnley Certification FZCO Certification Manager verifies the documents for completeness and may ask for additional documentation if required. The Fearnley Certification FZCO Certification Manager shall forward the documents and recommendations to the chairman of the impartiality committee once the documents are complete.

6.1.5 The impartiality committee has the authority to overrule the recommendation based on the merit of the contents of appeal. If the appeal is not accepted by the impartiality committee, the Fearnley Certification FZCO Certification Manager shall notify the appellant the reason for not accepting the appeal.

6.1.6 Fearnley Certification FZCO shall appoint one member of the Fearnley Certification FZCO who are not directly involved with 1.) audits or 2.) making certification decision as part of the appeal committee.

6.1.7 The committee members will conduct the necessary investigation for deciding what actions are to be taken in response to the appeal, taking into account the results of any previous similar appeals. The appeal committee will prepare a formal report and forward it to the Fearnley Certification FZCO Certification Manager for review.

6.1.8 The final investigation report once completed shall also be communicated to Fearnley Certification FZCO senior management for further review. The Fearnley Certification Manager shall make necessary arrangement for the appeal committee to meet. The final decision on appeal will be taken during the meeting based on the appeal committee’s majority members recommendation. The final decision on appeal shall be reviewed and approved by the Fearnley Certification FZCO director.

6.1.9 The final decision of the appeal committee shall be communicated to the appellant via email. Once the appeal committee has made decision on appeal, further claim to change or amend the decision of the appeal by either party in dispute will not be permitted.

6.1.10 The appeal committee shall order that corrective action is taken in accordance with QAP 003 Handling Nonconformities and Corrective Action if the appeal is found to be in favour of the appellant. The corrective action process shall be recorded on QAF 009 Corrective Action Form and the Appellant shall be communicated on the corrective action taken.

6.1.11 Any person or body can file an appeal against the decision of the certification body to the Fearnley Certification FZCO Certification Manager.

6.1.12 The impartiality committee shall review all appeal decisions during their annual review meeting.

6.2 Complaints

6.2.1 A complaint can be made by any individual, interested party, customer, client of an Fearnley Certification FZCO certified organisation or body against any of the following;

  • Fearnley Certification FZCO certified organisation
  • Fearnley Certification FZCO operation or it’s procedure,
  • Fearney Certification FZCO employees (Lead auditor, auditor, technical expert, committee members etc.),
  • Fearnley Certification FZCO audit process followed,
  • Misuse of accreditation status either in scope or in use of logo mark.

6.2.2 All customer, client of customer complaints shall be recorded on QAF-022 Certified Customer Complaint Form. If the complaint involves the Fearnley Certification FZCO Certification Manager it should be addressed to the Fearnley Certification FZCO Director of International Operations and Business Strategy with all other complaints addressed to the Fearnley Certification FZCO Certification Manager.

6.2.3 The acceptability of the complaint shall be determined by to whom it is addressed. If the complaint does not have enough details of the complainant or the description is not detailed enough, Fearnley Certification FZCO has the right of dealing with the complaint as deemed fit.

6.2.4 The Fearnley Certification FZCO Certification Manager shall maintain a register for all complaints. The details recorded shall include the date of receipt, client details, summary of complaint and a complaint reference number. Complaints are registered immediately on receipt and the register is updated with the details of the decision of complaint. An acknowledgement receipt of the complaint should be send to the appellant via email within two working days.

6.2.5 If the Fearnley Certification FZCO Certification Manager or Fearnley Certification FZCO Director of International Operations and Business Strategy decides complaints are not acceptable, they should inform the complainant the reasons for not accepting the complaint.

6.2.6 The Fearnley Certification FZCO Certification Manager or Fearnley Certification FZCO Director of International Operations and Business Strategy shall follow the guidelines contained within QAP 003 Handling Nonconformities and Corrective Actions to determine the appropriate corrective action and record the details on QAF 009 Corrective Action Form and register the Corrective Action Report in the complaint register. The complainant is informed on the proposed corrective action and asked to comment within 15 days. One reminder shall be sent to complainant after 14 working days communicating the action taken. If there is no response from the client within 1 month the complaint shall be considered closed.

6.2.7 The complaint register is updated with details of action taken and client response if any.

7.0 Records

7.1 QAF 022 Certified Customer Complaint Form

7.2 QAF 009 Corrective Action Form

7.3 Impartiality Committee Meeting Review Minutes

7.4 Register of complaint & appeals

7.5 QAF 021 Certification Decision Appeal Form