Appeal & Complaint Handling Process
APPEALS
1.1. The appeals handling process that covers receiving, evaluating and making decisions on appeals is carried out as described in the following clauses:
a) Any client or interested party is entitled to appeal in writing, but the appeal must be justified. Appeal has to be filled by the appellant and forwarded to WSA.
b) The Manager Operation of WSA shall take care of the appeal received from any client/appellant. A written or electronic acknowledgement is given to the
appellant.
c) The Manager Operation, in the interest of both the parties, shall contact the client to clarify the matter and settle the appeal amicably. If he succeeds in his
attempt to settle the matter he will inform the client of the result.
d) For any decision in between the final outcome of the result the client will be intimated from time to time.
e) All the progress and results of various stages will be communicated to the client in writing or through electronic media.
f) WSA gives formal notice to the appellant of the end of the appeals‐handling process.
1.2. The description of the appeals‐handling process is publicly accessible on WSA website.
1.3. WSA is responsible for all decisions at all levels of the appeals‐handling process. It ensures that the persons engaged in the appeals‐handling process are different from those who carried out the audits and made the certification decisions.
1.4. WSA ensures submission, investigation and decision on appeals do not result in any discriminatory actions against the appellant. All information related to the appeal is kept confidential by involving only personnel concerned with appeals handling process. No details of the client or the outcome of the interactions during the process is let known to any outsider.
Above all, WSA will determine, together with client and appellant, whether and, if so to what extent, the subject of the appeal and its resolution shall be made public.
1.5. WSA appeals‐handling process include the following elements and methods:
a) an outline of the process for receiving, reviewing, investigating the complaint, and for deciding what actions are to be taken in response to it;
b) tracking and recording appeals, including actions undertaken in response to them; and
c) Ensuring that appropriate correction and corrective action are taken, taking into account the results of previous similar appeals.
1.5.1 The normal process is as described below:
a) Receiving: WSA client to sent appeal in writing to WSA. A written or electronic acknowledgement is given to the appellant. The appeal received is then recorded in the Appeals/Complement Register is passed on to the Manager Operation for review and evaluation.
b) Evaluation: The Manager Operation reviews the appeal to ascertain its validity. If the appeal received is related to WSA’s certification activities the appellant will be informed that the appeal is under review. If not, the appellant will be communicated to that effect.
c) Investigating: The CMD with help of Technical Committee will investigate the appeal, and it may include:
> Internal audit
> Unscheduled audit of client
> Interview with client or interested party
> Interview with auditor concerned
> Review of client file (and related job files) and related information
The outcome of the investigation will be submitted to CMD to determine whether action is required or not.
Action required: If WSA; take required corrective action
If client; get audit report prepared and corrective action listed.
(Verify effectiveness of actions taken and respond to client/interested party).
Action not required: Respond to client/interested party (when nature of appeal is without merit).
Note: A copy of the report along with supporting documents will be submitted to the Impartiality Committee for review and records.
1.5.2 If the result of normal process is proved inadequate, or the appellant fails to agree to the solution, WSA Manager Operation may call the spokesperson of its Impartiality Committee to act as arbitrator. The spokesperson may, if required, delegate arbitration to one or more of the members of the Impartiality Committee. In this case, the decision made by the spokesperson or the member nominated by him shall be binding on WSA.
1.6. WSA shall ensure that the appellant be provided with progress reports and the outcome.
1.7. WSA shall also ensure that the decision to be communicated to the appellant is made by, or reviewed and approved by, individual(s) not previously involved in the subject of the appeal.
Note: The appeal processing shall be documented and filed in the respective certification folder. The documentation shall include the following as a minimum requirement:
> written justification of the appeal
> the corrective action initiated, and
> monitoring of the effectiveness
1.8. WSA established time frame for taking decision on appeals is up to 90 days from the actual receipt of appeals.
2. COMPLAINTS
2.1. The process of complaint handling is done as described below:
Any client or interested party is entitled to lodge a complaint in writing, but the complaint must be justified.
2.2. Upon receipt of a complaint, WSA confirms whether the complaint relates to certification activities that it is responsible for and deals with it only if it is so.
Examination of such a complaint shall also consider the effectiveness of the certified management system of the client.
2.3. WSA shall refer, at an appropriate time, a complaint to the certified client in question.
2.4. This documented process to receive, evaluate and make decisions on complaints is subject to requirements for confidentiality, as it relates to the complainant and to the subject of the complaint.
2.5. WSA complaints‐handling process include the following elements and methods:
a) an outline of the process for receiving, validating, investigating the complaint, and for deciding what actions are to be taken in response to it;
b) tracking and recording complaints, including actions undertaken in response to them; and
c) ensuring that any appropriate correction and corrective action are taken.
2.5.1 The normal process of complainants handling is as described below:
a) Receiving: uses Complaint form to receive the complaint in writing from the complainant. The complaint received is then recorded in the Complaints
Register is passed on to the Manager Operations for validation.
b) Validating: The Manager Operation reviews the complaint to ascertain its validity. If the complaint received is related to WSA’s certification activities, the
complainant will be informed that the complaint is under review. If not, the complainant will be communicated to that effect.
c) Investigating: The Technical Director investigates the complaint using EF08, and may include:
i. Internal audit
ii. Unscheduled audit of client
iii. Interview with client or interested party
iv. Interview with auditor concerned
v. Review of client file (and related job files) and related information.
Determine Action required: YES/NO
YES: If WSA; take required corrective action .
If client; prepare audit report, list corrective action
(Verify effectiveness of actions taken and respond to client/interested party, inform them on the right to appeal).
NO: Respond to client/interested party and inform them of right to appeal (when nature of complaint is without merit).
2.6. WSA is responsible for gathering and verifying all necessary information to validate the complaint.
2.7. WSA shall provide the complainant with progress reports and the outcome.
2.8. WSA ensures that the decision to be communicated to the complainant is made by, or reviewed and approved by only individual(s) not previously involved in the
subject of the complaint.
2.9. WSA will give formal notice of the end of the complaints‐handling process to the complainant, whenever possible.
2.10. WSA will determine, together with client and complainant, whether and, if so to what extent, the subject of the complaint and its resolution shall be made
public.
2.11. WSA will resolve the complaints within 60 days from the date of receipt of the complaint.