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Annecure A.13 - Appeals & Complaints
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Authorised By:
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Revision 00 Date 01 / 05 /2008
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Sanjay Kaushik
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Appeal
1.1 Any person affected by the
decision of QMS CS can file an appeal. Appeal against decision made by QMS CS must
be filed within one month of decision by QMS CS.
Appellant
1.2
Review the documents in relation to appeal
and seek additional information and/or documents, if necessary.
Operations Manager
1.3 Confirm appellant about receipt of appeal
within 15 days of registering it as an Appeal in (format F.26) ‘Quality Problem
Report'.
Do
1.4 Pass appeal to the Chairman of Impartiality
Committee.
Do
1.5 Review Appeal and disallow, if not convinced
with the merit of appeal.
Chairman Impartiality Committee
1.6
If appeal has some merit, appoint an independent
and impartial Appeals Panel to investigate the matter and produce a report within
3 months. Appeal Panel is headed by one of the member of Impartiality Committee
and two other members can be selected from ‘List of competent auditors, Lead Auditors
& Operations Experts' (F.5), from regulators, etc. or suggested by Appellant
(if allowed by Chairman, Impartiality Committee). It is ensured that the persons
who carried out the audits and made the certification decision are not included
in the Appeals Panel.
Do
1.7
Investigate the case and provide the appellant
with the opportunity to formally present its case. Prepare report and give recommendation
to Chairman, Impartiality Committee.
Appeal Panel
1.8
Review and seek clarifications, if required.
Otherwise, approve recommendation and Inform Operations Manager of the decision
of Appeal Panel.
Chairman
1.9
Appeal upheld
1.9.1
Immediately rectify the consequences of
the initial (inappropriate) decision and prepare a formal written reply to the appellant,
including a description of the action taken and an apology for any inconvenience.
Operations Manager
1.9.2
Ensure that appropriate corrective action
(as per section 10.7 of Quality Manual) is planned and taken to prevent the recurrence
of similar problem.
Do
1.10
Appeal not upheld
1.10.1
Prepare a written response to the appellant.
The report will include a clear account of the reasons for supporting the
original decision.
Do
1.11 A copy of the response letter shall be
attached to the QPR (F.26).
Do
1.12
Give a formal notice to appellant of the
end of appeals-handling process.
Do
1.13 Ensure that submission, investigation
and decision on appeals do not result in any discriminatory actions against the
appellant.
Do
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Complaints
2.1
Receive complaint and record in F.26 ‘Quality
Problem Report'
Operations Manager
2.2 Review complaint to confirm, whether it
is related to QMS CS certification activities or related to QMS CS certified client.
Do
2.3 Acknowledge the complainant within one
week, giving brief details on the approach being followed for resolving the issue.
Do
2.4
Gather and verify all necessary information
to validate the authenticity of complaint.
Do
2.5
Ensure adequate confidentiality, as it
relates to the complainant and to the subject of the complaint.
Do
2.6
Complaint related to QMS CS Certification activities
2.6.1 Follow Section 10.7 & 10.8 of Quality
Manual for initiating root cause analysis and initiation of appropriate corrective
& preventive action(s).
Do
2.7
Complaint related to Certified Client of QMS CS
2.7.1 Refer complaint to the certified client
for comments, and if required, details of correction and corrective actions being
planned or taken to resolve the situation within a specified time period.
Do
2.7.2
Investigate the problem and take appropriate
correction and corrective action and update QMS CS
Certified client
2.7.3>
Review the actions taken by client and
confirm with complainant, if they are satisfied with the actions taken.
Operations Manager
2.7.4
If complainant is not satisfied, initiate
further action(s) which may include scheduling special short-notice audit to investigate
the situation and review effectiveness of the certified management system processes
related to complaint area.
Do
2.8
Kindly ensure that complaint is being
investigated, reviewed and approved, including communication to complainant is carried
out by individual(s) not previously involved in the subject of the complaint.
Do
2.9
Ensure that complainant is provided with
progress report and the outcome.
Do
2.10
Give a formal notice to complainant of
the end of complaint-handling process.
Do
2.11
Where complainant or other interested
parties are not satisfied with the action taken, QMS CS ensures that they are aware
of the appeal process & the procedures to be followed.
Do
2.12
All disputes & complaints are reviewed
by the Impartiality Committee, who may appoint an independent and impartial appeals
panel to investigate any complaint that they feel has not been dealt with properly. The decision of such a panel shall be
implemented and may not be vetoed by QMS CS.
Do
2.13
Information about the subject of the complaint
and its resolution can be made public in consultation with complainant and the related
certified client.
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