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APPEAL AND COMPLAINT

Procedure No:- DAPL-P06 Ver. 00

Procedure for Appeals and Complaints

6.1       PURPOSE                                                                                          
                                                           
This procedure defines the appeals & complaints handling procedure of DAPL as per the            
requirement of a Certification Body. It describes the systematic and consistent recording,
Handling and evaluation of appeals and complaints pertaining to DAPL’s certification activities
Including certificates, reports and other decisions taken by the Certification Body. The appeals &
Complaints handling process is made publicly available on the website of DAPL.

6.2       SCOPE                                                                                    

This procedure is applicable to the entire certification activities of DAPL.             

6.3       RESPONSIBILITY
                                                                                     
The responsibility for the contents of this documented procedure and for receiving, recording,
processing and evaluation and decision of appeals shall rest with the CEO and that of complaints
shall rest with the Technical Director.

DEFINITION OF APPEAL AND COMPLAINT

APPEAL:  A request by a client, his authorized representative or a responsible party, to the
Certification Body for re-consideration of a decision it has made related to the
Verification, validation or certification of that client is termed an Appeal.

COMPLAINT: A Complaint is defined as an expression of dissatisfaction or concern about the
service, lack of service, other than appeal, by any person or organization, to the
Certification Body related to its certification activities.

6.4       PROCEDURE

6.4.1    APPEALS

        • The appeals handling process covering 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.  DAPL provides the client with guidance on how to appeal and direct to the standard business terms
described in DAPLD08, Certification Agreement.  DAPL-F09- Appeal form has to be filled by the appellant
and forwarded to DAPL.
b) The CEO of DAPL shall take care of the appeal received from any client/appellant.  A written
or electronic acknowledgement is given to the appellant.
c) The Top Management, 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) DAPL gives formal notice to the appellant of the end of the appeals-handling process.

        •   The description of the appeals-handling process is publicly accessible on DAPL’s website.

 

6.4.1.3 DAPL 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.

        •   DAPL 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, DAPL 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.

6.4.1.5   DAPL’s 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;

  •  tracking and recording appeals, including actions undertaken in response to them; and
  •  ensuring that any appropriate correction and corrective action are taken, taking into account the results of  previous similar appeals.

6.4.1.5.1 The normal process is as described below:

    • Receiving:    DAPL sends DAPLF-09 Appeal form to the client to fill and receive it. A written or electronic acknowledgement is given to the appellant within 45 days.

                                  The appeal received is then recorded in the Appeals Register and DAPL-F09 is passed on
to  the CEO for review and evaluation.

    • Evaluation:   The CEO reviews the appeal to ascertain its validity. If the appeal received is related to DAPL’s certification activities, the appellant will be informed that the appeal is under review.

    If not, the appellant will be communicated to that effect.

    • Investigating: The CEO with help of Technical Committee will investigate the appeal using DAPL-F09, and it may include the following:
      • 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 CEO to determine whether action is required or not. 
Action required:     If DAPL;          take required corrective action
If client;         get audit report prepared and corrective action
(Verify effectiveness of actions taken and respond to client/interested party).

 Action not required:    Respond to client/interested party (when the 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.                           

 

6.4.1.5.2 If the result of normal process is proved inadequate, or the appellant fails to agree to
The solution, DAPL’s CEO 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 DAPL.

 

6.4.1.6 DAPL shall ensure that the appellant be provided with progress reports and the outcome.

        • DAPL 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
        • DAPL has established a time frame for taking decision on appeals as 60 to 90 days from the actual

receipt of the appeal.

6.4.1.9 The certification body receiving the appeal shall be responsible for gathering and verifying all necessary information to validate the appeal.

6.4.2    COMPLAINTS

        •    DAPL shall be responsible for all decisions at all levels of the complaints handling process.

 

6.4.2.2. Submission, investigation and decision on complaints shall not result in any discriminatory actions against the complaint

6.4.2.2.1 Upon receipt of a complaint, DAPL confirms whether the complaint relates to certification activities that it is responsible for and, if so, deals with it. If the complaint relates to a certified client, then examination of the complaint considers the effectiveness of the certified management system

6.4.2.3   DAPL shall refer, at an appropriate time, a valid complaint to the certified client in question.

        •  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.

6.4.2.5   DAPL’s complaints-handling process include the following elements and methods:

  • an outline of the process for receiving, validating, investigating the complaint, and for deciding what actions are to be taken in response to it;
  • tracking and recording complaints, including actions undertaken in response to them; and
  • ensuring that any appropriate correction and corrective action are taken.
    • Receiving:    DAPL uses DAPLF08 Complaint form to receive the complaint in writing from the complainant.

  The complaint received is then recorded in the Complaints Register and DAPLF08 is passed
on to  the Technical Manager for validation.

    • Validating:    The Technical Manager reviews the complaint to ascertain its validity. If the complaint received is related to DAPL’s certification activities, the complainant will be informed that the complaint is under review.  If not, the complainant will be communicated to that effect.
    • Investigating: The Technical Director investigates the complaint using DAPLF08, and may include the following:
      • 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

      Determines Action required:  YES/NO

YES:    If DAPL;          take required corrective action (DAPLF08).
If client;         prepare audit report, list corrective action
Verify effectiveness of actions taken and respond to client/interested party and inform them of right to appeal.
NO:    Respond to client/interested party and inform them of right to appeal (when nature of complaint is without merit.

6.4.2.6    DAPL is responsible for gathering and verifying all necessary information to validate the complaint.

        •   DAPL shall provide the complainant with progress reports and the outcome.
        •   DAPL 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.
        •   DAPL will give formal notice of the end of the complaints-handling process to the  complainant, whenever possible.
        •  DAPL 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.
        • DAPL will resolve the complaints within 90 days from the date of receipt of the complaint.
        • DAPL will provide the client with liberty to approach the Accreditation Board in case client is not satisfied or the complaint has not been resolved within 90 days from the date of its receipt.

Records:

DAPL-F08 Complaints & action form
DAPL-F09 Appeals form

 

 
 
 
     
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