Appeal and Complaints
5.1. COMPLAINTS
5.1.1 Complaint
An expression of dissatisfaction, other than appeal, by any person or organization, to RCPL relating to its activities where a response is expected.
5.1.2 Complaints can be made against:
- RCPL’s operation and / or procedure.
- The auditor, expert, Certification Committee, or staff of RCPL.
- Process of auditing by the auditor.
- Misuse of certification status either in the scope or in the logo.
5.1.3 Complaint Submission
The complaint must be made in writing to RCPL with complete details of the complainant (Name, Address, Organisation, etc.) and a description of the problem. CM will acknowledge the complaint within ten days (excluding postal time) with a brief detail on the approach and approximate time required for addressing the complaint. Complaints shall be received by CM.
5.1.4 Incomplete Complaints
If the complaint has no details of the complainant or the description is not adequate, RCPL shall reserve the right to detail the complaint as deemed unfit.
5.1.5 Complaint Examination
On receipt of the complaint, RCPL will examine whether the complaint relates to its certification activity. If RCPL is responsible for the complaint, then it shall register it in the complaint register (RCPL 037) and deal with it. Depending on the nature of the complaint, a timeframe will be decided between RCPL and the complainant. This will be recorded in the complaint register.
5.1.6 Investigation
CM shall arrange a detailed investigation. An independent review team not previously involved in the subject of the complaint is assigned to conduct the investigation. The investigation shall include the following:
- Identify the cause of the problem and record corrective actions.
- Review of pertinent data.
- Interviews with audit team members, as appropriate.
- Interviews with client’s personnel, as appropriate.
5.1.7 Investigation Findings
The investigation team will report its findings to CM along with its recommendation for the disposal of the complaint.
5.1.8 Outcome
RCPL shall provide the outcome of the investigation done on the complaint and ensures the complainant’s satisfaction on the closing of the complaint.
5.1.9 Escalation
If a complainant is dissatisfied with the outcome of RCPL complaints handling process, the complainant may refer the complaint to EGAC. Complaints that are not closed out within a timeframe documented and agreed with the complainant shall be escalated to RCPL top management to ensure that the complaint receives the appropriate priority. Complaints that are not closed out within 3 months of that agreed timeframe shall be brought to the attention of EGAC.
5.1.10 Correction and Corrective Action
In general, the correction and corrective action shall be taken according to RCPL-MSP-05.
5.1.11 Follow-up and Assessment
CM will follow each complaint to conclusion and initiate possible preventive actions if any. The effectiveness of such actions would be assessed and reported in the Management review meetings.
5.2 APPEAL
5.2.1 Appeal
A request by a client for reconsidering any adverse decision made by RCPL related to its desired certification status.
5.2.2 Reasons for Appeal
- Refusal to accept an application.
- Delay in audit plan implementation.
- Response on corrective action requests.
- Non-response to change of certification scope.
- Decisions to deny, suspend or withdraw certification.
- Any other action that impedes the issue of certification.
- Non-acceptance of auditor’s findings.
5.2.3 Filing an Appeal
Any person or organization can file an appeal against the decision of the RCPL to the Chairman Impartiality Committee through CM. The appeal must be filed in writing within thirty days of the decision of the RCPL along with all the necessary documents in support of the appeal.
5.2.4 Document Verification
CM verifies the documents for completeness and may ask for additional documentary support if necessary. Once documents are complete, the CM acknowledges the receipt of the appeal, and then it shall be registered in the appeal register (RCPL 036). It shall be forwarded to the Chairman of Impartiality Committee. The Chairman has the right to either disallow the appeal or to form an Appeal Panel based on the merit of the contents of the appeal.
5.2.5 Appeal Panel Formation
The appeal panel is headed by one of the impartiality committee members nominated by the Chairman. The nominated head of the Appeal Panel is allowed to take two members out of the auditors, staff of RCPL and is also allowed to invite other outside members as necessary to discharge the appeal. It would be ensured that the members had not been involved in the subject matter of the appeal.
5.2.6 Presentation of Facts
The head may ask the appellant to present the facts in person to the Appeal Panel if necessary or if so desired by the appellant.
5.2.7 Fact Gathering
The Appeal Panel may ask any of the staff, auditors, and group for the facts to help in discharging the appeal based on facts.
5.2.8 Recommendation and Decision
The Appeal Panel gives its recommendation to the Chairman Impartiality for necessary action to discharge the appeal to the satisfaction of the appellant. The Chairman will give the decision on the appeal based on the recommendation by the Appeal Panel. The decision of the Chairman Impartiality Committee in this regard will be final.
5.2.9 Correction and Corrective Action
In general, the correction and corrective action shall be taken according to RCPL-MSP-05.
5.2.10 Progress Update
The progress of investigation and the outcome shall be informed to the appellant to the extent required. A formal notice of the completion of the appeal handling process shall be sent to the appellant.
5.2.11 Non-discrimination
During the appeal process, it is ensured that the submission, investigation, and decision on appeals shall not result in any discriminatory actions against the appellant.
5.2.12 Follow-up and Assessment
CM will follow each appeal to conclusion and initiate possible preventive actions if any. The effectiveness of such actions would be assessed and reported in the Management review meetings.