For complaints all kind of notifications within the scope of ACCREDITATION BODY accreditation is considered, coming from a client or other or interested parties expressing dissatisfaction with the level of service given by KV REGISTRAR or its customer. The notification may take many forms e.g. verbally, in letters or e-mails, via ACCREDITATION BODY or as feedback to a customer satisfaction survey. Letters or e-mails from workers/former workers of certified Organisations, concerns received verbally during interview phase from the auditor must be considered as complaints.

Complaints, Disputes & Appeals management

Operation Committee or Head of Certification or relevant personnel appointed by KV REGISTRAR are responsible for investigating and responding to local complaint, appeal, and dispute issues.

Complaints/disputes received directly by KV REGISTRAR

In case of receipt of a complaint relevant to provisions of Management system audit requirements or accreditation procedure, KV REGISTRAR Office is responsible for:

• a) Determine if the complaint is substantiated based on evidence received
• b) Initiate complaints procedure by acknowledge receipt of the complaint to the complainant within 5 working days and provide the complainant with instructions on KV REGISTRAR complaints management rules Appeals Policy and Process that are available on the KV REGISTRAR Website

KV REGISTRAR SHALL retain the anonymity of the complainant in relation to the client, if this is requested by the complainant.

Anonymous information and expressions of dissatisfaction that are not substantiated do not need to be registered and processed as complaints, but as stakeholder comments and considered during the next audits.

Case 1: If the complaint is not substantiated:

-a notification SHALL be prepared in agreement with KV REGISTRAR Office and sent to the complainant, providing reasons for not accepting the complaint and instructions on the appeals process. The complainant SHALL also be given the opportunity to provide additional evidence to support the complaint. As a rule, a complaint SHALL be accepted when directly addressed to KV REGISTRAR, when referred to one or more standard requirements and when supported by sufficient evidences to plan actions and start investigation.

Case 2: If the complaint is substantiated:

Under supervision of the KV REGISTRAR Office, a staff will be designated for reviewing complaint’s relevance to provisions of ISO 17021-1 or ACCREDITATION BODY audit requirements or accreditation procedures and determining whether record the information as documented evidence of a client’s non-compliance. In case where the complaint relates to an audit itself, when undertaking a complaint investigation, personnel different than the Audit Team that performed the audit subject of complaint will be assigned;

-an investigation SHALL be undertaken and may be aided through the undertaking of an unannounced audit and interviews with outside stakeholders, such as: Trade Unions, NGOs and the complainant, at a minimum. The investigation SHALL cover all elements identified in the complaint. Auditor with sufficient experience SHALL be assigned for such special tasks.

-under the supervision of the KV REGISTRAR Office, a complaint report regarding the conclusion of the investigation SHALL be submitted to the complainant within 10 days of rendering the decision. The report SHALL summarize the documented evidence submitted and the response, if there is any, from the certified Organisation’s management. If the certified Organisation has agreed to corrective action, this commitment SHALL be included in the report. When KV REGISTRAR appointed staff confirms that the certified Organisation has implemented the corrective action, this information SHALL be included in the report as well. The certified Organisation’s management SHALL have the right to submit a written response to the allegations. This response, or a summary of it, SHALL be included in complaint report. The report SHALL be written according to any relevant confidentiality agreements.

-The KV REGISTRAR Office SHALL update the Complaint Register

-Copy of the complaint reports and of all complaint documentation SHALL be maintained by KV REGISTRAR Office, at local level for a minimum of 1 year after resolution of the complaint, and kept available for consultation, in case of need.

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Complaints/disputes received by ACCREDITATION BODY regarding CBs or CB Clients

In case of complaints received by ACCREDITATION BODY, KV REGISTRAR Office is responsible to acknowledge receipt of the complaint from ACCREDITATION BODY with following further requirements:

• a) If complaint is substantiated, within 10 days from acknowledgement of complaint from ACCREDITATION BODY, KV REGISTRAR Office SHALL prepare a plan of action to be presented to ACCREDITATION BODY. Subsequent reports every 30 days after that point SHALL be submitted.
• b) KV REGISTRAR Office SHALL establish contact with the complainant as part of the investigation.
• c) KV REGISTRAR Office SHALL complete the investigation within 90 days or sooner, unless otherwise agreed upon with ACCREDITATION BODY.

ACCREDITATION BODY may elect to investigate the action decided by KV REGISTRAR Office in investigating the complaint, by conducting and additional audit of KV REGISTRAR Office or certified Organisation. The Complaint Management is done jointly by Impartiality Committee.

Other types of complaints/disputes received by ACCREDITATION BODY

ACCREDITATION BODY may receive information regarding a KV REGISTRAR or a KV REGISTRAR’s certified client from a stakeholder with whom ACCREDITATION BODY or ACCREDITATION BODY has a relationship. This stakeholder may have information that raises issues of concern about the certified Organisation, which then requires investigation by the CB. ACCREDITATION BODY shall treat such issues of concern as formal complaints and will require KV REGISTRAR an investigation as per section 6.7 and correspond directly with the stakeholder. Should the relevant complainant wish to remain anonymous, ACCREDITATION BODY shall act as the intermediator. KV REGISTRAR will send all correspondence to ACCREDITATION BODY, which will liaise with the complainant.

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Appeals

KV REGISTRAR Considers appeals as an application (as to a recognized authority i.e KV REGISTRAR) for corroboration, vindication, or decision of KV REGISTRAR on any matter like certification decision, Auditor allocation, KV REGISTRAR verdict on complaint, Audit report or any other decision or action taken by KV REGISTRAR.

KV REGISTRAR shall be responsible for all decisions at all levels of the appeals-handling process. KV REGISTRAR shall ensure that the persons engaged in the appeals-handling process are different from those who carried out the audits and made the certification decisions.

Process:

KV REGISTRAR has a process to receive, evaluate and take decision on appeals detailed below and is responsible for all decisions at all levels of the process

1. Submission, investigation and decisions are taken by Head of certification & Operation Committee thus ensuring that no discriminatory action is taken against the complainant Appeals may be received on Verbal Communication, Email or Post and Physical Office Visit

2. Appeals received are registered in writing and will be brought to attention of Head of Certification KV REGISTRAR immediately.

3. The Head of Certification will validate, investigate and put up to the Impartiality Committee decide on actions to be taken taking into account similar appeals in the past

4. KV REGISTRAR acknowledges receipt of appeal and shall inform the appellant on the progress/result of investigation. and takes the necessary corrective/preventive action

5. The impartiality committee recommends the action to be taken

6. KV REGISTRAR shall give a formal notice to the appellant at end of appeal handling process.