Appeal and Complaints Procedure

Document Reference: FICPL/ACP/0725
Issue Date: 8th of July 2025
Revision: 01

Appeal and Complaints Control

This procedure comprehensively explains the appeals and grievances process for client organizations, activities related to third-party processes, evaluation of various techniques, opinions, and complaints from interested parties regarding FICPL certification program activities.

1. Receiving Complaints and Appeals

Communication Channels

• Appeals or complaints can be received through telephonic conversation, email, or written correspondence
• Every concerned person must be notified via prescribed communication modes about complaints made or potential impacts
• Complaint details and related parties must be documented on the Customer Complaint Sheet
• The Director or Operations Manager must address the matter following receipt

Documentation Requirements

• Appeal List or Customer Dissatisfaction records
• Customer Complaint Papers
• Formal complaint registration forms

2. Identifying the Nature of Complaints/Appeals Received

Analysis and Verification

The next step after receiving complaints involves comprehensive analysis. Responsibility for verification rests with personnel having authority to handle such matters. This role is significant for certification purposes and may include:

• FICPL Management System issues
• Certificate issuance concerns
• Third-party inspection matters
• Other certification-related activities

Reference points 4–6 for detailed appeal handling requirements.

3. Appeals Not Related to Certification

Non-Certification Matters

• If complaints or appeals do not relate to certification activities, the Director or designated person-in-charge will address the matter and prepare necessary reports
• Final results are documented in customer files and matters are formally closed
• Reports may be verbal for such cases

Documentation

• Appeal dealing lists
• Customer dissatisfaction records

4. Investigation Team Operations

Specialized Investigation Team

• FICPL maintains a specially trained investigation team
• Investigation personnel are independent from audit teams, certification decision-makers, or anyone connected with appeals
• Customer files must contain complete records of appeals and respective investigation results

Documentation Requirements

• Personnel appointment records for investigation team formation
• Investigation team assignment documentation

5. Complaint/Appeal Handling Process

Comprehensive Action Protocol

• Appropriate actions are essential when dealing with appeals or complaints
• Customer files must contain complete examination records and related measures
• All persons connected with raised complaints must be notified about results and actions taken regarding appeals/complaints

Documentation

• Customer complaint or appeal reports
• Action tracking documentation
• Resolution status records

6. Customer Satisfaction Assurance

Satisfaction Goals

• FICPL intends that interested parties or customers, being concerned complainants or appellants, are satisfied with investigation results
• If concerned parties are not satisfied with results, FICPL team members will continue investigation processes
• Upon customer satisfaction with final decisions, FICPL will close examinations and notify customers in writing
• Written consent will be obtained from appellants/complainants for case closure

Ongoing Process Management

• Continuous investigation until satisfaction is achieved
• Formal closure procedures with written confirmation
• Customer acceptance documentation requirements

7. Response Time Requirements

Immediate Response Protocol

• After receiving complaints, Directors must receive immediate notification to address matters and document details in Customer Files
• FICPL team members must attend to appeals/complaints received within 72 hours from receipt time

Documentation

• Appeal dealing reports
• Customer dissatisfaction instance records
• Response time tracking documentation

8. Arbitration Process

Secondary Appeal Mechanism

• If customers are not satisfied with complaint or appeal results and decisions, they can submit additional appeals within 30 days from complaint handling notification receipt date
• Arbitrators are vested with authority to pass orders on raised appeals, with concerned authorities including FICPL
• Everyone connected with cases must abide by arbitrator instructions
• Upon customer satisfaction with final decisions, FICPL will close examinations and notify customers in writing, obtaining written consent from appellants/complainants

Arbitration Authority

• Independent arbitrator decision-making power
• Binding arbitration decisions for all parties
• Final resolution authority for unresolved complaints

Decision-Making Responsibilities

Primary Authority

The primary responsibility for dealing with complaints and appeals rests with the Director of FICPL. The organization undertakes to decide on appeals concerning various levels. Detailed procedures are available on the official FICPL website.

Appeal/Complaint Handling Policies

Independence Requirements
As per FICPL policies, responsibility for carrying out all activities related to complaints or appeals will be handled by respective FICPL authorities. Concerned persons must differ from team members conducting:

• Inspection activities or audits
• Certification activities related to respective appeals or complaints

Authority Limitations
After submitting decisions or investigation reports, FICPL will not have authority against customers or complainants to take disciplinary action.

FICPL Member Considerations for Appeals/Complaints

Investigation Standards

• Verification Process: FICPL will conduct verification processes to examine appeal accuracy and gather all related information for smooth processing
• Investigation Planning: After receiving appeals/complaints, FICPL team members will frame outlines for conducting further investigations, deciding respective actions and detailed implementation processes
• Corrective Action: Ensure necessary corrective actions are taken when required
• Documentation: Maintain proper documentation and retain track records for actions taken regarding various complaints/appeals

Detailed Handling Process

Initial Processing

Immediate Documentation : Receipt of any complaint or appeal should be immediately addressed by recording the same in Customer Files on the same day received. Only Directors can decide on these appeals or complaints.

Notification Requirements : Concerned FICPL personnel responsible for necessary activities upon complaint receipt must notify respective appellants or complainants confirming receipt of said complaints/appeals. They will also provide details for resolving issues arising in respective cases.

Investigation Protocol

Comprehensive Investigation Investigation is vital for passing correct orders for received complaints or appeals. FICPL teams must gather all necessary data, information, records, and related documents to examine every instance. Investigations will also consider results and findings of any previous examinations on said matters. Only unrelated parties without interests in complaints/appeals can have responsibility for deciding on concerned matters.

Post-Investigation Procedures

Certification/Inspection Related Cases

• If investigations are connected with certification or inspection, investigation reports must be submitted within 72 hours
• Before communicating decisions to Appliers/Complainers, teams must hold consultations with Impartial Committee Members
• Departments must receive notifications about complaint or appeal receipt having close links with inspection or certification
• Dealing must be completed within three days
• Files will be closed only after satisfactory customer comments

Complainant/Applier Notification

• Investigation teams will first communicate complaint/appeal receipt to concerned persons and elaborate on case progress
• Team members will notify them about corrective measures taken
• Decisions should be communicated to Appliers/Complainers for their acceptance
• Final orders will be communicated and written acceptance requested
• Records must be maintained in FICPL-F-23

Investigation Time Limits

Standard Timeline

Arbitration Process

Secondary Appeal Rights

In cases of dissatisfaction on complainers'/appliers' part, they have opportunities to raise further appeals before arbitrators. These must be presented within 30 days from complaint handling determinations.

Complaints About Certified Clients

Client-Related Complaint Resolution

FICPL authorities will request suitable responses from customers after investigations are completed. They need to provide opinions about corrective actions taken by auditors. If there are complaints against certified clients, FICPL will investigate matters and attempt to resolve issues for both parties. Teams will make resolutions available for public view.

Certification User Complaints

User Complaint Processing

The complaint handling process, as described above, must be followed in cases of any complaints from certification users.

Confidential Information Management

Confidentiality Requirements

FICPL has respective confidentiality policies and procedures. Investigation teams must strictly abide by all rules, ensuring appeals, complaints, or actions taken thereon will not be leaked to unauthorized parties.

Information Protection

Documentation and Record Keeping

Required Documentation

Form References

Quality Assurance

Process Monitoring

Training Requirements

Approval and Authorization

Approved by FICPL Director

Manesh P

Document Control Information

This document supersedes all previous versions. All personnel must ensure they are working with the most current version of this procedure.

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