Procedure of reviewing complaints and appeals

  1. Purpose and scope of use.
    1. This document describes the procedure of examining appeals and complaints concerning the issues of audit and certification of management systems in the LLC "EUROSTANDARDCERTICICATION" certification body of management systems (hereinafter referred to as OS) for the purpose of settling and objectively resolving disputes between the applicant and the OS.
    2. This document is mandatory for the OS, as well as for enterprises, institutions, organizations of all forms of ownership and citizens - business entities, incl. foreign, irrespective of the form of ownership (hereinafter - the applicants), who file a complaint or appeal.
  2. Normative references
    The instruction refers to the following documents:
    • DSTU ISO 10002: 2007 "Customer Satisfaction. Guidelines for handling complaints in organizations."
  3. Responsobility
    1. Responsibility for complying with the requirements of this instruction rests on the OS manager and the OS personnel.
    2. The Appel Commission, established for consideration of each appeal, bears the responsibility established by the legislation of Ukraine in case of unlawful use of rights granted to it, including for disclosuring of commercial secrets.
    3. The OS Manager is responsible for:
      • ensuring the establishment of complaints in the OS and the delineation of complaints targeting purposes;
      • ensuring the planning, design, implementation, maintenance and continuous improvement of the complaints process in accordance with the organization's policy on complaints handling;
      • identification and allocation of management resources needed for a successful and effective complaint handling process;
      • ensuring the awareness of the OS in the process of reviewing complaints and the need for targeting the customer;
      • ensuring that customers, complainants and, where applicable, other directly concerned parties are informed in an easily accessible way about complaints processing processes;
      • appointment of a management representative of the complaints handling and a clear definition of his responsibilities and powers;
      • providing the process of prompt and effective informing the top management about any significant complaints;
      • periodic critical analysis of the complaints process to ensure its effective support and continuous improvement.
    4. Management representative of the complaints handling should be responsible for:
      • establishment processes of monitoring and evaluation of efficiency, as well as performance reporting;
      • reporting to the top management about the complaints process by providing recommendations for improvement;
      • supporting the effective functioning of the complaints handling process, including hiring and training of relevant personnel, documentation, setting and compliance of deadlines and other requirements, as well as critical analysis of the process.
    5. According to their area of responsibility, other managers, that are involved in the complaint process must be responsible for:
      • ensuring the implementation of the complaints handling process;
      • keeping in touch with a management representative of the complaint handling team;
      • ensuring awareness of the complaints process and customer orientation needs;
      • providing easy access to information about the complaints handling process;
      • reporting about actions and decisions in each case of complaints handling process;
      • ensuring monitoring of complaints handling process and recording each monitoring data;
      • ensuring implementation and registration actions to solve problemes and preventing their occurrence in the future;
      • Ensure the availability of complaint-related data for critical analysis by senior management.
    6. The personnel who contacts with the customers and complainants must:
      • be prepared to handle complaints;
      • fulfill the requirements for reporting about complaints handling process according to requirements of OS;
      • be polite to the customers and promptly respond on their complaints or direct them to the right person, who is responsible in this area;
      • demonstrate the ability to regulate interpersonal relationships and have experience in communicating with people.
    7. Everyone of OS personnel should:
      • know their responsibilities, responsibilities and authority regarding complaints handling process;
      • know the methods to be followed and the information that must be provided to the complainants;
      • report about complaints that have a significant impact on OS
  4. Substantive provisions
    1. This instruction, which was developed with requirements of DSTU ISO 10002, confirms that the OS provides its applicants with an opportunity to appeal if they disagree with its decisions, as well as complaints.
    2. The appeal procedure meets the following principles:
      • the confidentiality of the submitted materials;
      • impartiality; real and expected objectivity;
      • timely deflection, which means that an appropriate notification will be provided to all interested parties before each meeting of the appellate commission;
      • the right to be heard; when each of the interested parties has the right to fully express his point of view and defend his interests for a specified time;
      • publicating. The procedures under which an appeal is considered must be provided in writing and accessible to parties interested in the issue related to the appeal;
      • decision on appeal is always made by unbiased parties, which are not connected with the conflicting ones;
      • the full summary record of each meeting of the appellate commission is being prepared and presented to all parties involved in it.;
      • the appeal consideres not later than a month after its receipt.
    3. Complantation, investigation and appeal decisions should not be carried out with any discriminatory actions against the appellant..
    4. The appeal process involves (at least) such elements and procedures:
      • the principles for appeals obtaining, confirming and investigating process, as well as deciding what actions to be taken in response, taking into account the results of previous similar appeals;
      • tracking and registering appeals, including the results of their consideration;
      • ensuring that any appropriate adjustment and corrective action would be taken.
    5. The complaint handling process involves (at least) such elements and procedures:
      • the principles for complaints obtaining, confirming and investigating process, as well as deciding what actions to be taken in response, taking into account the results of previous similar complaints;
      • tracking and registering complaints, including the results of their consideration;
      • ensuring that any appropriate adjustment and corrective action would be taken.
  5. OS Complaints Management Policy
    1. The basis of OS management policy is the high quality of services and the timely execution of orders, to meet the needs of applicants, taking into account their requirements and wishes.
    2. The OS is guided by the following principles:
      • Visibility. Information on how and where to file a complaint duly brought to the attention of customers, staff and other interested parties;
      • Accessibility. The complaints handling process is easily accessible to all complainants. This manual regulates the process of filing and handling complaints. The complaints process and auxiliary information are easy to perceive and apply and are provided in a clear language for all interested parties;
      • The ability to respond quickly. Each complainant is informed about receiving his complaint. The complaint is submitted in an arbitrary form, is considered quickly, taking into account its urgency. Issues related to health and safety are processed immediately. All OS personnel complain to the complainant politely, informing everyone about the progress of their complaint throughout the entire complaint handling process;
      • Objectivity. The OS personnel works equally, objectively and impartially during each complaint handling process;
      • admittance to complaint handling process for complainants is free of charge;
      • Confidentiality. If it is necessary to identify the complainant, during the complaint handling process, the OS may use information about the complainant that is properly protected against disclosure unless the customer (complainant) would clearly agree to its disclosure.;
      • Customer-oriented approach. The OS is open for feedback, in particular regarding complaints, and undertakes to deal with all complaints received by its actions;
      • Responsibility. The OS set the responsibility for all OS actions and decisions regarding complaints handling and reporting process;
      • Improvement all the time. Improving complaints handling processing and customer service quality is a constant task of the OS.
  6. Appeal consideration process
    1. Appeal process
      1. The applicant must file a written appeal to the OS Manager within 10 days of receipt of the decision or information about the actions of the OS that he wishes to appeal.
      2. The applicant may contest such actions and decisions of the OS as:
        • refusal to accept the application for certification;
        • unjustified refusal to issue a Certificate of Conformity;
        • and other actions if they leaded to violation of the rights and interests of the applicant in the field of certification.
        The appeal shall be filed in the register of appeals (Annex A) and submitted to the commission for a two-week term. The appeal must contain a clear statement of the substance of complaint. Applying does not stop the action of a decision that has already been taken.
      3. After receiving the appeal, the OS must confirm if it relates to the certification area, for which the OS is responsible. If the appeal concerns a certified customer, then the OS will take into account the effectiveness of the certified customer management system, in process of considering it. Any complaint against a Certified Customer would be transferred him in due time.
    2. The establishment of Commission
      1. A special appellate Commission should be established for considering and taking decisions on each appeal, which will include: representatives of the OS, as well as, if necessary, representatives of other interested organizations (by agreement).
      2. During the establishment of the Commission, the professional competence of its members must be taken into account, as well as their independence from the conflicting parties. The OS should ensure that persons involved in the appeal process did not perform an audit and did not take a decision on certification.
      3. The Commission in its activities is guided by the laws of Ukraine and normative documentation.
      4. The candidature of the Head of Commission and its composition should be approved by the order of the Head of the OS management.
      5. The Commission Head's Substitute and the Secretary og the Commission should be elected on the meeting.
      6. The Head of the Appeals Commission presides at the meetings, and in his absence, his duties are performed by the Substitute.
      7. The list of secretary duties includes: receping appeals, their registration in the "Journal of registration of appeals" and preparing documents for consideration.
      8. The Secretary of the appeal Commission has no voting rights.
    3. The appeal consideration process
      1. Before examining the appeals, the applicant reviews the appeal procedure. The registered appeal and other materials received with it should be forwarded to the Head of Appeal Commission.
      2. The appeal is considering by the Appellate Commission of OS within a term not later than one month after its registration by OS.
      3. The Secretary prepares all documentation that are needed for consideration and provides it to the members of Appeal Commission not later than two weeks before the meeting of review.
      4. The Appeal Commission must have the following documents available for reviewing an appeal:
        • the applicant's appeal;
        • correspondence about the controversial issue between the applicant and the OS.
      5. The interested parties have to notify the appeal to the Appeal Commission in writing form with a definite agenta of the meeting. The discussion of results of appeal conductes at a closed meeting of the Appeal Commission only by its members in a composition, that is sufficient to make the appropriate decision (not less than two thirds of members of Commission).
      6. During the appeal consideration, the parties have the right to ask questions, to answer, to make statements, to speak, to comment on the facts which were provided in the documents and materials.
      7. Minutes of meetings of the Appeal Commission should clearly and briefly describe the essence of the appeal, the content of all questions, answers and speeches.
      8. The discussion may be conducted by correspondence, if it does not contradict the basic rules.
      9. The Appeals Commission considers the disputed issues confidentially.
    4. Commission's decisions
      1. As a result of appeals' discussion and consideration, the Appeal Commission makes a decision, which has to be taken at the closed meeting by a majority of votes and has to be signed by the Head of Appeal Commission and all its members. The decision, which will be reported to the appellant (plaintiff),approves and verifies by persons not involved in the content of the appeal (subject of appeal).
      2. If the Appeal Commission recognizes the action or decision of OS legitimate, it decides to refuse the applicant in complying his appeal. After formal review of appeal, the Appeal Commission informes the parties about the decision was taken in written.
      3. The Appeals Commission can take one of these decisions:
        • issue a certificate (license agreement);
        • refuse in issuing a certificate (license agreement);
        • rescind the issued certificate (license agreement).
      4. In case if one of the parties disagree with decision of the Appeal Commission, it has the right to apply directly to the arbitral tribunal in accordance with the current legislation.
      5. Costs related to the appeal are borne by each party.
      6. Minutes of meetings and decisions of the Appeal Commission are kept by OS within 10 years.
      7. The OS together with the customer and the plaintiff determines whether it is necessary and, if so, to what extent, the subject matter of the appeal and the conclusions should be disclosed.
  7. Procedure for reviewing complaints
    1. Obligations
      1. The OS must effectively comply with its obligations for handling complaints successfully.
      2. The obligation to respond on complaints has made it possible as for the personnel, same as for customers to contribute the improvement of OS processes.
      3. The senior management should ensure setting goals of complaint handling for the relevant units and levels functioning within the organization.
    2. Receipting a complaint
      1. After receipting the initial complaint, it should be submitted to the OS Manager for making a resolution and recording it in the complaint log (Appendix B), by using supplementary information. The record about the initial complaint shall indicate the way in which the complainant asks for the complaint and any other information which is necessary for an effective consideration of the complaint, in particular:
        • a description of the complaint and the relevant supporting information;
        • the method proposed by the complainant to satisfy the complaint;
        • deadline for the reply;
        • information about employees and company divisions;
        • immediate action (if there is).
      2. After receipting the complaint, the OS should determine wether the complaint concerns the area of certification, for which the OS is responsible, notify in writing the complainant, determine the deadline for responding on the complaint and determine the need for immediate answer on this complaint.
      3. The OS Council meets for considerating and taking a decision on each complaint (if it is necessary, OSCE members could be invited to the session of OS Council), taking into account the competence of the members of OS of Council (in accordance with clause 2 of this instruction). The Secretary of OS Council should fill in the "Form of registration of a complaint" (Appendix B) before the meeting.
      4. Each complaint is considered from the point of view of such criteries as materiality, security implications, complexity, impact, as well as the need and the possibility of immediate action.
      5. Representatives of the OS Council carefully consider all the relevant circumstances of the complaint and examine all information regarding the complaint. The level of careful consideration should be commensurate with the importance, frequency and seriousness of the complaint.
      6. The ways are usually found to solve the problem and prevent its occurrence in the future, on the basis of proper careful consideration at the meeting of OS Council. If the complaint can not be resolved immediately, then it must be processed in the foreseeable manner so as to bring it as soon as possible to an effective solution.
    3. Tracking (monitoring) the complaint
      1. The complaint is tkacked (monitored) from the moment of initial receipt throughout the entire process, until the complaint would be resolved or the final decision would not be taken. The complaniant has to be informed about the current status of the complaint upon his request, as well as from time to time, at least for the onset of a predetermined deadline.
    4. The process of informing about taken decison
      1. A decision or any action in respect of the complainant or involved staff, after approval by the Council of OS, shall be informed immediately after the decision or action is taken.
    5. Solving a complaint
      1. Якщо скаржник погоджується із запропонованим рішенням або запропонованою дією, тоді рішення чи дія виконується та реєструється (ДодатокБ).
      2. If the complainant rejects the proposed decision or proposed action, then the complaint must remain open. It is necessary to register, and the complainant must be informed about available alternative forms of internal and external appeal.
      3. The OS monitors the progress of the complaint handling process before all acceptable internal and external versions of the application would be exhausted or the complaint would be satisfied.
  8. Maintaining and improving the process
    1. The OS respects confidentiality in obtaining information from complainants by way of:
      • establishing steps for identifying, collecting, classifying, keeping, storing and destroying records;
      • registering a complaint by OS and keeping records;
      • keeping records of the types of training and instructioning of employees involved in the process of handling complaints;
      • Establishment criteries that organize the process of answering requests about registration and submissing records which are made by the complainant or his representative. This may include the terms, types of information and to whom or in which format they will submit;
      • Establishing process about "how" and "when" statistics information about complaints that do not identify the identity of complainant should be disclosed to the public.
    2. All complaints filed to the OS are subjects for ongoing review in order to determine which of the complaints are systematic, recurring or single occasional problems and trends, as well as to determine the causes of complaints and eliminate identified causes.
    3. In order to determine the level of satisfaction of the complainants with the complaint handling process, the customers questionnaire is carried out in the OS.
    4. Monitoring the coplaints handling process:
      1. The effectiveness of the complaint handling process, should be analyzed during the session of the Commission of the impartiality of the OS. A representative of the complaints management team provides all information that is needed for analysis.
      2. Criteries for monitoring (tracking) the effectiveness of the complaint handling process:
        • If policies and targets for handling complaints are existing, updated and properly accessible ;
        • whether the responsibility for complaints handling process is properly allocated;
        • the number of staffing proposals about improving complaints handling process (compared with the previous period);
        • determine the level of complainants degree of satisfaction (in comparison with the previous period).
      3. Information which was carried out of monitoring (tracking) the effectiveness of complaints handling process is filed in percentage terms: received complaints and complaints resolved after the agreed deadline.
    5. Conducting an audit of complaints handling process:
      1. The OS carries out audit of the complaints process, to assess the effectiveness of this process, while conducting internal audits.
      2. An internal audit provides information about the compliance process with complaints procedures and the suitability of the process for meeting complaints purposes.The audit of the complaints handling process is carried out as a part of audit of the OS quality management system. The audit findings are taken into account in case of conducting a critical review of OS management system by senior management to identify problems and ways of improving the complaints handling process.
      3. Найвище керівництво, при проведенні аналізування функціонування системи управління якістю ОС, проводить аналіз процесу розглядання скарг. Вхідні дані, для проведення аналізу, готує представник керівництва з питань розглядання скарг.
      4. The protocol of critical analysis on the part of management is supervised by the OS Secretary.
      5. Outputs include: decisions and actions related to improve the effectiveness of the complaints process; suggestions for improving OS processes; decisions and actions related to the definition of the necessary resources.
      6. The OS continually improves processes of the quality management system, including the complaints handling process, through internal audits, the development of corrective and preventive actions, the ongoing analysis of the operation of OS processes, etc.