Complaint Management

 

Purpose : ?

 

To lay down documented guidelines for Managing Complaints made by our client organization and other interested parties. Scope: This covers all type of Complaints against our clients or DUV or against its staff related to its working and behavior (except appeals made against audit team’s conclusions & decisions). This procedure is authorized by the C E O and can be amended only by him.

Procedure -

 
  • COMPLAINT Management :-

     

    DUV gives utmost importance to complaint resolution, whether it is from our clients or from elsewhere. Complaints may arise due to dissatisfaction from DUV and its Working, Staff of DUV and Clients of DUV.

  • Receipt of Complaints :-

     

    Complaints may be lodged in person, by phone, by E mail or by Post. Website of DUV is dynamic and it has provisions for lodging complaints.

  • As soon as any complaint is received, whether as letter, phone , orally or by E mail, the same is recorded in complaints register. Record of complaint is maintained for 3 years or till it is resolved, whichever is more.
  • Acknowledgement of complaint: All Complaints are acknowledged within 3 working days.

The complaint is investigated to assess its meaningfulness. The CEO assigns responsibility of investigation to only those persons who are not involved in the complaint related activities. If the complaint is found frivolous, the conclusion is recorded in the Complaint record and the complaint is closed and the complainant is informed.If the received complaint is about audit team’s decision, it is transferred to Appeals register and dealt with as per SOP for Appeal Management.If the received complaint is about actual or perceived impartiality of our audit or certification process, the complaint is looked after by the CEO and the information is provided to the Impartiality committee/ Committee for safeguarding impartiality. The Impartiality committee also monitors all other complaints during its periodic meetings.If the received complaint is about our registered and certified clients, the complaint is looked after by the CEO, and it is followed up with the Client. Appropriate corrective action is taken. DUV determines, together with the client and the complainant, whether and, if so to what extent, the subject of the complaint and its resolution shall be made public. Audit and certification process is reviewed to identify any weakness in our audit and certification process, and appropriate corrective or preventive action is taken.

Complaint handling Subsequent Action
Receipt of complaint Acknowledge within 3 days
If against DUV personnel Close and Intimate about decision within 12 working days after receipt
If against DUV Audit team decisions Refer to Appeal process
If against DUV personnel Close and Intimate about decision within 12 working days after receipt
If against our certified clients Initiate process and intimate about Decision within 12 working days

After addressing the complaint, a formal notice of the end of the complaints-handling process is forwarded to the complainant. In case the client or the complainant, desires that the result of complaint investigation and action taken should be made public, DUV makes the information available to the public to the extent that does not infringe any confidential information of the involved parties.

 

 

Appeal Management 

 

 

Purpose: To lay down documented guidelines for handling and disposal of appeals received from our clients.

Scope: This procedure is applicable over all activities related to receipt, handling and disposal of appeals against audit conclusion and decision of the audit team of DUV.

This procedure is authorized by the DIRECTOR and can be amended only by him.

 

Receipt of appeal: Since this relates to our core process there is a separate provision in our website for lodging appeal. Appeal can also be made in writing to our office. As soon as any appeal is received acknowledgment to the client, promising appropriate action within one month, is forwarded to the client within 3 working days. Record of all appeals is maintained at least for 3 years.

Investigation of Appeal: DIRECTOR looks into appeals, and as per situation one or more of the following action is taken

i. The concerned auditor is requested to appear before the Technical committee to personally explain and justify his/ her findings.

ii. Documentary evidence is requested from the client in support of their claim.

iii. Another auditor is deputed to conduct re audit of those aspects which caused dispute and appeal.

 

Monitoring and tracking of the Appeal handling process: Being the ultimate authority The DIRECTOR monitors and tracks action taken since receipt of the appeal, till closure of the process. It is ensured that persons involved in the dispute are not involved in making decisions related to the appeal. Therefore the certification personnel involved in process under appeal, are used only during enquiry / investigation process, only the DIRECTOR takes decision on appeals, which may include ordering of re audit, and other disciplinary actions.

Correction & corrective action: Based upon additional information received after investigation, from multiple sources, the DIRECTOR takes appropriate decision and it is documented, and the same is communicated to the client. Corrections and corrective actions are taken, if required.

Updating of appellant: The appellant is kept updated with progress in appeal handling process. All appeals are resolved or closed within 3 months of registration. The decision of the DIRECTOR is final and further appeal is not entertained. A formal appeal closure report is sent to the appellant stating all the actions taken, and final decision of the appeal handling authority. 

Appeal process handling timeline

 

Activity

Response of DUV

Responsibility

Client to submit appeal

to the DIRECTOR or DUV in

writing, by mail Or in

person

 

Registration of appeal in form:

DUV/Appeal/F/0I

 

Issue of acknowledgement of the appeal within

3 working days promising appropriate decision

within 3 months

 

C E O

Investigation

Intimate the appellant about current status of the

 appeal handling process  at least once in a month.

 

C E O

Decision making

DIRECTOR to consult the Impartiality Committee, and

to take decision accordingly, within 3 months.

 

DIRECTOR

Notice of closure of

appeal to the Appellant

 

Appellant to be notified about the Decision.

DIRECTOR

Appeal to Impartiality

committee by the

Appellant (if dissatisfied)

by the decision of the DIRECTOR)

 

Independent investigation by the impartiality

committee and decision to be carried out by the

DIRECTOR within one month of such appeal.

Impartiality

committee

Record maintenance

Decision and subsequent action  to be recorded in

the Appeal Register.

 

DIRECTOR