MANAGEMENT SYSTEM INCIDENTS

Management System Incidents are defined as complaints, suggestions, observations, and opportunities for improvement. Management System Incident data is entered into the Corrective Action for proper treatment. This procedure describes the methodology by which QUALITAS DE CERTIFICATE collects and processes incident reports; and communicates the impact to staff members.

QUALITAS DE CERTIFICATE recognizes that incidents occur in daily operation that collectively have an impact on the Management System. In order to properly analyze and address system issues a consistent and thorough process for collection of information is vital.

RECEIPT OF INCIDENTS

The incident may be reported by any means – verbal or written. In case of an external source, the incident report may be received by any staff member. The staff member shall fill the Incident report recording all the information and details of the complaint. The filled report shall be submitted to Audit Manager for further action. In case of internal source, the incident report shall be filled by the staff member and submit to Audit Manager.

Audit Manager shall contact (telephone, email, letter) the external source to acknowledge the receipt of information within 5 working days of receipt. He shall understand the issue in detail from the source (to avoid any error in writing the report). He may decide to personally meet the initiator, depending on the gravity and seriousness of issue.

All such incidents received by any means or by any one is first of all recorded in the Incident report with the details of:

• Complaint and appeal serial number.
• Mode of receipt.
• Received by.
• Name of client / other parties.
• Description of complaint and appeal.
• Reference of services against, which complaint and appeal is raised along with the reference, date, and other details.

Client/ other parties’ complaint and appeal incident report are issued to the Audit Manager for analyzing the root cause.

Audit Manager validates the complaint after checking necessary back–up records or personal interview of evaluators/ staff members (who were involved into job).

TREATMENT OF CLIENT COMPLAINT AND OBSERVATIONS

In case of a complaint/ observation against QUALITAS DE CERTIFICATE, Audit Manager analyses the issue to determine if there is system error or person error. He shall determine the root cause and determine correction, corrective action. The possible complaints are –

• Administration problems with appointments, certification files, certificates issued or issued late.
• Evaluators / subcontractor problems with incomplete evaluations documentation.
• Agents – problems with general compliance with QUALITAS DE CERTIFICATE administration or evaluation procedures.

The correction is affected immediately to satisfy the complainant. This may include training / counseling the person involved. The CAR/ PAR is discussed with management during next Management Review. Appropriate action is taken based on discussions (change in procedure/ formats, training to all personnel etc.).

An email is sent out to all staff detailing the issue and remedial action (for information). A copy of the complaint and investigation details is maintained in the respective individual’s personnel file for reference at the performance appraisals.

In case of a complaint/ observation against a certified client, the Audit Manager studies the complaint and discusses with the evaluator. If the complaint is found genuine and valid i.e., indicates a system failure, the complaint is sent to the client for a response.

No confidential reports or information will be sent to complainants without written permission from the client. Adequate time is given to the client for response. If required, Audit Manager follows up with the client for the response. Depending on the response, Audit Manager may decide to:

• Write to the complainant about the response and asks for his response.
• Ask further clarification from the client.
• Depute an evaluator to personally visit the client and investigate for failure. Such visit shall be considered as special visit and charged to client.
• Request a joint meeting with client, complainant and QUALITAS DE CERTIFICATE.

Audit Manager shall communicate with the complainant at the end of the process detailing the findings and to formally close the complaint. A copy of the correspondence is kept in the client file for records and the same is passed to evaluator during next audit. The details of all complaints and action taken (Correction and CAR) are discussed in Management Review and Impartiality Committee meeting.

TREATMENT OF HANDLING OF APPEALS

Any company or organization who fails to satisfy an evaluation or surveillance may appeal against the decision. Where an appeal is received the following procedure will be followed.

The Managing Director will appoint the members of the appeals committee under the leadership of Managing Director who will hear the appeal and determine the outcome. In case, Managing Director are part of the certification team, Managing Director shall decide the investigating officer for the appeals process.

In such a scenario Managing Director shall approach Impartiality Committee and/ or QUALITAS DE CERTIFICATE team to provide decision on the appeal. The decision on the appeal shall be taken based on the decision by QUALITAS DE CERTIFICATE committee and the Impartiality committee. Results of the appeal will be reported to the Impartiality Committee.

• All appeals shall be received by the Audit Manager and details of appeals shall be recorded in the Appeals Register maintained by the Audit Manager.
• Audit Manager shall investigate the appeal made and inform the client about its plan of action for investigation and action there upon.
• An investigation report (Incident Report) for each individual appeal shall be maintained by the Audit Manager. In case, any further corrective and preventive action is required post actions identified and taken based on Incident report, Corrective, and preventive action procedure.
• A copy of the investigation report shall be sent to the client.
• In case of any further ambiguity, the same shall be reviewed by the board of directors and appropriate decision arrived at.
• In case the issue still remains open; the same shall be intimated to the accreditation board for its valuable comments.
• All appeals made are collated and analyzed on a yearly basis.
• Necessary corrective and preventive actions shall be taken based on the appeal trend.
• Appeal trends and corrective and preventive action taken shall also be reviewed as part of the Management committee meeting and Impartiality committee meeting.
• Audit Manager shall ensure that details with respect to the appellant and actions there upon is not shared with the audit team members.
• Audit Manager shall ensure that no discriminatory action is taken against the appellant.
• The client is made aware of the appeals process and is available to him on request.

TREATMENT OF OPPORTUNITY FOR IMPROVEMENT

In case of opportunity for improvement, the source is predominantly internal, and the concerned staff member fills the incident report and submits to Audit Manager. The other source may be internal / external.

Audit Manager studies the suggestion to determine any conflict with ISO 17021. In case the suggestion is in conflict, the same is communicated to the initiator. However, the suggestion is also discussed in Management review. In case the suggestion is found not in conflict, the suggestion is studied for benefits and the impact on other processes.

The suggestion is accepted if found beneficial and does not adversely impact any other process. Audit Manager determines the changes in existing documentation and implements through Document Control Procedure.

If any certified client or interested party asks for the appeal/ complaint handling process, then it is forwarded to Audit Manager. He will inform a certified client/any other interested party the appeals and complaint handling process of QUALITAS DE CERTIFICATE if any complaints/ appeals are received by certified clients/ interested party.

Complain or Appeal