Although it is expected to be an unusual event, a client may wish to lodge a formal appeal against the membership of an audit team (auditors, observers, and interpreters), a non-conformance raised during an audit, the certification decision/recommendation made or the handling of a complaint or dispute. Novo Star maintains a formal procedure for processing appeals. The following can be considered a brief overview of the appeals process:
- A Written request through mail or through a letter posted from Client on the Audit performed at clients place by an authorized person (can be MR) shall be treated as an Appeal and processed further.
- Verbal Communication are not registered as appeals
- Once the Appeal is received this is entered in the Appeals register NSMSS-4.161 FORM and acknowledgement is sent to client about receipt of the Appeal.
- A team is constituted by VP technical or AMC or MD. The team formation will be done by the person who is not part of the Audit (including cert decision process) and ensure that the persons engaged in the appeals-handling process are different from those who carried out the audits and made the certification decisions. (If the same complaint is repeated then persons involved in the previous team must be changed totally)
- Acknowledge the appeal and respond within 30 days from the receipt of the appeal.
- The appellant is assured in writing while acknowledging the receipt of appeals that, submission of appeals, relevant investigation and decision or outcome, will not result in any discriminatory actions against the appellant
- Novo Star will be responsible for gathering and verifying all necessary information to validate the appeal. Following steps are followed considering the results of previous similar appeals
- The team shall go through the appeal and will have an investigation done independently with both parties and understand the situation (wherever possible with Objective evidence).
- After understanding, below options (not limited to) can be used
Ask for an onsite assessment for more evidence
Onsite reaudit for the particular process, where it is not possible to decide
what went wrong
Provide evidence to make the facts clear for both parties
- Status/progress/result of the appeal is provided at the relevant stages as appropriately to the appellant.
- If any corrective action (to be raised in corrective Action Request form NSMSS-4.71-FORM) to be initiated by Novo Star, track the actions and closure of the actions.
- Review the report and arrive at a decision. Inform decision to client. Inform client that he/she can further appeal against the decision to concerned accreditation agency
- Decide required correction and corrective action to prevent repetition. Implement decision, verify effectiveness and close appeal. Enter details in the register. If short notice audit is required, the audit is completed within 90 days from the receipt of appeal
- Novo Star is responsible for all decisions at all levels of the appeals handling process
- Formal notice is given to the appellant about the end of the appeal handling process.
- The details involved in the above process is kept confidential.
- The Appeals register shall track the details of all actions initiated and their closure
- In case of AQMS certificates, details shall be uploaded in OASIS as applicable.
If you do not understand any aspect of this procedure you may contact Novo Star for further assistance
You may Contact Novo Star for getting further details