Issue Resolution Process

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Issue Resolution Process

1. Process Summary

An issue is:
A Complaint, Dispute, Appeal or other activity where a person or organisation wishes to have a situation redressed, which is not covered by other organisational processes. It includes a trigger event causing re-assessment of the Certification status of a client (i.e. potential withdrawal of Certification)

An issue may also be where a client has breached legislative and or regulatory obligations / been convicted of an offence e.g. Hazardous release to atmosphere; Notifiable dangerous occurrence or similar

Records must be maintained for all Issues raised

2. Process Detail

2.0 Start chart

Issue Resolution processes should be speedy without being hasty. Complaints that are not closed out within a timeframe documented and agreed with the complainant shall be escalated to the CAB’s top management to ensure that the complaint receives the appropriate priority. Complaints that are not closed out within 3 months of that agreed timeframe may be brought to the attention of JAS-ANZ.

In the case of loss of Certification (for example) the presence or absence of Certification could be a survival situation for the organisation concerned. The needs of all parties must be addressed by the Issue Resolution process

Issue Resolution processes must consider relevant regulations.

2.1 Issue is communicated to the Sustainable Certification (from internal or external sources) Issue MAY be recorded

Issues may be communicated by telephone (initially) however they will not be acted upon, unless lodged in writing and signed personally by the person raising the issue (an email is deemed to be signed personally for the scope of this procedure). This procedure can be implemented if the scope of Certification of the CB, or the ANZSIC Codes are not currently recorded against the CB.

Personnel including those acting in a Managerial capacity must not be involved in Issue investigation, appeal, complaint or dispute if they have been involved in activities of any party involved in the dispute in question, within the last 2 years (JAS-ANZ guidance 2.4.1, Procedure 10 etc).

In the case of potential conflict of interest regarding Issue Resolution or perception thereof (e.g. if the complaint relates to actions or decisions of the Certification Manager) then the Certification manager shall delegate his / her responsibility to an appropriate independent person or group, internal or external to SCPL.

2.2 Agree and document timeframe

Agree with and document for complainant, a reasonable timeframe for closeout of the issue

2.3 Advise Complainee (complainant is kept confidential)

Advise complainee that a complaint has been received

2.4 Verify details of Issue

The issue raised must be able to be verified. Verification may be by witnessing behaviour or speech, or by collection of supporting data/information

2.5 Issue verified as being based in truth?

2.6 Advise Complainant and invite them to re-state their case

Performed By Certification Manager

2.7 Invite complainee to respond in 14 days, proposing Corrective and Preventive Action

If issue potentially may be a trigger to withdrawal of Certification, this process must be perceived as NOT being an arbitrary withdrawal of Certification. Client must be advised of any complaints / disputes brought before SCPL where any failure to meet the requirements of Certification is revealed, and the Client is required to investigate its own systems and procedures and take appropriate corrective and preventive action

2.8 Response Received?

verify the adequacy of the response received by complained.

2.9 Re-invite complainee to respond within 7 days or action may be taken to resolve the Issue

Performed By Certification Manager

2.10 Response received?

Performed By Complainee

2.11 Assess Corrective and Preventive Action proposed by complainee by applying Root Cause Analysis

Corrective and Preventive Action must be effective

Performed By Certification Manager

2.12 proposed Corrective & Preventive Action appropriate?

Performed By Certification Manager

2.13 Advise complainee of need for more appropriate C & PA

Performed By Certification Manager

2.14 Take sanction actions against Complainee and advise Complainant that matter is now closed

2.14.1 Detailed Description

Reason for decision to be documented to Complainee and Appellant stating reasons for the decision, iaw JAS-ANZ procedures / guidelines

The certification body shall determine, 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.

Performed By Certification Manager

2.15 Is Complainant satisfied with outcome?

Performed By Complainant

2.16 End of Process

2.17 Refer complaint to JAS-ANZ

2.17.1 Detailed Description

If a complainant is dissatisfied with the outcome of the CAB’s complaints handling process, the complainant may refer the complaint to JAS-ANZ.

Performed By Complainant

2.20 Monitor implementation of Corrective and Preventive Action

2.20.1 Detailed Description

Monitoring the effectiveness of the Corrective Action and Preventative Action response.

Performed By Certification Manager

2.21 C & P A being implemented?

Performed By Certification Manager

2.22 Advise Complainant that appropriate C & P A has been implemented

Performed By Certification Manager

2.23 End of Process – Close out the Issue

Performed By Certification Manager

2.24 Will C & P A be implemented?

3. Process Chart

issueresolutionprocess-chart

Related Documents

JAS-ANZ Procedures 9 and 12

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