Purpose
The purpose of this procedure is to describe handling of complaint and appeal, validating the complaint and appeal
received from the client and from other parties.
Scope
This procedure covers all complaints and appeals received at Organization by any means, like written, verbal, e–mail
etc. It also includes adverse findings during Inspections
Definitions
● Complaint: Any expression of dissatisfaction by a client or any other party concerning the activities of the
inspection body.
● Appeal: A formal request by a client or other party to reconsider a decision or finding made by the
inspection body during the inspection process.
Responsibilities
Quality Manager: Responsible for receiving complaints and appeals from clients or other parties through any
communication channel (written, verbal, email, etc.).
Ensures that each complaint or appeal is recorded and acknowledged within two (2) working days of receipt.
In consultation with the Senior Inspector, validates and analyses the complaint or appeal, ensuring that it is dealt
with promptly and transparently.
Oversees communication with the client/other parties during the investigation process and ensures timely updates
are provided.
In case the Quality Manager is one of the complainee or part of the inspection function in question, he will disengage
himself from handling the complaint procedure. In such case, Director himself will be responsible for performing the
responsibilities of the quality manager for the case.
Senior Inspector: Assists the Quality Manager in validating and analyzing the complaint or appeal.
Provides technical expertise to investigate any adverse findings raised during inspections.
Ensures that all relevant documentation and records are available for the investigation process.
Senior Inspector selected for validation and analysis of complaint and appeal shall not be a part of any inspection
function related to the client/complainant or appellant.
Complaint Investigation Team: This is a temporary team, which will be assembled by Director upon receiving a
complaint or appeal. Responsible for thoroughly investigating complaints and appeals using backup records and
evidence from inspections. Provides recommendations based on the findings of the investigation to the Quality
Manager and Director.
Director: Ultimately responsible for ensuring that complaints and appeals are resolved and closed to the satisfaction
of the client or other party. Makes the final decision on the resolution of the complaint or appeal and ensures
corrective actions, if necessary, are implemented.
Description of activity
5.1 Receipt and validating complaint and appeal
5.1.1 Complaint and appeal received from client / other parties by any means or by any one in writing or by e-mail
or telephone in respect of its functions as a Inspection body is first of all recorded in the Complaint and appeal
register. After that complaint and appeal report is prepared with the details of;
● Complaint and appeal sr. No.,
● Mode of receipt,
● Received by,
● Name of client / other parties,
● Description of complaint and appeal,
● Reference of inspection services against, which complaint and appeal is raised along-with the reference of
inspection date,
5.1.2 The Quality Manager acknowledges receipt of the complaint or appeal within two (2) working days. A unique
identification number will be assigned to each case for tracking purposes.
5.1.3 Upon receipt, the Quality Manager, in consultation with the Senior Inspector, conducts an initial review of the
complaint or appeal to assess its validity and confirm whether the complaint relates to inspection activities for which
it is responsible and, if so, shall be taken into account further.
5.1.4 If the complaint or appeal is found to be valid, it proceeds to the investigation stage. If not, the Quality
Manager communicates the rationale for rejecting the complaint/appeal to the client/other party.
5.2 Handling of complaint and appeal
5.2.1 After validation of complaint and appeal, Director will assemble a temporary Complaint Investigation Team
consisting of 3 members of staff/Technical Manager/or Inspectors who were not a part of any inspection function
related to the client/ complainant or appellant.
5.2.2 The Complaint Investigation Team will gather all relevant documentation, including inspection reports, client
communication, and internal records. The team will thoroughly review and analyze the information to determine the
root cause of the complaint or appeal. The same is recorded in the client complaint and appeal report.
5.2.3 If required, interviews with relevant personnel or stakeholders may be conducted to clarify any uncertainties.
5.2.4 Throughout the investigation, the Quality Manager is responsible for maintaining communication with the
client/other party, providing updates on the progress of the investigation.
5.2.5 Any significant delays or issues encountered during the investigation process must be communicated promptly.
5.2.6 Upon completion of the investigation, the Complaint Investigation Team submits its findings and
recommendations to the Director. The Director reviews the investigation findings and ensures that corrective actions,
if necessary, are implemented.
5.3 Closing of complaint and appeal
5.3.1 Depending on the findings, the Quality Manager may follow up with requests for corrective and preventive
actions. When the investigation of client complaint and appeal determines that remote operation or other external
organizations contributed to the complaint and appeal, the Technical Manager or his delegate contacts these
organizations and provides them with all relevant information.
5.3.2 Every client complaint and appeal is recorded. The records are maintained by the Quality Manager when there
are copies of written communication, reports and other documents related to a complaint and appeal, these records
are organized into a file and are identified with the complaint and appeal number and also having records of the
corresponding corrective or preventive actions.
5.3.3 All the complaint and appeal received by the Organization will be closed within 15 working days after receipt of
the complaint and appeal. However, if additional time is required due to complexity, the client/other party will be
informed accordingly. DIRECTOR is authorized for closing of complaint and appeal when the client/other party
expresses satisfaction with the outcome.
5.3.4 If a client or other party is dissatisfied with the resolution of a complaint, they may file a formal appeal. The
appeal will be handled in the same manner as complaints, with the additional step of a final review by the Director to
ensure impartiality.
5.4 Client Feedback
5.4.1 Client feedback is encouraged after every inspection through a feedback form or other communication channels.
All feedback received, whether positive or negative, is reviewed during Management Review Meetings. In cases
where feedback is not provided, any potential insights can be checked from other interactions or observations during
the inspection process. Complaints and appeals are investigated to determine the cause, implement corrective
actions, and identify any preventive measures that may be required. Unsatisfactory feedback, when received, is
treated as a complaint and analyzed as per the above procedure.
5.4.2 Director monitors effectiveness of corrective and preventive action by reviewing results for suitable time on
case–to–case basis.
5.4.3 If any major changes in any of the relevant documents are necessary by way of corrective and preventive action
or complaint and appeal, then this is done as per procedure for document control and records are maintained.
5. References
FMPL-IB-P-21 Procedure for Control of Documents
FMPL-IB-P-25 Procedure for Corrective Actions on Non-Conformity
FMPL-IB-P-26 Procedure for Preventive Actions for Potential Non-Conformance
FMPL-IB-F-03 Client feedback form
FMPL-IB-F-19 Complaint and Appeal Report
FMPL-IB-F-20 Complaint and Appeal Register
FMPL-IB-F-28 Members of Complaint/Appeal Investigation Team