COMPLAINTS, APPEALS, DISPUTES
1 DEFINITIONS
COMPLAINT:
A documented claim raised against a certified client, Citadel staff, or subcontractors by a client, end-user, or any interested party, alleging non-conformity with certification requirements
APPEAL:
A documented claim from a client company against the certification recommendation of the Citadel audit team or subsequent certification decision by management
DISPUTE:
A documented claim made by a member of Citadel’s staff against a decision or action made by any Citadel managers Disputes are sent to senior management for review, where a decision is made to either:
(1) find the dispute justified and take corrective action, or
(2) determine the dispute is not justified and note this in the relevant personnel files
2. STATEMENT OF INTENT
All complaints received by Citadel will be appropriately addressed, and reasonable effort will be made to resolve them Citadel staff must maintain a balance between openness and confidentiality, as outlined in Citadel’s Policy Manual. Responsiveness to complaints is essential to demonstrate integrity and credibility to all stakeholders.
3. PROCESS FLOW
3-1) Rights to Appeal or Make a Complaint:
All Citadel clients are advised of their right to appeal or make a complaint against any certification decisions, staff members, or subcontract auditors This information is included in the Codes of Practice and the Appeals and Complaints Information Page issued with Citadel reports
The first point of appeal is the lead auditor at the closing meeting. If unresolved, appeals may be made directly to Citadel’s accredited or non-accredited offices.
3-2) WRITTEN SUBMISSION:
Appeals, complaints, or disputes must be submitted in writing on the appropriate form (Complaint Form or Appeals Form) to allow full investigation If the issue is not documented, it cannot proceed further
3-3) RECORDS MAINTENANCE:
Records of appeals and complaints must be clear and traceable to allow tracking, review by the Impartiality Committee, and audits by accreditation bodies
Lisa McKay Head of Certification & Training
SHAHRIYAR MAJLESEIN CHIEF EXECUTIVE OFFICER ( CEO )
COMPLAINTS, APPEALS, DISPUTES
3-4) ACKNOWLEDGMENT:
Upon receipt of an appeal or complaint, a letter of acknowledgment is sent to the originator, confirming that the issue is being investigated A copy of the appeal or complaint is stored in the relevant client file
3-5) REVIEW AND INVESTIGATION:
The Head of Certification reviews and investigates the issue
Individuals involved in the audit or subject of the complaint cannot participate in the investigation. If justified, the Complaints and Appeals Register is updated, and corrective actions are taken.
3-6) ACKNOWLEDGMENT OF APPEAL OR COMPLAINT:
The Head of Certification must respond to the originator within one week of logging the issue Timelines for resolution depend on the complexity of the issue
3-7) COMPLAINTS AGAINST CLIENTS:
If the complaint involves certification activities, Citadel may conduct an unscheduled audit or include the issue in the next scheduled audit
Unscheduled audits are conducted by a Lead Auditor with no prior involvement, where possible Audit time for unscheduled audits is determined case by case
3-8) COMPLAINTS ABOUT STAFF OR SUBCONTRACTORS:
Records are stored in relevant personnel files.
Training needs or disciplinary actions are identified and implemented as necessary.
3-09) CLIENT RECORDS:
All certified clients must make available records of complaints and corrective actions during audits Failure to address complaints may result in suspension or withdrawal of certification
3-10) CORRECTIVE AND PREVENTIVE ACTIONS:
Investigations of upheld appeals and complaints include identifying corrective and preventive actions. The effectiveness of these actions is assessed and recorded.
3-11) REJECTED APPEALS OR COMPLAINTS:
If not justified, the Complaints and Appeals Register is updated
Relevant forms and documentation are maintained by the Head of Certification
3-12) FINAL DECISION:
Decisions are communicated by individuals not previously involved in the matter. Formal notice is given to the appellant/complainant at the end of the process
3-13) PUBLIC COMMUNICATION:
For complaints, Citadel, the client, and the complainant will jointly determine the extent to which the complaint and its resolution are made public
3-14) DOCUMENTATION:
All associated documentation, including communications, investigations, and resolutions, is retained in Citadel’s management system for a minimum of five years
Lisa McKay Head of Certification & Training
SHAHRIYAR MAJLESEIN CHIEF EXECUTIVE OFFICER ( CEO )