To describe measures that VWSPL certification has implemented as an organization the way appeals are evaluated and a decision is made and the process of receiving, investigating and initiating appropriate corrective and preventive actions.

This procedure shall be applicable to all appeals received by VWSPL in relation to the certification and related services offered by VWSPL in all its operating regions within its accredited and non accredited scopes of certification.

ISO 17021-1:2015; Clause 9.7

Appeal:
An appeal is a plea/request preferred by a client of VWSPL to the highest decision-making committee seeking a resolution on decisions made while handling of a complaint or dispute or a plea on a certification decision made by VWSPL.

5.1 APPEALS

1. VWSPL shall provide certification services as per documented procedures, meeting the requirements of accreditation criteria with focus on impartiality, competence, responsibility, openness and confidentiality during all stages of service delivery.
2. However, appeals received from interested parties against decisions taken by VWSPL during its certification services delivery and associated processes shall be handled in non-discriminatory manner by an independent committee. VWSPL shall be responsible for decisions at all levels of appeal handling process. Submission, investigation and decision on appeals shall not result in any discriminatory actions against the appellant.
3. Appeals handling committee of VWSPL shall comprise Director & Quality Manager, and a member of Committee of Impartiality. VWSPL may associate with a Technical Expert and or a legal advisor who can be the member of the committee, if required. Quality Manager shall be the coordinator for the appeals committee.
4. No member of the appeals committee shall be a member of the audit team or worked as a technical team for a specific client for which appeal has been registered such that the appeals handling process of VWSPL is independent of its certification process of the specific client.
5. The appellant must have provided complete information giving substantial grounds for appeal within the specified time scales. Provided these criteria are met, the appeals are recorded.
6. Both the appellant and the relevant VWSPL personnel shall be entitled to be heard in confidence.
7. Appeals shall be registered by Admin Manager with all details and acknowledgement will be sent to the appellant within 7 working days. Register shall be updated with the action undertaken to resolve appeal upon completion of all the activities.
8. Appeals committee shall review the appeal and discuss the circumstances necessitating the client to appeal and conclude the findings based on the merit of each appeal and previous similar appeal.
9. A predetermined date shall be decided for the hearing and the appellant’s representative informed of the hearing date to enable them to nominate a representative. Appellant’s representative shall be provided an opportunity to present their details.
10. After providing opportunities to all concerned parties, a decision shall be given by the committee, which is binding on all concerned.
11. The VWSPL Admin Manager shall write to the appellant informing them of the appeal panel decision, within 7 days of decision. During the appeal handling process, progress report is made available upon request of the appellant. If the appellant does not accept the decision the they may revoke the conditions of contract i.e., arbitration
12. The decision of the appeals committee shall be reviewed by VWSPL Quality Manager and necessary corrective action taken to prevent recurrence of similar appeals and prevent occurrence of potential appeals in future.



5.1.2
The Committee must adhere to the relevant standards, accreditation criteria and ISO 17021-1:2015 and VWSPL procedures.

5.2 FORMATION:
Appeals Committee members, including the Chair, must wholly satisfy these criteria.

1. They must not have participated in or influenced the original Certification Committee that took the decision now subject to appeal.
2. They must be free from any conflict of interest concerning the appellant or matter under appeal.
3. They must be conversant with the Certification Process and VWSPL functioning.
4. Before progressing to consider any application for appeals, all members of the Committee must satisfy the above criteria and sign a disclaimer to officially record that they have no conflict(s) of interest with regard to the matters at hand. In the event of not being sure of conflict, such member may recluse himself / herself from consideration of the particular appeal. Should they be unable to do so, a substitute member(s) with no such conflict(s) of interest will be appointed.
5. The committee shall have the necessary competence available to hear the subject of the appeal.
6. The appeals committee may co-opt expertise if the need arises. A co-opted person will not have right to vote but will have the prerogative of recording his/ her opinion in light off the reason for invite.
7. Decisions are made on a majority voting basis. In case of a tied result, the Chairman in view of his dual voting power, will cast his vote so that committee may arrive at a final decision on deviation.
8. The chairman of the committee will be any available member of the impartiality committee.
9. Other available member from the impartiality committee will be appointed as the member of the appeal committee
10. Sector Specific technical expert/ auditor (who satisfies a,b & c points above)

Appeals committee shall deal with only the deviation in certification process and not with specific nonconformities.

Recommending suggestions and actions on appeals to the director.

The tenure of the committee shall be for a period of closure of the appeal from the date of constitution of the committee or as decided by the director.

Participation as member of committee should be kept confidential and should not be used as a qualification or an award. It should not be used in personal seal, signature or stamp.

5.3 RESPONSIBILITIES:

1. Appeals Committee may meet as and when needed.
2. After examination of the appeal, the Committee shall seek clarification/ documents from all appropriate sources.
3. Appeals Committee may recommend a hearing with the appellant, if required.
4. Any delay or lapse in submission of clarification or relevant documents or hearing process by the appellant, the responsibility/onus of delay will be considered on the appellant.
5. The detailed report by the Committee shall be submitted to the Director for his decision.
6. The appeal should be disposed off within 8 weeks from the date of receipt.

5.4 AUTHORITIES:

1. Director shall take a decision based on the recommendations submitted by the Appeals Committee.
2. The decision of the director shall be final considering the recommendations from appeal committee.