Appeal And Complaints Procedure

1. Purpose

This procedure establishes a transparent, fair, and timely process for receiving, evaluating, and resolving Appeals and Complaints submitted to First Wave International Certification Pvt. Ltd. (hereinafter "First Wave") by clients, applicants, certified organizations, or any other interested party.

This procedure is established in accordance with the requirements of ISO/IEC 17021-1:2015, Clauses 9.7 (Appeals) and 9.8 (Complaints), and applicable accreditation body requirements.

2. Scope

This procedure applies to:

• All appeals against First Wave certification decisions (including refusal, suspension, withdrawal, or reduction of scope of certification)
• All complaints against First Wave or against any certified client of First Wave
• Any interested party including applicants, certified organizations, users of certified products/services, regulatory bodies, or members of the public

3. Definitions

4. General Principles

First Wave International Certification Pvt. Ltd. is committed to handling all appeals and complaints in a manner that is:

• Impartial — decisions are made by personnel not previously involved in the matter
• Transparent — the process is publicly available and communicated to all relevant parties
• Timely — defined response and resolution timeframes are adhered to
• Confidential — information relating to appeals and complaints is handled with discretion
• Non-discriminatory — no complainant or appellant suffers adverse consequences for submitting a genuine appeal or complaint
• Documented — all appeals and complaints and their outcomes are recorded and retained

5. Appeals Procedure

An appeal may be submitted by any applicant or certified client who disagrees with a certification decision made by First Wave, including decisions to refuse, suspend, withdraw, or reduce the scope of certification.

5.1 Grounds for Appeal

An appellant may submit an appeal on any of the following grounds:

• The certification decision is believed to be based on incorrect, incomplete, or misinterpreted audit evidence
• The audit process was not conducted in accordance with First Wave's documented procedures or applicable standards
• There is evidence of bias, conflict of interest, or lack of impartiality on the part of any member of the audit team
• Relevant evidence or circumstances were not adequately considered during the audit or certification decision
• The decision is inconsistent with the requirements of the applicable standard

5.2 How to Submit an Appeal

Appeals must be submitted in writing within 30 calendar days of receiving the certification decision, via:

• Email: appeals@firstwavecert.in
• Written letter addressed to: Management Representative, First Wave International Certification Pvt. Ltd.
• Online portal (if available) on the First Wave website

The appeal submission should include:

• Name and contact details of the appellant
• Reference number of the certification decision being appealed
• Clear statement of the grounds for the appeal
• Supporting evidence or documentation relevant to the appeal
• Signature of the appellant or authorised representative

5.3 Appeals Process & Timelines

Appeal Handling Process

• Within 5 working days, a written acknowledgement of receipt is sent to the appellant.
• Within 10 working days, an initial review is conducted to confirm the appeal is within scope and admissible.
• Within 15 working days of admissibility confirmation, an independent Appeal Review Panel is constituted with personnel not involved in the original decision.
• Within 30 working days of panel constitution, the panel reviews all evidence and may request additional information or a meeting with the appellant.
• Within 45 working days of receipt, the final decision is communicated to the appellant in writing with full reasons provided.
• If the appeal is upheld, corrective action is taken and the certification status revised as appropriate.
• Within 5 working days of closure, the appeal record is closed and filed, with a root cause analysis completed if a systemic issue is identified.

Note: If additional time is required beyond 45 working days, the appellant shall be informed in writing with an explanation and revised expected timeline.

5.4 Appeal Review Panel

The Appeal Review Panel shall:

• Consist of at least two persons not previously involved in the certification decision being appealed
• Itnclude at least one person with technical compeence in the relevant standard or sector
• Be free from any conflict of interest with the appellant organization
• Have the authority to overturn, modify, or uphold the original certification decision

5.5 Appeal Decision

The decision of the Appeal Review Panel is final and binding within First Wave. If the appeal is upheld, First Wave shall take appropriate corrective action, including revision of the certification status, where applicable. If the appeal is not upheld, the appellant is informed of the outcome with detailed reasons and advised of their right to escalate the matter to the relevant accreditation body.

6. Complaints Procedure

First Wave International Certification Pvt. Ltd. accepts complaints from any interested party, including clients, users of certified products or services, regulatory authorities, and members of the public. Complaints may relate to First Wave's certification activities or to the activities of an organization holding a certificate issued by First Wave.

6.1 Types of Complaints

Complaints Against First Wave:

• Audit conduct or approach
• Competence of auditors
• Unfair or biased treatment
• Delays in certification process
• Confidentiality breaches
• Unprofessional behaviour

Complaints Against Certified Clients:

• Misuse of certification mark
• Claims beyond scope of certification
• Non-conformance with certified standard
• Misleading certification claims
• Product/service safety concerns
• Non-fulfilment of contractual obligations

6.2 How to Submit a Complaint

Complaints may be submitted through the following channels:

• Email: complaints@firstwavecert.in
• Written letter addressed to: Management Representative, First Wave International Certification Pvt. Ltd.
• Online complaint form on the First Wave website
• In person or by telephone (complaint subsequently confirmed in writing)

The complainant should provide:

• Full name and contact details of the complainant
• Nature and description of the complaint with relevant dates
• Name of the certified organization (if complaint is against a client)
• Any supporting evidence, documents, or photographs
• Details of any previous attempts to resolve the issue

Anonymous complaints will be assessed at the discretion of management on the basis of available information.

6.3 Complaints Process & Timelines

Within 3 working days, an acknowledgement with a unique reference number is sent to the complainant.

• Within 7 working days, the complaint is categorised, validated, and assigned to a conflict-free investigator.
• Within 15 working days, an investigation is conducted and information gathered from all relevant parties.
• Within 25 working days, if the complaint involves a certified client, the client is notified, given an opportunity to respond, and a site visit conducted if necessary.
• Within 30 working days of receipt, a resolution is determined and the outcome communicated to the complainant in writing.
• If upheld, the Managing Director initiates corrective actions and reviews the client's certification status, including suspension or withdrawal where warranted.
• Within 5 working days of closure, the complaint record is closed, lessons learned documented, and the complaint log updated.

Note: Complex complaints may require additional time. In such cases, the complainant shall be informed in writing of the expected resolution timeline at regular intervals (at least every 15 working days).

6.4 Resolution of Complaints Against Certified Clients

Where a complaint is upheld against a certified client, First Wave shall take one or more of the following actions depending on the severity of the non-conformance:

• Issue a non-conformance requiring corrective action within a specified timeframe
• Conduct an unannounced or special audit of the certified client
• Require the client to cease misuse of the certification mark immediately
• Suspend certification pending resolution of the non-conformance
• Withdraw certification if the non-conformance is critical and unresolved

The complainant shall be informed of the outcome in so far as disclosure does not conflict with confidentiality obligations.

7. Confidentiality

First Wave International Certification Pvt. Ltd. shall maintain strict confidentiality of all information related to appeals and complaints. The identity of complainants and appellants shall not be disclosed to the subject of the complaint or appeal without the prior written consent of the complainant or appellant, except where disclosure is required by law or by the relevant accreditation body.

All personnel involved in handling appeals and complaints are bound by confidentiality obligations.

8. Protection from Retaliation

No client, applicant, or any other party shall suffer any adverse consequence in their certification status or relationship with First Wave solely as a result of having submitted a genuine appeal or complaint in good faith. Any evidence of such retaliation shall be treated as a serious breach of First Wave's Code of Conduct and investigated accordingly.

9. Escalation to Accreditation Body

If an appellant or complainant is not satisfied with the final outcome of the appeals or complaints process of First Wave International Certification Pvt. Ltd., they may escalate the matter to the relevant accreditation body under whose accreditation the certification was issued.

• Escalation to the accreditation body is available only after exhausting First Wave's internal appeals/complaints process.
• The accreditation body will not normally re-investigate a matter but may review whether First Wave followed its documented procedures.
• Legal remedies remain available and are not affected by this procedure.

10. Records and Trend Analysis

First Wave shall maintain records of all appeals and complaints, including:

• Description and category of the appeal or complaint
• Name of investigator / Appeal Review Panel members
• Key dates at each stage of the process
• Outcome and decision with supporting rationale
• Corrective actions taken (if applicable)
• Date of closure and communication to the appellant/complainant

These records shall be reviewed at least annually during management review meetings to identify trends, systemic issues, or opportunities for improvement in certification processes.

11. Responsibilities

12. Review and Revision

This policy has been reviewed and approved by the Board of Directors of First Wave International Certifications Pvt. Ltd.

This document supersedes all previous versions. All personnel must ensure they are working with the most current version of this policy.