Complaints and appeals

The purpose of the complaints and appeals process is to ensure that we take an active stance towards meeting customer requirements and exceeding their expectations. When feedback is received that indicates a client is unhappy with Fortreum INTL performance, decisions or work products, that feedback is handled through this process to ensure the customer's perspective is taken seriously and addressed in a timely manner.

Customer feedback may result in process improvements to the management system — the quality management system (QMS) and the certifying body (CB) management system — and to policies and procedures. At no time will any negative feedback result in any discriminatory actions.

All INTL customers are entitled to a formal complaints and appeals process. As such, this process applies to all Fortreum INTL customers and delivery staff. Fortreum INTL is responsible for all steps in the complaints and appeals process and all disposition decisions. Fortreum INTL ensures that the persons engaged in the complaints and appeals-handling process are different from those who carried out the assessments or audits, or made the certification decisions.

• Complaints: expression of dissatisfaction, other than appeal, by any person or organization to an inspection body or certifying body, relating to the activities of that body, where a response is expected. Complaints represent a potential incident and an indication of possible nonconformity.
• Appeals: request by the provider of the item of inspection to the inspection body for reconsideration by that body of a decision it has made relating to that item.

Feedback may be received by Fortreum INTL in many ways. One important way to identify areas of improvement is through feedback directly from our customers or governing and accrediting bodies. This is either provided directly to Fortreum INTL management — the practice lead, director of quality assurance (DQA), president or chief executive officer — or through our feedback email address, [email protected].

Other ways to identify complaints and appeals include, but are not limited to:

• The rules of engagement detailing a communication process for customers to identify issues raised during inspections.
• Annual meetings with clients, which include past performance review.
• Customer status meetings between project lead and customer representative.
• Frequent meetings between project lead and legal.
• Customer satisfaction surveys.
• Quarterly business reviews.

Once feedback is received by Fortreum INTL, the communication of that feedback varies depending on the source.

Fortreum INTL is responsible for gathering and verifying all necessary information to validate the complaint. The practice lead works with the quality team to confirm whether the complaint or appeal relates to Fortreum INTL inspection or certification activities and, if so, initiates Fortreum INTL's corrective action preventative action (CAPA) procedure to deal with it. The practice lead then investigates the feedback to gather any additional information needed to properly assess it, including the results of previous, similar complaints and appeals.

If a complaint relates to a certified client, Fortreum INTL examines the complaint considering the effectiveness of the customer's certified management system. Valid complaints about customers are relayed to the customer by Fortreum INTL at an appropriate time, to allow the customer to initiate corrective action.

The executive leadership team (ELT) will review any recommendations as part of their regular meeting cadence and determine if the suggested steps are appropriate and viable. The ELT will then respond to the practice lead, approving the proposed actions or requesting an update to the plan of action. The ELT's response is documented in the CAPA tracker in accordance with the CAPA procedures.

The practice lead will then provide Fortreum INTL's response to the complainant or appellant, stating Fortreum INTL's stance and intended actions. In the event a change needs to be made to the management system or delivery practices, Fortreum INTL will consider the level of effort necessary to make the change and provide a timeline for correction to the originator of the feedback. All communications are documented in the CAPA tracker.

The CAPA assignee — generally the practice lead or their designee — will implement the CAPA as outlined in the CAPA tracker and update the tracker with status updates. The CAPA tracker is reviewed with leadership quarterly to ensure that corrective action is being taken as planned, and updates are noted directly in the CAPA records. Progress reports will be provided to the complainant or appellant as appropriate.

Once the change is implemented, the ELT will review the implemented plan of action and assess its effectiveness. If effective, the CAPA will be closed in the tracker. The practice lead will be notified of closure by the ELT and will then notify the complainant or appellant about the closure of the CAPA. The complainant or appellant will be provided with evidence that the change is in fact implemented.

Data outputs from the complaints and appeals process must be stored in the CM repository. Process outputs include the following:

• Corrective action plans
• Communication with the complaint or appeal submitter
• Updated process assets and practices