Scheme Owner's Complaints Policy
Complaints handling
Complaints and appeals shall be investigated in a systematic and logical approach that identifies the best methodologies for evaluating the issues and problems raised within the complaint and/or appeal. The conformity assessment body shall ensure that complaints and appeals are taken seriously, investigated in detail and to a point where the issue or problem provides a route cause evaluation and potential solutions.
While handling complaints and appeals, the conformity assessment body shall, at all times, be mindful of their role as a conformity assessment body and ensure that the integrity and consistency of the Scheme is maintained. In this role it is not for the conformity assessment body, however well meaning, to support the certified installer’s conformance through over long periods of nurturing and/or cajoling. The conformity assessment body shall not support the certified installer staying within the attestation for any reason other than the certified installer is in conformance with the Scheme requirements.
Where complaints have included corrective actions to be followed up on by the certified installer or conformity assessment body, the conformity assessment body shall carry out additional surveillance to confirm such actions have been completed satisfactorily.
All complaints shall have a conformity assessment body complaint record and a complaint report detailed enough for a later inspection to understand the problem, actions and conformity requirements carried out, including any outcomes and resolutions.
CAB handling of Certified Installer and Certified Installer’s Client complaints and appeals
The conformity assessment body shall have documented and maintained complaints and appeals handling procedures and processes that meet the requirements of ISO/IEC 17065:2012, the Scheme and complement those of the Scheme Owner. Note the requirements for handling complaints and appeals in the CAB Agreement and the Flexi-Orb Installation Scheme.
Complaints and appeals handling by the conformity assessment body shall in the first instance be acknowledged within 5 working days of receipt of the complaint or appeal, whether justified or not.
The conformity assessment body shall record all complaints and appeals in a complaints/appeals log. The complaints/appeals log shall be made accessible to the Scheme Owner and the accreditation body on request.
Where the complaint has been directly sent to the conformity assessment body without first being sent and handled by the certified installer, the conformity assessment body shall ascertain why the certified installer complaints procedures have not been followed.
To ascertain the reason for not following the certified installer procedures, the conformity assessment body shall contact all parties and record the outcome of the contact with the parties.
If the conformity assessment body finds there is no reason not to follow the certified installer’s complaints procedures, the conformity assessment body shall advise the parties to resolve the complaint between themselves. If the parties find they still cannot agree on a resolution, the conformity assessment body shall act as an intermediary and follow their own complaints procedures.
Should the conformity assessment body believe the nature of the complaint is such that the relationship between the parties is not capable of coming to an agreed position following the certified installer’s complaints procedures, the conformity assessment body shall invoke their own procedures to mediate between the parties in the first instance.
Should the complaint lead to a situation where the relationship has broken down between the certified installer and the certified installer‘s client to the degree that the parties will not engage, even through a mediator, the conformity assessment body shall review the case within 10 working days to determine if the certified installer is likely to be at fault and if so, the conformity assessment body shall use best endeavours to persuade the certified installer to resolve the complaint to the satisfaction of the certified installer’s client.
Following failure by the conformity assessment body to persuade a certified installer to resolve the complaint, which was likely to be of the certified installer’s making, the conformity assessment body shall carry out a full investigation of the complaint. Where the certified installer is found to be culpable or partially culpable the conformity assessment body shall instigate corrective action proceedings on the certified installer.
All conformity assessment body complaints shall be reported to the parties at the same time and with the same information. The report shall detail the conformity assessment body’s understanding of the complaint and provide a detailed investigation report, including possible options for resolving the issue. The conformity assessment body shall consider these in addition to any non-conformities and sanctions that the conformity assessment body may place on the certified installer.
Where the conformity assessment body finds the certified installer’s client was responsible or partially responsible, the conformity assessment body shall detail these in the complaint report they submit to the parties.
Recommending the ADR route shall be the last resort for the conformity assessment body.
Stalemates in the dispute resolutions shall be reviewed by the conformity assessment body to evaluate if the certified installer’s systems, approach to clients and attitude have influenced or impacted on the positive outcome of disputes. Where the findings are not positive, the conformity assessment body shall consider what non-conformances and/or observations would support improved outcomes in the future.
Complaints made against the Conformity Assessment Body
The conformity assessment body shall follow its complaints procedures when reviewing the case.
Where the complaint is particularly sensitive or perceived to be particularly sensitive, the conformity assessment body should consider using an externally competent investigator. Where such an independent investigator does carry out the investigation, no influence shall be exerted by the conformity assessment body on the investigator(s).
Unless the conformity assessment body’s procedures are shorter for carrying out the complaint activities, the conformity assessment body shall respond within the following timeframes:
- Initial response acknowledging receipt of the complaint should be 5 working days.
- Review of information submitted should be within 21 working days, unless further evidence is requested within the 21 working days, where the conformity assessment body may extend the review for a further 10 working days after receiving the additional information.
- The conformity assessment body shall report all complaints made about them to their accreditation body within 5 working days of receipt of the complaint. It shall be for the accreditation body to determine if the complaint warrants a watching brief or further investigation.
- The conformity assessment body shall report all complaints relating to the conformity assessment body’s activities within the Scheme or made about them (relevant to the Scheme) to the Scheme Owner within 5 working days of receipt of the complaint. It shall be for the Scheme Owner (potentially in liaison with the accreditation body) to determine if the complaint warrants a watching brief or further investigation by the Scheme Owner. The Scheme Owner shall review and determine if the complaint against the conformity assessment body warrants actions in Section 19 of this document – Conformity assessment body suspensions and terminations.
- Reports shall be issued in a timely manner and no later than 2 months from the start of the complaint. The conformity assessment body shall share the status of the complaint with the Scheme Owner by way of the complaints log and shall provide further detail if requested.
While it is understood that the resolution of complaints in a positive manner is the best solution, it is also recognised that complaints may not come to an amicable resolution. The conformity assessment body shall consider the likelihood of an amicable resolution for all parties to the complaint and determine at what point a complaint is closed out. When considering closing out a complaint, the conformity assessment body should consider as part of their decision-making process:
- Whether the complainant has made reasonable requests and demands and have these been addressed effectively.
- Whether the investigative or evaluation process has been detailed enough to fully come to a conclusion on the complaint outcome.
- Whether there is a chance of the issue or problem reoccurring.
- Whether the lessons learnt from the complaint process have been or are going to be implemented.
- Whether the accreditation body has accepted the findings of the complaint.
- If continuing the complaint process will change the outcome in a more positive manner.
- What further action needs to take place with the certified installer if the complaint was due to the certified installer not being able to resolve the issue.
Reviewing Applicant complaint(s) against the complaints handling procedures
The conformity assessment body shall provide certified installers with instructions on complaints and appeals reporting to the conformity assessment body. Such instructions shall be written by the conformity assessment body providing the conformity assessment body with an understanding of certified installer complaints/appeals on a continuous basis.
The reporting may be part of a certified installer [monthly] reporting to the conformity assessment body, or other flagging system. The system should not be too onerous on either the conformity assessment body or the certified installer, however, it is important that the conformity assessment body continues to understand the certified installer’s QMS systems are functioning effectively, including complaints procedures and processes. The reporting to the conformity assessment body should include a hierarchy of complaints reporting requirements, in such a way that the more severe the complaint the quicker the conformity assessment body is notified. The fundamental understanding of how many complaints a certified installer is receiving may demonstrate underlying issues in the certified installer’s management and delivery of the scheme requirements, which the conformity assessment body should be aware of as early as possible.
The conformity assessment body shall review certified installers complaints not only for conformity to Scheme requirements but also in terms of how the complaints are handled, including attitude of staff towards clients. The conformity assessment body should highlight in their report where attitudinal issues have not supported a positive conclusion to the complaint. Attitudinal issues may affect performance of the certified installer and reputational damage to the certified installer and the Scheme itself.
The conformity assessment body should consider if close-out of complaints has effectively delivered a positive result for consumers and whether the result could be considered fair and balanced. Where the conformity assessment body is involved with the complaint the conformity assessment body should ensure the complaint handling processes, procedures and outcomes are fair and balanced for both the consumer and the certified installer. Where inconclusive, in terms of fairness of outcome, the conformity assessment body should encourage the certified installer to respect their client’s wishes more than their [the certified installer] own.
Scheme Owner’s complaints handling
The Scheme Owner shall document and maintain complaints handling processes and procedures.
The Scheme Owner shall make the complaints procedures available and easy to find on their website.
The Scheme Owner’s complaints processes and procedures shall include an ability to refer the conformity assessment body to the accreditation body for issues relating to conformity assessment and where such issues are outside the remit of the conformity assessment body’s accreditation body, the Scheme Owner shall have processes and procedures to resolve complaints directly with the conformity assessment body.
Complaints to the Scheme Owner about the conformity assessment body can be provided by anyone as long as they are Scheme related or Scheme impacting (or potentially Scheme impacting) and provided they are valid complaints and not just vexatious, the Scheme Owner shall be obliged to investigate them. Note complaints about an Accredited Conformity Assessment Body shall be notified to UKAS.
The Scheme Owner investigations may be carried out by a third-party on their behalf. The conformity assessment body shall cooperate openly and transparently with the Scheme Owner and/or their representative in a timely manner.
Where the Scheme Owner uses a third-party investigator, the Scheme Owner shall be mindful of any impartiality and conflicts of interest the third-party may have. The conformity assessment body may request a change of third-party investigator if declarations of interest (by the third-party investigator that may influence the outcome of the complaint) have not been made to the Scheme Owner that the conformity assessment body believes will bias the investigation against them.
The timeline for complaints handling between the Scheme Owner and conformity assessment body shall be detailed in the initial communications between the Scheme Owner and the conformity assessment body. This timeline shall take into consideration the severity of the complaint, complexity of the issue, investigation required and the impact (perceived or otherwise) on the scheme.
Conformity Assessment Body reporting complaints to the Scheme Owner
The conformity assessment body shall report monthly to the Scheme Owner with statistics required by the Scheme Owner for the effective operation and maintenance of the scheme.
The Scheme Owner shall provide a list of required data and update the requirements periodically.
The conformity assessment bodies shall not unduly restrict access to such data as long as it falls within the confidentiality agreement between the parties.
