Processes for handling Appeals and Complaints
1.

Application

This explanation note describes the outline of appeals-handling and complaints-handling processes related
to the management system certification services the Society offers.

2.

Normative references

This explanation note is published in accordance with the following requirements.
- Conformity assessment – Requirements for bodies providing audit and certification of management
systems (ISO/IEC17021-1:2015 and JISQ17021-1:2015)

3.

Appeals-handling process

3.1 What is an “appeal” ?
An “appeal” means disagreement with the decision of the Society on a management system certification
officially expressed in writing by certified organization(s) (including applicant organization(s)) thatis(are) and/or will be influenced by the decision, and subsequent, official request for re-consideration of it
in writing.
Accordingly, any appeals of organizations other than certified organizations or applicant organizations
can not be accepted.
3.2 Appeals-handling process
3.2.1 Acceptance of appeal and notice of it
Appeals must be submitted through written texts within 45 days from the date when a reason have arisen.
Once receipt of the appeal in writing, the Society shall investigate and validate the subject of the appeal,and decide the acceptance of it. The investigation shall be made by individual(s) not previously
involved in the audit and/or in the decision of the certification related to the subject of the appeal.
Where the appeal is accepted, the Society shall give notice to the appellant of it. In case where theappeal is not accepted, the Society shall give notice to the appellant of it with the reason in writing.
3.2.2 Investigation and deliberation
After accepting the appeal, the Society shall convoke the Management System Appeal Committee within
it. The Committee consists of members not involved in the subject of the appeal.
At the meeting(s) of the Committee, the deliberation shall be made on the result of the investigation into
the appeal and subsequent action(s) to be taken. The appellant may be invited to explain the reason(s)for the appeal at the meeting of the Committee if the appellant so wishes.

3.2.3 Communication of deliberation result
The result of the deliberation of the Committee (the decision of the Committee) shall be communicated tothe appellant.
Where the appellant agrees with the result of the deliberation, the Society shall give notice to theappellant of the end of the appeals-handling process.
In case where the appellant does not agree to the result, the appellant may make just one more request to
the Society to re-open the deliberation at the Committee within 30 days after receipt of the result.

4.

Complaints-handling process

4.1 What is a “complaint” ?
A “complaint” means expression of dissatisfaction by individual(s) or organization(s) (including certifiedorganization(s)) with an issue related to the Society or organizations certified by the Society in writing.
Specifically, the following are the issues that could be handled under this process:1) Management system certification services of the Society;2) Management systems of the organizations certified by the Society.

(1/Apr./2019)

4.2 Complaints-handling process
4.2.1 Acknowledgement
Complaints must be submitted through written texts within 45 days from the date when a reason havearisen. The Society will not respond to anonymous complaints or complaints without clear contact
information.
After receipt of the complaint in writing, the Society shall investigate whether it relates to the certification
activities and scopes for which the Society is responsible, and decide the acceptance of it.
Where the complaint is accepted, the Society shall acknowledge of it to the complainant. In case where
the complaint is not accepted, the Society shall give notice to the complainant of it with the reason(s).
(Remarks)(1) For complaint(s) related to certified organization(s), a direct approach to the organization(s) inquestion is recommended.
(2) A confidentiality agreement with the organization(s) may not allow the Society to give any response
related to the complaint to the complainant.
(3) The Society does not disclose any personal information without consent of the person(s) in question,
but may refer the matter to the organization concerned at an appropriate time to proceed with thecomplains-handling process further. Any specific person of the organization concerned may beidentified during the process.
4.2.2 Investigation and preparation of actions to be taken and of draft response
After accepting the complaint, the Society shall nominate the individual(s) previously not involved in thesubject of the complaint, and instruct him/her (them) to investigate and validate the subject of thecomplaint. In case where the complaint is related to an organization certified by the Society, the Society
shall refer the matter to the organization at an appropriate time in order to collect and verify all thenecessary information.
The nominated individual(s) shall investigate the matter, and decide actions to be taken by the Society
and a response to the complainant.
4.2.3 Communication of decision
The Society shall communicate the decision on the response to the complainant.
Where the complainant agrees with the decision, the Society shall give notice to the complainant of theend of the complaints-handling process.
4.2.4 Request of re-examination
In case where the complainant disagrees with the decision, the complainant may request the Society to
re-open the investigation of the matter within 30 days after the receipt of the decision. Such a request
can only be accepted if the request is accompanied with additional information, such as new findings ofthe fact. After receipt of such a request, the Society shall re-open the investigation of the matter andgive notice to the complainant of further decision(s) in accordance with the above mentioned
complaints-handling process.
4.2.5 Convocation and deliberation in Appeal Committee
If the complainant disagrees with further decision(s) based on the investigation re-opened, and requests
further investigation, the Society shall convoke the Management System Appeal Committee subject to theconsent of the complainant. The Committee consists of the neutral outside members previously notinvolved in the subject of the complainant. At the Committee, deliberation shall be made on the resultsof the investigation/re-investigation and on actions to be taken, and response based on the decision of theCommittee shall be communicated to the complainant. This is the end of the complaints-handlingprocess.
4.2.6 Publication of complaints
The Society shall determine, by mutual consent between the complainant and the Society, whether and, if
so to what extent, the subject of the complaint and its decision(s) shall be made public. Where thecomplaint is for an organization certified by the Society, such a decision shall be made also in
consultation with the organization.

5.

Correction and corrective action

The Society shall take appropriate corrections and corrective actions regarding the appeals and complaints
accepted in accordance with the actions determined by the Society to be taken.
(1/Apr./2019)

Attachment 1
Flowchart of Appeals-handling processes
Appeal● Submitted through written texts within 45 days from thedate when a reason have arisen.
●Investigation of the appeal

Acceptanceof appeal ?

不No
Close

Investigate and validate the subject of the appeal● Notice of acceptance to appellant(Where the subject of the appeal is not considered to bevalid, the Society will give notice to the appellant of not
accepting the appeal. [See note])

Yes

Prepare counterplan against appeal●Convoke the Appeal Committee● The committee consisting of members with neutral

Consider an appropriate response and prepare counterplan

position.

● Review and consider the counterplan

Deliberation● Make a decision about response at the committee

Decision of Committee

Acceptanceof decision ?
NomeetingYes● Inform the appellant in writing of Committee’s decision

Close● If not accepted, the appellant may request tore-open thedeliberation at the committee within 30 days after receiptof the result.
(This processing may only be granted once.)

Note :The following are examples of not accepting the subject of appeal:
1) The appellant is not a certified organization in the Society, nor an applicant organization to the Society2) The subject of appellant is apparently not related to the certification decision of the Society.

(1/Apr./2019)

Attachment 2
Flowchart of Complaints-handling processes
Complaint● Submitted through written texts within 45 days fromthe date when a reason have arisen.
Investigation of the complaint

Acceptanceof complainNo● Notice of acceptance to complainant

Close

Yes
Decision on response
Inform the complainant

Acceptanceof decision

Yes(Where the subject of the complaint is not considered tobe valid, the Society will give notice to the complainantof not accepting the complaint..
● Decision on 1st response against the complaint,and inform the complainant of decision● If not accepted, the complainant may request toClose

re-examination of 1st response within 30 days.
● Decision on 2nd response, and inform the complainantof decisionNo← 1st time

● Investigate and validate the subject of the complaint● If not accepted, the complainant may request to↓2nd time

Prepare the response

Convoke the Appeal Committee

Deliberation

Decision of Committee

re-examination of 2nd response within 30 days.
(The case shall be applied only be presence ofadditional information, such as new findings.）● Consider 3rd response and prepare counterplan● The committee consisting of members with neutral

position.

● Review and consider the counterplan● Make a decision about response at the committee

meeting
Inform the complainant
about the decision● Inform the complainant in writing of Committee’s

decision (the end of the complaints-handling process)(1/Apr./2019)