Nippon Asia Halal Association
Document Name
Doc ref: NQP-07
Prepared byProcedure for Complaint and Appeal
Issue: 01
Revision: 00
Date: 10/01/2022
Page 1 of 6
Technical Manager
Approved by Certification Manager

1.0

PurposeThe purpose of this procedure is to describe handling of incident, complaint and appeals
received from the client, in house and from other parties.

2.0

Scope
This procedure covers all complaint and appeal received at Organization by any means, likewritten, verbal, e–mail etc. It also includes adverse findings during audits/inspections.

3.0

Competency Criteria for Members of Appeal & Complaint Committee- Working knowledge of Halal / Management Systems (HALAL, FSMS, HACCP, GMP,
etc.)
- Working knowledge of GSO 2055-2:2021, UAE.S 2055-2:2021, ISO/IEC 17021-1:2015,
ISO/IEC 17065:2012,- Working knowledge of NAHA certification processes- Working or retired from a position at senior management level in areas of food, commerce,industry or government agencies for a minimum of three years.

4.0
4.1

Responsibility
Certification Manager / Technical Manager is responsible for receiving the complaint andappeal from the clients / other parties. They in consultation with the office staff andauditor/inspector are responsible for handling, validating and analysis of the complaint andappeal to the satisfaction of the clients / other parties
The overall responsibility to execute this procedure is given below.

4.2

ActivityCompletion and submittal of compliant report /records for entry into the Corrective Action System
Incident investigation and analysis
Handling of Appeal and Submission to Appeal
Committee (for appeals)
Appeal review, analysis and decision
5.0
5.1
5.1.1

5.1.2

Responsibility
NAHA staff members
Certificaton Manager /Technical Manager
Director / Certification
Manager
Appeal Committee

Description of activity
Quality System Incidents
For the purposes of this document “Quality System Incidents” are defined as complaints,suggestions, observations and opportunities for improvement. Quality System Incident data isentered into the Corrective Action System for proper treatment (NQP04). This procedure describes
the methodology by which NAHA collects and processes incident reports; and communicates theimpact to staff members.
NAHArecognizes that incidents occur in daily operation that collectively have an impact on the
Quality Management System. In order to properly analyze and address system issues a consistentand thorough process for collection of information is vital.

This document is the property of Nippon Asia Halal Association. No corrections / amendments are to
be made except by the person authorized. The holder to return the manual when he leaves theorganization or when he has no further use for it.

Nippon Asia Halal Association
Document Name
Doc ref: NQP-07
Prepared byProcedure for Complaint and Appeal
Issue: 01
Revision: 00
Date: 10/01/2022
Page 2 of 6
Technical Manager
Approved by Certification Manager

5.2

Complaints
Complaints are incidents of grievance or dissatsifaction with NAHA service. Complaints may be:• Internal in nature - raised by a NAHA staff member with regard to internal service,
operations or employee performance• external in nature- raised by NAHA clients, suppliers or other affiliated organizations• written• verbal• complaints raised by client’s customers or stake holders

5.3

Terminology used in this procedure for incidents
The incidents and complaints are considered as any of the below 4 things and proceduredescribes the system for handling the same.

5.3.1

Suggestions
NAHA recognizes that positive feedback is as important as negative. Suggestions are vital in
identifying preventive action and system improvement. As with complaints, suggestions may beinternal or external in nature, written or verbal.

5.3.2

Appeals
NAHA recognizes that the client may have some reservations ormay not agree with the conduct ofaudit/inspection, audit/inspection findings, certification committee decision and / or overall
interaction with NAHA staff. Client is free to communicate the same to NAHA Appeal Committee
and this is treated as an appeal from the client.

5.3.3

Observations
Observations are witnessed incidents of service/operational deficiency, malfunction and or failure.
Observations are often made by individuals independent of the activity witnessed and therefore
objective in nature. Observations also play important role in identification of preventive action andsystem improvement.

5.3.4

Opportunities for Improvement
Opportunites for Improvement are incidents where the system has not failed, yet greater
operational efficiency may be obtained in analyzing current practice. Opportunites for
Improvement are often collected internally, but input from external sources is also beneficial.

5.4
5.4.1

Receipt of Incidents
The quality incident may be reported by any means – verbal or written. In case of an externalsource, the incident report may be received by any staff member. The staff member shall fill the
Incident report recording all the information and details of the complaint. The filled report shall be
submitted to Technical Manager for further action. In case of internal source, the incident reportshall be filled by the staff member and submit to Technical Manager.
5.4.2 Technical Manager shall contact (telephone, email, letter) the external source to acknowledge thereceipt of information within 5 working days of receipt. He shall understand the issue in details
from the source (to avoid any error in writing the report). He may decide to personally meet theinitiator, depending on the gravity and seriousness of issue.
This document is the property of Nippon Asia Halal Association. No corrections / amendments are to
be made except by the person authorized. The holder to return the manual when he leaves theorganization or when he has no further use for it.

Nippon Asia Halal Association
Document Name
Doc ref: NQP-07
Prepared by
5.4.3
5.4.4

5.4.5
5.4.6
5.5
5.5.1

Procedure for Complaint and Appeal
Issue: 01
Revision: 00
Date: 10/01/2022
Page 3 of 6
Technical Manager
Approved by Certification Manager

In case of Complaints and Observations, it may be against NAHA(a system / procedure or a person)or a NAHAcertified companies (client). In case of suggestion / opportunity for improvement, it isfor NAHAto study the suggestion and decide.
All such incidents received by any means or by any one is first of all recorded in the Incident reportwith the details of;•Complaint and appeal sr. No.,•
Mode of receipt,•
Received by,•Name of client / other parties,•
Description of complaint and appeal,•
Reference of services against, which complaint and appeal is raised along with thereference ,date and other details,
Client / other parties’ complaint and appeal incident report are issued to the Technical Manager
for analysing the root cause.
Technical Manager validates the complaint after checking necessary back–up records or personal
interview of auditor/inspector / staff members (who were involved in to job).

Handling of Client Complaint and Observations
In case of a complaint / observation against NAHA, Appeal & Complaint Committee will
analyze the issue to determine if there is system error or person error. Team shall determine theroot cause and determine correction, corrective and preventive action.
The possible complaints are –• Administration - problems with appointments, certification/inspection files, certificatesissued or issued late,• Auditor/inspector/subcontractor problems with incomplete audit/inspection or
surveillance documentation• Agents - problems with general compliance with NAHA administration or audit/inspection
procedures
5.5.2
The correction is affected immediately to satisfy the complainant. This may include training /counseling the person involved. The CAPA is discussed with management during next
Management Review. Appropriate action is taken based on discussions (change in procedure /formats, training to all personnel etc.). An email is sent out to all staff detailing the issue andremedial action (for information). A copy of the complaint and investigation details ismaintained in the respective individual’s personnel file for reference at the performanceappraisals.
5.5.3
In case of a complaint / observation against a certified client, the Appeal & Complaint
Committee will study the complaint and discusses with the auditor/inspector (lastaudit/inspection). If the complaint is found genuine and valid i.e. indicates a system failure, thecomplaint is sent to the client for a response. No confidential reports or information will be sent
to complainants without written permission from the client. Adequate time is given to the client
for response. If required, Appeal & Complaint Committee follows up with the client for the
response. Depending on the response, Team may decide to –• Write to the complainant about the response and asks for his response.
• Ask further clarification from the client
This document is the property of Nippon Asia Halal Association. No corrections / amendments are to
be made except by the person authorized. The holder to return the manual when he leaves theorganization or when he has no further use for it.

Nippon Asia Halal Association
Document Name
Doc ref: NQP-07
Prepared byProcedure for Complaint and Appeal
Issue: 01
Revision: 00
Date: 10/01/2022
Page 4 of 6
Technical Manager
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Depute an auditor/inspector to personally visit the client and investigate for system failure.
Such visit shall be considered as special visit and charged to client.
• Request a joint meeting with client, complainant and NAHA.
Nominated member of Appeal & Complaint Committee shall communicate with thecomplainant at the end of the process detailing the findings and to formally close the complaint.
Whenever possible, NAHA gives formal notice of the complaints -handling process to thecomplainant. NAHA determines, together with the certified client and the complainant, whether
and, if so to what extent, the subject of the complaint and its resolution will be made public.
A copy of the correspondence is kept in the client file for records and the same is passed toauditor/inspector during next audit/inspection. The details of all complaints and action taken(Correction, CAPA) are discussed in Management Review and IC meeting.

5.5.4

5.5.5

5.6

Handling of Appeals
NAHA is responsible for all decisions at all levels of the appeals-handling process. NAHA will
ensure that the persons engaged in the appeals-handling process are different from those whocarried out the audits and made the certification decisions. Submission, investigation anddecision on appeals will not result in any discriminatory actions against the appellant.
Any company or organisation who fails to satisfy an audit/inspection or surveillance may appeal
against the decision. Where an appeal is received the following procedure will be followed.
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5.7

An outline of the process for receiving, validating and investigating the appeal, and for
deciding what
actions need to be taken in response to it, taking into account the results of previous similar
appeals;
Tracking and recording appeals, including actions undertaken to resolve them;
Ensuring that any appropriate correction and corrective action are taken.
Receiving the appeal is responsible for gathering and verifying all necessary information tovalidate the appeal.
Acknowledge receipt of the appeal and provide the appellant with progress reports and theresult of the appeal.
The decision will be communicated to the appellant by individual(s) who reviewed andapproved the appeal and who is not previously involved in the subject of the appeal. And also
give formal notice to the appellant of the end of the appeals handling process.
Handling of Suggestions /Opportunity for improvement•
In case of suggestion / opportunity for improvement, the source is predominantly internal
and the concerned staff member fills the incident report and submits to Certification
Manager / Technical Manager. The other source may be internal / external
audit/inspection.
•
Certification Manager / Technical Manager studies the suggestion to determine any
conflict with ISO/IEC 17021, ISO/IEC 17065, UAE.S 2055-2 & ISO/IEC 17020, NAHA’s
Policy. In case the suggestion is in conflict, the same is communicated to the initiator.
However, the suggestion is also discussed in Management review. In case the suggestion

This document is the property of Nippon Asia Halal Association. No corrections / amendments are to
be made except by the person authorized. The holder to return the manual when he leaves theorganization or when he has no further use for it.

Nippon Asia Halal Association
Document Name
Doc ref: NQP-07
Prepared by

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5.8
5.8.1

5.8.2

5.8.3

6.0

Procedure for Complaint and Appeal
Issue: 01
Revision: 00
Date: 10/01/2022
Page 5 of 6
Technical Manager
Approved by Certification Manager
is found not in conflict, the suggestion is studied for benefits and the impact on otherprocesses.
The suggestion is accepted if found beneficial and does not adversely impact any otherprocess. Technical Manager determines the changes in existing documentation andimplements through Document Change process (NQP01).
If any certified client or interested party asks for the appeal/complaint handling process,then it is forwarded to Certification Manager / Technical Manager. He will inform acertified client /any other interested party the appeals and complaint handling process of
NAHAif any complaints / appeals are received by certified clients / interested party

Closing of complaint and appeal
Depending on the nature of the non–conformity, the Certification Manager / Technical Manager
may follow up with requests for corrective and preventive actions. When the investigation of client
complaint and appeal determines that remote operation or other external organizations contributed
to the complaint and appeal, the Certification Manager / Technical Manager or his delegatecontacts these organizations and provides them with all relevant information.
Every client complaint and appeal is recorded. The records are maintained by the TechnicalManager. When there are copies of written communication, reports and other documents related
to a complaint and appeal, these records are organized into a file and are identified with thecomplaint and appeal number and also having records of the corresponding corrective or
preventive actions. The records of investigations that concern product quality or other test
characteristics are maintained by Technical Manager. Based on analysis of Client / Other Parties
complaint and appeal, necessary actions are taken and client is replied for closing the complaint
and appeal. Technical Manager identifies need for taking corrective and preventive action toprevent such complaint and appeal in future and accordingly concerned person is informed.
All the complaint and appeal received by Organization will be closed within 7 working days after
receipt of the complaint and appeal. Certification Manager / Technical Manager is authorised forclosing of complaint and appeal.
Constitution for Complaint/Appeal Committee
The Director / Certification Manager will appoint the members of the appeals & complaints
committee under the leadership of Director who will hear the appeal and determine the outcome.
Halal certification, Halal Islamic affairs expert is one of the members of the committee. In case,
Director / Certification Manager / any members of Appeal & Complaint Committee are part of theaudit/inspection/certification team, Director / Certification Manager will decide to appoint
independent investigating officer/team for the appeals & complaint process. In such a scenario
Director / Certification Manager shall approach Impartiality Committee and/or NAHA team toprovide decision on the appeal & Complaint. The decision on the appeal & complaint shall be taken
based on the decision by Appeal & Complaint Committee and the Impartiality committee. Resultsof the appeal & Compliant will be reported to the board of directors.
•
All appeals & complaints shall be received by the Certification Manager /TechnicalManager and details of appeals & complaints will be recorded in the Appeals & Complaints
Register maintained by the Technical Manager.
•
Certification Manager / Technical Manager shall investigate the appeal & complaint madeand inform the client about its plan of action for investigation and action there upon.

This document is the property of Nippon Asia Halal Association. No corrections / amendments are to
be made except by the person authorized. The holder to return the manual when he leaves theorganization or when he has no further use for it.

Nippon Asia Halal Association
Document Name
Doc ref: NQP-07
Prepared by
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Procedure for Complaint and Appeal
Issue: 01
Revision: 00
Date: 10/01/2022
Page 6 of 6
Technical Manager
Approved by Certification Manager
An investigation report (Incident Report) for each individual appeal& complaint shall bemaintained by the Technical Manager. In case, any further corrective action is required post
actions identified and taken based on Incident report – Corrective action procedure NQP04
is implemented.
A copy of the investigation report will be sent to the client.
In case of any further ambiguity, the same shall be reviewed by the board of directors andappropriate decision arrived at.
In case the issue still remains open; the same will be intimated to the accreditation board
for its valuable comments.
All appeals & complaints made are collated and analyzed on a yearly basis.
Necessary corrective and preventive actions shall be taken based on the appeal & complaint
trend.
Appeal & complaint trends and corrective and preventive action taken will also be reviewed
as part of the Management committee meeting and Impartiality committee meeting.
CM/Technical Manager will ensure that details with respect to the appellant/complainant
and actions there upon is not shared with the audit/inspection team members.
CM/Technical Manager will ensure that no discriminatory action is taken against theappellant/complainant.
The client is made aware of the appeals and complaints process and is available to him on
request.

7.0

References
7.1 NQP01 - Procedure for control of documents
7.2 NQP04 - Procedure for corrective and Preventive action

8.0

Enclosures
Nil

9.0

Formats / Exhibits
N/07 CAPR Report (OP)N/08 Customer Complaint & Appeal Register
N/55 List of Complaint-Appeal Committee Members

This document is the property of Nippon Asia Halal Association. No corrections / amendments are to
be made except by the person authorized. The holder to return the manual when he leaves theorganization or when he has no further use for it.