COMPLAINTS & APPEALS PROCEDURE

Definitions:

Complaints: A formal complaint from a measured entity against the verification agency, regarding
the manner in which any aspect of the verification has been dealt with.


Appeals: A difference between the score a measured entity feels it is entitled to, based on the
information provided prior to verification, and the score awarded the measured entity by the
verification manager.


Information Requests: A request for information regarding the verification process or supporting
documentation substantiating a score, from the measured entity or a 3rd party unrelated to the
verification, but reliant upon the certificate provided.

Complaints & Appeals:

All Complaints and Appeals Should be resolved within 30 days of receipt. The measured entity
completes the Complaint, Appeal & Information Request form, providing details of the
request and submits it to MSCT, no later than 5 business days from issue of the certificate.

 

The request is forwarded to the Administrator, as an independent & impartial party, whom
shall review the request and assign a competent person responsible for the investigation. The
administrator is to peruse the MF20_Client Register in order to ensure the selection of an
independent, impartial investigator.

 

The impartial Administrator shall acknowledge receipt of the request, and send a signed
acknowledgement letter to the client.

 

The Complaints, Appeals, and Information Requests Register is updated by the impartial
Administrator. The assignment date of the investigation is to be recorded as well as the
assigned investigator details.

 

An independent person with no prior dealings with the entity in question and whom did not
form part of the verification process is required to be appointed when investigating all
Complaints and Appeal by the impartial Administrator by completing the Assignment of
Investigator section of the MF30_Complaint & Appeal Information Request document.

 

The person assigned to investigate the request:
- Reviews the request, and the information supporting the request.
- Reviews the circumstances giving rise to the complaint, or the reason for the dispute
on the score in the case of an appeal, and documents his findings in the Outcome of
investigation section of the MF30_Complaint & Appeal Information Request document.
- He/she completes and documents a root cause analysis to determine the cause of the
action giving rise to the request.
- The investigator makes a decision on the corrective action required, documents this as
well as implements the corrective action, if applicable, ensuring to keep all supporting
proof.

 

The MF31_Complaints, Appeals, and Information Requests Register is to be updated by the
investigator throughout the investigation, clearly marking the dates and actions in the “Detail
of request & Action taken” section. This is done to ensure that the progress/status on an
investigation can be deduced at any point in time.

The person assigned to investigate forwards the Outcome of Investigation section of the
MF30_Complaint, Appeal & Information Request document to the client and obtains
confirmation of acceptance from the client. This shall signify the closure of the appeals /
complaints procedure.

The person responsible for conducting the investigation is to file all completed documentation
pertaining to the investigation in the complaints & Appeals folder.

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