Procedure for complaints and appeals

Procedure for complaints and appeals

1. General

Aim

The purpose of this procedure is to provide appropriate handling of complaints and appeals in order to ensure due process for parties filing a complaint or appeal as well as to improve DigiTrust’s management system. This procedure is intended to provide information to external parties who file a complaint or appeal. The procedure is publicly available via DigiTrust’s website.

Scope of application

This procedure applies to all complaints and appeals filed by external parties.

Management of this procedure

The DigiTrust compliance team is responsible for the content of this procedure. This procedure is part of DigiTrust’s management system.

Definitions

Complaint: A written or verbal complaint expressed about the work methods applied by DigiTrust, one of its employees or one of DigiTrust’s clients. The complaint is to be submitted to DigiTrust within three months of the incident.
If a client wishes to file a complaint related to DigiTrust’s independence, they may contact Chairman of the Commission of Impartiality at the email address cvo@digitrust.nl. The latter will handle the complaint confidentially.

Appeal: A written objection to a certification decision made by DigiTrust or to the inadequate handling of a complaint. The appeal is to be submitted to DigiTrust within 14 days of the incident.

Confidentiality

Any complaint or appeal will be kept confidential with regard to the person making the complaint and the subject of the complaint.

2. Responsibilities

All DigiTrust employees are responsible for reporting and recording all verbal complaints. DigiTrust’s compliance team is responsible for handling complaints and appeals. DigiTrust’s compliance team is responsible for collecting and verifying all of the necessary information required to validate the complaint/appeal.

The decision on the response to the complaint is to be made by person(s) not involved in the subject of the complaint. The appeal will be heard by someone who has not previously been involved in the subject matter of the appeal.

3. Procedure

Complaint procedure

• Upon receipt of a complaint, DigiTrust will confirm whether the complaint relates to certification activities for which it is responsible (validation of the complaint) and, if so, take up the complaint. If the complaint concerns a certificate holder, the effectiveness of the certified management system will be taken into account when investigating the complaint.
• The filing of the complaint, its investigation and decision will not lead to discriminatory measures against the person filing the complaint.
• Any complaint filed regarding a certificate holder will be addressed to the certificate holder concerned within an appropriate time frame. The starting point for an appropriate time frame is set at one week.
• The complaint handling process consists of the following elements and methods:
  • an overview of the process for receiving, validating and investigating the complaint, and deciding on the action to be taken in response;
  • follow-up and recording of complaints, including actions taken to resolve them;
  • ensuring that all appropriate corrections and corrective measures have been applied
• DigiTrust is responsible for collecting and verifying all of the necessary information required to validate the complaint/appeal
• If possible, DigiTrust will acknowledge receipt of the complaint and provide progress reports and outcome to the person filing the complaint
• The decision to be communicated to the person filing the complaint will be made or reviewed and approved by a person or group of people who have not previously been involved in the subject matter. The DigiTrust compliance team takes the lead in this process.
• DigiTrust will formally notify the person filing the complaint of the end of the complaint handling process.
• DigiTrust will work with the client and the person filing the complaint to determine whether, and if so to what extent, the subject of the complaint and its resolution is to be made public. The degree of communication on the subject and resolution of the complaint and the medium used will be determined on a case by case basis by the compliance team, in consultation with the client and person filing the complaint.

Appeal procedure

• The filing of the appeal, its investigation and decision will not lead to discriminatory measures against the person filing the appeal
• The appeal process consists of the following elements and methods:
  • an overview of the process for receiving, validating and investigating the appeal and deciding on the action to be taken in response; taking into account the results of previous similar appeals;
  • follow-up and recording of appeals, including actions taken to resolve them;
  • ensuring that all appropriate corrections and corrective measures have been applied.
• If possible, DigiTrust will acknowledge receipt of the appeal and provide progress reports and outcome to the person filing the appeal
• The decision to be communicated to the person filing the appeal will be made or reviewed and approved by a person or group of people who have not previously been involved in the subject matter. The DigiTrust compliance team takes the lead in this process.
• DigiTrust will formally notify the person filing the appeal of the end of the appeal handling process.

4. Form for recommendations, complaints and appeals

Please complete the form below to submit a recommendation, complaint or appeal. This form will be sent directly to DigiTrust’s management. The above procedure will then apply.