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--- articles:how_to_appeal_nonconformance [2023/05/14 20:14] – [Diverging Opinions] rrandall
+++ articles:how_to_appeal_nonconformance [2024/02/08 11:53] (current) – [Preparing for a Complaint or Appeal] rrandall
@@ Line 1: / Line 1: @@
-====== How to Appeal a Non-conformance ======
+====== How to Appeal a Nonconformance ======
 {{keywords>How to Appeal a Nonconformance}}
 A MAJOR problem with both ISO 9001:2015 and AS 9100:2016 is the proliferation of ambiguous/nebulous/vague requirements that promote subjective interpretation and inconsistent application.
@@ Line 28: / Line 28: @@
 While AS9104/3 obviously doesn't mandate auditors to issue 1 nonconformity per audit day, the CB in question appears to have //mistakenly// interpreted the requirement that way.
+<WRAP center round info 80%>
+You can also "appeal" the [[articles:classifying_nonconformities|classification of a nonconformity]]. For example, you can appeal for the reclassification of a "Major" nonconformity to a "Minor" nonconformity.
+</WRAP>
 ===== Preparing for a Complaint or Appeal =====
@@ Line 47: / Line 51: @@
 | [[https://asrworldwide.com|American Systems Registrar (ASR)]] | [[https://asrworldwide.com/complaint-process-2]] |
 | [[https://www.eaglecertificationgroup.com|EAGLE Certification Group]]  | [[https://www.eaglecertificationgroup.com/wp-content/uploads/2023/02/Doc-9-V18.pdf]]  |
+| [[https://www.intertek.com/certification/| Intertek]] | [[https://www.intertek.com/business-assurance/policy-statement/| Complaints & Appeals Process]] & [[https://www.intertek.com/form/products-retail-certification-body-complaints-appeals-process/|Online Complaints & Appeals Form]] |
 | [[https://www.mcnacert.com/team|Management Certification of North America (MCNA)]]  | [[https://www.mcnacert.com/team]] † |
 | [[https://www.nqa.com|NQA-USA]]  | [[https://www.nqa.com/en-us/clients/regulations]] ††† |
@@ Line 75: / Line 80: @@
 ISO 17021-1:2015, sec. 9.4.7.3 \\
 The client shall be given opportunity for questions. And diverging opinions regarding the audit findings or conclusions between the audit team and the client shall be discussed and resolved where possible. Any __diverging opinions__ that are not resolved __shall be recorded__ and referred to the certification body.</blockquote>
 Prior to the end of the audit, inform the auditor of __any__ and __all__ nonconformities that you disagree with. In many cases, invalid nonconformities are due to a CB auditor:
+{{ :articles:arguing-7218071.png?direct&300|Source: https://pixabay.com/vectors/arguing-conflict-debate-different-7218071/}}
   * misunderstanding “how” the company complies with a requirement (e.g., a worker either misunderstood the question or didn’t provide a sufficient answer);
   * having a strong bias toward one specific way in which a requirement must be met (when other approaches comply with the standard as well); or
@@ Line 88: / Line 93: @@
 <WRAP centeralign>**⇒ ⇒ ⇒ IMPORTANT ⇐ ⇐ ⇐**</WRAP>
-IF “diverging opinions” over the validity of a nonconformity cannot be resolved during the audit, then you should ask the auditor to record this in the audit report. If the auditor refuses to do this, then immediately following the audit, contact the CB and issue a complaint stating:
+IF “diverging opinions” over the validity of a nonconformity cannot be resolved during the audit, then you should ask the auditor to record this in the audit report. If the auditor refuses to do this, then immediately following the audit, contact the CB and issue a complaint stating: \\
-<WRAP center round box 60%>
+<box 90% round blue| **Subject: Complaint**>
-</WRAP>
+ \\
+//During our audit which took place on [date(s)], there were diverging opinions regarding nonconformity number [number] that were not resolved. While we requested that the auditor record these diverging opinions (in accordance with ISO 17021-1:2015, sec. 9.4.5.4 and sec. 9.4.7.3) in the audit report, the auditor failed to do so. \\
+ \\
+Please record this as a complaint against [auditor's name] for failing to comply with ISO 17021-1:2015, sec. 9.4.5.4 and sec. 9.4.7.3.//
+ \\
+</box>
+Upon completing the complaint, submit it in writing (e.g., via e-mail) to the CB (preferably within a day or two following the audit).
-it will be most beneficial for you to ensure that, pursuant to ISO 17021-1, sec. 9.4.5.4, the disputed nonconformities are "recorded" in the audit report as "unresolved points".
+The above is important because this is the first step in preparing your appeal.
- When this happens, immediately initiate a formal appeal with the CB.
 <WRAP center round info 80%>
-I've seen a couple of auditors "dare" the client to appeal a nonconformity... claiming that if that happens, then the Accreditation Body (AB) will accompany the next auditor during their next audit - and there will be no "leniency". In one case, I witnessed a client "call" the auditors bluff and appealed the nonconformity. The nonconformity was overturned by the CB and the auditor was "counseled" regarding his "threatening" behavior toward clients. The auditor quickly changed his approach.
+I've seen a couple of auditors "dare" the client to appeal a nonconformity... claiming that if that happens, then the Accreditation Body (AB) will accompany the next auditor during their next audit - and there will be no "leniency". In one case, I witnessed a client "call" the auditor's bluff and appealed the nonconformity. The nonconformity was overturned by the CB and the auditor was "counseled" regarding his "threatening" behavior toward clients. The auditor quickly changed his approach.
-</WRAP>
 Where an auditor demonstrates an unacceptable lack of professionalism and/or a consistent bias toward invalid or extremist interpretations, you should issue a complaint AND the CB should allow you to “refuse” scheduling that auditor for future audit activities.
-===== Submitting an "Appeal" =====
+</WRAP>
+===== Preparing & Submitting an "Appeal" =====
-After the audit, issue a written "Appeal" to the CB with any objective evidence supporting your position.
+After the audit, issue a written "Appeal" to the CB with any objective evidence supporting your position. This should be prepared as soon as possible following the audit (e.g., within a week).
 Using ISO 9001:2015 & AS9100:2016 as examples, most invalid nonconformities involve requirements that __do not__ require any associated records or other documentation. So, there may not be any objective evidence supporting either position (Remember that ISO 17021-1, sec. 9.4.5.3 states: "//A finding of nonconformity shall be recorded against a specific requirement, and shall contain a clear statement of the nonconformity, __identifying in detail the objective evidence on which the nonconformity is based__.//"). So, in these situations, the only "objective evidence" would be interviews recorded in the audit report.
@@ Line 136: / Line 140: @@
 Contrary to ISO 17021-1:2015, section 9.4.8.2k, the above nonconformity was __not__ “consistent with the requirements of” ISO 9001:2015, sec. 6.1.2. This section does __not__ require that planned "actions to address... risks and opportunities" be documented. This is supported by the "[[https://asq.org/quality-resources/iso-9001/us-tc176|US TC 176 - TG22 - Interpretations]]" which states: "//ISO 9001:2015 does __not__ require an organization to provide documented information as evidence of determining risk or opportunities. Annex A.4 of ISO 9001:2015 states: ...the organization is responsible for its application of risk-based thinking and the actions it takes to address risk, including whether or not to retain documented information as evidence of its determination of risks.//"
-Evidence of our compliance is contained throughout our quality management system (e.g., documented procedures/Work Instructions, Drawings, Training), every aspect of which was designed to address risks and opportunities. And in our management review meeting minutes (attached), where we evaluate "the effectiveness of actions taken to address risks and opportunities" (as per ISO 9001, sec. 9.3.2e). This objective evidence demonstrates that, while planning is undocumented, it is taking place; satisfying the requirements of ISO 9001:2015.
+Evidence of our compliance is contained throughout our quality management system (e.g., documented procedures/Work Instructions, Drawings, Training), every aspect of which was designed to address risks and opportunities. And in our management review meeting minutes (attached), where we evaluate "the effectiveness of actions taken to address risks and opportunities" (as per ISO 9001, sec. 9.3.2e). This objective evidence demonstrates that, while "//actions to address these risks and opportunities//" are not documented in risk matrices, FMEAs, etc., we do "integrate and implement the actions" into our quality management system processes
+through our Quality Manual, Procedures, Work Instructions, Work Travelers/Routers, training, etc.; satisfying the requirements of ISO 9001:2015.
 </box>
@@ Line 157: / Line 162: @@
 Consequently, the "[[https://asq.org/quality-resources/iso-9001/us-tc176|US TC 176 - TG22 - Interpretations]]" contains "non-binding" opinions rather than binding official interpretations of the standard.
-Further evidence that ISO 19011 is not an applicable requirement is contained in "ANNEX B – OTHER INTERNATIONAL STANDARDS ON QUALITY MANAGEMENT AND QUALITY MANAGEMENT SYSTEMS DEVELOPED BY ISO/TC 176 (INFORMATIVE)". The last sentence of the first paragraph in this annex states: "//Guidance or requirements contained in the documents listed in this annex do not add to, or modify, the requirements of this International Standard.//" The last standard listed in that section is ISO 19011.
+Further evidence that ISO 19011 is not an applicable requirement is contained in ISO 9001:2015, "ANNEX B – OTHER INTERNATIONAL STANDARDS ON QUALITY MANAGEMENT AND QUALITY MANAGEMENT SYSTEMS DEVELOPED BY ISO/TC 176 (INFORMATIVE)". The last sentence of the first paragraph in this annex states: "//Guidance or requirements contained in the documents listed in this annex do not add to, or modify, the requirements of this International Standard.//" The last standard listed in that section is ISO 19011.
-Evidence of our compliance is contained throughout our internal audit reports (several examples attached). Each internal audit contains "information on whether the quality management system is __effectively__ implemented and maintained". This is demonstrated through the internal audit reports indicating whether each area assessed is in compliance with the requirements of our quality management system; satisfying the requirements of ISO 9001:2015.
+In addition, ISO 19011, "Guidelines for auditing management systems" is a guidance document containing NO requirements.
+Evidence of our compliance with ISO 9001:2015, sec. 9.2.1 is contained throughout our internal audit reports (several examples attached). Each internal audit contains "information on whether the quality management system is __effectively__ implemented and maintained". This is demonstrated through the internal audit reports indicating whether each area assessed is in compliance with the requirements of our quality management system; satisfying the requirements of ISO 9001:2015.
 </box>
@@ Line 188: / Line 195: @@
 However, if your appeal is deemed valid by the CB, it's generally a good idea to inform the CB that you do NOT want that auditor to participate in future audits at your site. While many auditors are contractors, working for multiple Certification Bodies, all CBs have "Technical Reviewers" who "review" the audit reports prior to issuance. Each CB has its own "culture"; where invalid nonconformities are either tolerated or not. If the CB continues to utilize auditors who issue invalid nonconformities, then seek out a different registrar.
-===== Non-Responsiveness of the Registrar =====
+===== Non-Responsiveness of the CB =====
+Most CBs will respond in a timely fashion. However, some do not.
-Most registrars will respond in a timely fashion. However, some do not. If you're an AS9100 registered company, then after submitting your appeal, also notify the "Aerospace Director" or equivalent) directly. If the registrar is non-responsive, then login to the IAQG OASIS database and generate a "Feedback" directed toward the CB (Certification Body). If there is still no response (and prior to the 60-day deadline for resolving the nonconformity), then login to the IAQG OASIS database and generate a detailed "Feedback" directed toward the AB (Accreditation Body). Ensure that the "Feedback" includes a complete timeline with events, dates, and identities of those who were contacted. Sharing this information with the AB ensures that the Accreditation Body is aware of the full details concerning how the registrar handled your appeal.
+If you're an AS9100 certified company, then after submitting your appeal, also notify the "Aerospace Director" or equivalent) directly. If the CB is non-responsive, then login to the IAQG OASIS database and generate a "Feedback" directed toward the CB. If there is still no response (and prior to the 60-day deadline for resolving the nonconformity), then login to the IAQG OASIS database and generate a detailed "Feedback" directed toward the AB (Accreditation Body). Ensure that the "Feedback" includes a complete timeline with events, dates, and identities of those who were contacted. Sharing this information with the AB ensures that the Accreditation Body is aware of the full details concerning how the CB handled your appeal.
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