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Recognised agency policies

Managing complaints and appeals

Policy

The agency will advise operators of their right to submit a complaint or appeal regarding a decision made by the agency.

Complaints and appeals will be managed impartially, confidentially and in a timely manner.

Managing a complaint or appeal

• A formal written complaint or appeal must not be managed by the person whom the complaint or appeal is against.

• Respond to the submitter within 48 hours. If a decision can not be made within this time, advice must be provided on the actions being taken and the expected timeframe for completion

• Maintain impartiality and confidentiality throughout the process.

• Make decisions based on objective evidence and related specifications.

• Inform the operator of the outcome and/or response.

• Keep all records relating to the appeal or complaint for at least seven years.

• In situations where the operator does not accept a decision is justified, the agency must inform the operator that they can take the complaint to the NZFSA.

• Supply evidence to NZFSA, including original complaint, the original decision, supporting information etc.

• Define process for contacting NZFSA.

Conflict of interest

Policy

All personnel will be asked to identify and formally state whether an actual or potential conflict of interest situation exists with any clients or operators.

All work is to be completed without time constraints, intimidation or other factors that could influence verification results.

Where a conflict of interest is identified and disclosed, an agreed method for management, monitoring or reporting on the conflict of interest will be developed.

Examples of conflict of interest

• Wineries or wine businesses in which staff have a financial interest (shares, investments, common property ownership etc.)

• Wineries or wine businesses where a close relative or partner is in a position of responsibility

• Where a person has involvement in the governance of a winery or wine business (for example, is a member of the board)

• Where a person has other undertakings or personal relationships with a winery or wine business that could impact on their judgement, for example, close community, iwi/ethnic or religious obligation.

• Where the verifier’s own wine is made or own grapes are processed at a winery that is a client of the agency

• Where a verifier works in an isolated community or in situations where the judgement made by that verifier may affect the viability of the operation, livelihood of winery employees or the local economy

• Where the outcome of a verification visit is based on concerns for job security

• Where gifts, benefits, rewards or hospitality are offered by a winery or wine business and received

• Where a person verifies a specific plan and they have been actively involved in the design, development or implementation of that same plan in the past two years.

Detection and prevention of conflict of interest

Verifiers should:

• attend calibration and training activities

• communicate the right of appeal to wine businesses, including the ability to appeal to NZFSA

• make a formal declaration that they have no conflict of interest.

Commercial confidentiality

Policy

All information obtained during verification shall be treated as confidential, in particular propriety information that is made available to the verifier, and kept secure. Ownership of intellectual property, which includes the operations and activities of operators, will be recognised.

The distribution of information relating to an operator is limited to three individuals:

• those persons within the agency whose job requires that they have such information

• a NZFSA auditor, the Chief Executive of the NZFSA or person authorised by the Chief Executive

• the operator or representative authorised by the operator.

No verbal discussion on any confidential information should be entered into with anyone, except for individuals outlined above.

Impartiality

Policy

All verification activities must comply with all relevant regulatory requirements.

Verification activities are conducted to determine operator compliance with regulatory and export requirements.

Background

Operators are required to manage compliance. However, there will be situations where the verifier will need to discuss the wine standards management plan, its implementation and corrective actions while remaining impartial and independent. In such situations, the verifier will need to work with the operator in a proactive manner to rectify problems, facilitate compliance and assist with capacity building.

Proactive manner means:

• providing constructive, educative critique.

Proactive manner does not mean:

• assuming accountability for operator compliance

• acting in the capacity as a quality assurance manager

• acting as an advocate between the company and NZFSA

• assuming ownership for drafting documentation for the operator

• providing commercial services for non-mandatory activities.

Feedback on unacceptable outcomes

Independence must not be compromised when providing feedback to an operator on an unacceptable outcome. The verifier should explain why an outcome is unacceptable and identify which legal requirements have not been met. The verifier and the operator should then agree on corrective actions to rectify non-compliance.

Impartial means:

• maintaining neutrality

• acting lawfully and objectively

• ensuring actions are not affected by personal interests or relationships

• declining gifts or benefits that place the verifier under any obligation or perceived influence

• carrying out functions unaffected by personal beliefs

• never misusing position for personal gain

• effective separation of consultancy and assessment work for same client .

Updated 22 May 2009