Home → Manual → Handling of Potential Nonconformances and Challenges to Certifications
Section 9 Updated: 2025-06-01

9. Handling of Potential Nonconformances and Challenges to Certifications

9.1 Policy Purpose

This policy establishes processes for identifying, evaluating, and resolving potential nonconformances and formal challenges to certifications issued under the FWS Program.

9.2 Detection and Reporting of Potential Nonconformances

9.2.1 Sources of Nonconformance

Nonconformances may be identified via:

  • Surveillance activities (e.g., market sampling, factory audits)
  • Complaints or appeals from third parties
  • Internal audits or management reviews

9.2.2 Immediate Reporting

Any stakeholder must notify the FWS Program Administrator within two business days of identifying a potential nonconformance.

9.2.3 Classification and Initial Review

Upon receipt, the FWS Program Administrator shall classify the reported issue as:

Minor

No immediate risk to certified properties or certification policy or procedures.

Major

Potential to undermine confidence in certification.

Critical

Immediate risk requiring suspension of certification.

9.3 Assignment for Investigation

Based on classification, the FWS Program Administrator may assign a qualified party to investigate from those not involved in the original certification decision.

9.3.1 Minor Investigation Assignment

FWS Program Administrator may investigate or reassign investigation.

9.3.2 Major Investigation Assignment

FWS Program Administrator assigns to SJRWMD or their recommended FWS Program TIC.

9.3.3 Critical Investigation Assignment

FWS Program Administrator convenes meeting with SJRWMD within 24 hours to inform and acts agreed upon.

9.4 Investigation and Determination

The investigator shall prepare an investigation plan within five working days, outlining:

9.4.1 Scope and Objectives

Clear statement of investigation scope and objectives.

9.4.2 Evidence Collection

Evidence to be collected (records, site visits, interviews).

9.4.3 Applicable Requirements

Applicable requirements or FWS Program policies and procedures.

9.5 Evidence Review

9.5.1 Collection Process

Collect and review all relevant evidence, ensuring impartiality and confidentiality.

9.5.2 Findings and Nonconformance Report

The investigator issues a detailed report including:

  • Description of nonconformance
  • Root-cause analysis
  • Severity classification confirmation
  • Recommended corrective actions

9.6 Corrective and Preventive Actions

The FWS Program Administrator and SJRWMD convene to review findings and, within 10 working days, develop an Action Plan specifying:

9.6.1 Corrective Actions

To rectify the nonconformance.

9.6.2 Preventive Actions

To avert recurrence.

9.6.3 Responsibilities and Timelines

Clear assignment of responsibilities and completion timelines.

9.7 Implementation and Verification

9.7.1 Action Implementation

The entities involved implements corrective/preventive actions.

9.7.2 Verification Process

The FWS Program Administrator verifies completion and effectiveness through follow-up audit or inspection.

9.8 Closure

When actions are satisfactorily completed, the FWS Program Administrator formally closes the nonconformance report and updates certification records.

9.9 Suspension, Withdrawal, or Reduction of Certification

9.9.1 Criteria for Suspension/Withdrawal

Certifications may be suspended, reduced in scope, or withdrawn when:

  • Critical nonconformances are confirmed
  • Corrective actions are not implemented within agreed timelines

9.9.2 Decision Process

SJRWMD reviews major/critical cases and makes final decisions.

Notification

The entity is notified in writing of suspension, reduction, or withdrawal.

Portal Update

Portal is updated accordingly.

9.10 Appeals and Challenges

Entities may submit a formal appeal or challenges to nonconformance actions within 60 days of notification. Appeals must include:

9.10.1 Grounds for Appeal

Clear statement of grounds for appeal.

9.10.2 Supporting Evidence

All supporting evidence.

9.10.3 Appeals Committee

Composition: Composed of individuals not involved in the original investigation or decision assigned by SJRWMD.

Process:

  • Reviews the appeal within 20 working days
  • May request additional information

Final Determination:

  • The Appeals Committee issues a written final determination to uphold, overturn, or modify the prior decision
  • All appeal outcomes are final and binding
  • Decision is final and binding on all parties

9.11 Challenges to Issued Certifications by Third Parties

9.11.1 Challenge Submission

Any third party (“Challenger”) wishing to challenge the validity of an issued certification must submit a Certification Challenge Request (CCR) to the FWS Program Administrator within 60 days of the date the Certificate of Conformity was issued.

9.11.2 CCR Submission Method

The CCR may be submitted by email but shall include:

  • Identification of the certified property and certification scope being challenged
  • Detailed grounds for challenge, including any alleged nonconformances or procedural irregularities
  • All relevant supporting evidence

9.11.3 Deposit Requirement

A deposit of $500 is required; it will be refunded if the challenge is upheld or retained if it is denied. The FWS Program Administrator will not consider a CCR until the deposit has been received.

9.11.4 Administrative Check

Upon receipt, FWS Program Administrator will perform an administrative completeness check within 5 working days to verify:

  • CCR form is fully completed
  • Deposit has been received
  • Submission is within the 60-day window

Note: Incomplete or late CCRs will be returned without further review, and the deposit will be retained.

9.11.5 Challenge Review Panel

Complete CCRs are forwarded to the Challenge Review Panel, comprised of at least three individuals not involved in the original certification decision.

Acknowledgment: The Panel will acknowledge receipt of the CCR to the Challenger and to the certified entity within 5 working days.

9.12 Review Process

9.12.1 Evidence Review

Review all submitted evidence and may request additional information from either party within 10 working days of acknowledgment.

9.12.2 Interviews and Site Visits

Optionally, conduct interviews or site visits if deemed necessary.

9.12.3 Entity Response

The certified entity has 15 working days from Panel’s request to submit its response and any counterevidence.

9.13 Decision and Deposit Resolution

9.13.1 Decision Timeline

Within 20 working days after receiving the certified entity’s response (or after the initial 15-day response window closes), the Panel will issue a written decision to:

  • Uphold the certification, if no sufficient evidence of nonconformance is found
  • Modify the certification scope, if limited nonconformances are confirmed
  • Suspend or withdraw the certification, if critical nonconformances are confirmed

Note: If no decision is issued within 20 working days, the challenge will be deemed denied.

9.13.2 Deposit Disposition

Challenge Upheld: If the challenge is upheld (i.e., the certification is modified, suspended, or withdrawn), the $500 deposit will be refunded to the Challenger.

Challenge Denied: If the challenge is denied (certification upheld), the $500 deposit will be forfeited to the FWS Program Administrator to offset administrative costs.

9.14 Finality and Record-Keeping

9.14.1 Final Decision

The Panel’s decision is final and binding on both Challenger and certified entity. The decision is final, binding, and not subject to further review.

9.14.2 Documentation Retention

All Challenge Review documentation, including CCRs, evidentiary submissions, and Panel decisions, will be retained in FWS Program records for at least three years.

9.15 Recording and Continual Improvement

9.15.1 Record Retention

All investigation reports, action plans, and appeal records are maintained for at least three years.

9.16 Management Review

9.16.1 Annual Review

Nonconformance trends and appeals outcomes are reviewed annually by SJRWMD to improve FWS Program robustness.