APPEAL & COMPLAINTS

1.0 Purposes
This procedure is for handling the Appeals and Complaints process of UNICERT as per requirements of ISO/IEC 17021 and other applicable international standards for certification bodies offering management system certifications.

2.0 Scope
This procedure is applicable to all appeals and complaints received by UNICERT related to its Management System Certification.

3.0 Responsibility
Authorised Director

4.0 Description of activity
4.1 Appeals
UNICERT has a documented process to receive, evaluate and make decisions on appeals as under:

4.1.1 Any client can make an appeal to UNICERT in respect of the following:

a) Non acceptance of client’s application for certification
b) Granting, suspending, refusing, withdrawing or denying of certification

4.1.2 UNICERT is responsible for all decisions at all levels of the appeals-handling process. UNICERT ensures that the persons engaged in the appeals-handling process are different from those who carried out the audits and made the certification decisions. UNICERT records all appeals in documents MSP05-F01, MSP05-F02 and acknowledge the receipt of the appeal. All appeals are  addressed within 7 working days from the receipt of the appeal.

4.1.3 UNICERT ensures that submission, investigation and decision on appeals do not result in any discriminatory actions against the appellant

4.1.4 UNICERT while receiving the appeal is responsible for gathering and verifying all necessary information to validate the appeal. All appeals are reviewed by the appeals panel constituted by the authorised director for each appeal. The appeals panel contains at least one member from UNICERT’s auditor panel who has not been part of the audit and also was not involved in the certification decision or involved in the subject of the appeal. For appeal against the decision of the Authorised Director, the matter is referred to another director or personnel for taking decision making.

4.1.5 UNICERT acknowledges receipt of the appeal and provides the appellant with progress reports and the result of the appeal.

4.1.6 The appeals panel investigates the appeal by looking into the records and / or talking to the appellant and UNICERT and takes a decision taking into account the results of any previous such appeals. Based on the decision of the appeals panel. UNICERT initiates appropriate correction and corrective action and the same is recorded in MSP05-F02. The decision to be communicated to the appellant is made by, or reviewed and approved by the panel not previously involved in the subject of the appeal.

4.1.7 UNICERT gives formal notice to the appellant of the end of the appeals handling process.

4.2 Complaints

 4.2.1 UNICERT is responsible for all decisions at all levels of the complaints handling process. UNICERT while receiving the complaint is responsible for gathering and verifying all necessary information to validate the complaint.

4.2.2 Submission, investigation and decision on complaints does not result in any discriminatory actions against the complainant.

4.2.3 Upon receipt of a complaint, UNICERT confirms whether the complaint relates to certification activities that it is responsible for and, if so, accordingly deals with it. If the complaint relates to a certified client, then examination of the complaint considers the effectiveness of the certified management system.

4.2.4 The complaints received are recorded in MSP05-F01 and is acknowledged to the complainant. The authorised director reviews the complaint to ascertain the seriousness and the genuineness of the complaint. UNICERT provides the complainant with progress reports and the outcome.

4.2.5 The complaints redress process:

4.2.5.1 Complaints about UNICERT from the client or third party:

4.2.5.2 Complaints about the certified client from its customers or any other Third Party:

4.2.6 UNICERT has decided to make public the complaint and its resolution, if agreed, with the client and the complainant.

4.2.7 The decision to be communicated to the complainant is made by, or reviewed and approved by the authorised director or complaints panel not previously involved in the subject of the complaint.

4.2.8 Whenever possible, UNICERT gives formal notice of the end of the complaints- handling process to the complainant.

4.3 Client feed back

4.3.1 After every audit (certification, surveillance and re- certification) a feedback from the client in obtained in document MSP09-F05, to assess:

• UNICERT office’s responsiveness to client queries at various stages of the certification process
• Performance of the audit team
• Areas for further improvement

4.3.2 All the feedback received from the clients are analyzed and appropriate action taken if required.

4.3.3 The actions taken are recorded in MSP09-F05.

4.3.4 A summary of the feedback and the findings with the corrective action taken are reviewed in the MRM (Management Review Meeting).

4.4 Disputes

4.4.1 Any disputes arising our of UNICERT’s certification activities will be settled by private negotiations between the parties, and if this is not possible, then it should be referred to the association of certification bodies or arbitration as per the UNICERT registered local country act jurisdiction.

5.0 References

5.1 MSP-07, Procedure for Planning, Conducting and Reporting

5.2 ISO/IEC 17021:2015

6.0 Enclosures
Nil

7.0 Forms

7.1 MSP05-F01, Appeals and Complaints Form