Complaint Management

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SOP for Complaints

Documented Guidelines for Managing Complaints

1.0 Purpose

To lay down documented guidelines for managing complaints made by our client organization and other interested parties.

2.0 Scope

This covers all types of complaints against NCIPL clients or NCIPL or against its staff related to its working and behavior (except appeals made against the audit team’s conclusions and decisions).

3.0 Responsibility

C E O

4.0 Authority

This procedure is authorized by the C E O and can be amended only by him.

4.1 Policy

NCIPL has established a policy that allows full freedom to its clients to submit complaints against the behavior of the audit team. Investigation and decision on complaints is considered a positive step towards building the credibility and reputation of NCIPL, and therefore complaints and subsequent actions do not result in any discriminatory actions against the complainant.

The certification body receiving the complaint (against the audit team or against the certified client) shall be responsible for gathering and verifying all necessary information to validate the complaint, and take necessary action.

5.0 Procedure

5.1 Complaint Management

NCIPL gives utmost importance to complaint resolution, whether it is from our clients or from elsewhere. Complaints may arise due to dissatisfaction from:

  • NCIPL and its working
  • Staff of NCIPL
  • Clients of NCIPL

5.2 Receipt of Complaints

Complaints may be lodged in person, by phone, by email or by post.

5.3 Acknowledgement of Complaint

All complaints are acknowledged within 3 working days.

Ref: Record of Complaint – disposal

5.4 Investigation

The complaint is investigated to assess its acceptability. If it relates to NCIPL activities or is against the NCIPL certified client’s activities, only then it is accepted for further investigation. If the complaint is against the audit team, the CEO assigns responsibility of investigation to only those persons who are not involved in the complaint related activities. If the complaint is found frivolous, the conclusion is recorded in the Complaint record and the complaint is closed and the complainant is informed. If the complaint is found prima facie meaningful, corrective action is taken and the complainant is updated about the action initiated.

5.4.1 If the received complaint is about the audit team’s decision, it is transferred to the Appeals register and dealt with as per SOP for Appeal Management, and the same is communicated to the client.

5.4.2 If the complaint is about our assessment and certification process or staff behavior, the same is looked after by the CEO / Director. The personnel against whom the complaint was lodged are not involved in the investigation or resolution process.

5.4.3 If the received complaint is about actual or perceived impartiality of our audit or certification process, the complaint is looked after by the CEO and the information is provided to the Impartiality committee. The Impartiality committee monitors the complaint resolution process.

Ref: MOM of the impartiality committee

5.4.4 If the received complaint is about our registered and certified clients, the complaint is looked after by the CEO, and it is followed up with the client. Appropriate corrective action is taken. NCIPL determines, together with the client and the complainant, whether and, if so to what extent, the subject of the complaint and its resolution shall be made public.

6.0 Serious Complaints Affecting Reputation

If the complaint is found to be correct and of such magnitude that might affect our reputation as well as the ISO standard’s reputation, the client is issued a verbal notice to justify or rectify its deficiency within two weeks.

In case the dispute is not resolved, a written warning of suspension of certificate is issued stating all the facts and requesting resolution of the issue within one month. The client is warned that if the deficiency is not eliminated within the agreed time the certificate would be suspended.

If the client does not eliminate the deficiency, the client is suspended, the client’s status is published in the suspension list on our website and communicated to the client and complainant (Refer Website & client’s file). Suspension remains applicable till elimination of the deficiencies or the next surveillance audit, whichever is earlier, failing which one month notice for “withdrawal of certificate” is served to the client. The certificate is withdrawn and the status is published on our website if the client does not submit satisfactory corrective action within the aforementioned time. The client and complainant are kept updated (Refer Website & client’s file).

5.5 Resolution of Complaints

All complaints are initially looked at by the C E O, who assigns responsibilities of investigation and resolution to appropriate employees or empaneled personnel. Summary of action taken to resolve the complaint is recorded in the Complaint disposal register. The complainant is updated about action taken.

5.6 Closure Notice

After addressing the complaint, a formal notice of the end of the complaints-handling process is forwarded to the complainant.

5.7 Public Disclosure

In case the client or the complainant desires that the result of complaint investigation and action taken should be made public, NCIPL makes the information available to the public to the extent that does not infringe any confidential information of the involved parties.

Ref: Complaint – disposal Record

Note: Papers related to the complaint and action taken, if any, are kept in the concerned client’s file.