Ultimate Certification Services Private Limited


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Appeal & Compliant Handling


  • In the event of an applicant, Certified Company or any interested party, wishing to contest any decision of UCSPL, he shall, within 14 days after having been officially informed of such a decision, give notice in writing to UCSPL of his desire to appeal against the decision. The receipt of the appeal is acknowledged by CEO and the applicant is informed of the progress made and the outcome. UCSPL is responsible for all decisions at all levels of the appeals-handling process.
  • Tracking and recording appeals, including actions undertaken to resolve them ensuring that any appropriate correction and corrective action are taken are done by CEO . and presented in front of Appeal panel.
  • On receipt of such an appeal, the CEO, shall advise the Board of Directors and the Impartial Committee of the details of the appeal received. The Board of Directors will proceed to constitute an independent Appeals Panel in each case in consultation with the Impartial Committee. The Appeals Panel will comprise of a Chairman who will be assisted by two members of the Impartial Committee representing the area of technical expertise related to the nature of the appellant's activities under certification. The appellant will have the right to object against the inclusion of any person in the Appeals Panel. All members chosen to form the Appeals Panel shall not have been previously involved in the decision appealed against. UCSPL also ensures that the persons engaged in the appeals-handling process are different from those who carried out the audits and made the certification decisions.
  • The meeting of the Appeal Panel shall be held within 30 days of the receipt of notification from the appellant and the appellant will be provided with at least 7 clear days of written notice of the time and place of the Appeals Panel Meeting. Prior to the meeting of the Appeals Panel the existing decision of UCSPL is to remain in force.
  • At the Appeals Panel meeting of both the appellant and the appropriate representative from UCSPL shall be entitled to be heard in confidence and majority decision of the Appeals Panel shall be final. While taking decision the results of previous similar appeals are taken into account.
  • The CEO shall ensure that the appellant is advised in writing of the decision of the Appeals Panel within 7 days of the decision. The CEO shall record details of the appeal in the Register of Appeals and implement the decision of the appeals panel, as required. On conclusion of the appeal, the CEO will also review the grounds of appeal and evaluate if any possible improvements to UCSPL’s control systems are required. A description of the appeals handling process is available on UCSPL website to make it Publically accessible.
  • UCSPL ensures through Appeal Panel that the decision to be communicated to the appellant made by, or reviewed and approved by, individual(s) not previously involved in the subject of the appeal.
  • The CEO shall ensure that the submission, investigation and decision on Appeals shall not result in any discriminatory actions against the appellant that any appropriate correction and corrective action are taken. The certification body shall give formal notice to the appellant at the end of the appeals handling process.

Complaint Administration
Any complaint received by UCSPL in writing or by e-mail or telephone in respect of its functions as a certification body or a company certified by it, shall be fully reviewed by the CEO and shall be recorded in the complaint register with its nature. The tracking and recording complaints, including actions undertaken in response to them is maintained by CEO of UCSPL.
  • If the complaint relates to the certified client:
    • CEO must ensure that the effectiveness of the certified management system is checked by competent auditor(s), who were not involved with the client previously.
    • The letter in question is sent to certified client within 14 days of receiving of complaint and recorded in the complaint register. The tracking and recording complaints, including actions undertaken in response to them is maintained by CEO.

  • If the complaint is about certified client management system:
    • The CEO ensures that the effectiveness of the certified management system is checked by competent auditor(s)/person(s) who were not involved with the client previously.
    • After root cause analysis, method to eliminate cause of complaint would be arrived at and suitable corrective and preventive measures instituted.

    The concerned auditors may be summoned to confirm the facts if it relates to certification activity.
    • If the complaint is against an officer of UCSPL including CEO then it will be investigated by the chairman of the Impartial Committee.
    • The complaint shall be closed within 45 days of the receiving of the complaint.
  • Verify the promptness and effectiveness of the actions. Taken in respect of the complaint received ensure its prompt disposal.
  • Ensure that the complainant is advised of the result of the investigation within six weeks of the receipt of the complaint.
  • All complaints, after redressed & disposal, shall be closed through a closing note / closing call by the CEO. Where applicable, certification will be restored as quickly as possible.
  • Ensures that any appropriate correction and corrective action are taken and also suitable preventive action is taken to avoid recurrence of such cases.
  • Ensure that Effectiveness of the measures adopted are covered during the Management Review Meeting.
  • The entire process to be followed meets the requirement of confidentiality as it relates to the complaint and to the subject of the complaint. The complaints are recorded in the complaint register.
  • Gather and verify all necessary information to validate the complaint.

If the complaint is about certified client management system:

  • The CEO ensures that the effectiveness of the certified management system is checked by competent auditor(s)/person(s) who were not involved with the client previously.
  • After root cause analysis, method to eliminate cause of complaint would be arrived at and suitable corrective and preventive measures instituted.

The concerned auditors may be summoned to confirm the facts if it relates to certification activity.

  • If the complaint is against an officer of UCSPL including CEO then it will be investigated by the chairman of the Impartial Committee.

The complaint shall be closed within 45 days of the receiving of the complaint.