Appeal & Complaint

7.1    Complaint Management

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

1. RCPL and its working

         ii.    Staff of RCPL

         iii.   Clients of RCPL

7.2    Receipt of Complaints: Complaints may be lodged in person, by phone, by E mail or by Post. As soon as any complaint is received, whether as letter, phone, orally or by E mail, the same is recorded in complaints register. Record of complaint is maintained for 4 years or till it is resolved, whichever is more.

7.3    Acknowledgement of complaint: All Complaints are acknowledged     

        within 3 working days.

Ref:  Record of Complaint – disposal

7.4 Investigation: The complaint is investigated to assess its meaningfulness. 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.  

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

7.4.2 If the complaint is about our assessment and certification process or staff behavior the same is looked after by the Director. The persons against

whom the complaint was lodged, are not involved in investigation or resolution process.

7.4.3 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

7.4.4 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. RCPL 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.

Audit and certification process is reviewed to identify any weakness in our audit and certification process, and appropriate corrective or preventive action is taken. 

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

In case the dispute is not resolved, a written warning is issued stating all the facts and requesting resolution of deficiencies within 1 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 deficiencies, the client is suspended and name is published in our website, and this information is communicated to the client and the complainant.  

Refer: Website and client file

The suspension remains applicable till elimination of the deficiencies or next surveillance audit, whichever is earlier, failing which, one month’s notice for “withdrawal of certificate” is served on the client. The certificate is withdrawn and the status is published in our website, if the client does not submit satisfactory corrective action within the aforementioned time. The client and the complainant is kept updated.

 Refer: Website & Client file

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

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

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

Appeal Management

7.1    Definition:

Written Complaints raised by our clients regarding dissatisfaction of our assessment output is categorized as Appeal.

7.2    Receipt of appeal: Since this relates to our core process there is a separate provision in our website for lodging appeal. Appeal can also be

made in writing to our office. As soon as any appeal is received acknowledgment to the client, promising appropriate action within one month, is forwarded within 3 working days. Record of all appeals is maintained at least for 4 years.

Ref:   Record of appeals

5.3 All Appeals are reviewed by CEO.

5.4    Investigation of Appeal: CEO looks into appeals, and as per situation one or more of the following action is taken -

1. The concerned auditor is requested to appear before the Technical 

    committee to personally explain and justify his/ her findings.

1. Documentary evidence is requested from the client in support of their 

    claim.

1. Another auditor is deputed to conduct re audit of those aspects which  

    caused dispute and appeal.

1. The Impartiality committee is regarding appeal and subsequent action taken.

5.5 Monitoring and tracking of the Appeal handling process:

Being the ultimate authority The CEO monitors and tracks action taken since receipt of the appeal, till closure of the process. It is ensured that persons involved in the dispute are not involved in making decisions related to the appeal. The impartiality committee also monitors appeal handling process. All cases of Appeal and complaints are necessarily reviewed by the impartiality committee during its 6 monthly review meeting.

5.6 Correction & corrective action:

Based upon additional information received after investigation, from multiple sources, the technical committee takes appropriate decision and it is documented, and the same is communicated to the client. The CEO takes appropriate action as

per decision made by the Technical committee. Corrections and corrective actions are taken, if required. Records are maintained.

5.7 Updating of appellant:

The appellant is kept updated with progress in appeal handling process. All appeals are resolved or closed within 3 months of registration. The decision of the Technical committee is final and further appeal is not entertained. A formal appeal closure report is sent to the appellant stating all the actions taken, and final decision of the appeal handling authority.

5.8 The decision of the CEO is recorded in the Client’s file. Summary of activities subsequent to appeal is recorded in a Register RCPL/Appeal/F-01. The record is retained for at least 4 years.

5.9  In case the appellant is not satisfied with the decision of the Technical committee, to remove any suspicion of bias, RCPL allows the appellant to put forward his/ her case before the Impartiality committee. The CEO voluntarily forwards all resolved and unresolved cases of Appeals to the Impartiality Committee for their review and necessary guidance or instructions.

Record of such references is also maintained in hard copy. The decision of the Impartiality committee is final.