Complaint Management

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Complaint Management Procedure

Fair, Transparent & Documented Complaint Handling

ICV gives utmost importance to complaint resolution, whether it is from our clients or from elsewhere. We follow a structured procedure to receive, acknowledge, investigate, and resolve complaints in a fair and impartial manner — ensuring every concern is documented, addressed promptly, and closed with clear communication to all parties involved.

  • 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 ICV clients, ICV itself, or its staff related to working and behaviour — except appeals made against audit team conclusions and decisions.

  • 3.0 Responsibility

    CEO

  • 4.0 Authority

    This procedure is authorized by the CEO and can be amended only by him.

5.1 Complaint Management

Complaints may arise due to dissatisfaction from any of the following areas. Each complaint is handled with equal seriousness and documented in accordance with our standard operating procedure.

  1. 01

    ICV & Its Working

    Dissatisfaction related to ICV operations, certification activities, or overall service delivery.

  2. 02

    Staff of ICV

    Concerns regarding the conduct, behaviour, or actions of ICV personnel.

  3. 03

    Clients of ICV

    Complaints concerning the working, practices, or conduct of ICV's registered and certified clients.

5.0 Procedure

Our complaint handling procedure ensures timely acknowledgement, impartial investigation, corrective action, and formal closure — with complete records maintained throughout the process.

  1. STEP-01

    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 a letter, phone call, orally, or by e-mail — the same is recorded in the complaints register.

    • Ref: Record of complaint & disposal is maintained for 4 years or till it is resolved, whichever is more.
  2. STEP-02

    Acknowledgement

    All complaints are acknowledged within 3 working days of receipt.

    • Ref: Record of Complaint – Disposal
  3. STEP-03

    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, 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.

  4. STEP-04

    Resolution of Complaints

    All complaints are initially reviewed by the CEO, who assigns responsibilities of investigation and resolution to appropriate employees or empanelled personnel. A summary of action taken to resolve the complaint is recorded in the Complaint Disposal Register. The complainant is updated about the action taken.

    • Ref: Complaint – Disposal Record
  5. STEP-05

    Formal Closure Notice

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

  6. STEP-06

    Public Disclosure

    In case the client or the complainant desires that the result of complaint investigation and action taken should be made public, ICV 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

5.4 Investigation by Complaint Type

Depending on the nature of the complaint, investigation and resolution are assigned to the appropriate authority — ensuring impartiality and compliance with relevant procedures.

  1. 5.4.1

    Audit Team Decisions

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

  2. 5.4.2

    Assessment & Staff Behaviour

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

  3. 5.4.3

    Impartiality Concerns

    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
  4. 5.4.4

    Certified Client Complaints

    If the received complaint is about our registered and certified clients, the complaint is looked after by the CEO and followed up with the client. Appropriate corrective action is taken. ICV 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. The audit and certification process is reviewed to identify any weakness, and appropriate corrective or preventive action is taken.

6.0 Client Corrective Action & Certificate Status

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 following escalation process applies:

  1. The client is issued a verbal notice to justify or rectify its deficiency within two weeks.
  2. 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.
  3. 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 and client's file). Suspension remains applicable till elimination of the deficiencies or the next surveillance audit, whichever is earlier.
  4. Failing which, a 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 and client's file).

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

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