Complaints and Appeals Process

1. Purpose and Scope

This process defines how Ubicert (Pty) Ltd receives, evaluates, and resolves complaints and appeals relating to its certification activities. It applies to all certified clients, applicants, and other interested parties who wish to raise a concern or challenge a certification decision.

2. Legal Basis (ISO/IEC 17021-1:2015, Clause 4.7 & 7.13)

In accordance with Clause 4.7 (responsiveness to complaints and appeals) and Clause 7.13 (process requirements for complaints and appeals), Ubicert is responsible for, and provides, a process for the effective receipt, evaluation, and determination of complaints and appeals. A complaints and appeals process is essential to providing confidence in the certification body's activities.

3. Definitions

• Complaint: an expression of dissatisfaction made to Ubicert, related to its certification activities or the behaviour of its personnel, where a response is expected.
• Appeal: a request by a certified client for reconsideration of any decision made by Ubicert relating to the desired certification status of the client.

4. Submission

Complaints and appeals shall be submitted in writing to:

A submission should include the complainant/appellant's name and contact details, the subject of the complaint or decision being appealed, supporting evidence, and the outcome sought. Acknowledgement of receipt will be provided within five (5) working days.

5. Handling of Complaints

• Ubicert shall acknowledge receipt and confirm the validity of the complaint.
• The complaint is logged and assigned to a responsible person not involved in the subject of the complaint.
• Ubicert shall gather and verify all necessary information to validate the complaint.
• A formal response, including the decision and any corrective action, is provided to the complainant in writing.
• Where appropriate, corrective actions are tracked to closure and communicated to relevant parties.

6. Handling of Appeals

• Ubicert shall acknowledge receipt of the appeal and confirm whether it falls within the scope of an appeal.
• The certification body receiving the appeal shall be responsible for gathering and verifying all necessary information to validate the appeal (Clause 7.13.1).
• An independent panel/committee, not involved in the original decision, reviews the appeal.
• The decision of the appeal panel is final within Ubicert and is communicated to the appellant in writing.
• Ubicert shall give formal notice to the appellant of the decision, and of the appellant's further rights of recourse, if any.

7. Independence and Confidentiality

Persons engaged in the resolution of complaints and appeals shall not have been involved in the certification activity that is the subject of the complaint or appeal. All information related to a complaint or appeal is treated as confidential and is not used by Ubicert against the complainant or appellant in a punitive manner.

8. Records and Review

Records of all complaints and appeals, including the submissions, investigations, decisions, and corrective actions, are retained by Ubicert in accordance with Clause 7.13.3 and ISO/IEC 17021-1:2015 record-keeping requirements. The process itself is reviewed periodically to ensure continuing effectiveness and alignment with the standard.