Purpose & Scope
The purpose of this procedure is to set out the procedures and principles for evaluating and resolving appeals and complaints made under the Quality Management System.
The procedure covers appeals and complaints under the Quality Management System and all activities carried out to evaluate them.
Definitions
A request by an applicant, candidate or certified person for reconsideration of an adverse decision (suspension or withdrawal of a certificate, surveillance decisions, etc.) or of exam questions/results.
An expression of dissatisfaction by a person or organization, other than an appeal, about the organization's activities or the activities of certified persons, for which a response is expected.
Appeals and Complaints Committee
Evaluations are carried out by the Appeals and Complaints Committee, which consists of at least three people and has no permanent members. Suitable members are assigned according to the nature of the appeal/complaint; at least two of the assigned members must meet the assessor criteria of the relevant national qualification.
Committee members may not take part in evaluations of activities they were involved in, and may not begin their duties without signing a confidentiality, impartiality and independence undertaking. If a conflict of interest is identified, the member withdraws from the evaluation and a temporary member is appointed for that matter. The committee meets with a written agenda circulated at least 3 days in advance.
Submission & Time Limits
Appeals and complaints can be submitted via the website or in writing, and are recorded. Submissions unrelated to the organization are answered in writing; relevant ones are referred to the committee. For complaints, the complainant's identity and the content are kept confidential.
Evaluation Process
Preliminary review
Before referral to the committee, an effort is made to resolve the matter, especially for inadvertent errors. Appeals against exam results are reviewed in stages (each stage within 5 working days at most): first by the person concerned, then by another person meeting the same requirements, and then by a person qualified as decision maker/internal verifier.
Committee evaluation
If the outcome does not change, the matter is referred to the committee. Those who made the certification decision or conducted the exam do not take part in deciding the appeal (impartiality). Corrective/preventive action is initiated where necessary.
Investigating complaints
The Quality Management Representative determines whether the complaint relates to certification activities; if necessary, the General Manager assigns staff to investigate. Substantiated complaints about a certified person are communicated to that person within 5 working days, observing confidentiality rules, and a written explanation is requested within 15 days.
Decision and higher authority
The decision is communicated within 30 days by a staff member not involved in the process. If no agreement is reached, the applicant is informed that they may apply to a higher authority (e.g. a court). Outcomes are reviewed at the Management Review Meeting.