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Complaints and Appeals

1. Purpose

This policy defines the process for handling complaints and appeals in a fair, transparent, and timely manner, following the requirements of ISO/IEC 17024:2012. It applies to concerns raised by candidates, certified professionals, and other stakeholders regarding certification decisions, certificate holders, or QMSAI’s overall operations. Complaints related to legal, financial, or regulatory matters fall outside this scope and will be referred to the appropriate authorities.

2. Scope

This policy applies to complaints and appeals related to QMSAI’s certification process, including:

  • Complaints concerning certified individuals or certificate holders, such as breaches of the code of ethics or improper use of certificates and logos.
  • Concerns about QMSAI’s overall operations, including its services, policies, procedures, representatives, and customer support.
  • Complaints regarding the handling process itself, where a response or resolution is expected.
  • Appeals related to certification decisions, including application, assessment, certification, suspension, withdrawal, and recertification.
  • The role of the Appeals Board in reviewing and reaching a final decision on appeals.
  • This policy ensures that all complaints and appeals are addressed in a structured and impartial manner, in line with ISO/IEC 17024:2012 requirements.

3. Terms and Definitions

Complainant:

An individual, organization, or representative who submits a complaint. (Adapted from ISO 10002:2018, clause 3.1).

Complaint:

A formal expression of dissatisfaction, other than an appeal, submitted by any individual or organization regarding QMSAI’s certification activities, including its policies, procedures, services, representatives, or certified individuals. Complaints do not apply to certification decisions and do not extend to legal, financial, or regulatory matters, which are handled by appropriate authorities. (Aligned with ISO/IEC 17024:2012, clause 3.20, and ASTM E2659-18, clause 3.1.15).

Appeal:

A request from an applicant, candidate, or certified individual seeking reconsideration of an adverse decision made by QMSAI regarding certification status. Appeals must relate specifically to certification decisions. (Based on ISO/IEC 17024:2012, clause 3.19, and ASTM E2659-18, clause 3.1.3).

Certification Process:

The structured activities carried out by QMSAI to determine whether an individual meets certification requirements. This includes application review, assessment, certification decisions, recertification, and the use of certificates and logos. (Adapted from ISO/IEC 17024:2012, clause 3.1).

4 General Rules for Filing a Complaint or an Appeal

QMSAI will periodically review this policy to ensure it is applied consistently and effectively. Internal audits will assess compliance and recommend necessary improvements.

  • All complaints and appeals must be based on accurate and complete information. The complainant or appellant is responsible for providing truthful and factual details. If any false statements are discovered, the complaint or appeal will be dismissed.
  • Complaints and appeals must be supported by tangible evidence. Unsubstantiated claims, including hearsay, rumors, or unproven accusations, will not be considered.
  • This policy does not apply to complaints related to legal, financial, or regulatory matters. Any such issues should be directed to the appropriate authorities. The only exception is when a complainant provides evidence of a legal decision already rendered and requests QMSAI to take appropriate action.
  • Complaints and appeals must be submitted within the designated timeframe. Any submissions made after the deadline will not be processed.
  • No Anonymous Complaints or Appeals:
    Complaints or appeals must include the complainant’s or appellant’s personal information. Anonymous submissions will not be considered.
  • If a complaint is made against an individual, organization, or function, the accused party must be allowed to respond. If the complainant does not authorize sharing the complaint with the accused party, the complaint will not be processed.
  • If an individual repeatedly submits excessive, unreasonable, or duplicate complaints and appeals on the same matter within a short period, QMSAI reserves the right to discontinue processing them. In such cases, guidance may be sought from the Impartiality and Certification Appeals Committee for a fair resolution.
  • All reports, findings, and materials related to complaints and appeals are confidential and the property of QMSAI. Information provided by the complainant, appellant, or respondent will be kept private unless disclosure is required by law or necessary for a fair investigation. Parties involved are expected to uphold confidentiality throughout the process.

5. Responsibilities

  • Certification Manager: Responsible for ensuring that all complaints and appeals are handled in accordance with this procedure.
  • Appeals Committee: Independent group responsible for reviewing and making decisions on appeals
  • Impartiality Committee: Responsible for reviewing complaints and making recommendations.

6. Complaints

6.1 Procedure Overview

All complaints and relevant details will be officially recorded upon receipt. Complaints may be submitted in writing via email, letter, or through the official complaints form available on the QMSAI website. Only written complaints will be processed; verbal complaints must be documented in written form before consideration.

  • To ensure proper handling, each complaint record must include:
  • Complainant’s full name, email, and phone number
  • Department and staff member (if applicable) involved in the complaint
  • Detailed description of the complaint
  • Date of occurrence
  • Once recorded, complaints will be tracked throughout the resolution process until a final decision is reached. Acknowledgment of receipt will be sent to the complainant within 48 hours (maximum of five working days) after submission. An initial review will be conducted within three working days to determine the next steps.

6.2 Complaint Handling Procedure

6.2.1 Complaint Level 1

All newly submitted complaints are categorized as Level 1 and will be reviewed by the Head of Division (HoD) responsible for the area of concern.

Certification Process:

The structured activities carried out by QMSAI to determine whether an individual meets certification requirements. This includes application review, assessment, certification decisions, recertification, and the use of certificates and logos. (Adapted from ISO/IEC 17024:2012, clause 3.1).

  • A thorough investigation will be conducted, and a response will be provided within 5 working days.
  • If the case requires further review due to the complexity or involvement of multiple parties, the timeframe may be extended to 10 working days, with prior notice to the complainant.

6.2.2 Complaint Level 2

If the complainant is not satisfied with the resolution at Level 1, they have the right to escalate the complaint to Level 2 for an independent review.

  • The complaint will be assigned to the immediate supervisor of the HoD, top management, or an internal auditor for further assessment and resolution.
  • A response will be provided within 15 working days.
  • If additional time is required due to case complexity, the maximum extension is 30 working days, with the complainant informed accordingly.
  • A final written response will be issued, including all reviewed evidence (if applicable).
  • Once a Level 2 decision is issued, it is considered final. If any conflict of interest arises in handling the complaint at this level, an independent external investigator may be appointed

6.3 Instructions for Filing Complaints

All complaints must be submitted and processed through the designated QMSAI complaint system:

  • Visit the QMSAI website
  • Navigate to the “Contact” section
  • Select “Submit a Complaint”
  • Fill out the complaint form with:
    Personal details (full name, email, phone number)
    Complaint details (department, staff member involved, date, issue description)
  • Submit the form
  • Alternatively, complaints can also be submitted via email or official letter to the designated complaints office.

6.4 Investigation and Record Keeping

  • Complaints will be reviewed through document analysis, interviews, and necessary inquiries to ensure a fair assessment.
  • The Complaints Committee will issue recommendations to the Certification Manager, who will make the final decision regarding corrective actions.
  • A written response with a resolution will be provided within 30 working days from acknowledgment.
  • All complaint records will be maintained for a minimum of six years, following QMSAI’s document retention policy.

7. Re-evaluation Process for Exam Results or Certification Decisions

7.1 Procedure Overview

Candidates who disagree with any decision related to their exam results or certification status may request a re-evaluation by submitting a written request to QMSAI within 30 days of receiving the initial decision.
Re-evaluation requests are not considered appeals but serve as a review process to verify the accuracy of exam grading or certification decisions. Requests submitted after 30 days will not be processed.

  • Candidates may request:
  • Re-evaluation of exam results or exam question(s): If they believe their exam results are incorrect or have concerns about a specific question.
  • Re-evaluation of certification decisions: If they disagree with a downgrade, suspension, or revocation of their certificate.

7.2 Instructions for Filing a Re-evaluation Request

All re-evaluation requests must be submitted through the official QMSAI Complaint & Review System using the following steps:

  • Visit the QMSAI website
  • Go to the “Contact” section
  • Select “Submit a Re-evaluation Request”
  • Choose the appropriate category:
    Exam Results Re-evaluation
    Certification Decision Re-evaluation
  • Complete the form with: Full name, email, and phone number
    Details of the exam or certification decision in question
    Date of the initial decision and reason for disagreement
  • Submit the request
  • Upon submission, QMSAI will acknowledge receipt within five working days and provide a resolution within 30 working days.

8. Procedure for Handling Appeals

8.1 Submission of Appeals

  • Appeals must be submitted in writing within 5 working days of the decision being challenged.
  • The appeal must include:
    Grounds for appeal
    Relevant supporting documents
  • Appeals should be submitted to the Certification Manager via the official Appeals Form (available on the QMSAI website) or by email.

8.2 Acknowledgment of Appeals

  • The Certification Manager will acknowledge receipt of the appeal in writing within 5 working days.
  • The acknowledgment will include an outline of the appeals process and expected timelines.

8.3 Appeals Review Process

  • An Appeals Committee will be formed to review the appeal.
  • The committee will consist of independent members who were not involved in the original decision.
  • The appellant will be informed of the committee members and may raise concerns about conflicts of interest.

8.4 Appeal Hearing

  • The Appeals Committee will review the case, which may involve:
    Examining records and evidence
    Interviewing the appellant
    Requesting additional information if necessary
  • The appellant may present their case in writing or in person.

8.5 Appeal Decision

  • The Appeals Committee will make a final decision based on the evidence presented.
  • A written decision will be sent to the appellant within 30 working days of the appeal hearing.
  • The decision of the Appeals Committee is final.

8.6 Record-Keeping

All records of appeals, decisions, and actions taken will be retained for a minimum of [specified period] in line with QMSAI’s document retention policy

9. Confidentiality, Corrective Actions, and Continuous Improvement

9.1 Confidentiality

All complaints and appeals will be treated with the highest level of confidentiality. Information related to any complaint or appeal will only be disclosed to individuals directly involved in the resolution process.

9.2 Corrective Actions

If a complaint or appeal highlights the need for corrective action, the QMSAI Operations Manager will implement appropriate measures to prevent recurrence. All corrective actions will be documented, tracked, and reviewed for effectiveness.

9.3 Continuous Improvement

This procedure will be periodically reviewed as part of QMSAI’s internal audit and management review process to ensure its effectiveness, relevance, and alignment with best practices

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