COMPLAINTS AND APPEALS PROCESS

Appeals and Complaints

It is important that any issues of Appeals, Complaints and Disputes are handled in a professional manner; ensuring that they have been appropriately addressed and a reasonable effort has been made to resolve any issues arising.

If the Company feels that the findings of the Audit Team are not correct or are not appropriate and would like to challenge these findings, or if the Company are not satisfied with the conduct or professionalism of the Audit Team, then the Company has the right to submit either a formal Appeal or a formal Complaint.

APPEALS

If the Company feels that the findings of the Audit Team are not correct or are not appropriate, then an informal Appeal should be made to the Audit Team Leader during the Closing Meeting, and the findings should be questioned. At this time the Audit Team Leader may consider the Company’s Appeal to be justified and, in this case, shall make an adjustment to the findings.

If the Audit Team Leader does not agree with the informal Appeal and the Company would like to submit a formal Appeal, the following procedure should be followed (submission, investigation and decision on Appeals shall not result in any discriminatory actions against the Company):

The Company shall contact the PQAL Office within seven days of the Audit, and advise of the intent to Appeal against the findings of the Audit Team

Upon the request to Appeal, PQAL shall provide the Company with an Appeals Form to complete. The Company should complete and return this form to PQAL within 30 days of the Audit Findings being raised. Appeals that have not been submitted in writing can go no further

The PQAL Office will contact the Company to discuss the Appeal and shall pass the formal Appeal to the PQAL Accredited Office.

If the PQAL Accredited Office agrees that the findings of the Audit Team are not correct or are not appropriate, they will overturn the findings of the Audit Team and advise the Company in writing.

If the PQAL Accredited Office agrees with the Audit Team then the Appeal Form will be passed to the Independent Appeals Panel of the PQAL Impartiality Committee, for their further review and decision

The Company will be advised in writing that the Appeal is to go forward to the Independent Appeals Panel and will be advised of the details of the panel members. If the Company is of the opinion that a member of the panel constitutes a conflict of interest, or objects to any of the Panel members, then all objections must be made in writing, within 15 days of notification by PQAL that the Appeal is to be reviewed by the Independent Appeals Panel. Any objections must clearly detail the reasons for objection, which will be considered by the Chairperson of the Panel. If they feel the objection is justified, the offending member shall be removed from the Independent Appeals Panel and an alternative shall be appointed.

The Company will then be advised in writing of the results of the Independent Appeals Panel review.

All Appeals submitted to PQAL will be subject to periodic review by the Accreditation Body, to ensure fairness and impartiality of the Appeal process.

COMPLAINTS

A Complaint about the conduct or professionalism of an employee or subcontractor of PQAL may be made at any time. The Complainant shall contact the PQAL Office and advise of the intent to complain. Upon the request to complain, PQAL shall provide the Complainant with a Complaints Form to complete. The Complainant should complete and return this form to PQAL. Complaints that have not been submitted in writing can go no further

The PQAL Office will contact the Company to discuss the Complaint and shall pass the Complaint to the PQAL Accredited Office, who will be responsible for dealing with the Complaint and coming to a conclusion, to be provided to the Complainant in writing.

If the PQAL Accredited Office response to the Complaint is not satisfactory then the Complainant may contact the PQAL Accredited Office to discuss the Complaint further

All Complaints submitted to PQAL will be subject to periodic review by the Accreditation Body, to ensure fairness and impartiality of the Complaints process