• APPEALS procedure (v4.0 – Dec 2025)

 

1. 1. A certification client may not agree with a certification decision or a decision to suspend, withdraw or reduce the scope of certification. 
   2. The right to appeal a decision is communicated to the certification clients:
      • through Zertia’s webpage
      • in the legal agreement that defines the conditions for certification
      • during the audit opening meeting and the audit closing meeting.
   3. Zertia is responsible for all decisions at all levels of the appeals-handling process. 
   4. To ensure impartiality, all personnel engaged in the appeals-handing process must be different from those who carried out the audits and made the certification decision. 
   5. Submission, investigation and decision on appeals will not result in any discriminatory actions against the appellant. 

• Appeals handling process:

1.6.1 Submitting the appeal

Appeals must be submitted in writing by email to support@zertia.ai and must include the following information:

• Audit client, audit scope, audit date(s), audit reference number
• Point of contact name, email and phone number
• Reason and justification for the appeal
• Any supporting information

1.6.2 Receiving the appeal

Appeals are received by the Process Owner who will 

• acknowledge receipt of the appeal,
• notify the respective Account Manager.

1.6.3 Investigation

Account Manager gathers relevant information in relation to the audit and provides it to the Process Owner

1.6.4 Review and decision: 

1.6.4.1 Process Owner assigns an Appeals Committee which will be formed with two qualified persons who have not been involved in the audit and the certification decision.

1.6.4.2 Appeals Committee reviews the appeal and all supporting information. They may request additional information if deemed necessary. 

1.6.4.3 The appeals committee makes a decision on the validity of the appeal and submits it to the Process Owner. 

1.6.4.4 If the two members of the Appeals Committee do not agree, the Process Owner will assign a third person for an independent review. 

7.6.5 Corrective action

If the appeal is considered valid, the Certification Manager, if necessary, in consultation with the Appeals Committee, decides on the actions to be taken, taking into account the results of previous similar appeals.

Corrective actions follow the process outlined in procedure of Nonconformities and corrective actions and are tracked in the Corrective action log.

1.6.6 Communication

1.6.6.1 Process Owner provides a brief progress report to appellant one month after receiving the appeal and every month thereafter, until resolution has been reached.

1.6.6.2 Process Owner communicates resolution to client. If the appeal was found to be valid, the issue must be resolved in a timely manner and client will be informed of the corrective action(s) taken.

1.6.6.3 All communication must be in writing.

1.6.6.4 A copy of all communication including the resolution must be filed in the client folder.

• COMPLAINTS procedure (v4.0 – Dec 2025)

 

1. Complaints may be received from clients or other interested parties and may relate to the conduct of Zertia personnel or subcontractors who perform work for or on behalf of Zertia, or they may relate to the way certain activities are performed. Clients or users of the services of an organization that has been certified by Zertia may also complain about the certified organization. 
2. The procedure for complaints is communicated to the public:

• through Zertia’s webpage
• in the legal agreement that defines the conditions for certification
• during the audit opening meeting and the audit closing meeting.

1. 1. Zertia is responsible for all decisions at all levels of the complaints-handling process. 
   2. Submission, investigation and decision on complaints will be treated with utmost confidentiality and will not result in any discriminatory actions against the complainant.

• Receiving a complaint

1. 1. • Complaints may be received by any of the following:
        1. By email to support@zertia.ai
        2. Verbally by telephone or through any of Zertia’s associates.
      • In order to facilitate an effective complaints-handling process, complainants are encouraged to provide the following information:
        1. Audit client, audit scope, audit date(s), audit reference number
        2. Point of contact name, email and phone number
        3. Details of the complaint
        4. Any supporting information
      • The person receiving the complaint must try to obtain as much information as possible, record the complaints in the Complaints Log and notify the Certifications Manager.
      • The Process Owner determines if the complaint relates to any of Zertia’s certification activities, Zertia personnel or subcontractors who perform work for or on behalf of Zertia, or about the way an activity has been performed:
      • If the complainant revealed their name and contact information, Process Owner will acknowledge receipt of the complaint in writing.

• Investigating the complaint:

Process Owner assigns an Account Manager to investigate the complaint and to gather and verify all relevant information to validate the complaint. 

• Review and decision:

1. • Process Owner in conjunction with relevant personnel will review the information and decide on the actions to be taken. No person who has been previously involved in the subject of the complaint must be part of the decisions in relation to the complaint.
   • Process Owner provides a brief progress report to complainant one month after receiving the complaint and every month thereafter, until complaint has been resolved. 
   • If corrective action is necessary, follow the process outlined in Nonconformities and Corrective Actions procedure. 
   • All communication regarding the complaint and supporting information must be stored in the client folder.

• Complaints about a certified client:

1. • Follow the same process as in 2.5 through 2.7.
   • Examination of the complaint considers the effectiveness of the certified management system.
   • Any valid complaint about a certified client will also be referred to the certified client in question at an appropriate time. 
   • A valid complaint about a certified client may trigger a special audit or may be further reviewed during subsequent audits.