Appeals Policy

1. Scope & Purpose

This policy sets out the procedure by which an individual may appeal against a decision made by the Auditor Certification Institute (ACI) in relation to their certification application or the status of an existing certification.

ACI is committed to ensuring that all certification decisions are made fairly, consistently, and in accordance with published criteria. Where an applicant believes that a decision has not met this standard, this appeals procedure provides an independent mechanism for review.

This policy applies to all decisions made under the ACI Certification Rules, including but not limited to: decisions to refuse an application, decisions to revoke or suspend a certification, and decisions regarding recertification.

2. Who May Appeal

The following individuals may submit an appeal under this procedure:

• An applicant whose application for certification has been refused
• A certificate holder whose certification has been suspended or revoked
• A certificate holder who has been refused recertification
• An applicant who believes the assessment process was not conducted in accordance with published ACI criteria

Appeals may not be submitted on behalf of a third party without written authorisation from the individual concerned.

3. Grounds for Appeal

An appeal must be based on one or more of the following grounds:

• Procedural error — the assessment or decision-making process was not conducted in accordance with ACI's published procedures
• Material error of fact — the decision was based on factual information that was incorrect or incomplete, and the appellant has evidence to demonstrate this
• New evidence — material evidence that was not available at the time of the original decision and which could reasonably have affected the outcome
• Bias or conflict of interest — the appellant has reasonable grounds to believe the assessor or decision-maker had a conflict of interest that was not declared

4. How to Submit an Appeal

Appeals must be submitted in writing to the ACI Certification Council within 30 calendar days of the date of the decision letter or notification.

Appeals submitted after the 30-day deadline will only be accepted in exceptional circumstances, at the sole discretion of the ACI Chief Executive Officer.

Required information

An appeal submission must include:

1. Full name, Card ID or application reference number
2. The specific decision being appealed
3. The ground(s) for appeal (see Section 3)
4. A clear written statement setting out the basis of the appeal (minimum 200 words)
5. All supporting evidence the appellant wishes to be considered
6. Confirmation that the appeal fee has been paid (see Section 5)

5. Appeal Fee

A non-refundable administration fee of £75 is payable at the time of submitting an appeal. This fee covers the cost of convening the Appeals Committee and administering the review process.

If the appeal is upheld in full, the £75 fee will be refunded in full within 14 working days of the decision.

If the appeal is partially upheld or dismissed, the fee is non-refundable.

Payment should be made by bank transfer or card to the ACI Finance Office. Details are provided on request by emailing appeals@aciboard.com.

6. Appeals Committee

All appeals are reviewed by the ACI Appeals Committee, which is convened specifically for each case. The Committee comprises:

• One member of the ACI Certification Council (Chair) who was not involved in the original decision
• One independent external assessor who holds at least Lead Auditor grade in the relevant scheme
• One ACI Board representative (non-voting, governance oversight only)

No member of the Appeals Committee may have had any prior involvement in the original decision being appealed, and all members must declare any potential conflict of interest before the Committee is confirmed. Where a conflict is identified, that member will be replaced.

The ACI Certification Manager acts as secretary to the Committee but has no decision-making role.

7. Appeal Process

Once a valid appeal has been received and the fee confirmed, the following process applies:

1. Acknowledgement — ACI will acknowledge receipt of the appeal in writing within 5 working days
2. Completeness check — The Certification Manager will confirm that the appeal contains all required information. Incomplete appeals will be returned with a request for additional information
3. Case file preparation — The Certification Manager compiles the full case file, including the original application, assessor notes, and the appellant's submission
4. Committee convened — The Appeals Committee reviews the case file independently. The Committee may request additional information from either party
5. Decision reached — The Committee reaches a majority decision and records its findings in writing
6. Notification — The appellant is notified of the decision in writing with full written reasons

8. Timelines

In complex cases requiring additional evidence or external consultation, the 30-day review period may be extended. The appellant will be notified in writing if an extension is required, with a revised expected completion date.

9. Decision & Outcome

The Appeals Committee may reach one of three findings:

• Appeal upheld — the original decision was incorrect or the process was flawed. ACI will take appropriate corrective action, which may include reversing the decision, issuing or reinstating the certification, or requiring a fresh assessment
• Appeal partially upheld — the process had minor procedural issues but the substantive outcome was correct. ACI will note the procedural finding and take steps to prevent recurrence, but the original decision will stand
• Appeal dismissed — the original decision was correct and the process was properly followed. The original decision stands

The decision of the Appeals Committee is final within the ACI appeals process. ACI will not enter into further correspondence regarding a dismissed appeal unless new material evidence arises.

10. Further Escalation

Where an appellant believes that the ACI appeals process itself has not been conducted fairly, they may refer their complaint to the relevant external oversight body.

As a personnel certification body aligned with ISO/IEC 17024 requirements, ACI takes all complaints about its certification processes seriously. Individuals who have exhausted the ACI internal appeals process and remain dissatisfied may contact:

• The ACI Independent Ombudsman (contact details available from the ACI Secretariat)
• Relevant national consumer protection authorities where applicable

ACI will cooperate fully with any external investigation and will provide all relevant documentation upon request.

11. Confidentiality

All information submitted as part of an appeal, including the identity of the appellant, the case file, and the Committee's deliberations, is treated as strictly confidential.

Appeal records are retained for a minimum of 7 years in accordance with ACI's data retention policy. Anonymised aggregate data on appeal outcomes may be published in ACI's annual transparency report.

The appellant's personal data is processed in accordance with ACI's Privacy Policy and applicable data protection legislation.

12. Contact

All appeals and related correspondence should be directed to: