ICEQC-CER-003 — Nonconformity, Corrective Action, Certification Decision, Appeal and Surveillance Procedure

This Procedure is ICEQC-CER-003, Nonconformity, Corrective Action, Certification Decision, Appeal and Surveillance Procedure.

The short title of this document is the Certification Decision and Surveillance Procedure.

The purpose of this Procedure is to ensure that a certification conclusion is converted into a consistent, impartial, traceable and enforceable certification outcome.

This Procedure provides for:

This Procedure is a controlled ICEQC certification procedure. It is binding on each person who performs, supports, reviews, decides, administers or oversees an activity within its scope.

An applicant or certified client shall comply with provisions expressly applying to it and with a written direction validly issued under this Procedure.

A certification decision establishes only whether the certification object fulfilled the applicable ICEQC requirements within the certified scope on the decision date and remains subject to continuing conformity and surveillance.

Certification shall not be represented as an authorization, licence, statutory approval, qualification recognition, occupational entitlement, guarantee of performance, guarantee of safety or assurance of an individual learner outcome.

A commercial commitment, proposed announcement, launch date, contractual deadline or applicant preference shall not determine a finding, corrective-action deadline, certification decision, appeal outcome or surveillance conclusion.

This Procedure applies to initial certification, renewal, surveillance, extension or reduction of scope, change review, special review, restoration after suspension and any other activity capable of affecting certification status.

It applies to every certification object permitted by an ICEQC certification scheme, including an organization, educational service, process, digital service, product, defined claim or person.

It applies to findings arising from assessment evidence, corrective-action verification, surveillance, a notified change, a complaint, an incident, a public representation, misuse of certification, evidence-integrity concern or another credible source.

A scheme document may prescribe additional controls, shorter time limits or specific evidence for a defined certification object. It shall not weaken the independence, evidence sufficiency, binary conformity, nonconformity closure, appeal fairness or continuing-conformity requirements of this Procedure.

Activities under this Procedure shall be governed by:

Evidence shall be evaluated for its substance. A particular organizational structure, record format, terminology or technology shall not be required where another arrangement demonstrably fulfils the applicable requirement.

The administrative burden imposed on an applicant or certified client shall be no greater than reasonably necessary to reach and maintain a reliable conclusion.

Proportionality shall not be used to waive an applicable requirement, accept insufficient evidence, leave a nonconformity open for a positive certification decision or reduce necessary protection.

Each applicable requirement shall be concluded as conforming or nonconforming. A requirement may be recorded as not applicable only where objective facts establish that the requirement does not apply to the certification object or scope.

A not-applicable conclusion shall identify the factual basis and shall be confirmed during independent certification review. The absence of one condition within a requirement shall not make the complete requirement inapplicable where another condition remains relevant.

Certification shall be granted only after all applicable requirements conform and all nonconformities are closed.

ICEQC shall not issue a score, percentage, grade, rank, star, award, distinction, premium status or other expression of relative superiority as a certification decision.

A strength, innovation or performance above a requirement shall not compensate for a failure to fulfil another requirement.

Every object certified to the same requirement document, edition, applicable modules and scope conditions holds the same conformity status.

This Procedure shall be applied with:

The applicable requirement document determines what shall be fulfilled. ICEQC-CER-002 governs the selection, verification and evaluation of remote evidence. This Procedure governs findings, corrective action, certification decisions, appeals, surveillance and status action.

Where two applicable ICEQC provisions appear inconsistent, the matter shall be referred to the ICEQC Certification Scheme Committee before a decision dependent on the interpretation is finalized.

No unpublished working aid, checklist, automated output or internal guidance may replace or amend a requirement established by an approved ICEQC document.

The ICEQC Certification Scheme Committee owns this Procedure and controls its interpretation, maintenance and authorized use.

Certification decisions shall be made only by the ICEQC Certification Decision Authority or a person or panel to which that authority has assigned written decision authorization.

Appeals shall be determined only by an Appeals Panel appointed under this Procedure.

Surveillance shall be planned, performed and reviewed only by persons authorized for their assigned certification scheme and function.

An automated system may organize records, check completeness, identify inconsistency or support workflow control. It shall not independently classify a nonconformity, close corrective action, make a certification decision, determine an appeal or impose a certification status.

In this Procedure:

appellant — an applicant or certified client that submits an appeal against an appealable ICEQC decision.

applicant — an organization or person that applies for certification and accepts responsibility for the certification object, certification scope, submitted information and continuing conformity.

appeal — a request by an applicant or certified client for independent reconsideration of a specified ICEQC decision affecting its certification application, scope or status.

Appeals Panel — the person or group appointed with authority and independence to determine an appeal under Part 6.

assessment conclusion — the documented conclusion of an assessment team concerning whether verified evidence supports C, NC or confirmed NA for an applicable assessment unit.

business day — a day on which ICEQC is ordinarily open for business, excluding a published closure day.

certification cycle — the period beginning with a certification or renewal decision and ending at the stated expiry date, unless certification ends earlier.

certification decision — an authorized determination to grant, refuse, maintain, renew, extend, reduce, suspend, restore, withdraw or terminate certification.

certification object — an organization, service, process, programme, digital service, product, defined claim, person or defined combination evaluated under an applicable ICEQC certification scheme.

certification scope — the exact boundary of certification, including the certification object, responsible client, activities, learner groups, locations, delivery modes, platforms, versions, models, jurisdictions, roles and stated exclusions.

certified client — an applicant for which ICEQC has issued and maintains certification.

conformity — fulfilment of an applicable requirement.

containment — immediate action to control the effect or spread of a detected nonconformity pending complete correction and corrective action.

correction — action taken to eliminate a detected nonconformity or remedy its direct effect.

corrective action — action taken to eliminate or control the cause of a nonconformity and prevent recurrence.

corrective-action reviewer — a person authorized by ICEQC to evaluate and verify correction and corrective action.

decision date — the date on which an authorized certification decision becomes final within ICEQC, subject to any stated effective date.

decision package — the controlled set of information submitted for certification review and decision.

evidence — verifiable information relevant to determining whether a specified requirement is fulfilled.

expiry — the automatic end of certification when its stated validity period ends without a renewal decision.

general nonconformity — a nonconformity that does not meet the criteria for a major nonconformity but is nevertheless required to be corrected and closed.

major change — a change or event capable of affecting certification scope, applicable requirements, the reliability of earlier evidence, continuing conformity or the accuracy of a certification claim.

major nonconformity — a nonconformity that materially impairs the certification object, learner protection, system control, evidence integrity or confidence in continuing conformity, as further specified in this Procedure.

nonconformity — failure to fulfil an applicable requirement.

objective evidence — verifiable information supporting the existence or truth of a fact.

public register — the authoritative ICEQC-controlled service through which current certification scope, status and validity may be verified.

renewal — a certification decision establishing a new certification cycle following completion of the required recertification activity.

restoration — a decision returning suspended certification to active status after the cause of suspension has been resolved and continuing conformity has been verified.

scope reduction — removal of a defined part of the certification scope from active certification.

surveillance — planned or event-driven certification activity used to determine whether the basis for certification remains valid throughout the certification cycle.

suspension — temporary invalidation of the right to represent certification as active, pending resolution of specified conditions within a defined period.

withdrawal — termination of certification by an ICEQC decision before its stated expiry.

The word shall states a requirement. The word may states a permission. The word including introduces a non-exhaustive list.

A requirement applying to an applicant also applies to a certified client where the context concerns continuing certification.

A reference to a written record includes reliable information maintained in any controlled medium.

A time period expressed in calendar days includes every day. Where the last day is not a business day, an action requiring submission to ICEQC may be completed on the next business day unless immediate protective action is required.

ICEQC retains responsibility for every finding, corrective-action verification, certification decision, appeal determination, surveillance conclusion and certification status issued in its name.

ICEQC shall establish sufficient authority, competence, information security, record control and oversight for each activity performed under this Procedure.

Use of external personnel, technology or evidence shall not transfer ICEQC responsibility for the resulting certification action.

ICEQC shall maintain a clear separation between commercial activity and the technical or governance authority exercised under this Procedure.

The applicant or certified client is responsible for:

Delegation, outsourcing, partnership or use of a platform does not remove the applicant's responsibility for the certification object.

The applicant shall ensure that a person submitting a corrective-action response, appeal or surveillance declaration has authority to bind the applicant in relation to the information submitted.

The assessment team shall identify and record findings arising from evidence within its assigned scope.

The assessment team shall state facts, evidence and applicable requirements. It shall not negotiate a favourable finding, prescribe the applicant's management solution or promise a certification outcome.

The team may explain the meaning of a requirement, the evidence gap and the verification process. It shall not design the corrective action that it will later assess.

A team leader shall resolve differences within the team concerning a proposed finding and shall record a material unresolved technical view for certification review.

A corrective-action reviewer shall have competence appropriate to the requirement, certification object, evidence method and consequence of an incorrect closure.

The reviewer shall determine whether correction has been implemented, whether the cause and extent have been adequately evaluated, whether corrective action is proportionate and whether effectiveness has been demonstrated.

The reviewer may be a member of the original assessment team if permitted by the applicable scheme and if no conflict prevents objective verification.

Closure of a nonconformity shall not itself constitute a certification decision.

The Certification Decision Authority shall retain final responsibility for each certification decision.

A decision maker shall not have participated in the assessment or corrective-action verification for the same case and shall not have provided consultancy, sales advocacy or applicant representation in relation to the certification object.

The decision maker shall have access to all information necessary to determine the application and may require clarification, further verification or correction of the decision package.

The decision maker shall not substitute commercial preference, personal reputation, unsupported expert opinion or automated recommendation for verified evidence.

The Appeals Panel shall act independently of the original assessment, corrective-action verification and certification decision.

A panel member shall possess, collectively with other members where a panel is used, the competence needed to understand the applicable requirements, the certification object, the evidence and the procedural issues raised.

The Appeals Panel shall determine the appeal on the record and any additional information properly admitted under Part 6.

The panel shall not communicate with an appellant, original decision maker or other interested person outside the controlled appeal process concerning the merits of the appeal.

Surveillance shall be planned and performed by persons authorized for the applicable certification scheme and assigned activity.

A surveillance reviewer shall evaluate the combined significance of changes, findings, complaints, incidents, prior corrective actions and the accuracy of public certification claims.

A person who performed an earlier assessment may participate in surveillance where competence and continuity are beneficial and independence is not impaired. The certification decision remains subject to clause 14.

Every person assigned under this Procedure shall disclose an actual, potential or perceived conflict of interest before receiving restricted case information and whenever a new conflict arises.

ICEQC shall evaluate the conflict and shall exclude, replace, restrict or supervise the person where impartiality could reasonably be questioned.

A person shall not be assigned to make or determine a decision if that person:

Familiarity with a scheme, sector or technical subject does not by itself create a conflict. Prior involvement with the particular certification object shall be evaluated according to its nature, timing and materiality.

Conflict declarations and the disposition of each material conflict shall be retained in the case record.

Information received or created under this Procedure shall be accessible only to persons whose assigned function requires it.

ICEQC shall use the minimum personal, confidential or commercially sensitive information reasonably necessary for the activity.

A party may request an accessible communication method or reasonable procedural adjustment. ICEQC shall provide a suitable adjustment unless it would prevent reliable verification, compromise another person's rights or alter the substantive certification requirement.

A learner, employee, complainant, witness or other person shall not be exposed to avoidable harm, intimidation, retaliation or improper disclosure through corrective-action verification, appeal or surveillance activity.

Confidentiality shall not be used to conceal evidence necessary for a reliable decision. Where direct disclosure is restricted, ICEQC shall consider controlled access, redaction, aggregation, secure viewing or another proportionate method.

A nonconformity may be identified from:

Information from a source outside the assessment team shall be verified to the extent necessary before it is recorded as a nonconformity.

Anonymous information may initiate review where it contains specific and credible facts. An allegation alone shall not be treated as proof.

A requirement shall be recorded as conforming only where sufficient verified evidence establishes fulfilment within the applicable scope and period.

A requirement shall be recorded as nonconforming where verified evidence establishes failure to fulfil the requirement. Failure includes the absence of a record, control or other evidence that the applicable requirement expressly requires the applicant to create, retain, implement or provide.

Insufficient assessment evidence is not, by itself, proof of nonconformity. Where the available evidence cannot support a reliable conclusion, ICEQC shall record an unresolved evidence limitation and shall not conclude C or NA unless verified facts establish failure under clause 20.2.

A lack of evidence shall be described precisely. The assessment record shall distinguish between:

Uncertainty shall not be converted into conformity by assumption. Where a conclusion cannot be reached for the affected requirement, ICEQC shall seek further evidence, narrow the proposed scope, defer the affected activity, withhold a positive decision or record nonconformity, as appropriate to the established facts.

Each nonconformity statement shall contain:

The statement shall be sufficiently specific for a competent person not present during the assessment to understand the requirement, evidence and failure without speculation.

A finding shall not be stated solely as an absence of a preferred document, title, format or method where the requirement may be fulfilled through another effective arrangement.

Multiple evidence items may support one finding. One evidence item may support findings against more than one requirement where each distinct failure is clearly established.

A nonconformity shall be classified as major or general.

Classification controls response urgency, verification depth and certification status action. It is not a score, grade, rank or level of certification.

Every nonconformity, regardless of classification, shall be corrected and verified as closed before an initial, renewal, extension or restoration decision is granted for the affected scope.

A classification shall be based on established facts and likely consequence, not on the applicant's size, reputation, commercial value or expected publicity.

A nonconformity is major where one or more of the following applies:

A major nonconformity may require immediate containment, targeted notification, scope restriction, suspension or another interim protective measure before full corrective action is completed.

A nonconformity is general where a specific applicable requirement is not fulfilled but the failure does not meet the criteria in clause 23.

A general nonconformity may be isolated in occurrence or limited in consequence, but shall not be described as insignificant, optional or acceptable.

Repeated, related or widely distributed general nonconformities shall be evaluated under clause 23.1(j).

A general nonconformity that is not corrected within the authorized period may be reclassified as major where the delay demonstrates loss of control, unwillingness or an increased consequence.

Related failures shall be aggregated where a single underlying control failure explains them and aggregation produces a clearer and more effective corrective-action process.

Failures shall be stated separately where they arise from materially different requirements, causes, responsible functions, risks or certification objects and require distinct verification.

Aggregation shall not obscure the number, location, population, period or consequence of affected instances.

A finding identified in one sample shall be evaluated for possible extent beyond the sample. ICEQC may expand verification where the matter could be systemic.

Where a failure affects only a separable part of a proposed scope, ICEQC may permit the applicant to remove that part before decision if the remaining scope is clearly defined and fully supported by evidence. Scope removal shall not be used to conceal a continuing material effect on the remaining scope.

A failure corrected before completion of an assessment shall still be recorded as a nonconformity where cause, extent, recurrence or continuing effectiveness remains to be established.

A simple and isolated error may be corrected and recorded in the assessment record without a formal nonconformity only where:

Clause 26.2 shall not be used for evidence fabrication, concealment, recurring error, missing implementation, serious learner-protection matter or failure affecting certification credibility.

ICEQC may record an opportunity for improvement where conformity is established and a potential enhancement is apparent.

An opportunity for improvement shall not:

The applicant is not required to act on an opportunity for improvement unless a later change in facts establishes nonconformity.

The assessment team shall present a proposed nonconformity to an authorized applicant representative and provide a reasonable opportunity to clarify facts and identify relevant evidence.

Discussion is intended to confirm accurate understanding. It does not require the applicant to agree with the finding and does not permit negotiation of the requirement.

The assessment team shall consider evidence provided within the stated assessment period. Evidence created after the failure was identified shall be treated as correction or corrective-action evidence, not as proof that the earlier condition did not exist.

The applicant's disagreement and the material reasons for it shall be recorded where the finding is issued.

ICEQC shall issue a nonconformity statement in controlled written form as soon as reasonably practicable and ordinarily within five business days after the relevant assessment close or verification conclusion.

Where immediate protection is required, ICEQC may give an oral or electronic direction before issuing the complete statement. The direction shall be confirmed in writing without undue delay.

Notification shall identify the available route for factual correction, corrective-action submission and appeal of any resulting certification decision.

Delivery shall be made through the controlled contact or system designated for the certification case.

Where a nonconformity creates a credible risk of significant harm, continuing misrepresentation, loss of evidence or further affected decisions, ICEQC shall require containment without waiting for complete cause analysis.

A containment direction may require:

A containment direction shall be limited to what is reasonably necessary, shall state its basis and shall be reviewed when material new evidence becomes available.

Containment does not close the nonconformity and shall not replace correction, cause analysis, corrective action or effectiveness verification.

An applicant may notify ICEQC of a claimed factual error in a nonconformity statement within five business days after receipt or within another period specified by ICEQC.

The notice shall identify the disputed fact and provide or identify the evidence supporting correction.

A person authorized by ICEQC shall review the notice promptly and may confirm, amend, reclassify or withdraw the finding.

A factual review does not determine an appeal against a certification decision and does not suspend an immediate protective direction unless ICEQC expressly states otherwise.

Disagreement shall not relieve the applicant from preserving evidence, implementing necessary containment or meeting an unaffected deadline.

ICEQC may amend a finding where new verified information changes its wording, evidence, scope, classification or required deadline.

A material amendment shall be authorized, dated and communicated with reasons. The applicant shall receive a reasonable adjusted response period where the amendment increases the required action.

A finding shall be withdrawn where the applicable requirement was incorrectly identified, the material facts are not supported or verified evidence establishes that the requirement was fulfilled.

Withdrawal of a finding shall be traceable and shall not remove the record of why the finding was issued and withdrawn.

ICEQC shall maintain a controlled register linking each nonconformity to:

Status shall be controlled as open, response under review, verification pending, closed or superseded. A status label shall not replace the supporting record.

Closed findings shall remain searchable for surveillance, renewal, consistency review and recurrence analysis for the applicable retention period.

The applicant shall correct each nonconformity, evaluate its cause and extent, implement corrective action where recurrence is possible, and provide evidence sufficient for ICEQC verification.

Responsibility for corrective action remains with the applicant. ICEQC may clarify the finding and verification criteria but shall not select, design or operate the applicant's solution.

Action shall be proportionate to the consequence, extent and recurrence risk of the nonconformity. A concise response may be sufficient for a simple isolated failure; a systemic failure requires correspondingly broader analysis and control.

The volume or presentation quality of a submission shall not substitute for effective implementation.

A corrective-action response shall contain, as applicable:

The response shall identify the nonconformity by its controlled identifier and shall distinguish planned action from completed action.

Existing controlled records may be referenced rather than resubmitted where ICEQC can reliably access and trace them.

Containment shall control the present effect and prevent further affected activity while the permanent response is developed.

Containment shall be immediate where delay could cause significant harm, allow a misleading certification claim, affect additional learner decisions or permit loss or alteration of evidence.

The applicant shall verify that containment reaches the affected scope and shall monitor temporary controls until permanent action is effective.

A temporary manual check, additional approval, access restriction or activity pause may be used as containment if responsibility, duration and exit conditions are defined.

Correction shall eliminate the detected nonconformity or restore the affected condition to conformity.

Where a completed learner, personnel, financial, assessment, credential or other consequential decision was affected, the applicant shall determine whether review, correction, reissue, refund, notification, restoration of opportunity or another remedy is required.

A correction shall preserve the original record and the reason, authority and date of change where traceability is material.

Where complete reversal is not possible, the applicant shall take the most effective available remedial action and identify any continuing consequence to ICEQC.

The applicant shall determine whether the detected instance is isolated or forms part of a wider condition.

Extent evaluation shall consider, as applicable:

The extent shall be supported by a reliable search, sampling method, data analysis, record review or other proportionate evidence.

Where the extent remains undetermined, the applicant shall adopt a conservative containment boundary until sufficient evidence supports narrowing it.

Cause analysis shall identify why the nonconformity occurred and why the existing controls did not prevent or detect it in time.

The analysis shall proceed beyond a restatement of the finding. Statements such as human error, oversight, communication failure or system issue are insufficient unless the underlying control conditions are identified.

Cause analysis shall consider, as relevant:

A complex method or named analytical technique is not required. The analysis is sufficient where the material cause-and-control relationship is supported by evidence and leads to effective action.

Corrective action shall eliminate or control each material cause and shall be designed to prevent recurrence in the affected and comparable processes.

A plan shall define:

Training or communication alone shall not be accepted as complete corrective action where the cause also concerns design, authority, workload, technology, supervision, verification or another system control.

Corrective action shall not create a new barrier, inequity, privacy exposure, safety risk, service interruption or misleading representation.

Where a nonconformity has affected or may affect a learner or another person, the response shall consider the person's rights, safety, privacy, access, educational progression, financial interest and ability to challenge a decision.

The applicant shall provide a clear and timely communication where the person needs information to avoid harm, exercise a right or understand a corrected decision.

Notification may be limited or staged where immediate disclosure would create a greater risk, compromise a protected investigation or improperly disclose another person's information. The reason and approving authority shall be recorded.

A remedy shall be accessible and shall not require a person to waive an unrelated right or accept retaliation as a condition of receiving correction.

A plan, draft, promise, purchase order or scheduled activity does not establish implementation.

Implementation evidence shall establish, as applicable:

ICEQC may accept direct secure viewing, system demonstration, data export, interview, sample or other reliable remote evidence instead of receiving a copy.

Unless a shorter period is specified because of consequence or scheme requirement, the applicant shall submit:

The ordinary maximum period for verified closure is:

ICEQC may require an earlier date where learner protection, evidence preservation, public accuracy, certification validity or another material consequence requires it.

A scheme may prescribe a shorter period. A later commercial milestone, desired launch or internal approval cycle does not automatically extend a deadline.

A response received after the deadline does not prevent ICEQC from considering the evidence, but shall not reverse a status action already validly taken unless a new authorized decision does so.

An applicant may request an extension before the applicable deadline and shall state:

ICEQC may grant a limited extension where the reason is justified, progress is credible, containment is effective and the extension does not permit an invalid positive certification decision.

An extension for a major nonconformity shall be exceptional. It shall not extend beyond sixty calendar days from issue unless the Certification Decision Authority determines that extraordinary circumstances exist and certification is suspended or otherwise protected.

An extension for a general nonconformity shall not ordinarily extend beyond ninety calendar days from issue.

Approval, refusal and conditions of an extension shall be recorded and communicated. Repeated extensions shall not be used to avoid status action.

ICEQC shall review the response for completeness, relevance, proportionality and consistency with the verified facts.

The review shall determine whether:

Where information is incomplete, ICEQC shall identify the specific deficiency and may request a revised response within a stated period.

ICEQC shall not require another copy of evidence already available and traceable to the relevant conclusion.

Verification shall use the least burdensome remote method capable of establishing implementation and effectiveness with sufficient confidence.

Verification may include documentary review, data review, sample expansion, interview, live demonstration, remote observation, direct confirmation, external evidence or a combination of methods.

The depth of verification shall consider classification, consequence, systemic extent, evidence integrity, recurrence, complexity of the action and the reliability of the applicant's own verification.

A major nonconformity shall ordinarily require evidence of completed implementation and initial effectiveness before closure.

A general nonconformity may be closed on completed implementation with a defined later effectiveness check only where the requirement is currently fulfilled, recurrence risk is controlled and the later check is entered into surveillance. Such closure shall not be used where effectiveness is necessary to establish present conformity.

Corrective action is effective where evidence demonstrates that the cause has been eliminated or controlled, the required condition is operating, and recurrence or comparable failure is not indicated.

Effectiveness evidence shall cover a sufficient period or number of occurrences to reflect normal operation. A single immediately prepared example shall not establish sustained effectiveness where the control is recurring.

Verification shall consider intended and unintended effects, including whether action shifted the problem to another process or population.

Where the full operating period will arise only after closure, ICEQC may schedule a defined follow-up review under clause 46.5. The retained record shall identify the evidence, due date and consequence of an adverse result.

A nonconformity may be closed only by an authorized corrective-action reviewer after the closure criteria in Schedule 3 are fulfilled.

The closure record shall identify:

Closure confirms that the specific nonconformity has been satisfactorily addressed. It does not prevent a later finding if the failure recurs or new evidence changes the established facts.

A finding shall not be closed by administrative lapse, expiry of a deadline, deletion from a system or verbal agreement.

ICEQC shall reject a response or refuse closure where required content is absent, action is not implemented, evidence is unreliable, the cause remains unaddressed or effectiveness is not established.

ICEQC shall state the unresolved matters and the date by which further evidence or action is required.

A repeated nonconformity shall be evaluated for ineffective earlier corrective action, inaccurate earlier verification, broader systemic extent and possible major classification.

Recurrence may require expanded sampling, special surveillance, scope reduction, suspension, withdrawal or review of another related certification object.

Failure to submit or complete corrective action within an authorized period shall be referred for certification status action.

ICEQC shall escalate a matter where the applicant:

ICEQC shall preserve relevant evidence, restrict access to the case as necessary and take proportionate interim action to protect certification integrity and affected persons.

Evidence misconduct may itself constitute a major nonconformity and may justify refusal, suspension or withdrawal independently of the underlying requirement.

A certification status shall be granted, renewed, extended, reduced, suspended, restored or withdrawn only through an authorized certification decision.

An assessment conclusion, corrective-action closure, recommendation, automated status or commercial approval shall not constitute a certification decision.

The decision shall be based on the applicable controlled requirements, verified evidence and records valid for the certification object, scope and relevant period.

The decision package shall contain, as applicable:

The decision package shall be sufficiently complete for a competent person not involved in the assessment to understand and test the proposed outcome.

Information shall not be omitted merely because it is adverse, confidential, commercially inconvenient or inconsistent with the recommendation.

Before technical decision review, ICEQC shall confirm that:

An incomplete package shall be returned for completion and shall not be advanced by assuming a favourable conclusion.

Completion of the administrative gate does not determine the technical merits.

The assigned decision maker shall have competence appropriate to the certification scheme, certification object, decision type, evidence methods and material technical or protection issues.

The decision maker shall be independent in accordance with clauses 14 and 17 and shall complete a case-specific conflict declaration.

Where one person does not possess all required competence, ICEQC may appoint a decision panel or obtain controlled technical input. The authorized decision maker retains responsibility for the decision.

A technical adviser shall disclose limitations and shall not decide a matter outside the adviser's authorization.

The decision maker shall determine whether:

The decision maker may request clarification, further evidence, expanded verification, correction of a finding, reconsideration of scope or a new assessment conclusion.

The decision maker shall not personally perform missing assessment work and then decide that same work. Material additional evaluation shall be assigned and returned through the decision package.

The Certification Decision Authority may decide to:

ICEQC may defer a decision where defined information or verification remains outstanding. Deferral is not a positive certification decision and does not authorize a certification claim for an uncertified or changed scope.

ICEQC shall not grant conditional certification where an applicable requirement remains nonconforming.

Certification may be granted, renewed, extended or restored only where:

An administrative condition may be attached only where it concerns implementation of the certification arrangement and does not substitute for conformity or permit an open nonconformity.

Certification shall not be accelerated by reducing required evidence, bypassing review or treating planned action as completed action.

Certification shall be refused where the applicant does not fulfil all applicable requirements for the proposed scope, evidence necessary for a reliable conclusion cannot be obtained after reasonable opportunity, a material integrity concern remains unresolved, or the applicant refuses an applicable certification obligation.

A refusal shall identify the principal reasons and shall not be described as a lower grade of certification.

A decision may be deferred where the remaining matter is capable of resolution within a defined period and deferral does not create a misleading public status or material risk.

A deferred application shall be closed without certification where the applicant does not complete the required action within the authorized period and no justified extension is granted.

Refusal does not prevent a later new application, subject to the applicable scheme and resolution of the reasons for refusal.

Certification may be maintained after surveillance only when continuing conformity has been established and all nonconformities required for surveillance closeout are closed.

Issue of a general nonconformity during surveillance does not by itself change an active public status while the authorized corrective-action period remains in force, unless the nature or extent of the matter impairs confidence in certification.

Surveillance shall not be recorded as satisfactorily completed until the required corrective-action verification is complete.

Failure to close a nonconformity within the authorized period shall result in review for suspension, scope reduction or withdrawal.

A renewal decision establishes a new certification cycle and shall be made before the current certificate expires.

Renewal shall consider the complete performance of the certification object during the ending cycle, including surveillance, changes, complaints, incidents, nonconformities, corrective actions, certification claims and current evidence.

Renewal shall not be granted with an open nonconformity.

Where renewal cannot be completed before expiry, certification expires unless ICEQC had completed all required evaluation and the delay is solely an ICEQC administrative delay that does not affect confidence. Any exceptional continuity decision shall be authorized, time-limited and publicly accurate.

A new activity, site, mode, programme, platform, version, model, population or claim shall not be represented as certified until an extension decision is effective.

The extension assessment shall cover the new scope and any existing control on which it depends.

An extension may be granted only where all requirements applicable to the extended scope conform and related nonconformities are closed.

ICEQC may combine an extension with surveillance or renewal where the activities remain separately traceable and the resulting evidence is sufficient.

ICEQC may reduce scope where a separable part no longer fulfils applicable requirements, cannot be verified, has ceased, is voluntarily removed or requires exclusion to prevent a misleading certification claim.

Reduction shall not be used where the affected failure materially impairs the controls supporting the remaining scope.

The decision shall define the removed scope, effective date, certificate action, register update and required correction of claims.

The remaining scope shall be reviewed to confirm that it is coherent, independently supported and not misleading without the removed part.

ICEQC may suspend certification in whole or in part where:

Suspension may be immediate where delay would expose learners or the public to material harm or misrepresentation.

The suspension decision shall state the affected scope, reasons, effective date, required action, verification conditions and restoration deadline.

During suspension, the affected certification is not active.

The certified client shall immediately cease new representations that the suspended scope is certified and shall correct or qualify existing representations as directed.

The certificate and public register shall display the suspended status and affected scope in a clear and timely manner.

Suspension does not remove the certified client's obligations concerning corrective action, surveillance cooperation, learners, records, complaints, data, confidentiality or cessation of misleading claims.

The certified client shall not describe suspension as voluntary inactivity, routine review or another status that conceals its effect.

Certification may be restored only after ICEQC verifies that:

The extent of restoration verification shall reflect the duration and cause of suspension, changes during suspension and the reliability of earlier evidence.

Restoration shall be recorded as a new certification decision and shall identify the effective date and any revised surveillance schedule.

ICEQC may withdraw certification in whole or in part where:

Withdrawal is final for the affected certificate unless changed through an appeal or a later new certification decision following a new application.

The decision shall specify cessation of claims, certificate disposition, register status, treatment of marks and any continuing obligations.

Every certification decision shall be recorded in controlled form and shall contain:

Reasons shall be sufficient to explain the outcome without disclosing protected information unnecessarily.

A standardized decision record may be used, but a preselected outcome or automated rationale shall not replace case-specific judgment.

ICEQC shall notify the applicant or certified client of the decision in controlled written form without undue delay and ordinarily within five business days after the decision date.

A positive decision shall not be publicly represented before its effective date and completion of required certificate and register controls.

ICEQC shall implement the decision consistently across the certificate, public register, mark permissions and internal case status.

A clerical or administrative error may be corrected without reopening the merits where the correction does not change the certification object, scope, substantive outcome or effective date. The correction shall remain traceable.

A substantive error or new material fact shall be referred to an authorized decision maker. If immediate protection is necessary, ICEQC may impose a temporary status control pending the new decision.

An applicant or certified client may appeal an appealable decision affecting its application, certification scope or certification status.

Access to appeal shall be clear, reasonably accessible and free from discriminatory treatment, retaliation or commercial disadvantage.

ICEQC does not charge a fee for submitting an appeal.

Appeal rights do not limit any other lawful right available to the appellant, but the Appeals Panel shall determine only matters within ICEQC authority.

An appeal may be made against a decision to:

A nonconformity statement or evidence request may be challenged through an appeal only after it materially forms part of an appealable certification decision, unless an applicable scheme expressly permits earlier appeal.

A request to correct an obvious administrative error shall ordinarily be handled under clause 68.4 and does not require an appeal.

An appeal shall be filed within twenty business days after the appellant receives the written decision.

The appeal shall identify:

A concise appeal is sufficient where it clearly identifies the challenged decision and grounds. ICEQC shall not reject an appeal solely for use of an informal format.

An appeal may be submitted through the controlled case system or another published ICEQC channel.

ICEQC shall acknowledge receipt within five business days and provide the appeal identifier, responsible case officer, next procedural step and expected timetable.

The case officer shall secure the original decision record, preserve relevant evidence and restrict changes that could obscure the record under appeal.

The case officer may request clarification necessary to identify the decision or grounds, but shall not argue the merits or discourage the appeal.

Communication shall distinguish clearly between the administrative case officer and the independent Appeals Panel.

An appeal is admissible where it is made by an eligible appellant, identifies an appealable decision and is filed within the required period or accepted late under clause 74.

The case officer shall refer a disputed admissibility question to a person independent of the original decision. The person may be the Appeals Panel chair.

A decision that an appeal is inadmissible shall be reasoned and communicated in writing.

A complaint about service, conduct or delay that does not challenge a certification decision shall be redirected to the applicable ICEQC complaint process with the sender's knowledge.

ICEQC may accept a late appeal where the appellant demonstrates circumstances that reasonably prevented timely filing and acceptance will not cause material unfairness or undermine necessary protection.

In deciding whether to accept a late appeal, ICEQC shall consider the length and reason for delay, action already taken in reliance on the decision, continuing risk, record availability and whether the grounds raise a serious integrity issue.

An incomplete appeal shall not be rejected without a reasonable opportunity to provide essential missing information.

Extension of the filing period shall not automatically suspend or reverse the original decision.

Filing an appeal does not automatically stay the decision under appeal.

The Appeals Panel may stay or modify implementation where necessary to prevent disproportionate harm and where doing so does not create an unacceptable risk to learners, the public or certification integrity.

A suspension, claim restriction or other protective measure shall ordinarily remain effective while an appeal is pending where its removal could permit harm, material misrepresentation or loss of evidence.

An interim determination shall be reasoned, time-limited, communicated to affected functions and reviewed if material circumstances change.

The appeal record shall include:

The case officer shall maintain a chronology and document index.

No person shall remove, replace or alter a material original record. Corrections or later versions shall be separately identifiable.

ICEQC shall appoint an Appeals Panel of one or more members according to the complexity, consequence and competence needs of the appeal.

No panel member shall have participated in the assessment, corrective-action verification, recommendation or decision under appeal.

A panel member shall disclose conflicts and shall be replaced where impartiality could reasonably be questioned.

Where a panel has more than one member, a chair shall control procedure and the determination shall be made by majority unless the appointment states another rule. A material dissent shall be recorded.

ICEQC may appoint an independent technical adviser who does not vote and whose input is disclosed to the parties to the extent material to determination.

The appellant shall receive sufficient information to understand the material basis of the decision and respond effectively.

ICEQC may withhold or redact information where necessary to protect another person's privacy, confidential source, security, legal privilege or proprietary interest.

A restriction shall be no broader than necessary. Where possible, ICEQC shall provide a summary, extract, anonymized information or controlled viewing that permits a fair response.

The Appeals Panel may review restricted information not disclosed in full to the appellant and shall consider the effect of that restriction on procedural fairness and evidential weight.

The appellant shall have a reasonable opportunity to make written submissions and respond to material new information.

The original decision maker or responsible technical function may provide a written response but shall not direct the Appeals Panel.

Additional evidence may be admitted where it:

Evidence created after the decision date shall not ordinarily prove that conformity existed on that date. It may support remission for new verification, restoration or another prospective action.

The panel may set proportionate limits on repetitive, irrelevant or unduly voluminous material.

The Appeals Panel may determine an appeal on written materials or hold a remote hearing where oral clarification would materially assist.

The appellant may be accompanied or represented by a person of its choice, subject to confidentiality and orderly procedure.

A hearing shall provide a fair opportunity to address the material issues. It is not required to adopt courtroom procedure.

The chair shall control attendance, agenda, speaking order, recording, confidentiality and time. A reliable record of material submissions shall be retained.

A failure to attend after reasonable notice does not prevent determination on the available record.

The Appeals Panel shall determine whether the decision was supported by sufficient verified evidence, correctly applied the relevant ICEQC requirements, followed required procedure and was made impartially and reasonably.

The panel shall review the challenged parts and any inseparable matter necessary to reach a coherent outcome.

The appellant bears responsibility for identifying the claimed error. ICEQC retains responsibility for demonstrating the basis and integrity of its certification decision.

The panel shall not replace a valid technical conclusion merely because another conclusion was possible. It shall intervene where a material error, omission, procedural failure, conflict or unsupported conclusion affected or could reasonably have affected the outcome.

The Appeals Panel may:

The panel may direct correction of records, public status or communications and may identify required ICEQC corrective action.

An appeal shall not result in certification where any applicable requirement remains nonconforming.

ICEQC shall aim to complete an appeal within thirty business days after the appeal record is sufficiently complete for review.

The appeal shall ordinarily be completed no later than sixty business days after receipt.

Where exceptional complexity, necessary specialist input, protected disclosure, parallel investigation or delay outside ICEQC control prevents completion, the appellant shall receive a written progress notice stating the reason and revised date.

Urgent interim protection shall not await final determination.

ICEQC shall give the appellant a written determination stating:

ICEQC shall implement the determination promptly across the case record, certificate, public register and relevant communications.

Where an appeal is upheld in whole or in part, ICEQC shall identify and complete any necessary correction or corrective action concerning its own process.

The Appeals Panel determination is final within ICEQC, subject only to correction of an obvious clerical error or reopening where decisive evidence of fraud or panel conflict is established.

Submission, investigation and determination of an appeal shall not result in discriminatory action, retaliation, reduced service or adverse commercial treatment.

Appeal information shall be disclosed only for the purpose of fair handling, oversight, required action or lawful obligation.

ICEQC shall not publish the identity or detailed appeal record unless authorized by the appellant or necessary to correct a material public statement or protect affected persons.

Any public communication shall be accurate, proportionate and consistent with the current certification status.

ICEQC shall retain the appeal record, determination, implementation evidence and any related corrective action under the applicable retention rule.

Appeals shall be analysed periodically for recurring factual, procedural, competence, consistency, communication or independence issues.

Learning from appeals may improve an ICEQC document, workflow, competence arrangement or quality control, but shall not disclose protected case information unnecessarily.

A trend shall not be converted into an automatic outcome for a later case. Each certification decision and appeal shall remain evidence-based.

Surveillance shall determine whether the certified client continues to fulfil every requirement applicable to the certified scope and whether the basis of the certification decision remains valid.

Surveillance shall be targeted, proportionate and evidence-based. It is not required to repeat every activity from initial certification where continuing conformity can be established reliably through a narrower review.

Surveillance shall give particular attention to change, prior nonconformity, corrective-action effectiveness, complaints, incidents, certification claims and areas in which loss of control would have a material consequence.

Surveillance shall not produce a score, rank, grade or comparative quality indicator.

Unless an applicable ICEQC scheme establishes a shorter period, the certification cycle is three years from the effective date of the initial or renewal decision.

Routine surveillance shall ordinarily comprise:

The first surveillance review shall not be completed later than fifteen months after the certification decision. The interval between successive routine surveillance reviews shall not exceed fifteen months.

An applicable scheme or decision may require more frequent surveillance where the certification object, evidence model, operating history, change rate or consequence justifies it.

A surveillance date may be brought forward or combined with another certification activity where coverage, independence and traceability are preserved.

ICEQC shall establish a surveillance programme at or promptly after the certification decision.

The programme shall identify:

The programme may be revised when new information changes the risk, scope or evidence need. A material revision shall be reasoned and traceable.

Before each surveillance activity, ICEQC shall prepare or update a surveillance plan proportionate to the scope and purpose.

Planning shall consider:

The plan shall state the purpose, coverage, evidence sources, sample, timetable, participants, confidentiality controls and expected outputs.

The plan shall avoid duplicate requests where current reliable evidence already supports more than one surveillance objective.

Routine surveillance shall obtain and evaluate, as applicable:

A declaration alone shall not establish continuing conformity for a material matter that requires verification.

ICEQC may rely on evidence already held where its source, scope, period, version and continuing relevance are established.

The certified client shall notify ICEQC promptly of a major change or event and, unless a shorter period is necessary or prescribed, no later than ten business days after it becomes known.

Notification shall be made before implementation where the change is planned and capable of affecting the certified scope or basis of certification.

A major change or event includes, as applicable:

Notice shall describe the change or event, affected scope, date, immediate controls, known consequence, responsible person and proposed next action.

ICEQC shall evaluate a notified or detected change to determine whether it:

ICEQC may require additional documents, data, interviews, demonstrations, samples or other remote evidence proportionate to the effect of the change.

Pending review, the certified client shall not represent a new or changed scope as certified.

A change review shall be concluded through a recorded determination, finding, revised surveillance plan or certification decision as applicable.

ICEQC may initiate targeted surveillance where specific evidence indicates a defined area of concern or change.

A trigger may include:

Targeted surveillance shall define the trigger, affected scope, evidence need, urgency and possible certification consequence.

A trigger shall be evaluated before an adverse conclusion is made. A credible risk may justify interim protection while verification proceeds.

Special surveillance is an expedited or additional review outside the routine programme where the matter cannot reliably await the next scheduled review.

ICEQC may conduct special surveillance with shortened notice where prior notice could permit concealment, alteration or loss of relevant evidence or prolong a serious risk.

Shortened notice shall not remove the certified client's reasonable opportunity to understand and respond to an adverse finding.

Special surveillance may be limited to a single issue or expanded where evidence indicates broader effect.

The certified client shall cooperate with validly authorized special surveillance as a condition of continuing certification.

Surveillance under this Procedure shall be conducted through remote evidence assessment and verification.

Methods may include:

ICEQC does not require or perform an ICEQC on-site visit under this Procedure.

Where a material requirement cannot be verified remotely with sufficient confidence, ICEQC shall restrict, defer or withhold the surveillance conclusion and shall consider scope or status action. It shall not infer continuing conformity.

Sampling shall be selected by ICEQC and shall be sufficient to represent the relevant scope, period, sites, modes, populations, systems and variations.

The sample shall give appropriate attention to:

The certified client may organize the evidence population but shall not determine the final sample or exclude unfavourable evidence.

A finding in a sample shall lead to appropriate extent evaluation and may require sample expansion.

Surveillance evidence shall be evaluated against the current applicable ICEQC requirements and certified scope.

The reviewer shall determine:

A surveillance conclusion shall identify the coverage, sample, evidence, limitations, findings and recommended next action.

An unresolved evidence limitation shall not be recorded as conformity.

A nonconformity identified during surveillance shall be stated, classified and controlled under Parts 3 and 4.

The surveillance reviewer shall evaluate whether the finding affects only a defined part of scope or impairs confidence in the certified system or object as a whole.

A major nonconformity shall be referred promptly for interim or final certification status action.

A general nonconformity may proceed through the authorized corrective-action period while certification remains active under clause 59.2, provided confidence in certification is not materially impaired.

A finding requiring action beyond the surveillance review shall be entered into the surveillance programme and tracked to closure.

A routine or targeted surveillance activity may be closed as satisfactory only where:

Closeout shall be authorized by a competent reviewer and recorded with the completion date.

Where closeout criteria are not met, the case shall remain open or be referred for a certification decision.

Surveillance shall be referred for suspension consideration where:

The Certification Decision Authority shall determine the status action and may suspend only the affected separable scope where the remaining scope is reliable.

Immediate suspension may precede completion of the full surveillance report where delay would create material harm or misrepresentation. The reasons and evidence shall be recorded.

Restoration verification shall address the cause of suspension, related requirements, changes during suspension and the current operating condition.

ICEQC shall not restore certification solely on a written assurance or plan.

The restoration sample shall be broad enough to establish that correction and corrective action are implemented throughout the affected scope.

A restored certificate remains within the original expiry date unless a renewal decision establishes a new cycle.

ICEQC may add targeted surveillance after restoration where continued monitoring is necessary to confirm sustained effectiveness.

Suspension shall be time-limited and shall not ordinarily exceed 180 calendar days.

A shorter maximum shall apply where specified by the decision, scheme or consequence of the matter.

ICEQC may allow one justified extension only where substantial corrective action is complete, effective containment remains in place, restoration is reasonably imminent and continued suspension is not misleading.

If restoration conditions are not fulfilled by the final date, ICEQC shall withdraw the affected certification or reduce scope as appropriate.

Where nonconformity is confined to a separable part of scope and the remaining scope continues to conform, ICEQC may reduce scope instead of suspending or withdrawing the entire certification.

The evidence shall establish that the failure does not undermine common governance, resources, systems, data, personnel or controls supporting the remaining scope.

The certified client shall update every affected claim, certificate display, website, platform, contract, proposal and other representation by the date directed.

Re-entry of removed scope requires an extension decision and shall not occur automatically after correction.

ICEQC shall consider withdrawal where surveillance establishes persistent, deliberate, systemic or otherwise irrecoverable failure, or where suspension cannot be resolved within the authorized period.

Withdrawal may be limited to affected scope only where the remainder continues to meet clause 104.2.

The certified client shall cease certification claims for the withdrawn scope and fulfil the continuing obligations stated in the decision.

A withdrawn status shall remain visible in the public register for the period determined by ICEQC to prevent misleading reliance and preserve verification history.

Certification expires automatically at the end of the stated validity period unless renewed.

A certified client may request termination of certification. ICEQC shall confirm the effective date and required claim, certificate and register action.

Expiry or voluntary termination shall not be represented as active certification, and shall not be used to avoid completion of an investigation concerning prior certificate misuse or affected persons.

Following expiry, termination or withdrawal, continuing obligations concerning learners, records, complaints, data, confidentiality and accurate historical statements remain applicable where relevant.

ICEQC shall begin recertification planning sufficiently early to permit evidence assessment, corrective action, independent decision and certificate implementation before expiry.

Recertification shall evaluate current conformity and performance across the full certification cycle rather than rely solely on the most recent surveillance sample.

Planning shall consider:

Recertification may use evidence obtained through surveillance where it remains current, representative and traceable. Reuse shall not create an evidence gap.

On receiving credible information about a serious incident relevant to certified scope, ICEQC shall promptly determine the need for evidence preservation, interim protection, targeted surveillance and certification status review.

ICEQC shall not assume the role of an emergency service, public authority or specialist investigator. The certified client remains responsible for immediate response and applicable notifications.

ICEQC shall assess only the effect of the incident and response on applicable ICEQC requirements and certification validity.

The review shall consider continuing risk, persons affected, containment, truthfulness of notification, control effectiveness, recurrence, public claims and whether specialist evidence is necessary.

An active investigation elsewhere does not automatically prevent ICEQC action where sufficient evidence supports a necessary protective certification decision.

ICEQC shall maintain the public register as the authoritative source of current certification status.

The register shall state, as applicable:

The register shall not display a score, grade, rank, star, award or relative performance label.

A status update shall be made without undue delay after the effective decision. Where system delay occurs, ICEQC shall apply an alternative public notice sufficient to prevent misleading reliance.

ICEQC shall retain a surveillance record containing:

The record shall permit reconstruction of why certification was maintained, changed or ended.

ICEQC shall maintain controls to promote materially consistent interpretation, classification, corrective-action verification, decision and status action across schemes and cases.

Controls may include competence calibration, anonymized case review, controlled decision criteria, technical consultation, periodic sampling and review of overturned decisions.

Consistency does not require identical treatment where scope, evidence, consequence, operating history or other material facts differ. The reason for a material departure from usual treatment shall be recorded.

An earlier error shall not be repeated solely for consistency. ICEQC shall correct the current case and consider whether earlier cases require review.

A person performing an activity under this Procedure may seek technical consultation where an issue exceeds assigned competence or presents novel interpretation, technology or consequence.

Consultation shall identify the question, facts, applicable requirements, adviser, advice and use made of the advice.

The adviser shall meet competence, confidentiality and conflict requirements.

Advice does not transfer responsibility from the authorized assessor, reviewer, decision maker or Appeals Panel.

ICEQC shall periodically sample completed and active cases to verify procedural conformity, evidence sufficiency, decision consistency, timeliness and record integrity.

Sampling shall include a reasonable mix of positive and adverse decisions, schemes, decision makers, major and general nonconformities, appeals and certification status actions.

A quality reviewer shall be independent of the activity reviewed where the review could change a case outcome or evaluate personal performance.

A detected error shall be evaluated for case correction, affected certificates, similar cases, cause and ICEQC corrective action.

ICEQC shall identify and control nonconformity in its own certification processes, including a failure arising from a case review, complaint, appeal, data incident or performance trend.

ICEQC corrective action shall include correction, cause and extent evaluation, action, responsibility, time frame and effectiveness verification proportionate to the consequence.

Where an ICEQC process failure may have affected a certification decision or party, ICEQC shall review the case and provide appropriate correction without requiring the affected party to submit an appeal.

Commercial sensitivity, reputational concern or personnel seniority shall not prevent internal nonconformity from being recorded and corrected.

ICEQC shall monitor the performance of this Procedure using measures capable of identifying delay, inconsistency, recurrence and control weakness.

Measures may include:

Performance measures shall not reward higher certification approval rates, lower finding rates or commercial retention at the expense of reliable conformity decisions.

Records created under this Procedure shall be identifiable, complete, current, protected, retrievable and traceable to authority and date.

A material change to a finding, action, decision, appeal or status record shall preserve the prior version or an equivalent audit history.

Access shall be based on assigned function and information sensitivity. Export, download, sharing and local storage shall be restricted accordingly.

Records shall not be stored in an unapproved personal account, device, messaging channel or location.

Where a system is replaced or data are migrated, ICEQC shall verify completeness, integrity, links, permissions and continuing retrieval.

ICEQC shall retain the complete certification case throughout the certification cycle and for at least seven years after the latest expiry, withdrawal, refusal or final appeal determination relating to the case, unless a longer period is specified by an applicable ICEQC rule or necessary obligation.

A record subject to an active appeal, complaint, investigation, protected disclosure, legal hold or corrective action shall not be disposed of until the matter and required retention period are complete.

At the end of retention, records shall be disposed of securely under defined authority and in a manner appropriate to their sensitivity.

A disposal record shall identify the record class, period, method, authority and date without retaining the disposed confidential content.

ICEQC shall control access, change, backup, recovery and audit history for systems supporting findings, corrective action, decisions, appeals, surveillance and the public register.

An automated function used to summarize, classify, translate, compare or flag information shall be identified in the case workflow and subject to competent human verification before reliance.

An automated output shall not be treated as objective evidence of conformity merely because it is generated consistently or at scale.

ICEQC shall protect against unauthorized outcome change, hidden scoring, default positive status, broken traceability and inconsistency between case status and the public register.

ICEQC shall not disclose confidential case information except with authorization, for an assigned certification function, to protect an affected person, or where disclosure is otherwise required.

Before disclosure, ICEQC shall verify the recipient, purpose, minimum necessary content, secure method and any restriction on further use.

Where ICEQC is required to disclose information without the client's authorization, it shall notify the client unless notification is prohibited or would defeat a necessary protective purpose.

Public certificate and register information is not confidential to the extent necessary to verify certification status.

A communication concerning a finding, decision, appeal or status shall be accurate, authorized, consistent with the controlled record and appropriate to its audience.

Internal working views, draft findings, provisional recommendations and automated flags shall not be communicated as final decisions.

ICEQC shall correct a material public error without undue delay and shall preserve the reason and authority for correction.

No communication shall imply governmental authority, statutory approval, qualification recognition, guaranteed learner outcome or comparative superiority arising from ICEQC certification.

ICEQC governance shall review the continuing suitability, adequacy, impartiality and effectiveness of this Procedure at planned intervals.

Review shall consider performance measures, quality samples, internal nonconformities, complaints, appeals, surveillance trends, status actions, competence, conflicts, resource adequacy, information security and material changes in certification activity.

Decisions shall identify action, responsibility, resources and time frame and shall be tracked to completion.

Oversight shall not reopen an individual appeal or certification decision except through an authorized process established in this Procedure.

ICEQC may adjust an administrative method or time frame where an exceptional circumstance prevents normal operation, provided that evidence sufficiency, impartiality, learner protection, appeal fairness and decision authority are not weakened.

An adjustment shall be limited, reasoned, authorized, communicated to affected parties and reviewed when the circumstance ends.

ICEQC may prioritize urgent protection, status accuracy and evidence preservation over ordinary sequence where delay would create material harm.

An exceptional circumstance shall not permit certification with an open nonconformity or unsupported conformity conclusion.

A departure from this Procedure is permitted only where expressly authorized by an applicable ICEQC provision or approved in writing by the Certification Scheme Committee before reliance.

The approval shall identify the provision, case, reason, alternative control, duration and person responsible for review.

A departure shall not alter an applicable substantive requirement, remove an appeal right, compromise independence or create a misleading certification status.

An unauthorized departure shall be evaluated as an ICEQC process nonconformity under clause 114.

The Certification Scheme Committee may issue a controlled interpretation necessary for consistent application of this Procedure.

An interpretation shall clarify existing meaning and shall not create a new substantive obligation without formal amendment.

A material interpretation shall be communicated to affected ICEQC personnel and, where relevant, to applicants or certified clients.

Interpretation shall preserve the binary conformity rule and the authority boundaries stated in this Procedure.

An amendment shall identify its edition, approval, issue date, effective date and transition arrangement.

A case shall ordinarily continue under the edition applicable when the relevant activity commenced unless transition to a later edition is required to protect integrity or expressly agreed without disadvantage to procedural fairness.

A certification decision shall identify the procedure edition materially governing the decision.

A superseded edition shall be protected against unintended use and retained for reconstruction of decisions made under it.

This Procedure takes effect only upon approval by the ICEQC Certification Scheme Committee and publication as a controlled ICEQC document.

Before commencement, this document shall not be used to make a certification decision, issue a certificate or represent conformity with ICEQC requirements.

This Schedule is normative and shall be applied with clauses 22 to 24 and 43 to 50.

Classification shall be based on verified facts and consequence. The examples are decision aids and do not replace competent judgment.

Controlled matrix — Control element | Major nonconformity | General nonconformity Nature | Systemic, repeated, serious, integrity-related or materially impairing confidence in the certification object | Specific failure that does not meet the major criteria but remains a failure of an applicable requirement Typical indicators | Absent or substantially ineffective control; significant learner-protection consequence; material evidence misconduct; repeated failure; broad affected scope; refusal of necessary verification | Isolated implementation gap; limited affected scope; control otherwise operating; no material integrity issue; consequence contained Immediate action | Containment or protective direction as required; prompt referral for status review | Proportionate correction and containment where required Response due | Ten business days unless a shorter period is directed | Fifteen business days unless a shorter period is directed Ordinary closure limit | Thirty calendar days from issue | Sixty calendar days from issue Maximum extended limit | Sixty calendar days, exceptionally and with certification protection | Ninety calendar days where justified Verification | Completed implementation and initial effectiveness; expanded or direct verification ordinarily required | Completed implementation; effectiveness verified now or through a controlled later check only where clause 46.5 applies Decision consequence before initial, renewal, extension or restoration decision | No positive decision until closed | No positive decision until closed Surveillance consequence | Suspension, reduction or other interim action considered promptly | Active status may continue during the authorized correction period only while confidence is not materially impaired

The person classifying a finding shall consider:

Each nonconformity record shall include the following minimum information.

Controlled matrix — Record field | Minimum content Case identity | Certification case, applicant or certified client, certification object and responsible ICEQC function Finding identity | Unique identifier, issue date, issuer and current status Requirement | Controlled document, edition, clause and concise required condition Evidence | Evidence identifier, source, period, sample and material facts Failure statement | Clear explanation of how the facts fail to fulfil the requirement Affected scope | Site, mode, programme, platform, version, learner group, process, population and period as applicable Classification | Major or general, with the reasons supporting classification Immediate control | Required containment, protection, evidence preservation or notification Deadlines | Response, correction, verification and final closure dates Applicant response | Containment, correction, extent, cause, action, responsibilities and evidence Verification | Reviewer, method, sample, evidence, conclusion and remaining limitation Closure | Closure authority, date, rationale and any follow-up surveillance item Consequential action | Related scope, certificate, register, suspension, withdrawal, appeal or communication action

The record shall permit a competent person with no prior involvement to reconstruct the finding, response, verification and closure.

Cross-references may be used instead of duplicate evidence where the linked record is controlled, accessible and sufficiently precise.

ICEQC shall not accept a corrective-action response unless every applicable criterion is satisfied or a justified non-applicable criterion is recorded.

Controlled matrix — Criterion | Acceptance test Containment | The current effect and credible spread are controlled for the full affected boundary Correction | The detected failure and direct effects are corrected or an authorized remedy is complete Extent | The potentially affected population, period and comparable processes have been evaluated using a reliable method Cause | Material causes and failed detection or prevention controls are supported by evidence Corrective action | Each material cause is eliminated or controlled through defined, proportionate action Responsibility | Each action has accountable ownership and a controlled completion date Implementation | Evidence establishes deployment and operation, not merely intention Effectiveness | Results demonstrate fulfilment and absence of indicated recurrence over a sufficient sample or period Unintended effect | New risks, barriers, inequities or misleading outcomes have been evaluated and controlled Traceability | Evidence, version, dates, approvals and affected scope are identifiable

Closure shall state one of the following conclusions:

A closure record shall not use ambiguous expressions such as substantially closed, provisionally passed or acceptable in principle.

The record shall contain the following minimum information.

Controlled matrix — Decision element | Required record Identity | Applicant or certified client, certification object and case identifier Decision type | Grant, refuse, maintain, renew, extend, reduce, suspend, restore or withdraw Scope | Exact included scope and any exclusions, limitations or removed scope Applicable requirements | ICEQC documents, editions and modules governing the decision Evidence basis | Assessment and verification records relied upon, including material limitations Requirement status | Complete conformity record and objective reasons for each not-applicable conclusion Nonconformity status | Confirmation that all required findings are closed, or open findings supporting an adverse status action Material matters | Complaints, incidents, changes, integrity matters and dissenting technical views considered Reasoning | Concise connection between evidence, requirements and outcome Effective control | Decision date, effective date, validity, conditions, surveillance and required actions Authority | Decision maker, authorization, competence and case-specific independence confirmation Communication | Notification date, appeal information, certificate action and register implementation

For a grant, renewal, extension or restoration, the decision maker shall record the following declaration or an equivalent controlled statement: “I have reviewed the decision package for the stated certification object and scope. All applicable requirements are supported as conforming, all not-applicable conclusions are objectively justified, all nonconformities affecting the proposed scope are closed, and no unresolved matter prevents the stated certification decision.”

Controlled matrix — Stage | Responsible function | Ordinary time | Required output Receipt | ICEQC case administration | Day received | Secured submission and appeal identifier Acknowledgement | Case officer | Within five business days | Acknowledgement, contact and timetable Admissibility | Independent authorized person | Promptly after essential information is available | Admissible, correction requested or reasoned inadmissibility decision Panel appointment | ICEQC appeal authority | Without undue delay | Appointment, competence and conflict record Record establishment | Case officer | As directed by chair | Indexed original record, submissions and controlled disclosure Review or hearing | Appeals Panel | Proportionate to issues | Fair consideration of record and material responses Determination | Appeals Panel | Target thirty business days; ordinarily no more than sixty business days after receipt | Reasoned written determination Implementation | Assigned ICEQC functions | Without undue delay | Corrected case, certificate, register, communication and ICEQC action

The appeal record shall contain:

Controlled matrix — Cycle point | Principal purpose | Minimum focus Certification or renewal decision | Establish the basis and programme for continuing certification | Scope, applicable requirements, evidence baseline, prior findings, change risks and surveillance dates Month 12 surveillance | Confirm early-cycle implementation and continuing conformity | Major changes, prior corrective actions, complaints, incidents, claims, selected operating controls and performance evidence Month 24 surveillance | Confirm sustained conformity and prepare recertification | Trend, recurrence, current scope, material controls, changes, claims, internal evaluation and recertification readiness Before month 36 expiry | Determine renewal | Full-cycle performance, current conformity, all applicable requirements, closed findings and accurate scope

Controlled matrix — Trigger | Initial ICEQC response | Possible outcome Major change | Change review and evidence request | No effect, revised surveillance, extension assessment, scope reduction or suspension Serious incident | Immediate triage, evidence preservation and targeted review | Protective direction, finding, suspension, reduction or continued active status with verified controls Credible complaint or disclosure | Validate relevance and plan targeted verification | No finding, nonconformity, special surveillance or status action Evidence-integrity concern | Secure record and restrict reliance pending verification | Expanded verification, major nonconformity, refusal, suspension or withdrawal Certification-claim misuse | Require immediate correction and verify affected channels | Closed correction, nonconformity, suspension or withdrawal Overdue corrective action | Review containment, progress and consequence | Final deadline, reclassification, suspension, reduction or withdrawal Refusal of surveillance | Confirm obligation and give final controlled direction where appropriate | Suspension or withdrawal Material interruption or cessation | Review learner protection, continuity and scope | Revised scope, suspension, withdrawal, expiry or termination

Controlled matrix — Status | Meaning | Permitted representation | Required ICEQC control Active | Certification is currently in force for the stated scope | Exact active claim within authorized scope and validity | Current certificate and public-register entry Suspended | Certification is temporarily not active for the stated scope | No claim that suspended scope is actively certified; historical fact only if clearly qualified | Suspension decision, register update, claim correction and restoration deadline Scope reduced | A defined part has been removed from active certification | Claim only for the remaining active scope | Revised certificate, register and removal of excluded-scope claims Withdrawn | Certification ended by ICEQC decision before expiry | No current certification claim; accurate historical statement only | Withdrawal decision, register update and cessation controls Expired | Validity ended without renewal | No current certification claim; accurate historical statement only | Expired register status and cessation controls Terminated | Certification ended at the certified client's request | No current certification claim after the effective date | Termination confirmation, register update and cessation controls

Internal workflow labels such as assessment in progress, corrective action in progress, decision pending, appeal pending or surveillance open do not themselves change public certification status.

ICEQC shall not publish a transitional label in a way that obscures whether certification is active, suspended, withdrawn, expired or terminated.

Controlled matrix — Activity | Ordinary requirement | Variation control Formal issue of nonconformity | As soon as practicable; ordinarily within five business days after relevant close or conclusion | Immediate direction may precede the full statement where protection is required Claimed factual error in finding | Within five business days after receipt | Another period may be specified by ICEQC Major nonconformity response | Within ten business days after issue | Shorter period may be directed; containment may be immediate General nonconformity response | Within fifteen business days after issue | Shorter period may be directed Major nonconformity closure | Thirty calendar days after issue | Exceptional extension, ordinarily no later than sixty calendar days and with certification protection General nonconformity closure | Sixty calendar days after issue | Justified extension, ordinarily no later than ninety calendar days Certification-decision notice | Without undue delay; ordinarily within five business days after decision | Urgent status implementation may occur immediately Appeal filing | Twenty business days after receipt of decision | Late appeal may be accepted under clause 74 Appeal acknowledgement | Within five business days after receipt | Essential clarification may follow without delaying acknowledgement Appeal determination | Target thirty business days after a sufficient record; ordinarily within sixty business days after receipt | Written progress notice and revised date required for exceptional delay Major-change notification | Promptly and ordinarily within ten business days after becoming known | Earlier notice required for planned change or urgent event First routine surveillance | Due at month 12 and no later than month 15 | Shorter interval may be specified Later routine surveillance interval | No more than fifteen months | Shorter interval may be specified Standard certification cycle | Three years | Applicable scheme may prescribe a shorter cycle Suspension | Ordinarily no more than 180 calendar days | One justified extension only under clause 103.3

A deadline shall identify the controlling date and time zone in the case record.

ICEQC shall communicate an approved extension before or promptly after the original deadline and shall update the controlled workflow.

A missed deadline shall not automatically close a finding, grant an appeal, restore certification or waive a requirement. The responsible authority shall determine the consequential action under this Procedure.