Disciplinary procedure and other recourses
Following up on complaints
One of the QAEA’s missions is to provide the public and the clients of its certified members with a mechanism for ensuring that QAEA-certified members apply the Code of Good Practice.
In part, this is already ensured by the integrity of the certification process that accompanied their adherence to the Code.
Nevertheless, certification does not guarantee that personal or professional rules of ethics will be followed, or that the certified member is competent.
For this reason, the QAEA has developed a disciplinary process for following up on complaints about the conduct of its certified members.
Although the process can cover a wide range of complaints, it cannot be used to
- settle disputes about fees;
- obtain compensation from an auditor for financial losses suffered by a client;
- provide advice about auditing or help a potential client choose an auditor;
- address a client’s dissatisfaction with the opinion delivered, when the audit was carried out in due form.
Understanding the process
The disciplinary process consists of four stages:
- Filing of a complaint with the secretary’s office;
- Preliminary investigation by the head of Disciplinary Measures;
- Striking of a Discipline Committee and handling of the complaint;
- Board approval of Discipline Committee’s recommendations.
Recourse: Filing an information request or complaint
Request handling
The QAEA has set up various avenues of appeal—including a disciplinary procedure—for its certified members, their clients, and CEA or CESA title applicants.
Please consult these sections for the information you need:
- Appeals procedure
- Disciplinary procedure
Filing a request or complaint
Some reasons for a complaint from a client or a certified member:
- A certification applicant is not satisfied with the Commission’s decision
- An applicant has failed the exam and wants more information about the exam results
- A member’s certification has been suspended, or renewal has been denied
- A client wants to file a complaint about a certified member
Do any of these resemble your situation?
As a body accredited by the Standards Council of Canada, the QAEA has developed mechanisms enabling individuals to file a request or complaint with the Board, and eventually with the SCC itself, if they feel they have been unjustly served by a QAEA decision or the work of a certified member.
To find out about the process, please see our appeals procedure.
Submitting an information request
When a certification process is accredited by the Standards Council of Canada, it must necessarily include an appeals procedure.
Our procedure enables individuals to appeal a decision of the Certification Commission or the Board, or to file a complaint about a certified member.
If you feel that your situation is not covered by our appeals procedure, please let us know. We will study your request and follow up on it.
You may also send us requests for information on topics related to environmental auditing in general. The Board will handle your inquiry as part of its process for requests and non-compliance.
