Politique en matière de plainte et d’appel

Disclaimer: “Certified” refers to ISO/IEC 17024 certifications’ requirements and “Certificate holder” refers to ASTM E2659 certificate programs’ requirements."

1. Purpose

The purpose of this policy is to define the actions to be taken in the event that a complaint or appeal is received from candidates, certified persons, certificate holders and other parties with regard to a certified person, a certificate holder or decisions related to the certification/certificate program process or certificate program, as well as complaints for the overall PECB operations for which appeals are not applicable.

This policy is not applicable for complaints related to alleged illegal, financial, or regulatory issues, which will be handled by proper authorities.

2. Scope

This policy covers two different scopes:

1. The complaints addressed to PECB about:

• a certified person or a certificate holder, i.e., for breaching the code of ethics, and/or in specific schemes/programs for breaching the code of conduct
• the use of certificates and logos/marks
• the overall operations of PECB, i.e., expression of dissatisfaction made to PECB, related to its products or services, procedures, policies, support, technology, representatives (including partners, trainers, or employees)
• the complaint handling process itself, where a response or resolution is explicitly or implicitly expected

2. The appeals addressed to PECB about:

• the certification/certificate program process, i.e., activities by which a certification body decides that a person fulfills the certification requirements, including the application, assessment, decision on certification, and recertification 
• the role of the Appeal Board in reaching a conclusive settlement on account of an appeal

3. References

This policy is mainly based on the clause 9.8 (Appeals against decisions on certification), 9.9 (Complaints) of ISO/IEC 17024:2012, 5.8 (Complaints) and 5.9 (Appeals) of ASTM E2659-18.

4. Terms and Definitions

Complainant: 

• Person, organization or their representative making a complaint.” (ISO 10002:2018, clause 3.1)

Complaint: 

• “Expression of dissatisfaction, other than appeal, by any individual or organization to a certification body [PECB], relating to the activities of that body, [including its products and services, procedures, policies, overall operations, or the complaint handling process itself], or a certified person, or the use of certificates and logos/marks, where a response is expected.” (ISO/IEC 17024:2012, clause 3.20). These types of complaints exclude complaints against decisions related to the certification process,  or complaints related to alleged legal, financial, or regulatory issues, which will be handled by proper legal authorities. Appeals are not applicable to these types of complaints, as these complaints are not related to any certification decisions made by PECB.   
• “Written request, other than an appeal, made to a certificate issuer [PECB] for corrective action relating to the activities of that issuer”. (ASTM E2659-18, clause 3.1.15)

Appeal: 

• “Request by applicant, candidate or certified person for reconsideration of any decision made by the certification body [PECB] related to her/his desired certification status.” (ISO/IEC 17024:2012, clause 3.19)
• “Written request made to the certificate issuer [PECB] for reconsideration of an adverse decision made by the certificate issuer [PECB] related to the certificate program.” (ASTM E2659-18, clause 3.1.3)

Certification process: 

• “Activities by which a certification body [PECB] determines that a person fulfils certification requirements, including application, assessment, decision on certification, recertification and use of certificates and logos/marks.” (ISO/IEC 17024:2012, clause 3.1)

5. General Rules for Filing a Complaint or an Appeal

General rules for filing a complaint or an appeal are as in the following:

1. By submitting a complaint or an appeal, any complainant or appellant commits to reporting facts completely and truthfully.
2. Any complainant or appellant who provides any proven false statements will see their entire complaint or appeal terminated.
3. Any unsubstantiated elements — not supported with real evidence — of a complaint or an appeal (hearsay, rumors, unproven accusations, etc.) will not be taken into consideration in any complaint or appeal.
4. The Complaint and Appeal Policy does not deal with alleged illegal, financial, or regulatory issues. For any complaint or parts of a complaint related to alleged illegal, financial, or regulatory issues, PECB will respond by recommending that the complainant reaches the proper authorities and inform them that it will not deal with alleged illegal, financial, or regulatory issues. The only exception to this is if a complainant provides evidence that a legal decision has been rendered and asks PECB to deal with it (e.g., if a complainant provides evidence that a PECB affiliate or employee was the subject of a recent court decision).
5. The Complaint and Appeal Policy does not deal with issues for which the deadlines to submit complaints and/or appeals have been reached.
6. No complaint or appeal will be processed if it is done anonymously. Complainants and Appellants must provide personal information, as described below under the instructions sections for filing complaints and appeals.
7. If applicable, all complaints need to be shown to the individuals being complained against so that they can have an opportunity to respond. If the complainant does not give the authorization for the complaint to be shown to the person or function being complained against, the complaint will not be processed.
8. In cases where individuals consistently display challenging or persistent behavior, as defined in the Behavior Policy (e.g., making excessive or unreasonable complaints, repeatedly appealing determined issues using the same arguments within a short timeframe), PECB will refrain from processing the complaint or appeal without first seeking guidance from the Impartiality and Certification Appeals Committee. This committee may provide an alternative perspective on addressing the complaint that may not have been previously considered by PECB.
9. All reports, findings, and materials created, collected or submitted in connection with the Complaint and Appeal Policy, including but not limited to information submitted by an Appellant/Complainant or a Respondent, are PECB’s confidential property. Materials submitted to PECB in connection with a Complaint or an Appeal will not be returned unless agreed to prior by the Complainant or Respondent and PECB. PECB will take reasonable measures to ensure that any files resulting from implementation of this Complaint and Appeal Policy shall be and remain confidential except as required by law, or as necessary to fully investigate a complaint and appeal. Parties are encouraged to maintain confidentiality.

6.  Complaints

6.1  Procedure Overview

Complaints and all the relevant information will be recorded, upon their reception, in the PECB Ticketing System. The person wishing to make complaints can do so directly through submitting a service ticket. Complaints received via email will be recorded in the PECB Ticketing System (alongside the email) by the receiver of the complaint. Only written complaints will be recorded. Verbal complaints will have to be converted into written form. 

Note: When submitting a ticket, it is important that the category “Complaint” is selected.

For the complaints to be handled effectively, the complaint record must contain all the necessary information, including the complainant’s full name, email, and phone number, the department and staff member involved in the complaint, the description of the complaint, and the date. Once recorded, the complaints are to be tracked through the whole complaint handling process until the final decision.

A notice of acknowledgment is sent by PECB within 24 hours following the complaint reception. An initial assessment is conducted within 3 calendar days following the complaint reception.

6.2 Operating Procedure

6.2.1  Complaint Level 1

All complaints initiated are considered Level 1 and will be investigated and handled by the Head of Division (HoD) to whom the complaint has been addressed or the Head of Customer Service Department. The person initially addressing the complaints will investigate the complaint and offer a response to the complainant within 10 calendar days. Depending on the complexity of the case, when the case involves multiple parties and requires a more comprehensive investigation and resolution process, the deadline can be extended to a maximum of 15 calendar days. The complainant will be informed of the reason for the extension.

6.2.2 Complaint Level 2

If the complainant is not satisfied with the response of Level 1 investigation, the complainant has the right to file a Level 2 complaint. The complaint is assigned to the immediate supervisor of the HoD or top management to be investigated independently in coordination with the internal auditor or any other independent employee designated for the investigation. 

During Level 2 support, the person responsible will assess the complaint. Based on the assessment, they will offer a response to the complainant within 15 calendar days. Depending on the complexity of the case, when the case involves multiple parties and requires a more comprehensive investigation and resolution process, the deadline can be extended to a maximum of 30 calendar days.  The complainant will be informed of the reason for the extension. Following the extension, the response will be communicated in writing along with all evidence reviewed (if applicable). 

Once the response of the Level 2 investigation is received by the complainant, it is considered a final response from PECB, and at this stage, the complainant can only agree or disagree with the final response, but in either case, the process ends.  In case there is a conflict of interest, real or implied, with the Level 2 support, e.g., between the HoD or top management or internal auditor and the complainant, an independent and external investigator will be appointed to conduct the Level 2 investigation.

6.3 Instructions for Filing Complaints

All complaints must be submitted and communicated in writing via the PECB Ticketing System based on the steps below:

1. Go to https://pecb.com
2. Click "Contact" from top menu then click “Help Center” from the drop-down menu that will appear
3. Click “Drop a Service Ticket” 
4. From a drop-down menu under “Topic,” choose “File a Complaint”
5. Complete all the fields and submit the form (click "Submit")

Information to include in your complaints:

Besides personal information (full name, email address, phone number), write in the message box the description of the complaint, the department and staff member involved, if applicable, and the date. 

7. Re-evaluation Process for exam results or certification decisions

7.1 Procedure Overview

When candidates disagree with the decisions made by PECB related to their certification process or the certificate program, they must declare in writing the reasons for disagreement to PECB, and ask for a re-evaluation, via email, within 30 days from receiving PECB’s initial decision. Re-evaluation requests received after 30 days will not be processed. Re-evaluation requests are not considered appeals. 

Re-evaluation requests can take any of the following forms:

• Re-evaluation of the exam results/exam question: Candidates that disagree with the results of their exam, or have a specific comments related to an exam question 
• Reevaluation of the certification decision: Candidates that disagree with the decisions related to the downgrade, suspension and revocation of the certificates. 

7.2 Instructions for Filing Re-evaluation requests

1. Go to https://pecb.com
2. Click "Contact" from top menu then click “Help Center” from the drop down menu that will appear
3. Click “Drop a Service Ticket” 
4. From a drop down menu under “Topic,” choose “File a re-evaluation of the examination results/exam question request” , or “File a re-evaluation of the certification decision request”
5. Complete all the fields and submit the form (click "Submit")

Besides personal information (full name, email address, phone number), write in the message box the description of the re-evaluation request, the department and staff member involved, if applicable, and the date.

8. Certification/Certificate program Appeals

8.1  Procedure Overview

All appeals relating to the certification process or certificate program are reviewed by the CEO and/or a designated employee assigned by him or her. The designated employee will not be part of the staff involved in the assessment against which a certification/certificate program or appeal is being raised.

If the individuals filing the appeal are not satisfied with the review and the decision made upon the first appeal, they may consider filing a second appeal Level to be treated by the Appeal Board.

Subsequently, PECB appoints an Appeal Board which is in charge of the appeal process and is accountable for safeguarding impartiality with regard to the appeal.  

8.2 First Appeal 

If candidates still do not agree with the re-evaluated decision from PECB, they should submit a certification/certificate program first appeal in writing through PECB Ticketing System, no later than 30 days after receiving the re-evaluated decision. Certification/certificate program appeals received after 30 days will not be processed. 

The certification/certificate program appeal should include the personal information (full name, address, and other contact details) of the appellant, the appellant’s personal opinion about the assessment, the reasons for disapproval of the decision reached during the initial decision and re-evaluation, as well as the settlement being sought. A notice of acknowledgment will be sent by PECB within 24 hours following the certification/certificate program appeal reception. An initial assessment is conducted within 3 calendar days following the appeal reception.

The submission, investigation, and decision on certification/certificate program appeals will not result in any discriminatory actions against the appellant.

Certification/certificate program appeal will be reviewed by the CEO and/or a designated employee assigned by him or her. The designated employee will not be part of the staff involved in the initial decision. The reviewer of the certification/certificate program appeal should consider the complainant’s appellant’s explanation and provide a written response, which includes:

A clear explanation or a repeated explanation of the assessment decision following a re-evaluation of the evidence

8.3 Instructions for Filing a First Appeal 

To file a certification/certificate program appeal, the following steps should be taken:

1. Go to https://pecb.com
2. Click "Contact" from top menu then click “Help Center” from the drop-down menu that will appear
3. Click “Drop a Service Ticket” 
4. From a drop-down menu under “Topic,” choose “File a Certification/Certificate program Appeal 
5. Complete all the fields and submit the form (click "Submit Ticket")

Information to include in your certification/certificate program appeal: 

Besides personal information (full name, email address, telephone), write in the message box your opinion about the assessment and why you are not satisfied with the initial decision and re-evaluation.

The reviewer of the certification/certificate program appeal should reply within 15 calendar days after receiving an appeal. Depending on the complexity of the case, when the case involves multiple parties and requires a more comprehensive investigation and resolution process, the deadline can be extended to a maximum of 30 calendar days. The appellant will be informed of the reason for the extension. 

The appellant will receive an answer on the decision reached in writing (via email or the PECB Ticketing System). If the appellant agrees with the outcome at this stage, the certification/certificate program appeal does not proceed to further stages. 

If appellants are not satisfied with the outcome of the first appeal, then they may file a second appeal to be treated by the Appeal Board within 30 days of receiving the reply from PECB (see 8.5 Second Appeal).

If necessary, PECB will take appropriate correction and corrective/preventive actions. 

All certification/certificate program appeals, including actions taken, will be tracked and recorded by PECB. 

8.4 Appeal Board 

The Appeal Board is composed of at least three members with a majority of members being independent of PECB personnel.

The Appeal Board is independent of management in their recommendations which are guided by the requirements of ISO/IEC 17024 related to personnel certifications and ASTM E2659 related to certificate programs. If the recommendation of the board is not respected by the management, the board will take appropriate measures, which may include informing PECB’s accreditation authorities.

Upon the request of the Appeal Board, PECB management will provide the board with all the necessary information, including the reasons for all significant decisions, actions, and the selection of persons responsible for particular activities, to allow PECB to ensure proper and impartial decision. 

In the event that a member or members of the Appeal Board have a conflict of interest, based upon the facts or circumstances of a specific appeal, including employment or other affiliations of the appellant, PECB management in conjunction with the Appeal Board will select a substitute member or members to hear and decide upon that claim. PECB has the right to appoint its Impartiality and Certification Appeals (ICA) Committee members as Appeal Board members if the criteria are met.

8.5 Second Appeal to be treated by the Appeal Board

Where appellants disagree with the certification or certificate program decisions of the re-evaluation stage and the first appeal, they may appeal a second time, explaining the reasons for disagreement.   

Steps to be followed by the appellant: 

1. The second appeal to be treated by the Appeal Board should be submitted in writing, as a reply to the certification/certificate program first appeal decision, and no later than 30 days after receiving the first appeal decision.
2. The second appeal should include the US $200 Appeal Fees, as it will be treated by the Appeal Board. In case the appeal decision is in favor of the appellant, this fee will be reimbursed.
3. The second appeal, besides the personal information (full name, address and other contact details) of the appellant, should include the opinion about the assessment and why the appellant is not satisfied with the first decision, re-evaluation, and PECB’s review done after the first appeal.

Steps to be followed by PECB and the Appeal Board:

1. PECB appoints an Appeal Board which is in charge of the appeal process and is accountable for safeguarding impartiality with regard to the appeal.
2. The Appeal Board will respond to an appellant in writing (via email) within 30 calendar days after receiving the second appeal. Depending on the complexity of the case, when the case involves multiple parties and requires a more comprehensive investigation and resolution process, the deadline can be extended to a maximum of 60 calendar days. The appellant will be informed of the reason of the extension. It should be noted that following the extension, the decision taken is absolute and final.
3. The submission, investigation, and decision on second appeals will not result in any discriminatory actions against the appellant.
4. If necessary, PECB will take appropriate correction and corrective/preventive actions. 
5. All second appeals, including actions taken, will be tracked and recorded by PECB.

8.6 Instructions for Filing a Second Appeal 

To file a second appeal, the following steps should be taken:

1. Reply via email to the first appeal decision, no later than 30 days after receiving the decision.
2. Pay the US $200 Appeal Fees (instructions will be given by PECB)

Information to include in your second appeal, write in the email reply, your opinion about the assessment and why you are not satisfied with the first appeal decision.

Version: 3.1, Latest update: 2025-01-28