Complaint and Appeal Policy

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.

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 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 re-evaluation requests addressed to PECB about (prior to an appeal):

• Exam result re-validation
• Re-evaluation of the certification decisions

3. The appeals addressed to PECB about:

• reconsideration of decisions made during the certification/certificate program process, including application, assessment, certification and recertification

3. References

This policy is mainly based on clause 9.8 (Appeals against decisions on certification), 9.9 (Complaints) of ISO/IEC 17024:2026, 5.8 (Complaints) and 5.9 (Appeals) of ASTM E2659-24.

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, , where a response is expected.” (ISO/IEC 17024:2026, clause 3.27). These types of complaints exclude complaints against decisions related to the certification process (considered as appeals) or complaints related to alleged legal, financial, or regulatory issues, which will be handled by proper legal authorities.
• “Written request, other than an appeal, made to a certificate issuer [PECB] for corrective action relating to the activities of that issuer”. (ASTM E2659-24, 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 their desired certification status.” (ISO/IEC 17024:2026, clause 3.26)
• “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 E2659-24, 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 17024:2026, clause 3.1)

5. General Rules for Filing a Complaint or an Appeal

General rules for filing a complaint or an appeal are as follows:

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 will be processed if it is done anonymously or under a pseudonym. Complainants must provide personal information, as described below, under the instruction’s sections for filing complaints. If personal information is not disclosed with PECB or if PECB (or its designated representative) is not able to verify the complainant’s identity, the complaint will be closed, and instead an internal investigation is carried out, with no obligation to share the internal report with the complainant or appellant or with the other party. Identity verification mainly applies to complainants, especially those who are not already known to PECB or are external to the organization. For appellants, since only the person affected by the decision can file an appeal, PECB already has their information on record, and further verification is usually not needed.
7. If applicable, all complaints need to be shown to the individuals complaining against so that they can have an opportunity to respond. If the complainant does not give 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 information related to the complaint/appeal process shall be treated as strictly confidential, including the complaint/appeal submission, supporting documents, communications exchanged during the process, reports, findings, materials, investigation records, and the final decision issued by PECB. Such information and materials are PECB’s confidential property and shall not be disclosed to any third party without prior written authorization from PECB, except where disclosure is required by law or necessary to investigate and resolve the complaint or appeal. Materials submitted to PECB in connection with a complaint or appeal will not be returned unless previously agreed by the Complainant/Appellant or Respondent and PECB. All parties involved agree to maintain confidentiality to preserve the integrity, impartiality, and fairness of the review.

6. Complaints

6.1 Procedure Overview

Complaints may be submitted either by email or directly through the PECB Ticketing System. Complaints submitted through the PECB Ticketing System, together with all relevant information, will be recorded and handled within the corresponding service ticket. Complaints received by email will be retained and handled through the relevant email correspondence.

Only written complaints will be formally recorded and processed. Complaints initially communicated verbally must be converted into written form before they can be reviewed.

Note: When submitting a ticket, it is important that the category “File a 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, and email address, 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.

An automatic notice of acknowledgment is sent by PECB within 24 hours following the complaint reception through Ticketing System, or 3 calendar days for the complaint reception through email.

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

Complaints may be submitted or communicated through any of the following:

• the PECB Ticketing System
• E-mail

To submit a complaint directly through the PECB Ticketing System one can follow the steps below:

1. Go to https://pecb.com
2. Click “About” from top menu then click “Help Center” from the drop-down menu
3. Scroll down and click “Get Help Today”
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, country/region), write in the message box the description of the complaint, the department and staff member involved, if applicable, and the date.

7. Exam Result Re-Validation And Re-Evaluation Of The Certification Decisions

7.1 Process 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:

• Exam results re-validation: Candidates that disagree with the results of the exam and require additional information regarding their exam.
• Re-evaluation of the certification decision: Candidates that disagree with the decisions related to rejection of an application, the downgrade, suspension and revocation of the certificates.

7.2 Instructions for Filing Re-evaluation Requests

1. Go to https://pecb.com
2. Click “About” from top menu then click “Help Center” from the drop-down menu
3. Scroll down and click “Get Help Today”
4. From a drop-down menu under “Topic,” choose “File an exam result re-validation”, 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, and country/region), 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

Any appeal concerning a PECB decision related to a certification process or certificate program must first go through the applicable re-evaluation process. If the individual is still dissatisfied with the outcome, the case may proceed to PECB’s formal appeal process.

All appeals relating to the certification process or certificate program submitted to PECB are reviewed through a two-stage process. First, the appeal is 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 appeal is being raised.

If the individuals filing the appeal are not satisfied with the review and the decision made, they may request that the appeal be referred to the Appeal Board for further review. The review will continue under the same appeal.

Subsequently, PECB appoints an Appeal Board which oversees the appeal process and is accountable for safeguarding impartiality regarding the appeal.

8.2 Internal Review of the Appeal

If candidates still do not agree with the re-evaluated decision from PECB, they should submit a certification/certificate program appeal in writing through PECB Ticketing System or via email, 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, e-mail address, and country/region) of the appellant, the appellant’s personal opinion about the assessment, and the reasons for disapproval of the decision reached during the initial decision and re-evaluation, as well as the settlement being sought.

An automatic notice of acknowledgment is sent by PECB within 24 hours following the appeal reception through Ticketing System, or 3 calendar days for the appeal reception through email. 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 appellant’s explanation and provide a written response, which includes clear explanation or a repeated explanation of the assessment decision following a re-evaluation of the evidence.

8.3 Instructions for Filing an Appeal

Appeals may be submitted or communicated through any of the following:

• the PECB Ticketing System
• Email

To submit an appeal directly through the PECB Ticketing System one can follow the steps below: Go to https://pecb.com

1. Click “About” from top menu then click “Help Center” from the drop-down menu
2. Scroll down and click “Get Help Today”
3. From a drop-down menu under “Topic,” choose “File a Certification/Certificate program Appeal”
4. Complete all the fields and submit the form (click “Submit”)

Information to include in your certification/certificate program appeal:

Besides personal information (full name, email address, and country/region), 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 appeal, they can, within 30 days of receiving PECB’s reply, request that the appeal proceeds to the next stage to be treated by the Appeal Board (see 8.4 Second Stage 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 Second Stage to be treated by the Appeal Board

Where an appellant disagrees with the certification or certificate program decisions of both the re-evaluation stage and the first-stage appeal, they may request their appeal proceeds to a second stage, explaining the reasons why their disagreement should be handled by an 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 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.

Appeals are closed by PECB when the appellant receives the Appeal Board’s final decision, disregarding if the appellant agrees or not with the final decision.

Note: PECB takes the confidentiality, security, and lawful handling of all data collected during the complaints and appeals process seriously. All personal data is processed and stored in compliance with applicable data protection regulations, including the General Data Protection Regulation (GDPR). Access to such data is strictly limited to authorized personnel, and retention schedules are in place to ensure data is not stored longer than necessary. All tickets are retained for a period of three years.

8.4.1 Instructions for Filing a Second Stage Appeal

Steps to be followed by the appellant:

1. The second stage 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 stage appeal should include a US $200 Appeal Fee, 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 stage appeal, besides the personal information (full name, e-mail address, and country/region) 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 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 stage 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 stage 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 stage appeals, including actions taken, will be tracked and recorded by PECB.