1. Objective
Describe the methodology established by the CCC|ISCB Personnel Certification Body to resolve appeals and complaints from clients that fall within the field of certification activity.
2. Scope
This procedure applies to activities directly related to clients of the CCC|ISCB Personnel Certification Body, as a personnel certification body. It covers the certification process: application, evaluation / examinations, certification decision, suspension and withdrawal of certification.
3. Responsibilities
Responsibilities are described in MN-RH-01 Functions Manual. Appeals handling involves the Manager, the Technical Director and the Complaints and/or Appeals Committee. Complaints handling involves the Manager, the Administrative / Quality Director and the Complaints and/or Appeals Committee.
4. Definitions
- Appeal
- Request by the supplier of the conformity assessment object to the certification body to reconsider the decision it has made relating to that object.
- Complaint
- Expression of dissatisfaction, other than an appeal, made by a person or organization to the certification body, relating to the activities of that body, where a response is expected.
- Complainant
- Person, organization or their representative who expresses a complaint.
- Suggestion
- A proposal intended to correct or improve the way an activity is performed.
- Customer
- Organization or person that receives a product or service.
- Customer satisfaction
- Customer’s perception of the degree to which their requirements have been fulfilled.
- Feedback
- Opinions, comments and expressions of interest about the products or the complaints-handling process.
- Objective (complaints handling)
- Something that is sought or pursued in relation to complaints handling.
- Policy (complaints handling)
- Overall intentions and direction of an organization related to complaints handling, as formally expressed by top management.
- Process
- Set of interrelated or interacting activities that transform inputs into outputs.
5. Reference documents
- NTC-ISO/IEC 17024:2013 — General requirements for bodies operating certification of persons. Clauses 9.8 (appeals) and 9.9 (complaints).
- Resolution 0217 of 2014, Article 11 – item 13 — Legal requirement associated with the process.
- MN-RH-01 — Functions Manual.
6. General conditions — Complaints, claims and appeals policy
For CCC|ISCB, justice, equity, impartiality and transparency in the results of the evaluations and certifications it develops and grants are fundamental to the trust of applicants, candidates and certified persons. Therefore, the director of the certification body has established that:
- Any applicant, candidate or certified person who disagrees with the results of evaluations or with decisions of the certification process may file an appeal, claim or complaint.
- Procedures and mechanisms are defined for resolving, handling, managing information and responding to complaints, claims and appeals.
- Impartiality, independence, integrity and reliability are ensured in the reception and handling of appeals, claims or complaints, facilitating access for their submission.
- All personnel participating in the Complaints and Appeals Committee must be different from the personnel involved in the complaint and/or appeal, in order to guarantee impartiality and objectivity in handling and management.
7.1. Appeals
7.1.1 Objective, scope and responsible parties
- Objective: Define the strategies and activities for receiving, evaluating and making decisions regarding appeals.
- Scope: Certification process: application, evaluation / examinations, decision, suspension and withdrawal of certification.
- Responsible: Manager / Technical Director / Complaints and/or Appeals Committee.
- Regulatory requirement: Clause 9.8 (9.8.1 to 9.8.7) of NTC-ISO/IEC 17024:2013.
7.1.2 Appeals procedure
When a client (applicant, candidate and/or certified person) disagrees with decisions made by the CCC|ISCB Personnel Certification Body, they may file a duly substantiated appeal. Appeals may concern, among other matters, personal data or application information, decisions during the evaluation process (examinations), and the certifier’s decision after evaluation.
The person must complete form F-CAL-05 Corrective and Improvement Action, which must be filed immediately upon receipt of the notification of the decision. If the client does not file the appeal, it is understood that they accept the decision with no further appeal process.
7.1.2.1 Treatment of appeals
- Submission: The client submits the appeal in writing by completing F-CAL-07 Reception and Treatment of Complaints and/or Appeals, provided by the person who delivers the examination results.
- Referral and validation: The recipient reports and forwards the appeal to the Technical Director, who confirms the information with the client, validates that the appeal comes from that client and determines its validity.
- Registration: Once acceptance has been communicated, the appeal is registered with supporting information and an identification code in F-CAL-07.
- Acknowledgement: Receipt of each appeal must be acknowledged to the appellant within ten (10) days, stating whether it was accepted and, if not, the reasons.
- Investigation: The Manager initiates the investigation, analyses the grounds of the appeal, reviews relevant records, consults the user and presents the information to the Complaints and Appeals Committee.
- Committee decision: Committee members who are not involved in the cause(s) of the appeal review the findings, make decisions and document actions in F-CAL-07. Actions must not be discriminatory against the appellant.
- Notification and closure: A formal letter is issued to the appellant notifying completion of the process, the results and the decisions. The response time must not exceed thirty (30) calendar days. Records are retained in accordance with records control.
Deadlines — Appeals
| Stage | Maximum deadline |
|---|---|
| Acknowledgement to appellant | 10 days |
| Final response with decision | 30 calendar days |
7.2. Complaints
When a client/user is dissatisfied with the service provided by the CCC|ISCB Personnel Certification Body, they may file a complaint.
7.2.1 Objective, scope and responsible parties
- Objective: Define the strategies and activities for receiving, evaluating and making decisions regarding complaints.
- Scope: Certification process: application, evaluation / examinations, decision, suspension and withdrawal of certification.
- Responsible: Manager / Administrative Director / Complaints and/or Appeals Committee (with Quality Director involvement in management).
- Regulatory requirement: Clause 9.9 (9.9.1 to 9.9.10) of NTC-ISO/IEC 17024:2013.
7.2.2.1 Reception of the complaint
CCC|ISCB provides the following mechanisms to receive complaints:
- Telephone and/or email attention.
- A mailbox located in a visible place on the CCC|ISCB Personnel Certification Body website.
- In-person interview with the person in charge.
Any member of CCC|ISCB may receive client complaints and/or suggestions. Once communicated, the complaint is registered with supporting information and an identification code in F-CAL-07 and is directed to the Quality Director.
Receipt of each complaint must be acknowledged to the complainant within ten (10) days, stating whether it was accepted and, if not, the reasons. Complaints must be handled promptly according to their urgency; the initial record should, as far as possible, identify the solution sought by the complainant and any other information needed for effective handling.
7.2.2.2 Initial assessment
After receipt, each complaint is initially assessed against criteria such as severity, safety implications, complexity, impact, and the need and possibility of immediate action.
7.2.2.3 Investigation
Every reasonable effort must be made to investigate the relevant circumstances and information. The level of investigation must be proportionate to the frequency and severity of the complaint. Each complaint is handled equitably, objectively and impartially. The Quality Director defines an interdisciplinary support team; activities are recorded in the complaints form and, if nonconformities arise, the guidelines of F-CAL-05 Corrective and Improvement Action are followed.
7.2.2.4 Communication of the decision
The decision or any action taken regarding the complaint that is relevant to the complainant or the personnel involved must be communicated to them as soon as it is taken.
7.2.2.5 Complaint closure
- If the complainant accepts the decision or proposed action, it is carried out and recorded.
- If the complainant rejects the proposed decision or action, the complaint remains open; this is recorded and the complainant is informed of available internal and external recourse alternatives.
- The organization monitors progress until reasonable recourse alternatives are exhausted or the complainant is satisfied.
7.3. Suggestions
Any suggestions and/or requests expressed by users verbally, by email, by telephone or in satisfaction surveys are reviewed by the Technical Director, who determines whether it is appropriate to document them in F-CAL-07 and whether treatment under F-CAL-05 Corrective and Improvement Action is required.
7.4. Follow-up, analysis and audit
Follow-up
The complaint or appeal must be followed throughout the entire process, from initial receipt until the complainant is satisfied or a final decision has been made. A status update must be available to the complainant upon request.
7.4.1 Analysis and evaluation
All complaints and/or appeals must be classified and analysed to identify systematic, recurring and one-off issues and trends, and to help eliminate root causes.
7.4.2 Process audit
CCC|ISCB regularly carries out or plans audits to evaluate the body’s performance in handling complaints and/or appeals. The audit provides information on process conformity with the procedures and on suitability to achieve the objectives. It may be performed as part of the quality management system audit; results are considered in management review. It must be carried out by competent personnel independent of the processes being audited.
7.5. User satisfaction
To measure user satisfaction and understand expectations, F-CAL-10 Customer Satisfaction Survey is used and provided to applicants at the start of the certification process. It may be placed in the suggestion box or submitted at reception. Observations are considered to improve service; surveys are tabulated and analysed for the customer-satisfaction indicator.
The survey is applied randomly to users and must cover at least 20% of examinations. An annual analysis of the results is performed.
8. Records
- F-CAL-10 — Customer Satisfaction Survey
- F-CAL-05 — Corrective and Improvement Action
- F-CAL-07 — Reception and Treatment of Complaints and/or Appeals
Annexes to procedure P-CAL-05 do not apply. The full controlled document, including the process PDCA tables, is available in the official PDF.