COMPLAINTS, DISPUTES AND APPEALS
- Version: 1.0.0
- Prepared by: Guillaume Boinnard
- Approved by: Shivraj Sharma
- Approval Date: 2026-09-17
Introduction
This procedure defines how SustainCERT receives, evaluates, investigates, decides, and records complaints, disputes, and appeals relating to its Validation and Verification activities and undertakes appropriate corrective actions.
The handling of complaints, disputes and appeals shall be confidential, impartial and non-discriminatory.
Scope
A6.4 (2025) Section 9, Section 16.1, 16.2 & 16.3
ISO 14065 (2020) Section 9.9 & 9.10
ISO 17029 (2019) Section 9.9 & 9.10
Definitions
Complaint: a formal expression of dissatisfaction regarding SustainCERT's or an outsourced entity's VV performance.
Dispute: a special type of Complaint that can cover a wide spectrum of concerns such as challenge, conflict and any other similar term that expresses dissatisfaction and/or disagreement between SustainCERT and a client concerning VV activities, excluding decisions subject to appeal.
Appeal: a request by a client for formal review of a decision made by SustainCERT concerning its VV activities. Therefore, an appeal can only be made after a Final decision has been taken, such as issuance of validation/ verification opinion and/or corrective actions resulting from a complaint.
Responsibilities
The Q&C Team - coordinates complaints, disputes and appeals and maintains the applicable records. Handles Complaints/ Disputes
Independent Panel - Responsibility for treating Appeals.
In the specific case when there is a compliant/ dispute against any Q&C member, CEO shall replace the Quality & Compliance team in handling the compliant/ dispute.
Procedure
1. SustainCERT's clients shall be made aware of their right to Complaint, Dispute and Appeal ahead of the start of the Planning phase of any VV activities. These may include but are not limited to:
- the Kickoff call of any VV activities;
- by email from the Team Leader;
- through the legally enforceable contract or Master Service Agreement.
- by directing client to the SustainCERT website, Appeal, Dispute and Complaints section; or
- any means that help identify that the client is aware of its right
2. Where the submission does not meet the definition of a complaint, dispute, or appeal, SustainCERT shall determine whether the submission should instead be handled as a complaint, appeal, complaint, or other controlled process and inform the submitting party accordingly.
Complaints process
1. Upon receiving a Complaint, SustainCERT shall confirm receipt of the email and inform the complainant that their information, along with the subject of the complaint, will remain confidential; all elements related to the complaint, including any actions taken, shall be recorded in a dedicated directory.
2. Within 10 working days of confirming receipt, SustainCERT shall determine if it has sufficient information for evaluating the validity of the complaint to decide on appropriate action or request further information from the Complainant. The criteria for determining the validity of complaints involve assessing whether the complaint is:
- Specific;
- supported by evidence; and
- relevant to SustainCERT's scope of work.
3. Within 20 working days of receiving sufficient information, SustainCERT shall
- determine if the Complaint will be processed as a Grievance
- provide a contact person during the review of the Complaint
- provide details of the staff engaged in reviewing the Complaint, confirming that they are different from those who carried out the VV activities; In cases where resources do not permit this, any alternative approach selected shall not compromise impartiality; and
- determine the indicative timelines and steps involved in reviewing the Complaint.
4. SustainCERT shall review the Complaint according to the indicative timeline and, in case of delay, promptly inform the Complainant.
5. Upon conclusion of a Complaint, take any necessary corrective actions and share the outcome of the investigation with the Complainant (investigation report, progress report etc.). This procedure ensures that the submission, investigation, and decision on a complaint do not result in any discriminatory action against the Complainant.
6. Upon any prompt from SustainCERT for any actions from the Complainant, When the Complainant has 20 days to respond else, SustainCERT reserves the right to close the Complaint.
7. The Quality & Compliance Team shall keep a record of all Complaints and resulting actions to be made available for internal audits and management reviews to ensure appropriate actions are taken.
Disputes process
1. The criteria for determining the validity of complaints involve assessing whether the complaint is:
- it is raised by a SustainCERT disputant or its authorized representative;
- it relates to a specific Validation or Verification/Certification engagement or activity performed by SustainCERT;
- it concerns a matter pertaining to the conduct, interpretation, application or administration of the VV activity;
- there is an identifiable disagreement between the disputant and SustainCERT;
- the matter is not a request for formal review of a SustainCERT decision that is subject to the Appeals process; and
- sufficient information is provided, or can reasonably be obtained, to identify and investigate the matter.
Appeals process
1. SustainCERT shall provide an access point on its website for any clients to make an appeal. SustainCERT shall provide a controlled Template to that effect.
2. Appeals will be handled by the Independent Appeal Panel. The Independent Panel investigating an appeal shall be independent from the VV activities, technical review or final decision concerned.
3. Within 10 working days of receiving an Appeal (after confirming receipt), SustainCERT shall form a suitable Independent Appeal Panel of at least 2 persons, and provide an initial response to the appellant determining if the Appeal criteria have been met. This ensures that the submission, investigation, and decision on appeals do not result in any discriminatory action against the appellant. SustainCERT shall safeguard the confidentiality of appellants and the subjects of the appeal.
- If the Appeal criteria are deemed to have not been met, an explanation will be provided to the appellant why the Appeal is not being progressed (SustainCERT may provide an additional opportunity to supply further information if the criteria could be met). The decision on whether to progress an Appeal is final.
- If/when criteria have been met, SustainCERT will start the Appeal and:
1. Provide a contact person during the Appeal
2. Provide details of the staff engaged in reviewing the Appeal, confirming that they are different from those who took the decision
3. Provide an outline of the proposed actions and an indicative timeline of no more than 1 month from the date the Appeal starts. If delays are expected, these will be communicated in advance.
4. Upon investigating the appeal, if the findings indicate a non-conformity, appropriate corrections and corrective actions will be taken to address the gaps in the system, particularly if the investigation reveals any system deficiencies
5. Upon conclusion of the Appeal, SustainCERT will share the decision made by the independent appeal panel with the appellant (A report includes information or notice of the final decision, such as an Appeal Report, Investigation Report, etc.)
6. The Quality & Compliance Team shall keep a record of all Appeals and resulting actions to be made available for internal audits and management reviews to ensure appropriate actions are taken.
7. In cases where the Project Representative is not satisfied with the Appeal decision, SustainCERT shall inform the appellant that they have the option of making a complaint to the program/scheme in which SC is recognised under the ISO track (such as Verra, Gold Standard or the Global Carbon Council etc.), or to the Supervisory Body of UNFCCC under the Article 6.4 track.
Templates, records, and relevant links
Complaints, Disputes and Appeals Tracker
Complaint, Dispute, Appeal Record
Process for a Complaint
Contact Person: Head of Quality and Compliance - compliance@sustain-cert.com
Upon receiving a Complaint, SustainCERT will:
- confirm receipt of the email and inform the complainant that their information, along with the subject of the complaint, will remain confidential.
- within 10 days of confirming receipt, determine if it has sufficient information for evaluating the validity of the complaint to decide on appropriate action or request further information from the Complainant. The criteria for determining the validity of complaints involve assessing whether the complaint is specific, supported by evidence, and relevant to SustainCERT's scope of work.
- within 20 days of receiving sufficient information:
- determine if the Complaint will be processed as a Grievance
- provide a contact person during the review of the Complaint
- provide details of the staff engaged in reviewing the Complaint, confirming that they are different to those who took the decision; and
- determine the indicative timelines and steps involved in reviewing the Complaint
- review the Complaint according to the indicative timeline and, in case of delay, promptly inform the Complainant.
- upon conclusion of a Complaint, take any necessary corrective actions and share the outcome of the investigation with the Complainant (investigation report,progress report etc.)
- upon informing the complainant, SustainCERT ensures that all complaints, including any actions taken, are tracked and recorded in its Complaints & Appeals tracker.
If the Complainant is nonresponsive for more than 20 days during an investigation into a Complaint, SustainCert reserves the right to close the Complaint.
The Quality & Compliance Team will keep a record of all Complaints and resulting actions to be made available for internal audits and management reviews.
Process for an Appeal
Contact Person: Head of Quality and Compliance - compliance@sustain-cert.com
To appeal a decision, the Project Representative must fill out an Appeals form and send to compliance@sustain-cert.com. Appeals will be handled by the independent appeal panel.
- Within 10 working days of receiving an Appeal, SustainCERT will form a suitable appeals panel of at least 2 persons, and provide an initial response to the Project Representative determining if the Appeal criteria have been met. This ensures that the submission, investigation, and decision on appeals do not result in any discriminatory action against the appellant. SustainCERT will safeguard the confidentiality of appellants and the subjects of the appeal.
- If the Appeal criteria are deemed to have not been met, an explanation will be provided to the Project Representative why the Appeal is not being progressed (SustainCERT may provide an additional opportunity to supply for further information if the criteria could be met). The decision on whether to progress an Appeal is final.
- If/when criteria have been met, SustainCERT will start the Appeal and:
- Provide a contact person during the Appeal
- Provide details of the staff engaged in reviewing the Appeal, confirming that they are different to those who took the decision
- Provide an outline of the proposed actions and an indicative timeline of no more than 1 month from the date the Appeal starts. If delays are expected, these will be communicated in advance. If the appeals panel is meeting, the client representative will receive an invite and may attend this meeting.
- Upon investigating the appeal, if the findings indicate a non-conformity, appropriate corrections and corrective actions will be taken to address the gaps in the system, particularly if the investigation reveals any system deficiencies
- Upon conclusion of the Appeal, SustainCERT will share the decision made by the independent appeal panel with the Project Representative (A report includes information or notice of the final decision, such as an Appeal Report, Investigation Report, etc.)
- Appeals received and the actions taken will be recorded in the Appeal Tracker.
In cases where the Project Representative is not satisfied with the Appeal decision, SustainCERT will inform the Project Representative that it has the option of making a complaint to the program/ scheme in which SC is recognised under the ISO track (such as Verra, Gold Standard or the Global Carbon Council), or The Supervisory Body of the UNFCCC under the Article 6.4 track.