Complaints and Appeals Procedure

This Procedure explains how anyone — including current clients, prospective clients, former clients, complainants from the public, and other interested parties — may submit a complaint or appeal relating to our certification activities, and how we handle, investigate, and resolve them. This Procedure is published in conformance with ISO/IEC 17021-1:2015 Clauses 9.7 (Complaints) and 9.8 (Appeals).

Complaints and appeals are handled confidentially. The identity of the complainant or appellant is protected throughout the process. We guarantee no retaliation against any person raising a genuine concern in good faith.

1. Definitions

• Complaint: An expression of dissatisfaction by any organisation or individual relating to the activities of TNV Global or to a certified client (where the complaint relates to the certified management system), where a response is explicitly or implicitly expected. This includes complaints about the conduct of audits, behaviour of auditors, certification decisions, customer service, fees, or any other aspect of TNV Global's operations.
• Appeal: A request by a TNV Global client for reconsideration of an adverse decision made by TNV Global affecting their certification — including refusal to certify, refusal to extend scope, suspension, withdrawal, reduction of scope, or refusal to restore certification. An appeal is made by the affected party regarding decisions about THEIR certification.
• Feedback: Non-formal comments, suggestions, or observations that do not require formal investigation. Feedback is logged and reviewed by management but does not follow the formal complaint procedure.
• Complainant / Appellant: The person, organisation, or interested party who has submitted a complaint or appeal.

2. Regulatory and Accreditation Basis

• ISO/IEC 17021-1:2015 Clause 9.7: Requires certification bodies to maintain a documented process to receive, evaluate, and decide on complaints, and to make this process publicly accessible.
• ISO/IEC 17021-1:2015 Clause 9.8: Requires certification bodies to have a documented appeals process for clients to challenge adverse certification decisions, with decisions made by persons independent of the original decision.
• UAF Accreditation Rules: Require accredited certification bodies to operate transparent complaints and appeals procedures and to report annually on volumes and outcomes.

3. Who Can Submit a Complaint or Appeal

3.1 Complaints

Complaints may be submitted by any person or organisation, including but not limited to:

• Current TNV Global clients
• Prospective clients (enquirers, applicants)
• Former TNV Global clients
• Employees of certified clients
• Customers, users, or other interested parties affected by certified clients' management systems
• Regulators, accreditation bodies, or other certification bodies
• Members of the public with a legitimate concern
• TNV Global personnel (internal whistleblowing — see also our Conflict of Interest Policy)

3.2 Appeals

Appeals may only be submitted by the client (or authorised representative of the client) against whom TNV Global has made an adverse certification decision. Third parties cannot appeal a certification decision affecting another organisation, although they may submit a complaint.

4. How to Submit a Complaint or Appeal

5. Information We Need

To investigate a complaint or appeal effectively, please provide:

• Your name and contact details (or note that you wish to be anonymous)
• Your relationship to TNV Global (client, former client, third party, etc.)
• The name of the certified client (if your complaint is about a client) or the certificate number
• A clear description of the issue — what happened, when, who was involved
• Any supporting evidence (emails, documents, photographs, witness names)
• What outcome you are seeking
• Whether you have raised the matter with TNV Global previously

Incomplete information will not result in rejection — we will request further details where needed.

6. Acknowledgement and Initial Assessment

6.1 Acknowledgement

All complaints and appeals are acknowledged in writing within 1 (one) business day of receipt. The acknowledgement:

• Confirms receipt and provides a reference number
• Outlines the next steps and indicative timeline
• Identifies the assigned investigator
• Requests any additional information needed

6.2 Initial Assessment

Within 5 business days of receipt, we conduct an initial assessment to determine:

• Whether the matter is a complaint, appeal, or feedback
• Whether it relates to TNV Global's activities or to a certified client's management system
• Whether it is within scope (relates to a certification matter)
• Whether further information is needed before investigation
• Who should handle the investigation (must be independent of the matter complained about)

Matters that are not within scope (e.g., complaints about events from more than 6 years ago, complaints already finally adjudicated, vexatious repeat complaints) may be closed with a written explanation.

7. Investigation

7.1 Investigator Independence

Investigations are conducted by TNV Global personnel who:

• Were not involved in the activity being complained about
• Have no commercial relationship affecting the matter
• Have appropriate competence (audit, technical, legal, or governance as required)
• For appeals, the investigator must NOT have participated in the original decision being appealed

7.2 Investigation Activities

The investigator may:

• Interview personnel involved (TNV Global staff, auditors, client representatives where relevant)
• Review documentation, audit working papers, and correspondence
• Request additional evidence from the complainant or appellant
• Consult independent technical experts where required
• Visit the client site if necessary and authorised

7.3 Investigation Timeline

Where additional time is required, we will inform the complainant or appellant in writing with the reason and revised timeline.

8. Decision and Communication

8.1 Decision

At the end of the investigation, the investigator issues a written decision setting out:

• The facts established by the investigation
• The findings (upheld, partially upheld, not upheld)
• The reasoning for the decision
• Any corrective or preventive action taken or planned by TNV Global
• Where applicable, any remedy offered (e.g., re-audit, fee adjustment, certificate amendment)
• Information about further escalation rights

8.2 Communication

The decision is communicated in writing to the complainant or appellant. Where the matter relates to a third party (e.g., a complaint about a certified client), the client is informed appropriately while maintaining the confidentiality of the complainant where requested.

8.3 Communication to Subject of Complaint

Where a complaint relates to a certified client's management system, the client is informed:

• That a complaint has been received (without disclosing the identity of the complainant where confidentiality is requested)
• Of the nature of the complaint, in summary form
• Of any investigation steps that affect the client (e.g., a special audit)
• Of the outcome of the investigation

9. Appeals Against TNV Global Decisions

Appeals are reviewed independently of the original decision.

9.1 Appellate Authority

Appeals are decided by an Appeal Panel comprising:

• An independent Chair (not involved in the original decision; usually a member of the Impartiality Committee)
• A technical expert with competence in the relevant ISO standard, who was NOT a member of the audit team
• A management representative from TNV Global, who was NOT involved in the original decision

9.2 Effect of Appeal During Process

Where an appeal is lodged against a suspension or withdrawal, the original decision remains in force during the appeal — i.e., the suspension/withdrawal stands until the appeal is determined. This is required by ISO/IEC 17021-1 to prevent the use of contested certification rights during the appeal.

Where the appeal is against a refusal to certify, the certificate is not issued during the appeal.

9.3 Outcomes

The Appeal Panel may:

• Uphold the original decision
• Reverse the original decision (e.g., lift a suspension, issue a certificate)
• Modify the original decision (e.g., reduce a withdrawal to suspension; reduce a scope reduction)
• Refer the matter back for further investigation

The Appeal Panel's decision is final within TNV Global. Where the appellant remains dissatisfied, they may escalate to UAF (see Section 11).

10. Special Audits

Where a complaint or appeal involves substantive concerns about a certified client's management system, TNV Global may conduct a Special Audit. The Special Audit:

• Is conducted with reasonable notice (typically 5 to 10 business days, less in emergency cases)
• Focuses on the specific issues raised
• May result in confirmation of conformity, identification of non-conformities, suspension, or withdrawal
• Is charged to the client where the audit confirms the complaint or identifies non-conformity
• Is at TNV Global's cost where the complaint is not substantiated

11. Escalation to UAF

Where you remain dissatisfied with the outcome of TNV Global's complaint or appeal handling, you may escalate directly to our accreditation body:

UAF has authority to investigate accredited certification body practices and require corrective action where accreditation rules have been breached. UAF's investigation is independent of TNV Global.

12. Confidentiality and Non-Retaliation

All complaints and appeals are handled in confidence:

• The identity of the complainant is not disclosed without their written consent, except where disclosure is required by law
• Investigation records are accessible only to authorised TNV Global personnel and (where appropriate) the Impartiality Committee and UAF auditors
• Complaints and appeals records are retained for 6 years after closure

Retaliation against any person for raising a genuine complaint or appeal in good faith is prohibited and is itself a serious breach of TNV Global policy.

13. Records and Statistics

TNV Global maintains records of all complaints and appeals including:

• Reference number, date received, complainant details (where provided)
• Nature of the complaint or appeal
• Investigation activities and timeline
• Decision and reasoning
• Corrective and preventive action taken
• Closure date and outcome

Anonymised, aggregated statistics on complaints and appeals are reported annually to:

• The Impartiality Committee
• Senior management
• UAF as part of accreditation oversight

14. Continual Improvement

Complaints and appeals are a valuable source of information for continual improvement. Trends identified are fed into:

• Auditor training and competency programmes
• Process improvement initiatives
• Management review inputs
• Risk register updates

15. Contact

Submit a complaint or appeal:

• Email: admin@tnvglobal.com (subject: "Complaint" or "Appeal")
• UK: +44 7877 901727 | India: +91 98380 70227
• Post: Complaints & Appeals Officer, TNV Global Limited, Sabichi House, 5 Wadsworth Road, Perivale, Greenford, UB6 7JD