ANNEX XIII

Protocol on case handling for the European Consumer Centres Network (ECC-Net) agreed on the ECC-Net Meeting 15 November 2011.

The European Consumer Centres Network (ECC-Net),

HAVING REGARD to the overall objective of ECC-Net to provide a full and centralized service to consumers from information to dispute resolution to enable them to take full advantage of the internal market, without risk to their health, safety and economic interests,

ACKNOWLEDGING that at the first Cooperation Day, held in Brussels in 2004, it was agreed that a case handling protocol should be drawn up to facilitate case handling within ECC-Net,

NOTING that since then ECC-Net has consolidated as a network and expanded to all EU Member States, Iceland and Norway,

TAKING INTO ACCOUNT the introduction of the ECC-Net IT tool, which has been effectively used since January 2007, facilitating case handling and sharing of information, as well as the gathering of more reliable statistics on cross-border consumer complaints across Europe,

RECALLING that the question of updating the case handling protocol was raised at Cooperation Day

2008, held in Paris,

GIVING EFFECT to the decision adopted at Cooperation Day 2009, held in Stockholm, to set up a working group for the purpose of facilitating the update of the protocol,

RECOGNISING that the level of communication and cooperation among the Network has been enhanced by the ECC-Net Forum, launched in February 2010,

HAVE AGREED TO THE FOLLOWING:

Article 1

Objective

  1. This protocol is aimed at fostering cooperation and facilitating case handling of cross-border consumer complaints by providing greater transparency and predictability when sharing cases.
  2. The protocol is intended to be responsive to consumers’ interests and the needs of those handling their complaints, allowing ECC-Net members the opportunity to actively contribute to its adoption and future review.
  3. The protocol does not cover all of the procedures linked to case handling, but the essential working relationship between the centres involved in the sharing of a case and their framework of cooperation and mutual assistance.

Article 2

Definitions

For the purposes of this protocol:

  1. The definitions of “consumer” and “trader” vary from country to country and will be assessed in the first place by the Consumer ECC according to its own legislation and case law. In any case, the official location of the trader or its affiliate must be in the EU, Norway or Iceland. Likewise, the consumer must have his/her place of residence in another country within the EU, Norway or Iceland.
  2. “Consumer ECC” means the Centre where the consumer is based.
  3. “Trader ECC” means the Centre where the trader is based.
  4. “Simple Complaint” means a statement of dissatisfaction by a consumer concerning a crossborder transaction with a trader based in another EU/EEA country, which requires the involvement of no more than one ECC.
  5. “Normal Complaint” means a statement of dissatisfaction by a consumer concerning a crossborder transaction with a trader in another EU/EEA country which requires follow-up and is shared with another ECC.
  6. “Dispute” means a referral of a consumer complaint to an out-of court body notified by the EU Commission.
  7. “Alternative Dispute Resolution” (hereinafter “ADR”) means a process or scheme aimed at settling disputes without litigation.
  8. “ECC-Net IT tool” (hereinafter “the IT tool”) is a web based application used to record queries and handle cases.
  9. “ECC-Net PDF complaint form” (hereinafter “the PDF complaint form”) is an online facility,available on each ECC website, which allows consumer complaints to be submitted online andposted in the IT tool.
  10. “ECC Forum” (hereinafter “the Forum”) is a web based application aimed at facilitatingcooperation and the exchange of information across ECC-Net which is not related to a specific casehandled through the IT tool.

PART II

CASE HANDLING

Article 3

Consumer ECC’s preliminary assessment

  1. The Consumer ECC must first check the merits of a case by carrying out an adequate preliminaryassessment to ensure that the case falls under ECC-Net’s remit.
  2. Before deciding whether to share a case with another ECC, the following conditions must befulfilled:
  3. The consumer has been provided with information about the ECCNet’s privacy statement.
  4. The consumer already contacted the trader in writing in order to resolve the matter. If there areobjective reasons1) why the trader could not be reached by the consumer, the ECC may share thecase without fulfilment of this condition as an exception.

1) Objective reasons are e.g. illiteracy or other physical or psychological challenges of the

consumer, but not the lack of consumer’s willingness to assert their claims on their own.

Article 4

Documentation

  1. When sharing a case, relevant documentation to support the claim must be attached, such aswritten complaint to the trader, receipt/order or booking confirmation and equivalent proof ofpayment.
  2. The documentation or a summary thereof must be in a language the Trader ECC understands toenable the Trader ECC to assess the case.
  3. When uploading documentation in the IT tool, the Consumer ECC will enclose only documents
  • necessary for handling the case by the ECC Trader,
  • in a reasonable form, arranged in order (chronological or by author) and withoutrepetitions,
  • with brief explanation or a title of relevant documents, if appropriatein order to facilitate the rapid assessment of cases by the Trader ECC.
  1. When a consumer uploads documentation using the PDF complaint form, the Consumer ECCmust ensure that the Trader ECC can easily evaluate the documentation. This may involveextracting the relevant parts and uploading a separate document.
  2. Each ECC will use the pdf format to facilitate the opening of the documents uploaded in the ITtool.

Article 5

Problem description

  1. The problem description shall be written by the Consumer ECC in English, unless anotherlanguage is agreed between the ECCs sharing the complaint.
  2. To avoid difficulties with automated translations, the Consumer ECC shall type or amend theproblem description, when necessary, before sharing the case.
  3. The problem description should be written concisely and to the point including only relevantinformation and aimed at facilitating the Trader ECC in their assessment of the case.
  4. The Consumer ECC must specify the reasonable solution sought in section of the It-tool devotedto solutions management.
  5. Where relevant, the ECC Consumer must include its opinion which country’s law applies. If thelaw of the Consumer ECC is applicable, further information on the relevant substantive provisionsshall be provided in the in the problem description.
  6. When a new case is received via the PDF complaint form, the Consumer ECC is required, beforesharing the case, to ensure that the problem description meets the criteria set out in paragraphs 1 to 5 of this article, amending the problem description if necessary.

Article 6

Acceptance of cases by the Trader ECC

1.Cases submitted for sharing in the IT tool should generally be accepted by the Trader ECC within7 working days by a certain case handler.

2.In order to avoid unnecessary delays, the Trader ECC should take a first look at the case beforeaccepting it, since there may be instances in which the Trader ECC can supply readily availableinformation to the Consumer ECC, or seek additional information or documentation from the latterto start handling the case.

3.As an exception, the Trader ECC may reject a submission for sharing a case in the followingsituations:

  1. The information entered in the IT tool is clearly insufficient to permit an adequateassessment of the case.
  2. The case has been submitted to the wrong Trader ECC.
  3. The ECC obviously is not competent.

4.If a case is rejected, the Trader ECC is required to indicate the rationale for its decision in therefusal box.

A case must never be rejected based on a legal assessment. After accepting a case, however, thesolution proposed can be “claim unfounded”.

A case must never be rejected based on a negative experience with the same trader in the past.

Article 7

Handling

  1. On accepting a case, the Trader ECC should start handling the case as soon as possible and, atthe latest, within 10 working days. In indicated period the ECC Trader is obliged
  2. to contact the trader or
  3. to refer the case to a competent body or
  4. to propose a solution or
  5. to seek – if not already done before - additional information or documentation from theConsumer ECC

As an exception, if the Trader ECC cannot temporarily meet this deadline, the Consumer ECC shouldbe informed as soon as possible.

  1. All significant developments in the case in particular new documentation uploaded in the IT tool,must be notified to the relevant case handler, when necessary, using the IT tool’s commentsection.
  2. Unless the Trader ECC provides the Consumer ECC with sufficient reason not to observe thisprovision, the Consumer ECC may request an update from the Trader ECC after a month withoutany comments from the latter.
  3. To ensure the efficient functioning of the Network, comments received from colleagues shouldbe read within 5 working days. Where relevant, comments should be replied within this deadline.
  4. As an exception, the Consumer ECC and the Trader ECC are entitled to decide jointly onprolongation the time limits, notifying reason on the It-tool comment section.
  5. The Consumer ECC is responsible for keeping the consumer updated and should at no pointdisclose the contact details of the Trader ECC’s case handler.
  6. Whilst the sharing of cases is aimed at fostering cooperation in the resolution of complaints, theConsumer ECC should ultimately respect the course of action suggested by the Trader ECC.

Article 8

Solution management

  1. The Trader ECC should propose a solution as soon as an amicable solution is most likely.
  2. If a trader fails to respond or appears not to be willing to reach an amicable settlement, theTrader ECC may, at its discretion, propose closing the case.
  3. If a trader goes bankrupt, the Trader ECC shall where possible inform the Consumer ECC of therelevant authority to contact and how a bankruptcy procedure evolves.
  4. In cases where it becomes apparent that a scam has occurred the Trader ECC shall provide theConsumer ECC with advice on how the consumer may pursue the case further (e.g. report to thepolice) and close the case. Furthermore the Trader ECC or the Consumer ECC should inform theresponsible enforcement body.
  5. Whenever a solution is proposed, the Trader ECC must also send a comment to the case handlerat the Consumer ECC to call his/her attention to the solution.
  6. If the consumer confirms that the solution has not been implemented, the Consumer ECC canreject the solution. A new solution can be proposed afterwards by the Trader ECC.
  7. If a case can be transferred to ADR in the country of the trader, the Trader ECC will inform theConsumer ECC of all relevant details of the case handling procedure of the ADR. If the trader ECCwould like to refer the complaint to a not notified body it should safeguard its impartiality and givereasons. If the consumer accepts the ADR procedure, the Trader ECC will propose the transfer toADR as a solution, and the Consumer ECC will turn the case into a dispute. Whilst the case ispending with the ADR body, the Trader ECC will assist the Consumer ECC with updates.
  8. If a case can be transferred to ADR in the consumer’s home country, the Consumer ECC must askthe Trader ECC’s permission to handle the case itself. If the Trader ECC accepts such handling, theTrader ECC will then propose this solution (otherwise the case cannot be turned into a dispute).

Article 9

Closure of cases

  1. If an agreement between a consumer and a trader has been found, the Consumer ECC should,before closing the case in the IT tool, seek a confirmation from the consumer that the agreedmeasure has been implemented.
  2. If it is not possible to immediately establish whether the trader has actually complied with theproposed solution, the Consumer ECC should let the Trader ECC know that closure of the case ispending positive confirmation from the consumer.
  3. If the consumer fails to respond, a case can be closed after notifying the consumer of this.
  4. The Trader ECC should indicate the value of the settlement in the same currency given in thesolution management. If possible the value should be indicated in Euro using the conversion tool ofthe European Central Bank.
  5. Before closing a dispute, the Trader ECC must send a comment to the case handler at theConsumer ECC to call his/her attention to the outcome.
  6. If the Normal Complaint or Dispute has been handled at Consumer ECC side, the Consumer ECCshould post a comment addressed to the Trader ECC regarding the outcome before closing thecase.

Article 10

The protocol on case handling for the European Centres Network (EEC-Net) enters into force as

from 1 January 2012.

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