China Environmental United Certification Center Co., Ltd
Management System Document
Procedure for Handling Complaints, Disputes and Appeals
Document No. CEC-3011C
Version C/1.2
Prepared by DU Wei
Reviewed by
Approved by LIU Qingzhi
Distribution No.
Controlled State
20/07/2007 published, 20/09/2016 revised, 20/09/2016 Implemented
China Environmental United Certification Center Co., Ltd.
Procedure for Handling Complaints, Disputes and Appeals CEC-3011C-C/1.1
Procedure for Handling Complaints, Disputes and Appeals
1. Management Responsibilities
1.1 CIDivision is responsible for the accepting appeals, complaints and disputes, confirming the their validity reporting the handling results to related parties, and archiving of all relevant documents and records. After be approved by Quality Manager, CIDivision is also responsible for making the procedure publicly available to clients upon the request or if a appeal, complaint and dispute occurs.CEC shall safeguard the confidentiality of the appellants,complainants and disputantsand the subjects of theappeals, complaints and disputes.
1.2 The CDM Director is responsible for organizing the handling of the appeals, complaints and disputes, proposing the decisions of the handling of complaints and disputes, setting up correction and prevention measures and organizing the implementation.
1.3 The CDM quality manager is responsible for approving the decision of handling the complaints and disputes, monitoring the implementation of correction and prevention measures for the appeals, complaints and disputes, reporting the handling outcome to the General Manager if necessary.
1.4 The appeals handling panel is responsible for organizing the handling process, making decisions, and monitoring the implementation of correction and prevention measures.
1.5 The General Manager is informed the outcome of appeals, complains and disputes and makes decisions of improvement.
1.6 The Impartiality Committee is responsible for supervising the outcome of the complaints, disputes and appeals.
1.7 The participants of handling appeals, complaints and disputes should keep confidential of all the related information in order to protect the appellant and complainant.
1.8 Appeals Handling Panel members engaged in the handling process of appeals should be composed by 2 impartiality committee members, and the impartiality committee can indicate 1 member from CDM department if necessary, who come from CDM department should be independent of the validation and/or verification and certification activities which involved in appeal. And the committee member should be the leader of the panel and charge of making final decision. The appeals handling panel is a temporary institution.
2. Management Procedure
2.1Acceptance of appeals, complaints and disputes
(1)CIDivisionis responsible to make the “Working Processfor handling Appeals, Complaints and Disputes”( CEC-5005C ) publicly on the website to make public relevant procedures and methods of making appeals, complaints and disputes.
(2)The complaints, disputes and appeals will be accepted and recorded by CIDivision; the “Acceptance Notice of Appeals, Complaints and Disputes” shall be filled.
(3)CIDivision will decide whether to accept or not within 7 days after receiving the appeals, complaints and disputes, and will initiate investigation and determine necessary actions;
(4)CIDivision will report to CDM Director after making decisions on appeals, complaints and disputes.
(5)If the appeals, complaints and disputes are anonymous, investigation and evaluation should be taken at first. If the appeals, complaints and disputes are reasonable, they will be handled according to the following process. Or else, they will be passed.
2.2 Handling of complaints and disputes
(1)CDM Director is responsible for organizing the handling of complains and disputes. If it is essential, relevant measures should be taken to get reasonable judgment, for example: witness meeting, on-site investigation, and consulting to experts, finishing the investigation report of complaint orDispute.
(2)Persons involved in the handling process of complaints and disputes shall keep confidential of all information related to the appellant and complainant and other related information;
(3)CDM Director is responsible to make decisions on the handling of complaints and disputes, and report to CDM quality manager for approve.
(4)CDM deputy Director is responsible to set up correction and prevention measures, which will be implemented under the monitor of CDM quality manager.
(5) CIDivision will deliver the final decision of handling to appellant and complainant.
(6)If it takes a long time to handle the complaints and disputes, CIDivision will deliver the handling process to appellant and complainant by reasonable methods, such as telephone, email, face-to-face meeting and so on.
(7) CIDivision will keep record of the whole process of acceptance, investigation and actions for handling complaints and disputes.
2.3Handling of appeals
(1)The leader of appeal handling panel is responsible for organizing the handling of appeals. If it is essential, relevant measures should be taken to get reasonable judgment, for example: witness meeting, on-site investigation, and consulting to experts, finishing the investigation report of appeal.
(2)According to investigation results, appeals handling panel will confirm the validity of the appeals, make decision to deal with it and monitor the implementation of correction and precaution. If non-conformities are found in the investigation, essential methods should be taken to analyze the reasons and set up accretion/precaution measures. If the non-conformity is caused by the weak point rooted in quality management system, necessary measures for correction should be taken to meet the gap.
(3)CIDivision shall notify relevant parties in written form, which has lawful restrains. Further different opinion from the appellant could be appealed to the Impartiality Committee and the EB.
(4)Decision shall be made within 90 working days from the date of acceptance of the appeal by CIDivision. Any exceptional case shall be submitted to the Impartiality Committee for final decision. Any delay shall be approved by the CDM quality manager and to be informed to the parties concerned at least 10 working days before the deadline of 90 working days.
(5)If it takes a long time to handle the appeals, CIDivision will deliver the handling process to appellant and complainant by reasonable methods, such as telephone, email, face-to-face meeting and so on.
(6)The submission, investigation and decision on appeal shall do not result in any discriminatory actions against the other party;
(7)CIDivision will keep record of the whole process of acceptance, investigation and actions for handling appeals.
3.4Record
CIDivision shall record and archive all information related to actions undertaken in response to appeals, complaints and disputes.
3.5Constraints
(1)Persons involved in the handling process of appeals, complaints and disputes shall keep confidential of all information related to the appellant and complainant and other related information;
(2)Persons involved in the handling process of appeals, complaints and disputes shall adopt the principles of objectivity and impartiality.
(3)Persons engaged in the handling process of appeals, complaints and disputes should be independent of those who carried out validation and/or verification and certification activities.
3.6 CI Division shall report the handling outputs of appeals, complaints, and disputes to the CDM Director and CDM quality manager in time. If the appeals, complaints or appeals are critical, suggestions on taking immediate controlling measures shall be submitted. The handling of appeals, complaints and disputes shall be one of the inputs of management review every year, which should be reported to the General Manager. Improvement should be made if it is essential, which is monitored by the Impartiality Committee.
China Environmental United Certification Center Co., Ltd. 1