1 the general

This procedure specifies the manner in which appeals, complaints, and disputes are handled and the procedure to be followed by CHTC for the filing of complaints and the facts of complaints. To ensure the fairness of CHTC certification, safeguard the interests of the auditee and the credibility of CHTC.

2 Scope of application

Applicable to CHTC appeals, complaints and disputes, including any organization and individuals against the certification organizations, institutional management departments, offices, management personnel, market developers, certification assessment personnel, audit/inspection personnel applications/complaints.

3. Management Responsibilities

3.1 The Customer Department is responsible for accepting and replying to the appeals/complaints and disputes of the certified organizations, certification personnel, certification evaluation results and certification decisions, as well as the subcontracting testing institutions.

3.2 The Technical Committee shall be responsible for handling the appeals, complaints and disputes of the certification organization, CHTC certification personnel, certification evaluation results and certification assessment as well as the appeals, complaints and disputes of the relevant parties to the subcontracted testing institutions.

3.3 The management representative is responsible for organizing relevant responsible departments to analyze the cause of nonconformity, formulate corrective and preventive measures, and supervise the effectiveness of their implementation.

3.4 The general manager is responsible for the approval of appeals, complaints and disputes. Report the results of appeals, complaints and disputes to the Committee for the Maintenance of Impartiality when necessary.

3.5 The Maintenance of Impartiality Committee supervises the handling of significant appeals/complaints by the parties to CHTC.

3.6 The General Office shall be responsible for the archiving and management of appeals, complaints and dispute handling records.

4 Management Procedures

4.1 define

Appeal: a written request to reconsider an adverse decision made by the requesting or accredited organization in relation to the desired outcome of the CHTC.

Note: adverse decisions include: refusal to accept an application, refusal to continue an audit/inspection, request for corrective action, change of certification scope, non-certification, suspension or revocation of certification, and any other action that impedes certification.

Complaint: a written expression of dissatisfaction with the activities of CHTC, the body applying for certification or approving certification, expressed to CHTC by any organization or individual, as distinct from the complaint, and seeking a response.

Dispute: a written statement of a disagreement between the organization applying for or receiving certification and the CHTC regarding certification procedures or certification techniques during the certification process.

Agency management department: refers to the technical committee (certification evaluation, human resources management), audit department (contract review, audit scheduling), standard inspection department, office (certificate production), market training department, office and related laboratory testing institutions.

Certification personnel: refers to the certification authority management personnel, market development personnel, certification audit/inspectors, certification training teachers, certification assessment personnel and certification business management personnel, etc.

4.2 The scope of accepting appeals, complaints and disputes mainly includes:

4.2.1 The CHTC certification audit conclusion and certification decision;

4.2.2 involve CHTC to suspend or revoke the certification qualification of the certified organization;

4.2.3 The legality and impartiality of CHTC certification audit and other related activities;

4.2.4 Violations of laws and disciplines involving CHTC staff and behaviors that damage the legitimate rights and interests of the applicant organization (auditee).

4.2.5 Involve the illegal and irregular behaviors in the certification process and after the certification of the certified organization;

4.2.6 Illegal or illegal use of the certification certificate and logo of the certified organization;

4.2.7 Appeals, complaints and disputes from other parties concerning certification enterprises, certification process or other matters.

4.3 Appeal and complaint

4.3.1 Appeal/complaint filing

If the certification client has any objection to the result of the certification decision, it can appeal to the certification body within 10 working days. The certification body shall handle the matter within 30 working days from the date of receiving the appeal, and notify the certification client of the result in writing.

Authentication client such as the behavior of the certification body seriously infringed on their own legitimate rights and interests, can directly to the certification supervision department appeal.

Other appeals/complaints may be submitted to CHTC at any time in the form of a written letter or person's reflection, which shall be signed or sealed by the complaint/complainant, and the complaint/complainant shall be the party directly concerned with the complaint matters. CHTC collects complaint information in a timely manner. Anonymous complaints are usually not accepted by CHTC.

The filing, investigation and determination of a complaint shall not result in any act of discrimination against the complainant.

4.3.2 to accept

Upon receipt of a complaint, the customer service personnel shall first confirm whether the complaint is related to the certification activities of the certified customer and deal with the complaint when confirmed. If the complaint relates to a certified customer, the certification body should consider the effectiveness of the certification management system when investigating the complaint.

When an appeal/complaint is received, the processing personnel shall first collect and verify all necessary information to determine the validity of the appeal/complaint.

The customer service personnel is responsible for accepting and registering the complaint, filling in the complaint/complaint registration form, including the facts of the complaint, the name of the person applying/complaining, the valid contact telephone number, contact address and the information of the complainee, etc., and reporting the relevant information to the technical committee in time.

4.3.3 Refusal or termination of acceptance

CHTC will not accept anonymous letters without the name and valid contact information of the person making the complaint;

The facts are not clearly described and cannot be verified;

Complaints that have been accepted or handled by other administrative organs;

If the same complaint has been dealt with and there is no new situation or new reason, it shall not be accepted.

4.3.4 processing

The CHTC Technical Committee shall designate the personnel who have no direct interest in the complaint or the object of the complaint and who have not participated in the product design and management consulting activities of the investigated party within two years to conduct the investigation, and shall inform the complainant of this situation. The decision on the complaint shall be made by, or reviewed and approved by, a person not involved in the matter of the complaint and shall be communicated to the complainant. CHTC is responsible for all decisions at all levels of the grievance/complaint processing process.

4.3.4.1 According to the clues provided by the complaint/complaint, the investigator shall investigate and verify the situation reflected, fully understand all the information of both parties, carry out on-site investigation to obtain evidence when necessary, and notify the complainant or relevant parties in the form of written "Notice of Appeal/Complaint Acceptance". If the complaint is for the certified customer, the customer shall be informed of the complaint within 2 working days after receiving the complaint.

4.3.4.2 The appeal processing process shall include at least the following elements and methods:

A) the process of receiving, validating and investigating a complaint and the process of determining the measures to be taken in response to the complaint, taking into account the results of previous similar complaints;

B) Tracking and recording complaints, including measures taken to resolve them;

C) Ensure that any appropriate corrective actions and corrective actions are taken.

4.3.4.3 The complaint handling process shall include at least the following elements and methods:

A) the process of receiving, validating and investigating complaints and determining the measures to be taken in response to complaints;

B) Tracking and recording complaints, including actions taken in response to complaints;

C) Ensure that any appropriate corrective actions and corrective actions are taken.

4.3.4.4 since the appeal/complaint submitted to CHTC technical committee shall, within 30 working days after a technical committee to make a decision to "complaint and in major appeal, complaint and dispute cases by CHTC general manager make a final decision, when necessary, report to state and national cnacl superior departments, such as special case processing delay, approved by the general manager.

4.3.4.5 Assign relevant departments to give replies within 24 hours to the inquiries of trade parties or consumers according to their contents. If the department fails to give replies to major problems, it shall report to the general manager for decision and give replies in time.

4.3.5 Determination and Notice

The investigation team of the technical committee shall put forward the handling opinions on the complaints, complaints and disputes, which shall be fair and accepted by the personnel of both parties. The ruling result shall be submitted to the general manager for approval and sent to the objects of the complaints, complaints and disputes. The effective handling of the complaints shall be completed only after the complaints are accepted by the complainant.

After handling the complaint, the customer and the complainant shall jointly decide whether the complaint should be made public, and when deciding to make public, jointly determine the degree of disclosure.

To respond effectively to a complaint when it is determined that the complaint has been erroneous or unreasonable.

4.3.6 cost

Confirmation of expenses for appeal and complaint processing and reasonable expenses related to complaint application shall be borne by the responsible party (person). If the responsible party refuses to accept the complaint, it can appeal to legal channels for settlement.

4.4 the dispute

When any party to the understanding of the matter has differences and disputes, to fully exchange views, in the way of equal consultation to achieve unity, when necessary, can consult the CNCA, the National Accreditation Commission and China Certification and Accreditation Association and other superior departments in charge of arbitration.

4.5 record

The general office shall file and keep the relevant documents, materials and processing records of appeals, complaints and disputes.

4.6 Constraint rules

4.6.1 Complaints, Complaints and Dispute Handling Staff and members of the Committee for the Maintenance of Impartiality shall be responsible for the confidentiality of any non-public information relating to complaints, complainants and relevant parties that may be involved in their functions.

4.6.2 All staff involved in the handling of appeals, complaints and disputes shall be objective and impartial.

4.6.3 Staff who have an interest in appeals, complaints and disputed facts shall avoid the handling of such appeals and complaints.

4.7 Corrective and preventive measures

On appeal, complaint and dispute should belong to CHTC problem by the management representative to instruct the relevant departments and personnel to find the reason, including whether CHTC management system existence question, need to take corrective and preventive measures, improvement within a time limit, after the completion of the implementation of corrective and preventive action by the responsible department to write a written report, management representative is responsible for the review of its effectiveness.

4.8 The technical committee shall timely report to the general manager/management representative of CHTC on the handling of complaints, complaints and disputes. If the complaints/complaints and disputes have a tendency of concentrated development and the circumstances are serious, the general manager shall organize management review.

4.9 The General Manager shall report to the Committee for the Maintenance of Impartiality regarding the handling of major complaints and disputes.

4.10 When the complaint and dispute are settled, the technical committee shall form the solution into a complaint handling decision and submit it to the complainant parties. At the same time, both parties shall discuss whether to make the complaint public and how much to make it public.

5 Relevant Records

Appeal/Complaint Registration Form

Notice of Appeal/Complaint Acceptance

Record of Complaints/Complaints and Disputes

Letter of Decision for Handling Complaints