Appeals, Complaints and Disputes Management Procedures

1. General

This procedure stipulates the handling of appeals, complaints and disputes, and the procedures followed by the CHTC to deal with the appeals and complaint facts. In order to ensure the fairness of CHTC certification, maintain the interests of the operator and the credibility of CHTC.

2. Scope

It applies to the handling of appeals, complaints and disputes of CHTC, including the appeals/complaints of any organization or individual for the accredited organization, institution management department, office, management, market developer, certification evaluation personnel and inspectors.

3. Management responsibility

3.1     The customer service personnel are responsible for the handling and related responses for the appeals, complaints from the accredited organization, certification personnel, certification evaluation results, certification decisions and the relevant subcontractors.

3.2     The Technology Committee is responsible for the handling of appeals, complaints and disputes of the certification institutes, CHTC certification personnel, certification evaluation results, certification assessment and related subcontractors inspector parties.

3.3     The management representative is responsible for organizing the responsible departments to analyze the reasons for disqualification, formulate the corrective and preventive measures and supervise the effectiveness of the implementation.

3.4     The general manager is responsible for the approval of the appeals, complaints and disputes. When necessary, report the results of the appeals, complaints and disputes to the Commission for the Maintenance of Justice.

3.5     The Commission for the Maintenance of Justice supervises the handling of the major appeals/complaints of each party for CHTC.

3.6     The General Office is responsible for the archiving management of the Records of Appeals, Complaints And Disputes.

4. Management procedure

4.1 Definition

Appeal: it is a written request made by the applying or certified organization to make a reconsideration of adverse decisions related to the expected outcome of CHTC.

Note: unfavorable decisions include: refusing to accept applications, refusing to proceed with audit / inspection, requiring corrective actions, changing the scope of certification, failing to certify, suspending or revoking certification and obstructing any other measures to be certified.

Complaint: the dissatisfaction written expression of the CHTC, the applying or certified organization, by any organization or individual to the CHTC, which is different from the appeal and hopes to get the reply.

Dispute: the written statement of disagreement between the applying or certified organization and the CHTC in the process of certification of the certification procedure or the technical issues of certification.

The institutional management department: the institutional technical committee (certification and evaluation, human resource management), the audit department (contract review, audit scheduling), the international department, the office and market & training department, and the relevant testing laboratories.

Certification staff: managers of the certification bodies, market development personnel, certification inspectors, certification trainers, certification and evaluation personnel, and certification business managers.

4.2 The admissibility scope of the appeals, complaints and disputes includes the following contents:

4.2.1             It involves the conclusion and the decision of the CHTC certification audit.

4.2.2             It involves the suspension and revocation of the accredited organization by CHTC.

4.2.3             It involves the legality and impartiality of the related activities such as CHTC certification audit.

4.2.4             It involves the illegal and disciplinary actions of the staff of the CHTC and the lawful rights and interests  of the organizations that have damaged the application of the applicant (the inspected party).

4.2.5             It involves the illegal and irregularities of the certification process and after the certificate.

4.2.6             It involves the illegal use of the certificate and mark of the certified organization.

4.2.7             It comes from other aspects of complaints, complaints and disputes concerning the certification enterprise, the process of certification activities, or other matters.

4.3 Appeals and complaints

4.3.1 The proposal of appeals/complaints

If a certified client has any objection to the result of the certification decision, he may appeal to the certification authority within 10 working days. The certification authority shall process it within 30 working days from the date of receiving the complaint, and notify the client of the certification in writing.

If the authenticated agent considers that the conduct of the certification authority has seriously infringed on its legitimate rights and interests, it can directly appeal to the certification authority.

Appeals or complaints from other contents may be submitted to CHTC at any time. The way of presentation should be written in the form of letters or persons. The written letter should be signed or sealed by the appeals/complainants, and the appeals/complainants should be the direct party concerned. CHTC collects information about the complaint in time. In general, CHTC is inadmissible for anonymous complaints.

The submission, investigation and decision of the complaint shall not cause any discriminatory action against the complainant.

4.3.2 Acceptance of application

In the case of appeal/complaint, the customer service staff should first confirm whether the appeal/complaint is related to the certification activity of the certified customer and shall be dealt with at the time of confirmation. If the appeal/complaint is related to the certified customer, the certification authority should consider the validity of the certificate management system in the investigation of the appeal/complaint.

When appeals/complainants are received, the handling staff should first collect and verify all the necessary information to determine the validity of the appeal/complaint.

The customer service is responsible for complaint acceptance and registration; fill out the Appeals/Complainants Registration Form, registration includes: appeals/complainants content, appeals/complainants officer name, contact number, contact address and complaints information, and timely information to reflect the technical committee.

4.3.3 Cases of inadmissibility or termination of admissibility

CHTC does not accept the anonymous letter of the name and effective contact mode of the non specific complains.

The fact that the description is not clear is not verifiable;

A complaint that has been accepted or handled by other administrative organs.

The same complaint has been dealt with, and no new circumstances and new reasons are inadmissible.

4.3.4 Processing

CHTC technical committee designates staff who are neither involved in design or management consultancy activities of investigated product within two years, nor involved in the evaluation and/or certification activities of appellant and have no direct interest relationship with appeal and complaints. CHTC notify the complainant of the above information. The decision on the complaint shall be made by persons unrelated to the complaint, or by their examination and approval, and shall be informed of the complainant. CHTC is responsible for all decisions at all levels of the appeal/complaint handling process.

4.3.4.1        According to the appeals/complaints clues, investigators conduct investigation and verification to reflect the situation, to fully understand all the information of the parties, on-site investigation to obtain evidence when necessary, and the complainant or the relevant party shall be notified by Appeals/Complaints Acceptance Notice. If it is a complaint against the certified customer, the customer shall be informed of the complaint within 2 working days after receiving the complaint.

4.3.4.2        The process of appeals handling should include at least the following elements and methods:

a)         The process of accepting, confirming and investigating complaints, and referring to the results of previous similar complaints, and deciding what measures are taken to respond to the complaint process;

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

c)         Ensure that any appropriate corrective and corrective action is taken.

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

a)         The process of accepting, confirming and investigating complaints, and deciding what measures are taken to respond to the complaint process;

b)        Tracking and recording complaints, including measures to respond to complaints;

c)         Ensure that any appropriate corrective and corrective action is taken.

4.3.4.4        Within 30 working days after the appeal/complaint was submitted to the CHTC Technical Committee, the technical committee made a decision on the complaint, and made the final decision by the general manager of CHTC under the circumstances of major complaints, complaints and disputes. The special case processing should be postponed and approved by the general manager.

4.3.4.5        For the inquiries of the traders or consumers, according to their contents, the relevant departments shall be instructed to give a reply within 24 hours. When a major problem department fails to reply, it should be reported promptly, and the general manager will give a reply after deciding.

4.3.5 Adjudication and notification

The investigation group of technical committee put forward opinions on appeals, complaints and disputes. Opinions should be fair and accepted by both parties. The results should be approved by the general manager and delivered to party who raise the appeals, complaints and disputes. Once the result is accepted, the complaint handling can be completed effectively.

After the completion of the complaint, the customer and the complainant should jointly decide whether to disclose the complaint and to jointly determine the extent to which it is open when the decision is made.

When the result of the ruling is found to be a complaint that is wrong or unreasonable, respond effectively to the complaint.

4.3.6 Cost

Settlement of appeal and complaint cost confirmation and the complaint shall be borne by the responsible party reasonable expenses relating to the (human) bear, such as the responsible party refuse to accept the suing for legal channels to solve.

4.4 Disputes

When any party disputes the understanding of matters, they should fully exchange opinions and strive for unity by way of equal consultation. If necessary, consult with the superior authorities.

4.5 Records

The documents, information and records of the appeals, complaints and disputes are archived and preserved by the general office.

4.6 Constraint rules

4.6.1             The complaints, complaints and dispute handling staff and the members of the justice committee have a secret responsibility for any functions they may relate to, including the appeals, complainants and related parties.

4.6.2             All the staff involved in the appeals, complaint and dispute handling should be objective and impartial.

4.6.3             Staffs who are interested in appeals, complaints and disputes should avoid the treatment of the complaint and complaint.

4.7 Corrective and preventive measures

CHTC management representatives shall take their own responsibility for the appeal, complaint and dispute, to determine whether there are any issues in CHTC management system ...  the responsible department shall write a written report after the implementation of corrective and preventive action, management representatives shall review of its effectiveness.

4.8 The technical committee shall report the complaints, complaints and disputes handling to CHTC General Manager/Management in a timely manner. When the appeal/complaint and disputes have centralized development trend and serious circumstances, the general manager shall organize the management review.

4.9 The general manager should report to the Committee on the maintenance of justice for the major complaints and disputes.

4.10 When the complaint and dispute are settled, the technical committee shall form the Handling Decision of Appeals/Complaints and submit the complaint to the parties concerned. At the same time, the two sides jointly discuss whether to make the complaint public and open.

5. Related records

CHTC/IOP16/01 Appeals/Complainants Registration Form

CHTC/IOP16/02 Appeals/Complaints Acceptance Notice

CHTC/IOP16/03 The Record of Appeals/Complaints and Disputes