申诉和投诉的处理规定 Regulations on handling appeals and complaints

1.申诉和投诉处理原则

1）处理申诉和投诉以事实为依据，以国家相关法律法规及认证规则为准则；

2）申诉和投诉处理工作人员对其所获得的任何与申诉和投诉有关的非公开信息负有保密的责任；

3）参与申诉和投诉处理工作的有关工作人员须保持客观公正；

4）与申诉和投诉事件有直接利害关系的工作人员须回避相关处理工作。

 

2.申诉和投诉处理流程

 

3.申诉

3.1 申诉的提出

申诉人应向公司运营部提出申诉。有效的申诉应同时符合以下条件：

1）申诉应以书面形式提出；

2）申诉人应签字和盖章；

3）申诉人应是申诉事项的直接相关方；

4）申诉应在收到公司的相关决定或处理措施后的10个工作日内提出。

3.2 申诉的受理

公司接到申诉材料后对申诉材料进行初步审查，有效的申诉，按要求组成申诉处理工作组。无效的申诉，说明不予受理的理由，连同相应申诉材料退回申诉人。

3.3 申诉的处理

3.3.1申诉处理工作组根据申诉内容实施调查，有权采用召集会议、听取双方陈述、听取有关人员的证词、现场调查、调取书面证据和向专家咨询等措施取证，并保存有关证据。调查完成后，申诉处理工作组客观公正地形成书面报告，并参考以前类似申诉处理的处理结果提出处理建议(需要时包括补救或纠正措施建议），报送总经理裁定。

3.3.2相关部门按《纠正和预防措施控制程》规定实施经总经理审定的补救或纠正措施，并提供相应证据 。

3.3.3申诉处理工作组汇总申诉处理证据，提出正式处理意见，填写《投诉、申诉调查、处理记录表》报总经理批准。

3.4 申诉裁定的执行

3.4.1申诉的提出、调查和决定不应造成针对申诉人的任何歧视行为。

3.4.2 公司以书面形式将裁定结论通知申诉人。

3.4.3申诉人如对裁定结果不满意，应在接到申诉处理结果后的10个工作日内向公司再次提出申诉。

3.5 申诉费用

申诉处理的合理支出费用由双方按照在申诉事项中应承担的责任分担。

 

4 投诉

4.1 投诉的提出

投诉人应以书面或口头/电话形式就投诉所涉及事项向公司正式提出。公司不受理匿名投诉。

4.2 投诉的受理

4.2.1 公司接到投诉书面材料后分析投诉内容，确认是否与公司认证活动有关，对于与公司认证活动有关的投诉，通知投诉人，并按规定组成投诉处理工作组。对与公司认证活动无关的投诉，签发《投诉、申诉调查、处理记录表》，说明不予受理的理由，通知投诉人。

4.3 投诉的处理

4.3.1 针对公司的投诉，投诉处理工作组对投诉情况进行调查核实，充分收集和核对投诉确认所需的信息，必要时进行现场调查取证。调查核实完成后，投诉处理工作组客观公正地形成书面报告并提出处理建议（含适当的纠正和纠正措施）。

4.3.2 针对申请组织或获证客户的投诉

1）投诉处理工作组根据投诉的内容和性质，通知相关申请组织或获证客户做出说明或处理，并向公司提交书面报告和相关证据。必要时，进行现场调查或验证。

2）投诉事项涉及到申请组织或获证客户的认证资格时，技术部调阅投诉材料、调查结果、相关组织材料及其采取措施证据，按《管理体系认证初次审核实施与控制程序》或《保持认证管理程序》，考虑获证客户管理体系的有效性，做出与相应的认证决定。

4.3.3涉及采取纠正或纠正措施时，相关部门按《不合格纠正措施管理程序》执行投诉处理工作组验证其有效性。

4.3.4投诉处理工作组根据投诉的调查结果提出处理决定建议，报公司总经理审查批准。

4.4 投诉处理决定的反馈

4.4.1 公司以书面形式通知投诉人及相关方，投诉事项是否公开，公司与相关客户及投诉人共同决定，在决定公开时，共同确定公开的内容和程度，并形成文件经各方签署确认。

4.4.2 投诉人或投诉事项的相关方对投诉处理决定不服时，可在接到投诉处理决定后的10个工作日内提出申诉。

4.4.3投诉的提交、调查和决定不应造成针对投诉人的任何歧视行为。

 

1. Principles of appeal and complaint handling

1）Handling appeals and complaints shall be based on facts and shall be guided by relevant national laws, regulations and certification rules;

2）The complaint and complaint handling staff shall be responsible for keeping confidential any non-public information related to the complaint and complaint obtained by them;

3）Relevant staff involved in the handling of complaints and complaints must maintain objectivity and impartiality;

4）Staff members who have a direct interest in complaints and complaints must avoid relevant handling work.

2. Complaint and complaint handling process

3. Complaints

3.1 Filing of complaints

The complainant shall appeal to the operation Department of the company. An effective appeal shall meet the following conditions at the same time:

1）The appeal shall be made in writing;

2）The complainant shall sign and seal;

3）The complainant shall be the party directly related to the complaint;

4）The appeal shall be filed within 10 working days after receiving the relevant decisions or handling measures of the company.

3.2 Acceptance of complaints

After receiving the appeal materials, the company will conduct a preliminary review of the appeal materials. If the appeal is valid, a working group for handling the appeal will be formed as required. If the appeal is invalid, explain the reasons for rejection, and return it to the complainant together with the corresponding appeal materials.

3.3 Handling of complaints

3.3.1 The complaint handling working group conducts investigation according to the contents of the complaint, has the right to take measures such as convening a meeting, listening to the statements of both parties, listening to the testimony of relevant personnel, on-site investigation, obtaining written evidence and consulting experts, and keep relevant evidence. After the investigation is completed, the complaint handling working group forms an objective and Fair written report, and propose handling suggestions (including remedial or corrective measures when necessary) by referring to the previous handling results of similar appeals, and submit them to the general manager for ruling.

3.3.2 Relevant departments shall implement the remedial or corrective measures approved by the general manager according to the control procedure of corrective and preventive measures, and provide corresponding evidence.

3.3.3 The complaint handling working group shall summarize the complaint handling evidence, put forward formal handling opinions, fill in the complaint, complaint investigation and handling record form and submit it to the general manager for approval.

3.4 Enforcement of appeal decisions

3.4.1 The submission, investigation and decision of the complaint shall not result in any discrimination against the complainant.

3.4.2 The company shall notify the complainant of the ruling conclusion in writing。

3.4.3 If the complainant is not satisfied with the ruling result, he shall appeal again to the company within 10 working days after receiving the appeal handling result.

3.5 Appeal costs

The reasonable expenses for handling the appeal shall be shared by both parties according to their responsibilities in the appeal.

4 Complaints

4.1 Filing of complaints

The complainant shall formally submit the matters involved in the complaint to the company in written or oral / telephone form. The company will not accept anonymous complaints.

4.2 Acceptance of complaints

4.2.1 After receiving the written complaint materials, the company analyzes the complaint content to confirm whether it is related to the company's certification activities. For the complaints related to the company's certification activities, the company notifies the complainant and forms a complaint handling working group as required. For the complaints unrelated to the company's certification activities, the company issues the complaint, complaint investigation and handling record form, explains the reasons for rejection and notifies the complainant.

4.3 Handling of complaints

4.3.1 For the company's complaints, the complaint handling working group shall investigate and verify the complaints, fully collect and check the information required for complaint confirmation, and conduct on-site investigation and evidence collection if necessary. After the investigation and verification, the complaint handling working group shall objectively and fairly form a written report and put forward handling suggestions (including appropriate corrections and corrective measures).

4.3.2 Complaints against the applicant organization or certified customers

1）According to the content and nature of the complaint, the complaint handling working group shall notify the relevant application organization or certified customer to make explanation or handling, and submit a written report and relevant evidence to the company. If necessary, conduct on-site investigation or verification.

2）When the complaint involves the certification qualification of the applicant organization or certified customer, the technology department shall review the complaint materials, investigation results, relevant organization materials and evidence of measures taken, and make corresponding certification decisions according to the implementation and control procedure for the initial audit of management system certification or the management procedure for maintaining certification, considering the effectiveness of the certified customer's management system.

4.3.3 In case of taking corrective or corrective measures, relevant departments shall implement the complaint handling working group according to the management procedure for nonconforming corrective measures to verify its effectiveness.

4.3.4The complaint handling working group shall put forward handling decisions and suggestions according to the investigation results of the complaint and submit them to the general manager of the company for review and approval.

4.4 Feedback on complaint handling decisions

4.4.1 The company shall notify the complainant and related parties in writing

whether the complaint is made public or not. The company, together with relevant customers and complainants, shall jointly determine the content and degree of disclosure when making the decision, and form a document, which shall be signed and confirmed by all parties.

4.4.2 If the complainant or the relevant party of the complaint is not satisfied with the complaint handling decision, he may appeal within 10 working days after receiving the complaint handling decision.

4.4.3The submission, investigation and decision of a complaint shall not result in any discrimination against the complainant.