1. Purposes and Scopes

The procedure is stipulated to assure the effective implementation and the credibility, independence and impartiality of the validation and/or verification activities, and to guarantee the interest of CEC and its stakeholders.
The procedure applies to the handling process of complaints, disputes and appeals of CDM v/v/c activities.

2. Documents for Reference
CDM Accreditation Standard v07.0
CDM validation and verification standard for project activities v3.0
CDM validation and verification standard for programmes of activities v3.0

3. Definition
3.1 Complaint: Formal expression of dissatisfaction, made verbally, electronically or in writing, regarding the performance of CEC, from any source, such as clients, project participants, the general public or its representatives, government bodies, non-governmental organization, etc.
3.2 Dispute: Disagreement between CEC and the client regarding CEC recommendation and/or opinions/decisions made at various stages in the course of validation and/or verification/certification activities.
3.3 Appeal: A request made by a client for a formal review of a decision taken by CEC in respect of validation and/or verification/certification activities.
3.4 Appeal Handling Panel: 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 v/v activities which involved in appeal. And the committee member should be the leader of the panel and charge of making final decision. The appeal handling panel is a temporary institution.

4. Scope

The procedure applies to CEC handling process of complaints, disputes and appeals of CDM v/v/c activities. Circumstances described below are excluded:
The appeals, complaints and disputes,
a) which have been in judicial procedure.
b) which exceed CEC business scope.
c) which has been solved between both sides by an interceded agreement and implementation, and without new issues raised.
d) which do not comply with the Laws and regulations of China, and the relevant regulations and decisions made by UNFCCC.
e) the evidences of which are incomplete.
f) which have been handled by relevant administrative department.

5. Management Responsibilities
5.1 CI Division is responsible for the accepting complaints, disputes and appeals, confirming the validity, reporting the handling results to related parties, and archiving of all relevant documents and records. After be approved by Quality Manager, CI Division is also responsible for making the working process for complaints, disputes and appeals public available.
5.2 The CDM Director is responsible for organizing the handling of the complaints, disputes and appeals, proposing the decisions of the handling of complaints and disputes, setting up correction and correction actions and organizing the implementation.
5.3 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.
5.4 The appeals handling panel is responsible for organizing the appeals handling process, making decisions, and monitoring the implementation of correction and prevention measures.
5.5 Persons engaged in the complaints, disputes and appeals handling process shall differ from those who conducted the v/v activities, including TR and final decision-making.
5.6 The General Manager is informed the outcome of complaints, disputes and appeals and makes decisions of improvement.
5.7 The Impartiality Committee is responsible for supervising the outcome of the complaints, disputes and appeals.
5.8 CEC safeguard the confidentiality of the complainants, disputants and appellants and the subjects of the complaints, disputes and appeals.

6. Management Procedure

6.1 Acceptance of complaints, disputes and appeals
(1) CI Division is responsible to make the Working Process for 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 CI Division; the Acceptance Notice of Appeals, Complaints and Disputes and other relevant information shall be filled and provided by complainants, disputants and appellants.
(3) CI Division is responsible for receiving, gathering, verifying all necessary information for the complaints, disputes and appeals. Then CI Division evaluates the validity of the complainants, disputants and appellants as the following criteria:
a) The subject of the complaints and disputes is related with CEC v/v activities.
b) The complaints and disputes are based on a specific PA case that CEC performed.
c) The complainants are personnel participated in v/v activities for CEC.
d) Evidence for complaints and disputes are written, complete and sufficient.
e) Contact information of the complainants, disputants and appellants is valid.
CI Division will report to CDM Director after confirming validity of the appeals, complaints and disputes.
(4) If the appeals, complaints and disputes are reasonable, they will be handled according to the following process. Or else, they will be passed.

6.2 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 or Dispute.
(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 approval.
(4) CDM deputy Director is responsible to set up appropriate correction and correction actions, which will be implemented under the monitor of CDM quality manager.
(5) CI Division will deliver the final decision of handling to appellant and complainant.
(6) If it takes a long time to handle the complaints and disputes, CI Division will deliver the handling progress report to appellant and complainant by reasonable methods, such as telephone, email, face-to-face meeting and so on.
(7) CI Division will keep record of the whole process of acceptance, investigation and actions for handling complaints and disputes.
(8) The final decision will be delivered to the relevant parties by CEC in 30 working days.

6.3 Handling 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, appropriate corrections and corrective actions should be taken to meet the gap.
(3)CI Division 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)Final decision shall be made within 90 working days from the date of acceptance of the appeal by appeal handling panel. 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, CI Division will deliver the handling progress report to appellant by reasonable methods, such as telephone, email, face-to-face meeting and so on.
(6)The submission, investigation and decision on appeals shall do not result in any discriminatory actions against the appellant.
(7)CI Division will keep record of the whole process of acceptance, investigation and actions for handling appeals.

6.4 Record 
CI Division shall record and archive the whole process information available in response to appeals, complaints and disputes.

6.5 Constraints
(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.

6.6 Other Information
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.

Note：This information is publicized in both English and Chinese. In the event of any conflict or ambiguity or discrepancy between the two versions, the Chinese version shall prevail.

CEC-6004C-C1-Appeal, Complaint and Dispute Acceptance Notice.pdf