1     PURPOSE

This document describes requirement and procedures to ensure that CQC, as a DOE provides service of validation/verification for A6.4 projects in an impartial and accurate manner, and safeguard the benefits of the validation/verification clients and also can function legally, enter into contracts, make decisions independently and may be sued in CQC’s name.

2     SCOPE

2.1       This procedure applies to the appeals, complaints and disputes arising from contracted validation/verification clients or any other relevant parties and handling of judicial processes.

2.2       The criteria of valid appeals, complaints and disputes which are included the followings:

a)   which have not been in judicial procedure;

b)   which do not exceed CQC’s business scope;

c)     which have not been solved between both sides by an interceded agreement, or have been solved between both sides by an interceded agreement and implementation, and with new problems raised;

d)   which comply with the Laws and Regulations of China, and the relevant regulations and decisions made by UNFCCC;

e)   the evidences of which are complete;

f)     which have not been handled by relevant administrative department;

g)   applicant’s information is complete and authentic.

3     RESPONSIBILITIES

3.1       The General Manager of CQC is responsible for the approval of decisions regarding major appeals, complaints and disputes & Judicial processes.

3.2       Department of Auditing and Legal Compliance (A&L Dept.) of CQC is in charge of accepting and handling appeals, complaints and disputes, handling of judicial processes, performing investigation, drafting decision and submitting it to the General Manager of CQC for approval.

3.3       The relevant departments of CQC are responsible for participation during investigation.

3.4       The impartiality committee is responsible the appeals, complaints and disputes which are submitted to it, the related departments of CQC are responsible for participating the investigation.

4     DEFINITIONS

4.1   Appeal

Appeal is the formal written request for reconsidering the results of validation/ verification reports, as validation/verification client consider the results were influenced by CQC’s acceptance and internal assessment.

4.2   Complaint

Complaint is the formal expression of dissatisfaction, made electronically or in writing regarding the performance of a DOE or its outsourced entities in relation to its validation or verification/certification functions, from any source including but not limited to clients, activity participants, the general public or its representatives, government bodies and non-governmental organization.

4.3   Dispute

Dispute is the oral or written statement from validation/ verification client and the stakeholders on the disagreement about CQC’s validation/ verification service and technique aspects.

4.4   Judicial process

Judicial process herein shall mean any type of legal proceeding of any nature, including but not limited to administrative, civil or criminal proceedings, before a national or international court or tribunal, or administrative body, whether such proceeding is related to the DOE’s capacity under A6.4 or otherwise.

5     PROCEDURE

5.1   Appeal

5.1.1 The validation/ verification client may submit the written appeals to A&L Dept. within 30 working days when received CQC’s notice of unaccepted application or final validation/ verification reports.

5.1.2 A&L Dept. shall report to the General Manager of CQC upon receiving the appeals. The General Manager shall authorize to form an appeal handling team to take actions and make decisions based on the facts. The team shall outline the process for receiving, acknowledging and investigating the appeal after ascertaining its validity, ensuring that decision take into account all the relevant information available and gathered as part of investigation.

5.1.3 Based on investigation, the appeal handling team shall submit draft decision and relevant measurements to the General Manager for approval and making decision. The appeal handling process shall include providing progress reports on the appeal investigation and handling to the appellant and providing an information notice on the final decision. The decision should be notified to the appellant in written form within 6 months after receiving the appeal.

5.1.4 A&L Dept. shall ensure that the submission, investigation, and decision on appeals do not result in any discriminatory actions against the appellant.

5.1.5 A&L Dept. shall keep the relevant data and documents in time after the resolution of the appeal.

5.2 Complaint

5.2.1 The written complaint shall be submitted to A&L Dept. with detailed event, necessary evidence, and complainant’s signature or stamp. Any anonymous complaints are unacceptable in general, while it will be recorded and investigated, and CQC will take corrective or preventive actions when appropriate for service improvement.

5.2.2 With regard to a signed complaint on CQC’s validation/ verification/certification activities, A&L Dept. shall find out the information involved (including all the tendency factor existed in the management system of CQC), make analysis, investigation, and take on-site investigation when necessary.

5.2.3 A&L Dept. shall, within two months after receiving the complaints, finish the investigation and submit suggestion to the General Manager for approval, and send back the confirmation of receipt, handling progress and the final decision to the complainant and the relevant parties.

5.2.4 A&L Dept. keeps the relevant data and documents in time after the resolution of the complaint.

5.3 Dispute

5.3.1 The disputes raised during the validation/verification process shall be handled through negotiation between validation/verification team leader and validation/verification client according to the relevant decisions and regulations of UNFCCC, and CQC manual and procedure. If the agreement couldn’t be reached through negotiation, the validation/verification team leader may draw a conclusion and submit to the relevant department of CQC with dispute description and the validation/ verification materials. The validation/ verification client may also put forward the dispute in written to A&L Dept. within 10 working days when the dispute happens. Disputes about other issues shall be submitted to A&L Dept. within 10 working days after the occurrence.

5.3.2 A&L Dept. shall take investigation in time after receiving the disputes, and inform the disputer about the confirmation of receipt, handling progress and final decision.

5.3.3     A&L Dept. shall keep the data and documents after the resolution of the dispute.

5.3.4 The disputer may submit the appeal or complaint directly to the relevant department such as UNFCCC secretariat, if unsatisfied with the handling decision of CQC. (UNFCCC’s website is https://unfccc.int/)

5.4 Judicial process

5.4.1 A&L Dept. shall be the primary department responsible for handling judicial processes.

5.4.2 A&L Dept. shall promptly report all judicial cases to the General Manager of CQC. The General Manager is authorized to appoint a Judicial Process Handling Team, composed of relevant personnel from the A&L Dept. and, if needed, external legal advisors.

5.4.3 Upon receiving a judicial case, A&L Dept. shall confirm its receipt and validity, then initiate the following steps:

(a)       Investigation: Gather and verify all relevant information related to the case, ensuring thorough documentation of the evidence, contracts, and correspondence involved.

(b)       Reporting: Prepare an initial report on the case status, detailing its circumstances and potential impacts. This report is to be submitted to the Judicial Process Handling Team and the General Manager for further review.

(c)       Strategy-Making: The Judicial Process Handling Team, under the General Manager's guidance, will develop a response strategy, outlining potential actions and legal steps based on gathered evidence and applicable regulations.

(d)       Implementation: Following approval from the General Manager, A&L Dept. will execute the agreed-upon actions, including court filings, responses, or settlement proposals, as required.

The Judicial Process Handling Team will ensure that all decisions made in response to the case consider the complete set of information collected during the investigation phase.

5.4.4 The Judicial Process Handling Team shall identify any systemic issues or procedural gaps that may have contributed to the judicial case and recommend corrective actions to prevent recurrence.

5.4.5 Following the closure of each case, A&L Dept. shall complete a judicial case summary. This summary will be reviewed by the General Manager and relevant departments.

5.4.6 A&L Dept. shall keep records of all judicial processes, including case files, investigation documents, decision records, and any related correspondence. All documentation shall be stored securely and treated as confidential, with access restricted to authorized personnel only.

5.4.7 If a judicial process is pending or has been instituted against CQC as a DOE, and the matter is found incompatible with CQC’s function as a DOE, CQC shall promptly report the relevant subject matter to the UNFCCC Secretariat.

5.5 Others

5.5.1 A&L Dept., upon receiving the appeals, complaints and disputes, shall make analysis and decide whether to accept them, and inform the submitter. If it is not acceptable, the reason should be explained.

5.5.2 The handling policy and procedure of appeals, complaints and disputes are publicized through CQC website after being approved by the General Manager

5.5.3 For the purpose of impartiality, the staff involved in the appeals, complaints, disputes and previous validation/ verification activities shall not take part in the investigation.

5.5.4 The staff to handle appeals, complaints and disputes shall work in an objective and impartiality manner, and be responsible for the confidentiality of relevant non-public information.

5.5.5 CQC shall take appropriate corrective and preventive actions for all the appeals, complaints and disputes, and make effectiveness evaluation of the

taken actions. If the corrective action for complaints/disputes handling are required, A&L Dept. shall organize the relevant departments of CQC to make analysis, investigation and on-site investigation (when necessary), and ensure that appropriate corrective actions are taken. If the complaints/disputes are related to system operation and documentation, the corrective action shall be conducted according to the Procedure of Non-conformity and Corrective Action Control (A6.4P 03).

5.5.6 A&L Dept. shall annually summarize and analyze the appeals, disputes and complaints disposed and submit them to management review for assessment.

5.5.7 Anyone can also submit appeals, complaints and disputes against CQC to CQC Impartiality Committee. The contact information of Impartiality Committee is available on CQC website. A&L Dept. shall inform the appellant that in case the appellant is not satisfied with the decision of the appeal panel, it has an option of complaining to the A6.4 SBM.

5.5.8 The procedures for handling disputes, appeals, and complaints are available on CQC’s website.

5.5.9 Personnel responsible for investigating complaints, disputes, and appeals shall be independent of those involved in A6.4 validation, verification, and certification activities to ensure objectivity.

Contact Information
Contact Person:the head of division II, A&L Dept.
Phone: 010-83886928
Email: sts@cqc.com.cn

Relevant Records

Attachment Appeals, Complaints and Disputes record    A6.4F02-01