Issue Number：1 Revise No.：2 Implementation Date：Jun. 15, 2020
认证活动反馈信息处理程序
Certification Activities Feedback Information Process Procedure
1 目的 Purpose
为保证申投诉得到公正和合理的处理，而制定本程序。
The purpose of establish this procedure is to ensure appeal and complaint can be handled impartially and properly.
2 范围 Applicable scope
适用于质量/环境/职业健康安全管理体系审核、认证过程中发生的申投诉。
It applies to the appeals and complaints from the audit of quality/environment management system, certification process.
3 职责 Responsibility
3.1 管理部是处理申投诉的办事机构，负责收集和验证所有必要的信息，以确定申诉的有效性；
Administrative department is responsible for handling the appeals and complaints, gathering and verifying all necessary information to validate the appeal and complaints.
3.2 公正性委员会组织申投诉工作组主持处理管理部未能解决的申投诉问题；
The appeals and complaints handling work-group in safeguarding impartiality committee is responsible for handling the appeals and complaints which can be solved by administrative department.
3.3 相关责任部门对在处理申投诉中发现的公司工作中的不符合事项，提出纠正措施。
Relevant responsible departments take corrective action for the nonconformity found during the appeals and complaints handling process.
3.4 华凯接受国家认证主管部门对在处理申投诉中的审查。
HIC will accept the investigation by national certification sector carried out for clarification of appeals and complaints
3.5客户不能将华凯的决定向国家认证主管部门进行申诉，但有权对华凯的措施/决定进行投诉
Applicants/certified organizations can not appeal decisions to national certification bureau, they are entitled to complain about a certification bodies actions / decisions.
3.6 总经理对投诉的最终决定负责，管理部对投诉的受理和处理过程负责。
General Manager is responsible for the result of the appeal and complaint. Administrative department is responsible for the accept and handling.
4 程序Procedures
4.1 申诉 Appeal
4.1.1 申诉的提出lodge an appeal
申请/接受认证的组织应在接到公司的决定或措施后10 日内向公司提出申诉。申诉方应提交书面申请并说明对公司处理意见提出异议的理由，并尽可能提交相关证据。申诉应以书面的方式并经申诉方负责人签名盖章后提交给公司管理部。
Applicant / certified organization shall lodge appeal after receiving the HIC's decision or measure within 10 days. Appellant should submit written application and explain the reasons to lodge the appeal for HIC 's handling comment, and submit relevant evidence as far as possible. Appellant shall submit the appeal in writing to HIC’s Management Department.
4.1.2 申诉的调查和处理
Investigation and handling of appeals
a) 公司管理部受理申诉后应立即报告公司总经理和管理者代表，并组成申诉处理工作组。参与申诉处理过程的人员没有实施申诉涉及的审核，也没有做出申诉涉及的认证决定，参与人员应与申诉事项无关。
Management Department shall immediately report to General Manager and Management Representative after receiving the appeal, and compose the appeal handling working group, the person engaged in the appeal-handling process are different from those who carried out the audit s and made the certification decisions, should have nothing to do with the appeal issues.
b) 申诉处理工作组负责对申诉进行调查、取证及核实。调查方式可包括召集听证会议、听取双方提供陈述、现场调查、调取书面文件等。
The appeal handling working group is responsible for the investigation, collect the evidence and verify the effectiveness, investigation methods can include public hearing, and to listen to both sides who provided the statements, on-site investigation and obtain written documentation.
c) 对于需要召集听证会议的，申诉处理工作组在召开听证会时间的前10天将会议的时间、地点通知申诉人及有关各方。双方均有权在不迟于听证会召开前5 日提出有关证人的姓名和地址。
The party which needs to hold the public hearing, the working group of handling appeals informs the appeal party and the related parties of the meeting time and place before the 10 days of the time to hold the hearing meeting. Both parties have the right to put forward the names and addresses of the concerned witnesses no later than 5 days before public hearing meeting.
d) 申诉处理工作组在经调查之后应做出有根据的判断并提出书面处理意见，提交公司管理部审核，管理者代表批准。
Appeal handling Working Group should make objective judgments and submit the written opinions on handling after the investigation, and submit to the Management Department to review, and approved by the management representative.
e) 公司管理部及时将最终处理意见以书面形式通知申诉方和公司责任部门。
Our Management Department notices the eventually treatment advice which is in writing form to the appeal party and the corporate responsibility department in time.
f) 申诉方对最终处理意见表示满意时，公司管理部负责监督执行。
When the appeal party expressed the satisfaction of response from HIC, Management Department is responsible for supervision of implementation.
g) 申诉方对公司的处理意见表示不满意时，申诉方不能将华凯的措施/决定向国家认证主管部门申诉。
when appeal parties don’t satisfy the response from HIC, appeal parties can not appeal decisions to national certification
4.2 投诉 Complaint
4.2.1 投诉的提出 Making complaint
投诉应以书面的方式就投诉所涉及的事件（在该事件发生以后一个月内）向本公司管理部提出，投诉人须提供所投诉事件的细节情况、证明材料并签章。通常情况下，本公司不受理匿名投诉。
Complaints should be made in writing form to Management Department of involved events of the complaint (after the incident’s occurrence within one month), the complaining party shall provide the detail of complaint incident, evidence information with seal. Generally, the company will not accept the anonymous complaints.
4.2.2 投诉的调查和处理The investigation and treatment of complaints
a) 收到投诉后，公司管理部根据投诉内容组织相关部门和人员，开展对该投诉事件的调查和取证。对重大投诉立即报告总经理和管理者代表。
After the receipt of the complaint, the Management Department organized its relevant departments and personnel with the complaint content, to carry out the investigation and evidence acquisition to the complaints. As for the major complaints, Management Department shall report to the general manager and management representative immediately.
b) 如被投诉的是经公司认证的组织，应与该组织取得联系，要求该组织对投诉的问题做出书面说明，并提交相关证据。必要时，公司将进行现场调查。调查时还应考虑客户管理体系的有效性，如要求客户采取适当的纠正和纠正措施，如证实客户的管理体系的有效性存在问题时，将涉及缩小、暂停或撤消客户的管理体系认证。
If the complaint organization is certified organization, it should get in touch with the organization, require the organization to send the written explanation about the complaining problem, and provide the relevant evidence, if necessary, our company shall investigate the details in client site, the on-site investigation shall consider the client’s management system effectiveness, it may cause the reducing, suspending or withdrawing of the certificate if require the client to take correction and corrective actions, or the client’s system be verified that has problem.
c) 如投诉的问题属于公司的问题，由公司对投诉情况进行调查核实，必要时进行现场调查。
If the complaining issues belong to our company's problems, our company shall conduct the investigation and verification to the complaints, if necessary, investigate on client’s site.
d) 调查人员根据调查结果提出处理建议，管理部审核，并报总经理批准。参与作出、审查和批准投诉处理决定的人员应与投诉事项无关。
The investigators make suggestions according to the findings, Management Department to review, and General manager make the final approve, the person engaged in the complain-handling process shall have nothing to do with the complaining issues.
e) 最终处理意见由管理部负责反馈至投诉方。
The final disposal suggestion will pass to complaining party by Management Department.
f) 投诉方对最终处理意见表示满意时，公司管理部负责监督执行。如被投诉的是公司认证的组织，对于需要采取纠正措施的，公司应要求该组织采取纠正措施并报公司管理部。管理部（必要时，会同技委会）对认证组织提交的纠正措施的可行性进行确认。必要时，公司将对认证组织的纠正措施的有效性进行现场验证。
The complaining party expressed satisfaction to the final treatment, Management Department is responsible for supervising the implementation. If our certified organization be complained, if necessary, our company shall require our client to take the corrective actions and submit to Management Department. Management Department (if necessary, discuss with Technical Committee) confirm to the feasibility of submitted corrective actions. When necessary, the company will verify the effectiveness of corrective actions on client’s site.
g) 对于针对获证客户的有效投诉，公司应在适当的时间将投诉告知该客户，必要时监督投诉处理结果的执行。
For the effective complaints against the certified customers, the company shall inform the customers of the complaints at an appropriate time, and supervise the implementation of the complaint handling results when necessary.
h) 申诉方对公司的处理意见表示不满意时，申诉方有权对华凯的措施/决定向国家认证主管部门进行投诉。
When complaining parties don’t satisfy the response from HIC, they are entitled to complain about HIC’s actions / decisions to national certification.
4.2.3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。
Submission, investigation and decision on complaints shall not result in any discriminatory actions against the complainant.
4.3 记录与保密 Records and confidentiality
4.3.1 管理部应保存所有申投诉以及与认证有关的补救措施的记录；
The customer should keep all records about the appeals and complaints as well as the remedy action;
4.3.2 处理申投诉的工作人员应对相关未公开的信息负有保密的责任。
The personnel who handle the appeals and complaints should responsible for the confidentiality for the non--public information.
4.4 费用支付 Payment
4.4.1 经调查确认，申投诉的理由不成立时，因该项申诉、投诉及争议发生的费用由当事人或委托人支付；
It was confirmed through investigation that the fees occurred from the compliant and disputation shall be paid by party or agent when the reason of the appeals and complaints does not come into existence;
4.4.2 经调查确认，申投诉的理由成立，其责任在应诉方，所发生的费用由应诉方支付；
It was confirmed through investigation that the reason of the appeals and complaints come into existence. The respondent should take responsibility, the fees occurred from the compliant and disputation shall be paid by respondent
4.4.3 经调查确认，当事人和应诉方均对该项申、投诉负有责任时，则该项发生的费用由双方协商解决。
It was confirmed through investigation that both party concerned and respondent responsible for the appeals and complaints, the fees should be solved by discussion between two parties.
4.4.4如果国家认证主管部门认为华凯对申投诉处理结果不能被接受时，华凯将接受并配合国家认证主管部门随后进行的审查，并且不管其审查结果如何，华凯将遵照《ACCREDITATION RULE 28关于认证机构和认证组织的投诉》的要求支付国家认证主管部门的有关审查费用。
If national certification deems that the results of appeals and complaints handled by HIC is not acceptable. HIC will accept and cooperate with national certification to do the follow-up investigation. In regardless of the results, HIC will pay the fee for investigation tonational certification in line with ACCREDITATION RULE 28 Complaints About Certification Bodies and Certified Organizations .
5 引用文件及记录表单References and records
5.1 HIC-172 认证活动反馈信息处理单
HIC-172 Certification Activity Feedback Information Processing Record
