1. Handling of Complaints, Disputes and Appeals

1.1 Handling Complaints, Disputes and Appeals Procedure

1.1.1 Introduction

This procedure is established for processing complaints, disputes and appeals filed against CTC’s CDM activities, with the goal of preventing recurrence of similar complaints, disputes and appeals.

This procedure shall be made publicly available.

This procedure applies to all complaints, disputes and appeals received during the course of CTC’s CDM activities.

Confidentiality of the complaints, disputes and appeals including its subjects shall be safeguarded. No impartiality or discrimination issue shall be raised for the reason of the complaints, disputes and appeals.

1.1.2 Definition

Complaints: Formal (written) and/or informal (verbal) expressions of dissatisfaction regarding the performance of CTC in relation to its CDM function(s), from any source, such as the CDM client’s organization (CDM PP), the general public or its representatives, government bodies, NGOs, etc.

Disputes: Disagreement between CTC and the project participant (PP) regarding the CTC’s recommendation and/or opinions/decisions made at various stages during the validation and/or verification/certification functions as a DOE.

Appeals: A CDM client organization’s (CDM PP) request for a review by an independent appeals panel of various decisions taken by CTC in respect of validation and/or verification/certification functions.

1.1.3 Handling Complaints Procedure

Step

RP

Comments

(1) Raise written or verbal complaints regarding to the DOE functions to CTC.
The complaints content may be raised through formal (written) and/or informal (verbal) expressions within 30 days since the occurrence.
(2) The written complaints shall be duly filled in the Complaints, Disputes and Appeals Registration Form (F-CDM-CDA) with complainant’s signature.

Complainant

a) Complaints Contact:
i.   ccp@ctc.ac.cn:
ii. South Building, China Building Material Academy, 1# Guan Zhuang Dongli, Chaoyang District, Beijing, 100024 China
iii. +86 -10 – 5116 7351

(3) The verbal complaints  shall be recorded in the Complaints, Disputes and  Appeals  Registration  Form (F-CDM-CDA).
(4)  Reply complainant within  5  working days and cc to Responsible Person:
a)  Confirmation  of  the  receipt  of  the complaints;
b)  Acceptance  of  the  complaints or not
c)  The  handling  plan  if  the complaints accepted

AM-CCP

b)  The criteria for determine the validity of complaints is as
follows:
i.  If the complaints relates to validation or verifications carried out by CTC
ii.  If the complaints relates to
actions carried out or caused by CTC
iii.  If these actions are contrary to the requirements related to validations and verification as defined by the UNFCCC, legislative requirements and/or the CTC Quality Manual and procedures

(5)  Once the complaints are accepted, the investigation  shall  be  organized  to collect  evidence  and Non-conformity, Corrective  and  Preventive  Actions Management  Procedure (Section  5.2 of  this  book) shall  be  initiated if  any non-conformity  or  potential non-conformity  detected  from investigation.
(6)  Fill  Complaints,  Disputes  and Appeals  Report  (F-CDM-CDAR)  and send to DGM 1(QM-CCP) for approval

QM-CCP

c)  The responsible person authorized by Top Management shall not be the personnel involved in the complaints.
Generally, CDM Quality Manager is the responsible person for all complaints regarding to DOE function of CTC. Once CDM QM-CCP/DQM-CCP is
complained, one of other manager level personnel shall be appointed to take over the responsibility.

(7)  Make  approval  on  the  handling Complaints,  Disputes  and  Appeals Report (F-CDM-CDAR)

DGM 1

 

(8)  Notify  complainant  of  the  handling result and:
a)  Final  notice  the  complainants  of the  closure  of  complaints  if satisfied  response/no  response received  from  complainant  within 30 days, or;
b)  Suggest complainant of the option of  appeals  to  CTC  if  the complainants  is  unsatisfied  with the handling result.
(9)  Update Record System with:
a)Complaints,  Disputes  andAppeals  Registration  Form (F-CDM-CDA);
b) Complaints,  Disputes  and Appeals Report (F-CDM-CDAR):
(10) Confirmation and notification evidence

QM-CCP

 

1.1.4 Handling Disputes Procedure

Step

RP

Comments

(11) Raise written disputes through email/letter within 30 days since the occurrence.
(12) The  written  disputes  shall  be  duly  filled  in  the type  of  Complaints,  Disputes  and  Appeals Registration  Form  (F-CDM-CDA)  with disputants’ signature.

Disputants

d)  Disputes Contact:
i.  ccp@ctc.ac.cn:
ii.  South Building, China Building Material Academy, 1# Guan Zhuang Dong Li, Chaoyang District, Beijing, 100024, China

(13) Reply disputants within 5 working days and cc to Responsible Person:
a)  Confirmation of the receipt of the disputes;
b)  Acceptance of the disputes or not;
c)  The handling plan if the disputes accepted;

AM-CCP

e)  The criteria for determine the validity of disputes is as follows:
i.  If it is about the disagreem
ent between CTC and the project participant (PP) regarding the CTC’s recommendation and/or opinions/decisions made at various stages during the validation and/or verification/certification functions as a DOE;
ii. If the information provided is successfully verified and found to support the disputes.

(14) Once the disputes are accepted, the investigation shall  be  organized  to  collect  evidence.
Non-conformity,  Corrective  and  Preventive Actions  Management  Procedure (Section  5.2 of  this  book)  shall  be  initiated  if  any non-conformity  or  potential  non-conformity detected from the investigation.
(15) Fill Complaints, Disputes and Appeals Report (F-CDM-CDAR) and send toDGM  1(QM-CCP)  for approval.

QM-CCP

f)  The responsible person authorized by Top Management shall not be the personnel involved in the complaints. Generally, CDM Quality Manager is the responsible person for all disputes regarding to DOE function of CTC. Once CDM QM-CCP is involved into disputes, one of other manager level personnel shall be appointed to take over the responsibility.

(16) Make approval on Complaints,  Disputes  and Appeals Report (F-CDM-CDAR).

DGM 1

 

(17) Notify disputants of the handling result and:
a)  Final  notice  the  disputants  of  the  close  out of  the  disputes  if  satisfied  response/no response  received  from  disputants  within 30 days;
b)  Suggest  the  disputants  of  the  option  of appeals  to  CTC  if  the  disputants  are unsatisfied with the handling result.
(18) Update Record System with:
a)  Complaints,  Disputes  and  Appeals Registration Form (F-CDM-CDA);
b)  Complaints,  Disputes  and  Appeals Report (F-CDM-CDAR):
(19) Confirmation and notification evidence

QM-CCP

 

1.1.5 Handling Appeals Procedure

Step

RP

Comments

(20) Raise written appeals through email/letter within 10 days since the occurrence of any decisions or actions from CTC.
(21) The written appeals shall be duly filled in the type of Complaints, Disputes and Appeals Registration Form (F-CDM-CDA) with appellants’ signature.

Appellant

g)  Appeal Contact:
i.  ccp@ctc.ac.cn:
ii.  South Building, China Building Material Academy, 1# Guan Zhuang Dong Li, Chaoyang District, Beijing, 100024, China

(22) Reply the appellants within 10 working days and cc to DGM 1(QM-CCP):
a)  Confirmation of the receipt of the appeals;
b)  Acceptance of the appeals or not;
c)  The handling plan if the appeals accepted;
(23) Send  filled Complaints,  Disputes  and  Appeals Registration  Form (F-CDM-CDA) and  all  related information  to  the  Management  Committee appropriately.

QM-CCP

h)  The criteria for determine the validity of disputes is as follows:
i) If it is about the disagreement between CTC and the project participant (PP)
regarding the CTC’s recommendation and/or opinions/decisions made at various stages during the validation and/or verification/certification functions as a DOE;
ii. If the information provided is successfully verified and found to support the disputes.

(24) Once  the  appeals  accepted,  an  independent Appeal  Panel  shall  be  appointed  by  the Management Committee.

Management
Committee

i)  The members of Appeal Panel shall differ from those who carried out the validation, verification or certification activities, and/or involved in technical review functions and made decisions in the CDM project which involved into the raised appeal.

(25) The investigation shall be organized to collect evidence within 20 working days (from Clause 20 of this section). 
(26) Non-conformity, Corrective and Preventive Actions Management Procedure (Section 5.2 of this book) shall be initiated if any non-conformity or potential non-conformity detected from the investigation.  
(27) Fill Complaints,  Disputes  and  Appeals  Report (F-CDM-CDAR)  and  submit  to the  Management Committee for approval

Appeals
Panel

j)  The investigating method may include but not limited to summon a hearing, field investigation, perusal of written documents.

(28) Make  approval  of  the  handling  result  and notify QM-CCP

Management
Committee

 

(29) Notify the appellants of the handling result and:
a)  Final notice the appellants of the close out of the appeals if satisfied response/no response received from appellant within 30 days;
b)  Suggest  the  appellants  of  the  option  of complain  to  CDM  EB  if  the  appellants  are unsatisfied with the handling result.
(30) Update Record Sys with:
a) Complaints,  Disputes  and  Appeals Registration Form (F-CDM-CDA);
b)  Complaints, Disputes and Appeals Report (F-CDM-CDAR):
c)  Confirmation  notification  and  approval evidence

QM-CCP

 

CDM Complaints, Disputes and AppealsRegistration Form