Regulations on Commission on Appeals of the National Accreditation Agency of Ukraine

 GD-15.00.05: rev.09

(Approved at the Accreditation Council meeting on 21 December 2018)

 1 General provisions

1.1. Regulations on Commission on Appeals (hereinafter – Regulations) establish main rules and procedures for consideration of appeals submitted by conformity assessment bodies (hereinafter – CABs) regarding decisions, actions and inactions of the National Accreditation Agency of Ukraine (hereinafter – NAAU) and implements provisions of Articles 6, 7 and 9 of the Law of Ukraine “On accreditation of conformity assessment bodies”.

1.2 The Commission on Appeals (hereinafter – Commission) in its activity is governed by the Constitution of Ukraine, current legislation, normative and legal acts on accreditation matters, NAAU rules and procedures and these Regulations.

1.3. The Commission operates on a voluntary basis. The Commission’s activity is based on the principles of impartiality, openness and publicity.

1.4. For the purposes of consideration of appeals, NAAU management provides the Commission with premises, office equipment and other necessary accessories.

1.5. Files on consideration of appeals are processed and kept pursuant to the NAAU record keeping procedures.

2 Composition of the Commission

2.1. The Commission consists of seven members. The Accreditation Council considers member candidates of the Commission and approves its composition upon NAAU request. The Commission shall not include NAAU personnel.

2.2. Chairman and deputy chairman of the Commission are chosen during the session by simple voting.

2.3. Composition of the Commission is reviewed at the session of Accreditation Council once in 12 months.

2.4. While forming composition of the Commission, professional competence of its members in the field of technical regulation and acquaintance with accreditation procedure shall be take into account, and its independence from conflict parties shall be ensured as well.

2.5. An executive from among the NAAU staff is appointed for coordination of actions of the Commission, appellant and NAAU.

3 Obligations of the Commission

The Commission shall ensure the following:

3.1. Consideration of each appeal on CAB’s accreditation matters.

3.2. Decision making upon consideration of appeals and informing the stakeholders about it.

3.3. Adherence by the Commission members to the principles of confidentiality with respect to the information obtained in the course of consideration of appeals.

 4        Rights of the Commission

The Commission has the right to:

4.1. Address and obtain from NAAU and appellant all the necessary documents, materials and data related to consideration of appeals.

4.2. Address and involve experts, representatives of conflict parties and other organizations that may provide technical or other information necessary for the consideration of appeals.

5 Responsibility of the Commission

5.1. The Commission shall bear legal responsibility in cases of its unlawful use of the granted rights to it, including disclosure of confidential information.

6 Procedures for Submission of Appeals

6.1. An appeal shall be submitted in written form to the Chairman of the Commission to the NAAU address with references to the date of decision. The period for submission of appeals shall be thirty calendar days from the date of receiving NAAU decision. Submission of an appeal does not terminate a decision made by NAAU.

6.2 CABs may appeal decisions, actions and inactions of the national accreditation body of Ukraine related to the accreditation of relevant conformity assessment bodies by appealing to the Commission on Appeals or in court.

6.3. An appeal shall be submitted in writing upon signature of a CABs’ Director or an authorized person specifying that it is indeed an appeal, which submission right is stipulated by Article 9 of the Law of Ukraine “On accreditation of conformity assessment bodies”.

6.4 An appeal shall contain:

1) name of a CAB submitting an appeal, its address;

2) decisions, actions or inactions subject to appeal;

3) description of unlawfulness and (or) groundlessness of NAAU decisions, actions or inactions, in the opinion of a CAB;

4) clear justification of a case and a detailed description of NAAU infringements;

All required documents and materials confirming and clarifying the facts described in an appeal shall be attached to an appeal; the list of required documents as well as the request of a person submitting an appeal;

Where necessary, the Commission may demand submission of additional documents required for consideration of an appeal.

6.5. The following appeals shall not be subject to review:

- appeals, which submission period exceeded thirty calendar days from the date of receiving NAAU decision;

- recurrent appeal in case the decision on this case has been made by the Commission;

- appeals, signed by an unauthorized person;

- appeals regarding NAAU decisions that are not relevant to accreditation specified in Article 11 of the Law of Ukraine “On accreditation of conformity assessment bodies” and contradict to the content of the decisions defined in Clause 3.13 of ISO/IEC 17011: 2017 “Conformity assessment – Requirements for accreditation bodies accrediting conformity assessment bodies”.

In the event of such appeals, Chairman of the Commission or his deputy informs the appellant of the impossibility to consider the appeal.

6.6. A CAB can at any time withdraw a submitted appeal. If an appeal is withdrawn, its consideration is terminated. Consideration of an issue, connected with the appeal that has been withdrawn, is not reconsidered.

7 Procedures for Consideration of Appeals

7.1   An appeal registered in accordance with the Instruction “On the order of registration of appeals in the National Accreditation Agency of Ukraine” and other submitted materials at first shall be forwarded to the Chairman of the Commission.

Chairman of the Commission analyses potential conflict of interests concerning impartiality and confidentiality of members of the Commission on Appeals with a conflict party and draws up a conclusion. If there is a conflict of interests, a member of the Commission is not involved in consideration of the appeal and doesn’t have access to the materials of the case. After analyzing the conflict of interests, the Chairman informs CABs about the final composition of the Commission on Appeals that will consider the appeal.

7.2. Chairman of the Commission entrusts members of the Commission with preliminary consideration and processing an appeal. If required, he addresses NAAU regarding documents and materials related to the appeal.

7.3. The commission considers an appeal within one-month period from the time of its receipt. If it is impossible to resolve all issues contained in an appeal within one-month period, the Chairman of the Commission shall assign additional time for its consideration. At that, the overall period for consideration of an appeal shall not exceed forty-five days.

7.4. The Chairman of the Commission considers the processed materials and appoints a meeting date for the Commission.

7.5. The meeting is chaired by the Chairman of the Commission. The Chairman shall appoint a secretary with a view to write down the minutes during the meeting.

7.6. Meetings of the Commission are considered legitimate provided not less than four members of the Commission are present at the meeting. In the absence of a quorum on the day of the meeting, the Chairman of the Commission shall appoint a new meeting in the nearest future, subject to paragraph 7.3. of these Regulations.

7.7. Representatives of the parties are invited to participate in the consideration of an appeal. They may give oral and written explanations, put questions, provide their arguments regarding each issue of an appeal, make statements, give comment on facts described in the provided documents and materials. In cases of non-arrival of representatives of parties, the Commission is entitled to consider appeals without their participation.

7.8. Minutes of the meeting shall clearly and briefly describe the merits of an appeal, content of all issues, responses and statements.

7.9. Upon consideration of an appeal the Commission makes a decision that shall be approved at its closed meeting by a majority of votes. In the event of equal division of “for” and “against” votes, the Chairman will have the casting vote.

If the Commission considers the decision made by NAAU reasonable and such that corresponds to normative accreditation documents, the CAB appeal is considered unjustified.

If the Commission considers decisions made by NAAU as such that were made with violation of normative accreditation documents and/or procedures, rules, techniques it makes a decision on justification of an appeal and recommends NAAU to eliminate the respective violation.

7.10. Decisions of the Commission are fixed in the meeting minutes signed by the Chairman of the Commission and all its members present at the meeting.

7.11. The Commission informs all the parties about its decision in written form.

7.12. Decision of the Commission may be subject to appeal in court proceeding pursuant to the current legislation.

7.13. Minutes of the Commission’s meetings shall be kept in NAAU for ten years.