Revision History
Revision No.

Revision Date

Revised Sections

Reasons for Revision

011.01.2016-Newly enacted

104.01.2020-Revised due to organizational restructuring andchanges in department names.
Changed document number, made stamping

212.01.2021

Overall

unnecessary and Changed complaint handlingand objection process.

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Table of Contents
1. Applicability ............................................................................................................................................................ 3
2. Handling Process of Complaints ............................................................................................................................. 3
3. Handling Process of Filing of Objection .................................................................................................................. 4
4. Revision Measures and Corrective Measures ......................................................................................................... 4
5. Terms and Conditions of Providing Services ........................................................................................................... 5
Attachment 1: Flow Chart of Handling Process of Complaints ..................................................................................... 5Attachment 2: Flow Chart of Handling Process of Filing of Objection .......................................................................... 6―2―

1. Applicability-1. This procedure sets forth the provisions on the handling process of filings of complaints and objections
pertaining to the product certification operations provided by ClassNK.
2. Handling Process of Complaints
2.1 What are complaints?
-1.

Complaints are declarations of dissatisfaction from an individual or organization (including registrants)

expecting a response with regards to matters related to the product certification operations provided by ClassNK
or products that have been certified by ClassNK, and it refers to the written declaration of matters other than
filings of objections submitted to ClassNK.
2.2 Acceptance and notification-1. If ClassNK receives a complaint in writing, it shall study whether the complaint is relevant to the certification
activities and scope of certification it bears responsibility for as a certifying institution and decide on whether toaccept the filing of complaint.
-2. ClassNK shall notify the applicant in writing if it accepts the filing of complaint. If it does not accept the filing ofcomplaint, it shall send a written notification to the applicant containing the fact that the complaint was notaccepted attached with the reasons thereto.
-3. If the complaint is directed to a registrant, ClassNK may not be able to respond to the complaint due tocontractual relations with the organization, so it is recommended that the filer of the complaint directly contacts
the registrant.
2.3 Study and formulation of necessary measures-1. After accepting the complaint, ClassNK shall appoint personnel who was not involved in the said complaint tostudy the details of the complaint and check its validity.
-2. The appointed personnel shall gather and verify the necessary information. If the complaint is directed to aregistrant of ClassNK, the personnel shall contact the registrant at an appropriate timing.
-3. ClassNK shall conduct necessary studies before deciding on the measures that need to be taken and theresponse to the filer of the complaint.
2.4 Notification of response-1. ClassNK shall notify a response to the filer of complaint.
-2. ClassNK shall notify that the case has been closed to the filer of complaint if the filer of complaint agrees to theresponse.
-3. If the filer of complaint disagrees with the response, the filer of complaint may request for another study
within 30 days from the date of receiving the notification. However, the filer of complaint may only do so if he/she
has additional information to submit such as the discovery of new facts.
-4. After accepting the request for another study, ClassNK shall conduct a study in accordance with the handlingprocesses described in section 3.3 and shall notify the results in a response to the filer of complaint.
-5. If the filer of complaint disagrees with the response to the additional study and hopes to request for furtherstudy, another study shall be conducted and the results shall be deliberated.
-6. The deliberation shall be conducted by staff not involved in the filing of complaint.
-7. After deliberation, a decision shall be reached on the study results and on the response (measures) to thecomplaint, and the results of the deliberation shall be notified to the filer of complaint.

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2.5 Announcement of complaint-1. Whether or not to announce the details and results of the complaint, or the scope to which it shall beannounced, shall be decided together with the filer of complaint after consultation.
-2. ClassNK shall make a decision on whether or not to make the said announcement upon consultation with theregistrant if the registrant is the subject of complaint.
3. Handling Process of Filing of Objection
3.1 What is a filing of objection?
-1. A filing of objection is a written declaration by a filer of objection to ClassNK to reconsider a disadvantageousdecision made by ClassNK with regards to product certification operations provided by ClassNK.
3.2 Acceptance and notification-1. If ClassNK receives a written filing of objection, ClassNK shall decide on whether to accept the filing ofobjection after studying the details of the filing and evaluating its legitimacy.
-2. Someone who was not involved in the decision of the review or certification of the subject of objection shallconduct the study.
-3. ClassNK shall notify the applicant in writing if it accepts the filing of complaint. If it does not accept the filing ofcomplaint, it shall send a written notification to the applicant containing the fact that the complaint was not
accepted attached with the reasons thereto.
3.3 Study and deliberation-1. ClassNK shall conduct the study and deliberation after accepting the filing of objection. The deliberation shallbe conducted by staff not involved in the filing of complaint.
-2. After deliberation, a decision shall be reached on the study results and on the response (measures) to the filingof objection. If the filer of objection wishes, he/she may explain the reasons for filing the objection.
3.4 Notification of deliberation-1. ClassNK shall notify the results of deliberation to the filer of objection.
-2. ClassNK shall notify that the case has been closed to the filer of objection if the filer of objection agrees to thedeliberation results.
-3. If the filer of objection disagrees with the deliberation results, the filer of objection may request for anotherdeliberation within 30 days from the date of receiving the notification.
4. Revision Measures and Corrective Measures
4.1 Language and units-1. Japanese shall be used in principle for communication with ClassNK and in the documents to be submitted.
English is acceptable if ClassNK determines it appropriate. Other languages shall not be accepted.
-2. The SI unit system shall be used in principle for communication with ClassNK and in the documents to besubmitted.
-3. Certificates issued by ClassNK shall be written in both Japanese and English.
-4. Certification evaluation reports issued by ClassNK shall be prepared in Japanese.
4.2 Provision of information-1. The requester shall provide sufficient and accurate information (documents, records, etc.) that ClassNK
determines necessary for providing certification services. Documents shall be submitted as requested by ClassNK.
-2. The requester shall make available to ClassNK, as required, the records of all communications and the actions
taken in accordance with the applicable standards or other relevant standards, etc.

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4.3 Submission of documents from the requester-1. The documents requested by ClassNK shall be submitted through NK-PASS in principle, and may also besubmitted by postal mail and/or e-mail if determined appropriate by ClassNK.
5. Terms and Conditions of Providing Services
5.1 ClassNK shall take the appropriate revision measures and corrective measures in accordance with thenecessary measures decided by ClassNK with regards to the filings of objection and complaint that havebeen accepted.

Attachment 1: Flow Chart of Handling Process of Complaints―5―

Attachment 2: Flow Chart of Handling Process of Filing of Objection―6―

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