Certification Body Management Method

State Administration of Quality Supervision, Inspection and Quarantine "Certification Authority Management Measures"

(Official Order No. 193)

The Measures for the Administration of Certification Bodies have been examined and approved by the Administration Bureau of the General Administration of Quality Supervision, Inspection and Quarantine on October 10, 2017 and are hereby promulgated and will come into force on January 1, 2018.

Secretary

November 14, 2017

Certification Body Management Method

Chapter I General Provisions

Article 1 In order to strengthen the supervision and administration of the certification body, standardize the certification activities and enhance the effectiveness of the certification, according to the provisions of the relevant laws and administrative regulations of the People's Republic of China on Certification and Accreditation (hereinafter referred to as the Certification and Accreditation Regulations) Method.

Article 2 The certification bodies referred to in the present Measures refer to the certification bodies with legal personality that independently qualify for conformity with the standards, relevant technical specifications, and obtain qualifications according to law, and whether the products, services and management systems meet the standards or not.

Article 3 These Measures shall apply to the certification bodies that conduct certification activities in the territory of the People's Republic of China and their supervision and administration.

Article 4 The State Administration of Quality Supervision, Inspection and Quarantine (hereinafter referred to as AQSIQ) shall be responsible for the supervision and administration of the certification body.

The Certification and Accreditation Administration of the People's Republic of China (hereinafter referred to as the CNCA) is responsible for examining and approving the qualification of the certification body and the supervision and management of its certification activities.

The quality and technical supervision departments of the local people's governments at or above the county level and the exit and entry inspection and quarantine departments of the SAQSIQ (hereinafter referred to as the local certification and supervision departments) shall, in accordance with the provisions of the present Measures, be responsible for the division of responsibilities according to their respective responsibilities. Engaged in the supervision and management of certification activities.

Article V Certification bodies engaged in certification activities should follow the principle of fairness and openness, objective independence, honesty and credibility, safeguarding the social credit system.

Article 6 The certification body and its personnel shall have the duty of confidentiality to the state secrets and commercial secrets known to them in their certification activities.

Chapter II qualification approval

Article 7 The qualification of a certification body shall be approved by the CNCA. Without approval, no entity or individual may engage in certification activities.

Article 8 To obtain the qualification of a certification body, the following conditions shall be met:

(A) To obtain legal personality;

(B) A fixed office space and the necessary facilities;

(C) Management system meets the certification requirements;

(D) The registered capital of not less than 3 million yuan;

(E) There are more than 10 full-time certified personnel in the corresponding fields.

The certification body engaged in product certification activities shall also have the technical capability of testing and inspection in accordance with the relevant product certification activities.

A foreign-invested enterprise that has obtained the qualification of a certification body within the territory of the People's Republic of China shall, in addition to meeting the above conditions, also meet other conditions as set forth in the Certification and Accreditation Ordinance.

Article IX certification body qualification approval process:

(1) The applicant (hereinafter referred to as the applicant) of the qualification of the certification body shall apply to the CNCA for the submission of relevant certification documents that meet the conditions as prescribed in Article 8 of these Measures and shall be responsible for its authenticity, validity and legality ;

(2) CNCA shall conduct the preliminary examination of the supporting documents submitted by the applicant and make a written decision of acceptance or disapproval within 5 days from the date of receipt. If the application materials are incomplete or do not conform to the statutory form, they shall inform the applicant of all the necessary amendments at one time;

(3) CNCA shall, within 45 days from the date of accepting the application for accreditation of the certification body, make a decision on whether or not to approve it. The decision to approve, to the applicant issued a "certification body approval." If the decision is not approved, the applicant shall be notified in writing and the reasons shall be given.

The need for the applicant's certification, testing, inspection and other technical capabilities for expert review, expert review time shall not exceed 30 days. Assessment time is not counted in the approval period.

Article 10 The CNCA shall formulate, adjust and publish the catalogs in the field of certification and the certification body shall conduct the certification activities in accordance with the basic certification norms and certification rules within the approved certification areas.

Certification and Accreditation Administration has not yet developed certification rules, certification bodies can develop certification rules, and certification rules within 30 days after the release, the certification rules will be reported to the National Certification and Accreditation Commission for the record.

Article 11 Where a certification body has any of the following circumstances, it shall, within 30 days from the date of the change, apply to the CNCA for the alteration procedure of the "Approval Letter of the Certification Body":

(A) To narrow the area of ​​approval certification;

(2) Changing the nature of the legal person, the shareholder or the registered capital;

(Three) merger or division;

(D) Change the name, domicile, legal representative.

Expand the field of certification, by the CNCA in accordance with the provisions of Article IX of this approach shall be handled.

Article XII "certification body approval" is valid for 6 years.

Where the certification body needs to renew the period of validity of the "Certification Body Approval Letter", it shall submit an application to the CNCA 30 days before the expiration of the "Certification Body Approval Letter".

The CNCA shall make a written review of the certification body that submitted the renewal application in accordance with the qualification conditions and examination and approval procedures stipulated in the present Measures and make a decision on whether to grant the renewal before the expiration of the "Certification Body Approval Letter".

Chapter III Code of Conduct

Article 13 The certification body shall establish a risk prevention mechanism, take reasonable and effective measures and take corresponding social responsibilities for the risks and liabilities it may incur in its certification activities.

Certification bodies shall not exceed the scope of approval to engage in certification activities.

Article 14 The certification body shall establish and improve the management system of certified personnel and regularly train the certified personnel to ensure that their capabilities continue to meet the relevant requirements of the state regarding the occupational qualification of certified personnel.

Certification bodies may not employ national laws and regulations and national policies prohibit or restrict the certification activities of personnel.

Article 15 The certification body shall announce the following information through its website or other forms and ensure its authenticity and validity:

(A) Self-declaration of certification activities in accordance with the law;

(B) The field of certification, certification rules, certification style, certification mark style;

(3) The name, address and certification activities of the branch offices established to undertake the certification activities;

(D) Certification fees;

(E) The certificate valid, suspended, canceled or revoked state.

Mandatory product certification bodies should also be in accordance with the relevant provisions of the national commission, announced the compulsory product certification information.

Article 16 A certification body engaging in certification activities shall meet the procedural requirements stipulated in the basic norms and certification rules of the certification body to ensure that the certification process is complete, objective and true and the requirements of the procedures shall not be increased, decreased or omitted.

Article 17 When engaging in certification activities, the certification body shall verify the following conditions of the certification target:

(A) Have the relevant statutory qualifications, qualifications;

(2) The products, services and management system entrusted for certification comply with the requirements of relevant laws and regulations;

(C) Is not included in the national credit information serious dishonesty related to the list.

Certification objects do not meet the above requirements, the certification body shall not issue a certificate.

Article 18 The certification body and its certified personnel shall make the conclusion of the certification in time to ensure that they are objective and true and bear the corresponding legal responsibilities.

The certification body and its certificated personnel shall not issue any false or seriously incorrect certification conclusion. In any of the following circumstances, the certification conclusion is false or serious.

(1) The certification personnel who fail to meet the requirements of the certification rules shall enter the site without going through the examination, examination or examination on the spot;

(B) Impost to replace other certified personnel to implement the review, inspection or review;

(3) Forging authentication files, records and materials;

(4) The contents of the matters specified in the certificate of certification are grossly untrue;

(5) Selling or transferring the certificate to the object that has not passed the certification.

Article 19 If the certification conclusion meets the certification requirements, the certification body shall issue a certification certificate to the certification object in time.

The certification body shall, through its website or other means, provide the public with a means of checking the validity of the certification.

Article 20 The certification body shall require the certification object to correctly use the certification certificate and certification mark. If the certification body fails to use the certification mark, the certification body shall take effective corrective measures.

Article 21 The certification body shall effectively follow and supervise its certified products, services and management system.

If the certification authority fails to meet the certification requirements continuously, the certification body shall suspend the certification certificate corresponding to the certification target within 5 days after confirming the relevant circumstances. The suspension of the period of time does not meet the requirements, it should withdraw its corresponding certificate.

Suspension period in accordance with the relevant provisions of the certification rules.

Article 22 The certification body shall make a complete record of the certification process and keep the corresponding certification data.

Certification records and certification information should be true and accurate, archiving retention time for the certificate expire or be canceled, canceled more than 2 years from the date of certification should be used in Chinese records.

During the valid period of the certificate, the authentication records, certification documents, etc. signed or signed by all parties involved in the certification activities shall keep the original documents that have the force of law.

Article 23 The certification body shall submit the following information to the CNCA timely and ensure its truthfulness and effectiveness:

(A) Certification program information;

(B) Certification activities related to the certification results, certification personnel, certification object information;

(3) Valid, suspended, canceled or revoked status information of the certificate

(D) The establishment of its certification activities of the branches.

The certification body shall obtain the information from the CNCA within 10 days from the date of signing the subcontracting contract when the subcontracting contract concluded with the certification body outside the country with the certification result out of the scope of the approved certification.

Article 24 The certification body shall submit the following report to the CNCA by the end of March of each year, guaranteeing its truthfulness and effectiveness:

(I) Work Report of the Previous Year: It mainly includes the basic conditions of employment, personnel, business conditions and the financial and accounting audit reports issued by accounting firms that meet the requirements of the national qualification;

(II) Social Responsibility Report: It mainly includes the general situation of the organization, the core values ​​of the organization and its development concept, the social responsibility commitment of the top management of the organization, the corporate social responsibility strategy and the performance of the organization's social responsibility.

Article 25 The certification body and the certification object shall cooperate with the supervision and inspection work carried out by the CNCA and the local certification supervisory and administrative department, and truthfully provide related materials and information for inquiries and investigations on relevant issues.

Chapter IV Supervision and Management

Article 26 The CNCA shall supervise and inspect the certification body's compliance with the Regulations on Certification and Accreditation, the present Measures and the relevant departmental rules and regulations.

The local certification and supervision department shall, according to the division of statutory functions and duties, carry out daily supervision and inspection on the certification activities and certification results within its jurisdiction and investigate and punish the illegal acts and establish corresponding coordination work mechanisms.

Local certification and supervision departments should investigate and deal with violations of relevant information promptly submitted to CNCA.

Article 27 The CNCA and the local certification supervisory and administrative department shall randomly conduct spot checks on the certification activities and certification results of the certification bodies and the results of the random inspection shall be disclosed to the public in time.

The CNCA and the local certification and supervision department shall supervise the CBs in accordance with the random checks, administrative penalties, complaints and complaints, lists of bad faith and big data analysis.

Article 28 The CNCA announces the following information on its website:

(A) The list of certification bodies that have obtained the qualification according to law;

(2) A report submitted by a certification body in accordance with the provisions of Article 24 of these Measures;

(C) Random sampling results;

(D) Of the certification body and its certified officers administrative penalties information;

(E) The certification body and its legal representative, principal responsible person, certified staff, credit list and dishonesty information.

Confiscation list and dishonest information management regulations shall be formulated by CNCA in accordance with laws, regulations and relevant requirements of the state policies.

Article 29 Where an applicant whose qualification of a certification body is qualified, its legal representative, principal responsible person, certified personnel, etc., is listed in the list of the subjects of the national credit information dishonesty, the application for the qualification of the certification body shall not be approved.

Where a certification body, its legal representative, principal responsible person, and certified personnel are listed in the list of dishonest subjects of national credit information or the list of dishonest issues promulgated by the CNCA, the qualification application of the certification body and the field of certification shall not be approved.

Article 30 Where a CNCA or a local certification supervisory and administrative department discovers in a supervisory inspection that a certification body has any of the following circumstances, it shall give a caution and order it to make corrections:

(1) Failing to publish information in accordance with the provisions of Article 15 of these Measures;

(2) Failing to provide the public with the means for inquiring the validity of the certification certificate in accordance with the provisions of the second paragraph of Article 19 of these Procedures.

Article 31 In one of the following circumstances, the CNCA may, in accordance with the request of the interested parties or according to its functions and powers, revoke the "ratification of the certification body":

(A) CNCA staff abuse of power, negligence issued;

(B) Beyond the statutory authority issued;

(3) Issued in violation of legal procedures;

(4) Issuing to applicants who do not have the qualifications or do not meet the statutory requirements;

(5) The certification body does not have or can not continuously meet the statutory conditions and abilities;

(6) Other situations that can be canceled according to law.

Where fraud, bribery and other illegitimate means are used to obtain the qualification of a certification body, the CNCA shall revoke the "ratification certificate of the certification body"; the applicant shall not apply again for the certification body's qualification within 3 years.

Article 32 Where a certification body has any of the following circumstances, the CNCA shall go through the formalities for canceling the "approval of the certification body":

(1) The expiration of the validity period of the "ratification of the certification body", failure to apply for renewal or reexamination shall not be renewed;

(2) "Approval Agency of Certification Body" has been revoked according to law;

(C) The certification body to apply for cancellation;

(4) The certification body is terminated according to law;

(E) Other laws and regulations should be canceled.

Article 33 A certification body may, through the approval of an accreditation body, prove that its certification capability can continuously meet the relevant requirements.

The accreditation body shall effectively follow and supervise the accredited certification body and promptly report the violations found in the accreditation supervision to the CNCA.

Article 34 The certification and accreditation association shall step up the self-management of the industry of certification bodies and certification personnel, find out the illegal acts of certification bodies or certification personnel, and report to CNCA in time.

Article 35 Any unit or individual shall have the right to report to the CNCA and the local certification supervisory and administrative department about the illegal activities in the certification activities. CNCA and local certification and supervision departments shall promptly investigate and deal with, and confidentially for informants.


Chapter V Legal Liability

Article 36 Whoever conceals the relevant information or provides false materials to apply for the qualification of a certification body shall not be accepted or disapproved by the CNCA and shall be given a warning; and the applicant shall not apply again for accreditation of a certification body within 1 year.

Article 37 Where a certification body has any of the following circumstances, the CNCA shall order it to make corrections within a time limit, give a warning and make it public:

(1) Failing to submit the relevant information of the certification rules to the CNCA for the record according to the provisions of the second paragraph of Article 10 of the present Measures;

(2) Failing to go through the formalities of alteration in accordance with the provisions of Article 11 of these Measures;

(3) Failing to comply with the relevant requirements of the national occupational qualification in accordance with the provisions of Article 14 of these Measures or engaging the personnel prohibited or restricted in the certification activities by the laws, regulations and national laws of the State;

(4) Failing to submit information and reports to the CNCA in accordance with the provisions of Article 23 and Article 24 of these Measures.

Article 38 Where a certification body has any of the following circumstances, the local certification supervisory and administrative department shall order it to make corrections and impose a fine of 30,000 yuan:

(A) After being warned or warning has not been corrected;

(2) Issuing a certificate to the object of certification in violation of the provisions of Article 17 of these Measures;

(3) Violating the provisions of Article 20 of these Measures, finding that the certification object does not correctly use the certification certificate and certification mark, and fails to take effective measures to correct it;

(4) In violation of the provisions of Article 25 of these Measures, they shall not cooperate with, assist, refuse, conceal or provide relevant materials and information in the supervision and inspection work.

Article 39 Where a certification body, in violation of the provisions of Article 16 of these Measures, increases, decreases or omits the procedural requirements, it shall be punished in accordance with the provisions of Article 60 of the Certification and Accreditation Ordinance. Certification bodies have been ordered to suspend business for rectification, suspension of rectification period of 6 months, may not engage in certification activities during the period.

Certification bodies to increase, reduce, omission of the program requirements, the circumstances are minor and does not affect the objectivity, authenticity or certification effectiveness of the conclusion should be ordered to correct within a time limit. If the correction is not made within the prescribed time limit or the correction still fails to meet the requirements, the punishment shall be imposed in accordance with the provisions of the preceding paragraph.

Article 40 Where a certification body issues a false or serious factual conclusion of certification in violation of the provisions of Article 18 of these Measures, it shall be punished in accordance with the provisions of Article 62 of the Certification and Accreditation Regulation.

Article 41 Where a certification body violates the relevant laws and administrative regulations of the Certification and Accreditation Ordinance, it shall be investigated for its legal responsibilities in accordance with the relevant provisions.

Article 42 CNCA and local certification supervisory and administrative departments and their staff members shall supervise the certification activities according to law, and abuse their powers, practice favoritism and commit irregularities and neglect their duties shall be given administrative sanctions in accordance with the law; if they constitute a crime, Investigate criminal responsibility according to law.

Chapter VI Supplementary Provisions

Article 43 The time limit for the implementation of administrative licensing by the CNCA in these Measures shall be calculated on working days and shall not include statutory holidays.

Article 44 Qualifications of certification bodies of investment enterprises in Hong Kong, Macao and Taiwan in mainland China shall be handled in accordance with the provisions of Article 8 of these Measures and the provisions of these Measures shall be complied with.

Article 45 The Measures shall be interpreted by the SAQSIQ.

Article 46 These Procedures shall come into force on January 1, 2018. AQSIQ's Measures for the Administration of Certification Bodies promulgated on July 20, 2011 and the Decision of the General Administration of Quality Supervision, Inspection and Quarantine promulgated on May 11, 2015 on the revision of the Measures for the Administration of Certification Bodies were repealed at the same time.