(20 1 1 promulgated by decree no 2004/2005. On July 20th, AQSIQ141; According to the law. AQSIQ 164 Date 1 1 2065 438 Decision of AQSIQ on Amending the Measures for the Administration of Certification Bodies)
Chapter I General Principles
Article 1 In order to strengthen the supervision and management of certification bodies, standardize certification activities and improve the effectiveness of certification, these Measures are formulated in accordance with the Regulations of People's Republic of China (PRC) Municipality on Certification and Accreditation (hereinafter referred to as the Regulations on Certification and Accreditation) and other relevant laws and administrative regulations.
Article 2 The term "certification body" as mentioned in these Measures refers to a certification body with legal person status, which is approved to be established according to law and independently engages in conformity assessment activities of products, services and management systems that meet the requirements of standards and relevant technical specifications.
Article 3 These Measures shall apply to the certification activities in People's Republic of China (PRC) and the supervision and administration of certification institutions.
Article 4 The General Administration of Quality Supervision, Inspection and Quarantine (hereinafter referred to as AQSIQ) is responsible for the supervision and administration of certification bodies.
The National Certification and Accreditation Administration (CNCA) is responsible for the establishment of certification bodies, the relevant examination and approval, and the supervision and management of their business activities.
The quality and technical supervision departments of the people's governments of provinces, autonomous regions and municipalities directly under the Central Government (hereinafter referred to as the provincial quality and technical supervision departments) and the entry-exit inspection and quarantine institutions directly under the Central Government (hereinafter referred to as the inspection and quarantine institutions directly under the Central Government) shall be responsible for the supervision and management of certification activities within their respective jurisdictions in accordance with the provisions of these Measures and their division of responsibilities.
Article 5 Certification institutions shall follow the principles of fairness, openness, objectivity, independence, honesty and credibility when engaging in certification activities, and maintain the social credit system.
Article 6 Certification bodies and their personnel have the obligation to keep confidential the state secrets, commercial secrets and technical secrets they know in their business activities.
Chapter II Establishment and Examination and Approval
Article 7 The establishment of a certification body shall obtain the qualification of a legal person according to law, and can only engage in certification activities within the approved scope after being approved by CNCA.
Without approval, no unit or individual may engage in certification activities.
Article 8 The establishment of a certification body shall meet the following conditions:
(1) Having a fixed office space and necessary facilities;
(2) Having articles of association and management system that meet the requirements of certification and accreditation;
(3) Its registered capital is not less than 3 million yuan;
(4) Having a full-time Certification staff of 10 or above in the corresponding field;
(5) The chairman, general manager (director) and management representative (hereinafter referred to as senior management personnel) of a certification body shall meet the requirements of relevant national laws and regulations and the relevant provisions of the General Administration of Quality Supervision, Inspection and Quarantine and the National Certification and Accreditation Administration, and have the necessary management ability to perform their duties;
(6) Conditions stipulated by other laws and regulations.
Certification institutions engaged in product certification activities should also have technical capabilities such as testing and inspection that are suitable for engaging in related product certification activities.
Article 9 To establish a certification body in China, a foreign investor shall meet the following conditions in addition to those specified in Article 8 of these Measures:
(1) The foreign investor is an institution with more than 3 years of certification experience in the corresponding field outside China, and is legally registered in the relevant competent department of the country or region where it is located, with no bad record;
(2) The foreign investor has been recognized in the corresponding field by a recognized institution in the country or region where it is located or by the relevant competent department.
The establishment of certification bodies in China by foreign investors shall also comply with the relevant foreign investment laws, administrative regulations and the State's guiding policies for foreign investment industries.
Article 10 Examination and approval procedures for the establishment of certification bodies:
(1) The applicant for establishing a certification body (hereinafter referred to as the applicant) applies to CNCA and submits valid certification documents and materials that meet the conditions stipulated in Articles 8 and 9 of these Measures;
(2) CNCA shall make a preliminary examination of the application materials submitted by the applicant, and make a written decision on acceptance or rejection within 5 days from the date of receiving the application materials. If the application materials are incomplete or inconsistent with the statutory form, the applicant shall be informed of all the contents that need to be supplemented at one time;
(3) CNCA shall make a decision of approval or disapproval within 45 days from the date of accepting the application for establishing a certification body. If approval is decided, an approval certificate shall be issued to the applicant; If it decides not to approve, it shall notify the applicant in writing and explain the reasons;
(4) CNCA can organize relevant experts to evaluate the applicant's technical capabilities such as certification and testing as needed. The expert review time does not exceed 30 days, which is not counted in the time limit of CNCA approval;
(5) CNCA will announce to the public and publish the list of legally established certification bodies on its website.
CNCA should follow the principles of rational allocation of resources, convenience, high efficiency, openness and transparency in approving certification bodies.
Eleventh "approval certificate" is valid for 6 years.
If a certification body needs to extend the validity period of the certificate of approval, it shall apply to CNCA 30 days before the expiration of the validity period of the certificate of approval.
CNCA shall, in accordance with the establishment conditions and examination and approval procedures stipulated in these Measures, conduct a written examination of the certification body applying for renewal, and make a decision on whether to approve the renewal before the expiration of the validity period of the certificate of approval of the certification body.
Article 12 When establishing a subsidiary, a certification institution shall obtain the registration from the company registration authority according to law, and can only carry out certification activities within the approved scope after being approved by CNCA in accordance with the provisions of Articles 8 and 10 of these Measures.
Thirteenth certification bodies can set up offices engaged in business publicity and promotion activities within the approved scope.
Article 14 An overseas certification body may set up a representative office in China to engage in publicity and promotion activities related to its business scope.
Article 15 Where a certification body subcontracts the certification services of overseas certification bodies whose certification results are used overseas by contract, it shall obtain the approval of relevant certification fields in advance, and file with CNCA within 10 days from the date of signing the contract, and bear the corresponding certification risks and responsibilities.
Sixteenth in any of the following circumstances, the certification body shall apply to CNCA for the relevant change procedures according to law:
(1) The certification body narrows the approved business scope;
(2) The legal person nature, shareholders and registered capital of the certification body have changed;
(3) Merger or division of certification bodies;
(four) the certification body changes its name, domicile, legal representative and senior management personnel;
(five) other major changes in the certification body.
The application for expanding the business scope shall be handled by CNCA with reference to the provisions of Article 10 of these Measures.
Chapter III Code of Conduct
Seventeenth certification bodies should carry out certification activities fairly, independently and objectively, establish a risk prevention mechanism, take reasonable and effective measures for the risks and responsibilities that may be caused by their certification activities, and bear corresponding social responsibilities.
Certification bodies and their subsidiaries, branches and offices shall not have any interest in assets, management or personnel with certification consulting institutions and certification clients.
Article 18 A certification body shall establish a quality system to ensure the standardization and effectiveness of certification activities, carry out certification according to the procedures specified in the basic certification standards and certification rules, and make certification conclusions.
If CNCA has not formulated the certification rules, the certification institution may formulate the certification rules by itself and report them to CNCA for the record.
Nineteenth certification bodies shall publish their certification scope, certification rules and charging standards, as well as the names, business scope and addresses of their subsidiaries, branches and offices through their websites or other forms, and ensure that the information content is true and effective.
Twentieth certification bodies and their branches and subsidiaries shall, in addition to the responsibilities and obligations stipulated by laws and regulations, comply with the following requirements:
(1) The address registered in the industrial and commercial registration is the core office, which uniformly publishes and submits certification information.
(2) When a certification body has several offices to carry out certification activities, it shall ensure that all offices adopt the same quality management system and procedures, and control all personnel and certification process.
Twenty-first certification bodies shall establish and improve the management system of Certification staff, conduct regular capacity training and evaluation of Certification staff, ensure that the capacity of Certification staff continues to meet the requirements, and ensure that there are a reasonable number of full-time Certification staff and technical experts in the certification audit process.
Certification bodies shall not employ or use persons who are prohibited from engaging in certification activities by national laws and regulations.
Article 22 A certification body shall verify whether the fields, products and contents entrusted by the certification client conform to the relevant laws and regulations and their legal person qualifications, plan the whole certification process according to the scale, nature, organization and complexity of the certification client's products, formulate specific implementation, testing, inspection and supervision plans, and designate Certification staff and technical experts with corresponding capabilities to carry out certification.
Article 23 A certification body shall effectively control the whole certification process according to the procedures stipulated in the basic certification standards and certification rules, ensure that the certification and product testing processes are complete, objective, true and traceable, and shall not add, reduce or omit certification procedures and activities, and shall be equipped with Certification staff with corresponding capabilities and professional knowledge to evaluate the above processes.
Certification bodies should formulate corresponding procedures to evaluate and effectively control the certification results, and have clear provisions and evaluation requirements for the issuance, suspension or revocation of certification certificates.
Twenty-fourth certification bodies should make a complete record of the whole process of certification, and keep the corresponding certification materials. Records should be true and accurate to confirm the effective implementation of certification activities. Records and materials shall be in Chinese, and the filing time shall be consistent with the validity period of the certification certificate.
Twenty-fifth certification bodies and their Certification staff shall make certification conclusions in a timely manner, and ensure that the certification conclusions are objective and true. The certification conclusion is signed by Certification staff and provided by the certification body to the certified customers. Certification bodies and their Certification staff shall be responsible for the certification results and bear corresponding legal responsibilities.
Article 26 If the authentication conclusion meets the requirements, the authentication institution shall issue the authentication certificate to the authentication client in time and allow the use of the authentication mark. The certification certificate shall be issued by the personnel authorized by the certification body.
The certification certificate shall specify the name, address, coverage, products, standards on which certification is based or relevant technical specifications, validity period and other contents, and the contents contained in the certification certificate shall conform to the actual situation of certification implementation.
The certification certificate of the certification body shall be submitted to CNCA for filing within 30 days after confirmation.
The certification body shall provide the public with a way to inquire about the validity of the certification certificate.
Twenty-seventh after the merger or division of certification bodies, it shall deal with the certification certificates issued before the change, and convert the relevant certification certificates according to the prescribed procedures.
After the certification body is cancelled and its accreditation qualification is revoked, the certified organization holding the valid certification certificate of the institution can convert the certification certificate into a certification body recognized by CNCA; The certification body that accepts the certificate conversion shall carry out the conversion in accordance with the prescribed procedures and report the conversion results to CNCA.
Twenty-eighth certification bodies shall require certified organizations to use certification certificates and certification marks correctly within the scope of certification, and take effective corrective measures against misuse and non-use of certification certificates and certification marks in accordance with regulations.
Article 29 A certification body shall, in accordance with the requirements of the basic certification standards and certification rules, effectively track and supervise its certified products, services and management systems, and determine a reasonable frequency of supervision and inspection to ensure that the certified products, services and management systems continue to meet the certification requirements; For those who do not meet the certification requirements continuously, the certification institution shall suspend or revoke its certification certificate, and announce it to the public in a timely manner, and take effective measures to avoid the continued use of invalid certification certificates and certification marks.
Thirtieth branches established by certification bodies shall engage in certification activities within the approved scope in the name of certification bodies, and carry out their work in accordance with the provisions of these Measures and the requirements of basic certification norms and certification rules.
Article 31 The offices established by certification bodies and the representative offices and personnel established by overseas certification bodies in China shall not engage in activities such as signing certification contracts, organizing on-site audits (inspections), issuing audit (inspections) reports, implementing certification decisions, and collecting certification fees. , shall not directly or in disguised form engage in certification training and certification consulting activities.
Chapter IV Supervision and Inspection
Article 32 The General Administration of Quality Supervision, Inspection and Quarantine and CNCA shall supervise the compliance of certification bodies with the Regulations on Certification and Accreditation and these Measures.
CNCA is responsible for inspecting the operation of certification bodies, conducting spot checks on certification results and certification activities, and publishing the results of inspection and spot checks and the list of relevant certification bodies and certification organizations.
Article 33 CNCA implements the system that certification bodies submit certification business information and publish annual work reports.
Certification institutions shall submit certification business information to CNCA in accordance with relevant regulations, including the establishment of branches and offices, details of certified institutions, suspension or revocation of certification certificates and business information related to certification results.
CNCA shall timely summarize and publish relevant information and data submitted by certification bodies.
A certification body shall submit a work report of the previous year to CNCA before the end of March each year, including: basic information of employment, personnel, operating conditions, quality analysis, and financial accounting audit reports issued by accounting firms that meet the national qualification requirements.
Article 34 Quality and technical supervision departments at all levels and local entry-exit inspection and quarantine institutions (hereinafter referred to as local certification supervision and administration departments) shall, according to their respective functions and duties, regularly supervise certification activities within their respective jurisdictions, investigate and deal with certification violations, and establish corresponding supervision and coordination mechanisms.
Article 35 The General Administration of Quality Supervision, Inspection and Quarantine and CNCA shall supervise and guide the provincial quality and technical supervision departments and their directly affiliated inspection and quarantine institutions to carry out certification and law enforcement.
The provincial quality and technical supervision department shall supervise and guide the certification law enforcement work carried out by the municipal and county quality and technical supervision departments. The inspection and quarantine institutions directly under the central government shall supervise and guide the certification and law enforcement work carried out by the branches.
Provincial quality and technical supervision departments and directly affiliated inspection and quarantine institutions shall submit the certification supervision and management of the previous year in their respective jurisdictions to CNCA before the end of March each year.
Thirty-sixth CNCA and local certification supervision and management departments found the following problems in administrative management, after investigation and verification, they should give a warning to the certification bodies and order them to correct:
(1) Signing a subcontract with an overseas certification body without filing with CNCA;
(2) The self-made certification rules have not been filed in CNCA;
(3) The certification certificate has not been filed, or the style of the certificate issued to the certified organization or product does not match the style of the filing certificate.
Article 37 The State encourages certification bodies to pass the accreditation of accreditation bodies to prove that their ability to carry out certification meets the requirements; If the laws and administrative regulations stipulate that accreditation should be obtained, the certification body shall pass the accreditation according to the statutory requirements.
Recognized institutions shall effectively track and supervise the recognized certification institutions and conduct spot checks on the conformity of certification results. Certification bodies that continuously fail to meet the accreditation requirements will be suspended or revoked. Report the illegal acts found in the registration supervision to CNCA in time.
Article 38 Certification and Accreditation Association shall strengthen the self-discipline management of certification institutions, evaluate the compliance of certification institutions with laws, regulations and industry self-discipline norms, and report to CNCA in time if it finds any illegal acts of certification institutions.
Thirty-ninth certification bodies and certification organizations shall cooperate and assist the supervision and inspection work carried out by CNCA and local certification supervision and management departments, and truthfully provide relevant materials and information for inquiries and investigations on related matters.
Article 40 If the certified organization has product quality and safety accidents, environmental pollution or occupational health and safety accidents, and the administrative organ finds that the products do not meet the statutory requirements through supervision and spot check, the certification institution shall suspend or revoke the certification certificate according to the specific circumstances, and timely notify CNCA, local certification supervision and management departments and relevant departments, and cooperate with relevant administrative organs to track, supervise and inspect the certified organization.
Article 41 In case of any of the following circumstances, CNCA shall go through the cancellation procedures of the certificate of approval of the certification body according to law:
(1) The period of validity of the Approval Certificate expires and no application for renewal has been made;
(two) the "approval certificate" expires, and it does not meet the decision to continue approval after examination;
(3) The certification body is terminated according to law;
(4) Other circumstances that should be cancelled according to laws and regulations.
Article 42 Under any of the following circumstances, CNCA may, at the request of interested parties or according to its functions and powers, revoke the approval decision of certification bodies:
(a) CNCA staff abuse their powers and neglect their duties to make a decision of approval;
(two) beyond the statutory authority to make a decision of approval;
(3) Making an approval decision in violation of legal procedures;
(four) to approve the applicant who does not have the qualification to apply or does not meet the statutory conditions;
(five) the certification body does not have or can not continuously meet the statutory conditions and capabilities;
(six) other circumstances in which the approval decision can be revoked according to law.
Article 43 Any unit or individual has the right to complain or report to AQSIQ, CNCA or local certification supervision and management departments about illegal acts in certification activities, and CNCA or local certification supervision and management departments shall promptly investigate and handle them, and keep confidential the informants.
Chapter V Legal Liability
Article 44 If an applicant conceals relevant information or provides false materials to apply for the establishment of a certification body and other examination and approval items, CNCA will not accept or disapprove it and give a warning; The applicant shall not apply for the establishment of certification bodies and other examination and approval matters again within 1 year.
Article 45 If the applicant obtains the certificate of approval for the establishment of a certification body and other examination and approval items by fraud, bribery or other improper means, CNCA shall revoke its certificate of approval; The applicant shall not apply for the establishment of a certification body again within 3 years.
Article 46 If a certification body establishes a subsidiary to engage in certification activities without approval, the local certification supervision department shall order its subsidiary to stop certification activities and impose a fine of 6,543,800 yuan but not more than 500,000 yuan. If there are illegal gains, the illegal gains shall be confiscated. CNCA gave the certification body a six-month suspension of business for rectification, and Certification staff, the responsible person, was given a penalty of 1 year; If the circumstances are serious, CNCA shall revoke the approval certificate of the certification body, and revoke the qualification of Certification staff who is responsible and make it public.
Article 47 Where an office set up by a certification body engages in certification activities such as signing certification contracts, organizing on-site audits (inspections), issuing audit (inspection) reports, executing certification decisions, and collecting certification fees, the local certification supervision department shall impose a fine of 654.38 million yuan to 500,000 yuan, and confiscate the illegal income if there is any; CNCA gave the certification body six months to suspend business for rectification, and imposed a penalty of 1 year on Certification staff who was responsible, and made an announcement.
Article 48 If a representative office established by an overseas certification institution in China engages in certification activities such as signing certification contracts, organizing on-site audits (inspections), issuing audit (inspection) reports, executing certification decisions, and collecting certification fees, the local certification supervision department shall order it to stop its illegal acts and impose a fine of 6,543,800 yuan to 500,000 yuan. If there are illegal gains, the illegal gains shall be confiscated.
Article 49 If a certification body subcontracts the certification results to an overseas certification body to engage in certification business without obtaining the recognition in the corresponding certification field, CNCA shall order it to make corrections and give it a warning; If the circumstances are serious, suspend business for rectification for 6 months and make an announcement; Certification staff who is responsible will be punished by stopping practicing 1 year; If there are illegal gains, the illegal gains shall be confiscated.
Article 50 In any of the following circumstances, CNCA or the local certification supervision department shall order it to make corrections, give it a warning and make it public:
(a) full-time Certification staff changes, the number does not meet the requirements;
(two) the certification body has changed, and the change procedures have not been handled according to the regulations;
(3) Failing to submit the annual review report on time, failing to submit the information such as the establishment of branches and offices, certified institutions, etc. as required, or submitting inaccurate materials;
(four) other violations of the provisions of these measures.
Article 51 In any of the following circumstances, CNCA or the local certification supervision department shall order it to make corrections within a time limit. If no correction is made within the time limit, a fine of thirty thousand yuan may be imposed:
(a) the certificate that has been suspended or revoked has not been announced to the public;
(2) Failing to provide certification audit documents to the certification client;
(three) the audit time is seriously insufficient, which is lower than the basic certification standards and certification rules;
(four) engaged in certification consulting activities;
(five) the products of the certified organization do not meet the requirements of relevant laws and regulations or the product production standards are not filed in accordance with the statutory requirements, and the certification institution fails to suspend its certification certificate or take other corrective measures in accordance with the regulations;
(six) in the supervision and inspection of administrative organs, refusing to provide information reflecting their business activities or concealing relevant information or providing false materials;
(seven) other violations of the provisions of these measures.
Fifty-second certification bodies in any of the following circumstances, the local certification supervision department shall order them to make corrections, and impose a fine of not less than 50,000 yuan but not more than 6,543,800 yuan. Illegal income, confiscate the illegal income; If the circumstances are serious, CNCA will order it to suspend business for rectification for 6 months until its approval certificate is revoked, and make an announcement:
(a) employing personnel who have not been registered (confirmed) by the state or using personnel who do not meet the certification requirements and abilities to engage in certification audit and inspection activities;
(two) increase, decrease, omission of basic certification standards, certification rules and procedures, Certification staff in the future to the audit site or effectively verify the corrective measures of the certification client, that is, the issuance of certification certificates;
(3) Internal management is chaotic, and many offices make certification decisions, which leads to failure to effectively certify or track and supervise their certified products, services and management systems in accordance with the procedures and requirements of basic certification norms and certification rules, resulting in adverse social impact;
(four) the products, services and management systems that have been certified can not meet the certification requirements continuously, and the certification institution fails to suspend or revoke the certification certificate in accordance with the regulations and announce it to the public;
(five) other violations of basic certification standards and certification rules.
Fifty-third certification bodies in any of the following circumstances, the local certification supervision department shall order them to make corrections, and impose a fine of 654.38 million yuan to 200,000 yuan. Illegal income, confiscate the illegal income; If the circumstances are serious, CNCA shall revoke its approval certificate and publish it:
(a) to carry out certification activities beyond the approved scope;
(2) Altering or forging the approval letter of the certification body, or illegally transferring the accreditation qualification in other forms;
(three) to continue to engage in certification activities during the period of suspension of business for rectification;
(four) after the expiration of the period of suspension of business for rectification, it still fails to engage in certification activities in accordance with the requirements of rectification.
Article 54 If a certification body issues a false certification conclusion or the conclusion issued is seriously inaccurate, CNCA shall revoke its approval certificate and publish it; Give a warning to the directly responsible person in charge and revoke the Certification staff qualification of the directly responsible person; If the case constitutes a crime, criminal responsibility shall be investigated according to law; If losses are caused, it shall be liable for compensation according to law.
Fifty-fifth other illegal acts of certification bodies shall be punished in accordance with the Regulations on Certification and Accreditation and other relevant laws and regulations.
Article 56 CNCA, local certification supervision departments and their staff shall supervise certification activities according to law, and impose administrative sanctions on illegal acts such as abuse of power, malpractice for selfish ends and dereliction of duty according to law; If a crime is constituted, criminal responsibility shall be investigated according to law.
Chapter VI Supplementary Provisions
Fifty-seventh Hongkong, Macao and Taiwan Province certification bodies to set up certification bodies or representative offices in the Mainland shall go through the relevant examination and approval procedures in accordance with the provisions of Chapter II of these Measures on overseas certification bodies, and abide by the provisions of these Measures.
Article 58 The AQSIQ shall be responsible for the interpretation of these Measures.
Article 59 These Measures shall come into force as of September 65438, 20 1 year.