Circular Of The State Administration Of Quality Supervision, Inspection And Quarantine On Amending The Decision Of The Administrative Measures For Certification Bodies

Original Language Title: 国家质量监督检验检疫总局关于修改《认证机构管理办法》的决定

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Read the untranslated law here: http://www.chinalaw.gov.cn/article/fgkd/xfg/gwybmgz/201506/20150600399690.shtml

  Modification of the State administration of quality supervision, inspection and quarantine on decision on April 27, 2015 State General Administration for quality supervision, inspection and Quarantine Bureau meeting, is released, as of August 1, 2015. May 11, 2015 national quality supervision test quarantine General on modified certification institutions management approach of decided for implement implementation State decentralization requirements, law advance administrative approval system reform, quality General decided on certification institutions management approach for following modified: a, and will seventh article first paragraph modified for: "established certification institutions, should law made corporate qualification, and by national recognize JISC approved Hou, party can engaged in approved range within of certification activities.

"Second, delete, eighth in the second item of the article" belongs to the new areas of accreditation, feasibility studies should also have the expression "; delete the third entry" investor in accordance with relevant laws and regulations as well as relevant provisions of the State requirements, and provide the related credit certification "; delete the fourth" qualification and ability ".

Three article deleted Nineth, third. Four article the tenth, the third modification "CNCA shall receive certification within 45 days of the date of an application, make a decision on whether to approve it. Decision, to the applicant of the approval of the certification authority, decided not to approve, and shall notify the applicant in writing and state the reasons; "the fourth amendment for" CNCA can organize relevant experts as needed on the applicant's certification review, testing and other technical skills.

Specialists in the field of time not later than 30th, this time not included in CNCA for approval within the time limit; "delete the fifth item.

Five, the 11th article in the "4" is amended as "6"; in the second paragraph of "before the expiration of 90 days" modified to "expires 30th"; the third paragraph in the "review" is amended as "writing reviews". 12th six, be modified to "certification bodies establish subsidiaries, shall obtain a registered with the company registration authority, by the CNCA in pursuance of this article eighth, tenth, after approval, shall not be engaged in certification activities within the approved range.

"Seven, delete article 13th.

Eight, delete article 14th. Article nine, the 15th is amended as: "approval of the certification body can be set up within the scope of business promotion and outreach activities of the offices.

"Ten articles, and the 16th is amended as:" overseas certification bodies can be set up in China engaged in the business of publicity and promotional activities on behalf of institutions ". Article XI of the 17th is revised as follows: "certification bodies by way of contract, subcontract certifications of overseas certification bodies certification results are outside the business, should obtain prior approval of the relevant certification of practitioners in the field, and from the date of contract to CNCA 10th record, bear the certified risk and responsibility.

"The 18th in the second paragraph of article 12, delete.

In paragraph 13, delete article 32nd "branch"; delete the second paragraph. 14 article 35th, amended to read: "the CNCA certification bodies certification business information report and the annual report on the work of publication. "The second paragraph is amended as:" certification bodies should be submitted to CNCA certification in accordance with relevant business information, including: the establishment of branches and offices, details of the accredited organization, suspended or revoked certificates, as well as business information associated with the certification results.

"In the third paragraph of the" late February "is amended as" the end of March. " XV, the 37th article modified as follows: "the AQSIQ, CNCA shall set forth the provincial quality and technical supervision authorities and the inspection and quarantine authorities carry out certification of law enforcement supervision and guidance. "16, and will 38th article modified for:" national recognize JISC and place certification supervision management sector in administration in the found following problem, by survey verified Hou, should give certification institutions warned and ordered its corrected: (a) and outside certification institutions signed points package contracts not to national recognize JISC record of; (ii) itself developed of certification rules not to national recognize JISC record of; (three) certification certificate not record or to was card organization, and products issued of certificate style and record certificate style inconsistent of.

"In article 17, delete the 48th" or branch ".

In article 18, delete 49th "to withdraw its filing" statement.

In article 19, delete 50th "serious, CNCA shall withdraw its filing" statement.

20, delete article 51st.

21, and will 52nd article modified for: "certification institutions not made corresponding certification field practitioners approved, points package certification results in outside using of outside certification institutions certification business of, national recognize JISC should ordered its corrected, give warning; plot serious of, give its closed reorganization 6 months, and to announced; on has responsibility of certification personnel, give stop practice industry 1 years of punishment; has illegal proceeds of, confiscated illegal proceeds".

22, and will 53rd article first items modified for: "full-time certification personnel occurred change, its number not meet requirements of;" third items modified for "not on time submitted annual review report, and not according to provides submitted established branch and do institutions information, and was card organization, information or submitted of material false of;" also, certification institutions management approach of provisions order for corresponding adjustment.

This decision shall take effect on August 1, 2015.

The administrative measures for the certification bodies according to this decision be revised and republished. Certification institutions management approach (July 20, 2011 national quality supervision test quarantine General makes 141th, announced according to May 11, 2015 national quality supervision test quarantine General on modified straddling certification institutions management approach of decided Amendment) first chapter General first article for strengthening on certification institutions of supervision management, specification certification activities, improve certification effectiveness, according to People's Republic of China certification recognized Ordinance (following referred to certification recognized Ordinance), about legal, and administrative regulations of provides,

These measures are formulated.

Second accreditation body mentioned in these measures refers to the approved establishment, independent products, services and management systems in line with standards and conformity assessment activities of the relevant technical specifications, certification bodies and have legal personality.

Article in the People's Republic of China territory of certification activities, and supervision of certification bodies and procedures apply.

Fourth the State General Administration of quality supervision, inspection and quarantine (hereinafter referred to as AQSIQ) is responsible for supervision and administration of certification bodies.

National Commission on certification and accreditation Administration (hereinafter referred to as CNCA) is responsible for accrediting agencies establish and related approval and its supervision and control of business activities.

Quality and technology supervision departments of provinces, autonomous regions and municipalities (hereinafter provincial quality and technical supervision Department) and directly under the entry-exit inspection and quarantine institutions (hereinafter referred to as the inspection and quarantine agency) in accordance with these regulations, in accordance with the Division of responsibilities be responsible for the supervision and administration of certification activities within the region.

Fifth certification bodies certification activities shall follow fair and open, objective and independent, the principle of honesty and credit, and maintain the social credit system.

Sixth certification bodies and their personnel on their staff activities are aware of State secrets, business secrets and technology confidential.

Chapter II establishment and approval of certification bodies established by article seventh should be qualified as a legal person according to law, and after approval by CNCA, may engage in certification activities within the approved range.

Without permission, no unit or individual is allowed to engage in certification activities. Eighth article established certification institutions, should has following conditions: (a) has fixed of Office places and essential facilities; (ii) has meet certification recognized requirements of articles and management system; (three) registered capital shall not less than Yuan 3 million Yuan; (four) has 10 name above corresponding field of full-time certification personnel; (five) certification institutions Chairman, and General Manager (Director) and managers representative (following collectively senior management personnel) should meet national about legal, and regulations and national quality General, and

CNCA-related requirements, has the management capacity necessary to perform their duties, and (vi) the conditions prescribed by other laws and regulations.

Certification bodies engaged in product certification activities, should also be commensurate with the activities related to product certification testing, inspection and other technical skills.

Nineth article foreign investors in China territory established certification institutions except should has this approach eighth article provides of conditions outside, also should meet following requirements: (a) foreign investors for in China outside has 3 years above corresponding field certification practitioners experience of institutions, has where national or area about authorities of legal registration, no bad records; (ii) foreign investors made its where national or area recognized institutions corresponding field of recognized or about authorities of admitted.

Certification bodies established in China by foreign investor shall also comply with the relevant foreign investment laws, administrative regulations and the relevant State industries for guiding foreign investment policy requirements. Tenth article established certification institutions of approval program: (a) established certification institutions of applicants (following referred to applicants), should to national recognize JISC proposed application, and submitted meet this approach eighth article, and Nineth article provides conditions of effective proved file and material; (ii) national recognize JISC should on applicants submitted of application material for preliminary review, and since received application material of day up 5th within made accepted or not accepted application of written decided, on application material not complete or not meet statutory form of, Shall at once inform all applicants need to supplement content and (iii) the CNCA shall receive certification within 45 days of the date of an application, make a decision on whether to approve it. Decision, to the applicant of the approval of the certification authority, decided not to approve, and shall notify the applicant in writing and state the reasons and (iv) the CNCA can organize relevant experts as needed on the applicant's certification review, testing and other technical skills.

Specialists in the field of time not later than 30th, which is not included in CNCA approval period and (v) the CNCA shall be announced to the public and posted on its Web site certification institutions established by law.

CNCA approval workflow implemented the accreditation body shall follow the rational allocation of resources, facilitate efficient, open and transparent principle.

11th book of the approval of the certification authority is valid for 6 years.
Certification body needs to extend the validity of the approval of the certification authority, shall, on the expiry of the approval of the certification authority before 30th apply to CNCA.

CNCA shall set forth the proposed renewal application certification body in accordance with this regulation for establishment of written review and approval procedures, and prior to the expiry of the approval of the certification authority to make decision on whether to approve the extension.

12th certification bodies establish subsidiaries, shall obtain a registered with the company registration authority, by the CNCA in pursuance of this article eighth, tenth section after registration, may engage in certification activities within the approved range.

13th certification bodies can be set up within the approved scope of business advocacy and promotional activities of the Office.

14th overseas certification bodies can be set up in China engaged in the business of publicity and promotional activities on behalf of institutions.

15th certification bodies by way of contract, subcontract certifications of overseas certification bodies certification results are outside the business, should obtain prior approval of the relevant certification of practitioners in the field, and from the date of contract to CNCA 10th record, bear the certified risk and responsibility.

16th article has following case one of of, certification institutions should law to national recognize JISC application handle related change procedures: (a) certification institutions narrowed approved business range of; (ii) certification institutions change corporate nature, and shareholders, and registered capital of; (three) certification institutions merged or Division of; (four) certification institutions change name, and residence, and statutory representative people, and senior management personnel of; (five) certification institutions occurred other major matters change of.

Expanding the scope of business of an application by the CNCA be made reference to the provisions of the present article tenth.

Chapter code of conduct article 17th certification bodies should be impartial, independent and objective certification activities, establishing risk prevention mechanism, may lead to the risk of its certification activities and responsibilities, and to take reasonable and effective measures, and assume the corresponding social responsibilities.

Certification body and its subsidiaries, branch offices and agencies shall not advisory body and the certification client interests in assets, management or staff.

Article 18th certification bodies should be established to ensure that normative and effective quality system certification activities, in accordance with the certification standards and certification procedures laid down in rules implementing certification and certification conclusions.

CNCA certification rules or not, certification bodies can develop their own rules, and report to CNCA for archival purposes.

19th certification bodies should be through the website or otherwise announce its certification, certification rules, fees and set up subsidiaries, branches and offices of its name, scope of business, address, and other information, and ensure the information is true and valid.

20th certification body and its subsidiaries, affiliates and its activities, inter alia shall abide by the laws and regulations of the duty obligation shall also comply with the following requirements: (a) the certification bodies registered with the industrial and commercial registration address, as the core of the Office space, unified publishing and submitting credentials.

(B) the certification body has multiple offices carry out certification activities, should ensure the use of all the same quality management system and procedures, control and certification of all personnel.

Article 21st personnel management system certification body shall establish a sound certification, certification training and evaluating staff's ability to regularly to ensure certification staff continues to meet the requirements, and to ensure that the certification process has a reasonable number of full-time certified staff and technical experts.

Certification bodies shall not be hired or used state laws and regulations prohibit persons involved in certification activities.

22nd article certification institutions should on certification client delegate certification of field, and products and content whether meet related legal regulations and its corporate qualification, qualification situation for verified, according to certification client of scale, and nature and organization and the products of complex degree, on certification full process for planning, developed specific implementation, and detection, and check and supervision, programme, and delegate has corresponding capacity of certification personnel and technology experts implementation certification.

Article 23rd certification bodies shall, in accordance with certification standards, certification procedures laid down in rules on certification to exercise effective control of the whole process to ensure certification and product testing complete, objective and realistic, and traceability may not increase, decrease or omission of the certification program and activities, and are staffed with the appropriate ability and professional certified staff to evaluate the procedure above.

Certification bodies should develop procedures for certification result evaluation and effective control, and certificate issuance, suspension or removal of a clear requirement and evaluation requirements. 24th certification bodies shall keep complete records on the certification process, retain the corresponding certification information. Records shall be true and accurate, and to prove that the effective implementation of the certification activities.

Records and data shall be in Chinese, archive retention period should be consistent with the certification is valid for. 25th certification bodies and certified personnel shall make timely certification conclusions and ensure certification objective, true. Certification certification conclusion by signature, certified by the certification bodies to clients.

Certification bodies and certified personnel should be responsible for the certification and bear the corresponding legal responsibility.

Article 26th certification bodies the certification conclusion meets the requirements, it shall issue a certificate to the certification client, permit the use of the certification mark, certification should be authorized by the certification authority to issue the certificate.

Certificate shall set forth the names of certified organizations, addresses, coverage or product, certification is based on the validity of the standards or technical specifications, and other content, content should be contained in the certificate conforming to the actual situation of implementation.

Certification bodies certification specifications shall be determined within the 30th of CNCA the record.

Certification bodies certification should be made available to the public query of the certificate's validity.

27th by the merger or Division of certification bodies should be made to change certificates issued earlier and related certification program in accordance with regulations.

Certification bodies approved by the cancellation, revocation, after qualifying holding the Agency a valid certificate of certified organizations can transition to certification bodies approved by the CNCA certification; processing certificate certification bodies should be in accordance with the provisions of the conversion program to convert, and the transformation results report the CNCA.

28th certification bodies certified organizations, within the scope of certification should be required correct use of certificates and certification marks, of misusing and failing to use certificates and certification marks, effective corrective measures should be taken.

29th article certification institutions should according to certification basic specification, and certification rules of requirements on its certification of products, and service, and management system implementation effective of track supervision, determine reasonable of supervision check frequency, to guarantee through certification of products, and service, and management system continued meet certification requirements; on cannot continued meet certification requirements of, certification institutions should suspended or revoked its certification certificate, timely to social announced, and take effective measures avoid invalid certification certificate and certification logo continues to using.

Article 30th subsidiaries established by the certification bodies should be undertaken in the name of certification body certification activities within the scope of its approval and in accordance with this approach provides basic specifications, certification requirements and certification work.

31st certification organizations to set up offices and foreign certification bodies in China to set up representative offices in China and who signed certification contract, the Organization shall not engage in on-site audit (inspection), issued by the audit (inspection) report, the implementation of the certification decision, charging certification fees and other activities, do not direct or disguised in certification training and consulting activities.

Fourth chapter of supervision and inspection article 32nd AQSIQ, CNCA certification bodies comply with the certification and Accreditation regulations and supervise the implementation of these measures.

CNCA is responsible for the operation of the certification body checks, checks of certification results and certification activities, and announced inspection, survey and certification bodies and certified organizations list.

Article 33rd CNCA certification bodies certification business information report and the annual report on the work of publication.

Certification bodies should be submitted to CNCA certification in accordance with relevant business information, including: the establishment of branches and offices, accredited organization details, the suspension or revocation of certification and the certification information related to business results.

CNCA shall total certification bodies to submit the relevant information and data in a timely manner, and to the public.

On the certification body shall, before the end of March of each year an annual work report submitted to CNCA, the report includes: General information, personnel, business practitioners, quality analysis and compliance with national requirements issued by the accounting firm of financial accounting and auditing reports.

34th article of quality and technical supervision departments at all levels and local entry-exit inspection and quarantine institutions (hereinafter referred to as local certification supervision and management departments) shall, in accordance with their respective responsibilities, to exercise supervision over certification activities of assigned area on a regular basis, investigating certification violations, and establish appropriate supervision and coordination mechanisms.

35th AQSIQ, CNCA shall set forth the provincial quality and technical supervision Department and the inspection and quarantine authorities carry out certification of law enforcement supervision and guidance. Provincial quality and technical supervision departments should their city or County certification of quality and technical supervision departments to supervise and direct the work of law enforcement.

Inspection and quarantine institutions of the branch to which it belongs should be entry-exit inspection and quarantine institutions of certification supervision and guidance of the work of law enforcement.

Provincial quality and technical supervision Department and the inspection and quarantine agency shall each year before the end of March last year areas submitted to CNCA certification supervision and management.

36th article national recognize JISC and place certification supervision management sector in administration in the found following problem, by survey verified Hou, should give certification institutions warned and ordered its corrected: (a) and outside certification institutions signed points package contracts not to national recognize JISC record of; (ii) itself developed of certification rules not to national recognize JISC record of; (three) certification certificate not record or to was card organization, and products issued of certificate style and record certificate style inconsistent of.

37th state encourages recognition of accrediting agencies by authorized institutions to demonstrate its ability to implement certification to meet the requirements; legal and administrative regulations shall obtain the approval of, and recognized certification bodies should be adopted in accordance with the statutory requirements. AIS achieved accreditation of certification bodies should be effective follow-up oversight, compliance spot checks of certification results. Unable to continue to comply with the accreditation requirements of the certification bodies should be made for suspension or revocation of authorisation.
Violations found in the accreditation, CNCA report in a timely manner.

Article 38th accreditation associations shall strengthen self-discipline management of certification bodies, certification bodies to comply with laws and regulations, industry self-regulatory codes of performance appraisal of the situation, found violations of the certification body shall promptly report to CNCA.

39th certification bodies and certified organizations shall set forth the CNCA and local certification supervision and management departments of supervision and inspection work in co-ordination and assistance, matters related to inquiries and investigations to provide relevant materials and information.

40th article for was card organization appeared products quality security accident, and pollution or career health security accident and by administrative organ supervision checks in the found not meet statutory requirements products of, certification institutions should according to specific case law suspended or revoked certification certificate, timely to national recognize JISC, and place certification supervision management sector and related sector informed, and tie about administrative organ on was card Organization for track supervision check.

41st article certification institutions has following case one of of, national recognize JISC should law handle certification institutions approved book cancellation procedures: (a) certification institutions approved book validity expires, not application continued of; (ii) certification institutions approved book validity expires, by review not meet continued approved decided of; (three) certification institutions law terminated of; (four) legal regulations provides of should cancellation of other case.

42nd article has following case one of of, national recognize JISC according to interest relationship people of requests or according to terms, can revoked on certification institutions made of approved decided: (a) national recognize JISC staff abuse, and negligence made approved decided of; (ii) beyond statutory terms made approved decided of; (three) violation statutory program made approved decided of; (four) on not has application qualification or not meet statutory conditions of applicants granted approved of;

(E) the certification body does not have or does not meet the statutory conditions and capacity, and (vi) other circumstances as may revoke the approval decision according to law.

43rd article of any units and individuals in violation of certification activities, right to the AQSIQ, CNCA or local certification supervision and management departments complaints or reports, the CNCA or local certification supervision and management departments should promptly investigate and deal with, and the informer confidential.

Fifth chapter legal liability article 44th applicants to hide relevant information or provides false information to apply for establishment and approval of certification bodies, CNCA shall not accept or not approving, and warned again within 1 year of the applicant shall not apply for certification bodies and other items.

45th applicant by fraud, bribery or other improper means to obtain certificate of approval for establishment and approval of certification bodies, CNCA shall revoke the certificate of approval applicant certification bodies allowed to re-apply in 3 years established. 46th article certification institutions without approved, unauthorized established subsidiary engaged in certification activities of, place certification regulatory sector should ordered its subsidiary stop certification activities, at 100,000 above 500,000 following fine, has illegal proceeds of, confiscated illegal proceeds; national recognize JISC give certification institutions closed reorganization 6 months, on has responsibility of certification personnel, give stop practice industry 1 years of punishment; plot serious of, national recognize JISC revoked certification institutions approved certificate, on has responsibility of certification personnel, revoked its practice industry qualification,

And be published.

47th article certification institutions established of do institutions engaged in signed certification contract, and organization site audit (check), and issued audit (check) report, and implementation certification decided, and charged certification costs, certification activities of, place certification regulatory sector should at 100,000 yuan above 500,000 yuan following fine, has illegal proceeds of, confiscated illegal proceeds; national recognize JISC give certification institutions closed reorganization 6 months, on has responsibility of certification personnel, give stop practice industry 1 years of punishment, and to announced.

48th foreign certification bodies in China to set up representative agency in China signed a certification contract, organization of the on-site audit (inspection), issued by the audit (inspection) report, the implementation of the certification decision, charging certification fees, certification activities, local certification supervision departments should be ordered to desist from the illegal act, fines of between 100,000 yuan and 500,000 yuan, has illegally obtained, confiscation of illicit proceeds.

49th article certification institutions not made corresponding certification field practitioners approved, points package certification results in outside using of outside certification institutions certification business of, national recognize JISC should ordered its corrected, give warning; plot serious of, give its closed reorganization 6 months, and to announced; on has responsibility of certification personnel, give stop practice industry 1 years of punishment; has illegal proceeds of, confiscated illegal proceeds.

50th article certification institutions has following case one of of, national recognize JISC or place certification regulatory sector should ordered its corrected, give warning, and be announced: (a) full-time certification personnel occurred change, its number not meet requirements of; (ii) certification institutions occurred change matters, not according to provides handle change procedures of; (three) not on time submitted annual review report, and not according to provides submitted established branch and do institutions information, and was card organization, information or submitted of material false of;

(D) any other violation of the rules.

51st article certification institutions has following case one of of, national recognize JISC or place certification regulatory sector should ordered its deadline corrected, late not corrected of, can at 30,000 yuan following fine: (a) on has suspended and revoked of certification certificate, not to social announced of; (ii) not to certification client provides certification audit file of; (three) audit time serious insufficient, below certification basic specification, and certification rules provides of; (four) engaged in certification advisory activities of;

(Five) was card organization of products not meet related legal regulations requirements or products production standard not according to statutory requirements record, certification institutions not according to provides suspended its certification certificate or not take other corrected measures of; (six) in administrative organ of supervision check in the, refused to provides reflect its practitioners activities of situation or hide about situation, and provides false material of; (seven) other violation this approach provides of. 52nd article certification institutions has following case one of of, place certification regulatory sector should ordered its corrected, at 50,000 yuan above 100,000 yuan following fine, has illegal proceeds of, confiscated illegal proceeds; plot serious of, national recognize JISC should ordered its closed reorganization 6 months until revoked its approved certificate, and to announced: (a) hired without national registered (confirmed) of personnel or using not meet certification requirements and capacity of personnel engaged in certification audit, and check activities of; (ii) increased, and reduced, and missed certification basic specification , And certification rules provides program requirements, certification personnel not to audit site or not on certification client of corrected measures for effective validation that issued certification certificate of; (three) internal management chaos, and more Office places made certification decided, led to not according to certification basic specification, and certification rules of program and requirements on its certification of products, and service, and management system implementation effective of certification or track supervision, caused bad social effect of; (four) certification of products, and service, and management system cannot continued meet certification requirements,

Certification bodies are not suspended or revoked certificates in accordance with regulations, and announced by the (v) other violations of basic norms, certification certification rules.

53rd article certification institutions has following case one of of, place certification regulatory sector should ordered its corrected, at 100,000 yuan above 200,000 yuan following fine, has illegal proceeds of, confiscated illegal proceeds; plot serious of, national recognize JISC should revoked its approved certificate, and to announced: (a) beyond approved range carried out certification activities; (ii) altered, and forged certification institutions approved book, or to other form illegal transfer approved qualification of; (three) closed reorganization during, continues to engaged in certification activities of;

(D) closed after expiry, is not in accordance with the corrective action required to perform certification activities.

54th certification bodies issue a false certification conclusion or conclusions serious misrepresentation of the issued, CNCA shall revoke the certificate of approval, and be published; given to officers directly in charge of warning personnel directly responsible for certification, revocation of their qualification constitutes a crime, criminal responsibility shall be investigated according to law; losses caused shall bear liability.

55th for certification bodies of other offences, in accordance with the certification and accreditation and other relevant laws and regulations will be punished.

56th CNCA and local certification supervision and its staff shall exercise supervision over certification activities, abuse, deception, negligence and other offences, shall be given administrative sanctions constitutes a crime, criminal responsibility shall be investigated according to law.

Sixth chapter supplementary articles article 57th Hong Kong, Macao and Taiwan areas of certification bodies established certification body or representative offices on the Mainland, in accordance with the provisions of chapter II of the present measures on overseas certification bodies go through the relevant approval procedures, and in compliance with our regulations.

58th article this way interpreted by the AQSIQ.

59th these measures come into force on September 1, 2011.