Administrative measures for the certification body

    (July 20, 2011 the State General Administration of quality supervision, inspection and quarantine, the 141th promulgated as of September 1, 2011) Chapter I General provisions

    First to strengthen the supervision and administration of certification bodies, regulating certification activities, improve the effectiveness of certification, in accordance with the People's Republic of China certification and Accreditation regulations (hereinafter referred to as certification and accreditation Regulation) and other relevant provisions of laws and administrative regulations, 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

    The seventh established certification bodies, should be approved by the CNCA, and after obtaining a legal personality under the law, may engage in certification activities within the approved range.

    Without permission, no unit or individual is allowed to engage in certification activities.

    Eighth established certification bodies, subject to the following conditions:

    (A) have a fixed office space and facilities;

    (B) compliance with regulations and management systems certification and accreditation requirements, belonging to new areas of certification, should also have a feasibility study report;

    (C) the registered capital shall not be less than RMB 3 million; contributors in accordance with relevant laws and regulations as well as relevant provisions of the State requirements, and provide the related credit certification;

    (D) with 10 or more corresponding areas of licensing and capable full-time certified staff;

    (E) the certification body, Chairman and General Manager (Director) and the management representative (hereinafter referred to as senior managers) shall comply with the relevant national laws and regulations and the AQSIQ, CNCA-related requirements, has the management capacity necessary to perform their duties;

    (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 foreign investors in China by setting up a certification body shall have the way conditions provided for in the eighth, and should also meet the following requirements:

    (A) foreign investors outside China have over 3 years experience in certification bodies in the field, legally registered with the concerned authorities in the country or region, no bad record;

    (B) foreign investors in their country or region authorized institution authorized or recognized by the competent authorities in the field;

    (C) the establishment of joint ventures, cooperative management certification body of the Chinese joint venture, partners should be approved by the CNCA has at least 3 years experience in certification by certification bodies or legally obtained accreditation of inspection bodies, laboratories, and no adverse employment records; the foreign investors should be subject to this section, the first to second;

    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.

    The tenth established certification bodies approval program:

    (A) establishment of a certification body of the applicant (hereinafter applicant) shall apply to the CNCA and eighth submitted in accordance with these measures, the Nineth valid documents and materials provision conditions;

    (B) the CNCA shall set forth the initial review of the application submitted by the applicant, and from the date of receipt of the application materials in the 5th to accept or not to accept an application for a written decision, the application materials are incomplete or not in compliance with the statutory form, shall at once inform all applicants need to supplement content; (C) the CNCA shall accept the certification body within 90 days of the date of an application, make a decision on whether to approve it.

    Approved by decision, the applicants will be issued by the certification body to establish notice, decided not to approve, and shall notify the applicant in writing and state the reasons; (D) the CNCA should organize relevant experts as needed on the applicant's certification, testing technology, such as the ability to review, and advise the applicant in writing.

    Specialists in time for the 30th, not included in CNCA for approval within the time limit;

    (E) the applicant issued by the CNCA certification bodies notice of establishment, in accordance with the law on registration procedures, in accordance with the law of registration to receive the approval of the certification authority;

    (Vi) 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.

    The 11th book of the approval of the certification authority is valid for 4 years.

    Certification body needs to extend the validity of the approval of the certification authority shall, before the expiry of the approval of the certification authority apply to the 90 day CNCA.

    CNCA shall set forth the proposed renewal application certification body in accordance with this regulation for establishment of 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 organizations to set up subsidiaries, branches should be carried out in accordance with the certification bodies approval program, approved by the CNCA, and after getting registered with the company registration authority in accordance with law, may engage in certification activities within the approved range.

    13th subsidiaries established by certification agencies shall comply with the following conditions:

    (A) the accreditation body for 2 years, and 2 years no violation;

    (B) subsidiary in accordance with the conditions provided for in article eighth, as well as other provisions of laws and administrative regulations;

    (C) the subsidiary wholly-owned or controlled by certification bodies.

    14th certification agencies set up branch offices shall comply with the following conditions:

    (A) the accreditation body for 2 years, and 2 years no violation;

    (B) Branch has a fixed office space and facilities;

    (C) the branch with 5 or more corresponding areas of licensing and capable full-time certified staff;

    (D) the branch is located is certified by our Organization;

    (E) branch is in line with related management system certification and accreditation;

    (Vi) the conditions prescribed by other laws and regulations. 15th certification bodies can be set up within the approved scope of business advocacy and promotional activities of the Office, and from the date of establishment in the 30th, Chinese certification body to the place of business of provincial quality and technical supervision departments; foreign investment inspection and quarantine agencies directly under the certification body to the place of business records.

    Record includes: name, address, person in charge and business scope, attached to the certification body.

    Provincial quality and technical supervision Department and the inspection and quarantine agencies should publicize the law directory of registered offices, and submitted to CNCA registered certification bodies within the assigned area of offices belonging to the list. 16th overseas certification bodies can be set up in China engaged in the business of publicity and promotional activities on behalf of institutions, and from inception in the 30th to CNCA for archival purposes.

    Record includes: name, address, person in charge, registration certificates, foreign institutions, attached to the certification body and other supporting documents.

    CNCA shall publish the law filed on behalf of institutions.

    17th subcontracting overseas certification bodies certification bodies through contracts of the certification business, should be approved by the CNCA, and liable for subcontractors certification as a result of risks and responsibilities.

    Apply for certification bodies engaged in subcontracting business should first obtain the appropriate approval of the certification of practitioners in the field.

    18th under any of the following circumstances, certification bodies shall, apply to CNCA for check in procedures:

    (A) the approval of the certification body to narrow the scope of business;

    (B) the certification body changes its legal nature, the shareholders, registered capital;

    (C) the certification body of the merger or Division;

    (D) the certification body changes its name, domicile, legal representative and senior management personnel;

    (E) other significant matters change certification bodies.

    Certification bodies application for expanding the scope of business, certification bodies should be working more than 1 year, and no violation within 1 year.

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

    Chapter III code of conduct

    19th certification 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.

    20th certification bodies should be established to ensure 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.

    21st 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.

    22nd 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) 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.

    23rd management system certification bodies shall establish a sound certification personnel, 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.

    24th 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.

    25th certification body 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. 26th 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. 27th 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.

    28th article meet the requirements of certification bodies the certification conclusion, 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.

    29th as 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.

    30th 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.

    31st 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.

    32nd certification bodies to set up a subsidiary, Branch Office 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.

    Certification institution subsidiaries, branches shall not otherwise established and certification activities or authorize any other person to engage in certification activities.

    33rd 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.

    The fourth chapter, supervision and inspection

    Article 34th 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.

    35th CNCA certification bodies certification business information report and the annual report on the work of censorship.

    Certification bodies should be submitted to CNCA certification services in accordance with the relevant provisions, including: details of the accredited organization, suspension or revocation of certificates and certification-related business information.

    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 February 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.

    36th 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.

    37th AQSIQ, CNCA shall set forth the provincial quality and technical supervision authorities and the inspection and quarantine agencies for certification agencies filing and 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.

    Article 38th of CNCA and local certification supervision and management departments in administration found the following issues, after investigation and verification, certification bodies should be given warning and ordered to correct:

    (A) established offices not to the provincial certification authorities for the record;

    (B) the foreign certification bodies in China to set up representative offices in China did not register at the CNCA's;

    (C) enact rules did not register at the CNCA's;

    (D) certification of senior management personnel in violation of the relevant provisions of the measures;

    (E) certification, certification marks are not filed or certified organizations, product issue, signing and filing of the certificate does not match the certificate, sign.

    39th 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.

    40th certification and accreditation association 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.

    41st 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.

    42nd 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.

    43rd certification body has any of the following circumstances, CNCA shall handle the cancellation of the approval of the certification authority:

    (A) the expiry of the approval of the certification authority, not to seek an extension;

    (B) the expiry of the approval of the certification authority, approved by the review do not meet the continuing decision;

    (C) the certification body is terminated according to law;

    (D) other circumstances as stipulated by laws and regulations shall be revoked.

    44th under any of the following circumstances, the CNCA according to the request of the interested party or ex officio, may revoke the approval decision on certification bodies:

    (A) the CNCA approval decision to the personnel who abuse their powers, neglect their duties;

    (B) beyond the approved decisions of the statutory terms of reference;

    (C) the approved decisions of the violation of legal procedures;

    (Iv) do not qualify or do not meet the statutory conditions of grant approval of the applicant;

    (E) the certification body does not have or does not meet the statutory conditions and capacity;

    (Vi) other circumstances as may revoke the approval decision according to law.

    45th no 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.

    The fifth chapter legal liability

    46th applicant 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.

    47th 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. 48th article certification institutions without approved, unauthorized established subsidiary or branch engaged in certification activities of, place certification regulatory sector should ordered its subsidiary or branch 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,

    Revocation of their qualification, and is published.

    49th 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 revoked its record, 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.

    50th article outside certification institutions in China territory established of representative 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 ordered its stop violations, at 100,000 yuan above 500,000 yuan following fine, has illegal proceeds of, confiscated illegal proceeds; plot serious of, national recognize JISC should revoked its record, and to announced. 51st article certification institutions established of subsidiary, and branch to other form established institutions or delegate others engaged in 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 revoked subsidiary, and branch of approved qualification, and on its 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,

    Certification of responsible persons, revoke the licensing, and public.

    52nd certification agencies without the approval of CNCA, subcontracting overseas certification bodies certification business, CNCA shall order the correct warning; the circumstances are serious, given its closed 6 months and be published; certification of responsible personnel ceased to practise penalties 1; has illegally obtained, confiscation of illicit proceeds.

    53rd certification body has any of the following circumstances, CNCA or local certification supervision departments shall instruct their correction, given a warning and published:

    (A) full-time certified staff to change their number and occupational qualifications do not meet the requirements of;

    (B) the certification body to change matters, not in accordance with the provisions of the change procedures;

    (C) fails to submit an annual report, certified organizations submitted information or material misrepresentation;

    (D) any other violation of the rules.

    54th certification body has any of the following circumstances, CNCA or local certification supervision departments should be ordered to rectify, it fails to mend, may be fined a maximum of 30,000 Yuan:

    (A) has been suspended and revocation of certification, is not known to the public;

    (B) does not provide certification to certification client files;

    (C) the acute shortage of audit time, below the certification standards, certification rules;

    (D) engaged in consulting activities;

    (V) certified organizations products do not comply with the relevant legal and regulatory requirements or production standards in accordance with the statutory requirements for the record, certification agencies failing to suspend certification or other corrective measures taken;

    (F) the supervision and inspection of the Executive, declined to provide its business activities or concealing relevant information or providing false materials;

    (VII) other violations of these rules.

    55th certification body has any of the following circumstances, local certification supervision departments shall instruct their correction, fines of between 50,000 yuan and 100,000 yuan, has illegally obtained, confiscation of illegal income; the circumstances are serious, CNCA shall order the rectification of 6 months until the revocation of the certificate of approval, and published:

    (A) hiring without the State registration (confirmed) people or use not conforming to requirements and capabilities of personnel engaged in the certification audit, inspection activities;

    (B) increase, decrease, fundamental norms, certification rules, missing certification program requirements, certification is not to audit or certification client corrective measures are not effective verification is issued by the certification;

    (C) internal management certification decisions, more office space, lead is not in accordance with the certification standards, rules of procedures and requirements for the certification of products, services, implementation of effective management system certification or follow-up oversight, any adverse impact on society;

    (D) the certification of products, services, management systems and cannot continue to meet certification requirements, certification bodies are not suspended or revoked certificate pursuant to the provisions and publicly released;

    (E) other violations of basic norms, certification certification rules.

    56th certification body has any of the following circumstances, local certification supervision departments shall instruct their correction, fines of between 100,000 yuan and 200,000 yuan, has illegally obtained, confiscation of illegal income; the circumstances are serious, CNCA shall revoke the certificate of approval, and published:

    (A) beyond the approved scope of certification activities carried out;

    (B) the altered or forged of the approval of the certification authority, or any other form of illegal transfer of eligibility;

    (C) the rectification period, continue to engage in certification activities;

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

    57th 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.

    Article 58th for certification bodies of other violations, in accordance with the certification and accreditation and other relevant laws and regulations will be punished.

    59th 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.

    The sixth chapter supplementary articles

    60th from 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.

    61st by AQSIQ explained herein. 62nd these measures come into force on September 1, 2011.