General Administration of Quality Supervision, Inspection and Quarantine of the People's Republic of China, Measures for the Administration of Certification Bodies (Order No. 141 of the General Administration)文章源自FOFCC-http://fofcc.org.cn/am/11336/
No. 141文章源自FOFCC-http://fofcc.org.cn/am/11336/
The Measures for the Administration of Certification Bodies were deliberated and adopted at the executive meeting of the General Administration of Quality Supervision, Inspection and Quarantine on January 13, 2011, and are hereby promulgated, effective as of September 1, 2011.文章源自FOFCC-http://fofcc.org.cn/am/11336/
Director-GeneralJuly 20, 2011文章源自FOFCC-http://fofcc.org.cn/am/11336/
Measures for the Administration of Certification Bodies文章源自FOFCC-http://fofcc.org.cn/am/11336/
Chapter I General Provisions文章源自FOFCC-http://fofcc.org.cn/am/11336/
Article 1 These Measures are formulated in accordance with the provisions of the Regulations of the People's Republic of China on Certification and Accreditation (hereinafter referred to as the Certification and Accreditation Regulations) and other relevant laws and administrative regulations, for the purpose of strengthening the supervision and administration of certification bodies, standardizing certification activities, and improving the effectiveness of certification.文章源自FOFCC-http://fofcc.org.cn/am/11336/
Article 2 For the purposes of these Measures, "certification body" means a certification institution that is established upon approval in accordance with law, independently engages in conformity assessment activities for products, services, and management systems meeting the requirements of standards and relevant technical specifications, and has legal person status.文章源自FOFCC-http://fofcc.org.cn/am/11336/
Article 3 These Measures apply to certification activities conducted within the territory of the People's Republic of China and to the supervision and administration of certification bodies.文章源自FOFCC-http://fofcc.org.cn/am/11336/
Article 4 The General Administration of Quality Supervision, Inspection and Quarantine (hereinafter referred to as the AQSIQ) shall be uniformly responsible for the supervision and administration of certification bodies.文章源自FOFCC-http://fofcc.org.cn/am/11336/
The Certification and Accreditation Administration of the People's Republic of China (hereinafter referred to as the CNCA) shall be responsible for the establishment of certification bodies, the relevant approvals, and the supervision and administration of their practice activities.文章源自FOFCC-http://fofcc.org.cn/am/11336/
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 provincial quality and technical supervision departments) and the directly affiliated entry-exit inspection and quarantine institutions (hereinafter referred to as directly affiliated inspection and quarantine institutions) shall, in accordance with the provisions of these Measures and according to the division of responsibilities, be responsible for the supervision and administration of certification activities within their respective jurisdictions.文章源自FOFCC-http://fofcc.org.cn/am/11336/
Article 5 Certification bodies engaged in certification activities shall follow the principles of fairness and openness, objectivity and independence, and honesty and credibility, and shall safeguard the social credit system.文章源自FOFCC-http://fofcc.org.cn/am/11336/
Article 6 Certification bodies and their personnel shall be obligated to keep confidential the state secrets, commercial secrets, and technical secrets learned in the course of their practice activities.文章源自FOFCC-http://fofcc.org.cn/am/11336/
Chapter II Establishment and Approval文章源自FOFCC-http://fofcc.org.cn/am/11336/
Article 7 To establish a certification body, it shall be approved by the CNCA and shall obtain legal person status in accordance with law before it may engage in certification activities within the approved scope.文章源自FOFCC-http://fofcc.org.cn/am/11336/
Without approval, no unit or individual may engage in certification activities.文章源自FOFCC-http://fofcc.org.cn/am/11336/
Article 8 To establish a certification body, the following conditions shall be met:文章源自FOFCC-http://fofcc.org.cn/am/11336/
(1) Having a fixed office premises and necessary facilities;文章源自FOFCC-http://fofcc.org.cn/am/11336/
(2) Having articles of association and management systems that meet the requirements of certification and accreditation; if it is in a new certification field, a feasibility study report shall also be provided;文章源自FOFCC-http://fofcc.org.cn/am/11336/
(3) The registered capital shall not be less than RMB 3 million; the investors shall meet the requirements of relevant national laws, regulations, and relevant provisions, and shall provide relevant credit standing certificates;文章源自FOFCC-http://fofcc.org.cn/am/11336/
(4) Having more than 10 full-time certification personnel with practice qualifications and capabilities in the corresponding field;文章源自FOFCC-http://fofcc.org.cn/am/11336/
(5) The chairman, general manager (director), and management representative of the certification body (hereinafter collectively referred to as senior management personnel) shall meet the requirements of relevant national laws, regulations, and relevant provisions of the AQSIQ and the CNCA, and shall possess the management capabilities necessary to perform their duties;文章源自FOFCC-http://fofcc.org.cn/am/11336/
(6) Other conditions stipulated by laws and regulations.文章源自FOFCC-http://fofcc.org.cn/am/11336/
A certification body engaged in product certification activities shall also possess technical capabilities such as testing and inspection commensurate with the relevant product certification activities.文章源自FOFCC-http://fofcc.org.cn/am/11336/
Article 9 In addition to meeting the conditions stipulated in Article 8 of these Measures, a foreign investor establishing a certification body within the territory of China shall also meet the following requirements:文章源自FOFCC-http://fofcc.org.cn/am/11336/
(1) The foreign investor is an institution with more than 3 years of certification practice experience in the corresponding field outside the territory of China, has lawful registration with the relevant authorities of the country or region where it is located, and has no adverse records;文章源自FOFCC-http://fofcc.org.cn/am/11336/
(2) The foreign investor has obtained accreditation in the corresponding field from an accreditation body of the country or region where it is located or recognition from the relevant authorities;文章源自FOFCC-http://fofcc.org.cn/am/11336/
(3) The Chinese joint venture or cooperative partner establishing a Sino-foreign equity joint venture or cooperative joint venture certification body shall be a certification body approved by the CNCA with more than 3 years of certification practice experience, or an inspection institution or laboratory that has obtained qualification accreditation in accordance with law, and shall have no adverse practice records; the foreign investor shall meet items (1) and (2) of this Article;文章源自FOFCC-http://fofcc.org.cn/am/11336/
A foreign investor establishing a certification body within the territory of China shall also comply with the provisions of relevant laws and administrative regulations on foreign investment and relevant national policies guiding foreign investment industries.文章源自FOFCC-http://fofcc.org.cn/am/11336/
Article 10 Approval procedures for the establishment of a certification body:文章源自FOFCC-http://fofcc.org.cn/am/11336/
(1) An applicant for the establishment of a certification body (hereinafter referred to as the applicant) shall submit an application to the CNCA and submit valid supporting documents and materials proving that it meets the conditions stipulated in Articles 8 and 9 of these Measures;文章源自FOFCC-http://fofcc.org.cn/am/11336/
(2) The CNCA shall conduct a preliminary review of the application materials submitted by the applicant, and shall, within 5 days from the date of receipt of the application materials, make a written decision on acceptance or non-acceptance; if the application materials are incomplete or do not conform to the statutory form, it shall inform the applicant at one time of all contents that need to be supplemented and corrected;文章源自FOFCC-http://fofcc.org.cn/am/11336/
(3) The CNCA shall, within 90 days from the date of acceptance of the application for the establishment of a certification body, make a decision on whether to approve. If it decides to approve, it shall issue a notice of establishment of the certification body to the applicant; if it decides not to approve, it shall notify the applicant in writing and explain the reasons;文章源自FOFCC-http://fofcc.org.cn/am/11336/
(4) The CNCA shall, as needed, organize relevant experts to review the applicant's technical capabilities such as certification and testing, and shall notify the applicant in writing. The expert review period shall be 30 days and shall not be counted within the time limit for the CNCA to make an approval decision;文章源自FOFCC-http://fofcc.org.cn/am/11336/
(5) The applicant shall, on the strength of the notice of establishment of the certification body issued by the CNCA, undergo the relevant registration procedures in accordance with law, and shall, on the strength of the registration procedures completed in accordance with law, obtain the Certification Body Approval Certificate;文章源自FOFCC-http://fofcc.org.cn/am/11336/
(6) The CNCA shall announce to the public and publish on its website the directory of certification bodies established in accordance with law.文章源自FOFCC-http://fofcc.org.cn/am/11336/
In implementing the approval of certification bodies, the CNCA shall follow the principles of rational resource allocation, convenience and efficiency, and openness and transparency.文章源自FOFCC-http://fofcc.org.cn/am/11336/
Article 11 The Certification Body Approval Certificate shall be valid for 4 years.文章源自FOFCC-http://fofcc.org.cn/am/11336/
If a certification body needs to extend the validity period of the Certification Body Approval Certificate, it shall submit an application to the CNCA 90 days before the expiration of the validity period of the Certification Body Approval Certificate.文章源自FOFCC-http://fofcc.org.cn/am/11336/
The CNCA shall, in accordance with the establishment conditions and approval procedures stipulated in these Measures, conduct a re-examination of the certification body that submits an extension application, and shall make a decision on whether to grant extension before the expiration of the validity period of the Certification Body Approval Certificate.文章源自FOFCC-http://fofcc.org.cn/am/11336/
Article 12 A certification body establishing a subsidiary or branch shall proceed in accordance with the approval procedures for certification bodies, and may engage in certification activities within the approved scope only after approval by the CNCA and registration with the company registration authority in accordance with law.文章源自FOFCC-http://fofcc.org.cn/am/11336/
Article 13 A certification body establishing a subsidiary shall meet the following conditions:文章源自FOFCC-http://fofcc.org.cn/am/11336/
(1) The certification body has been in practice for more than 2 years and has had no illegal or non-compliant acts within 2 years;文章源自FOFCC-http://fofcc.org.cn/am/11336/
(2) The subsidiary meets the establishment conditions stipulated in Article 8 of these Measures and also complies with the provisions of other laws and administrative regulations;文章源自FOFCC-http://fofcc.org.cn/am/11336/
(3) The subsidiary is wholly owned or controlled by the certification body.文章源自FOFCC-http://fofcc.org.cn/am/11336/
Article 14 A certification body establishing a branch shall meet the following conditions:文章源自FOFCC-http://fofcc.org.cn/am/11336/
(1) The certification body has been in practice for more than 2 years and has had no illegal or non-compliant acts within 2 years;文章源自FOFCC-http://fofcc.org.cn/am/11336/
(2) The branch has fixed office premises and necessary facilities;文章源自FOFCC-http://fofcc.org.cn/am/11336/
(3) The branch company has more than 5 full-time certification personnel with practicing qualifications and capabilities in the corresponding field;文章源自FOFCC-http://fofcc.org.cn/am/11336/
(4) There are organizations certified by this body in the location of the branch company;文章源自FOFCC-http://fofcc.org.cn/am/11336/
(5) The branch company has relevant management systems that comply with certification and accreditation;文章源自FOFCC-http://fofcc.org.cn/am/11336/
(6) Other conditions stipulated by laws and regulations.文章源自FOFCC-http://fofcc.org.cn/am/11336/
Article 15 A certification body may establish an office engaged in business publicity and promotion activities within the approved scope, and within 30 days from the date of establishment, a Chinese-funded certification body shall file with the provincial quality and technical supervision department where the office is located; a foreign-invested certification body shall file with the directly affiliated inspection and quarantine institution where the office is located. The filing content includes: name, address, person in charge, business scope, affiliated certification body, etc.文章源自FOFCC-http://fofcc.org.cn/am/11336/
Provincial quality and technical supervision departments and directly affiliated inspection and quarantine institutions shall publish the list of offices filed in accordance with the law, and report to the CNCA the list of offices affiliated with certification bodies filed within their jurisdiction.文章源自FOFCC-http://fofcc.org.cn/am/11336/
Article 16 Overseas certification bodies may establish representative offices within China engaged in publicity and promotion activities within their business scope, and shall file with the CNCA within 30 days from the date of establishment. The filing content includes: name, address, person in charge, registration certificate documents, certification documents from foreign accreditation bodies, affiliated certification body, etc.文章源自FOFCC-http://fofcc.org.cn/am/11336/
The CNCA shall publish the list of representative offices filed in accordance with the law.文章源自FOFCC-http://fofcc.org.cn/am/11336/
Article 17 Where a certification body subcontracts certification business of an overseas certification body by contract, it shall be approved by the CNCA and shall bear the certification risks and related responsibilities caused by the subcontracting.文章源自FOFCC-http://fofcc.org.cn/am/11336/
A certification body applying to engage in subcontracting business shall first obtain approval to practice in the corresponding certification field.文章源自FOFCC-http://fofcc.org.cn/am/11336/
Article 18 Under any of the following circumstances, a certification body shall apply to the CNCA in accordance with the law for handling relevant change procedures:文章源自FOFCC-http://fofcc.org.cn/am/11336/
(1) The certification body narrows its approved business scope;文章源自FOFCC-http://fofcc.org.cn/am/11336/
(2) The certification body changes its legal person nature, shareholders, or registered capital;文章源自FOFCC-http://fofcc.org.cn/am/11336/
(3) The certification body merges or splits;文章源自FOFCC-http://fofcc.org.cn/am/11336/
(4) The certification body changes its name, domicile, legal representative, or senior management personnel;文章源自FOFCC-http://fofcc.org.cn/am/11336/
(5) Other major changes occur to the certification body.文章源自FOFCC-http://fofcc.org.cn/am/11336/
Where a certification body applies to expand its business scope, the certification body shall have been in operation for more than 1 year and have no illegal or non-compliant acts within 1 year.文章源自FOFCC-http://fofcc.org.cn/am/11336/
The application to expand the business scope shall be handled by the CNCA with reference to the provisions of Article 10 of these Measures.文章源自FOFCC-http://fofcc.org.cn/am/11336/
Chapter III Code of Conduct文章源自FOFCC-http://fofcc.org.cn/am/11336/
Article 19 A certification body shall conduct certification activities impartially, independently, and objectively, establish a risk prevention mechanism, adopt reasonable and effective measures for the risks and responsibilities that may arise from its certification activities, and assume corresponding social responsibilities.文章源自FOFCC-http://fofcc.org.cn/am/11336/
A certification body and its subsidiaries, branch companies, and offices shall not have interest relationships with certification consulting institutions and certification clients in terms of assets, management, or personnel.文章源自FOFCC-http://fofcc.org.cn/am/11336/
Article 20 A certification body shall establish a quality system that ensures standardized and effective certification activities, implement certification in accordance with the procedures stipulated in the basic certification specifications and certification rules, and make certification conclusions.文章源自FOFCC-http://fofcc.org.cn/am/11336/
Where the CNCA has not yet formulated certification rules, a certification body may formulate certification rules on its own and report them to the CNCA for filing.文章源自FOFCC-http://fofcc.org.cn/am/11336/
Article 21 A certification body shall publish through its website or in other forms information such as its certification scope, certification rules, fee standards, and the names, business scopes, addresses, and other information of its established subsidiaries, branch companies, and offices, and shall ensure that the information is true and valid.文章源自FOFCC-http://fofcc.org.cn/am/11336/
Article 22 When a certification body and its branch companies and subsidiaries simultaneously carry out activities, in addition to complying with the responsibilities and obligations stipulated by laws and regulations, they shall also comply with the following requirements:文章源自FOFCC-http://fofcc.org.cn/am/11336/
(1) The address registered with the industry and commerce authority by the certification body shall be the core office location, which shall uniformly publish and submit certification information.文章源自FOFCC-http://fofcc.org.cn/am/11336/
(2) When a certification body carries out certification activities at multiple office locations, it shall ensure that all office locations adopt the same quality management system and procedures and control all personnel and certification processes.文章源自FOFCC-http://fofcc.org.cn/am/11336/
Article 23 A certification body shall establish and improve a management system for certification personnel, regularly train and evaluate the capabilities of certification personnel, ensure that the capabilities of certification personnel continuously meet requirements, and ensure that a reasonable number of full-time certification personnel and technical experts are available during the certification audit process.文章源自FOFCC-http://fofcc.org.cn/am/11336/
A certification body shall not employ or use personnel prohibited by national laws and regulations from engaging in certification activities.文章源自FOFCC-http://fofcc.org.cn/am/11336/
Article 24 A certification body shall verify whether the field, products, and content entrusted by the certification client for certification comply with relevant laws and regulations and whether the client has qualifications such as legal person status. Based on the scale, nature, organization of the certification client, and the complexity of the products, it shall plan the entire certification process, formulate specific implementation, testing, inspection, and supervision plans, and assign certification personnel and technical experts with corresponding capabilities to implement certification.文章源自FOFCC-http://fofcc.org.cn/am/11336/
Article 25 A certification body shall exercise effective control over the entire certification process in accordance with the procedures stipulated in the basic certification specifications and certification rules, ensure that the certification and product testing processes are complete, objective, true, and traceable, shall not add, reduce, or omit certification procedures and activities, and shall equip certification personnel with corresponding capabilities and expertise to evaluate the above processes.文章源自FOFCC-http://fofcc.org.cn/am/11336/
A certification body shall formulate corresponding procedures to evaluate and effectively control certification results, and shall have clear provisions and evaluation requirements for the issuance, suspension, or revocation of certification certificates.文章源自FOFCC-http://fofcc.org.cn/am/11336/
Article 26 A certification body shall make complete records of the entire certification process and retain corresponding certification materials. The records shall be true and accurate to prove that the certification activities have been effectively implemented. The records and materials shall be in Chinese, and the retention period after archiving shall be consistent with the validity period of the certification certificate.文章源自FOFCC-http://fofcc.org.cn/am/11336/
Article 27 A certification body and its certification personnel shall promptly make certification conclusions and ensure that the certification conclusions are objective and true. The certification conclusions shall be signed by the certification personnel and provided by the certification body to the certification client. The certification body and its certification personnel shall be responsible for the certification results and bear corresponding legal responsibilities.文章源自FOFCC-http://fofcc.org.cn/am/11336/
Article 28 Where the certification conclusion meets the requirements, the certification body shall promptly issue a certification certificate to the certification client and permit the use of the certification mark. The certification certificate shall be issued by personnel authorized by the certification body.文章源自FOFCC-http://fofcc.org.cn/am/11336/
The certification certificate shall state the name, address, coverage scope or products of the certified organization, the standards or relevant technical specifications on which certification is based, the validity period, and other contents. The contents contained in the certification certificate shall conform to the actual situation of the certification implementation.文章源自FOFCC-http://fofcc.org.cn/am/11336/
The format of the certification certificate of a certification body shall be reported to the CNCA for filing within 30 days after it is determined.文章源自FOFCC-http://fofcc.org.cn/am/11336/
A certification body shall provide the public with a means to inquire about the validity of certification certificates.文章源自FOFCC-http://fofcc.org.cn/am/11336/
Article 29 A certification body that has merged or split shall handle the certification certificates issued before the change occurred and convert the relevant certification certificates in accordance with the prescribed procedures.文章源自FOFCC-http://fofcc.org.cn/am/11336/
After a certification body has its approval qualification canceled or revoked, a certified organization holding a valid certification certificate issued by that body may convert the certification certificate to a certification body approved by the CNCA; the certification body accepting the certificate conversion shall carry out the conversion in accordance with the prescribed procedures and report the conversion results to the CNCA.文章源自FOFCC-http://fofcc.org.cn/am/11336/
Article 30 A certification body shall require certified organizations to correctly use certification certificates and certification marks within the certification scope, and shall take effective corrective measures for misuse and use of certification certificates and certification marks not in accordance with regulations.文章源自FOFCC-http://fofcc.org.cn/am/11336/
Article 31 A certification body shall implement effective follow-up supervision over the products, services, and management systems it certifies in accordance with the requirements of the basic certification specifications and certification rules, determine reasonable supervision and inspection frequencies to ensure that the certified products, services, and management systems continuously meet certification requirements; where they cannot continuously meet certification requirements, the certification body shall suspend or revoke their certification certificates, promptly announce this to the public, and take effective measures to prevent invalid certification certificates and certification marks from continuing to be used.文章源自FOFCC-http://fofcc.org.cn/am/11336/
Article 32 Subsidiaries and branch companies established by a certification body shall engage in certification activities within their approved scope in the name of the certification body and carry out work in accordance with the provisions of these Measures and the requirements of the basic certification specifications and certification rules.文章源自FOFCC-http://fofcc.org.cn/am/11336/
Subsidiaries and branch companies of a certification body shall not establish institutions related to certification activities in other forms or entrust others to engage in certification activities.文章源自FOFCC-http://fofcc.org.cn/am/11336/
Article 33 Offices established by certification bodies and representative offices established within China by overseas certification bodies, as well as their personnel, shall not engage in activities such as signing certification contracts, organizing on-site audits (inspections), issuing audit (inspection) reports, implementing certification decisions, or collecting certification fees, and shall not directly or indirectly engage in certification training and certification consulting activities.文章源自FOFCC-http://fofcc.org.cn/am/11336/
Chapter IV Supervision and Inspection文章源自FOFCC-http://fofcc.org.cn/am/11336/
Article 34 The AQSIQ and the CNCA shall supervise certification bodies' compliance with the Certification and Accreditation Regulations and these Measures.文章源自FOFCC-http://fofcc.org.cn/am/11336/
The CNCA shall be responsible for inspecting the operation of certification bodies, conducting spot checks on certification results and certification activities, and publishing the inspection and spot check results and the list of relevant certification bodies and certified organizations.文章源自FOFCC-http://fofcc.org.cn/am/11336/
Article 35 The CNCA shall implement a system of certification business information submission and annual work report review for certification bodies.文章源自FOFCC-http://fofcc.org.cn/am/11336/
Certification bodies shall submit certification business information to the CNCA in accordance with relevant provisions, including: detailed information on certified organizations, information on suspended or revoked certification certificates, and business information related to certification results.文章源自FOFCC-http://fofcc.org.cn/am/11336/
The Certification and Accreditation Administration of the People's Republic of China (CNCA) shall promptly compile the relevant information and data submitted by certification bodies and make them public.文章源自FOFCC-http://fofcc.org.cn/am/11336/
Certification bodies shall, before the end of February each year, submit the work report of the previous year to the CNCA. The report shall include: basic information on practice, personnel, business status, quality analysis, and financial accounting audit reports issued by accounting firms that meet the national qualification requirements.文章源自FOFCC-http://fofcc.org.cn/am/11336/
Article 36 Quality and technical supervision departments at all levels and entry-exit inspection and quarantine institutions in various localities (hereinafter collectively referred to as local certification supervision and administration departments) shall, in accordance with their respective duties, regularly supervise certification activities within their jurisdictions, investigate and punish illegal certification acts, and establish corresponding supervision and coordination working mechanisms.文章源自FOFCC-http://fofcc.org.cn/am/11336/
Article 37 The General Administration of Quality Supervision, Inspection and Quarantine (AQSIQ) and the CNCA shall supervise and guide the filing of branch offices of certification bodies and certification enforcement work carried out by provincial-level quality and technical supervision departments and directly affiliated inspection and quarantine institutions.文章源自FOFCC-http://fofcc.org.cn/am/11336/
Provincial-level quality and technical supervision departments shall supervise and guide certification enforcement work carried out by quality and technical supervision departments at the municipal and county levels under their jurisdiction. Directly affiliated inspection and quarantine institutions shall supervise and guide certification enforcement work carried out by their subordinate branch entry-exit inspection and quarantine institutions.文章源自FOFCC-http://fofcc.org.cn/am/11336/
Provincial-level quality and technical supervision departments and directly affiliated inspection and quarantine institutions shall, before the end of March each year, submit the certification supervision and administration work situation of the previous year within their jurisdictions to the CNCA.文章源自FOFCC-http://fofcc.org.cn/am/11336/
Article 38 Where the CNCA and local certification supervision and administration departments discover the following problems in administrative management, after investigation and verification, they shall issue a warning to the certification body and order it to make corrections:文章源自FOFCC-http://fofcc.org.cn/am/11336/
(1) A branch office established has not been filed with the provincial-level certification supervision department of the place where it is located;文章源自FOFCC-http://fofcc.org.cn/am/11336/
(2) A representative office established within China by an overseas certification body has not been filed with the CNCA;文章源自FOFCC-http://fofcc.org.cn/am/11336/
(3) Certification rules formulated on its own have not been filed with the CNCA;文章源自FOFCC-http://fofcc.org.cn/am/11336/
(4) Senior management personnel of the certification body violate the relevant provisions of these Measures;文章源自FOFCC-http://fofcc.org.cn/am/11336/
(5) Certification certificates or certification marks have not been filed, or the certificates or marks issued to certified organizations or products are inconsistent with the filed certificates or marks.文章源自FOFCC-http://fofcc.org.cn/am/11336/
Article 39 The State encourages certification bodies to obtain accreditation through accreditation bodies to prove that their certification capabilities meet the requirements; where laws and administrative regulations provide that accreditation shall be obtained, certification bodies shall obtain accreditation in accordance with statutory requirements.文章源自FOFCC-http://fofcc.org.cn/am/11336/
Accreditation bodies shall conduct effective follow-up supervision of accredited certification bodies and conduct spot checks on the conformity of certification results. For certification bodies that cannot continuously meet accreditation requirements, they shall suspend or revoke their accreditation qualifications. Illegal and non-compliant acts discovered during accreditation supervision shall be promptly reported to the CNCA.文章源自FOFCC-http://fofcc.org.cn/am/11336/
Article 40 The Certification and Accreditation Association shall strengthen industry self-discipline management of certification bodies, evaluate certification bodies' compliance with laws and regulations and their performance of industry self-discipline norms, and promptly report to the CNCA when illegal or non-compliant acts of certification bodies are discovered.文章源自FOFCC-http://fofcc.org.cn/am/11336/
Article 41 Certification bodies and certified organizations shall cooperate with and assist the supervisory and inspection work carried out by the CNCA and local certification supervision and administration departments, and truthfully provide relevant materials and information in response to inquiries and investigations concerning relevant matters.文章源自FOFCC-http://fofcc.org.cn/am/11336/
Article 42 Where a certified organization experiences a product quality safety accident, environmental pollution, or occupational health and safety accident, or where products that do not meet statutory requirements are discovered through random inspections supervised by administrative organs, the certification body shall, according to the specific circumstances and in accordance with law, suspend or revoke the certification certificate, promptly notify the CNCA, local certification supervision and administration departments, and relevant departments, and cooperate with the relevant administrative organs in conducting follow-up supervision and inspection of the certified organization.文章源自FOFCC-http://fofcc.org.cn/am/11336/
Article 43 Under any of the following circumstances, the CNCA shall, in accordance with law, complete the cancellation procedures for the Certification Body Approval Certificate:文章源自FOFCC-http://fofcc.org.cn/am/11336/
(1) The validity period of the Certification Body Approval Certificate expires and no application for extension has been made;文章源自FOFCC-http://fofcc.org.cn/am/11336/
(2) The validity period of the Certification Body Approval Certificate expires and, upon review, it does not conform to the decision to extend approval;文章源自FOFCC-http://fofcc.org.cn/am/11336/
(3) The certification body is terminated in accordance with law;文章源自FOFCC-http://fofcc.org.cn/am/11336/
(4) Other circumstances under which cancellation shall be made as provided by laws and regulations.文章源自FOFCC-http://fofcc.org.cn/am/11336/
Article 44 Under any of the following circumstances, the CNCA may, upon the request of an interested party or based on its functions and powers, revoke the approval decision made with respect to a certification body:文章源自FOFCC-http://fofcc.org.cn/am/11336/
(1) The approval decision was made by CNCA staff through abuse of power or dereliction of duty;文章源自FOFCC-http://fofcc.org.cn/am/11336/
(2) The approval decision was made beyond statutory functions and powers;文章源自FOFCC-http://fofcc.org.cn/am/11336/
(3) The approval decision was made in violation of statutory procedures;文章源自FOFCC-http://fofcc.org.cn/am/11336/
(4) Approval was granted to an applicant that does not possess application qualifications or does not meet statutory conditions;文章源自FOFCC-http://fofcc.org.cn/am/11336/
(5) The certification body no longer possesses or cannot continuously meet the statutory conditions and capabilities;文章源自FOFCC-http://fofcc.org.cn/am/11336/
(6) Other circumstances under which an approval decision may be revoked in accordance with law.文章源自FOFCC-http://fofcc.org.cn/am/11336/
Article 45 Any unit or individual has the right to complain or report illegal or non-compliant acts in certification activities to the AQSIQ, the CNCA, or local certification supervision and administration departments. The CNCA or local certification supervision and administration departments shall promptly investigate and handle the matter and keep the reporter confidential.文章源自FOFCC-http://fofcc.org.cn/am/11336/
Chapter V Legal Liability文章源自FOFCC-http://fofcc.org.cn/am/11336/
Article 46 Where an applicant conceals relevant information or provides false materials in applying for approval matters such as the establishment of a certification body, the CNCA shall not accept or shall not approve the application and shall issue a warning; the applicant may not again apply for approval matters such as the establishment of a certification body within 1 year.文章源自FOFCC-http://fofcc.org.cn/am/11336/
Article 47 Where an applicant obtains an approval certificate for approval matters such as the establishment of a certification body by fraud, bribery, or other improper means, the CNCA shall revoke its approval certificate; the applicant may not again apply for the establishment of a certification body within 3 years.文章源自FOFCC-http://fofcc.org.cn/am/11336/
Article 48 Where a certification body, without approval, establishes a subsidiary or branch without authorization to engage in certification activities, the local certification supervision department shall order its subsidiary or branch to stop certification activities, impose a fine of not less than 100,000 yuan but not more than 500,000 yuan, and confiscate illegal gains if any; the CNCA shall impose a 6-month suspension of business for rectification on the certification body, impose a 1-year suspension from practice on the certification personnel responsible, and make it public; if the circumstances are serious, the CNCA shall revoke the approval certificate of the certification body, revoke the practice qualifications of the certification personnel responsible, and make it public.文章源自FOFCC-http://fofcc.org.cn/am/11336/
Article 49 Where a branch office established by a certification body engages in certification activities such as signing certification contracts, organizing on-site audits (inspections), issuing audit (inspection) reports, implementing certification decisions, and collecting certification fees, the local certification supervision department shall revoke its filing, impose a fine of not less than 100,000 yuan but not more than 500,000 yuan, and confiscate illegal gains if any; the CNCA shall impose a 6-month suspension of business for rectification on the certification body, impose a 1-year suspension from practice on the certification personnel responsible, and make it public.文章源自FOFCC-http://fofcc.org.cn/am/11336/
Article 50 Where a representative office established within China by an overseas certification body engages in certification activities such as signing certification contracts, organizing on-site audits (inspections), issuing audit (inspection) reports, implementing certification decisions, and collecting certification fees, the local certification supervision department shall order it to stop the illegal acts, impose a fine of not less than 100,000 yuan but not more than 500,000 yuan, and confiscate illegal gains if any; if the circumstances are serious, the CNCA shall revoke its filing and make it public.文章源自FOFCC-http://fofcc.org.cn/am/11336/
Article 51 Where a subsidiary or branch established by a certification body establishes an institution in another form or entrusts another person to engage in certification activities, the local certification supervision department shall impose a fine of not less than 100,000 yuan but not more than 500,000 yuan, and confiscate illegal gains if any; the CNCA shall revoke the approval qualification of the subsidiary or branch, impose a 6-month suspension of business for rectification on the certification body, and impose a 1-year suspension from practice on the certification personnel responsible; if the circumstances are serious, the CNCA shall revoke the approval certificate of the certification body, revoke the practice qualifications of the certification personnel responsible, and make it public.文章源自FOFCC-http://fofcc.org.cn/am/11336/
Article 52 Where a certification body subcontracts certification business of an overseas certification body without approval from the CNCA, the CNCA shall order it to make corrections and issue a warning; if the circumstances are serious, it shall impose a 6-month suspension of business for rectification and make it public; it shall impose a 1-year suspension from practice on the certification personnel responsible; and it shall confiscate illegal gains if any.文章源自FOFCC-http://fofcc.org.cn/am/11336/
Article 53 Under any of the following circumstances, the CNCA or local certification supervision departments shall order the certification body to make corrections, issue a warning, and make it public:文章源自FOFCC-http://fofcc.org.cn/am/11336/
(1) The number and practice qualifications of full-time certification personnel do not meet requirements after changes occur;文章源自FOFCC-http://fofcc.org.cn/am/11336/
(2) The certification body undergoes changes in registered matters but fails to complete change procedures in accordance with regulations;文章源自FOFCC-http://fofcc.org.cn/am/11336/
(3) It fails to submit the annual review report, information on certified organizations, or other information on time, or the submitted materials are untrue;文章源自FOFCC-http://fofcc.org.cn/am/11336/
(4) Other violations of these Measures.文章源自FOFCC-http://fofcc.org.cn/am/11336/
Article 54 Under any of the following circumstances, the CNCA or local certification supervision departments shall order the certification body to make corrections within a prescribed time limit; if it fails to make corrections upon expiration, a fine of not more than 30,000 yuan may be imposed:文章源自FOFCC-http://fofcc.org.cn/am/11336/
(1) It fails to make public to society certification certificates that have already been suspended or revoked;文章源自FOFCC-http://fofcc.org.cn/am/11336/
(2) It fails to provide certification audit documents to the certification client;文章源自FOFCC-http://fofcc.org.cn/am/11336/
(3) The audit time is seriously insufficient and is below that stipulated in the basic certification norms and certification rules;文章源自FOFCC-http://fofcc.org.cn/am/11336/
(4) It engages in certification consulting activities;文章源自FOFCC-http://fofcc.org.cn/am/11336/
(5) Where the products of a certified organization do not meet relevant laws and regulations, or the product production standards have not been filed in accordance with statutory requirements, and the certification body fails to suspend its certification certificate in accordance with regulations or fails to take other corrective measures;文章源自FOFCC-http://fofcc.org.cn/am/11336/
(6) During supervision and inspection by administrative organs, it refuses to provide information reflecting its practice activities, or conceals relevant information or provides false materials;文章源自FOFCC-http://fofcc.org.cn/am/11336/
(7) Other circumstances in violation of the provisions of these Measures.文章源自FOFCC-http://fofcc.org.cn/am/11336/
Article 55 Where a certification body falls under any of the following circumstances, the local certification regulatory department shall order it to make corrections and impose a fine of not less than 50,000 yuan but not more than 100,000 yuan; where there is illegal income, the illegal income shall be confiscated; where the circumstances are serious, the Certification and Accreditation Administration of the People's Republic of China shall order it to suspend business for rectification for 6 months up to revocation of its approval certificate, and shall make a public announcement:文章源自FOFCC-http://fofcc.org.cn/am/11336/
(1) Employing personnel who have not been registered (confirmed) by the State, or using personnel who do not meet certification requirements and competence, to engage in certification audit and inspection activities;文章源自FOFCC-http://fofcc.org.cn/am/11336/
(2) Adding, reducing, or omitting procedural requirements prescribed by basic certification norms and certification rules, or issuing a certification certificate when certification personnel have not arrived at the audit site or have not effectively verified the corrective measures of the certification client;文章源自FOFCC-http://fofcc.org.cn/am/11336/
(3) Chaotic internal management or making certification decisions at multiple office locations, resulting in failure to implement effective certification or follow-up supervision of the products, services, and management systems it certifies in accordance with the procedures and requirements of basic certification norms and certification rules, thereby causing adverse social impact;文章源自FOFCC-http://fofcc.org.cn/am/11336/
(4) Where the certified products, services, or management systems cannot continuously meet certification requirements, and the certification body fails to suspend or revoke the certification certificate in accordance with regulations and make a public announcement;文章源自FOFCC-http://fofcc.org.cn/am/11336/
(5) Other circumstances in violation of the provisions of basic certification norms and certification rules.文章源自FOFCC-http://fofcc.org.cn/am/11336/
Article 56 Where a certification body falls under any of the following circumstances, the local certification regulatory department shall order it to make corrections and impose a fine of not less than 100,000 yuan but not more than 200,000 yuan; where there is illegal income, the illegal income shall be confiscated; where the circumstances are serious, the Certification and Accreditation Administration of the People's Republic of China shall revoke its approval certificate and make a public announcement:文章源自FOFCC-http://fofcc.org.cn/am/11336/
(1) Conducting certification activities beyond the approved scope;文章源自FOFCC-http://fofcc.org.cn/am/11336/
(2) Altering or forging the Approval Certificate of a Certification Body, or illegally transferring approval qualifications in any other form;文章源自FOFCC-http://fofcc.org.cn/am/11336/
(3) Continuing to engage in certification activities during the period of suspension for rectification;文章源自FOFCC-http://fofcc.org.cn/am/11336/
(4) After the expiration of the suspension for rectification, still failing to engage in certification activities in accordance with rectification requirements.文章源自FOFCC-http://fofcc.org.cn/am/11336/
Article 57 Where a certification body issues false certification conclusions or the conclusions issued are seriously inconsistent with the facts, the Certification and Accreditation Administration of the People's Republic of China shall revoke its approval certificate and make a public announcement; give a warning to the directly responsible person in charge; revoke the practice qualification of the certification personnel who bear direct responsibility; where a crime is constituted, criminal liability shall be pursued according to law; where losses are caused, compensation liability shall be borne according to law.文章源自FOFCC-http://fofcc.org.cn/am/11336/
Article 58 For other illegal acts of certification bodies, penalties shall be imposed in accordance with the Certification and Accreditation Regulations and other relevant laws and regulations.文章源自FOFCC-http://fofcc.org.cn/am/11336/
Article 59 The Certification and Accreditation Administration of the People's Republic of China, local certification regulatory departments, and their staff shall supervise certification activities according to law. Where they commit illegal acts such as abuse of power, engaging in malpractices for personal gain, or dereliction of duty, administrative sanctions shall be given according to law; where a crime is constituted, criminal liability shall be pursued according to law.文章源自FOFCC-http://fofcc.org.cn/am/11336/
Chapter VI Supplementary Provisions文章源自FOFCC-http://fofcc.org.cn/am/11336/
Article 60 Where certification bodies from the Hong Kong, Macao, and Taiwan regions establish certification bodies or representative offices in the mainland, they shall handle the relevant approval procedures in accordance with the provisions of Chapter II of these Measures concerning overseas certification bodies, and shall comply with the provisions of these Measures.文章源自FOFCC-http://fofcc.org.cn/am/11336/
Article 61 These Measures shall be interpreted by the General Administration of Quality Supervision, Inspection and Quarantine.文章源自FOFCC-http://fofcc.org.cn/am/11336/
Article 62 These Measures shall come into force as of September 1, 2011.文章源自FOFCC-http://fofcc.org.cn/am/11336/