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/en/11336/
Order No. 141文章源自FOFCC-http://fofcc.org.cn/en/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 of the People's Republic of China on January 13, 2011, are hereby promulgated, and shall come into force as of September 1, 2011.文章源自FOFCC-http://fofcc.org.cn/en/11336/
Director GeneralJuly 20, 2011文章源自FOFCC-http://fofcc.org.cn/en/11336/
Measures for the Administration of Certification Bodies文章源自FOFCC-http://fofcc.org.cn/en/11336/
Chapter 1 General provisions文章源自FOFCC-http://fofcc.org.cn/en/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 purposes of strengthening the supervision and administration of certification bodies, regulating certification activities, and improving the effectiveness of certification.文章源自FOFCC-http://fofcc.org.cn/en/11336/
Article 2 For the purposes of these Measures, "certification body" means a certification institution with legal personality that is established upon approval in accordance with the law, independently engages in conformity assessment activities for products, services and management systems to verify compliance with standards and relevant technical specification requirements.文章源自FOFCC-http://fofcc.org.cn/en/11336/
Article 3 These Measures shall 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/en/11336/
Article 4 The General Administration of Quality Supervision, Inspection and Quarantine of the People's Republic of China (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/en/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/en/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/en/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/en/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/en/11336/
Chapter II Establishment and Approval文章源自FOFCC-http://fofcc.org.cn/en/11336/
Article 7 To establish a certification body, it shall be approved by the CNCA and shall obtain legal personality in accordance with the law before it may engage in certification activities within the approved scope.文章源自FOFCC-http://fofcc.org.cn/en/11336/
Without approval, no entity or individual may engage in certification activities.文章源自FOFCC-http://fofcc.org.cn/en/11336/
Article 8 To establish a certification body, the following conditions shall be met:文章源自FOFCC-http://fofcc.org.cn/en/11336/
(1) Having a fixed office premises and necessary facilities;文章源自FOFCC-http://fofcc.org.cn/en/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/en/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/en/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/en/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/en/11336/
(6) Other conditions prescribed by laws and regulations.文章源自FOFCC-http://fofcc.org.cn/en/11336/
A certification body engaged in product certification activities shall also have testing, inspection, and other technical capabilities commensurate with the relevant product certification activities.文章源自FOFCC-http://fofcc.org.cn/en/11336/
Article 9 In addition to meeting the conditions prescribed 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/en/11336/
(1) The foreign investor is an institution that has 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/en/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/en/11336/
(3) The Chinese joint venture or cooperative partner establishing a Sino-foreign equity joint venture or contractual 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 body or laboratory that has obtained qualification accreditation in accordance with the 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/en/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 the relevant national policies guiding foreign investment industries.文章源自FOFCC-http://fofcc.org.cn/en/11336/
Article 10 Approval procedures for the establishment of a certification body:文章源自FOFCC-http://fofcc.org.cn/en/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 the conditions prescribed in Articles 8 and 9 of these Measures are met;文章源自FOFCC-http://fofcc.org.cn/en/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 whether to accept or not accept the application; if the application materials are incomplete or do not conform to the statutory form, the CNCA shall inform the applicant of all contents to be supplemented and corrected at one time;文章源自FOFCC-http://fofcc.org.cn/en/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 the decision is to approve, it shall issue a notice of establishment of the certification body to the applicant; if the decision is not to approve, it shall notify the applicant in writing and explain the reasons;文章源自FOFCC-http://fofcc.org.cn/en/11336/
(4) The CNCA shall, as needed, organize relevant experts to review the applicant's technical capabilities such as certification and testing, and shall inform 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/en/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 the law, and shall, on the strength of the registration procedures completed in accordance with the law, obtain the Certification Body Approval Certificate;文章源自FOFCC-http://fofcc.org.cn/en/11336/
(6) The CNCA shall announce to the public and publish on its website the list of certification bodies established in accordance with the law.文章源自FOFCC-http://fofcc.org.cn/en/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/en/11336/
Article 11 The Certification Body Approval Certificate shall be valid for 4 years.文章源自FOFCC-http://fofcc.org.cn/en/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/en/11336/
The CNCA shall, in accordance with the establishment conditions and approval procedures prescribed 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 the extension before the expiration of the validity period of the Certification Body Approval Certificate.文章源自FOFCC-http://fofcc.org.cn/en/11336/
Article 12 A certification body establishing a subsidiary or branch shall do so 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 the law.文章源自FOFCC-http://fofcc.org.cn/en/11336/
Article 13 A certification body establishing a subsidiary shall meet the following conditions:文章源自FOFCC-http://fofcc.org.cn/en/11336/
(1) The certification body has been in practice for more than 2 years and has had no illegal or non-compliant acts within the 2 years;文章源自FOFCC-http://fofcc.org.cn/en/11336/
(2) The subsidiary meets the establishment conditions prescribed 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/en/11336/
(3) The subsidiary is wholly owned or controlled by the certification body.文章源自FOFCC-http://fofcc.org.cn/en/11336/
Article 14 A certification body establishing a branch shall meet the following conditions:文章源自FOFCC-http://fofcc.org.cn/en/11336/
(1) The certification body has been in practice for more than 2 years and has had no illegal or non-compliant acts within the 2 years;文章源自FOFCC-http://fofcc.org.cn/en/11336/
(2) The branch has fixed office premises and necessary facilities;文章源自FOFCC-http://fofcc.org.cn/en/11336/
(3) The branch has more than 5 full-time certification personnel with practice qualifications and capabilities in the corresponding field;文章源自FOFCC-http://fofcc.org.cn/en/11336/
(4) There are organizations in the place where the branch is located that have obtained certification from the certification body;文章源自FOFCC-http://fofcc.org.cn/en/11336/
(5) The branch has relevant management systems that meet the requirements of certification and accreditation;文章源自FOFCC-http://fofcc.org.cn/en/11336/
(6) Other conditions prescribed by laws and regulations.文章源自FOFCC-http://fofcc.org.cn/en/11336/
Article 15 A certification body may establish an office to engage 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 a record with the provincial quality and technical supervision department at the place where the office is located; a foreign-invested certification body shall file a record with the directly affiliated inspection and quarantine institution at the place where the office is located. The record-filing contents include: name, address, person in charge, business scope, affiliated certification body, etc.文章源自FOFCC-http://fofcc.org.cn/en/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 respective jurisdictions.文章源自FOFCC-http://fofcc.org.cn/en/11336/
Article 16 An overseas certification body may establish a representative office within the territory of China to engage in publicity and promotion activities within its business scope, and shall file a record with the CNCA within 30 days from the date of establishment. The record-filing contents include: 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/en/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/en/11336/
Article 17 Where a certification body subcontracts certification business to 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/en/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/en/11336/
Article 18 Under any of the following circumstances, a certification body shall apply to the CNCA in accordance with the law for handling the relevant modification procedures:文章源自FOFCC-http://fofcc.org.cn/en/11336/
(1) The certification body narrows its approved business scope;文章源自FOFCC-http://fofcc.org.cn/en/11336/
(2) The certification body changes its legal person nature, shareholders, or registered capital;文章源自FOFCC-http://fofcc.org.cn/en/11336/
(3) The certification body merges or splits;文章源自FOFCC-http://fofcc.org.cn/en/11336/
(4) The certification body changes its name, domicile, legal representative, or senior management personnel;文章源自FOFCC-http://fofcc.org.cn/en/11336/
(5) Other major changes occur to the certification body.文章源自FOFCC-http://fofcc.org.cn/en/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 shall have no illegal or non-compliant acts within 1 year.文章源自FOFCC-http://fofcc.org.cn/en/11336/
The application for expanding 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/en/11336/
Chapter III Code of Conduct文章源自FOFCC-http://fofcc.org.cn/en/11336/
Article 19 A certification body shall conduct certification activities impartially, independently, and objectively, establish a risk prevention mechanism, adopt reasonable and effective measures against the risks and responsibilities that may be caused by its certification activities, and assume corresponding social responsibilities.文章源自FOFCC-http://fofcc.org.cn/en/11336/
A certification body and its subsidiaries, branches, 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/en/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 norms and certification rules, and make certification conclusions.文章源自FOFCC-http://fofcc.org.cn/en/11336/
Where the CNCA has not yet formulated certification rules, a certification body may formulate certification rules on its own and file them with the CNCA for record.文章源自FOFCC-http://fofcc.org.cn/en/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, branches, and offices, and shall ensure that the information is true and valid.文章源自FOFCC-http://fofcc.org.cn/en/11336/
Article 22 When a certification body and its branches 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/en/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/en/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/en/11336/
Article 23 A certification body shall establish and improve a management system for certification personnel, regularly train and evaluate the competence of certification personnel, ensure that the competence of certification personnel continuously meets requirements, and ensure that there is a reasonable number of full-time certification personnel and technical experts in the certification audit process.文章源自FOFCC-http://fofcc.org.cn/en/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/en/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 competence to implement certification.文章源自FOFCC-http://fofcc.org.cn/en/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 norms 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 be equipped with certification personnel with corresponding competence and expertise to evaluate the above processes.文章源自FOFCC-http://fofcc.org.cn/en/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/en/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 upon archiving shall be consistent with the validity period of the certification certificate.文章源自FOFCC-http://fofcc.org.cn/en/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 liabilities.文章源自FOFCC-http://fofcc.org.cn/en/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/en/11336/
The certification certificate shall state the name, address, coverage or products, standards or relevant technical specifications on which certification is based, validity period, and other contents of the certified organization, and 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/en/11336/
The format of the certification certificate of a certification body shall be reported to the CNCA for record within 30 days after it is determined.文章源自FOFCC-http://fofcc.org.cn/en/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/en/11336/
Article 29 A certification body that has undergone merger or division shall handle the certification certificates issued before the change and convert the relevant certification certificates in accordance with the prescribed procedures.文章源自FOFCC-http://fofcc.org.cn/en/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/en/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/en/11336/
Article 31 A certification body shall, in accordance with the requirements of the basic certification norms and certification rules, implement effective follow-up supervision over the products, services, and management systems it certifies, and 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/en/11336/
Article 32 Subsidiaries and branches established by a certification body shall engage in certification activities within its 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 norms and certification rules.文章源自FOFCC-http://fofcc.org.cn/en/11336/
Subsidiaries and branches 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/en/11336/
Article 33 Offices established by a certification body and representative offices established within the territory of 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, and 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/en/11336/
Chapter IV Supervision and Inspection文章源自FOFCC-http://fofcc.org.cn/en/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/en/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/en/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/en/11336/
Certification bodies shall, in accordance with relevant provisions, submit certification business information to the CNCA, including: detailed information on organizations that have obtained certification, information on suspension or revocation of certification certificates, and business information related to certification results.文章源自FOFCC-http://fofcc.org.cn/en/11336/
The CNCA shall promptly summarize the relevant information and data submitted by certification bodies and publish them.文章源自FOFCC-http://fofcc.org.cn/en/11336/
Certification bodies shall submit the previous year's work report to the CNCA before the end of February each year. The report contents include: basic information on practice, personnel, business conditions, quality analysis, and a financial accounting audit report issued by an accounting firm meeting national qualification requirements, etc.文章源自FOFCC-http://fofcc.org.cn/en/11336/
Article 36 Quality and technical supervision departments at all levels and entry-exit inspection and quarantine institutions in various places (hereinafter collectively referred to as local certification supervision and management 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/en/11336/
Article 37 The AQSIQ and the CNCA shall supervise and guide the record-filing of certification body offices and certification law enforcement work implemented by provincial quality and technical supervision departments and directly affiliated inspection and quarantine institutions.文章源自FOFCC-http://fofcc.org.cn/en/11336/
The provincial quality and technical supervision department shall supervise and guide the certification enforcement work carried out by the quality and technical supervision departments at the municipal and county levels under its jurisdiction. The directly affiliated inspection and quarantine institution shall supervise and guide the certification enforcement work carried out by the entry-exit inspection and quarantine institutions at its branch offices.文章源自FOFCC-http://fofcc.org.cn/en/11336/
The provincial 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 management work situation of the previous year within their jurisdictions to the Certification and Accreditation Administration of the People's Republic of China (CNCA).文章源自FOFCC-http://fofcc.org.cn/en/11336/
Article 38 If the CNCA and local certification supervision and management 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/en/11336/
(1) The establishment of an office has not been filed with the provincial certification supervision department of the place where it is located;文章源自FOFCC-http://fofcc.org.cn/en/11336/
(2) The representative office established in China by an overseas certification body has not been filed with the CNCA;文章源自FOFCC-http://fofcc.org.cn/en/11336/
(3) The certification rules formulated by itself have not been filed with the CNCA;文章源自FOFCC-http://fofcc.org.cn/en/11336/
(4) The senior management personnel of the certification body violate the relevant provisions of these Measures;文章源自FOFCC-http://fofcc.org.cn/en/11336/
(5) The certification certificates and certification marks have not been filed, or the certificates and marks issued to certified organizations and products are inconsistent with the filed certificates and marks.文章源自FOFCC-http://fofcc.org.cn/en/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 require accreditation, certification bodies shall obtain accreditation in accordance with statutory requirements.文章源自FOFCC-http://fofcc.org.cn/en/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/en/11336/
Article 40 The Certification and Accreditation Association shall strengthen the industry self-discipline management of certification bodies, review the compliance of certification bodies with laws and regulations and the performance of industry self-discipline norms, and promptly report to the CNCA when illegal and non-compliant acts of certification bodies are discovered.文章源自FOFCC-http://fofcc.org.cn/en/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 management departments, and truthfully provide relevant materials and information in response to inquiries and investigations on relevant matters.文章源自FOFCC-http://fofcc.org.cn/en/11336/
Article 42 If a certified organization experiences a product quality safety accident, environmental pollution or occupational health safety accident, or if products that do not meet statutory requirements are discovered during random inspections by administrative organs, the certification body shall, according to the specific circumstances, suspend or revoke the certification certificate in accordance with the law, promptly notify the CNCA, local certification supervision and management 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/en/11336/
Article 43 Under any of the following circumstances, the CNCA shall handle the cancellation of the Certification Body Approval Certificate in accordance with the law:文章源自FOFCC-http://fofcc.org.cn/en/11336/
(1) The Certification Body Approval Certificate expires and no application for renewal has been made;文章源自FOFCC-http://fofcc.org.cn/en/11336/
(2) The Certification Body Approval Certificate expires and, after review, does not conform to the decision to renew approval;文章源自FOFCC-http://fofcc.org.cn/en/11336/
(3) The certification body is terminated in accordance with the law;文章源自FOFCC-http://fofcc.org.cn/en/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/en/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 to a certification body:文章源自FOFCC-http://fofcc.org.cn/en/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/en/11336/
(2) The approval decision was made beyond statutory functions and powers;文章源自FOFCC-http://fofcc.org.cn/en/11336/
(3) The approval decision was made in violation of statutory procedures;文章源自FOFCC-http://fofcc.org.cn/en/11336/
(4) Approval was granted to an applicant that does not have application qualifications or does not meet statutory conditions;文章源自FOFCC-http://fofcc.org.cn/en/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/en/11336/
(6) Other circumstances under which the approval decision may be revoked in accordance with the law.文章源自FOFCC-http://fofcc.org.cn/en/11336/
Article 45 Any unit or individual has the right to complain or report illegal and non-compliant acts in certification activities to the General Administration of Quality Supervision, Inspection and Quarantine of the People's Republic of China, the CNCA or local certification supervision and management departments. The CNCA or local certification supervision and management departments shall promptly investigate and handle the matter and keep the informant confidential.文章源自FOFCC-http://fofcc.org.cn/en/11336/
Chapter V Legal Liability文章源自FOFCC-http://fofcc.org.cn/en/11336/
Article 46 If an applicant conceals relevant information or provides false materials when applying for approval matters such as the establishment of a certification body, the CNCA shall not accept or approve the application and shall give a warning; the applicant may not apply again for approval matters such as the establishment of a certification body within 1 year.文章源自FOFCC-http://fofcc.org.cn/en/11336/
Article 47 If an applicant obtains an approval certificate for approval matters such as the establishment of a certification body by fraudulent, bribery or other improper means, the CNCA shall revoke its approval certificate; the applicant may not apply again for the establishment of a certification body within 3 years.文章源自FOFCC-http://fofcc.org.cn/en/11336/
Article 48 If 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 for rectification on the certification body, impose a 1-year suspension from practice on the responsible certification personnel, and make it public; if the circumstances are serious, the CNCA shall revoke the certification body's approval certificate, revoke the practice qualifications of the responsible certification personnel, and make it public.文章源自FOFCC-http://fofcc.org.cn/en/11336/
Article 49 If an 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 for rectification on the certification body, impose a 1-year suspension from practice on the responsible certification personnel, and make it public.文章源自FOFCC-http://fofcc.org.cn/en/11336/
Article 50 If a representative office established in 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/en/11336/
Article 51 If 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 for rectification on the certification body, and impose a 1-year suspension from practice on the responsible certification personnel; if the circumstances are serious, the CNCA shall revoke the certification body's approval certificate, revoke the practice qualifications of the responsible certification personnel, and make it public.文章源自FOFCC-http://fofcc.org.cn/en/11336/
Article 52 If a certification body subcontracts the certification business of an overseas certification body without approval from the CNCA, the CNCA shall order it to make corrections and give a warning; if the circumstances are serious, it shall impose a 6-month suspension for rectification and make it public; it shall impose a 1-year suspension from practice on the responsible certification personnel; and it shall confiscate illegal gains if any.文章源自FOFCC-http://fofcc.org.cn/en/11336/
Article 53 Under any of the following circumstances, the CNCA or local certification supervision department shall order the certification body to make corrections, give a warning, and make it public:文章源自FOFCC-http://fofcc.org.cn/en/11336/
(1) A full-time certification personnel has changed, and its number and practice qualifications do not meet the requirements;文章源自FOFCC-http://fofcc.org.cn/en/11336/
(2) A change matter has occurred in the certification body, and the change procedures have not been handled in accordance with the provisions;文章源自FOFCC-http://fofcc.org.cn/en/11336/
(3) The annual review report, information on certified organizations, or other information has not been submitted on time, or the submitted materials are untrue;文章源自FOFCC-http://fofcc.org.cn/en/11336/
(4) Other violations of the provisions of these Measures.文章源自FOFCC-http://fofcc.org.cn/en/11336/
Article 54 Under any of the following circumstances, the CNCA or local certification supervision department shall order the certification body to make corrections within a time limit; if it fails to make corrections within the time limit, a fine of not more than 30,000 yuan may be imposed:文章源自FOFCC-http://fofcc.org.cn/en/11336/
(1) Certification certificates that have been suspended or revoked have not been made public;文章源自FOFCC-http://fofcc.org.cn/en/11336/
(2) Certification audit documents have not been provided to the certification client;文章源自FOFCC-http://fofcc.org.cn/en/11336/
(3) The audit time is seriously insufficient and is lower than that provided by the basic certification norms and certification rules;文章源自FOFCC-http://fofcc.org.cn/en/11336/
(4) Engaging in certification consulting activities;文章源自FOFCC-http://fofcc.org.cn/en/11336/
(5) The products of a certified organization do not meet the requirements of relevant laws and regulations, or the product production standards have not been filed in accordance with statutory requirements, and the certification body has not suspended its certification certificate or taken other corrective measures in accordance with the provisions;文章源自FOFCC-http://fofcc.org.cn/en/11336/
(6) During supervisory inspection by administrative organs, refusing to provide information reflecting its practice activities, or concealing relevant information or providing false materials;文章源自FOFCC-http://fofcc.org.cn/en/11336/
(7) Other violations of the provisions of these Measures.文章源自FOFCC-http://fofcc.org.cn/en/11336/
Article 55 Under any of the following circumstances, the local certification supervision department shall order the certification body to make corrections, impose a fine of not less than 50,000 yuan but not more than 100,000 yuan, and confiscate illegal gains if any; if the circumstances are serious, the CNCA shall order it to suspend business for rectification for 6 months up to revoking its approval certificate, and make it public:文章源自FOFCC-http://fofcc.org.cn/en/11336/
(1) Employing personnel who have not been registered (confirmed) by the state, or using personnel who do not meet certification requirements and capabilities, to engage in certification audit and inspection activities;文章源自FOFCC-http://fofcc.org.cn/en/11336/
(2) Adding, reducing, or omitting procedural requirements provided by the 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/en/11336/
(3) Chaotic internal management and certification decisions made at multiple office locations, resulting in failure to implement effective certification or follow-up supervision of certified products, services, and management systems in accordance with the procedures and requirements of basic certification norms and certification rules, causing adverse social impact;文章源自FOFCC-http://fofcc.org.cn/en/11336/
(4) Certified products, services, and management systems fail to continuously meet certification requirements, and the certification body fails to suspend or revoke the certification certificates as required and publicly announce such action;文章源自FOFCC-http://fofcc.org.cn/en/11336/
(5) Other violations of the provisions of basic certification norms and certification rules.文章源自FOFCC-http://fofcc.org.cn/en/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, impose a fine of not less than 100,000 yuan but not more than 200,000 yuan, and confiscate any illegal gains; if 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/en/11336/
(1) Conducting certification activities beyond the approved scope;文章源自FOFCC-http://fofcc.org.cn/en/11336/
(2) Altering or forging the Certification Body Approval Certificate, or illegally transferring approval qualifications in any other form;文章源自FOFCC-http://fofcc.org.cn/en/11336/
(3) Continuing to engage in certification activities during the period of suspension for rectification;文章源自FOFCC-http://fofcc.org.cn/en/11336/
(4) After the expiration of the suspension for rectification, still failing to engage in certification activities in accordance with the rectification requirements.文章源自FOFCC-http://fofcc.org.cn/en/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 with direct responsibility; if a crime is constituted, criminal liability shall be pursued in accordance with the law; if losses are caused, compensation liability shall be borne in accordance with the law.文章源自FOFCC-http://fofcc.org.cn/en/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/en/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 in accordance with the law. If they commit illegal acts such as abuse of power, engaging in malpractices for personal gain, or dereliction of duty, administrative sanctions shall be imposed in accordance with the law; if a crime is constituted, criminal liability shall be pursued in accordance with the law.文章源自FOFCC-http://fofcc.org.cn/en/11336/
Chapter VI Supplementary Provisions文章源自FOFCC-http://fofcc.org.cn/en/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 undergo the relevant approval procedures in accordance with the provisions of Chapter II of these Measures regarding overseas certification bodies, and shall comply with the provisions of these Measures.文章源自FOFCC-http://fofcc.org.cn/en/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/en/11336/
Article 62 These Measures shall come into force as of September 1, 2011.文章源自FOFCC-http://fofcc.org.cn/en/11336/