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)Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
No. 141Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/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.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
Director GeneralJuly 20, 2011Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
Measures for the Administration of Certification BodiesArtikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
Chapter I General ProvisionsArtikel berasal dariFOFCC-http://fofcc.org.cn/ms/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, standardizing certification activities and improving the effectiveness of certification.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
Article 2 For the purposes of these Measures, "certification bodies" refer to legal-person certification institutions that are established upon approval in accordance with the law and independently engage in conformity assessment activities regarding products, services and management systems meeting the requirements of standards and relevant technical specifications.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/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.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/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.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/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.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/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 entry-exit inspection and quarantine institutions directly under the AQSIQ (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 duties, be responsible for the supervision and administration of certification activities within their respective jurisdictions.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/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.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
Article 6 Certification bodies and their personnel shall have the obligation to keep confidential the state secrets, commercial secrets and technical secrets learned in the course of their practice activities.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
Chapter II Establishment and ApprovalArtikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
Article 7 To establish a certification body, it shall be approved by the CNCA and shall obtain legal-person status in accordance with the law before it may engage in certification activities within the approved scope.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
Without approval, no entity or individual may engage in certification activities.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
Article 8 To establish a certification body, the following conditions shall be met:Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
(1) Having a fixed office premises and necessary facilities;Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
(2) Having articles of association and management systems that meet the requirements of certification and accreditation; where it involves a new certification field, a feasibility study report shall also be provided;Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/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;Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
(4) Having more than 10 full-time certification personnel with practice qualifications and capabilities in the corresponding field;Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/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;Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
(6) Other conditions prescribed by laws and regulations.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
A certification body engaged in product certification activities shall also possess testing, inspection, and other technical capabilities appropriate to the relevant product certification activities.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
Article 9 Where a foreign investor establishes a certification body within the territory of China, in addition to meeting the conditions prescribed in Article 8 of these Measures, it shall also meet the following requirements:Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/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;Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/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;Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
(3) The Chinese party to 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 institution 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;Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
Where a foreign investor establishes a certification body within the territory of China, it shall also comply with the provisions of relevant laws and administrative regulations on foreign investment and the relevant national policies guiding foreign investment industries.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
Article 10 Approval procedures for the establishment of a certification body:Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/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;Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/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; where the application materials are incomplete or do not conform to the statutory form, the applicant shall be informed in one instance of all the contents that need to be supplemented and corrected;Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/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. Where approval is decided, a notice of establishment of the certification body shall be issued to the applicant; where approval is not granted, the applicant shall be notified in writing with reasons stated;Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/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 the approval decision;Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/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;Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
(6) The CNCA shall announce to the public and publish on its website the directory of certification bodies established in accordance with the law.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/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.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
Article 11 The Certification Body Approval Certificate shall be valid for 4 years.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
Where 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.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/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 has submitted an extension application, and shall, before the expiration of the validity period of the Certification Body Approval Certificate, make a decision on whether to grant the extension.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
Article 12 The establishment of a subsidiary or branch by a certification body shall be carried out in accordance with the approval procedures for certification bodies, and it may engage in certification activities within the approved scope only after being approved by the CNCA and obtaining registration from the company registration authority in accordance with the law.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
Article 13 A certification body establishing a subsidiary shall meet the following conditions:Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/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;Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/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;Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
(3) The subsidiary is wholly owned or controlled by the certification body.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
Article 14 A certification body establishing a branch shall meet the following conditions:Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/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;Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
(2) The branch has a fixed office premises and necessary facilities;Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
(3) The branch has more than 5 full-time certification personnel with practice qualifications and capabilities in the corresponding field;Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
(4) There are organizations in the location of the branch that have obtained certification from the certification body;Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
(5) The branch has relevant management systems that meet the requirements of certification and accreditation;Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
(6) Other conditions prescribed by laws and regulations.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/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 content includes: name, address, person in charge, business scope, affiliated certification body, etc.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/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 shall report to the CNCA the list of offices affiliated with certification bodies filed within their jurisdictions.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
Article 16 Overseas certification bodies may establish representative offices within China to engage in publicity and promotion activities within their business scope, and shall file a record with the CNCA within 30 days from the date of establishment. The record-filing content includes: name, address, person in charge, registration certificate documents, certification documents from foreign accreditation bodies, affiliated certification body, etc.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
The CNCA shall publish the list of representative offices filed in accordance with the law.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/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.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
A certification body applying to engage in subcontracting business shall first obtain approval to practice in the corresponding certification field.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
Article 18 Under any of the following circumstances, a certification body shall apply to the CNCA in accordance with the law to undergo the relevant change procedures:Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
(1) The certification body narrows its approved business scope;Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
(2) The certification body changes its legal person nature, shareholders, or registered capital;Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
(3) The certification body merges or splits;Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
(4) The certification body changes its name, domicile, legal representative, or senior management personnel;Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
(5) Other major changes occur to the certification body.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/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.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
Applications for expanding the business scope shall be handled by the CNCA with reference to Article 10 of these Measures.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
Chapter III Code of ConductArtikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
Article 19 A certification body shall carry out certification activities impartially, independently, and objectively, establish a risk prevention mechanism, adopt reasonable and effective measures for the risks and responsibilities that may be caused by its certification activities, and bear the corresponding social responsibilities.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
A certification body and its subsidiaries, branches, and offices shall not have interest relationships with certification consulting bodies and certification clients in terms of assets, management, or personnel.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/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.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/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.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/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.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
Article 22 When a certification body and its branches and subsidiaries carry out activities at the same time, in addition to complying with the responsibilities and obligations stipulated by laws and regulations, they shall also comply with the following requirements:Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
(1) The address where the certification body is registered with the industry and commerce authority shall be the core office location, which shall uniformly publish and submit certification information.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/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.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/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.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
A certification body shall not employ or use personnel whom national laws and regulations prohibit from engaging in certification activities.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/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, plan the entire certification process according to the scale, nature, organization, and product complexity of the certification client, formulate specific implementation, testing, inspection, and supervision plans, and assign certification personnel and technical experts with corresponding competence to implement certification.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/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 be equipped with certification personnel with corresponding competence and expertise to evaluate the above processes.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/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.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/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 archiving retention time shall be consistent with the validity period of the certification certificate.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/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.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
Article 28 Where the certification conclusions meet 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.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
The certification certificate shall state the name and address of the certified organization, the coverage scope or products, 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.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
The format of the certification certificate of a certification body shall be filed with the CNCA within 30 days after it is determined.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
A certification body shall provide the public with a means to inquire about the validity of certification certificates.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/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 prescribed procedures.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/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 prescribed procedures and report the conversion results to the CNCA.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/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.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/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.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/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 specifications and certification rules.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/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.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/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, and collecting certification fees, and shall not directly or indirectly engage in certification training and certification consulting activities.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
Chapter IV Supervision and InspectionArtikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
Article 34 The AQSIQ and the CNCA shall supervise certification bodies' compliance with the Certification and Accreditation Regulations and these Measures.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
The CNCA shall be responsible for inspecting the operation of certification bodies, conducting spot checks on certification results and certification activities, and publishing inspection and spot-check results and the lists of relevant certification bodies and certified organizations.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
Article 35 The CNCA shall implement a system of certification business information submission and annual work report review for certification bodies.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
Certification bodies shall submit certification business information to the CNCA in accordance with relevant provisions, including: detailed information on certified organizations, information on suspension or revocation of certification certificates, and business information related to certification results.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
The CNCA shall promptly summarize the relevant information and data submitted by certification bodies and publish them.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/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 practice information, personnel, business status, quality analysis, and financial accounting audit reports issued by accounting firms meeting national qualification requirements, etc.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/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 handle illegal certification acts, and establish corresponding supervision and coordination working mechanisms.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/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.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/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. Directly affiliated inspection and quarantine institutions shall supervise and guide the certification enforcement work carried out by the entry-exit inspection and quarantine institutions at the branch level under their jurisdiction.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
Provincial quality and technical supervision departments and directly affiliated inspection and quarantine institutions shall, before the end of March each year, submit a report on the certification supervision and management work within their jurisdiction for the previous year to the Certification and Accreditation Administration of the People's Republic of China.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
Article 38 If the Certification and Accreditation Administration of the People's Republic of China or 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:Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
(1) The establishment of an office has not been filed with the provincial certification supervision department at its location;Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
(2) The representative office established in China by an overseas certification body has not been filed with the Certification and Accreditation Administration of the People's Republic of China;Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
(3) Certification rules formulated independently have not been filed with the Certification and Accreditation Administration of the People's Republic of China;Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
(4) Senior management personnel of the certification body violate the relevant provisions of these Measures;Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/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.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/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.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/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. For illegal and non-compliant acts discovered during accreditation supervision, they shall promptly report to the Certification and Accreditation Administration of the People's Republic of China.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
Article 40 Certification and accreditation associations 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 illegal and non-compliant acts of certification bodies to the Certification and Accreditation Administration of the People's Republic of China.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
Article 41 Certification bodies and certified organizations shall cooperate with and assist the supervisory and inspection work carried out by the Certification and Accreditation Administration of the People's Republic of China and local certification supervision and management departments, and truthfully provide relevant materials and information in response to inquiries and investigations concerning relevant matters.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/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 during supervisory spot checks 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 Certification and Accreditation Administration of the People's Republic of China, 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.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
Article 43 Under any of the following circumstances, the Certification and Accreditation Administration of the People's Republic of China shall handle the cancellation of the Certification Body Approval Certificate in accordance with the law:Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
(1) The validity period of the Certification Body Approval Certificate has expired and no application for extension has been made;Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
(2) The validity period of the Certification Body Approval Certificate has expired and, upon review, it does not conform to the decision to extend approval;Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
(3) The certification body is terminated in accordance with the law;Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
(4) Other circumstances under which cancellation is required as provided by laws and regulations.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
Article 44 Under any of the following circumstances, the Certification and Accreditation Administration of the People's Republic of China may, upon the request of an interested party or on the basis of its functions and powers, revoke the approval decision made with respect to a certification body:Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
(1) The approval decision was made by staff of the Certification and Accreditation Administration of the People's Republic of China through abuse of power or dereliction of duty;Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
(2) The approval decision was made beyond statutory functions and powers;Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
(3) The approval decision was made in violation of statutory procedures;Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
(4) Approval was granted to an applicant that does not have application qualifications or does not meet statutory conditions;Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
(5) The certification body no longer possesses or cannot continuously meet the statutory conditions and capabilities;Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
(6) Other circumstances under which the approval decision may be revoked in accordance with the law.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/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 Certification and Accreditation Administration of the People's Republic of China, or local certification supervision and management departments. The Certification and Accreditation Administration of the People's Republic of China or local certification supervision and management departments shall promptly investigate and handle the matter and keep the informant confidential.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
Chapter V Legal LiabilityArtikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
Article 46 Where an applicant conceals relevant circumstances or provides false materials in applying for approval matters such as the establishment of a certification body, the Certification and Accreditation Administration of the People's Republic of China shall not accept or approve the application and shall issue a warning; the applicant may not apply again for approval matters such as the establishment of a certification body within 1 year.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/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 Certification and Accreditation Administration of the People's Republic of China shall revoke its approval certificate; the applicant may not apply again for the establishment of a certification body within 3 years.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/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 Certification and Accreditation Administration of the People's Republic of China shall impose a 6-month suspension of business for rectification on the certification body, impose a 1-year suspension of practice on the responsible certification personnel, and if the circumstances are serious, the Certification and Accreditation Administration of the People's Republic of China shall revoke the approval certificate of the certification body, revoke the practice qualifications of the responsible certification personnel, and make the matter public.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
Article 49 Where 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 Certification and Accreditation Administration of the People's Republic of China shall impose a 6-month suspension of business for rectification on the certification body, impose a 1-year suspension of practice on the responsible certification personnel, and make the matter public.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
Article 50 Where 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 Certification and Accreditation Administration of the People's Republic of China shall revoke its filing and make the matter public.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/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 Certification and Accreditation Administration of the People's Republic of China 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 of practice on the responsible certification personnel; if the circumstances are serious, the Certification and Accreditation Administration of the People's Republic of China shall revoke the approval certificate of the certification body, revoke the practice qualifications of the responsible certification personnel, and make the matter public.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
Article 52 Where a certification body subcontracts certification business of an overseas certification body without approval from the Certification and Accreditation Administration of the People's Republic of China, the Certification and Accreditation Administration of the People's Republic of China 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 the matter public; it shall impose a 1-year suspension of practice on the responsible certification personnel; and if there are illegal gains, it shall confiscate the illegal gains.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
Article 53 Under any of the following circumstances, the Certification and Accreditation Administration of the People's Republic of China or the local certification supervision department shall order the certification body to make corrections, issue a warning, and make the matter public:Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
(1) The full-time certification personnel have changed, and their number or practice qualifications do not meet the requirements;Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
(2) The certification body has undergone changes in registered matters but has not handled the change procedures in accordance with the provisions;Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/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;Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
(4) Other violations of the provisions of these Measures.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
Article 54 Under any of the following circumstances, the Certification and Accreditation Administration of the People's Republic of China or the local certification supervision department 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:Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
(1) It fails to make public the certification certificates that have been suspended or revoked;Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
(2) It fails to provide certification audit documents to the certification client;Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
(3) The audit time is seriously insufficient and is less than that provided by the basic certification norms and certification rules;Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
(4) It engages in certification consulting activities;Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/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 fails to suspend its certification certificate or take other corrective measures in accordance with the provisions;Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
(6) During supervisory inspection by an administrative organ, it refuses to provide information reflecting its practice activities, or conceals relevant circumstances or provides false materials;Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
(7) Other violations of the provisions of these Measures.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/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 Certification and Accreditation Administration of the People's Republic of China shall order it to suspend business for rectification for 6 months up to revoking its approval certificate, and make the matter public:Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
(1) It employs personnel who have not been registered (confirmed) by the State, or uses personnel who do not meet certification requirements and capabilities to engage in certification audit and inspection activities;Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
(2) It adds, reduces, or omits procedural requirements provided by basic certification norms and certification rules, or the certification personnel fail to appear at the audit site or fail to effectively verify the corrective measures of the certification client before issuing a certification certificate;Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/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 its certified products, services, and management systems in accordance with the procedures and requirements of basic certification norms and certification rules, causing adverse social impact;Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
(4) The certified products, services, and management systems cannot continuously meet the certification requirements, and the certification body fails to suspend or revoke the certification certificates in accordance with regulations and publicly announce the same;Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
(5) Other violations of the provisions of basic certification norms and certification rules.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/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:Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
(1) Conducting certification activities beyond the approved scope;Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
(2) Altering or forging the Certification Body Approval Certificate, or illegally transferring approval qualifications in other forms;Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
(3) Continuing to engage in certification activities during the period of suspension for rectification;Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
(4) After the expiration of the suspension for rectification, still failing to engage in certification activities in accordance with the rectification requirements.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/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 persons in charge, and revoke the practice qualifications of the certification personnel who bear direct responsibility; where a crime is constituted, criminal liability shall be pursued in accordance with law; where losses are caused, compensation liability shall be borne in accordance with law.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/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.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/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 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 imposed in accordance with law; where a crime is constituted, criminal liability shall be pursued in accordance with law.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
Chapter VI Supplementary ProvisionsArtikel berasal dariFOFCC-http://fofcc.org.cn/ms/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.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
Article 61 These Measures shall be interpreted by the General Administration of Quality Supervision, Inspection and Quarantine.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/
Article 62 These Measures shall come into force on September 1, 2011.Artikel berasal dariFOFCC-http://fofcc.org.cn/ms/11336/