Administrative Measures for Certification Agencies
Administrative Measures for Certification Agencies
Administrative Measures for Certification Agencies
Order of the General Administration of Quality Supervision, Inspection and Quarantine No.193
November 14, 2017
The Administrative Measures for Certification Agencies, which were deliberated and adopted at the executive meeting of the General Administration of Quality Supervision, Inspection and Quarantine on October 10, 2017, are hereby promulgated and shall come into effect as of January 1, 2018.
Administrative Measures for Certification Agencies
Chapter I General Provisions
Article 1 In accordance with the provisions of the Regulations of the People's Republic of China on Certification and Accreditation (hereinafter referred to as the “Regulations on Certification and Accreditation”) and other relevant laws and administrative regulations, these Measures are formulated with a view to strengthening the supervision and administration of certification agencies, regulating certification activities and improving certification effectiveness.
Article 2 For the purpose of these Measures, certification agencies refer to certifying agencies with legal personality which have obtained qualification in accordance with the law and independently conduct conformity assessment on whether products, services and management systems meet the requirements of standards and relevant technical specifications.
Article 3 These Measures shall apply to certification agencies engaging in certification activities within the territory of the People's Republic of China, and the supervision and administration thereof.
Article 4 The General Administration of Quality Supervision, Inspection and Quarantine (hereinafter referred to as the “AQSIQ”) shall be in charge of the supervision and administration of certification agencies.
The Certification and Accreditation Administration of the People's Republic of China (hereinafter referred to as the “CNCA”) shall be responsible for the qualification examination and approval for certification agencies and for the supervision and administration of their certification activities.
Quality and technology supervision departments of local people's governments at or above the county level and local entry-exit inspection and quarantine departments set up by the AQSIQ (hereinafter collectively referred to as “local certification administrations”) shall, in accordance with the provisions of these Measures and their respective responsibilities and functions, be responsible for the supervision and administration of certification activities of certification agencies within their respective jurisdictions.
Article 5 Certification agencies shall abide by the principles of fairness, openness, objectivity, independence, honesty and credibility in their certification activities, and safeguard the social credit system.
Article 6 Certification agencies and their personnel have the obligation to keep confidential the state secrets and trade secrets which they come to know in their certification activities.
Chapter II Qualification Examination and Approval
Article 7 The qualification for a certification agency shall be approved by the CNCA. Without approval, no entity or individual may engage in certification activities.
Article 8 To obtain the qualification for a certification agency, the following requirements shall be met:
1. Having obtained legal personality;
2. Having fixed office premises and necessary facilities;
3. Having a management system that meets certification and accreditation requirements;
4. Having registered capital of not less than CNY3 million; and
5. Having ten or more full-time certification personnel in the corresponding fields.
To engage in product certification activities, certification agencies shall also possess testing, inspection and other technical capabilities suitable for engaging in the relevant product certification activities.
In addition to the above-mentioned requirements, other requirements prescribed in the Regulations on Certification and Accreditation shall also be met for a foreign-invested enterprise to obtain the qualification for a certification agency.
Article 9 The procedures for the qualification examination and approval for a certification agency:
1. The applicant for qualification for a certification agency (hereinafter referred to as “applicant”) shall file an application with and submit the relevant supporting documents that meet the requirements specified in Article 8 hereof to the CNCA, and be responsible for the authenticity, validity and legality of such documents;
2. The CNCA shall conduct a preliminary examination of the supporting documents submitted by the applicant and make a written decision on whether to accept the application or not within five days from the date of receipt. If the application materials are incomplete or do not conform to statutory formats, the CNCA shall inform the applicant of all the contents to be supplemented and corrected on a one-off basis; and
3. the CNCA shall decide on whether to approve the application within 45 days from the date of acceptance of the application for the qualification for the certification agency. If it decides to grant approval, the CNCA shall issue a Certification Agency Approval Certificate to the applicant. Otherwise, the CNCA shall notify the applicant in writing and explain the reasons.
If it is necessary to conduct expert review on an applicant's certification, testing, inspection or other technical capabilities, the time for expert review shall not exceed 30 days. The review time shall not be included in the examination and approval period.
Article 10 The CNCA shall formulate, adjust and release a catalogue of certification fields, and certification agencies shall engage in certification activities within their approved certification fields and in accordance with basic certification norms and certification rules.
If the CNCA has not yet formulated certification rules, certification agencies may formulate certification rules by themselves, and report the relevant information on their certification rules to the CNCA for record-filing within 30 days after the issuance of the certification rules.
Article 11 Under any of the following circumstances, certification agencies shall apply to the CNCA for going through the formalities for changing the Certification Agency Approval Certificate within 30 days from the date of change:
1. Narrowing of the scope of any approved certification field;
2. Change to the nature of legal person, shareholder or registered capital;
3. Merger or split; or
4. Change to the name, domicile or legal representative.
Any certification field expansion shall be handled by the CNCA in accordance with the provisions of Article 9 hereof.
Article 12 The validity period of the Certification Agency Approval Certificate shall be six years.
If a certification agency needs to extend the validity period of its Certification Agency Approval Certificate, it shall file an application with the CNCA 30 days prior to the expiry of the validity period of its Certification Agency Approval Certificate.
The CNCA shall conduct a written re-examination of the certification agency applying for extension in accordance with the qualification requirements and examination and approval procedures as set forth in these Measures, and make a decision on whether to approve the application for extension prior to the expiry of the validity period of the Certification Agency Approval Certificate of the certification agency applying for extension.
Chapter III Code of Conduct
Article 13 Certification agencies shall establish a risk prevention mechanism, take reasonable and effective measures against risks and liability that may arise from their certification activities, and assume corresponding social responsibilities.
Certification agencies shall not engage in certification activities beyond the approved scope.
Article 14 Certification agencies shall establish and improve a certification personnel management system, regularly train their certification personnel and ensure that their abilities continuously meet the relevant requirements of the State on the professional qualifications of certification personnel.
Certification agencies shall not employ personnel who are prohibited or restricted from engaging in certification activities by national laws, regulations or policies.
Article 15 Certification agencies shall release the following information through their websites or in other forms and ensure the authenticity and validity of the information:
1. Self-declaration on engagement in certification activities in accordance with the law;
2. Certification fields, certification rules, certification certificate style and certification mark style;
3. Names, addresses and certification activity contents of branches established to undertake their certification activities;
4. Certification fee rates; and
5. Status of validity, suspension, cancellation or revocation of certification certificates.
Compulsory product certification agencies shall also release the relevant information on their compulsory product certification in accordance with the relevant provisions of the CNCA.
Article 16 Certification agencies shall engage in certification activities in compliance with the procedural requirements set forth in basic certification norms and certification rules and ensure the integrity, objectivity and authenticity of their certification processes, and shall not increase, reduce or omit any procedural requirements.
Article 17 When engaging in certification activities, certification agencies shall verify the following aspects of certification objects:
1. The certification objects have the relevant statutory qualification or competency;
2. The products, services and management systems under entrusted certification meet the requirements of relevant laws and regulations; and
3. The certification objects have not been included in the relevant national credit information list of subjects with serious dishonesty.
If a certification object does not meet the above requirements, the certification agency shall not issue a certification certificate to it.
Article 18 Certification agencies and their certification personnel shall reach their certification conclusions in a timely manner, ensure the objectivity and authenticity of their conclusions and assume the corresponding legal liability.
Certification agencies and their certification personnel shall not issue false or seriously untrue certification conclusions. Under any of the following circumstances, a certification conclusion shall be deemed as false or seriously untrue:
1. The certification personnel should have entered the site to carry out audit, inspection or examination as required by certification rules, but fail to do so;
2. The certification personnel carry out audit, inspection or examination in the name of other certification personnel;
3. The certification archives, records or materials are forged;
4. The contents recorded on the certification certificate are seriously untrue; or
5. The certification certificate is sold or transferred to a certification object that has not passed certification.
Article 19 If certification conclusions state that the certification requirements are met, certification agencies shall issue certification certificates to the certification objects in time.
Certification agencies shall provide the public with ways to inquire about the validity of the certification certificates through their websites or in other forms.
Article 20 Certification agencies shall require certification objects to use their certification certificates and certification marks correctly, and shall take effective corrective measures against those failing to use their certification certificates or certification marks in accordance with provisions.
Article 21 Certification agencies shall effectively track and supervise the products, services and management systems which they certify.
If a certification object fails to continuously meet certification requirements, the certification agency shall suspend the corresponding certification certificate within five days after confirming the relevant situation.
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Order of the General Administration of Quality Supervision, Inspection and Quarantine No.193
November 14, 2017
The Administrative Measures for Certification Agencies, which were deliberated and adopted at the executive meeting of the General Administration of Quality Supervision, Inspection and Quarantine on October 10, 2017, are hereby promulgated and shall come into effect as of January 1, 2018.
Administrative Measures for Certification Agencies
Chapter I General Provisions
Article 1 In accordance with the provisions of the Regulations of the People's Republic of China on Certification and Accreditation (hereinafter referred to as the “Regulations on Certification and Accreditation”) and other relevant laws and administrative regulations, these Measures are formulated with a view to strengthening the supervision and administration of certification agencies, regulating certification activities and improving certification effectiveness.
Article 2 For the purpose of these Measures, certification agencies refer to certifying agencies with legal personality which have obtained qualification in accordance with the law and independently conduct conformity assessment on whether products, services and management systems meet the requirements of standards and relevant technical specifications.
Article 3 These Measures shall apply to certification agencies engaging in certification activities within the territory of the People's Republic of China, and the supervision and administration thereof.
Article 4 The General Administration of Quality Supervision, Inspection and Quarantine (hereinafter referred to as the “AQSIQ”) shall be in charge of the supervision and administration of certification agencies.
The Certification and Accreditation Administration of the People's Republic of China (hereinafter referred to as the “CNCA”) shall be responsible for the qualification examination and approval for certification agencies and for the supervision and administration of their certification activities.
Quality and technology supervision departments of local people's governments at or above the county level and local entry-exit inspection and quarantine departments set up by the AQSIQ (hereinafter collectively referred to as “local certification administrations”) shall, in accordance with the provisions of these Measures and their respective responsibilities and functions, be responsible for the supervision and administration of certification activities of certification agencies within their respective jurisdictions.
Article 5 Certification agencies shall abide by the principles of fairness, openness, objectivity, independence, honesty and credibility in their certification activities, and safeguard the social credit system.
Article 6 Certification agencies and their personnel have the obligation to keep confidential the state secrets and trade secrets which they come to know in their certification activities.
Chapter II Qualification Examination and Approval
Article 7 The qualification for a certification agency shall be approved by the CNCA. Without approval, no entity or individual may engage in certification activities.
Article 8 To obtain the qualification for a certification agency, the following requirements shall be met:
1. Having obtained legal personality;
2. Having fixed office premises and necessary facilities;
3. Having a management system that meets certification and accreditation requirements;
4. Having registered capital of not less than CNY3 million; and
5. Having ten or more full-time certification personnel in the corresponding fields.
To engage in product certification activities, certification agencies shall also possess testing, inspection and other technical capabilities suitable for engaging in the relevant product certification activities.
In addition to the above-mentioned requirements, other requirements prescribed in the Regulations on Certification and Accreditation shall also be met for a foreign-invested enterprise to obtain the qualification for a certification agency.
Article 9 The procedures for the qualification examination and approval for a certification agency:
1. The applicant for qualification for a certification agency (hereinafter referred to as “applicant”) shall file an application with and submit the relevant supporting documents that meet the requirements specified in Article 8 hereof to the CNCA, and be responsible for the authenticity, validity and legality of such documents;
2. The CNCA shall conduct a preliminary examination of the supporting documents submitted by the applicant and make a written decision on whether to accept the application or not within five days from the date of receipt. If the application materials are incomplete or do not conform to statutory formats, the CNCA shall inform the applicant of all the contents to be supplemented and corrected on a one-off basis; and
3. the CNCA shall decide on whether to approve the application within 45 days from the date of acceptance of the application for the qualification for the certification agency. If it decides to grant approval, the CNCA shall issue a Certification Agency Approval Certificate to the applicant. Otherwise, the CNCA shall notify the applicant in writing and explain the reasons.
If it is necessary to conduct expert review on an applicant's certification, testing, inspection or other technical capabilities, the time for expert review shall not exceed 30 days. The review time shall not be included in the examination and approval period.
Article 10 The CNCA shall formulate, adjust and release a catalogue of certification fields, and certification agencies shall engage in certification activities within their approved certification fields and in accordance with basic certification norms and certification rules.
If the CNCA has not yet formulated certification rules, certification agencies may formulate certification rules by themselves, and report the relevant information on their certification rules to the CNCA for record-filing within 30 days after the issuance of the certification rules.
Article 11 Under any of the following circumstances, certification agencies shall apply to the CNCA for going through the formalities for changing the Certification Agency Approval Certificate within 30 days from the date of change:
1. Narrowing of the scope of any approved certification field;
2. Change to the nature of legal person, shareholder or registered capital;
3. Merger or split; or
4. Change to the name, domicile or legal representative.
Any certification field expansion shall be handled by the CNCA in accordance with the provisions of Article 9 hereof.
Article 12 The validity period of the Certification Agency Approval Certificate shall be six years.
If a certification agency needs to extend the validity period of its Certification Agency Approval Certificate, it shall file an application with the CNCA 30 days prior to the expiry of the validity period of its Certification Agency Approval Certificate.
The CNCA shall conduct a written re-examination of the certification agency applying for extension in accordance with the qualification requirements and examination and approval procedures as set forth in these Measures, and make a decision on whether to approve the application for extension prior to the expiry of the validity period of the Certification Agency Approval Certificate of the certification agency applying for extension.
Chapter III Code of Conduct
Article 13 Certification agencies shall establish a risk prevention mechanism, take reasonable and effective measures against risks and liability that may arise from their certification activities, and assume corresponding social responsibilities.
Certification agencies shall not engage in certification activities beyond the approved scope.
Article 14 Certification agencies shall establish and improve a certification personnel management system, regularly train their certification personnel and ensure that their abilities continuously meet the relevant requirements of the State on the professional qualifications of certification personnel.
Certification agencies shall not employ personnel who are prohibited or restricted from engaging in certification activities by national laws, regulations or policies.
Article 15 Certification agencies shall release the following information through their websites or in other forms and ensure the authenticity and validity of the information:
1. Self-declaration on engagement in certification activities in accordance with the law;
2. Certification fields, certification rules, certification certificate style and certification mark style;
3. Names, addresses and certification activity contents of branches established to undertake their certification activities;
4. Certification fee rates; and
5. Status of validity, suspension, cancellation or revocation of certification certificates.
Compulsory product certification agencies shall also release the relevant information on their compulsory product certification in accordance with the relevant provisions of the CNCA.
Article 16 Certification agencies shall engage in certification activities in compliance with the procedural requirements set forth in basic certification norms and certification rules and ensure the integrity, objectivity and authenticity of their certification processes, and shall not increase, reduce or omit any procedural requirements.
Article 17 When engaging in certification activities, certification agencies shall verify the following aspects of certification objects:
1. The certification objects have the relevant statutory qualification or competency;
2. The products, services and management systems under entrusted certification meet the requirements of relevant laws and regulations; and
3. The certification objects have not been included in the relevant national credit information list of subjects with serious dishonesty.
If a certification object does not meet the above requirements, the certification agency shall not issue a certification certificate to it.
Article 18 Certification agencies and their certification personnel shall reach their certification conclusions in a timely manner, ensure the objectivity and authenticity of their conclusions and assume the corresponding legal liability.
Certification agencies and their certification personnel shall not issue false or seriously untrue certification conclusions. Under any of the following circumstances, a certification conclusion shall be deemed as false or seriously untrue:
1. The certification personnel should have entered the site to carry out audit, inspection or examination as required by certification rules, but fail to do so;
2. The certification personnel carry out audit, inspection or examination in the name of other certification personnel;
3. The certification archives, records or materials are forged;
4. The contents recorded on the certification certificate are seriously untrue; or
5. The certification certificate is sold or transferred to a certification object that has not passed certification.
Article 19 If certification conclusions state that the certification requirements are met, certification agencies shall issue certification certificates to the certification objects in time.
Certification agencies shall provide the public with ways to inquire about the validity of the certification certificates through their websites or in other forms.
Article 20 Certification agencies shall require certification objects to use their certification certificates and certification marks correctly, and shall take effective corrective measures against those failing to use their certification certificates or certification marks in accordance with provisions.
Article 21 Certification agencies shall effectively track and supervise the products, services and management systems which they certify.
If a certification object fails to continuously meet certification requirements, the certification agency shall suspend the corresponding certification certificate within five days after confirming the relevant situation.
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