Number 193rd 

《Measures for the Administration of Certification Institutions》It has been deliberated and approved by the Bureau Meeting of the General Administration of Quality Supervision, Inspection and Quarantine on October 10, 2017. It is hereby announced and will come into effect on January 1, 2018. 

                                                                                                                               Director 

                                                                                                                             November 14, 2017 

Measures for the Administration of Certification Institutions  

Chapter 1 General provisions 

Article 1 In order to strengthen the supervision and management of certification institutions, standardize certification activities and improve the effectiveness of certification,according to《Regulations of the People's Republic of China on Certification and Accreditation》（hereinafter referred to as《Authentication and Accreditation Regulations》）these Measures shall be formulated in accordance with the provisions of relevant laws and administrative regulations. 

Second article The "certification body" referred to in these Measures refers to a certification body with legal personality that independently evaluates the conformity of products, services and management systems to standards and relevant technical specifications. 

Third article These Measures shall apply to the certification bodies undertaking certification activities in People's Republic of China and their supervision and management. 

Fourth article The State Administration of quality supervision, inspection and Quarantine (hereinafter referred to as the AQSIQ) is responsible for the supervision and administration of certification bodies. 

The State Accreditation and Accreditation Regulatory Commission (hereinafter referred to as the State Accreditation and Accreditation Regulatory Commission) is responsible for the qualification examination and approval of certification bodies and the supervision and management of their certification activities. 

The quality and technology supervision departments of the local people's governments at or above the county level and the entry-exit inspection and quarantine departments (hereinafter referred to as local certification and supervision departments) of the General Administration of quality supervision and Quarantine (qqsiq) shall, according to the provisions of these measures, be responsible for the supervision and management of certification activities carried out by the certification bodies within their respective jurisdiction in accordance with their respective responsibilities. 

Fifth article Certification institutions should follow the principles of fairness, openness, objectivity, independence, honesty and credit in their certification activities, and safeguard the social credit system. 

Sixth article Certification bodies and their personnel shall be obliged to keep state secrets and trade secrets known to them in their certification activities confidential. 

The second chapter Qualification approval 

Seventh article Acquiring the qualification of a certification institution shall be approved by the State Accreditation and Supervision Commission. Without approval, no unit or individual may engage in certification activities. 

Eighth article To obtain the qualification of a certification body, the following conditions shall be met: 

(1) Obtaining the status of a legal person; 

(2) having fixed office space and necessary facilities; 

(3) having a management system that meets the requirements of certification and accreditation; 

(4) The registered capital shall not be less than 3 million yuan; 

(5) There are more than 10 full-time certification personnel in corresponding fields. 

Certification bodies engaged in product certification activities shall also have the technical capabilities of inspection and inspection which are suitable for the relevant product certification activities. 

In addition to meeting the above requirements, foreign investment enterprises shall obtain the qualification of certification bodies in the territory of the PRC, and shall also comply with other conditions stipulated in the certification and accreditation regulations. 

Ninth article Certification Authority Qualification Examination and Approval Procedure: 

(1) The applicant with certification authority qualification (hereinafter referred to as the applicant) shall apply to the State Accreditation Regulatory Commission, submit relevant certification documents that meet the requirements specified in Article 8 of these Measures, and be responsible for its authenticity, validity and legitimacy; 

(2) The State Accreditation Supervision Commission shall conduct a preliminary examination of the certification documents submitted by the applicant and make a written decision on acceptance or rejection within 5 days from the date of receipt. If the application materials are incomplete or do not conform to the statutory form, the applicant shall be informed of all the contents that need to be corrected at one time. 

(3) The State Accreditation Supervision Commission shall make a decision on whether to approve the application within 45 days from the date of accepting the qualification application of the accreditation institution. If it decides to approve, it shall issue the Certification Authority Approval Letter to the applicant. If it decides not to grant approval, it shall notify the applicant in writing and explain the reasons. 

If it is necessary to conduct an expert review of the applicant's technical abilities such as certification, testing and inspection, the expert review time shall not exceed 30 days. The review time shall not be counted within the period of approval. 

Tenth article The State Accreditation Regulatory Commission formulates, adjusts and publishes catalogues of certification fields. The certification agencies shall conduct certification activities in the approved areas in accordance with the basic standards and rules of certification. 

If the State Accreditation Regulatory Commission has not yet formulated the certification rules, the certification authority may formulate the certification rules on its own, and within 30 days after the issuance of the certification rules, report the relevant information of the certification rules to the State Accreditation Regulatory Commission for the record. 

Eleventh article If the certification authority has one of the following circumstances, it shall apply to the State Accreditation Regulatory Commission for the formalities for the alteration of the Approval Letter of the Certification Authority within 30 days from the date of the alteration: 

(1) To narrow down the area of approval and certification; 

(2) altering the nature of a legal person, shareholders and registered capital; 

(3) merged or separated; 

(4) Changing the name, domicile and legal representative. 

Expanding the field of certification shall be handled by the State Accreditation and Supervision Commission in accordance with the provisions of Article 9 of these Measures. 

Twelfth article 《Certification Authority Approval》The validity period is 6 years. 

Certification bodies need to continue《Certification Authority Approval》Validity period，Should be《Certification Authority Approval》Apply to the State Accreditation and Supervision Commission 30 days before the expiration of the validity period. 

The State Accreditation Regulatory Commission shall conduct a written review of the qualification conditions and the examination and approval procedures of the accreditation institutions that have submitted applications for continuation in accordance with these Measures，And in《Certification Authority Approval》ecision on whether to grant extension before expiration of validity period. 

The third chapter Code of conduct 

Thirteenth article Certification bodies should establish risk prevention mechanisms, take reasonable and effective measures and assume corresponding social responsibilities for the risks and responsibilities that may arise from their certification activities. 

Certification bodies shall not engage in certification activities beyond the scope of approval. 

Fourteenth article Certification bodies shall establish and improve the management system of certification personnel, and regularly conduct training for certification personnel to ensure that their capabilities continue to meet the relevant requirements of the state on the professional qualification of certification personnel. 

Certification bodies shall not employ persons who are prohibited or restricted from engaging in certification activities by state laws, regulations and policies. 

Fifteenth article The certification authority shall publish the following information through its website or other forms to ensure its authenticity and validity: 

(1) Self-declaration of engaging in certification activities according to law; 

(2) The field of certification, the rules of certification, the style of certification certificates and the style of certification marks; 

(3) The name, address and content of the branch established to undertake its certification activities; 

(4) Standards for fees for certification; 

(5) The state of validity, suspension, cancellation or revocation of the certificate. 

The compulsory product certification authority shall also publish relevant information on its compulsory product certification in accordance with the relevant provisions of the State Accreditation and Supervision Commission. 

Sixteenth article Certification bodies engaged in certification activities shall comply with the procedural requirements stipulated in the basic standards and rules of certification, ensure the integrity, objectivity and authenticity of the certification process, and shall not add, reduce or omit procedural requirements. 

Seventeenth article When engaged in certification activities, the certification authority shall verify the following conditions of the objects of certification: 

(1) Having relevant legal qualifications and qualifications; 

(2) The products, services and management systems entrusted with certification conform to the requirements of relevant laws and regulations; 

(3) It has not been included in the relevant directory of the subjects of serious dishonesty of national credit information. 

If the object of authentication does not meet the above requirements, the authentication institution shall not issue the authentication certificate to it. 

Eighteenth article The certification authority and its certification personnel shall make timely certification conclusions to ensure their objectivity, authenticity and assume corresponding legal responsibilities. 

Certification bodies and their certification personnel shall not issue false or seriously false certification conclusions. In any of the following cases, the certification conclusion is false or seriously false: 

(1) If the certification personnel fail to comply with the requirements of the certification rules, they shall enter the scene and fail to enter the scene for examination, inspection or examination; 

(2) Implementing audits, inspections or examinations on behalf of other certification personnel under an impersonal name; 

(3) forging certification files, records and information; 

(4) The contents of the matters specified in the certification certificate are seriously untrue; 

(5) Selling or transferring certificates to non-authenticated authenticated objects. 

Nineteenth article If the certification conclusion meets the certification requirements, the certification authority shall issue the certification certificate to the certification object in time. 

The certification authority shall provide the public with ways of inquiring about the validity of certification certificates through its website or other forms. 

Twentieth article  The certification authority shall require the certification object to use the certification certificate and certification mark correctly. If the certification institution fails to use the certification certificate and certification mark in accordance with the regulations, the certification authority shall take effective corrective measures. 

Article 21 The certification authority shall effectively follow up and supervise its certified products, services and management system. 

If it fails to meet the requirements of certification continuously, the certification authority shall suspend the corresponding certification certificate of the certification object within 5 days after confirming the relevant situation. If the suspension period does not meet the requirements at the end of the suspension period, the corresponding certificate of certification shall be revoked. 

The suspension period shall be implemented in accordance with the relevant provisions of the certification rules. 

Article 22 The certification authority shall make a complete record of the certification process and retain the relevant certification data. 

Certification records and certification materials shall be truthful and accurate. Archiving retention time shall be 2 years or more from the date of validity of the certification certificate or the date of cancellation or cancellation. The record of authentication shall be in Chinese. 

During the period of validity of certification certificates, the certification records and certification materials signed or sealed by all parties involved in certification activities shall be preserved with original legal validity. 

Article 23 The certification authority shall timely submit the following information to the State Accreditation and Supervision Commission and ensure its authenticity and effectiveness: 

(1) Information on certification plans; 

(2) Information on certification activities, certification personnel and certification objects related to certification results; 

(3) Information on the status of validity, suspension, cancellation or revocation of the certificate; 

(4) Information on the establishment of branches undertaking their certification activities. 

In the field of approved certification, the certification authority shall submit information to the State Accreditation Supervision Commission within 10 days from the date of signing the sub-contract with the overseas certification authority whose certification results are only used abroad. 

Article 24 The certification authority shall submit the following reports to the National Accreditation and Supervision Commission before the end of March each year, and ensure their authenticity and validity: 

(1) The work report of the previous year mainly includes the basic working conditions, personnel, business conditions and financial and accounting audit reports issued by accounting firms that meet the requirements of national qualifications; 

(2) Social Responsibility Report: It mainly includes the general situation of the organization, the core values and development concepts of the organization, the social responsibility commitment of the top managers of the organization, the strategy of the social responsibility of the organization, the performance of the social responsibility of the organization and so on. 

Twenty-fifth article Certification bodies and certification objects shall cooperate with the supervision and inspection work carried out by the State Accreditation Supervision Commission and local certification supervision and administration departments, and provide relevant materials and information truthfully for inquiries and investigations on relevant matters. 

The fourth chapter Supervision 

Twenty-sixth article Compliance of the State Accreditation Regulatory Commission with the Accreditation Institutions《Authentication and Accreditation Regulations》、The present Measures and the regulations of relevant departments shall be supervised and inspected. 

Local certification supervision and administration departments shall, according to the division of legal responsibilities, carry out routine supervision and inspection of certification activities and results within their jurisdiction, investigate and punish illegal acts, and establish corresponding coordination mechanisms. 

Local certification supervision and administration departments shall submit relevant information on the investigation and punishment of illegal acts to the State Accreditation and Supervision Commission in a timely manner. 

Article 27 The State Accreditation Regulatory Commission and the local certification supervision and administration departments shall conduct random random spot checks on the certification activities and results of the certification bodies, and the results of the random checks shall be made public to the public in a timely manner. 

The State Accreditation Regulatory Commission and the local certification supervision and administration departments carry out classified supervision over the certification bodies by combining random spot checks, administrative penalties, complaints and reports, directories of dishonesty and large data analysis. 

Article 28 The State Accreditation Regulatory Commission publishes the following information on its website: 

(1) List of certification bodies that have obtained qualifications according to law; 

(2) Reports submitted by certification bodies in accordance with Article 24 of these Measures; 

(3) Random sampling results; 

(4) Information on administrative penalties imposed on certification bodies and their certification personnel; 

(5) The list of dishonesty of certification bodies and their legal representatives, principal persons in charge and certification personnel, as well as the information of dishonesty. 

The list of dishonesty and the regulations for the management of dishonesty information shall be formulated by the State Accreditation Supervision Commission in accordance with the relevant requirements of laws, regulations and national policies. 

Twenty-ninth article If the applicant with certification authority qualification and his legal representative, principal person in charge, certification personnel, etc. are included in the list of the subjects of credit information dishonesty of the state, the application for certification authority qualification shall not be approved. 

Where the certification authority and its legal representatives, principal responsible persons and certification personnel are included in the list of subjects of dishonesty of national credit information or the list of dishonesty published by the State Accreditation Supervision Commission, the application for continuation of the qualification of the certification authority and expansion of the field of certification shall not be approved. 

Thirtieth article  If the State Accreditation Regulatory Commission and the local certification supervision and administration department find any of the following situations in their supervision and inspection, they shall give warning and instruct them to make corrections: 

(1) Failing to publish information in accordance with Article 15 of these Measures; 

(2) Failing to provide the public with the means of inquiring about the validity of certificates in accordance with the provisions of paragraph 2 of Article 19 of these Measures. 

Article 31 In any of the following circumstances, the State Accreditation and Supervision Commission shall, at the request of the interested party or according to its functions and powers,cancelable《Certification Authority Approval》： 

(1) issued by the members of the National Commission for Discipline Inspection of the Commission on abuse of power and dereliction of duty. 

(2) issued beyond the statutory powers and powers; 

(3) issued in violation of legal procedures; 

(4) If an applicant does not qualify for the application or does not meet the statutory requirements; 

(5) The certification authority has no or can not continuously meet the statutory conditions and capabilities; 

(6) Other circumstances that may be revoked according to law. 

Acquiring the qualification of a certification authority by deception, bribery or other improper means,The State Accreditation and Supervision Commission shall be abolished《Certification Authority Approval》；The applicant shall not apply for the certification authority qualification again within three years. 

Article 32 The State Accreditation and Supervision Commission shall handle any of the following cases《Certification Authority Approval》Cancellation procedures: 

(1) When the validity period of the Certification Authority Approval Document expires, it fails to apply for renewal or does not renew after reexamination; 

(2) The Approval Letter of the Certification Authority has been revoked according to law; 

(3) Where the certification authority applies for cancellation; 

(4) Where the certification authority terminates in accordance with the law; 

(5) other circumstances that shall be cancelled according to laws and regulations. 

Thirty-third article Certification bodies can prove that their certification ability can meet the relevant requirements continuously through the accreditation of the accreditation bodies. 

The accreditation institution shall effectively follow up and supervise the accredited accreditation institution, and report the illegal acts found in the accreditation supervision to the State Accreditation and Supervision Commission in a timely manner. 

Thirty-fourth article The certification and Accreditation Association shall strengthen the self-discipline management of the certification institution and the certification personnel in the industry, discover the violations committed by the certification institution or the certification personnel, and report the violations to the State Accreditation and Supervision Commission in a timely manner. 

Article 35 Any unit or individual shall have the right to report to the State Accreditation Supervision Commission and the local certification supervision and administration department any illegal act committed in the certification activities. The State Accreditation Supervision Committee and the local accreditation supervision and administration departments shall investigate and deal with the matter in a timely manner and keep the whistleblower confidential. 

The fifth chapter Legal responsibility 

Article 36 If the relevant information is concealed or false materials are provided to apply for the qualification of the certification authority, the State Accreditation Supervision Commission shall not accept or approve the application and give warning; the applicant shall not apply for the qualification of the certification authority again within one year. 

Article 37 In any of the following circumstances, the State Accreditation Supervision Commission shall order the Accreditation Authority to make corrections within a time limit, give warnings and publish them: 

(1) Failing to report the relevant information of the certification rules to the State Accreditation and Supervision Commission for the record in accordance with the provisions of Article 10, paragraph 2, of these Measures; 

(2) Failing to go through the formalities for change in accordance with Article 11 of these Measures; 

(3)Failing to comply with the fourteenth provision of these measures, the capability of the certification personnel can not meet the relevant requirements of the national professional qualification, or employ state laws and regulations and national policies to prohibit or restrict personnel engaged in certification activities. 

(4) Failing to submit information and reports to the State Accreditation and Supervision Commission in accordance with the provisions of Articles 23 and 24 of these Measures. 

Thirty-eighth article If the certification authority has one of the following circumstances, the local certification supervision and administration department shall order it to make corrections and impose a fine of 30,000 yuan. 

(1) Those who have not been corrected after being warned or warned; 

(2) To issue certificates to the subject of certification in violation of the provisions of Article 17 of these Measures; 

(3) In violation of the provisions of Article 20 of these Measures, it is found that the authenticated object has not correctly used the certificate and certification marks, and has not taken effective measures to correct them; 

(4) Those who, in violation of the provisions of Article 25 of these Measures, refuse to cooperate and assist in supervision and inspection, refuse, conceal or provide relevant materials and information in a false manner. 

Article 39 Where the certification authority, in violation of the provisions of Article 16 of these Measures, increases, decreases or omits the requirements of the procedures,according to《Authentication and Accreditation Regulations》The provisions of Article 60 shall be punished.Where the certification authority is ordered to suspend business for rectification, the period of suspension for rectification shall be six months, during which no certification activities shall be carried out. 

Where a certification authority increases, decreases or omits procedural requirements and the circumstances are minor and do not affect the objectivity, authenticity or validity of the certification conclusion, it shall be ordered to make corrections within a time limit. Those who fail to make corrections within the time limit or fail to meet the requirements after making corrections shall be punished in accordance with the provisions of the preceding paragraph. 

Fortieth article Where a certification authority, in violation of the provisions of Article 18 of these Measures, draws false or seriously false certification conclusions,according to《Authentication and Accreditation Regulations》The provisions of Article 62 shall be punished. 

Article 41 Certification Authority Violation《Authentication and Accreditation Regulations》Where relevant laws and administrative regulations stipulate such provisions, their legal liabilities shall be investigated in accordance with the relevant provisions. 

Forty-second article The National Commission for Discipline Inspection and the local certification supervision and management departments and their staff shall supervise the certification activities according to law, and shall be given administrative sanctions according to law if they have abused their power, practise malpractices for selfish ends, and neglect their duties. If a crime is constituted, they shall be investigated for criminal responsibility according to law. 

The sixth chapter Supplementary articles 

Forty-third article The time limit for the implementation of the administrative license of the China Regulatory Commission shall be calculated on working days, excluding statutory holidays. 

Forty-fourth article The investment enterprises of the mainland, China, and the mainland have obtained the qualification of the certification bodies, which are handled in accordance with the eighth provisions of these measures and comply with the provisions of these measures. 

Article 45 The AQSIQ is responsible for the interpretation of these measures. 

Forty-sixth article These Measures shall come into force on January 1, 2018.AQSIQ announced in July 20, 2011《Measures for the Administration of Certification Institutions》、Published on May 11, 2015《General Administration of Quality Supervision, Inspection and Quarantine on Amendment》