Code Of Conduct For Certification Bodies

- Oct 31, 2018-

Article 19 Certification institutions shall carry out certification activities impartially, independently and objectively, establish risk prevention mechanisms, take reasonable and effective measures for the risks and responsibilities that may arise from their certification activities, and assume corresponding social responsibilities.

Certification institutions and their subsidiaries, branches and offices shall not have interest relations with certification consultation institutions and certification trustees in assets, management or personnel.

Article 20 A certification institution shall establish a quality system to ensure the standardization and effectiveness of certification activities, carry out certification in accordance with the procedures stipulated in the basic certification norms and certification rules, and draw certification conclusions.

If the SARC has not yet formulated the certification rules, the certification authority may formulate the certification rules on its own and report them to the SARC for the record.

Article 21 A certification authority shall publish its certification scope, certification rules, fees, name, business scope and address of its subsidiaries, branches and offices through its website or in other forms, and ensure the authenticity and validity of the information content.

Article 22 Certification bodies and their branches and subsidiaries shall, when carrying out activities at the same time, comply with the following requirements, in addition to the obligations and responsibilities stipulated by laws and regulations:

(1) Certification agencies shall issue and submit certification information uniformly for the core office premises at the addresses registered with the industry and commerce.

(2) Certification institutions shall ensure that all offices adopt the same quality management system and procedures to control all personnel and certification process when they have more than one office to carry out certification activities.

Article 23 Certification institutions shall establish and improve the management system of certification personnel, regularly train and evaluate the ability of certification personnel, ensure that the ability of certification personnel continues to meet the requirements, and ensure that there are a reasonable number of full-time certification personnel and technical experts in the process of certification and audit.

Certification bodies shall not employ or use personnel prohibited by state laws and regulations to engage in certification activities.

Article 24 Certification institutions shall verify whether the fields, products and contents of certification entrusted by certification clients conform to relevant laws and regulations as well as their qualifications as legal persons, plan and implement the whole process of certification according to the scale, nature, organization and complexity of products of certification clients. Examination, inspection, supervision and other programs, and appoint certification personnel and technical experts with the corresponding capabilities to carry out certification.

Article 25 Certification institutions shall exercise effective control over the whole process of certification in accordance with the basic standards and rules for certification so as to ensure the integrity, objectivity and authenticity of the certification and product testing processes and their traceability, and shall not add, reduce or omit certification procedures and activities, and shall be equipped with corresponding capabilities and activities. Professional accreditation personnel evaluate the above process.

The certification authority shall formulate corresponding procedures for the evaluation and effective control of the certification results, and have clear provisions and evaluation requirements for the issuance, suspension or revocation of certificates.

Article 26 A certification institution shall make a complete record of the whole process of certification and retain relevant certification materials. Records should be truthful and accurate, so as to confirm the effective implementation of certification activities. Records and materials should be in Chinese, and the filing time should be consistent with the validity period of the certification.

Article 27 Certification institutions and their certification personnel shall promptly draw certification conclusions and ensure that the certification conclusions are objective and true. The certification conclusion is signed by the certification personnel and provided by the certification body to the certified trustor. The certification body and its certification personnel shall be responsible for the certification result and bear corresponding legal liabilities.

Article 28 Where the certification conclusion meets the requirements, the certification institution shall issue a certificate of certification to the certification trustee in time and permit the use of the certification mark. The certificate shall be issued by a person authorized by the certification institution.

The certification certificate shall specify the name, address, coverage or products of the licensed organization, the standards on which the certification is based, or the relevant technical specifications and validity periods, etc. The contents contained in the certification certificate shall conform to the actual situation of the implementation of the certification.

The certification form of the certification body shall be reported to the State Administration for Discipline Inspection Commission for archival filing within 30 days after its confirmation.

The certification body shall provide the public with a way to verify the validity of the certificate.

Article 29 A merged or separated certification institution shall deal with the certificate issued before its change and convert the relevant certificate in accordance with the prescribed procedures.

After the certification authority has been cancelled or revoked, the certification organization holding the certificate may transfer the certification certificate to the certification authority approved by the State Accreditation and Regulatory Commission; the certification authority accepting the certificate conversion shall carry out the conversion according to the prescribed procedure, and report the conversion result to the State Accreditation and Regulatory Commission.

Article 30 A certification authority shall require the licensed organization to correctly use the certification certificate and the certification mark within the scope of certification, and shall take effective corrective measures against the misuse or failure to use the certification certificate and the certification mark in accordance with the provisions.

Article 31 A certification institution shall, in accordance with the requirements of the basic standards and rules for certification, exercise effective follow-up and supervision over its certified products, services and management systems, and determine a reasonable frequency of supervision and inspection so as to ensure that the products, services and management systems that have passed the certification consistently meet the requirements for certification; and shall not continuously comply with the requirements for certification. Where a certificate is required, the certification authority shall suspend or revoke its certificate, publish it to the public in a timely manner, and take effective measures to avoid invalid recognition.

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