In order to promote the standardized and healthy development of the certification industry, strengthen the management of certification rules, and consolidate the main responsibility of certification bodies, according to the relevant provisions of the "Regulations of the People's Republic of China on Certification and Accreditation" and the "Measures for the Administration of Certification Bodies", the CNCA organized a comprehensive revision of the "Announcement of the CNCA on the Filing of Certification Rules" (Announcement No. 18 of 2015) to form the "Announcement of the CNCA on Strengthening the Management of Certification Rules (Draft for Comments)".
Announcement of the CNCA on publicly soliciting opinions on the "Announcement of the CNCA on Strengthening the Management of Certification Rules (Draft for Comments)".
In order to promote the standardized and healthy development of the certification industry, strengthen the management of certification rules, and consolidate the main responsibility of certification bodies, according to the relevant provisions of the "Regulations of the People's Republic of China on Certification and Accreditation" and the "Measures for the Administration of Certification Bodies", the CNCA organized a comprehensive revision of the "Announcement of the CNCA on the Filing of Certification Rules" (Announcement No. 18 of 2015) to form the "Announcement of the CNCA on Strengthening the Management of Certification Rules (Draft for Comments)". It is now open to the public to solicit comments, and the public may submit comments through the following channels and methods:
1.Log in to the State Administration for Market Regulation** (www.).samr.gov.cn), enter the "Solicitation Survey" under the "Interactive" column on the homepage to put forward opinions.
2.Email to: [email protected], please indicate the words "Solicitation of Opinions on Certification Rule Management" in the subject of the email.
3.The letter should be sent to: Technical Research Department, China National Accreditation Center for Conformity Assessment, No. 8 Nanhuashi Street, Dongcheng District, Beijing (Zip code: 100062 contact**010-67105373), and please indicate the words "Solicitation of Solicitation of Certification Rules Management" on the envelope.
The deadline for feedback is January 11, 2024.
CNCA
December 12, 2023.
Attachments:Announcement of the CNCA on Strengthening the Management of Certification Rules
Draft for Comments).
In order to promote the standardized and healthy development of the certification industry, in accordance with the relevant provisions of the "Regulations of the People's Republic of China on Certification and Accreditation" and the "Measures for the Administration of Certification Bodies", the relevant work requirements for strengthening the management of certification rules are announced as follows:
1. Scope of application
The CNCA has not yet formulated or has not yet formulated and issued in conjunction with the relevant departments, and the certification rules formulated or authorized to be implemented by the certification body that has obtained the approval of the corresponding certification field are applicable to this announcement.
Second, the principle requirements
The certification body is the first person responsible for certification activities, and shall be responsible for the authenticity, legality, compliance, integrity, scientificity, applicability of the certification rules formulated or authorized to be implemented, assume the main responsibility for the formulation and implementation of certification rules, and make a public commitment. The certification rules formulated and implemented shall comply with the following principles:
1) Shall not conflict with national laws, regulations and policies;
2) Shall not affect the public interest;
3) It shall not conflict with the relevant national or local administrative licensing matters;
4) Shall not violate public order and good customs;
5) Must not violate national ethnic and religious policies and Xi;
6) shall not be in conflict with the basic certification specifications and certification rules formulated and issued by the CNCA or in conjunction with the relevant departments
7) shall not conflict with the current relevant national standards and industry standards;
8) The relevant provisions on intellectual property rights shall not be violated.
3. Management requirements
The certification body shall establish a management system for the formulation and revision of certification rules, demonstration, self-inspection, review, dynamic maintenance, etc., and form record data in the process of certification rule revision, demonstration, self-inspection, review and dynamic maintenance, and introduce a responsibility implementation mechanism in each link. The management process should have at least the following links:
1) Project initiation and demonstration.
The certification rules to be established shall be managed in accordance with the project, the project approval procedures shall be established, and the relevant basic requirements of the proposed development project shall be demonstrated.
2) Compliance self-inspection.
After the completion of the preparation of the certification rules, the certification body shall establish a compliance self-inspection procedure, and conduct a self-inspection of all the content of the certification rules in accordance with the requirements of the principles of this announcement, content requirements, regulatory requirements, etc., and form a self-inspection report.
3) Acceptance review.
Acceptance review shall be conducted before the issuance and implementation of certification rules. The certification body shall establish acceptance review procedures, and the acceptance review experts shall be able to represent stakeholders, shall hire an appropriate proportion of external experts, and include representatives of the specific industry or profession for which the certification rules are formulated. The acceptance review shall have concluding opinions and form a report. The list of experts shall be made public as part of the certification rules.
4) Evaluation of the implementation effect.
After the issuance and implementation of the certification rules, the implementation of the certification shall be evaluated at least once a year, and the evaluation content shall include the continuous compliance with the principle requirements and regulatory requirements of this announcement, the certification organization, the ability of the certification personnel, etc., and form an evaluation report.
5) Dynamic maintenance.
The certification body shall establish dynamic maintenance procedures to understand, identify and grasp the adjustment and changes in laws and regulations, administrative management, standards and specifications involved in the corresponding certification rules in a timely manner, and revise the certification rules in a timely manner. After the revision is completed, the compliance self-inspection and acceptance review shall be conducted for the specific content of the revision.
Fourth, content requirements
(1) General requirements
The certification rules shall include at least the following:
1.Scope of application;
2.The certification is based on technical specifications, mandatory requirements or standards of technical specifications;
3.Qualifications and competency requirements for certified personnel;
4.Certification implementation procedures (including application and review, program planning, on-site inspection, audit and review, product inspection and testing (when applicable), certification review decision, etc.);
5.Post-certification supervision and recertification procedures;
6.Certification certificate and certification mark requirements;
7.Certificate Status Change Condition.
(2) Special requirements for each certification category
1.Product Certification.
Product certification rules should also include certification mode, unit division, etc.
2.Management System Certification.
The management system certification rules should also include audit reports, non-conformity correction and corrective measures and their verification, complaint and dispute handling, certification record management, etc.
3.Service Certification.
1) The certification body shall, according to the characteristics of the specific service, scientifically and reasonably establish and implement the service certification. The results of the grading certification shall clearly reflect the differentiation of service functions and service characteristics.
2) The service certification rules should also include the certification mode and domain division.
3) The certification basis of service certification shall be applicable to the certification activities of specific services, and at least include service characteristic evaluation requirements and service management requirements.
4) The service certification rules should also include an assessment of the perception of the "customer".
(3) Other requirements
1.The name of the certification rule shall be clear and unambiguous. It shall not contain the words "China", "China", "National", "National", etc.;Must not contain "good", "super", "advanced", "leading" and other decisive adjectives;It shall not be the same or similar to the name of the certification rules uniformly implemented by the state.
2.The name, number, version information, publishing entity, and release update time of the certification rule are the same as those displayed in the full text of the certification rule.
3.The name, number, issuing unit and update time of the certification basis are consistent with the full text display information of the certification basis.
4.The selection of certification basis should be reasonable and appropriate, and the content should cover the main technical requirements, management requirements, and control processes that are consistent with the certification characteristics of the certification rules.
5.The certification mark and the style of the certification certificate shall not contain the words or graphics such as "China", "China", "National" and "National";Must not contain "good", "super", "advanced", "leading" and other decisive adjectives;It shall not be the same or similar to the name of the certification certificate and certification mark of the national unified certification system.
5. Filing content
1) Information related to certification rules. The certification category and domain to which the certification rule belongs, the name, number, version information, status identification, issuing unit and authorization information, the release update time, the disclosure method or the way to obtain it. The certification rules correspond to the certification basis with the name, number, issuing unit and release update time of the technical specification, the mandatory requirements of the technical specification or the standard. The name of the certification certificate, the style of the certification mark, the issuing unit, etc. For details, please refer to the Certification Rules Filing Information Table (Attachment).
2) The full text of the certification rules. If it is a foreign language version, the translated Chinese version should be attached.
3) The certification rules corresponding to the certification basis with technical specifications, technical specifications, mandatory requirements or the full text of the standard. If it is a foreign language version, the translated Chinese version should be attached.
4) The certification body established the certification rules to formulate and revise the procedure documents and carry out demonstration, self-examination, review and other relevant documentary information.
5) The certification body is authorized to implement the certification rules of the power of attorney (when necessary).
6. Filing process
(1) Submit for the record
The certification rules formulated by the certification body shall be within 30 days after the issuance of the certification rules, and the certification rules authorized by the certification body shall be submitted for the record through the "Unified Reporting Platform for Certification and Accreditation Business Information" (using the "Certification Rules for Filing" function module) within 30 days after authorization.
(2) Revise the record
If there is a revision of the certification rules that have been filed, the certification rules formulated by the certification body itself or authorized to implement shall be resubmitted for the record within 30 days after the revision is issued, and the content and requirements of the record shall be the same as above. The original ICP filing and certification rules shall not be deleted.
(3) Cancellation of filing
If the certification rules that have been filed are abolished, or the authorization of the certification rules authorized to be implemented is cancelled, the certification body shall cancel the filing through the "Unified Reporting Platform for Certification and Accreditation Business Information" within 5 days after the revocation or cancellation of authorization. The original deregistration rule must not be deleted.
VII. Regulatory Requirements
1) The certification body shall, in accordance with the relevant provisions of the Regulations of the People's Republic of China on Certification and Accreditation and the Measures for the Administration of Certification Bodies, publish all the content of the certification rules to the public through its first or other forms and ensure that they are true and effective.
2) The certification body shall carry out certification activities in accordance with the certification rules after the formulation or revision of the record, and submit the certification information to the CNCA in accordance with the relevant provisions of the "Measures for the Administration of Certification Bodies".
3) After the CNCA formulates or works with relevant departments to formulate and publish a certification rule that belongs to a new field of certification, the certification body shall not carry out certification activities in accordance with the certification rules previously recorded.
4) The certification body shall establish a management system for the revision, implementation and filing of certification rules, and regularly evaluate the scientificity, compliance and applicability of the certification rules, and revise and update them in a timely manner.
5) The certification body shall be in the approved certification field for the record certification rules, shall not exceed the approved certification field for the record, the certification body in accordance with the certification rules beyond the scope of its approval for the record issued certification certificate does not have a probative effect.
6) CNCA organizes spot checks on certification rules. If it is found that there is a false commitment and a violation of the formulation or filing requirements, the corresponding certification body shall be ordered to rectify until the filing is revoked. If the record is revoked, the certification certificate issued by the certification body before does not have a probative effect.
7) When the CNCA and local market supervision departments supervise and inspect the corresponding certification activities carried out by the certification body, the certification rules for the record will be used as the basis for inspection.
8) For the certification rules that fall within the scope of the record are not filed in accordance with the provisions of this announcement, or the certification bodies that do not carry out relevant certification activities in accordance with the provisions of the certification rules, the CNCA will be dealt with in accordance with the Regulations of the People's Republic of China on Certification and Accreditation, the Measures for the Administration of Certification Bodies and the relevant provisions of relevant laws and regulations.
8. Other matters
1) This announcement shall be implemented from the date of issuance, and the announcement of the CNCA on the filing of certification rules (CNCA Announcement No. 18 of 2015) shall be repealed at the same time.
2) The certification body shall, within 60 days, in accordance with the requirements of this announcement, carry out a self-examination of the certification rules that have been submitted for the record in accordance with the announcement of the CNCA on the filing of certification rules (CNCA Announcement No. 18 of 2015), complete the identification, combing, supplementation and improvement of the content of the record, and submit the full text of the certification rules and the corresponding certification basis and the relevant materials for review and demonstration.
3) The National Certification and Accreditation Commission (CNCA) will no longer publish the relevant information of the certification rules for the record to the public.
Attachment: Certification Rules Filing Information Form CNCA.
Annex of December 2023ICP filing information table of certification rulesName of Certification Body:
Note: 1The name of the certification rules should avoid using words that are easy to be ambiguous with the certification rules, such as "standards, manuals, accreditations, plans, guidelines, charters, regulations, evaluations";
2.The name of the certification rule should be Chinese, which may be accompanied by English or other languages
3.The certification rule number should be unique;
4.It is an authorized certification rule, and the authorized certification body submits the content for the record. 