Recently, the Sichuan Provincial Administration for Market Regulation announced the results of the "double random, one open" inspection of certified practitioners in 2023. Details are as follows:
Circular of the Sichuan Provincial Administration for Market Regulation on the results of the "double random, one open" inspection of certified practitioners in 2023
Municipal (state) market supervision bureaus, relevant certification bodies:
In order to further standardize the order of the certification market and enhance the effectiveness and credibility of certification, in accordance with the requirements of the Notice of the General Office of the State Administration for Market Regulation on Carrying out the "Double Random, One Public" Inspection of Certification Practitioners in 2023 (Shi Jian Certification Letter 2023 No. 83), the Provincial Market Supervision Bureau organized and carried out the "Double Random, One Public" inspection of certification practitioners in 2023. The relevant situation is hereby notified as follows.
1. Check the basic situation
This inspection is carried out in accordance with the inspection objects uniformly selected by the State Administration for Market Supervision, and the provincial bureau coordinates the municipal (state) market supervision bureau where the certified organization is located to carry out on-site inspection, file inspection, and employee inquiry, including quality management system certification, environmental management system certification, occupational health and safety management system certification, green product certification, organic product certification, commercial password product certification, commodity after-sales service evaluation certification and other 7 voluntary certification types. It focuses on the inspection of the certification body certification personnel are not on site, forgery of certification files, failure to audit key processes and places during the implementation of certification, issuance of certification certificates without making certification decisions, failure to implement supervision and audit in accordance with regulations, serious reduction of audit time, audit team does not have the corresponding qualifications and technical professional capabilities, remote audit is not standardized, and the reported information is not timely and accurate.
The inspection involved a total of 100 certification certificates issued by 12 certification bodies to 95 certified organizations in our province. Among them: 42 quality management system certification (ISO9001) certificates, 21 environmental management system certifications, 20 occupational health and safety management system certifications, 10 commercial cryptography product certificates, 2 green building materials product certificates, 1 green express packaging product certificate, 2 organic product certification (OGA) certificates, and 2 commodity after-sales service evaluation certificates. Due to the inability to find the relevant enterprises at the registered address and certification address, 86 certification certificates were inspected on site.
In this "double random" inspection activity, a total of 218 inspectors were dispatched in the province, and 111 problems were found, involving 67 certification certificates. Among the 86 certificates inspected, 33 were recommended to be passed, 8 were urged to be corrected by the certified organization, 7 were ordered to rectify by the certification body, 14 were assigned to the market supervision department where the certification body was located in the province to investigate and deal with it in accordance with the law, 27 were reported to the market supervision department where the certification body was located in other provinces to investigate and deal with it in accordance with the law, and 1 was suspected of being illegally transferred to the law enforcement department for investigation and punishment.
Second, the main problems found in the inspection
1) Problems existing in the certification body. It is mainly manifested in the omission of certification rules and procedures;Failure to conduct an audit in accordance with the certification specifications during the certification process;Failure to go to the site to supervise and audit;The audit plan is inconsistent with the audit content;Audit coverage is incomplete;The audit report is incomplete;You can't provide a justification for a remote audit when you conduct a remote audit;Professional terms are not reviewed by professional auditors;The address stated in the certificate is inconsistent with the actual business address of the certified organization;The number of people covered by the certification does not match the actual number of people, etc.
2) Problems existing in the certified organization. It is mainly manifested in the lax implementation of the management system of some enterprises, and the relevant systems are not perfect;Internal audit and management review are not standardized, imperfect, and have poor traceability;The management of archival materials is not standardized and incomplete;The number of certified people does not match the actual number of people;Enterprise personnel do not understand the relevant knowledge of enterprise management system;Failure to go through the formalities for changing the registration in a timely manner when the registered address is changed.
3. Post-processing of inspection results
1) Strictly handle illegal issues in accordance with law.
The market supervision departments at all levels should combine the special rectification action of false certification, and the certification institutions in the province that are suspected of violating laws and regulations in this inspection shall be further investigated and dealt with by the market supervision department at the municipal (state) level where the institution is located, and if the conditions for filing a case are met, the case shall be filed and investigated in a timely manner in accordance with the law;For the foreign certification bodies suspected of violating laws and regulations found in this inspection, the provincial bureau shall notify the market supervision department where the certification body is registered for further investigation and handling.
2) Supervise and urge the implementation of rectification of problems.
Further strengthen the tracking and supervision of the rectification of the problems found in this inspection, and urge the certification body to rectify the certification body with general "slight" problemsFor the certified organizations with obvious problems, the municipal (state) level market supervision department where the certified organization is located shall notify the relevant certification body to guide the rectification of the certified organization, and at the same time strengthen the post-certification supervision of the certified organization to maintain the validity of the certification;For those who cannot continue to meet the certification requirements, urge them to suspend or revoke the certification certificate in a timely manner.
3) Increase the intensity of disclosure.
All levels of market regulation department should speed up the investigation and handling of cases of suspected violations of laws and regulations, do a good job of publicity and information disclosure, and promptly disclose information such as the results of administrative punishments.
4) Further enhance regulatory capacity.
Market supervision departments at all levels should strengthen the professional Xi training of regulatory law enforcement personnel, improve the quality and ability of the team as the key to do a good job in certification and supervision, strengthen supervision during and after the event, continuously improve the effectiveness and credibility of certification, and standardize the order of the certification market.
5) The certification body shall carry out certification in accordance with laws and regulations.
All certification bodies should strive to improve certification capabilities and service levels, and carry out third-party certification in a complete, objective and fair manner in strict accordance with the certification implementation rulesThe problems found in this inspection should be comprehensively analyzed and found out, and inferences should be drawn from one case to another, and rectification should be vigorously grasped.
All municipal (state) level market supervision bureaus are requested to report the handling of this supervision and inspection to the Provincial Market Supervision Bureau before December 30.
Contact: Huang Jinsong **18190888258
Yu Jun **18190881602
E-mail: 546347552@qqcom
Sichuan Provincial Administration for Market Regulation.
December 7, 2023.
Summary table of the supervision and inspection of "double random, one open" certification institutions in 2023
Information** Sichuan Provincial Administration for Market Regulation