Measures for the Administration of Certification Bodies

(Promulgated by Order No. 193 of the General Administration of Quality Supervision, Inspection and Quarantine on November 14, 2017; revised by Order No. 31 of the State Administration for Market Regulations on October 23, 2020)

Chapter I General Provisions

Article 1 For purposes of strengthening the supervision and administration of certification bodies, regulating certification activities, and enhancing the effectiveness of certification, these Measures are developed in accordance with the provisions of the Regulation 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.

Article 2 For the purpose of these Measures, “certification bodies” shall mean the certification bodies with legal person status which have obtained the qualification in accordance with the law to independently assess whether the products, services and management systems comply with the standards and the requirements of relevant technical specifications.

Article 3 These Measures shall apply to certification bodies conducting certification activities within the territory of the People’s Republic of China and the supervision and administration thereof.

Article 4 The certification and accreditation administrative department of the State Council shall take charge of the qualification approval, supervision and administration of certification bodies.

Local certification and accreditation administrative departments at or above the county level shall, in accordance with the provisions of these Measures, be responsible for the supervision and administration of certification activities conducted by certification bodies within their respective jurisdictions.

Article 5 A certification body shall, when undertaking certification activities, follow the principles of impartiality, openness, objectiveness and independence, honesty and good faith, and maintain the social credit system.

Article 6 Certification bodies and their employees shall have the obligation to keep confidential state secrets and trade secrets to which they have access in their certification activities.

Chapter II Qualification Approval

Article 7 The obtainment of the qualification of a certification body shall be subject to the approval of the certification and accreditation administrative department of the State Council. No entity or individual may conduct certification activities without approval.

Article 8 The following conditions shall be met for the obtainment of the qualification as a certification body:

(1) Being qualified as a legal person;

(2) Having a fixed office and necessary facilities;

(3) Having management rules which meet certification and accreditation requirements;

(4) The registered capital shall not be less than RMB three million yuan; and

(5) There shall be ten or more full-time certifiers in corresponding fields.

Certification bodies conducting product certification activities shall also have the testing, inspection and other technical capabilities required for conducting relevant product certification activities.

Article 9 The procedures for the approval of the qualification of a certification body:

(1) The applicant for the qualification of a certification body (hereinafter referred to as the “applicant”) shall file an application with the certification and accreditation administrative department of the State Council, submit the relevant certification documents meeting the conditions as prescribed in Article 8 of these Measures, and be responsible for the authenticity, validity and legality thereof.

(2) The certification and accreditation administrative department of the State Council shall conduct the preliminary examination of the certification documents submitted by the applicant, and shall, within 5 days as of receipt of the certification documents, make a written decision to accept the application or not. If the application materials are incomplete or are not of the statutory form, it shall inform the applicant of all required supplements and corrections at one time.

(3) The certification and accreditation administrative department of the State Council shall, within 45 days after accepting the application for the qualification of a certification body, make a decision to approve the application or not. If it decides to approve the application, it shall issue the Approval Letter for a Certification body to the applicant. If it decides to disapprove the application, it shall notify the applicant in writing and explain the reason.

Where it is necessary to conduct an expert review of the applicant’s technical competence in respect of certification, testing, or inspection, the time limit for expert review shall not exceed 30 days. The time for review shall not be included in the time for approval.

Article 10 The certification and accreditation administrative department of the State Council shall formulate, adjust and issue the catalogue of certification fields, and the certification body shall, within the approved certification fields, conduct certification activities in accordance with the basic certification norms and certification rules.

For new certification fields, where the certification and accreditation administrative department of the State Council has not developed certification rules yet, certification bodies may develop certification rules by themselves, and shall, within 30 days after the issuance of certification rules, report the information on certification rules to the certification and accreditation administrative department of the State Council for recordation.

Article 11 Where a certification body falls under any of the following circumstances, it shall, within 30 days from the date of modification, apply to the certification and accreditation administrative department of the State Council for undergoing formalities for the modification of the Approval Letter for a Certification Body:

(1) Narrowing the approved certification fields;

(2) Changing the nature of legal person, shareholder, or registered capital;

(3) Business combination or division; and

(4) Change of its name, domicile or legal representative.

Where the certification field is expanded, the certification and accreditation administrative department of the State Council shall handle the application in accordance with the provision of Article 9 of these Measures.

Article 12 The Approval Letter for a Certification Body shall be valid for 6 years. To extend the validity period of the Approval Letter for a Certification Body, a certification body shall file an application with the certification and accreditation administrative department of the State Council at least 30 days before the expiration of the validity period of the Approval Letter for a Certification Body.

The certification and accreditation administrative department of the State Council shall conduct a written review of the certification body that files the application for extension according to the qualification conditions and approval procedures prescribed in these Measures and make a decision to approve the extension or not before the expiration of the validity period of the Approval Letter for a Certification Body.

Chapter III Code of Conduct

Article 13 A certification body shall establish a risk prevention mechanism, take reasonable and effective measures for the risks and responsibilities that may be caused by its certification activities, and assume corresponding social responsibilities.

No certification body may conduct certification activities beyond the approved scope.

Article 14 A certification body shall establish and improve certifier management rules, offer training to certifiers on a periodical basis, and guarantee that their capabilities continuously meet the requirements of the state for the professional qualifications of certifiers.

The certification body shall not retain any person whose certification activities are prohibited or restricted by any law or regulation of the state or state policy.

Article 15 A certification body shall make the following information publically available through its website or by any other form and guarantee its truthfulness and validity.

(1) Self-declaration that the certification activities are carried out in accordance with the law;

(2) Certification fields, certification rules, certification document format, and certification mark pattern;

(3) The names, addresses and certification activities of the branch offices formed to undertake certification activities;

(4) Certification fee standards; and

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

A compulsory product certification body shall also, in accordance with the relevant provisions of the certification and accreditation administrative department of the State Council, disclose the information on its compulsory product certification.

Article 16 A certification body shall, when conducting certification activities, comply with the procedural requirements as prescribed in the basic certification norms and certification rules, ensure that the certification process is complete, objective and true, and shall not increase, decrease or omit the procedural requirements.

Article 17 A certification body shall, when conducting certification activities, verify the following information about the certification objects:

(1) It shall have relevant statutory qualifications;

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

(3) It has not been included in the list of entities with seriously illegal and dishonest acts.

Certification bodies shall not issue certificates to certification objects which fail to satisfy the aforesaid requirements.

Article 18 A certification body and its certifiers shall give the certification conclusion in a timely manner, guarantee its objectiveness and truthfulness, and assume corresponding legal liability.

The certification body and its certifiers shall not issue any false or seriously untrue certification conclusion. It shall be deemed as issuing false or seriously untrue certification conclusion under any of the following circumstances:

(1) The certifier fails to enter the scene to conduct examination, inspection or check as required by the certification rules;

(2) Conducting examination, inspection or check in the stead of any other certifier;

(3) Forging any certification archives, records or materials;

(4) The content of matters indicated in the certificate are seriously inconsistent with the facts; and

(5) Selling or transferring the certificate to any certification object that fails to pass the certification.

Article 19 Where a certification conclusion satisfies the certification requirements, the certification body shall issue a certificate to the certification object in a timely manner.

The certification body shall, through its website or any other form, provide the public with a way to consult the validity of the certificate.

Article 20 A certification body shall require the certification object to correctly use the certificate and certification mark and shall take effective corrective measures against those that fail to use the certificate or mark as required.

Article 21 A certification body shall conduct effective follow-up supervision of the products, services and management system it has certified.

Where the certification requirements are not satisfied continuously, the certification body shall, within five days after confirming the relevant circumstances, suspend the corresponding certificate of the certification object. If the enterprise still fails to satisfy the requirements after the time limit for suspension expires, the corresponding certificate shall be revoked.

The time limit for suspension shall be governed by the relevant provisions of certification rules.

Article 22 A certification body shall make complete records of the certification process and retain the corresponding certification materials.

The certification records and certification materials shall be true and accurate, and the archives shall be retained for two years or more after the expiration of the validity period of the certificate or the date of cancellation or revocation of the certificate, and certification records shall be prepared in Chinese.

During the validity period of the certification document, for the certification records and certification materials, among others, to which the seals or signatures of all parties participating in the certification activities are affixed, the originals with the legal effect shall be retained.

Article 23 A certification body shall submit the following information to the certification and accreditation administrative department of the State Council in a timely manner and guarantee its truthfulness and validity:

(1) Information on the certification plan;

(2) Information on certification activities, certifiers and certification objects relating to certification results;

(3) The information that the certificate is valid, suspended, canceled or revoked; and

(4) The information on formation of the branch offices undertaking its certification activities.

Within the approved certification fields, if a certification body signs a subcontract with an overseas certification body for using the certification result only outside China, it shall report the information to the certification and accreditation administrative department of the State Council within ten days from the date of signing the contract.

Article 24 A certification body shall submit the following reports to the certification and accreditation administrative department of the State Council before the end of March each year, and guarantee its truthfulness and validity:

(1) The work report of the previous year: mainly including the basic information on the practice, personnel, business situation and the financial accounting and audit report issued by the accounting firm meeting the qualification requirements of the state.

(2) Social responsibility report: mainly including such content as the basic information on the institution, the core value of the institution and the development concept, the social responsibility commitment of the institution’s top managers, the institution’s social responsibility strategy, and the institution’s social responsibility performance.

Article 25 Certification bodies and certification objects shall cooperate with the certification and accreditation administrative department of the State Council and local certification regulatory departments in their supervision and inspection, and truthfully provide relevant materials and information for the inquiry about and investigation of the relevant matters.

Chapter IV Supervision and Administration

Article 26 The certification and accreditation administrative department of the State Council shall conduct the supervision and inspection of certification bodies’ compliance with the Regulations on Certification and Accreditation, these Measures and the relevant departmental rules.

Local certification regulatory departments shall, according to the division of legal functions, conduct routine supervision and inspection of the certification activities and certification results within their respective jurisdictions, investigate and punish violations of law, and establish the corresponding coordination work mechanism.

Local certification regulatory departments shall, in a timely manner, report the information on the investigation and punishment of violations of law to the certification and accreditation administrative department of the State Council.

Article 27 The certification and accreditation administrative department of the State Council and local certification regulatory departments shall conduct the random check of certification activities and certification results of certification bodies and disclose random check results to the public in a timely manner.

The certification and accreditation administrative department of the State Council and local certification regulatory departments shall conduct categorized supervision of certification bodies in light of such information as random checks, administrative penalties, complaints and reports, list of entities with seriously illegal and dishonest acts, and big data analysis.

Article 28 The certification and accreditation administrative department of the State Council shall announce the following information on its website:

(1) List of certification bodies which have obtained qualifications in accordance with the law;

(2) The reports submitted by certification bodies in accordance with the provision of Article 24 of these Measures;

(3) Random check results;

(4) Information on administrative penalties on a certification body and its certifiers; and

(5) list of certification bodies and their legal representatives, principal persons in charge, and certifiers with seriously illegal and dishonest acts.

Article 29 Where an applicant for the qualification of a certification body or any of its legal representatives, principal persons in charge, or certifiers, among others, is included in list of entities with seriously illegal and dishonest acts, the application for the qualification of a certification body shall not be approved.

Where a certification body, its legal representative, principal person in charge, or certifier is included in list of entities with seriously illegal and dishonest acts, the application for the extension of the qualification as a certification body or the expansion of certification fields shall not be approved.

Article 30 Where the certification and accreditation administrative department of the State Council or the local certification regulatory department finds in its supervision and inspection that a certification body falls under any of the following circumstances, it shall be admonished and ordered to take corrective action:

(1) Failing to disclose information in accordance with the provision of Article 15 of these Measures; and

(2) Failing to provide the public with the methods for consulting the validity of certificates in accordance with the provision of paragraph 2, Article 19 of these Measures.

Article 31 The certification and accreditation administrative department of the State Council may, according to the request of the interested party or its functions, revoke the Approval Letter for a Certification Body under any of the following circumstances:

(1) Any employee of the certification and accreditation administrative department of the State Council issues it by abusing power or neglecting duties;

(2) The letter is issued beyond the statutory power;

(3) The letter is issued in violation of statutory procedures;

(4) The letter is issued to the applicant that is not qualified for application or fails to meet the statutory conditions;

(5) The certification body no longer meets or cannot continuously meet the statutory conditions and capability; and

(6) Any other circumstance where the approval letter may be revoked in accordance with the law.

Where the applicant obtains the qualification as a certification body by cheating, bribery or any other improper means, the certification and accreditation administrative department of the State Council shall revoke the Approval Letter for a Certification Body. The applicant shall not apply anew for the qualification as a certification body within 3 years.

Article 32 Where a certification body falls under any of the following circumstances, the certification and accreditation administrative department of the State Council shall handle the formalities to cancel its Approval Letter for a Certification Body:

(1) Where the validity period of the Approval Letter for a Certification Body expires and no application for extension has been filed or the extension is rejected upon review;

(2) The Approval Letter for a Certification Body is revoked in accordance with the law;

(3) The certification body applies for cancellation;

(4) The certification body is terminated in accordance with the law;

(5) Any other circumstance where the letter shall be canceled as prescribed by any law or regulation.

Article 33 A certification body may, with the accreditation of the accreditation institution, prove that its certification capability is able to satisfy the relevant requirements on a continual basis.

The accreditation institution shall conduct effective follow-up supervision of the certification bodies that have obtained the accreditation and report the violation of law found in accreditation supervision to the certification and accreditation administrative department of the State Council in a timely manner.

Article 34 Certification and accreditation associations shall strengthen the industrial self-disciplinary management of certification bodies and certifiers and report the violation of law of any certification body or certifier to the certification and accreditation administrative department of the State Council in a timely manner.

Article 35 Any entity or individual shall have the right to report any violation of law in certification activities to the certification and accreditation administrative department of the State Council or the local certification regulatory department. The certification and accreditation administrative department of the State Council or the local certification regulatory department shall conduct investigation and punish the violation of law in a timely manner and keep confidential for the informant.

Chapter V Legal Liability

Article 36 Where anyone conceals relevant information or provides false materials to apply for the qualification as a certification body, the certification and accreditation administrative department of the State Council shall not accept or approve its application and shall give it a warning. The applicant shall not apply for the qualification as a certification body once again within one year.

Article 37 Where a certification body falls under any of the following circumstances, the certification and accreditation administrative department of the State Council shall order it to take corrective action within a prescribed time limit, give it a warning and make an announcement thereon:

(1) Failing to report the information on certification rules to the certification and accreditation administrative department of the State Council for recordation in accordance with the provision of paragraph 2, Article 10 of these Measures;

(2) Failing to undergo modification formalities in accordance with the provision of Article 11 of these Measures;

(3) Failing to comply with the provision of Article 14 of these Measures: the competence of certifiers fails to continuously satisfy the relevant requirements for national professional qualification, or it retains any person whose certification activities are prohibited or restricted by any law or regulation of the state or state policy; and

(4) Failing to submit the information and reports to the certification and accreditation administrative department of the State Council as required by Articles 23 and 24 of these Measures.

Article 38 Where a certification body falls under any of the following circumstances, the local certification regulatory department shall order it to take corrective action, and impose a fine of 30,000 yuan on it:

(1) Failing to take corrective action after being admonished or warned;

(2) Issuing a certification document to the certification object in violation of the provision of Article 17 of these Measures;

(3) It finds that the certification object fails to correctly use the certificate or certification mark, but fails to take effective measures to correct it, in violation of the provision of Article 20 of these Measures; and

(4) It fails to cooperate or assist in the supervision and inspection, and refuses, conceals relevant materials and information, or fails to truthfully provide relevant materials and information, in violation of the provision of Article 25 of these Measures.

Article 39 Where a certification body increases, reduces or omits procedural requirements in violation of the provision of Article 16 of these Measures, it shall be punished in accordance with the provision of Article 60 of the Regulations on Certification and Accreditation. If the certification body is ordered to cease business operation for rectification, the period of suspension of business operation for rectification shall be 6 months, and no certification activity may be conducted during the period.

Where a certification body increases, reduces or omits the 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 take corrective action within a prescribed time limit. If it fails to take corrective action within the time limit or fails to satisfy the requirements after taking corrective action, it shall be punished in accordance with the provisions of the preceding paragraph.

Article 40 Where a certification body issues any false or seriously untrue certification conclusion in violation of the provision of Article 18 of these Measures, it shall be punished in accordance with the provision of Article 62 of the Regulations on Certification and Accreditation.

Article 41 Where a certification body violates the provision of the Regulations on Certification and Accreditation or any other relevant law or administrative regulation, it shall be subject to legal liability in accordance with the relevant provisions.

Article 42 The certification and accreditation administrative department of the State Council and local certification regulatory departments and their staff members shall conduct the supervision of certification activities in accordance with the law, and whoever commits any violation of law such as abusing power, practicing favoritism, or making falsification, or neglecting duty shall be given an administrative sanction in accordance with the law; and if any crime is constituted, shall be subject to criminal liability in accordance with the law.

Chapter VI Supplementary Provisions

Article 43 The time limit for the certification and accreditation administrative department of the State Council to implement administrative licensing as mentioned in these Measures shall be calculated on the basis of working days, excluding legal holidays.

Article 44 Where an investment enterprise of Hong Kong, Macao or Taiwan region obtains the qualification as a certification body in the mainland, it shall be handled in accordance with the provision of Article 8 of these Measures and shall abide by these Measures.

Article 45 These Measures shall be subject to interpretation by the certification and accreditation administrative department of the State Council.

Article 46 These Measures shall come into force on January 1, 2018. The Measures for the Administration of Certification Bodies issued by the AQSIQ on July 20, 2011 and the Decision of the General Administration of Quality Supervision, Inspection and Quarantine on Amending the Measures for the Administration of Certification Bodies issued on May 11, 2015 shall be repealed concurrently.