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Notice of the State Administration for Market Regulation on Strengthening Certification Supervision [Effective]
市场监管总局关于加强认证监管工作的通知 [现行有效]
【法宝引证码】

Notice of the State Administration for Market Regulation on Strengthening Certification Supervision 

市场监管总局关于加强认证监管工作的通知

(No. 102 [2019] of the State Administration for Market Regulation) (国市监认证〔2019〕102号) 

The market regulation bureaus (departments and commissions) of the Production and Construction Corps: 生产建设兵团市场监管局(厅、委):
For purposes of further advancing the implementation of the Opinions of the State Council on Strengthening the Building of the Quality Certification System and Promoting Comprehensive Quality Management (No.3 [2018] of the State Council), fulfilling the responsibilities of certification supervision in market regulatory departments, and continuously improving the fairness and credibility of certification, the notice on certification supervision of market regulatory departments (including local offices) at all levels is hereby issued as follows in accordance with the relevant provisions set forth in the Regulations of the People's Republic of China on Certification and Accreditation: 为进一步推动落实《国务院关于加强质量认证体系建设促进全面质量管理的意见》(国发〔2018〕3号),切实履行市场监管部门认证监管职责,不断增强认证公正性和公信力,根据《中华人民共和国认证认可条例》有关规定,现就各级市场监管部门(含派出机构)认证监管有关工作通知如下:
I. Certification Supervision Functions   一、认证监管职能
The certification supervision functions of the market regulatory departments (including local offices) at all levels mainly include: 各级市场监管部门(含派出机构)的认证监管职能主要包括:
1. conducting supervision and inspection on certification institutions, designated compulsory product certification bodies, and designated laboratories (hereinafter referred to as the “certification practicing institutions”), and taking the responsibility for punishing the illegal acts of certification practicing institutions; (一)开展认证机构、强制性产品指定认证机构和指定实验室(以下简称认证从业机构)的监督检查,负责查处认证从业机构的违法行为;
2. conducting supervision and inspection on practices of certification practitioners, and taking the responsibility for punishing the illegal acts of certification practitioners; (二)开展认证从业人员执业行为的监督检查,负责查处认证从业人员的违法行为;
3. conducting supervision and inspection on certification certificates and certification marks, and taking the responsibility for punishing the illegal acts involving certification certificates and certification marks; (三)开展认证证书和认证标志的监督检查,负责查处认证证书和认证标志的违法行为;
4. conducting supervision and inspection on compulsory product certification activities (hereinafter referred to as “CCC certification”), and taking the responsibility for punishing the illegal acts involving CCC certification; (四)开展强制性产品认证(以下简称CCC认证)活动的监督检查,负责查处CCC认证违法行为;
5. conducting supervision and inspection on organic product certification activities, and taking the responsibility for punishing the illegal acts involving organic product certification; (五)开展有机产品认证活动的监督检查,负责查处有机产品认证的违法行为;
6. accepting the complaints and tip-offs related to certification activities and handling them according to law; and (六)受理对认证活动的投诉举报并依法处理;
7. taking the responsibility for punishing the illegal acts involving supervision and certification. (七)负责其他认证活动监管和认证违法行为的查处工作。
II. Certification Supervision Framework   二、认证监管机制
1. State Administration for Market Regulation (“SAMR”) (一)市场监管总局
The SAMR is responsible for administering, overseeing and coordinating the certification supervision in a unified manner; making plans for the supervision and inspection work in the SAMR, providing guidance to the supervision, inspection, and law enforcement nationwide, arranging the investigation, inspection and supervision on major, serious and typical cases of certification throughout the country, coordinating the investigation and punishment on major cases of certification across different provinces (autonomous regions and municipalities directly under the Central Government), govern or authorize other departments to govern the illegal cases in which punishments of behaviors are imposed on certification practicing institutions (such as suspending or cancelling their qualification), or defamation punishments (such as warning), and govern or authorize other departments to govern the illegal cases of certification practitioners. 负责统一管理、监督和综合协调全国认证监管工作。组织总局层面的监督检查,指导全国监督检查和执法工作,组织查办、督查督办全国范围认证大案要案、典型案件,协调跨省(自治区、直辖市)认证重大案件查处,管辖或授权管辖对认证从业机构实施暂停或撤销资质等能力罚、警告等申诫罚的违法案件,管辖或授权管辖认证从业人员违法案件。
2. Provincial market regulatory departments (二)省级市场监管部门
The market regulation bureaus (departments and commissions) of all provinces, autonomous regions, municipalities directly under the Central Government, and Xinjiang Production and Construction Corps (hereinafter referred to as the “provincial market regulatory departments”) are responsible for managing, supervising and coordinating the certification supervision within the jurisdiction; arranging the supervision and inspection at the provincial level, guiding the supervision, inspection and law enforcement within the jurisdiction, organizing the investigation, inspection and supervision on major, serious, and typical cases of certification within the jurisdiction, coordinating the investigation and punishment within the jurisdiction and across different provinces (autonomous regions and municipalities directly under the Central Government), and governing the illegal cases involving certification assigned by the SAMR. 各省、自治区、直辖市及新疆生产建设兵团市场监管局(厅、委)(以下简称省级市场监管部门)负责管理、监督和协调辖区内认证监管工作。组织省级层面的监督检查,指导辖区内监督检查和执法工作,组织查办、督查督办辖区内认证大案要案、典型案件,协调辖区内和跨省(自治区、直辖市)认证案件查处,管辖总局交办的认证违法案件。
3. Market regulatory departments (including local offices) at the city or county (district) level (三)市、县(区)级市场监管部门(含派出机构)
They are responsible for supervising and inspecting the certification activities within the jurisdiction, and governing the illegal cases involving certification within the jurisdiction beyond the upper-level market regulatory departments. 负责辖区范围内认证活动监督检查工作。管辖除上级市场监管部门管辖外的认证违法案件。
4. Strengthening the collaboration between upper-level and lower-level departments (四)加强上下协作
When arranging the inspection work, the upper-level market regulatory department may assign the inspection task to the lower-level market regulatory department, or seek cooperation from the lower-level market regulatory department. 上级市场监管部门在组织本级检查时,可以将检查任务交由下级市场监管部门承担,或由下级市场监管部门配合开展。
When investigating a case, the upper-level market regulatory department may authorize the lower-level market regulatory department to conduct the investigation work; and it may also, when necessary, transfer a case within its jurisdiction to the lower-level market regulatory department in accordance with the Interim Provisions on the Procedures for Administrative Punishments for Market Supervision and Administration (Order No. 2 of the SAMR). 上级市场监管部门在进行案件调查时,可委托下级市场监管部门开展调查工作。上级市场监管部门认为必要时,也可依据《市场监督管理行政处罚程序暂行规定》(市场监管总局令第2号),将本部门管辖的案件交由下级市场监管部门管辖。
The lower-level market regulatory department shall, when discovering that a case is subject to the jurisdiction of the upper-level market regulatory department, transfer the case to the upper-level market regulatory department; and, when having an objection to the jurisdiction of a case, report it to the upper-level market regulatory department for decision. 下级市场监管部门发现案件属于上级市场监管部门管辖的,应及时将案件移交上级市场监管部门。对案件管辖权有异议的,报请上级市场监管部门决定。
III. Fulfilling the Duties in Strict Accordance with Law   三、严格依法履职
The market regulatory departments at all levels shall fulfill their duties, focus on key tasks, constantly strengthen the supervision on certification market, and strictly crack down on the illegal acts involving certification. 各级市场监管部门应履职尽责,突出重点,不断加强认证市场监管,严厉打击认证违法行为。
1. When supervising certification practicing institutions, they may spot check the certification activities and certification results. The market regulatory departments at all levels may, according to actual conditions within their respective jurisdictions, conduct separate or combined inspections on certification practicing institutions in the forms of onsite inspection, archive inspection, examination of certified entities, and spot-check of certified products. The key areas for investigation and punishment: false certification; certification activities beyond the approved scope; adding, reducing, or omitting certification procedures; failure to efficiently track or inspect certified products, services and management systems; certified products, services, or management systems that are found unable to meet the certification requirements, the use of which is not suspended or the certification certificates of which are not cancelled, and the suspension or cancellation is not notified in a timely manner. In the meanwhile, the certification activities without approval or authorization shall be punished. (一)在对认证从业机构进行监督时,可采用对认证活动和认证结果进行抽查等方式。各级市场监管部门可根据辖区实际情况,采用从业机构现场检查、档案检查、获证组织查验、获证产品抽查等形式单独或组合进行检查。重点查处:虚假认证,超出批准范围从事认证活动,增加、减少、遗漏认证程序,未对其认证的产品、服务、管理体系实施有效跟踪调查,或发现其认证的产品、服务、管理体系不能持续符合认证要求不及时暂停使用或者撤销认证证书并予以公布等行为。同时,对未经批准擅自从事认证活动的行为进行查处。
2. When supervising certification practitioners, they may carry out on-site inspection at the certification institutions, or examination and verification at the certified entities, together with the supervision on certification institutions. The key areas for investigation and punishment: fabricating false or untruthful documents and records made by auditors or inspectors; and receiving corporate gifts. (二)在对认证从业人员进行监督时,可采用到认证机构现场检查、到获证组织查验等方式。可结合对认证机构监督一并开展。重点查处:审核员、检查员编造虚假、失实的文件和记录,收取企业礼金等行为。
3. When supervising certification certificates and certification marks, they may implement the inspection on the use of certification certificates and certification marks in relevant enterprises. The key areas for investigation and punishment: forging, falsely using and trading certification certificates and certification marks. (三)在对认证证书和认证标志进行监督时,可采用对相关企业认证证书和认证标志的使用情况实施检查等方式。重点查处:伪造、冒用、买卖认证证书和认证标志等行为。
4. When supervising the products in the CCC catalogue, they may conduct the inspection on producing, selling, importing and using such products and other business activities. The key areas for investigation and punishment: producing, selling, importing or using the products in the CCC catalogue in other business activities without the CCC certification; forging, falsely using, trading CCC certificates; and continuing to produce, sell, import or use the products in other business activities, which fail to meet the certification requirements after the CCC certificates are cancelled or suspended. (四)在对列入CCC目录内产品进行监督时,可采取对CCC目录内产品生产、销售、进口和其他经营活动中使用行为进行检查等方式。重点查处:列入目录内的产品未经CCC认证擅自出厂、销售、进口或者在其他经营活动中使用,伪造、冒用、买卖CCC证书,以及CCC证书撤销之日起或暂停期间不符合认证要求的产品继续出厂、销售、进口或者在其他经营活动中使用等行为。
5. When supervising the organic products, they may conduct the inspection on the production, processing, import and selling of organic products, and the spot check on organic products. The key areas for investigation and punishment: forging, falsely using, trading the certification certificates and certification marks of organic products; using the term “Organic” or texts and images that may mislead the public to recognize the uncertified products as organic products; continuing to use the certification certificates and certification marks for the products whose certificates are suspended, revoked or cancelled. (五)在对有机产品进行监督时,可采取对有机产品生产、加工、进口、销售行为进行检查和对有机产品进行抽查等方式。重点查处:伪造、冒用、买卖有机产品认证证书和认证标志,未获认证但标注含有“有机”、“ORGANIC”等字样且可能误导公众认为该产品为有机产品的文字表述和图案,证书暂停期间或者被注销、撤销后仍使用认证证书和认证标志等行为。
IV. Adopting Innovative Supervision Approaches   四、创新监管手段
1. Supervision by categories (一)实行分类监管
The market regulatory departments at all levels shall supervise certification practicing institutions, certified products and entities by categories, and improve supervision efficiency in consideration of the risk levels of the supervised entities as well as the information of random inspection, administrative penalty, complaints and tip-offs, a list of dishonest entities, and big data analysis. 各级市场监管部门要结合被监管对象的风险等级和随机抽查、行政处罚、投诉举报、失信名录以及大数据分析等信息,对认证从业机构、获证产品及组织等实行分类监管,提高监管效能。
2. Supervision on “inspections of randomly selected entities by randomly selected inspectors and the public release of inspection results” (二)推行“双随机、一公开”监管
The “inspections of randomly selected entities by randomly selected inspectors and the public release of inspection results” shall be considered as the basic means of certification supervision to replace the former patrol inspection system. The provincial market regulatory departments shall include the items of certification supervision in the unified list of items for random inspection at the provincial level, establish a directory database of the certified and inspected entities (including certification practicing institutions, and certified products and entities) at the provincial level based on the “administrative certification supervision system” (the former “comprehensive certification supervision platform”) and the national enterprise credit information publication system, and update the database in a dynamic way. Moreover, they shall also establish a database of certification and inspection personnel within their respective regions, to which the relevant industrial experts can also be added so as to satisfy the requirements for special random inspections. The items with similar inspected entities and inspection methods can be combined. 将“双随机、一公开”作为认证监管的基本手段,取代日常监管原有的巡查制。省级市场监管部门将认证监管事项纳入统一的省级抽查事项清单,依托“认证行政监管系统”(原“认证综合监管平台”)和国家企业信用信息公示系统建立省级认证检查对象名录库,检查对象包括认证从业机构、获证产品及组织等,并实施动态更新,做到“底数清”。省级市场监管部门建立本辖区认证检查人员名录库,可吸纳相关行业专家参与,满足认证专业性抽查要求。检查对象和检查方式相近的,尽量合并安排。
3. Establishing a credit supervision mechanism (三)建立信用监管机制
Efforts shall be made to promote the collection and sharing of credit information of various types of inspection results, and make it available to the public through the National Enterprise Credit Information Publication System and the official websites of government agencies. The SAMR shall take overall measures to establish and improve the “blacklist” system and credit repair system for dishonest certification acts and conduct joint punishments on seriously dishonest certification practicing institutions, practitioners, and certified entities. 推进各类检查结果信用信息的归集和共享,通过国家企业信用信息公示系统、政府部门网站等渠道向社会公开公示。总局统筹建立和完善认证失信“黑名单”制度、信用修复制度,依法对严重失信的认证从业机构、从业人员、获证组织实施联合惩戒。
4. Developing a certification risk monitoring and early warning system (四)建立认证风险监测和预警机制
Relying on the “Internet +” supervision, the SAMR shall make an overall plan to establish a mechanism of collection, monitoring and big data analysis for such key information as various certification activities and certification results, build an early warning report and result sharing mechanism based on the result of monitoring the legally questionable certification activities and certification risks, and encourage the market regulatory departments at all levels to cooperate with each other and jointly manage the certification activities and results. The market regulatory departments at all levels shall be encouraged to conduct pilot programs, harness the strength of big data supervision, create new supervision approaches, and improve the efficiency of supervision. 以“互联网+”监管为基本手段,由总局统筹建立对各类认证活动、认证结果关键信息的收集、监测和大数据分析机制,基于对认证异常活动和认证风险的监测结果,建立预警通报和结果共享的机制,推动各级市场监管部门上下联动、齐抓共管。鼓励各级市场监管部门先行先试,充分发挥大数据监管的优势,创新监管方式,提升监管效能。
V. Strengthening organization and implementation   五、加强组织实施
1. Intensifying organization and leadership (一)加强组织领导
The market regulatory departments at all levels shall intensify the leadership of certification supervision, clarify the division of tasks, raise the awareness of responsibilities, and provide a stronger guarantee for human resources, capitals and technical equipment. Moreover, they shall study and develop the specific regulatory measures according to the Notice and local actual conditions, and make gradual progresses in certification supervision in a steady and orderly manner. 各级市场监管部门要加强对认证监管工作的领导,明确任务分工,增强责任意识,强化人力、资金和技术装备保障。要结合本通知和各地实际,研究制定针对性强的监管措施,稳步有序推进认证监管工作。
2. Bolstering team building (二)加强队伍建设
The market regulatory departments at all levels shall strengthen the building of teams in certification supervision, provide business guidance and trainings, and constantly intensify, optimize and stabilize the teams in certification supervision; and develop institutions and regulations on trainings of legal knowledge and business operations for certification supervision personnel, create new training methods and approaches, and move actively to build a certification supervision team with good professional ethics and excellent performance. 各级市场监管部门要加强认证监管队伍建设,开展业务指导和培训,不断强化、优化和稳定认证监管队伍。要将认证监管人员的法制、业务培训制度化、规范化,创新培训方式和手段,努力打造一支作风优良、业务过硬的认证监管队伍。
3. Encouraging social publicity (三)加强社会宣传
The market regulatory departments at all levels shall take further steps to harness the role of news media in providing positive guidance and directing public opinions, maximize the role of communication channels such as television, broadcasting, newspaper and Internet, publicize the progress and benefits of certification supervision, release the early warnings in a timely manner, and improve the strengths and impacts of certification supervision. 各级市场监管部门要进一步发挥新闻媒体的正面引导和舆论监督作用,充分利用电视、广播、报刊、网络等传播渠道,大力宣传认证市场监管工作进展和成效,及时发布预警提示,提高认证监管的影响力和震慑力。
4. Focusing on information reporting (四)加强信息报送
The market regulatory departments at all levels shall put emphasis on reporting the information of certification supervision, and submit a report at least once a year about the conditions of certification supervision (including progress and benefits, existing problems, opinions and suggestions, case investigation, and typical cases) to the upper-level market regulatory departments to help the latter to understand the general situation and provide more specific guidance. All provincial market regulatory departments shall report the information to the SAMR before December 1st each year. 地方各级市场监管部门要重视和加强认证监管信息报送工作,每年至少向上级市场监管部门报告一次认证监管工作情况(包括进展成效、存在问题、意见建议、案件查处和典型案例等),便于上级市场监管部门及时了解情况、有针对性地加强指导。各省级市场监管部门相关情况应于每年12月1日前报送总局。
State Administration for Market Regulation 市场监管总局
May 14, 2019 2019年5月14日
     
     
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