| Notice of the General Office of the State Administration for Market Regulation on Further Conducting Self-inspection on Certification Quality of Certification Institutions | | 市场监管总局办公厅关于深入开展认证机构认证质量自查工作的通知 |
| (No. 18 [2019] of the State Administration for Market Regulation) | | （市监认证〔2019〕18号） |
| For the purposes of further implementing the Notice of the State Administration for Market Regulation on Strengthening the Market Regulation of Testing and Certification (No. 173 [2018] of the State Administration for Market Regulation) and the Work Plan for Crackdown on Counterfeit and Shoddy Goods in Key Fields (2019-2021) issued by the State Administration for Market Regulation, urging certification institutions to define their primary responsibilities, carefully eliminating the risks in certification quality, and driving forward the standardization and healthy development of quality certification, we have decided to organize the certification quality self-inspection of certification institutions upon the approval of the State Administration for Market Regulation. Relevant matters are hereby notified as follows: | | 为进一步贯彻落实《市场监管总局关于加强认证检测市场监管工作的通知》（国市监认证〔2018〕173号）及市场监管总局《假冒伪劣重点领域治理工作方案（2019-2021）》，督促认证机构落实主体责任，深入排查认证质量风险，推动质量认证工作规范健康发展，经市场监管总局同意，决定组织开展认证机构认证质量自查。现就有关事项通知如下： |
| I. Arrangements for Self-inspection | | 一、自查工作部署 |
| All certification institutions shall, based on risk analysis, take the self-inspection as a good opportunity to conduct a comprehensive self-check of their certification activities. | | 各认证机构要在风险分析的基础上，以自查整改为契机，对本机构开展的所有认证活动进行一次全面自查。 |
| 1. Scope of self-inspection | | （一）自查范围 |
| The certification institutions shall have a self-check of themselves in such aspects as the design of certification programs, implementation in the whole process, resources allocation and personnel competence, and professional ethics of certification staff, remove the existing major risks and dangers, and conduct in-depth risk analysis; and, in light of the risk assessment results for certified entities, strengthen the post-certification supervision in terms of validity and compliance. For certain certified enterprises whose product problems or malpractices were exposed in the China Central Television's “315 Gala” for the World Consumer Rights Day, the relevant certification-issuing bodies shall take immediate actions to eliminate the problems, take back the certificates, and impose severe punishment on these enterprises. | | 从认证方案的设计、认证全过程的实施、认证的资源配置和人员能力、认证人员的职业操守等方面，自查并清理整治存在的重大风险隐患，深入开展风险分析；结合对获证组织的风险评价结果，从认证有效性、符合性等方面，加强证后监督。针对央视“3·15”晚会曝光的部分获证企业，发证机构要迅速开展排查，对问题证书和认证企业严肃处理。 |
| 2. Key points in self-inspection | | （二）自查重点 |
| (1) Compliance of certification institutions: whether a certification institution has been engaged in any activities beyond the approved scope; forged any certification files, records or materials, has given any false conclusion, illegally traded any certificate; added, reduced or omitted any basic rules, regulations and procedures of certification; taken a careless attitude during on-site auditing/inspection, or failed to fulfill the duties in key steps of auditing/inspection; or lowered the certification standards and requirements without permission, loosened the quality control in making decisions, or lowered the threshold for issuing a certificate. | | 1. 认证机构合法合规方面。是否存在超出批准范围从事认证活动；伪造认证档案、记录和资料，出具虚假认证结论、买证卖证；认证活动中增减、遗漏认证基本规范、认证规则规定程序；现场审核/检查避重就轻、走过场，关键过程审核/检查不到位；擅自降低认证标准要求，认证决定把关不严，降低门槛通过认证等问题。 |
| (2) Professional ethics of certification staff: whether any auditor/inspector has reduced the auditing/inspection time without permission, or even not shown himself or herself at the site; sought unreasonable travelling and boarding fees; or taken the advantage of his or her position to request personal gains or receive bribes. | | 2. 认证人员职业操守方面。是否存在审核员/检查员擅自减少审核/检查时间，甚至不到现场；审核员/检查员索取不合理差旅食宿费用；认证人员利用职务之便，吃拿卡要、收取红包等问题。 |
(3) “Double standards” of certified entities: whether the management documents of a certified entity have been useless at all or inconsistent with its actual operation; whether a certified entity has rushed to provide extra information and documents when coping with the certification auditing/inspection; and whether it has failed to organize productions according to the certification requirements, or made products that are not the same as the certified ones, thus causing serious problems related to product performance and safety.
．．．．．． | | 3. 获证组织“两张皮”现象方面。是否存在获证组织管理文件形同虚设，与实际运行方法脱节；应付认证审核/检查，突击补记录、补文件；未按认证要求组织生产，实际生产产品与获证产品不一致，严重影响产品性能和安全等问题。
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