对授予、拒绝、保持认证，扩大或缩小认证范围，更新、暂停、恢复或撤消认证和再认证注册的说明
1 授予认证
受审核组织满足下列要求时，授予认证：
1）正式提出认证申请，并承诺遵守公司认证要求；
2）具有有效的法律地位（营业执照、生产/经营许可证和/或资质证明）；
3）初次认证审核/扩大认证领域认证审核的审核发现标明其管理体系的建立、实施和保持符合选定的认证标准（管理体系标准认可的特定认证项目规范）；
4）不符合项纠正措施经验证表明已按规定期限完成且有效；
5）已按认证合同规定缴纳认证费。
2 拒绝认证
申请组织提供的证据不足以证明获证组织管理体系符合认证规范的要求和公司的规定， 拒绝申请组织相应管理体系可在公司进行认证注册。
3 保持认证
3.1 监督审核（含非例行监督审核）
获证客户/认证转换申请组织满足下列要求时准予保持认证：
1）已按规定的频次和周期接受监督审核；
2）审核发现表明其管理体系的实施、保持和持续改进符合选定的认证标准；
3）法律地位有效；
4）以往内部审核和外部审核的不符合项纠正措施持续有效；
5）产品、环境和/或安全经国家主管部门监督检查/监测合格；
6）顾客和/或相关方面的抱怨已得到有效处理；
7）本次审核不符合项纠正措施经验证表明已按规定期限完成且有效；
8）未发生误用/滥用认证标志、认证证书和误导性宣传认证状态行为；
9）认证转换申请组织提供的认证证书有效；
10）已按认证合同规定缴纳认证费。
3.2 特殊审核
特殊审核包括：
1）当投诉事项与获证客户有关时，为确认其管理体系的有效性而进行的必要现场调查；
2）获证客户发生下列变更之时，为确认其管理体系持续保持满足认证标准要求的能力而进行的必要现场审核：
l 法律地位（营业执照、生产/经营许可证和/或资质证明）、经营状况、组织性质或所有权变更；
l 管理层（含关键的管理、决策或技术人员）或组织结构的变更；
l 地址和/或地域场所得变更；
l 获证管理体覆盖的运作范围的变更；
l 管理体系和过程的重大变更。
3）对暂停认证客户的追踪审核。
3.3 再认证
获证客户在认证证书有效期满前正式提出再认证申请，经再认证审核和技术部按《保持认证管理程序》审查评价，当满足要求时，做出准予更新认证的认证决定，报总经理批准。
4 扩大认证范围认证
1）现认证证书有效；
2）审核发现表明申请扩大的认证范围部分符合认证标准要求，且为其管理体系所覆盖；
3）扩大认证范围所涉及的产品、环境和/或安全经国家主管部门监督检查/监测；
4）本次审核不符合项纠正措施经验证表明已按规定期限完成且有效；
5）已按认证合同规定缴纳认证费。
当认证决定为不准予扩大认证范围时，综合部将该认证决定通知相应客户，并说明理由。
5 缩小认证范围认证
当发生下列情况之一时，予以缩小认证范围：
1）获证客户正式提出缩小认证范围的书面申请；
2）监督审核、再认证审核或特殊审核的审核发现表明：
l 营业执照、生产/经营许可证、资质或管理体系覆盖范围的变更导致认证范围缩小；
l 获证客户的活动和运作的变更，或适用的法律法规、产品标准/规范的变更，或其它原因造成认证范围内部分产品、活动和地域场所持续地或严重地不能满足认证要求；
l 认证范围内的产品、活动和/或地域场所减少；
l 未对顾客和/或相关方投诉所涉及的部分认证范围的不符合采取有效纠正措施；
l 部分产品、环境和/或安全经国家主管部门监督检查/监测不合格且未进行纠正；
3）经技术部审查和评价，确认应缩小认证范围。
6 暂停认证
6.1 获证客户发生下列情况之一时，予以暂停认证（含部分认证范围暂停）：
1）正式提出暂停认证书面申请；
2）不按规定的频次和期限接受监督审核或再认证审核；
3）申请监督审核延期不被公司批准或不接受监督审核或再认证审核；
4）不接受国家认证认可主管部门的监督检查或公司必要的特殊审核；
5）生产/经营许可或资质被国家主管部门暂停；
6）监督审核的审核发现表明其管理体系或认证范围的某些部分持续地或严重地不满足认证要求，包括（但不限于）：
l 不符合项纠正措施经验证未在规定期限内完成或无效；
l 属于认证标准同一条款要求的不符合连续发生。
7）发生严重影响其管理体系持续满足认证标准要求的变更而未报告公司；
8）产品、环境和/或安全经国家主管部门监督检查/监测不合格且在媒体公布；
9）投诉调查表明其顾客或相关方投诉事项属实且不符合认证的要求，但未采取纠正措施；
10）使用或滥用认证标志、认证证书或审核报告，误导性宣传认证状态，被公司警告后未纠正或尚未造成严重后果；
11）其它违背认证合同行为，如拖延缴纳认证费。
6.2 认证暂停的期限通常不超过3个月，最长为6个月。
客户在暂停认证期间内：
1）管理体系认证无效，必须停止使用认证标志、认证证书和宣传认证状态；
2）解决造成暂停问题；
3）准备接受必要的追踪审核。
7 撤销认证
7.1 获证客户发生下列情况之一时，予以撤销认证：
1）因认证要求变更或其它原因，正式提出停止认证的书面申请；
2）法律地位失效，如营业执照、生产/经营许可证或资质被注销/撤销；
3）组织名称、地址或法定代表人变更而未报告公司或申请换发认证证书；
4）暂停认证期内：
l 未对造成暂停问题采取解决措施或解决措施经验证无效；
l 未在暂停范围内停止使用认证标志、认证证书或认证状态宣传；
l 不接受公司必要的现场追踪审核。
5）被缩小认证范围后，未在被缩小的认证范围内停止使用认证标志、认证证书或认证状态宣传；
6）发生产品、环境或安全事故，造成严重影响；
7）提供信息严重失实，弄虚作假，造成严重影响；
8）违背认证合同或协议：
l 误用或滥用认证标志、认证证书或审核报告，或误导性宣传认证状态，造成严重影响；
l 涂改认证证书内容；
l 借用他人使用认证证书或认证标志；
l 拒绝缴纳认证费。
l 无正当理由拒绝接受国家认监委/地方监管机构的稽查和国家认可委的确认审核的。
9）因使用认证标志、认证证书或声明认证状态，引起或对其它组织提起诉讼而未及时通告公司；
10）未提出注销认证而转换至其它认证机构。
11）暂停期超过6个月而未接受相应处理的。
7.2 撤销认证的组织必须：
1）必须停止使用认证标志、认证证书和宣传认证状态；
2）交回认证证书
8 恢复认证
8.1对于认证资格被暂停的获证组织，在收到该组织提出恢复使用认证证书的书面申请材料后，若确认其在规定期限内已采取有效的纠正措施重新满足相关要求，报总经理审批后将书面通知该组织恢复其认证证书的使用权，并恢复对该获证组织相应管理体系的后续审核安排。
8.2对于认证资格被暂停的获证组织，如通过重新审核的方式来确认该组织纠正措施的有效性，公司恢复其使用认证证书的书面通知将以审核报告的形式通知该组织；如通过其他方式来确认该组织纠正措施的有效性，公司恢复其使用认证证书的书面通知将以“认证证书恢复通知书”的形式通知该组织。
8.3对于违反认证规定而被撤销注册认证资格的获证组织，不论其原来是在公司还是在其他认证机构获得的注册认证资格，公司再次受理其认证注册申请的时间自其被撤销认证资格之日起不少于12个月。
Instructions on granting, rejecting and maintaining certification, expanding or reducing the scope of certification, updating, suspending, resuming or revoking certification and recertification registration
1 Grant certification
Certification is granted when the audited organization meets the following requirements:
1）Formally apply for certification and promise to comply with the company's certification requirements;
2）Have valid legal status (business license, production / operation license and / or qualification certificate);
3）The audit findings of the initial certification audit / expanded certification audit indicate that the establishment, implementation and maintenance of its management system comply with the selected certification standards (specific certification project specifications recognized by the management system standards);
4）The verification of corrective measures for nonconformities shows that they have been completed and effective within the specified time limit;
5）The certification fee has been paid according to the certification contract.
2 Refusal of certification
If the evidence provided by the applicant organization is insufficient to prove that the management system of the certified organization meets the requirements of the certification specifications and the provisions of the company, the company shall refuse to apply for the corresponding management system certification registration of the organization.
3 Maintain certification
3.1 Supervision and audit (including non-routine supervision and audit)
The certified customer / certification conversion application organization is allowed to maintain certification when it meets the following requirements:
1）It has been supervised and reviewed according to the specified frequency and cycle;
2）Audit findings show that the implementation, maintenance and continuous improvement of its management system meet the selected certification standards;
3）Valid legal status;
4）The corrective measures for nonconformities in previous internal and external audits are continuously effective;
5）The products, environment and / or safety have passed the supervision, inspection / monitoring by the national competent department;
6）Complaints from customers and / or relevant parties have been effectively handled;
7）The verification of corrective measures for nonconformities in this audit shows that they have been completed and effective within the specified time limit;
8）No misuse / abuse of certification mark, certification certificate and misleading publicity of certification status;
9）The certification certificate provided by the certification conversion application organization is valid;
10）The certification fee has been paid according to the certification contract.
3.2 Special audit
Special audits include:
1）Necessary on-site investigation to confirm the effectiveness of its management system when the complaint is related to the certified customer;
2）The necessary on-site audit to confirm that its management system continues to meet the requirements of certification standards when the certified customer has the following changes:
l Changes in legal status (business license, production / operation license and / or qualification certificate), business status, organizational nature or ownership;
l Changes in management (including key management, decision-making or technical personnel) or organizational structure;
l Change of address and (or) place;
l Change of the operation scope covered by the certified management body;
l Major changes in management system and process.
3）Follow up audit of suspended certification customers.
3.3 Recertification
The certified client formally submits an application for recertification before the expiration of the certification certificate. After the recertification review and the technical department review and evaluate in accordance with the "Maintain Certification Management Procedures", when the requirements are met, a certification decision to approve the renewal of certification will be made and reported to the general manager for approval.
4 Expand the scope of certification
1）The current certificate is valid;
2）The audit findings show that part of the certification scope applied for expansion meets the requirements of certification standards and is covered by its management system;
3）The products, environment and / or safety involved in expanding the scope of certification shall be supervised, inspected / monitored by the competent national authorities;
4）The verification of corrective measures for nonconformities in this audit shows that they have been completed and effective within the specified time limit;
5）The certification fee has been paid according to the certification contract.
When the certification decision is that the certification scope is not allowed to be extended, the Comprehensive Department will notify the corresponding customer of the certification decision and explain the reasons.
5 Narrow the scope of certification
In case of any of the following circumstances, the scope of certification shall be reduced:
1）The certified customer formally submits a written application to reduce the scope of certification;
2）The audit findings of supervision audit, recertification audit or special audit show that:
l The scope of certification is reduced due to the change of business license, production / operation license, qualification or management system coverage;
l Changes in the activities and operations of certified customers, or changes in applicable laws and regulations, product standards / specifications, or other reasons, resulting in the continuous or serious failure of some products, activities and geographical places within the scope of certification to meet the certification requirements;
l Reduction of products, activities and / or geographical places within the scope of certification;
l Failure to take effective corrective measures for the nonconformity of part of the certification scope involved in the complaint of customers and (or) interested parties;
l Some products, environment and (or) safety are unqualified and not corrected after supervision and inspection / monitoring by national competent authorities;
3）After review and evaluation by the technology department, it is confirmed that the scope of certification shall be reduced.
6 The suspension of certification
6.1 In case of any of the following circumstances, the certification shall be suspended (including suspension of some certification scope):
1）Formally submit a written application for suspension of certification;
2）Fail to accept supervision audit or re certification audit according to the specified frequency and time limit;
3）The application for extension of supervision and audit is not approved by the company or is not subject to supervision and audit or recertification audit;
4）Do not accept the supervision and inspection of the competent national certification and accreditation department or the necessary special audit of the company;
5）The production / operation license or qualification is suspended by the national competent department;
6）The audit findings of the supervision audit show that some parts of its management system or certification scope continuously or seriously fail to meet the certification requirements, including (but not limited to):
l The corrective measures for nonconformities are verified to be incomplete or invalid within the specified time limit;
l Non-conformance to the requirements of the same clause of the certification standard occurs continuously.
7）Changes that seriously affect the continuous compliance of its management system with the requirements of certification standards without reporting to the company;
8）Products, environment and / or safety are not qualified after supervision and inspection / monitoring by national competent authorities and published in the media;
9）The complaint investigation shows that the complaints of its customers or interested parties are true and do not meet the certification requirements, but no corrective measures are taken;
10）Using or abusing certification marks, certification certificates or audit reports, misleading publicity of certification status, and failing to correct or cause serious consequences after being warned by the company;
11）Other acts violating the certification contract, such as delaying the payment of certification fee.
6.2 The period of suspension of certification usually does not exceed 3 months and the maximum is 6 months.
During the period of suspension of certification, the customer:
1）If the management system certification is invalid, the use of certification marks, certification certificates and publicity of certification status must be stopped;
2）Solve the problem causing suspension;
3）Prepare for necessary follow-up audit.
7 Revocation of certification
7.1 In case of any of the following circumstances, the certification of the certified customer shall be revoked:
1）Formal written application for suspension of certification due to change of certification requirements or other reasons;
2）The legal status is invalid, such as the business license, production / operation license or qualification is cancelled / revoked;
3）Change of organization name, address or legal representative without reporting to the company;
4）During the suspension of certification;
l Failure to take solutions to the problems causing suspension or the solutions are verified to be invalid;
l Failing to stop using the certification mark, certification certificate or certification status publicity within the scope of suspension;
l Do not accept the necessary on-site follow-up audit of the company.
5）After the certification scope is reduced, the use of certification marks, certification certificates or certification status publicity is not stopped within the reduced certification scope;
6）Product, environment or safety accidents, resulting in serious impact;
7）The information provided is seriously untrue and fraudulent, resulting in serious impact;
8）Breach of certification contract or agreement:
l Misuse or misuse of certification marks, certification certificates or audit reports, or misleading publicity of certification status, resulting in serious impact;
l Alter the contents of the certification certificate;
l Borrowing others to use the certification certificate or certification mark;
l Refuse to pay the certification fee.
l Refusing to accept the inspection of CNCA / local regulatory authority and the confirmation audit of CNCA without justified reasons.
9）Failure to promptly notify the company due to the use of certification marks, certification certificates, or declaration of certification status, causing or filing a lawsuit against other organizations;
10）Transfer to another certification body without applying for cancellation of certification.
11）The suspension period exceeds 6 months without receiving corresponding treatment ;
7.2 The organization revoking the certification must:
1）The use of certification marks, certification certificates and publicity of certification status must be stopped;
2）Return the certificate
8 Restore authentication
8.1 For the certified organization whose certification qualification has been suspended, after receiving the written application materials for resuming the use of the certification certificate from the organization, if it is confirmed that it has taken effective corrective measures to meet the relevant requirements again within the specified time limit, it shall report to the general manager for approval and notify the organization in writing to resume the use right of the certification certificate, And resume the follow-up audit arrangement for the corresponding management system of the certified organization.
8.2 For a certified organization whose certification qualifications have been suspended, if the effectiveness of the organization’s corrective actions is confirmed by re-auditing, the company will notify the organization in the form of an audit report that the company resumes its use of the certification certificate in writing;
If the effectiveness of the organization's corrective actions is confirmed by other means, the company's written notice of resuming its use of the certification certificate will be notified to the organization in the form of a "certification certificate restoration notice".
8.3 For the certified organization whose registration and certification qualification is revoked in violation of the certification provisions, no matter whether it originally obtained the registration and certification qualification in the company or in other certification institutions, the time for the company to accept its certification and registration application again shall not be less than 12 months from the date of revocation of its certification qualification.
