申请组织与审核方的权利与义务 Rights and obligations of the applicant organization and the reviewer

1.申请组织的权利

1.1 有权自我决策是否提出体系认证申请和自由选择认证机构。

1.2 有权要求审核组保守组织的商业、技术等秘密。

1.3 有权拒绝审核员任何与审核工作无关的要求。

1.4 有权对审核组的审核公正性进行投诉。

1.5 正确使用认证证书和标志。

1.6 有权对认证结果进行申诉。

1.7 申请扩大/缩小认证范围，注销部分或全部认证范围。

2.申请组织的义务

2.1 在申请时，不得隐瞒组织的真实情况，并应提供以下资料：

l 组织独立的法律资格证明材料（如：有效期内的营业执照等）；

l 各类有效期内的生产/经营许可证和/或资质证书（行政许可法规定的行业和/或产品）；

l 体系所涉及的过程、产品及服务流程图；

l 重要环境因素清单（仅适用于申请环境管理体系认证）；

l 排放达标证明文件等文件(仅适用于申请环境管理体系认证）；

l 重大危险源清单及危险源控制合规的有关文件(仅适用于职业健康安全管理体系认证）；

l 适用的法律、法规及强制性标准清单；

l 现场审核前一个月提交质量管理体系/环境管理体系/职业健康安全管理体系文件，并对其符合性负责；

2.2 始终遵守公司的有关认证规定。 

2.3 遵守国家有关的法律、法规，了解认监委《质量管理体系要求》的要求。

2.4 为进行审核和解决投诉做出必要的安排，包括审查文件、初次认证、监督、再认证进入所有区域、调阅所有记录和访问人员提供条件，并在必要时为到场的观察员提供条件。

2.5 对误用认证证书和认证标志承担责任并采取纠正措施，在宣传认证结果时，不得损害公司的声誉，不得做公司认为误导或未授权的声明。

2.6 当认证被暂停或撤销后，应立即停止涉及认证内容的广告，并按认证机构要求交回所有的认证文件。

2.7 管理体系认证证书只能用来证明其体系符合了特定标准或其它引用文件，不能超越使用认证证书中所限定的认证范围。

2.8 按时接受监督审核，及时向认证机构通报信息。

2.9 配合认证机构调查和处理对组织的投诉。

2.10 接受中国合格评定国家认可委员会安排的认可见证评审；接受认可委对获证企业的确认审核。

2.11 获证期间接受国家认监委/地方监管机构的稽查。

2.12申请组织发生下列情况的变更，必须及时通知公司：

法律地位、经营状况、组织状态或所有权发生变更；

l 组织和管理层发生变更；

l 生产地址和场所发生变更；

l 获证管理体系覆盖的产品范围发生变更；

l 管理体系和过程的重大变更。

2.13 按合同及相关约定缴纳认证费用。

3. 审核方的权利

3.1 按照国家相关法律法规和中国合格评定国家认可委员会的认可规范文件的要求，制定公司的认证审核工作程序和管理规定。

3.2 在拟认证的范围内按相关工作程序和管理规定实施审核并做出认证决定。

3.3 要求组织按认证合同的约定支付认证费用。

3.4 对获证组织进行监督审核和再认证，对获证组织不再满足认证要求时，采取暂停和撤销认证资格； 拥有认证证书和认证标志的所有权和对获证组织使用的监督权。

3.5 处理来自组织或其他方面有关认证的申诉、投诉和争议。

3.6 制定认证证书、认证标志的使用规定并授权使用。

3.7 要求组织提供有关认证审核、监督审核、再认证或解决投诉所必需的文件资料，并对进入相关审核区域、调阅记录和访问人员提供方便。根据行业要求和公司规定,有权对获证组织体系运行有效性开展非例行检查。

3.8 对获证组织的顾客投诉和依据管理体系标准或其他引用文件要求所采取纠正措施记录的调阅。

4. 审核方的义务

4.1 公司的服务对所有申请管理体系认证的委托方或申请组织开放。

4.2 对认证注册的授予、保持、再认证、扩大、缩小、暂停和撤销负责。

4.3 不进行任何有关管理体系建立和保持的咨询。

4.4 公司将有关认证的要求及更改及时通知获证客户。

4.5 确保公司所有参与认证工作的人员保守在认证过程中所涉及到的获证组织的信息秘密。如需将信息提供给第三方时，公司应通知受审核方所要提供的信息。当法律要求需要将信息提供给第三方时，应事先以书面形式通知组织。

4.6 调查获证组织对认证服务的满意度，

4.7 回答和解释组织所提出的置疑，并提供相关信息。

 

1. Right to apply for organization

1.1 Have the right to decide whether to apply for system certification and freely choose certification institutions.

1.2 Have the right to require the audit team to keep the business, technical and other secrets of the organization.

1.3 Have the right to reject any requirements irrelevant to the audit work.

1.4 Have the right to complain about the impartiality of the audit team.

1.5 Use certification certificates and marks correctly.

1.6 Have the right to appeal the certification results.

1.7 Apply to expand / narrow the scope of certification and cancel part or all of the scope of certification.

2. Obligations of the applicant organization

2.1 When applying, the real situation of the organization shall not be concealed, and the following materials shall be provided:

l Independent legal qualification certificates of the organization (such as business license within the validity period);

l Production / operation licenses and / or qualification certificates within various validity periods (industries and / or products specified in the administrative license law);

l Process, product and service flow chart involved in the system;

l List of important environmental aspect (only applicable to the application for environmental management system certification);

l Emission compliance certificate and other documents (only applicable to the application for environmental management system certification);

l List of major hazard and relevant documents on compliance of hazard source control (only applicable to occupational health and safety management system certification);

l List of applicable laws, regulations and mandatory standards;

l Submit quality management system / environmental management system / occupational health and safety management system documents one month before on-site audit, and be responsible for their compliance;

2.2 Always comply with the relevant certification regulations of the company.

2.3 Comply with relevant national laws and regulations and understand the requirements of quality management system requirements of CNCA.

2.4 Make necessary arrangements for review and resolution of complaints, including review of documents, initial certification, supervision, re certification, access to all areas, access to all records and visitors, and provide conditions for observers present when necessary.

2.5 Be responsible for the misuse of the certification certificate and certification mark and take corrective measures. When publicizing the certification results, it shall not damage the reputation of the company, and shall not make statements that the company considers misleading or unauthorized.

2.6 When the certification is suspended or revoked, the advertisement involving the certification content shall be stopped immediately, and all certification documents shall be returned as required by the certification authority.

2.7 The management system certification certificate can only be used to prove that its system complies with specific standards or other referenced documents, and cannot exceed the certification scope limited by the certification certificate.

2.8 Accept the supervision and audit on time and report the information to the certification authority in time.

2.9 Cooperate with the certification authority to investigate and deal with complaints against the organization.

2.10 Accept the accreditation witness review arranged by China National Accreditation Commission for conformity assessment; accept the confirmation and audit of certified enterprises by the Accreditation Commission.

2.11 During the certification period, it shall be subject to the inspection of CNCA / local regulatory authorities.

2.12In case of any change of the applicant organization under the following circumstances, the company must be notified in time:

Changes in legal status, business status, organizational status or ownership;

l Changes in organization and management;

l Change of production address and place;

l The product scope covered by the certified management system is changed;

l Major changes in management system and process.

2.13 Pay the certification fee according to the contract and relevant agreements.

3. Rights of the auditor

3.1 Formulate the company's certification and audit procedures and management regulations in accordance with relevant national laws and regulations and the requirements of the accreditation specification documents of China National Accreditation Commission for conformity assessment.

3.2 Audit and make certification decisions according to relevant working procedures and management regulations within the scope to be certified.

3.3 The organization is required to pay the certification fee as agreed in the certification contract.

3.4 Supervise, review and recertify the certified organization, suspend and revoke the certification qualification when the certified organization no longer meets the certification requirements; have the ownership of the certification

certificate and certification mark and the right to supervise the use of the certified organization.

3.5 Handle complaints, complaints and disputes related to certification from the organization or other parties.

3.6 Formulate regulations on the use of certification certificates and certification marks and authorize their use.

3.7 The organization is required to provide documents necessary for certification audit, supervision audit, recertification or complaint resolution, and provide convenience for entering relevant audit areas, accessing records and visiting personnel. According to industry requirements and company regulations, it has the right to carry out non routine inspection on the operation effectiveness of the certified organization system.

3.8 Access to the customer complaints of the certified organization and the records of corrective measures taken according to the management system standards or other referenced documents.

4. Obligations of the auditor

4.1 The company's services are open to all clients or organizations applying for management system certification.

4.2 Be responsible for the grant, maintenance, re certification, expansion, reduction, suspension and revocation of certification registration.

4.3 Do not conduct any consultation on the establishment and maintenance of the management system.

4.4 The company will promptly notify the certified customer of the requirements and changes related to certification.

4.5 Ensure that all personnel involved in the certification work of the company keep confidential the information of the certified organization involved in the

certification process. If it is necessary to provide the information to a third party, the company shall notify the auditee of the information to be provided.

certification process. If it is necessary to provide the information to a third party, the company shall notify the auditee of the information to be provided.

When it is required by law to provide the information to a third party, the organization shall be notified in writing in advance.

4.6 Investigate the satisfaction of certified organizations with certification services,

4.7 Answer and explain the questions raised by the organization and provide relevant information.