管理体系认证程序 Management system certification procedure

1.申请的受理

1.1 申请方可直接与市场部联系，了解有关认证程序和事项，索取有关公开文件，提出认证意向。

1.2 市场部对申请范围属于公司业务范围，则提供认证申请表，不属于公司业务范围则予以答复。

1.3 申请方应提供一份正式的由其授权人员签署的申请表，申请表的填写应按要求真实完整地填写，并提供评审所需资料。不真实的信息，将影响认证的公正性和有效性，由此引起的责任应由申请方承担。

2.申请评审

2.1 市场部对认证申请及相关信息进行评审，申请人应提供以下资料：

2.1.1 管理体系手册、企业简介、营业执照及相关资料，产品/服务流程、多场所、临时场所信息。

2.1.2 申请环境、职业健康安全管理体系认证，还需根据企业的认证需求及实际经营业务，提供环境因素、危险源清单、区域（活动）平面布置图、区域管网（排污）示意图，环评报告/环评备案、安全评价报告/消防验收报告、“三同时”验收及适宜的法律法规清单等，不同的企业要求会有差异，具体与项目受理事先沟通。

2.2 评审完成后双方签订管理体系认证合同书。

3.管理体系审核

3.1 正式签订合同后，公司负责组建审核组，在现场审核前通知受审核方，如受审核方对审核组成员有异议，可提出，经双方协商后解决；

3.2 管理体系初次审核分为两个阶段，即第一阶段（包括文审、大多数在现场进行）和第二阶段对管理体系进行完整审核过程；

3.3 审核组在现场审核前，对申请方提交的管理体系文件进行审查，对发现的问题以文件审核报告的方式向受审核方提交，申请方应在规定的时间内予以修改，补充和完善，直至文审通过方可进入现场审核；

3.4 由审核组长负责编制审核计划，在进驻现场审核前，通知受审核方，若有异议，应及时与审核组长沟通；

3.5 第一阶段审核主要审查受审核方理解和实施标准的情况，了解其产品（服务）范围、组织结构、生产规模、流程、资源配置等信息，评价是否具备二阶段审核的条件，并为第二阶段审核提供关注点，审核组将现场审核发现的问题以清单方式报告受审核方，受审核方应针对问题采取纠正和纠正措施，并提供证实材料，经审核组长验证合格，方可进行第二阶段审核；

3.6 一阶段审核发现的问题采取纠正和纠正措施后，公司将派审核组实施第二阶段审核。第二阶段审核主要对受审核方管理体系实施情况进行一次全面的审查，评价管理体系的符合性、有效性和满足法律、法规要求的能力。确定是否推荐认证/注册。审核结束后，审核组向受审核方宣布不符合项报告和现场审核结论并提出采取纠正措施的完成时间和要求。

3.7 现场审核结束后，受审核方应根据审核组的要求，在规定的时间内向公司提供不符合项纠正措施实施结果并附以证实材料，审核组对不符合项纠正措施实施情况进行跟踪验证。

4.注册和发证

审核结束后，公司技术部依据认证要求和审核发现、审核结论、相关信息进行认证评定并作出结论，由公司总经理批准并签发管理体系认证证书。将定期在网站（www.ztic.org.cn）公示获证企业信息。

5.监督审核

5.1 证书有效期为三年，在证书有效期内应每年进行一次监督审核，在认证证书到期之前完成再认证审核。首次监督审核应在认证决定之日起12个月内进行。第二次监督审核时间应在上次监督审核之日起12个月内进行，如超期未审获证组织还想延期，获证组织应说明延期的原因，最长不得超过15个月，且不能跨日历年；信息技术服务两次审核间隔不得超过12个月。企业如不能按期接受监督审核，且时间超过12个月，认证/注册资格将被暂停，暂停期间认证证书和标志将暂停使用，并予以网上公示。

  注：为了考虑诸如季节或有限时段的管理体系认证（例如临时施工场所）等因素，可能有必要调整监督审核的频次。

5.2 公司实施年度监督审核确认制度，每次监督审核后，经确认管理体系有效，准予保持认证/注册资格，并按合同规定缴纳认证费用，公司将向获证组织发放审核报告等资料，保持企业证书在公司网站和国家认监委网站是有效状态。

6.再认证（换发认证证书）

获证客户如需换发认证证书，应在证书有效期满前5个月向公司重新提出认证申请，公司将对其进行再认证审核，审核通过后换发认证证书。

1. Acceptance of application

1.1 The applicant can directly contact the marketing department to understand the relevant certification procedures and matters, obtain relevant public documents and put forward the certification intention.

1.2 The marketing department shall provide the certification application form if the application scope belongs to the business scope of the company, and reply if it does not belong to the business scope of the company.

1.3 The applicant shall provide a formal application form signed by its authorized personnel. The filling of the application form shall be true and complete as required, and provide the materials required for review. Untrue information will affect the fairness and effectiveness of certification, and the responsibility arising therefrom shall be borne by the applicant.

2. Application for review

2.1 The marketing department shall review the certification application and relevant information, and the applicant shall provide the following materials:

2.1.1 Management system manual, enterprise profile, business license and relevant materials, product / service process, multi-site and temporary site information.

2.1.2 To apply for environmental, occupational health and safety management system certification, it is also necessary to provide environmental aspect, list of hazard, regional (activity) layout plan, schematic diagram of regional pipe network (sewage), EIA report / EIA filing, safety assessment report / fire acceptance report, "three Simultaneities" acceptance and list of appropriate laws and regulations according to the certification needs and actual business of the enterprise, The requirements of different enterprises will be different. Specifically, communicate with the project directors first.

2.2 After the review, both parties shall sign the management system certification contract.

3. Management system audit

3.1 After the formal signing of the contract, the company is responsible for establishing an audit team and notifying the auditee before on-site audit. If the auditee has any objection to the members of the audit team, it can put forward it and solve it after negotiation between both parties;

3.2 The initial audit of the management system is divided into two stages, namely, the first stage (including document review, most of which are conducted on site) and the second stage, which is a complete audit process of the management system;

3.3 Before on-site audit, the audit team shall review the management system documents submitted by the applicant, and submit the problems found to the auditee in the form of document audit report. The applicant shall modify, supplement and improve them within the specified time, and can enter the on-site audit only after passing the document audit;

3.4 The audit team leader is responsible for preparing the audit plan, notifying the auditee before entering the site for audit, and communicating with the audit team leader in time in case of any objection;

3.5 The first stage audit mainly reviews the auditee's understanding and implementation of the standards, understands its product (service) scope, organizational structure, production scale, process, resource allocation and other information, evaluates whether it meets the conditions for the second stage audit, and provides focus for the second stage audit. The audit team reports the problems found in the on-site audit to the auditee in the form of

a list, The auditee shall take corrective and corrective measures against the

problems and provide supporting materials. The second stage audit can be carried out only after it is verified to be qualified by the audit team leader;

3.6 After the problems found in the first stage audit are corrected and corrective measures are taken, the company will send an audit team to implement the second stage audit. The second stage of audit mainly conducts a comprehensive review on the implementation of the auditee's management system to evaluate the compliance, effectiveness and ability to meet the requirements of laws and regulations. Determine if certification / registration is recommended. After the audit, the audit team shall announce the non-conformance report and on-site audit conclusion to the auditee, and put forward the completion time and requirements of corrective measures.

3.7 After the on-site audit, the auditee shall, according to the requirements of the audit team, provide the company with the implementation results of nonconformity corrective measures within the specified time and attach supporting materials. The audit team shall track and verify the implementation of nonconformity corrective measures.

4. Registration and certification

After the audit, the Technology Department of the company shall conduct Certification Evaluation and make conclusions according to the certification requirements, audit findings, audit conclusions and relevant information, and the general manager of the company shall approve and issue the management system certification certificate. The information of the certified enterprise will be publicized regularly on the website (www.ztic.org.cn).

5. Supervision and audit

5.1 The validity period of the management system certification certificate is three years. During the validity period of the certificate, an annual supervision audit should be conducted, and a re certification audit should be completed before the certificate expires. The first supervision audit shall be conducted within 12 months from the date of certification decision. The second supervision and audit should be conducted within 12 months from the date of the last supervision and audit. If the certified organization wishes to extend the audit beyond the deadline, the certified organization should explain the reasons for the extension, which should not exceed 15 months and cannot cross calendar years; The interval between two audits of information technology services shall not exceed 12 months. If the enterprise fails to accept supervision and audit on schedule and the time exceeds 12 months, the certification/registration qualification will be suspended. During the suspension period, the certification certificate and logo will be temporarily suspended and publicly displayed online.

  Note: In order to consider factors such as seasonal or limited time management system certification (such as temporary construction sites), it may be necessary to adjust the frequency of supervision and audit.

5.2 The company implements the annual supervision, audit and confirmation system. After each supervision and audit, it is confirmed that the management system is effective, it is allowed to maintain the certification / registration qualification, and pay the certification fee according to the contract. The company will issue audit reports and other materials to the certified organization to keep the enterprise certificate valid on the company's website and the website of the national certification and Accreditation Commission.

6. Recertification (renewal of certification certificate)

If the certified customer needs to renew the certification certificate, he shall re submit the certification application to the company 5 months before the expiration of the certificate, and the company will conduct re certification audit on him. After passing the audit, the certification certificate will be renewed.