Measures for the Administrati on of Certification Bodies 
 
(Draft for promulgation) 
 
Chapter I. General 
Article 1 (purpose)  This regulation has been formulated to improve the 
supervision and regulation of certification bodi es, to regulate certific ation practice, and 
enhance the effectiveness of certification, in accordance with the Regulations of the 
People's Republic of China on Certification and Accreditation (hereafter referred to as the 
Regulations on Certification and Accredita tion), and other applicable laws and 
administrative regulations. 
Article 2 (definition)  In this document, 'certificat ion bodies' refer to certifying 
agencies with the status of legal entities legally established after approval and independently engaging in the assessment of compliance of products, services and 
management systems with the applicable standards or technical regulations.    
Article 3 (scope)  This document is applicable to certification practice and the 
supervision and regulation of  certification bodies within the borders of the People's 
Republic of China.  
Article 4 (administrative system)  The General Administration of Quality 
Supervision, Inspection and Quarantine (hereafter abbrevia ted as AQSIQ) shall be in 
charge of the supervision and regula tion of all certification bodies.   
The Certification and Accreditation Admi nistration of the People's Republic of 
China (hereafter abbreviated as CNCA) shal l be in charge of the establishment of 
certification bodies, the related examinati on and approval, and the supervision and 
regulation of their operations.  
Quality and technical supervision departments of provinces, autonomous regions 
and municipalities directly under the Centra l Government (hereafter referred to as 
provincial quality and technical supervision departments) and entry-exit inspection and quarantine institutions directly under thei r jurisdiction shall be in charge of the 
supervision and regulation of certification practice in their areas of jurisdiction according 
to the division of responsibilities.    
Article 5 (principles of practice)  When engaging in cer tification practice, 
certification bodies shall follow the princi ples of justice, openness, objectivity, 
independence, honesty and credibility, and protect the social credit system.  
Article 6 (confidentiality)  Certification bodies and their staff are obliged to 
maintain strict confidentiality with regard to state, trade and technical secrets.  
 
Chapter II. Establishment and Approval 
Article 7 (access)  Certification bodies shall not be established unless approved by 
the CNCA, and shall not conduct certification practic e within the approved scope without 
obtaining the status of  legal entities.  
No organizations or indivi duals shall conduct certificat ion practice unless approved.  
Article 8 (conditions for establishment)  The following conditions shall be met for 
establishing a certification body:      1) A fixed work place and necessary facilities;      2) Articles of association and rule s of management meeting the requirements of  
certification and accreditation a nd, for new fields of certific ation, a feasibility report;  
    3) No less than RMB 3 million yuan of re gistered capital; the investor shall meet the 
requirements of applicable laws and regulations of the state as well as applicable rules, 
and provide the applicable  credit certificate;  
    4) At least 10 full-time certifiers with  the qualifications and capacity necessary for 
the fields of practice;      5) The board chairman, general ma nager/director and representative of the 
management (hereafter generally referred to as  'senior management') of the certification 
body shall meet the requirements of the applicable laws and regulations of the state and 
the application rules of the AQSIQ and the CNCA, and have the managerial competence 
necessary for discha rging their duties; 
    6) Conditions required by other laws and regulations.  
    Certification bodies engaging in the cer tification of products shall also have the 
technical capacity for testing, examination and other operations needed in their practice.   
Article 9 (conditions for establishing foreign-funde d certification bodies)  
Apart from the conditions in Article 8, the following requirements shall be met for the 
establishment of a certification body by a foreign investor in China:  
1) The foreign investor sha ll be an institution which ha s practised in the field in 
question for at least three years outside China,  with legal registration in its country or 
region, and without any malpractice.  
2) The foreign investor has been accredited for the field in question by an 
accreditation body of its country or region, or acknowledged by the authorities.  
3) The Chinese joint owner or  partner that establishes a Sino-foreign jointly funded 
or Sino-foreign cooperation certification body shall be a CNCA-approved certification 
body which has practised for at least three year s or an inspection institution or laboratory 
which has been legally accredited, without any malpractice; the foreign investor shall 
conform to the two requirements above;  
A foreign investor establishi ng a certification body in Ch ina shall also conform to 
the applicable laws and administrative regu lations on foreign investment and the state 
guidelines for foreign investme nt in various industries.  
Article 10 (procedure and principle of approval)  The approval procedure for the 
establishment of a certificati on body shall be as follows:  
1) The applicant intending to establish th e certification body (h ereafter abbreviated 
as the Applicant) shall file an application to the CNCA and submit the valid credentials 
and documents that meet the requirements listed in Articles 8 and 9;  
2) The CNCA shall conduct an initial exam ination of the submitted materials and, 
within five days of receivi ng said material, issue a written decision declaring the 
acceptance or rejection of the ap plication; if the submitted mate rials are incomplete or not 
in the form established by law, the CNCA sh all (on at least one occasion) inform the 
applicant of everything that needs to be supplemented or corrected;  
3) The CNCA shall decide on whether to approve the applica tion within a 90-day 
period commencing on the date on which it accep ts the application. In the event of 
approval, it shall issue a notification for the establishment of the ce rtification body to the 
applicant; in the case of rejection, it shall inform the applicant in writing and state the 
reasons;  
4) If necessary, the CNCA shall have experts evaluate the applicant in terms of the  
technical capacity for certification, testing and other operations, and inform the applicant 
of the results in writing. E xpert evaluation shall be finish ed within 30 days, which shall 
not be included in the time limit for approval by the CNCA;  
5) With the notification for establishmen t issued by the CNCA, the applicant shall 
complete the procedure for registration accord ing to law and receive the Certificate of 
Approval for Certification Body;  
6) The CNCA shall announce the results to the public and pub lish a list of all 
legally established certifi cation bodies on its website.  
During the process of examination and approval, the CNCA shall abide by the 
principles of the reasonable  allocation of resources, conve nience, efficiency, openness 
and transparency.  
Article 11 (period of validity)  The Certificate of Approva l for Certification Body 
shall be valid for four years.  
If the certification body needs to extend th e period of validity, it shall file an 
application to the CNCA 90 days prio r to the expiration of that period.  
The CNCA shall re-examine the certification body which has submitted the 
application (in accordance with the conditions  for establishment and the procedure of 
approval established in this document) a nd reach a decision on whether to grant 
permission for the extension before th e Certificate of Approval expires.  
Article 12 (the establishment of a branch)  A subsidiary or branch of a 
certification body shall be established in accordance with the approval procedure for certification bodies, and shall not practise certif ication within the approved scope unless 
approved by the CNCA and legally registered at the company registration authorities.  
Article 13 (the establishment of a subsidiary)  The establishment of a subsidiary 
by a certification body shall meet the following requirements:  
1) The certification body has practised for at least two years, without any illegal 
conduct or irregularity within that period;  
2) The subsidiary meets the requirements in Article 8 and also conforms to other 
applicable laws and administrative regulations;  
3) The certification body shall be the sole owner or a shar eholder of the subsidiary.  
        Article 14 (the establishment of a branch)  The establishment of a branch by a 
certification body shall meet th e following requirements:  
    1) The certification body has practised fo r at least two years, without any illegal 
behaviour or irregularities within that period; 
    2) The branch has a fixed work place and necessary facilities;      3) The branch employs at least five full-time certifiers with the appropriate 
qualifications and capacity for the fields of practice;  
    4) An organization which has been certified by the certification body is located 
within the vicinity of the branch;  
    5) The branch has management rule s meeting the requirements for certification 
and accreditation;  
    6) All conditions required by othe r laws and regulations are satisfied.  
        Article 15 (registration of offices)  A certification body may es tablish an office for 
promotional activities within the approved scope. Within thirty (30) days after the date of 
establishment of such an office, a Chinese  certification body shall register with the 
provincial quality and technical supervision department where the office is located; a  
foreign-funded certification body shall regist er with the inspection and quarantine 
institutions directly under such department where the office is located. The registration 
shall include the following: name, address, pe rson(s) in charge, sc ope of operation, and 
the certification body to which the office belongs.  
Provincial quality and technical supervision departments and the inspection and 
quarantine institutions directly subordinate ther eto shall publish a list of the registered 
offices according to law, and submit to the CNCA a list of the registered offices of 
certification bodies in the ar eas under their jurisdiction.  
    Article 16 (registration of representative offices of foreign certification bodies)  
A foreign certification body ma y establish a representativ e office in China for 
promotional activities within its scope of business, and sh all register with the CNCA 
within 30 days of the date of establishment.  The registration shall include the following: 
name, address, person(s) in charge, registra tion papers, certificate issued by a foreign 
accreditation institution, and the certifi cation body to which the office belongs.  
    The CNCA shall publish a list of the re gistered representative offices according to 
law.  Article 17 (subcontracting)  In the case of accepting subcontracted certification business 
from a foreign certification body by an agr eement, a certification body shall obtain the 
approval of the CNCA, and shall bear th e risks and responsibilities entailed by 
subcontracting. The certificati on body applying to accept s ubcontracted business shall 
first of all obtain approval for th e field of certification in question.  
Article 18 (alteration regulation)  A certification body shall apply to the CNCA for 
alteration procedures in the event of the following:  
    1) Narrowing down the approved scope of business;  
    2) Alteration of the nature of the legal entity, shareholders or registered capital;  
    3) The separation of a certificat ion body or its merger with another;  
    4) Alteration of the name, address, le gal representative, or senior management;  
    5) Other major alterations;  
    To apply for the expans ion of the scope of business,  a certification body shall have 
practised for at least one y ear, without any illegal conduct or irregularity during that 
period. Such an application shall be proces sed by the CNCA in accordance with Article 
10 of this document.  
 
Chapter III. Code of Conduct 
Article 19 (justice)  A certification body shall condu ct its business in a just, 
independent and objective manner, establish a risk prevention mechanism, take reasonable and effective measures against th e risks and responsibilities that may arise 
from its practice, and bear the corresponding social responsibilities.  
The certification body and its subsidiaries, br anches and offices shall not have any 
interest in any consulting agency  or client in terms of capita l, management or personnel.  
Article 20 (basic requirements for certification)  The certification body shall 
establish a quality control system that main tains the regularity and effectiveness of 
certification practice and ensures that cer tification is conducted and conclusions are 
drawn in accordance with the basic norms and procedures established by certification 
rules.  
The certification body may ma ke certification rules not yet formulated by the  
CNCA and report to the CNCA for the record.  
Article 21 (openness)  The certification body shall publ ish information relating to 
its scope and rules of certifica tion, standard charges, and th e names, addresses and scopes 
of business of its subsidiaries, branches and offices on its we bsite or in other forms, and 
guarantee the veracity and va lidity of such information.  
Article 22 (management  of institutions)  When operating simultaneously, apart 
from discharging the duties and obligations established by laws and regulations, the 
certification body and its branches and subsidiaries shall meet the following 
requirements:  
1) The address registered at the industr ial and commercial bureau shall be its 
central work place, from which all certifica tion information is published and submitted;  
2)  If the certification body has more than one work place for certification 
practice, it shall ensure that the same quality control system and procedures are 
maintained at all work places and by all personnel and certif ying processes.  
Article 23 (personnel management)  The certification body shall establish and 
refine a system for the management of cer tifying personnel, and conduct training and 
competence evaluation on a regular basis to guarantee that personnel competency levels 
consistently meet the required standard, a nd to ensure that a reasonable number of 
full-time certifiers and technica l experts are available during  the process of examination 
and verification.  
The certification body shall not employ or use any person forbidden by state laws 
or regulations to engage in certification practice.  
Article 24 (certification)  The certification body shall verify whether the field, 
product and subject for which certif ication has been commissioned  by the client conform 
to applicable laws and regulations, as well as the legal entity status of the commissioner. 
It shall design the whole cer tification process and make specific plans for execution, 
testing, examination and supervision in accordance with the scale, nature and 
organization-type of the client and how comp licated the product is, and assign certifiers 
and technical experts with the required comp etence to conduct the cer tification process.  
Article 25 (procedures)  The certification body shall conduct an effective control 
of the entire certification process in accord ance with the basic norms and procedures 
established by the certification rules, and en sure that the process of certification and 
product testing are complete, objective, truthf ul and traceable. It shall not add, reduce or 
omit certification procedures or activities, and shall have the process evaluated by 
certifiers with the required competence and specialist knowledge.   
The certification body shall formulate a pr ocedure for the evaluation and effective 
control of the results of certi fication, and have definite ru les and evaluation requirements 
for the issuance, suspension or revocation of certificates.  
Article 26 (filing)  The certification body shall keep a complete record of the entire 
process of certification and pr eserve the corresponding data. Th e record shall be truthful 
and accurate so as to attest to the effective execution of certification. The record and data 
shall be in Chinese, and they shall be kept in  the archives for the duration of the period of 
validity of the certificate.  
Article 27 (conclusion of certification)  The certification b ody and its certifiers 
shall promptly draw a conclusion of certif ication and guarantee the objectivity and 
veracity of said conclusion. The conclusion sh all be signed by the certifiers and provided  
to the client by the certifi cation body. The certification body and its certifiers shall be 
responsible for the result of  certification and bear the co rresponding legal liability.   
Article 28 (the issuance of certificate)  In the event of a favourable conclusion, 
the certification body shall promp tly issue a certifi cate to the client and permit the latter 
to use the symbol of certification. The certif icate shall be signed and issued by a person 
authorized by the certification body.  
The certificate shall specify the name, addres s, scope of business or product of the 
recipient, the criteria for certification or applicable technical standards, and the period of 
validity. The information set out in the certificate shall be consistent with the actual 
execution of the certification task.  
The format of the certification body's certif icates shall be re ported to the CNCA 
within a 30-day period commencing on the date on which it is defined.  
The certification body shall pr ovide the public with th e means of checking the 
validity of certificates.  
Article 29 (conversion of certificates)  A certification body that has undergone 
merger or separation shall process the certificat es issued before the alteration and convert 
them in accordance with the applicable procedures.  
In the event that a certification body has its right to approval cancelled or revoked, 
recipients holding valid certificates issued  by that body may have their certificates 
converted by a certification body approved by  the CNCA; the certification body that 
undertakes the task shall conduct the conve rsion in accordance w ith the established 
procedures and report the result to the CNCA.  
Article 30 (supervision of certificates and symbols)  The certification body shall 
require the recipient to properl y use the certificate or symbol of certification within the 
scope of certification,  and take effective corrective m easures against the misuse or 
irregular use of certificates or  the symbol of certification.  
Article 31 (follow-up supervision)  The certification body shall conduct effective 
follow-up supervision of the products, servic es and management systems that it has 
certified in accordance with the basic norms  of certification and the requirements of 
certification rules and define a reasonable frequency of inspection to ensure that the 
certified products, services and management systems consistently meet the requirements 
of certification. In the event of  the failure to consistently meet such requirements, the 
certification body shall suspend or revoke the certificate and promp tly announce this to 
the public, and take effective measures to prev ent the continued use of  invalid cer tificates 
or symbols of certification.  
Article 32 (code of conduct for subsidiaries and branches)  The subsidiaries or 
branches set up by the certification body shall practise within the approved scope in the 
name of the certification body, and operate in  accordance with the provisions of this 
document, the basic norms of certifi cation, and certification rules.  
The subsidiaries or branches of a certification body shall not set up any 
certification-related institution in  any other form, or authori ze anyone else to engage in 
certification practice.    
Article 33 (code of conduct for offices and representative offices)  Offices set up 
by a certification body, representative offices  set up in China by foreign certification 
bodies, and the staff of such institutions shal l not engage in the si gning of certification 
contracts, the organization of on-site examination/inspection, the issuance of  
examination/inspection reports, the execution of  certification decisions, or the collection 
of certification fees; neither shall they engage  in certification training or consultation in 
any form.  
 
Chapter IV. Supervision and Inspection 
Article 34 (duty of supervision)  The AQSIQ and the CNCA shall supervise 
certification bodies to ensure compliance wi th the Regulations on Certification and 
Accreditation and this document.   
The CNCA shall inspect the operation of certification bodies and conduct sample 
checks of certification results and activities,  and publish the results of such inspections 
and sample checks, as well as a list of the certification bodies and r ecipients involved.   
Article 35 (report of informat ion and review of annual report)  The CNCA 
shall require certification bodies  to report information about  their business and review 
their annual reports.  
A certification body shall repor t business information to the CNCA in accordance 
with applicable rules, including a detailed description of the certif ied organization, the 
suspension or revocation of a certificate (if a ny), and business information relating to the 
result of certification.  
Upon receipt, the CNCA shall gather together and publish all information and data 
reported by the certification body.  
The certification body shall s ubmit an annual report for th e previous year to the 
CNCA before the end of February each year . The report shall include basic information 
about its practice, personnel and business, quality analysis, and financial and accounting 
audit reports issued by an accounting firm  with qualifications meeting the national 
standard.  
Article 36 (local supervision and regulation)  Quality and technical supervision 
departments at various levels and local entr y-exit inspection and quarantine institutions 
(hereafter generally referred to as 'local cer tification administrations’) shall, according to 
their duties, conduct supervis ion of the certification prac tice within their areas of 
jurisdiction on a regular basis, investigate and punish illegal acts in certification, and 
establish a supervision and coordination mechanism.  
Article 37 (administrative supervision)  The AQSIQ and the CNCA shall 
supervise and direct the regi stration of certifica tion bodies' offices by provincial quality 
and technical supervision departments and insp ection and quarantine institutions directly 
under their jurisdiction as well as law-enfor cement for certificati on by these departments 
and institutions.   
Provincial quality and technical supervision departments shall supervise and direct 
law-enforcement for certification by the quality and technical supervision departments of 
cities and counties under their jurisdiction. Inspection and quar antine institutions directly 
under such departments shall supervise and di rect law-enforcement for certification by 
the entry-exit inspection and quarantine institutions under their jurisdiction.  
Provincial quality and technical supervision departments and the inspection and 
quarantine institutions directly under their ju risdiction shall submit a report detailing the 
supervision and regulation of certification in their areas of jurisdiction during the 
previous year to the CNCA before the end of March each year.  
Article 38 (administration)  In the event of the detection of any of the following  
problems during administration, the CNCA a nd local certification supervision and 
regulations departments shall warn th e certification body involved and demand 
rectification:  
1) The establishment of an office has not been registered with the local provincial 
certification administration;  
2) The establishment of a representative office in China by a foreign certification 
body has not been register ed with the CNCA;  
3) The self-formulation of certification rules has not been registered with the 
CNCA;  
4) Members of the certific ation body's senior management have violated the 
provisions herein;  
5) Certificates or the certification symbol have not been registered, or certificates 
and the certification symbol issued to certified organizati ons and products are 
inconsistent with the registered certif icates and the certification symbol.  
Article 39 (accreditation regulation)  The state encourages certification bodies to 
be accredited by accreditation agen cies in order to verify that their certification standards 
meet the requirements; certification bodies sh all be accredited in accordance with law 
where accreditation is required by laws or administrative regulations.  
Accreditation agencies shall conduct eff ective follow-up supervision of accredited 
certification bodies, and conduct a sample chec k of a certification result to verify its 
compliance with the regulations. They sh all punish certificati on bodies unable to 
consistently meet the requirements for certi fication by suspending or revoking the latter's 
right to certify. They shall promptly report to the CNCA upon the dete ction of any illegal 
act or irregularity during accreditation and supervision.  
Article 40 (internal di sciplinary procedures)  The Certification and Accreditation 
Association shall strengthen the regulation of  certification bodies’ in ternal disciplinary 
procedures and assess whether they abide by laws and regulations and follow the norms 
of such procedures. They shall report to the CNCA upon the detection of any illegal act 
or irregularity on the part of a certification body.  
Article 41 (obligation)  Certification bodies and reci pients of certif icates shall 
support and assist the CNCA and local ce rtification administrations during their 
supervision and inspection, and provide accura te documents and information for inquiry 
and investigation into relevant matters.  
Article 42 (obligation)  In the event of the following occurrences on the part of a 
recipient of certificate - accidents relatin g to product quality or vocational health, 
environmental pollution, or the detection of products below the standard required by law 
during a sample check by an administrati ve institution - the certification body shall 
suspend or revoke its certificate depending on the actual circumstances, promptly report 
to the CNCA, the local certification admi nistration and authorit ies concerned, and 
support administrative institutions concer ned during the follow-up supervision and 
inspection of the recipient.  
    Article 43 (cancellation)  The CNCA shall execute the pr ocedures for the cancellation of 
the Certificate of Approval for Certification Body accordi ng to law for a certification 
body with any of the following conditions: 
    1) The Certificate of Approval for Cert ification Body has expire d and no application for 
renewal has been filed;   
    2) The Certificate of Approval for Certification Body has expired and the renewal 
application has been rejected  due to the detect ion of grounds for disqualification during 
re-examination;  
    3) The certification body has be en terminated according to law;  
    4) Other conditions for which cancella tion is required by laws and regulations.  
    Article 44 (revocation)  In the event of any of th e following, the CNCA may revoke 
the decision of approval for a certification body based on a plea from an interested party 
or its authority:  
    1) The decision has been made by a me mber of the CNCA as a result of abuse of 
authority or dereli ction of duty;  
    2) The decision has been ma de beyond the statutory authority;  
    3) The decision has been made  against the statutory procedures;  
    4) The approval has been given to a disq ualified applicant or one  that does not meet 
the statutory requirements;  
    5) The certification body no longer meet s the statutory requirements or has the 
statutory capability, or it cannot do so consistently;  
    6) Other conditions for which the approva l decision may be revoked according to law.  
    Article 45 (reporting)  Any organization or individual ha s the right to file a complaint 
or report to the AQSIQ, the CNCA or a local certification administration about any 
illegal act or irregularity during certificat ion practice. The CNCA or the local 
certification administration shall promptly inve stigate and deal with the reported matter, 
and keep the reporter's identity confidential.  
 
Chapter V. Legal Liabilities 
Article 46 (penalty for concealment)  In the event that an applicant conceals 
relevant information or provides false documen ts for the establishment of a certification 
body or other matters, the CNCA shall reject or refuse to approve the application. The 
applicant shall not re-apply for the establishment of a certification body or other matters 
within one year.  
Article 47 (penalty for gaining approval by deception)  For an applicant who has 
obtained the certificate of approval for the es tablishment of a cer tification body or other 
matters by deception, bribery or any other improper means, the CNCA shall revoke the 
certificate of approval. The applicant shall not re-apply for the establishment of a 
certification body within three years.  
Article 48 (penalty for branches)  In the event that a certification body has set up 
a subsidiary or a branch for certification prac tice without approval, the local ce rtification 
administration shall order the subsidiary or branch to terminate its certification practice, impose a fine between 100,000 and 500,000 yuan, and confiscate any funds obtained 
illegally. The CNCA shall order the certification body to suspend business for 
rectification for six months, and order the re sponsible certifiers to suspend practice for 
one year; in serious cases, the CNCA sha ll revoke the certificate of approval for the 
certification body, disqualify the responsible ce rtifiers from practi ce, and publish said 
penalty.  
Article 49 (penalty for offices)  In the event that an office set up by a certification 
body engages in such certification practices as  the signing of certification contracts, the 
organization of on-site examination/inspecti on, the issuance of ex amination/inspection  
reports, the execution of decisi ons on certification, and the collection of certification fees, 
the local certification administration shall cancel its re gistration, impose a fine between 
100,000 and 500,000 yuan, and confiscate any funds  obtained illegally; the CNCA shall 
order the certification body to suspend business for rectifica tion for six months, order the 
responsible certifiers to suspend practice for one year, and publish said penalty.  
Article 50 (penalty for representative of fices of foreign certification bodies)  In 
the event that a representa tive office set up in China by a foreign certification body 
engages in such certification practices as the signing of certification contracts, the 
organization of on-site examination/inspecti on, the issuance of ex amination/inspection 
reports, the execution of decisions on certificat ion, or the collection of certification fees, 
the local certification administration shall or der it to terminate the illegal acts, impose a 
fine between 100,000 and 500,000 yuan, and confiscate any funds obtained illegally; in serious cases, the CNCA shall cancel its registration and publish the decision.  
Article 51 (penalty for illegally established institutions)  In the event that a 
subsidiary or branch set up by a certification body establishes institutions in other forms or authorizes other persons to conduct cer tification practice, th e local certification 
administration shall impose a fine betw een 100,000 and 500,000 yuan and confiscate any 
funds obtained illegally; the CNCA shall disquali fy the subsidiary or branch from giving 
approval, order the certifica tion body to which it belongs to suspend business for 
rectification for six months, and order the re sponsible certifiers to suspend practice for 
one year; in serious cases, the CNCA sha ll revoke the certificate of approval for the 
certification body, disqualify the responsible em ployees from practising, and publish the 
decision.  
Article 52 (punishment for subcontracting)  In the event that a certification body 
takes subcontracted business from a fore ign certification body w ithout the CNCA's 
approval, the CNCA shall order it to take measures to rectify this act and issue a warning; 
in serious cases the CNCA shall order it to  suspend business for rectification for six 
months, publish the decision, orde r the responsible cer tifiers to suspend practice for one 
year, and confiscate any f unds obtained illegally.  
Article 53 (warning)  In the event of any of the fo llowing occurrences on the part 
of a certification body, the CNCA or  the local certification admi nistration shall order it to 
take measures to rectify the act, issu e a warning, and publish the decision:  
1) There have been staff changes affec ting the full-time certifiers, and their 
number and qualifications no longer meet the requirements;  
2) The certification body has made an alte ration but has not comp leted the required 
procedures;  
3) The certification body has not submitted the annual report or information about 
the recipients in time, or the submitted documents are untruthful;  
4) Other violations of this document.  
    Article 54 (warning and a fine up to 30,000 yuan)  In the event of any of the 
following occurrences on the part of a cer tification body, the CNCA or the local 
certification administration shall order it to take measures to rectify the act, issue a warning, and publish the decision; in serious  cases, a fine of no more than 30,000 yuan 
may be imposed:  
    1) The certification body has not announced  to the public the su spended or revoked 
certificates;   
    2) The certification body has not provided the client with the examination and 
verification documents;      3) The duration of examination and ve rification is seriously below the standard 
required by the basic norms and rules of certification;  
    4) Engagement in certification consulting;      5) The product of the recipient does not meet the requirements of applicable laws 
and regulations, or the manufact uring standards have not been  registered as required;  
6)  The certification body refuses to pr ovide information about its business, 
conceals such information, or provides false da ta during supervision and inspection by an 
administrative institution;  
7) Other violations of this document. 
Article 55 (fine between 50,000 and 100,000 yuan)  In the event of any of the 
following occurrences on the part of a certification body, the local certification 
administration shall order it to take measures to rectify the act, impose a fine of no more 
than 100,000 yuan, and confiscate any funds obta ined illegally; in serious cases, the 
CNCA shall order it to suspend business for rectification for six months or revoke the 
certificate of approval, and publish the decision.  
1) The certification body has employed pe rsons not registered with or not 
confirmed by the state, or appointed persons  without the qualificat ions or capability 
necessary to undertake examina tion, verification or inspection tasks for certification;  
2) The certification body has increased, reduced or omitted basic norms for 
certification or procedures requ ired by the rules of certification, or certifiers have issued 
certificates without being present during examination or without verifying the 
effectiveness of the corrective m easures adopted by the client;  
3) Poor internal management and decisi ons regarding certifi cation issues being 
made at more than one work place, resulting in a failure to conduct effective certification 
or follow-up supervision for the certified prod ucts, services or management systems in 
accordance with the basic norms of certifica tion or the procedures and requirements of 
the certification rules, with ha rmful social consequences;  
4) For any of the certified products, services or management systems that fails to 
consistently meet the requirements for certif ication, the certification body has failed to 
suspend or revoke the certificate a nd publish the decision as required;  
5) Other violations of basic nor ms or rules of certification.  
        Article 56 (penalty)  In the event of any of the follo wing occurrences on the part of a 
certification body, the local certific ation administration shall orde r it to take measures to 
rectify its act, impose a fine between  100,000 and 200,000 yuan, and confiscate any funds 
obtained illegally; in serious cases, the CNCA  shall revoke the certif icate of approval and 
publish the decision:  
    1) The certification body has engaged in pr actice beyond its approved scope of business;  
    2) The certification body has altered or forg ed the Certificate of A pproval for Certification 
Body, or has illegally transferred th e approval in any other form;  
    3) The certification body has continued to  practise during the suspension of business for 
rectification;  
    4) The certification body has still failed to  practise in accordance with the rectification 
requirements since the end of the suspen sion of business for rectification.  
Article 57 (penalty)  In the event that a certifi cation body has issued a false  
conclusion or that its conclusion is se riously inaccurate, the CNCA shall revoke its 
certificate of approval and publish the decision ; it shall issue a warning to the person(s) 
directly in charge and disqua lify the certifiers directly responsible from practice. A 
criminal charge shall be pressed if the offe nce constitutes a crime, and any damage shall 
be paid for by the responsible party according to law.  
Article 58 (other offences)  For other offences, cer tification bodies shall be 
punished in accordance with the Regulations on Certification and Accreditation and other 
laws and regulations.  
Article 59 (penalty of employees)  The CNCA, local certification administrations 
and their staff shall supervise certification practice according to law; they shall issue 
administrative penalties for such offences  as abuse of authority, favouritism and 
irregularities and derelicti on of duty, and press criminal charges for offences that 
constitute a crime.  
 
Chapter VI. Supplementary Articles 
Article 60 (reference)  To set up certification bodies or representative offices in 
the mainland of China, certification bodies based in Hong Kong, Maca u or Taiwan shall 
complete the applicable examination and a pproval procedures in accordance with the 
provisions on foreign certificatio n bodies in Chapter II, and conform to the provisions of 
this document.  
Article 61 (power of interpretation)  This document shall be interpreted by the 
AQSIQ.  
Article 62 (time of enforcement)  This document shall take effect on ..., 2011.