1 The conditions and procedures for granting certification

1.1 The conditions for granting certification

a) The certification applicant shall be organization with legal entity, or is the part of the greater organization with legal entity

b) When requested by the country or local department or the industry, the applicant shall have the stated qualification

c) The application shall  be in the scope of the legal status document and the qualification

d) The application document shall be real, accurate and valid

e) The certification applicant has subscribed certification contract with CQC, and promises to conform to the related regulations all the time, and pay for the certification according to regulations of the contract.

f)  The management system set and implemented by the certification applicant shall comply with the requirement of certification standard.

g) The organization should set and implement HACCP effectively, which base on conforming relevant national food safety requirements and operating precondition programme, then taking proper measures for food safety accident.

1.2 The procedures for granting certification

a)  CQC provides the public documents of the related certification information to the certification applicant, the certification applicant has learned and understood.

b)   The applicant submits to CQC officially “the management system certification warrant” and the related appendix.

c)   The applicant subscribes certification contract with CQC, and pay the certification fee according to regulations of the contract.

d)    The management system documents of application has covered the scope of application for certification after the examination, and conform to the certification  standards

e)    The management system of application shall conform to the certification standard and other essential attached requests, through auditing by the audit team entrusted by CQC. The correction and corrective action have been taken in a limited time for non-conformities in the nonconformity report and are effective through verification. The audit team gives the conclusion of recommendation on certification

f)    Having been inspected by the CQC certification decision group, the applicant has met the condition to be approved the qualifications in the certification scope. The President of CQC receives the report and then issues the certificate

g)  CQC issues the certificate to the applicant and approves it to use the certification mark.

2 The conditions and procedures for maintaining certification qualification

2.1 The conditions for maintaining certification qualification

a) The legal status and the qualification of the certified organization shall continuously conform to the newest national standards, and the certification is within the scope stated in legal status document and qualification

b) The management system of the certified organization shall continuously conform to the requirements of the certification standard

c) The certified organization continuously shall abide by the related requirements, which includes the provision for change

d)  There is not significant accident and unqualified in national inspection of the certified organization during the validity of certificate.

e) There is not any misusage of the certificate and mark during the validity term, if any, the organization can promptly and effectively take the correction and corrective action, and minimize the influence of misusage .

f)  The certified organization can promptly and effectively deals with the significant appeal and complaint from customer or the interested party.

g) The certified organization can report to CQC about the information on their  management system and important process according to the request of CQC.

h) The organization shall carry out the duty and obligation stipulated in the certification contract, and pays for the certification according to the contract.

2.2 The procedures for maintaining certification qualification

a)  Having been affirmed by CQC, the change of management system and important process in the scope of certification comply with the certification standard and other attachments.

b)   If the certificate has a term of validity,  the organization shall make an application for re-assessment to CQC before the deadline

c)   During the term of validity, the audit team of CQC supervise the organization and puts forward the proposal of maintaining the certification qualifications, if the organization can continue to conform to requirements of the certification standards and other essential attachments, and the non-conformity matters pointed out in the report have been taken the corrective measure, then it shall conform to be effective. The audit team of CQC proposes to maintain the certificate qualification.

d)   If the modification of certificate is needed during the term of validity, the organization shall accept the modification and abide by the requirements confirmed by CQC in the scope of management system

e)   If the certification contract has a term of validity without the automatically deferred article, the organization should sign up another contract with CQC or postpone the contract before the deadline.

f)    In a condition of applying to change the certificate, CQC certification decision group examines the relevant documents, if the organization is thought to be able to meet the requirement of maintaining qualification in certification scope, it shall be approved by the President of CQC to change the certificate and keep using the certificate.

g)   The decision group of audit centre examines the relevant documents, if the organization is thought to conform to maintain qualification in certification scope, and it approved by the President of audit centre to provide “Surveillance/Audit Qualified Notice” and keep using the certificate.    

3 The conditions and procedures for extending certification

3.1 The conditions for extending certification

a)    When requested by the country or local department or the industry, the certified organization has the stated qualification in the extended scope of certification.

b)   The extension of certification shall be in the scope of the legal entity document and the qualification.

c)   The extension of certification shall be covered by the management system and conforms to standards

d)    At least in the recent one year, there is no significant accident and non-conforming items in national inspection of the organization in the scope of extension application.

e)    The certification scope is needed to be supplemented or extended and is not listed in the contract signed up between the organization and CQC. The organization pays the supplementary fee according to the contract.

 3.2 The procedures for extending certification

a)    CQC provides the public document of the related information of extending certification to the certified organization, and it shall be learned and understood.

b)    The certified organization submits to CQC officially “Application for Change” of extending certification scope and the related appendix.

c)     If necessary, the certified organization signs up complementary contract or emends contract with CQC, and pay supplementary fee for the certification according to regulations of certification contract.

d)    The management system document involved in the extending certification scope conforms to the certification standard after audit.

e)    Having been audited by the audit team which is entrusted by CQC, the management system certification of the extension application scope conforms to the standards and other essential attached requirements. The non-conforming items stated in the report have been corrected by a set term, and is effective after the check. The audit team gives the conclusion of recommendation on extension of the certification.

f)    Having been audited by the CQC certification decision group, the certified organization has abided by the requirement to be approved the qualifications in the extension of the certification scope. The President of CQC receives the report and then will signs and exchange the certificate, the registration number and the term of validity of the certificate will be held in line

4 The conditions and procedures for reducing of the certification

4.1The conditions for reducing of the certification

a)   The scope, locale, district, product line, the main process and so on of the part products are not conform to the requirements of the standard and the other attachments

b)   The scope, locale, district, product line, the main process and so on of the part products shall not continue to keep certified qualification, however, it can not avoid the most part of environmental risk or occupational health and safety risk

c)   The organization dose not produce certified product or not provide certified service

4.2 The procedures for reducing of the certification

a)    The certified organization submits to CQC officially “the modification application of certificate” of reducing the certification scope, or the audit centre gives suggestion on reducing the certification scope and provides reason and proof

b)     If necessary, the audit centre judges whether the kept scope is influenced on the continuing conform to certification requirement after the reduction, and proposes the disposal suggestion in due time.

c)     Having been audited by the CQC certification decision group, the kept scope will not be influenced after the reduction. The President of CQC receives the report and then wil signs and exchange the certificate, but  the registration number and the term of validity of the certificate will be held in line

d)     If necessary, the organization emends the certification contract with CQC

5 The conditions and procedures for reducing of the certification

5.1 The conditions for reducing of the certification

To suspend the certificate in the event any of the following situations arise, and providing the relevant documents,

a)    Finds one seriously non-conforming item in the inspection, and it is not corrected by a set time after on-site audit in due time, and the certifying document must be attached with Audit Report and Non-conformity Report.

b)    The surveillance audit have been delayed for over 30 days; the certifying documents must be explained the reasons and indicate the last audit date.

c)     Do not use the management system certificate and certification mark issued by CQC according to the contract and “Management Regulations for Management System Certificate and Mark”; certifying documents provide the relevant proofs.

d)    Do not notify CQC on time about the significant modification to the management; certifying documents provide the detail report.

e)    There are serious accidents about product quality/ environmental performance/ occupation health and safety performance/ food safety; certifying documents must be attached with relevant proofs and definite the responsible party.

f)    Special industry is suspended according to relevant national standards in a certain period, the certifying documents must attached with relevant national documents

g)    Do not pay the audit fee on time according to the regulations

h)    Judged by the appeal or the any other information, the organization is no longer tally with the requirement of CQC; certifying documents provide the analysis report which illustrates the non-conformity items.

i)     Goes against regulation of the contract and agreement signed up with CQC; and certifying documents must illustrate the item details.

5.2The procedures for reducing of the certification

a)    If the certified organization in the any of above situation, the audit centre puts the suspending suggestion in “Application for Suspending Certification”, and provide the relevant documents according to requirement of 5.1 to System Certification Management Department of CQC in 5 working days.

b)    After auditing by System Certification Management Department of CQC, and the department submits “Application for Suspending Certification” to the President of CQC to approve the suspending decision. Then, the “Application for Suspending Certification” submits to Comprehensive Service Department of CQC.

c)   The Comprehensive Service Department puts “Notice of Suspending Certification” in 2 working days and sends it to the audit centre, simultaneously, marks the certificate in databank of the certified organization.

d)    Having received the “Notice of Suspending Certification”, the audit centre should send it to the organization in 2 working days, and definite the requirement in suspending the certificate and certificate mark.

6 The conditions and procedures for resuming certification

6.1The conditions for resuming certification

The organization has taken the corrective measure and the reason of certificate suspension has been eliminated, and made it conform to the related regulations again.

6.2 The procedures for resuming certification

a)    After organization taking the effective corrective measure during the suspending period of the certificate, the audit centre will carry on the tracking inspection and validate the measure, in order to check the corrective measures.

b)    Having audit (if necessary should taking on-site audit) the corrective measures of certified organization, the audit center completing “Application for Resumption Certification” and give the relevant suggestion, then carry on the tracking inspection and report to System Certification Management Department of CQC on time.

c)     After auditing by System Certification Management Department of CQC, and the department submits “Application for Resumption Certification” to the President of CQC to approve the resumption decision, Then, the “Application for Suspending Certification” submits to Comprehensive Service Department of CQC.

d)     The Comprehensive Service Department puts “Notice of Resumption Certification” in 2 working days and sends it to the audit centre, simultaneously, marks the certificate in databank of the certified organization.

e)     Having received the “Notice of Resumption Certification”, the audit centre should send it to the organization in 2 working days and do well the continuous management.

7 The conditions and procedures for withdrawing certification

7.1The conditions for withdrawing certification

The organization ask initiatively to not keep the certification qualification

7.2The procedures for withdrawing certification

a)    When the organization applies to withdraw application in oral or written form, the audit centre should note the oral application, fill out the “Application of Withdrawal Certification” and report to the System Certification Management Department of CQC.

b)    Then the Department sends the “ Application of Withdrawal Certification ” to the President of CQC who will approve and make the decision to abolish the certificate, then, send the application to the Comprehensive Service Department of CQC

c)    The Comprehensive Service Department of CQC puts the “Notice of Withdrawal Certification” in 2 working days and sends it to audit centre, simultaneously, marks the certificate state in databank of the organization and deletes the name of the organization from the enterprise list.

d)     Having received the “Notice of Withdrawal Certification”, the audit centre should send it to the original organization in 2 working days, take back and destroy the certificate, and supervise the organization to destroy its mark, and record it.

8The conditions and procedures for canceling certification

8.1The conditions for canceling certification

To cancel the certificate in the event any of the following situations arise, and providing the relevant documents,

a)     Two or more than two seriously non-conforming items are found in the surveillance and inspection, the certifying documents must be attached with “Surveillance Audit Report” and “Serious Non-conformity Report ”

b)     The organization which becomes impoverished or goes strongly against the related rules of CQC; the certifying documents must attached with the detail report on non-conformity with rules of CQC.

c)      The organization can not take effective correction during the period of the suspension; the certifying documents must attach with “Notice of Suspending Certificate” and the report of tracking on corrections.

d)      The suspension term of the certificate exceeds 3 months; the certifying documents must attached with “Notice of Suspending Certificate”

e)      If a significant accident happens to influence the quality, environment, occupation safety or food safety, the certifying documents must attach with relevant analysis report.

f)       The other situation to strongly influence the validity of the management

system, the certifying documents must attached with detail report.

8.2The procedures for canceling certification

a)  The audit centre writes the suggestion of canceling certificate in the “Application of Canceling Certification” and reports it to the System Certification Management Department of CQC.

b)  Then the Department sends the “Application of Canceling Certification” to the President of CQC who will approve and make the decision to cancel the certificate, then, send the application to the Comprehensive Service Department of CQC

c)  The Comprehensive Service Department of CQC puts the “Notice of Canceling Certificate” in 2 working days and sends it to audit centre , simultaneously, marks the certificate state in databank of the organization and deletes the name of the organization from the enterprise list.

d)    Having received the “Notice of Canceling Certificate”, the audit centre should send it to the original organization in 2 working days, take back and destroy the certificate, and supervise the organization to destroy its mark, and record it.

9 Automatic invalidation of the certificate

9.1 Customer Service Department of CQC will regularly get the list of automatic invalidation certificate in databank. (When the management system certificate is overdue and the organization does not ask for reevaluation, the former certificate will become invalid automatically.)

9.2 Each audit centre should record the reason of not re-audit, report the invalidation list to the System Certification Management Department.

9.3 The Comprehensive Service Department of CQC marks the invalidation in the data-base of certification organization, and deletes the name of the organization from the certification list.