Chapter 1 General Provisions

The first article aims to constrain unfair competition behaviors related to certification certificates, maintain the authority of certification certificates, maintain the authority and reputation of the certification industry, guide fair competition among certification institutions, create a fair and harmonious competitive environment, and continuously improve the effectiveness of certification. This standard is formulated in accordance with the Constitution of the China Certification and Accreditation Association and the Self Discipline Convention of the China Certification and Accreditation Industry.

Article 2: This regulation applies to the quality management system certification, environmental management system certification, occupational health and safety management system certification, food safety management system certification and other management system certification activities carried out by institutions engaged in management system certification in the Chinese certification industry.

Article 3: The China Certification and Accreditation Association (hereinafter referred to as the Association) shall organize the implementation of this standard, and the certification body shall consciously abide by this standard and supervise the implementation.

Chapter 2 Requirements

Article 4: Certification bodies shall consciously maintain the authority of certification results and the authority of certification certificates.

Article 5: Certificates issued by certification agencies shall be supervised by the agency. Other agencies shall not, in principle, supervise the conversion of the certificate and shall not renew the certificate within its validity period.

If the certified organization needs to convert its certification body within the validity period of the certificate, the transferring organization should file with the association and explain the reasons for the conversion. The specific methods for filing will be formulated separately.

Article 6: When the certification body concludes that it does not recommend certification registration or does not recommend re certification registration for the first or re certification of the audited party, no other institution shall accept certification applications from the same organization or make a decision to issue certificates within one year from the date of the on-site conclusion made by the audit team.

Article 7: When the certification body concludes that it does not recommend continuing to use the certification certificate for the audited party, other certification bodies shall not make a decision to issue certificates to the same organization within one year from the date of the on-site conclusion made by the audit team.

Article 8: If a certification body suspends or revokes a certification certificate, other certification bodies shall not make a decision to issue certification certificates to the same organization within one year from the date of making the decision to suspend or revoke the certificate.

Article 9: When conducting certification activities within the recognized business scope, certification agencies must issue certification certificates with recognition marks.

Article 10: Certification bodies shall truthfully report the issuance information in accordance with relevant requirements.

Chapter 3 Implementation and Supervision

Article 11: A certification body that violates the requirements of Chapter 2 shall be deemed to have engaged in unfair competition behavior.

Article 12: The certification body shall promptly notify the association of any information related to the failure to pass the audit, revocation of certification certificates, or suspension of certification certificates. The association shall verify the relevant information and confirm whether there is any violation of fair competition. The specific methods for information dissemination will be stipulated separately.

Article 13: Certification bodies shall actively supervise and promptly report any violations of fair competition to the association.

Article 14: When accepting applications from organizations applying for certification, certification bodies shall understand the relevant information on the issuance and review of certificates by other certification bodies.

Chapter 4 Investigation and Handling

Article 15: The association shall investigate and handle institutions that engage in unfair competition violations.

Article 16: The association shall, depending on the severity of the circumstances, deal with any non competitive behavior that is found to be true through investigation:

（1） Institutions that engage in 1-2 violations of fair competition within a quarter shall be given a written warning.

（2） If there are 3-5 instances of unfair competition violations within a quarter, or 8-12 cumulative instances of unfair competition violations within a year, internal industry criticism will be given.

（3） If there are more than 6 instances of violating fair competition within a quarter, or if there are more than 13 instances of violating fair competition within a year, a public notice of criticism will be given.

（4） If there are more than 6 violations of fair competition within a year, a penalty of 10000 yuan shall be paid for each violation.

Article 17: When an association deals with acts that violate fair competition, it shall notify the certification and accreditation administrative supervision department and accreditation institutions.

Article 18: If the certification body has objections to the handling decision of the association, it may appeal in writing to the association within 15 working days after receiving the notice of violation handling.

The association should verify the appeal content again and inform the complainant of the verification results. When necessary, the association may submit the decision to handle violations to the executive council for reconsideration. The reconsideration decision of the Executive Council is the final decision.

If the certification body has objections to the reconsideration decision of the standing council of the association, it may report to the General Administration of Quality Supervision, Inspection and Quarantine and the National Certification and Accreditation Administration.

Chapter 5 Supplementary Provisions

Article 19: This regulation shall come into effect on October 1, 2009.

Article 20: The National Certification and Accreditation Association shall organize the formulation of relevant implementation rules for this standard.

Article 21: This regulation shall be interpreted by the National Certification and Accreditation Association.