CCAA-VS01-1-2019 CCAA境外认证人员确认方案（第1版）.pdf

中国认证认可协会 中国认证认可协会 China Certification&Accreditation Association CCAA 境外认证人员确认方案 Registration Scheme of CCAA Overseas Certification Personnel（第 1 版）（First Edition）文件编号：CCAA-VS01-1:2019 发布日期：2019 年 9 月 17 日 Date of Publication:6th September,2019 实施日期：2019 年 9 月 17 日 Date of Implementation:6th September,2019 版权 2019-中国认证认可协会 Copyright 2019-China Certification&Accreditation Association目目 录录 Contents 第一章 总则 Chapter I General Principles 第一章 总则 Chapter I General Principles.-1-1.1 引言 1.1 引言 Introduction.11.2 适用范围 1.2 适用范围 Scope.11.3 境外认证人员 1.3 境外认证人员 Overseas Certification Personnel.1第二章 确认要求 Chapter 2 Registration Requirements 第二章 确认要求 Chapter 2 Registration Requirements.-1-2.1 对申请人推荐机构的要求2.1 对申请人推荐机构的要求.1Requirements for Applicants Recommendation Bodies.12.2 对申请人的要求 2.2 对申请人的要求 Requirements for Applicants.22.3 申报资料 2.3 申报资料 Application Documents.3第三章 确认流程 Chapter 3 Registration Process 第三章 确认流程 Chapter 3 Registration Process.-4-3.1 申请3.1 申请 Application.43.2 受理 3.2 受理 Submission.4 3.3 评价与评价决定 3.3 评价与评价决定 Evaluation and Evaluation Decisions.43.4 确认结果3.4 确认结果 Results.43.5 评价时限 3.5 评价时限 Time Limit for Evaluation.5第四章 处置 Chapter 4 Disposition 第四章 处置 Chapter 4 Disposition.-5-4.1 停止受理 Stop Accepting4.1 停止受理 Stop Accepting.54.2 撤销 Revocation4.2 撤销 Revocation.5附录附录 Appendix.6CCAA 境外认证人员确认申请表境外认证人员确认申请表.6Application Form for Registration of Overseas Certification Personnel.6-1-第一章 总则 第一章 总则 Chapter I General Principles1.1 引言 1.1 引言 Introduction为满足境外认证人员在中华人民共和国境内临时开展认证活动的需要，由中国认证认可协会（CCAA）制定本方案，以此建立境外认证人员确认制度。In order to meet the growing demands of overseas certification personnel of conducting certification activities in China and in view of current national conditions,the scheme is formulated by CCAA to establish the registration scheme of overseas certification personnel.本文件替代外籍认证人员临时备案规则（文件编号：CCAA-211）。This document is instead of“Temporary Registration Rules for Foreign Certification Personnel(Document number:CCAA-211)”.1.2 适用范围 1.2 适用范围 Scope本方案适用于 CCAA 已正式建立自愿性认证（含管理体系、产品和服务）人员评价制度的领域，不包括强制性认证领域（CCC）。This scheme applies to fields where personnel certification systems(including management systems,products and services)have been established by CCAA and does not apply to China Compulsory Certification.1.3 境外认证人员 1.3 境外认证人员 Overseas Certification Personnel具备从事认证活动能力的非中国国籍或香港、澳门、台湾地区的认证人员。Certification personnel is with non-Chinese nationality or from Hong Kong,Macao and Taiwan who have the ability to engage in the certification activities.第二章 确认要求 第二章 确认要求 Chapter 2 Registration Requirements 2.1 对申请人推荐机构的要求 2.1 对申请人推荐机构的要求 Requirements for Applicants Recommendation Bodies 申请人推荐机构应：Applicants recommendation bodies should be:a)是国家认证认可监督管理委员会（CNCA）批准的认证机构；Certification bodies approved by Certification and Accreditation Administrationof Peoples Republic of China(CNCA).b)申请人推荐机构应评价并统一提交申请人资料，对申请资料的真实性出具-2-担保意见并承担相应认证风险和责任。The applicants recommendation bodies shall evaluate and uniformly submit the documents of the applicant,serve as the sponsor for the validity of the application documents and bear associated risks and responsibilities.2.2 对申请人的要求2.2 对申请人的要求 Requirements for Applicants2.2.1 申请人应是合法的境外认证人员。Applicants should be legitimate Overseas certification personnel.2.2.2 申请人应符合下列临时来华认证活动情形之一：Certification activities in China on a temporary basis applicants should meet at least one of the following conditions:a）外方投资认证机构总部签订的认证合同，客户的认证现场在中国境内的；Where sites of certification of the client lie within mainland China under the certification contract signed by headquarters of foreign investment certification bodies;b）外方投资认证机构的CCAA 证书持有人均不具备相应专业能力，必须聘请境外认证人员以保证审核组/检查组专业能力的；Where CCAA auditors employed in foreign investment certification bodies do not have required competence and foreign certification personnel are needed to ensure the competence of the audit team or inspection team;c）外方投资认证机构总部的科研、研发认证项目，需要在中国境内现场进行验证和试点的；Where headquarters of foreign investment certification bodies are engaged in certification projects for scientific research and development purposes and need to conduct verification and pilot programs in China;d）其他必须由境外认证人员实施的认证活动。Other certification activities that must be conducted by overseas certification personnel.2.2.3 申请人应承诺遵守中华人民共和国法律法规及以下行为规范：Applicants should promise to abide by Chinese laws and regulations and the Code of Conduct:恪守职业道德，诚实守信、客观公正；Observe professional ethics and principles including integrity,trustworthiness,objectivity and impartiality;不介入客户、委托方的冲突或利益竞争；Avoid conflicts or competing interests with clients or auditees;未经书面授权或法律要求，不得透露客户、委托方的商业、技术秘密；-3-Do not disclose the business and technical secrets of the client and the entrusting party without written authorization or legal requirement;不得诋毁、损害 CCAA 及其人员评价/确认过程的声誉；Do not damage the reputation of the evaluation or registration process of theCCAA.对 CCAA 实施的与其备案情况有关的调查给予充分的合作。Cooperate fully with CCAA in any formal enquiry procedures about registration.2.2.4 申请人应保证其申请资料真实有效，并承担相应认证风险和责任。Applicants should ensure the validity of their appli