英格尔国际认证机构

1、上海英格尔认证有限公司Shanghai International Certification Assessment Co., Ltd.认证批准、保持、扩大、缩小、暂停、撤消程序Procedure for Approving, Maintaining, Expanding, Reducing, Suspending and Canceling Certification编 制Compiling审 核Audit批 准Approval 发布日期Issuing Date 版 本Edition编制小组Compiling Group评审组Review Group 杨宏奇Orwin Yang2007年12

2、月31日December 31, 2007A版A Edition修 订 说 明Revise Explanation 修订页数Pages Revised修订日期Revise Date批 准Approval1 目的 Objective旨在保证本公司批准、保持、扩大、缩小、暂停以及撤销认证的工作符合规定要求以及签发的证书能正确使用。This document is aims at ensuring that the works of approving, maintaining, expanding, reducing, suspending and canceling certification

3、of this company comply with the requirements and the certificate issued can be use correctly. 2 适用范围 Applied Scope证书的批准、保持、扩大、缩小、暂停以及撤销的管理。Managing approval, maintenance, expansion, reduction, suspension and cancellation of certificate. 3 职责和权限 Responsibility and Limits of Authorization 3.1注册部负责证书的批

4、准，扩大、缩小及撤销的决定；Registration Department is in charge of the decision for approving, expanding, reducing and canceling certificates.3.2 总经理负责对证书的批准，扩大、缩小及撤销的确认；The General Manager is responsible for confirming the approval, expansion, reduction, cancellation of certificates. 4 程序 Procedure4.1认证证书的批准 Ap

5、proval of certification Certificate申请认证的组织在英格尔对其实施了必须的评审后，符合以下条件，英格尔将作出批准注册的决定。ICAS will make a decision of approving registration to the organization applying for certification that has gone through the necessary review conducted by ICAS and meets the following conditions:a) 组织的质量体系健全，符合所选定标准的要求，执行

6、情况良好；有合法的法律地位；产品的实物质量符合相关规定的要求。The quality system of organization is sound and complies with the requirements of selected standards and the implementing situation is fine. The organization possesses legitimate legal position and the object quality of products conforms to the requirement of related p

7、rovisions. b) 组织实施了有效的内审和管理评审，体系运行有效，且予以保持。The organization has conducted effective internal audit and management review. The system has been operated effectively and maintained. c) 支付所有的认证费用；Having paid all the certification fees. 收到审核部上报的审核材料后，注册部经理根据管理委员会批准的认证决定人员清单协调人员按初评/监督/复评认证决定查检表(FP1026)要求对

8、上报审核档案以及审核以外得到的信息，如投诉、市场反馈等进行评定，参与评定的人员必须为非审核人员，认证决定人员作出认证决定后交注册部，注册部对认证决定过程进行再次确认无误后，由注册部报总经理。Based on the detailed list of decision-makers of certification approved by the Management Committee, upon receipt of audit materials submitted by Audit Department, Registration Manager shall assess the sub

9、mitted audit files and the information gained from the sources other than audit, e.g. complaint, feedback of market according to the requirement of Registration Assessment Form(FP1026). The persons participating in assessment must be not auditors. Certification decision that was made by decision-mak

10、er of certification shall be submitted to Registration Department. The latter will re-confirm the deciding process of certification and its correctness and then acknowledge General Manager. 总经理确认后，由注册部制作证书中英文各一份，证书发放前需经总经理批准。After confirmed by General Manager, Registration Department will make a cer

11、tificate both in Chinese and English version. The approval of General Manager must be obtained before the certificate is issued.所有发放的证书由注册部留一份复印件，保存在审核档案中。Registration Department shall keep a copy of all the issued certificates which shall be stored in audit files. 4.2认证证书的保持 Maintenance of certific

12、ation Certificate证书保持条件 Conditions of maintaining certificatel 获证方在认证证书有效期内按期接受监督审核，特殊情况时，监督审核不宜超过3个月且其质量体系持续满足标准要求。The party gaining the certificate will be subjected to monitor audit within the effective period of certification certificate regularly. Under special situation, the monitor audit is p

13、referable not over thirteen months and the its quality system shall meet the standard requirement continually; l 质量体系有效保持，管理体系无重大变更,每年至少完成一次有效的内审和管审核；While quality system is kept effective and there is no major change to the management system, the effective internal audit and review audit shall be c

14、onducted once a year.l 对现场审核中出现的不合格项能够按要求整改且纠正措施实施有效；Rectification shall be carried out according to the requirement on the non-conformity items discovered on the on-site audit and the corrective measures are effective; l 没有重大投诉；There is no significant complaint;l 没有重大产品事故；There is no major product

15、accident;l 没有严重违法违纪行为；There is no serious illegal actions and disciplinary irregularities;l 按时支付审核费用。Paying the audit fees on time.注册部收到审核部的监督审核的审核报告后，根据初评/监督/复评认证决定查检表（FP1026）进行评审。After receiving the audit report of monitor audit submitted by Audit Department, Registration Department will conduct r

16、eview according to Registration Assessment Form(FP1026). 4.3认证证书范围的变更 Change of the scope of Certification Certificate 当顾客要求变更认证范围时，需提交更改的质量体系文件和工商证明文件（必要时），适用时还需提交相应许可证书。When asking for changing the scope of certification, the clients are required to submit quality system document of alteration and

17、 certifying documents of Industry and Commercial (while is necessary). While is applicable, the clients are also required to submit related licenses.审核部按体系运作管理程序（17021P03）对变更申请进行合同评审。Audit Department shall conduct contract review on the alteration application according to theManagement Procedure of

18、System Operation（17021P03）.审核部按体系运作管理程序对其现场进行审核（可结合监督审核进行），并将审核结果报注册部。Audit Department shall conduct audit on the premises (combing with carrying out monitor audit) according to theManagement Procedure of System Operation（17021P03）and report the results of audit to Registration Department. 注册部根据初评/监

19、督/复评认证决定查检表(FP1026)中相关的项目进行评定，作出决定后交总经理，总经理确认后由注册部制作证书，给予换发，并及时修改相关客户认证信息。Registration Department shall assess the related project based on the Registration Assessment Form(FP1026) and submit the decision to General Manager. After confirmed by the General Manager, the Registration Department will ma

20、ke certificate, replace it with the client, and timely amend the certification information of related client. 4.4认证证书的暂停 Suspension of Certification Certificate4.4.1出现下列情况之一会导致证书的暂停：Certificate will be suspended while any one of the following situations occurred:a.由于质量管理体系发生重大变更而导致原有认证失效；The origina

21、l certification loses effectiveness due to significant change of the quality management system;b.监督审核发现严重不合格项，且未在规定时间内进行有效整改；Serious non-conformity items are discovered in conducting monitor audit and have not been rectified effectively within the stipulated time period;d.在没有正当理由的情况下，监督审核推迟30天以上；The

22、 monitor audit has been delayed more than thirty days without justified reasons;e.未按规定使用认证证书和认证标志,且在规定的时间内未进行有效整改；Using certification certificate and certification logo not according to the stipulations and having not taken effective rectification within the provided time period;. f.发生影响质量体系的重大事故的；M

23、ajor accident occurred which will affect the quality systemg.认证证书所涉及的产品质量监督抽查发现重大不合格的；Spot-checking the quality surveillance of the products involved in certification certificate and finding major unqualified; h.发生重大质量投诉,但未造成严重后果者；There is a significant complaint but it has not caused serious conseq

24、uences. i.未按期交纳认证费用且经指出后仍未交纳的。Without paying certification fee and still failing to pay even after being reminded. j.年审时，严重不符合项未能在3个月内关闭。4.4.2审核部发现4.4.1a-h的现象后，应在审核报告中说明，市场部发现上述i的现象后，应通报 注册部，由注册部协调认证决定人员进行认证决定，由注册部向客户发出证书暂停通知。While finding above mention phenomenon of section i, Market Department sha

25、ll inform Registration Department. The latter will coordinate the decision-maker of certification to undertake certification decision and issue the suspension notice of certificate to client. 对于年度审核超过12月未进行年度审核的客户，审核部负责年审安排的人员应及时通知客户不能按时进行年度审核的后果。As to the client who has not been conducted annual au

26、dit over twelve months, the person who is responsible for arranging annual audit in Audit Department shall inform client the consequences of not conducting annual audit on time. 对于超过13个月仍未接受年度审核的客户，审核部负责年审安排的人员应向注册部提交名单，没有正当理由者，由注册部作出暂停决定，并将评定结果记录在初评/监督/复评认证决定查检表(FP1026)上，报总经理。由注册部制作证书暂停通知书（AP1111），

27、在该客户的审核档案中备案，更新客户数据库中做相应标识，并将证书暂停通知书抄送年审安排人员及市场部，由年审安排人员负责通知客户、跟踪；市场部负责更新客户总表。As to the client who has not been conducted annual audit over thirteen months, the person who is responsible for arranging annual audit in Audit Department shall submit the name list to Registration Department. Registratio

28、n Department will make decision of suspension to the client who has no justified reasons, keep records of the results of assessment in Registration Assessment Form(FP1026)and report to General Manager. Registration Department will prepare Suspension of Certificate Notice（AP1111）, put on records in a

29、udit files of that client, update data base of client and make related mark, and make a copy of Suspension of Certificate Noticeto the person who is responsible for arranging annual audit and Marketing Department. The person arranging annual audit is responsible for informing client and following up

30、. Marketing Department is responsible for updating general form of clients. 暂停期限3个月。The limit of time for suspension is three months.4.4.3负责年度审核安排的人员负责对由于未能按时进行年审而暂停的客户的跟踪；市场部对由于其它原因而暂停的客户的纠正情况进行跟踪。如认证证书暂停的3个月内没有采取有效措施，年度审核安排人员和市场部应通知注册部，由注册部制作证书撤消通知书、在审核档岸中备案、更新客户数据库，并将证书撤消通知书抄送市场部，由市场部通知客户、跟踪，更新客户

31、信息总表。The person who is in charge of arranging annual audit shall be responsible for tracing the client who was suspended due to being unable to conduct annul audit on time. Marketing Department shall trace the corrective situation of client who was suspended due to other reasons. If the client fails

32、 to take effective measures within three months of suspension of certification certificate, the person who is in charge of arranging annual audit and Marketing Department shall inform Registration Department. Registration Department will prepareCancellation of Certificate Notice, put on records in a

33、udit files of that client, update data base of client, and make a copy of Cancellation of Certificate Noticeto Marketing Department. Marketing Department is responsible for informing the client, tracing and updating general information form of clients. 4.4.4在暂停期限内，如客户对导致暂停的原因采取了有效措施，经相关部门确认，注册部复核并报总

34、经理批准后，方可恢复其认证证书。小于16个月按年审安排，大于16个月按复评安排。证书恢复后，注册部应更新客户数据库并抄送市场部，市场部负责更新客户信息总表。During the time limit of suspension, if the client has adopted the effective measures to the reasons that caused suspension, after confirmed by related department, reviewed by Registration Department and reported to Genera

35、l Manager for approval, certification certificate may be restored. After the restoration of certificate, Registration Department shall update the data base of client and make a copy to Marketing Department. The latter is in charge of updating general information form of clients. 4.5 认证证书的撤销/注销 Revoc

36、ation/Cancellation of Certification Certificate4.5.1客户的全部或部分产品/服务出现下列情况，将导致证书的撤消/注销、或证书的认证范围的缩小：The following situation happened to whole or part of the products/ services of the client will cause the revocation/cancellation of certificate, or reduction of certification scope of certificate. a) 客户主动

37、提出申请(注销)；Client voluntarily applying for (cancellation);b) 暂停期限内未能对不符合项采取有效的纠正措施；Without adopting effective corrective measures within the time limit of suspension;c) 严重违反法律法规者；Serious violating the laws and regulationsd) 管理体系发生重大变更且在暂停期间未能采取有效纠正措施,经评审其管理体系不符合要求；Major alteration occurred to the mana

38、gement system and is unable to adopt effective corrective measures within the suspension time limit, the management system has gone through the review and is deemed not conforming with the requirements;e) 撤消或注销后的证书，如果企业重新要求审核，应对其申请进行评审后方可决定是否受理。经评审可以受理的，通过认证决定后，不可以恢复该企业原证书的使用，而应该重新发证，证书有效期到原证书的有效期的截

39、止日期。4.5.2发生上述情况之一时，由注册部向客户发出撤销认证证书的书面通知（AP1108），通知中应明确要求客户将认证证书交回并不可在任何商业活动中使用证书或其复印件进行宣传活动，并通知客户如未按通知规定的有关要求执行，将采取必要的法律手段。同时注册部应负责将撤销状态予以公告，并将证书被撤销的客户从英格尔认证客户名录中删除。对于部分产品/服务未能满足要求的，则应撤消原证书后，换发缩小认证范围的证书。If it happens one of the above mention situations, Registration Department will issue Written Notice of Canceling Certification Certificate（AP1108）to the client. In the Notice, it shall expressly ask the client returning the certification certificate and the client is