认证培训机构管理办法(2005年) Measures for the Administration

局长　李长江

二00五年九月二十九日

认证培训机构管理办法

第一章　总则

第一条　为加强对认证培训机构的监督管理，规范认证培训活动，根据《中华人民共和国行政许可法》、《中华人民共和国认证认可条例》以及国务院有关规定，制定本办法。

关联资料：宪法法律共1部行政法规共1部

第二条　本办法所称的认证培训机构，是指对从事认证评审、审核、检查以及其他与认证活动有关的人员进行基本培训活动的组织。

第三条　在中华人民共和国境内从事认证培训活动，应当遵守本办法。

第四条　国家认证认可监督管理委员会（以下简称国家认监委）负责认证培训机构及其认证培训活动的统一管理和监督工作。

各级地方质量技术监督部门和各地出入境检验检疫机构（以下统称地方认证监督管理部门）按照各自职责分工，依法对所辖区域内的认证培训活动进行监督检查。

第五条　国家鼓励认证培训机构取得国家认监委确定的认可机构（以下简称认可机构）的认可，以保证其持续、稳定地具有认证培训能力。

第二章　设立条件和批准程序

第六条　设立认证培训机构，应当经国家认监委批准，并依法取得法人资格后，方可从事批准范围内的认证培训活动。

第七条　设立认证培训机构，应当符合下列条件：

（一）有固定的经营场所和必要的培训教学设施及办公条件；

（二）注册资金不得少于人民币20万元；

（三）有4名以上具有注册培训教师资格的专职教师，每项课程的专职教师不得少于2名；

（四）有符合有关认证培训机构要求的质量管理体系文件；

（五）拥有自有或者相关组织授权的知识产权培训课程；

（六）依法应当具备的其他条件。

设立外商投资的认证培训机构除应当符合上述条件外，外方投资者还应当取得其所在国家或者地区法律规定的认证培训从业资格和认证培训授权，并具有认证培训授权相应的师资。

第八条　设立认证培训机构的审批程序：

（一）设立认证培训机构的申请人（以下简称申请人），应当向国家认监委提出书面申请，并提交相关证明材料；

（二）国家认监委应当对申请人提交的申请材料进行初步审查，并自收到申请材料之日起5日内作出受理或者不予受理申请的书面决定；

（三）国家认监委应当自受理申请之日起，对申请材料的实质内容进行审查和核实，并在20日内，作出是否批准的决定。决定批准的，向申请人出具《认证培训机构设立批准通知书》，不予批准的，应当书面通知申请人，并说明理由；

（四）申请人凭国家认监委出具的《认证培训机构设立批准通知书》，依法办理有关登记手续，凭依法办理的登记手续领取《认证培训机构批准书》。

国家认监委应当公布依法设立的认证培训机构名录。

第九条　《认证培训机构批准书》有效期为4年。

认证培训机构需要延期使用《认证培训机构批准书》的，应当在《认证培训机构批准书》有效期届满前90日内向国家认监委提出申请。

第十条　境外认证培训机构在中华人民共和国境内设立的常驻代表机构应当经国家认监委书面备案，方可从事有关业务联络、市场调研、技术交流等宣传推广活动，但不得从事认证培训经营性活动。

第十一条　认证培训机构分包境外认证培训机构或者组织的相关培训课程，应当经国家认监委批准。

第十二条　认证机构、认证培训机构、认证咨询机构可以从事其批准范围内的内审员培训活动，但认证机构不得对向委托其认证的认证委托人开展内审员培训活动。

内审员培训教师应当具有高级审核员或者高级咨询师资格。

第三章　行为规范

第十三条　认证培训机构应当按照国家认监委制定的认证培训基本规范、认证培训课程准则、规则等有关要求从事认证培训活动。

属于认证培训新领域，尚未制定统一认证培训课程准则、规则的，认证培训机构可以自行制定相应的认证培训课程准则和规则。

第十四条　认证培训机构应当公开认证培训基本要求、收费标准等信息，并保证信息的真实、准确、全面。

第十五条　认证培训机构应当完成认证培训机构和认证培训课程准则、规则规定的课程设计、课程管理、学员管理、证书管理和管理评审等基本程序，保证认证培训的完整、真实、有效，不得减少、遗漏认证培训程序和内容。

认证培训机构应当对认证培训过程作出完整记录，并归档留存。

第十六条　认证培训机构应当建立与认证培训课程准则、规则相适应的培训课程管理和培训教师能力评价制度，必要时可以取得认可机构的确认。

第十七条　认证培训机构及其认证培训教师应当及时作出认证培训结论，并保证认证培训结论的客观、真实。

经认证培训符合要求的，认证培训机构应当及时颁发认证培训合格证书；不符合要求的，应当告知被培训人，并说明理由。

第十八条　认证培训结论经培训教师签字后，由认证培训机构负责人或者其授权的人员签署。

认证培训机构及其认证培训教师对认证培训结论负责。

第十九条　认证培训机构应当对其认证培训活动的有效性实施监控和评价，至少每12个月实施1次内部质量体系审核和管理评审。

认证培训机构应当于每年1月底前向国家认监委和所在地方认证监督管理部门提交上1年度工作报告。

第二十条　有下列情形之一的，认证培训机构应当在发生变更之前向国家认监委报告，并办理相关变更事宜：

（一）认证培训业务范围发生变更；

（二）法定代表人、股东发生变更；

（三）专职教师发生变更；

（四）认证培训机构名称发生变更。

第四章　监督检查

第二十一条　国家认监委应当对认证培训机构实施监督检查。监督方式包括：年度报告审查；现场监督；对认证培训活动及结果进行抽查；组织同行评议；向认证培训对象征求意见。

第二十二条　认可机构对已取得认可的认证培训机构应当实施认可监督。

第二十三条　地方认证监督管理部门应当依照本办法的规定对认证培训活动实施监督检查，对违法行为予以查处。

第二十四条　任何单位和个人对认证培训违法违规行为，有权向国家认监委和地方认证监督管理部门举报。国家认监委和地方认证监督管理部门应当及时调查处理，并为举报人保密。

第二十五条　有下列情形之一的，国家认监委应当依法办理认证培训机构批准决定注销手续：

（一）《认证培训机构批准书》有效期届满未延续的；

（二）认证培训机构依法终止的；

（三）认证培训机构已经不具备认证培训能力的；

（四）法律法规规定的应当注销认证培训机构批准决定的其他情形。

第二十六条　有下列情形之一的，国家认监委根据利害关系人的请求或者依据职权，可以撤销对认证培训机构作出的批准决定：

（一）工作人员滥用职权、玩忽职守作出批准决定的；

（二）超越法定职权作出批准决定的；

（三）违反法定程序作出批准决定的；

（四）对不具备申请资格或者不符合法定条件的申请人准予批准的；

（五）依法可以撤销批准决定的其他情形。

第五章　罚则

第二十七条　未经批准擅自从事认证培训活动的，责令其停止认证培训活动，处3万元罚款，并予以公布。

第二十八条　未经批准擅自分包境外认证培训机构或者组织的相关课程培训的，责令其停止所分包的培训业务，处2万元罚款；情节严重的，国家认监委应当责令停业整顿，直至撤销批准文件，并予以公布。

第二十九条　申请人申请设立认证培训机构时，隐瞒有关情况或者提供虚假材料的，国家认监委应当不予受理或者不予批准，并给予警告。

第三十条　认证培训机构以欺骗、贿赂等不正当手段取得批准文件的，责令其停止认证培训活动，处3万元罚款；国家认监委应当撤销批准文件，并予以公布。

第三十一条　认证培训机构超越国家认监委批准的业务范围进行认证培训活动的，责令改正，处3万元罚款；情节严重的，国家认监委应当责令停业整顿，直至撤销批准文件，并予以公布。

第三十二条　认证培训机构涂改、出租、出借批准证书或者以分包本机构认证培训业务、委托招生等形式非法转让认证培训业务的，责令改正，处3万元罚款；情节严重的，国家认监委应当责令停业整顿，直至撤消批准文件，并予以公布。

第三十三条　认证培训机构在公开信息、网站和广告等宣传活动中进行虚假或者误导性宣传的，责令改正，处5000元罚款；情节严重的，国家认监委应当责令停业整顿，并予以公布。

第三十四条　违反本办法第十三条至第二十条规定的，责令改正，给予警告；情节严重的，处5000元以上2万元以下罚款。

第三十五条　认证培训机构在国家认监委或者地方认证监督管理部门对其实施的监督检查中，隐瞒有关情况、提供虚假材料或者拒绝提供反映其活动情况的真实材料的，责令改正，处1万元以上3万元以下罚款；情节严重的，国家认监委应当责令停业整顿，并予以公布。

第三十六条　境外认证培训机构在中华人民共和国境内设立的常驻代表机构未经国家认监委备案或者从事认证培训经营性活动的，责令改正，处2万元罚款，并予以公布。

第三十七条　认证培训机构聘用未经认可机构注册或者确认的培训教师进行认证培训活动的，责令改正，处5000元罚款；情节严重的，国家认监委应当责令停业整顿，并予以公布。

第三十八条　认证培训机构在被国家认监委责令停业整顿期间，继续从事认证培训活动的，责令改正，处3万元罚款；情节严重的，国家认监委应当撤销批准文件，并予以公布。

第三十九条　买卖、伪造或者冒用批准文件、认证培训证书以及其他认证培训证明文件的，责令改正，处3万元罚款。

认证培训机构有前款规定的违法行为的，国家认监委应当责令停业整顿，直至撤销批准文件，并予以公布。

第四十条　国家认监委和地方认证监督管理部门的工作人员在认证培训机构审批工作中，违反本办法第二十六条第一项至第四项规定的，由其主管部门给予行政处分；构成犯罪的，依法追究其刑事责任。

第六章　附则

第四十一条　香港特别行政区、澳门特别行政区和台湾地区的申请人在中华人民共和国其他省、自治区、直辖市设立认证培训机构或者常驻代表机构，应当比照本办法办理有关审批以及其他事项。

第四十二条　认证培训收费，应当符合国家有关价格法律、行政法规的规定。

第四十三条　本办法由国家质量监督检验检疫总局负责解释。

第四十四条　本办法自2005年11月1日起施行。

有关认证培训机构审批以及其他管理规定不符合本办法规定的，自本办法施行之日起停止执行。

Measures for the Administration of Certification Training Institutions

Announcement of the General Administration of Quality Supervision, Inspection and Quarantine
No. 81

The Measures for the Administration of Certification Training Institutions, which were adopted upon deliberation at the executive meeting of the General Administration of Quality Supervision, Inspection and Quarantine on August 31, 2005, are hereby promulgated, and shall go into effect as of November 1 , 2005.

Director General, Li Changjiang

September 29, 2005

Measures for the Administration of Certification Training Institutions

Chapter I General Provisions

Article 1 With a view to strengthening the supervision and administration of certification training institutions and regulating the certification training activities, the present Measures are formulated according to the Administrative License Law of the People's Republic of China, the Regulations of the People's Republic of China on Certification and Accreditation and the relevant provisions of the State Council.

Article 2 The term "certification training institutions" as mentioned in the present Measures refers to the organizations that provide training to those persons engaging in the certification review, verification, inspection or any other certification-related activity.

Article 3 The certification training conducted within the territory of the People's Republic of China shall be in line with the present Measures.

Article 4 The Certification and Accreditation Administration of the People's Republic of China （hereinafter referred to as the CNCA） is responsible for the uniform administration and supervision of certification training institutions and certification training activities.

The local departments of quality and technology supervision at all levels and the entry-exit inspection and quarantine authorities of all regions （hereinafter jointly referred to as the local certification supervisory and administrative department） shall, according to their respective functions and duties, conduct supervision over and inspection of certification training activities within their respective jurisdictions.

Article 5 The certification training institutions are encouraged by the State to obtain the accreditation from the accreditation institution as authorized by the CNCA （（hereinafter referred to as the accreditation institution） so as to guarantee their sustained and stable capacity to provide certification training.

Chapter II Requirement for Establishment and Procedures for Approval

Article 6 The establishment of a certification training institution shall be subject to the approval of the CNCA. It may not carry out the certification training activity within the approved scope unless it is qualified as a legal-person.

Article 7 The applicant shall satisfy the following requirements when applying for the establishment of a certification training institution:

（1） Having the fixed business place, necessary training and teaching facilities and working conditions;

（2） Having the registered capital not less than RMB 200 thousand Yuan;

（3） Having no less than 4 full-time teachers with the qualification of registered training teachers, and having no less than 2 full-time teachers for each course;

（4） Having the document on quality management system as required for the relevant certification training institution;

（5） The raining course on intellectual property being self-owned or authorized by any relevant organization; and

（6） Other conditions as required.

As for the establishment of a foreign-invested certification training institution, besides the above-mentioned requirements, a foreign investor shall also have the professional certification training qualification or certification training authorization as prescribed by the laws of its home country or region, as well as the teaching staff suitable for authorized certification training.

Article 8 The examination and approval procedures for the establishment of a certification training institution are as follows:

（1） An applicant applying for the establishment of a certification training institution （hereinafter referred to as the applicant） shall submit to the CNCA a written application and the relevant certification materials;

（2） The CNCA shall conduct the preliminary examination of those application materials submitted by the applicant, and shall, within 5 days as of the date of receipt of the application materials, make a written decision as to whether or not to accept the application;

（3） The CNCA shall examine and verify the material contents of application materials upon the acceptance of the application, and shall make a decision as to whether or not to grant approval within 20 days. In the case of approval, it shall issue to the applicant a Notice on Approval of the Establishment of Certification Training Institutions; in the case of disapproval, it shall notify the applicant of such result and give explanations; and

（4） The applicant shall, upon the strength of the Notice on Approval of the Establishment of Certification Training Institutions as issued by the CNCA, go through the relevant registration formalities according to law, and obtain a Letter on Approval of Certification Training Institutions on the basis of the registration formalities.

The CNCA shall make public the directory of those certification training institutions that are established according to law.

Article 9 The valid period of the Letter on Approval of the Establishment of Certification Training Institutions shall be four years.

If a certification training institution needs to extend the valid period of a Letter on Approval of the Establishment of Certification Training Institutions, it shall file an application with the CNCA within 90 days prior to the expiration of the valid period.

Article 10 A permanent representative office of an overseas certification training institution established within the territory of the People's Republic of China may not carry out the business contacts, market research, technical exchange or any other promotion activity unless it is put on record by the CNCA in the written form. It may not engage in the certification training business operation.

Article 11 A certification training institution shall be subject to the approval of the CNCA if it plans to undertake the relevant training courses subcontracted by an overseas certification training institution or organization.

Article 12 A certification institution, certification training institution or certification consulting institution may engage in the training of internal auditors within the approved scope, however, certification institution is not allowed to carry out the training of internal auditors for the client that has entrusted it for certification.

A training teacher of internal auditors shall have the qualification of senior auditors or senior consultants.

Chapter III Code of Conduct

Article 13 A certification training institution shall undertake the certification training according to the basic rules for certification training and the norms and rules for certification training courses as provided for by the CNCA.

Where no uniform norm or rule for certification training courses has been formulated for a new certification training field, a certification training institution may formulate by itself the corresponding norms and rules for certification training courses.

Article 14 A certification training institution shall make known such information as the basic requirements of certification training and the charging rate, and shall ensure the authenticity, accuracy and integrity of the information.

Article 15 A certification training institution shall complete such basic procedures as the course design, course management, trainee management, certificate management and appraisal of management as prescribed in the norms and rules for certification training courses as well as by the certification training institution, and ensure the integrity, truthfulness and effectiveness of certification training, and may not cut down or leave out any certification training procedure or content.

A certification training institution shall keep the complete records of the certification training process and keep them in archives.

Article 16 A certification training institution shall establish the system for training course management and the appraisal of training teachers compatible with the norms and rules for certification training courses, and may obtain the confirmation thereof from a certification institution where it is necessary.

Article 17 A certification training institution and its training teachers shall draw the conclusion of certification training in a timely manner and ensure the objectiveness and authenticity thereof.

If a trainee satisfies the relevant requirements, the certification training institution shall issue a quality certification training certificate to him in a timely manner; if he fails to satisfy the relevant requirements, the certification training institution shall notify him of the result and give an explanation.

Article 18 The conclusion of certification training shall be signed by the head or an authorized person of the certification training institution after the training teacher affixes his signature thereon.

The certification training institution and its certification training teachers shall be responsible for the conclusion of certification training.

Article 19 A certification training institution shall supervise and appraise the effectiveness of its certification training activities, and shall conduct the examination and management review of its internal quality system at least once in 12 months.

A certification training institution shall, prior to the end of January each year, submit a work report of the last year to the CNCA and the local certification supervisory and administrative department.

Article 20 Where a certification training institution is under any of the following circumstances, it shall, prior to the occurrence of change, report it to the CNCA and handle the relevant matters as to the change:

（1） The business scope of certification training is changed;

（2） Its legal representative or shareholders is changed;

（3） The full-time teachers are changed; or

（4） The name of the certification training institution is changed.

Chapter IV Supervision and Inspection

Article 21 The CNCA shall supervise and inspect the certification training institutions by means of examination of annual reports, on-the-spot supervision, random inspection of certification training activities and results, as well as peer-review and solicitation of opinions from trainees.

Article 22 An accreditation institution shall conduct accreditation supervision over those accredited certification training institutions.

Article 23 A local certification supervisory and administrative department shall, in compliance with the present Measures, supervise and inspect the certification training activities, and shall investigate and deal with the illegal acts.

Article 24 Any entity or individual has the right to report any illegal or irregular certification training act to the CNCA or the local certification supervisory and administrative department, which shall timely investigate and deal with the matter, and shall keep secret the informant.

Article 25 Under any of the following circumstances, the CNCA shall handle the relevant formalities for canceling the decision on approving the establishment of the certification training institution:

（1） The valid period of the Letter on Approval of Certification Training Institutions has expired but has not been extended;

（2） A certification training institution has been terminated according to law;

（3） A certification training institution is no longer competent for certification training; or

（4） Other circumstances as prescribed by laws or regulations under which the decision on approving the establishment of the certification training institution shall be cancelled.

Article 26 Under any of the following circumstances, the CNCA may revoke the approval decision granted to an certification training institution at the request of any interested party or according to its powers and functions:

（1） Its functionary abuses his power or neglects his duty to make the approval decision;

（2） The approval decision is made by exceeding the legitimate authority;

（3） The approval decision is made by violating the statutory procedures;

（4） The approval is granted to an applicant that is not qualified or does not satisfy the legal requirements; or

（5） Other circumstances under which the approval decision may be revoked.

Chapter V Penalty Provisions

Article 27 Anyone who engages in certification training activities without permission shall be ordered to cease its certification training activities with a fine of 30,000 Yuan, and it shall be made known to the public.

Article 28 Anyone who illegally undertakes the relevant training courses subcontracted by an overseas certification training institution or organization shall be ordered to cease the subcontracting training business, and be imposed upon a fine of 20,000 Yuan; if the circumstances are serious, the CNCA shall order the violator to suspend business for rectification till its approval document is revoked, and shall make it known to the public.

Article 29 Where an applicant disguises the relevant conditions or provides false materials when applying for establishing a certification training institution, the CNCA shall refuse to accept or disapprove the application, and give the applicant a warning.

Article 30 Where a certification training institution obtains the approval document by frauds, bribes or other improper means, it shall be ordered to cease its certification training activities and be imposed a fine of 30,000 Yuan; and the CNCA shall revoke the approval document and make it known to the public.

Article 31 Where a certification training institution carries out the certification training activities beyond its business scope approved by the CNCA, it shall be ordered to make corrections and be imposed a fine of 30,000 Yuan; if the circumstances are serious, the CNCA shall order it to suspend business for rectification till its approval document is revoked, and make it known to the public.

Article 32 Where a certification training institution alters, leases or lends its approval certificate or illegally transfers its certification training business by subcontracting or commission-based enrollment, it shall be ordered to make corrections and be imposed a fine of 30,000 Yuan; if the circumstances are serious, the CNCA shall order it to suspend business for rectification till its approval document is revoked, and make it known to the public.

Article 33 Where a certification training institution carries out false or misleading propaganda in the public information, websites or advertisements, it shall be ordered to make corrections and be imposed a fine of 5,000 Yuan; if the circumstances are serious, the CNCA shall order it to suspend business for rectification, and make it known to the public.

Article 34 Anyone who violates the provisions in Articles 13 through 20 of the present Measures shall be ordered to make corrections and be given a warning; if the circumstances are serious, the violator shall be imposed a fine of no less than 5,000 Yuan but no more than 20,000 Yuan.

Article 35 Where a certification training institution disguises the relevant information, provides false materials or refuses to provide authentic materials as to its actual activities in the supervision and inspection conducted by the CNCA or the local certification supervisory and administrative department, it shall be ordered to make corrections and be imposed a fine of no less than 10,000 Yuan but no more than 50,000 Yuan; if the circumstances are serious, the CNCA shall order it to suspend business for rectification, and make it known to the public.

Article 36 Where a permanent representative office of an overseas certification training institution established within the territory of the People's Republic of China has not been filed with the CNCA for the record or undertakes the certification training, it shall be ordered to make corrections and be imposed a fine of 20,000 Yuan, and it shall be made known to the public.

Article 37 Where a certification training institution employs any training teacher that has not been registered with or recognized by a certification institution, it shall be ordered to make corrections and be imposed a fine of 5,000 Yuan; if the circumstances are serious, the CNCA shall order it to suspend operations for rectification, and make it known to the public.

Article 38 Where a certification training institution continues to conduct the certification training activities during the period that the CNCA orders it to suspend operations for rectification, it shall be ordered to make corrections and be imposed a fine of 30,000 Yuan; if the circumstances are serious, the CNCA shall order it to suspend business for rectification, and make it known to the public.

Article 39 Anyone who buys and sells, forges or illegally uses the approval documents, certification training certificates or other certification training documents shall be ordered to make corrections and be imposed a fine of 30,000 Yuan.

Where a certification training institution commits any illegal act as prescribed in the preceding Paragraph, the CNCA shall order it to suspend business for rectification till its approval document is revoked, and make it known to the public.

Article 40 Any functionary of the CNCA or the local certification supervisory and administrative department who violates the provisions of Items 1 through 4 of Article 26 of the present Measures in the work relating to the examination and approval of certification training institutions shall be given an administration sanction by the competent department. If any crime is constituted, he shall be investigated for criminal liabilities according to law.

Chapter VI Supplementary Provisions

Article 41 With regard to the establishment of certification training institutions or permanent representative offices in any other province, autonomous region or municipality directly under the Central Government of the People's Republic of China by the applicants from the Hong Kong or Macao or Taiwan, the examination and approval as well as other related matters shall be carried out in light of the present Measures.

Article 42 The charges for certification training shall be in conformity with the relevant provisions of the price laws and administrative regulations of the State.

Article 43 The power to interpret the present Measures shall reside in the General Administration of Quality Supervision, Inspection and Quarantine.

Article 44 The present Measures shall go into effect as of November 1, 2005.

Any provisions on examination and approval of certification training institutions or other relevant administrative provisions that is inconsistent with the present Measures shall cease to be implemented as of the day of implementation of the present Measures.