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1. Management Measures for the Qualification Recognition of Inspection and Testing Institutions, General Administration Order No. 163, Revised in 2021
Management Measures for the Qualification Recognition of Inspection and Testing Institutions
(Promulgated by the General Administration of Quality Supervision, Inspection and Quarantine on April 9, 2015, and revised according to the decision of the State Administration for Market Regulation on April 2, 2021, on the abolition and modification of certain regulations)
Chapter 1 General Principles
Article 1 To standardize the qualification recognition work of inspection and testing institutions, optimize the access procedures, and formulate these measures in accordance with the provisions of the Measurement Law of the People’s Republic of China and its implementation rules, the Certification and Accreditation Regulations of the People’s Republic of China, and other laws and administrative regulations.
Article 2 The qualification recognition referred to in these measures refers to the evaluation and licensing carried out by the market supervision and management department to verify whether the basic conditions and technical capabilities of inspection and testing institutions that provide data and results with certification functions meet statutory requirements, according to laws and administrative regulations.
Article 3 The qualification recognition of inspection and testing institutions within the territory of the People’s Republic of China shall comply with these measures.
If there are other provisions in laws and administrative regulations regarding the qualification recognition of inspection and testing institutions, those provisions shall apply.
Article 4 The State Administration for Market Regulation (hereinafter referred to as the Market Supervision Administration) is responsible for the qualification recognition work of inspection and testing institutions nationwide, and is responsible for the unified management, organization, and coordination of the qualification recognition of inspection and testing institutions.
Provincial market supervision and management departments are responsible for the qualification recognition work of inspection and testing institutions within their administrative regions.
Article 5 The list of matters that must obtain qualification recognition as stipulated by laws and administrative regulations shall be formulated and published by the Market Supervision Administration and shall be dynamically managed according to the adjustments of laws and administrative regulations.
Article 6 The Market Supervision Administration shall formulate and publish the basic specifications for the qualification recognition of inspection and testing institutions, review criteria, and the format of qualification recognition certificates and marks in accordance with relevant national laws, regulations, standards, and technical specifications.
Article 7 The qualification recognition work of inspection and testing institutions shall adhere to the principles of uniform standards, objectivity and fairness, scientific accuracy, fairness and openness, convenience and efficiency.
Chapter 2 Qualification Recognition Conditions and Procedures
Article 8 The qualification recognition of inspection and testing institutions established by relevant departments of the State Council and related industry authorities shall be organized and implemented by the Market Supervision Administration; the qualification recognition of other inspection and testing institutions shall be organized and implemented by the provincial market supervision and management departments in their respective administrative regions.
Article 9 The inspection and testing institutions applying for qualification recognition shall meet the following conditions:
(1) They must be legally established and able to bear corresponding legal responsibilities;
(2) They must have inspection and testing technical personnel and management personnel suitable for the inspection and testing activities they engage in;
(3) They must have a fixed workplace, and the working environment must meet the inspection and testing requirements;
(4) They must possess the necessary inspection and testing equipment and facilities to carry out inspection and testing activities;
(5) They must have a management system that ensures the independence, fairness, scientific accuracy, and integrity of their inspection and testing activities;
(6) They must meet any special requirements stipulated by relevant laws, regulations, or standards and technical specifications.
Article 10 The qualification recognition procedure for inspection and testing institutions is divided into general procedures and notification commitment procedures. Unless laws, administrative regulations, or the State Council stipulate that general procedures or notification commitment procedures must be used, inspection and testing institutions may choose their qualification recognition procedures autonomously.
The qualification recognition of inspection and testing institutions promotes online approval, and market supervision and management departments with conditions may issue electronic qualification recognition certificates.
Article 11 The general procedure for qualification recognition of inspection and testing institutions:
(1) The inspection and testing institution applying for qualification recognition (hereinafter referred to as the applicant) shall submit a written application and relevant materials to the Market Supervision Administration or the provincial market supervision and management department (hereinafter collectively referred to as the qualification recognition department) and be responsible for the authenticity of the application.
(2) The qualification recognition department shall conduct a preliminary review of the application and relevant materials submitted by the applicant, and make a decision to accept or not accept the application within 5 working days from the date of receipt of the application, notifying the applicant in writing.
(3) From the date of acceptance of the application, the qualification recognition department shall complete the technical review of the applicant within 30 working days, based on the requirements of the basic specifications and review criteria for the qualification recognition of inspection and testing institutions. The technical review includes written review and on-site review (or remote review). The time for technical review is not included in the qualification recognition period, and the qualification recognition department shall inform the applicant of the technical review time. This does not apply to situations where the applicant cannot complete the review within the specified time due to rectifications or other reasons.
(4) The qualification recognition department shall make a decision on whether to grant permission within 10 working days from the date of receipt of the technical review conclusion. If permission is granted, the qualification recognition certificate shall be issued to the applicant within 7 working days from the date of decision. If permission is not granted, the applicant shall be notified in writing with reasons.
Article 12 If qualification recognition is implemented using the notification commitment procedure, it shall be carried out in accordance with the relevant provisions of the Market Supervision Administration.
Before the qualification recognition department makes a decision on permission, the applicant may withdraw the notification commitment application for reasonable reasons. If the application is withdrawn, the applicant shall follow the general procedure for any subsequent applications.
Article 13 The validity period of the qualification recognition certificate is 6 years.
To extend the validity period of the qualification recognition certificate, an application shall be submitted 3 months before its expiration.
The qualification recognition department shall conduct technical reviews through written reviews, on-site reviews (or remote reviews) based on the application matters, credit information, classification supervision, etc., and make a decision on whether to grant an extension.
For inspection and testing institutions without violations of market supervision laws, regulations, and rules during the previous licensing period, the qualification recognition department may use written reviews, and for those meeting the requirements, extend the validity period of the qualification recognition certificate.
Article 14 In the following circumstances, the inspection and testing institution shall apply to the qualification recognition department for change procedures:
(1) Changes in the name, address, or legal entity of the institution;
(2) Changes in the legal representative, highest manager, technical person in charge, or authorized signatory of the inspection and testing report;
(3) Cancellation of qualification recognition inspection and testing projects;
(4) Changes in inspection and testing standards or methods;
(5) Other matters that must be changed according to law.
If the inspection and testing institution applies for an increase in qualification recognition inspection and testing projects or changes in matters affecting its compliance with qualification recognition conditions and requirements, it shall be implemented according to the procedures stipulated in Article 10 of these measures.
Article 15 The content of the qualification recognition certificate includes: issuing authority, name and address of the recognized institution, scope of inspection and testing capabilities, validity period, certificate number, and qualification recognition mark.
The qualification recognition mark of the inspection and testing institution is composed of the pattern formed by the abbreviation CMA of China Inspection Body and Laboratory Mandatory Approval and the qualification recognition certificate number. The style is as follows:
Article 16 Foreign investors establishing inspection and testing institutions within the territory of China must comply with the relevant provisions of foreign investment laws and regulations in addition to meeting the qualification recognition conditions stipulated in Article 9 of these measures.
Article 17 Branches of inspection and testing institutions legally established to carry out inspection and testing activities shall obtain qualification recognition before engaging in related inspection and testing activities.
The qualification recognition department may simplify the technical review procedures and shorten the technical review time based on specific conditions.
Article 18 Inspection and testing institutions shall regularly review and improve their management systems to ensure that their basic conditions and technical capabilities continue to meet qualification recognition conditions and requirements and ensure the effective implementation of quality management measures.
Inspection and testing institutions that no longer meet qualification recognition conditions and requirements shall not issue inspection and testing data and results with certification functions to the public.
Article 19 Inspection and testing institutions shall issue inspection and testing data and results in accordance with the relevant standards or technical specifications within the scope of inspection and testing capabilities specified in the qualification recognition certificate.
Article 20 Inspection and testing institutions shall not transfer, lease, or lend their qualification recognition certificates or marks; shall not forge, alter, or misuse qualification recognition certificates or marks; and shall not use qualification recognition certificates or marks that have expired or been revoked or canceled.
Article 21 Inspection and testing institutions issuing inspection and testing data and results with certification functions to the public shall indicate the qualification recognition mark on their inspection and testing reports.
Article 22 The qualification recognition department shall publish the information of inspection and testing institutions that have obtained qualification recognition on its official website and indicate the status of the qualification recognition certificate.
Article 23 In response to emergencies, the qualification recognition department may publish a directory of inspection and testing institutions that meet emergency work requirements and related information, allowing relevant inspection and testing institutions to temporarily undertake emergency work.
Chapter 3 Technical Review Management
Article 24 The qualification recognition department may organize technical reviews by itself or entrust professional technical evaluation institutions to carry out technical reviews based on the needs and professional requirements.
When the qualification recognition department or its entrusted professional technical evaluation institution organizes on-site reviews (or remote reviews), it shall appoint two or more review personnel that match the content of the technical review to form a review team and designate a team leader. If necessary, relevant technical experts may be invited to participate in the technical review.
Article 25 The review team shall strictly conduct technical review activities in accordance with the basic specifications for qualification recognition and review criteria, and issue technical review conclusions within the specified time.
The professional technical evaluation institution and the review team shall be responsible for the authenticity and compliance of the technical review activities and conclusions they undertake and shall bear corresponding legal responsibilities.
Article 26 If the review team finds non-compliance during the technical review, it shall notify the applicant in writing to rectify within a specified time, which shall not exceed 30 working days. If the rectification is not completed by the deadline or if the requirements are still not met after rectification, the relevant review item shall be determined as non-compliant.
If the review team finds that the applicant has illegal activities during the technical review, it shall promptly report to the qualification recognition department.
Article 27 The qualification recognition department shall establish and improve the training, assessment, use, and supervision system for review personnel’s professional skills.
Article 28 The qualification recognition department shall supervise technical review activities and establish a liability accountability mechanism.
If the qualification recognition department entrusts a professional technical evaluation institution to organize technical reviews, it shall supervise the technical review activities organized by the professional technical evaluation institution.
Article 29 If any of the following situations occur during the review activities, the qualification recognition department may conduct interviews, suspend, or even cancel the entrustment of the professional technical evaluation institution to carry out technical review activities based on the severity of the circumstances:
(1) Failure to conduct technical reviews according to the requirements and time specified in the basic specifications for qualification recognition and review criteria;
(2) Engaging in consulting and technical review for the same inspection and testing institution;
(3) Failing to recuse themselves from the review due to conflicts of interest or circumstances that may affect the impartiality of the review;
(4) Disclosing state secrets, commercial secrets, or technical secrets known during work;
(5) Seeking improper benefits from the inspection and testing institution being reviewed;
(6) Issuing false or inaccurate technical review conclusions.
Chapter 4 Supervision and Inspection
Article 30 The Market Supervision Administration supervises and guides the qualification recognition work of inspection and testing institutions implemented by provincial market supervision and management departments.
Article 31 If any of the following situations occur, the qualification recognition department shall handle the cancellation procedures in accordance with the law:
(1) The qualification recognition certificate expires, and the extension has not been applied for or has not been approved according to law;
(2) The inspection and testing institution is legally terminated;
(3) The inspection and testing institution applies for cancellation of the qualification recognition certificate;
(4) Other circumstances stipulated by laws and regulations that must be canceled.
Article 32 If qualification recognition is obtained through deceit, bribery, or other improper means, the qualification recognition department shall revoke the qualification recognition according to law.
The inspection and testing institution whose qualification recognition is revoked shall not apply for qualification recognition again within three years.
Article 33 If an inspection and testing institution provides false materials or conceals relevant circumstances when applying for qualification recognition, the qualification recognition department shall not accept or approve the application. The inspection and testing institution shall not apply for qualification recognition again within one year.
Article 34 If an inspection and testing institution has not obtained qualification recognition according to law and issues inspection and testing data and results with certification functions to the public without authorization, it shall be dealt with according to the provisions of laws and regulations; if laws and regulations do not provide for this, the market supervision and management department at or above the county level shall order rectification within a specified time and impose a fine of 30,000 yuan.
Article 35 If an inspection and testing institution has any of the following situations, the market supervision and management department at or above the county level shall order rectification within a specified time; if rectification is not completed by the deadline or if it still does not meet the requirements after rectification, a fine of no more than 10,000 yuan shall be imposed:
(1) Failure to handle change procedures as stipulated in Article 14 of these measures;
(2) Failure to mark the qualification recognition mark as stipulated in Article 21 of these measures.
Article 36 If an inspection and testing institution has any of the following situations, and there are administrative penalties stipulated by laws and regulations for the revocation, cancellation, or annulment of inspection and testing qualifications or certificates, they shall be dealt with according to laws and regulations; if laws and regulations do not provide for this, the market supervision and management department at or above the county level shall order rectification within a specified time and impose a fine of 30,000 yuan:
(1) Failing to continuously meet the qualification recognition conditions and requirements and issuing inspection and testing data and results with certification functions to the public without authorization;
(2) Exceeding the scope of inspection and testing capabilities stipulated in the qualification recognition certificate and issuing inspection and testing data and results to the public without authorization.
Article 37 If an inspection and testing institution violates the provisions of these measures by transferring, leasing, or lending qualification recognition certificates or marks, forging, altering, or misusing qualification recognition certificates or marks, or using qualification recognition certificates or marks that have expired or been revoked or canceled, the market supervision and management department at or above the county level shall order rectification and impose a fine of no more than 30,000 yuan.
Article 38 Any unit or individual has the right to report illegal activities of qualification recognition departments, professional technical evaluation institutions, and related review personnel. Relevant departments shall handle them promptly according to their responsibilities and keep the informant’s information confidential.
Article 39 Staff engaged in qualification recognition shall be dealt with according to law for abuse of power, negligence, or corruption during work; if a crime is constituted, criminal responsibility shall be pursued according to law.
Chapter 5 Supplementary Provisions
Article 40 These measures shall come into effect on August 1, 2015. The “Management Measures for the Qualification Recognition of Laboratories and Inspection Institutions” issued by the General Administration of Quality Supervision, Inspection and Quarantine on February 21, 2006, shall be abolished simultaneously.
2. Management Measures for the Supervision and Administration of Inspection and Testing Institutions, General Administration Order No. 39, Effective in 2021
Management Measures for the Supervision and Administration of Inspection and Testing Institutions
Article 1 In order to strengthen the supervision and management of inspection and testing institutions, standardize the behavior of inspection and testing institutions, and create a fair and orderly inspection and testing market environment, these measures are formulated in accordance with the Measurement Law of the People’s Republic of China and its implementation rules, the Certification and Accreditation Regulations of the People’s Republic of China, and other laws and administrative regulations.
Article 2 These measures apply to inspection and testing institutions engaged in activities that provide inspection and testing data, results, and reports (hereinafter referred to as inspection and testing reports) with certification functions and their supervision and management within the territory of the People’s Republic of China.
If there are other provisions in laws and administrative regulations regarding the supervision and management of inspection and testing institutions, those provisions shall apply.
Article 3 The inspection and testing institutions referred to in these measures are professional technical organizations legally established that utilize technical conditions and professional skills such as instruments and equipment, environmental facilities, etc., to conduct inspections and tests on products or other specific objects in accordance with relevant standards.
Article 4 The State Administration for Market Regulation is responsible for the unified management and comprehensive coordination of the supervision and administration of inspection and testing institutions.
Provincial market supervision and management departments are responsible for the supervision and administration of inspection and testing institutions within their administrative regions.
Municipal and county-level market supervision and management departments are responsible for the inspection and supervision of inspection and testing institutions within their administrative regions.
Article 5 Inspection and testing institutions and their personnel shall be responsible for the inspection and testing reports they issue and shall bear civil, administrative, and criminal legal responsibilities according to law.
Article 6 Inspection and testing institutions and their personnel engaging in inspection and testing activities shall abide by the provisions of laws, administrative regulations, and departmental regulations, follow the principles of objectivity, independence, fairness, honesty, and credit, and adhere to professional ethics and social responsibilities.
Inspection and testing institutions and their personnel shall be independent of the stakeholders involved in the inspection and testing reports they issue and shall not be influenced by any factors that may interfere with their technical judgment, ensuring that the inspection and testing reports they issue are true, objective, accurate, and complete.
Article 7 Personnel engaged in inspection and testing activities shall not work in more than two inspection and testing institutions simultaneously. The authorized signatory for inspection and testing shall meet the relevant technical capability requirements.
If there are other provisions in laws and administrative regulations regarding the qualifications or prohibitions of inspection and testing personnel or authorized signatories, those provisions shall apply.
Article 8 Inspection and testing institutions shall conduct inspections and tests in accordance with national mandatory regulations, including sample management, instrument and equipment management and use, inspection and testing procedures or methods, data transmission and preservation, etc.
Inspection and testing institutions and clients may make agreements on inspection and testing procedures or methods that do not involve national mandatory regulations.
Article 9 When conducting inspections on samples submitted by clients, the inspection and testing institution shall be responsible for the compliance of the items inspected in the inspection report, and the representativeness and authenticity of the submitted samples shall be the responsibility of the client.
Article 10 If it is necessary to subcontract inspection and testing projects, the inspection and testing institution shall subcontract to inspection and testing institutions that meet the corresponding conditions and capabilities and obtain the consent of the client for the subcontracted inspection and testing project and the inspection and testing institution that will undertake the subcontracted project in advance.
The inspection and testing institution shall indicate the subcontracted inspection and testing projects and the inspection and testing institutions undertaking the subcontracted projects in the inspection and testing report.
Article 11 The inspection and testing institution shall affix its official seal or special inspection and testing seal on its inspection and testing reports, which shall be issued by the authorized signatory within its technical capability scope.
The language used in inspection and testing reports shall comply with relevant requirements and specify the standards and technical basis. If there are textual errors in the inspection and testing report that need to be corrected, the inspection and testing institution shall correct them according to the standards and indicate or explain the corrections.
Article 12 Inspection and testing institutions shall archive and retain original records and reports of inspection and testing. The retention period shall not be less than 6 years.
Article 13 Inspection and testing institutions shall not issue false inspection and testing reports.
An inspection and testing report issued by an inspection and testing institution that has any of the following situations, and the data or results are erroneous or unverifiable, is considered a false inspection and testing report:
(1) The collection, identification, distribution, transfer, preparation, preservation, or disposal of samples does not comply with standards, resulting in contamination, confusion, damage, or abnormal changes in the properties of the samples;
(2) Using instruments, equipment, or facilities that have not been calibrated or verified;
(3) Violating the inspection and testing procedures or methods that are mandatory under national regulations;
(4) Failing to transmit or preserve original data and reports according to the standards and regulations.
Article 14 Inspection and testing institutions shall not issue false inspection and testing reports.
An inspection and testing report issued by an inspection and testing institution that has any of the following situations is considered a false inspection and testing report:
(1) Issued without inspection and testing;
(2) Falsifying or altering original data or records, or not using original data or records as stipulated;
(3) Reducing, omitting, or changing the items that should be inspected according to the standards, or altering key inspection and testing conditions;
(4) Switching inspection samples or altering their original state for inspection and testing;
(5) Forging the official seal of the inspection and testing institution or the special inspection and testing seal, or forging the signature or issuance time of the authorized signatory.
Article 15 Inspection and testing institutions and their personnel shall keep confidential any state secrets or commercial secrets known during their inspection and testing work.
Article 16 Inspection and testing institutions shall publicly declare their compliance with legal requirements, independent and fair operations, social responsibilities, and the principle of honesty and credit on their official websites or through other public means, and shall be responsible for the authenticity, comprehensiveness, and accuracy of the declaration content.
Inspection and testing institutions shall report to the provincial market supervision and management departments the continuous compliance with relevant conditions and requirements, adherence to professional norms, conduct inspection and testing activities, and statistical data.
If inspection and testing institutions find widespread product quality issues in their inspection and testing activities, they shall promptly report to the market supervision and management department.
Article 17 Market supervision and management departments at or above the county level shall randomly select inspection objects and randomly assign enforcement inspection personnel to carry out supervision and inspection work according to the annual supervision and inspection plan for inspection and testing institutions.
In response to emergencies, market supervision and management departments at or above the county level may carry out relevant supervision and inspection work.
The State Administration for Market Regulation may entrust provincial market supervision and management departments to carry out supervision and inspection based on work needs.
Article 18 Market supervision and management departments at or above the provincial level may regularly organize capacity verification work for inspection and testing institutions based on risk levels, capacity verification results, supervision and inspection results, complaint reports, etc., and publish the results of capacity verification.
Inspection and testing institutions shall participate in the capacity verification work as required.
Article 19 Market supervision and management departments may exercise the following powers according to law:
(1) Enter inspection and testing institutions for on-site inspections;
(2) Inquire and investigate relevant situations or verify relevant inspection and testing activities from inspection and testing institutions, clients, and other related units and personnel;
(3) Review and copy relevant original records, reports, invoices, account books, and other related materials;
(4) Other powers stipulated by laws and administrative regulations.
Inspection and testing institutions shall take self-examination and self-correction measures, legally engage in inspection and testing activities, and actively cooperate with the supervision and inspection work carried out by market supervision and management departments.
Article 20 Local market supervision and management departments at or above the county level shall regularly report the annual supervision and inspection results of inspection and testing institutions and notify the market supervision and management departments that implement qualification recognition and relevant industry authorities of the illegal activities of inspection and testing institutions.
Article 21 Market supervision and management departments at or above the county level shall publicly disclose the results of supervision and inspection and include information on administrative penalties imposed on inspection and testing institutions in the national enterprise credit information publicity system and other platforms.
Article 22 Any unit or individual has the right to report the violations of these measures by inspection and testing institutions to the market supervision and management departments at or above the county level.
Article 23 If the market supervision and management department finds that an inspection and testing institution does not comply with the provisions of these measures but does not need to pursue administrative or criminal legal responsibilities, it may handle the situation using non-compulsory means such as persuasion, education, or reminders.
Article 24 If an inspection and testing institution has any of the following situations, the market supervision and management department at or above the county level shall order rectification within a specified time; if rectification is not completed by the deadline or if it still does not meet the requirements after rectification, a fine of no more than 30,000 yuan shall be imposed:
(1) Conducting inspection and testing without following the provisions of Article 8 of these measures;
(2) Failing to mark the qualification recognition mark as stipulated in Article 21 of these measures.
Article 25 If an inspection and testing institution has any of the following situations, and there are administrative penalties stipulated by laws and regulations for the revocation, cancellation, or annulment of inspection and testing qualifications or certificates, they shall be dealt with according to laws and regulations; if laws and regulations do not provide for this, the market supervision and management department at or above the county level shall order rectification within a specified time and impose a fine of 30,000 yuan:
(1) Violating the provisions of Article 13 of these measures by issuing false inspection and testing reports;
(2) Violating the provisions of Article 14 of these measures by issuing false inspection and testing reports.
Article 26 If the staff of the qualification recognition department, professional technical evaluation institutions, or related review personnel are found to have violations during the technical review activities, they shall be dealt with according to the relevant provisions of the Management Measures for the Qualification Recognition of Inspection and Testing Institutions and the Management Measures for Review Personnel of Inspection and Testing Institutions (Trial).
Article 27 These provisions shall take effect on December 1, 2023. The “Qualification Recognition Review Criteria for Inspection and Testing Institutions” (National Recognition [2016] No. 33) shall be simultaneously abolished.
