為滿足外籍認(rèn)證人員在中華人民共和國境內(nèi)臨時開展認(rèn)證活動的需要，中國認(rèn)證認(rèn)可協(xié)會（CCAA）依據(jù)中國相關(guān)的法律法規(guī)，并結(jié)合CCAA 相關(guān)認(rèn)證人員管理制度和中國國情，制定并發(fā)布了《外籍認(rèn)證人員臨時備案規(guī)則（第1 版）》（見附件），通知如下：
附件：
外籍認(rèn)證人員臨時備案規(guī)則 TemporaryRegistration Rules for Foreign Certification Personnel
(第 1 版)
1. 目的Objective
為滿足外籍認(rèn)證人員在中華人民共和國境內(nèi)臨時開展認(rèn)證活動的需要，依據(jù)《中華人民共和國認(rèn)證認(rèn)可條例》、《認(rèn)證及認(rèn)證培訓(xùn)、咨詢?nèi)藛T管理辦法》等相關(guān)法律法規(guī)，并結(jié)合 CCAA 相關(guān)認(rèn)證人員管理制度和中國國情，制定本規(guī)則。
In orderto meet the growing demands of foreign certification personnel of conductingcertification activities in China and in view of current national conditions,CCAA hereby formulates this rule in accordance with Regulations of People’sRepublic of China on Certification and Accreditation, Regulations of PersonnelManagement with regard to Certification, Certification Training andConsultation and relevant laws and regulations and in consistent with existingmanagement systems of certification personnel.
2. 適用范圍 Scope
2.1 本規(guī)則適用于 CCAA 已正式建立自愿性認(rèn)證（含管理體系、產(chǎn)品和服務(wù)）人員注冊制度的領(lǐng)域，不包括強(qiáng)制性認(rèn)證領(lǐng)域（CCC）。
This ruleapplies to fields where personnel certification systems (including managementsystems, products and services) have been established by CCAA and does notapply to China Compulsory Certification.
2.2 本規(guī)則適用于臨時來華從事認(rèn)證活動的外籍認(rèn)證人員。臨時來華認(rèn)證活動應(yīng)符合下列情形之一： a）外方投資認(rèn)證機(jī)構(gòu)總部簽訂的認(rèn)證合同，客戶的認(rèn)證現(xiàn)場在中國境內(nèi)的； b）外方投資認(rèn)證機(jī)構(gòu)的CCAA 注冊人員均不具備相應(yīng)專業(yè)能力，必須聘請外籍認(rèn)證人員以保證審核組/檢查組專業(yè)能力的； c）外方投資認(rèn)證機(jī)構(gòu)總部的科研、研發(fā)認(rèn)證項目，需要在中國境內(nèi)現(xiàn)場進(jìn)行驗證和試點的； d）其他必須由外籍認(rèn)證人員實施的認(rèn)證活動。
This ruleapplies to foreign certification personnel involving in certificationactivities in China on a temporary basis. Certification activities in China ona temporary basis should meet at least one of the following conditions: a)wheresites of certification of the client lie within mainland China under thecertification contract signed by headquarters of foreign investmentcertification bodies ; b)where CCAA auditors or inspectors employed in foreigninvestment certification bodies do not have required competence and foreigncertification personnel are needed to ensure the competence of the audit teamor inspection team; c)where headquarters of foreign investment certificationbodies are engaged in certification projects for scientific research anddevelopment purposes and need to conduct verification and pilot programs inChina; d)other certification activities that must be conducted by foreigncertification personnel.
3. 備案要求Requirements for Registration
3.1 申報機(jī)構(gòu) Application Bodies
3.1.1 申報機(jī)構(gòu)應(yīng)是國家認(rèn)證認(rèn)可監(jiān)督管理委員會（CNCA）批準(zhǔn)的認(rèn)證機(jī)構(gòu)。首次申報應(yīng)提供CNCA 批準(zhǔn)證書。
Applicationbodies should be certification bodies approved by Certification andAccreditation Administration of People’s Republic of China (CNCA).Organizations applying forthe first time should submit the CNCA approvedcertificate.
3.1.2 申報機(jī)構(gòu)應(yīng)審查并統(tǒng)一提交申請人資料，對申請資料的真實性出具擔(dān)保意見并承擔(dān)相應(yīng)認(rèn)證風(fēng)險和責(zé)任。
Applicationbodies should be responsible for the review and submission of documents ofapplicants, serve as the sponsor for the validity of the application documentsand bear associated risks and responsibilities.
3.2 申請人 Applicants
3.2.1 申請人應(yīng)是合法的外籍認(rèn)證人員。Applicants should be legitimate foreign certification personnel. 3.2.2 申請人應(yīng)承諾遵守中華人民共和國法律法規(guī)及以下行為規(guī)范： ● 恪守職業(yè)道德，誠實守信、客觀公正； ● 不介入客戶、委托方的沖突或利益競爭； ● 對 CCAA 實施的與其備案情況有關(guān)的調(diào)查給予充分的合作。
Applicantsshould promise to abide by Chinese laws and regulations and the Code ofConduct.●Observe professional ethics and principles includingintegrity,trustworthiness, objectivityand impartiality. ●Avoid conflicts orcompeting interests with clients or auditees. ●Cooperate fully with CCAA in anyformal enquiry procedures about registration. 3.2.3 申請人應(yīng)保證其申請資料真實有效，并承擔(dān)相應(yīng)認(rèn)證風(fēng)險和責(zé)任。Applicants should ensure the validity of their application documents and bearassociated risks and responsibilities for certification activities.
3.3 申請資料 ApplicationDocuments 3.3.1 申請資料應(yīng)包括下列文件（只接受中文或英文）： a) 《CCAA 外籍認(rèn)證人員臨時備案申請表》； b) 符合“臨時來華認(rèn)證活動（參見 2.2 條款）”的證實文件； c) 護(hù)照復(fù)印件(首頁和簽證頁)。 Applicationdocuments should be comprised of the following documents (only Chinese orEnglish versions are accepted): a) CCAA Application Form for TemporaryRegistration of Foreign Certification Personnel; b) Documentary evidence of“certification activities in China on a temporary basis” (refer to clause 2.2);c) Passport copies (bio info page and visa page).
4. 備案流程Registration Process
4.1 受理 Submission
4.1.2CCAA 于每年的2 月、5 月、8 月和11 月集中受理臨時備案申請。 CCAA isopen to the submission of application documents every February, May, August andNovember.
4.1.3 備案費用： 100 元/人次。 Submission Fee: 100RMB per person.
4.2 審查 Evaluation
4.2.1CCAA 評價人員對申請資料（參見 3.3 條款）進(jìn)行審查，提出備案意見。 CCAAevaluators will evaluate application document (refer to clause3.3) and raisesuggestions for the registration. 4.2.2 CCAA 人員注冊部主任對審查過程和備案意見進(jìn)行復(fù)核，做出備案決定。 The director ofPersonnel Certification Department of CCAA will review the work of the evaluators and make the registration decisions.
4.2.3CCAA 秘書長批準(zhǔn)備案決定并簽發(fā)備案文件。 CCAASecretary General will approve the registration decisions and issue officialdocuments.
4.3 備案結(jié)果 Results
4.3.1CCAA 以公文的形式發(fā)布外籍認(rèn)證人員臨時備案結(jié)果。包含下列信息：姓名、國籍、認(rèn)證活動領(lǐng)域、臨時備案編號和申報機(jī)構(gòu)。 CCAAwill release the result of registration of foreign certification personnel inits official documents, including such information as name, nationality, fieldof certification, temporary registration number and application body.
4.3.2 備案有效期為公文簽發(fā)日起 6 個月。 The registration isvalid for 6 months from the date of release of CCAA official documents.
4.4 工作時限 Working Days
CCAA 將于集中受理月結(jié)束后的 20 個工作日內(nèi)完成臨時備案批準(zhǔn)工作。 CCAAwill decide on the registration within 20 working days after the submission.
5.違規(guī)處置 Disposalof Violation
5.1 申報機(jī)構(gòu)若沒有履行擔(dān)保責(zé)任，故意隱瞞申請人信息，CCAA 將不再接受其推薦的人員申請資料，并報告CNCA。
In casewhere application bodies fail to perform guarantee responsibilities or hiderelevant information of applicants on purpose, CCAA will no longer accept theirsubmission for personnel registration and will dutifully report the caseto CNCA.
5.2 臨時備案人員若違反中國法律法規(guī)及行為規(guī)范，CCAA 將撤銷其臨時備案資格，并報告CNCA。 In case whereregistered personnel have violated Chinese laws, regulations or the CodeofConduct, CCAA will cancel their temporary registration and will dutifullyreport the case to CNCA. 6.其他 Others
香港、澳門和臺灣地區(qū)的認(rèn)證人員(持香港、澳門特別行政區(qū)永久性居民身份證或者香港、澳門特別行政區(qū)護(hù)照、臺灣居民來往大陸通行證)，如符合“臨時來華認(rèn)證活動（參見 2.2 條款）”的要求，可參照本規(guī)則辦理。
This ruleapplies to certification personnel in Hong Kong, Macao and Taiwan (personsholding permanent identity cards or passports of Hong Kong or Macao, or Taiwanresidents holding Mainland travel permits) if they conduct “certificationactivities in China on a temporary basis” (refer to clause 2.2).
7. 相關(guān)表格 RelevantForm
《CCAA 外籍認(rèn)證人員臨時備案申請表》 CCAAApplication Form for Temporary Registration of Foreign Certification Personnel
來源：中國認(rèn)證認(rèn)可協(xié)會
京公網(wǎng)安備11010802046783號
