Charter of CEPREI Certification Body · Management and related committees, other functions for...
Transcript of Charter of CEPREI Certification Body · Management and related committees, other functions for...
Document No. CEPREI-04-GM
Version No. 7
Charter of CEPREI Certification Body
CEPREI Certification Body Management Committee
CEPREI Charter of CEPREI Certification Body
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Table of Contents
Chapter 1 General Rules ......................... 2
Chapter 2 Organizatinal Structure and Responsibilities ............................................... 4
Chapter 3 Certification Procedure Regulation ...... 22
Chapter 4 Validator/Verifier/Auditor ............... 23
Chapter 5 Impartiality of Validation/Verification/Certification ................ 24
Chapter 6 Fund ................................ 29
Chapter 7 Supplementary Rules ................. 30
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Chapter 1 General Rules
1. This charter is established to ensure the impartiality and independency
of CEPREI Certification Body’s (hereinafter referred to as CEPREI)
validation/verification/certification work and to maintain the authority
of national accreditation institution based on the international
accreditation guideline(including CDM accreditation standard and
relevant decisions of EB and CMP) and national accreditation
organization criteria.
2. CEPREI follows international criteria and conventions, national laws
and regulations, and other requirement, and insists the principle of
impartiality, science and confidentiality to provide
validation/verification/certification service to all applicants from the
society. CEPREI does not allow priority for some applications for its
own interest, or delay the acceptance of any application with excuses.
3. CEPREI implements management system audits which meet the
requirements of management system standard, management system
documents and laws & regulations and other requirements. CEPREI
commits to satisfy all these requirements continuously and all the other
requirements for a certification body.
4. CEPREI conducts validation/verification/certification activities within
the accredited business scope and performs validation/verification or
audit assessment and validation/verification/certification decisions
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within the certification scope or CDM business scope.
5. CEPREI conducts no other business activity than product/system
certification, certification trainings and CDM
validation/verification/certification. It will not provide any direct or
indirect service that may influence the impartiality. The operations of
CEPREI shall be independent and free from any bias that may
compromise its ability to make impartiality decisions.
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Chapter 2 Organizational Structure and Responsibilities
6. In order to ensure the objectivity and impartiality of
validation/verification/certification work, the organizational structure of
CEPREI is set up as following:
7. Responsibilities and authorities of Management Committee a) Assisting CEPREI with formulation of content of validation and/or
verification/certification system and related policies and
regulations for operation and impartiality;
Top Management
President
Management Committee
Technical Committee
Vice Presidents
Quality Manager
CDM Technical Manager
Technology D
evelopment
Dept.
Improvem
ent Enhancem
ent Dept.
Com
pliance Audit D
ept.
Clim
ate and Energy Dept.
Audit D
ept.
Training Dept.
IT Certification D
ept. Q
ualification Certification
Dept.
Software Q
uality Dept.
Information System
Dept.
Adm
inistration Dept.
HR
Dept.
Market
Developm
ent
Custom
er Service Dept.
Confidentiality O
ffice
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b) Preventing CEPREI from having any commercial or other
considerations that hinder i t from providing objective validation
and/or verification/cert ification activities continuously;
c) monitoring operation impartial ity and regulation compliance of
CEPREI’s validation and/or verification/certification system;
analyzing the influence on impartiality, objectiveness and
confidentiality of validation and/or verification/certification
activities as a result of the changes of CEPREI’s business, relations
with related parties and the environment, and determining the
necessity of taking measures;
d) providing suggestions on issues (including publicity and public
awareness) that influence the creditabil ity of validation and/or
verification/certification;
e) if necessary, entrusting a special committee or working group to
accomplish specially assigned tasks;
f) Reviewing important decision made and reported by CEPREI
President and selection of specific responsible persons to ensure
the impartial ity and appropriateness of validation and/or
verification/certification activities. Taking appropriate measures
which may include informing accreditation bodies, competent
authorities or stakeholders if the advice is not respected in any
matter by the management;
g) handling further appeals;
h) The members should sign the confidentiali ty statements stating that
they will be responsible for confidentiality of information not to be
publicized during validation and/or verification/certification work
or involving the audited party’s confidentiality.
8. Responsibilities of Technical Committee
8.1 Review and provide validation/verification/certification
decision comments on CEPREI’s validation/verification/audit
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report and other relevant information.
8.2 Verify the appropriateness of professional capability of
CEPREI’s validators/verifiers/auditors.
8.3 Verify the effectiveness of professional management.
8.4 Proceed necessary inspection on complaints and appeals and
provide validation/verification/certification decision comments.
8.5 Approve certification maintenance according to results of
monitoring inspection.
8.6 Make decision on the expansion, reduction, suspending,
withdrawing and canceling of validation/verification/certification.
8.7 Provide technical support and suggestions to and accomplish the
specific tasks assigned by Management Committee. When a
special domain is involved in the activity of Management
Committee, assign people who have good knowledge of this
domain to present at the Management Committee meeting and
participate in the decision discussion.
8.7.1 Review and provide validation/verification/certification
decision comments on CEPREI’s validation/verification/audit
report and other relevant information, including approval,
maintenance, expansion, reduction, suspending, canceling and
registration withdrawing.
8.7.2 Confirm the technical rules of
validation/verification/certification and monitor their
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implementation. Make explanation for relevant standards if
necessary and publicize the explanation.
8.7.3 Monitor the professional capability evaluation of CEPREI’s
validators/verifiers/auditors.
8.7.4 Monitor effectiveness of professional management.
8.7.5 Perform necessary inspection on technical issues mentioned
in complaints/ appeals and make the decision.
9. Responsibilities of CEPREI President
9.1 Establish CEPREI orperation policy.
9.2 Monitor implementation of policy and procedure.
9.3 Monitor finance of CEPREI.
9.4 Set up special committee or team when necessary for specific tasks.
9.5 Authorize Technical Committee to make
validation/verification/certification decisions on behalf of President,
and to be responsible for the approval, maintenance, expansion,
reduction, suspending, canceling and withdrawing of
validation/verification/certification.
9.6 Business strategy planning and CEPREI finance monitoring and
controlling.
9.7 Develop validation/verification/certification service and
proposals.
9.8 Audit and validation/verification/certification implementation and
complaint response.
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9.9 Arrange contracts.
9.10 Assign representative of management, approve employment and
allocate CEPREI’s resources.
9.11 Organize management review to ensure the effective operation of
CEPREI’s quality system.
9.12 Report reasons for important decisions and activities and their
responsible people to Management Committee.
10. Responsibilities of deputy President of CEPREI 10.1 The vice presidents assist the General President for
organization and coordination of cross-department function activities in
CEPREI Certification Body business. Currently, there are four vice
presidents responsible for following functions.
10.2 System vice president (also management representative and
quality manager)
10.3Development vice president
Organizing and coordinating the new product development and new
program introduction, including:
1) establishing objectives and projects for new program development;
2) resource planning and provision for the new projects;
3) monitoring the projects progressing;
4) evaluation of the outcome of the developed program.
10.4 Client servicing V.P
Coordinating the activities of marketing and clients servicing,
including:
1) analysis of market needs;
2) collecting the feedback from certified clients and interested part ies;
3) establishing and deployment of CEPREI marketing strategies;
4) CEPREI business promotion.
10.5 Finance and Supporting V.P
Organizing and coordinating the administration of supporting activit ies
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of CEPREI’s business, including:
1) financial administrat ion
2) human resource planning and provision
3) facili ties planning and provision, including IT and communication;
4) documentation
11. Responsibilities of representative of management(CDM Quality manager)
11.1 Establishment, operation and continuous effectiveness of CEPREI’s
quality system; and preparation and revision of CEPREI’s management
system document.
11.2 Organization of internal quality audit.
11.3 Report status of quality system operation to the highest manager, and
handle with issues impacting quality system operation, including external
complaints.
11.4 External contact related to CEPREI’s quality system.
12. Responsibilities of Technical Manager 12.1 planning, management, resource allocation, performance
monitoring, and improvement of CEPREI’s CDM program;
12.2 Establishing CEPREI’s CDM program system according to
accreditation requirements of EB and relevant decisions of
COP/MOP and EB.
12.3 Supervising implementation of validation and/or
verification/certification procedure,
12.4 tracking changes in CMP and CDM EB’s decisions and
requirements and incorporating such changes into CEPREI’s
management system;
12.5 identifying the needs of resources for CEPREI’s CDM
program due to the business progress and changes in environment;
12.6 Organizing the establishment of the human resource
requirements, qualifying the personnel; allocating the personnel,
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including the potential candidate for
validation/verification/certification/technical review personnel;
12.7 Maintaining competence level of validation and/or
verification/certification personnel and arranging any necessary
training;
12.8 reporting the effectiveness of CEPREI’s CDM program and
the needs of improvement and resources to CEPREI President for
action;
12.9 providing CDM technical supports to CEPREI’s Top
Management and related committees, other functions for their
CDM related activities and decisions, including
appeal/complaint/dispute solving (the TM himself/herself
involved issues excluded);
12.10 assist ing in solving various complaints on technical
aspects.
13. Administration Department a) being responsible for administrat ing logistical affairs of CEPREI;
as well as administrating financial affairs of CEPREI, including the
receipt of business revenues.
b) being responsible for controlling and maintaining the
documentation, data and records of CEPREI;
c) being responsible for the maintenance and upkeep of CEPREI
hardware facili ties;
d) being responsible for CEPREI regular administration affairs;
e) being responsible for purchasing goods;
f) collecting information related to cert ification impartiality;
g) producingcertificates;
h) managing usage of logos;
i) handling suspension and withdrawal due to no payment,
cancellation and sending notification of suspension, cancellation,
withdrawal and resume;
j) accepting changes in organizations not related to technical issues;
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k) completing annual and monthly report required by accreditation
bodies;
l) compiling business directory;
m) accomplishing other tasks assigned by CEPREI management.
14. Customer Service Department a) being responsible for the follow-up service of all customers to
enhance customer satisfaction rate;
b) being responsible for after-certification call-back customer
services, collecting market information and elici ting customers’
potential requirements;
a) being responsible for the investigation and statistic analysis of
customer satisfaction rate;
b) being responsible for receiving, responding to, tracking and
replying customer compliants;
c) being responsible for the acceptance and verification of
customer application material, contract review, updating
customer-related information in the business system, as well as
archiving and managing hard copy contracts;
d) being responsible for the assignment and scheduling of CEPREI
system audit businesses;
e) being responsible for contacting cert ification accreditation
association and its provincial branches;
f) issuing certificate and invoice;
g) being responsible for editing CEPREI Certification;
h) accomplishing other tasks assigned by CEPREI management.
15. Audit Department a) safeguarding the impartiality, science and confidentiality of audit
work;
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b) organizing the planning, implementation and improvement of
QMS(including TL 9000, TS 16946), EMS, OHSAS, QC080000,
military product cert ification;
c) accepting the authentication of production lines and products
following military standard;
d) being responsible for reviewing the audit report submitted by the
audit team and reporting to the Technical Committee for appraisal;
e) training and assessing and managing auditors;
f) providing suggestion for suspension, withdrawal and resume due to
technical issues and plan arrangement and submitting to the
Technical Committee for review;
g) submitt ing materials to be reviewed by the Technical Committee, and
taking corrective actions for and following issues identified by the
Technical Committee, sending complete organization profiles
approved to Administration Department.
h) Accreditation and maintenance of the business areas it is responsible
for;
i) being responsible for information communication with auditors;
j) assisting Customer Service Department in scheduling of audit
assignments and arranging and confirming surveillance;
k) participating in the contract review of business systems it is
responsible for, confirmation of technical terms in contracts, and
determination of audit program and man days;
l) tracking and acquisit ion of certification specifications, standards and
their changes it involves;
m) accomplishing other tasks assigned by CEPREI management.
16. Responsibilities of Technology Development Dept. a) being responsible for the management of scientific research
project, which mainly includes organizing the declaration of
scientific research projects, monitoring the schedule, quality
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and expense of those projects and organizing the acceptance
review of such projects etc.
b) being responsible for the support and studies on government
and military industries, which mainly includes industrial
studies on current business and development orientation;
managing personnel on loan to support those industries;
c) planning for CEPREI business development;
d) Research, development and management of CEPREI new
businesses;
e) Organizing staff to actively publish books and papers, and
generating reward list;
f) Tracking and acquiring certification specifications, standards
and their changes CEPREI involves;
g) accomplishing other tasks assigned by CEPREI management.
17. Responsibilities of Information System Dept. a) planning and implementation of information construction for
CEPREI;
b) developing, maintaining and managing OA and information system
of CEPREI;
c) daily maintenance of CEPREI computer network;
d) development and daily maintenance of CEPREI website;
e) participating in purchasing IT equipments;
f) development and management of IT products/projects;
g) confidentiality inspection of secret-related and secret-unrelated
computers
h) accomplishing other tasks assigned by CEPREI management.
18. Responsibilities of Human Resource Dept. a) preparing CEPREI human resource planning;
b) organizing staff recruitment and processing formalities for new
employees;
c) being responsible for introductory education for new employees;
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d) preparing CEPREI training plan and maintaining training records;
e) establishing staff competence requirements;
f) organizing and implementing role-based competence evaluation;
g) evaluating staff performance and organizing implementation of
professional development;
h) managing individual certification qualification registration and
contacting auditor registration governing body;
i) maintaining staff fi les and evaluation records.
j) organizing staff performance management;
k) managing the rights and benefits of employees such as salary and
welfare;
l) organizing the development of technical and business training plan,
and training participating;
m) accomplishing other tasks assigned by CEPREI management.
19. Responsibility of Training Department a) being responsible for development and implementation of
certification training courses to the public.
b) maintaining the acquired training qualifications and developing
new ones;
c) being responsible for the development, evaluation and
management of training instructors;
d) accomplishing other tasks assigned by CEPREI management.
20. Responsibilities of Climate and Energy Department: a) safeguarding the impartiality, science and confidentiality of audit
business it is responsible for;
b) planning, implementation and management of low carbon and
energy saving projects:
c) application and implementation of government projects related to
climate and energy;
d) research and implementation of projects related to climate and
energy from CEPREI or cl ients;
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e) being responsible for training, evaluation and management of
technical personnel of i ts involved business;
f) assisting in achieving accreditation related to climate and energy;
g) accreditation and maintenance of business areas it is responsible for;
h) being responsible for tracking and acquisition of specifications,
standards and their changes it involves;
i) information communication with auditors of the above business
areas;
j) accomplishing other tasks assigned by management.
21. Responsibility of Qualification Certification Department a) being responsible for the planning, implementation and
improvement of information system integration qualification
certification and information system engineering supervision
qualification certification business;
b) communication and coordination with higher and relevant
institutions on affairs within the above business areas;
c) development and daily management of certification personnel within
the above business areas;
d) development of scientific research project within the above business
areas and development of new businesses;
e) tracking and acquiring specifications, standards and their changes it
involves;
f) accomplishing other tasks assigned by CEPREI management.
22. Responsibility of IT Certification Department a) safeguarding the impartiality, science and confidentiality of audit
business it is responsible for;
b) organizing the planning, implementation and improvement of
information security management system, IT service management
system business, certification, assessment, training and technical
service in ITSS field;
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c) reviewing audit report prepared by on-site audit teams, and
reporting to the Technical Committee for appraisal;
d) being responsible for training, evaluation and management of
auditors of its involved business;
e) providing suggestion for suspension, withdrawal and resume due to
technical issues and plan arrangement and submitting to the
Technical Committee for review;
f) submitt ing materials to be reviewed by the Technical Committee, and
taking corrective actions for and following issues identified by the
Technical Committee, sending complete organization profiles
approved to Administration Department;
g) accreditation and maintenance of business areas it is responsible for;
h) information communication with auditors of the above business
areas;
i) assisting Customer Service Department in scheduling of audit
assignments and arranging and confirming surveillance;
j) participating in the contract review of business systems it is
responsible for, confirmation of technical terms in contracts, and
determination of audit program and man days;
k) tracking and acquisi tion of certification specifications, standards
and their changes it involves;
l) development of scientific research project within the above business
areas and new businesses;
m) assisting marketing department in market planning and promotion of
the above business areas;
n) accomplishing other tasks assigned by CEPREI management.
23. Responsibility of Market Development Department a) market planning and development of CEPREI business;
b) sales and contract signing of CEPREI business;
c) advertisement and promotion of CEPREI business;
d) development and maintenance of government authority and
cooperation channels related to CEPREI business;
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e) reminding business payments;
f) receiving and recording customer application material;
g) human resource planning, staff assessment, performance evaluation
and salary account of the department;
h) operation and management of offices in different locations,
communication with local supervising authorities;
i) organizing contract review, determining business terms in contract;
j) accomplishing other tasks assigned by CEPREI management.
24. Responsibility of Improvement Enhancement Department a) safeguarding the impartiality, science and confidentiality of audit
business it is responsible for;
b) improvement and enhancement of CEPREI certification business;
c) evaluation, assessment and management of CEPREI product
manager (supervisor);
d) new business development, planning, implementation and
improvement of businesses related to product cert ification(including
IECQ);
e) submitt ing materials to be reviewed by the Technical Committee,
and taking corrective actions for and following issues identified by
the Technical Committee, sending complete organization profiles
approved to Administration Department (this item is limited to
product certification business);
f) being responsible for the application and maintenance of
accreditation of the above certification businesses;
g) communication and coordination with higher authorities,
accreditation bodies and interested part ies on affairs within the
above business areas;
h) information communication with auditors of the above business
areas;
i) assisting Customer Service Department in scheduling of audit
assignments and arranging and confirming surveillance;
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j) participating in the contract review of business systems it is
responsible for, confirmation of technical terms in contracts, and
determination of audit program and man days;
k) development of scientific research project within the above business
areas and new businesses;
l) assisting marketing department in market planning and promotion of
the above business areas;
m) development, daily management of certification and training
personnel within the above business areas;
n) accomplishing other tasks assigned by CEPREI management.
25. Responsibility of Compliance Audit Department a) Conducting compliance inspection on all CEPREI processes;
b) Collecting and summarizing customers’ evaluation on auditors;
c) Accomplishing translation assignments;
d) Foreign affair management, organizing international communication
and cooperation;
e) Assisting business departments in applying and maintaining the
accreditation from foreign insti tutions;
f) Organizing CEPREI departments to conduct internal audit;
g) Organizing the evaluation on the quality of CEPREI business
processes based on CEPREI requirements;
h) Handling complaints/appealing;
i) Customer satisfaction rate survey;
j) Accomplishing other tasks assigned by CEPREI management.
26. Responsibility of Software Quality Department a) Planning, implementation and improvement of businesses such as
training, assessment and technical services related to software and
IT product research and development;
b) Application and maintenance of accreditation of businesses related
to software and IT product research and development;
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c) Development of new technologies and business related to software
and IT product research and development;
d) Development and daily management of personnel related to the
business;
e) Assisting concerning departments in business planning, promotion,
and management of relationship with related authorities;
f) part icipating in the contract review of business systems it is
responsible for, confirmation of technical terms in contracts, and
determination of audit program and man days;
g) safeguarding the impartiality, science and confidentiality of audit
business it is responsible for;
h) organizing the planning, implementation and improvement of SPCA
certification business;
i) reviewing audit report prepared by SPCA onsite audit team, and
reporting to Technical Committee for appraisal;
j) providing suggestion for suspension, withdrawal and resume due to
technical issues and plan arrangement within SPCA business area
and submitting to the Technical Committee for review;
k) submitt ing SPCA materials to be reviewed by the Technical
Committee, and taking corrective actions for and following issues
identified by the Technical Committee, sending complete
organization profiles approved to Administration Department (this
item is limited to product certification business);
l) accreditation and maintenance of SPCA business area;
m) information communication with auditors of SPCA business area;
n) assisting Customer Service Department in scheduling of SPCA
audit assignments and arranging and confirming surveillance
o) participating in the contract review of SPCA business area,
confirmation of technical terms in contracts, and determination of
audit program and man days;
p) tracking and acquisition of specifications, standards and their
changes it involves;
q) accomplishing other tasks assigned by CEPREI management.
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27. Responsibility of Confidentiality Office a) establishing, implementing and maintaining confidentiality system
of military industry;
b) interface with high confidentiality institutions;
c) accomplishing other tasks assigned by CEPREI management.
See procedural documents for departmental business responsibili ties
within the business process.
28. Organization relationship diagram of CEPREI Lab member bodies
21.1 China CEPREI Lab owns and invests all the bodies above,
including appointing General Presidents. CEPREI Certification Body is
an independent legal entity, has independent business scope,
independent organizational structure and independent management
system.
21.2 The other members of the group are independent commercial
laboratories providing testing and calibration services, accredited in
Test service
Test service
CEP
REI
Qua
lity
Test
Lab
CEP
REI
Cer
tific
atio
n B
ody
CEP
REI
Ana
lysi
s Lab
CEP
REI
Met
erin
g La
b
China CEPREI Laboratory
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accordance with ISO/IEC Guidance 17025. Every member of the group
has its own organizational structure and business scope. The other
members’ business will not affect the impartiality and integrity of the
certification system of CEPREI Certification Body. The only business
links between CEPREI Certification Body and these laboratories situate
in product certification activities. In such case these laboratories may
provide testing service to CEPREI’s certification. CEPREI and the other
members of CEPREI Laboratory Group do not offer or provide:
1) those services that it certifies/registers others to perform;
2) consulting services to obtain or maintain
certification/registration;
3) Services to design implement or maintain management systems.
4) Services of identification, development or financing CDM project
activities, providing consultancy for CDM validation, verification
and monitoring functions, training the project part icipant towards
the same.
CEPREI conducts dynamic analysis on all threats on impartiality of its
certifications, and takes necessary measures to ensure the public
creditability of the certification. CEPREI’s provisions of risk are
reserved for covering any possible liabili ty.
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Chapter 3 Validation/Verification/Certification Procedure Regulation
29. CEPREI establishes and implements documented quality system
following the international accreditation criteria (including CDM
accreditation standard and relevant decision of EB and CMP) and
national accreditation standard to ensure the smooth practice of
validation/verification/certification activities.
30. For management system certification, accept all applicants within the
accredited scope following CEPREI’s Certification Procedure
Regulation; conduct initial audit, audit monitoring and re-audit
according to management quality system standard; make certification
decisions objectively, including approval, maintenance, suspending,
cancelling and withdrawing.
31. For CDM validation/verification/certification, accept all applicants
within the accredited scope following CEPREI’s
Validation/Verification/Certification Procedure Regulation; conduct
validation, verification and certification; make decision objectively.
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Chapter 4 Validator/Verifier/Auditor
32. To ensure the effectiveness and impartiality of
validation/verification/audits, CEPREI should select
validators/verifiers/auditors and technical experts (if necessary) based
on their capability, training, qualifications and experience and assign
tasks corresponding to their professional capability.
33. Evaluate the professional capability of validators/verifiers/auditors/
technical experts; proceed effective management of them, ensuring the
validators/verifiers/auditors are capable of
validation/verification/certification work within the accredited scope.
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Chapter 5 Impartiality of Validation/Verification/Certification
34. Ensure that executive management and all people bear no commercial,
economic or other pressure that may influence the
validation/verification/certification results, keeping the objectivity and
impartiality of validation/verification/certification activities. When
encountered with threats on the impartiality from other organizations or
people, appropriate actions should be taken.
35. CEPREI analyzes various potential threats against its’ impartiality,
proposes actions for risks requiring attention and generates Analysis
Report of Validation, Verification/Certification Impartiality and
Liability Risk of CEPREI. The risk analysis will be done as part of
management review at least once a year and at any time in the case of
significant changes in the organization/activities by the management.
The risk analysis report is submitted to the Management Committee for
review, relevant analysis and actions become part of CEPREI’s
management policy for impartiality and responsibility after confirmed
by the Management Committee.
Risk analysis shall analyze potential impartiality threat causing by
financial source, self-review, self-benefit, familiarity and stress from
aspects such as organization, activities, staff, fiancé and marketing etc.
as well as various product liability risks.
The risk analysis report evaluate and propose corresponding actions for
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risks identified. Actions include prohibition, mitigation, disclosure and
remedial etc.
36. CEPREI is responsible for the validation/verification/certification
decisions as approval, maintenance, update, expansion, reduction and
cancelling, making sure that the validation/verification/certification
evaluation is not done by people who implement the
validation/verification/audit.
37. CEPREI does not provide consultancy or internal audit service for any
organization regarding the establishment and maintenance of
management system, nor the service provided by the certificated
organizations. Once a consulting organization has the threat on
CEPREI’s impartiality, CEPREI will not certificate any organization
that is consulted by it with management system or internal audit in two
years.
38. CEPREI does not provide any services which may threat the impartiality,
including but not limited to:
identification, development and/or financing of the CDM project
activities;
consultancy related to the establishment of validation or verification and
monitoring systems for CDM project;
one to one training on CDM related and other topics;
marketing and tie-up promotion with CDM consultancy/financing
organization;
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offering/payment of commissions or other inducements for promotion or
new business.
39. CEPREI’s validation/verification/audit activities will not be outsourced
to other organizations. Validation/Verification/Certification activity
marketing is not related with consultant organizaiton activities. If any
consultant organization claims or indicate that CEPREI can make the
validation/verification/certification simpler, easier, faster or cheaper,
CEPREI will take actions to stop these inappropriate statements.
CEPREI cannot make the similar statements for any consultant
organization in its marketing either.
40. Any certification contract signed between CEPREI and any certification
clients must not link the payment with certification conclusion.
41. CEPREI requires every employee to sign Impartiality and
Confidentiality Commitment when recruiting him/her, and notifies
him/her of obligation to maintain impartiality and make commitment.
CEPREI requires that work staff shall report to CEPREI in the case that
their independence is threatened by the auditee, and CEPREI will take
necessary actions to ensure independence.
42. Any auditor who provides consultancy service to an organization cannot
participate in the certification for the same organization in two years.
43. Any validator/verifier who was previously associated with the CDM
PPs in interest for any of the activities such as development,
consultancy and/or financing, etc. or any other CDM unrelated activities
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cannot participate in the validation/verification/certification for the
same project. If the above situation is found during the process of
validation/verification, the possible adjustment of
Validation/Verification Team will be conducted.
44. Validator/verifier/auditor of CEPREI cannot provide internal audit
service or detailed corrective action suggestions on non-compliances
identified in validation/verification/audits to applicants.
45. All the internal and external people of CEPREI are required to inform
any interest conflict possibly involving them or CEPREI; these people
can only be used again when the interest conflict no longer exists.
46. CEPREI does not provide validation/verification/certification service to
any organization that has inacceptable threat on the impartiality of
CEPREI, or to another certification body for its management system
certification activities or CDM project activities.
47. The other members of CEPREI Laboratory don’t carry out conflicting
functions, such as CDM consultancy, CDM financing. If the other
members of CEPREI Laboratory are involved in the activities of CDM
consultancy, CDM financing, CEPREI Certification Body will refuse
these applications forever.
48. If the CDM-PP used the testing, one-to-one training or calibration
services provided by other members of CEPREI Laboratory for its CDM
project, CEPREI Certification Body will refuse these applications in the
valid period of testing and calibration service, at least in two years.
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49. CEPREI’s management review and update risk analysis report annual
and in the event of changes in interests conflict; they review actions
taken including actions proposed in the report, actions documented in
the procedure and/or other documents, corrective actions handling
nonconformity identified or complaints related to impartiality; they
determine the effectiveness of ensuring impartiality safeguarding
process. Top Management determine the necessity to take further
actions based on above information. Review records shall be maintained
and usually incorporated into management review report.
50. All the analysis report, actions undertaken, identified NC and complaint
with regard to impartiality shall be reviewed by the MC. Based on the
provided information combined with other necessary verification by
MC member through such as on-site observation, interviewing with
CPEREI staff and access to related files, the MC makes judgment on
CEPREI impartiality safeguarding system and raises necessary advices
or further action needs to CEPREI top management. The Management
Committee at least annual organize one review of impartiality of audit,
certification and decision-making processes.
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Chapter 6 Fund
51. CEPREI charges for its service but not pursue profit. The main source
of its fund is payment for validation/verification/certification service,
all of which is spent on the payment and welfares of employees and
infrastructure construction of CEPREI. CEPREI does not accept
sponsor in any forms that may have impact on the impartiality of
validation/verification/certification decisions.
52. CEPREI bears the risk responsibility that may be caused by the
validation/verification/certification activities, and reserve a risk fund no
less than RMB 3 million for the possible compensation.
53. CEPREI won’t take the performance targets in financial terms or in
terms of a specific number of projects to be validated / verified during a
period of time.
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Chapter 7 Supplementary Rules
54. If this charter has any conflict with national laws or regualtions, the
implementation should follow the national laws and regulations.
55. Interpretation right of this charter belongs to CEPREI’s Management
Committee.
56. This charter is effective after reviewed by the Management Committee.