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;


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;


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


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


j) participating in the contract review of business systems it is



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


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


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



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j) participating in the contract review of business systems it is



k) development of scientific research project within the above business

areas and new businesses;

l) assisting marketing department in market planning and promotion of


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



g) safeguarding the impartiality, science and confidentiality of audit


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.

charter of ceprei certification body · management and related committees, other functions for...

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