为满足外籍认证人员在中华人民共和国境内临时开展认证活动的需要，中国认证认可协会（CCAA）依据中国相关的法律法规，并结合CCAA 相关认证人员管理制度和中国国情，制定并发布了《外籍认证人员临时备案规则（第1 版）》（见附件），通知如下：
附件：
外籍认证人员临时备案规则 TemporaryRegistration Rules for Foreign Certification Personnel
(第 1 版)
1. 目的Objective
为满足外籍认证人员在中华人民共和国境内临时开展认证活动的需要，依据《中华人民共和国认证认可条例》、《认证及认证培训、咨询人员管理办法》等相关法律法规，并结合 CCAA 相关认证人员管理制度和中国国情，制定本规则。
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. 适用范围 Scope
2.1 本规则适用于 CCAA 已正式建立自愿性认证（含管理体系、产品和服务）人员注册制度的领域，不包括强制性认证领域（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 本规则适用于临时来华从事认证活动的外籍认证人员。临时来华认证活动应符合下列情形之一： a）外方投资认证机构总部签订的认证合同，客户的认证现场在中国境内的； b）外方投资认证机构的CCAA 注册人员均不具备相应专业能力，必须聘请外籍认证人员以保证审核组/检查组专业能力的； c）外方投资认证机构总部的科研、研发认证项目，需要在中国境内现场进行验证和试点的； d）其他必须由外籍认证人员实施的认证活动。
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. 备案要求Requirements for Registration
3.1 申报机构 Application Bodies
3.1.1 申报机构应是国家认证认可监督管理委员会（CNCA）批准的认证机构。首次申报应提供CNCA 批准证书。
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 申报机构应审查并统一提交申请人资料，对申请资料的真实性出具担保意见并承担相应认证风险和责任。
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 申请人 Applicants
3.2.1 申请人应是合法的外籍认证人员。Applicants should be legitimate foreign certification personnel. 3.2.2 申请人应承诺遵守中华人民共和国法律法规及以下行为规范： ● 恪守职业道德，诚实守信、客观公正； ● 不介入客户、委托方的冲突或利益竞争； ● 对 CCAA 实施的与其备案情况有关的调查给予充分的合作。
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 申请人应保证其申请资料真实有效，并承担相应认证风险和责任。Applicants should ensure the validity of their application documents and bearassociated risks and responsibilities for certification activities.
3.3 申请资料 ApplicationDocuments 3.3.1 申请资料应包括下列文件（只接受中文或英文）： a) 《CCAA 外籍认证人员临时备案申请表》； b) 符合“临时来华认证活动（参见 2.2 条款）”的证实文件； c) 护照复印件(首页和签证页)。 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. 备案流程Registration Process
4.1 受理 Submission
4.1.2CCAA 于每年的2 月、5 月、8 月和11 月集中受理临时备案申请。 CCAA isopen to the submission of application documents every February, May, August andNovember.
4.1.3 备案费用： 100 元/人次。 Submission Fee: 100RMB per person.
4.2 审查 Evaluation
4.2.1CCAA 评价人员对申请资料（参见 3.3 条款）进行审查，提出备案意见。 CCAAevaluators will evaluate application document (refer to clause3.3) and raisesuggestions for the registration. 4.2.2 CCAA 人员注册部主任对审查过程和备案意见进行复核，做出备案决定。 The director ofPersonnel Certification Department of CCAA will review the work of the evaluators and make the registration decisions.
4.2.3CCAA 秘书长批准备案决定并签发备案文件。 CCAASecretary General will approve the registration decisions and issue officialdocuments.
4.3 备案结果 Results
4.3.1CCAA 以公文的形式发布外籍认证人员临时备案结果。包含下列信息：姓名、国籍、认证活动领域、临时备案编号和申报机构。 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 备案有效期为公文签发日起 6 个月。 The registration isvalid for 6 months from the date of release of CCAA official documents.
4.4 工作时限 Working Days
CCAA 将于集中受理月结束后的 20 个工作日内完成临时备案批准工作。 CCAAwill decide on the registration within 20 working days after the submission.
5.违规处置 Disposalof Violation
5.1 申报机构若没有履行担保责任，故意隐瞒申请人信息，CCAA 将不再接受其推荐的人员申请资料，并报告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 临时备案人员若违反中国法律法规及行为规范，CCAA 将撤销其临时备案资格，并报告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、澳门和台湾地区的认证人员(持香港、澳门特别行政区永久性居民身份证或者香港、澳门特别行政区护照、台湾居民来往大陆通行证)，如符合“临时来华认证活动（参见 2.2 条款）”的要求，可参照本规则办理。
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. 相关表格 RelevantForm
《CCAA 外籍认证人员临时备案申请表》 CCAAApplication Form for Temporary Registration of Foreign Certification Personnel
来源：中国认证认可协会
