Consolidating Compliance Bottom‑line｜HJC Successfully Completes the 2026 Institutional Compliance Management and Professional Capacity‑Building & Continuing‑Education Training for Certification Personnel
为落实市场监管总局2022年第28号公告关于专职认证人员持续能力保持的监管要求，对标市场监管总局2026年第28号《关于加强认证信息报送和认证证书信息查询管理的公告》、《认证机构资质许可审查通则（征求意见稿）》、CNCA新版管理体系认证规则、国认监发〔2026〕3号服务认证指导意见等标准规范要求，紧扣 “双随机、一公开” 监管工作重点，进一步压实认证机构主体责任，强化认证人员合规执业意识，提升关键岗位人员专业技术能力；严格落实公正性管理、利益冲突回避，强化审核/审查案卷全过程质量管控，做好认证全周期信息报送、证书查询 “谁发证、谁负责” 主体责任落实，强化高风险领域风险识别与防控，防范审核人日缩水、简化认证程序、审核证据缺失、认证信息报送不及时等合规风险，北京华夏钜星质量认证有限公司（HJC）2026年度机构合规管理与专业化能力提升暨认证人员继续教育培训活动于2026年9月19至20日在合肥顺利举办，公司从事管理体系、服务认证业务的认证人员参加了本次培训。In order to implement the regulatory requirements of SAMR Announcement No. 28 of 2022 on the continuous competence maintenance of full‑time certification personnel, benchmark against SAMR Announcement No. 28 of 2026 Announcement on Strengthening Certification Information Submission and the Administration of Certification Certificate Information Inquiry, General Rules for the Examination of Certification Body Qualification Permits (Draft for Solicitation of Comments), the new‑version CNAS Rules for Management System Certification, and Guiding Opinions on Service Certification (Document No. 〔2026〕3 of the National Certification and Accreditation Administration (CNCA)), closely follow the priorities of the “Dual‑Random and One‑Public” supervision work, further consolidate the principal responsibilities of the certification body, strengthen certified personnel’s awareness of compliance in practice, and enhance the professional and technical competence of key‑position personnel; strictly enforce impartiality management and conflict‑of‑interest avoidance, strengthen the whole‑process quality control of audit/review dossiers, fulfil the principal responsibility of “who issues certificates takes responsibility” for full‑cycle certification information submission and certificate inquiry, reinforce risk identification, prevention and control in high‑risk areas, and prevent compliance risks such as audit‑person‑day reduction, simplification of certification procedures, lack of audit evidence, and delayed submission of certification information, Beijing Huaxia Juxing Quality Certification Co., Ltd. (HJC) successfully held its 2026 institutional compliance management&professional capacity‑building as well as continuing education training event for certification personnel in Hefei during September 19‑20, 2026. Certification personnel engaged in management system and service certification businesses of the company attended this training.
本次培训面向机构八类法定关键岗位人员开展全覆盖教学，参训岗位包含：认证质量总监、各领域项目质量负责人、认证规则和认证方案制定人员、认证申请评审人员、认证审核方案管理人员、认证审核人员（含管理体系认证审核、服务认证审查）、认证决定或复核人员、认证人员能力的评价人员。 This training provided full‑coverage teaching for eight categories of statutorily‑defined key‑position personnel of the certification body. The participating positions included: Certification Quality Director, project quality persons‑in‑charge for respective fields, personnel responsible for developing certification rules and certification schemes, certification application reviewers, certification audit programme managers, certification auditors (including auditors for management‑system certification and reviewers for service certification), certification decision‑making or review personnel, and personnel responsible for the competence evaluation of certification personnel.
培训围绕认证机构合规履职、人员能力证实、风险防控、认可监管要求设置课程。公司总经理兼管理者代表就国家市场监督管理总局认证认可技术研究中心 2026年8月18日-19日《认证机构合规管理与专业化能力提升活动》学习要点宣贯；2026年度认可监督评审情况通报；CNAS认可评审要求宣贯暨2026年度见证评审典型案例学习；市场监管总局2026年第28号《关于加强认证信息报送和认证证书信息查询管理的公告》专题解读，对认证全周期信息报送时限要求、证书查询 “谁发证、谁负责” 主体责任、禁止将认监委网站包装为机构证书查询入口、证书信息真实性完整性主体责任、机构资质标识动态管理机制等新规要点进行讲解；The training curriculum was designed around certification bodies’ compliance performance, personnel competence verification, risk prevention and control, as well as accreditation and regulatory requirements. The Company’s General Manager cum Management Representative delivered presentations covering key takeaways from the Event on Compliance Management and Professional Capacity‑building for Certification Bodies organized by the Certification and Accreditation Technology Research Center of the State Administration for Market Regulation (SAMR) held on 18‑19 August 2026; a briefing on the findings of the 2026 accreditation surveillance assessment; communication on CNAS accreditation assessment requirements together with case studies of typical witness assessments in 2026; and a special interpretation of SAMR Announcement No.28 of 2026 Announcement on Strengthening Certification Information Submission and the Administration of Certification Certificate Information Inquiry. He elaborated on key new regulatory requirements including the time‑limit requirements for full‑cycle certification information submission, the “who issues certificates takes responsibility” principal responsibility for certificate inquiry, the prohibition against repurposing the CNCA website as the certification body’s own certificate‑inquiry portal, the principal responsibility for the authenticity and completeness of certificate information, and the dynamic management mechanism for institutional qualification marks.
“守得住本心，一生一事，专注审核”。本次培训同步开展审核员职业道德与行为规范专题教育，引导全体认证人员坚守客观公正的执业初心，强化自省自查意识，摒弃浮躁功利心态，拒绝各类利益诱惑与捷径思维，深耕专业能力建设。着重强调审核人员言语修养、团队协作沟通方式，倡导虚心纳谏、务实干事的工作作风；明确要求全体人员严守信息管理纪律，抵制不实流言，恪守差旅报销廉洁底线；着重重申审核记录真实可追溯是认证公信力的生命线，审核记录务必客观、完整，忠实还原现场审核实况，严禁一切形式的虚假编造，确保认证结果经得起监管检验。对虚假记录行为明确追责导向。同时警示审核人员杜绝后期案卷质量滑坡，树立 “长跑思维”，做到慎终如始，把严谨规范落实到每一场审核、每一份案卷当中。参训人员进一步筑牢职业道德防线，明晰执业红线，为机构认证活动客观、独立、公正开展夯实思想与行为基础。"Stay true to our original aspiration; devote our lifetime to one cause and stay dedicated to auditing." Special education on auditors’ professional ethics and codes of conduct was delivered in parallel within this training. All certification personnel were guided to uphold the original aspiration of objectivity and impartiality in practice, strengthen self‑reflection and self‑inspection awareness, reject impetuous and utilitarian mentalities, resist various interest temptations and shortcut‑seeking mindsets, and commit to building solid professional competence.
Emphasis was placed on auditors’ verbal etiquette and team‑work communication approaches, advocating a work style of accepting criticism with an open mind and getting things done in a pragmatic manner. Clear requirements were set for all personnel to strictly observe information‑management disciplines, resist unfounded rumours, and keep the integrity bottom‑line for travel expense reimbursement. It was restated that true and traceable audit records constitute the lifeline of certification credibility. Audit records must be objective and complete, faithfully reproducing actual on‑site audit conditions. Fabrication of any form is strictly prohibited to ensure certification results can withstand regulatory inspections. Accountability orientation for falsified records was explicitly specified.
Meanwhile, auditors were warned against quality degradation of dossiers in later‑stage work. A "long‑run mindset" shall be established to maintain prudence from start to finish, and implement rigorous and standardized requirements in every audit activity and every dossier. The participating personnel further consolidated their professional‑ethics defence lines and clarified professional practice red‑lines, laying an ideological and behavioural foundation for the objective, independent and impartial implementation of the certification body’s certification activities.
Emphasis was placed on auditors’ verbal etiquette and team‑work communication approaches, advocating a work style of accepting criticism with an open mind and getting things done in a pragmatic manner. Clear requirements were set for all personnel to strictly observe information‑management disciplines, resist unfounded rumours, and keep the integrity bottom‑line for travel expense reimbursement. It was restated that true and traceable audit records constitute the lifeline of certification credibility. Audit records must be objective and complete, faithfully reproducing actual on‑site audit conditions. Fabrication of any form is strictly prohibited to ensure certification results can withstand regulatory inspections. Accountability orientation for falsified records was explicitly specified.
Meanwhile, auditors were warned against quality degradation of dossiers in later‑stage work. A "long‑run mindset" shall be established to maintain prudence from start to finish, and implement rigorous and standardized requirements in every audit activity and every dossier. The participating personnel further consolidated their professional‑ethics defence lines and clarified professional practice red‑lines, laying an ideological and behavioural foundation for the objective, independent and impartial implementation of the certification body’s certification activities.
由公司认证质量总监授课，围绕CNCA新版管理体系认证规则开展深度解读，聚焦规则修订变化、核心义务条款、现场审核、案卷处置、证书全生命周期管理等实操关键点进行剖析；宣贯《国家认监委关于规范服务认证的指导意见》（国认监发〔2026〕3 号）及其释义，对照文件附件清单，结合机构已获批的服务认证业务范围，重点讲解服务认证领域人员专业匹配判定逻辑、人员能力证实证据归集要求，同时对 GB/T 27207 服务认证模式选择、模式适配研判、落地应用等实操要点进行细致讲解，帮助参训关键岗位人员准确把握规则尺度，规避业务执行中的合规风险。The training was delivered by the Company’s Certification Quality Director, who provided an in‑depth interpretation of the new‑version CNAS Rules for Management System Certification. Practical operational key points including rule revision changes, core obligation clauses, on‑site audits, dossier disposition, and full‑life‑cycle management of certification certificates were analysed. He also communicated Guiding Opinions on Regulating Service Certification (Document No. Guo‑Ren‑Jian‑Fa〔2026〕No.3) issued by CNCA together with its official interpretative notes. In reference to the annex checklist attached to this document and against the scope of service certification business already approved for the certification body, he elaborated on the judging logic for personnel‑professional‑field matching in service‑certification domains and documentation‑collection requirements for evidence of personnel competence verification. Meanwhile, practical operational points concerning GB/T 27207‑2020 Conformity assessment‑Guidelines for service certification modules selection and application, such as service‑certification module selection, suitability judgement for module adaptation and practical implementation, were explained in detail. The session helped key participating personnel accurately grasp the applicable threshold of relevant rules and avoid compliance risks in business implementation
公司各项目质量负责人分领域开展授课，分别针对质量管理体系、环境管理体系、职业健康安全管理体系以及服务认证特定认证业务领域，讲解现场审核实施、案卷把控、业务处置全流程实操要点；结合全国市场监管 “双随机、一公开” 监督抽查典型案例开展问题复盘与深度风险剖析，聚焦审核人日缩水、简化认证程序、审核证据缺失、认证信息漏报迟报等监管通报高频违规情形，逐条拆解问题诱因、识别业务环节薄弱点，明确各岗位对应的风险防控措施与履职要求，强化八类关键岗位人员风险识别与前置防控能力。 Project Quality Persons‑in‑Charge of the Company delivered domain‑specific lectures covering quality management system, environmental management system, occupational health and safety management system, and specific service‑certification business areas. They illustrated practical key points throughout the whole process of on‑site audit implementation, dossier control and business disposition. With reference to typical cases from national SAMR “Dual‑Random and One‑Public” regulatory random inspections, problem reviews and in‑depth risk analysis were carried out. Focusing on high‑frequency non‑conformities notified in regulatory circulars, such as audit‑person‑day reduction, simplification of certification procedures, insufficient audit evidence, and omission or delay in certification information submission, the root causes of such problems were dissected item‑by‑item, weak links in business processes were identified, and corresponding risk‑prevention‑and‑control measures as well as performance requirements for each position were clarified. The training enhanced the risk‑identification and pre‑emptive prevention capabilities of the eight categories of statutorily‑defined key‑position personnel.
根据中国认证认可协会（CCAA）《关于举办 2026 年度 “认证技术提升周” 活动的预通知》（中认协综〔2026〕17 号）要求，北京华夏钜星质量认证有限公司（HJC）吴新平同志凭借扎实的专业功底、严谨规范的审核实践以及高质量的案例编撰水平，成功入选CCAA良好认证审核案例，正式入围2026年度“认证技术提升周”现场交流名单，为公司斩获行业荣誉，充分彰显了HJC审核团队过硬的专业实力与技术积淀。本次培训以此为契机开展CCAA良好审核案例编写思路、素材归集、遴选打磨及官方报送要求经验分享，结合吴新平同志入选案例的实操经验，讲解优秀案例选题方向、典型业务场景挖掘、素材甄别整理、文稿撰写打磨、申报材料规范报送等实操要点，引导参训人员立足审核现场做好过程素材沉淀，提升案例挖掘、编撰与申报报送能力。Pursuant to the requirements set forth in the Preliminary Notice on Holding the 2026 “Certification Technology Enhancement Week” Event (Document No. Zhong‑Ren‑Xie‑Zong〔2026〕No.17) issued by the China Certification and Accreditation Association (CCAA), Mr. Wu Xinping from Beijing Huaxia Juxing Quality Certification Co., Ltd. (HJC) was successfully selected for CCAA’s Good Certification Audit Cases and officially shortlisted for the on‑site exchange list of the 2026 “Certification Technology Enhancement Week”. This industry‑level honour was awarded to him for his solid professional expertise, rigorous and standardized audit practices, and high‑quality case compilation capability. The achievement fully demonstrates the outstanding professional competence and technical accumulation of HJC’s audit team.Taking this opportunity, this training session included experience‑sharing on CCAA good audit cases, covering ideas for case compilation, material collection, screening and refinement, as well as official submission requirements. Drawing on the practical experience from Mr. Wu Xinping’s selected case, the session elaborated on practical key points including topic‑selection directions for high‑quality cases, identification of typical business scenarios, screening and sorting‑out of source materials, drafting and polishing of manuscripts, and standardized submission of application documents. Participants were guided to accumulate process‑based materials based on real‑world audit sites, so as to improve their capabilities in case identification, compilation and application submission.
由技术部代表进行专题宣贯授课，围绕华夏钜星认证内部《认证档案评审及认证决定管理程序》《审核案卷质量分级评级标准和管理细则》等体系程序文件核心条款，结合市场监管总局《关于加强认证信息报送和认证证书信息查询管理的公告》相关改革要求，解读案卷评审、分级判定、认证决定、认证全周期信息报送、证书查询“谁发证、谁负责”、机构资质标识动态管理等履职风险点；同时结合全国市场监管 “双随机、一公开” 监督抽查典型案例开展复盘剖析，对照监管通报的审核人日缩水、简化认证程序、审核证据缺失、认证信息漏报迟报等高频违规情形，剖析问题产生根源，明确案卷编制、档案评审、认证决定、信息报送全链条岗位履职红线，强化八类关键岗位人员对机构程序文件、国家新规要求的理解掌握，推动各项制度规范落地执行。培训采取专题授课、案例研讨、集中答疑、现场闭卷考试相结合的模式。培训签到记录、培训课件、考试试卷及考核成绩全部归入个人认证人员档案，作为专职认证人员年度持续能力评价的核心输入证据，严格落实不得仅以 CCAA 注册证书替代机构继续教育与自主能力评价的监管要求。明确未完成继续教育及考核的人员，不予通过年度持续能力评价，禁止独立从事任何认证相关岗位工作。Representatives from the Technical Department gave special thematic lectures focusing on core clauses of HJC’s internal documents: Certification File Review and Certification Decision‑Making Management Procedure and Standards and Management Rules for Quality Grading and Rating of Audit Dossiers. Combined with reform requirements under the SAMR Announcement on Strengthening Certification Information Submission and the Administration of Certification Certificate Information Inquiry, they interpreted performance‑related risks concerning dossier review, grading judgment, certification decision‑making, full‑cycle certification information submission, the “who issues certificates takes responsibility” principle for certificate inquiry, and dynamic management of institutional qualification marks.Drawing on typical cases from national SAMR “Dual‑Random and One‑Public” regulatory random inspections, the training analysed root causes behind high‑frequency notified non‑conformities including audit‑person‑day reduction, simplified certification procedures, insufficient audit evidence, and omitted or delayed certification information submission. It defined practice red‑lines covering the full workflow of dossier compilation, file review, certification decision‑making and information submission, helping eight categories of statutorily‑defined key‑position personnel better grasp internal procedures and new national regulatory requirements for effective implementation of institutional specifications.
This training comprised thematic lectures, case seminars, group Q&A and on‑site closed‑book examinations. Attendance records, courseware, examination papers and scores are filed in individual certification‑personnel archives as core input evidence for annual continuous‑competence evaluation of full‑time certification staff. It strictly enforces the regulatory rule that CCAA registration certificates cannot replace in‑house continuing education and competence evaluation. Personnel failing to complete continuing‑education requirements and assessments shall not pass annual continuous‑competence evaluation and are barred from independent work in any certification‑related positions.
通过“2026年度机构合规管理与专业化能力提升暨认证人员继续教育培训活动”，进一步统一了公司各岗位认证人员对法律法规、认证规则、认可规范、认证信息报送与证书查询新规的理解执行尺度，强化高风险业务识别与认证全流程风险防控意识，压实各岗位人员对认证计划、认证结果、证书状态等信息报送，以及证书查询信息真实、准确、完整的主体责任。下一步，HJC将持续常态化推进认证人员能力培育与监视工作，严守合规底线，不断夯实认证人才队伍专业基础，严格落实认证全链条主体责任，以过硬的人员能力保障各项认证活动客观、独立、公正、规范开展，为广大客户提供专业可靠的认证技术服务。Through the 2026 Institutional Compliance Management and Professional Capacity‑Building & Continuing‑Education Training for Certification Personnel, certification staff across all positions further aligned their understanding and implementation of laws and regulations, certification rules, accreditation criteria, as well as new requirements for certification information submission and certificate inquiry. Their awareness of high‑risk business identification and full‑process certification risk prevention and control was strengthened, and every staff member’s principal responsibility for submitting information such as certification plans, certification results and certificate status, together with ensuring the authenticity, accuracy and completeness of certificate‑inquiry data, was consolidated.
Going forward, HJC will carry out regular cultivation and monitoring of certification personnel’s competence, strictly observe compliance bottom‑lines, continuously consolidate the professional foundation of its certification workforce, and fully implement principal responsibilities across the whole certification chain. With solid personnel competence, HJC will ensure all certification activities are conducted objectively, independently, impartially and compliantly, and deliver professional and reliable certification technical services for clients.
Going forward, HJC will carry out regular cultivation and monitoring of certification personnel’s competence, strictly observe compliance bottom‑lines, continuously consolidate the professional foundation of its certification workforce, and fully implement principal responsibilities across the whole certification chain. With solid personnel competence, HJC will ensure all certification activities are conducted objectively, independently, impartially and compliantly, and deliver professional and reliable certification technical services for clients.
