认证案例分析：一起典型违规认证的行政处罚
Certification : case study of typical illegal certification of administrative punishment
2010年9月9日，某质监局行政执法人员对辖区内的某电器公司依法进行管理体系认证情况检查。通过对该公司的现场检查、调查及对某认证机构进一步的调查，查明某认证机构的此项认证存在以下事实：
In September 9, 2010, the Bureau of quality supervision administrative law enforcement personnel on the area of an electrical company in accordance with the law management system certification examination. Through to the company inspection, investigation and a certification body further investigation, identification of a certification body of this certification has the following fact:
　　1.某电器公司2009年通过某认证机构ISO9001质量管理体系认证。2010年3月16日某认证机构对某电器公司进行监督审核，审核计划安排3人进行监督审核，实际只有一名实习审核员到该电器公司进行监督审核，其他两人没有到该电器公司进行审核，《不符合项通知单》中审核组长的签字是由实习审核员代签的。同时，某认证机构没有向该电器公司提供监督审核报告。某认证机构未实施有效的跟踪调查，违反了《中华人民共和国认证认可条例》第二十七条之规定。
An electrical company in 2009 1 by a certification body ISO9001 quality management system certification. In March 16, 2010 a certification body for an electric appliance company supervision and audit, the audit plan arranges 3 people to monitor and audit, actually only a internship auditors to the electric company supervision and audit, the other two were not to the electric company for review," non-conformance notice" in the audit team leader signature by auditors-in-training signed on behalf of the. At the same time, a certification body to the electric company to provide supervision and audit report. A certification institution fails to implement effective tracking survey, in violation of the" law of the people's Republic of China Certification and Accreditation" the twenty-seventh regulation.
　　2.某电器公司2009年是按照ISO9001：2000标准取得认证证书的，某认证机构实习审核员在监督审核时向某电器公司提供了符合ISO9001：2008标准的质量管理体系文件，向某电器公司提供咨询服务。某认证机构的行为不符合《管理体系认证机构要求》（CNAS-CC01）第4.2条款“公正性”的规定，在此不符合法定条件下，某认证机构违反了《中华人民共和国认证认可条例》第二十七条之规定。
2 an electrical company in 2009 is in accordance with ISO9001: 2000 standard certification, a certification body auditors in the audit practice of supervision to an electric appliance company provides the ISO9001 : 2008 quality management system documents, to an electric appliance company to provide advisory services. A certification body does not act in line with the" management system certification body requirements" ( CNAS-CC01 ) Article 4.2" fairness " provisions, this does not meet the statutory conditions, a certification institution in violation of the" law of the people's Republic of China Certification and Accreditation" the twenty-seventh regulation.
　　在案件调查过程中，某认证机构积极配合调查，采取了纠正措施，未产生严重后果。2010年11月2日，某质监局向某认证机构送达了行政处罚告知书，告知其听证权力，被处罚人主动放弃听证权力。
In the case of the course of the investigation, a certification body to actively cooperate with the investigation, corrective actions are taken, without resulting in serious consequences. In November 2, 2010, the Quality Supervision Bureau to a certification authority service administrative penalty notice, inform their hearing power, be punished people give up hearing power.
　　处理
Handle
　　某质监局经审理认定某认证机构的违规认证行为，违反了《中华人民共和国认证认可条例》第二十七条之规定，根据该条例第六十条第一款第三项的规定，应当承担法律责任。某认证机构积极配合该局的调查，采取了纠正措施，本案未产生严重后果。该局决定对某认证机构从轻给予行政处罚：1.责令改正；2.处以5万元罚款。处罚决定送达后，被处罚人未申请复议或起诉，并已积极履行行政处罚决定。
A Quality Supervision Bureau after hearing that a certification body certification irregularities, in violation of the" law of the people's Republic of China Certification and Accreditation" of the provisions of article twenty-seventh, according to the regulations of the sixtieth the first three provisions, he shall assume legal responsibility. A certification body to actively cooperate with the Bureau of investigation, corrective actions are taken, the case did not have serious consequences. The Council decided on a certification body: 1 give a lighter administrative punishment shall be ordered to correct; 2 punishable by a fine of 50000 yuan. Service punishment decision, the punishee does not apply for reconsideration or prosecution, and has been actively performing the administrative punishment decision.
　　分析
Analysis
　　1.准确定性，理清法律关系。根据初步掌握的情况，执法人员认为，本案应首先考虑认证机构的违规认证问题，而不是认证企业的质量违法，因此应当以违规认证立案；违规认证的行为人是某认证机构，故该认证机构应当为本案的当事人。行为发生的事实则在本地某企业，但本地某企业是认证行为的对象，而不是认证主体，因而在本案中其地位只能是证人。此后的立案和调查都是围绕这个思路进行，这是本案顺利调查和正确处理的基础。