GB/T 39663-2021Compilation specifications of integrity report for inspection body and laboratory (English PDF)

3.1 Integrity report for inspection body and laboratory

Based on the integrity information, integrity evaluation, compliance evaluation, and compliance of the inspection and testing agency, analyze and judge its integrity status, And give the technical documents of the corresponding credit rating of the institution within a certain period.

3.2 Integrity

The honest and trustworthy behaviors and norms of individuals and (or) organizations, including the consistency of commitments and behaviors in their professional activities. [GB/T 31880-2015, definition 3.2]

3.3 Integrity evaluation

Record, analyze and evaluate the integrity status of the inspection and testing agency in a certain period, and use symbols to indicate its integrity level activities. [GB/T 36308-2018, definition 3.3]

3.4 Degreeofintegrity

The extent to which individual and/or organizational commitments are fulfilled.

3.5 Integrity degree evaluation

In order to understand its own integrity, improve the organization's integrity service awareness and integrity level, plan and design the process of obtaining integrity information.

The process of conducting investigations, calculating and analyzing the results of integrity.

3.6 Compliance

Fulfill all compliance obligations of the organization.

Note: By integrating compliance into the organizational culture and the behaviors and attitudes of its staff, compliance is made sustainable. [Rewrite GB/T 35770-2017, definition 2.17]

3.7 Complianceevaluation

In order to fulfill the commitment to comply with the requirements of laws, regulations and standards, the organization regularly evaluates the applicable laws, regulations and standards in accordance with relevant compliance standards. An evaluation activity of quasi-compliance.

3.8 Degreeofengagement

Including the ability to perform the contract and the degree of fulfilling contract responsibilities and obligations.

4.1 Authenticity

The content of the report should be true, and the collection, recording, sorting and analysis of its information can be verified and traceable.

4.2 Completeness

The content of the report should be complete, the structure should be reasonable, and meet the requirements of 5.1~5.5.

4.3 Timeliness

The content of the report should reflect the integrity of the inspection and testing agency within a certain period of time.

5 The content of the integrity report of the inspection and testing agency

5.1 Overview

The content of the integrity report of the inspection and testing agency includes. the integrity information of the inspection and testing agency, the information of the evaluation elements, the evaluation methods used and the evaluation Four parts including model and evaluation conclusion.

5.2 Integrity information of inspection and testing institutions

5.2.1 Basic information

The basic information of an inspection and testing organization includes basic information such as the name of the organization, the nature of the unit, the scope of business (inspection and testing), and the registered capital.

Capital composition and shareholders, directors and operators, employees, equipment and facilities, the number of inspection reports issued annually, by Subsidiaries and subordinate units (when applicable).

5.2.2 Financial Information

Including operating conditions, financial data (balance sheet and income statement), financial analysis (solvency, operating ability, growth ability, profitability Force analysis, etc.).

5.2.3 Social public information

Including the evaluation of the user of the inspection report, bank credit rating, litigation records, etc.

5.2.4 Industry Information

Comparison with inspection and testing institutions of the same scale in the same industry (number of people, average total income, average per capita income, per capita annual Output value, annual operating income from the median value, average number of employees from the median value, etc.).

5.3 Evaluation element information

5.3.1 General

In accordance with the requirements of GB/T 31880-2015 and GB/T 36308-2018, the evaluation element information includes compliance requirements, integrity behavior, and performance.

The five aspects of contractual capacity, integrity guarantee, and social responsibility are regarded as the basic evaluation elements.

5.3.2 Compliance requirements

It is described from four aspects. learning the law, learning the law, abiding by the law, and usage, and conforms to GB/T 36308-2018 Appendix A "Requirements of Laws and Regulations" Regulatory self-evaluation and third-party compliance evaluation.

5.3.3 Integrity behavior

Describe it from three aspects. integrity statement, contract performance, and credit restoration.

5.3.4 Ability to perform

5.3.4.1 Personnel requirements

From inspection and testing practitioners accepting laws, regulations, this standard and relevant integrity requirements training descriptions, to ensure that their practitioners have relatively high standards.

Strong sense of integrity, desire to perform and ability to perform.

5.3.4.2 Funding requirements

Analyze its capital support ability from the aspects of registered capital paid-in rate, source of funds, bank deposits, accounts receivable and payable, assets and liabilities, etc. Power and compensation capacity.

5.3.4.3 Technical requirements

Analyze and inspect seven aspects of personnel capability, equipment management, sample management, standard methods, environmental conditions, proficiency verification, and report certificates.

Inspect the technical capabilities of testing services, and perform in accordance with the requirements of 4.3.1~4.3.7 of GB/T 31880-2015 and GB/T 36308-2018 description.

5.3.4.4 Management requirements

From organization, management system, independence and impartiality, personnel management, record control, customer service, procurement, integrity culture, integrity protection, etc.

Analyze its inspection and testing service assurance capabilities, and refer to 4.4.1~4.4.9 of GB/T 31880-2015 and GB/T 36308- The 2018 corresponding terms are described.

5.3.5 Integrity Guarantee

5.3.5.3 Integrity file Describe whether the integrity file of the inspection agency and its practitioners has been established, whether the blockchain software system is used, and the integrity of the software system is Whether the file data information cannot be tampered with, cannot be forged, and traceable.

5.3.5.1 Integrity mechanism

Describe from the aspects of identification, evaluation and monitoring of integrity elements by inspection and testing agencies, including whether to establish trustworthy incentives and disciplinary mechanisms for dishonesty.

5.3.5.2 Active self-discipline

Describe according to the following requirements.

a) From proactively issuing integrity statements, integrity reports, social responsibility reports of inspection and testing institutions, and integrity evaluation reports;

b) Actively accept social supervision;

c) Actively participate in the pilot work of integrity building, actively participate in compliance evaluation and/or integrity evaluation, and actively participate in the field of inspection and testing Integrity standards formulation and revision work, etc.

5.3.5.4 Integrity

The inspection and testing organization shall regard the results of the integrity evaluation as an important part of the integrity report of the inspection and testing organization.

5.3.5.5 Fulfillment

The compliance degree of the inspection and testing agency may include but is not limited to the following.

a) Contract performance. quantitatively describe the quantity, time and content of the issued certificate (report) and the degree of compliance with the contract, which can be sampled Ways to determine the compliance degree of inspection and testing institutions;

b) Performance evaluation. inquire about the implementation of the contract from the relevant competent authority or industry association, and list the number and amount of contract disputes as black The number of lists and other evaluations of its contract and trustworthiness.

5.3.6 Social Responsibility

Inspection and testing institutions should bear the responsibilities of society and related stakeholders, such as economy, law, public welfare and charity. Social responsibility fulfillment should Comply with the relevant liability requirements in Appendix A of GB/T 36308-2018.

5.4 Evaluation methods and evaluation models adopted

5.4.1 Evaluation method

Evaluation methods can include. integrity statement, online review (including online verification), on-site review, integrity evaluation, compliance evaluation, integrity report Report, post-certification supervision, etc.

5.4.2 Evaluation Mode

In the integrity evaluation, a combination of multiple evaluation methods can be used to form different evaluation modes. Commonly used integrity evaluation model see