萊萊萊萊因因因因 TÜV 集團大中華區集團大中華區集團大中華區集團大中華區

一般商業條款和條件一般商業條款和條件一般商業條款和條件一般商業條款和條件

1. 適應範圍適應範圍適應範圍適應範圍

1.1 《萊因 TÜV 集團大中華區一般商業條款和條件》（以下稱“本條

款和條件”）由客戶及視具體情形而定的一家或多家萊因 TÜV 集

團大中華區的成員公司（以下合稱或單稱“萊因公司”）共同達

成。

1.2 本條款和條件適用于客戶和萊因公司所約定的各類服務，包括咨詢

服務、信息服務、服務交付及類似服務，也包括合同履行範圍內所

提供的配套服務和其他相關服務。

1.3 任何客戶的標准條款和條件均不適用，並在此被明確予以排除。即

使萊因公司並未明確表示反對適用客戶的標准條款和條件，客戶的

標准條款和條件也不得作爲合同履行之一部分。

2. 報價的修改報價的修改報價的修改報價的修改

除非另有不同約定，在報價被客戶接受或確認之前，萊因公司可對

其所提出的任何報價進行更改，而無需事先通知客戶。 3. 合同生效與有效期合同生效與有效期合同生效與有效期合同生效與有效期

3.1 如萊因公司和客戶簽訂了萊因公司的報價單或單獨的合同文件，或

萊因公司已經執行了客戶要求履行的工作，合同即在約定的條款和

條件下生效。如客戶在未收到萊因公司報價的情況下對萊因公司發

出訂單指令，則萊因公司有權自行決定是否接受該訂單；如接受，

則會發出書面接受通知（包括以電子方式發出的通知）或履行所請

求的服務。

3.2 合同的有效期從合同根據前述第 3.1 條生效時起算，在合同約定的

期限內有效。

3.3 如合同對合同有效期的延長作出規定，且任何一方均未在合同終止

前六周內提出書面通知終止合同，則合同的有效期按合同所約定的

期限延長。 4. 服務範圍服務範圍服務範圍服務範圍

4.1 合同的服務範圍應完全按照合同雙方所提出的一致聲明加以確定。

如無此聲明，則以經書面確認的訂單所明確約定的服務範圍爲准。

4.2 履行約定服務時應遵守合同訂立時已生效的各項法規。

4.3 除非另有書面約定或強制性規定要求遵循特定的程序，否則，萊因

公司有權自行全權決定提供服務的方式與性質。

4.4 執行工作時，對于萊因公司將要測試或檢查的部件、裝置整體及其

上遊和/或下遊的程序、組織、使用與應用，以及裝置所基于的系

統，萊因公司不會保證其正確性（包括符合質量要求），亦不會保

證其將會正常運行。除非在合同中有明確約定，否則，萊因公司不

對所測試或檢查的裝置的建設、安裝或材料選擇承擔任何責任；萊

因公司亦不對該等裝置的合法使用與應用承擔任何責任。

4.5 除非另有書面約定，在執行檢查任務時，對于檢查所基于的安全計

劃或安全法規，萊因公司不對其准確性負責，萊因公司亦沒有責任

檢查該等安全計劃或安全法規。

5. 履約期限履約期限履約期限履約期限/日期日期日期日期

5.1 合同約定的履約期限/日期系根據所需的工作量而得出的預計工作進

程，而所需的工作量是根據客戶提供的工作細節估算出來的。履約

期限/日期僅僅在萊因公司書面確認其具有約束力後才會對萊因公司

具有約束力。

5.2 若雙方已約定具約束力的履約期限，則只有在客戶向萊因公司提交

完成工作所需的全部文件後該等履約期限才開始計算。

5.3 如果並非由于萊因公司的原因而需要延長履約期限/日期，即便沒有

客戶的明確同意，上述第 5.1 條和 5.2 條同樣適用于延期後的履約

期限/日期。

6. 客戶的合作義務客戶的合作義務客戶的合作義務客戶的合作義務

6.1 客戶應保證其自身、代理人或第三方會及時迅速地向萊因公司提供

完成工作所需的協助與合作，且不會因此給萊因公司産生任何額外

的開支和費用。

6.2 客戶應向萊因公司免費提供履行服務所必需的設計文件、耗材、配

套人員等。客戶必須承諾遵守相關的法律規定、標准、安全規定以

及事故防範規定。

6.3 如果客戶遲延提供完成工作所需的信息，或客戶提供了不正確或不

完整的信息，或客戶無法提供適當的協助或合作，從而導致工作需

要重做或工作進程發生遲延，由此所産生的額外成本應由客戶承

擔。在這種情況下，即便客戶和萊因公司約定了服務的固定價格或

最高價格，萊因公司仍有權對額外産生的成本另行收費。 7. 服務價格服務價格服務價格服務價格

7.1 若客戶下訂單時未以書面形式確定履約範圍，則萊因公司應根據實

際産生的費用開具發票。若客戶和萊因公司未以書面形式約定價

格，則萊因公司應根據履行服務時有效的萊因公司的標准價目表計

算出服務費用，並開具發票。

7.2 如未另行約定，萊因公司應根據服務的進展情況階段性地收取相應

的服務費用。

7.3 若履行訂單的時間超過一個月，且合同總價或所約定的固定價格超

過 2,500 歐元或以當地貨幣計算的等值金額，萊因公司可要求付款

人支付預付款或分期支付服務費。

8. 付款付款付款付款

8.1 付款人收到發票後，所有發票金額即爲全額到期應付。萊因公司不

會給予任何折扣。

8.2 付款人應將款項打入發票所示的萊因公司銀行賬戶，發票會注明發

票金額與客戶編號。

8.3 若付款人未能支付款項，萊因公司有權要求其支付違約利息，違約

利息的利率應爲萊因公司所在地知名商業銀行的同期短期貸款利

率。同時，萊因公司保留要求進一步賠償的權利。

8.4 若在已給予合理寬限期的情況下，付款人仍無法按發票金額付款，

萊因公司有權取消合同、收回證書、要求違約賠償金，並有權拒絕

繼續履行合同。

8.5 前述第 8.4 條中規定的條款同樣適用于支票被退回、付款中止、啓

動針對客戶資産的破産程序或因客戶資産不足而被終止破産程序的

情況。

8.6 對萊因公司發票的異議應以書面形式于收到發票後兩周內提出。

8.7 萊因公司有權要求客戶支付適當的預付款。

8.8 若一般費用和/或采購成本上漲，萊因公司有權在月初提高服務費，

並以書面形式通知客戶。提高服務費的通知應在新的價格生效之前

一個月發出（價格變更通知期）。若每合同年度服務費的漲幅不超

過5%，則客戶無權終止合同。若每合同年度服務費的漲幅超過

5%，則客戶有權在價格變更通知期結束時終止合同。若客戶未終

止合同，則視爲客戶在價格變更通知期到期時同意適用新的服務

費。

8.9 只有有法律依據的且無爭議的客戶賠償主張方可與萊因公司提出的

賠償主張相互抵銷。

9. 服務的接受服務的接受服務的接受服務的接受

9.1 萊因公司可以將已經完成的且本身爲完整部分的工作成果分階段交

付給客戶，要求客戶接受。客戶應立即接受萊因公司所交付的工

作。

9.2 如客戶無法立刻接受萊因公司所交付的工作，且萊因公司在工作完

成後已特別提醒客戶合同規定的接受期限，則視爲客戶在工作完成

後的四個日曆周後已接受萊因公司交付的工作。

10. 保密保密保密保密

10.1 爲本條款和條件的目的，“保密信息” 系指一方（“披露方”） 向另一

方（“接受方”） 移交、轉移或以其他方式披露的所有信息、文件、

圖片、圖紙、技術訣竅、數據、樣本以及項目文檔。保密信息也包

括上述信息的紙質和電子形式的副本。

10.2 在向接受方披露之前，披露方應將披露的所有保密信息以書面形式

標示爲“保密”。 此規定同樣適用于以電子郵件形式發送的保密信息

。如保密信息是以口頭形式披露的，披露方應提前以適當的形式告

知接受方，同時應在口頭披露後的五個工作日內以書面形式確認信

息的保密性質。如披露方在規定期限內未確認口頭披露之信息的保

密性質，則接受方不會對該等信息繼續承擔本條款和條件下約定的

任何保密義務。

10.3 對于在履行合同期間由披露方向接受方發送或以其他形式披露的所

有保密信息：

a) 除披露方以書面形式另行明確約定外，僅供接受方爲履行合同

之目的使用；

b) 除爲履行合同所必需或萊因公司必須向政府部門、法院、認可

機構或參與合同履行的第三方遞交保密信息、檢驗報告或文檔

之外，接受方不得複制、傳播、公開或以其他形式披露；

c) 接受方必須以保護其自身保密信息的保密程度保護披露方的保

密信息，但在任何情況下所采取的保密程度絕不可低于合理所

必須的程度。

10.4 接受方可將披露方的保密信息披露給需要這些信息以履行合同所要

求之服務的雇員。接受方承諾令其雇員遵守本保密條款所規定的保

密義務。

10.5 如接受方可證明披露方披露的信息存在如下任一情形：

a) 披露時已被公衆所知悉的信息，或並非由于接受方違反本保密

條款而爲公衆所知悉的信息；

b) 由有權披露信息的第三方向接受方披露的信息；

c) 接受方在披露方披露前即已獲知的信息；

d) 接受方完全自行開發的信息，不論披露方是否披露該等信息，

則該等信息不被視爲本保密條款所規定的“保密信息”。

10.6 所有保密信息仍然是披露方的專有財産。接受方在此同意，任何時

候經披露方要求（如披露方無特殊要求，則最遲在合同終止或合同

期限屆滿後），接受方將（1）立即向披露方歸還全部保密信息，

包括所有副本；並/或（2）按照披露方的要求銷毀全部保密信息，

包括所有副本，同時向披露方以書面形式確認保密信息已銷毀。上

述義務不適用于萊因公司專爲履行合同義務爲客戶制作的報告和證

書。此類報告和證書歸客戶所有。萊因公司有權複制此類報告、證

書以及作爲此類報告和證書之依據的保密信息，以證實報告或證書

結果的正確性或爲履行法律、法規以及萊因公司工作規程所要求的

文檔保存程序。

10.7 自合同生效起至合同終止或合同有效期到期後的三年內，接受方應

對所有保密信息嚴格保密，不得向第三方披露或爲自身利益使用保

密信息。

11. 版權版權版權版權

11.1 萊因公司享有對于由萊因公司出具的專家報告、測試結果、算法以

及報告等文件的排他性專有著作權。

11.2 客戶僅可按合同約定的用途使用萊因公司在合同範圍內准備的各類

專家報告、測試結果、算法以及報告等文件。

11.3 客戶必須使用完整且並未做任何刪減的測試報告、測試結果、專家

報告等文件。如出于廣告目的需要公開或複制該等文件，客戶必須

提前獲得萊因公司的書面同意。

12. 萊萊萊萊因因因因公司的賠償責任公司的賠償責任公司的賠償責任公司的賠償責任

12.1 不論基于任何法律依據，如萊因公司違反合同義務或構成侵權，對

于萊因公司、其法定代表人和/或雇員所造成的一切損害、損失或費

用賠償責任，萊因公司所承擔的最高責任不得超過：（1）合同總

價的三倍，如果合同中確定了固定總價；（2）合同約定的每年的

服務費，如果合同約定的是每年重複提供的服務；（3）20,000 歐

元或用當地貨幣表示的等值金額，如果合同明確約定服務是根據時

間和材料計算費用的；（4）相當于出現損害或損失的單個訂單的

價格的三倍，如果雙方簽訂的是可以下單個訂單的框架協議。盡管

有前述約定，如果根據前述約定累積的總責任金額超過 250 萬歐元

或用當地貨幣表示的等值金額，則萊因公司所需承擔的最大責任不

得超過且僅僅限于 250 萬歐元或用當地貨幣表示的等值金額。

12.2 前述第 12.1 條規定的賠償限額對因萊因公司或其代理人的惡意、

故意或重大過失所造成的損害和/或損失沒有做出限制。該責任限制

條款也不對死亡、人身傷害或疾病的賠償做出限制。

12.3 如果萊因公司的違約系重大違約，則萊因公司對于輕微過失所造成

的重大違約仍需承擔責任。此處的“重大違約” 指未履行適當履行合

同所要求履行的實質性合同義務。如無第 12.2 條所約定的情形，

重大違約的責任應僅限于在違約時可合理預見的由重大違約可能造

成的損害（可預見的合理損害）。

12.4 對于客戶爲支持萊因公司履行合同而向萊因公司提供的人員，除非

該等人員被視作萊因公司的代理人，則萊因公司對該等人員的行爲

不承擔任何責任。如萊因公司根據前述條款不對任何客戶人員的行

爲承擔責任，則客戶應向萊因公司賠償該等人員的行爲所引起的或

與該等人員的行爲有關的第三方向萊因公司提出的全部索賠。

12.5 可以提出索賠的期限以法律規定的訴訟時效爲准。

12.6 本第 12 條中的任何規定不會改變提出對客戶不利的證據的舉證責

任。

13. 條款部分無效條款部分無效條款部分無效條款部分無效、、、、書面形式書面形式書面形式書面形式、、、、管轄法律與爭議解決管轄法律與爭議解決管轄法律與爭議解決管轄法律與爭議解決

13.1 所有對本條款和條件的修訂與補充必須以書面形式作出方可生效。

此規定同樣適用對本第 13.1 條所做的修訂和補充。

13.2 如合同及/或本條款和條件的一項或多項規定無效或變爲無效，則合

同雙方應將該無效條款替換爲法律和商業上最接近無效條款內容的

合法有效條款。

13.3 除非合同中有不同約定，否則，應按照以下原則選擇合同以及本條

款和條件的適用法律：

a) 若作爲合同一方的萊因公司爲在中華人民共和國合法注冊和存

續的實體，則合同雙方在此一致同意合同及本條款和條件受中

華人民共和國法律管轄。

b) 若作爲合同一方的萊因公司爲在台湾合法注冊和存續的實體，

則合同雙方在此一致同意合同及本條款和條件受台湾法律管

轄。

c) 若作爲合同一方的萊因公司爲在香港合法注冊和存續的實體，

則合同雙方在此一致同意合同及本條款和條件受香港法律管

轄。

13.4 與合同及本條款和條件及其執行有關的任何爭議，雙方應通過友好

協商解決。

除非合同中有不同約定，如自爭議發生之日起兩個月內協商不成或

無法就延長協商期限達成一致，雙方同意：

a) 若作爲合同一方的萊因公司爲在中華人民共和國合法注冊和存

續的實體，應將爭議提交至中國國際經濟貿易仲裁委員會

（CIETAC）按照其當時有效的仲裁規則進行仲裁。仲裁地點

由提請仲裁的一方從北京、上海、深圳或重慶四個地點中酌情

選擇一個適合的仲裁地點。

b) 若作爲合同一方的萊因公司爲在台湾合法注冊和存續的實體，

應將爭議提交至中華仲裁協會台北分會，按照其當時有效的仲

裁規則進行仲裁。仲裁地點在台北。

c) 若作爲合同一方的萊因公司爲在香港合法注冊和存續的實體，

則應將爭議提交至香港國際仲裁中心（HKIAC），按照提交仲

裁時有效的仲裁規則進行仲裁。仲裁地點在香港。

上述仲裁機構做出的裁決是終局的，對雙方均具有約束力。仲裁費

用由敗訴方承擔。

2013 年 2 月

1

General Terms and Conditions of Business of TÜV Rhe inland in Greater China

1. Scope

1.1 These General Terms and Conditions of Business of TUV Rheinland in Greater China is made between the client and one or more member entities of TUV Rheinland in Greater China as applicable as the case may be (“TÜV Rheinland”).

1.2 The following terms and conditions apply to agreed services including consultancy services, information, deliveries and similar services as well as ancillary services and other secondary obligations provided within the scope of contract performance.

1.3 Any standard terms and conditions of the client of any nature shall not apply and shall hereby be expressly excluded. No standard contractual terms and conditions of the client shall form part of the contract even if TÜV Rheinland does not explicitly object to them.

2. Quotations

Unless otherwise agreed, all quotations submitted by TÜV Rheinland can be changed by TÜV Rheinland without notice prior to its acceptance and confirmation by the other party.

3. Coming into effect and duration of contracts

3.1 The contract shall come into effect for the agreed terms upon the quotation letter of TÜV Rheinland or a separate contractual document being signed by both contracting parties, or upon the works requested by the client being carried out by TÜV Rheinland. If the client instructs TÜV Rheinland without receiving a quotation from TÜV Rheinland (quotation), TÜV Rheinland is, in its sole discretion, entitled to accept the order by giving written notice of such acceptance (including notice sent via electronic means) or by performing the requested services.

3.2 The contract term starts upon the coming into effect of the contract in accordance with article 3.1 and shall continue for the term agreed in the contract.

3.3 If the contract provides for an extension of the contract term, the contract term will be extended by the term provided for in the contract unless terminated in writing by either party with a six-week notice prior to the end of the contractual term.

4. Scope of services

4.1 The scope of the services shall be decided solely by a unanimous declaration issued by both parties. If no such declaration exists, then the written confirmation of order by TÜV Rheinland shall be decisive.

4.2 The agreed services shall be performed in compliance with the regulations in force at the time the contract is entered into.

4.3 TÜV Rheinland is entitled to determine, in its sole discretion, the method and nature of the assessment unless otherwise agreed in writing or if mandatory provisions require a specific procedure to be followed.

4.4 On execution of the work there shall be no simultaneous assumption of any guarantee of the correctness (proper quality) and working order of either tested or examined parts nor of the installation as a whole and its upstream and/or downstream processes, organisations, use and application in accordance with regulations, nor of the systems on which the installation is based. In particular, TÜV Rheinland shall assume no responsibility for the construction, selection of materials and assembly of installations examined, nor for their use and application in accordance with regulations unless these questions are expressly covered by the contract.

4.5 In the case of inspection work, TÜV Rheinland shall not be responsible for the accuracy or checking of the safety programmes or safety regulations on which the inspections are based, unless otherwise expressly agreed in writing.

5. Performance periods/dates

5.1 The contractually agreed periods/dates of performance are based on estimates of the work involved which are prepared in line with the details provided by the client. They shall only be binding if being confirmed as binding by TÜV Rheinland in writing.

5.2 If binding periods of performance have been agreed, these periods shall not commence until the client has submitted all required documents to TÜV Rheinland.

5.3 Articles 5.1 and 5.2 also apply, even without express approval by the client, to all extensions of agreed periods/dates of performance not caused by TÜV Rheinland.

6. The client’s obligation to cooperate

6.1 The client shall guarantee that all cooperation required on its part, its agents or third parties will be provided in good time and at no cost to TÜV Rheinland.

6.2 Design documents, supplies, auxiliary staff, etc. necessary for performance of the services shall be made available free of charge by the client. Moreover, collaborative action of the client must be undertaken in accordance with legal provisions, standards, safety regulations and accident prevention instructions.

6.3 The client shall bear any additional cost incurred on account of work having to be redone or being delayed as a result of late, incorrect or incomplete information provided by or lack of proper cooperation from the client. Even where a fixed or maximum price is agreed, TÜV Rheinland shall be entitled to charge extra fees for such additional expense.

7. Invoicing of work

7.1 If the scope of performance is not laid down in writing when the order is placed, invoicing shall be based on costs actually incurred. If no price is agreed in writing, invoicing shall be made in accordance with the price list of TÜV Rheinland valid at the time of performance.

7.2 Unless otherwise agreed, work shall be invoiced according to the progress of the work.

7.3 If the execution of an order extends over more than one month and the value of the contract or the agreed fixed price exceeds €2,500.00 or equivalent value in local currency, TÜV Rheinland may demand payments on account or in instalments.

8. Payment terms

8.1 All invoice amounts shall be due for payment without deduction on receipt of the invoice. No discounts shall be granted.

8.2 Payments shall be made to the bank account of TÜV Rheinland as indicated on the invoice, stating the invoice and customer numbers.

8.3 In cases of default of payment, TÜV Rheinland shall be entitled to claim default interest at the applicable short term loan interest rate publicly announced by a reputable commercial bank in the country where TÜV Rheinland is located. At the same time, TÜV Rheinland reserves the right to claim further damages.

8.4 Should the client default in payment of the invoice despite being granted a reasonable grace period, TÜV Rheinland shall be entitled to cancel the contract, withdraw the certificate, claim damages for non-performance and refuse to continue performance of the contract.

8.5 The provisions set forth in article 8.4 shall also apply in cases involving returned cheques, cessation of payment, commencement of insolvency proceedings against the client’s assets or cases in which the commencement of insolvency proceedings has been dismissed due to lack of assets.

8.6 Objections to the invoices of TÜV Rheinland shall be submitted in writing within two weeks of receipt of the invoice.

8.7 TÜV Rheinland shall be entitled to demand appropriate advance payments. 8.8 TÜV Rheinland shall be entitled to raise its fees at the beginning of a month

if overheads and/or purchase costs have increased. In this case, TÜV Rheinland shall notify the client in writing of the rise in fees. This notification shall be issued one month prior to the date on which the rise in fees shall come into effect (period of notice of changes in fees). If the rise in fees remains under 5% per contractual year, the client shall not have the right to terminate the contract. If the rise in fees exceeds 5% per contractual year, the client shall be entitled to terminate the contract by the end of the period of notice of changes in fees. If the contract is not terminated, the changed fees shall be deemed to have been agreed upon by the time of the expiry of the notice period.

8.9 Only legally established and undisputed claims may be offset against claims by TÜV Rheinland.

9. Acceptance

9.1 Any part of the work ordered which is complete in itself may be presented by TÜV Rheinland for acceptance as an instalment. The client shall be obliged to accept it immediately.

9.2 If the client fails to fulfil its acceptance obligation immediately, acceptance shall be deemed to have taken place 4 calendar weeks after completion of the work provided that TÜV Rheinland has specifically made the client aware of the aforementioned deadline upon completion of the work.

10. Confidentiality

10.1 For the purpose of these terms and conditions, “confidential information” means all information, documents, images, drawings, know-how, data, samples and project documentation which one party (the “disclosing party”) hands over, transfers or otherwise discloses to the other party (the “receiving party”). Confidential information also includes paper copies and electronic copies of such information.

10.2 The disclosing party shall mark all confidential information disclosed in written form as confidential before passing it onto the receiving party. The

2

same applies to confidential information transmitted by e-mail. If confidential information is disclosed orally, the receiving party shall be appropriately informed in advance and the disclosing party shall cconfirm in writing the confidentiality nature of the information within five working days of oral disclosure. Where the disclosing party fails to do so within the stipulated period, the receiving party shall not take any confidentiality obligations hereunder towards such information.

10.3 All confidential information which the disclosing party transmits or otherwise discloses to the receiving party during performance of work by TÜV Rheinland: a) may only be used by the receiving party for the purposes of performing the contract, unless expressly otherwise agreed in writing by the disclosing party; b) may not be copied, distributed, published or otherwise disclosed by the receiving party, unless this is necessary for fulfilling the purpose of the contract or TÜV Rheinland is required to pass on confidential information, inspection reports or documentation to the government authorities, judicial court, accreditation bodies or third parties that are involved in the performance of the contract; c) must be treated by the receiving party with the same level of confidentiality as the receiving party uses to protect its own confidential information, but never with a lesser level of confidentiality than that which is reasonably required.

10.4 The receiving party may disclose any confidential information received from the disclosing party only to those of its employees who need this information to perform the services required for the contract. The receiving party undertakes to oblige these employees to observe the same level of secrecy as set forth in this confidentiality clause.

10.5 Information for which the receiving party can furnish proof that: a) it was generally known at the time of disclosure or has become general knowledge without violation of this confidentiality clause by the receiving party; or b) it was disclosed to the receiving party by a third party entitled to disclose this information; or c) the receiving party already possessed this information prior to disclosure by the disclosing party; or d) the receiving party developed it itself, irrespective of disclosure by the disclosing party, shall not be deemed to constitute “confidential information” as defined in this confidentiality clause.

10.6 All confidential information shall remain the property of the disclosing party. The receiving party hereby agrees to immediately (i) return all confidential information, including all copies, to the disclosing party, and/or (ii) on request by the disclosing party, to destroy all confidential information, including all copies, and confirm the destruction of this confidential information to the disclosing party in writing, at any time if so requested by the disclosing party but at the latest and without special request after termination or expiry of the contract. This does not extend to include reports and certificates prepared for the client solely for the purpose of fulfilling the obligations under the contract, which shall remain with the client. However, TÜV Rheinland is entitled to make file copies of such reports, certificates and confidential information that forms the basis for preparing these reports and certificates in order to evidence the correctness of its results and for general documentation purposes required by laws, regulations and the requirements of working procedures of TÜV Rheinland.

10.7 From the start of the contract and for a period of three years after termination or expiry of the contract, the receiving party shall maintain strict secrecy of all confidential information and shall not disclose this information to any third parties or use it for itself.

11. Copyrights

11.1 TÜV Rheinland shall retain all exclusive copyrights in the expert reports, test results, calculations, presentations etc. prepared by TÜV Rheinland.

11.2 The client may only use such expert reports, test results, calculations, presentations etc. prepared within the scope of the contract for the contractually agreed purpose.

11.3 The client may use test reports, test results, expert reports, etc. only complete and unshortened. Any publication or duplication for advertising purposes needs the prior written approval of TÜV Rheinland.

12. Liability of TÜV Rheinland

12.1. Irrespective of the legal basis, in the event of a breach of contractual obligations or tort, the liability of TÜV Rheinland for all damages, losses and reimbursement of expenses caused by TÜV Rheinland, its legal representatives and/or employees shall be limited to: (i) in the case of a contract with a fixed overall fee, three times the overall fee for the entire contract; (ii) in the case of a contract for annually recurring services, the agreed annual fee; (iii) in the case of a contract expressly charged on a time and material basis, a maximum of 20,000 Euro or equivalent amount in local currency; and (iv) in the case of a framework agreement that provides for the possibility of placing individual orders, three times of the fee for the individual order under which the damages or losses have

occurred. Notwithstanding the above, in the event that the total and accumulated liability calculated according to the foregoing provisions exceeds 2.5 Million Euro or equivalent amount in local currency, the total and accumulated liability of TÜV Rheinland shall be only limited to and shall not exceed the said 2.5 Million Euro or equivalent amount in local currency.

12.2 The limitation of liability according to article 12.1 above shall not apply to damages and/or losses caused by malice, intent or gross negligence on the part of TÜV Rheinland or its vicarious agents. Such limitation shall not apply to damages for a person’s death, physical injury or illness.

12.3 In cases involving a fundamental breach of contract, TÜV Rheinland will be liable even where minor negligence is involved. For this purpose, a “fundamental breach” is breach of a material contractual obligation, the performance of which permits the due performance of the contract. Any claim for damages for a fundamental breach of contract shall be limited to the amount of damages reasonably foreseen as a possible consequence of such breach of contract at the time of the breach (reasonably foreseeable damages), unless any of the circumstances described in article 12.2 applies.

12.4 TÜV Rheinland shall not be liable for the acts of the personnel made available by the client to support TÜV Rheinland in the performance of its services under the contract, unless such personnel made available is regarded as vicarious agent of TÜV Rheinland. If TÜV Rheinland is not liable for the acts of the personnel made available by the client under the foregoing provision, the client shall indemnify TÜV Rheinland against any claims made by third parties arising from or in connection with such personnel’s acts.

12.5 The limitation periods for claims for damages shall be based on statutory provisions.

12.6 None of the provisions of this article 12 changes the burden of proof to the disadvantage of the client.

13. Partial invalidity, written form, place of juri sdiction and dispute

resolution

13.1 All amendments and supplements must be in writing in order to be effective. This also applies to amendments and supplements to this clause 13.1.

13.2 Should one or several of the provisions under the contract and/or these terms and conditions be or become ineffective, the contracting parties shall replace the invalid provision with a legally valid provision that comes closest to the content of the invalid provision in legal and commercial terms.

13.3 Unless otherwise stipulated in the contract, the governing law of the contract and these terms and conditions shall be chosen following the rules as below: a) if TÜV Rheinland in question is legally registered and existing in the People’s Republic of China, the contracting parties hereby agree that the contract and these terms and conditions shall be governed by the laws of the People’s Republic of China. b) if TÜV Rheinland in question is legally registered and existing in Taiwan, the contracting parties hereby agree that the contract and these terms and conditions shall be governed by the laws of Taiwan. c) if TÜV Rheinland in question is legally registered and existing in Hong Kong, the contracting parties hereby agree that the contract and these terms and conditions shall be governed by the laws of Hong Kong.

13.4 Any dispute in connection with the contract and these terms and conditions or the execution thereof shall be settled friendly through negotiations. Unless otherwise stipulated in the contract, if no settlement or no agreement in respect of the extension of the negotiation period can be reached within two months of the arising of the dispute, the dispute shall be submitted: a) in the case of TÜV Rheinland in question being legally registered and existing in the People’s Republic of China, to China International Economic and Trade Arbitration Commission (CIETAC) to be settled by arbitration under the Arbitration Rules of CIETAC in force when the arbitration is submitted. The arbitration shall take place in Beijing, Shanghai, Shenzhen or Chongqing as appropriately chosen by the claiming party. b) in the case of TÜV Rheinland in question being legally registered and existing in Taiwan, to Chinese Arbitration Association Taipei Branch to be arbitrated in accordance with its then current Rules of Arbitration. The arbitration shall take place in Taipei. c) in the case of TÜV Rheinland being legally registered and existing in Hong Kong, to Hong Kong International Arbitration Centre (HKIAC) to be settled by arbitration under the HKIAC Administered Arbitration Rules in force when the Notice of Arbitration is submitted in accordance with these rules. The arbitration shall take place in Hong Kong. The decision of the relevant arbitration tribunal shall be final and binding on both parties. The arbitration fee shall be borne by the losing party.

February 2013

Version No. 10.3 Date: 1 May 2017 Page 1 of 3

Terms and Conditions of Certification of TÜV Rheinland Group in Greater China

I. General Terms and Conditions of Certification

1 Scope

1.1 These Terms and Conditions of Certification apply to the agreed certification services plus any ancillary services provided within the scope of contract performance and any other ancillary duties.

1.2 These Terms and Conditions of Certification prevail over our General Terms and Conditions of Business.

1.3 The client’s General Terms and Conditions of Business, including the client’s terms and conditions of purchasing, if any, shall not apply and shall hereby be expressly excluded. Terms and conditions by the client will not become part of this contract even if not expressly excluded by us.

1.4 For the purpose of these Terms and Conditions of Certification, the term "Accreditation Body" will also include approval and recognition bodies and the terms "Accreditation Rules", "Accreditation Requirements" and "Accreditation Procedures" will apply mutatis mutandis also to the procedures of these bodies.

2 Scope of services

2.1 We assess and certify systems and products of manufacturers and service providers as per national or international standards for which we hold accreditations, approvals or recognitions (“accredited certification“) or as per national or international standards for which we do not hold accreditation (”standard certification“) and also provide own third-party certification services (”in-house standards”).

2.2 The agreed services shall be provided in line with the generally accepted rules of technology and in compliance with the regulations applicable at the time of contract conclusion. Unless otherwise agreed in writing or unless a certain approach is compulsory on the basis of mandatory regulations, we shall also be authorized, at our reasonable discretion, to make our own decision concerning the method and type of assessment.

2.3 We carry out accredited certification as per the standard agreed in the contract and/or the rules and regulations referred to therein, including the generally applicable accreditation standards pertaining to the specific certification standard, the certification standards plus all relevant application guidelines and the accreditation requirements defined by the competent accreditation body. Should the audit reveal that a higher number of auditor days will be necessary to comply with the accreditation requirements, the client shall bear any additional costs incurred thereby, unless we are to blame for these additional costs.

Standard certifications are carried out in line with the respective national or international standards.

Certification procedures to issue in-house certificates are carried out in line with the rules and regulations established by us.

2.4 If certification is completed with a positive result, the appropriate certificate will be issued as set forth in Article 3 of these General Terms and Conditions of Certification.

2.5 The client shall be entitled to object to the appointment of certain auditors or technical experts, provided the client has and submits good reasons for objection.

2.6 The client’s approval shall be obtained before auditors who are not permanently employed with TÜV Rheinland Group (external auditors) are appointed to and used in the audit team. Approval shall be deemed granted if the client has not objected to the use of external auditors within one week of being notified of the external auditor’s appointment to the audit team.

2.7 For accredited certification processes, the client agrees that the accreditation body's or standard owner’s assessors may verify the client's documentation and may participate in monitoring of the audit.

2.8 In cases of complaints and appeals against progress or the content of our auditing or certification process, the Governing Board or an arbitration committee may be called in with the client’s approval.

2.9 The client has the right to appeal against the certification decision.

3 Scope of right of use of certificates and certification marks

3.1 If the agreed certification procedure is completed successfully, we will issue the corresponding certificate to the client. The certificate shall be valid for the period defined in the contract or, if not defined there, in our Special Terms and Conditions of Certification.

3.2 Upon being issued with the certificate as outlined in Article 3.1 above, the client shall be granted the simple, non-transferable and non-exclusive right to use the certification mark throughout the defined certificate validity as outlined in Articles 3.3 to 3.15 below. This also applies to certification references in communication media, such as documents, brochures or advertising materials.

3.3 The permit to use the certificate and a certification mark issued by us shall apply exclusively to the areas of the client’s organization quoted in the certificate’s scope of application. Use of the certificate and/or the certification mark for areas not quoted in the scope of application shall be prohibited.

3.4 Certification marks relating to management system certification may only be used by the client in direct connection with the name or logo of the client’s organization. They may not be attached or used in reference to the client’s products. This also applies to product packaging, accompanying information, laboratory test reports, calibration notes or inspection reports. If

the client wants to give a statement on the packaging or in accompanying information concerning the certified management system, this statement has to contain as a minimum:

- The company name of the client or the brand and the company

name of the client - The type of the management system respectively the management

systems in the case of a combined management system, e.g. quality, environment

- Certification Body: TÜV Rheinland Cert GmbH or TÜV Rheinland (China) Ltd. or TÜV Rheinland Taiwan Ltd.

Hint: the definitions for product packaging and accompanying information of ISO 17021-1:2015, chapter 8.3.3 have to be considered.

3.5 The client undertakes to use the certificate and/or the certification mark only

to make a statement about the client’s organization or the certified area of the client’s organization which is in line with certification. The client shall further avoid creating the impression that certification is an official inspection and/or that system certification is a form of product testing.

3.6 The client shall not be authorized to change the certificate or the certification mark.

3.7 The client undertakes to demonstrate in its advertising and similar materials that certification is voluntary and carried out on the basis of a civil law contract.

3.8 The right of use shall expire if the client no longer holds a valid certificate, in particular if the certificate’s period of validity has expired or the required surveillance audits have not been carried out.

3.9 The client’s right to use the certificate and/or the certification mark shall expire with immediate effect, without requiring termination, if the client uses the certificate and/or the certification mark in violation of the provisions set forth in Articles 3.1 to 3.8 above or contrary to other terms of this contract.

3.10 The client’s right to use the certificate and/or the certification mark will end in the period agreed in the event of an effective ordinary termination, or with immediate effect in the event of a justified extraordinary termination for good cause.

3.11 The right of use shall also expire automatically if maintenance of the certificate is prohibited by administrative regulations or court.

3.12 In cases involving expiry of the right of use, the client shall be obligated to return the certificate to us without delay.

3.13 In cases involving violation of contractual terms and conditions we reserve the right to claim damages.

3.14 The certification must not have the effect of bringing us into disrepute.

3.15 The client shall not be entitled to make statements about certification which we may consider unauthorized and misleading.

3.16 If it is foreseeable that the client is temporarily unable to fulfil the certification requirements, the certification can be suspended. During certificate suspension, the client may not use the certification in its advertising. In the list of certified organizations as outlined in Article 7, the status will be updated to “suspended“.

3.17 If the reasons for suspension are not remedied within the agreed period of time, the certificate will be withdrawn.

3.18 The client is obliged to keep a record of the use of the certificate in business dealings. It should be noted that we are bound by the standards to monitor proper use by ways of random sampling. Information from third parties will be checked by us.

3.19 The client shall inform us immediately if it discovers that a third party is improperly using its certificate.

3.20 The client provides certification documents to others only in their entirety or as specified in the certification scheme.

4 Client’s obligation to participate and general rules for the certification audit

4.1 The client shall submit all information required for certification as per the relevant standard. This information can be submitted by completing the “Questionnaire for offer preparation “.

4.2 The client shall submit all required documents to the Certification Body in good time prior to the audit and free of charge. Required documents include, in particular: - Management system documentation - Cross-reference matrix (standard elements cross-referenced to the

management system documentation of the organization) - Organizational plan/organizational chart - Presentation of processes and their interfaces and interactions –

list of controlled management documents - List of official and legal requirements - Other documents mentioned in the quotation

4.3 The client shall disclose all records associated with the scope of application to our audit team and/or our auditor and shall grant them access to the organizational units concerned, whereby also shift work has to be considered.

Version No. 10.3 Date: 1 May 2017 Page 2 of 3

4.4 The client shall appoint one or several Audit Representatives who shall support our auditor in performing the contractually agreed services and act as the client’s contact persons.

4.5 Following certificate issue, the client shall be obliged, throughout the term of the contract, to communicate all changes which significantly affect the management system or the certified product, including in particular: - changes in the certified management system. - changes associated with the design or specification of the certified

product. - changes in the organizational structure and the organization itself.

This also applies to implementation or modification of shift work.

The client shall be further obliged, throughout the term of the contract, to communicate:

- any incident affecting the safety of product and services

any non-compliance with statutory requirements identified by the market supervision and law enforcement branches of government

4.6 The client shall be obliged to record all complaints from outside the company regarding the management system, for example from customers, and all complaints addressed to the client regarding the conformity of a certified product or process with the requirements of the certification standards, and to take appropriate measures, document the actions taken and demonstrate these upon request to us or to the auditor during the audit.

4.7 On request, the client shall be obliged to submit all correspondence and all measures associated with normative documents and the requirements set forth in the applicable certification standard to the auditor during the audit.

4.8 If, within the scope of product certification, we notice that the changes outlined under Article 4.5 above necessitate further assessments, the client shall not, after the changes have come into effect, release any products falling under the scope of product certification until the client has been notified by us that it is safe to do so.

4.9 In cases involving product certification, the client shall notify us if the product no longer satisfies product certification requirements.

4.10 The client commits to fulfilling the certification requirements at all times, including the implementation of corresponding changes. In case of a management system, the client commits to operate the system continuously and effectively during the validity of the certification.

4.11 The client and we may agree on the performance of a preliminary audit and jointly define the scope of such audit.

4.12 The effectiveness of the established management system shall be verified during the on-site audit carried out at the organization, during which the organization proves that it applies its documented procedures in practice. Standards or standard elements that are not complied with and for which the organization must provide corrective action shall be documented in non-conformity reports.

4.13 At the end of the audit, the audit result will be communicated to the client in a closing meeting and subsequently documented in an audit report. Non-conformities will be documented and may lead to a re-audit (i.e. a repeated on-site audit) or submission of revised documentation, if required by the results. The scope of the re-audit will be decided by the lead auditor. The re-audit focuses exclusively on those elements of the standard for which non-conformities were identified.

4.14 "Certificates" means all regulatory approvals listed below, e.g. official records, statements of validity, and certificates in the narrow sense of the word. "Certification" means all evaluation, auditing, validation and certification processes. Based on these tests the decision to grant/ denial of certification is made. After positive review of the certification documentation, we will issue the certificate(s). The certificate(s) will be sent to the client. The certificate(s) shall only be issued if all non-conformities have been corrected. The certificate(s) shall be issued for the defined period.

4.15 To maintain validity of the certificate, on-site surveillance audits shall be carried out depending on the standard in question. Unless the surveillance procedure, including a positive decision on certificate maintenance, is completed by the Certification Body, the certificate shall become invalid. In this case, all copies of the certificate must be returned to the Certification Body.

4.16 In the surveillance audit, the key elements of the standard shall be verified as a minimum requirement. Additionally, surveillance audits evaluate proper use of the certificate (and the certification mark, where appropriate), complaints related to the management system and the effectiveness of corrective action taken to address nonconformities. Each surveillance audit shall be documented in a report communicated to the client.

4.17 The geographical (e.g. additional branches) and technical (e.g. additional products) scope can be extended/reduced and/or certification upgraded to include further standards within the scope of surveillance or re-certification audits and/or separate extension or upgrade audits. The number of auditor days required for extension or upgrade shall depend on the scope of extension or upgrade which shall be clearly defined by the organization prior to the audit.

4.18 Should changes in the details on which the procedure is based (e.g. details of the organization, accreditation requirements) arise during the term of the contract, these changes must be appropriately considered in the procedures and the other contracting party informed without delay. The same applies to any changes in the number of auditor days for certification resulting from such changes.

4.19 Integrated management systems covering various standards and requirements may be certified by means of a combined certification procedure. Depending on the standards and requirements involved, these combined certifications will be offered individually.

4.20 The costs incurred for additional efforts caused by unscheduled audits or re-audits and the verification of corrective actions to eliminate non-conformities revealed in previous audits shall be borne by, and invoiced to, the client on a time and cost basis. The same applies to costs incurred for short-notice special audits as defined in Article 1.4 of the Special Terms and Conditions of Certification.

4.21 The client commits to comply with the relevant certification and accreditation regulations, to assist supervision and inspections by certification supervision authorities, and to provide truthful and relevant materials and information in response to inquiries or during investigations.

4.22 If the client holds a certificate accredited by CNAS, he shall comply with the respective requirements outlined in CNAS-R01:2015.

5 Confidentiality

5.1 For the purpose of this agreement, "confidential information” is defined to include all information, documents, images, drawings, know-how, data, samples and project documentation which one party (“disclosing party“) hands over, transfers or otherwise discloses to the other party (“receiving party”). Confidential information also includes hardcopies or electronic copies of such information.

5.2 The disclosing party shall mark all confidential information disclosed in written form as confidential before passing it on to the receiving party. The same applies to confidential information transmitted by e-mail. If confidential information is disclosed orally, the receiving party shall be appropriately informed in advance.

5.3 All confidential information which the disclosing party transmits or otherwise discloses to the receiving party - may only be used by the receiving party for the purposes defined

above, unless expressly otherwise agreed in writing with the disclosing party;

- may not be copied, distributed, published or otherwise disclosed by the receiving party. An exemption from the above rule applies to confidential information, which must be passed on to supervisory and/or accreditation bodies within the scope of an accreditation procedure;

- must be treated by the receiving party with the same level of confidentiality as the receiving party uses to protect its own confidential information, but never with less than the objectively required due diligence.

5.4 The receiving party shall disclose any confidential information received from the disclosing party only to those of its employees who need this information to perform services required for the subject matter of this contract. The receiving party undertakes to place these employees under the obligation to observe the same level of secrecy as that set forth in this non-disclosure clause.

5.5 Information for which the receiving party can furnish proof that - it was generally known at the time of disclosure or has become

general knowledge without violation of this agreement, or - it was disclosed to the receiving party by a third party entitled to

disclose this information, or - the receiving party already possessed this information prior to

disclosure by the disclosing party, or - the receiving party developed it itself, irrespective of disclosure by

the disclosing party;

shall not be deemed confidential information as defined in this agreement.

5.6 All confidential information shall remain the property of the disclosing party. The receiving party hereby agrees to immediately (i) return all confidential information, including all copies, to the disclosing party, and/or, on request by the disclosing party, to (ii) destroy all confidential information including all copies, and confirm the destruction of this confidential information to the disclosing party in writing, at any time if so requested by the disclosing party but at the latest and without special request after termination or expiry of this contract. Excluded from the above shall be all reports and certificates which we, in performance of our contractual obligations hereunder, prepared exclusively for, and which remain with, the client. We are entitled, however, to retain copies of these reports and certificates and of any underlying confidential information to furnish proof that our results are correct and to fulfil general documentation purposes.

5.7 From the start of this contract and for a period of five years after termination or expiry of this contract, the receiving party shall maintain strict secrecy of all confidential information and shall not disclose this information to any third parties or use it itself.

6 Termination 6.1 Both contracting parties shall be entitled to terminate this contract observing

a period of 6 months to the end of the contractually agreed term.

6.2 We are also entitled to terminate the certification contract without notice for important reason.

6.3 For the purpose of this contract “important reason“ for us shall be defined as follows - The client fails to notify us without delay of any changes or

indications of changes in the organization which are relevant for certification,

- The client misuses a certificate and/or certification mark or uses them contrary to the contract,

- Insolvency proceedings are opened in respect of the client’s assets or an application for such insolvency proceedings is rejected due to lack of assets,

6.4 In addition to the above, we shall be entitled to terminate the contract without notice, should the client be unable to comply with the time periods we scheduled for auditing/service provision as applicable to a certification procedure and should withdrawal of the certificate consequently be necessary (e.g. conducting of surveillance audits).

7 List of certified organizations

Version No. 10.3 Date: 1 May 2017 Page 3 of 3

7.1 TÜV Rheinland Cert GmbH is obliged to hold a directory of certificate holders which includes the following information: name of certificate holder, applicable standards documents, scope of validity, geographical location (for multiple site certifications: geographical location of the head office and each location within the scope of validity).

7.2 Suspended certifications according to Article 3.16 and withdrawn certificates according to Articles 3.9 and 3.17 are included in the directory.

7.3 TÜV Rheinland Cert GmbH is entitled to provide the directory specified in Section 7.1 to the public on request.

8 Right of TÜV Rheinland (China) Ltd. or TÜV Rheinland Taiwan Ltd. to enter the contract

TÜV Rheinland (China) Ltd., located at No. 01/03B-08, Floor 7 and No. 01/04B-08, Floor 11, AVIC Building, No. 10B Central Road East 3rd Ring Road, Chaoyang District Beijing 100022 China or TÜV Rheinland Taiwan Ltd., located at 11F., No.758, Sec. 4, Bade Rd., Songshan Dist., Taipei City, Taiwan

is entitled to enter the certification contract underlying these Terms and Conditions of Certification at any time.

9 Certificate replacement

9.1 Observing a period of notice of 1 month, we are entitled to replace issued certificates with new certificates (replacement certificates) at any time in the event of a change in the accredited certification body named on the certificate, provided replacement has not caused a change in the certification scope .

9.2 In the event of replacement, the client will be obligated as set forth in Article 9.1 to return to us the certificate to be replaced without delay.

10 Complaints

10.1 Complaints must be presented in writing to us.

10.2 Should the complaint be justified, we shall the initiate appropriate measures.

10.3 Should the complaint prove to be unsustainable in our view, the complainant will be informed of this and asked to comment within a period of 30 calendar days. If no amicable solution can be reached with the complainant, the parties may mutually agree on the performance of arbitration proceedings, failing which legal action will be taken.

Version No. 10.3 Date: 1 May 2017 Page 1 of 5

德國德國德國德國萊萊萊萊茵茵茵茵 TÜV 集團大中華區集團大中華區集團大中華區集團大中華區

認可驗證服務認可驗證服務認可驗證服務認可驗證服務

I. 驗證的驗證的驗證的驗證的一般條款和條件一般條款和條件一般條款和條件一般條款和條件

1 範圍範圍範圍範圍

1.1 本驗證條款和條件適用於所約定的驗證服務及驗證

合約履行範圍內的輔助性服務和其他輔助性義務。

1.2 本驗證條款和條件優先適用於《德國萊因 TÜV 集

團大中華區一般商業條款和條件》。

1.3 客戶的格式條款和條件，包括客戶的採購條款和條

件（如有的話），不得適用並在此被明確排除。 即

使我公司沒有明確表示反對，也不能將客戶的格式

合約條款作為驗證合約的組成部分。

1.4 在本驗證條款和條件中，術語”認證機構”包括批准

和認可的機構，術語”認可準則”、”認可要求”及”認可程序”相應地指代這些機構的相關程序。

2 服務的範圍服務的範圍服務的範圍服務的範圍

2.1 對我們持有認可資格、獲得批准或承認的專案，我

們將按照國家或國際的標準對生產廠家及服務提供

者的體系和產品進行評審和驗證（稱為 “認可驗

證”）；對我們沒有認可資格的專案，我們將按照國

家或國際標準對生產廠家及服務提供者的體系和產

品進行評審和驗證（稱為“標準驗證”）； 我們也提

供我們自己的協力廠商驗證服務（稱為 “內部標

準”）。

2.2 我們將按照通用技術規則並遵守驗證合約簽訂時的

適用法規提供約定的服務。除非另有書面協議或者

必須按照強制性規定採用特定的方法，我們有權合

理地自行決定所採用的評審方法和類型。

2.3 我們根據驗證合約約定的標準以及/或者驗證合約中

提及的規則和規定（包括關於特定驗證標準的一般

適用認可標準、驗證標準及所有相關應用指南和合

格認證機構規定的認可要求）進行認可驗證。 如果

稽核表明必須增加稽核天數才能滿足認可要求，客

戶應承擔由此引起的額外費用，除非該費用是由於

我們的責任引起的。

標準驗證按相應的國家或國際標準來進行。

頒發我們自己內部證書的驗證程序按照我們制定的

規則和規定來實施。

2.4 如果驗證完成後的結果是正面的，我們將根據本驗

證的一般條款和條件的第 3 條頒發相應的證書。

2.5 如果客戶向我們提出充足並合理的理由，客戶有權

反對由某些稽核員或技術專家為其提供服務。

2.6 稽核組聘請萊因德國 TÜV 集團的非專職人員（外

部稽核員）進行稽核前必須得到客戶的批准。如果

客戶在接到稽核組聘請外部稽核員的通知後一周內

沒有表示反對，則被視為已經批准。

2.7 在認可驗證中，我們有權允許相關認證機構的稽核

員見證稽核。在驗證認可過程中，客戶同意認證機

構或標準所有者的評審員可以核實客戶的相關檔及

參與監督稽核過程。

2.8 對我們所做的稽核內容及驗證過程的投訴或申訴，

經客戶同意後可由理事會或仲裁委員會處理。

2.9 客戶有權對驗證決定提起申訴。

3 證書和驗證標誌使用權限的範圍證書和驗證標誌使用權限的範圍證書和驗證標誌使用權限的範圍證書和驗證標誌使用權限的範圍

3.1 如果約定的驗證程序已經成功完成，我們會頒發相

應的證書給客戶。證書在驗證合約規定的有效期內

有效；如果驗證合約沒有規定有效期，證書將在我

們的驗證特別條款規定的有效期內有效。

3.2 如上述第 3.1 條規定的證書核發後，根據以下第

3.3 條至第 3.15 條的規定，客戶將被授予直接的不

可轉讓的和非專屬的許可，可以在規定的證書有效

期內使用驗證標誌。客戶也可以在各類媒體上，例

如在文檔、手冊或廣告素材中，提及其所取得的驗

證。

3.3 我們僅允許客戶在被驗證的領域內為證書適用範圍

所規定的被驗證機構使用我們頒發的證書和驗證標

誌。禁止為適用範圍規定之外的被驗證領域使用證

書以及/或驗證標誌。

3.4 對於管理系統驗證的驗證標誌，客戶只能為與其機

構名稱或標誌直接相關的事項使用相關驗證標誌。

管理系統驗證證書及標誌不能附著在客戶的產品

上，不得在客戶產品的描述中使用管理系統驗證證

書及標誌。產品包裝、附帶資訊、實驗室檢測報

告、校準記錄或檢驗報告中也不能使用管理系統驗

證證書及標誌。如果客戶希望在產品包裝或附帶資

訊中對被驗證的管理系統作出聲明，那麼該聲明中

應至少包含：

- 客戶的公司名稱或客戶的公司名稱和品牌

- 對於多種管理系統，應分別注明相應的管理系統

Version No. 10.3 Date: 1 May 2017 Page 2 of 5

類型，如品質管制體系、環境管理系統

- 驗證機構：TÜV Rheinland Cert GmbH，或萊茵

檢測認證服務（中國）有限公司，或臺灣德國萊

因技術監護顧問股份有限公司

注 ： 對 產品 包 裝和 附 帶資 訊的 定 義 ，應 當 參 考

ISO17021-1:2015 第 8.3.3 章節。

3.5 客戶保證將僅僅為對客戶的被驗證機構或符合驗證

的被驗證領域進行客觀陳述之目的使用證書以及/或驗證標誌。客戶應進一步避免給他人造成驗證是官

方檢測和/或體系驗證是一種產品測試的印象。

3.6 客戶無權更改證書或驗證標誌。

3.7 客戶保證將在其廣告和類似素材中說明驗證是自願

進行的，並且是以民法下達成的合同為基礎進行

的。

3.8 如果客戶不再持有有效的證書，特別是當證書的有

效期已過期或者沒有進行規定的監督稽核時，客戶

將無權繼續使用證書。

3.9 如果客戶違反以上第 3.1 條至第 3.8 條的規定或驗

證合約中其他條款的規定，則客戶將立即失去使用

證書和/或驗證標誌的權利，而無須由我們另行提出

終止其使用權。

3.10 客戶使用證書及/或驗證商標的權利，將在協商同意

的正常有效期內終止，或因正當理由聲明非常規失

效，此權利將立即終止。

3.11 如果行政法規或法院禁止繼續維持證書的有效性，

那麼證書及/或驗證標誌的使用權也應自動失效。

3.12 如果證書及/或驗證標誌的使用權失效，那麼客戶有

義務向我們及時交還證書。

3.13 如客戶違反了驗證合約的條款與條件，我們將保留

提出賠償的權利。

3.14 使用證書不得危害我們的聲譽。

3.15 客戶無權針對證書做出我們認為未經授權的誤導性

陳述。

3.16 如果預見到客戶暫時不能滿足驗證要求，可以暫停

使用驗證證書。在暫停期間，客戶不得在廣告中使

用驗證證書。在本驗證的一般條款和條件第 7 條所

述的被驗證的機構名單中，客戶機構的狀態將變更

為”暫停”。

3.17 如果導致暫停的原因在約定的期限內沒有得到糾

正，證書將被取消。

3.18 客戶有責任記錄證書在有關商業用途中的使用情

況。需要注意的是，我們有權通過抽樣檢查按照標

準來監督證書的合理使用。我們將會檢查來自協力

廠商的資訊。

3.19 如發現協力廠商不合理使用證書的情況，客戶應立

即告知我們驗證機構。

3.20 客戶如需向他人提供驗證檔，必須保證這些檔的完

整性或根據驗證計畫的詳細說明提供。

4 客戶參與驗證客戶參與驗證客戶參與驗證客戶參與驗證稽核稽核稽核稽核的義務及一般規則的義務及一般規則的義務及一般規則的義務及一般規則

4.1 客戶應按照相關標準提交驗證所需的所有資訊。這

些資訊可以通過填寫完成“報價準備階段的客戶評估

表”來提交。

4.2 客戶應在稽核開始前適宜的時間內免費向驗證機構

遞交驗證所需的所有檔，這些檔包括，特別是：

- 管理系統檔案

- 對照表(標準要素跟機構管理系統檔的對照)

- 組織計畫/組織機構圖

- 過程及其銜接與配合的陳述

- 控管的管理檔案清單

- 官方及法律要求的清單

- 報價中提到的其它文件 4.3 客戶應向我們的稽核組以及/或稽核員披露所有跟驗

證的適用範圍相關的記錄，並允許他們進入與驗證

有關的相關機構，並且應當考慮倒班的情況。

4.4 客戶應當指定一名或多名稽核代表，擔任客戶的聯

絡人，以支援我們的稽核員完成驗證合約約定的服

務。

4.5 證書頒發後，在驗證合約有效期內，客戶有義務將

所有影響其管理系統或被驗證產品的重要變化通知

我們，特別包括：

- 被驗證的管理系統的變化；

- 被驗證產品的設計或規格方面的變化；

- 組織結構及機構本身的變化；該點同樣適用於倒

班的執行和修改。

客戶還有義務通知以上事項：

- 任何影響產品或服務的品質安全事故；

- 任何產品或服務被市場監管部門或政府執法部門

認定不符合法定要求。

4.6 客戶有義務記錄關於管理系統的來自公司外部的所

有投訴，例如來自顧客的，以及所有針對客戶的關

Version No. 10.3 Date: 1 May 2017 Page 3 of 5

於在驗證標準要求範圍內的被驗證的產品或過程的

投訴。客戶應當採取合理措施，記錄所使用的措

施，並在稽核中根據要求將其演示給我們或稽核

員。

4.7 如我們要求，在稽核期間，客戶有義務向稽核員遞

交與適用的驗證標準所規定的規範檔和要求有關的

所有通信及措施。

4.8 在產品驗證範圍內，如果我們認為對以上第 4.5 條

所列之變化需要進一步的評審，在變化生效後，客

戶不得將驗證範圍內的產品投放市場，直到我們通

知客戶並確認這樣做是安全的。

4.9 對於產品驗證，一旦產品不再滿足產品驗證的要

求，客戶應通知我們。

4.10 客戶應承諾始終符合驗證要求，包括履行相應的變

更。如果涉及管理系統，客戶承諾在證書有效期內

持續並有效地運行該管理系統。

4.10 不適用，包含在 4.6 章節中。

4.11 如果客戶和我們都一致認為需進行預先稽核，則雙

方可共同商定預稽核的範圍。

4.12 已建立的管理系統的有效性應通過在被稽核機構的

現場所完成的稽核來進行驗證，在稽核過程中需要

被稽核機構證明其已經將正式成文的程序在實際經

營管理中運用。標準或標準要素的不符合項應記錄

在不符合項報告中，對不符合項，被稽核機構必須

提供糾正措施。

4.13 在稽核最後，稽核的結果應在結束會議時向客戶報

告，並且在稽核報告中記錄。不符合項也要記錄，

並且根據稽核的結果決定是否需要複審稽核(即：重

複的現場稽核)或遞交修改的檔案。複審的範圍由主

任稽核員決定。複審只針對那些明確為不符合項的

標準要素。

4.14 “證書”意味著下列所有的管理許可，例如：官方記

錄，有效期及狹義上的證書意義。“驗證”意味著所

有評估，稽核，確認以及驗證過程。我們會基於上

述評估、稽核、確認和驗證決定是否頒發證書。在

對驗證檔案給出正面的評審結論後，我們將頒發證

書。證書將會發送給客戶。證書應只有在所有不符

合項已經糾正的情況下頒發。頒發的證書應有明確

的有效期。

4.15 為了保持證書的有效性，必須根據相關驗證標準進

行監督稽核。除非驗證機構完成監督流程（包括做

出是否批准證書隨後有效性的決定），否則證書將

失效。如果證書失效，所有證書必須返還給我們。

4.16 在監督稽核過程中，最低要求是要對標準的關鍵要

素進行驗證。此外，監督稽核也評估證書（以及驗

證標誌，如適用的話）是否被正確使用、與管理系

統相關的投訴以及對不符項所採取的糾正措施是否

有效。每一次監督稽核都應以書面報告的形式向客

戶通報。

4.17 在監督稽核或換證稽核及/或者獨立的擴展稽核或者

升級稽核範圍內，可以擴大或縮小稽核的地理範圍

（如增加分支機搆）和技術範圍（如增加產品），

和/或將驗證範圍升級到包含進一步的標準。擴展稽

核或升級稽核所需要的稽核人日數應依據擴展或升

級的範圍確定，擴展或升級的範圍應由被稽核機構

在稽核前清楚地定義。

4.18 在驗證合約有效期間，如果稽核程序所依據的細節

有變化（如被稽核機構的具體情況或認可要求），

這些變化必須相應地在稽核程序中反映，並且應毫

不遲延地通知客戶。由此變化所引起的任何驗證稽

核人日數的變化也應同樣反映在稽核程序中，並通

知客戶。

4.19 涉及多種標準和要求的整合管理系統可以通過合併

驗證的程序進行驗證。根據涉及的相關標準和要

求，合併在一起的單個驗證將單獨進行。

4.20 由非計畫中的稽核或複審所引起的額外費用，以及

驗證為消除以往稽核中發現的不符合項而採取的糾

正措施所引起的額外費用，應根據所花費的時間和

成本由客戶承擔，向客戶開具發票。同樣，按驗證

特別條款和條件第 1.4 條進行的臨時通知的特別稽

核所產生的費用也應由客戶承擔。

4.21 客戶應承諾，其將遵守驗證認可相關法規的規定，

協助驗證監管部門實施監督檢查，並對有關事項的

詢問和調查如實提供真實的相關素材和資訊。

4.22 如果客戶持有經 CNAS 認可的證書，其還應當遵守

CNAS-R01:2015 中的相關要求。

5 保密事項保密事項保密事項保密事項

5.1 為驗證合約以及本驗證條款和條件的目的，“保密資

訊”系指一方（“披露方”）向另一方（“接受方”）移

交、轉移或以其他方式披露的所有資訊、檔、圖

片、圖紙、技術訣竅、資料、樣本以及專案文檔。

保密資訊也包括上述資訊的紙檔和電子形式的副

本。

5.2 在向接受方披露之前，披露方應將披露的所有保密

資訊以書面形式標示為“保密”。此規定同樣適用於

以電子郵件形式發送的保密資訊。如保密資訊是以

口頭形式披露的，披露方應提前以適當的形式告知

接受方。

Version No. 10.3 Date: 1 May 2017 Page 4 of 5

5.3 對於由披露方向接受方發送或以其他形式披露的所

有保密資訊：

- 除披露方以書面形式另行明確約定外，僅供接受

方為履行驗證合約之目的使用；

- 除在認可程序範圍內向監督或認證機構遞交保密

資訊之外，接受方不得複製、傳播、公開或以其

他形式披露保密資訊；

- 接受方必須以保護其自身保密資訊的保密程度保

護披露方的保密資訊，但在任何情況下所採取的

保密程度絕不可低於合理所必須的程度。

5.4 接受方可將披露方的保密資訊披露給需要這些資訊

以履行驗證合約所要求之服務的雇員。接受方承諾

令其雇員遵守本保密條款所規定的保密義務。

5.5 如接受方可證明披露方披露的資訊存在如下任一情

形：

- 披露時已被公眾所知悉的資訊，或並非由於接受

方違反本保密條款而為公眾所知悉的資訊；

- 由有權披露資訊的協力廠商向接受方披露的資

訊；

- 接受方在披露方披露前即已獲知的資訊；

- 接受方完全自行開發的資訊，不論披露方是否披

露該等資訊，

則該等資訊不被視為本保密條款所規定的“保密資

訊”。

5.6 所有保密資訊仍然是披露方的專有財產。接受方在

此同意，任何時候經披露方要求（如披露方無特殊

要求，則最遲在驗證合約終止或期限屆滿後），接

受方將（1）立即向披露方歸還全部保密資訊，包

括所有副本；並/或（2）按照披露方的要求銷毀全

部保密資訊，包括所有副本，同時向披露方以書面

形式確認保密資訊已銷毀。上述義務不適用於我們

專為履行合約義務為客戶製作的報告和證書。此類

報告和證書歸客戶所有。為證實報告或證書結果的

正確性，或為履行法律、法規以及我們工作規程所

要求的文檔保存程序，我們有權複製此類報告、證

書以及作為此類報告和證書之依據的保密資訊。

5.7 自驗證合約生效起至驗證合約終止或驗證合約有效

期到期後的五年內，接受方應對所有保密資訊嚴格

保密，不得向協力廠商披露或為自身利益使用保密

資訊。

6 合約合約合約合約終止終止終止終止

6.1 合約雙方在驗證合約協定期限結束前 6 個月有權終

止驗證合約。

6.2 我們有權出於重要原因不通知客戶而終止驗證合

約。

6.3 為驗證合約之目的，前述的”重要原因”有如下定義∶

- 客戶沒有將一切與驗證相關的被驗證機構出現的

變化或出現變化的跡象及時通知我們；

- 客戶濫用證書以及/或驗證標誌或違反合約規定

使用證書以及/或驗證標誌;

- 針對客戶資產的破產清算程式被啟動或由於資產

不足而致使破產清算程序被駁回。

6.4 除上述規定以外，如果客戶沒有遵守我們根據驗證

程序而安排的審計/服務（如進行監督稽核）的期

限，致使我們必須收回證書，我們有權不通知客戶

而終止驗證合約。

7 被驗證機構清單被驗證機構清單被驗證機構清單被驗證機構清單

7.1 TÜV Rheinland Cert GmbH 有權持有驗證所有者的

清單，內容包括如下資訊：證書所有者的姓名，適

用標準的檔，有效的驗證範圍，地理位置（對於多

場所驗證：在有效的驗證範圍內，總部及每一個場

所的地理位置）。

7.2 根據本驗證的一般條款和條件第 3.16 條暫停的驗

證，根據第 3.9、3.17 條撤回的證書，都包含在這

個清單中。

7.3 一經公眾要求，TÜV Rheinland Cert GmbH 有權公

開本驗證的一般條款和條件第 7.1 條所述清單。

8 萊茵檢測萊茵檢測萊茵檢測萊茵檢測認認認認證服務證服務證服務證服務（（（（中國中國中國中國））））有限公司或臺灣德國萊因有限公司或臺灣德國萊因有限公司或臺灣德國萊因有限公司或臺灣德國萊因

技術監護顧問股份有限公司訂立技術監護顧問股份有限公司訂立技術監護顧問股份有限公司訂立技術監護顧問股份有限公司訂立合約合約合約合約的權利的權利的權利的權利

位於中國北京市朝陽區東三環中路乙 10 號艾維克 大廈第 7 層第 01、03B-08 號，第 11 層第 01、 04B-08 號的萊茵檢測認證服務（中國）有限公司

或

位於臺北市松山區八德路四段 758 號 11 樓的臺灣 德國萊因技術監護顧問股份有限公司

有權基於本驗證條款和條件在任何時候訂立驗證合

約。

9 證書替換證書替換證書替換證書替換

9.1 如果證書上經認可的驗證機構名稱有變化，在替換

證書不會引起驗證範圍變化的前提下，在任何

時候我們有權提前一個月通知客戶而用新的證書（替換證

書）替換已頒發的證書。

9.2 遇到證書替換的情況，客戶有義務及時按上述第

9.1 條所述退回被替換的證書。

Version No. 10.3 Date: 1 May 2017 Page 5 of 5

10 投訴投訴投訴投訴

10.1 投訴必須以書面形式呈現給我們。

10.2 一旦投訴被證實，我們將會採取適當的措施。

10.3 一旦我們認為投訴不成立，將告知投訴人並要求其

在 30 個日曆天內給出回應。如果未能與投訴人達

成和解，雙方將同意進行仲裁程序，及法律訴訟。

Terms and Conditions of Certification of TÜV Rheinland Group in Greater China

II. Special Terms and Conditions of Certification

The regulations set forth herein apply in addition to the General Terms and Conditions of Certification and are restricted to accredited certification schemes, i.e. schemes based on a national or international standard or code with accreditation, approval or recognition ("accredited certification schemes"). For the purpose of these Special Terms and Conditions of Certification, the term "Accreditation Body" will also include approval and recognition bodies and the terms "Accreditation Rules", "Accreditation Requirements", "Accreditation Standards" and "Accreditation Procedures" will apply mutatis mutandis also to the procedures of these bodies. Accredited certification schemes are governed by generally valid international accreditation standards plus any associated application guidelines, accreditation standards specific for the certification standard in question plus any associated application guidelines, certification standards plus any associated application guidelines, and the accreditation rules defined by the respective accreditation body including in particular:

- Generally valid international accreditation standards: e.g. ISO/IEC 17021, ISO 19011.

- Accreditation standards specific for the relevant certification standard: e.g. ISO 22003 for the food industry or ISO 27006 for IT, EN 9104-001, EN 9101 in the field of aviation.

- Certification standards such as ISO 9001, ISO 14001, IATF 16949, BS OHSAS 18001, SCC, ISO 50001.

- Accreditation rules defined by the respective accreditation body.

1 General Terms and Conditions for Accredited Certification Schemes

1.1 Certification audit

1.1.1 Certification audits consist of two stages. Stage 1 aims at obtaining an overview of the management system and its maturity (status of implementation). After this information has been obtained, the stage 2 audit may be performed, which assesses the establishment of and compliance with the management system.

1.1.2 The stage 2 audit may be carried out directly after the stage 1 audit. Should the stage 1 audit reveal, however, that the organization is not yet ready for certification, the stage 2 audit may not be carried out directly after completion of the stage 1 audit. In this case, the client must first take appropriate action to make the organization ready for certification. Any additional costs arising therefrom for the client or for us, i.e. including travel costs, travel times and time lost, shall be borne by the client.

1.1.3 The interval between the stage 1 and the stage 2 audit must not exceed 6 months. Should more than 6 months elapse between the stage 1 and the stage 2 audit, the stage 1 audit shall be repeated. Any additional costs arising therefrom for the client or for us, i.e. including travel costs, travel times and time lost, shall be borne by the client.

1.1.4 When the interval is set between the stage 1 and the stage 2 audit, allowance shall be made for both the client’s requirements and sufficient time for the correction of weaknesses. Generally, most of the auditing time is spent on the stage 2 audit.

1.1.5 If we are not able to verify the implementation of corrections and corrective actions of any nonconformity within 6 months after the last day of stage 2, we have to conduct another stage 2 prior to recommending certification.

1.2 Surveillance audit

1.2.1 To maintain validity of the certificate, on-site surveillance audits shall be carried out at least annually. The due date is determined by the date of the certification decision of the initial certification audit. The first surveillance audit after the certification audit has to be carried out not later than 12 months after the certification audit decision.

1.3 Re-certification audit

1.3.1 To renew certification for another three-year period, a re-certification audit shall be held at the client’s organization prior to expiry of certificate validity.

1.3.2 The procedure is similar to that of a certification audit, where the necessity and scope of a stage 1 audit are determined subject to changes in the client’s management system, the client’s organization or the context in which the client’s management system is operating.

1.3.3 Upon successful re-certification, the term of the certificate is extended by another 3 years, starting from the date of expiry date of the previous certificate. The re-certification audit and the positive certification decision must have been done by the expiry date.

1.4 Short-notice audits

A special audit may become necessary at short notice for the following reasons: - Serious complaints and other circumstances of which the

certification body becomes aware, which challenge the effectiveness of the client’s certified management system and which cannot be eliminated in written form or within the next scheduled audit (e.g. alleged violation of law on the part of the client or its executives).

- Changes at the client which impair the management system’s effectiveness in such a way that the organization no longer complies with the requirements of the standard.

- As a consequence of a suspension of the client’s certification.

1.5 Multi-site certifications

1.5.1 Multi-site certifications may be applied to organizations maintaining multiple sites or branches functioning exclusively as field offices.

1.5.2 Multi-site certification is possible if the following criteria are fulfilled: - All sites maintain a legal or contractual relationship with the

organization’s headquarters. - Products/services are basically identical at all sites and are

produced using identical methods and processes. - A uniform management system has been defined for, and is

established and maintained in, all branches/production facilities. - The entire management system is monitored centrally under the

direction of the Management Representative at the organization’s central office, who is authorized to issue management system-related instructions to all branch offices/production sites.

- Internal audits and management reviews have been carried out at all branch offices sites.

- Certain areas carry out centralized activities on behalf of all branch offices/production sites, e.g. product and process design and development, purchasing, human resources (HR), etc.

1.5.3 In cases involving multi-site certification, the on-site auditing of sites may be spread over certification and surveillance audits. Headquarters must be audited annually in addition to the sampled sites.

1.5.4 We select the sites to be audited.

2 Standard-specific terms and conditions for accredited certification schemes

Terms and conditions applicable to certain accredited certification schemes, which must be observed in addition to the General Terms and Conditions outlined under Art. 1 above, are listed below, separately for each specific standard concerned.

2.1 Supplementary terms and conditions for environmental management systems as per ISO 14001 and/or EMAS

2.1.1 These supplementary terms and conditions apply to the certification of environmental management systems as per ISO 14001 and to verification and validation in accordance with EMAS (Eco Management Auditing Scheme).

2.1.2 Supplementary terms and conditions for stage 1 audits as per ISO 14001:

In cases involving initial certification, the stage 1 audit shall always be conducted on site.

Exceptions to the above rule shall only be possible if the following criteria are fulfilled: - The audit team is familiar with the client’s organization and its

typical environmental aspects from previous audits, - The client’s organization already operates a certified management

system as per ISO 14001 or EMAS, or - most sites of the client’s organization are classified as being of low

or limited environmental relevance. Document review shall cover the applicable system documentation and an

overview of environmental aspects and legal requirements (including permits based on environmental law) to be complied with by the client.

2.1.3 Certification as per EMAS is governed by the basic EU Regulation and, in Germany, particularly by the Environmental Audit Act (Umweltauditgesetz, UAG) plus its Fees Regulation (UAG-Gebührenverordnung, UAGGebV).

2.2 Supplementary terms and conditions for certification schemes in the automotive industry IATF 16949, VDA 6.x

2.2.1 The regulations set forth in the certification standards for the automotive industry listed below shall have priority. - IATF 16949 – Automotive certification scheme for IATF 16949:

Rules for achieving and maintaining IATF recognition, 5th edition for IATF 16949, 1 November 2016 (IATF: International Automotive Task Force).

- VDA 6.x – Certification scheme for VDA 6.1, VDA 6.2 and VDA 6.4 based on ISO 9001 (VDA-QMC Verband der Automobilindustrie - Qualitäts Management Center).

2.2.2 The client: - cannot refuse the presence of an IATF representative - cannot refuse our request to provide the final report to the IATF - cannot refuse an IATF witness audit - cannot refuse the presence of an internal witness auditor of us - cannot refuse the presence of an IATF representative or their

delegates

2.2.3 Consultants to the client cannot be physically present at the client's site

during the audit or participate in the audit in any way. 2.2.4 Failure by the client to inform us of a change is considered a breach of the

legally enforceable agreement and may result in the withdrawal of the client's ISO/TS 16949 certificate by us. Changes may be related to: - legal status - commercial status (e.g. joint ventures, sub-contracting with other

organizations) - ownership status (e.g. mergers and acquisitions) - organization and management - contact address or location - scope of operations under the certified management system - IATF subscribing OEM customer special status - major changes to the management system and processes

2.2.5 Audit termination: - if a stage 2 audit is terminated, the client shall start over with a

stage 1 readiness review, - if a surveillance audit is terminated, the certificate shall be

suspended and a full repeat surveillance audit shall be conducted within ninety (90) calendar days of the closing meeting,

- if a recertification audit is terminated, the client shall have another recertification audit in accordance with section 5.1.1. If the timing is exceeded, the client shall start over with an initial certification audit (stage 1 and stage 2),

- if a transfer audit is terminated, the client shall start over with an initial certification audit (stage 1 readiness review and stage 2)

2.2.6 Nonconformity management: We shall require the client to submit, within a maximum of sixty (60) calendar days from the closing meeting of the site audit, evidence of the following: - implemented correction, - root cause including methodology used, analysis, and results, - implemented systemic corrective actions to eliminate each

nonconformity, including consideration of the impact to other similar processes and products,

- verification of effectiveness of implemented corrective actions. - In cases where the accepted corrective action plan for a nonconformity is found not acceptable, we shall resolve the outstanding issues with the client within a maximum of ninety (90) calendar days from the closing meeting of the audit. If resolution cannot be completed, the final audit result shall be considered failed and the IATF database shall be updated. The certification decision shall be negative and the client shall start over with an initial certification audit. The current valid certificate shall be immediately withdrawn. A major nonconformity shall require onsite verification.

In exceptional case(s) where the implementation of corrective actions cannot be completed within a maximum of ninety (90) calendar days from the closing meeting of the site audit, we shall consider the nonconformity open but 100% resolved when the following conditions have been met: - scheduled onsite follow-up audit based on the accepted action plan

and prior to the next audit. - Containment of the condition to prevent risk to the customer has

been taken, including a review of the systemic impact on the client`s process

- Documented evidence of an acceptable action plan, instructions, and records to demonstrate the elimination of the nonconformity condition, including a review of the systemic impact on the client`s process

For minor nonconformities we may verify the effective implementation of the identified corrective actions at the next audit instead of verification during an additional onsite verification visit. In cases where the accepted corrective action plan is found to be not effectively implemented, a new major nonconformity shall be issued against the corrective action process and the previous minor nonconformity shall be reissued as a major nonconformity. This will lead to automatic suspension of the certificate. When a nonconformity is identified during a recertification audit by us, then the decertification process (see section 8.0 of the rules) shall be initiated on the last audit day (see section 8.1.c of the rules).

2.2.7 Special Audits It may become necessary for us to conduct audits of certified clients to investigate performance complaints (see section 8.1 a/b of the rules), in response to changes to the client's quality management system (see section 3.2 of the rules), significant changes at the client’s site or as a result of a suspended certificate (see section 8.3 of the rules). Clients cannot deny Special Audits.

2.2.8 Transfer audit The client has to notify the former certification body about the intend to transfer to us. A legal enforceable agreement has to include provisions to ensure that it can be extended until all transfer activities to us are completed.

2.3 Supplementary terms and conditions for the food industry as per ISO 22000 / FSSC 22000

2.3.1 These supplementary conditions apply for: - ISO 22000 - Management systems for food safety - Requirements

for any organisation in the food chain - ISO / TS 22002-1 - Prerequisite programmes on food safety - Part

1: Food manufacturing - ISO / TS 22002 - 4 - Prerequisite programmes on food safety –

Part 4: Food packaging manufacturing 2.3.2 The basis for the implementation of the entire audit and certification

process, including logo usage, are the specifications of the applicable standards and additional documents of Foundation for Food Safety Certification, e.g. FSSC 22000 Certification scheme for food safety systems, PART I (http://www.fssc22000.com).

2.3.3 The standards ISO/TS 22002-1 and/or ISO/TS 22002-4 may only be audited in combination with ISO 22000.

2.3.4 Multi-site certifications for ISO 22000 are only possible for up to 25 sites in the areas of animal breeding, plant breeding, catering, distribution and/ or transportation/ storage.

2.3.5 Multi-site certifications for FSSC 22000 are not performed. 2.3.6 If the client becomes aware that his product poses health risks or that

statutory requirements are not being met, he shall inform us immediately.

2.3.7 The client is obliged to inform us immediately if he becomes aware of any possible legal steps regarding product safety or product compliance.

2.3.8 In the event of a product recall, the client has the obligation to inform us of the situation and of the details that have led to this situation.

2.3.9 The client will irrevocably authorize us to submit the following data via TÜV Rheinland Cert GmbH to Foundation for Food Safety Certification, Stephensonweg 14, , 4207 HB Gorinchen, The Netherlands - The contract for auditing as per FSSC 22000. - The results – also in detail – concerning the FSSC 22000 contract,

auditing and certification – irrespective of auditing success. These data will be saved in an online database at Foundation for Food Safety Certification.

2.3.10 The client agrees to grant unlimited access to the Foundation for Food Safety Certification and its respective officers and employees to all necessary information, and grant them the right - to enter the property, the business, operational and storage areas

and to the means of transport during business or operation hours, - to carry out inspections, - to view and examine all written and electronic business documents,

and - to request necessary information.

If serious discrepancies are found, Foundation for Food Safety Certification may establish sanctions against the Contractor, which may lead to the withdrawal of the certificate.

2.4 Supplementary terms and conditions for product certification as per the IFS Feature Standards: IFS Food / IFS Logistics / IFS Broker / IFS Cash & Carry / Wholesale

2.4.1 These supplementary terms and conditions apply to product certification as per the following internationally recognized standards: - IFS Food – Standard for auditing quality and safety of food

products - IFS Logistics – Standard for logistical services in relation to product

quality and –safety - IFS Broker - standard for auditing Trading Agencies, Importers and

Brokers services compliance in relation to product quality and safety

- IFS Cash & Carry / Wholesale – Standard for auditing Cash & Carry markets and wholesalers

2.4.2 The entire auditing and certification process, including logo use, is governed by the provisions set forth in the respective standard as amended as well as supplementing documents of IFS Management GmbH, like e.g. IFS Compendium of Doctrin.

2.4.3 Audit planning cannot be effected until the readiness review has been completed with a positive result and all differences of opinion between the certification body and the client eliminated.

2.4.4 Multi-site certifications are not performed, expect for the IFS Cash & Carry / Wholesale and IFS Logistics.

2.4.5 We do not accept any responsibility for the client’s ability to use the IFS certificate/logo without any restrictions, for purposes of competition, in particular for advertising purposes.

2.4.6 The client will irrevocably authorize us to submit the following data via TÜV Rheinland Cert GmbH to IFS Management GmbH, Am Weidendamm 1A, 10117 Berlin: - The contract for auditing as per IFS - The results – also in detail – concerning the IFS contract, auditing

and certification – irrespective of auditing success. These data will be saved in an online database at IFS Management GmbH.

2.4.7 IFS Management GmbH will be irrevocably authorized to make successful procedures, excluding detailed results, accessible to food retailers and wholesalers via the online database.

2.4.8 Whether IFS Management GmbH shall be allowed to disclose failed certification procedures and detailed results of failed and successful certification procedures to food retailers and wholesalers in its online database is in the client’s discretion.

2.4.9 The client undertakes to inform us via TÜV Rheinland Cert GmbH within 3 working days of any health risk or or that statutory requirements are not being met of which the client becomes aware.

2.4.10 The client is obliged to inform us immediately if he becomes aware of any possible legal steps regarding product safety or product compliance.

2.4.11 In the event of a product recall, the client has the obligation to inform us at least within 3 working days of the situation and of the details that have led to this situation.

2.4.12 The client commits to granting IFS Management GmbH and its respective agents and employees unrestricted access as regards content to all required information within the framework of the “IFS Integrity Program” and to entitle it to - enter properties, business premises, working areas and storage

rooms as well as means of transport during business hours or operating time

- perform inspections - inspect and verify all written and electronic business documents

available and

- demand any required information. If serious nonconformities are identified, IFS Management GmbH may

define sanctions against the certification body which may lead to the withdrawal of the certificate, as the case may be.

2.4.13 Optionally the client can choose an unannounced IFS Food audit instead of the announced IFS Food audit. Registration for the unannounced audit is possible in written form from the 1st October 2016. More information (e.g. audit protocol unannounced audits) are written on the homepage of the standard owner (www.ifs-certification.com)

2.5 Supplementary terms and conditions for product certification as per BRC Global Standard for Food Safety / /BRC/IoP Global Standard For Packaging and Packaging Materials / BRC Global Standard For Consumer Products

2.5.1 These supplementary terms and conditions apply to product certification as per the internationally recognized BRC (British Retail Consortium) standards:

BRC Global Standard For Food Safety. BRC/IoP Global Standard For Packaging and Packaging Materials. BRC Global Standard For Consumer Products

2.5.2 The entire auditing and certification process shall be governed by the provisions set forth in the applicable standard as amended.

2.5.3 Audit planning cannot be effected until the readiness review has been completed with a positive result and all differences of opinion between us and the client eliminated.

2.5.4 This standard does not provide for multi-site certification.

2.5.5 Should the client become aware that the client’s products cause health hazards or violate legal regulations, the client shall inform us without delay.

2.5.6 The client undertakes to inform us at least within 3 working days of any legal steps related to product safety or product compliance of which the client becomes aware.

2.5.7 In cases involving product recalls, the client undertakes to inform us of the situation and the details leading up to this situation.

2.5.8 In cases involving certificate suspension or withdrawal, the client undertakes to inform the client’s customers immediately of the root causes leading to certificate suspension or withdrawal. Information on the corrective actions to be taken in order to reinstate certification status has also be provided to customers.

2.5.9 The term of the contract covers at least one cycle of 3 regular audits (one initial certification audit and 2 regular audits) and ends exactly on the certificate’s current date of validity at that time.

2.5.10 The client shall irrevocably authorize us to submit the following data via TÜV Rheinland Cert GmbH to "British Retail Consortium": - The contract for auditing as per BRC. - The results – also in detail – concerning the BRC contract, auditing

and certification – irrespective of auditing success (e.g. copy of the audit report, certificates and all documents in relation to the audit).

2.5.11 The client agrees to grant unlimited access to the "British Retail Consortium" and its respective officers and employees to all necessary information, and grant them the right - to enter the property, the business, operational and storage areas

and to the means of transport during business or operation hours, - to carry out inspections, - to view and examine all written and electronic business documents,

and - to request necessary information. If serious discrepancies are found, "British Retail Consortium" may establish sanctions against the Contractor, which may lead to the withdrawal of the certificate

2.6 Supplementary terms and conditions for the aerospace industry EN/ AS 9100

2.6.1 These supplementary terms and conditions apply to certification as per the internationally recognized EN 9100 standard:

2.6.2 To the extent required for verifying that criteria and methods within the scope of certification as per the EN 9100 series of standards are correctly applied, we shall be authorized, via TÜV Rheinland Cert GmbH, to grant access to the following parties: the Deutsche Akkreditierungsstelle GmbH, aviation authorities and member organizations of the German Aerospace Industries Association (Bundesverband der Deutschen Luft- und Raumfahrtindustrie e.V., BDLI).

2.6.3 The Client must allow us to register data via TÜV Rheinland Cert GmbH at level 1 (i.e. information about issued certificates for AQMS standards ("AQMS" = Aerospace Quality Management System) - the public area) and level 2 (e.g. information and on results of audits, assessments, nonconformance, corrective actions, reviews and suspensions - in the private sector) in the OASIS database (" OASIS" = online Aerospace Supplier Information System). The Client must grant access to the data contained in the OASIS data bank of the level 2 to his customers from the aviation industry, aerospace industry and defensive industry and authorities on inquiry, unless, justified reasons stand against it (e.g., competition, confidentiality, conflicts of interests).

2.6.4 The Client must designate an employee who will register himself as OASIS database administrator for the organization in the OASIS database.

2.6.5 The Stage 1 audit of the initial certification audit must be conducted on site. Stage 1 and Stage 2 may not directly follow each other in time.

2.6.6 For organizations with multiple sites belonging to the scope of certification, the organization of a structure is assigned on the basis of the criteria of the appendix B of EN in 9104-001. This allocation is the basis for audit days that are to be audited at each site.

2.6.7 The Client is obliged to provide to its customers and potential customers copies of the audit report and related documents and records available upon request, unless entitled refusal reasons exist (e.g., competition, confidentiality, conflicts of interests).

2.6.8 A certificate will only be issued when all nonconformities have been corrected by means of a root cause analysis and corrective actions have been accepted and verified by the certification body.

2.6.9 In accordance with EN 9101 correction actions to non-conformities - according to classification - must be submitted to the lead auditor by the organization within max. 30 days after the finding of the non-conformities. We must via TÜV Rheinland Cert GmbH initiate the process for the suspension of the certification if an organization is unable to prove within 60 days after the creation of a non-conformance report (NCR) that the conformance with the referring norm is restored.

If AQMS-certificated organizations lose their certification according AQMS standard, they must inform about this their customers of the aviation, aerospace and defense immediately.

2.6.10 Classified material/ export control requirements: Prior to contracting for and conducting audits, the client has to inform the Certification Body about classified material or export control requirements, so that these aspects can be included in the contract and audit planning. In case that access restrictions related to auditors and, if necessary, Witness / Other Party assessors occur in specific areas during the audit it has to be clarified between client and Certification Body how access to these areas can be made during the audit, since only areas / processes can be listed within the scope of the certificate which have been audited adequately. Exclusions from processes are only permitted as given in requirements of the standard.

2.7 Supplementary terms and conditions as per BS OHSAS 18001 and SCC

2.7.1 These supplementary terms and conditions apply to the certification of occupational health and safety management systems as per the following internationally recognized standards: BS OHSAS 18001 and management systems in the area of safety, health and environmental protection as per SCC (contractors/ production sector) and SCP (providers of personnel services).

2.7.2 In cases involving initial certification as per BS OHSAS 18001, the stage 1 audit shall always be carried out on site.

2.7.3 In cases involving SCC certification, the client undertakes to give auditors access to representative construction/work sites. An appropriate list of construction/work sites shall be submitted to the auditor three weeks prior to the audit.

2.7.4 In cases involving SCP certification, the client undertakes to grant access to representative construction/work sites or projects. Should the lessee refuse access to its company, construction/work sites or projects, the personnel leasing agency shall send a representative sample of temporary agency workers to the client’s headquarters or its respective branch office, to ensure the auditor(s) can interview these workers within the scope of the audit.

2.7.5 Clients certified according to SCC or SCP may file an application for use of the SCC mark during their certificates’ period of validity.

2.8 Supplementary terms and conditions of other TÜV Rheinland Organizations

For management system certifications with accreditations hold by other TÜV Rheinland Organizations (e.g. SA 8000, IRIS) additional standard specific certification requirements apply.

2.9 Supplementary terms and conditions for ISMS as per ISO/IEC 27001

Complementing the requirements for multi-site certifications set forth under Art. 1.5, the following supplementary terms and conditions apply to the certification of Information Security Management Systems (ISMS) as per ISO/IEC 27001:

2.9.1 Multi-site certifications may be performed in organizations which maintain several similar sites and have established an ISMS which covers the requirements of all sites.

A certificate applying to an organization and its sites may be issued if the following criteria are fulfilled:

a) All sites maintain the same ISMS, which is managed and monitored by a central function and subject to internal auditing and management review;

b) All sites are included in the organization’s audit and management-review programme;

c) Initial contract review ensures that the differences between the individual sites are taken appropriately into account in sample selection

d) The certification body has sampled a representative number of sites taking the following aspects into account:

- The results of the internal audits carried out at the central office and at the sites

- The management review result

- The different sizes of sites

- The different business purposes of sites

- the level of ISMS complexity

- The complexity of the information systems at the different sites

- The different types of work operations

- The differences in ongoing activities

- The possible interaction with critical information systems or information systems processing sensitive data

- The different legal requirements

e) The representative sample refers to all sites included in the scope of the client’s ISMS; the sites included in the sample are selected on the basis of the criteria listed under d) above and by means of random sampling.

f) Prior to certification all sites involving significant risks must be audited.

g) The surveillance programme ensures that all sites will be audited within a reasonable timeframe

h) Corrective actions taken at one site will be applied to the entire multi-site organization covered by the scope of the certification.

2.10 Supplementary terms and conditions for certification of Energy Management Systems as per ISO 50001

2.10.1 The rules of Deutsche Akkreditierungsstelle (DAkkS) „Akkreditierung von Zertifizierungsstellen für den Bereich Energiemanagementsysteme – EnMS“ (71 SD 6 022) apply (www.dakks.de/doc_zm).

2.10.2 For multi-site certifications, the conditions set out in Section II.1.5. apply. Sites without employees are not considered in the calculation, but should be appropriately considered/ audited in terms of sampling over the entire audit cycle (3 years). If there are several companies with at least one employee at a given site (except for the central office of the multi-site unit), which are integrated into the central EnMS, these are not to be considered as separate "additional sites" as regards the determination of the audit time, and are to summarised as a single additional site in calculations.

2.10.3 Only in reasonable exceptional cases (very small enterprises, sufficient knowledge of certification body, because customer is already certified for ISO 14001, EMAS, §41-EEG, GHG at the respective locations) an on-site visit during stage 1 audit can be resigned and stage 2 audit can be conducted immediately after stage 1 audit. The customer has to be informed about the risks of audit termination. The decision about above procedure falls to the responsible certification office.

德國德國德國德國萊茵萊茵萊茵萊茵 TÜV集團大中華區集團大中華區集團大中華區集團大中華區

認可驗證服務認可驗證服務認可驗證服務認可驗證服務

II. 驗證的驗證的驗證的驗證的特別條款和條件特別條款和條件特別條款和條件特別條款和條件

以下規定與《驗證的一般條款和條件》一起適用，但應

僅適用經認可的驗證服務，即：根據國家或國際標準或

法則進行的經認可、批准、承認的驗證服務。為本《驗

證特別條款和條件》的目的，術語“認證機構”也包括批准、承認機構。術語“認可規則”、“認可要求”、“認可標準”及“認可程序”也相應地指這些機構執行的程序。認可驗證服務應根據以下標準和規則進行，包括(1)國際通用的認可標準及其應用指南；(2)相關驗證標準的特定認可標準及其應用指南；(3) 驗證標準及其應用指南；以及(4)相關認證機構定義的認可規則，特別包括：

- 有效的國際通用認可標準 如 ISO/IEC 17021， ISO 19011

- 針對相關驗證標準的認可標準 如：食品工業的ISO 22003和 IT行業的 ISO 27006和航空領域的EN 9104-001, EN 9101

- 驗證標準 如 ISO 9001， ISO 14001， IATF 16949， BS OHSAS 18001， SCC，ISO 50001

- 相關認證機構規定的認可規則

1 認可驗證服務的一般條款認可驗證服務的一般條款認可驗證服務的一般條款認可驗證服務的一般條款

1.1驗證驗證驗證驗證稽核稽核稽核稽核

1.1.1 驗證稽核包含兩個階段，第一階段稽核旨在對管理系統及其完善程度（實施狀態）取得大致瞭

解。在獲得以上資訊之後可以進行第二階段稽

核，評審管理系統建立的情況及其合規性。

1.1.2 第一階段稽核完成後可直接進入第二階段稽核。

然而，如果第一階段稽核結果反映企業未作好驗

證準備，那就不能在第一階段稽核結束後直接進

行第二階段稽核。在這種情況下，客戶必須首先

採取適當措施以使被稽核的機構做好驗證準備。

客戶應當承擔客戶自身或我方由此產生的額外成

本，包括差旅費、差旅時間和損耗時間。

1.1.3 兩個階段的稽核間隔時間不能超過 6 個月。如果

間隔時間超過 6 個月，應重新進行第一階段稽核。客戶應當承擔客戶自身或我方由此產生的額

外成本，包括差旅費、差旅時間和損耗時間。

1.1.4 在確定兩個階段稽核的時間間隔時，應考慮客戶

的要求及糾正薄弱點所需的充足時間。一般情況

下，大部分稽核時間應分配在第二階段稽核。

1.1.5 如果我們不能在第二階段的最後一天之後的 6 個

月內檢驗對於不符合項所採取的糾正措施，我們

需要在發證之前再進行一次第二階段稽核。

1.2 監督監督監督監督稽核稽核稽核稽核

1.2.1 為保持證書的有效性，至少應每年進行現場監督稽核，到期日應當為出具初次驗證稽核結果當

天。驗證稽核之後的監督稽核應在驗證稽核結果

出具之後的 12個月內進行，但不得晚於到期日當天。

1.3 換證換證換證換證稽核稽核稽核稽核

1.3.1 為了更新為期三年的驗證，應在證書有效期滿前在客戶的被稽核機構處進行換證稽核。

1.3.2 換證稽核程序與驗證稽核程序類似，但第一階段

稽核的必要性及範圍取決於客戶管理系統的變

化，客戶的組織機構或客戶管理系統運營的環

境。

1.3.3 換證稽核一旦完成，驗證期限順延到下一個 3

年，新證書的生效日期開始于上一張證書的到期

日。在證書到期之前，必須完成換證稽核並作出

正面的驗證決定。

1.4 臨時通知臨時通知臨時通知臨時通知稽核稽核稽核稽核

如因下述原因而臨時通知稽核，則有必要進行特

別稽核：

- 驗證機構瞭解到存在嚴重的投訴及其他對客戶

經驗證的管理系統之有效性提出質疑的情況，

且這種情況不能以書面形式或在計畫中的下次

稽核期間內消除（如客戶或其管理層被控違反

法律）。

- 客戶發生了妨礙其管理系統有效性的變化，致

使被驗證的機構不再符合驗證標準的要求。

- 客戶的驗證被暫停。

1.5 多場地驗證多場地驗證多場地驗證多場地驗證

1.5.1 多場址驗證可適用於具有多個場地或多個專門用作外地辦事機構的分支機搆的機構。

1.5.2 符合以下標準即可進行多場址驗證:

- 所有場地與被驗證機構的總部具有法律或合約

上的關係。

- 所有場地的產品/服務基本相同，並採用相同的方法和過程進行生產。

- 建立有統一的管理系統，且所有分支/生產場地採用和維持同樣的管理系統。

- 機構總部的管理者代表直接集中監管整個管理

系統，並有權向所有的分支機搆/生產場地發佈與管理系統相關的指示。

- 所有的分支機搆/場地都已進行了內部稽核和管理評審。

- 在某些領域，所有分支機搆/生產場地的活動都集中統一進行，如產品和過程設計開發、採

購、人力資源等。 1.5.3 如果要進行多場地驗證，各場地的現場稽核可以

分配到驗證稽核和監督稽核中進行。除對選定的

場地進行稽核之外，每年必須對總部進行稽核。

1.5.4 由我們選擇稽核場地。

2 認可驗證方案的特定標準條款認可驗證方案的特定標準條款認可驗證方案的特定標準條款認可驗證方案的特定標準條款

除上述第 1 條所述的一般條款，以下是適用於特定認可驗證方案的條款和條件，與各個特定標準相關的條款都

一一列明。

2.1 ISO 14001 和和和和/或或或或 EMAS 環境環境環境環境管理系統管理系統管理系統管理系統驗證的補充驗證的補充驗證的補充驗證的補充

條款條款條款條款

2.1.1 如下補充條款適用於以下環境管理系統的驗證：

- ISO 14001；及

- 依據 EMAS (生態管理稽核方案)驗證及生效。

2.1.2 ISO14001第一階段稽核的補充條款：

對於初次驗證稽核，第一階段稽核必須在現場進

行，只有符合以下全部要求時才有可能不進行現

場稽核：

- 稽核小組通過以前的稽核已經熟悉了客戶的組

織機構及其典型的環境要素；

- 客戶的機構已經運行按照 ISO 14001或 EMAS標準通過驗證的環境管理系統；或

- 客戶機構的大多數場所被歸類為與環境有較低

或者有限的關聯性。 檔評審應稽核相關的體系檔，以及對環境因素及

應遵循的法律要求（包括環境法要求取得的許

可）的一般描述。

2.1.3 EMAS 驗證受歐盟基本規定的約束，在德國，尤

其受《環境稽核法令》(Umweltauditgesetz, UAG)及其《費用規定》 (UAG-Gebührenverordnung, UAGGebV)的約束 。

2.2 汽車工業汽車工業汽車工業汽車工業 IATF 16949, VDA 6.x驗證方案的補充條驗證方案的補充條驗證方案的補充條驗證方案的補充條

款款款款

2.2.1 以下在汽車工業驗證標準中的規定應優先適用：

- IATF 16949 – ISO/TS 16949汽車工業驗證方案：為獲取並持有 IATF的 IATF 16949 標準，（版本 5， 2016 年 11 月 1 號）的認可IATF ： International Automotive Task Force)。

- VDA 6.x –基於 ISO9001 標準的 VDA6.1，VDA6.2 和 VDA6.4 的 驗 證 方 案 (VDA-QMC Verband der Automobilindustrie - Qualitäts Management Center)。

2.2.2 客戶：

- 不能拒絕 IATF代表人的出現

- 不能拒絕我們提出的向 IATF 遞交最終報告的要求

- 不能拒絕 IATF執行的見證稽核

- 不能拒絕我們派出的內部見證稽核員

- 不能拒絕 IATF的代表或委託人

2.2.3 客戶的諮詢顧問不能出現在被審場地或以任何方

式參與到稽核過程中。

2.2.4 客戶未能告知我們“變化”的行為將會違反法定協

議，這可能導致我們取消客戶 ISO/TS 16949 標準的證書。“變化”可以關於：

- 法人資格

- 商業現狀 （例如合資企業， 與其他機構的分包合約）

- 所有權現狀 （例如合併，收購）

- 組織和管理

- 聯繫地址及場所

- 被驗證的管理系統下的經營範圍

- IATF推崇顧客的特殊狀態

- 管理系統及過程的重大變化

2.2.5 稽核終止

- 如果第二階段稽核終止，客戶將重新開始一階

段準備評審

- 如果監督稽核終止，證書將會被暫停，並且在

結束會議的 90 個日曆天內執行完整的換證監督稽核。

- 如果換證稽核終止，客戶需要依據 5.1.1 部分進行新的再驗證稽核。如果超出時限，客戶將

需要開始新一輪的首次驗證稽核（一階段和二

階段）

- 如果轉機構稽核終止，客戶將開始新一輪的首

次驗證稽核（第一階段準備評審和第二階

段）。

2.2.6 不符合項管理

在現場稽核的結束會議結束的最多 60 個日曆天內，我們要求客戶提交以下證據：

- 執行的糾正措施

- 根本原因，包括使用的方法，分析及結論

- 為消除各個不符合項所執行的系統的糾正措

施，包括對其他類似過程及產品所產生影響的

思考。

- 對所執行糾正措施有效性的驗證

一旦發現對不符合項採取的糾正措施不可接受，

我們將在稽核結束會議結束的最多 90個日曆天內同客戶共同解決問題。如果未能徹底解決，最終

的稽核結果將無效並且 IATF資料庫將及時更新。驗證決定失敗，並且客戶將開始新一輪的首次驗

證稽核。目前有效的證書將立即被取消。重大不

符合項需要現場驗證。

對於某些特殊情況，即在稽核結束會議結束的最

多 90天內沒有完成執行的糾正措施，我們將考慮公開不符合項，但一旦滿足下列條件，不符合項

將完全關閉：

- 基於可接受的行動計畫，安排了現場跟蹤稽核

並且在下次稽核之前。

- 採取了可能對客戶造成風險的遏制措施，包括

對客戶過程的系統的影響的評審

- 證明已經消除不符合項的檔，可接受的行動計

畫，說明和記錄，包括對客戶過程的系統的影

響的評審

對於輕微不符合項，我們將在下次稽核中檢驗客

戶是否執行過有效的糾正措施，而非進行額外的

現場驗證。如果發現客戶沒能執行可接受的糾正

措施計畫，我們可能會開出新的嚴重不符合項，

而之前的輕微不符合也將被一個嚴重不符合項取

代。這將導致證書的自動吊銷。

如果在我們進行換證稽核的過程中開出了不符合

項，那麼取消認可的過程 （參照規則第 8.0 部分）將會在稽核的最後一天開始 （參照規則第8.1c部分）

2.2.7 特殊稽核

我們將對被驗證客戶進行必要的稽核以調查投訴 （參照規則 8.1 a/b），回應客戶品質管制體系 （參照規則 3.2 部分），及場地的重大變化，或證書被暫停的情況（參照規則 8.3 部分）。客戶不能拒絕特殊稽核。

2.2.8 轉機構稽核

客戶應當通知前驗證機構其將稽核轉移至我們的

意圖。

客戶和前驗證機構應當簽署包含相關條款的有效

力的合約以確保稽核可以延長至稽核全部轉移給

我們。

2.3 ISO 22000/FSSC22000食品工業的補充條款食品工業的補充條款食品工業的補充條款食品工業的補充條款

2.3.1 這些補充條款適用於：

- ISO22000-食品安全管理系統-對食品行業內所有機構的要求

- ISO/TS 22002-1-食品安全的前提條件-第一部分：食品生產

- ISO / TS 22002 - 4 -食品安全的前提條件-第四部分：食品包裝的生產

2.3.2 整個稽核及驗證過程，包含商標的使用，是基於

使用標準的說明以及食品安全驗證基礎的相關

檔，例如 FSSC 22000 食品安全體系驗證計畫，第一部分(www.fssc22000.com)

2.3.3 ISO/TS 22002-1及/或 ISO/TS 22002只能同 ISO

22000做結合稽核。

2.3.4 在畜牧業，種植業，餐飲業，流通業及/或交通/倉

儲領域，ISO 22000 的多場所驗證只適用于多達25個場所的機構。

2.3.5 FSSC 22000沒有多場所驗證。

2.3.6 如客戶得知其產品有健康隱患或未能滿足法定要

求，應立即告知我們。

2.3.7 如客戶得知任何關於產品安全或產品合規的法律

程序，應立即告知我們。

2.3.8 如產品被召回，客戶有義務告知我們此情況以及

導致召回的具體緣由。

2.3.9 客戶將不可撤銷地授權我們通過萊因向位於

Stephensonweg 14 4207 HB Gorinchen The Netherlands 的食品安全驗證基金會（Foundation for Food Safety Certification）遞交以下資料：

- FSSC22000的稽核合約

- 無論稽核是否通過，關於 FSSC22000 合約、稽核和驗證的具體結果，包括詳細資料。這些

資料將會被保存在食品安全驗證基金會的線上

資料庫中。

2.3.10 客戶同意給予食品安全驗證基金會 (Foundation

for Food Safety Certification)及其各自代理人和員工以不受限權利查看所有必要資訊，並給予他

們如下權利

- 進入廠家，業務區，操作機儲藏區域，商業運

作過程中的交通運輸工具-實施檢查

- 查看及檢查所有紙檔及電子的業務檔以及

- 要求提供所要求的任何資訊

如發現嚴重不符，食品安全驗證基金會

(Foundation for Food Safety Certification)可以對立約人發起制裁，這會導致證書的撤銷。

2.4 IFS 特定標準特定標準特定標準特定標準：：：：IFS 食品食品食品食品/ IFS 物流物流物流物流/ IFS 經紀人經紀人經紀人經紀人/

IFS現購自運現購自運現購自運現購自運/ 批發標準的產品驗證的補充條款批發標準的產品驗證的補充條款批發標準的產品驗證的補充條款批發標準的產品驗證的補充條款

2.4.1 這些補充/附加條款適用於根據以下國際認可的標準進行的產品驗證：

- IFS食品 - 食品產品的品質安全稽核標準

- IFS 物流-涉及產品品質及安全的物流服務的標準

- IFS 經紀人標準 - 貿易代理商，進口商及經紀人遵守產品品質及安全規定的稽核標準

- IFS現購自運/批發 - 現購自運市場和批發商的稽核標準

2.4.2 整個稽核和驗證程序（包括標識的使用）都受不

時修訂的相關標準及 IFS Management GmbH的補充檔（如 IFS綱要）的約束。

2.4.3 在預備評審完成並有正面的評審結果，以及驗證

機構和客戶之間所有不同的意見被消除之前，不

得實施稽核計畫。

2.4.4 除了 IFS現購自運/批發和 IFS物流，我們不進行

多場址驗證。

2.4.5 我們不負責保證客戶可以為競爭的目的（尤其是

廣告宣傳目的）而無約束地使用 IFS 證書或標識。

2.4.6 客戶將不可撤銷地授權我們，通過萊因 (TÜV

Rheinland Cert GmbH)向位於

Am Weidendamm 1A 10117 Berlin 的 IFS Management GmbH遞交以下資料：

- IFS的稽核合約

- 關於 IFS合約\稽核和驗證的具體結果，不論稽核通過與否。這些資料將會被保存在 IFS Management GmbH的線上資料庫中。

2.4.7 IFS Management GmbH 將不可撤銷地被授權通

過線上資料庫使得食品零售商和批發商能獲取除

了具體驗證結果之外的成功的驗證過程。

2.4.8 是否授權 IFS Management GmbH通過線上資料

庫向零售商和批發商透露失敗的驗證過程以及失

敗與成功的驗證程序的具體結果，將由客戶自行

決定。

2.4.9 客戶應保證在三個工作日內，通過萊因 (TÜV Rheinland Cert GmbH)通知我們其所知悉的任何健康隱患或未能滿足的法定要求。

2.4.10 客戶有義務立即告知我們其所知悉的任何關於產

品安全及產品合規的法定程序。

2.4.11 如產品被召回，客戶有義務在至少 3 個工作日內

告知我們，以及導致產品召回的具體緣由。

2.4.12 客戶同意授權 IFS Management GmbH及其代理

人和員工以不受限權利訪問“IFS 整合計畫”範圍內所要求的所有資訊，並授權其

- 進入場地、經營場所、工作區域、儲存室及營

業或運營期間所使用的運輸工具；

- 實施檢驗

- 檢查並驗證所有可獲得的書面及電子形式的業

務文檔並且

- 要求提供所要求的任何資訊

如果發現嚴重不符合項， IFS Management GmbH 可視情況給予驗證機構制裁，甚至可能撤銷驗證機構的驗證證書。

2.4.13 客戶可選擇不進行明訪的 IFS 食品稽核而進行暗訪的 IFS食品稽核。自 2016年 10月 1日起，可書面登記進行暗訪稽核。更多資訊，如暗訪稽核

的條款，請參見標準制定者的網站主頁(www.ifs-certification.com)。

2.5 BRC 食品安全全球標準食品安全全球標準食品安全全球標準食品安全全球標準/BRC/loP 包裝及包裝包裝及包裝包裝及包裝包裝及包裝素材素材素材素材

全球標準全球標準全球標準全球標準/BRC 消費產品全球標準的產品驗證的補消費產品全球標準的產品驗證的補消費產品全球標準的產品驗證的補消費產品全球標準的產品驗證的補

充條款充條款充條款充條款

2.5.1 這些補充條款適用於根據國際認可的 BRC（英國零售商協會）標準進行的產品驗證：

- BRC食品安全全球標準

- BRC/loP 包裝及包裝素材全球標準

- BRC消費產品全球標準 2.5.2 整個稽核和驗證程序必須依據不時修訂的相應標

準的各項規定進行。

2.5.3 在預備評審完成並通過，以及我們和客戶之間所

有的不同意見取得一致之前，不得實施任何稽核

計畫。

2.5.4 本標準不適用於多場址驗證。

2.5.5 如果客戶發現自身產品危害健康或違反法律規

定，客戶必須毫不遲延地通知我們。

2.5.6 客戶承諾會將其所知悉的就產品安全或產品合規

問題所採取的任何法律措施，在至少 3 個工作日

內通知我們。

2.5.7 涉及產品召回時，客戶承諾通知我們其產品被召

回的情況以及導致被召回的具體原由。

2.5.8 如果證書被暫停或撤銷，客戶承諾立即通知其顧

客導致證書被暫停或撤銷的根本原由。同時客戶

應向其顧客告知其所採取的使證書恢復效力的糾

正措施。

2.5.9 驗證合約有效期間應至少包括三次常規稽核（一

次初審及兩次常規跟蹤監督稽核）中的一個週

期，直至證書注明的到期日當天。

2.5.10 客戶應不可撤銷地授權我們通過 TÜV Rheinland

Cert GmbH向 BRC 遞交以下資料：

- BRC稽核合約

- 關於 BRC 合約的稽核和驗證結果和細節，不管稽核是否通過，例如，稽核報告、證書及所

有與稽核相關檔的影本。

2.5.11 客戶同意給予英國零售商協會（British Retail Consortium）及其各自代理人和員工以不受限權利查看所有必要資訊，並給予他們權利

- 進入場地、經營場所、工作區域、儲存室及營

業或運營期間所使用的運輸工具；

- 實施檢驗

- 檢查並驗證所有可獲得的書面及電子形式的業

務文檔並且

- 要求提供所要求的任何資訊 如果發現嚴重不符合項，英國零售商協會

（British Retail Consortium）可以對立約人發起制裁，這會導致證書的撤銷。

2.6 航空工業航空工業航空工業航空工業 EN/AS 9100的補充條款的補充條款的補充條款的補充條款

2.6.1 這些補充條款適用於根據國際認可的 EN9100 標準進行的驗證。

2.6.2 為按照要求核實在根據 EN 9100系列標準進行驗

證的範圍內相關準則和方法是否被正確應用，我

們有權通過 TÜV Rheinland Cert GmbH與以下機構進行溝通： Deutsche Akkreditierungsstelle GmbH，以及航天局及德國宇航工業協會（ Bundesverband der Deutschen Luft- und Raumfahrtindustrie e.V., BDLI）的各會員機構。

2.6.3 客戶應准許我們通過萊因在 OASIS資料庫裡錄入

資料（OASIS=線上航空航太供應資訊系統），包括第一等級 （例如 AQMS 標準的已發證書的相關資訊（“AQMS“=航空航太品質管制體系）-公開部分以及第二等級（例如稽核，評審，不符合

項，糾正措施，評定及暫停的資訊及結果-私有部

分）。客戶應給予其航空、航太工業及防禦性產

業的顧客，在 OASIS資料庫的第二等級裡獲取資料的許可權，以及問詢的權利。除非存在拒絕的

合理緣由（例如競爭，機密，利益衝突）。

2.6.4 客戶應任命其某個員工在 OASIS資料庫裡註冊為

客戶的管理員。

2.6.5 初審的第一階段稽核必須為現場稽核。第一、第

二階段稽核不能緊密銜接。

2.6.6 對屬於被驗證範圍內的多現場客戶，客戶的框架

以 EN in 9104-001中附錄 B作為尺規。每個現場的稽核天數將以此分配為依據。

2.6.7 一經要求，客戶有義務向其顧客及潛在顧客提供

稽核報告，相關檔與記錄，除非存在拒絕的合理

緣由（例如競爭，機密，利益衝突）。

2.6.8 只有在所有不符合項通過根本原因分析得到糾

正，並且糾正措施得到驗證機構的接受及驗證

後，才予以頒發證書。

2.6.9 依據 EN 9101，對不符合項採取的糾正措施-依據

不同類別-在發現不符合項後的最多 30 天內，必須由被驗證客戶遞交給稽核組長。如被驗證客戶

在不符合報告完成後的 60天內，未能證明所涉及規範得到恢復，我們必須通過萊因執行驗證暫停

程序。

如獲得 AQMS 驗證的客戶失去 AQMS 標準的驗

證資格，機構必須立即告知其航空、航太工業，

及防禦性產業的顧客。

2.6.10 在委託我們進行稽核和我們進行稽核之前，客戶

應該通知驗證機構關於保密檔或出口管制的要

求，以便於我們將這些因素涵蓋在合約和稽核計

畫中。如果在稽核過程中，稽核員、見證稽核員

或他方稽核員對特定區域訪問受限，客戶應當和

驗證機構說明在稽核過程中怎樣訪問這些區域，

因為只有被足夠稽核的區域或生產流程才會被列

入證書的範圍中。只有根據標準的規定才可排除

訪問生產流程。

2.7 BS OHSAS 18001和和和和 SCC的補充條款的補充條款的補充條款的補充條款

2.7.1 這些補充條款適用於根據下列國際認可標準進行的職業健康和安全管理系統驗證

- BS OHSAS 18001

- 安全，健康和環境保護領域的管理系統

- SCC (分包方/生產部門) ；以及

- SCP (人事服務提供者)

2.7.2 對於 BS OHSAS 18001標準的首次驗證，第一階

段稽核必須在現場進行。

2.7.3 在進行 SCC驗證時，客戶承諾允許稽核員進入有

代表性的建築/工作場地。建築/工作場地清單應在稽核前的三周遞交給稽核員。

2.7.4 在進行 SCP驗證時，客戶承諾允許稽核員進入有

代表性的建築/工作場地或專案場地。如果租戶拒絕稽核員進入其公司、建築/工作場地或專案場地，人員租借代理應向客戶總部或其分支機搆提

供一份臨時工人的代表性樣本，以確保稽核員可

以在稽核範圍內與這些工人進行面談。

2.7.5 按照 SCC 或 SCP 標準驗證的客戶可以在證書有

效期內申請使用 SCC標誌。

2.8 其他其他其他其他 TÜV Rheinland機構的補充條機構的補充條機構的補充條機構的補充條款款款款

由其他 TÜV Rheinland機構享有認可資格的的管理系統驗證（如：SA 8000，IRIS），適用另外的針對具體標準的驗證要求。

2.9 ISO/IEC 27001資訊安全資訊安全資訊安全資訊安全管理系統管理系統管理系統管理系統的補充條款的補充條款的補充條款的補充條款

作為對第 1.5 條規定的多場址驗證要求的補充，以下的補充條款適用於根據 ISO/IEC 27001標準進行的資訊安全管理系統驗證:

2.9.1 如果被驗證的機構有多個類似的場地，且已經建

立了可以滿足不同場地要求的資訊安全管理系

統，則可以對該機構進行多場址驗證。

符合下述要求，可以頒發適用於該機構及其多場

地的證書：

a) 所有的場地有相同的資訊安全管理系統，由某一部門集中管理和監控，並接受內部審計和管

理評審。

b) 機構審計和管理評審涵蓋所有場地。

c) 初次合約評審已確保在抽樣選取過程中已恰當地考慮到各個場地的區別。

d) 驗證機構已經考慮以下因素抽取了一組有代表性的場地:

- 總部和所有場地的內審結果

- 管理評審的結果

- 場地的大小差別

- 場地商業目的的不同處

- ISMS的複雜程度

- 不同場地的資訊系統的複雜性

- 工作運行的不同模式

- 正在進行的活動的不同點

- 與重要資訊系統或處理敏感資訊的資

訊系統的潛在相互作用

- 不同的法律要求。

e) 代表性樣品指客戶 ISMS範圍內的各個場地；作為樣品的場地是根據上述條款 d)中規定的標準隨機選取的。

f) 在驗證之前，必須對有重大風險的場地進行稽核。

g) 監督方案確保在合理的期限內完成對所有場地的審計。

h) 在一個場所採取的糾正措施要適用到驗證範圍內的擁有多場址的被驗證機構。

2.10 ISO 50001能源能源能源能源管理系統管理系統管理系統管理系統驗證的補充條款驗證的補充條款驗證的補充條款驗證的補充條款

2.10.1 適用 Deutsche Akkreditierungsstelle (DAkkS) „Akkreditierung von Zertifizierungsstellen für den Bereich Energiemanagementsysteme – EnMS“ (71 SD 6 022) 規 則 (www.dakks.de/doc_zm)。

2.10.2 對於多場所驗證，適用 II.1.5.部分所列出的條

款。沒有員工的場所不在計算之列，但應該在整

個 3 年驗證週期的抽樣中，適當考慮稽核。當在一個給定的場所裡有幾個至少一名員工的公司

（除了多現場的中心辦公室），被列入到統一的

EnMs，這些公司不應被考慮為分離的“額外場所”去確定稽核時間，而應作為一個單獨的場所計算

稽核時間。

2.10.3 只有在合理的例外情況下（很小規模企業，對驗

證機構有充足瞭解，客戶在各個場所已經取得

ISO 14001， EMAS, 041-EEG, GHG 的驗證資格）， 可以省略第一稽核階段中的現場訪查，同時第二稽核階段可以在第一階段稽核結束後立即

進行。必須告知客戶稽核終止的風險。各個負責

驗證的辦公室擁有履行上述程序的決定權。