No.:CNCA—C11—01: 2014
IMPLEMENTATION RULES FOR COMPULSORY CERTIFICATION
OF Motor Vehicle
Announced on Aug. 21, 2014 Implemented on Jan. 1, 2015
Certification and Accreditation Administration
0.
Foreword
Based on the safety risk and certification risk of automotive and trailer products, this Rule specifies the basic principles and requirements of implementation of compulsory certification of all the automobile applied, to ensure certification product continually conform with legislation, regulations and standards.
This Rules is supplementary to general implementation rules announced by the Certification and Accreditation Administration of People’s Republic of China (Hereafter “CNCA”), including Implementation Rules for Compulsory Products Certification——Factory Classification, Selection and Determination of Certification Mode, Implementation Rules for Compulsory Products Certification——Utilization of Testing Resources of Factory and Other Certification Results, Implementation Rules for Compulsory Products Certification——General Rules for Factory Inspection.
Accredited certification body should draft implementation specifications according to general implementation rules and this Rules, combining the management of Factory Classification and implement them accordingly at the same time.
A factory should guarantee that its certificated products can continually meet the requirements of certification and applicable standards.
1.
Scope
This Rule is applicable to category M, N vehicles and category O trailers (including complete and incomplete), which are allowed to run on Chinese roads and city streets.
This Rule is not applicable to low speed vehicles (three-wheeled vehicles and low speed trucks), vehicles which run on rails and wheel-specific machinery vehicles designed for working on blocked roads or places not for running on roads, agriculture and forestry tractors, various engineering and machinery and non-cab chassis.
Any modification of scope due to changes of legislation regulation, product standard, and technology and industry policies is subject to the announcements by CNCA.
The application free of certification due to scientific research, testing and other special reasons is subject to the provisions by CNCA.
The Definitions of vehicles refers to GB/T 3730.1 Motor vehicles and trailers-Types-Terms and Definitions; GB/T 17350 Terms and marks in special automobiles and semi-trailers, GB 7258 Technical conditions for safety driving of motor vehicles; the classification of vehicles are in GB/T 15089 Classifications of power-driven vehicles and trailers. For example:
1.1
Complete vehicles: vehicles with expected functions without any manufacture
1.2
Incomplete vehicles: vehicles with expected functions by further manufacture
1.3
Multi-stage manufactured vehicles: vehicles with expected functions through multi-stage certification
1.4
Basic vehicles: Complete vehicles and second-type chassis used in modification
1.5
Components: Component assembly, system, the minimum independent unit of vehicles. For example, lens of wing mirrors assembly, splice in brake hose
1.7
Components: Components and assembly
1.8
System: Combination consisted of components and assembly with specific functions, for example, steering system and braking system
1.9
Second-type chassis: incomplete vehicles which can be complete vehicles with a cargo platform or operation equipment
1.10
Third-type chassis: incomplete vehicles which can be complete vehicles with a can, a cargo platform or operation equipment and integral body
1.11
Mass-produced vehicles: vehicles of mass-production and production of large-scale
1.12
Vehicles of non-mass-production: vehicles of non-large-scale production, the number of year production or import of vehicles covered by each certificate is no more than 500
1.13
Refitted vehicles: vehicles refitted on basis of complete vehicles and second-type chassis
Note 1: Terms and definitions is applicable to this Standard only and can be used together like refitted vehicles of non-mass production, complete refitted vehicles of non-production
3.
Reference Standard for Certification
Factories should implement the standard and provision of automobile product safety, environmental protection, energy saving and prevention of burglary announced by government.
According to this Rules, reference standard for certification refers to Appendix 1.
In principle, only the latest version of the abovementioned reference standards issued by Standardization Administration of China (SAC) should be applied. In case of other versions being needed, announcements on relevant standards made by CNCA should apply.
With the premise of integrity and self-discipline, effective management and stable production, the fundamental certification mode in this Rules is based on fixed safety risk characteristics of products and technology adopted by the majority of factories.
The certification body should, according to the requirements of Implementation Rules for Compulsory Products Certification——Factory Classification, Selection and Determination of Certification Mode, properly manage the classification of its manufacturers and determine the applicable certification mode for each of them.
The fundamental mode of compulsory product certification for vehicles is:
Type Test + Initial Factory Inspection (enterprise quality assurance ability and product consistency inspection) + Post-certification surveillance
For mass-produced vehicle factories, the way of inspection of enterprise quality assurance ability and product consistency inspection of is the same as production consistency check.
For non-mass-produced vehicle enterprises, onsite sampling test/inspection and port sampling test or inspection should be also included besides quality assurance ability and product consistency inspection.
Post-certification surveillance can be follow-up inspection, onsite or port onsite sampling test/inspection and market sampling test/inspection independently or their combination.
5.
Determination of Certification Units
In principle, different automobiles are determined according to certification units. Certification applicant should submit the certification application to the certification body according to the rules of determination of certification units. Determination of series, units, type of certification automobiles refers to Appendix 2.
6.1 Submitting and Acceptance of Certification Application
Certification applicant should submit the certification application to the certification body in an appropriate way. Certification body should handle the application and respond to by a feedback of accepting or rejecting it within the time limit specified in implementation specifications.
Certification applicant should be responsible for product recall and three guarantees, including repair, change and return of product responsibilities.
The manufacturer and factory apply certification of products of automobiles and trailers which are in normal production. The certification body should not accept the application when it violates national laws and regulations and relevant industry policies.
6.2 Application Documents
Certification body should provide a list of application materials in its implementation specifications according to laws and regulations, standards and the needs of certification implementation, which should at least include the contents in Appendix 3.
Applicant should provide application documents as required in the implementation specifications. The certification body should review, manage and keep all relevant documents in confidence, and inform the applicant of the result.
6.3 Implementation Arrangement
Certification body and applicant should reach an agreement on the responsibility and arrangement of each party at every step of the certification implementation. According to the requirement of this Rules and implementation specifications and taking into consideration the actual situation and classification of the factory, the certification body should determine the specific certification implementation program and inform the applicant of it. The certification implementation program should at least include requirements for type test and initial factory inspection (when applied).
7 Certification Implementation
7.1.1Type Test Program
After document review, the certification body should develop a type test program and inform the applicant.
A type test program consists of all requirements and the quantity of samples, standard tested items and laboratory information.
Applicants can choose laboratory by themselves according to the scope determined by CNCA, but the development of program should consult the applicant.
7.1.2Requirements on Type Test Samples
In general, samples are selected and delivered to the laboratory by applicants according to the requirements for type test program. When necessary, according to the actual situation and classification of the factory, certification body could select samples onsite to obtain the sample and send it to the appointed laboratory.
The selection of samples according to the rules that whether the vehicles series tested program is the same type or not. Selecting only one sample if there are of the same type. Otherwise, selecting sample respectively. The quantity and requirements for sample should be determined by collecting all the sample. The quantity and requirements for sample refers to Appendix 4.
Applicant should guarantee the sample provided is consistent with manufactured products and can continuously produce. Certification body and/or laboratory should examine and verify the authenticity of the sample provided by the applicant. With any doubt of the authenticity, laboratory should explain to the certification body and deal with it in an appropriate way.
Certification body should specify in its implementation specifications the list of critical components and materials of products and relevant requirements and the conditions and detailed requirements of the accepted or acknowledged voluntary certification certificate or type test report according to relevant regulations announced by CNCA.
7.1.3 Type Test Program and Requirements
Based on the category and usage of vehicles chosen by applicants, certification bodies should determine Type Test Program according to this Rules. Test program and standards for test in this Rules refers to Appendix 1.
7.1.4 Implementation of Type Test
Type test should be conducted after certification body confirmed the application document summited by applicants in accordance with requirements for type test program. Certification body should consign the laboratory which is designated by CNCA to conduct the Type test.
The laboratory carries out type test on samples, records the entire process and archives the recordings in order to ensure the traceability of testing process and result.
If there is any failed test item, factory is allowed to rectify and send samples for re-test after the correction based on analyzing the reason resulting in failure. If the conclusion indicates that a re-test is needed, Laboratory should inform certification body of the test conclusion and certification body should determine a new test program.
For situations when approving test conclusion based on other conformity assessment system, certification body should specify the requirements in certification specification.
Note 2: Certification body and laboratory should add the requirements on sample check, video and photo recording, witness test, documentation, etc. for products with high safety risk, such as school bus, intercity bus, touring coaches, carrier for dangerous goods and refitted automobile. When necessary, relevant test items can be added.
Note 3: Criteria of Technology Determination for refitted automobile should be specified by certification body in certification specification and make an announcement to public.
If the factory meets the requirement of Implementation Rules for Compulsory Products Certification——Utilization of Testing Resources of Factory and Other Certification Results and requirement in certification standards, certification body can implement or witness type test by utilizing testing resources of factory. Designated laboratory should issue test report. Certification body should specify detailed requirements and procedure in the implementation specification.
7.1.5 Type Test Report
Certification body should determine a standardized format of type test report.
After type test, laboratories should provide the type test report to certification body and the applicant in a timely manner. The report should include the description of certification related information of the products within the application unit. The applicant should be able to provide complete and valid type test report to certification body and law enforcement parties during post-certification surveillance.
Initial factory review refers to the onsite review and evaluation for determining whether factory quality assurance ability, product consistency and standard conformity control meet the certification requirements or not.
In general, initial factory review should be performed after the type test. Upon request, the type test and initial factory review could be performed simultaneously.
7.2.1 Basic Principle
Certification applicant and factory should establish, implement and maintain systems of product consistency and standard conformity control according to Appendix 5 to ensure the certified products being consistent with certification requirements continuously.
Certification body should develop implementation specifications for factory review of automobile factories of mass-production and non-mass-production according to Implementation Rules for Compulsory Products Certification——Requirements for Factory Quality Assurance Ability and Implementation Rules for Compulsory Products Certification——General Requirements for Factory Inspection and implement consistency inspection of production consistency control system in factory to ensure factory review can be implemented. Inspection should cover product and processing premises of products applied for certification. When necessary, certification body should implement extended inspection outside the factory.
After the type test being satisfactory, initial factory inspection should be completed within 1 year in principle. Otherwise a new type test is needed.
7.2.2 Factory Review of Mass-Produced Vehicle
The implementation of factory review for mass-produced vehicle includes review on production consistency control plan and factory onsite review on production consistency.
7.2.2.1 Review on Production Consistency Control Plan
Manufacturer or factory of mass-produced vehicle should set up a production consistency control plan in accordance with Appendix 5 in this Rules and submit to certification body for review. Certification body should inform applicant of the review result.
If the production consistency control plan meets the requirements of review on production consistency specified in Appendix 5, the result of production consistency control plan is satisfactory. If certification body determines any flaws in the control plan, manufacturer or factory should correct it and re-sent the control plan. Certification body should conduct a new review of the plan and inform the certification applicant with the result.
If the certification body and manufacturer or factory fail to reach an agreement on production consistency control plan, with the precondition that the manufacturer or factory agrees and commits to cooperate with the certification body for the subsequent sampling and recheck, certification body can accept the production consistency control plan of manufacturer or factory.
After accepting the review on production consistency control plan of manufacturer or factory as satisfactory, certification body should design a production consistency inspection (factory onsite inspection) program, including products, premises and production consistency for inspection.
7.2.2.2 Factory Onsite Review on Production Consistency
If the review result of type test and production consistency control plan are satisfactory, certification body should designate an inspection team which consists of inspectors with registered national qualification to implement factory onsite inspection on production consistency.
During the inspection, products to be certified is in normal production in factory.
7.2.3 Factory Review of Non-Mass-Produced Vehicle
The implementation of factory review for non-mass-produced vehicle includes review on factory quality assurance ability and onsite check or inspection on production consistency.
For non-mass-produced vehicles that are refitted automobiles based on an uncertified automobile type (or certificate of automobile with basic type being suspension, withdrawal and cancellation), certification body should add the factory review on manufacturer or factory of basic automobile type combining the refitted items and contents.
7.2.3.1 Review on Factory Quality Assurance Ability and Production Conditions
Manufacturer or factory of non-mass-produced vehicle should, in accordance with requirements of Appendix 5 in this Rules, be equipped with related production and inspection condition, quality assurance ability and set up production consistency control measures to ensure the conditions for implementing factory review and onsite check or inspection of production consistency.
7.2.3.2 Onsite Sampling Test or Inspection of Production Consistency
Certification body should implement sampling test or inspection of product consistency on production onsite and warehouse, shipment premises confirmed during the review of factory quality assurance ability and production condition of non-mass-produced vehicle or after the review is being approved to be satisfactory.
7.2.5 Result of Factory Review
If non-conformity item is not found in the factory review, the review should be accepted as satisfactory.
In case of any non-conformity item found in factory review, it is allowed to make correction within a time limit (no longer than 3 months), and the certification body will verify the result of correction in an appropriate way. In case that the correction is overdue, or the correction results are unsatisfactory, the result of factory review will be unsatisfactory.
In case it is found in factory review that the implementation of the production consistency control plan deviate seriously with the one applied and approved, or any serious discrepancy is found on vehicle structure and technical parameters of vehicles produced and of the type test sample vehicle, the result should is found unsatisfactory, and the factory review will be terminated.
7.2.6 Timing of Factory Review
Timing of factory review is followed by certification according to related national regulations and should be specified in the implementation specification.
7.3 Evaluation and Determination of Certification
Certification body should make a comprehensive evaluation of the result of type test, initial factory inspection and relevant documents/information. A certificate will be issued according to units when evaluation is accepted as satisfactory. If the evaluation is unsatisfactory, the certification will be terminated.
7.4 Time Limit for Certification
Certification body should clarify on the time limit for each certification step and ensure certification being completed before the deadline. Applicant should actively cooperate in the certification process. In general, certificate should be issued to applicant within 90 days after the application being accepted.
8. Post-Certification Surveillance
Post-certification supervision refers to the surveillance activity carried out by certification body to monitor certificated products and its factory. Taking the classification and the actual situation of the factory into consideration, certification body should specify the requirements on the selection of the method of post-certification surveillance.
8.1.1 Principles of Follow-up Inspection
Certification body should implement effective follow-up inspection on certificated products and its factory based on factory classification with the aim of verifying the ongoing conformity of quality assurance ability of factories with certification requirements, and of ensuring the ongoing conformity of certificated products with standard requirements and products conformity with type test sample.
The follow-up inspection should be carried out during normal production of the manufacturer. For products manufactured discontinuously, certification applicant should provide relevant production schedule to the certification body to facilitate the effective implementation of follow-up inspection.
8.1.2 Content of Follow-up Inspection
Under the principle of ensuring certification risk is under controlled, certification body should determine the detailed requirements for follow-up inspection according to Appendix 5 and specify them in implementation specifications.
8.2 Onsite Sampling Test or Inspection
8.2.1 Principles of Onsite Sampling Test or Inspection
When onsite sampling test or inspection is adopted in post-certification surveillance, the certification applicant, manufacturers and enterprises should provide active cooperation.
8.2.2 Content of Onsite Sampling Test or Inspection
The certification body should specify the content and the requirement of onsite sampling test or inspection in implementation specifications according to the principle for factory classification and product characteristic. Certification body should develop the specific program for sampling test according to the content and requirement for onsite sampling and the designated person selects samples from qualified products (production line, storage and port). Sampling test could be implemented by utilizing testing resources of factory and the terms and conditions are the same as 7.1.4 in this Rules. For non-mass-produced vehicles, manufacturer should inform certification body before being sold/ exported based on conformity with requirements for factory onsite follow-up inspection. Certification body should develop specifications and carry out the structure & parameter inspection, and test of some non-destructive test project by way of randomly selecting 2 vehicles from 10 ones together with labs so as to ensure product consistency (less than 10 vehicles will be counted as 10 vehicles). When necessary, certification body should make sure that consistency inspection is implemented on each vehicle of each project. Certification bodies and laboratories determine whether some destructive test is needed or not according to the result of inspection and information for product quality every year.
Note 4: for school bus, intercity bus, touring coaches, trucks for dangerous goods, refitted vehicles and other products with high safety risk, the checking items should product check, photo or video records, documented information, when necessary, product consistency check and on-site sampling test should be included.
8.3 Market Sampling Test or Inspection
8.3.1 Principles of Market Sampling Test or Inspection
When market sampling test or inspection is adopted by post-certification surveillance, the certification applicant, manufacturer and enterprise should have cooperation and confirm the samples selected from the market.
8.3.2 Content of Market Sampling Test or Inspection
The certification body should specify the content and requirement for market sampling test or inspection in implementation specifications. Certification body develop sampling test program according to product characteristic and designate persons to select samples from certificated products on sale (including entire factory or users)
8.4 Application of Quality Information
The enterprises should build up system for collecting, summarizing, analyzing and saving customer complaints, and guarantee the transparency of complaint information to certification bodies without hiding or destroying relevant information. During follow-up inspection, the certification body should pay great attention to customer complaints, social focus, and investigation of defective products, risk prediction, huge quality accident, supervision & sampling test, special verification and quality information related to this Rule. Certification bodies should ensure that they only report to certification administration without leaking enterprise information to third parties. Certification bodies should establish system for collecting, summarizing, analyzing and saving customer complaints involving safety, environmental protection, energy saving and anti-theft so as to enhance the supervision on approved enterprises and products, meet the information need for government and improve the credibility of certification result. Certification body should meet general requirements provided by certification information.
8.5 Frequency and Timing of Post-Certification Surveillance
Certification body should implement post-certification surveillance at different frequencies among different types of factories and determine the timing of surveillance in a reasonable way basing on the factory classification. Specific principles should be specified in implementation specifications.
8.6 Recording of Post-Certification Surveillance
The certification body should record and archive the entire post-certification surveillance process to ensure the traceability of certification process and result.
8.7 Evaluation of the Results of Post-Certification Surveillance
The corrective action of the unsatisfactory item of the post-certification surveillance should be completed in 3 months. Otherwise, the test fails.
Certification bodies should make a comprehensive evaluation on the conclusion of follow-up inspections, sampling tests and relevant documents/information. The factory can keep using its certificate and certification mark after it passes evaluation; in case of a failure in the evaluation, the certification body should suspend or withdraw the certificate accordingly and make a public announcement.
8.8 Consistency Parameter Management
Certification bodies should have classified and dynamic parameter management of vehicle consistency, determine the potential safety quality risk of products according to change of parameter and so implement factory inspection and sampling if needed.
9.1 Maintenance of Certificate
The valid period of certificates is 5 years. Within valid period, the validity of the certificates are maintained through post- certification surveillance by certification bodies.
Certification consigner should submit a new certification application within 90 days before the expiration date of the certificate if he intends to extend the use of the certificate. If the result of the latest post-certification surveillance before expiration is found to be favorable, the certification body should directly renew the certificate.
Certificates should meet the requirement and content of Regulations for Compulsory Product Certification, and provide certificates with Appendixes indicating that the relevant product is consistent with the standards and the name and number of implementation rules for certification in this Rules. The change of certificate should note the version so as to highlight the frequency of change.
For multi-stage vehicles, previous manufactory and factories, vehicle types and unit information should be noted. If the product in previous stage which has been authorized with compulsory production certification should be identified with the number of certificate.
Certificates should specify that whether the product is a completed vehicle or not.
For products certified by non-mass-produced vehicle series, certificate should list vehicle identification number of covered product.
The components of integral vehicle, system and labelling information of assembly should be the same as the CCC certificate of components or the structural technical parameter that have been reported to certification bodies.
After authorized the certificate, if there are following changes--change of contents of the certificate, technical change of certificated products (design, structure parameter, key components/raw material, etc.) which affects the conformity of relevant standards, change of production consistency control plan or production conditions affecting production consistency, change of some items specified in certification implementation specifications, the applicant should submit an change application and implement change only after being approved by the certification body.
Certification body should specify in implementation specifications the detailed requirements for change of certificate, including the scope and procedure of change. Certification bodies should evaluate provided documents according to contents of change and so decide whether approve the change. Certification bodies can approve the change only after the result of the test and/or inspection is satisfactory when the sampling test and/or factory inspection is needed. Sampling test can utilize testing resources of factories and the terms and requirements are the same as Terms of 7.1.4.
Change can be approved if it is consistent with requirement. The number and valid period for the new certificates are the same as the old ones and the approved date of change should be noted. If there is no need for new certificates, provide changed conformation table, and note the new content and the approved date of change.
9.4 Suspension, Cancellation, and Withdrawal of the Certificate
Suspension, cancellation and withdrawal of the certificate should follow Regulations for Compulsory Product Certification, Implementation Rules for Cancellation, Suspension and Withdrawal of Compulsory Product Certification and relevant regulations of certification implementation specifications.
Certification bodies should establish risk prediction mechanism for certificated products. Certification bodies can suspend and withdraw the certificate when there are big design defect or potential safety hazard (such as safety alarming, defect inspection, recall of products, big quality accident or much nonconformity found in supervision inspection and special verification) and manufacturers should responsible for it after being verified.
The certification body should determine the categories and range of products which do not conform to certification requirements and make an announcement of the certificates being cancelled, suspended or withdrawn in an appropriate manner.
Certification body should make sure that the usage of certificates comply with Regulations for Compulsory Product Certification.
10. Certification Mark and Certificate for Vehicle Consistency
The management and usage of the certification mark should follow Regulations for Compulsory Product Certification Mark.
The certificated products of vehicles and trailers adopt the certification mark “S”. The design of the mark is as follows:
The vehicles granted with CCC certificates should be attached with CCC marks as required on the top right of frontal windscreen (in running direction) and the marks on trailers should be attached at visible position. The mark size should be 60mm. The multi-stage built vehicles approved at stages should keep marks for each stage.
10.3 Certificate for Product Consistency
Manufactures or factories should submit parameter and sample of certificate for vehicle consistency to certification bodies according to the Implementation Rules. The content of mode, relevant requirements and parameter of product consistency refer to Appendix 6. Documents of each certificated vehicle should be enveloped with certificate for product consistency so as to present the information of certificated products, environmental protection and fuel consumption indices to consumers or relevant departments.
The certification should be charged by certification body and laboratory according to national regulations on fees and charges for compulsory products certification.
The certification body should reasonably determine the specific fees and charges per day per person of initial factory inspection and re-check of post-certification surveillance of compulsory product certification according to the national regulations on fees and charges.
12. Certification Responsibility
The certification body should be responsible for its certification conclusions.
The laboratory should be responsible for its testing results and reports.
The certification body and factory inspector assigned by it should be responsible for factory inspection conclusion.
The certification applicant should be responsible for the authenticity and lawfulness of the documents and samples submitted for certification.
13. Implementation Specifications
The certification body should, according to the principles and requirements of this Rules, develop scientific, reasonable and practical implementation specifications for certification. The implementation specifications should be announced to the public after being submitted to CNCA for records. Implementation specifications should at least include the following aspects:
(1)Certification procedure and requirements of time limit;
(2)Selection of certification mode and relevant requirements;
(3)Requirements on factory’s classification management;
(4)Application documents for certification and relevant requirements;
(5)Requirements on sample testing (including requirements for onsite/market sampling test or inspection);
(6)Requirements on initial factory inspection
(7)Requirements for post-certification surveillance
(8)Requirements for utilizing testing resources of factory and Utilization of other result of certification
(9)Requirements for change of certificate (including change of standard)
(10)Requirements and List of critical components and materials;
(11)Reference for fees and charges and relevant requirements;
(12)Requirements on the procedures and time limit related to technical disputes and complaints.
Appendix 1: Type Test Items and Criteria
01 General Safety