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CNCA C03-01-2014 PDF in English


CNCA C03-01-2014 (CNCAC03-01-2014) PDF English
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CNCA C03-01-2014: PDF in English

CNCA-C03-01:2014
CNCA / CCC
Serial No.: CNCA-C03-01:2014
China Compulsory Certification Implementation Rules -
Low-voltage switchgear and low voltage electrical
equipment
Issued on: July 16, 2014 Effective on: September 1, 2014
Issued by: Certification and Accreditation Administration of the People’s
Republic of China (CNCA)
Table of Contents
0 Introduction ... 3
1 Application scope ... 3
2 Terms and definitions ... 3
3 Standards for certification ... 3
4 Certification modes ... 4
5 Classification of certification units ... 4
6 Certification entrusting ... 5
6.1 Application and acceptance of certification entrusting ... 5
6.2 Application materials ... 5
6.3 Implementation arrangement ... 6
7 Certification implementation ... 6
7.1 Type test ... 6
7.2 Design appraisal ... 7
7.3 Certification evaluation and approval ... 8
7.4 Time limit of the certification ... 8
8 After-certification supervision ... 8
8.1 After-certification follow-up inspection ... 8
8.2 Frequency and duration of after-certification supervision ... 9
8.3 Records of after-certification supervision ... 9
8.4 Evaluation of after-certification supervision results ... 9
9 Certificate ... 9
9.1 Maintenance of the certificate ... 9
9.2 Change of contents of the certificate ... 10
9.3 Expansion of products that are covered in certificate ... 10
9.4 Certificate’s cancellation, suspension and withdrawal ... 11
9.5 Use of the certificate ... 11
10 Certification marks ... 11
10.1 Mark style permitted to use ... 11
10.2 Marking method ... 11
11 Charges ... 11
12 Certification responsibility ... 12
13 Certification implementation detailed-rules ... 12
0 Introduction
This Rules is established based on the safety risk and certification risk of low-
voltage switchgear. It stipulates the basic principles and requirements for the
implementation of China Compulsory Certification for low-voltage switchgear.
This Rules can be used with other general rules issued by Certification and
Accreditation Administration (CNCA), such as “China Compulsory Certification
Implementation Rules - Manufacturing Enterprise Classification Management,
Certification Mode Selection and Determination”, “China Compulsory
Certification Implementation Rules - Utilization of Manufacturing Enterprise Test
Resource and Other Certification Results”, “China Compulsory Certification
Implementation Rules - Factory Inspection General Requirements”.
The certification body shall make principles for certification according to the
general implementation rules and this Rules and implement them accordingly.
Manufacturing enterprise shall ensure that their certified products are capable of
sustaining compliance with the certification and are compatible with the
requirements of the standards.
1 Application scope
This Rules applies to low-voltage switchgear, including complete sets of power
switchgear with a rated voltage AC not exceeding 1000V and a frequency not
exceeding 1000Hz, bus trunk system (busway), power panels, complete sets of
equipment for construction sites, complete sets of power distribution equipment
for public power grids, reactive power compensation devices.
Due to the changes in the laws, regulations or related product standards,
technology, industry policies and other causes which may change the applicable
scope, the announcement released by CNCA shall be final and conclusive.
2 Terms and definitions
Design appraisal: In this Rules, design appraisal refers to a non-test verification
method that proves that the product meets the requirements of the certification
basis standard by means of verification comparison and verification evaluation.
3 Standards for certification
CLIENT shall provide the required materials according to the requirements of
application material checklist in certification implementation detailed-rules.
Certification body is responsible for auditing, managing, preserving and keeping
confidential of the relevant materials, and shall inform the CLIENT of the
auditing results.
6.3 Implementation arrangement
Certification body shall agree with the CLIENT on the relevant responsibilities
and arrangement of various aspects of certification implementation. And
according to the situation of manufacturing enterprise and classification
management AND the requirements of this Rules and certification
implementation detailed-rules, DETERMINE the specific program of certification
implementation and INFORM CLIENT.
7 Certification implementation
7.1 Type test
7.1.1 Type test plan
Certification body shall formulate the type test plan, after auditing the materials.
And INFORM the CLIENT.
Type test plan includes the information all samples’ requirements and quantity,
test standard items, laboratory information etc.
7.1.2 Sample requirements of type test
The certification body shall specify the relevant requirements for
sending/sampling of certified products in the implementation rules. In general,
according to the requirements of certification body, samples of type test shall be
submitted by the CLIENT with representative samples for test. When necessary,
certification body may adopt on-site sampling / seal-samples method to obtain
the samples.
CLIENT shall guarantee that all the samples provided are consistent with actual
products. Certification body and/or laboratory shall inspect the authenticity of the
samples. If laboratory has any doubt on the authenticity of the samples, it shall
explain the situation to certification body and handle it accordingly.
According to relevant regulations and documents issued by CNCA, certification
body shall specify the list of critical components and materials used in the
product and relevant requirements in the certification implementation rules.
For critical components and materials within the scope of compulsory product
certification purchased in China, the manufacturer shall provide a compulsory
product certification certificate. For critical components and materials within the
scope of non-mandatory product certification, the certification body shall specify
the conditions and specific requirements for acceptable or recognized voluntary
certification certificates or type test reports in the certification implementation
rules.
7.1.3 Test items of type test
In principle, it shall include all applicable items specified in product standards.
When design appraisal is involved in the implementation of certification, part of
the testing items required to be tested shall be determined by the certification
body, and the CLIENT shall be notified.
7.1.4 Implementation of type test
In principle, type test shall be conducted in the laboratory designated by CNCA.
Laboratory shall conduct the type test to the samples, integrally record the whole
test and archive for retaining, so that the test process and results are traceable.
On the premise of not affecting the validity of certification results, certification
body may, according to "China Compulsory Certification Implementation Rules -
Utilization of Manufacturing Enterprise Test Resource and Other Certification
Results”, formulate the corresponding management procedure. The designated
laboratories delegate the testing personnel, according to the standard’s
requirements, to utilize the manufacturing testing resource to conduct test or
witness test; and the designated laboratories issue the test reports. The
designated shall ensure the authenticity, accuracy, and traceability of the test
conclusion. Certification body shall clearly define the specific requirements and
procedure in certification implementation detailed-rules.
7.1.5 Type test report
Certification body shall specify a unified form of the type test report.
After the type test is completed, the laboratory shall, in time, provide the type test
reports to certification body and CLIENT. The test report shall contain a description
of all products and certification-related information in the application unit. CLIENT
shall ensure that it is able to provide the complete and valid type test report to
certification body and laws enforcement authorities during the after-certification
supervision.
7.2 Design appraisal
7.2.1 Implementation principles for design appraisal
On the premise of risk control, the certification body shall, in combination with the
classification management of manufacturing enterprises, clearly stipulate the
applicable scope and process of the implementation of design appraisal in the
certification implementation rules.
7.2.2 Method for design appraisal
Design appraisal can be carried out in two ways: verification comparison and
verification evaluation.
certification requirements; and ensure that the certified products are in
accordance with standards’ requirements; and maintain the conformity with type
test samples.
When the after-certification follow-up inspection shall be conducted during the
normal production of manufacturing enterprise, no-advance notice is preferred.
For those products that are not continuously manufactured, CLIENT shall
provide the production plan to certification body so that the follow-up inspection
can be conducted in an effective way.
8.1.2 Content of after-certification follow-up inspection
Certification body shall, according to “China Compulsory Certification
Implementation Rules - Factory Quality Assurance Capability Requirements”,
formulate the specific after-certification contents such as traceability inspection
requirements, product conformity inspection requirements; and clarify them
clearly in certification implementation detailed-rules.
8.2 Frequency and duration of after-certification supervision
The certification body shall, on the basis of classification management of
manufacturing enterprises, adopt different after-certification supervision
frequency for different types of manufacturing enterprises, and reasonably
determine the supervision time. Specific principles shall be specified in
certification implementation detailed-rules.
8.3 Records of after-certification supervision
The certification body shall record and file the whole process of after-certification
supervision, so as to ensure the traceability of the certification process and
results.
8.4 Evaluation of after-certification supervision results
The certification body conducts a comprehensive evaluation on the conclusions
of the follow-up inspection and relevant materials/information. Those who pass
the evaluation can continue to maintain the certification certificate and use the
certification mark. If the evaluation fails, the certification body shall suspend or
revoke the certification certificate according to the corresponding circumstances
and announce it publicly.
9 Certificate
9.1 Maintenance of the certificate
This Rules covers the 5 year valid period of product certificate. Within the valid
period, the validity of the certificate is maintained by depending on the after-
certification supervision of the certification body.
Before the certification is expired, if it needs to continue to use, CLINET shall put
forward the certification entrusting within 90 days before the expiry date. If the
newest after-certification supervision, within the certificate validity, is PASS, then
certification body shall directly renew the certificate.
9.2 Change of contents of the certificate
After the product is certified, if there is change in critical components and
materials, the design and electrical structure that involve the product safety; or
there occurs the change of other items as specified by certification body in
certification implementation detailed-rules, then CLINET shall put forward the
Change Entrusting to the certification body. And only after the filing is approved /
completed, may it implement the change.
9.2.1 Change entrusting and requirements
Certification body shall clarify the specific requirements of certification change in
certification implementation detailed-rules, including the scope and procedure of
certification change.
For the changes of same-product and same-content that are belonged to same-
manufacture but different manufacturing enterprises, CLIENT shall only submit
once for change entrusting. Certification body shall associate the involved
change with the certificate.
9.2.2 Evaluation and approval of change
Based on the content changes, certification body shall evaluate the information
provided, to determine whether it can approve the changes. If it requires sample
testing and/or factory inspection, it shall approve the change after the testing
and/or inspection is PASS. In principle, it shall base on the original
representative-model samples that were conducted for type test AS the basis of
change evaluation.
9.2.3 Change filing
For change of critical components and materials, under the condition that it does
not need to provide sample for test, it may be determined and approved by the
certification technical responsible person of the manufacturing enterprise who
has been recognized by the certification body. The relevant records shall be
preserved and filed to the certification body. Certification body shall conduct the
verification when it conducts after-certification supervision; if necessary, conduct
the verification test.
The certification body shall clearly clarify the relevant requirements to
certification technical responsible person in certification implementation detailed-
rules.
9.3 Expansion of products that are covered in certificate
When CLIENT needs to extend the product scope that are covered by the
obtained certificate, it shall put forward the certification entrusting of product
expansion to certification body.
Compulsory Certification Fees to charge the fees.
Certification body shall, based on the initial factory inspection fees, after-
certification supervision re-inspection man-day fees in national provisions of
China Compulsory Certification fees, reasonably determine the specific man-day
fees.
12 Certification responsibility
Certification body shall be responsible for the certification results.
Laboratory shall be responsible for the test results and test reports.
Certification body and its inspectors shall be responsible for the factory
inspection conclusion.
CLIENT shall be responsible for the submitted materials, and samples’
authenticity and legality.
13 Certification implementation detailed-rules
Certification body shall formulate scientific, reasonable and feasible certification
implementation detailed-rules, according to the principle and requirements of
this Rules. Certification implementation detailed-rules shall be publicly
announced, after filed to CNCA. Certification implementation detailed-rules shall
at least include the following contents:
(1) Certification procedure and time limits;
(2) Certification mode and relevant requirements;
(3) Details and relevant requirements of unit division;
(4) Classification management requirements of manufacturing enterprise;
(5) Certification entrusting materials and relevant requirements;
(6) Requirements for sample testing (including requirements for type test and
testing using manufacturing enterprise’s testing resources);
(7) Implementation requirements for design appraisal;
(8) Initial factory inspection and after-certification supervision requirements
(including coverage requirements of factory inspection (including the
division of product categories), requirements of enterprise quality
assurance capability and product conformity inspection, manufacturing
enterprise quality assurance control testing requirements, critical
components and materials quality control testing requirements, ODM/OEM
factory inspection requirements, supervision frequency, sampling
inspection or inspection requirements, etc.);
(9) Requirements for certification change (including change version of
......
Source: Above contents are excerpted from the PDF -- translated/reviewed by: www.chinesestandard.net / Wayne Zheng et al.