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CNCA C11-16-2018 PDF in English

CNCA C11-16-2018 (CNCAC11-16-2018) PDF English
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CNCA C11-16-2018: PDF in English

Serial No.: CNCA-C11-16:2018
China Compulsory Certification Implementation Rules -
Electric Bicycles
Issued on: July 19, 2018    Effective on: August 1, 2018 
Issued by: Certification and Accreditation Administration of the People’s
Republic of China (CNCA)
Table of Contents
1 Introduction ... 3 
2 Application scope ... 3 
3 Standards for certification ... 3 
4 Certification modes ... 4 
5 Classification of certification units ... 4 
6 Certification entrusting ... 4 
7 Certification implementation ... 5 
8 After-certification supervision... 8 
9 Certification certificate ... 9 
10 Certification marks ... 11 
11 Product certificate ... 11 
12 Charges ... 11 
13 Certification responsibility ... 11 
14 Certification implementation detailed-rules ... 11 
Attachment 1: Product description, critical components and raw materials ... 13 
Attachment 2: Type test items and standard based ... 14 
Attachment 3: Product certificate... 16 
1  Introduction 
In accordance with the relevant requirements of “Decision of the State Council
on the Adjustment of the Catalogue of Industrial Products Subject to Production
License Administration and the Trial Implementation of Simplified Approval
Procedures” (No.34 [2017] of the State Council), the production of electric
bicycles has been changed from production license administration to China
compulsory certification administration. This Rules is established based on the
provisions of laws and administrative regulations such as “Regulations of the
People's Republic of China on Certification and Accreditation”, “Provisions on
the Administration of Compulsory Product Certification” (No.117 Order of
This Rules is established based on the safety risk and certification risk of electric
bicycle products. It specifies the basic principles and requirements for the
implementation of China Compulsory Certification for electric bicycle products.
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”.
Certification body shall compile the implementation detailed-rules for certification
of electric bicycle products according to the requirements of the general
implementation rules and this Rules, and shall implement them with the general
implementation rules and this Rules.
2  Application scope 
This Rules applies to two-wheeled bicycles that use on-board batteries as
auxiliary energy, have pedaling ability, and can implement electric assist or / and
electric drive functions.
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.
3  Standards for certification 
Standard based: GB 17761 Safety technical specification for electric bicycle.
The latest versions of the standard based that are issued by the National
Standardization Administration shall be executed. When new applicable
standards are required to be added or other versions are required to use, then it
shall be executed according to the applicable relevant standards issued by
Certification and Accreditation Administration (CNCA).
an appropriate way. Certification body shall process the certification entrusting;
and feedback the acceptance or rejection according to the time limit in the
certification implementation detailed-rules.
When it does not comply with national laws and regulations and relevant
industry policies, certification body must not accept the certification entrusting.
6.2 Application materials
Certification body shall, in accordance with the laws and regulations, standards
and other requirements, specify the checklist of application materials in the
implementation detailed-rules.
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 
Certification body shall establish an information management system suitable for
the product certification.
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. CLIENT may voluntarily select the CNCA designated
laboratory (hereinafter referred to as laboratory) for type test. Type test plan
includes all samples’ requirements and quantity, test standard items, laboratory
information etc.
CLIENT can provide the test report issued by the designated laboratory, which
can be used as the type test result after being confirmed by the certification
7.1.2 Sample requirements of type test
Certification body shall clearly specify the relevant requirements for sample
submission of certified products in the implementation detailed-rules. In general,
appraisal report and relevant materials provided, and determines the plan of some
type test items required. After the laboratory completes the audit and test, the
results are submitted to the certification body.
7.2 Initial factory inspection
Initial factory inspection is the on-site inspection and evaluation carried out by
the certification body to determine whether the quality assurance ability and
product consistency control ability of the manufacturing enterprise meet the
certification requirements.
Manufacturing enterprises shall establish, implement and continuously maintain
the production conformity control system, so as to ensure that the certificated
products can continuously meet the certification requirements.
Initial factory inspection shall be carried out after the type test is PASS. If
required, type test and initial factory inspection can be carried out
7.2.1 Inspection scope
The inspection shall cover the production sites of the products applied for
certification by the manufacturing enterprise. When necessary, the certification
body may carry out extended inspections at locations other than the
manufacturing enterprise.
7.2.2 Factory inspection results
If no unqualified items are found in the factory inspection, the inspection result is
If there are unqualified items in the factory inspection, rectification may be
allowed, and the certification body shall take appropriate measures to confirm
the results of the rectification.
7.2.3 Factory inspection time
The initial factory inspection time is specified by the certification body in the
detailed implementation-rules
7.3 Admitting of relevant certification results
Certification body shall make relevant arrangements for admitting voluntary
certification results or part of the results, avoiding repeated test and repeated
reviews, and improving efficiency.
7.4 Certification evaluation and approval
Certification body shall make a comprehensive evaluation to the type test,
factory inspection results and relevant information / materials. If the evaluation is
PASS, the certificate will be granted according to certification unit. If not, the
certification is terminated
8.2.1 Principles of factory on-site sampling test or inspection
If it adopts “factory on-site sampling test or inspection” to implement the after-
certification supervision, CLIENT, producer (manufacturer) and manufacturing
enterprise shall cooperate.
8.2.2 Contents of factory on-site sampling test or inspection
Certification body shall formulate the contents and requirements of factory on-
site sampling test or inspection in the certification implementation detailed-rules.
8.3 Market sampling test or inspection
8.3.1 Principles for market sampling test or inspection
If it adopts “market sampling test or inspection” to implement the supervision,
CLIENT, producer (manufacturer) and manufacturing enterprise shall cooperate;
and confirm the samples that are sampled from market.
8.3.2 Contents of market sampling test or inspection
Certification body shall formulate the sampling test plan according to the product
characteristics. Designated personnel will take samples from products to be
certified in market according to sampling test plan.
8.4 Frequency and time of after-certification supervision
Based on manufacturing enterprise classification management, certification
body shall adopt different frequency and method of after-certification supervision
to different types of manufacturing enterprises. The supervision time shall be
made in a reasonable way.
8.5 Records of after-certification supervision
Certification body shall appropriately record and archive the process of after-
certification supervision, so that the process and results are traceable.
8.6 Evaluation of after-certification supervision
Certification body shall comprehensively evaluate the conclusion of follow-up
inspection; conclusion of sampling test; and relevant materials / information. If
the evaluation is PASS, it may continue to maintain the certificate and use of
certification mark. If the evaluation is Not-PASS, certification body shall suspend
or revoke the certificate according to the corresponding situations; and
announce it publicly.
9  Certification certificate 
9.1 Maintenance of the certification certificate
This Rules covers the 5 year valid period of certification certificate. Within the
valid period, the validity of the certification certificate is maintained by depending
“Provisions on the Administration of Compulsory Product Certification” (No.117
Order of AQSIQ).
10  Certification marks 
The management and use of certification marks shall comply with the provisions
of “Announcement of CNCA on the Reform of China Compulsory Certification
Marks” (Announcement of CNCA, NO.10, 2018).
11  Product certificate 
The product certificate of producer (manufacturer) or manufacturing enterprise
shall meet the requirements of subclause 5.5 of GB 17761 “Safety technical
specification for electric bicycle”. The parameters of the product certificate shall
be consistent with those of the certification certificate. Refer to Attachment 3 for
the recommended style of “Product Certificate”.
12  Charges 
Certification body shall formulate charging standards in accordance with national
regulations and publish a list of charging standards.
13  Certification responsibility 
Certification body shall be responsible for the certification results.
Responsibilities and obligations in all aspects of certification shall be clearly
defined between the certification body and the contracting laboratory.
Certification related parties shall bear corresponding responsibilities and
obligations for product quality in accordance with relevant laws and regulations.
14  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) Selection of certification mode and relevant requirements;
(2) Classification of certification units, certification procedure and time limits
(3) Classification management requirements of manufacturing enterprise;
(4) Certification entrusting materials and relevant requirements;
(5) Requirements for sample test;
Source: Above contents are excerpted from the PDF -- translated/reviewed by: www.chinesestandard.net / Wayne Zheng et al.