CNCA C11-16-2021 PDF in English
CNCA C11-16-2021 (CNCAC11-16-2021) PDF English
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Implementation Rules for Compulsory Product Certification -- Electric Bikes
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Standards related to: CNCA C11-16-2021
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CNCA C11-16-2021: PDF in English CNCA-C11-16:2021
Serial No.: CNCA-C11-16:2021
CNCA-C11-16-2021
Implementation Rules for China Compulsory Certification -
Electric Bikes
Issued on: June 23, 2021 Effective on: July 1, 2021
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 Standards for certification ... 3
3 Certification modes ... 3
4 Division of certification units ... 4
5 Certification entrusting ... 4
5.1 Application and acceptance of certification entrusting ... 4
5.2 Entrusting materials ... 4
5.3 Implementation arrangement ... 5
6 Certification implementation ... 5
6.1 Type test ... 5
6.1.1 Test test plan ... 5
6.1.2 Requirements of type test samples ... 5
6.1.3 Items of type test ... 5
6.1.4 Implementation of type test ... 6
6.1.5 Report of type test ... 6
6.2 Enterprise quality assurance capability and product consistency inspection ... 6
6.3 Certification evaluation and decision ... 7
6.4 Time limit of the certification ... 7
7 After-certification supervision ... 7
7.1 After-certification follow-up inspection ... 8
7.2 Factory on-site sampling test or inspection ... 8
7.3 Market sampling test or inspection ... 8
7.4 Frequency and time of after-certification supervision ... 9
7.5 Record of after-certification supervision ... 9
7.6 Evaluation of after-certification supervision results ... 9
8 Certificate ... 9
8.1 Maintenance of certificate ... 9
8.2 Change / extension of certificate ... 9
8.3 Certificate’s cancellation, suspension and withdrawal ... 10
8.4 Use of certificate ... 10
9 Certification mark ... 10
10 Product conformity certificate ... 10
11 Charges ... 11
12 Certification responsibility ... 11
13 Certification implementation detailed-rules ... 11
Attachment: Product conformity certificate ... 13
0 Introduction
This Rules is established based on the safety risk and certification risk of electric bikes.
It stipulates the basic principles and requirements for the implementation of China
Compulsory Certification for electric bikes.
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 bikes according to the requirements of the general implementation rules and this
Rules, and shall implement them with the general implementation rules and this Rules.
1 Application scope
This Rules applies to two-wheeled bikes 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 the general administration of market supervision (CNCA)
shall be final and conclusive.
2 Standards for certification
GB 17761 "Safety technical specification for electric bicycle".
In principle, the standards used for certification shall be the latest versions issued by the
National Standardization Administration. When it is necessary to use other versions of
the standards, it shall be executed according to the applicable relevant standards issued
by the CNCA.
3 Certification modes
The basic certification mode of implementing the China Compulsory Certification for
electric bikes is:
Type test + enterprise quality assurance capability and product consistency inspection
(initial factory inspection) + after-certification supervision
The “after-certification supervision” refers to 1 or various combinations of the 3 modes -
after-certification follow-up inspection, factory on-site sampling test or inspection, or
market sampling test or inspection.
CLIENT shall provide the required materials according to the requirements of entrusting
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 material auditing results.
5.3 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.
6 Certification implementation
6.1 Type test
The certification body shall specify the specific requirements for type test in the
certification implementation detailed-rules.
6.1.1 Test test plan
Certification body shall formulate the type test plan, after auditing the materials. And
INFORM the CLIENT. CLIENT may voluntarily select the designated laboratory. Type
test plan includes all samples’ requirements and quantity, test standards and items, etc.
for type test.
6.1.2 Requirements of type test samples
Certification body shall clearly clarify the relevant requirements for product sample
submission / sampling in the implementation detailed-rules. In general, the CLIENT
prepares the samples according to the requirements of the type test plan AND sends
them to the designated laboratory. 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.
The certification body and / or laboratory shall review the authenticity of the samples
provided by the CLIENT. If the laboratory has doubts about the authenticity of the
sample, it shall explain the situation to the certification body and take corresponding
measures.
6.1.3 Items of type test
Type test items shall be the test items specified in GB 17761 "Safety technical
specification for electric bicycle". The certification body shall, in conjunction with the
laboratory, in accordance with the provisions of this Rules, and in combination with the
structure and technical parameters of the certification products entrusted by the CLIENT,
CONFIRM the test items.
The certification body can accept the supporting materials of radio disturbance
characteristics, product conformity certificate and user manual provided by the CLIENT;
and exempt the corresponding type test items.
6.1.4 Implementation of type test
CLIENT can choose by itself the laboratory designated by the CNCA to complete the
type test. 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.
For products that have obtained compulsory product certification (including self-
declaration), it shall directly recognize the results. When recognizing other conformity
assessment results, the certification body shall specify the relevant requirements in the
certification implementation detailed-rules.
If the manufacturing enterprise has the testing conditions required by “China
Compulsory Certification Implementation Rules - Utilization of Manufacturing
Enterprise Testing Resource and Other Certification Results” and by certification basis-
standards; then certification body can use the testing resources of the manufacturing
enterprise to conduct the factory on-site sampling test (or witness test); designated
laboratories shall issue test reports. In the certification implementation detailed-rules, the
certification body shall clarify the management procedures and specific requirements for
using the testing resources of manufacturing enterprise.
CLIENT can first carry out the type test; then submit the certification entrusting to the
certification body. In the certification implementation detailed-rules, the certification
body shall specify the relevant requirements for accepting the CLIENT to carry out the
type test first.
For the same type of products produced by the same producer in different production
sites, on the premise of ensuring the production consistency, the type test process can be
simplified; the same part of type test items can be exempted.
6.1.5 Report of type test
Certification body shall specify a unified form of type test report.
After the type test is completed, the laboratory shall issue a type test report to the
CLIENT and the certification body (if confirmed) in time. The type test report shall
contain a description of the necessary information of all products in the certification unit.
The CLIENT shall ensure that, during the after-certification supervision, a complete and
valid type test report can be provided to the certification body and the law enforcement
agency.
CLIENT can provide by itself the test report issued by the laboratory designated by the
CNCA. After being confirmed by the certification body, it will be used as the type test
report.
6.2 Enterprise quality assurance capability and product consistency inspection
Enterprise quality assurance capability and product consistency inspection is the
evaluation of the certification body on whether the quality assurance capability and
After-certification supervision refers to the supervision carried out by the certification
body on the certified products and their manufacturing enterprises. The certification
body shall, in light of the classification management of the manufacturing enterprise and
the actual situation, specify the specific requirements for the selection of the method for
after-certification supervision in the certification implementation detailed-rules.
7.1 After-certification follow-up inspection
Based on manufacturing enterprise classification management, certification body shall
implement the effective follow-up inspection to the certified product and its
manufacturing enterprise; to verify that the quality assurance capability of the enterprise
continues to meet the certification requirements; ensure that the certified products
continue to meet the certification standard requirements and maintain the consistency
with the type test samples.
The after-certification follow-up inspection shall be carried out in the way of not
informing the inspected party in advance when the manufacturing enterprise is in normal
production. For those products that are not continuously manufactured, CLIENT shall
provide the relevant production plan to certification body, so that the after-certification
follow-up inspection can be conducted in an effective way. When necessary, the
certification body may conduct extended inspections at places other than the
manufacturing enterprise.
In accordance with "China Compulsory Certification Implementation Rules - Factory
Quality Assurance Capability Requirements" and "China Compulsory Certification
Implementation Rules - Factory Inspection General Requirements", the certification
body shall formulate the specific content of the after-certification follow-up inspection
requirements; and clarify it in the certification implementation detailed-rules.
7.2 Factory on-site sampling test or inspection
If the after-certification supervision is implemented by means of factory on-site
sampling test or inspection, CLIENT, producer, and manufacturing enterprise shall
cooperate.
In the certification implementation detailed-rules, the certification body shall specify the
content and requirements of factory on-site sampling test or inspection.
If the manufacturing enterprise has the testing conditions required by “China
Compulsory Certification Implementation Rules - Utilization of Manufacturing
Enterprise Testing Resource and Other Certification Results” and by certification basis-
standards; then certification body can use the testing resources of the manufacturing
enterprise to conduct the test and acknowledge the relevant results. If the manufacturing
enterprise does not have the above testing conditions, samples shall be sent to the
designated laboratory for testing. In the certification implementation detailed-rules, the
certification body shall clarify the specific requirements and procedures for the test using
the testing resources of manufacturing enterprise.
7.3 Market sampling test or inspection
If the after-certification supervision is implemented by means of market sampling test or
inspection, CLIENT, producer, and manufacturing enterprise shall cooperate and
confirm the samples taken from the market.
In the certification implementation detailed-rules, the certification body shall specify the
content and requirements of market sampling test or inspection.
7.4 Frequency and time of after-certification supervision
Based on manufacturing enterprise classification management, certification body shall
adopt different frequencies of after-certification supervision to different types of
manufacturing enterprise. The supervision time shall be made in a reasonable way. The
specific principles shall be specified in the certification implementation detailed-rules.
7.5 Record of after-certification supervision
The certification body shall record and archive the whole process of after-certification
supervision, to ensure the traceability of the certification process and results.
7.6 Evaluation of after-certification supervision results
The certification body conducts a comprehensive evaluation of after-certification follow-
up inspection conclusions, sampling test or inspection conclusions, and related materials
/ information. If the evaluation is PASS, it may continue to maintain the certificate and
use of CCC mark. If the evaluation is Not-PASS, certification body shall suspend or
revoke the certificate according to the corresponding situations; and announce it publicly.
8 Certificate
Certificate can be in paper and / or electronic format. The electronic version of the
certificate shall be consistent with the content of the paper version of the certificate; and
have the function of online verification. The certification body shall record the key
process of issuing the electronic version of the certificate. It shall also take necessary
measures to ensure the information security of the electronic-version certificate system.
8.1 Maintenance of certificate
The validity period of the certificate is 5 years. Within the valid period, the validity of
the certificate is maintained by depending on the “after-certification supervision” of the
certification body.
Before the certificate is expired, if it needs to continue to use, CLIENT shall put forward
the certification entrusting within 90 days before the expiry date. If the newest “after-
certification supervision” evaluation, within the certificate validity, is PASS, then
certification body shall directly renew the certificate after receiving the certification
entrusting.
8.2 Change / extension of certificate
After obtaining the certificate, when the certificate, product characteristics, or other
matters stipulated by the certification body are changed, or when the CLIENT needs to
product conformity certificate shall be consistent with the certificate. The style
suggestion of the product conformity certificate is shown in the attachment.
11 Charges
The certification body and laboratory shall formulate and publicize relevant charging
standards; charge the CLIENT according to the charging standards or the contract price.
12 Certification responsibility
The certification body shall be responsible for the certification conclusion made by it.
The laboratory shall be responsible for the testing results and testing reports.
The certification body and its appointed factory inspectors shall be responsible for the
conclusion of the factory inspection.
CLIENT shall be responsible for the authenticity and legality of the entrusting materials
and samples submitted by it.
13 Certification implementation detailed-rules
According to the principle and requirements of this Rules, certification body shall
formulate scientific, reasonable and feasible certification implementation detailed-rules.
Certification implementation detailed-rules shall be publicly announced and
implemented, after filed to CNCA. Certification implementation detailed-rules shall at
least include the following contents:
(1) Requirements for certification process and time limit;
(2) Selection of certification mode and related requirements;
(3) Principles for division of certification units;
(4) Requirements for classification management of manufacturing enterprises;
(5) Certification entrusting materials and related requirements;
(6) Requirements for type test;
(7) Requirements for enterprise quality assurance capability and product consistency
control and for inspection;
(8) Requirements for after-certification supervision;
(9) Requirements for the use of manufacturing enterprise’s testing resources to
implement testing AND utilization of other conformity assessment results;
(10) Requirements for certification change / extension (including standard version
change);
......
Source: Above contents are excerpted from the PDF -- translated/reviewed by: www.chinesestandard.net / Wayne Zheng et al.
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