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CQC-C0201.07-2014 PDF in English


CQC-C0201.07-2014 PDF English
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CQC-C0201.07-2014English410 Add to Cart 0-9 seconds. Auto-delivery. [2019-Edition, 2020-Enforced] China Compulsory Certification Implementation Rules--Electrical Accessories--Housing of household and similar fixed electrical devices

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CQC-C0201.07-2014: PDF in English

CQC-C0201.07-2014
Serial No.: CQC-C0201.07-2014
Implementation Detailed-Rules for China Compulsory
Certification - Electrical accessories - Housing of
household and similar fixed electrical devices
ISSUED ON: SEPTEMBER 01, 2014
IMPLEMENTED ON: SEPTEMBER 01, 2014
China Quality Certification Center
Table of Contents
Foreword ... 5 
0. General requirements ... 6 
0.1 Foreword ... 6 
0.2 Definition of terms ... 6 
1. Classification management requirements of manufacturers ... 7 
2. Selection of certification mode and related requirements ... 9 
2.1 Basic selection mode ... 9 
2.2 Refinement of certification mode ... 9 
2.3 Applicability of certification mode ... 9 
3. Division of certification unit ... 10 
3.1 Basic principles of division of certification units ... 10 
3.2 Principles of product coverage in the same certification unit ... 11 
3.3 Principles for the division of certification units of products by different
certification clients, different producers, different manufacturers ... 11 
4. Certification process and time limit requirements ... 11 
4.1 Submission and acceptance of certification application ... 11 
4.2 Certification scheme ... 12 
4.3 Review of application data ... 12 
4.4 Type test ... 13 
4.5 Enterprise’s quality assurance capability and product consistency check (initial
factory inspection) ... 13 
4.6 Evaluation and approval of certification results ... 14 
4.7 Other issues ... 14 
5. Certification application data and related requirements ... 15 
6. Sample testing requirements (number of samples sent, testing items, test
scheme) ... 15 
6.1 Requirements for sample delivery (sampling) ... 15 
6.2 Requirements for test item ... 16 
6.3 Requirements for test sample ... 16 
6.4 Implementation of test ... 17 
7. Relevant requirements for factory inspection and post-certification
supervision ... 17 
7.1 Definition of factory inspection objects and coverage requirements of factory
inspection ... 17 
7.2 Quality assurance capability and product consistency check requirements of
compulsory product certification enterprise for electrical accessories - Housing of
household and similar fixed electrical devices ... 18 
7.3 Requirements for quality control testing of plant for electrical accessories -
Housing of household and similar fixed electrical devices ... 18 
7.4 Requirements for regular confirmation inspection and control of critical
components and materials of electrical accessories - Housing of household and
similar fixed electrical devices ... 18 
7.5 Factory inspection requirements for ODM / OEM mode ... 18 
7.6 Post-certification supervision ... 19 
8 Requirements for certification changes (including standard version changes)
... 23 
8.1 Change application and requirements ... 23 
8.2 Evaluation and approval of changes ... 23 
8.3 Requirements for change of certification-based standards ... 24 
9. List of critical components and materials ... 24 
9.1 Critical components and materials ... 24 
9.2 Requirements for control of critical components and materials ... 24 
9.3 Requirements for critical components and materials in the product description
report ... 24 
10. Basis of charge and related requirements ... 24 
11. Process and time limit requirements related to technical disputes and
appeals ... 24 
Annex 1: Unit division and number of samples sent ... 25 
Annex 2: Quality assurance capability and product consistency check
requirements for enterprise of electrical accessories - Housing of household
and similar fixed electrical devices ... 26 
Annex 3: Quality control test requirements for factory of electrical accessories -
Housing of household and similar fixed electrical devices ... 27 
Annex 4: Control requirements for regular confirmation inspection for critical
components and materials ... 29 
Annex 5: Critical components and materials of electrical accessories - Housing
of household and similar fixed electrical devices and the declaration
requirements ... 30 
Annex 6: Types of electrical accessories - Housing of household and similar
fixed electrical devices for supervision sampling inspection ... 31 
Annex 7 Operational requirements for using manufacturer’s testing resources
to implement testing (or witness testing) ... 32 
0. General requirements
0.1 Foreword
The Implementation Detailed-Rules for China Compulsory Certification of
Electrical accessories - Housing of household and similar fixed electrical
devices (hereinafter referred to as the Detailed-Rules) are compiled in
accordance with the requirements of the “Implementation Detailed-Rules for
China Compulsory Certification - Electrical Accessories" (CNCA-C02-01:2014)
(hereinafter referred to as the Implementation Rules), as a supporting
document for the implementation Detailed-Rules. According to the
Implementation Rules and the relevant requirements of the China Quality
Certification Center (hereinafter referred to as CQC)’s quality manuals, program
files, operating instructions, etc., based on the principles of maintaining the
effectiveness of product certification, improving product quality, serving
certification companies, controlling certification risks, the Detailed-Rules are
formulated and published.
The Detailed-Rules are a detailed refinement of the Implementation Rules and
shall be used in conjunction with the Implementation Rules. The product scope
to which the Detailed-Rules are applicable and the certification basis are
consistent with the relevant provisions in the Implementation Rules; meanwhile
adjustments are implemented in accordance with the announcement of catalog
definition and catalog adjustment as issued by the Certification and
Accreditation Administration of China (hereafter referred to as CNCA).
CQC establishes the classification management requirements of
manufacturers based on the provisions of the Implementation Rules; combines
the classification of manufacturers, to clarify the implementation requirements
of compulsory product certification for housing of electrical accessories.
0.2 Definition of terms
0.2.1 Testing at manufacturer’s premises (abbreviated as TMP mode)
The test is performed by the personnel of the designated testing organization
using the equipment of the manufacturer, under the assistance by the testing
personnel of the manufacturer. The testing report is issued by the designated
testing organization.
0.2.2 Witnessed manufacturer’s testing (abbreviated as WMT mode)
The test is performed by the testers of the manufacturer using their equipment,
wherein the testing items and testing conditions are under the witness by the
personnel of the designated testing organization. The manufacturer’s testing
personnel issues the original records; drafts the test report. The personnel of
the designated testing organization reviews and confirms the test report. The
test report is issued by the designated testing organization.
0.2.3 ODM (Original Design Manufacturer)
A factory that uses the same quality assurance capability requirements, the
same product design, production process control and inspection requirements
to design, process, produce the same products for one or more producers
(manufacturers).
0.2.4 ODM initial certificate holder
The organization that obtained the product certification certificate for the first
time for ODM products.
0.2.5 OEM (Original Equipment Manufacturer)
Manufacturers producing certified products in accordance with design,
production process control and inspection requirements provided by the client.
The client may be a certification client or a producer (manufacturer); the OEM
manufacturer produces certified products under the equipment of the OEM
manufacturer according to the design, production process control, inspection
requirements provided by the client.
1. Classification management requirements of
manufacturers
CQC collects and sorts all kinds of information related to the quality of certified
products and their manufacturers; carries out dynamic classification
management on manufacturers. The certification client, producer and
manufacturer shall cooperate.
There are four types of manufacturers, which are represented by A, B, C, D.
Classification is based on at least the following information:
① Results of factory inspection (including initial factory inspection and follow-
up inspection after certification);
② Testing results of supervision samplings (production site sampling or market
/ user sampling);
③ Conclusions of national spot check, provincial spot check, CCC special spot
checks;
3.2 Principles of product coverage in the same certification unit
This clause is empty.
3.3 Principles for the division of certification units of products
by different certification clients, different producers, different
manufacturers
3.3.1 The products of different certification clients, different producers
(manufacturers), different manufacturing enterprises (manufacturing plants)
shall be used as different application units.
3.3.2 For the same product produced by the same producer (manufacturer) but
different manufacturing enterprises (manufacturing plants), when the
production company is type A, it may carry out the type test in only one unit; for
the products as produced by other production companies, it needs to provide
samples /data for verification of consistency; for the products of types B, C, D
manufacturers, each unit shall be subject to type test.
3.3.3 The same product produced by different producers and the same
manufacturer can be type tested on only one sample of the unit. The products
of other producers need to provide samples / data for consistency verification.
4. Certification process and time limit requirements
4.1 Submission and acceptance of certification application
The certification client submits a certification application to CQC through the
Internet (www.cqc.com.cn). When applying, it must fill in the necessary
enterprise information and product information as required. If necessary, it shall
also provide a business registration certificate, organization code, product
description, agreement, etc.
CQC reviews the application according to relevant requirements; issues a
notification of acceptance or rejection within 2 working days; or requires the
certification client to re-submit the certification application after rectification.
After accepting the certification application, CQC determines the certification
mode and unit division applicable to the application according to the
classification management requirements of the manufacturer, formulates a
certification scheme and notifies the certification client.
4.4 Type test
For a certification application that requires type testing and the application data
is qualified, CQC formulates a type testing scheme within 2 working days and
notifies the certification client. The type test scheme includes sample
requirements and quantities, testing criteria and items, laboratory information,
etc.
Under normal circumstances, the certification client prepares samples
according to the requirements of the type test scheme and sends them to the
designated laboratory; if necessary, for types C and D manufacturers, CQC will
follow the requirements of the type test scheme to adopt the site sampling /
sealing method to obtain the sample; arrange the certification client to send it
to the designated laboratory.
After receiving the samples, the laboratory will check the authenticity of the
samples within 2 working days according to the relevant provisions of the
prototype inspection; report the results to CQC. CQC will issue a test notification
or make corresponding treatment based on the results of the examination within
2 working days.
After receiving the test notification, the laboratory arranges the sample test. The
test time generally does not exceed 30 working days (calculated from the date
of issuing the test task, and does not include the time required for the company
to make corrections and retests due to the unqualified test items).
When there are unqualified items in the test, the certification client is allowed to
make rectification; the rectification shall be completed within the time limit as
specified by the CQC. If the time limit is exceeded, the certification client shall
be deemed as abandoning the application; the certification client may also
terminate the application on its own initiative.
After the type test is completed, the laboratory shall issue a type test report in
the prescribed format; dispose of the test samples and related data in
accordance with the relevant provisions of the prototype verification.
4.5 Enterprise’s quality assurance capability and product
consistency check (initial factory inspection)
The initial factory inspection includes the first factory inspection, the type-
expansion factory inspection (factory inspection of the expanded factory-
definition code), the OEM factory inspection, the factory inspection of the
relocation of the manufacturer, the full element factory inspection (such as the
documents and operating instructions.
The certification client, producer (manufacturer), manufacturing enterprise shall
actively cooperate with the certification activities.
5. Certification application data and related
requirements
After the application is accepted, the certification client shall provide relevant
application data and technical data to the CQC and / or laboratory according to
the requirements of the certification scheme, which usually includes:
(1) Certification application or certification contract;
(2) Registration certificate of certification client, producer, manufacturer
(such as business license, organization code certificate, etc.);
(3) Relevant agreements or contracts (such as ODM agreement, OEM
agreement, letter of authorization, etc.) signed between the certification
client, the producer, and the manufacturing enterprise;
(4) Technical data (including the main technical parameters, structure, model
description, list of critical components and / or materials, electrical
schematic diagrams, assembly drawings, description of differences in
products of different specifications included in the same certification unit,
etc., if necessary);
(5) Declaration information of critical components and materials (see Annex
5 for specific requirements);
(6) Factory inspection survey form;
(7) For the change application, the certification documents of the related
change items;
(8) Other required documents.
6. Sample testing requirements (number of samples
sent, testing items, test scheme)
6.1 Requirements for sample delivery (sampling)
6.1.1 The representative samples are usually selected by the certification client
inspection samples.
6.3.2 Requirements for change test sample
According to the content of the change, the CQC / laboratory will request the
sample specification and quantity.
6.4 Implementation of test
6.4.1 In principle, the type test shall be completed in a laboratory as designated
by the CNCA.
6.4.2 After the test is completed, the designated laboratory shall give product
descriptions corresponding to different models and specifications in the product
test report.
7. Relevant requirements for factory inspection and
post-certification supervision
7.1 Definition of factory inspection objects and coverage
requirements of factory inspection
The factory definition of compulsory product certification refers to the place
where the final assembly and / or testing of the certified product and the
certification mark are applied. When the above process of the product cannot
be completed in one place, a relatively complete place including at least routine
and confirmation inspection (if any), product nameplate and certification mark
adhesion shall be selected for inspection; kept at other places for the right of
further inspection.
The factory inspection shall cover the “application for certification / certified
products” and all “processing place”. “Processing place” refers to all
departments, places, personnel, activities related to the quality of product
certification; the coverage of “application for certification / certified products”
refers to the coverage of product consistency checks. Product consistency
check shall be implemented for the products of the factory-definition code 0203
[the implemented standards refer to the “certification basis standards” of the
implementation rules for compulsory product certification for electrical
accessories (CNCA-C02-01)]. If the CQC cannot complete the factory
inspection required in Annex 2 of this document at the production site, it can be
extended to the certification client, producer, etc. for inspection.
necessary to add the requirements for implementing factory inspection (on-site
inspection), flight inspection and on-site inspection of products when applying
for certification of ODM products according to the classification management
requirements of manufacturers.
Requirements for factory inspection (on-site inspection) of ODM production
plants:
a) Check the ODM cooperation agreement and its implementation;
b) Perform consistency check on ODM products;
c) Check the supply of ODM production plants and the feedback of the quality
of the supplied products.
7.5.1.2 Annual supervision and inspection in ODM mode
Add the verification content of ODM production plants in ODM factory
supervision and inspection, including the implementation of ODM cooperation
agreement, certification mark management, customer product management,
production and sales management, the actual situation of ODM production
plant’s producing certified products for other producers (manufacturers).
Special attention shall be paid to the consistency of ODM products when
performing consistency checks.
7.5.2 OEM mode
Initial factory inspection: Mainly check procurement, critical components and
materials control, production process controls, routine inspections /
confirmation inspections, on-site designated tests, conformity requirements for
certified products, product consistency checks; but does not preclude re-
examination and confirmation of other necessary and / or questioned terms.
The annual supervision and inspection shall cover OEM products.
During the OEM factory inspection, it shall provide the following additional
information:
1) OEM contract;
2) Relevant authorization documents (such as the authorization documents
used by CCC mark in OEM factories, etc.).
7.6 Post-certification supervision
Post-certification supervision includes post-certification follow-up inspection
and supervision sampling inspection (sampling test or inspection at the
scope of the certification. The contents of the supervision and inspection are all
or the main contents of the factory quality assurance ability inspection and
product consistency inspection, which are specifically implemented in
accordance with the requirements of clauses 7.1, 7.2, 7.3, 7.4, 7.5 of this
standard; the products used for product consistency inspection may be qualified
products with CCC mark produced on-site and / or in stock.
After the manufacturer's on-site follow-up inspection is completed, the inspector
/ inspection team completes the factory inspection report and reports the
inspection conclusion to the CQC. When there are non-conformities in the
supervision and inspection, the manufacturer shall complete the rectification
within the prescribed period (usually not more than 40 working days); CQC shall
take appropriate measures to verify the results of the rectification. Failure to
complete the rectification on time shall be treated as unqualified according to
the conclusion of the follow-up inspection.
7.6.1.2 Sampling test or inspection at production site
CQC conducts supervision sampling test or inspection of certified products in
principle according to the quality risks of certified products and the classification
management requirements of manufacturers.
The content of sampling test or inspection at the production site shall be carried
out according to the supervision sampling test or inspection scheme as
formulated by CQC. Generally, the test shall be performed by a designated
laboratory. If the manufacturing enterprise has the standards and the testing
conditions as required by the Detailed-Rules of certification, meanwhile it
agrees to utilize the testing resources of the manufacturer for testing (or witness
testing), it shall make reference to the requirements of Annex 7 to use the
testing resources of the manufacturer to carry out testing (or witness testing).
Samples taken from the production site for testing or inspection shall at least
cover the product types; see Annex 6 for specific classification.
In the case of taking samples at the production site for testing or inspection to
implement post-certification supervision, the certification client, producer,
manufacturer shall cooperate.
The factory shall send samples within 10 days after sampling; the designated
laboratory shall complete the inspection work within 20 working days.
7.6.1.3 Market and / or user sampling test or inspection
The market and / or user taking samples for testing or inspection shall cover at
least the certification unit.
Where market and / or user sampling tests or inspections are used for
supervision, the certification client, producer, manufacturer shall cooperate and
8 Requirements for certification changes (including
standard version changes)
8.1 Change application and requirements
After the certification, if the product model, critical components and materials
used in the product, the design and electrical structure related product safety,
certificate content, etc. are changed or other matters as specified by CQC are
changed, the certification client shall make change application to CQC.
8.1.1 Changes to critical components and materials
All changes to critical component and material shall be reported to CQC in the
form of a change application.
All changes shall neither be lower than the technical parameters and
performance of the type-tested product, nor shall it change the basic structure
of the product.
For critical components and materials within the scope of compulsory product
certification, manufacturers shall provide a compulsory product certification
certificate. For other critical components and materials, the manufacturer shall
provide the corresponding voluntary certification certificate or type test report
(a valid report issued by an accredited laboratory based on the standards that
the product meets).
The samples for the changes of critical components and materials shall be
submitted according to the CQC requirements and relevant item testing shall
be performed. The technical parameters and performance shall not be lower
than the corresponding technical parameters and performance confirmed in the
type test report.
According to the content of the changes, the verification plan is confirmed by
CQC / laboratory.
8.2 Evaluation and approval of changes
CQC evaluates the data as provided based on the content of the change and
determines whether the change can be approved. If sample testing and / or
factory inspection is required, changes shall not be approved until the tests and
/ or inspections have passed. In principle, a representative model sample that
is initially subjected to a full type test shall be used as the basis for change
evaluation. Changes can only be implemented after approval by CQC.
Annex 7: Operational requirements for using
manufacturer’s testing resources to implement testing
(or witness testing)
Requirements for using manufacturer’s testing resources to implement testing
1 Description
The factory’s testing resources referred to in the Detailed-Rules are 100% of
the resources of the manufacturer or manufacturer applying for compulsory
product certification; they are recognized and located in the same city or near
the factory (hereinafter referred to as the factory laboratory).
2 Scope of application
2.1 Post-certification supervision sampling test: various CCC certified products
2.2 In the case of the same factory and the same project using factory resources
for testing for five consecutive years, in principle, samples shall be sent to a
designated laboratory for testing to avoid systemic risks.
3 Implementation methods
There are two methods for testing samples using factory’s testing resources:
TMP and WMT.
3.1 TMP method
Engineers from qualified designated laboratories sent by CQC use the testing
equipment of the factory laboratory for testing; the factory shall send testing
personnel to assist. Test report is reviewed and issued by the relevant
designated laboratory.
3.2 WMT method
Engineers from qualified designated laboratories sent by CQC witnesses the
test conditions of the factory laboratory; the factory laboratory uses its own
equipment to complete all tests or submitted the CQC test scheme for the
factory, witnesses some test conditions and test items. Factory laboratory
testers are responsible for issuing original records and drafting testing reports
in a prescribed format together with witnessing designated laboratory engineers.
Test report is issued by the relevant designated laboratory.
4 Condition requirements
5 Eligibility and maintenance
5.1 The factory shall submit an application to CQC and carry out a self-
inspection in accordance with the above conditions. The self-inspection results
and relevant information shall be submitted to CQC for review with the
application. CQC will review the application documents and make a decision
on acceptance if it meets the requirements. Otherwise, it will make a decision
on rejection and explain the reasons.
5.2 For applications that meet the requirements, CQC organizes designated
laboratory’s technical experts to conduct on-site inspections of the factory
laboratory’s quality system, equipment capabilities, personnel capabilities;
make review conclusions.
5.3 CQC comprehensively evaluates the evaluation conclusions and related
materials submitted by the on-site review team. After passing the test, a
tripartite agreement is signed between CQC, the designated laboratory and the
factory laboratory, to ensure that the testing process meets the requirements.
5.4 In principle, the tests performed in the factory laboratory shall be performed
after passing the assessment and signing the agreement. Under special
circumstances, after being approved by CQC, the factory laboratory’s review
and on-site testing can be combined after the document review is passed. The
audit team first conducts a laboratory capability audit and then tests after being
qualified.
5.5 CQC conducts regular supervision of approved factory laboratories (such
as once a year, which can be determined based on the frequency of use).
Factory laboratories shall participate in comparison tests, to ensure the
accuracy and validity of test results and maintain qualifications.
6 Responsibilities of application factory
(a) Ensure that the factory laboratory complies with the relevant
requirements of GB/T 27025 (ISO/IEC 17025);
(b) Designate appropriate personnel to be responsible for the management
of the factory laboratory and support the operation of the above tests;
(c) Ensure that factory laboratory personnel comply with the testing
arrangements of the designated certification organization and laboratory
personnel;
(d) As a party to the tripartite agreement, ensure that the testing process
meets the requirements;
(e) Keep their respective recognized competence scopes up to date and
......
Source: Above contents are excerpted from the PDF -- translated/reviewed by: www.chinesestandard.net / Wayne Zheng et al.