CQC-C0701-2017 PDF in English
CQC-C0701-2017 PDF English
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China Compulsory Certification Implementation Detailed-Rules - Household and similar equipment [Replaced by CQC-C0701-2017]
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CQC-C0701-2017: PDF in English CQC-C0701-2017
Serial No.. CQC-C0701-2017
Implementation Detailed-Rules for
China Compulsory Certification
Household and similar-use appliances
ISSUED ON. OCTOBER 01, 2017
IMPLEMENTED ON. OCTOBER 01, 2017
China Quality Certification Center
Foreword
This Implementation Detailed-Rules is formulated on the basis of “Implementation Rules
for China Compulsory Certification - Household Appliances” (CNCA-C07-01.2014). It is
issued by the China Quality Certification Center.
It was first-revised on October 01, 2017. For the certification mode of refrigerator
products for the category A and B enterprises, it was adjusted to be “type test +
after-certification supervision”.
It was second-revised on October 31, 2017. Added the relevant requirements for electric
blanket products, which involve the following clauses. 1. Application scope; 2.
Certification-basis standards; 3. Certification mode (2); 6.1.2 Requirements for sample
quantity; 7.4 Frequency and time for after-certification supervision; Appendix 2 Factory
quality control testing requirements of compulsory certification of household appliances. It
also revised the routine testing items and test methods for the instant water heater.
On March 01, 2018, in accordance with the No.7 announcement of the National Standard
Administration, the 1077 compulsory national standards -- including controller -- were
converted into recommended national standards, so the relevant standards which are
involved in this Detailed-Rules were revised accordingly.
Formulating organization. China Quality Certification Center.
Table of Contents
0. General requirements ... 5
0.1 Introduction ... 5
0.2 Classification Principles of Manufacturing Enterprises ... 5
1. Application scope ... 7
2. Certification-basis standards ... 7
3. Certification modes ... 9
4. Division of certification units ... 10
5. Certification entrusting ... 10
5.1 Application for certification and acceptance ... 10
5.2 Application material ... 10
5.3 Implementation arrangement ... 11
6. Certification implementation ... 11
6.1 Type test ... 11
6.1.1 Type test plan ... 11
6.1.2 Type test sample requirements ... 12
6.1.3 Type test items ... 13
6.1.4 Implementation of type test ... 13
6.1.5 Type test report ... 13
6.2 Certification evaluation and decision ... 13
6.3 Certification time-limit ... 14
6.4 Initial factory inspection ... 14
6.4.1 Inspection items ... 14
6.4.2 Factory quality assurance capability inspection ... 14
6.4.3 Product consistency inspection ... 14
6.4.4 Inspection time ... 15
6.4.5 Inspection conclusion ... 15
7. After-certification supervision ... 15
7.1 Follow-up inspection after certification ... 15
7.1.1 Principles of follow-up inspection after certification ... 15
7.1.2 Follow-up inspection items after certification ... 16
7.2 Sample testing or inspection at the production on-site ... 16
7.2.1 Sample testing or inspection principle at the production on-site ... 16
7.2.2 Sample testing or inspection items at the production on-site ... 16
7.3 Market sampling test or inspection ... 16
7.3.1 Market sampling test or inspection principle ... 16
7.3.2 Market sampling test or inspection ... 17
7.4 Frequency and time of supervision after certification ... 17
7.5 Records of after-certification supervision ... 17
7.6 Evaluation of after-certification supervision results ... 17
8. Certificate ... 18
8.1 Maintenance of certificate... 18
8.2 Change of product covered by the certificate ... 18
8.2.1 Change delegation and requirements ... 18
8.2.2 Change evaluation and approval ... 19
8.2.3 Change registration ... 19
8.3 Extension of product covered by certificate ... 19
8.4 Cancellation, suspension and withdrawal of the certificate ... 20
8.5 Use of the certificate ... 20
9. Certification mark ... 20
9.1 Mark style permitted to use ... 20
9.2 Marking method ... 21
10 Charges ... 21
11 Certification responsibility ... 21
12 Technical disputes and complaints ... 21
Appendix 1 Factory quality assurance capability requirements for compulsory certification
of household and similar-use appliance ... 22
Appendix 2 Factory quality control testing requirements for compulsory certification of
household and similar-use appliances ... 29
Appendix 3 Technical decision on relevant requirements for critical components and
materials for compulsory product for household and similar-use appliances ... 38
0. General requirements
0.1 Introduction
“Implementation Detailed-Rules for China Compulsory Certification - Household
Appliances” (hereinafter referred to as Detailed-Rules) is compiled based on the
requirements of “Implementation Rules for China Compulsory Certification - Household
Appliances” (CNCA-C07-01.2014) (hereinafter referred to as Implementation-Rules). This
Detailed-Rules is used together with the Implementation-Rules as supportive document.
The product scope, certification basis and all other contents of this Detailed-Rules shall
comply with relevant provisions of Implementation Rules. It shall also be adjusted in
accordance with the Notices such as defined directory and directory adjustment that are
issued by Certification and Accreditation Administration of China (hereafter referred to as
CNCA).
In accordance with the provisions of Implementation Rules, following the principles of
maintaining the effectiveness of product certification, improving quality of product, serving
certification enterprises and controlling risk of certification, and defining the certification
implementation requirements, CQC formulates and issues this Detailed-Rules.
0.2 Classification Principles of Manufacturing Enterprises
CQC collects and sorts-out all the information related to certification products and quality
related to manufacturing enterprises, and based on which classify the manufacturing
enterprise. The certification-entrusting client [hereafter abbreviated as CLIENT],
manufacturer and manufacturing enterprise shall make cooperation with it.
CQC classifies the manufacturing enterprises into 4 categories - which are respectively
represented by A, B, C and D.
Quality information that is based to classify the manufacturing enterprises shall at least
include the following aspects.
(1) Results of factory inspection (including the initial factory inspection and
after-certification follow-up inspection);
(2) Results of supervision sampling test (including production on-site sampling or
market sampling);
(3) Inspection results of national-level or provincial-level quality-supervision sampling,
to be used, they shall be executed in accordance with the announcement of the relevant
standards required by the National Certification and Accreditation Administration.
3. Certification modes
The optional certification modes for household and similar application appliance are.
Mode 1. Type test + after-certification supervision.
Mode 2. Type test + initial factory inspection + after-certification supervision.
After-certification supervision refers to one or a combination of three methods.
after-certification follow-up inspection, production on-site sampling testing or inspection,
market sampling testing or inspection.
(1) For the manufacturers of air conditioners, electric motors-compressors and
refrigerators.
Category A and category B manufacturing enterprises. it may use the mode 1 to
perform certification;
Category C and category D manufacturing enterprises. it may use the mode 2 to
perform certification.
(2) For electric fans, household electric washing machines, electric water heaters -
storage water heaters, electric water heaters - instant water heaters, indoor heaters,
vacuum cleaners, skin and hair care appliances, electric irons, Induction cookers,
electric ovens (portable grill, bread toaster and similar cooking utensils), electric
food processing appliance (food processing machine (kitchen machinery)),
microwave oven, electric range cooker, cooktop, oven and similar appliances
(standing electric oven, stationary grill and similar cooking appliances), range
hoods, liquid heaters, hot-cold water dispensers, rice cookers, electric blankets,
electric heating pads and similar flexible heating products manufacturers, in
principle.
Category A manufacturing enterprises. it may use the mode 1 to perform
certification;
Category B, C, and D manufacturing enterprises. it shall use the mode 2 to perform
certification.
For enterprises that adopt mode 1 certification, it may also choose the mode 2
freely to perform certification.
For enterprises that are certified by the mode 1 certification, in principle, the first
(5) Product description information, if necessary, may include. model specifications,
technical parameters, critical components and/or materials lists, electrical
schematics, assembly drawings, and descriptions of differences between products
of different specifications included in the same certification unit;
(6) For the change application, the supportive documents of the relevant change
items;
(7) Other required documents.
The CLIENT shall be responsible for the authenticity of the information provided.
CQC manages, preserves, and maintains confidentiality of the certification materials
provided by the CLIENT.
5.3 Implementation arrangement
CQC will formulate specific program for certification implementation after acceptance, and
notify the CLIENT. The specific implementation of the certification program usually
includes the following.
(1) The certification mode used;
(2) A list of application materials that need to be submitted;
(3) Laboratory information;
(4) Contact information about CQC staffs;
(5) Other matters that need to be explained.
6. Certification implementation
6.1 Type test
6.1.1 Type test plan
CQC develops a type test plan after the material review (the test plan includes the type
test sample requirements and quantity, test standard items, laboratory information, etc.)
and informs the CLIENT.
Sample requirements and quantities, testing standard items, etc., are as shown in clauses
terminated.
6.3 Certification time-limit
The time-limit for the acceptance of the certification is set out in clause 5.1 of this
Detailed-Rules.
The time-limit for type test is given in clause 6.1.4 of this Detailed-Rules.
Under normal circumstances, the certificate will be issued to the CLIENT within 90 days
from the acceptance of the certification.
6.4 Initial factory inspection
6.4.1 Inspection items
The initial factory inspections are factory quality assurance capability inspections and
product consistency inspection.
6.4.2 Factory quality assurance capability inspection
It is performed in accordance with the Appendix 1 “Quality Assurance Ability
Requirements for Compulsory Certification for Household and Similar-Use Appliance” and
Appendix 2 “Factory Quality Control Testing Requirements for Compulsory Certification
for Household and Similar-Use Appliance” in this Detailed-Rules.
6.4.3 Product consistency inspection
During factory inspection, it shall perform the consistency inspection for the products to be
certified at production on-site. The consistency inspection is usually the following.
(1) The contents of the mark on the certified product and the necessary instructions
are consistent with the type test report;
(2) The structure of the certified product (mainly for structures involving safety and
electromagnetic compatibility) is consistent with the type test report;
(3) The critical components and materials used for safety certification of the products
as well as the critical components that have an impact on EMC performance are
consistent with the type test report.
7.1.2 Follow-up inspection items after certification
The items of the follow-up inspection after certification are. factory quality assurance
capability inspection and certification product consistency inspection.
The items of the conformity inspection of the certified products is the same as those in
6.4.3 of the Detailed-Rules.
In addition, the use of the “CCC” certification mark and certification certificate shall also be
inspected.
7.2 Sample testing or inspection at the production on-site
7.2.1 Sample testing or inspection principle at the production on-site
In accordance with the quality risk of certified products and the classification management
requirements of manufacturing enterprises, if necessary, the CQC performs production
on-site sampling testing against the product which obtains certificate; the samples for
sampling testing shall be randomly taken from the qualified products.
7.2.2 Sample testing or inspection items at the production on-site
The items specified in the standards used for certification testing can be used as sampling
inspection items.
CQC tests some or all of the items based on the quality of the different products and their
impact on product safety or electromagnetic compatibility.
For laboratories accredited by ISO/IEC 17025 by the IAC Protocol Mutual Recognition
and Accreditation Body, in compliance with CQC-related requirements, it may use the
manufacturing enterprise testing resources to perform testing or witnessed testing.
7.3 Market sampling test or inspection
7.3.1 Market sampling test or inspection principle
CQC, according to the situation of certification risk and enterprise's classification
management, if necessary, conducts market sampling. The CLIENT, manufacturers, and
manufacturing enterprises shall actively cooperate, such as providing sales information
for certified products, as well as information on users, distributors, and/or sales outlets.
7. Change of the quality system of the manufacturing enterprise (for example,
ownership, organization structure or managers have changed);
8. Other.
The application procedure for change is described in the Detailed-Rules 5. Certification
entrusting.
For the change of the same product and the same content of multiple manufacturing
enterprises belonging to the same producer, the CLIENT can submit the change
entrusting only once, and the certificate can be used in association.
8.2.2 Change evaluation and approval
CQC evaluates the information provided based on the content of the change, to determine
whether the change can be approved. If the sample testing and/or factory inspection is
required, it can only approve the change after the testing and/or inspection is qualified. In
principle, the representative model samples that are initially subject to full-item type test
shall be used as the basis for the change evaluation.
8.2.3 Change registration
For the change of critical components and materials, in the case where the sample test is
not required, the CQC-approved manufacturing enterprise certification technical person in
charge can confirm the approval, save the corresponding record and report it to CQC for
registration. The registration of critical components and materials shall comply with the
requirements of the Technical Resolution of the Relevant Requirements for Critical
Components and Materials for Compulsory Product Certification for Households and
Similar-Use Appliance (TC04-2014-02) of the Technical Accreditation Committee of the
National Certification and Accreditation Administration, as detailed in Appendix 3.
The person in charge of the certification technology shall be appointed/authorized by the
manufacturer, and certified by the certification body; the person in charge of the
certification technology shall have the right to independently exercise its functions and
have the ability to perform its functions; the person in charge of the certification
technology shall not concurrently serve as the certification technology for other
manufacturers. In case of change of the person in charge of the certification technology,
the manufacturer is responsible for reporting to CQC and re-applying for assessment.
8.3 Extension of product covered by certificate
When the CLIENT needs to extend the product range covered by the obtained certificate,
it shall submit the application for change to the CQC.
Appendix 1
Factory quality assurance capability requirements for compulsory
certification of household and similar-use appliance
The factory is the main responsible-body of product quality; its quality assurance
capability shall continue to meet the certification requirements. The products produced
shall meet the standard requirements and ensure that the certified products are consistent
with the type test samples.
1 Responsibilities and resources
1.1 Responsibilities
The factory shall stipulate the responsibilities, authorities and mutual relations of various
personnel related to the certification requirements, designate the quality
responsible-person in the management of the organization. Regardless of the other
responsibilities of this person, he/she shall have the following responsibilities and
authority.
(a) Ensure that the requirements of this document are effectively established,
implemented and maintained at the factory;
(b) Ensure product consistency and product compliance with standards;
(c) Proper use of CCC certificates and marks, to ensure that the status of the certificate,
to which the CCC-mark is implemented on product, continues to be valid.
The person in charge of quality shall have sufficient ability to perform his/her
responsibilities, the person in charge of quality may concurrently serve as the person in
charge of certification technical responsible-person.
The factory shall designate a certification coordinator within the organization to be in
charge of maintaining contact with the certification body during the certification process. It
is responsible for tracking and understanding the requirements or provisions of the
certification body and relevant government agencies regarding compulsory product
certification in a timely manner, and reporting and communicating to the organization.
The content tracked and understood by the certified coordinator shall include at least.
a) Relevant requirements for the revision of the compulsory certification
implementation rules, the revision of the product certification standards, as well as
the issuance and revision of other relevant certification documents;
which are produced by the subcontractor under entrusting, the factory shall perform
control based on the critical component procurement, to ensure that the subcontracted
products continue to meet the specified requirements.
For the self-produced critical components, it is controlled in accordance with this
requirement 4.
4 Production process control
4.1 Factory shall identify the process that affects the quality of the certified product
(referred to as the key process), the identified key processes shall meet the requirements
of provisions. The key process operators shall have the corresponding capabilities; the
control of key processes shall ensure the certified product compliance with the standards
as well as the product consistency; when the quality of the certified product cannot be
guaranteed if the key processes are not documented, the corresponding work instructions
shall be developed to control the production process.
4.2 If the production process of the product has requirement for the environmental
conditions, the factory shall ensure that the working environment meets the specified
requirements.
4.3 The factory shall monitor and measure the appropriate process parameters as
necessary.
4.4 The factory shall establish and maintain a maintenance system for the production
equipment, to ensure that the equipment capabilities continue to meet production
requirements.
4.5 When necessary, the factory shall inspect, monitor and measure the product and its
characteristics at the appropriate stage of production as required, to ensure product
conformity to standard and product consistency.
5 Routine test and/or confirmation test
The factory shall establish and maintain a documented procedure, to control the routine
test and/or confirmation test of the final product; the test procedure shall comply with the
specified requirements; the content of the procedure shall include the test frequency,
items, contents, methods, decisions, etc. The factory shall implement and maintain
relevant test records.
For inspections entrusted to external bodies, the factory shall ensure that the capabilities
of the external body meet the inspection requirements and preserve the evaluation results
of relevant capabilities, such as laboratory accreditation certificates.
6 Inspection test instrument and equipment
to avoid unintended use or delivery of non-conforming products. The reworked or repaired
products shall be tested again.
7.2 For national and provincial supervisory spot-checks, product recalls, customer
complaints, etc., and information on the non-conformity of certified products from external
sources, the factory shall analyze the causes for the cause of non-conformity and take
appropriate corrective measures. The factory shall keep records of unqualified information,
cause analysis, disposal and corrective actions of certified products.
7.3 The factory shall notify the certification body in a timely manner when it knows that it
has major quality problems in the certified products (such as finding non-conformity in
national and provincial supervision spot-checks).
8 [Empty]
9 Certification product changes and consistency control
Factory shall establish and maintain a documented procedure, to control changes (such
as processes, production conditions, critical components and materials, product
structures, etc.) that may affect product consistency and product conformity to standard;
the procedures shall comply with the provisions. The change can only be implemented
after being approved by the certification body or certification technical responsible-person;
the factory shall keep relevant records.
Factory shall control product consistency from the applicable quality links of product
design (design change), process and resources, procurement, manufacturing, inspection,
product protection and delivery, etc., to ensure that the product continues to meet the
certification standards.
10 [Empty]
11 CCC certificate and mark
The management and use of the CCC certificate and mark by the factory shall comply
with the provisions of the Compulsory Product Certification Management Regulations and
the Compulsory Product Certification Mark Management Methods. For the uniformly
printed standard CCC mark or the CCC mark applied by printing, molding, etc., the factory
shall keep records of use. For products listed below, it shall neither use the CCC mark nor
deliver it.
(a) Products in the catalog of compulsory product certifications that are not certified;
(b) The change after obtaining the certificate is required to be confirmed by the
certification body, but the product is not confirmed;
(c) Products that exceed the validity period of the certification;
Appendix 2
Factory quality control testing requirements for compulsory certification
of household and similar-use appliances
Description.
(1) Routine inspection is a 100% inspection for the certification product in the final phase of
production for the purpose of eliminating the non-conforming product caused by the
occurrence of accidental factors in the production process. Routine inspection is
allowed to perform by the use of the equivalent, fast method that is validated after
verification.
(2) Confirmation inspection is a sampling inspection to verify whether the certification
product continues to meet the certification criteria. During the confirmation inspection, if
the factory does not have the test equipment, it can entrust the laboratory for the test.
Product name Standard Test item
Confirmation test
(standard clause
number)
Routine test
(standard clause
number)
Household
refrigerator
and food
freezer
GB 4706.1
GB 4706.13
Mark 1 per year (§ 7)
Electric shock protection 1 per year (§ 8)
Electric strength 1 per year (§ 13.3) √ (Method II in Appendix 2)
Waterproof 1 per year (§ 15.101, 15.102, 15.103)
√ (Method I in
Appendix 2)
Grounding resistance 1 per year (§ 27.5)
Non-metallic materials See note 6 of Appendix 3
Product name Standard Test item
Confirmation test
(standard clause
number)
Routine test
(standard clause
number)
Electric fan
GB 4706.1
GB 4706.27
Mark 1 per year (§ 7)
Electric shock protection 1 per year (§ 8)
Electric strength 1 per year (§ 13.3) √ (Method II in Appendix 2)
Abnormal operation 1 per year (§ 19.7)
Mechanical hazard 1 per year (§ 20.2)
Grounding resistance 1 per year (§ 27.5) √ (Method I in Appendix 2)
Non-metallic materials See note 6 of Appendix 3
Category B components. When the critical components are changed, under the
preconditions of meeting the streamlined process, whether the machine meets the
standard requirements, it only needs material confirmation/technical judgment.
2.2 Changes of critical components
Changes to category A components shall be approved by the certification body; changes
to category B components can be applied to streamlined process.
Streamlined process refers to the process of reporting the critical components only to the
certification body when changing the critical components.
2.3 The applicable streamlined process conditions are.
2.3.1 The critical components of the change belong to category B components;
2.3.2 For category B components listed in the Compulsory Product Certification
Catalogue/National Certification and Accreditation Administration for the voluntary
certification catalogue that can recognize the certification results for the compulsory
certification of the whole-machine, it shall obtain a valid compulsory product certification
certificate/voluntary certificate stipulated by the National Certification and Accreditation
Administration that can be recognized as the certification result by the compulsory
certification of the whole-machine. For other category B components, it shall provide the
voluntary certificate approved by the certification body/the test report issued by the CNAS
accredited laboratory that meets the corresponding standards. And all components’
technical parameters, shape, material, and installation dimensions shall be consistent with
that of the original components;
2.3.3 The certification technical responsible-person who has been appointed/authorized
by the producer (manufacturer) and certified by the certification body;
2.3.4 The producer (manufacturer) has a good reputation.
If the above conditions are not met, the change of category B components must be
approved by the certification body.
Changes to critical components to which the streamlined proces......
......
Source: Above contents are excerpted from the PDF -- translated/reviewed by: www.chinesestandard.net / Wayne Zheng et al.
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