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CQC-C0901-2023: China Compulsory Certification Implementation Detailed-Rules - Information technology equipment
---This is an excerpt. Full copy of true-PDF in English version (including equations, symbols, images, flow-chart, tables, and figures etc.), auto-downloaded/delivered in 9 seconds, can be purchased online: https://www.ChineseStandard.net/PDF.aspx/CQC-C0901-2023
Serial No.. CQC-C0901-2023
China Compulsory Certification Implementation
Detailed-Rules
Electronic products and safety accessories
Issued on: JULY 3, 2023
Implemented on: AUGUST 1, 2023
China Quality Certification Center
Table of Contents
1 Application scope... 5
2 Certification standards... 6
3 Certification mode... 7
4 Division of certification units... 8
5 Certification entrusting... 9
6 Implementation of Certification... 10
7 Initial factory inspection... 13
8 Relevant requirements for after-certification supervision... 15
9 Certificate... 18
10 Certification mark... 21
11 Fee basis and requirements... 22
12 Certification responsibility... 22
13 Technical disputes and appeals... 22
14 Principles for the classification of manufacturing enterprises... 22
Annex 1 Lithium-ion cell and pack safety certification unit division and sample
submission requirements... 25
Annex 2 List of safety-critical components and materials for electronic products and
safety accessories (excluding lithium-ion cells and packs)... 26
Annex 3 List of electromagnetic compatibility key parts for electronic products and
safety accessories (excluding mobile user terminals)... 33
Annex 4 Compulsory certification factory quality control testing requirements for
electronic products and safety accessories (excluding lithium-ion cells and packs,
mobile power supplies)... 36
Annex 5... 40
1 Application scope
The implementation detailed-rules for electronic products and safety accessories
(hereafter known as “Implementation Detailed-Rules” for short) is drafted in
accordance with the requirements of “Implementation Rule on Compulsory
Certification - Electronic products and safety accessories” (CNCA-C09-01.2023)
(hereafter known as “Implementation Rule” for short), as supporting document for the
implementation rule on certification, used in conjunction with the Implementation Rule.
All the contents such as product scope and certification basis to which this
Implementation Detailed-Rules applies are consistent with the relevant provisions in
the Implementation Rule, and are adjusted according to the directory definition,
directory adjustment, and other notices issued by Certification and Accreditation
Administration of the PRC (hereafter known as the CNCA for short).
CQC, in accordance with the provisions of the implementation rule on certification and
the principles of maintaining product certification effectiveness, improving product
quality, serving certification enterprises, and controlling certification risks, develops
and publishes this certification implementation detailed-rules. It establishes the
classified management requirements of manufacturing enterprises, and combined with
the classification of manufacturing enterprises, clarifies the implementation
requirements for product certification of electronic products and safety accessories.
2 Certification standards
The certification body will track the changes in the standards used for mandatory
product certification, and based on relevant regulations and/or resolutions of the
technical expert group for mandatory product certification, develop corresponding
certification implementation plans for the conversion period of standard formulation
and revision, and make them public to the society.
3 Certification mode
The optional certification modes for electronic products and safety accessories are.
4 Division of certification units
4.1.General requirements
In principle, certification units should be divided according to product category, type,
specification, working principle, safety structure, etc.
For enterprises whose production enterprise classification management level is C or D,
the unit division requirements can be tightened in combination with the reasons for the
enterprise's downgrade.
4.2.Special requirements
(1) Products with different working modes (such as scanning mode, display mode,
printing mode, etc.) should also be divided into certification units according to
different working modes;
(2) Products with display as the main function shall also be divided into certification
units according to the size of the display screen;
(3) Power supply products should be divided into certification units based on circuit
principles and safety structures;
(4) Lithium-ion cells should be divided into certification units according to material
specifications (positive/negative electrode materials, separators, electrolytes),
safety design, shape and size, assembly method, nominal voltage, rated capacity
(maximum capacity in each unit covered by 20%), etc. (see Annex 1);
(5) Lithium-ion packs shall be classified into different certification units according
to nominal voltage, rated capacity, type of cell components, series/parallel
connection mode of cell components, design layout of protection circuit, built-
in/external type, etc. (see Annex 1);
(6) Mobile power supplies should be divided into certification units according to
specifications, working principles, safety structures, output/input methods, types
of cell components, series/parallel connection methods of cell components,
design layout of protection circuits, etc.
4.3.Other requirements
The same product (excluding lithium-ion cells and packs) produced by the same
manufacturer but different manufacturers, or the same product produced by different
manufacturers but the same manufacturer, can be type tested on only one unit of sample.
Products of other manufacturers/producers need to provide information for consistency
verification.
The same lithium-ion cells and packs produced by the same manufacturer but different
manufacturers should be subject to type tests separately.
5 Certification entrusting
5.1.Proposal and acceptance of certification application
shall fill in the necessary enterprise information and product details as required, and if
necessary, provide the industrial and commercial registration certificate, organization
code, electrical schematic diagram, agreement, etc.
5.2.Application materials
The certification client shall, in accordance with the certification program, provide
CQC and/or laboratories with relevant application materials and technical documents,
including but not limited to.
5.3.Implementation arrangement
After accepting the application for certification, CQC shall, based on the classified
management requirements of manufacturing enterprises and the relevant product
information submitted by the enterprise, develop the certification program and notify
the client. The certification program usually includes the following.
6 Implementation of Certification
6.1.Type test
6.1.1.Type test plan
6.1.2.Sample requirements of type test
Usually, representative samples will be selected and sent according to the requirements
of CQC by the certification client for testing.
If there is only one model in the application unit, this model is selected for the sample.
When applying for certification with a series of products as the same application unit,
the samples should be selected from representative models of the series of products.
The selected samples should cover the safety requirements and electromagnetic
compatibility requirements of the series of products as much as possible. If they cannot
be covered, other model samples in the application unit should also be selected for
supplementary difference testing.
Normally, the number of representative unit model samples to be applied for is 2 (if the
CB sample is approved, the number of samples is 1). For power adapters/chargers, etc.,
the model with the highest output voltage and the largest output current can be
submitted according to the characteristics of the series of products. For mobile power
supplies, the number of representative unit model samples is at least 12.For the
requirements for the submission of lithium-ion cells and packs, please refer to Annex 1.
The number of supplementary test samples depends on the actual situation of whether
the representative model samples cover the safety requirements and electromagnetic
compatibility requirements of the products in the application unit. On the premise that
the representative model samples and supplementary test samples can cover the safety
requirements and electromagnetic compatibility requirements of the series of products
in the application unit, the number of supplementary test samples and supplementary
test items should be reduced as much as possible.
The requirements for the list of key components and materials shall be implemented in
accordance with the resolution of the technical expert group of the National
Certification and Accreditation Administration. For specific requirements, please refer
to Annex 2 and Annex 3.
The classification and change filing instructions for key components and materials
(hereinafter referred to as key parts) are as follows.
Change procedures for Category A critical parts. Must be approved by the certification
body.
Change filing procedures for Category B key parts. Must comply with the following
requirements.
(1) For Category B safety critical parts, those listed in the compulsory product
certification catalogue/the voluntary certification catalogue that can be
recognized for the compulsory certification of the whole machine stipulated by
the National Certification and Accreditation Administration shall obtain a valid
compulsory product certification certificate/the voluntary certification certificate
that can be recognized for the compulsory certification of the whole machine
stipulated by the National Certification and Accreditation Administration. Other
Class B safety critical parts shall provide a voluntary certification certificate
recognized by the certification body/a test report issued by a CNAS-accredited
laboratory that meets the corresponding standards (see Annex 2). And the
technical parameters, appearance, materials, and installation dimensions,
installation methods and processes of all key parts shall be consistent with the
original components.
(2) If there is a technical person in charge of compulsory product certification who
meets the requirements (see Annex 5 for specific requirements), a simplified
process may be applied and approved by the technical person in charge; otherwise,
it must be approved by the certification body.
(3) The producer (manufacturer) and the production enterprise have a good
reputation.
6.1.3.Type test items
6.1.4.Implementation of type test
6.1.5.Type test report
CQC stipulates a unified type test report format.
After the type test is completed, the laboratory shall promptly issue a type test report to
CQC and the certification client. The test report shall include a description of all
products and certification-related information in the application unit. The certification
client shall ensure that a complete and valid type test report can be provided to CQC
and law enforcement agencies during post-certification supervision.
6.2.Certification evaluation and determination
CQC will make a comprehensive evaluation of the type test conclusions and relevant
data/information and make a certification decision. If the certification requirements are
met, a certification certificate will be issued. If there are unqualified conclusions, the
certification commission will not be approved and the certification will be terminated.
6.3.Certification time-limit
CQC has clearly defined the time limit for each stage of certification and ensures that
relevant work is completed within the time limit. The certification client must actively
cooperate with the certification activities. Generally, the certification certificate will be
issued to the certification client within 90 days from the date of acceptance of the
certification commission.
7 Initial factory inspection
7.1.Content of initial factory inspection
In light of the actual situation, a certain proportion of enterprises can be selected to
implement the "double random" method. Factors to be considered include. the number
of enterprises in the region that apply for certification of such products in a fixed time
period (such as every month), the number and level of professional inspectors, and the
region where the inspectors are located.
The inspection includes a full-factory inspection of the factory's quality assurance
capabilities and a consistency check of certified products.
The factory quality assurance capability inspection is carried out in accordance with the
"Requirements for Factory Quality Assurance Capabilities in the Implementation Rules
for Compulsory Product Certification" (No.. CNCA-00C-005) issued by the
Certification and Accreditation Administration and the "Quality Control Inspection
Requirements for Factory Compulsory Certification of Electronic Products and Safety
Accessories" (see Annex 4) issued by CQC.
7.2.Time-limit of initial factory inspection
Normally, after the type test is passed, the initial factory inspection is carried out. In
special circumstances, type test and factory inspection can be performed simultaneously.
In the initial factory inspection, in principle, the factory shall produce products within
the scope of the application for certification. The factory inspection time is determined
according to the number of units of the products within the scope of application for
certification and the production scale of the factory. Generally, there are 1 to 4 people
per day in each processing site.
After the type test, the factory inspection shall be completed within one year; otherwise,
the type test shall be re-run.
Within 5 working days after the initial factory inspection, the inspection team shall
submit a factory inspection report to CQC (calculated from the date of completion of
the on-site inspection and receipt of a satisfactory report of corrective measures for non-
conformities submitted by the manufacturing enterprise).
7.3.Conclusion of initial factory inspection
The inspection team reports the factory inspection conclusion to CQC. If the inspection
result is unqualified, the inspection team will report the unqualified conclusion directly
to the CQC. When there is a non-conformity in the factory inspection, the factory shall,
within the prescribed time-limit, complete the rectification; and the inspection team
shall verify the rectification result in an appropriate manner. If the rectification fails to
be completed on time, the factory inspection shall be considered as unqualified.
7.4.Evaluation and approval of initial factory inspection
CQC conducts a comprehensive evaluation of the conclusions of type test and factory
inspection. After the evaluation is passed, a compulsory certification certificate is
issued.
If any of type test conclusion and factory inspection conclusion is unqualified, the
certification application will not be approved, and the certification will be terminated.
8 Relevant requirements for after-certification supervision
8.1.2.Content of after-certification follow-up inspection
The inspection content of Mode 1 of Article 8.1.1 in this Implementation Detailed-
Rules shall refer to Article 7.1 of this Implementation Detailed-Rules. The inspection
content of Mode 2 shall be in accordance with Article 8.4 of this Implementation
Detailed-Rules.
Both modes shall check the use of the “CCC” certification mark and certification
certificate.
8.1.3.Time-limit of after-certification follow-up inspection
Within 5 working days after the factory inspection, the inspection team shall submit a
factory inspection report to CQC (calculated from the date of completion of the on-site
inspection and receipt of a satisfactory report of corrective measures for non-
conformities submitted by the manufacturing enterprise).
8.1.4.Conclusion of after-certification follow-up inspection
Same as the requirement of Article 7.3 of this Implementation Detailed-Rules.
8.1.5.Evaluation and approval of after-certification follow-up inspection
CQC conducts a comprehensive evaluation of the factory inspection conclusion. If the
evaluation conclusion is qualified, the validity of the certificate shall be maintained.
For manufacturing enterprises which fail to accept the factory inspection as scheduled
or for which the factory inspection conclusions are unqualified, CQC will suspend the
relevant valid CCC certificates.
8.2.Production on-site sampling test or inspection
8.3.Market sampling test or inspection
8.4.Frequency and content of after-certification supervision
9 Certificate
9.1.Maintenance of the certificate
The validity period of the product certification certificate covered by these
implementation rules is 5 years. During the validity period, the validity of the certificate
is maintained by post-certification supervision.
If the validity period of the certification certificate expires and it needs to be renewed,
the certification client shall submit a certification commission within 90 days before
the expiration of the validity period of the certification certificate. If the last post-
certification supervision result during the validity period of the certificate is qualified,
CQC shall directly reissue a new certificate after receiving the certification commission.
9.2.Record change of products covered by the certificate
9.3.Extension of products covered by the certificate
When the certification client needs to expand the product scope covered by the
certification certificate it has obtained, it should submit a certification entrustment for
the expanded products to CQC.
Based on the technical information of the extended product provided by the certification
client, CQC will check the difference between the extended product and the original
certified product, confirm the validity of the original certification results for the
extended product, and conduct additional tests or inspect the products on the production
site according to the differences. If the verification is passed, CQC will issue or reissue
the certification certificate separately according to the requirements of the certification
client.
In principle, representative model samples that were initially subjected to full type
testing should be used as the basis for the extended evaluation.
9.4.Cancellation, suspension, and withdrawal of the certificate
The cancellation, suspension and revocation of certification certificates shall be carried
out in accordance with the "Regulations on the Management of Compulsory Product
Certification" and the "Implementation Rules for the Cancellation, Suspension and
Revocation of Compulsory Product Certification Certificates" and relevant regulations
of CQC.
9.5.Use of the certificate
The use of certification certificates should comply with the requirements of the
"Regulations on the Management of Compulsory Product Certification".
10 Certification mark
The certification client shall affix the standard certification mark or self-printed/molded
certification mark at the appropriate location on the product body or on the product
nameplate. Ensure that the management and use of the certification mark comply with
the requirements of the "Regulations on the Management of Compulsory Product
Certification" and relevant documents of the National Certification and Accreditation
Administration.
10.1 Permitted certification mark style
10.2 Use of transformation certification mark
For lithium-ion cells with volume restrictions, printing/molding of a deformed
certification mark is allowed, i.e., the English abbreviation "CCC" for "China
Compulsory Certification". The font size should be adapted to the dimensions of the
lithium-ion cell.
11 Fee basis and requirements
All fees are reasonably collected according to the relevant provisions of CQC.
12 Certification responsibility
CQC shall be responsible for the certification conclusions it makes.
The laboratory shall be responsible for the test results and test reports.
CQC and its appointed factory inspectors shall be responsible for the factory inspection
conclusions.
The certification client shall be responsible for the authenticity and legality of the
commissioned materials and samples submitted by it.
13 Technical disputes and appeals
Appeals, complaints and disputes raised by certification clients shall be handled in
accordance with the relevant regulations of CQC.
14.Principles for the classification of manufacturing enterprises
CQC collects, sorts, and authenticates all kinds of quality information related to the
certification products and their manufacturing enterprises, and classifies the
manufacturing enterprises accordingly. The certification client, producer
(manufacturer), and manufacturing enterprise shall cooperate.
......
Source: Above contents are excerpted from the full-copy PDF -- translated/reviewed by: www.ChineseStandard.net / Wayne Zheng et al.
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