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CQC-C1116-2021 PDF in English

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CQC-C1116-2021: PDF in English

Translated English of CQC Specifications. CQC-C1116-2021
Serial No.. CQC-C1116-2021
Implementation Detailed-Rules for China Compulsory
Certification -- Electric bicycle
ISSUED ON. JULY 01, 2021
China Quality Certification Center
Table of Contents
Foreword... 4
0.Introduction... 5
0.1 Terms and definitions... 5
0.2 Classified management requirements for production enterprises... 6
0.3 Requirements for utilization of production enterprise testing resource... 8
1.Scope of application... 9
2.Standards based for certification... 9
3.Certification mode... 9
3.1 Basic mode of certification... 10
3.2 Applicability of certification mode... 10
4.Division of certification units... 11
5.Certification entrustment... 12
5.1 Proposal and acceptance of certification entrustment... 12
5.2 Entrustment information... 12
5.3 Implementation arrangements... 13
5.4 Certification process... 13
6.Certification implementation... 13
6.1 Type test... 13
6.2 Enterprise quality assurance capabilities and product consistency inspection... 17
6.3 Acceptance of other conformity evaluation results... 19
6.4 Certification evaluation and decision-making... 20
6.5 Certification time limit... 20
7.Post-certification supervision... 21
7.1 Follow-up inspection after obtaining the certificate... 22
7.2 Sampling testing or inspection at production site... 23
7.3 Market sampling testing or inspection... 24
7.4 Frequency of post-certification supervision... 24
7.5 Records of post-certification supervision... 25
7.6 Evaluation of post-certification supervision results... 25
8.Certificate... 25
8.1 Maintenance of certification certificates... 25
8.2 Contents of certification certificate... 26
8.3 Change/extension of certification certificate... 26
8.4 Cancellation, suspension, revocation of certification certificates... 27
8.5 Use of certification certificates... 28
9.Certification mark... 28
10.Product certificate... 28
11.Fees... 28
12.Certification responsibilities... 29
13.Processes and time limit requirements related to technical disputes, complaints,
appeals... 29
13.1 Process and time limit requirements for technical dispute... 29
13.2 Complaint process and time limit requirements... 29
13.3 Appeal process and time limit requirements... 30
Appendix 1 Certification process for electric bicycle product... 32
Appendix 2 List of certification entrustment data... 33
Appendix 3 Structure and technical parameters of electric bicycle product... 36
Appendix 4 Type test items and standard basis... 55
Appendix 5 Test plan of electric bicycle... 57
Appendix 6 Requirements for production consistency review... 63
Appendix 7 Product qualification certificate... 70
The "Implementation Detailed-Rules for China Compulsory Certification - Electric
Bicycles" (hereinafter referred to as. Implementation Detailed-Rules) is prepared, in
accordance with the requirements of the “Implementing Rules for China Compulsory
Certification - Electric Bicycles” (CNCA-C11-16.2021) (hereinafter referred to as.
Implementation Rules). It is used as the supporting documents for the Implementation
Rules. It is used together with the Implementation Rules.
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,
according to 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 the certification implementation rules and in line
with the principles of maintaining the effectiveness of product certification, improving
product quality, serving certified enterprises, controlling certification risks, CQC
formulates and publishes the implementation details of this certification. These detailed
rules clarify the implementation requirements for compulsory product certification of
electric bicycles, by establishing the classification management requirements of
production enterprises AND combining the classification of production enterprises.
0.1 Terms and definitions
0.1.1 For the definitions of electric bicycles and related terms, see GB 17761-2018
"Safety technical specification for electric bicycle".
0.1.2 Testing at manufacturer’s premises (abbreviated as TMP mode)
Engineers from designated laboratories with qualifications, as dispatched by the
designated certification agency, use the testing equipment in the factory laboratory to
conduct testing. The factory shall dispatch testing personnel to provide assistance. The
designated laboratory will examine, approve, and issue the testing report.
0.1.3 Witnessed Manufacturer’s Testing (abbreviated as WMT mode)
Engineers from designated laboratories with qualifications, as dispatched by the
designated certification agency, will witness the factory laboratory testing conditions;
the factory laboratory uses its own equipment to complete all testing or submit the
testing plan of the certification agency for the factory; witness some testing conditions
and testing items. Factory laboratory's testing personnel are responsible for issuing
original records, drafting test reports in the prescribed format together with the
designated laboratory engineer who witnessed the test. The test report will be issued
supervision must be combined with the factory’s post-certification supervision. Factory
laboratories shall participate in comparison tests or proficiency verification, to ensure
the accuracy and validity of testing results.
If the production enterprise has needs, it can conduct a single verification on the on-site
testing items, which are proposed by the certification client. The verification results are
only valid for this on-site testing item. The factory laboratory may no longer conduct
supervision to maintain accreditation. When the same item requires on-site testing again,
it shall apply for review again.
1.Scope of application
These Detailed Rules apply to two-wheeled bicycles, that use on-board batteries as
auxiliary energy, have pedal riding capabilities, can realize electric assist or/and electric
drive functions.
For any adjustments to the scope of application, which are caused by changes in laws
and regulations or related product standards, technology, industrial policies and other
factors, the announcement issued by the State Administration for Market Regulation
(CNCA) shall prevail.
2.Standards based for certification
According to the standard GB 17761-2018 "Safety technical specification for electric
The latest version, which is issued by the national standardization administrative
department, shall be implemented according to the standards used. When it is necessary
to add new applicable standards or use other versions of standards, the announcement
on the requirements for applicable relevant standards, which is issued by the
Certification and Accreditation Administration of China, shall be followed.
3.Certification mode
The basic certification mode, which is stipulated in the Implementation Detailed-Rules,
refers to the combination of basic factors of product certification, which is determined
on the premise of integrity and self-discipline, effective management, stable production
of production enterprises, with the goal of ensuring that products continue to meet the
requirements of compulsory certification standards, based on the inherent safety risk
characteristics of products and the production processes commonly used by enterprises.
CQC implements classified management of manufacturing enterprises, in accordance
with the requirements of the "Implementation Rules for Compulsory Product
Certification -- Classified Management of Manufacturing Enterprises, Selection and
Determination of Certification Modes"; combines the certification risk control
capabilities and the classification management results of manufacturing enterprises, to
gradually add certification elements based on the basic certification mode, thereby
determining the certification modes, which are applicable to production enterprise with
different capabilities and levels.
3.1 Basic mode of certification
The basic certification mode for implementing compulsory certification of electric
bicycle products is.
Type test + Enterprise quality assurance capability and product consistency inspection
(initial factory inspection) + Post-certification supervision;
The quality assurance capabilities and product consistency inspection of electric bicycle
manufacturers are conducted, in accordance with the production consistency inspection
Type test is mainly used for products, that require certification evaluation based on
The post-certification supervision method refers to one or various combinations of three
methods. follow-up inspection after certification, production or port on-site sampling
testing or inspection, market sampling testing or inspection. If necessary, adopt one or
various combinations of the following methods.
(1) Obtain real test samples, by taking samples from the market/production site;
(2) Follow-up inspection/unannounced inspection without prior notification;
(3) Increase the frequency of post-certification supervision;
(4) Increase testing/inspection coverage, to increase the probability of discovering
Combined with the principle of classified management of production enterprises, the
combination of relevant certification elements shall be considered as appropriate during
post-certification supervision for different types of enterprises.
3.2 Applicability of certification mode
Category A and category B. Post-certification supervision may adopt one or a
combination of three methods. post-certification follow-up inspection, production or
port on-site sampling testing or inspection, market sampling testing or inspection.
reviewed and qualified, CQC shall follow the unit division principle and based on the
certification standards, product descriptions, key components and raw materials
submitted by the client (see Appendix 3 "Product Structure and Technical Parameters
of Electric Bicycle"), to formulate a type test plan and notify the certification client.
The type test plan includes sample requirements for unit or unit combination sample
delivery/sampling, testing standards and items, inspection and testing agency
information, etc. When the same unit contains multiple models/specifications, samples
shall be selected from representative models/specifications; the selected samples shall
cover the structural parameters of other products and key parts/raw material
manufacturers, as much as possible. For the type test plan, please refer to Appendix 5
"Electric Bicycle Test Plan" of the Detailed Rules.
6.1.2 Type test sample requirements
Usually, the certification client selects representative samples for testing, according to
Appendix 5 "Electric Bicycle Test Plan", for type testing; then selects appropriate
models for difference testing. It shall be ensured that the difference testing covers high-
risk difference items and materials in the unit, as much as possible. It shall be ensured
that the selected components or component samples are of the same material and
produced in the same batch as the main inspection or difference test samples. If
necessary, CQC can also obtain samples through on-site sampling/sealing.
The certification client shall ensure that the samples provided by it are consistent with
the actual products produced. It shall not borrow, rent, or purchase samples for testing.
CQC and/or laboratories review the authenticity of samples, which are provided by the
certification client. If the laboratory has doubts about the authenticity of the sample, it
shall explain the situation to the certification agency AND handle it accordingly.
The certification client shall prepare samples, according to the requirements of the type
test plan; send them to the designated laboratory.
In principle, manufacturers shall ensure that samples are sent to designated laboratories
for type testing within 20 days. If the certification client fails to send samples within
the specified time, due to special circumstances, it must provide CQC with sufficient
reasons for delaying sample delivery.
For the components, that are required to be tested along with the complete bicycle as
specified in the Implementation Rules, for compulsory product certification, if they
already obtain the compulsory product certification (including self-declaration), it shall
recognize the results directly; if they already obtain the voluntary certification or other
qualification evaluation results, that can be recognized by the whole bicycle
compulsory certification, meanwhile the certification agency recognizes the
certification results or other qualification evaluation results based on the review, they
can be exempted from component independent test.
6.1.3 Type test items and requirements
Refer to the relevant content in Appendix 4 "Type Test Items and Standards Based" of
the Detailed Rules. CQC, together with the laboratory, will confirm the test items, in
accordance with the provisions of the Detailed Rules, in combination with the testing
standards, structure, technical parameters of the bicycle to be certified, as entrusted by
the certification client.
CQC accepts the conformity assessment certification materials of electric bicycle's
radio disturbance characteristics, product certificates, instructions for use, which is
provided by the certification client. After passing the review, the corresponding type
test can be exempted.
For products of the same model, which are produced by the same producer
(manufacturer) at different production sites or by different producers (manufacturers)
at the same production site, on the premise of ensuring production consistency, CQC
may reduce or exempt the test items of the same part of the product under certification,
based on the characteristics of product under certification and certification risk control.
For applications for OEM certification, in principle, the overall item type test is carried
out. If the product applying for certification obtains a certification certificate at other
production sites, CQC can reduce or exempt some test items for the product under
certification, based on the characteristics of the product applying for certification and
the principles of certification risk control.
For applications for ODM certification, if the product applied for certification is
completely consistent with the initial certification product or only changes in
appearance, meanwhile the type test report of the initial certification product is an
overall item type test, THEN, CQC can appropriately arrange testing items, based on
the characteristics of the product applied for certification and certification risk control
If the Compulsory Product Certification Technical Expert Group of the National
Certification and Accreditation Administration has special requirements, they shall be
implemented, in accordance with its corresponding technical resolutions.
6.1.4 Implementation of type tests Type test shall be completed in the laboratory designated by the National
Certification and Accreditation Administration. When the laboratory conducts type test
on samples, it shall ensure that the test conclusions are true and accurate; make
complete records of the entire testing process and archive them; ensure that the records
of the testing process and results are traceable. When abnormal conditions are
discovered during the type test, they shall be communicated with CQC in a timely
manner and handled accordingly. If any test item is unqualified, the certification client is allowed to make
rectifications, after analyzing the causes of the nonconformity; then carry out re-test
6.2 Enterprise quality assurance capabilities and product consistency
In accordance with the requirements of product implementation rules, (CNCA-00C-
005), (CNCA-00C-006) and other documents, CQC carries out on-site inspections and
evaluation, to check whether the quality assurance capability and product consistency
control capability of the production enterprise meet the certification requirements.
The quality assurance capability and product consistency inspection of the production
enterprise shall be carried out, after passing the type test. If necessary, type test and
quality assurance capability and product consistency inspection of the production
enterprise can also be carried out, at the same time.
For certified producers/manufacturers, the certification agency can appropriately adjust
and simplify the terms and content of the enterprise's quality assurance capabilities and
product consistency inspections, based on the actual situation.
6.2.1 Basic requirements for enterprise quality assurance capabilities and product
consistency inspection
Producers or production enterprises shall establish, implement, continuously maintain
their production consistency control system, in accordance with the requirements of
Implementation Rules 7.2; formulate a production consistency control plan; submit it
to CQC for review. CQC shall inform the certification client of the review results.
For the enterprise's quality assurance capabilities and product consistency, it is the
certification agency's evaluation of whether the producer or production enterprise's
production consistency control system meets the certification requirements (see
Appendix 6 "Production Consistency Review Requirements"). Enterprise's quality
assurance capabilities and product consistency inspections are conducted, in the form
of production consistency control plan review + production consistency factory on-site
inspection. In principle, the enterprise's quality assurance capability and product
consistency inspection shall be completed within one year after passing the type test;
otherwise, the product type test shall be re-conducted.
The factory for compulsory product certification refers to the place, where final
assembly and/or test of certified products is carried out and the certification mark is
affixed. When the above-mentioned processes of the product cannot be completed in
one location, CQC reserves the right to conduct further inspections in other locations.
Enterprise's quality assurance capabilities and product consistency inspections shall
cover "products applying for certification/certified products" and all "processing sites".
"Processing site" refers to all departments, locations, personnel, activities related to
product certification quality. "Products applying for certification/certified products"
refers to products, which are covered by the production consistency control plan. If
CQC cannot complete production consistency inspection at the production site, it can
be extended to the certification client, producer, etc. for inspection.
For producers that have obtained the CCC certificate for similar electric bicycles, when
relocating or establishing a new production enterprise within the same producer, if the
producer declares that it complies with relevant laws and regulations, has a sound
quality management system, its products meet standard requirements, CQC can "issue
the certificate before factory audit"; complete the enterprise's quality assurance
capabilities and product consistency inspection, within three months after the issuance
of the certificate.
Routine follow-up inspections shall be completed, within 12 months after certification
approval, to maintain the validity of the certification certificate.
6.2.2 Implementation of enterprise quality assurance capabilities and product
consistency inspections
CQC entrusts compulsory product certification inspectors, who have national
registration qualifications, to form an inspection team, to conduct on-site inspections of
the production consistency control of certified products, in accordance with Appendix
5 of the Detailed Rules. During factory on-site inspection, products entrusted with
certification shall be in production; the scope of inspection shall cover all processing
sites of certified products. If necessary, the inspection team can conduct extended
inspections, at sites other than the production enterprise.
During the quality assurance capabilities and product consistency inspections of the
production enterprise, the factory inspection team shall randomly select products that
have passed the inspection, at the processing site of certified products, to conduct
inspections, including but not limited to the following.
(1) The structure and parameters of the certified product (including model
specifications and key components);
(2) On-site designated test of certified products (selected from the production
consistency control plan).
Product consistency inspection shall at least cover the driving mode type of certified
products; the factory inspection team is responsible for the samples taken for review. If
the factory inspection team discovers flaws in the enterprise's production consistency
control plan, during on-site inspection, it shall provide opinions and suggestions to the
certification engineer.
The relevant content of the marks on each component, system or assembly of the
bicycle product shall be consistent with the CCC certificate, voluntary certification
certificate or structural technical parameters, which are filed with the certification
conformity assessment results on the basis of review, then the independent test of the
parts and components can be exempted. The situations where components are exempted
from independent test are as follows.
1.Those already obtained the CQC voluntary certification results may be exempted
from the component test which is corresponding to the type test;
2.The certification client provides testing reports (radio disturbance characteristics,
product certificates, instructions for use, etc.), which has an issue date not
exceeding 60 days from the certification application date; meanwhile the
laboratory that issues the report obtains CMA qualifications and CNAS
3.When implementing compulsory product certification, for enterprises that have
obtained service and management system certification certificates issued by
certification agencies as authorized by the Certification and Accreditation
Administration of China, meanwhile the certificates are within the validity period,
the factory inspection team will exempt the review of some provisions related to
the quality management system on site.
4.The voluntary certification results of other product certification agencies will be
accepted, on the basis of mutual recognition.
6.4 Certification evaluation and decision-making
CQC conducts a comprehensive evaluation on the type test, the production enterprise's
quality assurance capabilities and product consistency inspection results, as well as
relevant materials/information. If the evaluation passes, certification certificates will be
issued based on unit; if the evaluation fails, the certification will be terminated.
6.5 Certification time limit
CQC sets time limit requirements for the certification process. Certification clients must
actively cooperate with certification activities, to ensure that relevant work is completed
within the time limit.
Under normal circumstances, the certification certificate will be issued to the
certification client, within 90 days from the acceptance of the certification entrustment,
including the type test time, initial factory inspection time, post-inspection report
submission time (when applicable), certification result evaluation, approval time,
certificate production time.
The completion time of the above certification activities does not include the time for
the certification client to prepare materials, the time for rectification of non-
conformities in test samples, and the time for re-testing. For situations that do not meet
the certification requirements, CQC will notify the certification client and explain the
CQC will accept the intended entrustment from the certification client and issue an
acceptance notice within 2 working days, OR inform the certification client of the
reasons for rejection.
For data review, the review of the completeness, completeness, compliance of the
entrustment data is generally completed within 5 working days.
It usually takes no more than 2 working days to formulate and issue the type test plan.
The type test time is generally completed within 30 working days. If any test items are
unqualified, rectification and retesting may be allowed within a time limit (not
exceeding three months). For special time requirements, the type test time may be
extended appropriately.
The on-site inspection of production consistency lasts 4 ~ 6 person-days. If there are
any unqualified items in the factory inspection, rectification will be allowed within a
time limit (not exceeding 3 months).
The time to review the type test report and factory inspection report, evaluate and
approve the certification results, issue the certification decision is generally 5 working
The execution report of the production consistency control plan shall be completed,
before the supervisory inspection.
Any non-conformities, which are discovered during the follow-up inspection after
obtaining the certificate, shall be rectified within 3 months; otherwise, the follow-up
inspection fails.
Certification clients, producers (manufacturers), production enterprises shall actively
cooperate and assist in the implementation of certification. Certification timeout, due
to failure of the certification client, producer (manufacturer), or production enterprise
to complete certification activities overdue because of their own reasons, will not be
included in the certification time.
7.Post-certification supervision
Post-certification supervision refers to the supervision, which is carried out by
certification agencies on certified products and their production enterprises. Based on
the classified management of production enterprises and the actual situation, the
selection of post-certification supervision methods is as shown in Table 2.
Source: Above contents are excerpted from the PDF -- translated/reviewed by: www.chinesestandard.net / Wayne Zheng et al.