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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 Contents1 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... 401 Application scopeThe 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 standardsThe 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 modeThe optional certification modes for electronic products and safety accessories are.4 Division of certification units4.1.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 entrusting5.1.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 Certification6.1.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 inspection7.1.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 supervision8.1.2.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 supervision9 Certificate9.1.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 markThe 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 requirementsAll fees are reasonably collected according to the relevant provisions of CQC.12 Certification responsibilityCQC 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 appealsAppeals, 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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