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Detailed Implementation Rules for China Compulsory Certification - Diesel engines NOx reduction agent-Aqueous urea solution (AUS 32)
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CCAP-GZ-346130-2020
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Standard similar to CCAP-GZ-346130-2020 CCAP-C11-01 CCAP-C11-20 CCAP-GZ-469130 Basic data | Standard ID | CCAP-GZ-346130-2020 (CCAP GZ-346130-2020) | | Description (Translated English) | Detailed Implementation Rules for China Compulsory Certification - Diesel engines NOx reduction agent-Aqueous urea solution (AUS 32) | | Sector / Industry | China Certification Center for Automotive Products - CCC Implementation Detailed-Rules | | Word Count Estimation | 36,318 | | Date of Issue | 1/7/2020 | | Date of Implementation | 1/7/2020 | | Drafting Organization | China Automobile Certification Center Co., Ltd. | | Administrative Organization | China Automobile Certification Center Co., Ltd. | CCAP-GZ-346130-2020: Detailed Implementation Rules for China Compulsory Certification - Diesel engines NOx reduction agent-Aqueous urea solution (AUS 32)
---This is a DRAFT version for illustration, not a final translation. Full copy of true-PDF in English version (including equations, symbols, images, flow-chart, tables, and figures etc.) will be manually/carefully translated upon your order.
Detailed Implementation Rules for China Compulsory Certification-Diesel engines NOx reduction agent-Aqueous urea solution (AUS 32)
Number. CC AP-GZ-346130.2020
CC AP mark product certification implementation rules for diesel engine nitrogen oxide reducing agent urea aqueous solution
2020-07-01 released
2020-07-01 implementation
China Internal Combustion Engine Industry Association
China Automobile Certification Center Co., Ltd.
table of Contents
0 Introduction...1
0.1 Terms and definitions...1
0.2 Classification management requirements for production enterprises...1
0.3 Requirements for the utilization of testing resources for production enterprises...3
1 Scope of application...3
2 Certification standards...3
3 Selection of certification mode and related requirements...4
3.1 Basic authentication mode...4
3.2 Applicability of the certification model...4
4 Classification of certification units...4
5 Certification delegation...4
5.1 Certification process...4
5.2 Certification commission information...5
5.3 Certification scheme and certification contract...6
6 Certification implementation...6
6.1 Type test...6
6.2 Initial factory inspection...8
6.3 Certification evaluation and decision...10
6.4 Time limit for certification...10
7 Supervision after certification...10
7.1 Follow-up inspection after certification...11
7.2 Sampling at the production site for testing or inspection...11
7.3 Market sampling test or inspection...12
7.4 Frequency and time of supervision after certification...12
7.5 Records of follow-up supervision...12
7.6 Evaluation of surveillance results after certification...13
8 Certification...13
8.1 Maintenance of the certificate...13
8.2 Contents of the certificate...13
8.3 Change of certification...13
8.4 Cancellation, suspension and withdrawal of certification...14
8.5 Use of certification...14
9 Certification Mark...14
9.1 Approved logo styles...14
9.2 Requirements for use...15
10 Charges...15
11 Certification responsibilities...15
12 Process and time limit requirements related to technical disputes, complaints, and appeals...15
Appendix 1 Product description of car urea aqueous solution...16
Annex 2 Type test and production consistency inspection items...17
Appendix 3 Requirements for Production Consistency...18
Appendix 1 Requirements for Factory Quality Assurance Ability...20
Appendix 4 Production Consistency Control Plan and Implementation Report Preparation Requirements...24
Appendix 1 Recommended Format of Production Consistency Control Plan...27
Annex 5.Approved and authorized CGT marking...31
0 Preface
In order to implement the State Council’s Air Pollution Prevention and Control Action Plan (Guofa No. 37), the State Council’s
Opinions on Fast Energy Conservation and Environmental Protection Industry (Guo Fa No. 30), “General Office of the State Council on Strengthening Energy Conservation and Reduction of Internal Combustion Engine Industry
Opinions of the State Council" (Document No. 12 of the General Office of the State Council) put forward the task requirements to strengthen the nitrogen oxide reducing agent of diesel engines
Urea aqueous solution (hereinafter referred to as "automobile urea aqueous solution") product development; stable production;
Implement scientific quality management; standardize the market order of the industry; safeguard the legitimate rights and interests of users; curb low-level and repeated investment construction.
In accordance with the principles of encouraging technological progress, standardizing competitive behavior, promoting product quality and safe production, combined with internal combustion engine
The overall target requirements and trends of industrial technology progress and industrial development, and in accordance with the requirements of relevant laws and regulations, the
Aqueous Solution》CGT
0.1 Terms and definitions
0.1.1 Use of production enterprise equipment testing (referred to as TMP method)
The engineers of the contracted laboratory use the testing equipment of the factory laboratory to perform the testing, and the factory should send testing personnel to perform the testing.
assist. The inspection report shall be reviewed and approved by the relevant contracted laboratory.
0.1.2 Production enterprise witness inspection (WMT method for short)
The engineer of the contracted laboratory witnessed the factory laboratory testing conditions and the factory laboratory used its own equipment to complete
For all tests or according to the test plan submitted by the factory, witness some test conditions and test items. Factory laboratory testing
The personnel is responsible for issuing the original records and drafting the test report in the prescribed format together with the witnessed contract laboratory engineer. by
Relevant contracted laboratories review and approve the issuance of test reports.
0.2 Classification management requirements of production enterprises
CC AP conducts risk assessment and classification of certified companies based on relevant information about certified companies obtained from various channels.
And for different types of enterprises to adopt differentiated management models and risk control measures to ensure the validity of the certification.
CC AP assesses certified companies as A, B, C, and D for classified management.
0.2.1 Information sources for classified management
(1) Factory inspection findings and inspection conclusions (including initial factory inspections, follow-up supervision inspections and other special inspections);
(2) Test results of type testing and supervision sampling (production site sampling or market sampling);
(2) National and provincial quality supervision spot checks and other spot checks conclusions;
(3) Administrative supervision, law enforcement inspection information and disposal records of government departments at all levels;
(4) Integrity records and normative records of certification behavior in the implementation process of enterprise certification application, expansion, and change;
(6) Complaints related to the quality and certification of the company’s products, product recalls, exposure by governments at all levels, society, and media
Public opinion risk information such as public and social image;
(7) Other information.
0.2.2 Classification principles of certified companies
See Table 1 for the classification principles of certified companies.
Table 1 Classification principles of certified companies
Classification principles
1 Factory inspection within the past 2 years (including. initial factory inspection, follow-up inspection after certification, and CGT logo recognition
Factory inspection of the certificate) found no serious non-conformities and non-conformities that affect or potentially affect product consistency;
2 No non-conformity items were found in the supervision and inspection after the certificate, and the results of the national and provincial product quality supervision and random inspections were "qualified";
3 Its own testing resources have obtained the accreditation funds of accreditation bodies that are mutually recognized by the ILAC agreement in accordance with the ISO /IEC 17025 standard.
Quality, or equivalently meet the technical capability requirements of Chapter 5 of GB/T 27025 (ISO /IEC 17025), and the testing capability shall be covered
Cover all type test items of certified products;
4 During the supervision period, the production of the products covered by the certificate is maintained at a certain level;
5 The company has a good reputation for quality, no record of dishonesty during the certification process, and no bad record of certification behavior;
There are no adverse reactions in the market and public information regarding the complaints of enterprises and certified products;
6 The registered capital is not less than 20 million yuan;
7 Passed quality management system certification;
8 The production capacity is not less than 100,000 tons.
B Except for Type A, C, and D companies, other certified companies and companies without quality information.
1 There are serious non-conformities in the initial factory inspection or follow-up inspection after certification; or there are general non-conformities, but the conclusion
Determined to require "onsite verification";
2 The quality of the product exposed by the media is a corporate responsibility, but does not involve suspension or revocation of certificates;
3 CC AP considers that it needs to be adjusted to Category C based on the comprehensive evaluation results of the information related to the manufacturer and the certified product;
4 The equipment used in the batch inspection project of the enterprise is not available, and external inspection is required.
1 The initial factory inspection and follow-up inspection after certification are judged to be "failed";
2 After the certificate is obtained, the result of the supervision and inspection is that the safety item is unqualified; the national, provincial and other product quality supervision random inspections are completed
If the relevant type test items in the fruit are "unqualified"; or the factory inspection and/or supervision sampling is rejected without justifiable reasons;
3 Product recall due to product quality defects, exposed by the media, and corporate responsibility, which have a greater impact on product safety,
The certification certificate can be directly suspended or revoked;
4 The certification certificate is suspended or revoked if it fails to meet the certification requirements of other CC AP mark products;
5 CC AP considers that it needs to be adjusted to category D based on the comprehensive evaluation results of the information related to the manufacturer and the certified product.
0.2.3 Classification evaluation and results
Before the annual follow-up inspection, CC AP will inform the certified company of the information on the determination/adjustment of the classification management level of the certified company.
CC AP will base on various types of relevant information collected, combined with the classification principles and CC AP's relevant production enterprise classification management regulations.
It is determined to implement dynamic management of production enterprises, and periodically re-evaluate and adjust the classification results. When the certified enterprises appear
When there are major issues that affect the results of the risk assessment, CC AP will directly transfer the company to the high-risk category based on the assessment results at any time.
do not. Conversely, if there is evidence that the factors that cause the risk have been effectively controlled, the company did not reappear in the second supervision and inspection
For bad records, CC AP will also gradually adjust to low-risk categories in the order of D→C→B→A according to the risk assessment situation.
0.3 Requirements for the utilization of testing resources for production enterprises
0.3.1 Scope
It is suitable for the follow-up inspection and the supplementary difference test when the certificate is changed.
0.3.2 Implementation
If the manufacturer has the testing equipment and testing capabilities required by the certification standards, the certification client, manufacturer or manufacturer
The industry can apply to CC AP for the use of production enterprise testing resources (hereinafter referred to as the factory laboratory) and conduct self-inspection. will
The self-inspection results and related materials are submitted to CC AP for review along with the application. CC AP (organization of contracted laboratories to participate) review and assessment
Only qualified factory laboratories can use the testing resources of the production enterprise to implement the on-site TMP testing (or WMT testing).
In order to reduce the burden on enterprises, in principle, CC AP does not separately organize audits of factory laboratories, and certify clients
The audit application of the factory laboratory can be submitted at the same time as the application for on-site testing, or it can be submitted separately. CC AP will
Organize contracted laboratory technical experts to conduct on-site inspections and save corresponding audit evaluation records. Factory experiment
The factory laboratory can be used for testing only after the laboratory capacity is qualified.
0.3.3 Maintenance of qualifications
In principle, CC AP will conduct regular supervision and verification of approved factory laboratories in conjunction with annual supervision and inspection.
When necessary, the factory laboratory will be organized to participate in the comparison test to ensure the accuracy and validity of the test results.
If the production enterprise has a requirement, it can conduct a single verification against the on-site test items proposed by the certification client, and the verification result
Only valid for this on-site inspection project. Factory laboratories can no longer supervise to maintain their qualifications. Need to find the same project again
During field inspection, you should apply for review again.
1 Scope of application
This rule applies to the nitrogen oxide reducing agent urea water solution (AUS 32) for diesel engines.
Diesel engine nitrogen oxide reducing agent urea aqueous solution (AUS 32) is referred to as urea aqueous solution.
2 Certification standards
GB 29518-2013 "Diesel engine nitrogen oxide reducing agent urea aqueous solution (AUS 32)" standard.
The above-mentioned standards shall in principle implement the latest version issued by the national standardization administrative department. Use standard other
For other versions, it shall be implemented in accordance with the applicable relevant standards issued by CC AP.
3 Selection of certification model and related requirements
3.1 Basic authentication mode
The mode of implementing the mark certification of urea aqueous solution products for vehicles is.
Certification mode A. Type test initial factory inspection and supervision after certification
Certification Mode B. Supervision after type testing
In accordance with the "Production System of Nitrogen Oxide Reducing Agent Urea Aqueous Solution for Diesel Engines" issued by China Internal Combustion Engine Industry Association
Regulations for the Implementation of the Measures for the Supervision and Administration of Manufacturing Conditions and Product Quality", complete the CGT logo mark enterprise filing and issue the certificate in the effective
The enterprise shall first renew the certificate and perform the supervision after obtaining the certificate according to the certification mode B.
Post-certification supervision includes post-certification follow-up inspection and supervision sampling inspection. Among them, supervision sampling inspection also includes
Including sample testing or inspection at the production site and market sampling testing or inspection.
3.2 Applicability of the certification model
CC AP will target different types of enterprises, based on the certification model, as appropriate to increase/decrease certification elements to combine,
include.
Type A, Type B. Post-certification follow-up inspections, sample testing or inspection at the production site,
One or a combination of the three methods of market sampling or inspection.
Type C and Type D production enterprises. post-certification follow-up inspection and supervision sampling test (production site
One or a combination of sampling or market sampling).
CC AP, based on the characteristics of the products applying for certification and the principles of certification risk control, combined with the results of the classified management
Determine the applicable certification model for the certification principal.
4 Certification unit division
In principle, different manufacturers and different processing locations are different certification units.
The certification client shall submit a certification request based on the principle of unit division. The same unit can contain multiple "models (or specifications)
Grid)” products. The same model refers to products that have no effect on standard compliance.
5 Certification commission
5.1 Certification process
5.1.1 The certification process of certification mode A
(1) Certification commission, data review and acceptance;
(2) Divide certification product units and prepare certification schemes;
(3) Signing and charging of certification contract;
(4) Product type test;
(5) Initial factory inspection;
(6) Evaluation and approval of inspection results;
(7) Issuing certification certificates;
(8) Supervision after certification.
5.1.2 The certification process of certification mode B
(1) Certification commission, data review and acceptance;
(2) Divide certification product units and prepare certification schemes;
(3) Signing and charging of certification contract;
(4) Product type test;
(5) Evaluation and approval of results;
(6) Issuing certification certificates;
(7) Supervision after certification.
5.2 Certification commission information
The certification client shall submit a certification commission to CC AP, and the materials and technical materials to be submitted by the certification commission include.
(1) Application for certification;
(2) Factory inspection questionnaire (including a list of key production equipment and key testing equipment);
(3) Registration certification materials (initial application) of the certification principal, producer (manufacturer), and production enterprise (factory)
Please and when there are changes).
a Copy of business license;
b If the principal is a seller or an importer, the seller and producer, importer and production
A copy of the relevant contract (first application and change) concluded by the applicant;
c The power of attorney of the agent (when applicable);
d For overseas certification clients, they need to provide a letter of commitment that the above information is true and bear corresponding legal responsibilities
(Including "recall" and related quality responsibilities) relevant certification documents.
(4) Quality system documents, including.
a Quality manual, including. organizational chart and/or responsibilities;
b The catalog of quality assurance capability control documents shall meet the relevant requirements of Appendix 1 in Annex 3;
c A copy of the quality management system certification certificate that has been obtained (must be available before completing the certification, if there is no quality management system
Management system and this inspection at the same time).
(5) The product description of the aqueous urea solution for vehicles should meet the requirements of Annex 1;
(6) Production consistency control plan (when the first application and production consistency control plan is changed), please refer to the attachment for the preparation requirements
Piece 4;
(7) If other enterprises are entrusted to produce aqueous urea products for vehicles, the certification principal shall also provide the commission to CC AP.
A copy of the relevant contract between the entrusted enterprise and the entrusted enterprise. Such as certification client, producer (manufacturer),
Copy of ODM/OEM agreement, power of attorney and ODM original certificate signed between manufacturers
(When applicable);
(8) Description of production capacity (if production capacity is not less than 100,000 tons);
5.3 Certification scheme and certification contract
CC AP will review the application materials. If the application materials need to be supplemented or improved, they will communicate with the client.
Request for supplementary submission of relevant materials. After the review of the materials is completed, a notice of acceptance or rejection will be issued to the client.
After acceptance, CC AP will formulate a certification plan based on the results of the review, including.
(1) The authentication mode and unit division used;
(2) Type test inspection plan; (including selection and confirmation of contracted laboratories);
(3) Factory inspection plan and time (man-day);
(4) Estimated certification cost;
(5) Other matters and requirements that need to be explained.
CC AP will notify the certification client of the above certification scheme, and formally sign with the certification client after the agreement is reached.
Sign a certification contract as the basis for the implementation of this certification.
6 Certification implementation
6.1 Type test
6.1.1 Type test plan
CC AP will formulate a product inspection plan after the data review. The inspection plan includes all sample requirements for type testing and
Quantity, testing standards and testing items, information on contracted laboratories that the certification client can choose, etc.
6.1.2 Type test sample requirements
In principle, the samples for type testing shall be sent by the certification client to the designated laboratory for testing. If necessary, it can also be
CC AP takes samples for testing in accordance with the requirements of the type test plan.
If there is only one model in the certification unit, samples of this model will be sent. When there is more than one model in the unit, CC AP will
Select a representative model from among the others, and make a difference test for other models when needed.
6.1.2.1 Number of type test samples
The number of type test samples of the same model is as follows.
For small package products, take 2 complete packages; for bulk products, take 4 liters.
For supervision and random inspection and/or the number of test samples that need to supplement the difference, the test plan finally confirmed by CC AP shall prevail.
The certification principal shall ensure that the submitted samples are completely consistent with the actual products, including materials and parameters.
6.1.2.2 List of key raw materials and related requirements
It should be consistent with the key raw materials identified in the "Production Consistency Control Plan" submitted by the enterprise. At least include
Including the name, model/specification, production unit and supplier (if any) of key raw materials, etc.
6.1.3 Type test items and test basis
Type test items are mandatory clauses applicable in the certification basis standards in Chapter 2.
All tests are carried out in accordance with the test items of GB 29518.See Annex 2 for details.
6.1.4 Selection and confirmation of contracted laboratories
The certification client can select and confirm the testing laboratory within the scope of the laboratory provided by CC AP, and CC AP will
People confirm their opinions and issue an inspection order to the contracted laboratory for sample type testing.
6.1.5 Implementation of type test
6.1.5.1 The type test is completed by the contracted laboratory entrusted by CC AP. The contracted laboratory shall follow the relevant requirements of CC AP
Complete the sample test within a specified time, make a complete record of the entire test process and archive it to ensure the test process and results
The records are traceable.
6.1.5.2 If any test item is unqualified, the laboratory shall notify CC AP of the unqualified test in time. If the client continues to want
For certification, the rectification should be completed within 3 months and the rectification materials should be submitted to CC AP, and CC AP will reconfirm the retest and inspection plan.
In principle, samples with the same specifications as the previous failure should be selected for full inspection. If the re-inspection is qualified, the type test is passed,
Otherwise, the authentication is terminated. If the rectification is not completed and/or the retest test samples are not submitted within the prescribed time limit, this time shall be terminated
Certification; the certification client can also voluntarily terminate this entrustment, and after completing the rectification, re-submit the certification entrustment and proceed again
Type test.
6.1.5.3 The type test time does not exceed 20 working days (calculated from the day when the sample is delivered to the contracted laboratory).
If the test items are unqualified, the time for the company to carry out rectification and retest is not included.
6.1.6 Type test report
After the type test is over, the laboratory will issue a type test report that meets the requirements to CC AP. The test report should include
Contains a description of the product and certification-related information in the application unit. At the end of the certification, CC AP will attach the type test report to the certification
The...
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