CNCA C11-01-2020 PDF English
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Compulsory product certification implementation rules - Automobile
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[Replaced by CNCA C11-01-2020] China Compulsory Certification Implementation Rules - Motor vehicle
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CNCA C11-01-2020: Compulsory product certification implementation rules - Automobile---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/CNCAC11-01-2020
CNCA / CCC
Serial No.. CNCA-C11-01.2020
Issued on. APRIL 16, 2020
Implemented on. APRIL 16, 2020
Issued by. Certification and Accreditation Administration of the People's
Republic of China
Table of Contents
0 Introduction... 4
1 Application scope... 4
2 Terms and definitions... 5
3 Certification basis standards... 6
4 Certification mode... 6
5 Division of certification unit... 7
6 Certification entrusting... 8
7 Certification implementation... 8
8 After-certificate supervision... 14
9 Certificate... 17
10 Certification mark and vehicle conformity certificate... 20
11 Charges... 20
12 Certification responsibility... 20
13 Certification implementation detailed-rules... 20
Attachment 1.Certification items and requirements... 22
Attachment 1-1.Type test items and basis standards... 22
Attachment 1-2.Type test of parallelly-imported automobile... 46
Attachment 1-3.Single vehicle certification test items and standards... 47
Attachment 1-4.Implementation procedures for self-commitment to environmental protection... 57
Attachment 1-Appendix A. Implementation procedures for parallel management of
average fuel consumption of passenger car enterprises and new energy automobile points... 59
Attachment 2.Certification implementation... 60
Attachment 2-1.Implementation procedures for automotive design appraisal... 60
Attachment 2-2.Implementation procedures for certification of new technology products... 62
Attachment 3.Basis for dividing model series, units and models... 65
Attachment 4.Information required for certification... 70
Attachment 4-Appendix A. Vehicle construction and technical parameters... 72
Attachment 4-Appendix B. Vehicle construction and technical parameters for single vehicle certification... 142
Attachment 5.Sample-sending requirements and detail of samples... 146
Attachment 6.Factory inspection requirements... 160
Attachment 6-Appendix A. Conformity inspection of vehicle construction and technical parameters... 168
Attachment 7.Verification and test items for conformity of non-mass-produced vehicle products... 170
Attachment 8.Vehicle conformity certificate... 174
Attachment 8-Appendix A. Technical parameter items of vehicle conformity of automobile products... 182
Attachment 8-Appendix B. Format of conformity technical parameters of category M1 and M1G complete single-stage vehicles... 189
1 Application scope
This Rules applies to category M automobiles, category N automobiles, and category
O trailers, which can be driven on China highways and urban roads (including
complete-vehicle and incomplete-vehicle).
This Rules does not apply to low-speed automobiles (general term for three-wheeled
automobiles and low-speed trucks), vehicles traveling on rails, trolleybuses, wheeled
mobile machinery for special purpose that is not designed to be driven and used on
roads but is mainly used for construction of closed roads and places, agricultural and
forestry tractors, engineering machinery, and Class-III chassis.
If any applicable scopes are adjusted due to laws, regulations or changes in relevant
product standards, technology and industry policy factors, it shall be subject to the
announcement issued by CNCA.
2 Terms and definitions
For the definition of vehicles, see GB/T 3730.1 "Motor vehicles and trailers - Types -
Terms and definitions", GB/T 17350 "Terms marks and designation for special
purpose vehicles and special trailers", and GB 7258 "Technical specifications for
safety of power-driven vehicles operating on roads". For the classification of vehicles,
see GB/T 15089 "Classification of power-driven vehicles and trailers". Other terms are
as follows.
2.1 Complete-vehicle. it refers to vehicles which would possess expected use function
without any manufacturing.
2.2 Incomplete-vehicle. it refers to vehicles which would possess expected use
function requiring for further manufacturing.
2.3 Multistage manufacturing vehicle. it refers to vehicles which would possess
expected use function through multistage manufacturing.
2.4 Basic vehicle. it refers to complete-vehicle and Class-II chassis used for vehicle
refitting.
2.5 Parts. the smallest independent unit to form assembly, system and vehicle. Such
as lens in rear view mirror assembly.
2.6 Assembly. a combination consisting of parts with certain functions. It can either be
independent, or a part of vehicle and system, such as headlamp assembly, and
steering wheel assembly in steering system.
2.7 Spare parts. the generic terms of parts and assembly.
2.8 System. a combination consisting of parts and assembly with certain functions.
Such as, steering system, and braking system.
3 Certification basis standards
See Attachment 1 for the standards on which the certification test of this Rules is
based.
In principle, standards for certification test basis shall implement the latest version
issued by the national standardization administrative department. In the detailed-rules,
the certification body shall clarify the year number and clause number of the basis
standard. When adding, reducing basis standards, or using other versions of the
standards, the CNCA shall issue corresponding announcements and follow the
announcements.
4 Certification mode
4.1 Basic mode. type test + initial factory inspection (enterprise quality
assurance capability and product conformity inspection) + after-certificate supervision
Basic certification mode as stipulated in this Implementation Rules is certification
mode determined based on the inherent safety risk features of products and
production process generally adopted by manufacturing enterprises, on the conditions
that the manufacturing enterprises have integrity self-discipline, effective
management and stable production. Certification body shall implement classification
management of manufacturing enterprises in accordance with requirements of “China
Compulsory Certification Implementation Rules - Manufacturing Enterprise
Classification Management, Certification Mode Selection and Determination”; add the
certification elements on the basis of basic certification mode in combination with
classification management, so as to determine the certification mode suitable for
certification client. [TRANSLATOR NOTE is not part of this Rules. Translator note.
“certification client”, the counterpart of certification body, refers to the
Applicant/Manufacturer or its proxy (Power of Attorney). For ease of reading,
hereinafter abbreviated as “CLIENT”].
For mass-produced vehicles, the enterprise quality assurance capability and product
conformity inspection are conducted in accordance with production conformity
inspection method.
4.2 Single vehicle certification. 100% inspection
It is applicable to small-lot imported products used in production and daily
consumption, which have not received compulsory product certification for special
purposes or for special reasons③. According to relevant national policies and
regulations, the certification body shall formulate corresponding implementation
detailed-rules.
5 Division of certification unit
Vehicle products are divided according to vehicle model series or unit. See
Attachment 3 for the basis of division. Based on the vehicle model series or unit, the
CLIENT proposes a certification entrusting.
Products applying in the single vehicle certification mode are not divided into units.
Certificates are issued based on the model and specific vehicle identification number,
one for each vehicle.
6 Certification entrusting
6.1 Application and acceptance of certification entrusting
CLIENT must put forward the certification entrusting to the certification body, in an
appropriate way. Certification body shall process the certification entrusting; and
feedback the acceptance or rejection according to the time limit in the certification
implementation detailed-rules.
The CLIENT shall be able to undertake the related quality and legal responsibilities
such as recall, three warranty. The producers (manufacturers) and manufacturing
enterprises of automobile and trailer products, which are entrusted for certification,
shall be able to conduct production normally and meet national laws, regulations, and
requirements of related industries policies.
6.2 Application materials
According to laws, regulations, standards, and the requirements of this Rules, the
certification body shall clarify the checklist of application materials in the certification
implementation detailed-rules. It shall at least include the content required by
Attachment 4 of this Rules.
6.3 Implementation arrangement
The certification body shall agree with CLIENT on the relevant arrangement and
responsibility of both parties in each link of certification implementation. And
according to the situation of manufacturing enterprise and classification management
AND the requirements of this Rules and certification implementation detailed-rules,
DETERMINE the specific program of certification implementation and INFORM
CLIENT. The certification scheme shall include at least the type test requirements and
initial factory inspection requirements (if applicable).
7 Certification implementation
7.1 Type test
7.1.1 Type test plan
The certification body shall formulate type test plan after data review and inform the
CLIENT. The test plan shall be consulted by the CLIENT.
The type test plan includes type test items, sample requirements and quantities, and
laboratory that undertakes type test. The type test shall be undertaken by a laboratory
designated by the CNCA. The CLIENT may choose by itself among the laboratories
designated by the CNCA.
7.1.2 Requirements of type test sample
Typically, CLIENT shall prepare samples according to the requirements of type test
plan and deliver them to the designated laboratory. When necessary, according to the
actual and classification management situation of the manufacturing enterprise, the
certification body may obtain samples by on-site sampling as required by the type test
plan and send them to the designated laboratory.
Sample selection shall be based on the judgment principle that whether this vehicle
model series’ test items are same type. For the items which can be judged as the
same type, it can select one sample; for items which cannot be judged as the same
type, it shall separately select samples; integrate all test samples corresponding to
test items; determine the total sample quantity and requirements. See Attachment 5
for sample quantity and requirements.
7.1.3 Type test items and requirements
Certification body shall confirm the test items jointly with the lab according to the
provisions of this Rules, and in combination with type and purpose of the vehicle the
CLIENT applied for certification.
The test items and regulations of mass-produced vehicles and non-mass-produced
vehicles are shown in Attachment 1-1.Other regulations for parallelly-imported
automobiles are shown in Attachment 1-2.The test items and regulations of single
vehicle certification are shown in Attachment 1-3.
7.1.4 Implementation of type test
After the certification body confirms that the application materials submitted by the
CLIENT are complete and formulates a test plan, the type test is carried out.
Laboratory shall conduct the type test to the samples; shall ensure that the test
conclusions are true and accurate; integrally record the whole test and archive for
retaining, so that the record of test process and results is traceable.
If a test item is unqualified, it is allowed to rectify after analyzing the cause of the
nonconformity. After rectification, it shall conduct the test again. For any items
required for retest, the laboratory shall report the test situation to the certification body,
and the certification body shall reconfirm the test plan.
7.1.4.1 If the manufacturing enterprise has the test conditions required by "China
Compulsory Certification Implementation Rules - Utilization of Manufacturing
Enterprise Testing Resource and Other Certification Results" and certification
standards, the certification body can use the testing resources of manufacturing
enterprise to conduct production on-site sampling test (or witness test). The test
report shall be issued by the designated laboratory. In the certification implementation
detailed-rules, the certification body shall specify the specific requirements and
procedures.
7.1.4.2 For enterprises with the conditions, some items can be carried out by means
of design appraisal. The certification body, together with the CLIENT and the
laboratory, jointly formulate a plan; at the product design stage, use review,
verification, and other methods to confirm the compliance of the design with
certification standards; jointly issue a design appraisal report to be trusted as the
result of type test. The certification body shall carry out design appraisal according to
Attachment 2-1.
7.1.4.3 For the same model of products produced in different production sites under
the same manufacturer, on the premise of ensuring production conformity, simplify the
type test process and reduce the test items of the same part.
7.1.5 Type test report
Certification body shall specify a unified form of the type test report.
After the type test, the laboratory shall promptly issue type test report to the
certification body and CLIENT. The test report shall include description of products
and information related to certification within the application unit. CLIENT shall ensure
that, it is able to provide the complete and valid type test report to certification body
and laws enforcement authorities during the after-certification supervision.
7.2 Initial factory inspection
The initial factory inspection refers to on-site inspection and evaluation conducted, so
that the certification body can confirm the quality assurance capability of the
manufacturing enterprise, product conformity and whether the standard compliance
control conforms to the requirements.
Generally, the initial factory inspection shall be performed after the type test is
qualified. Type test and initial factory inspection can be carried out simultaneously as
needed.
7.2.1 Basic principles
CLIENT and manufacturing enterprise shall establish, implement and continuously
maintain enterprise product conformity and standard compliance control system
according to Attachment 6, so as to ensure that the certified products continuously
meet the certification requirements.
7.2.2 Factory inspection of mass-produced vehicles
Inspection shall be carried out according to the production conformity control plan
review + production conformity factory on-site inspection.
7.2.2.1 Production conformity control plan review
Manufacturing enterprises of mass-produced vehicles shall formulate production
conformity control plan according to the requirements of Attachment 6 in this Rules;
and, submit it to certification body for review. Certification body shall inform CLIENT of
the review results.
7.2.2.2 Production conformity factory on-site inspection
The certification body shall appoint qualified compulsory product certification
inspectors to form an inspection group, to conduct on-site inspections of production
conformity inspections of the manufacturing enterprises. Under normal circumstances,
during the factory inspection, the manufacturing enterprise shall have the products
that have been entrusted for certification in production.
7.2.3 Factory inspection of non-mass-produced vehicles
Inspection shall be carried out according to the factory quality assurance capability
review + product conformity on-site test or inspection.
In case that the non-mass-produced vehicles are refitting vehicles on basis of vehicles
without certificate (including suspension, cancellation and revoke of original basic
vehicle model certificate), the certification body shall combine with refitting items and
additional content to conduct factor inspection against the basic vehicle model
producers and manufacturing enterprises.
Under normal circumstances, during the factory inspection, the manufacturing
enterprise shall have the products that have been entrusted for certification in
production.
7.2.3.1 Factory quality assurance capability and production condition review
According to requirements of Attachment 6 in this Rules, non-mass-produced vehicle
manufacturing enterprises shall have corresponding production and testing condition;
have corresponding quality assurance capability and product conformity control
measures, so as to ensure that factory inspection and product conformity on-site test
or inspection are carried out with corresponding conditions.
7.2.3.2 Product conformity on-site sampling test or inspection
While reviewing the factory quality assurance capability and production condition of
non-mass-produced vehicles, at the factory on-site and other confirmed places such
as storage, shipment, the certification body shall conduct sampling inspections or
tests on the conformity of products.
8 After-certificate supervision
After-certificate supervision refers to the supervision the certification body implements
for the certified manufacturing enterprise and products.
Certification body shall combine classification management and actual situation of the
manufacturing enterprises; clearly define, in the certification implementation
detailed-rules, the specific requirements for selection of after-certification supervision
method.
8.1 After-certification follow-up inspection
8.1.1 Principle of after-certification follow-up inspection
Based on classification management, certification body shall implement the effective
follow-up inspection to the certified product and its manufacturing enterprise, so as to
validate that the quality assurance capability of the manufacturing enterprise
continuously complies with the certification requirements; and ensure that the certified
products are continuously in accordance with standards’ requirements; and maintain
the conformity with type test samples.
8.1.2 Content of after-certification follow-up inspection
Certification body shall formulate specific content as required by follow-up inspection,
in accordance with Attachment 6, under the conditions that the certification risks can
be controlled; and define it in the certification implementation detailed-rules.
8.3 Market sampling test or inspection
8.3.1 Principle of market sampling test or inspection
If it adopts “market sampling test or inspection” to implement the supervision, CLIENT,
producer, and manufacturing enterprise shall cooperate; and confirm the samples that
are sampled from market.
8.3.2 Content of market sampling test or inspection
Certification body shall formulate the content and requirements for market sampling
test or inspection in the implementation detailed-rules. The certification body shall
prepare sampling test scheme according to product characteristics; designate the
personnel to take the samples from certified products that are being sold in market
according to sampling test scheme.
9 Certificate
9.1 Maintenance of the certificate
The certificate is valid for 5 years. Within the valid period, the validity of the certificate
is maintained by depending on the “after-certification supervision” of the certification
body.
If the validity period of the certificate expires and it is necessary to continue to use it,
within 90 days before the validity period of the certificate expires, CLIENT shall put
forward the certification entrusting. If the newest “after-certification supervision”, within
the certificate validity period, is PASS, then certification body shall directly renew the
certificate.
The validity period of the single vehicle certificate is 6 months.
9.2 Content of the certificate
In addition to meeting the items and contents as required by “China Compulsory
Certification Management Regulation”, the certificate shall be accompanied with
annex - indicating the name and serial number of the products, involved in this
certificate, that comply with the standards and certification implementation rules that
are quoted by this Implementation Rules. If certificate has changes, it shall indicate
the version number changed, so as to clearly show the change times of this product.
For multistage manufacturing vehicles, it shall indicate the producers and
manufacturing enterprises of the previous stage and their product model series and
unit information. If the products at the previous stage have obtained compulsory
product certification, it shall indicate that certificate number.
10 Certification mark and vehicle conformity certificate
10.1 Certification mark
The management and use of certification mark shall comply with the provisions of
"Announcement of the CNCA on the Reform of Compulsory Product Certification
Mark" (Announcement No. 10 of 2018 by the CNCA).
For automobiles that have obtained the certificates, the prescribed certification mark
shall be affixed to the upper right corner of the front windshield of the automobile
(according to the driving direction of the automobile). Trailers shall be pasted with the
specified certification mark at obvious place. It shall use the certification mark with
specification of 60mm. For the vehicles certified in multistage, the certification marks
in different stages shall be maintained.
10.2 Product conformity certificate
Producers or manufacturing enterprises shall submit the vehicle conformity
certificate’s parameter and style to certification body according to rules’ requirements.
Style, related requirements and parameters of vehicle conformity certificate are
shown in Attachment 8.Each certified vehicle must be attached with a vehicle
conformity certificate in the accompanying documents, so as to explicitly indicate the
information of certified product to consumers or relevant departments.
11 Charges
The certification body shall formulate charging standards in accordance with national
regulations and publish a list of charging standards.
12 Certification responsibility
The certification body shall be responsible for the certification conclusion. Between
the certification body and the contracted laboratory, the responsibilities and
obligations in all aspects of certification shall be clearly defined.
Certification-related parties shall, in accordance with the requirements of laws and
regulations, bear corresponding responsibilities and obligations for product quality.
13 Certification implementation detailed-rules
According to the principle and requirements of this Implementation Rules, certification
body shall formulate scientific, reasonable and feasible certification implementation
detailed-rules. Certification implementation detailed-rules shall be publicly announced
and implemented, after filed to CNCA. Certification implementation detailed-rules
shall at least include the following contents.
(1) Certification process and time-limit requirements;
(2) Selection of certification mode and related requirements;
(3) Requirements for classification management of manufacturing enterprises.
......
Source: Above contents are excerpted from the full-copy PDF -- translated/reviewed by: www.ChineseStandard.net / Wayne Zheng et al.
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