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CNCA C11-20-2020

Chinese Standard: 'CNCA C11-20-2020'
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BASIC DATA
Standard ID CNCA C11-20-2020 (CNCA-C11-20-2020)
Description (Translated English) Compulsory product certification implementation rules -- Autobomile brake lining
Sector / Industry China Compulsory Certification (CCC) Implementation Rules
Classification of Chinese Standard CNC
Word Count Estimation 23,253
Date of Issue 5/29/2020
Date of Implementation 6/1/2020
Administrative Organization National Certification and Accreditation Administration Committee
Summary This rule is based on the safety risk and certification of automotive brake lining products, and specifies the basic principles and requirements for implementing strong product certification for automotive brake linings.

CNCA-C11-20:2020
CNCA / CCC
Serial No.: CNCA-C11-20:2020
Compulsory product certification implementation rules -
Automobile brake lining
强制性产品认证实施规则
汽车用制动器衬片
ISSUED ON: MAY 29, 2020
IMPLEMENTED ON: JUNE 01, 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 Certification standards ... 4 
3 Certification modes ... 5 
4 Division of certification units ... 5 
5 Certification entrusting ... 6 
5.1 Application and acceptance of certification entrusting ... 6 
5.2 Application materials ... 6 
5.3 Implementation arrangement ... 6 
6 Certification implementation ... 7 
6.1 Type test ... 7 
6.1.1 Type test plan ... 7 
6.1.2 Sample requirements of type test ... 7 
6.1.3 Items of type test... 7 
6.1.4 Implementation of type test ... 7 
6.1.5 Type test report ... 7 
6.2 Initial factory inspection ... 8 
6.2.1 Basic principles ... 8 
6.2.2 Production conformity control plan review ... 8 
6.2.3 Production conformity factory on-site inspection ... 8 
6.3 Certification evaluation and decision ... 9 
6.4 Time limit of the certification ... 9 
7 After-certification supervision ... 10 
7.1 After-certification follow-up inspection ... 10 
7.1.1 Principles of after-certification follow-up inspection ... 10 
7.1.2 Content of after-certification follow-up inspection ... 10 
7.2 Factory on-site sampling test ... 10 
7.2.1 Principles of factory on-site sampling test ... 10 
7.2.2 Content of factory on-site sampling test ... 11 
7.3 Market sampling test ... 11 
7.3.1 Principles of market sampling test ... 11 
7.3.2 Content of market sampling test ... 11 
7.4 Frequency and time of after-certification supervision ... 11 
7.5 Records of after-certification supervision ... 11 
7.6 Evaluation of after-certification supervision results ... 12 
8 Certificate ... 12 
8.1 Maintenance of the certificate ... 12 
8.2 Content of the certificate ... 12 
8.3 Change of the certificate ... 12 
8.4 Certificate’s cancellation, suspension and withdrawal ... 13 
8.5 Use of the certificate ... 13 
9 Certification marks ... 13 
10 Charges ... 13 
11 Certification responsibility ... 14 
12 Certification implementation detailed-rules ... 14 
Attachment 1: Product description of automobile brake lining ... 15 
Attachment 2: Production conformity requirements ... 17 
0 Introduction
According to the relevant requirements of the “Decision of State Council on Adjusting
the Catalogue of Industrial Product Production License Management and
Strengthening Interim and Ex-post Supervision” (No. 19 [2019] by State Council), the
management of automobile brake lining products has been transferred from
production license management to compulsory product certification management.
This Rules is developed in accordance with laws and administrative regulations such
as “Regulations of the People's Republic of China on Certification and Accreditation”,
“China Compulsory Certification Management Regulations”.
This Rules is established based on the safety risk and certification risk of automobile
brake lining products. It stipulates the basic principles and requirements for
implementation of compulsory product certification of automobile brake linings.
This Rules is used in conjunction with the general implementation rules issued by
Certification and Accreditation Administration (CNCA), such as “China Compulsory
Certification Implementation Rules - Manufacturing Enterprise Classification
Management, Certification Mode Selection and Determination”, “China Compulsory
Certification Implementation Rules - Utilization of Manufacturing Enterprise Testing
Resource and Other Certification Results”, “China Compulsory Certification
Implementation Rules - Factory Inspection General Requirements”.
The certification body shall, according to the general implementation rules and the
requirements of this Rules, prepare the certification implementation detailed-rules;
and, implement it together with the general implementation rules and this Rules.
Manufacturing enterprise shall ensure that the certified products produced can
continue to meet the requirements of the certification and applicable standards.
1 Application scope
This Rules applies to automobile brake lining (hereinafter referred to as lining).
Due to the changes in the law, regulations or related product standards, technology,
industry policies and other causes which may change the applicable scope, the
announcement released by CNCA shall be final and conclusive.
2 Certification standards 
Basis standard GB 5763 “Brake linings for automobiles”
key component / raw material supplier), or the same product produced by different
producers (manufacturers) and the same manufacturing enterprise, type tests on
samples of only one unit may be considered. For the products of other producers
(manufacturers) / manufacturing enterprises, it is necessary to provide information for
conformity verification. Based on the classification management of manufacturing
enterprises, the certification body may appropriately relax the unit division of
manufacturing enterprises with higher classification management levels.
5 Certification entrusting 
5.1 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.
When it does not comply with national laws and regulations AND relevant industry
policies, the certification body must not accept the certification entrusting.
5.2 Application materials
The certification body shall, in accordance with the laws and regulations, standards,
and the needs of certification implementation, specify the certification entrusting
materials in the certification implementation detailed-rules. They shall include at least
the certification application or contract, registration certificates of the CLIENT,
producer, and manufacturing enterprise, “Product description of automobile brake
lining” (Attachment 1), “Production conformity control plan” (written in accordance with
Attachment 2), etc.
CLIENT shall provide the required materials according to the requirements of
application material checklist in certification implementation detailed-rules.
Certification body is responsible for auditing, managing, preserving and keeping
confidential of the relevant materials, and shall inform the CLIENT of the material
auditing results.
5.3 Implementation arrangement
The certification body shall agree with CLIENT on the relevant responsibility
arrangement 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.
Certification body shall specify a unified form of the type test report.
After the type test is completed, the laboratory shall promptly issue a type test report
to the CLIENT and certification body. 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.
6.2 Initial factory inspection
The initial factory inspection is the certification body's evaluation of whether the
factory's production conformity control system can meet the certification requirements.
It is carried out according to the production conformity control plan review +
production conformity factory on-site inspection.
Note: The factory in this Implementation Rules involves CLIENT, producer
(manufacturer), and manufacturing enterprise (factory).
6.2.1 Basic principles
The factory shall, in accordance with the requirements of Attachment 2 of this Rules,
establish, implement, and continuously maintain its production conformity control
system, to ensure that the certified products continue to meet the certification
requirements.
The certification body shall conduct a compliance inspection of the factory's
production conformity control system. In principle, the initial factory inspection shall be
completed within one year after passing the type test; otherwise the product type test
shall be repeated.
6.2.2 Production conformity control plan review
The factory shall formulate a production conformity control plan in accordance with
the requirements of Attachment 2 and submit it to the certification body for review. The
certification body shall inform the factory of the audit results.
If the production conformity control plan can meet the requirements of Attachment 2 of
this Rules, the review of the production conformity control plan is passed. If the
certification body believes that the production conformity control plan does not meet
the requirements, the factory shall make corrections and resubmit. The certification
body will inform the factory of the audit results after re-audit.
After the review of the production conformity control plan formulated by the factory is
passed, the certification body shall, according to it, prepare the production conformity
factory on-site inspection plan. The plan shall include the products, site and scope of
inspection.
6.2.3 Production conformity factory on-site inspection
The CLIENT must actively cooperate with the certification activity. In general, within
90 days since the certification entrusting is accepted, certificate will be granted to
CLIENT.
7 After‐certification supervision 
After-certification supervision refers to the supervision carried out by the certification
body on the certified product and its manufacturing enterprise, including the random
combination of after-certification follow-up inspection of all certified products and
processing sites, factory on-site sampling test, and market sampling test methods.
Certification body shall consider the classification management and actual situation of
the manufacturing enterprise; clarify the specific requirements for selecting the
method of after-certification supervision in certification implementation detailed-rules.
7.1 After-certification follow-up inspection
7.1.1 Principles of after-certification follow-up inspection
Based on manufacturing enterprise 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 can continuously comply 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.
The after-certification follow-up inspection shall be carried out in the normal
production of the manufacturing enterprise, preferably by way of not notifying the
party to be inspected in advance. For those products that are not continuously
manufactured, CLIENT shall provide the relevant production plan to certification body,
so that the after-certification follow-up inspection can be conducted effectively.
7.1.2 Content of after-certification follow-up inspection
The certification body shall, under the principle of ensuring that the certification risk is
controllable, in accordance with Attachment 2, formulate the specific content of the
requirements of after-certification follow-up inspection; and, make it clear in the
certification implementation detailed-rules.
7.2 Factory on-site sampling test
7.2.1 Principles of factory on-site sampling test
If it adopts “factory on-site sampling test” to implement the after-certification
supervision, then CLIENT, producer (manufacturer), and manufacturing enterprise
shall cooperate.
7.6 Evaluation of after-certification supervision results
Certification body shall comprehensively evaluate the conclusion of follow-up
inspection; conclusion of sampling test; and relevant materials / information. If the
evaluation is PASS, it may continue to maintain the certificate and use of certification
mark. If the evaluation is Not-PASS, certification body shall suspend or revoke the
certificate according to the corresponding situations; and announce it publicly.
8 Certificate 
8.1 Maintenance of the certificate
This Rules covers the 5-year validity period of product certificate. Within the validity
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 after receiving the certification entrusting.
8.2 Content of the certificate
If the content of the certificate is marked on the certified product and its sales package,
it shall be consistent with the content of the certificate.
8.3 Change of the certificate
After obtaining the certificate, if the content on the certificate changes; or when the
certified product has technical changes (design, structural parameters, key
components / raw materials, etc.) that affect the compliance of the relevant standards;
or when the factory changes the production conformity control plan, production
conditions, etc., which may affect the production conformity; or when other matters
specified by the certification body in the certification implementation detailed-rules are
changed, the CLIENT shall submit a request for change to the certification body. The
change can be implemented only after the certification body has approved it.
The certification body shall evaluate the information provided according to the content
of the change; determine whether the change can be approved. If sample testing and
/ or factory inspection are required, the change can only be approved after the testing
and / or inspection are qualified. Sample testing can use the testing resources of the
manufacturing enterprise; the conditions and requirements are the same as those in
7.2.2 of this Rules.
If the requirements are met, the change will be approved. If a new certificate is
11 Certification responsibility 
The certification body shall be responsible for the certification conclusion. The
certification body and the contracted laboratory shall clarify the responsibilities and
obligations in each link of certification.
Certification related parties shall, in accordance with laws and regulations, bear
corresponding responsibilities and obligations for product quality.
12 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 procedure and time limit requirements;
(2) Selection of certification mode and relevant requirements;
(3) Classification management requirements of manufacturing enterprise;
(4) Certification entrusting materials and relevant requirements;
(5) Requirements for type test (including factory on-site or market sampling test
requirements);
(6) Requirements for initial factory inspection;
(7) Requirements for after-certification supervision;
(8) Requirements for the implementation of test utilizing testing resources of
manufacturing enterprise and utilization of other certification results;
(9) Requirements for certification change (including change version of standard);
(10) Critical components and raw materials list and relevant requirements;
(11) Charge basis and relevant requirements;
(12) Procedures and time limits requirements about technical dispute and appeal.
Attachment 2: Production conformity requirements
The factory shall ensure that the certified products produced in batches continue to
comply with the requirements of this Rules and relevant laws, regulations and
standards.
Note: The factory in this Implementation Rules involves CLIENT, producer
(manufacturer), and manufacturing enterprise.
1 The production conformity inspection is to, through the production conformity control
plan review and the factory on-site inspection (initial and supervision), confirm the
conformity of the mass-produced certified products with type test samples, and the
compliance with the certification standards.
2 The production conformity control plan is a documented regulation formed by the
factory to ensure the production conformity of mass-produced certified products. It
shall include:
2.1 The factory shall establish documented regulations, to ensure that the
mass-produced certified products are consistent with the type test samples; ensure
that the certification marks are properly kept and used.
2.2 In accordance with the implementation rules, the factory shall formulate
documented regulations on the content, method, frequency, deviation range, result
analysis, record and preservation of necessary tests or related inspections for certified
products. And in accordance with the certification standards, it shall identify key
components, raw materials and key manufacturing processes, assembly processes,
inspection processes and determine their control requirements. For necessary tests
or related inspections that are not carried out on the factory on-site, as well as key
components, raw materials and key manufacturing processes, assembly processes,
and inspection processes that are controlled, they shall be specifically listed in the
plan; the actual department and location of the control shall be stated. For items
specified in the certification standards for production conformity control, the factory's
control regulations must not be lower than the standard requirements.
2.3 The factory's regulations and requirements for equipment and personnel for
product tests or related inspections involved in 2.2.
2.4 The factory's relevant regulations on the change, declaration and implementation
of the production conformity control plan.
2.5 When the factory finds inconformity in the products, how to implement the relevant
regulations on taking all necessary measures under the supervision of the certification
body for restoring the conformity of production as soon as possible.
Appendix 1: Factory quality assurance capability requirements
The factory is the main body responsible for product quality. Its quality assurance
capabilities shall continue to meet the certification requirements. The products
produced shall meet the standard requirements. It shall be ensured that the certified
products are consistent with the type test samples. The factory shall accept and
cooperate with the various factory on-site inspections and sampling tests, carried out
by the certification body in accordance with this Implementation Rules and relevant
product certification implementation rules / detailed-rules.
1 Responsibilities and resources
1.1 Responsibilities
The factory shall stipulate the responsibilities, authorities and mutual relations of
various personnel related to certification requirements. Furthermore, it shall designate
a person in charge of quality in the management of the organization. Regardless of
the responsibilities of the member in other aspects, he or she shall have the following
responsibilities and authorities:
(a) Ensure that the requirements of this document are effectively established,
implemented and maintained in the factory;
(b) Ensure product conformity and product compliance with standards;
(c) Use the CCC certificate and mark correctly, to ensure that the certificate status
of the products with the CCC mark continues to be valid.
The person in charge of quality shall have sufficient ability to be competent for the job.
The person in charge of quality may also serve as the person in charge of certification
technique.
For the production operations on all shifts, personnel who ensure product quality shall
be designated.
The person in charge of product quality shall have the right to stop production in order
to correct quality problems.
1.2 Resources
The factory shall be equipped with necessary production equipment, inspection and
test equipment, to meet the needs of stable production of products that meet the
requirements of the certification rules; shall be equipped with corresponding human
resources, to ensure that personnel engaged in work that affects the quality of product
certification have the necessary capabilities; and, shall establish and maintain the
3.2 Quality control of key parts
3.2.1 The factory shall establish and maintain a documented procedure, which shall
include inspection items, methods, frequency and determination criteria. At the time of
purchase (entry), it shall complete the verification and / or inspection of the technical
requirements for the purchase of key parts AND keep relevant records.
3.2.2 With regard to the quality characteristics of the purchased key parts, the factory
shall choose an appropriate control method, to ensure that the technical requirements
for the key parts are continuously met, and the final product meets the certification
requirements, and relevant records are kept. Appropriate control methods may
include:
(a) For obtaining the CCC certificate or the voluntary product certification result that
can be recognized by the compulsory certification of the final product, the
factory shall ensure the validity of its certificate status.
(b) For the key parts that have not obtained the relevant certificates, their regular
confirmation and inspection shall meet the requirements of the product
certification implementation rules / detailed-rules.
(c) The factory makes its own control plan; its control effect is not lower than the
requirements of (a) or (b).
3.2.3 When purchasing key parts from distributors and traders, the factory shall take
appropriate measures, to ensure the conformity of the key parts purchased and its
technical requirements are continuously met.
For the key parts, components, sub-assemblies, assemblies, semi-finished products,
etc., produced by the entrusted subcontractor, the factory shall control according to
purchased key parts, to ensure that the subcontracted products continue to meet the
specified requirements.
For self-produced key parts, control according to clause 4.
4 Production process control
4.1 Process preparation
4.1.1 The factory shall identify and confirm the key production procedures (processes).
The operators of the key procedures shall have the corresponding ability. If the quality
of the products cannot be guaranteed without documentary regulations for the
procedure, the corresponding procedure operation instructions shall be formulated to
make the production process subject to control.
4.1.2 Carry out process research on key production processes, to verify process
capabilities and provide input for process control.
shall ensure that the capabilities of the external institutions meet the calibration or
verification requirements and the relevant capability evaluation results are kept.
Note: For the key monitoring and measuring devices in the production process control,
the factory shall manage them according to the requirements of the product
certification implementation rules / detailed-rules.
5.3 Laboratory management
The factory shall define the test scope of internal laboratory, including the ability to
perform inspection, test or calibration services.
The external / commercial / independent laboratories that provide inspection, test or
calibration services for factories shall have a defined scope, including the inspection,
test or calibration services capable of being performed.
6 Control of nonconforming products
6.1 For nonconforming products found during the links such as purchase,
manufacturing, and inspection, the factory shall take measures such as identification,
isolation, and disposal, to avoid unintended use or delivery of nonconforming
products.
The factory shall formulate instructions for rework and repair operations. The content
shall include that the repaired and reworked products need to be re-tested. The repair
of important parts or components shall be recorded accordingly.
Products with unidentified or suspicious status shall be classified as nonconforming
products.
Waste products must be controlled in a similar way to nonconforming products.
Records of disposal of nonconforming products shall be kept.
6.2 For recalls, national and provincial supervision and spot checks, product recalls,
customer complaints and claims, and other certified product nonconforming
information from outside, the factory shall analyze the reasons for the nonconformity
and take appropriate corrective measures. The factory shall keep records of
nonconformit......
Related standard: CNCA C11-16-2018    CNCA C11-15-2017
Related PDF sample: CNCA C11-11-2014    CNCA C11-12-2014