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CNCA C23-01-2019 (CNCAC23-01-2019)

CNCA C23-01-2019_English: PDF (CNCAC23-01-2019)
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BASIC DATA
Standard ID CNCA C23-01-2019 (CNCA-C23-01-2019)
Description (Translated English) China Compulsory Certification Implementation Rules - Explosion-proof Electrical Products
Sector / Industry China Compulsory Certification (CCC) Implementation Rules
Word Count Estimation 13,172
Date of Issue 2019-07-05
Date of Implementation 2019-10-01
Regulation (derived from) Natural Resources Department Announcement No. 7 of 2019

Standards related to: CNCA C23-01-2019

CNCA-C23-01:2019
CNCA / CCC
Serial No.: CNCA-C23-01:2019
CNCA-C23-01-2019
China Compulsory Certification Implementation Rules -
Explosion-proof Electrical Products
Issued on: July 5, 2019                                          Effective on: October 1, 2019 
Issued by: Certification and Accreditation Administration of the People’s
Republic of China (CNCA)
Table of Contents
0 Introduction ... 3
1 Application scope ... 3
2 Standards for certification ... 3
3 Certification modes ... 4
4 Division of certification units ... 4
5 Certification entrusting ... 5
5.1 Application and acceptance of certification entrusting ... 5
5.2 Application materials ... 5
5.3 Implementation arrangement ... 5
6 Certification implementation ... 5
6.1 Type test ... 5
6.2 Initial factory inspection ... 7
6.3 Certification evaluation and decision ... 7
6.4 Time limit of the certification ... 8
7 After-certification supervision ... 8
7.1 After-certification follow-up inspection ... 8
7.2 Factory on-site sampling test ... 8
7.3 Frequency and time of after-certification supervision ... 9
7.4 Records of after-certification supervision ... 9
7.5 Evaluation on after-certification supervision results ... 9
8 Certificate ... 9
8.1 Maintenance of the certificate ... 9
8.2 Change of products covered by the certificate ... 10
8.3 Extension of products covered by the certificate ... 10
8.4 Certificate’s cancellation, suspension and withdrawal ... 11
8.5 Use of the certificate ... 11
9 Certification marks ... 11
9.1 Mark style ... 11
9.2 Mark application position ... 11
10 Charges ... 12
11 Certification responsibility ... 12
12 Certification implementation detailed-rules ... 12
0  Introduction 
This Rules is established based on the safety risk and certification risk of
explosion-proof electrical products. It stipulates the basic principles and
requirements for the implementation of China Compulsory Certification for
explosion-proof electrical products.
This Rules is used with other 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 Test Resource and Other Certification Results”,
“China Compulsory Certification Implementation Rules - Factory Quality
Assurance Capability Requirements”, and “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 certification requirements.
1 Application scope 
This Rules applies to Class I, Class II, and Class III explosion-proof electrical
products. The product categories include: explosion-proof motors; explosion-
proof electric pumps; explosion-proof power distribution device products;
explosion-proof switch, control and protection products; explosion-proof starter
products; explosion-proof transformer products; explosion-proof electric actuator
and solenoid valve products; explosion-proof plug-in devices; explosion-proof
monitoring products; explosion-proof communication and signal devices;
explosion-proof air conditioning and ventilation equipment; explosion-proof
electric heating products; explosion-proof accessories and Ex components;
explosion-proof instrument and meter products; explosion-proof sensors; safety
barrier products; explosion-proof instrument box products.
Due to the changes in the laws, 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 Standards for certification 
Explosion-proof electrical products are certified in accordance with the
standards applicable to their explosion-proof type. The explosion-proof type of
the product can be one of the following, or a combination of two or more.
No. Explosion-proof type
Basis standards
General
standards Specific standards
1 Flame-proof type “d”
GB3836.1
GB3836.2
2 Increased-safety type “e” GB3836.3
3 Intrinsically-safe type “i” GB3836.4
4 Pressurized-enclosure type “p” GB/T3836.5
5 Liquid-immersion type “o” GB/T3836.6
6 Sand-filled type “q” GB/T3836.7
7 “n” type GB3836.8
8 Encapsulated type “m” GB3836.9
9 Intrinsically-safe type “iD”
GB12476.1
GB12476.4
10 Enclosure-protection type “tD” GB12476.5
11 Encapsulation-protection type “mD” GB12476.6
12 Positive-pressure protection type “pD” GB12476.7
In principle, the current valid versions of above standards that are issued by the
National Standardization Administration shall be executed. When the above
standards are revised, it shall be implemented in accordance with the
requirements of the relevant documents issued by the CNCA.
3 Certification modes 
The basic certification mode of implementing the China Compulsory Certification
for explosion-proof electrical products is:
Type test + initial factory inspection + after-certification supervision
“After-certification supervision” refers to one or a combination of two methods:
after-certification follow-up inspection and factory on-site sampling test.
The certification body shall follow the requirements of “China Compulsory
Certification Implementation Rules - Manufacturing Enterprise Classification
Management, Certification Mode Selection and Determination” to carry out the
classification management to manufacturing enterprise; consider the results of
classification management; determine the method and frequency of after-
certification supervision; may reduce or exempt the initial factory inspection of
the extended product.
4 Division of certification units 
In principle, according to the equipment classification, explosion-proof type,
product type, explosion-proof structure, and safety parameters of explosion-
proof electrical products, the application unit is divided.
For the same product that is of same manufacturer but of different
manufacturing enterprises, or for the same product that is of different
manufacturers and of same manufacturing enterprise, it is possible to only
conduct the type test on the samples of 1 unit. The products of other
manufacturing enterprises / manufacturers shall provide documents for
conformity inspection.
In accordance with the relevant documents issued by the CNCA, the certification
body shall specify the specific requirements for the division of units in the
certification implementation detailed-rules.
5 Certification entrusting 
5.1 Application and acceptance of certification entrusting
The certification client puts forward the certification entrusting to the certification
body. Certification body shall process the certification entrusting; and feedback
the acceptance or rejection according to the time limit in the certification
implementation detailed-rules. [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”]
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 checklist of
application materials in the certification implementation detailed-rules. They shall
include at least the certification application or contract, registration certificates of
CLIENT / manufacturer / manufacturing enterprise, 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 and
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.
6 Certification implementation 
6.1 Type test
6.1.1 Type test plan
Certification body shall formulate the type test plan, after auditing the materials.
And INFORM the CLIENT.
The type test plan includes the requirements and quantity of samples for the
type test, test standard items, laboratory information, etc.
If the CLIENT submits a type test report that meets the requirements when
submitting the certification entrusting, the certification body shall accept it.
6.1.2 Sample requirements of type test
In general, for the sample of type test, representative samples are selected and
sent by the CLIENT according to the requirements of the certification body for
testing. When necessary, certification body may adopt on-site sampling method
to obtain the samples. In the implementation detailed-rules, the certification body
shall specify the relevant requirements for sample sending / sampling of certified
products.
CLIENT shall ensure that the samples provided by it are consistent with the
products actually produced. Certification body and / or laboratory shall inspect
the authenticity of the samples provided by the CLIENT. If laboratory has any
doubt on the authenticity of the samples, it shall explain the situation to
certification body and handle accordingly.
According to relevant documents issued by CNCA, certification body shall, in the
certification implementation detailed-rules, define the “product critical
components and materials checklist” AND relevant requirements.
For critical components and materials within the scope of China Compulsory
Certification purchased in China, the manufacturing enterprise shall provide a
China Compulsory Certification certificate. For critical components and materials
not within the scope of China Compulsory Certification, the certification body
shall, in the certification implementation detailed-rules, specify the conditions
and specific requirements for voluntary certification certificate or type test report
that can be accepted or recognized.
6.1.3 Test items of type test
In principle, it shall include all applicable items specified in product certification
standards.
When there are adjustments to some test items in the standards, it shall be
executed based on the documents issued by CNCA.
6.1.4 Implementation of type test
In principle, the type test shall be completed in the laboratory designated by
CNCA. Laboratory shall conduct the type test to the samples; integrally record
the whole test and archive for retaining, so that the record of test process and
results is traceable.
On the premise of not affecting the validity of certification results, certification
body may, according to "China Compulsory Certification Implementation Rules -
Utilization of Manufacturing Enterprise Test Resource and Other Certification
Results”, formulate the corresponding management procedure. The designated
laboratories delegate the testing personnel, according to the standard’s
requirements, to utilize the manufacturing enterprise testing resource to conduct
test or witness test; and the designated laboratories issue the test reports. The
laboratory shall ensure the authenticity, accuracy, and traceability of the test
conclusion. Certification body shall clearly define the specific requirements and
procedure in certification implementation detailed-rules.
6.1.5 Type test report
Certification body shall specify a unified form of the type test report.
After the type test is completed, the laboratory shall, in time, provide the type
test reports to certification body and CLIENT. The test report shall contain a
description of all products and certification related information in 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.
6.2 Initial factory inspection
The initial factory inspection refers to on-site inspection and evaluation
conducted by the certification body to confirm whether the quality assurance
capability and product conformity control capability of the manufacturing
enterprise conform to the certification requirements. The initial factory inspection
shall be performed after the product type test is qualified. When necessary, it
can also be carried out at the same time as the product type test.
According to “China Compulsory Certification Implementation Rules - Factory
Quality Assurance Capability Requirements” and “China Compulsory
Certification Implementation Rules - Factory Inspection General Requirements”,
based on the characteristics of the product, the certification body shall formulate
specific content such as initial factory inspection requirements; make it clear in
the certification implementation detailed-rules.
The initial factory inspection shall cover all processing sites of the certified
products. When necessary, the certification body may conduct extended
inspections outside the manufacturing enterprise.
6.3 Certification evaluation and decision
The certification body conducts a comprehensive evaluation of the type test and
initial factory inspection conclusions, as well as relevant materials / information,
and makes a certification decision. For those that meet the certification
requirements, a certificate will be issued. If there is an unqualified conclusion,
the certification shall be terminated; the certification body shall not issue the
certificate.
6.4 Time limit of the certification
Certification body shall make specific provisions on the time limit of each link of
the certification; ensure that relevant work is done according to the time limit
requirements. 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.
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 for 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 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.
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
Certification body shall, according to “China Compulsory Certification
Implementation Rules - Factory Quality Assurance Capability Requirements”,
formulate specific content such as after-certification follow-up inspection
requirements, product conformity inspection requirements, and manufacturing
enterprise quality control test requirements; and clarify them clearly in
certification implementation detailed-rules.
7.2 Factory on-site sampling test
7.2.1 Principles of factory on-site sampling test
In principle, factory on-site sampling test shall cover the explosion-proof type
and product category involved in the certified product.
If it adopts “factory on-site sampling test” to implement the after-certification
supervision, then CLIENT, manufacturer and manufacturing enterprise shall
cooperate.
7.2.2 Contents of factory on-site sampling test
Certification body shall specify the specific contents and requirements of factory
on-site sampling test in the certification implementation detailed-rules. The
manufacturing enterprise shall send the samples to be tested to the designated
laboratory.
Certification body may also, according to "China Compulsory Certification
Implementation Rules - Utilization of Manufacturing Enterprise Test Resource
and Other Certification Results”, formulate the corresponding management
procedure; utilize the manufacturing enterprise testing resource to conduct
sampling test (or witness test); and the designated laboratories issue the test
reports.
Certification body shall clearly define the specific requirements and procedure in
certification implementation detailed-rules.
7.3 Frequency and time of after-certification supervision
Based on manufacturing enterprise classification management, certification
body shall adopt different frequency of after-certification supervision to different
types of manufacturing enterprises. The supervision time shall be made in a
reasonable way. Detailed principles shall be specified in the certification
implementation detailed-rules.
7.4 Records of after-certification supervision
Certification body shall record and archive the whole process of after-
certification supervision, so that the certification process and results are
traceable.
7.5 Evaluation on after-certification supervision results
Certification body shall comprehensively evaluate the conclusion of after-
certification supervision 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 Change of products covered by the certificate
After the product is certified, if the critical components and materials used in the
product, the structure and parameters related to explosion-proof safety are
changed, or other matters specified by the certification body in the certification
implementation detailed-rules change, the CLIENT shall submit a change
entrusting to the certification body and obtain approval / complete the record
before implementing the change.
8.2.1 Change entrusting and requirements
Certification body shall clarify the specific requirements of certification change in
certification implementation detailed-rules, including the scope and procedure of
certification change.
For the changes of same-product and same-content that belong to multiple
manufacturing enterprises of the same manufacturer, CLIENT may only submit
once for change entrusting. The certification body shall associate the certificate
involved in the change.
8.2.2 Evaluation and approval of change
Based on the content changes, certification body shall evaluate the information
provided, to determine whether it can approve the changes. If it requires sample
testing and / or factory inspection, it shall approve the change after the testing
and / or inspection is PASS. In principle, it shall use the original representative-
model samples that were conducted for full type test AS the basis of change
evaluation.
8.2.3 Change filing
For the changes of critical components and materials used in the product and
structures and parameters related to explosion-proof safety, under the condition
that it is unnecessary to provide sample for test, it may be determined and
approved by the certification technical responsible person of the manufacturing
enterprise who has been recognized by the certification body. The relevant
records shall be preserved and filed to the certification body. Certification body
shall conduct the verification when it conducts after-certification supervision; if
necessary, conduct the verification test.
The certification body shall clearly clarify the relevant requirements to
certification technical responsible person in certification implementation detailed-
rules.
8.3 Extension of products covered by the certificate
When CLIENT needs to extend the product scope that are covered by the
obtained certificate, it shall put forward the certification entrusting of product
extension to certification body.
According to the relevant technical information of extended products provided by
CLIENT, certification body shall verify the differences between the original
certified product and extended products; determine the validity of the original
certification results to the extended products; conduct the supplementary test for
the differences or check the factory on-site products. If the verification is PASS,
certification body shall issue the independent certificate or change-issue a
certificate, according to the requirements of CLIENT.
In principle, it shall use the original representative-model samples that were
conducted for full type test AS the basis of extension evaluation.
8.4 Certificate’s cancellation, suspension and withdrawal
The suspension, cancellation and withdrawal of certificates shall be
implemented in accordance with "China Compulsory Certification Management
Regulations", "Compulsory product certificate cancellation, suspension and
withdrawal implementation rules", and relevant regulations of the certification
body. Certification body shall determine the classification and scope of the
product that does not comply with the certification requirements; and adopt
appropriate way to publicly announce the certificate which is cancelled,
suspended, or withdrawn.
8.5 Use of the certificate
Use of the certificate shall comply with the requirements of "China Compulsory
Certification Management Regulations".
9 Certification marks 
The management and use of certification marks shall comply with the provisions
of " China Compulsory Certification mark management method".
9.1 Mark style
The style of certification mark of products covered by this Rules is shown in the
figure below:
9.2 Mark application position
The uniformly-printed standard specification CCC mark must be placed on the
obvious position of the certified product body. If the CCC mark is printed /
molded, the CCC mark shall be printed or molded on the nameplate or the
obvious position of the product body. If the CCC mark cannot be applied to the
body, the CCC mark must be applied to the smallest package of the product and
in the accompanying documents.
10 Charges 
The certification fee is charged in accordance with the China Compulsory
Certification fee standard published by the certification body and the laboratory.
11 Certification responsibility 
Certification body shall be responsible for the certification conclusion made by it.
Laboratory shall be responsible for the test results and test reports.
Certification body and  the factory inspector appointed by it shall be responsible
for the factory inspection conclusion.
CLIENT shall be responsible for the submitted entrusting materials and samples’
authenticity and legality.
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) Details and relevant requirements of unit division;
(4) Classification management requirements of manufacturing enterprise;
(5) Certification entrusting materials and relevant requirements;
(6) Requirements for sample test (including the requirements for type test,
factory on-site sampling test, test by utilizing testing resources of
manufacturing enterprise);
(7) Initial factory inspection and after-certification supervision requirements
(including coverage requirements of factory inspection, enterprise quality
assurance capability and product conformity inspection requirements,
manufacturing enterprise quality control test requirements, quality control
test requirements for critical components and materials, factory inspection
requirements of ODM / OEM mode, supervision frequency, sampling test
or inspection related requirements, etc.);
(8) Requirements for certification change (including change version of
standard);
(9) Critical components and materials list;
(10) Requirements for certification technical responsible person;
(11) Charge basis and relevant requirements;
(12) Procedures and time limits requirements about technical dispute and
appeal.
__________ END __________
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