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CNCA 00C-007-2014 English PDF (CNCA00C-007-2014)

CNCA 00C-007-2014 English PDF (CNCA00C-007-2014)

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CNCA 00C-007-2014: Compulsory Product Certification and Implementation Rules - Information Submission, Transmission and Disclosure

This Implementation Rules is applicable to the submission, transmission and disclosure of relevant information among all relevant parties of CCC certification, such as compulsory product designated certification bodies, laboratories, CCC certification mark management centers, certification and accreditation associations, and local quality inspection bureaus.
CNCA 00C-007-2014
Serial No.: CNCA-00C-007
CNCA-00C-007
Compulsory Product Certification and Implementation
Rules - Information Submission, Transmission and
Disclosure
ISSUED ON: JANUARY 8, 2014
IMPLEMENTED ON: JANUARY 8, 2014
Issued by: Certification and Accreditation Administration of the People's Republic of China
Table of Contents
1. Introduction ... 4
2. Scope of application ... 4
3. Terms and definitions ... 4
4. CCC certification information submission ... 5
4.1 CCC quality basic information ... 5
4.2 CCC product quality supervision information ... 6
4.3 CCC certified product quality risk information ... 6
5. CCC certification information transmission ... 6
6. CCC certification information disclosure ... 7
Attachment 1 CCC quality analysis data ... 8
Attachment 2 Test quality evaluation data of designated laboratory ... 19 Attachment 3 CCC product quality supervision information ... 20
Attachment 4 Content of CCC certification information transmission ... 21 Attachment 5 Content of CCC information disclosure ... 22
1. Introduction
In accordance with the requirements of "Regulations on the Administration of Compulsory Product Certification" (Order No.117 of the AQSIQ); in order to improve the working mechanism of CCC certification data information submission, transmission and disclosure; and to standardize the information submission, transmission and disclosure of designated certification bodies, laboratories, certification and accreditation associations, and local quality inspection bureaus; this Rules is specially formulated.
2. Scope of application
This Implementation Rules is applicable to the submission, transmission and disclosure of relevant information among all relevant parties of CCC certification, such as compulsory product designated certification bodies, laboratories, CCC certification mark management centers, certification and accreditation associations, and local quality inspection bureaus. 3. Terms and definitions
3.1 CCC quality basic information
It refers to various quality basic information related to CCC certification, which is used to grasp the overall situation and quality level of the implementation of CCC certification, analyze and find problems and risk factors in the implementation of the system, and to further improve the certification system. It mainly includes:
1) CCC certification certificate data
2) CCC quality analysis data
??? CCC certification acceptance and CB certificate conversion data
??? Type test and supervision sampling test data
??? CCC factory inspection data
??? CCC certification certificate and certified enterprise data
??? CCC certification mark data
??? CCC factory inspector data
3) Test quality evaluation data of designated laboratory
3.2 CCC product quality supervision information
The test quality evaluation data of designated laboratory shall be submitted by the designated certification body to the Certification Supervision Department of CNCA every quarter. The submission time is before the 15th of the first month after the quarter. The data statistical period is the data/information of the previous quarter. For details of the submitted content, refer to Attachment 2.
4.2 CCC product quality supervision information
CCC product quality supervision information is submitted by the designated certification body to the local quality inspection bureaus. The content of the submission mainly includes the information such as CCC certified factory inspection plan, certificate suspension, withdrawal, and cancellation. For details of the submitted content, refer to Attachment 3. The factory inspection plan data is submitted through the CCC certificate law enforcement inquiry system. It is reported once a week.
The information such as certificate suspension, withdrawal, and cancellation shall be directly submitted to the local quality inspection bureaus by the designated certification body. It shall be reported once a month.
4.3 CCC certified product quality risk information
CCC certified product quality risk information is submitted by the local quality inspection bureaus. The submitted content mainly includes the results of the provincial-level supervision and spot check of certified products, the product spot check nonconformity information, the quality safety accidents of the certified products and other information, and the CCC exemption data.
CCC exemption data is submitted through the "Management Information System for Exemption from Compulsory Product Certification" of CNCA.
In accordance with "Notice of the CNCA on Strengthening Compulsory Product Certification Risk Information Analysis and Early Warning Work" [No.97 (2012) of the CNCA], CCC certified product quality risk information is submitted in real time through the CCC certification risk information early warning notification channel.
5. CCC certification information transmission
CCC certification information transmission refers to the transmission of certificate status information of the same product category between designated certification bodies. Through the transmission of information between designated certification bodies, strengthen the exchange of CCC certification implementation work; unify certification standards; strictly enforce certification behaviors; ensure orderly competition.
The information transmitted between designated certification bodies mainly includes Attachment 1 CCC quality analysis data
1. CCC certification acceptance and CB certificate conversion data
1.1 Number of new applications
The sum of the number of first applications and re-evaluation applications for all enterprises in the same sub-category of products during the statistical period.
1.2 Number of application changes
The sum of the number of applications for the expansion and contraction of certification units and for the change of certificate information for all enterprises in the same sub- category of products during the statistical period.
1.3 Total number of applications accepted
The sum of the number of new applications and the number of application changes. 1.4 Number of certificates issued directly with CB report
The number of certificates issued directly based on the CB report for the same sub- category of products during the statistical period.
1.5 Number of certificates issued with supplementary difference test
The number of certificates issued on the basis of supplementary difference test for the same sub-category of products based on the results of the CB report during the statistical period.
1.6 Total number of certificates issued using CB results
The sum OF the number of certificates issued directly with CB report AND the number of certificates issued with supplementary difference test.
2. Type test and supervision sampling test data
2.1 Number of type tests passed at one time
The number of type tests of the same sub-category of products that passes the first inspection during the statistical period.
2.2 Number of type test failures at one time
The number of type tests of the same sub-category of products that fails in the first inspection during the statistical period.
foreign) [Translator note: 2.12 is not existed]
The sum OF number of type test reports issued AND number of supervision sampling inspection reports issued.
3. CCC factory inspection data
3.1 Overall situation of factory inspection
3.1.1 Number of factory inspections
The sum of the number of domestic (foreign) factory inspections for the same sub-category of products during the statistical period.
3.1.2 Number of passes
The sum of the number of domestic (foreign) factory inspections passed at one time, passed after written verifications, and passed after on-site verifications, for the same sub- category of products during the statistical period.
3.1.3 Number of passes after written verifications
The sum of the number of domestic (foreign) factory inspections passed after written verifications, for the same sub-category of products during the statistical period. 3.1.4 Number of passes after on-site verifications
The sum of the number of domestic (foreign) factory inspections passed after on-site verifications, for the same sub-category of products during the statistical period. 3.1.5 Number of failures
The sum OF the number of direct failures in domestic (foreign) factory inspections AND the number of failures after rectification, for the same sub-category of products during the statistical period.
3.1.6 Number of domestic inspections
The sum of the number of domestic factory inspections for the same sub-category of products during the statistical period.
3.1.7 Number of foreign inspections
The sum of the number of foreign factory inspections for the same sub-category of products during the statistical period.
3.2??Initial inspection
inspections, for the same sub-category of products first applying for certification during the statistical period.
3.3 After-certification follow-up inspection
3.3.1 Number of after-certification follow-up inspections
The sum of the number of domestic (foreign) after-certification follow-up inspections for the same sub-category of products during the statistical period.
3.3.2 Number of passes
The sum of the number of domestic (foreign) after-certification follow-up inspections passed at one time, passed after written verifications, and passed after on-site verifications, for the same sub-category of products during the statistical period.
3.3.3 Number of passes after written verifications
The sum of the number of domestic (foreign) after-certification follow-up inspections passed after written verifications, for the same sub-category of products during the statistical period.
3.3.4 Number of passes after on-site verifications
The sum of the number of domestic (foreign) after-certification follow-up inspections passed after on-site verifications, for the same sub-category of products during the statistical period.
3.3.5 Number of failures
The sum OF the number of direct failures in domestic (foreign) after-certification follow-up inspections AND the number of failures after rectification, for the same sub-category of products during the statistical period.
3.3.6 Number of batches for supervision sampling test
The sum of the number of batches for??sampling test in domestic (foreign) after-certification follow-up inspections, for the same sub-category of products during the statistical period. 3.3.7 Number of batches for qualified supervision sampling test
The sum of the number of batches for qualified sampling test result in domestic (foreign) after-certification follow-up inspections, for the same sub-category of products during the statistical period.
3.3.8 Clause name and proportion of the top three of the number of non- conformance items in the follow-up inspection
3.4.7 Final failure rate of flight inspection
The percentage OF the sum of number of failures at one time in domestic (foreign) flight inspections and number of failures after rectification TO the total number of flight inspections, for the same sub-category of products during the statistical period. 4. CCC certification certificate and certified enterprise data
4.1 Statistics according to product category
4.1.1 Number of issued ODM certificates
The total number of ODM certificates issued for the same sub-category of products during the statistical period.
4.1.2 Number of suspended certificates
The total number of suspended certificates for the same sub-category of products during the statistical period.
4.1.3 Number of factories suspended due to quality factors
The total number of factories, suspended due to Note 1, for the same sub-category of products during the statistical period.
4.1.4 Number of certificates suspended due to quality factors
The total number of certificates, suspended due to Note 1, for the same sub-category of products during the statistical period.
4.1.5 Number of factories suspended due to factory's own reasons
The total number of factories that have applied for and been approved due to the enterprise's own reasons, for the same sub-category of products during the statistical period.
4.1.6 Number of certificates suspended due to the factory's own reasons The total number of suspended certificates that have been applied for and approved due to the enterprise's own reasons, for the same sub-category of products during the statistical period.
4.1.7 Number of withdrawn certificates
The total number of withdrawn certificates for the same sub-category of products during the statistical period.
4.1.8 Number of factories whose certificates have been withdrawn due to quality structure and quality assurance system of the manufacturer have undergone major changes. But the certification client has not applied to the certification body for change approval or filing.
Note 2: Withdrawal due to quality factors
(1) At the expiration of the suspension period of certification certificate, the certification client fails to submit an application for certification certificate restoration, fails to take rectification measures, or is still nonconformity after rectification;
(2) The key components, specifications and models of the certified product, as well as the design, structure, process, and important material/raw material manufacturing enterprises involved in the safety of the whole machine or electromagnetic compatibility have changed; causing serious safety hazards in the product;
(3) The follow-up inspection result of the certification body proves that, the factory's quality assurance capability has serious defects;
(4) The certification client provides false samples. The certified product is inconsistent with the type test sample;
(5) The certification client/relevant party violates national laws and regulations. The results of national- or provincial-level supervision and spot check prove that, the product has serious defects; product safety test items are
nonconformity; or there are serious problems with conformity;
(6) Defects in certified products cause quality safety accidents;
(7) After the certification certificate is suspended due to the provisions of 5.1 (5) and (6), it still refuses to accept the supervision inspection or supervision sampling test; or still does not cooperate in taking samples from the market or sales premises for testing;
(8) The certification client/relevant party fails to use the certification certificate or certification mark in accordance with the regulations; leases, lends or transfers the certification certificate or certification mark; and the circumstances are serious;
(9) Falsification. Use improper means, such as fraud, bribery, to obtain certification certificate. Or, there are other serious violations of laws and regulations, which directly affect the validity of the certification results.
4.2 Statistics according to geographical distribution (statistics of domestic provinces, autonomous regions and municipalities directly under the Central Government, Hong Kong, Attachment 2 Test quality evaluation data of
designated laboratory
1. Total number of test reports
The total number of test reports issued for all products in the CCC catalog during the statistical period, using the designated laboratory as the unit.
2. Number of reports with only general problems
The total number of reports with general problems in the test reports issued for all products in the CCC catalog during the statistical period, using the designated laboratory as the unit. General problems refer to non-technical information and text errors.
3. Number of general errors in test reports
The number of general problems in the test reports issued for all products in the CCC catalog during the statistical period, using the designated laboratory as the unit. 4. Number of serious errors in test reports
The number of serious errors in the test reports issued for all products in the CCC catalog during the statistical period, using the designated laboratory as the unit. Serious errors refer to technical errors other than general problems.
5. General error rate of test report
The percentage OF number of reports with only general problems in the test reports issued for all products in the CCC catalog TO the total number of test reports, during the statistical period, using the designated laboratory as the unit.
Attachment 4 Content of CCC certification
information transmission
1. Information on the suspension and withdrawal of certificates
1.1 Certificate suspension information
Information on the suspension of the certificate by the certification body, which includes the number of the suspended certificate, product name and specification model, suspension reason, and suspension time, etc.
1.2 Certificate withdrawal information
Information on the withdrawal of the certificate by the certification body, which includes the number of the withdrawn certificate, product name and specification model, withdrawal reason, and withdrawal time, etc.
1.3 Certificate cancellation information
Information on the cancellation of the certificate by the certification body, which includes the number of the cancelled certificate, product name and specification model, cancellation reason, cancellation time, etc.
2. Information on the preparation/revision of the certification implementation detailed-rules of designated certification body
3. Information on the quality risk of certified products
Quality risk information on product quality safety accidents, quality assurance capabilities of the manufacturer, and corporate integrity, etc., which is discovered by the certification body during the implementation of CCC certification or obtained and verified through other channels.

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