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CNCA C11-01-2020 English PDF (CNCAC11-01-2020)

CNCA C11-01-2020 English PDF (CNCAC11-01-2020)

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CNCA C11-01-2020: Compulsory product certification implementation rules -- Automobile

This Rules is established based on the safety risk and certification risk of automobile products; stipulates the basic principles and requirements for compulsory certification of all vehicles within its scope of application. Its purpose is to ensure that certified vehicles continue to comply with laws, regulations, and standards.
CNCA-C11-01:2020
CNCA / CCC
Serial No.: CNCA-C11-01:2020
CNCA-C11-01-2020
Compulsory product certification implementation rules -
Automobile
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
0??Introduction
This Rules is established based on the safety risk and certification risk of automobile products; stipulates the basic principles and requirements for compulsory certification of all vehicles within its scope of application. Its purpose is to ensure that certified vehicles continue to comply with laws, regulations, and standards.
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?€?.
According to the general implementation rules and the requirements of this Rules, the certification body shall prepare the certification implementation detailed-rules; and, implement it together with the general implementation rules and this Rules. The manufacturing enterprise shall ensure that the certified products it produces can continue to meet the requirements of certification and applicable standards. 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.
For vehicles applying for exemption from certification due to scientific research, testing, and samples required for certification testing, etc., it shall be implemented in accordance with "China Compulsory Certification Management Regulations" and relevant regulations of the CNCA.
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.
For products that have obtained compulsory product certification (including self-declaration), the results shall be directly recognized. For those that recognize the test results of other conformity assessment systems, the certification body shall refine the relevant requirements in the implementation detailed-rules.
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.
7.1.4.4 For some type test items, the enterprise self-commitment method is used instead of test. After obtaining the certificate, the certification body shall conduct strict supervision and random inspection; carry out it in accordance with Attachment 1-4. 7.1.4.5 For automobile products that adopt new technologies, it shall at least ensure that their characteristics such as safety, environmental protection are not lower than the compulsory certification requirements for automobile products. If the implementation rules for compulsory certification of relevant vehicle components are involved, the corresponding implementation rules shall also be met. The 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.
When production conformity control plan can meet the production conformity review requirements of Attachment 6 in this Rules, then the production conformity control plan is reviewed as qualified. If certification body believes that there is defect in production conformity control plan, manufacturing enterprises shall make correction and resubmit. Certification body shall inform the CLIENT of the review result after review again.
If the certification body and manufacturing enterprises cannot agree on production conformity control plan, then the certification body can accept production conformity control plan of the manufacturing enterprises, provided that manufacturing enterprises agree and guarantee to cooperate with the certification body for conducting subsequent product sampling test recheck.
After production conformity control plan formulated by manufacturing enterprises is reviewed and approved, certification body shall formulate the production conformity inspection (factory on-site inspection) scheme according to the plan; the scheme shall include product, site and scope to be inspected.
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 national provisions; and, be defined in the certification implementation detailed-rules. 7.3 Certification evaluation and decision
Certification body shall make comprehensive evaluation for type test, initial factory inspection results, and relevant data/information; if evaluation is passed, issue certification certificates; if evaluation is not passed, certification shall be terminated. 7.4 Certification time-limit
Certification body shall make clear provisions to time-limit of each link for certification; and, ensure that the relevant works are completed within the time-limit. The CLIENT shall actively cooperate with certification activities. In general, certificate shall be issued to the CLIENT within 90 days since certification entrusting is accepted. 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.
After-certification follow-up inspection shall be carried out when manufacturing enterprises are under normal production. For non-continuously-produced products, CLIENT shall submit the related production plan to the certification body, so that the after-certification follow-up inspection can be effectively conducted.
The certification body shall earnestly perform its main responsibility; and for the product conformity and standard compliance of the certified products covered by the certificate issued by this body, carry out regular or special after-certification supervision and random inspection. The random inspection shall fully integrate the external quality information and the hotspots of the industry and the public. It shall use 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.
8.4 Application of quality information
Enterprises shall establish the user complaint information?€?s collection, summary, analysis and saving system; and guarantee to fully open the user complaint information to the certification body; must not hide or destroy the user complaint information. When certification body conducts after-certificate supervision, it shall take the contents of quality information involving the requirements of this Rules as the important inputs - such as user complaints, high social concerns, quality defects investigation, risk early-warning, major quality accidents, supervision sampling inspection, special inspection. Certification body shall ensure that it shall not disclose the user complaint information of the enterprise to any third party, except to report to the certification competent administrative department. Certification body shall establish the user complaint and other related quality information gathering, processing, feedback system and related procedures for vehicle safety, environmental protection and other items that are involved in this Rules, so as to strengthen the supervision to the certified enterprises and products; meet demand of government managing information; and promote certification result admissibility. Certification body shall meet the requirements of general rules provided by certification information. 8.5 Frequency and time of after-certificate supervision
The certification body shall formulate a supervision sampling scheme and an annual supervision plan. For the sampling test items, it shall consider the production conformity control plan of the manufacturing enterprise; within one period of the certificate, cover the major safety and environmental protection items. On the basis of classification management, different types of manufacturing enterprises shall be subject to different after-certification supervision frequencies. The supervision time shall be reasonably determined and shall be clarified in the certification implementation detailed-rules.
8.6 Record of after-certificate supervision
Certification body shall appropriately record and archive the whole process of after-certification supervision, so that the certification process and results are traceable.
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.
Certificate shall indicate whether the involved product is the complete-vehicle. For products that are certified according to non-mass-produced vehicles, parallelly-imported vehicles and single vehicle, the certificate must list the vehicle identification code of the covered product. The certificate for parallelly-imported vehicle and single vehicle certification must indicate "parallel import" and "single vehicle certification".
Related contents of identification of each part, system or assembly of the complete-vehicle shall be consistent with CCC certificate of component product or the structure technical parameters that were filed to certification body.
9.3 Changes of the certificate
After certificate is obtained, when there are any changes in the certificate; or the certified products have technical changes (design, structure parameters, critical parts/raw materials etc.) which may affect the compliance of relevant standards; or production conformity may be influenced because the factory changes the production conformity control plan and production conditions; or other matters the certification body defines in certification implementation detailed-rules change, then the CLIENT shall apply for change entrusting to certification body. Changes can only be implemented after the approval is obtained from certification body.
Certification body shall define the specific requirements for changes in the certification implementation detailed-rules, including scope and procedure of certification changes. The certification body shall evaluate the provided data according to changing content, so as to determine whether changes can be approved. If sample test and/or factory inspection are necessary, change can only be approved after the inspection and/or test are qualified. Sample test can be carried out using the testing resources of manufacturing enterprises that meet the requirements of 7.1.4.1.
If requirements are met, changes are approved. If a new certificate is issued, the number and approving effective date on the new certificate are unchanged in principle, indicating the approval date for changes. If it is not necessary to issue a new certificate, a change confirmation sheet shall be issued, in which the change content and approval date for changes shall be indicated.
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 a...

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