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CNCA C11-02-2014 English PDF (CNCAC11-02-2014)

CNCA C11-02-2014 English PDF (CNCAC11-02-2014)

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CNCA C11-02-2014: [Including 2017XG1] China Compulsory Certification Implementation Rules - Motorcycle

This Rules is applicable to motorcycle products on Chinese highways and urban roads. Due to the adjustment of the scope of application caused by changes in laws, regulations, or relevant product standards, technical and industrial policies, etc., the announcements released by CNCA shall be final and conclusive.
CNCA-C11-02:2014
Serial No.: CNCA-C11-02:2014
China Compulsory Certification Implementation Rules
- Motorcycle
ISSUED ON: AUGUST 21, 2014
IMPLEMENTED ON: JANUARY 1, 2015
Issued by: Certification and Accreditation Administration of the PEOPLE Republic of China (CNCA)
Table of Contents
0 Introduction ... 4
1 Scope ... 4
2 Terms and Definitions ... 5
3 Standard for Certification ... 5
4 Certification Modes ... 5
5 Classification of Certification Units ... 6
6 Certification Entrusting ... 6
6.1 Application and Acceptance of Certification Entrusting ... 6
6.2 Application Materials ... 6
6.3 Implementation Arrangement ... 7
7 Certification Implementation ... 7
7.1 Type Test ... 7
7.2 Initial Factory Inspection ... 9
7.3 Adoption of Relevant Certification Results ... 11
7.4 Certification Evaluation and Determination ... 11
7.5 Time Limit of Certification ... 11
8 After-certification Supervision ... 12
8.1 After-certification Follow-up Inspection ... 12
8.2 Production Site Sampling Test or Inspection ... 12
8.3 Market Sampling Test or Inspection ... 13
8.4 Application of Quality Information ... 13
8.5 Frequency and Time of After-certification Supervision ... 13
8.6 Records of After-certification Supervision ... 14
8.7 Evaluation of After-certification Supervision Result ... 14
8.8 Conformity Parameter Management ... 14
9 Certificate ... 14
9.1 Maintenance of Certificate ... 14
9.2 Content of Certificate ... 14
9.3 Variation of Certificate ... 15
9.4 Suspension, Cancellation and Revocation of Certificate ... 15
9.5 Use of Certificate ... 16
10 Certification Marks and Motorcycle Conformity Certificate ... 16
10.1 Mark Style ... 16
10.2 Implementation of Mark ... 16
10.3 Vehicle Conformity Certificate ... 17
11 Charges ... 17
12 Certification Responsibility ... 17
13 Certification Implementation Detailed-rules ... 17
Attachment 1: Type Test Items and Standards ... 19
Attachment 2: Compulsory Certification Unit Classification for Motorcycle Products ... 24
Attachment 3: Application Materials for Certification Entrusting ... 26 Attachment 4: Production Conformity Inspection Requirements ... 85
Attachment 5: Vehicle Conformity Certificate ... 91
0 Introduction
The formulation of this Rules is based on the safety risk and certification risk of motorcycle products. It stipulates the basic principles and requirements for the implementation of compulsory certification of all the motorcycle products within the scope of application. The objective of this Rules is to guarantee that certified motorcycle products?€? continuous compliance with the laws, regulations and requirements of the standards.
This Rules can be 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 Testing Resource and Other Certification Results; China Compulsory Certification Implementation Rules - Factory Inspection General Requirements.
The certification body shall formulate certification implementation detailed-rules in accordance with the requirements in the general implementation rules and this Rules, and manufacturing enterprise classification management; implement the general implementation rules together with this Rules.
Manufacturing enterprise shall ensure that their certified products can sustain the compliance with the certification and are compatible with the requirements of the standards.
1 Scope
This Rules is applicable to motorcycle products on Chinese highways and urban roads. However, it is not applicable to:
a) Vehicles for site purposes and site racing, and off-road vehicles designed and manufactured for off-road driving and usage.
b) Motor vehicles (including motorized wheelchairs and electric wheelchairs, etc.) and electric bicycles for the disabled.
Due to the adjustment of the scope of application caused by changes in laws, regulations, or relevant product standards, technical and industrial policies, etc., the announcements released by CNCA shall be final and conclusive.
The application for certification exemption due to scientific research, tests and other special reasons shall be implemented in accordance with China Compulsory Certification Management Rules and relevant regulations issued by CNCA. The mode of after-certification supervision is after-certification follow-up inspection, factory or port on-site sampling test or inspection, sampling test in the market, or one of the three modes, or a combination of the modes.
5 Classification of Certification Units
In principle, motorcycle products shall receive entrusted certification in accordance with certification units. Motorcycles of the same certification entrusting unit shall comply with the condition of ?€?variant?€?.
In accordance with the principle of unit classification, CLIENT shall put forward the certification entrusting.
The classification of certification units is show in Attachment 2 Compulsory Certification Unit Classification for Motorcycle Products.
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 mode. The certification body shall review the certification entrusting; provide feedback on the acceptance or rejection in accordance with the time limit in the certification implementation detailed-rules.
CLIENT shall be able to undertake the responsibilities related to quality and legal issues, such as: product recall and three guarantees, etc.
Manufacturers and manufacturing enterprises which apply for the certification entrusting of motorcycle products shall be able to normally manufacture; comply with the requirements of national laws and regulations. Otherwise, the certification body must not accept relevant certification entrusting.
6.2 Application Materials
The certification body shall, in accordance with the laws and regulations, standards and the demands of certification implementation, specify a checklist of application materials in the certification implementation detailed-rules. It shall at least include the content requested in Attachment 3 Application Materials for Certification Entrusting in this Rules.
CLIENT shall provide the required materials in accordance with the requirements of application material checklist in the certification implementation detailed-rules. The certification body is responsible for reviewing, managing, preserving and keeping confidential of the relevant materials, and shall inform the CLIENT of the review results. In accordance with relevant regulations and documents issued by CNCA, the certification body shall, in the certification implementation detailed-rules, specify the ?€?product critical components and raw materials list?€? and acceptable compulsory and voluntary product certificate, or, conditions and specific requirements of type test report. 7.1.3 Items and requirements of type test
The certification body will work with the laboratory, in accordance with the stipulations in this Rules, and the inspection standards, motorcycle type, structure and technical parameters of motorcycles with entrusted certification by the CLIENT, to determine the test items. In terms of different products under the same motorcycle type, difference test must be supplemented. The test items and inspection standards stipulated in this Rules are shown in Attachment 1 Type Test Items and Standards.
When due to technical progress, new design and new process are adopted on the whole vehicle, or relevant systems and components, manufacturer and / or manufacturing enterprise shall provide the verification result that suggests the motorcycles satisfy relevant safety standards; the certification body shall make such determination. When significant safety and environmental protection projects are involved, it shall also go through the technical expert group?€?s resolution. 7.1.4 Implementation of type test
Type test shall be conducted after the certification body confirms that the application materials submitted by the CLIENT meet the requirements and formulates a test scheme. The certification body shall entrust a laboratory designated by CNCA to conduct type test on the samples.
When conducting type test on the samples, the laboratory shall ensure that the test conclusion is true and accurate; the whole process of the type test is integrally recorded and archived for retaining, so as to guarantee the traceability of the recording of the test process and the result.
If there is a test item that is non-conformant, rectification is allowed after the analysis of reasons causing the non-conformance. After the rectification, it can be re-tested. For those that need retest, the laboratory must inform the certification body of the information of test situation, and the certification body shall re-confirm the test scheme. For the recognition of test results of other conformity assessment systems, the certification body shall specify relevant requirements in the implementation detailed- rules.
If manufacturing enterprise is equipped with China Compulsory Certification Implementation Rules - Utilization of Manufacturing Enterprise Testing Resource and Other Certification Results and the test conditions required by certification standard, the certification body may utilize manufacturing enterprise?€?s testing resources to implement on-site sampling inspection (or, visual inspection); a designated laboratory Factory inspection shall be conducted in accordance with the mode of production conformity control scheme review + production conformity on-site factory inspection. 7.2.2.1 Review of production conformity control scheme
Manufacturer or manufacturing enterprise shall, in accordance with Attachment 4 Production Conformity Inspection Requirements in this Rules, formulate production conformity control scheme; submit to the certification body for review. The certification body shall inform the manufacturing enterprise of the review result.
When the production conformity control scheme can meet the requirements in Attachment 4 Production Conformity Inspection Requirements in this Rules, the manufacturing enterprise shall pass the review of production conformity control scheme. If the certification body believes that the production conformity control scheme is defective, the manufacturer or manufacturing enterprise shall rectify and resubmit. After the certification body re-audits, it shall inform the review result to the CLIENT.
If the certification body and the manufacturer or manufacturing enterprise cannot reach an agreement regarding the production conformity control scheme, the manufacturer or manufacturing enterprise shall consent and guarantee its cooperation in the certification body?€?s subsequent product sampling test review. On this premise, the certification body may accept the manufacturer?€?s production conformity control scheme. After the production conformity control scheme formulated by the manufacturer or manufacturing enterprise passes the review, the certification body shall formulate the production conformity inspection (on-site factory inspection) scheme accordingly. The scheme shall include products to be inspected, location and scope.
7.2.2.2 Production conformity on-site factory inspection
After the manufacturing enterprise passes the type test and the review of production conformity control plan, the certification body shall designate and build an inspection team of compulsory product certification inspectors with nationally registered qualifications to conduct on-site inspection of production conformity of the manufacturing enterprise.
During the inspection, the manufacturing enterprise shall have products with entrusted certification on the production line.
7.2.3 Verification and inspection of structural and technical parameters During on-site factory inspection, the certification body may, in accordance with the requirements of Appendix 1 in Attachment 4 in this Rules, take a corresponding number of products with entrusted certification; conduct conformity verification of the structural and technical parameters of declared motorcycles.
shall actively cooperate with the certification body. Under general circumstances, certificate will be granted to CLIENT within 90 days, since the certification entrusting is accepted.
8 After-certification Supervision
After-certification supervision refers to supervision implemented to certified products and their manufacturing enterprise by the certification body.
The certification body shall consider classification management and the actual situation of the manufacturing enterprise; clarify the specific requirements for selecting the mode of after-certification supervision in the certification implementation detailed- rules.
8.1 After-certification Follow-up Inspection
8.1.1 Principles for after-certification follow-up inspection
On the basis of classification management, the certification body shall implement effective follow-up inspection to certified products and their manufacturing enterprise, so as to validate that the quality assurance capacity of the manufacturing enterprise can continuously comply with the certification requirements; and ensure that the certified products can continuously comply with requirements of the standards; and maintain the conformity with type test samples.
The after-certification follow-up inspection shall be conducted during the normal production of manufacturing enterprise. For those products that are not continuously manufactured, CLIENT shall submit relevant production plans to the certification body, so that the follow-up inspection can be conducted in an effective way.
8.1.2 Content of after-certification follow-up inspection
The certification body shall ensure under the principle of controllable certification risk; in accordance with Attachment 4, establish the detailed content on after-certification follow-up inspection, and clarify it in the certification implementation detailed-rules. 8.2 Production Site Sampling Test or Inspection
8.2.1 Principles for production site sampling test or inspection
If after-certification supervision is implemented through the mode of product site sampling test or inspection, then, CLIENT, manufacturer and manufacturing enterprise shall cooperate.
8.2.2 Content of production site sampling test or inspection
The certification body shall, in accordance with classification principle and product enterprises; reasonably determine the supervision time. Detailed principles shall be specified in the certification implementation detailed-rules.
8.6 Records of After-certification Supervision
The certification body shall appropriately record and archive the whole process of after- certification supervision, so as to guarantee the traceability of the certification process and results.
8.7 Evaluation of After-certification Supervision Result
In terms of non-conformant items found out during the after-certification follow-up inspection, corrective measures shall be completed within 3 months. Otherwise, the manufacturing enterprise will not pass the follow-up inspection.
The certification body shall comprehensively evaluate conclusions of follow-up inspection, conclusions of sample testing or inspection, and relevant materials / information. If a manufacturing enterprise passes the evaluation, it may continue to maintain the certificate and use of certification mark. If a manufacturing enterprise fails to pass, the certification body shall, in accordance with corresponding situations, suspend or revoke the certificate; and announce it publicly.
8.8 Conformity Parameter Management
The certification body shall classify and dynamically manage the vehicle conformity parameters; in accordance with the variation of parameters, determine safety and quality risks that might be involved in the products; in accordance with the demands, add additional factory inspections and increase sampling tests in a timely manner. 9 Certificate
9.1 Maintenance of Certificate
The certificate has a valid period of 5 years. Within the valid period, the validity of the certificate is maintained by depending on the ?€?after-certification supervision?€? of the certification body.
When the certificate is expired, if it needs to be continued, CLIENT shall put forward the certification entrusting within 90 days before the expiry date. If the newest ?€?after- certification supervision?€?, within the certificate validity, is PASS, then, the certification body shall directly renew the certificate.
9.2 Content of Certificate
The certificate shall satisfy the items and content required in China Compulsory Certification Management Rules. Other than this, attachments shall also be issued along with the certificate, indicating that product involved in this certificate complies 10.3 Vehicle Conformity Certificate
The manufacturer or manufacturing enterprise shall, in accordance with the requirements of the Rules, submit the format of vehicle conformity certificate and parameters to the certification body. The format of vehicle conformity certificate, relevant requirements and parameter content are shown in Attachment 5 Vehicle Conformity Certificate COC. Each certified vehicle shall be equipped with vehicle conformity certificate in the accompanying documents, so as to clearly indicate certified product information, and environmental protection and fuel consumption indicators to consumers or relevant departments.
11 Charges
In terms of certification charge items, the certification body shall base on the national provisions of compulsory certification charge standards to charge the fees. The certification body shall, in accordance with the initial factory inspection fees, after- certification supervision re-inspection man-day fees in national provisions of compulsory certification charge standards, reasonably determine the specific man-day fees.
12 Certification Responsibility
The certification body shall be responsible for the certification results. Laboratory shall be responsible for the test results and test reports.
The certification body and the designated inspectors shall be responsible for the factory inspection conclusion.
CLIENT shall be responsible for the authenticity and legality of the submitted certification entrusting materials.
13 Certification Implementation Detailed-rules
The certification body shall, in accordance with the principle and requirements of this Rules, formulate scientific, reasonable and feasible certification implementation detailed-rules. The certification implementation detailed-rules shall be publicly announced and implemented, after filed to CNCA. The certification implementation detailed-rules shall at least include the following content:
1) Certification procedure and time limits;
2) Certification mode selection and relevant requirements;
Attachment 1: Type Test Items and Standards
1. Standards
GB 7258 Technical Specifications for Safety of Power-driven Vehicles Operating on Roads
GB 21861 Items and Methods of Motor Vehicles Safety Technology Inspection GB 16735 Road Vehicles - Vehicle Identification Number (VIN)
GB 167...

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