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CNCA C11-16-2018 English PDF (CNCAC11-16-2018)

CNCA C11-16-2018 English PDF (CNCAC11-16-2018)

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CNCA C11-16-2018: China Compulsory Certification Implementation Rules - Electric Bike

This Rules applies to two-wheeled bicycles that use on-board batteries as auxiliary energy, have pedaling ability, and can implement electric assist or / and electric drive functions. 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.
CNCA-C11-16:2018
Serial No.: CNCA-C11-16:2018
CNCA-C11-16-2018
China Compulsory Certification Implementation Rules -
Electric Bicycles
Issued on: July 19, 2018    Effective on: August 1, 2018
Issued by: Certification and Accreditation Administration of the People’s Republic of China (CNCA)
Table of Contents
1 Introduction ... 3
2 Application scope ... 3
3 Standards for certification ... 3
4 Certification modes ... 4
5 Classification of certification units ... 4
6 Certification entrusting ... 4
7 Certification implementation ... 5
8 After-certification supervision... 8
9 Certification certificate ... 9
10 Certification marks ... 11
11 Product certificate ... 11
12 Charges ... 11
13 Certification responsibility ... 11
14 Certification implementation detailed-rules ... 11
Attachment 1: Product description, critical components and raw materials ... 13 Attachment 2: Type test items and standard based ... 14
Attachment 3: Product certificate... 16
1  Introduction
In accordance with the relevant requirements of “Decision of the State Council on the Adjustment of the Catalogue of Industrial Products Subject to Production License Administration and the Trial Implementation of Simplified Approval Procedures” (No.34 [2017] of the State Council), the production of electric bicycles has been changed from production license administration to China compulsory certification administration. This Rules is established based on the provisions of laws and administrative regulations such as “Regulations of the People's Republic of China on Certification and Accreditation”, “Provisions on the Administration of Compulsory Product Certification” (No.117 Order of AQSIQ).
This Rules is established based on the safety risk and certification risk of electric bicycle products. It specifies the basic principles and requirements for the implementation of China Compulsory Certification for electric bicycle products. This Rules can be used with other general 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 Inspection General Requirements”.
Certification body shall compile the implementation detailed-rules for certification of electric bicycle products according to the requirements of the general implementation rules and this Rules, and shall implement them with the general implementation rules and this Rules.
2  Application scope
This Rules applies to two-wheeled bicycles that use on-board batteries as auxiliary energy, have pedaling ability, and can implement electric assist or / and electric drive functions.
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. 3  Standards for certification
Standard based: GB 17761 Safety technical specification for electric bicycle. The latest versions of the standard based that are issued by the National Standardization Administration shall be executed. When new applicable
standards are required to be added or other versions are required to use, then it shall be executed according to the applicable relevant standards issued by Certification and Accreditation Administration (CNCA).
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, certification body must not accept the certification entrusting. 6.2 Application materials
Certification body shall, in accordance with the laws and regulations, standards and other requirements, specify the checklist of application materials in the implementation detailed-rules.
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 auditing results.
6.3 Implementation arrangement
Certification body shall agree with the CLIENT on the relevant responsibilities and arrangement of various aspects 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.
7  Certification implementation
Certification body shall establish an information management system suitable for the product certification.
7.1 Type test
7.1.1 Type test plan
Certification body shall formulate the type test plan, after auditing the materials. And INFORM the CLIENT. CLIENT may voluntarily select the CNCA designated laboratory (hereinafter referred to as laboratory) for type test. Type test plan includes all samples’ requirements and quantity, test standard items, laboratory information etc.
CLIENT can provide the test report issued by the designated laboratory, which can be used as the type test result after being confirmed by the certification body.
7.1.2 Sample requirements of type test
Certification body shall clearly specify the relevant requirements for sample submission of certified products in the implementation detailed-rules. In general, appraisal report and relevant materials provided, and determines the plan of some type test items required. After the laboratory completes the audit and test, the results are submitted to the certification body.
7.2 Initial factory inspection
Initial factory inspection is the on-site inspection and evaluation carried out by the certification body to determine whether the quality assurance ability and product consistency control ability of the manufacturing enterprise meet the certification requirements.
Manufacturing enterprises shall establish, implement and continuously maintain the production conformity control system, so as to ensure that the certificated products can continuously meet the certification requirements.
Initial factory inspection shall be carried out after the type test is PASS. If required, type test and initial factory inspection can be carried out
simultaneously.
7.2.1 Inspection scope
The inspection shall cover the production sites of the products applied for certification by the manufacturing enterprise. When necessary, the certification body may carry out extended inspections at locations other than the
manufacturing enterprise.
7.2.2 Factory inspection results
If no unqualified items are found in the factory inspection, the inspection result is PASS;
If there are unqualified items in the factory inspection, rectification may be allowed, and the certification body shall take appropriate measures to confirm the results of the rectification.
7.2.3 Factory inspection time
The initial factory inspection time is specified by the certification body in the detailed implementation-rules
7.3 Admitting of relevant certification results
Certification body shall make relevant arrangements for admitting voluntary certification results or part of the results, avoiding repeated test and repeated reviews, and improving efficiency.
7.4 Certification evaluation and approval
Certification body shall make a comprehensive evaluation to the type test, factory inspection results and relevant information / materials. If the evaluation is PASS, the certificate will be granted according to certification unit. If not, the certification is terminated
8.2.1 Principles of factory on-site sampling test or inspection
If it adopts “factory on-site sampling test or inspection” to implement the after- certification supervision, CLIENT, producer (manufacturer) and manufacturing enterprise shall cooperate.
8.2.2 Contents of factory on-site sampling test or inspection
Certification body shall formulate the contents and requirements of factory on- site sampling test or inspection in the certification implementation detailed-rules. 8.3 Market sampling test or inspection
8.3.1 Principles for market sampling test or inspection
If it adopts “market sampling test or inspection” to implement the supervision, CLIENT, producer (manufacturer) and manufacturing enterprise shall cooperate; and confirm the samples that are sampled from market.
8.3.2 Contents of market sampling test or inspection
Certification body shall formulate the sampling test plan according to the product characteristics. Designated personnel will take samples from products to be certified in market according to sampling test plan.
8.4 Frequency and time of after-certification supervision
Based on manufacturing enterprise classification management, certification body shall adopt different frequency and method of after-certification supervision to different types of manufacturing enterprises. The supervision time shall be made in a reasonable way.
8.5 Records of after-certification supervision
Certification body shall appropriately record and archive the process of after- certification supervision, so that the process and results are traceable. 8.6 Evaluation of after-certification supervision
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.
9  Certification certificate
9.1 Maintenance of the certification certificate
This Rules covers the 5 year valid period of certification certificate. Within the valid period, the validity of the certification certificate is maintained by depending “Provisions on the Administration of Compulsory Product Certification” (No.117 Order of AQSIQ).
10  Certification marks
The management and use of certification marks shall comply with the provisions of “Announcement of CNCA on the Reform of China Compulsory Certification Marks” (Announcement of CNCA, NO.10, 2018).
11  Product certificate
The product certificate of producer (manufacturer) or manufacturing enterprise shall meet the requirements of subclause 5.5 of GB 17761 “Safety technical specification for electric bicycle”. The parameters of the product certificate shall be consistent with those of the certification certificate. Refer to Attachment 3 for the recommended style of “Product Certificate”.
12  Charges
Certification body shall formulate charging standards in accordance with national regulations and publish a list of charging standards.
13  Certification responsibility
Certification body shall be responsible for the certification results.
Responsibilities and obligations in all aspects of certification shall be clearly defined between the certification body and the contracting laboratory.
Certification related parties shall bear corresponding responsibilities and obligations for product quality in accordance with relevant laws and regulations. 14  Certification implementation detailed‐rules
Certification body shall formulate scientific, reasonable and feasible certification implementation detailed-rules, according to the principle and requirements of this Rules. Certification implementation detailed-rules shall be publicly announced, after filed to CNCA. Certification implementation detailed-rules shall at least include the following contents:
(1) Selection of certification mode and relevant requirements;
(2) Classification of certification units, certification procedure and time limits requirements;
(3) Classification management requirements of manufacturing enterprise; (4) Certification entrusting materials and relevant requirements;
(5) Requirements for sample test;

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