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CNCA C11-20-2020 English PDF (CNCAC11-20-2020)

CNCA C11-20-2020 English PDF (CNCAC11-20-2020)

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CNCA C11-20-2020: Compulsory product certification implementation rules -- Autobomile brake lining

This Rules applies to automobile brake lining. Due to the changes in the law, 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-C11-20:2020
CNCA / CCC
Serial No.: CNCA-C11-20:2020
Compulsory product certification implementation rules -
Automobile brake lining
ISSUED ON: MAY 29, 2020
IMPLEMENTED ON: JUNE 01, 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 Certification standards ... 4
3 Certification modes ... 5
4 Division of certification units ... 5
5 Certification entrusting ... 6
5.1 Application and acceptance of certification entrusting ... 6
5.2 Application materials ... 6
5.3 Implementation arrangement ... 6
6 Certification implementation ... 7
6.1 Type test ... 7
6.1.1 Type test plan ... 7
6.1.2 Sample requirements of type test ... 7
6.1.3 Items of type test... 7
6.1.4 Implementation of type test ... 7
6.1.5 Type test report ... 7
6.2 Initial factory inspection ... 8
6.2.1 Basic principles ... 8
6.2.2 Production conformity control plan review ... 8
6.2.3 Production conformity factory on-site inspection ... 8
6.3 Certification evaluation and decision ... 9
6.4 Time limit of the certification ... 9
7 After-certification supervision ... 10
7.1 After-certification follow-up inspection ... 10
7.1.1 Principles of after-certification follow-up inspection ... 10
7.1.2 Content of after-certification follow-up inspection ... 10
7.2 Factory on-site sampling test ... 10
7.2.1 Principles of factory on-site sampling test ... 10
7.2.2 Content of factory on-site sampling test ... 11
7.3 Market sampling test ... 11
7.3.1 Principles of market sampling test ... 11
7.3.2 Content of market sampling test ... 11
7.4 Frequency and time of after-certification supervision ... 11
7.5 Records of after-certification supervision ... 11
7.6 Evaluation of after-certification supervision results ... 12
8 Certificate ... 12
8.1 Maintenance of the certificate ... 12
8.2 Content of the certificate ... 12
8.3 Change of the certificate ... 12
8.4 Certificate?€?s cancellation, suspension and withdrawal ... 13
8.5 Use of the certificate ... 13
9 Certification marks ... 13
10 Charges ... 13
11 Certification responsibility ... 14
12 Certification implementation detailed-rules ... 14
Attachment 1: Product description of automobile brake lining ... 15
Attachment 2: Production conformity requirements ... 17
0??Introduction
According to the relevant requirements of the ?€?Decision of State Council on Adjusting the Catalogue of Industrial Product Production License Management and
Strengthening Interim and Ex-post Supervision?€? (No. 19 [2019] by State Council), the management of automobile brake lining products has been transferred from production license management to compulsory product certification management. This Rules is developed in accordance with laws and administrative regulations such as ?€?Regulations of the People's Republic of China on Certification and Accreditation?€?, ?€?China Compulsory Certification Management Regulations?€?.
This Rules is established based on the safety risk and certification risk of automobile brake lining products. It stipulates the basic principles and requirements for implementation of compulsory product certification of automobile brake linings. 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?€?.
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 requirements of the certification and applicable standards. 1??Application??scope
This Rules applies to automobile brake lining (hereinafter referred to as lining). Due to the changes in the law, 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??Certification??standards
Basis standard GB 5763 ?€?Brake linings for automobiles?€?
key component / raw material supplier), or the same product produced by different producers (manufacturers) and the same manufacturing enterprise, type tests on samples of only one unit may be considered. For the products of other producers (manufacturers) / manufacturing enterprises, it is necessary to provide information for conformity verification. Based on the classification management of manufacturing enterprises, the certification body may appropriately relax the unit division of manufacturing enterprises with higher classification management levels. 5??Certification??entrusting
5.1 Application and acceptance of certification entrusting
CLIENT must put forward the certification entrusting to the certification body, in 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, 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 certification entrusting materials in the certification implementation detailed-rules. They shall include at least the certification application or contract, registration certificates of the CLIENT, producer, and manufacturing enterprise, ?€?Product description of automobile brake lining?€? (Attachment 1), ?€?Production conformity control plan?€? (written in accordance with Attachment 2), 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 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.
Certification body shall specify a unified form of the type test report. After the type test is completed, the laboratory shall promptly issue a type test report to the CLIENT and certification body. 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 is the certification body's evaluation of whether the factory's production conformity control system can meet the certification requirements. It is carried out according to the production conformity control plan review + production conformity factory on-site inspection.
Note: The factory in this Implementation Rules involves CLIENT, producer (manufacturer), and manufacturing enterprise (factory).
6.2.1 Basic principles
The factory shall, in accordance with the requirements of Attachment 2 of this Rules, establish, implement, and continuously maintain its production conformity control system, to ensure that the certified products continue to meet the certification requirements.
The certification body shall conduct a compliance inspection of the factory's production conformity control system. In principle, the initial factory inspection shall be completed within one year after passing the type test; otherwise the product type test shall be repeated.
6.2.2 Production conformity control plan review
The factory shall formulate a production conformity control plan in accordance with the requirements of Attachment 2 and submit it to the certification body for review. The certification body shall inform the factory of the audit results.
If the production conformity control plan can meet the requirements of Attachment 2 of this Rules, the review of the production conformity control plan is passed. If the certification body believes that the production conformity control plan does not meet the requirements, the factory shall make corrections and resubmit. The certification body will inform the factory of the audit results after re-audit.
After the review of the production conformity control plan formulated by the factory is passed, the certification body shall, according to it, prepare the production conformity factory on-site inspection plan. The plan shall include the products, site and scope of inspection.
6.2.3 Production conformity factory on-site inspection
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, including the random combination of after-certification follow-up inspection of all certified products and processing sites, factory on-site sampling test, and market sampling test methods. 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 of 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 can continuously comply 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
The certification body shall, under the principle of ensuring that the certification risk is controllable, in accordance with Attachment 2, formulate the specific content of the requirements of after-certification follow-up inspection; and, make it clear in the certification implementation detailed-rules.
7.2 Factory on-site sampling test
7.2.1 Principles of factory on-site sampling test
If it adopts ?€?factory on-site sampling test?€? to implement the after-certification supervision, then CLIENT, producer (manufacturer), and manufacturing enterprise shall cooperate.
7.6 Evaluation of after-certification supervision results
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. 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 Content of the certificate
If the content of the certificate is marked on the certified product and its sales package, it shall be consistent with the content of the certificate.
8.3 Change of the certificate
After obtaining the certificate, if the content on the certificate changes; or when the certified product has technical changes (design, structural parameters, key components / raw materials, etc.) that affect the compliance of the relevant standards; or when the factory changes the production conformity control plan, production conditions, etc., which may affect the production conformity; or when other matters specified by the certification body in the certification implementation detailed-rules are changed, the CLIENT shall submit a request for change to the certification body. The change can be implemented only after the certification body has approved it. The certification body shall evaluate the information provided according to the content of the change; determine whether the change can be approved. If sample testing and / or factory inspection are required, the change can only be approved after the testing and / or inspection are qualified. Sample testing can use the testing resources of the manufacturing enterprise; the conditions and requirements are the same as those in 7.2.2 of this Rules.
If the requirements are met, the change will be approved. If a new certificate is 11??Certification??responsibility
The certification body shall be responsible for the certification conclusion. The certification body and the contracted laboratory shall clarify the responsibilities and obligations in each link of certification.
Certification related parties shall, in accordance with laws and regulations, bear corresponding responsibilities and obligations for product quality.
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) Classification management requirements of manufacturing enterprise; (4) Certification entrusting materials and relevant requirements;
(5) Requirements for type test (including factory on-site or market sampling test requirements);
(6) Requirements for initial factory inspection;
(7) Requirements for after-certification supervision;
(8) Requirements for the implementation of test utilizing testing resources of manufacturing enterprise and utilization of other certification results; (9) Requirements for certification change (including change version of standard); (10) Critical components and raw materials list and relevant requirements; (11) Charge basis and relevant requirements;
(12) Procedures and time limits requirements about technical dispute and appeal. Attachment 2: Production conformity requirements
The factory shall ensure that the certified products produced in batches continue to comply with the requirements of this Rules and relevant laws, regulations and standards.
Note: The factory in this Implementation Rules involves CLIENT, producer (manufacturer), and manufacturing enterprise.
1 The production conformity inspection is to, through the production conformity control plan review and the factory on-site inspection (initial and supervision), confirm the conformity of the mass-produced certified products with type test samples, and the compliance with the certification standards.
2 The production conformity control plan is a documented regulation formed by the factory to ensure the production conformity of mass-produced certified products. It shall include:
2.1 The factory shall establish documented regulations, to ensure that the mass-produced certified products are consistent with the type test samples; ensure that the certification marks are properly kept and used.
2.2 In accordance with the implementation rules, the factory shall formulate documented regulations on the content, method, frequency, deviation range, result analysis, record and preservation of necessary tests or related inspections for certified products. And in accordance with the certification standards, it shall identify key components, raw materials and key manufacturing processes, assembly processes, inspection processes and determine their control requirements. For necessary tests or related inspections that are not carried out on the factory on-site, as well as key components, raw materials and key manufacturing processes, assembly processes, and inspection processes that are controlled, they shall be specifically listed in the plan; the actual department and location of the control shall be stated. For items specified in the certification standards for production conformity control, the factory's control regulations must not be lower than the standard requirements.
2.3 The factory's regulations and requirements for equipment and personnel for product tests or related inspections involved in 2.2.
2.4 The factory's relevant regulations on the change, declaration and implementation of the production conformity control plan.
2.5 When the factory finds inconformity in the products, how to implement the relevant regulations on taking all necessary measures under the supervision of the certification body for restoring the conformity of production as soon as possible.
Appendix 1: Factory quality assurance capability requirements
The factory is the main body responsible for product quality. Its quality assurance capabilities shall continue to meet the certification requirements. The products produced shall meet the standard requirements. It shall be ensured that the certified products are consistent with the type test samples. The factory shall accept and cooperate with the various factory on-site inspections and sampling tests, carried out by the certification body in accordance with this Implementation Rules and relevant product certification implementation rules / detailed-rules.
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