CQC-C0302-2014 English PDF

CQC-C0302-2014: China Compulsory Certification Implementation Detailed-Rules - Low voltage electrical components
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CQC-C0302-2014
CQC
CHINA COMPULSORY CERTIFICATION
IMPLEMENTATION DETAILED-RULES
China Compulsory Certification Implementation Detailed-
Rule - Low voltage electrical components
ISSUED ON: SEPTEMBER 01, 2014
IMPLEMENTED ON: SEPTEMBER 01, 2014
Issued by: China Quality Certification Center
Table of Contents
0. Terms and definitions ... 4
1. Scope of application ... 4
2. Certification basis ... 5
3. Certification mode ... 5
4. Division of certification units ... 6
5. Certification entrustment ... 6
5.1 Submission and acceptance of certification entrustment ... 6
5.2 Application materials ... 7
5.3 Implementation arrangements ... 7
6 Certification implementation ... 8
6.1 Type test ... 8
6.2 Certification evaluation and decision ... 9
6.3 Certification time limit ... 9
6.4 Initial factory inspection ... 10
7. Post-certification supervision ... 13
7.1 Follow-up inspection after certification ... 13
7.2 Production site sampling test or inspection... 13
7.3 Market and/or user sampling test or inspection ... 13
7.4 Frequency and time of post-certification supervision ... 14
7.5 Records of post-certification supervision ... 14
7.6 Evaluation of post-certification supervision results ... 14
8. Certification certificate ... 14
8.1 Maintenance of certification certificate ... 14
8.2 Changes to products covered by the certification certificate ... 15
8.3 Extension of products covered by the certification certificate ... 17
8.4 Cancellation, suspension, revocation of the certification certificate ... 17
8.5 Use of the certification certificate ... 18
9. Certification mark ... 18
10. Charging basis and requirements ... 18
11. Certification responsibility ... 18
12. Principles for classification of production enterprises ... 18
Appendix 1 Low-voltage electrical appliances - Low-voltage components -
China Compulsory Certification Implementation Detailed-
Rule - Low voltage electrical components
0. Terms and definitions
Testing at Manufacturers Premises (TMP method for short)
Engineers from a qualified designated laboratory sent by a designated certification body
use the testing equipment of the factory laboratory for testing; the factory shall send
testing personnel to assist. The test report shall be reviewed and approved by the
relevant designated laboratory.
Witnessed Manufacturer’s Testing (WMT Method)
Engineers from designated laboratories dispatched by designated certification bodies
witness the factory laboratory testing conditions; the factory laboratory completes all
tests using its own equipment or submits the certification body's testing plan for the
factory, witnessing part of the testing conditions and testing items. Factory laboratory
testing personnel are responsible for issuing original records and drafting the testing
report in the prescribed format together with the witnessing designated laboratory
engineer. The testing report is reviewed and approved by the relevant designated
laboratory.
1. Scope of application
The Detailed-Rule for Low-voltage electrical components (hereinafter referred to as the
Detailed-Rule) are compiled, in accordance with the requirements of the
"Implementation Rules for Compulsory Product Certification - Low-voltage apparatus
- Low-voltage components” (CNCA-C03-02:2014) (hereinafter referred to as the
Implementation Rules), as a supporting document for the certification implementation
rules, which is used together with the Implementation Rules.
The scope of products and certification basis applicable to this Detailed-Rule shall be
consistent with the relevant provisions in the Implementation Rules; they shall be
adjusted in accordance with the announcements on catalog definition and catalog
adjustment, as issued by the National Certification and Accreditation Administration
(hereinafter referred to as the NCAA).
CQC formulates and publishes this Detailed-Rule in accordance with the provisions of
the certification implementation rules, based on the principles of maintaining the
effectiveness of product certification, improving product quality, serving certified
(6) The responsibility arrangement of the certification parties in each link of the
certification implementation;
(7) The contact information of the relevant CQC staff;
(8) Other matters that need to be explained.
For applications that require testing, the certification client shall submit the relevant
materials to the corresponding laboratory. After completing the preliminary data review,
CQC will determine the test plan and notify the certification client; for applications that
do not require testing, the certification client shall submit the relevant materials to CQC.
5.2 Application materials
After the application is accepted, the certification client shall provide relevant
application materials and technical materials to CQC and/or the laboratory, in
accordance with the requirements of the certification scheme, which shall include:
(1) Certification application form (signed by the authorized signatory and stamped
with the official seal of the organization);
(2) Registration certificates of the certification client, manufacturer, production
enterprise (such as business license, organization code certificate, etc.);
(3) Factory inspection questionnaire (applicable to situations where factory
inspection is required);
(4) Relevant agreements or contracts signed between the certification client,
manufacturer and production enterprise;
(5) Product description information, mainly including technical parameters,
structure, model description, list of key components and/or materials, electrical
schematics, assembly drawings, differences between products of different
specifications contained in the same certification unit, etc. (fill in according to the
fixed format file provided by CQC);
(6) For change applications, supporting documents for relevant change items;
(7) Self-assessment report on factory quality assurance capabilities (applicable to
situations where initial factory inspection is not required);
(8) Other required documents.
5.3 Implementation arrangements
The certification client shall provide the certification center and/or laboratory with
relevant application materials and technical materials, in accordance with the
requirements of the certification plan after the application is accepted.
After receiving the relevant application materials and technical materials, CQC and/or
the laboratory shall conduct a preliminary review of the relevant materials provided by
the certification client within 5 working days and notify the certification client of the
results of the material review. If the materials do not meet the requirements, the
rectification requirements shall be clearly stated and the certification client shall
cooperate in the rectification. The certification client shall be responsible for the
authenticity of the materials provided. CQC and the laboratory shall manage and
preserve the certification materials provided by the certification client and have the
obligation to keep them confidential.
6 Certification implementation
6.1 Type test
6.1.1 Type test plan
CQC shall formulate a type test plan within 2 working days after receiving the relevant
preliminary review results of the laboratory and notify the certification client. The type
test plan includes sample specification/parameter requirements and quantity (including
spare parts quantity), testing standard items, estimated test costs, laboratory information,
etc.
6.1.2 Type test sample requirements
Type test samples shall be processed and produced at the production site for which
certification is applied.
Under normal circumstances, the certification client prepares samples according to the
requirements of the type test plan and sends them to the relevant laboratory; if necessary,
for Class C and Class D manufacturers, CQC will obtain samples by on-site sampling
and sealing according to the requirements of the type test plan; the certification client
will send them to the designated laboratory.
The certification client shall ensure the authenticity of the samples and ensure that the
samples it provides are consistent with the actual production products. The laboratory
shall review the authenticity of the samples, within 2 working days after receiving the
samples; fill in the sample receipt to CQC. If the laboratory has doubts about the
authenticity of the samples, it shall explain the situation to CQC and make
corresponding disposal.
For key components and materials within the scope of compulsory product certification
purchased domestically, the manufacturer shall provide a compulsory product
certification certificate.
6.1.3 Type test inspection items
Same as Implementation Rules 6.1.3. Special circumstances shall be implemented in
accordance with the resolution of the TC06 expert group of the National Certification
and Accreditation Administration. For specific testing items, please refer to Appendix
3 of this Detailed-Rule.
6.1.4 Implementation of type test
The time of type test is generally 30 ~ 40 working days (calculated from the receipt of
samples and/or inspection fees that meet the test conditions, excluding the time taken
by the enterprise to make rectifications and retests due to unqualified inspection items).
When the key components of the whole machine shall be subjected to random tests, the
time required for the test exceeds the test time of the whole machine, the type test time
is calculated according to the longest test time of the safety components.
When some of the type test items are unqualified, the laboratory shall notify the
certification client, in an appropriate manner within 1 working day; report the relevant
situation to CQC. In principle, rectification and retesting shall be completed within 6
months; certification shall be deemed terminated if the deadline is exceeded.
For the case where the client applies to use the production enterprise laboratory for
testing, such as TMP mode and WMT mode, the specific requirements are shown in the
National Certification and Accreditation Administration document "Implementation
Rules for Compulsory Product Certification - Utilization of Production Enterprise
Testing Resources and Other Certification Results" (No. CNCA-00C-004) and CQC
related documents.
6.1.5 Type test report
Same as Implementation Rule 6.1.5.
6.2 Certification evaluation and decision
Same as Implementation Rule 6.2. The certification center shall conduct a
comprehensive evaluation and review, within 5 working days after receiving the
complete certification materials. If the evaluation is qualified, the certificate shall be
approved; if the evaluation is unqualified, the certification application shall not be
approved.
6.3 Certification time limit
Same as Implementation Rule 6.3.
In accordance with Appendix 1 "Quality assurance capability requirements for low
voltage electrical appliances and low voltage components mandatory certification
factories" and Appendix 4 "Quality control inspection requirements for low voltage
electrical appliances and low voltage components factories" of this Detailed-Rule.
6.4.3 Product consistency inspection
During the factory inspection, the consistency of the products applying for certification
shall be checked at the production site. The consistency check usually includes the
following:
(1) Whether the product name, specifications, model and necessary identification
marks on the on-site product are consistent with the sample in the type test report;
(2) Whether the structure of the on-site product is consistent with the description in
the type test report;
(3) Whether the suppliers of key components used in the certified product and their
materials, designations, etc. are consistent with the type test report.
6.4.4 Inspection time
Under normal circumstances, the initial factory inspection is carried out after the type
test is qualified. In special cases, the type test and factory inspection can be carried out
at the same time.
During the initial factory inspection, in principle, the factory shall produce products
within the scope of the certification application. The time of the initial factory
inspection is determined according to the number of categories of products applied for
certification, the production scale and distribution of the factory are appropriately
considered. The specific inspection man-days shall be implemented in accordance with
the "Regulations on the Billing Man-Days for Domestic Factory Inspection or
Supervisory Review of Compulsory Product Certification" on the CQC website.
For certification applications that require initial factory inspection, CQC will issue the
initial factory inspection task and assign the inspector/inspection team, within 3
working days after receiving the type test report or qualified certification materials.
6.4.5 Inspection conclusion
In principle, the inspector/inspection team shall conduct on-site factory inspection
within 10 working days; form a factory inspection report; report the inspection
conclusion to the certification center. Where there are non-conformities in the factory
inspection, the manufacturer shall complete the rectification within the prescribed
period; the certification center shall verify the rectification results in an appropriate
manner. If the rectification is not completed on time, it shall be regarded as unqualified
in factory inspection.
7. Post-certification supervision
7.1 Follow-up inspection after certification
7.1.1 Principles of follow-up inspection after certification
Same as Implementation Rules 7.1.1.
7.1.2 Contents of follow-up inspection after certification
The contents of the follow-up inspection after certification are: factory quality
assurance capability inspection and certified product consistency inspection. The
contents of the certified product consistency inspection are the same as those in 6.4.3
of this Detailed-Rule. In addition, the use of th...