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CQC-C1116-2021 English PDF (CQC-C1116-2021)

CQC-C1116-2021 English PDF (CQC-C1116-2021)

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CQC-C1116-2021: China Compulsory Certification Implementation Detailed-Rules - Electric Bike

The product scope, certification basis and all other contents of this Detailed-Rules shall comply with relevant provisions of Implementation Rules. It shall also be adjusted, according to the notices such as defined directory and directory adjustment, that are issued by Certification and Accreditation Administration of China.
CQC-C1116-2021
Translated English of CQC Specifications. CQC-C1116-2021
Serial No.. CQC-C1116-2021
Implementation Detailed-Rules for China Compulsory
Certification -- Electric bicycle
ISSUED ON. JULY 01, 2021
IMPLEMENTED ON. JULY 01, 2021
China Quality Certification Center
Table of Contents
Foreword... 4
0.Introduction... 5
0.1 Terms and definitions... 5
0.2 Classified management requirements for production enterprises... 6 0.3 Requirements for utilization of production enterprise testing resource... 8 1.Scope of application... 9
2.Standards based for certification... 9
3.Certification mode... 9
3.1 Basic mode of certification... 10
3.2 Applicability of certification mode... 10
4.Division of certification units... 11
5.Certification entrustment... 12
5.1 Proposal and acceptance of certification entrustment... 12
5.2 Entrustment information... 12
5.3 Implementation arrangements... 13
5.4 Certification process... 13
6.Certification implementation... 13
6.1 Type test... 13
6.2 Enterprise quality assurance capabilities and product consistency inspection... 17 6.3 Acceptance of other conformity evaluation results... 19
6.4 Certification evaluation and decision-making... 20
6.5 Certification time limit... 20
7.Post-certification supervision... 21
7.1 Follow-up inspection after obtaining the certificate... 22
7.2 Sampling testing or inspection at production site... 23
7.3 Market sampling testing or inspection... 24
7.4 Frequency of post-certification supervision... 24
7.5 Records of post-certification supervision... 25
7.6 Evaluation of post-certification supervision results... 25
8.Certificate... 25
8.1 Maintenance of certification certificates... 25
8.2 Contents of certification certificate... 26
8.3 Change/extension of certification certificate... 26
8.4 Cancellation, suspension, revocation of certification certificates... 27 8.5 Use of certification certificates... 28
9.Certification mark... 28
10.Product certificate... 28
11.Fees... 28
12.Certification responsibilities... 29
13.Processes and time limit requirements related to technical disputes, complaints, appeals... 29
13.1 Process and time limit requirements for technical dispute... 29
13.2 Complaint process and time limit requirements... 29
13.3 Appeal process and time limit requirements... 30
Appendix 1 Certification process for electric bicycle product... 32
Appendix 2 List of certification entrustment data... 33
Appendix 3 Structure and technical parameters of electric bicycle product... 36 Appendix 4 Type test items and standard basis... 55
Appendix 5 Test plan of electric bicycle... 57
Appendix 6 Requirements for production consistency review... 63
Appendix 7 Product qualification certificate... 70
0.Introduction
The "Implementation Detailed-Rules for China Compulsory Certification - Electric Bicycles" (hereinafter referred to as. Implementation Detailed-Rules) is prepared, in accordance with the requirements of the ?€?Implementing Rules for China Compulsory Certification - Electric Bicycles?€? (CNCA-C11-16.2021) (hereinafter referred to as. Implementation Rules). It is used as the supporting documents for the Implementation Rules. It is used together with the Implementation Rules.
The product scope, certification basis and all other contents of this Detailed-Rules shall comply with relevant provisions of Implementation Rules. It shall also be adjusted, according to the notices such as defined directory and directory adjustment, that are issued by Certification and Accreditation Administration of China (hereafter referred to as CNCA).
In accordance with the provisions of the certification implementation rules and in line with the principles of maintaining the effectiveness of product certification, improving product quality, serving certified enterprises, controlling certification risks, CQC formulates and publishes the implementation details of this certification. These detailed rules clarify the implementation requirements for compulsory product certification of electric bicycles, by establishing the classification management requirements of production enterprises AND combining the classification of production enterprises. 0.1 Terms and definitions
0.1.1 For the definitions of electric bicycles and related terms, see GB 17761-2018 "Safety technical specification for electric bicycle".
0.1.2 Testing at manufacturer?€?s premises (abbreviated as TMP mode)
Engineers from designated laboratories with qualifications, as dispatched by the designated certification agency, use the testing equipment in the factory laboratory to conduct testing. The factory shall dispatch testing personnel to provide assistance. The designated laboratory will examine, approve, and issue the testing report. 0.1.3 Witnessed Manufacturer?€?s Testing (abbreviated as WMT mode)
Engineers from designated laboratories with qualifications, as dispatched by the designated certification agency, will witness the factory laboratory testing conditions; the factory laboratory uses its own equipment to complete all testing or submit the testing plan of the certification agency for the factory; witness some testing conditions and testing items. Factory laboratory's testing personnel are responsible for issuing original records, drafting test reports in the prescribed format together with the designated laboratory engineer who witnessed the test. The test report will be issued supervision must be combined with the factory?€?s post-certification supervision. Factory laboratories shall participate in comparison tests or proficiency verification, to ensure the accuracy and validity of testing results.
If the production enterprise has needs, it can conduct a single verification on the on-site testing items, which are proposed by the certification client. The verification results are only valid for this on-site testing item. The factory laboratory may no longer conduct supervision to maintain accreditation. When the same item requires on-site testing again, it shall apply for review again.
1.Scope of application
These Detailed Rules apply to two-wheeled bicycles, that use on-board batteries as auxiliary energy, have pedal riding capabilities, can realize electric assist or/and electric drive functions.
For any adjustments to the scope of application, which are caused by changes in laws and regulations or related product standards, technology, industrial policies and other factors, the announcement issued by the State Administration for Market Regulation (CNCA) shall prevail.
2.Standards based for certification
According to the standard GB 17761-2018 "Safety technical specification for electric bicycle".
The latest version, which is issued by the national standardization administrative department, shall be implemented according to the standards used. When it is necessary to add new applicable standards or use other versions of standards, the announcement on the requirements for applicable relevant standards, which is issued by the Certification and Accreditation Administration of China, shall be followed. 3.Certification mode
The basic certification mode, which is stipulated in the Implementation Detailed-Rules, refers to the combination of basic factors of product certification, which is determined on the premise of integrity and self-discipline, effective management, stable production of production enterprises, with the goal of ensuring that products continue to meet the requirements of compulsory certification standards, based on the inherent safety risk characteristics of products and the production processes commonly used by enterprises. CQC implements classified management of manufacturing enterprises, in accordance with the requirements of the "Implementation Rules for Compulsory Product Certification -- Classified Management of Manufacturing Enterprises, Selection and Determination of Certification Modes"; combines the certification risk control capabilities and the classification management results of manufacturing enterprises, to gradually add certification elements based on the basic certification mode, thereby determining the certification modes, which are applicable to production enterprise with different capabilities and levels.
3.1 Basic mode of certification
The basic certification mode for implementing compulsory certification of electric bicycle products is.
Type test + Enterprise quality assurance capability and product consistency inspection (initial factory inspection) + Post-certification supervision;
The quality assurance capabilities and product consistency inspection of electric bicycle manufacturers are conducted, in accordance with the production consistency inspection method.
Type test is mainly used for products, that require certification evaluation based on testing.
The post-certification supervision method refers to one or various combinations of three methods. follow-up inspection after certification, production or port on-site sampling testing or inspection, market sampling testing or inspection. If necessary, adopt one or various combinations of the following methods.
(1) Obtain real test samples, by taking samples from the market/production site; (2) Follow-up inspection/unannounced inspection without prior notification; (3) Increase the frequency of post-certification supervision;
(4) Increase testing/inspection coverage, to increase the probability of discovering nonconformities.
Combined with the principle of classified management of production enterprises, the combination of relevant certification elements shall be considered as appropriate during post-certification supervision for different types of enterprises.
3.2 Applicability of certification mode
Category A and category B. Post-certification supervision may adopt one or a combination of three methods. post-certification follow-up inspection, production or port on-site sampling testing or inspection, market sampling testing or inspection. reviewed and qualified, CQC shall follow the unit division principle and based on the certification standards, product descriptions, key components and raw materials submitted by the client (see Appendix 3 "Product Structure and Technical Parameters of Electric Bicycle"), to formulate a type test plan and notify the certification client. The type test plan includes sample requirements for unit or unit combination sample delivery/sampling, testing standards and items, inspection and testing agency information, etc. When the same unit contains multiple models/specifications, samples shall be selected from representative models/specifications; the selected samples shall cover the structural parameters of other products and key parts/raw material manufacturers, as much as possible. For the type test plan, please refer to Appendix 5 "Electric Bicycle Test Plan" of the Detailed Rules.
6.1.2 Type test sample requirements
Usually, the certification client selects representative samples for testing, according to Appendix 5 "Electric Bicycle Test Plan", for type testing; then selects appropriate models for difference testing. It shall be ensured that the difference testing covers high- risk difference items and materials in the unit, as much as possible. It shall be ensured that the selected components or component samples are of the same material and produced in the same batch as the main inspection or difference test samples. If necessary, CQC can also obtain samples through on-site sampling/sealing. The certification client shall ensure that the samples provided by it are consistent with the actual products produced. It shall not borrow, rent, or purchase samples for testing. CQC and/or laboratories review the authenticity of samples, which are provided by the certification client. If the laboratory has doubts about the authenticity of the sample, it shall explain the situation to the certification agency AND handle it accordingly. The certification client shall prepare samples, according to the requirements of the type test plan; send them to the designated laboratory.
In principle, manufacturers shall ensure that samples are sent to designated laboratories for type testing within 20 days. If the certification client fails to send samples within the specified time, due to special circumstances, it must provide CQC with sufficient reasons for delaying sample delivery.
For the components, that are required to be tested along with the complete bicycle as specified in the Implementation Rules, for compulsory product certification, if they already obtain the compulsory product certification (including self-declaration), it shall recognize the results directly; if they already obtain the voluntary certification or other qualification evaluation results, that can be recognized by the whole bicycle compulsory certification, meanwhile the certification agency recognizes the certification results or other qualification evaluation results based on the review, they can be exempted from component independent test.
6.1.3 Type test items and requirements
Refer to the relevant content in Appendix 4 "Type Test Items and Standards Based" of the Detailed Rules. CQC, together with the laboratory, will confirm the test items, in accordance with the provisions of the Detailed Rules, in combination with the testing standards, structure, technical parameters of the bicycle to be certified, as entrusted by the certification client.
CQC accepts the conformity assessment certification materials of electric bicycle's radio disturbance characteristics, product certificates, instructions for use, which is provided by the certification client. After passing the review, the corresponding type test can be exempted.
For products of the same model, which are produced by the same producer (manufacturer) at different production sites or by different producers (manufacturers) at the same production site, on the premise of ensuring production consistency, CQC may reduce or exempt the test items of the same part of the product under certification, based on the characteristics of product under certification and certification risk control. For applications for OEM certification, in principle, the overall item type test is carried out. If the product applying for certification obtains a certification certificate at other production sites, CQC can reduce or exempt some test items for the product under certification, based on the characteristics of the product applying for certification and the principles of certification risk control.
For applications for ODM certification, if the product applied for certification is completely consistent with the initial certification product or only changes in appearance, meanwhile the type test report of the initial certification product is an overall item type test, THEN, CQC can appropriately arrange testing items, based on the characteristics of the product applied for certification and certification risk control principles.
If the Compulsory Product Certification Technical Expert Group of the National Certification and Accreditation Administration has special requirements, they shall be implemented, in accordance with its corresponding technical resolutions. 6.1.4 Implementation of type tests
6.1.4.1 Type test shall be completed in the laboratory designated by the National Certification and Accreditation Administration. When the laboratory conducts type test on samples, it shall ensure that the test conclusions are true and accurate; make complete records of the entire testing process and archive them; ensure that the records of the testing process and results are traceable. When abnormal conditions are discovered during the type test, they shall be communicated with CQC in a timely manner and handled accordingly.
6.1.4.2 If any test item is unqualified, the certification client is allowed to make rectifications, after analyzing the causes of the nonconformity; then carry out re-test 6.2 Enterprise quality assurance capabilities and product consistency
inspection
In accordance with the requirements of product implementation rules, (CNCA-00C- 005), (CNCA-00C-006) and other documents, CQC carries out on-site inspections and evaluation, to check whether the quality assurance capability and product consistency control capability of the production enterprise meet the certification requirements. The quality assurance capability and product consistency inspection of the production enterprise shall be carried out, after passing the type test. If necessary, type test and quality assurance capability and product consistency inspection of the production enterprise can also be carried out, at the same time.
For certified producers/manufacturers, the certification agency can appropriately adjust and simplify the terms and content of the enterprise's quality assurance capabilities and product consistency inspections, based on the actual situation.
6.2.1 Basic requirements for enterprise quality assurance capabilities and product consistency inspection
Producers or production enterprises shall establish, implement, continuously maintain their production consistency control system, in accordance with the requirements of Implementation Rules 7.2; formulate a production consistency control plan; submit it to CQC for review. CQC shall inform the certification client of the review results. For the enterprise's quality assurance capabilities and product consistency, it is the certification agency's evaluation of whether the producer or production enterprise's production consistency control system meets the certification requirements (see Appendix 6 "Production Consistency Review Requirements"). Enterprise's quality assurance capabilities and product consistency inspections are conducted, in the form of production consistency control plan review + production consistency factory on-site inspection. In principle, the enterprise's quality assurance capability and product consistency inspection shall be completed within one year after passing the type test; otherwise, the product type test shall be re-conducted.
The factory for compulsory product certification refers to the place, where final assembly and/or test of certified products is carried out and the certification mark is affixed. When the above-mentioned processes of the product cannot be completed in one location, CQC reserves the right to conduct further inspections in other locations. Enterprise's quality assurance capabilities and product consistency inspections shall cover "products applying for certification/certified products" and all "processing sites". "Processing site" refers to all departments, locations, personnel, activities related to product certification quality. "Products applying for certification/certified products" refers to products, which are covered by the production consistency control plan. If CQC cannot complete production consistency inspection at the production site, it can be extended to the certification client, producer, etc. for inspection. For producers that have obtained the CCC certificate for similar electric bicycles, when relocating or establishing a new production enterprise within the same producer, if the producer declares that it complies with relevant laws and regu...

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