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CQC-C1601-2016 English PDF (CQC-C1601-2016)

CQC-C1601-2016 English PDF (CQC-C1601-2016)

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CQC-C1601-2016: China Compulsory Certification Implementation Detailed-Rules - Telecommunication terminal equipment

Implementation Detailed-Rules for telecommunication terminal equipment is compiled based on the requirements of China Compulsory Certification Implementation Rules - Telecommunication terminal equipment (CNCA-C16-01:2014). As supportive document for the Implementation-Rules, this Detailed-Rules is used together with the Implementation-Rules.
CQC-C1601-2016
Serial No.: CQC-C1601-2016
Implementation Detailed-Rules for
China Compulsory Certification
Telecommunication terminal equipment
ISSUED ON: AUGUST 1, 2016
IMPLEMENTED ON: AUGUST 1, 2016
China Quality Certification Centre
Table of Contents
1. Scope of application ... 5
2. Certification standards ... 5
3. Certification modes ... 5
4. Division of certification units ... 6
5. Certification entrusting ... 6
5.1. Proposal and acceptance of certification application ... 6
5.2. Application materials ... 6
5.3. Implementation arrangement ... 7
6. Certification implementation ... 8
6.1. Type test ... 8
6.1.1. Type test plan... 8
6.1.2. Sample requirements of type test ... 8
6.1.3. Type test items ... 9
6.1.4. Implementation of type test ... 9
6.1.5. Type test report ... 10
6.2. Certification evaluation and decision ... 10
6.3. Certification time limit ... 10
7. Initial factory inspection ... 10
7.1. Content of initial factory inspection ... 10
7.2. Time limit for initial factory inspection ... 11
7.3. Conclusion of initial factory inspection ... 11
7.4. Evaluation and approval of initial factory inspection ... 11
8. Relevant requirements for after-certification supervision ... 11
8.1. After-certification follow-up inspection ... 11
8.1.1 Principle of after-certification follow-up inspection ... 11
8.1.2. Content of after-certification follow-up inspection ... 12
8.1.3. Time limit for after-certification follow-up inspection ... 12
8.1.4. Conclusion of after-certification follow-up inspection ... 12
8.1.5. Evaluation and approval of after-certification follow-up inspection ... 12 8.2. Production on-site sampling test or inspection ... 13
8.2.1. Principle of production on-site sampling test or inspection ... 13 8.2.2. Content of production on-site sampling test or inspection ... 13 8.3. Principle of market sampling test or inspection ... 13
8.3.1. Content of market sampling test or inspection ... 13
8.4. Frequency and content of after-certification supervision ... 13
8.5. Record of after-certification supervision ... 14
8.6. Evaluation of the results of after-certification supervision ... 14 9. Certificate ... 14
9.1. Maintenance of the certificate ... 14
9.2. Change record of products covered by the certificate ... 14
9.2.1. Change request ... 14
9.2.2. Evaluation and approval of change ... 15
9.2.3. Principle of change record ... 15
9.3. Extension of products covered by the certificate ... 15
9.4. Cancellation, suspension, and withdrawal of the certificate ... 15 9.5. Use of the certificate ... 15
10. Certification mark ... 15
11. Charging basis and requirements ... 15
12. Certification responsibility ... 15
13. Principles for classification of manufacturing enterprises ... 15
Attached Table 1 -- ... 19
Attached Table 2 -- ... 24
Attached Table 3 -- ... 29
Attachment 4 ... 31
1. Scope of application
?€?Implementation Detailed-Rules for telecommunication terminal equipment?€? (hereinafter referred to as Implementation Detailed-Rules) is compiled based on the requirements of ?€?China Compulsory Certification Implementation Rules - Telecommunication terminal equipment?€? (CNCA-C16-01:2014) (hereinafter referred to as Implementation-Rules). As supportive document for the Implementation-Rules, this Detailed-Rules is used together with the Implementation-Rules.
The applicable product scope, certification basis and all other contents of this Implementation 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 the PRC (hereafter referred to as CNCA).
In accordance with the provisions of Certification Implementation-Rules, following the principles of maintaining the effectiveness of product certification, improving quality of product, serving certification companies, and controlling risk of certification, CQC formulates and issues this certification Implementation Detailed-Rules. Through establishing the classification management requirements of manufacturing enterprises, and combining the classification of manufacturing enterprises, this Detailed-Rules determines the implementation requirements for China Compulsory Certification of telecommunication terminal equipment.
2. Certification standards
IMPLEMENT in accordance with Clause 2 of the Implementation-Rules.
3. Certification modes
The optional certification modes for telecommunication terminal equipment are: Mode 1:
Class I or Class II equipment: Type test + after-certification supervision Equipment other than Class I or Class II: Type test + after-certification follow-up inspection
The above after-certification supervision refers to one of three methods: after-certification follow-up inspection, production on-site sampling test or inspection, and market sampling test or inspection.
Mode 2:
CQC and / or laboratory with relevant application materials and technical materials, including but not limited to:
(1) Certification application;
(2) Registration certificates (such as business license, organization code certificate, etc.) of the CLIENT, manufacturer, and manufacturing enterprise (when
necessary);
(3) Self-assessment report / declaration of the factory's quality assurance capability of the manufacturing enterprise (when necessary);
(4) Factory inspection questionnaire (when necessary);
(5) Relevant agreements or contracts (such as ODM agreements, OEM agreements, authorization letters, etc.) signed between CLIENT, manufacturer, and
manufacturing enterprise (when necessary);
(6) Product description information, mainly including: model description, technical parameters, critical components and / or material list, electrical schematic diagram, difference description of products of different specifications contained in the same certification unit, etc. (when necessary);
(7) Chinese instruction manual, Chinese nameplate and warning mark (when necessary);
(8) Appointment letter of certification technical director and the CQC assessment certification and other materials (if any and necessary);
(9) For the application change, the supporting documents of the relevant change items (such as the name change of enterprise, the re-division of administrative region, etc.) (when necessary);
(10) Other required documents.
5.3. Implementation arrangement
After CQC accepts the certification application, based on the classification management requirements of the manufacturing enterprise and the relevant product information submitted by the enterprise, etc., it will formulate a certification scheme and notify the CLIENT. The certification scheme usually includes the following:
(1) List of application materials to be submitted;
(2) Sample delivery requirements for type test;
(3) Laboratory information;
items shall be reduced as much as possible.
The requirements for the list of critical components and materials shall be implemented in accordance with the resolutions of the technical expert group of the CNCA. For specific requirements, refer to the attached Table 1 and Table 2.
The classification and change filing instructions of critical components and materials (hereinafter referred to as critical parts) are as follows:
The procedure for the change of type A critical parts: It shall be approved by the certification body.
The change filing procedure of type B critical parts: The following requirements must be met:
(1) For type B safety-critical parts, those listed in the compulsory product certification catalogue / the voluntary certification catalogue that can be recognized as the result of compulsory certification of the whole machine as stipulated by the CNCA, it shall obtain a valid compulsory product certification certificate / a voluntary certification certificate required by the CNCA to be recognized as the result of the compulsory certification of the whole machine. For other type B safety-critical parts, it shall provide voluntary certification certificates recognized by certification bodies / test reports issued by CNAS-accredited laboratories that meet the corresponding standards (see attached Table 1). And the technical parameters, shapes, materials, installation dimensions, installation methods and processes of all critical parts shall be consistent with the original components.
(2) If there is a technical person in charge of compulsory product certification who meets the requirements (see Attachment 4 for specific requirements), the simplified process may be applied; the technical person in charge shall approve. Otherwise, it shall be approved by the certification body.
(3) The producer (manufacturer) and the manufacturing enterprise have a good reputation.
6.1.3. Type test items
Same as subclause 6.1.3 of the Implementation-Rules.
6.1.4. Implementation of type test
The type test time is generally 30 working days (when the critical components and materials need to be randomly tested and the test time exceeds 30 working days, the maximum time required is calculated). It is calculated from the date of receipt of the sample and / or test fee. The time taken by the enterprise to make rectifications and / or retests due to unqualified data or inspection items shall not be included in the type test (3) The list of safety-critical components and materials used in the certified product, and the critical parts that have an impact on electromagnetic compatibility are consistent with the type test report.
7.2. Time limit for initial factory inspection
Under normal circumstances, the initial factory inspection is carried out after passing the type test. Under special circumstances, 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 factory inspection time is determined according to the number of units of the products to be certified and the production scale of the factory. Generally, it takes 1 to 4 man-days for each processing site. After the type test, the factory inspection shall be completed within one year in principle. Otherwise the type test shall be repeated.
Within 5 working days after the initial factory inspection, the inspection team shall submit a factory inspection report to CQC (calculated from the date of completion of on-site inspection and receipt of the required non-conformity corrective action report submitted by the manufacturing enterprise).
7.3. Conclusion of initial factory inspection
The inspection team reports the factory inspection conclusions to CQC. If the inspection conclusion is non-conformity, the inspection team will directly report the non-conformity conclusion to CQC. When there are non-conformance items in the factory inspection, the factory shall complete the rectification within the specified time limit. The inspection team shall take appropriate methods to verify the rectification results. If the rectification cannot be completed on time, it shall be dealt with according to the factory inspection conclusion: non-conformity.
7.4. Evaluation and approval of initial factory inspection
CQC comprehensively evaluates the conclusions of type test and factory inspection; issues a compulsory certificate after passing the evaluation. If either the type test conclusion or the factory inspection conclusion is non-conformity, then, the certification application will not be approved, and the certification will be terminated. 8. Relevant requirements for after-certification supervision
8.1. After-certification follow-up inspection
8.1.1 Principle of after-certification follow-up inspection
which are non-conformity, CQC will suspend relevant valid CCC certificates. 8.2. Production on-site sampling test or inspection
8.2.1. Principle of production on-site sampling test or inspection
According to enterprise classification management and certification risk conditions, when necessary, CQC conducts production on-site sampling test or inspection. Production on-site sampling test or inspection shall cover all certified categories. 8.2.2. Content of production on-site sampling test or inspection
According to different product conditions, sampling test / inspection (may include product conformity check) shall be implemented according to some or all items of CCC type test report. The designated laboratory shall issue a test report.
It is also possible to, in accordance with "Implementation Detailed-Rules for China Compulsory Certification - Utilization of Manufacturing Enterprise Testing Resource" promulgated by CQC, use the testing resources of the manufacturing enterprises to implement sampling tests / inspections. The designated laboratory shall issue a test report.
8.3. Principle of market sampling test or inspection
According to enterprise classification management and certification risk conditions, when necessary, CQC conducts market sampling. The market sampling test or inspection shall cover the certified products in a certain proportion.
8.3.1. Content of market sampling test or inspection
According to different product conditions, sampling test / inspection (including product conformity check) shall be implemented according to some or all items of CCC type test report. The designated laboratory shall issue a test report.
8.4. Frequency and content of after-certification supervision
9.2.2. Evaluation and approval of change
Same as subclause 8.2.2 of the Implementation-Rules.
9.2.3. Principle of change record
Same as subclause 8.2.3 of the Implementation-Rules.
The relevant requirements for certification technical director shall be implemented in accordance with ?€?General requirements for certification technical director?€? issued by the CQC.
9.3. Extension of products covered by the certificate
Same as subclause 8.3 of the Implementation-Rules.
In principle, it shall take the samples of representative models which are initially subjected to the full-item type test as the basis for extended evaluation.
9.4. Cancellation, suspension, and withdrawal of the certificate
Same as subclause 8.4 of the Implementation-Rules.
9.5. Use of the certificate
Same as subclause 8.5 of the Implementation-Rules.
10. Certification mark
Same as clause 9 of the Implementation-Rules.
11. Charging basis and requirements
All fees are reasonably collected according to the relevant provisions of CQC. 12. Certification responsibility
Same as clause 11 of the Implementation-Rules.
13. Principles for classification of manufacturing enterprises
CQC collects and sorts all kinds of quality information related to the certified products and their manufacturing enterprises; classifies the manufacturing enterprises accordingly. The CLIENT, producer (manufacturer), and manufacturing enterprise shall cooperate. Attachment 4
I. The certification technical director, a regular employee appointed / authorized by the producer (manufacturer) or the manufacturing enterprise, after being appraised and approved by CQC, is responsible for the change record of critical components and materials to which the simplified process applies.
II. The certification technical director shall have the power to perform its functions independently; have the ability to perform its functions. The legal representative of the enterprise or the person in charge of the enterprise shall support and guarantee the exercise of the authority of the certification technical director.
III. The certification technical director must not be concurrently responsible for the certification technique of other producers (manufacturers) or manufacturing enterprises (except for the same control by a group; except ODM, OEM).
IV. Ability requirements of the certification technical director:
1. Understand the laws, regulations, and related policies of the national compulsory product certification.
2. BE familiar with the certified products; understand the security, electromagnetic compatibility indexes, and related requirements of the certified products. 3. Fully and correctly understand the requirements for the conformity of certified products in the Rules and related detailed-rules, and the implementation principles for the change record of critical components and materials.
4. BE familiar with the relevant standards of certified products; BE familiar with the critical components and materials of the products such as model, specifications, producers (manufacturers), and other related requirements; acquire key technical parameters which affect the security and electromagnetic compatibility of the certified products; BE capable of analyzing and accurately judging the the effect of change record of critical components and materials on product conformity, security, and electromagnetic compatibility.
5. Understand the certification, test, and standard requirements for critical components and materials of the products.
V. Responsibilities of certification technical director:
1. BE responsible for the review and approval of the change record of critical components and materials to which the simplified process applies.
2. In accordance with the requirements of the Rules and related detailed-rules, conscientiously perform the change record of critical components and materials;

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