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CNCA C11-01-2020: Compulsory product certification implementation rules -- Automobile
CNCA-C11-01:2020
CNCA / CCC
Serial No.: CNCA-C11-01:2020
CNCA-C11-01-2020
Compulsory product certification implementation rules -
Automobile
ISSUED ON: APRIL 16, 2020
IMPLEMENTED ON: APRIL 16, 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 Terms and definitions ... 5??
3 Certification basis standards ... 6??
4 Certification mode ... 6??
5 Division of certification unit... 7??
6 Certification entrusting ... 8??
7 Certification implementation ... 8??
8 After-certificate supervision ... 14??
9 Certificate ... 17??
10 Certification mark and vehicle conformity certificate ... 20??
11 Charges ... 20??
12 Certification responsibility ... 20??
13 Certification implementation detailed-rules ... 20??
Attachment 1: Certification items and requirements ... 22??
Attachment 1-1: Type test items and basis standards ... 22??
Attachment 1-2: Type test of parallelly-imported automobile ... 46??
Attachment 1-3: Single vehicle certification test items and standards ... 47??
Attachment 1-4: Implementation procedures for self-commitment to environmental
protection ... 57??
Attachment 1-Appendix A: Implementation procedures for parallel management of
average fuel consumption of passenger car enterprises and new energy automobile
points ... 59??
Attachment 2: Certification implementation ... 60??
Attachment 2-1: Implementation procedures for automotive design appraisal ... 60??
Attachment 2-2: Implementation procedures for certification of new technology
products ... 62??
Attachment 3: Basis for dividing model series, units and models ... 65??
Attachment 4: Information required for certification ... 70??
Attachment 4-Appendix A: Vehicle construction and technical parameters ... 72??
Attachment 4-Appendix B: Vehicle construction and technical parameters for single
vehicle certification ... 142??
Attachment 5: Sample-sending requirements and detail of samples ... 146??
Attachment 6: Factory inspection requirements ... 160??
Attachment 6-Appendix A: Conformity inspection of vehicle construction and technical
parameters ... 168??
Attachment 7: Verification and test items for conformity of non-mass-produced
vehicle products ... 170??
Attachment 8: Vehicle conformity certificate ... 174??
Attachment 8-Appendix A: Technical parameter items of vehicle conformity of
automobile products ... 182??
Attachment 8-Appendix B: Format of conformity technical parameters of category M1
and M1G complete single-stage vehicles ... 189??
0??Introduction
This Rules is established based on the safety risk and certification risk of automobile
products; stipulates the basic principles and requirements for compulsory certification
of all vehicles within its scope of application. Its purpose is to ensure that certified
vehicles continue to comply with laws, regulations, and standards.
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?€?.
According to the general implementation rules and the requirements of this Rules, the
certification body shall prepare the certification implementation detailed-rules; and,
implement it together with the general implementation rules and this Rules.
The manufacturing enterprise shall ensure that the certified products it produces can
continue to meet the requirements of certification and applicable standards.
1??Application??scope??
This Rules applies to category M automobiles, category N automobiles, and category
O trailers, which can be driven on China highways and urban roads (including
complete-vehicle and incomplete-vehicle).
This Rules does not apply to low-speed automobiles (general term for three-wheeled
automobiles and low-speed trucks), vehicles traveling on rails, trolleybuses, wheeled
mobile machinery for special purpose that is not designed to be driven and used on
roads but is mainly used for construction of closed roads and places, agricultural and
forestry tractors, engineering machinery, and Class-III chassis.
If any applicable scopes are adjusted due to laws, regulations or changes in relevant
product standards, technology and industry policy factors, it shall be subject to the
announcement issued by CNCA.
For vehicles applying for exemption from certification due to scientific research,
testing, and samples required for certification testing, etc., it shall be implemented in
accordance with "China Compulsory Certification Management Regulations" and
relevant regulations of the CNCA.
After the certification body confirms that the application materials submitted by the
CLIENT are complete and formulates a test plan, the type test is carried out.
Laboratory shall conduct the type test to the samples; shall ensure that the test
conclusions are true and accurate; integrally record the whole test and archive for
retaining, so that the record of test process and results is traceable.
If a test item is unqualified, it is allowed to rectify after analyzing the cause of the
nonconformity. After rectification, it shall conduct the test again. For any items
required for retest, the laboratory shall report the test situation to the certification body,
and the certification body shall reconfirm the test plan.
For products that have obtained compulsory product certification (including
self-declaration), the results shall be directly recognized. For those that recognize the
test results of other conformity assessment systems, the certification body shall refine
the relevant requirements in the implementation detailed-rules.
7.1.4.1 If the manufacturing enterprise has the test conditions required by "China
Compulsory Certification Implementation Rules - Utilization of Manufacturing
Enterprise Testing Resource and Other Certification Results" and certification
standards, the certification body can use the testing resources of manufacturing
enterprise to conduct production on-site sampling test (or witness test). The test
report shall be issued by the designated laboratory. In the certification implementation
detailed-rules, the certification body shall specify the specific requirements and
procedures.
7.1.4.2 For enterprises with the conditions, some items can be carried out by means
of design appraisal. The certification body, together with the CLIENT and the
laboratory, jointly formulate a plan; at the product design stage, use review,
verification, and other methods to confirm the compliance of the design with
certification standards; jointly issue a design appraisal report to be trusted as the
result of type test. The certification body shall carry out design appraisal according to
Attachment 2-1.
7.1.4.3 For the same model of products produced in different production sites under
the same manufacturer, on the premise of ensuring production conformity, simplify the
type test process and reduce the test items of the same part.
7.1.4.4 For some type test items, the enterprise self-commitment method is used
instead of test. After obtaining the certificate, the certification body shall conduct strict
supervision and random inspection; carry out it in accordance with Attachment 1-4.
7.1.4.5 For automobile products that adopt new technologies, it shall at least ensure
that their characteristics such as safety, environmental protection are not lower than
the compulsory certification requirements for automobile products. If the
implementation rules for compulsory certification of relevant vehicle components are
involved, the corresponding implementation rules shall also be met. The
review + production conformity factory on-site inspection.
7.2.2.1 Production conformity control plan review
Manufacturing enterprises of mass-produced vehicles shall formulate production
conformity control plan according to the requirements of Attachment 6 in this Rules;
and, submit it to certification body for review. Certification body shall inform CLIENT of
the review results.
When production conformity control plan can meet the production conformity review
requirements of Attachment 6 in this Rules, then the production conformity control
plan is reviewed as qualified. If certification body believes that there is defect in
production conformity control plan, manufacturing enterprises shall make correction
and resubmit. Certification body shall inform the CLIENT of the review result after
review again.
If the certification body and manufacturing enterprises cannot agree on production
conformity control plan, then the certification body can accept production conformity
control plan of the manufacturing enterprises, provided that manufacturing enterprises
agree and guarantee to cooperate with the certification body for conducting
subsequent product sampling test recheck.
After production conformity control plan formulated by manufacturing enterprises is
reviewed and approved, certification body shall formulate the production conformity
inspection (factory on-site inspection) scheme according to the plan; the scheme shall
include product, site and scope to be inspected.
7.2.2.2 Production conformity factory on-site inspection
The certification body shall appoint qualified compulsory product certification
inspectors to form an inspection group, to conduct on-site inspections of production
conformity inspections of the manufacturing enterprises. Under normal circumstances,
during the factory inspection, the manufacturing enterprise shall have the products
that have been entrusted for certification in production.
7.2.3 Factory inspection of non-mass-produced vehicles
Inspection shall be carried out according to the factory quality assurance capability
review + product conformity on-site test or inspection.
In case that the non-mass-produced vehicles are refitting vehicles on basis of vehicles
without certificate (including suspension, cancellation and revoke of original basic
vehicle model certificate), the certification body shall combine with refitting items and
additional content to conduct factor inspection against the basic vehicle model
producers and manufacturing enterprises.
Under normal circumstances, during the factory inspection, the manufacturing
national provisions; and, be defined in the certification implementation detailed-rules.
7.3 Certification evaluation and decision
Certification body shall make comprehensive evaluation for type test, initial factory
inspection results, and relevant data/information; if evaluation is passed, issue
certification certificates; if evaluation is not passed, certification shall be terminated.
7.4 Certification time-limit
Certification body shall make clear provisions to time-limit of each link for certification;
and, ensure that the relevant works are completed within the time-limit. The CLIENT
shall actively cooperate with certification activities. In general, certificate shall be
issued to the CLIENT within 90 days since certification entrusting is accepted.
8??After?€?certificate??supervision??
After-certificate supervision refers to the supervision the certification body implements
for the certified manufacturing enterprise and products.
Certification body shall combine classification management and actual situation of the
manufacturing enterprises; clearly define, in the certification implementation
detailed-rules, the specific requirements for selection of after-certification supervision
method.
8.1 After-certification follow-up inspection
8.1.1 Principle of after-certification follow-up inspection
Based on 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
continuously complies 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.
After-certification follow-up inspection shall be carried out when manufacturing
enterprises are under normal production. For non-continuously-produced products,
CLIENT shall submit the related production plan to the certification body, so that the
after-certification follow-up inspection can be effectively conducted.
The certification body shall earnestly perform its main responsibility; and for the
product conformity and standard compliance of the certified products covered by the
certificate issued by this body, carry out regular or special after-certification
supervision and random inspection. The random inspection shall fully integrate the
external quality information and the hotspots of the industry and the public. It shall use
If it adopts ?€?market sampling test or inspection?€? to implement the supervision, CLIENT,
producer, and manufacturing enterprise shall cooperate; and confirm the samples that
are sampled from market.
8.3.2 Content of market sampling test or inspection
Certification body shall formulate the content and requirements for market sampling
test or inspection in the implementation detailed-rules. The certification body shall
prepare sampling test scheme according to product characteristics; designate the
personnel to take the samples from certified products that are being sold in market
according to sampling test scheme.
8.4 Application of quality information
Enterprises shall establish the user complaint information?€?s collection, summary,
analysis and saving system; and guarantee to fully open the user complaint
information to the certification body; must no...