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CNCA C08-01-2014: China Compulsory Certification Implementation Rules - Audio and video equipment
CNCA-C08-01:2014
Serial No.: CNCA-C08-01:2014
CNCA-C08-01-2014
China Compulsory Certification Implementation Rules -
Audio and video equipment
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ISSUED ON: JULY 16, 2014
IMPLEMENTED ON: SEPTEMBER 01, 2014
Issued by: Certification and Accreditation Administration of the People's
Republic of China
Table of Contents
0 Introduction ... 3??
1 Application scope ... 3??
2 Certification standards ... 3??
3 Certification modes ... 4??
4 Classification of certification units ... 5??
5 Certification entrusting ... 5??
5.1 Application and acceptance of certification entrusting ... 5??
5.2 Application materials ... 5??
5.3 Implementation arrangement ... 6??
6 Certification implementation ... 6??
6.1 Type test ... 6??
6.2 Certification evaluation and approval ... 7??
6.3 Time limit of the certification ... 8??
7 After-certification supervision ... 8??
7.1 After-certification follow-up inspection ... 8??
7.2 Production on-site sampling test or inspection ... 8??
7.3 Market sampling test or inspection ... 9??
7.4 Frequency and time of after-certification supervision ... 9??
7.5 Records of after-certification supervision ... 9??
7.6 Evaluation on after-certification supervision ... 9??
8 Certificate ... 10??
8.1 Maintenance of the certificate ... 10??
8.2 Change of products covered by the certificate... 10??
8.3 Expansion of products covered by the certificate ... 11??
8.4 Certificate?€?s cancellation, suspension and withdrawal ... 11??
8.5 Use of the certificate ... 11??
9 Certification marks ... 11??
9.1 Permitted mark style ... 11??
9.2 Mark method ... 12??
10 Charges ... 12??
11 Certification responsibility ... 12??
12 Certification implementation detailed-rules ... 12??
0 Introduction
This Rules is established based on the safety risk and certification risk of audio and video
equipment. It stipulates the basic principles and requirements for the implementation of China
Compulsory Certification for audio and video equipment.
This Rules can be used with other general 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 make principles for certification according to the general
implementation rules and this Rules and implement them accordingly.
Manufacturing enterprise shall ensure that their certified products are capable of sustaining
the compliance with the certification and are compatible with the requirements of the
standards.
1 Application scope
This Rules applies to audio and video equipment, including the following product categories:
single-speaker and multi-speaker active soundboxes with a total output power below 500W
(RMS); audio power amplifiers; tuning receivers and radios in various broadcast bands; audio
and video recording, playback and processing equipment in various carrier forms (including
various types of optical discs, tapes, hard disks, etc.); combinations of the above four types of
equipment; power adapters (including chargers/dischargers) for audio and video equipment;
color TV receivers with various imaging methods; monitors; picture (display) tubes; video
recorders; electronic organs; antenna amplifiers.
Due to the changes in the laws, 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
Manufacturer or its proxy (Power of Attorney). For ease of reading, hereinafter abbreviated as
?€?CLIENT?€?].
4 Classification of certification units
In principle, the certification unit shall be classified according to the product category, type,
specification, working principle, safety structure, etc. However, for products with display
screens, the certification unit shall be divided by screen-size. For power supplies and audio
power amplifiers, the certification unit shall be divided by power. For products with different
working methods, the certification unit shall be divided according to the working methods
(such as display mode, explosion-proof mode, etc.). For the same-product that is of
same-manufacturer but of different manufacturing enterprises, or for the same-model product
that is of different manufacturers and of same-manufacturing enterprise, it may consider to
only conduct the type test on the samples of 1 unit. The products of other manufacturing
enterprises / manufacturers shall provide documents for conformity inspection.
According to relevant regulations and documents issued by CNCA, combining the
classification management of manufacturing enterprise, certification body shall define the
relevant requirements for unit classification in the certification implementation detailed-rules.
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 other
requirements, specify the checklist of application materials in the implementation
detailed-rules (it shall at least include certification application form or contract, registration
certificates of the CLIENT / manufacturer / manufacturing enterprise, etc.).
For manufacturing enterprises that do not involve the enterprise quality assurance capability
and the product consistency inspection (initial factory inspection). the certification body may
also require the CLIENT to submit a self-assessment report on the factory's quality assurance
capability.
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 auditing results.
5.3 Implementation arrangement
Certification body shall agree with the CLIENT on the relevant responsibilities and
arrangement of various aspects 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.
6 Certification implementation
6.1 Type test
6.1.1 Type test plan
Certification body shall formulate the type test plan, after auditing the materials. And
INFORM the CLIENT. CLIENT may voluntarily select the designated laboratory.
Type test plan includes all samples?€? requirements and quantity, test standard items, laboratory
information etc.
6.1.2 Sample requirements of type test
Certification body shall clearly clarify the relevant requirements for product sample
submission / sampling in the implementation detailed-rules. In general, according to the
requirements of certification body, samples of type test shall be submitted by the CLIENT
with representative samples for test. When necessary, certification body may adopt on-site
sampling / seal-samples method to obtain the samples.
CLIENT shall guarantee that all the samples provided are consistent with actual products.
Certification body and laboratory shall inspect the authenticity of the samples. If laboratory
has any doubt on the authenticity of the samples, it shall explain the situation to certification
body and handle accordingly.
According to relevant regulations and documents issued by CNCA, certification body shall, in
the certification implementation detailed-rules, define the relevant requirements for ?€?product
critical components and raw materials list?€?.
For critical components and raw materials within the scope of the compulsory product
certificate purchased in the territory, the manufacturing enterprise shall provide the
compulsory product certificate. For critical components and raw materials within the scope of
non-compulsory product certificate, the certification body shall define the conditions and
specific requirements of voluntary product certificate or type test report that may be accepted
6.3 Time limit of the certification
Certification body shall make specific provisions on each steps of the certification, and
determine all relevant work to be done within the time limit. CLIENT shall cooperate with the
certification body actively. In general, certificate will be granted to CLIENT within 90 days,
since the certification entrusting is accepted.
7 After-certification supervision
After-certification supervision refers to the supervision implemented to the certified product
and manufacturing enterprise. Certification body shall consider the classification management
and actual situation of the manufacturing enterprise, and 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 for after-certification follow-up inspection
Certification body shall implement the effective follow-up inspection to the certified product
and manufacturing enterprise, so as to validate that the quality assurance capacity of the
manufacturing enterprise can continuously comply with the certification requirements; and
ensure that the certified products are in accordance with standards?€? requirements; and
maintain the conformity with type test samples.
When the after-certification follow-up inspection shall be conducted during the normal
production of manufacturing enterprise, ?€?no-advance notice?€? is preferred. For those products
that are not continuously manufactured, CLIENT shall provide the production plan to
certification body so that the follow-up inspection can be conducted in an effective way.
7.1.2 Content of after-certification follow-up inspection
Certification body can formulate specific contents such as after-certification follow-up
inspection requirements, product consistency inspection requirements and production
enterprise?€?s quality control testing requirements according to ?€?China Compulsory
Certification Implementation Rules - Utilization of Manufacturing Enterprise Testing
Resource and Other Certification Results?€?; and clarify them clearly in certification
implementation detailed-rules.
7.2 Production on-site sampling test or inspection
7.2.1 Principles of production on-site sampling test or inspection
Production on-site sampling test or inspection shall cover all certified categories.
If it adopts ?€?production on-site sampling test or inspection?€? to implement the
after-certification supervision, then CLIENT, manufacturer and manufacturing enterprise shall
cooperate.
7.2.2 Contents of production on-site sampling test or inspection
Certification body shall formulate the contents and requirements of production on-site
sampling test or inspection in the certification implementation detailed-rules; the
manufacturing enterprise shall send the sample to the designated laboratory for testing.
Certification body can formulate corresponding management procedures according to ?€?China
Compulsory Certification Implementation Rules - Utilization of Manufacturing Enterprise
Testing Resource and Other Certification Results?€?, and use the testing resources of the
manufacturing enterprise to conduct production on-site sampling test (or witness test); and
designated laboratory will issue the test report. Certification body shall specify the
requirements and procedure in certification implementation detailed-rules.
7.3 Market sampling test or inspection
7.3.1 Principles for market sampling test or inspection
Market sampling test or inspection shall cover the certified product in a certain percentage.
If it adopts ?€?market sampling test or inspection?€? to implement the supervision, CLIENT,
manufacturer and manufacturing enterprise shall cooperate; and confirm the samples that are
sampled from market.
7.3.2 Contents of market sampling test or inspection
Certification body shall formulate the contents and requirements of market sampling test or
inspection in the certification implementation detailed-rules.
7.4 Frequency and time of after-certification supervision
Based on manufacturing enterprise classification management, certification body shall adopt
different frequency of after-certification supervision to different types of manufacturing
enterprises. The supervision time shall be made in a reasonable way. Detailed requirements
shall be specified in the certification implementation detailed-rules.
7.5 Records of after-certification supervision
Certification body shall appropriately record and archive the process of after-certification
supervision, so that the process and results are traceable.
7.6 Evaluation on after-certification supervision
Certification body shall comprehensively evaluate the conclusion of follow-up inspection;
conclusion of sampling test or inspection; 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 certific...