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CNCA C09-01-2023: China Compulsory Certification Implementation Rules - Information technology equipment
CNCA-C09-01:2023
CNCA / CCC
Serial No.: CNCA-C09-01:2023
China Compulsory Certification Implementation Rules -
Electronic products and safety accessories
ISSUED ON: JUNE 28, 2023
IMPLEMENTED ON: AUGUST 01, 2023
Issued by: Certification and Accreditation Administration of the People's
Republic of China
Table of Contents
0 Introduction ... 4
1 Application scope ... 4
2 Certification standards ... 4
3 Certification modes ... 5
4 Classification of certification units ... 6
4.1 General requirements... 6
4.2 Special requirements... 6
4.3 Other requirements ... 6
5 Certification entrusting ... 7
5.1 Application and acceptance of certification entrusting ... 7
5.2 Application materials ... 7
5.3 Implementation Arrangement ... 7
6 Certification implementation ... 8
6.1 Type test ... 8
6.2 Certification evaluation and approval ... 9
6.3 Time limit of the certification ... 9
7 After-certification supervision ... 9
7.1 After-certification follow-up inspection ... 10
7.2 Factory on-site sampling testing or inspection ... 10
7.3 Market sampling test or inspection ... 11
7.4 Frequency and time of after-certification supervision ... 11
7.5 Records of after-certification supervision ... 11
7.6 Evaluation on after-certification supervision ... 11
8 Certificate ... 12
8.1 Maintenance of the certificate ... 12
8.2 Change of products covered by the certificate ... 12
8.3 Expansion of products covered by the certificate ... 13
8.4 Certificate?€?s cancellation, suspension and withdrawal ... 13
8.5 Use of the certificate ... 13
9 Certification marks ... 13
9.1 Mark style permitted to use ... 14
9.2 Use of deformed mark ... 14
0 Introduction
This Rules is established based on the safety risk and certification risk of electronic
products and safety accessories. It stipulates the basic principles and requirements
for the implementation of China Compulsory Certification for electronic products and
safety accessories.
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 electronic products and safety accessories included in the
compulsory product certification catalog. 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
its proxy (Power of Attorney). For ease of reading, hereinafter abbreviated as
?€?CLIENT?€?].
4 Classification of certification units
4.1 General requirements
In principle, the certification unit shall be classified according to the product category,
type, specification, working principle, safety structure, etc. The certification body shall
clarify the specific requirements for unit division in the certification implementation
rules in accordance with the relevant regulatory documents issued by the State
Certification and Accreditation Administration (CNCA), in combination with the
classification management of manufacturing enterprises.
4.2 Special requirements
(1) Products with different working modes (such as: scanning mode, display
mode and printing mode, etc.) shall also be divided into certification units
based on different working modes;
(2) Products with display as the main function shall also be divided into
certification units based on the display size;
(3) Power supply products shall be divided into certification units based on circuit
principles and safety structures;
(4) Lithium-ion batteries shall be divided into different certification units based on
different material specifications (positive / negative electrode materials,
separators and electrolytes), safety design, shape and size, assembly mode,
nominal voltage and rated capacity (the maximum capacity within each unit
covered downward by 20%), etc.;
(5) Lithium-ion battery packs shall be divided into different certification units
based on nominal voltage, rated capacity, type of constituent cells, series /
parallel connection mode of constituent cells, design layout of protection
circuit, and built-in / external type, etc.;
(6) Mobile power supplies shall be divided into different certification units based
on specifications, working principles, safety structures, output / input modes,
type of constituent cells, series / parallel connection mode of constituent cells,
and design layout of protection circuit, etc.
4.3 Other requirements
For the same product produced by the same manufacturer and different
manufacturing enterprises (excluding lithium-ion cells and batteries), or different
manufacturers and the same manufacturing enterprise, type test can only be
conducted on the sample of one unit. Products from other manufacturing enterprises /
manufacturers need to provide data for consistency verification.
The same lithium-ion cells and batteries produced by the same manufacturer and
different manufacturing enterprises shall be respectively subject to the type test.
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 initial factory inspection, the
CLIENT shall 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 links 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 scheme of certification implementation and INFORM
CLIENT.
6.1.4 Implementation of type test
In principle, type test shall be conducted in the laboratory designated by CNCA.
Laboratory shall conduct the type test to the samples, integrally record the whole test
and archive for retaining, so that the test process and results are traceable.
On the premise of not affecting the validity of the certification results, 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 test or witness test by the test
personnel sent by the designated laboratory according to the standards?€? requirements;
and designated laboratory will issue the test report. The laboratory shall ensure the
authenticity, correctness and traceability of the test results. Certification body shall
clarify the specific requirements and procedure in certification implementation
detailed-rules.
6.1.5 Type test report
Certification body shall specify a unified form of the type test report.
After the type test is completed, the laboratory shall, in time, provide the type test reports
to certification body and CLIENT. The test report shall include the description of all
product and certification information in the application unit. CLIENT shall ensure that it is
able to provide the complete and valid type test report to certification body and laws
enforcement authorities during the after-certification supervision.
6.2 Certification evaluation and approval
Certification body shall make a comprehensive evaluation to the type test conclusions
and relevant information / materials and make a decision on the certification. For
those meeting the certification requirements, the certificate will be granted. In the case
of a nonconformity conclusion, the certification body shall not approve the certification
entrusting and the certification is terminated.
6.3 Time limit of the certification
Certification body shall make specific provisions on each link of the certification, and
make sure that all relevant work is done within the time limit. CLIENT shall actively
cooperate with the certification body. In general, for those meeting the certification
requirements, 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 mode 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, on the basis of classification management of manufacturing
enterprise, implement the effective follow-up inspection to the certified product and
manufacturing enterprise, so as to validate that the quality assurance capability 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 to
be inspected. For those products that are not continuously manufactured, CLIENT
shall provide the relevant 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 shall formulate specific contents, such as: after-certification
follow-up inspection requirements, product consistency inspection requirements and
manufacturing enterprise?€?s quality control testing requirements according to ?€?China
Compulsory Certification Implementation Rules ?€? Requirements for Enterprise Quality
Assurance Capability?€?, and clarify them clearly in certification implementation
detailed-rules.
7.2 Factory on-site sampling testing or inspection
7.2.1 Principles of factory on-site sampling test or inspection
Factory on-site sampling test or inspection shall cover all certified categories.
If it adopts ?€?factory 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 factory on-site sampling test or inspection
Certification body shall clarify the specific contents and requirements of factory on-site
sampling test or inspection in the certification implementation detailed-rules.
For those that require testing, the manufacturing enterprise shall send samples to
designated laboratory for testing. Certification body can formulate corresponding
8 Certificate
8.1 Maintenance of the certificate
This Rules covers the 5-year valid period of product certificate. Within the valid period,
the maintenance of the validity of the certificate depends on the ?€?after-certification
supervision?€? of the certification body.
Before the certification is expired, if it needs to continue to use, CLIENT shall put
forward the certification entrusting within 90 days before the expiry date. If the newest
?€?after-certification supervision?€?, within the certificate validity, is PASS, then certification
body shall directly renew the certificate after receiving the certification entrusting.
8.2 Change of products covered by the certificate
After certification, if critical components and raw materials used in the product, design
and electrical structure involving product safety is changed, or other item, that was
specified by the certification body in the certification implementation detailed-rules, is
changed, CLIENT shall put forward a ?€?change?€? entrusting to certification body. Only
after the approval of certification body, may the change be implemented.
8.2.1 Change entrusting and requirements
Certification body shall clearly specify the certificat...