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