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0 Introduction Implementation rules for compulsory product certification - Motor vehicles (hereinafter referred to as “the Rules”) is developed based on safety risks and certification risks of motor vehicles. The Rules specifies the basic principles and requirements for compulsory certification of all vehicles within its application scope to ensure the continued compliance of the certified vehicles with laws, regulations and standards. The Rules shall be used in conjunction with the general implementation rules issued by Certification and Accreditation Administration of the People's Republic of China (CNCA), such as Implementation Rules for Compulsory Product Certification - Manufacturing Enterprise Classification Management, Certification Mode Selection and Determination, Implementation rules for compulsory product certification - Utilization of testing resources and other certification results of production enterprises, Implementation rules for compulsory product certification - General requirements for factory inspection. The certification body shall, in accordance with the requirements of general implementation rules and the Rules, prepare detailed rules for the implementation of certification, which shall be implemented together with the general implementation rules and the Rules. The manufacturing enterprise shall ensure the continued compliance of its certified products with the requirements of the certification and applicable standards. 1 Application scope The Rules is applicable to Categories M and N motor vehicles and Category O trailers (including complete vehicles and incomplete vehicles) that can travel on highways and urban roads in China. The Rules is not applicable to the low-speed vehicles (a generic term for tri-wheel vehicles and low-speed goods vehicles), vehicles running on rails, trolleybuses, as well as wheel mobile machinery vehicles for special purposes, tractors for agriculture and forestry, engineering machinery and Type III chassis that are not mainly used for traveling on roads, but for operation and construction of closed roads and workplaces. Any adjustment to the application scope caused by any change(s) in laws and regulations, related product standards, technologies, industrial polices and other factors shall be subject to the announcement issued by the CNCA. For vehicles that are exempted from certification due to scientific research, testing, or the need of providing samples for certification testing, etc., the "Administrative Regulations on Compulsory Product Certification" and the relevant regulations of CNCA shall be implemented. 2 Terms and definitions For definitions of vehicles, see GB/T 3730.1 Motor vehicles and trailers — Types — Terms and definitions, GB/T 17350 Terms marks and designation for special purpose vehicles and special trailers, and GB 7258 Technical specifications for safety of power-driven vehicles operating on roads. For the classification of vehicles, see GB/T 15089 Classification of power-driven vehicles and trailers. Other terms are given as follows: 2.1 Complete vehicles: vehicles that have intended functions without any manufacturing. 2.2 Incomplete vehicles: vehicles that need to be further manufactured to have intended functions. 2.3 Vehicles manufactured in two or more stages: vehicles that have intended functions after multi-stage manufacturing. 2.4 Basic vehicles: complete vehicles and Type II chassis that are used in modification. 2.5 Parts: the smallest independent units that constitute the assembly, system and vehicle. E.g., the lens in the rearview mirror assembly. 2.6 Assembly: a complex, with certain functions, that is composed of parts. It can be independent or a part of the vehicle or system, such as headlamp assembly and steering wheel assembly in steering system. 2.7 Parts and components: a generic term for parts and assembly. 2.8 System: a complex, with certain functions, that is composed of parts and assemblies. E.g., steering system and braking system. 2.9 Type II chassis: incomplete vehicles that can become complete vehicles after being installed with the loading platform or operating equipment. 2.10 Type III chassis: incomplete vehicles that can become complete vehicles after being installed with the driving cab, loading platform or operating equipment and integral vehicle body. 2.11 Mass-produced vehicles: vehicles produced in batches and on a large scale. 2.12 Non-mass-produced vehicles: vehicles that are not produced on a large scale, and the annual production volume or import volume of which covered by each certification certificate is not more than 500. 2.13 Modified vehicles: vehicles that are modified on complete vehicles and Type II chassis ①. 2.14 Parallel import vehicles: vehicles that are imported from abroad by an importer other than the main dealer outside the authorized sales system of vehicle manufacturers, which are sold in the channel "parallel" ② to that of the domestic authorized dealers. Note ①: The terms and definitions apply only for the purpose of the Rules, and can be used in combination, for example, modified non-mass produced vehicles and non-mass-produced modified complete vehicles. Note ②: Parallel import vehicles are not customized for Chinese market compared to the ones from the general import channel, and are consequently often subjected to compliance rectification according to national standards when entering the Chinese market. Parallel import vehicles are generally non-mass-produced vehicles. The quantity requirement of the non-mass-produced vehicle certification mode can be canceled when the designated certification body confirms that the consistency of the applied vehicle certification is effectively managed. 3 Certification standards The standards for the certification testing in accordance with the Rules are given in Attachment 1. In principle, the standards used for certification and testing shall be the latest editions issued by the national competent administrative department of standardization, in which the certification body shall specify in the detailed rules the year number and clause number of the standard on which it is based. Any addition, reduction or use of other editions of the standards, where necessary, shall be subject to the announcement issued by CNCA. 4 Certification modes 4.1 Basic mode: Type test + initial factory inspection (enterprise quality assurance capacity and product consistency inspection) + post-certification supervision The basic certification mode stipulated in the Rules is determined according to the inherent safety risk characteristics of products and the production processes commonly adopted by the manufacturing enterprises, based on the premise of good faith and self-discipline, effective management and stable production of the manufacturing enterprises. The certification bodies shall implement the classified management on the manufacturing enterprises in accordance with the requirements of the Rules for the implementation of compulsory product certification - Manufacturing enterprise classification management, certification mode selection and determination and add certification elements based on the basic certification mode in combination with the classified management results, so as to determine the applicable certification mode for the applicant. The quality assurance capacity and product consistency inspection of mass-produced vehicle enterprises shall be carried out according to the mode of production conformity inspection; for the non-mass-produced vehicle enterprises, the quality assurance capacity and product consistency inspection shall be carried out by adding sampling testing or inspection on production site or port site of the enterprise. The post-certification supervision mode shall be one of the follow-up inspection, sampling testing or inspection on production or port site, sampling testing or inspection on the market, or their combinations. 4.2 Single vehicle certification: 100% inspection This mode is applicable to small quantities of imported products for production and daily consumption that have not obtained compulsory product certification due to special purpose or special reasons③. The certification body shall formulate the corresponding implementation rules in accordance with the relevant national policies and regulations. Note ③: Scope of application for special purposes or for special reasons includes anti-terrorism safety, emergency rescue and disaster relief, emergency command, sports competition, road test, major national production and construction projects, and use of end-users (the import purpose or use specified in the import license must be for the unit or individual's own use). 5 Certification unit division Vehicle products are divided according to model series or units, and the basis for division is shown in Attachment 3. The applicant shall file the application for certification based on the model series or unit. Products applied for certification under the single vehicle certification mode are not divided by units, and certificates are issued by model and specific vehicle identification code to ensure that each vehicle shall have a certificate. 6 Application for certification 6.1 Submission and acceptance of application for certification The applicant shall apply to the certification body for certification in proper manner, and the certification body shall handle the application for certification and inform applicant whether it accepts or rejects the application within the time limit specified in the implementation rules for certification. The applicant shall be able to bear the quality and legal responsibilities including product recall, warranty, etc. The manufacturers and the manufacturing enterprises of motor vehicles and trailers who apply for the certification shall be able to perform normal production, and meet the requirements of national laws and regulations and relevant industrial policies. 6.2 Application documents The certification body shall specify the list of application documents (at least including contents specified in Attachment 4 to the Rules) in the implementation rules for certification, according to the requirements of laws and regulations, standards and the Rules. The applicant shall provide the necessary documents in accordance with the list of application documents given in the implementation rules for certification. The certification body is in charge of the review, management, preservation and confidentiality of relevant documents, and shall inform the applicants of the results. 6.3 Implementation arrangements The certification body shall reach an agreement with the applicant on their relevant responsibilities and arrangements in each link of implementing the certification, and determine the specific scheme for implementation of the certification and inform the applicant according to the actual situations and classified management of the manufacturing enterprises and the requirements of the Rules and the implementation rules for certification. The certification scheme shall at least include type test requirements and initial factory inspection requirements (where applicable). 7 Implementation of certification 7.1 Type test 7.1.1 Type test plan The certification body of the type test plan shall formulate a type test scheme after reviewing the data, and inform the certification applicant. In terms of the test plan, the opinions of the applicant shall be consulted. A type test plan covers the requirements & quantities of samples, type test items, information of the undertaking laboratory, etc. The type test shall be undertaken by the laboratory designated by the CNCA, and the applicant may voluntarily select among the laboratories designated by the CNCA. On the premise of evaluating the ability of the certification applicant and the overall risk of the certified product, the certification body can start product certification in the conceptual design stage, and formulate the certification scheme according to the design process, trial production and testing capabilities of the enterprise. 7.1.2 Requirements for type test samples Under normal circumstances, the applicant shall prepare samples and deliver to the designated laboratory according to the requirements of the type test plan. Where necessary, according to the actual situation of the manufacturing enterprise and the situations of the classified management, the certification body may obtain samples by on-site sampling according to the requirements of the type test plan and send them to the designated laboratory. The selection of samples shall be based on whether the test items of the vehicle series are of the same type or not, and one sample may be selected for items that can be judged as the same type. For items that cannot be judged as the same type, samples shall be selected separately, and the corresponding test samples of all test items shall be integrated to determine the total sample quantity and requirements. See Attachment 5 for sample quantity and requirements. The certification applicant shall ensure that the sample it provides can be produced normally and is consistent with the actual product. The certification body and/or the laboratory shall review the authenticity of the samples provided by the certification applicant. In case of any doubt about the authenticity of the samples, the laboratory shall explain the reasons to the certification body, and carry out corresponding treatment. 7.1.3 Type test items and requirements The certification applicant, jointly with the laboratory, shall confirm the test items in accordance with the requirements of the Rules and in combination with the types and uses of its vehicles applied for certification. See Attachment 1-1 for the test items and regulations for mass-produced and non-mass-produced vehicles; see Attachment 1-2 for other regulations of parallel import vehicles; see Attachment 1-3 for test items and regulations for single vehicle certification. 7.1.4 Implementation of type test The type test shall be carried out after the certification body confirms that the application documents submitted by the applicant are complete and a test plan is developed. The laboratory shall carry out type test on the sample, ensure the authenticity and accuracy of test conclusion, make a complete record of the whole test process, and keep it on file, so as to ensure the traceability of the test process and results. For the rejected test item, if any, the test can be carried out again after rectification upon the analysis on causes of the rejection. Where re-test is required, the laboratory shall inform the certification body of test conditions and the certification body shall re-confirm the test plan. For products that have obtained compulsory product certification (including self-declaration), the results shall be directly recognized; for recognition of the test results of other conformity assessment systems, the certification body shall specify the relevant requirements in the implementation rules. 7.1.4.1 If the manufacturing enterprise meets the testing conditions specified in the Implementation rules for compulsory product certification - Utilization of testing resources and other certification results of manufacturing enterprises and certification standards, the certification body may use the testing resources of the manufacturing enterprise to implement sampling testing on production site (or witness testing), and the designated laboratory shall issue the testing report. The certification body shall specify specific requirements and procedures in the implementation rules for certification. 7.1.4.2 For qualified enterprises, some of the certification projects can take the form of certification of design. The certification body, the certification applicant and the laboratory may jointly develop a scheme in the product design stage, using reviews, verification and other ways to confirm the product's compliance with the design and certification standards. A certification of design report jointly issued by the parties involved will be accepted as the credible type test result. The certification body shall carry out certification of design in accordance with Attachment 2-1. 7.1.4.3 For the same type of products produced by the same manufacturer in different production sites, on the premise of ensuring the consistency of production, the type test process can be simplified and the same type test items can be reduced or exempted. 7.1.4.4 For some type test items, the company's self-declaration method will be used instead of testing, and the certification body will strengthen the post-certification supervision and random checking according to Attachment 1-4. 7.1.4.5 For the motor vehicle products adopting new technologies, it shall be ensured at least that their performance in safety, environmental protection and other aspects are not lower than the compulsory certification requirements of vehicle products. If the implementation rules for compulsory certification of relevant vehicle components are involved, they shall also meet the requirements of the corresponding implementation rules. The certification implementation of new technology products shall be carried out in accordance with Attachment 2-2. Contents 0 Introduction 1 Application scope 2 Terms and definitions 3 Certification criteria 4 Certification mode 5 Certification unit division 6 Certification entrustment 7 Certification implementation 8 Supervision after certification 9 Certificate 10 Certification mark and vehicle conformity certificate 11 Charges 12 Certification responsibilities 13 Rules for implementation of certification Attachment 1 Certification Items and Requirements Attachment 1-1 Type test items and standards Attachment 1-2 Type test of parallel imported vehicles Attachment 1-3 Certification test items and standards for individual vehicles Attachment 1-4 Implementation procedures for self-commitment mode of environmental protection Attachment 1 Annex A Implementation procedure for parallel management of average fuel Consumption and new energy vehicle points for passenger vehicle enterprises Attachment 2 Certification implementation Attachment 2-1 Implementation procedure for automobile design evaluation Attachment 2-2 Implementation procedures for new technology product certification Attachment 3 Classification basis for model series, units and models Attachment 4 Data required for certification Attachment 4 Annex A Vehicle structure and technical parameters Attachment 4 Annex B Individual vehicle certification structure and technical parameter table Attachment 5 Sample delivery requirements and sample details Attachment 6 Factory inspection requirements Attachment 6 Annex A Review of conformity of vehicle structure and technical parameters Attachment 7 Inspection items for conformity verification of non-mass produced vehicles Attachment 8 Vehicle conformity certificate Attachment 8 Annex A Technical parameters for vehicle conformity of automotive products Attachment 8 Annex B Conformity technical parameter styles of M1 and M1G complete single-stage vehicles 0 引言 本规则基于汽车产品的安全风险和认证风险制定,规定了包含对 其适用范围内的所有车辆实施强制性认证的基本原则和要求,其目的 是保证认证车辆持续符合法律、法规及标准要求。 本规则与认监委发布的《强制性产品认证实施规则生产企业分类 管理、认证模式选择与确定》、《强制性产品认证实施规则生产企业 检测资源及其他认证结果的利用》、《强制性产品认证实施规则 工厂检查通用要求》等通用实施规则配套使用。 认证机构应依据通用实施规则和本规则的要求,编制认证实施细 则,配套通用实施规则和本规则共同实施。 生产企业应确保所生产的获证产品能够持续符合认证及适用标准 要求。 1 适用范围 本规则适用于可在中国公路及城市道路上行驶的 M 类汽车、N 类 汽车和 O 类挂车(包括完整车辆和非完整车辆)。 本规则不适用于低速汽车(三轮汽车和低速货车的总称)、在轨 道上行驶的车辆、无轨电车、设计上不在道路上行驶和使用而主要用 于封闭道路和场所作业施工的轮式专用机械车、农业和林业用拖拉机、 工程机械、三类底盘。 由于法律法规或相关产品标准、技术、产业政策等因素发生变化 所引起的适用范围调整,应以认监委发布的公告为准。 对于因科研、测试、认证检测所需样品等原因申请认证免予办理的车辆应按照《强制性产品认证管理规定》及认监委的有关规定执行。 2 术语和定义 车辆的定义见 GB/T 3730.1《汽车和挂车类型的术语和定义》、 GB/T 17350《专用汽车和专用半挂车术语和代号》和 GB 7258《机动 车安全运行技术条件》;车辆的分类见 GB/T 15089《机动车辆及挂车 分类》;其它术语如下: 2.1 完整车辆:不需要进行任何制造就具备了预期使用功能的车辆。 2.2 非完整车辆:需要再进一步制造才具备预期使用功能的车辆。 2.3 多阶段制造车辆:通过多阶段制造,具备了预期使用功能的车辆。 2.4 基本车辆:改装时所使用的完整车辆及二类底盘。 2.5 零件:组成总成、系统、车辆的最小独立单元。如后视镜总成中 的镜片。 2.6 总成:由零件组成的具有某种功能的组合体。可以是独立的,也 可以是车辆、系统的一部分,如前照灯总成、转向系统中的方向盘总成。 2.7 零部件:零件和总成的统称。 2.8 系统:由零件、总成组成的具有某种功能的组合体。如转向系统、 制动系统。 2.9 二类底盘:安装载货平台或作业设备就可以成为完整车辆的非完 整车辆。 2.10 三类底盘:安装驾驶室和载货平台或作业设备、整体式车身就可 以成为完整车辆的非完整车辆。 2.11 量产车:批量化、规模化生产的车辆。 2.12 非量产车:非规模化生产的车辆,每张认证证书覆盖车辆年生产量或进口量不大于 500 台。 2.13 改装车:在完整车辆及二类底盘上进行改装生产的车辆①。 2.14 平行进口汽车:是指在汽车生产厂商授权销售体系之外,由除总 经销商以外的其他进口商从境外进口的汽车,与国内授权经销商渠道 “平行”②。 注①:术语和定义仅适用于本规则,可以组合使用,如:非量产改装车,非量产完 整车辆改装车。 注②:平行进口汽车相比一般进口渠道并非专为我国市场定制,进入国内市场时往 往需要根据国家标准进行符合性整改。平行进口汽车一般情况下属于非量产车。在经指 定认证机构确认已对申请认证车辆的一致性实施有效管理情况下,可取消非量产车认证 模式下数量的限制。 3 认证依据标准 本规则认证检测所依据的标准见附件 1。 原则上,认证检测所依据的标准应执行国家标准化行政主管部门发布的最新版本,认证机构应在细则中明确所依据标准的年代号和条 款号。当增加、减少依据标准或使用标准的其他版本时,则应由认监 委发布相应的公告并按公告执行。 4.1 基本模式:型式试验+初始工厂检查(企业质量保证能力和产品一 致性检查)+获证后监督本实施规则规定的基本认证模式,是以生产企业诚信自律、有效 管理、稳定生产为前提,基于产品的固有安全风险特点和生产企业普 遍采用的生产工艺确定的认证模式。认证机构应按照《强制性产品认 证实施规则 生产企业分类管理、认证模式选择与确定》的要求对生产 企业实施分类管理,并结合分类管理结果在基本认证模式的基础上增加认证要素,以确定认证委托人所能适用的认证模式。 量产车企业质量保证能力和产品一致性检查按照生产一致性检查 方式进行; 非量产车企业质量保证能力和产品一致性检查,应增加生产现场 或口岸现场抽样检测或者检查。 获证后监督方式为获证后的跟踪检查、生产或口岸现场抽样检测 或检查、市场抽样检测或检查三种方式之一或各种组合。 4.2 单车认证:100%检验 适用于因特殊用途或因特殊原因而未获得强制性产品认证的小批量用于生产和生活消费的进口产品。由认证机构根据国家相关政策 和规定制定相应的实施细则。 注:因反恐安全、抢险救灾、应急指挥、体育竞技、道路试验、国家重大生产建 设项目和最终用户使用(进口许可证上列明的进口目的或使用用途须为单位或个人自用) 的。 车辆产品按照车型系列或单元进行划分,划分依据见附件 3。认 证委托人依据车型系列或单元提出认证委托。 采用单车认证模式申请的产品不进行单元划分,以型号和具体车 辆识别代号为单位颁发证书,一车一证。 6 认证委托 6.1 认证委托的提出和受理 认证委托人需以适当的方式向认证机构提出认证委托,认证机构应对认证委托进行处理,并按照认证实施细则中的时限要求反馈受理 或不予受理的信息。 认证委托人应能够承担召回、三包等相关质量及法律责任。委托 认证的汽车和挂车产品生产者(制造商)和生产企业应能正常生产, 并符合国家法律法规及相关产业政策要求。 6.2 申请资料 认证机构应根据法律法规、标准及本规则要求在认证实施细则中 明确申请资料清单,至少应包括本规则附件 4 所要求内容。 认证委托人应按认证实施细则中申请资料清单的要求提供所需资 料。认证机构负责审查、管理、保存、保密有关资料,并将资料评审结果告知认证委托人。 6.3 实施安排 实施安排和责任,并根据生产企业实际和分类管理情况,按照本规则及认证 实施细则的要求,确定认证实施的具体方案并告知认证委托人。认证 方案应至少包括型式试验要求、初始工厂检查要求(适用时)。 7 认证实施 7.1 型式试验 7.1.1 型式试验方案 认证机构应在进行资料审核后制定型式试验方案,并告知认证委托人。试验方案应征询认证委托人的意见。 型式试验方案包括型式试验项目、样品要求和数量、承担型式试验的实验室等。型式试验由认监委指定的实验室承担,认证委托人可 在认监委指定的实验室中自行选择。 认证机构可以在评估认证委托人能力及认证产品整体风险的前提 下,在产品的概念设计阶段开始介入并实施产品认证,根据企业的设 计流程、试制和试验能力,采用设计鉴定模式,制定认证方案。 7.1.2 型式试验样品要求通常情况下,认证委托人按型式试验方案要求准备样品并送至指 定实验室;必要时,根据生产企业实际和分类管理情况,认证机构可 按型式试验方案要求采取现场抽样的方式获得样品并送往指定的实验室。 样品的选取以该车型系列检测项目是否为同一型式为判定原则,检测项目应分别选取样品,综合所有检测项目对应的试验样品,确定总的样 品数量和要求。样品数量和要求见附件 5。 认证委托人应保证其所提供的样品是能正常生产的且与实际生 产的产品一致。认证机构和/或实验室应对认证委托人提供样品的真 实性进行审查。实验室对样品真实性有疑义的,应当向认证机构说明 情况,并做出相应处理。 7.1.3 型式试验项目及规定 认证机构会同实验室根据本规则的规定,结合认证委托人申请认证车辆的类别和用途来确认检测项目。 量产车和非量产车的检测项目及规定见附件 1-1;平行进口汽车的其他规定见附件 1-2;单车认证的检测项目及规定见附件 1-3。 7.1.4 型式试验的实施型式试验在认证机构确认认证委托人所提交的申请资料齐全并制 定试验方案后进行。 实验室对样品进行型式试验,应确保检测结论真实、准确,对检测全过程做出完整记录并归档留存,以保证检测过程和结果具有可追溯性。 若有检测项目不合格,允许在对不合格产生原因分析后进行整改, 整改完成后重新进行检测。凡需重新检测的,实验室须将试验情况通 报认证机构,由认证机构重新确认试验方案。 对于已获得强制性产品认证(含自我声明)的产品,应直接承认其结果;对于承认其他合格评定制度检测结果的,认证机构应在实施 细则中细化相关要求。 7.1.4.1 如生产企业具备《强制性产品认证实施规则 生产企业检测资 源及其他认证结果的利用要求》和认证标准要求的检测条件,认证机 构可利用生产企业检测资源实施生产现场抽样检测(或目击检测), 并由指定实验室出具检测报告。认证机构应在认证实施细则中明确具 体要求及程序。 7.1.4.2 对于具备条件的企业,部分项目可以采用设计鉴定方式开展, 由认证机构会同认证委托人及实验室共同制定方案,在产品设计阶段 采用评审、验证等方式确认设计与认证标准的符合性,并共同出具设 计鉴定报告,作为型式试验结果予以采信。认证机构应依据附件 2-1 开展设计鉴定。 7.1.4.3 对于同一制造商下的不同生产场地生产的同一型号产品,在 确保生产一致性的前提下,简化型式试验流程,减免相同部分的检测 项目。 7.1.4.4对部分型式试验项目采用企业自我承诺方式代替检测,由认证 机构加严获证后监督抽查,依据附件1-4开展。 7.1.4.5 采用新技术的汽车产品至少应保证其安全、环保等特性不低 于汽车产品强制性认证要求,如涉及到相关车辆部件强制性认证实施 规则的,还要符合相对应的实施规则要求。对于新技术产品在认证中 的实施应依据附件 2-2 开展。 7.1.5 型式试验报告 认证机构应规定统一的型式试验报告格式。 型式试验结束后,实验室应及时向认证机构、认证委托人出具型式试验报告。试验报告应包含对申请单元内产品与认证相关信息的描 述。认证委托人应确保在获证后监督时能够向认证机构和执法机构提 供完整有效的型式试验报告。 7.2 初始工厂检查 初始工厂检查是认证机构为确定生产企业质量保证能力、产品一致性和标准符合性控制能否符合认证要求而开展的现场检查和评价。 一般初始工厂检查应在型式试验合格后进行。根据需要,型式试 验和初始工厂检查也可以同时进行。 7.2.1 基本原则 认证委托人和生产企业应按附件 6 建立、实施并持续保持企业产 品一致性和标准符合性控制体系,以确保认证产品持续满足认证要求。 认证机构应按照《强制性产品认证实施规则 工厂质量保证能力要 求》及《强制性产品认证实施规则 工厂检查通用要求》等要求在实施 细则中明确量产车生产企业及非量产车生产企业工厂检查要求,对生 产企业的生产一致性控制体系进行符合性检查。检查应覆盖所申请认 证的产品以及所申请认证产品的加工场所。必要时,认证机构可到生 产企业以外的场所实施延伸检查。初始工厂检查原则上应在型式试验 合格后一年之内完成。 7.2.2 量产车工厂检查 按生产一致性控制计划审查+生产一致性工厂现场检查方式进行。 7.2.2.1 生产一致性控制计划审查 量产车生产企业应按本规则附件 6 要求制定生产一致性控制计划, 并提交认证机构进行审查。认证机构应将审查结果告知认证委托人。 当生产一致性控制计划能够满足本规则附件 6 生产一致性审查要 求的,生产一致性控制计划的审查通过。如认证机构认为生产一致性 控制计划存在缺陷,生产企业应进行整改并重新提交。认证机构重新 审查后将审查结果告知认证委托人。 若认证机构和生产企业对生产一致性控制计划不能达成一致,生 产企业在同意并保证配合认证机构进行产品后续抽样检测复核的前提 下,认证机构可接受生产企业的生产一致性控制计划。 生产企业制定的生产一致性控制计划审查通过后,认证机构根据 其编制生产一致性检查(工厂现场检查)方案,方案应包括检查的产 品、场地及范围。 7.2.2.2 生产一致性工厂现场检查 认证机构应委派具有资质的强制性产品认证检查员组成检查组,对生产企业进行生产一致性检查的现场检查。一般情况下,工厂检查 时,生产企业应有委托认证的产品在生产。 7.2.3 非量产车工厂检查 按工厂质量保证能力审查+产品一致性现场检测或检查方式进行。 若非量产车为在未获证车型基础上进行的改装车(含原基础车型证书暂停、注销、撤销情况),认证机构应结合改装项目及内容追加 对基础车型生产者或生产企业的工厂审查。 一般情况下,工厂检查时,生产企业应有委托认证的产品在生产。 7.2.3.1 工厂质量保证能力和生产条件审查非量产车生产企业应依据本规则附件 6 的要求,具备相应生产及 检测条件,具备相应质量保证能力及产品一致性控制措施,确保开展 工厂检查及产品一致性现场检测或检查的条件。 7.2.3.2 产品一致性现场抽样检测或检查 认证机构应在非量产车工厂质量保证能力和生产条件审查同时在工厂现场及其他经确认的仓储、装运等场所对产品的一致性进行抽样 检查或检测。 7.2.3.3 自贸区内开展平行进口汽车业务的企业,如已有效保证进口 车辆一致性,且在自贸区内仅进行标准符合性整改的(不包括车辆结 构性改装),在符合产业政策等相关规定的前提下,认证机构可视情 况仅对其在自贸区内的改装场所进行 CCC 认证工厂检查。 7.2.4 工厂检查结果 7.2.4.1 工厂检查未发现不合格项,则检查结果为合格; 7.2.4.2 工厂检查存在不合格项,可允许整改,认证机构采取适当方式对整改结果进行确认。整改时间不得超过 3 个月,若逾期不能完成 整改,或整改结果不合格,检查结果不合格。 7.2.4.3 工厂检查发现生产一致性控制计划的执行情况与申报并经审 查批准的生产一致性控制计划存在严重偏差,或实际生产车辆的结构 及技术参数与型式试验样品一致性存在重大差异时,检查结果不合格, 终止本次检查。 7.2.5 工厂检查时间 工厂检查时间由认证机构按照国家有关规定执行,并在认证实施细则中明确。 7.3 认证评价与决定 认证机构对型式试验、初始工厂检查结果和有关资料/信息进行综合评价,评价通过,颁发认证证书;评价不通过,认证终止。 7.4 认证时限 认证机构应对认证各环节的时限做出明确规定,并确保相关工作 按时限要求完成。认证委托人须对认证活动予以积极配合。一般情况下,自受理认证委托起90天内向认证委托人出具认证证书。 8 获证后监督 获证后监督是指认证机构对获证生产企业及产品实施的监督。 认证机构应结合生产企业分类管理和实际情况,在认证实施细则中明确获证后监督方式选择的具体要求。 8.1 获证后的跟踪检查 8.1.1 获证后的跟踪检查原则 认证机构应在分类管理的基础上,对获证产品及其生产企业实施有效的跟踪检查,以验证生产企业的质量保证能力持续符合认证要求、 确保获证产品持续符合标准要求并保持与型式试验样品的一致性。 获证后的跟踪检查应在生产企业正常生产时进行。对于非连续生 产的产品,认证委托人应向认证机构提交相关生产计划,便于获证后认证机构应切实履行主体责任,针对本机构发放证书所涵盖的获 证产品的产品一致性和标准符合性,开展定期或专项的获证后监督抽 查。抽查应充分结合外部质量信息及行业、公众关注热点,并将抽查 的结果作为企业分类管理的重要依据,确保认证有效性。 8.1.2获证后的跟踪检查内容 认证机构应在确保认证风险可控的原则下,按照附件6制定获证后 跟踪检查要求的具体内容,并在认证实施细则中予以明确。 8.2生产现场抽取样品检测或者检查 8.2.1 生产现场抽取样品检测或者检查原则 采取生产现场抽取样品检测或者检查方式实施获证后监督的,认证委托人、生产者、生产企业应予以配合。 |
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