CQC12-000001-2020 General Certification Rules for Type II CQC Certification English
0. Introduction
These General rules for voluntary certification (hereinafter referred to as “the Rules”) are formulated based on the product quality control and certification risk of China Compulsory Certification (CCC) self-declaration, and stipulate the basic principles and requirements for Type II voluntary certification.
The production enterprise shall ensure that the certified products it produces continuously comply with the certification and applicable standard requirements.
1. Scope
The Rules apply to products subject to CCC self-declaration, see Annex 1.
Any adjustment to the scope due to changes in laws, regulations, relevant product standards, technologies, industrial policies, etc., shall be subject to the documents issued by CQC.
2. Certification basis
See the annexed certification requirements of relevant products.
In principle, latest versions issued by the competent national standardization administration apply.
3. Certification modes
Product type test + initial factory inspection + post-certification surveillance
The basic links of certification include:
a.Application for certification
b.Type test of products
c.Initial factory inspection
d.Evaluation and approval of certification results
e.Post-certification surveillance
The initial factory inspection may be conducted either as a document review or an on-site inspection; the post-certification annual surveillance inspection shall be carried out by rotating on-site inspection and document review every two years.
Factory inspection for vehicle safety accessory products may be conducted according to the Conformity of Production (CoP) inspection method based on the enterprise’s needs.
4. Applications for certification
4.1 Division of certification units
See the annexed certification requirements of relevant products.
In principle, different certification clients, producers, and production enterprises shall be considered as different certification units. For identical products produced by the same producer but different production enterprises, or by different producers but the same production enterprise, type test may be conducted on a sample from one unit only. For products from other production enterprises/producers, materials shall be provided for consistency verification.
4.2 Submission of certification application materials
The list of application materials shall be specified in the annexed certification requirements for relevant products based on laws, regulations, standards, and certification implementation needs. At a minimum, it shall include:
4.2.1 Application materials
a.Formal application form or contract;
b.Factory inspection survey form (if applicable);
c.Other required documents.
4.2.2 Supporting materials
a.Registration certificates of the certification client, producer, and production enterprise such as business license (for initial application); if the three are inconsistent, relevant agreements or contracts signed by the relevant parties shall also be submitted (if applicable);
b.CCC self-declaration enterprise self-inspection report (if any);
c.Type test report (if any);
d.If the certification client is a seller or importer, copies of relevant contracts concluded between the seller and the producer, or between the importer and the producer shall also be submitted;
e.Manufacturer’s authorized representative;
f.Other required documents.
The certification client shall provide the required materials according to the annexed certification requirements for relevant products. CQC is responsible for reviewing, managing, storing, and maintaining the confidentiality of relevant materials, and informing the certification client of the material review results.
5. Type test
5.1 Type test plan
In principle, CQC shall issue the type test assignment, and the type test plan shall at least include sample requirements and quantity, test standards, laboratory information, etc.
When necessary, type test reports valid within one year, i.e., the issuance date of which is within one year from the date of certification acceptance, provided by the enterprise that meet the certification requirements may also be accepted.
5.2 Sample requirements
5.2.1 Sample submission principles and quantity
Representative samples for type test shall be selected and submitted by the certification client according to the sample submission list provided by CQC; the certification client shall ensure that the samples provided are normally produced by the applicant production enterprise and are consistent with the products produced and sold after certification/self-declaration completion.
If the laboratory has doubts about the authenticity of the samples, it shall explain the situation to CQC and take corresponding actions.
The list of critical components and materials is provided in the annexed certification requirements for relevant products.
5.2.2 Disposal of samples and materials
After the test is completed and the type test report is issued, the relevant test records and related materials shall be kept by the laboratory, and the samples shall be disposed of according to CQC requirements.
5.3 Implementation of type test
In principle, the type test shall be completed in a CQC contracted laboratory.
Without compromising the validity of certification, CQC may conduct certification testing for products under Self-declaration Procedure A based on the production enterprise‘s own laboratory (which shall comply with GB/T 27025 or equivalent ISO/IEC 17025), or by a laboratory with relevant qualifications (CNAS (or ILAC member body) and CMA); for products under Self-declaration Procedure B, certification testing shall be conducted by a CCC-designated laboratory contracted by CQC.
5.4 Type test report
5.4.1 Type test report provided by the laboratory
The report shall be issued in accordance with the Type Test Report format uniformly developed by CQC. The Type Test Report shall be accurate, clear, and complete, and shall include descriptions of all products within the application unit and certification-related information.
After the type test is completed, the laboratory shall issue the Type Test Report and promptly provide it to the certification client. The certification client shall ensure that the complete and valid Type Test Report is available within its production enterprise. During post-certification surveillance, the certification client shall be able to provide the complete and valid type test report to CQC and law enforcement authorities.
5.4.2 Type test report provided by the enterprise
For products under Self-declaration Procedure A, the enterprise may provide a test report issued by its own laboratory, or a type test report issued by a laboratory with relevant qualifications (CNAS (or ILAC member body) and CMA); for products under Self-declaration Procedure B, the enterprise may provide a type test report issued by a CCC-designated laboratory contracted by CQC.
If the unit division in the type test report provided by the enterprise is inconsistent with the annexed certification requirements for relevant products, all or part of the models in the type test report may be accepted after risk assessment.
In principle, type test reports within one year, i.e., the issuance date of which is within one year from the date of certification acceptance, provided by the enterprise that meet the standard requirements may be accepted.
5.5 Requirements for critical components and key materials
See the annexed certification requirements of relevant products.
6. Initial factory inspection
6.1 Inspection content
In principle, document review shall be conducted based on the CCC Self-declaration Enterprise Self-inspection Report or relevant materials provided by the enterprise; on-site inspection may also be conducted. The content of the on-site inspection covers all clauses (i.e., all elements) in the Type II Voluntary Certification—Factory Inspection Requirements.
6.1.1 Factory quality assurance capability inspection and product conformity inspection
The initial factory inspection shall be conducted according to the CQC Type II Voluntary Certification—Factory Inspection Requirements and the annexed certification requirements for relevant products. Factory inspection for vehicle safety accessory products may be conducted according to the Conformity of Production (CoP) inspection method based on the enterprise’s needs.
6.1.2 The factory quality assurance capability inspection shall cover all products and processing places under the application for certification.
6.2 Review time
Generally, the review is conducted after the product type test is passed. When necessary, the product type test and document review may be conducted simultaneously.
The man-day time for the document review method is 0.2-0.5 man-day; if on-site inspection is conducted, the man-day time is 0.5-1 man-day. For the Conformity of Production (CoP) inspection method (applicable to vehicle safety accessory products), the man-day time may be appropriately increased, up to a maximum of 2 man-days.
6.3 Conclusion
The document review team/on-site inspection team shall report the review/inspection conclusion. If the document review/inspection conclusion is not approved, it shall be reported directly to CQC. If non-conformities exist, the factory shall complete corrective actions within 40 working days, and CQC shall verify the corrective action results by appropriate means. Failure to complete corrective actions within the specified period or failure to pass the corrective actions shall be treated as a failed factory inspection.
7. Evaluation and approval of certification results
7.1 Evaluation and approval of certification results
CQC conducts a comprehensive evaluation of the type test report, factory inspection conclusion, and related materials, and makes a certification decision.
7.2 Certification time limit
After the product type test and initial factory inspection are completed, for those meeting the certification requirements, the certification certificate shall generally be issued within 5 working days.
7.3 Certification termination
When the type test fails or the initial factory inspection is not passed, certification shall not be approved, and the certification process shall be terminated. To resume the application for a terminated certification, a new certification application shall be submitted.
8. Post-certification surveillance
CQC implements effective annual surveillance on certified products and their production enterprises to verify that the production enterprise’s quality assurance capability continuously meets the certification requirements, ensure that the certified products continuously comply with the standard requirements, and maintain consistency with the type test samples.
The post-certification annual surveillance inspection shall be carried out by rotating on-site inspection and document review every two years.
If the initial factory inspection is a document review, the first on-site surveillance inspection shall cover all elements. If the initial factory inspection is an on-site inspection, the content of subsequent surveillance inspections shall be implemented according to Subclause 8.2.
8.1 Surveillance inspection time
8.1.1 Surveillance inspection frequency
Generally, annual surveillance shall be arranged within 12 months after the initial factory inspection is completed or after certification is granted. In principle, the interval between annual surveillance inspections shall not exceed 12 months, but may be adjusted appropriately based on the enterprise‘s production situation. If the certified product has serious quality problems or users file serious complaints that are verified to be the certificate holder’s responsibility, the surveillance frequency may be increased.
8.1.2 Man-days for surveillance inspection
The man-days for the annual surveillance on-site inspection shall not exceed 1 man-day depending on the inspection method. For the Conformity of Production (CoP) inspection method (applicable to motor vehicle safety accessory products), the man-days may be appropriately increased, up to a maximum of 2 man-days.
8.2 Surveillance inspection content
The annual surveillance inspection shall be conducted according to the CQC Type II Voluntary Certification—Factory Inspection Requirements and the annexed certification requirements for relevant products.
The on-site inspection is divided into mandatory clauses and optional clauses. The mandatory clauses are Clause 3 (Purchasing and Critical Parts/Components Control), Clause 4 (Production Process Control), Clause 5 (Routine Inspection and Verification Inspection), Clause 6 (Inspection and Test Instruments and Equipment), Clause 11 (CCC Self-declaration and Marking Management), Clause 9 (Changes and Conformity Control of Certified Products), and product conformity inspection. For the optional clauses, two clauses may be selected based on the enterprise‘s situation and product characteristics.
The document review covers all clauses, and also includes product conformity inspection.
Factory inspection for vehicle safety accessory products may be conducted according to the Conformity of Production (CoP) inspection method based on the enterprise’s needs.
8.3 Surveillance inspection conclusion
The inspection team/document review team shall report the inspection/document review conclusion. If the conclusion is not approved, it shall be reported directly to CQC. If non-conformities exist, the factory shall complete corrective actions within 40 working days, and CQC shall verify the corrective action results by appropriate means. Failure to complete corrective actions within the specified period or failure to pass the corrective actions shall be treated as a failed factory inspection.
8.4 Surveillance sampling testing
When necessary, surveillance sampling testing of certified products shall be carried out during annual surveillance. Samples shall be randomly selected from qualified products produced by the factory (including production lines and warehouses). For the selected samples, the factory shall send/deliver them to the designated laboratory within 15 days. The laboratory shall complete the tests within the specified time and report the inspection results to CQC. Items specified in the certification standards may all serve as sampling test items, and some or all applicable items may be tested depending on the specific circumstances of different products.
8.5 Result evaluation
CQC organizes a comprehensive evaluation of the surveillance inspection/document review conclusion. If the certification requirements are met, the certification certificate remains valid. If the surveillance inspection or document review is not approved or the surveillance sampling test fails, the annual surveillance is deemed failed, and actions shall be taken according to Subclause 9.4.
9. Certificate
Table of contents
The Rules
Annex 1 Scope (Products Subject to CCC Self-declaration)
Annex 2 Requirements for Technical Responsible Person for Certification
Annex 3 Type II Voluntary Certification—Factory Inspection Requirements
Annex 4 Technical Requirements for Type II Product Certification—Circuit Switches and Protective or Connecting Electrical Devices
Annex 5 Technical Requirements for Type II Product Certification—Low-voltage Switchgear Assemblies
Annex 6 Technical Requirements for Type II Product Certification—Low-voltage Components
Annex 7 Technical Requirements for Type II Product Certification—Small Power Motors
Annex 8 Technical Requirements for Type II Product Certification—Electric Tools
Annex 9 Technical Requirements for Type II Product Certification—Welding Machines
Annex 10 Technical Requirements for Type II Product Certification—Motors-Compressors
Annex 11 Technical Requirements for Type II Product Certification—Audio/Video Equipment and Information Technology Equipment
Annex 12 Technical Requirements for Type II Product Certification—Vehicle Safety Accessory Products (The Scope as Shown in the Table Below)
