IMPLEMENTATION RULES-Household and Similar Use Appliances

Ref . No. CNCA-01C-016:2007

IMPLEMENTATION RULES FOR COMPULSORY CERTIFICATION OF ELECTRICAL AND ELECTRONIC PRODUCTS
Household and Similar Use Appliances
Announced on Aug.1, 2007 Implemented on Aug.15, 2007
Certification and Accreditation Administration of People's Republic of China

1. Scope
This document applies to household electric appliances and similar use. It includes: household refrigerator category, food freezer and ice maker category, electric fan category, electrical heat pump, air-conditioner and dehumidifier category, motor-compressor category, household washing machine/extractor category, storage water heater category, room heater category, vacuum cleaner category, appliance for skin and hair care category, instantaneous water heater category, electric iron category, electromagnetic oven category, roaster, grill and toaster category, household kitchen machine category, microwave oven category, cooking range, cooking table and roaster category, range hood category, appliance for heating liquids category, electric rice cooker category, water dispenser category.
2. Certification model
Type testing + Initial inspection of the factory + Follow-up inspection
3. Major processes for certification
3.1 Application for certification(http://china-ccc-certification.com/171.html)
3.2 Type testing
3.3 Initial inspection of the factory
3.4 Evaluation of certification results and approval of certification
3.5 Follow-up inspection
4. General requirements for certification
4.1 Application for certification
4.1.1 Defining application unit for certification
4.1.1.1 In principle, application unit (see appendix 1) shall be defined according to different product categories, models /types, specifications, working principles, constructions in terms of product safety, the components having significant influence on EMC performance (see the components with * of appendix 5).
For more than one models /types in same application unit, it shall be described exactly.
4.1.1.2 In principle, the application shall be made according to application unit. The products, of same manufacturer, of same model/type, but from different manufacturing premises, shall be in different application units, but only one type testing is required. Products from other manufacturing premises shall be sampled for inspection and issue the reports.
Same products, of same manufacturing premises but from different manufacturers, shall be in different application units, sample delivery if necessary for conformity inspection and issue the reports.
4.1.2 Application documents
The formal application shall be submitted with the following documents:
1) Product assembly chart, electric diagram, electric circuit diagram, etc.;
2) List of key components and/or major raw materials (see appendix 1 and appendix 5);
3) Description of the difference between the different model/type of products in the same application unit;
4) Other necessary documents.
4.2 Type testing
4.2.1 Sample delivery for type testing
4.2.1.1 The principles of sample delivery for type testing
The representative samples from the units of application for certification shall be selected and supplied for type testing. According to requirements, samples of other products covered by the application unit should be supplied for additional testing on differences.
If apply for overall certification, key safety components (see appendix 4) inside machine shall be delivered separately for type testing according to related requirements. Key safety components, if have the requirements of national compulsory certification system/regarded as the results of voluntary certification for machine compulsory certification admitted regulated by CNCA, can not be delivered separately for type testing, but shall meet the requirements of overall test standards.
4.2.1.2 Samples quantity
The applicants shall take responsibility of sample delivery for type testing in accordance with the requirements of the certification body and be responsible for them.
The quantities of samples for overall shall be according to the requirements of appendix 3 and those for components tested accompanying the overall shall be according to the requirements of appendix 4.
4.2.1.3 Handle of samples and relating documents after type testing
The samples tested and/or the relating documents should be handled in appropriate ways after type testing.
4.2.2 Test standards, items and methods for type testing
4.2.2.1 Test standards
The test standards for certification are specified in appendix 2, which shall adopt the current and valid ones.
4.2.2.2 Test items
1) Test items for safety
The test items for safety type testing of Household and Similar Use Appliances Compulsory Certification shall include all appropriate items specified in safety standards.
2) Test items for EMC
The test items for EMC type testing of Household and Similar Use Appliances Compulsory Certification shall include all appropriate items specified in EMC standards.
4.2.2.3 Test methods
The type testing shall be carried out according to the methods and/or standards specified and/ or referred in the standards.
4.2.3 Test reports for type testing
The type testing reports will be issued by the inspection body after type testing.
The applicants are permitted to make rectifications if the type testing are partially unpassed for some items, the rectification shall be in the period specified by the certification body. It will be regarded as waive application for certification if the applicants cannot finish rectifications. The applicants may voluntarily apply for terminating application.
The type testing report shall include product description reports, which is the description of all products and relate to the certification information in application units, the certification body will organize and compile the type testing report in accordance with specified contents and format, correct, clear and complete in contents.
The certification body (or inspection body) shall offer the type testing reports timely to the certificate holders, who should make sure the complete and valid type testing reports in the factory.
4.3 Initial inspection of the factory
4.3.1 Contents of the inspection
The contents of factory inspection shall include the factory quality assurance ability assessment and the products conformity.
4.3.1.1 Assessment of factory quality assurance ability.
The inspector assigned by the certification body shall carry out the factory quality assurance capability assessment according to the Requirements for Factory Quality Assurance Ability (see appendix 6) and the additional inspection requirements stipulated by CNCA. Meanwhile, the inspector shall still check the test requirements of the factory according to the Test Requirements of Compulsory Certification Factory Quality Control for household appliances (see appendix 7).
4.3.1.2 Check of product conformity
The conformity of the product applying for certification shall be checked on the site of production. If more than one application unit are involved in the certification, at least one type/model sample shall be taken from each manufacture and category for the product conformity check. The following major points shall be checked:
1) The name of product, type/model, technical parameters and specification on the nameplates and packages of products to be certified shall be identical with those indicated in the type testing reports;
2) The constructions of products to be certified (mainly constructions in terms of safety and EMC performance) shall be identical with those of the sample machines for type testing;
3) The components in terms of safety and critical parts and materials having influences on EMC shall be identical with those declared in type testing and confirmed by certification body.
The witness tests on site should be carried out to confirm safety and EMC performance of the products during the factory inspection.
4.3.1.3 Inspection scope
All the products to be certified and processing premises shall be covered for inspection of factory quality assurance ability and of conformity of the products.
4.3.2 Timing of factory inspection
Normally, the initial inspection should be implemented after the sample has passed the type testing. The type testing and factory inspection can be implemented at the same time in special cases. The factory should produce products in the scope of application certification during the initial inspection.
The duration of factory inspection shall be determined by the amounts of application units of products to be certified and the scale of the factory. It will normally take about 1 to 4 man-day for each processing premises.
In principle, factory inspection should be finished in one year after the type testing, or the type testing should be carried again.
4.3.3 Inspection results
The inspection groups shall report the inspection results to the certification body. If the results are unqulified, the inspection groups shall report unqulified results directly to the the certification body. If factory inspection exists unqualified item, the factory should finish rectifications in the rectification period specified by the certification body, the certification body (or the inspection groups) will adopt appropriate ways to verify the results of rectifications. It will be regarded as unpass factory inspection for those cannot finish rectifications in the rectification period.
4.4 Evaluation of certification results and approval of certification
4.4.1 Evaluation of certification results and approval of certification
The certification body shall be responsible for a general evaluation of the results of type testing and factory inspection and for issuing the certificates to the applicants for the conformed products (one certificate shall be issued for one application unit). The use of the certificates shall comply with the requirements for Regulations for Compulsory Product Certification.
4.4.2 Time frame
Time frame for certification means the working days from the acceptance of complete application till the issuance of the certificates, which includes the time of type testing, factory inspection, reports submission after inspection, evaluation and approval of certification results and making certification certificates.
Normally, type testing takes 30 working days (not including the time of rectification and re-testing by the enterprise for the unqualified test items). If the key components of overall are required to be random tested and the required time exceed those of overall, the time of type testing should be calculated according to the time of the key components. It will be counted from the date receiving he samples and fees.
The inspection reports should be submitted within 5 working days after the inspection (counted from the date receiving the certification fees).
4.4.3 Termination of certification
Unqulified in the results of type testing or factory inspection, the certification body shall make unqualified decision and terminate the certification.
4.5 Follow-up inspection
4.5.1 Contents of the follow-up inspection
Contents of the follow-up inspection including annual follow-up inspection and effective follow-up investigation for the certified products by the certification body.
4.5.2 Annual follow-up inspection
The certification body shall determine the date of follow-up inspection with the factory during follow-up inspection. Factory shall make sure normal production status and has certified products. Same premises but different manufacturers should accept follow-up inspection.
In principle, special follow-up inspection shall adopt way of without advance notice by examination party.
Certificate holders should accept follow-up inspection in specified period, or it will be regarded as not accept follow-up inspection.
4.5.2.1 The frequency of follow-up inspection
Normally, the follow-up inspection shall normally be implemented at least once per 12 months from initial factory inspection.
The frequency of the follow-up inspection should be increased in any of following cases:
1) The certified product has serious quality problem, or is seriously complained by clients, which has been verified to be the responsibility of the applicant/manufacturer/factory;
2) The certification body doubts the conformity of the certified product against the requirements of safety and EMC standards with sufficient reasons;
3) Sufficient information indicates that the conformity or the consistency of certified products might be affected due to the changes in organization structure, production condition and the quality management system of the manufacturer or factories.
4.5.2.2 Contents of the annual follow-up inspection
Contents of inspection of conformity of products certified are same as those in initial factory inspection. Moreover, should inspection the usage of CCC mark and certification certificates.
The model of follow-up inspection: inspection of factory quality assurance ability + inspection of conformity of products certified., and if necessary, samples may be taken and tested at the inspection body.
The certification body shall implement the factory re-assessment in accordance with Requirements for Factory Quality Assurance Ability (see appendix 6). The items 3, 4, 5 and 9 specified in Requirements for Factory Quality Assurance Ability must be assessed for follow-up inspection and the rest items may be selected. All the items of the Requirements shall be covered at least every four years.
The duration for follow-up inspection shall be determined by the amounts of units of certified products with appropriate consideration of the production scale of the factory. It will normally take about 1 to 2 man-day.
4.5.2.3 Sampling & testing of annual follow-up inspection
If necessary, the certified products should be sampled and tested. The samples shall be taken randomly from the qualified products of the factory (to ensure the consistency and authenticity of the certified products, sampling sites can be market/enterprise distribution network site, the end of production line, stock, etc. in accordance with real conditions). The designated inspection bodies shall be responsible for testing. The methods and requirements for sampling shall be carried out according to the relevant specifications of the certification body.
The test items specified in the standards for certification can be applied to testing.
The certification body may carry out part or all of test items based on the degree of effects on the safety or EMC performance of the products.
4.5.2.4 Results of the annual follow-up inspection
The inspection groups shall report the results of the follow-up inspection to the certification body. If the results are unqulified, the inspection groups shall report unqulified results directly to the the certification body. Factory shall finish rectifications within 40 working days for the unqulified items, the certification body shall verify the rectification results with proper ways. It will be regarded as factory inspection results unqulified for those cannot finish rectifications in the rectification period.
4.5.2.5 Evaluation of annual follow-up inspection results
The certificates can be retained and the certification marks can be continuously used upon qualified inspection results. If unqualified, it will be implemented as 5.3.
4.5.3 Follow-up investigation by the certification body
The certification body shall implement effective follow-up investigation for the certified products according to the requirements of Certification and accreditation regulation, and handle the certification certificates according to the results.
4.5.4 Evaluation of follow-up inspection results
The certificates can be retained and the certification marks can be continuously used upon qualified annual inspection results. If unqualified, it will be implemented as 5.3.
5. Certification certificate
5.1 The maintenance of the certification certificates
5.1.1 The validity of the certification certificate
The certificate of the products covered by this Rules itself doesn't indicate specific expiry date. The validity of the certificate depends on the follow-up inspection. For factory who does not accept follow-up inspection, the certification certificates will be withdrawn by the certification body.
5.1.2 Change of the certified product(http://china-ccc-certification.com/225.html)
5.1.2.1 Applying for change of certified product
Should any change occur in the specification, type/model, technical parameter of the components listed in appendix 4 and appendix 5 of the certified products or the design, electric construction involved in safety/EMC of the overall, the application for approving/recording the change shall be made to the certification body.
5.1.2.2 Evaluation and approval of change
T The certification body shall evaluate the change according to the change contents and submitted information and confirm whether it can be approved or need sampling test. If it is need sampling test, the change will be approved upon qualified test result. In principle, the base of change approval shall be the certified products for initial all item type testing.
5.2 Extension of certified products
5.2.1 Procedure for extension(http://cccwto.com/UploadFiles/2011225164829_115.doc)
For extension of the range covered by the certified product units, the certificate holder should first make application. The certification body shall check the conformity of the extended products against the certified products and confirm the validity of the original certification results to the extended products and carry out the additional test or inspection based on the differences.After approval, either a separate certificate can be issued or the original certificate can be updated at the request of the certificate holder.
In principle, the base of extension approval shall be the certified products for initial all item type testing.
5.2.2 The requirements for sample
The certificate holders shall first submit the technical documents relating to the extended products and send sample to the certification body for verification according to the requirements of 4.2. Sampling test needed during verification if necessary, the results shall be reported to the certification body for inspection.
5.3 Suspension, cancellation and withdrawal of the certificates
The cancellation, suspension and withdrawal of the certificates shall follow Regulations for Compulsory Product Certification and related regulations of the certification body.
For certificate holder who cannot accept annual follow-up inspection and/or sampling inspection, the certification certificates will be suspended by the certification body.
For certificate holder who does not accept annual follow-up inspection and/or sampling inspection, the certification certificates will be withdrawn by the certification body.
Certificate holder may apply for suspension, cancellation of the certification certificates to the certification body. The certification body shall suspend, cancel the certification certificates according to the application of the certificate holder.
Suspension of the certificates for the acceptable reasons of factory suspend production and so on, the longest certificate suspend period is 12 months. If the certificates cannot be restored over 12 months suspend period, they will be cancelled by the certification body. The certificate holder shall apply for certificate restoration to the certification body after suspension. The certification body shall carry out factory inspection according to the requirements of initial factory inspection, if necessary, sampling samples and testing. The suspended certificates will be restored if passing factory inspection and sampling test (if applicable).
If the results of follow-up inspection unqualified, depending on the degree of unqualified, the certification body will decide to suspend, withdraw related certificates. If the certificates have been suspended, the certificate holder shall apply for certificate restoration within 1-3 months after the suspension date and accept factory inspection. The certification body shall withdraw the suspended certificates if overdue this period. Factory inspection shall be carried out according to the requirements of initial factory inspection. The suspended certificates will be restored if passing factory inspection. Otherwise, the suspended certificates will be withdrawn.
The certification body shall announce to the public with proper ways about the cancelled, suspended and withdrawn certificates.
6. Use of compulsory product certification mark
6.1 General requirements
The certificate holder shall follow the Regulations for Compulsory Product Certification Mark.
6.2 Design of the mark allowed to use
The certification mark shall be used for certification involving safety only:
The certification mark shall be used for certification involving both safety and EMC:
6.2 Derivations of certification mark
The products listed in this Rules shall not be allowed to use any derivation of certification mark.
6.3 Ways of process
Any of the following three ways is required: affixing standard-size marks(http://china-ccc-certification.com/148.html) (labels) printed only by CNCA, molding or printing on the nameplate(http://china-ccc-certification.com/167.html).
6.5 Location of the mark
The certification mark shall be applied on an exposed location on the outer body of the product.
The certification marks shall be applied separately on the main part(s) and split part(s) of split-type air-conditioners and similar appliances.
7. Charge
The certification fee shall be charged by the certification body and inspection body according to related regulations of China.