1.Scope
This document applies to recessed luminaries, fixed general purpose luminaries, portable general purpose luminaries with power voltage more than 36V and not exceeding 1000V; ballasts for fluorescent lamps, ballasts for discharge lamps (excluding fluorescent lamps), a.c. supplied electronic ballasts for fluorescent lamps with power voltage not exceeding 1000V.
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
Application of certification is made according to different product category, structure, installation, material and key components and parts (see appendix 2). Principles of defining application unit for specific product see appendix 1.
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. If necessary, products and related documents from other manufacturing premises shall be submitted for conformity inspection.
4.1.2 Application documents
The formal application shall be submitted with the following documents:
1) Registration certificate of applicant/manufacturer/factory;
2) Product description information, including specification, model/type and manufacturer of key components and/or major raw materials (see appendix 2);
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
The samples supplied for type testing shall select the representative samples from the unit of application for certification. The representative samples shall be selected to submit, which shall cover the safety and EMC requirements of series of types. Otherwise, samples of other products covered by the application unit should be supplied for additional testing.
If apply for overall certification, key safety components (see appendix 2) 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 submit samples and related documents for inspection by the certification body.
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 1 and those for components tested accompanying the overall shall be according to the requirements of appendix 2.
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
1) GB7000.1 Luminaries general safety requirements and tests
2) GB7000.10 Safety requirements for fixed general purpose luminaries
3) GB7000.11 Safety requirements for portable general purpose luminaries
4) GB7000.12 Safety requirements for recessed luminaries
5) GB19510.1 Lamp controlgear-Part 1: General and safety requirements
6) GB19510.4 Lamp controlgear-Part 4: Particular requirements for a.c. supplied electronic ballasts for fluorescent lamps
7) GB19510.9 Lamp controlgear-Part 9: Particular requirements for ballasts for fluorescent lamps
8) GB19510.10 Lamp controlgear-Part 10: Particular requirements for ballasts for discharge lamps (excluding fluorescent lamps)
9) GB17743 Limit and methods of measurement of radio disturbance characteristics of electrical lighting and similar equipment
10) GB17625.1 Electromagnetic compatibility-Limits-Limits for harmonic current emissions (equipment input current≤16A per phase)
Test standards should adopt the current and valid ones. In case of special cases, they will be further noticed by CNCA.
4.2.2.2 Test items
1) Test items for safety
The test items for safety shall include all appropriate items specified in standards.
2) Test items for EMC
Insertion loss
Disturbance voltages
Radiated electromagnetic disturbances
Harmonic current
4.2.2.3 Test methods
The type testing shall be carried out according to the methods and/or standards specified in the safety and EMC standards and/or test methods.
4.2.3 Test reports for type testing and product description reports
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 (counted from the date of not pass the type testing). It will be regarded as waive application for certification if the applicants cannot finish rectifications. The applicants may voluntarily apply for terminating application.
Product description reports is the description of all products and relate to the certification information in application units, the certification body will organize and compile product description reports in accordance with specified contents and format, clear and complete in contents.
The certification body shall offer the type testing reports and product description reports timely to the certificate holders, who should make sure the complete and valid type testing reports and product description reports in the factory.
4.3 Initial factory inspection
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 4) and the additional inspection requirements stipulated by CNCA. At the same time, the inspector should also follow Testing Requirements of Compulsory Certification Factory Quality Control for Lighting Electrical Appliance products (see appendix 3).
4.3.1.2 Check of conformity of the product
During the factory inspection, the inspector shall check product conformity applying for certification for at least one sample in accordance with each manufacturer, each category of products. Contents of check product conformity including the witness tests on site and the following points:
1) The label contents of the products to be certified shall be identical with those indicated in the type testing reports;
2) The constructions of products to be certified (especially constructions in terms of safety and EMC performances) shall be identical with those of the sample machines for type testing;
3) The key components and materials shall be identical with those declared in type testing and confirmed by certification body.
Test items of the witness tests on site shall be at least those of routine inspeciton (see appendix 3).
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 as needed. In principle, factory inspection should be finished in one year after the type testing, or the type testing should be carried again. 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 with the consideration of the scale of the factory. It will normally take about 1 to 4 man-day for each processing premises.
4.3.3 Inspection results
The inspection groups shall report the inspection results to 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 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. Unqulified in the results of type testing or factory inspection, the application cannot be approved by the certification body and the certification will be terminated.
4.4.2 Time frame
Time frame for certification means the working days from the acceptance of complete application till the issuance of the certificate, 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 and for inductor ballast, it takes 45 working days, (excluding the time of rectification and re-testing by the enterprise for the unqualified test items). If the safety components of overall are required to be random tested, the time of type testing should be calculated according to the longest test time of the component test (counting upon the receipt of the samples and testing fees).
The inspection reports should be submitted within 5 working days after the inspection. It will be counted from the day when the inspectors complete the inspection and receive from the factory the corrective action reports on non-conformities satisfying the requirements (if have).
Evaluating and approval of certification results and making certification certificates shall normally be completed within 5 working days.
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, annual follow-up sampling & testing and effective follow-up investigation for the certified products by the certification body. Generally, the follow-up inspection and follow-up sampling & testing shall be implemented at the same time, and also be implemented respectively.
4.5.2 Annual follow-up inspection
Follow-up inspection may adopt two ways, with/without advance notice by examination party. Generally, the certification body will notice the examination party in advance and determine the date of follow-up inspection. Factory shall make sure the certified products in normal production status during follow-up inspection. If necessary, the certification body will not notice the examination party in advance during follow-up inspection.
Same premises but different manufacturers should accept follow-up inspection.
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 complained by clients, which has been verified to be the responsibility of the certificate holder/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 follow-up inspection
The model of follow-up inspection: inspection of factory quality assurance ability + inspection of conformity of products certified.
The certification body shall implement the factory re-assessment in accordance with requirements for factory quality assurance ability. The items 3, 4, 5 and 9 specified in Requirements for Factory Quality Assurance Ability (see appendix 4) 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.
Contents of inspection of conformity of products certified are same as those in initial factory inspection.
Moreover, the inspection shall be carried out in accordance with the Requirements for Factory Quality Control Testing in Lighting Electrical Appliance products (see appendix 3), and inspection the usage of CCC mark and certification certificates.
4.5.2.3 Time of the follow-up inspection
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.
4.5.2.4 Results of the 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.
4.5.3 Follow-up sampling & testing
The certification body shall make and be responsible for follow-up inspection plans in accordance with previous year's follow-up inspection results, industry quality status and enterprise quality status. At most 1 model/type/specification representative sample for each certification unit.
The samples shall be taken randomly from the qualified products of the factory, Sampling sites can be the end of production line, stock, market/factory distribution network.
The certification body shall take a certain amount of certified products for follow-up inspection in accordance with real conditions from market/factory distribution network every year. The certificate holders and product manufacturers shall offer necessary information.
In principle, sampling base shall be more than 20 times of the quantity of samples. Sampling from the end of production line, market/factory distribution network cannot consider sampling base.
Factory shall send samples 10 days after sampling, the inspection body appointed by the certification body will complete the testing for the samples within 20 working days(not including products with long inspection period) and report the results to the certification body.
The test items specified in the standards for certification can be applied to testing, specified test items may refer to the requirements of the follow-up inspection plans made by the certification body.
4.5.4 Evaluation of 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.
4.5.5 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.
5. Certification certificate
5.1Maintenance of the certificates
5.1.1The validity of the certificate
The validity of the certificate depends on the follow-up inspection. If certification rules(standards) change, the certificates shall be updated in accordance with specified date, the certificates will be expired if they have not been updated within specified date.
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 occurs in the specification, type/model, factory of the components listed in appendix 2 or appendix 3 of the certified products or the design, electric construction involved in safety/EMC of the appliances, or other items by the certification body, the application for the changes shall be made to the certification body.
5.1.2.2 Evaluation and approval of change
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 holder shall first submit the technical documents related to the extended products. And, if necessary, one sample may be required by the certification body according to the requirements of 4.2, for which the testing items shall be decided by the certification body.
5.3 Suspension, cancellation and withdrawal of the certificates
The suspension, cancellation 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 follow-up inspection and/or sampling inspection, the certification certificates will be suspended by the certification body.
For certificate holder who does not accept 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, sampling one sample for each certification unit and testing according to the requirements of type 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.
If the results of follow-up sampling 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 follow-up sampling inspection again. The certification body shall withdraw the suspended certificates if overdue this period. In principle, the samples for follow-up sampling inspection again shall be the most complicate models in constructure of the suspended certification units, which shall be tested according to the requirements of type testing. The suspended certificates will be restored if passing follow-up sampling inspection again. 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
The certificate holder shall follow the Regulations for Compulsory Product Certification Mark
6.1 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 derivation of certification mark may be used for the products listed in this Rules.
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).
6.4 Location of the mark
The certification mark shall be applied on an exposed location on the outer body of the product.
7. Charge
The certification fee shall be charged by the certification body and inspection body according to related regulations of China.

Other documents which are relative to CCC certification for Lighting Electrical Appliances

1. CCC Certification New Application Form:
Word file:http://china-ccc-certification.com/UploadFiles/CCC-Product-Safety-Certification-Intent-Application.doc
Pdf file:http://china-ccc-certification.com/UploadFiles/Product-Safety-Certification-Intent-Application.pdf

2. CCC Certification Re-application Form:
Word file:http://cccwto.com/UploadFiles/2011225164829_115.doc

3. CCC Certification Alternation Application Form:
Word file:http://china-ccc-certification.com/UploadFiles/CCC-Alternation-Application-Form.doc
Pdf file:http://china-ccc-certification.com/UploadFiles/CCC-Alternation-Application-Form.pdf

4. Purchase CCC Mark Application Form:
Word file:http://china-ccc-certification.com/UploadFiles/Purchase-CCC-Mark-Purchase-CCC-Mark-Application-Form.doc
Pdf file:http://china-ccc-certification.com/UploadFiles/Purchase-CCC-Mark-Purchase-CCC-Mark-Application-Form.pdf

5. Print Impress CCC Mark Application Form:
Word file:http://china-ccc-certification.com/UploadFiles/Print-Impress-CCC-Mark-Print-Impress-CCC-Mark-Application-Form.doc
Pdf file:http://china-ccc-certification.com/UploadFiles/Print-Impress-CCC-Mark-Print-Impress-CCC-Mark-Application-Form.pdf