IMPLEMENTATION RULES-Tractor Small and medium power wheeled tractor

Ref. No：CNCA—05C—074:2006

IMPLEMENTATION RULES FOR COMPULSORY CERTIFICATION OF AGRICULTURAL MACHINERY
Tractor
Small and medium power wheeled tractor
Announced on Aug.15, 2006 Implemented on Dec.1,2006
Certification and Accreditation Administration Of People's Republic of China

1. Scope
Applicable scope in this document: wheeled tractor1) driven by single cylinder diesel engine or multi cylinder diesel engine with power no more than 18.40kW(25 horsepower).
2. Certification model
Type testing + Initial inspection of the factory + Follow-up inspection
3. General requirements and procedures for certification
3.1 Application for certification(http://china-ccc-certification.com/171.html)
3.1.1 Defining application unit for certification
3.1.1.1 Application unit of same factory2) shall be defined according to principles of similar product structure type, engine power and safety performance, details see appendix 1. Products produced in different factories cannot be defined as same application unit.
1) Definition of wheeled tractor see GB/T6960 Tractor terminology.
2) Factory means premises for final manufacture, assembly and /or test and apply certification mark on the certified products.
3.1.1.2 The factory shall make application as application unit when apply for certification. Same manufacturer but different factories shall be applied by each factory application unit.
3.1.2 Application documents
The applicant shall submit following documents when applying for certification: application form, product operation manual, product picture, sketch map of the product's structure, list of product and key components,quality manual, industrial and commercial registration certificate (copy), trademark registration certificate (submit copy if certificate requires to mark the trademark on the product) and other documents.
If the applicant is dealer or importer, the copy of related certification contract signed by the applicant with the factory shall be sumbitted too.
If trust others for application, the copy of trust deed and related certification contract signed by the applicant with the trustee shall be sumbitted too.
3.2 Type testing
3.2.1 Sample delivery
3.2.1.1 The principles of selecting sample machines
The representative samples (with the typical testing results for products in the whole application unit), from each unit of application for certification shall be selected and supplied for type testing.
3.2.1.2 Sample delivery requirements
The applicants shall take responsibility of sample machines delivery for type testing in accordance with the requirements of the certification body, complete the running of sample machines for type testing in according to GB/T3871.1 Agricultural tractors－Test procedures－Part1: General requirements, and be responsible for them. The sample quantities of the whole products is 1 pc. The applicants may deliver 1 spare sample machine as needed, which is reserved to be tested when the original one can't be carried out normally not because of quality problem in itself.
3.2.1.3 Handle of sample machines and relating documents after type testing
The sample machines tested and/or the relating documents should be handled in appropriate ways after confirming the results of type testing. In principle, the sample machines shall be returned back to the applicants.
3.2.2 Test standards, items and methods for type testing
3.2.2.1 Test standards for type testing
GB 18447.1 Safety requirements for agricultural wheeled and crawler tractors
3.2.2.2 The test items shall include all appropriate items specified in GB 18447.1.
3.2.2.3 Type testing shall be carried out according to the requirements and test standards specified in GB 18447.1.
3.2.2.4 During type testing, the inspection body shall check the main technical specifications of sample machines for type testing according to the requirements of the certification body.
3.2.3 Inspection body
Type testing shall be carried out by the inspection body authorized by the state organization.
3.3 Initial inspection of the factory
3.3.1 Contents of the inspection
3.3.1.1 Assessment of factory quality assurance ability
Requirements for Factory Quality Assurance Ability (see appendix 3) is the basic requirements covered by the document for the initial inspection of the factory.
3.3.1.2 Check of conformity of the product
At least one type/model sample shall be taken from each unit on the site of production for the product conformity check. The major contents shall be checked as follows:
1) The nameplate and mark of the products to be certified shall be identical with those of the sample machines for type testing;
2)The main constructions and parameters of products to be certified shall be identical with those of the sample machines for type testing;
3) The key components in terms of safety shall be identical with those of the sample machines for type testing.
The list of safety key components and the product conformity check see appendix 2 .
The auditor can carry out the sampling & testing to the certified products if there are doubts about the above-mentioned contents. One sample shall be selected from the confirmed products of the factory, and tested by the inspection bodies assigned by the certification body. The sampling & testing items shall be determined by the certification body according to the concrete condition.
3.3.1.3 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.
3.3.2 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 duration of factory inspection shall be determined by the amounts of application units of products to be certified and with appropriate consideration of the scale of the factory. It will normally take about 3 to 8 man-day for each factory.
3.4 Evaluation of certification results and approval of certification
3.4.1 Evaluation of type testing results
The samples shall pass type testing if all the testing results conform to the specified standards.
The corrective actions shall be carried out if there are slight nonconformity items found in the testing results easy to take corrective actions. It shall pass type testing after the actions submitted are conformity.
The samples shall not pass type testing and the certification shall be terminated, if it is uneasy to take corrective actions.
3.4.2 Evaluation of initial inspection of the factory
The factory inspection shall pass when there is no nonconformity item in the inspecting results.
The corrective actions shall be carried out when there are not systematic failure in the inspecting results. The time frame for corrective actions should not exceed 3 months, the factory inspection shall pass in the time of verification conformity.
The factory inspection shall not pass when there are systematic failure in the inspecting results.
3.4.3 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 certificate(s) to the applicants for the conformed products (one certificate shall be issued for one application unit).
3.4.4 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, evaluation of certification results and approval of certification and making the certificate(s). Normally, it is not exceeding 90 working days.
Normally, type testing takes 30 working days (excluding the time of rectification and re-testing by the enterprise for the unqualified test items), counting upon the receipt of the samples and testing fees.
The factory inspection takes 10 working days. It will be counted from the day when the inspectors complete the inspection and receive reports submission after inspection.
Evaluating certification results, approving the certification and making the certificates shall normally be completed within 5 working days.
3.5 Follow-up inspection
3.5.1 The frequency of follow-up inspection
3.5.1.1 The follow-up inspection shall normally be implemented at least once per year. The first follow-up inspection shall normally be implemented 12 months after the certificate being granted.
3.5.1.2 The frequency of inspection should be increased in any cases as follows:
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.
2) The certification body doubts the conformity of the certified product against the requirements of safety 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 factories.
3.5.2 Model and contents of the follow-up inspection
3.5.2.1 Model of the follow-up inspection
The model of follow-up inspection: factory follow-up inspection + product conformity inspection + (if necessary) sampling & testing of product.
3.5.2.2 Factory follow-up inspection
Some contents shall be selected for factory follow-up inspection according to appendix 3 Requirements for Factory Quality Assurance Ability every year. The items 3, 4.1, 4.3, 4.5, 5 and 9 specified in Requirements for Factory Quality Assurance Ability (see appendix 4) must be assessed for follow-up inspection. All the items shall be covered in accordance with Requirements for Factory Quality Assurance Ability within 4 years.
The span of overall audit, according to Requirements for Factory Quality Assurance Ability , shall be 5 years, starting from the date of obtaining the certificates. The contents and time frame of the audit shall be the same as those of initial inspection of the factory.
It will normally take about 1 to 4 man-day for each factory.
3.5.2.3 Product conformity inspection
At least one type product shall be sampled in every application unit for the check of conformity of the product on the site of production.
3.5.2.4 (if necessary) Sampling & testing of product
In any cases of 3.5.1.2, one type product shall be sampled and tested from each application unit. Test items shall be determined by the certification body on real conditions, and test standards shall be the same as those of the type testing.
The inspector for sampling shall be assigned by the certification body.
The samples shall be taken randomly from the present (normally within six months) qualified products of factory (including those from production line, store, market sampling).
Sampling & testing shall be implemented by the inspection bodies authorized by the state organization.
3.5.3 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 4.3 and the relevant results will be announced.
4. The maintenance and change of the certificates
4.1 The maintenance of the certificates
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.
4.2 Change of the certificates(http://china-ccc-certification.com/225.html)
4.2.1 Extend the the range of certified products
4.2.1.1 For extend the the range of certified products, the certificate holder shall make application and submit related documents to the certification body (original submitted valid documents may not be submitted).
4.2.1.2 For extend the the range of certified products within the application unit which has obtained certificates, the certification body shall arrange product sample test or factory inspection if necessary.
4.2.1.3 For extend the the range of certified products beyond the application unit which has obtained certificate, the certification procedure is same as that of first certification, the same system contents of certified products shall be reduced or exempted during factory inspection.
4.2.1.4 After approval, either a separate certificate can be issued or the original certificate can be updated at the request of the certificate holder.
4.2.2 Reduce the the range of certified products
4.2.2.1 For verifying some of the certified products do not meet the certification requirements any more by follow-up inspection and other channels, the certification body shall cancel the certification for the products and reduce the the range of certified products.
4.2.2.2 For the certified organization apply to cancel some of the certified products, the certification body shall reduce the the range of certified products.
4.2.2.3 After approval, the original certificate shall be updated by the certification body.
4.2.3 Change of the name, address and other contents of the certificates
For change of the name, address and other contents of the certificates, the certificate holder shall make application and submit related documents to the certification body. The certification body shall verify them by written confirmation, additional factory inspection and type testing according to the change contents. After approval, the original certificate shall be updated.
4.3 Suspension, cancellation and withdrawal of the certificates
The suspension, cancellation and withdrawal of the certificates shall follow Regulations for Compulsory Product Certification.
5. Use of compulsory product certification mark
The certificate holder shall follow the Regulations for Compulsory Product Certification Mark.
5.1 Design of the mark allowed to use
Design of the mark allowed to use:
5.2 Derivations of certification mark
The products listed in this Rules shall not be allowed to use any derivation of certification mark.
5.3 Ways of process
Any of the following three ways is required: affixing standard-size marks(http://china-ccc-certification.com/148.html) (labels) , impressing or printing on the nameplate(http://china-ccc-certification.com/167.html).
5.4 Location of the mark
The certification mark shall be applied on the location near the nameplate with the standard-size mark (labels), the size is 45mm and be applied on the location approved with the impressing or printing on the nameplate.
6. Charge
The certification fee shall be charged by the certification body and inspection body according to related regulations of China.