IMPLEMENTATION RULES-Switches for Circuit, Installation Protective and Connection Devices Thermal-links

File No.: CNCA—01C—007：2011

IMPLEMENTATION RULES FOR COMPULSORY CERTIFICATION OF ELECTRICAL AND ELECTRONIC PRODUCTS
Switches for Circuit, Installation Protective and Connection Devices
Thermal-links
Announced on May.10, 2011 Implemented on Aug 1, 2011
Certification and Accreditation Administration of People's Republic of China

1. Scope
This document applies to thermal-links, intended for incorporation in electrical appliances, electronic equipment and component parts thereof, normally intended for use indoors, in order to protect them against excessive temperatures under abnormal conditions.
This document may be applicable to thermal-links for use under other than indoor conditions, provided that the climatic and other circumstances in the immediate surroundings of such thermal-links are comparable with those in this program.
This document may also apply to thermal-links in their simplest forms (e.g. melting strips or wires), provided that molten materials, expelled during function, cannot adversely interfere with the safe use of the equipment, especially in the case of hand-held or portable equipment irrespective of its attitude.
This document is applicable to thermal-links with a rated voltage not exceeding 690V a.c. and a rated current not exceeding 63A.This document is not applicable to thermal-links primarily intended for use in circuits operating on a.c. with a frequency lower than 45Hz or higher than 62Hz.
This document is not applicable to thermal-links primarily intended for use under extreme environmental conditions, such as corrosive or explosive atmosphere.
2. Certification model
Type testing + Initial inspection of the factory + Follow-up inspection
3. Major processes of 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 for certification shall be according to the application unit. The products defined into one unit should be the same constructions, process, key components and materials, dimensions and other aspects which relating product electrical safety. Different rated current and rated voltage can be in one application unit.
When there are more types in the same application unit, all types shall be described accurately.
4.1.1.2 Principally, certification application shall be according to the application unit. Products of same producer (manufacturer), of same product type, but of different manufacturers (different premises) shall be defined as different application units. Only one type testing on the samples of one factory, if necessary, products of other factories (premises) shall be sampled for consistency check, and reports shall be issued.
Same products of same factory (premises), but of different producers (manufacturers) shall be defined as different application units. If necessary, products shall be sampled for consistency check, and reports shall be issued.
4.1.2 Application documents
The formal application shall be submitted with the following documents:
1) Product assembly chart, etc.;
2) List of critical components and/or main raw materials (see appendix 2).
3) Description of the difference between all types and tested types 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
Sample for type testing shall be delivered by each operating temperature point of the application unit.
4.2.1.2 Sample authenticity
Generally, samples for type testing shall be selected and sent by the applicant according to the requirements by the certification body, if necessary, the certification body may get the samples by sampling ways such as sampling on site or sampling by the applicant after the samples have been sealed on site.
The applicant shall make sure that the submitted samples be identical with real products, the certification body shall check the authenticity of the submitted samples by the applicant. The laboratory shall explain to the certification body and take corresponding measures if he has doubts with the authenticity of the samples.
4.2.1.3 Samples quantity/amount requirements
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.
Quantities of samples required for each operating temperature point: 45pcs. If the dimension of the sample ia smaller, it shall be submitted
Enclosure and sealing insulating materials: 5 pieces (dimension: 15mm15mm 3mm).
If additional test required by the producer (manufacturer) (i.e. appendix D in standard GB9816) or additional test needed for the sample with more than one rated value, the sample shall be submitted additionally according to the requirements of related clause.
4.2.1.4 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
GB9816 Thermal-links–Requirements and application guide
Note: type testing shall adopt current and valid versions of above standards.
4.2.2.2 Test items
The test items shall include all appropriate items specified in standards.
In one application unit, samples of Max. and Min. rated operating temperature shall be tested for all items specified in standards, samples of other rated operating temperature shall be only tested for item 10.6 Breaking current and Chapter 10 Temperature test.
In one application unit, if samples with more rated current, voltage values, select one or several groups with the severest rated current, voltage values for test specified in standards, other rated values shall be covered.
4.2.2.3 Test methods
The type testing shall be carried out according to the methods specified and/or referred in the standards and/or the standards.
4.2.3 Type testing reports
The Type testing reports will be issued by the laboratory after type testing.
The applicants are permitted to make rectifications if the type testing are partially unpassed for some items, the rectification period shall be 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 certification body will organize and compile the Type testing reports in accordance with specified contents and format, correct, clear and complete in contents, which shall include descriptions of all products in the application unit and related certification information.
The certification body/laboratory shall offer the Type testing reports timely to the applicant, who should make sure the complete and valid Type testing reports and Product description 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 consistency check.
4.3.1.1 Assessment of factory quality assurance ability
According to the principles of assurance products consistency, promoting the effectiveness of the certification results, the certification body shall formulate the factory quality assurance capability assessment rules for related products according to the contents of Responsibility and Authority, Documents and Records, Purchasing and Incoming Inspection, Monitoring and Measurement of Processes, Routine Tests and Verification Tests, Inspection and Test Equipment, Control of Non-conforming Product, Internal Audit, Compliance with Certified Product, Packing, Handling and Storage, etc., which shall be announced for implement after filed in CNCA. Moreover, the inspection shall be carried out in accordance with the requirements of Testing Requirements for Factory Quality Control of Thermal-links (see Appendix 2).
4.3.1.2 Check of consistency of the product
The consistency 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 specification and type sample of each category (see appendix 3) shall be taken from each producer (manufacturer) for the product consistency check. The following major points shall be checked:
1) The markings of the products to be certified and names, specifications, technical parameters, types on the packages shall be identical with those indicated in the type testing reports.
2) The construction of products to be certified shall be identical to those of the samples for type testing.
3) The components and materials 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 the safety performance of the products during the inspection.
4.3.1.3 Inspection Scope
All the products to be certified and processing promises shall be covered for inspection of factory quality assurance ability and of consistency 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, but shall meet related requirements by the certification body. During factory initial inspection, factory shall produce products within the scope of applying for certification.
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.
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. Factory shall finish rectifications in rectification periods specified by the certification body, the certification body (inspection groups) 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 periods.
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 application of the certificates shall comply with the requirements for Regulations for Compulsory Product Certification.
4.4.2 Time frame
The 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 of certification results and approval of certificates, etc.
Normally, type testing takes 65 working days (not including the time for corrective actions and retest of the non-conformity items). Counting upon the receipt of the samples and testing fees.
The inspection reports should be submitted within 5 working days after inspection. It will be counted from the day when the inspectors complete the inspection on site and receive from the factory the corrective action reports on non-conformities satisfying the requirements.
Evaluating certification results and approving the certificates shall normally be within 5 working days (counting upon the receipt of the certification fees).
4.4.3 Certification termination
If the results of type testing and factory inspection are unqualified, 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
Follow-up inspection including annual follow-up inspection and follow-up investigation for the certified products by the certification body.
4.5.2 Annual follow-up inspection
During regular annual follow-up inspection by the certification body, it shall be first priority put in the production season and adopt without advance notice by examination party ways for inspection. Same factories but different producers (manufacturers) should accept follow-up inspection.
In principle, special follow-up inspection shall adopt without advance notice by examination party ways.
The applicant shall accept follow-up inspection in specified periods, or it will be regarded as not accept follow-up inspection.
4.5.2.1 The frequency of annual follow-up inspection
The follow-up inspection shall normally be implemented at least once per 12 months from the initial inspection of this category products. The frequency of inspection should be increased in any of the 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 applicant/producer (manufacturer)/factory.
2) The certification body doubts the conformity of the certified product against the requirements of safety 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 producer (manufacturer) and 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. Meanwhile, change of key components and materials shall meet the requirements of change.
Moreover, the use of CCC mark and certification certificates shall be checked.
The model of follow-up inspection: re-assessment of factory quality assurance ability + check of consistency of products certified, and if necessary, samples may be taken and tested at the laboratories.
According to the principles of assurance products consistency, promoting the effectiveness of the certification results, the certification body shall formulate the factory quality assurance capability assessment rules for related products, which shall be announced for implement after filed in CNCA.
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 the annual follow-up inspection
Products related in this rules should be sampled and tested.
The samples shall be taken randomly from the qualified products of the factory (to insure the consistency and authenticity of the certified products, sampling sites can be market/enterprise distribution network site, enterprise which produces overall, the end of production line, stock, etc. according to real conditions). The sampling test shall be implemented by the specified laboratory, for specific sampling ways and requirements shall be carried out by the certification body.
The test items specified in the standards for certification can be applied to testing.
The certification body may carry out the parts or all of test items based on the degree of effects on the safety of the products.
4.5.2.4 Annual follow-up inspection results
4.5.2.4.1 Re-assessment of factory quality assurance ability in annual follow-up inspection
The inspection groups shall report the results of the follow-up inspection to the certification body. If the results are unqualified, the inspection groups shall report unqualified results directly to the certification body. Factory shall finish rectifications within 40 working days for the unqualified items, the certification body shall verify the rectification results with proper ways. It will be regarded as factory inspection results unqualified for those cannot finish rectifications in the rectification period.
4.5.2.4.2 Sampling & testing in annual follow-up inspection
It will be regarded as annual follow-up inspection results unqualified for the unqualified items found in annual follow-up inspection.
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 favorable inspection results. Otherwise, it will be implemented as 5.3.
4.5.3 Follow-up investigation of the certification body
The certification body shall implement effective follow-up investigation in accordance with the requirements of Certification and accreditation regulation for the certified products and take corresponding actions to the status of certification certificates by the results of follow-up investigation.
4.5.4 Evaluation of follow-up inspection results
The certificates can be retained and the certification marks can be continuously used upon favorable inspection results. Otherwise, it will be implemented as 5.3.
5. Certificate
5.1 The maintenance of the certificates
5.1.1 The validity of the certificate
The expiry date of the certificate of the products covered by this Rules is 5 years. The validity of the certificate depends on the follow-up inspection within the expiry date.
The applicant shall make application within 90 days before the expiry date for continue to use the certificate.
5.1.2 Changes of the certified products(http://china-ccc-certification.com/225.html)
5.1.2.1 Applying for change of certified product
Should any change occur in the type, brand, specification, producer (manufacturer) of key components and raw materials, or the design, structure involved in safety of the appliance, and related information and standards of the certificate, the application for approving/recording the change shall be made to the certification body.
Change of key components and materials shall meet the requirements of change.
5.1.2.2 Evaluation and approval of change
The certification body shall evaluate the change according to the contents of change and submitted information and confirm whether it can be approved or samples should be submitted for tests. If test is necessary, the change will be approved upon favorable test result.
In principle, the base of change approval shall be the tested type products for initial all item type testing.
5.2 Extension of certified products(http://cccwto.com/UploadFiles/2011225164829_115.doc)
5.2.1 Procedure for extension
For extension of the range of products covered by the unit of certified products, the certificate holder shall first make application.
The certification body shall check the consistency of the extended products against the certified products and confirm the applicability of the original certification results to the extended products and carry out, if necessary, 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 tested type 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, sample may be required by the certification body according to the requirements of Clause 4.2 of this Rules, if necessary, samples shall be tested and the test results shall be reported to the certification body.
5.3 The suspension, cancellation and withdrawal of the certificates
The suspension, cancellation and withdrawal of the certificates shall follow Regulations for Compulsory Product Certification, Implementation rules of suspension, cancellation and withdrawal of the certificates and related rules by the certification body. In principle, if the applicant make application for suspended certificate restoration, the certification body shall carry out factory inspection in according to the requirements of initial factory inspection, if necessary, samples shall be tested.
The certification body shall announce to the public with proper ways about the cancelled, suspended and withdrawn certificates.
5.4 Use of the certificates
Use of the certificates shall follow Regulations for Compulsory Product Certification.
6. Use of compulsory products certification mark
6.1 General requirements
The certificate holder shall follow Regulations for Compulsory Product Certification and Regulations for Compulsory Product Certification Mark.
6.2 Design of the mark allowed to use
6.3 Derivations of certification mark
The products listed in this Rules shall not be allowed to use any derivation of certification mark.
6.4 Ways of use
Any of the following way three ways is required: affixing standard-size marks(http://china-ccc-certification.com/148.html) (labels) printed only by CNCA, printing(http://china-ccc-certification.com/167.html) or moulding.
6.5 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 shall be charged by the certification body according to the national statutory structural fee chart.