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1 Ref. No. CNCA-00C-007 DETAILED IMPLEMENTATION RULES FOR COMPULSORY PRODUCTS CERTIFICATION Submission, Dissemination and Publication of Information Issued on Jan. 8, 2014 Implemented on Jan. 8, 2014 Published by Certification and Accreditation Administration of People s Republic of China 1

2 CONTENTS 1. Introduction 3 2. Scope 3 3. Terms and Definitions CCC quality basic information CCC Product Quality Supervision and Information CCC certified administrative regulatory information CCC certification information submission CCC quality basic information CCC product quality supervision information CCC product quality risk information CCC certification information dissemination 4 6. CCC authentication information publication 5 Annex 1 CCC quality analysis data 5 Annex 2 Inspection quality evaluation data of designated laboratories 13 Annex 3 CCC product quality supervision information 13 Annex 4 CCC certification information dissemination content 14 Annex 5 CCC information publication content 14 2

3 1. Introduction According to Regulations for Compulsory Products Certification (AQSIQ Decree No. 117), this document is made for improving data information submission, dissemination and publication working mechanism of China Compulsory Certification, regulating information submission, dissemination and publication work of designated certification bodies, laboratories, accreditation associations, local technical and quality supervision bureaus and inspection & quarantine bureaus. 2. Scope This document is applicable to submission, dissemination and publication of relevant information between designated compulsory product certification bodies, laboratories, China Compulsory Certification Management Center, Certification and Accreditation Association, local technical and quality supervision bureaus, inspection & quarantine bureaus and other CCC stakeholders. 3. Terms and Definitions 3.1 CCC quality basic information It refers to grasping the overall situation and the quality level of the CCC implementation, analyzing and identifying the problems and the risk factors for the system implementation, and further improving all kinds of CCC -related quality basic information required by certification system, including: 1) CCC certificates data 2) CCC quality analysis data CCC certification acceptance and CB certificates conversion data Type test and supervisory sampling data CCC factory inspection data CCC certificates and certified enterprises data CCC mark data data of CCC factory inspectors 3) Inspection quality evaluation data of designated laboratories 3.2 CCC product quality supervision information It refers to relevant quality information required by local technical and quality supervision bureaus and inspection & quarantine bureaus, including CCC certification factory inspection program and certificate suspension, revocation, cancellation and other information. 3.3 CCC certified administrative regulatory information It refers to the CCC certification-related information grasped and collected by local technical and quality supervision bureaus and inspection & quarantine bureaus during CCC administrative supervision, including typical case of law enforcement of local technical and quality supervision bureaus and inspection & quarantine bureaus, CCC exempt information and CCC product quality risk information and so on. 4. CCC certification information submission CCC certification information submission includes CCC quality basic information, CCC product quality supervision and CCC administrative supervision information. 4.1 CCC quality basic information CCC quality basic information includes CCC certificate data, CCC quality analysis data, and inspection quality evaluation data of designated laboratories. Designated laboratories, certification and accreditation associations and mark issuing management center report this information to CNCA Certification Supervision Department. 3

4 4.1.1 CCC certificates data CCC certification data is submitted by the designated certification bodies twice a week. Designated certification body should follow the notice of further specifying CCC certificate data reporting requirements (National certification of information technologies letter [2009] 3) and report the CCC certificate database of CNCA based on requirement CCC quality analysis data CCC quality analysis of data are submitted by the designated certification bodies, laboratories, certification and accreditation associations by the CNCA on November 5 every year through Compulsory Certification Quality Analysis Information System (cccq.cnca.cn), the cycle of statistical data is previous year from November 1 to October 31 this year, submit content is attached in Annex 1. More specific requirements are in the notice on reporting statistical work of strengthening basic data and quality data of compulsory product certification (National Certification No. [2012]42) Inspection quality evaluation data of designated laboratories Inspection quality evaluation data of designated laboratories submitted to the Certification Supervision Department of CNCA by the designated certification body on a quarterly basis, submitted before the 15th of the first month quarterly, the data/information is from last quarter, see Annex CCC product quality supervision information CCC product quality supervision information is submitted by designated certification bodies to local technical and quality supervision bureaus and inspection & quarantine bureaus, including the CCC submission content factory inspection program and certificate suspension, revocation, cancellation and other information, see Annex 3. Factory inspection plan data is reported weekly through CCC certificate of law enforcement query system. Certificate suspension, revocation, cancellation and other information is submitted to the local technical and quality supervision bureaus and inspection & quarantine bureaus by the designated certification body directly on a monthly basis. 4.3 CCC product quality risk information CCC certified products quality risk information submitted by local technical and quality supervision bureaus and inspection & quarantine bureaus, including the provincial supervision and inspection results and product information checks failed, certified product quality and safety incidents and other information and CCC exempt data. CCC exempt data are submitted through the management system of exempting from mandatory product certification of CNCA. CCC certified products quality risk information is submitted real-time through the CCC risk information warning notification channel in accordance with the warning notice of national certification commission on strengthening compulsory product certification risk information analysis (National Certification No. [2012] 97). 5. CCC certification information dissemination CCC certification information dissemination refers to dissemination of the same product category certificate status information between the designated certification bodies. The dissemination of information between designated certification bodies will strengthen the implementation of the 4

5 exchange of the CCC, uniform certification standards, strict certification practices to ensure compete orderly. Information transmitted between designated certification bodies includes the suspension and revocation of certificates, certification bodies revision information of implementing rules, and certification of product quality risk information, see Annex 4. CCC certification bodies with the same certification scope should transfer designated business authentication information at least once a month, in case of major problems, deliver and submit to CNCA Certification Supervision Department in time. Designated certification bodies should the contacts and specify their delivery method. 6. CCC certification information publication CCC certification information publication is designated certification bodies to facilitate the certification companies, to obtain authentication information by the majority consumers, to play the role of social supervision and announce the certified enterprise products and certificate information to the public through the website. CCC certification relevant information required to inform the public includes the certified enterprises certificate information, certificates pause, resume, revocation and cancellation information, certification bodies implementing rules, standard version embodiments, and certification fees, see Annex 5. Designated certification body should notice the above information in real time via the website. Annex 1 CCC quality analysis data 1. CCC certification acceptance and CB certificates conversion data 1.1 Number of new applications It refers to the sum of applying the same subclass products during the reference period for the first time and all re-evaluate corporate applications. 1.2 Changing the number of applications It refers to the sum of the same subcategory products for all enterprise certification that expand, narrow and the frequencies of the change request in the reference 1.3 Total number of applications accepted It refers to the sum of new applications and applications changed. 1.4 The number of certificates issued that report directly to CB It refers to the numbers of subcategory products issued certificates that CB report directly in the same reference 1.5 The numbers of test certificates issued with supplementary difference It refers to the numbers of products that issued Certificate on the basis of reported by CB based on testing on differences in the same reference 1.6 Total number of certificates issued that based on the results of using CB 5

6 It refers to the sum of certificates issued through reporting to CB directly and supplement difference test certificate issued. 2 Type test and supervise sampling data 2.1 The number of products passed type test on the first try It refers to the number of qualified subcategory products passed through the type tests once during the same subclass test. 2.2 The number of products failed to pass type test on the first try It refers to the number of failed type tests during the same subclass statistical testing products for the first time. 2.3 Test pass rate of type test on the first try It refers to the percentage of the total number passed type test on the first try The number of products for rectification It refers to the number of subcategory products failed to pass the examination for the first time, by the number of qualified after rectification type test in the reference 2.5 The number of products not passed type tests rectification It refers to statistics for the number of unqualified subcategory products that failed the first time and still failed after rectification in the reference 2.6 The final failure rate of type test It refers to the percentage of the total number failed tests after rectification. 2.7 The number of qualified supervision and sampling products The reported statistics of products are qualified supervision and sampling subcategory products in the reference 2.8 The failure rate of supervision sampling products It refers to the rate of supervision sampling subcategory products that failed in the reference 2.9 The most unqualified project content It refers to the most unqualified project content tested from same category products in the reference 2.10 The number of type test reports has been issued It refers to the sum of the number of subcategory products passed at first shot, the number of products that passed type test for rectification and the number of products that failed type test for rectification Supervision sampling reports have issued It refers to the sum of subcategory products qualified and not qualified from supervision sampling reports The number of CCC inspection reports has been issued (including domestic and overseas) It refers to the sum of issued type test reports and issued sampling test reports. 3. CCC factory inspection data 3.1 Overall situation of factory inspections 6

7 3.1.1 Factory inspection times It refers to the sum of inspection times that the same subcategory domestic and overseas products within the reference The number of passed products It refers to the sum of the same domestic and overseas subcategory product passed test at first shot, passed with written verification and passed with field validation within the reference The number of products passed with written verification It refers to the number of all domestic and overseas subcategory products passed with written verification The number of products passed with field validation It refers to the number of all domestic and overseas subcategory products passed with field validation The number of non-compliance It refers to the total number of non-compliance in the factory inspections for the same subcategory in domestic and overseas, included direct non-compliance and after rectification non-compliance within the reference The number of domestic inspections It refers to the total number of the factory inspections for the same subcategory in domestic within the reference The number of overseas inspections It refers to the total times of the factory inspection for the same subcategory overseas within the reference 3.2 Initial inspection The number of initial inspections It refers to the total number of the factory inspections for the same subcategory initially applied for certification in domestic and overseas within the reference The number of compliance It refers to the sum of one-shot, compliance with written verification and compliance with onsite verification in factory inspections for the same subcategory initially applied for certification in domestic and overseas within the reference The number of compliance after written verification It refers to the total number of the compliance with written verification in factory inspections for the same subcategory initially applied for certification in domestic and overseas within the reference The number of compliance after onsite verification It refers to the total number of the compliance with onsite verification in factory inspections for the same subcategory initially applied for certification in domestic and overseas within the reference The number of non-compliance 7

8 It refers to the sum of the directly non-compliance and the non-compliance after rectification in factory inspections for the same subcategory initially applied for certification in domestic and overseas within the reference The name and percentage of the top three non-compliances in the initial factory inspection It refers to the name of the top three non-compliances in the initial factory inspection for the same subcategory in domestic and overseas, and the percentage of the three non-compliances in all noncompliances of initial factory inspection within the reference period, The percentage of one-shot in factory inspection It refers to the percentage of the first compliance in all factory inspections for the same subcategory initially applied for certification in domestic and overseas within the reference The percentage of the final non-compliance in the initial factory inspection It refers to the percentage of the sum of the directly non-compliance and the non-compliance after rectification in all initial factory inspection for the same subcategory initially applied for certification in domestic and overseas within the reference 3.3 The follow-up inspection after certification The number of the follow-up inspection after certification It refers to the total number of the follow-up inspection after certification for the same subcategory in domestic and overseas within the reference The number of compliance It refers to the sum of the one-shot compliance, the compliance with written verification and the compliance with onsite verification in follow-up inspection after certification for the same subcategory in domestic and overseas within the reference The number of the compliance with written verification It refers to the total number of the compliance with written verification in the follow-up inspection after certification for the same subcategory in domestic and overseas within the reference The number of the compliance with onsite verification It refers to the total number of the follow-up inspection after certification for the same subcategory in domestic and overseas within the reference The number of non-compliance It refers to the sum of the direct non-compliance and the non-compliance after rectification in the follow-up inspection after certification for the same subcategory in domestic and overseas within the reference The number of the supervision and sample inspection It refers to the total number of the sample inspection in the follow-up inspection after certification for the same subcategory within the reference The number of the qualified supervision and sample inspection It refers to the total number of the qualified supervision and sample inspection in the follow-up inspection after certification or the same subcategory in domestic and overseas within the reference The name and the percentage of the top three non-compliances in the follow-up inspection 8

9 It refers to the name of the top three non-compliances in the follow-up inspections for the same subcategory in domestic and overseas, and the percentage of these three non-compliances in all noncompliance of follow-up inspections within the reference The rate of the final non-compliance in the follow-up inspection It refers to the percentage of the sum of the one-shot non-compliance and the non-compliance after rectification in the follow-up inspection after certification for the same subcategory in domestic and overseas within the reference 3.4 Unannounced inspection The number of unannounced inspection It refers to the total number of the unannounced inspections for the same subcategory in domestic and overseas within the reference The number of compliance It refers to the sum of the one-shot, compliance with written verification and compliance with onsite verification in the unannounced inspection for the same subcategory in domestic and overseas within the reference The number of compliance with written verification It refers to the total number of compliances with written verification in the unannounced inspection for the same subcategory in domestic and overseas within the reference The number of compliance with onsite verification It refers to the total number of compliances with onsite verification in the unannounced inspection for the same subcategory in domestic and overseas within the reference The number of non-compliance It refers to the sum of the direct non-compliance and the non-compliance after rectification in the unannounced inspection for the same subcategory in domestic and overseas within the reference The name and the percentage of the top three non-compliances in unannounced inspection It refers to the name of the top three non-compliances in unannounced inspection for the same subcategory in domestic and overseas, and the percentage of these three non-compliances in all noncompliance of unannounced inspection within the reference period, The percentage of final non-compliance in unannounced inspection It refers to the percentage of the sum of one-shot non-compliance and the non-compliance after rectification in all unannounced inspection for the same subcategory in domestic and overseas within the reference period 4. CCC Certificates and the data of the certificated enterprise 4.1 Count by the product category The number of the issued ODM certificates It refers to the total number of the issued ODM certificates for the same subcategory within the reference The number of the suspended certificates It refers to the total number of the suspended certificates for the same subcategory within the reference 9

10 4.1.3 The number of the factories suspended due to the quality factor It refers to the total number of the suspended factories due to the reason in note 1 for the same subcategory within the reference The number of the suspended certificates due to the quality factor It refers to the total number of the suspended certificates due to the reason in note 1 for the same subcategory within the reference The number of the suspended factories due to the independent reason It refers to the total number of the factories that apply for suspension for the same subcategory due to their own reason and are approved within the reference period, The number of the suspended certificates due to the independent reason It refers to the total number of the suspended certificates for the same subcategory applied by the enterprise due to the enterprise s own reason and approved within the reference The number of the revoked certificates It refers to the total number of the revoked certificates for the same subcategory within the reference The number of the factories whose certificates were revoked due to the qualify factor It refers to the total number of the factories revoked due to the reason in note 2 for the same subcategory within the reference The number of the certificates revoked due to the quality It refers to the total number of the certificates revoked due to the reason in note 2 for the same subcategory within the reference The number of the cancelled certificates It refers to the total number of the cancelled certificates for the same subcategory within the reference Note 1: the reason of the suspension due to the quality factor (1)The certification clients/ the stakeholders (including manufacturers, distributors, importers, manufacture factories, similarly hereinafter) break the country s laws and regulations, or the results of the national and the provincial sample inspection is unqualified, but the certificates needn t be revoked immediately. (2) The applicable certification basis and the implementation rules for the certified products is visionupdating or modified, but the certification clients don t perform the change procedures as required within the time limit, or the products don t meet the modification requirement. (3) The results of the supervision and inspection prove that the certification clients are against the rules of the CCC implementation rules (including the unqualified product sample inspection, the unqualified factory supervision and inspection, the issues of the product homogeneity) and the requirements of the certification authorities, but they can meet the requirements after the rectifications. (4) The certification clients/ the stakeholders use the certificates and the certification marks not according to the stipulation, which should be investigated depending on the circumstance. 10

11 (5) The certification clients/ the stakeholders reject the unannounced supervision and inspection or the unannounced sample inspection by national authorities or certificated authorities without a viable reason or couldn t accept these within the time limit. (6) The information of the certificates (e.g. applicant/ manufacturer/ the name and the address of the manufacture factory/ the type and the specification of the certificated product) is changed, or there are major changes in the factory s organization structure and the quality control system without application for change or filling. Note 2: the reason of revoke due to the quality factor (1) When the suspension expiration of the certificates, the certification clients do not apply for recovering the certificate, or haven t taken any rectification measurement or it s still unqualified after rectification. (2) The key components, the type and the specification, the factors relevant to the complete machine s safety and EMC (e.g. the design, the structure, the process and the manufacture enterprises of the major material/ raw material) of the certificated products are changed, which leads to the serious potential security risks. (3) The results of the certificated authorities follow-up inspection prove that there are serious defects in the factory s ability of quality control. (4) The certification clients provide false sample, and the certificated products and the type-testing samples are conflicting. (5) The certification clients/ stakeholders break the laws and regulations, or the results of the national or the provincial supervision and sample inspection prove that the products appear serious defects, or the unqualified safety inspections, or there are serious problems in homogeneity. (6) The certificated product s defects lead to the quality and safety accident. (7) When the certificates are suspended due to the clause (5), (6) in 5.1, the certification clients/ stakeholders still reject the supervision and inspection or the supervision and sample inspection, or still be uncooperative in sample inspection in market or merchandising places. (8) The certification clients/ stakeholders use the certificates and the certification marks not according to the stipulations, rent, lend or transfer the certificates and the certification marks, which is in serious case. (9) Acquire the certificates by unjustified means such as deceiving, bribing, or other serious violations that directly affect the validity of the certificated results. 4.2 Counting by regions (separately counting for province, autonomous regions and municipalities in domestic, Hong Kong, Macao, Taiwan and foreign countries), including the number of the new certificates, the number of the enterprises referring to the new certificates, the number of the new enterprises The number of the new certificates 11

12 It refers to the total number of the new CCC product certificates in all regions within the reference The number of the enterprises referring to the new certificates It refers to the total number of the enterprises referring to the new CCC product certificates within the reference The number of the new enterprises It refers to the total number of the new enterprises applying for CCC products within the reference The annual certification basic data of the factory overseas Within the reference period and according to the foreign countries, regions and product categories, count the number of the new presented certificates and the enterprises, the number of the valid certificates and the enterprises, the number of the initial factories inspections, the number of the follow-up inspections, the number of the authorized foreign CB reports, the number of the initial factories inspection and follow-up inspections that are taken by the foreign authorized cooperative agencies. 5. Mark of CCC certification 5.1 The number of the issued standard marks It refers to the total number of the issued standard marks for all CCC products within the reference 5.2 Number of ratification for printing & molding marks It refers to the total number of printing & molding mark ratifications for CCC products released within the survey 6. Information of CCC inspectors 6.1Total number of valid registered factory inspectors It refers to total number of senior inspectors/ inspectors with valid registration. 6.2 Number of senior inspectors of valid registration It refers to the total number of senior inspectors with effective registration in all certification bodies (before expiration). 6.3 Number of valid registered inspectors It refers to the total number of valid registered inspectors in all certification bodies (before expiration). 6.4 Number of newly registered inspectors It refers to the total number of newly registered senior inspectors and inspectors. 6.5 Number of newly registered senior inspectors It refers to the total number of newly registered senior inspectors in certification bodies within the survey 6.6 Number of newly registered inspectors It refers to the total number of newly registered inspector in all certification bodies within survey 12

13 6.7 Annual number of revoked factory inspectors It refers to the total number of revoked factory inspectors (including senior ones) in certification bodies within the survey Note: the data is based on abroad and domestic separately. Annex 2 Inspection quality evaluation data of designated laboratories 1. Total number of test reports It refers to the total number of CCC-product testing reports issued by the designated laboratories within the survey 2. Number of reports with general problems It refers to the number of CCC-product testing reports with general problems issued by the designated laboratories within the survey period, general problems referring to non-technical information and wording errors. 3. Number of test reports with common errors It refers to number of CCC-product testing reports with common errors issued by the designated laboratories within the survey 4. Number of test reports with serious errors It refers to the number of CCC-product testing reports with serious errors issued by the designated laboratories within the survey period, serious errors referring to technical errors except general problems. 5. General error rate of test reports It refers to the number of CCC-product testing reports with common errors accounting for the total number of testing reports, issued by the designated laboratories within the survey Annex 3 CCC product quality supervision information 1. Factory inspection program Factory inspection information within survey period includes organization of audit team, checking time and company name. 2. Suspension, cancellation and withdrawal of the certificates 2.1 Disposal information of certificates Relevant information mainly includes suspension, recovery, cancellation or withdrawal of the certificates. 2.2 Certificate suspension information Certificate suspension information by certificate bodies includes the suspension of the certificate number, company name, product name and model specifications, the reasons for the suspension, the suspension time. 2.3 Certificates recovery information Certificates recovery information by certificate bodies includes the restoration of the certificate number, company name, product name and model specifications, recovery time. 2.4 Certificate cancellation Information 13

14 Certificate cancellation information by certificate bodies includes the cancellation of the certificate number, company name, product name and model specifications, the reasons for cancellation, cancellation time. 2.5 Certificate withdrawal Information Certificate withdrawal information by certificate bodies includes withdrawal of the certificate number, company name, product name and model specifications, the reasons for the withdrawal, withdrawal time. Annex 4 CCC certification information dissemination content 1. Certificate suspension and withdrawal information 1.1 Certificate suspension information Certificate suspension information by certificate bodies includes the suspension of the certificate number, product name and model specifications, the reasons for the suspension and the suspension time. 1.2 Certificate withdrawal information Certificate withdrawal information by certificate bodies includes withdrawal of the certificate number, company name, product name and model specifications, the reasons for the withdrawal, withdrawal time. 1.3 Certificate cancellation Information Certificate cancellation information by certificate bodies includes the cancellation of the certificate number, company name, product name and model specifications, the reasons for cancellation, cancellation time. 2. Information for draft and revision of detailed implementation rules by designated certification bodies 3. Certified product quality risk information During implementation process of certification, certification bodies discover or obtain verified information of product quality safety, factory quality assurance ability, factory integrity. Annex 5 CCC information publication content 1. Certificate information of certified company Public certificate information of certified company by certification bodies should include the number of CCC certificate, certified company name, manufacturer's name, the name and specifications of certified products and so on. 2. Certificate suspension, withdrawal and cancellation information 2.1 Certificate suspension information Certificate suspension information by certificate bodies includes the suspension of the certificate number, product name and model specifications, the reasons for the suspension and the suspension time. 2.2 Certificate withdrawal information Certificate withdrawal information by certificate bodies includes withdrawal of the certificate number, company name, product name and model specifications, the reasons for the withdrawal, withdrawal time Certificate cancellation Information 14

15 Certificate cancellation information by certificate bodies includes the cancellation of the certificate number, company name, product name and model specifications, the reasons for cancellation, cancellation time. 3. Certification implementation rules It states the content and revision of certification implementation rules. 4. Program for implementation of new standard version 5. Certification charge It refers to certification charge of CCC certified products by certification bodies. 15