Document No.: UPCA--02V.0 PU UnionPay QuickPass Terminal Product Certification Rules Issued on July, 205 Implemented from July, 205 Issued by China UnionPay Co., Ltd.
UnionPay QuickPass Terminal Product Certification Rules. General Provisions. The Rules are hereby formulated in order to promote UnionPay QuickPass services and ensure that terminals accessing to UnionPay network strictly enforce the uniform technical standards, thereby maintaining the brand image of UnionPay..2 The UnionPay QuickPass terminals mentioned herein refers to various types of acceptance terminal products with the contactless payment function of UnionPay IC cards and which can meet the needs of UnionPay QuickPass services. Specific product forms include, but are not limited to, POS terminals, epos, IC card offline acceptance terminals, financial self-service terminals, contactless IC card readers, contactless modules applicable to self-service terminals and other equipment, personal payment terminals as well as other terminal products. Among them: POS terminal products refer to the point-of-sale terminals which can accept information of magnetic stripe cards and IC cards and complete financial transactions; epos products refer to the new terminal equipment developed on the basis of traditional telephone equipment. epos can complete a variety of bank card based business functions via information exchange with telephone payment centers and background customized transaction. They may be divided into type I terminals and type II terminals depending on their applicable environment and functions. Type I terminals are used for family and other private places, while type II terminals are for attended residential property offices and convenience
points, unit offices and commodity wholesale markets without centralized checkstands; IC card offline acceptance terminal products refer to the equipment which can accept IC card information and complete offline transactions relying on the commands from terminals and cards, without the need to possess on-line communication capability or environment. Financial self-service terminal products, or simply"self-service terminals", refer to the equipment or devices which are operated by cardholders and can read, capture and transmit card information in unattended environment to provide self-service function; Contactless IC card readers refer to the card reader equipment which have contactless card reading function and can complete contactless IC card transactions via interactive instruction with the cards; Contactless modules applicable to self-service terminals and other equipment refer to the independent modules with contactless IC card transaction function which can be equipped on ATMs, financial self-service terminals, unmanned vending machines and other equipment; Personal payment terminals refer to the terminal equipment used by cardholders for payment and identity authentication, which can be connected to the background through personal computers, mobile phones and other personal equipment to read bank card data, encrypt and protect card data and PIN information. Other new terminal products refer to the terminal equipment which can complete UnionPay card financial transactions, other than the above listed products..3 According to the Rules, UnionPay will conduct product certification and issue certificates for the certified end products.
.4 The principle of openness, fairness and impartiality will be followed for the qualification. 2. Management Organization China UnionPay is the management organization of certification of UnionPay QuickPass terminal products which performs quality supervision and management responsibilities for the UnionPays QuickPass terminals. China UnionPay empowers the UnionPay Logo Product Enterprise Qualification Certification Office (hereinafter referred to as "Certification Office", located in China UnionPay Technology Department) to organize specific certification work, and authorizes a professional testing organization to implement the terminal QuickPass function tests. 3. Certification Process The certification process of UnionPay QuickPass terminals consists of application, review of application materials, product testing, certificate issuance and publication, etc. 3. Application A manufacturer who applies for certification shall submit all of the following written materials in simplified Chinese or English to the Certification Office. The Certification Office will use the materials submitted by the manufacturer only for equipment certification purposes and keep them secret. () Equipment Certification Application Form (Annex I): Certification Application Form for UnionPay QuickPass Terminal; (2) EMV Contactless Level certificate; 3.2 Review of Application Materials 3.2. The Certification Office is responsible for reviewing application materials.
3.2.2 The purpose of the review is to check the integrity, authenticity and compliance of application materials. Integrity refers to whether all the materials specified herein have been provided; authenticity refers to whether materials provided by applicants are true and valid; and compliance refers to whether the content of the materials provided by a company complies with relevant requirements. The Certification Office may decide whether to conduct onsite investigation in the place of an applicant (by checking its corporate quality assurance system, application development capabilities and ability to provide after-sales technical support), so as to confirm the authenticity of the materials supplied. 3.2.3 The Certification Office has the right to decide whether to accept certification applications on a case by case basis by considering the qualifications and other situations of an applicant and inform the applicant of the final decision. 3.2.4 The Certification Office shall finish the review of the application materials, issue review conclusions, and notify an applicant in the form as specified in Notice of Review Result of Application for Certification of UnionPay QuickPass terminal (Annex II) within one month from the date of receipt of all required certification materials. The time for reviewing the materials of other new terminal equipment is not subject to this restriction due to its special nature. 3.2.5 An applicant if being asked to provide supplementary materials or re-submit application materials shall submit the materials within one month upon the receipt of a notice. Failing to submit such materials and giving no explanation for the failure shall be deemed as giving up the application. 3.3 Equipment Testing 3.3. Equipment testing standards shall be formulated, modified, and
published by the Certification Office based on standards "UnionPay Integrated Circuit Card Specifications - Basic Specification - Part V:Contactless Integrated Circuit Card Payment Specification, and "EMV Contactless Specifications for Payment Systems Book C-7 Kernel 7 Specification". 3.3.2 The applicant shall contact the designated inspection institution to carry out equipment testing within one month from the date of receipt of test requirements. Prototypes of other new terminal products may be provided for testing accordance with actual situations of the products. Specific test content and test methods shall be determined by China UnionPay and a professional inspection institution entrusted by it. 3.3.3 The applicant shall arrange personnel to assist in the testing of equipment. 3.3.4 The inspection institution shall complete testing in accordance with equipment testing standards within two months from the date of receipt of equipment samples. Should test results fail requirements, an applicant is entitled to request for a retest within two months upon the receipt of the test report If the retest still fails to meet the requirements, the certification shall be canceled for this time. 3.3.5 After each test, the applicant shall submit test report to the Certification Office. 3.4 Deliberation, Certificate Issuance and Publication of Certification 3.4. The Certification Office shall deliberate on the equipment certification within one month after receiving the test report submitted by the enterprise. The final certification result shall be issued after deliberation. 3.4.2 For certified equipment, the Certification Office shall be responsible for issuing the Notice of UnionPay QuickPass Terminal
Product Certification Result" to the manufacturer. 3.4.3 The enterprises fill and submit Commitment for Quality Assurance of UnionPay QuickPass Terminal (Annex III) to the Certification Office. 3.4.4 The Certification Office shall issue the "UnionPay QuickPass Terminal Product Certificate to the certified enterprises after receiving their certification fees with announcement to the public. 3.4.5 The certification fee is CNY 5,000 for each device. 4. Supervision and Administration 4. The manufacturer may not reapply for equipment certification for those non-certified within 6 months. 4.2 The "UnionPay QuickPass Terminal Product Certificate" shall be valid for 3 years. Within a month before the certificate expires, the enterprise should take the initiative to submit the certificate renewal application to UnionPay. In case of no major update to the "UnionPay Integrated Circuit Card Specifications - Basic Specification - Part V:Contactless Integrated Circuit Card Payment Specification, and "EMV Contactless Specifications for Payment Systems Book C-7 Kernel 7 Specification" and other relevant specifications, the Certification Office may directly issue a new certificate when the following conditions are satisfied: No changes to product appearance, hardware version and firmware version No changes to enterprise name, business scope and ownership structure The enterprise has no violation of the certification rules Otherwise the enterprise needs to submit a report on product and enterprise changes, and the Certification Office shall decide whether to directly issue a new certificate or require product re-certification based
on the situation 4.4 The renewed certificate has a validity extended for one year based on that of the original one, and the enterprise shall pay CNY 5,000 as the certificate fee for the new certificate. 4.5 As of the expiration date of the certificate, the enterprises that have not yet filed the certificate renewal application shall be deemed to automatically waive the certificate renewal qualification, and their certificates shall automatically become invalid. 4.6 For certified equipment, the Certification Office shall conduct occasional spot checks on the equipment quality, safety and after-sales service, and has the right to carry out random sample inspection on equipment of volume production during the period of certificate validity. 4.7 For certified terminals, the manufacturers must submit monthly sales report of the equipment to the Certification Office at the end of each month. When there is such need of reconstruction for equipment that has come into use according to the requirements of consumers, they must submit a written application to the Certification Office with terminal product differentiation evaluation for assessment and approval. 4.8 The manufacturers must comply with the provisions hereof and strictly control the quality of certified equipment to ensure the security in all aspects. Otherwise, the Certification Office shall punish as follows: () The Certification Office will give a verbal warning in case of general product quality problems with no adverse effects and causing no economic losses; (2) The Certification Office will give a written warning and issue a rectification notice with time limit in case of product quality or safety problems with less impact or causing few losses;
(3) The Certification Office will cancel its network qualification with public announcement when the product is involved in one of the following situations, and the manufacturers may not re-apply for certification for the product within one year. Verified false materials are provided during the certification process; The products already on the market are inconsistent with the certified ones in terms of appearance, version or structure; Serious quality and safety problems resulting in great impacts or losses; Two consecutively failed spot checks; No sales for a whole year in mainland China; Incoordination with daily management of the Certification Office without correction after repeated warnings. 5 Supplementary Provisions 5. The enterprises may appeal to China UnionPay when having objections against test and certification results. 5.2 China UnionPay is responsible to develop, promulgate, interpret and modify the Rules. 5.3 The Rules shall come into force from the date of promulgation.
Annex Certification Application Form for UnionPay QuickPass Terminal Company name Company address and postal code Business license number Product model: Operation System: Kernel Version: Product type POS ATM Contactless reader Contactless module Other types (Describe the type briefly) Certification Edition Global Edition Overseas Edition Global Edition: The terminal could be deployed in global markets NOTE. Overseas Edition: The terminal could only be deployed outside Mainland China. NOTE In Mainland China, PBOC Level /2 certificates might be requested by some acquires. Therefore, it is recommended to get the PBOC certificates together with UnionPay certificate global edition. PBOC standard is the industry standard announced by the central bank of the People's Republic of China. Name: Telephone: Liaison Company Profile Email: Fax: Product Picture: Company s representative (signature): Company (Seal if available) Month Date, Year
Annex 2 Number: Notice of Review Result of the Application for Certification of UnionPay QuickPass terminal Name of the applicant company: Product model: Operation System: Kernel Version: Initial result Valid application, proceed to product tests Test project Name: UnionPay Type Approval-Contactless IC Card Payment Terminal Application Test(Global Edition) UnionPay Type Approval-Contactless IC Card Payment Terminal Application Test(Overseas Edition) Invalid application, product test denied Reasons: Seal Month Date, Year
Annex 3 Commitment for Quality Assurance of UnionPay QuickPass Terminal To: Qualification Certification Office for Companies with UnionPay Logo Products We, the licensee of company for UnionPay QuickPass Terminal, hereby declares that we would follow the rules and requirements of China UnionPay and make the following commitments:. Ensure the quality and security of the certified products; 2. Ensure that the after-sale service and technical support are provided as mentioned in the application materials and the service channels are smooth; 3. Subject ourselves to the supervision and management of the Certification Office, coordinate with the Office in the product sample tests, and bear all the costs thereof; 4. Make sure to finish the product upgrading within specified timelines after being notified of the related technical specification revisions made by China UnionPay; 5. If our company is found guilty of severely violating the related rules and regulations occur in terms of product quality, security, after-sale service, technical support, product upgrading, product sample test, supervision and management, the Certification Office has the right to suspend the license we have obtained. Legal representative (Signature): Company (seal if available): Month Date, Year