CNCA C09-01-2023 English PDF (CNCAC09-01-2023)

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CNCA C09-01-2023: China Compulsory Certification Implementation Rules - Information technology equipment
CNCA-C09-01:2023
CNCA / CCC
Serial No.: CNCA-C09-01:2023
China Compulsory Certification Implementation Rules -
Electronic products and safety accessories
ISSUED ON: JUNE 28, 2023
IMPLEMENTED ON: AUGUST 01, 2023
Issued by: Certification and Accreditation Administration of the People's
Republic of China
Table of Contents
0 Introduction ... 4
1 Application scope ... 4
2 Certification standards ... 4
3 Certification modes ... 5
4 Classification of certification units ... 6
4.1 General requirements... 6
4.2 Special requirements... 6
4.3 Other requirements ... 6
5 Certification entrusting ... 7
5.1 Application and acceptance of certification entrusting ... 7
5.2 Application materials ... 7
5.3 Implementation Arrangement ... 7
6 Certification implementation ... 8
6.1 Type test ... 8
6.2 Certification evaluation and approval ... 9
6.3 Time limit of the certification ... 9
7 After-certification supervision ... 9
7.1 After-certification follow-up inspection ... 10
7.2 Factory on-site sampling testing or inspection ... 10
7.3 Market sampling test or inspection ... 11
7.4 Frequency and time of after-certification supervision ... 11
7.5 Records of after-certification supervision ... 11
7.6 Evaluation on after-certification supervision ... 11
8 Certificate ... 12
8.1 Maintenance of the certificate ... 12
8.2 Change of products covered by the certificate ... 12
8.3 Expansion of products covered by the certificate ... 13
8.4 Certificate’s cancellation, suspension and withdrawal ... 13
8.5 Use of the certificate ... 13
9 Certification marks ... 13
9.1 Mark style permitted to use ... 14
9.2 Use of deformed mark ... 14
0 Introduction
This Rules is established based on the safety risk and certification risk of electronic
products and safety accessories. It stipulates the basic principles and requirements
for the implementation of China Compulsory Certification for electronic products and
safety accessories.
This Rules can be used with other general rules issued by Certification and
Accreditation Administration (CNCA), such as “China Compulsory Certification
Implementation Rules - Manufacturing Enterprise Classification Management,
Certification Mode Selection and Determination”, “China Compulsory Certification
Implementation Rules - Utilization of Manufacturing Enterprise Testing Resource and
Other Certification Results”, “China Compulsory Certification Implementation Rules -
Factory Inspection General Requirements”.
The certification body shall make principles for certification according to the general
implementation rules and this Rules and implement them accordingly.
Manufacturing enterprise shall ensure that their certified products are capable of
sustaining the compliance with the certification and are compatible with the
requirements of the standards.
1 Application scope
This Rules applies to electronic products and safety accessories included in the
compulsory product certification catalog. Due to the changes in the laws, regulations
or related product standards, technology, industry policies and other causes which
may change the applicable scope, the announcement released by CNCA shall be final
and conclusive.
2 Certification standards
its proxy (Power of Attorney). For ease of reading, hereinafter abbreviated as
“CLIENT”].
4 Classification of certification units
4.1 General requirements
In principle, the certification unit shall be classified according to the product category,
type, specification, working principle, safety structure, etc. The certification body shall
clarify the specific requirements for unit division in the certification implementation
rules in accordance with the relevant regulatory documents issued by the State
Certification and Accreditation Administration (CNCA), in combination with the
classification management of manufacturing enterprises.
4.2 Special requirements
(1) Products with different working modes (such as: scanning mode, display
mode and printing mode, etc.) shall also be divided into certification units
based on different working modes;
(2) Products with display as the main function shall also be divided into
certification units based on the display size;
(3) Power supply products shall be divided into certification units based on circuit
principles and safety structures;
(4) Lithium-ion batteries shall be divided into different certification units based on
different material specifications (positive / negative electrode materials,
separators and electrolytes), safety design, shape and size, assembly mode,
nominal voltage and rated capacity (the maximum capacity within each unit
covered downward by 20%), etc.;
(5) Lithium-ion battery packs shall be divided into different certification units
based on nominal voltage, rated capacity, type of constituent cells, series /
parallel connection mode of constituent cells, design layout of protection
circuit, and built-in / external type, etc.;
(6) Mobile power supplies shall be divided into different certification units based
on specifications, working principles, safety structures, output / input modes,
type of constituent cells, series / parallel connection mode of constituent cells,
and design layout of protection circuit, etc.
4.3 Other requirements
For the same product produced by the same manufacturer and different
manufacturing enterprises (excluding lithium-ion cells and batteries), or different
manufacturers and the same manufacturing enterprise, type test can only be
conducted on the sample of one unit. Products from other manufacturing enterprises /
manufacturers need to provide data for consistency verification.
The same lithium-ion cells and batteries produced by the same manufacturer and
different manufacturing enterprises shall be respectively subject to the type test.
5 Certification entrusting
5.1 Application and acceptance of certification entrusting
CLIENT must put forward the certification entrusting to the certification body, in an
appropriate way. Certification body shall process the certification entrusting; and
feedback the acceptance or rejection according to the time limit in the certification
implementation detailed-rules.
When it does not comply with national laws and regulations AND relevant industry
policies, the certification body must not accept the certification entrusting.
5.2 Application materials
The certification body shall, in accordance with the laws and regulations, standards
and other requirements, specify the checklist of application materials in the
implementation detailed-rules (it shall at least include certification application form or
contract, registration certificates of the CLIENT / manufacturer / manufacturing
enterprise, etc.).
For manufacturing enterprises that do not involve the initial factory inspection, the
CLIENT shall submit a self-assessment report on the factory's quality assurance
capability.
CLIENT shall provide the required materials according to the requirements of
application material checklist in certification implementation detailed-rules.
Certification body is responsible for auditing, managing, preserving and keeping
confidential of the relevant materials, and shall inform the CLIENT of the auditing
results.
5.3 Implementation Arrangement
Certification body shall agree with the CLIENT on the relevant responsibilities and
arrangement of various links of certification implementation. A...