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CNCA 00C-003-2013: China Compulsory Certification Implementation Rules - Manufacturing enterprise classification management, certification mode selection and determination
CNCA 00C-003-2013
[Attachment 1]
Serial No.. CNCA-00C-003
CNCA-00C-003
China Compulsory Certification Implementation Rules -
Manufacturing Enterprise Classification Management,
Certification Mode Selection and Determination
ISSUED ON. SEPTEMBER 24, 2013
IMPLEMENTED ON. OCTOBER 01, 2013
Issued by. Certification and Accreditation Administration of the People's
Republic of China
Table of Contents
0. Introduction ... 4 
1. Scope ... 4 
2. Terms and definitions ... 4 
2.1 Manufacturing enterprise classification management ... 4 
2.2 Basic certification mode ... 5 
2.3 Certification mode ... 5 
3. Manufacturing enterprise classification management ... 5 
3.1 Basic principles ... 5 
3.2 Quality information related to the classification of manufacturing enterprises 6 
3.3 Collection, analysis, evaluation, and preservation of information for
manufacturing enterprise classification management ... 7 
3.4 Determination and adjustment of classification management level of
manufacturing enterprises ... 8 
3.5 Application of classification management results of manufacturing enterprises
... 8 
3.6 Notification and transmission of results of classification management
information of manufacturing enterprises ... 10 
3.7 Supervision of classification management information of manufacturing
enterprises ... 10 
4. Selection and determination of certification mode ... 11 
4.1 Certification elements and use ... 11 
4.2 Determination of basic certification mode ... 12 
4.3 Certification mode and manufacturing enterprise classification management
... 15 
4.4 Selection and determination of certification mode based on risk control ... 17 
Appendix -- Reference sample for four-level classification management of manufacturing
enterprises ... 18 
0. Introduction
In accordance with the requirements of “Administrative Measures for China Compulsory
Certification”, the certification body shall “implement classification management and
effective follow-up inspection of certified products and their manufacturing enterprises,
control and verify the consistency of the certified products and the type test samples, and
that the quality assurance capability of manufacturing enterprises continues to meet
certification requirements”. To avoid large deviations in the manufacturing enterprise
classification management and certification mode selection when implementing
compulsory certification by different certification bodies, this Implementation Rules is
formulated to clarify relevant requirements, and to ensure that certification bodies, when
preparing certification implementation detailed-rules and implementing compulsory
certification and after-certification supervision, accurately grasp the basic working
principles and requirements for manufacturing enterprise classification management and
certification mode selection and determination.
1. Scope
This Rules specifies the following two parts.
(a) The basic requirements that the certification body shall meet when establishing the
classification management mechanism for manufacturing enterprises;
(b) Based on the basic certification mode, the general requirements for the certification
body to select and determine the certification mode for specific implementation
according to the products produced by the manufacturing enterprise.
2. Terms and definitions
2.1 Manufacturing enterprise classification management
The manufacturing enterprise classification management referred to in this Implementation
Rules means that, for the manufacturing enterprises of the same category of products, the
certification body, based on the quality-related information such as the quality assurance
capability of the manufacturing enterprise, the integrity and law-abiding status, and the
quality status of the products produced, conducts comprehensive evaluation and classifies
the manufacturing enterprises, to implement differentiated management of the products
produced by different categories of manufacturing enterprises in terms of certification mode
selection, unit classification principle, and after-certification supervision, etc., so as to
achieve the goal of controlling certification risk, improving the quality and efficiency of
certification activities, and ensuring that certified products continue to meet certification
requirements.
and cooperation between the enterprise and the certification body during the
test/inspection may also be used as reference information.
3.2.2 Quality information of certified products
The quality information of certified products includes information such as various product
quality supervision and spot test results at national and provincial levels, as well as judicial
decisions, appeal-complaint arbitrations, releases of China Consumers Association, media
exposures, etc. related to products and enterprises which have obtained compulsory
certification.
In principle, the certification body shall verify the quality information obtained by the society
or obtain confirmation from the enterprise.
3.3 Collection, analysis, evaluation, and preservation of information for
manufacturing enterprise classification management
The certification body shall establish a collection, analysis, evaluation, and preservation
system of information for classification management of manufacturing enterprises, to
ensure the effective operation of the classification management mechanism of
manufacturing enterprises.
3.3.1 Collection of information
The certification body can refer to the relevant quality information collection channels listed
in 3.2, to effectively track and collect the information of certified enterprise and product
quality, and verify the accuracy of the information.
3.3.2 Analysis and evaluation of information
When the certification body analyzes and evaluates the collected quality information, it
shall judge the effect and relational degree of the problems reflected by the relevant
information on the conformity and consistency of product compulsory certification, and on
the quality assurance capability of manufacturing enterprise, to evaluate and determine
whether the consequences of occurrence of non-conformities have an impact on the
classification level of the manufacturing enterprise.
3.3.3 Preservation of information
The certification body shall properly keep relevant files and supporting materials for the
determination and adjustment for classification management level of manufacturing
enterprise, and bear the corresponding obligations of confidentiality and responsibilities
specified in laws and regulations.
The storage life of relevant files and supporting materials for the determination and
adjustment for classification management level of manufacturing enterprise shall at least
be longer than the duration of all the certificates obtained by the corresponding
implementation body to conditionally accept the results of manufacturing enterprise
supplier declaration of conformity, the certification body shall determine in combination with
the certification risk control capability and the classification management results of the
manufacturing enterprise.
3.5.6 Others
According to the specific products and industry characteristics, the certification body can
also, in combination with the certification risk control capability and the classification
management results of manufacturing enterprises, reflect the differentiated certification
requirements of the classificat...