Announcement on Issuing the Supplementary Provisions on the ODM Mode under the Compulsory Certification Implementation Rules
CNCA Announcement No.30 of 2009
In order to regulate China Compulsory Certification (CCC) activities, further clarify the conditions and requirements for carrying out certification activities under the ODM mode of CCC, and strengthen effective management over the implementation process and results of CCC under the ODM mode, in accordance with the relevant requirements of the Regulations of the People's Republic of China on Certification and Accreditation and the Provisions on the Administration of CCC, the National Certification and Accreditation Administration (CNCA) has formulated the Supplementary Provisions on the ODM Mode under the Compulsory Certification Implementation Rules, which are hereby published and shall come into force on the date of issuance. All relevant entities are requested to comply with them.
This announcement is hereby made.
Attachment: Supplementary Provisions on the ODM Mode under the Compulsory Certification Implementation Rules
June 4, 2009
Supplementary Provisions on the ODM Mode under the Compulsory Certification Implementation Rules
These Provisions are formulated to regulate and clarify relevant matters and requirements in carrying out certification activities under the ODM mode of China Compulsory Certification (hereinafter referred to as CCC certification), strengthen control over the implementation process and results of CCC under the ODM mode, and ensure the validity of CCC.
These Provisions apply to the implementation and administration of CCC under the ODM mode, excluding security protection and fire protection products. The relevant definitions of the ODM mode are as follows:
ODM factory: a factory that designs, processes and produces identical products for one or more manufacturers, applying the same quality assurance capability requirements, the same product design, production process control and inspection requirements, etc.
Certification certificate holder of the initial ODM: an organization that holds the initial CCC certification certificate for an ODM product.
ODM mode: a commissioned production and manufacturing mode in which an ODM factory designs, processes and produces products for a manufacturer in accordance with the relevant agreements and other documents with the manufacturer.
The designated certification bodies for compulsory certification (hereinafter referred to as designated certification bodies) shall, in accordance with the provisions of these Provisions, be specifically responsible for the certification acceptance, initial factory inspection, evaluation and approval of certification results, post-certification surveillance and other related work in the CCC certification process under the ODM mode.
The certification applicants and relevant parties shall perform the certification-related responsibilities and obligations required by the provisions of these Provisions.
When applying for a CCC certificate under the ODM mode, the following documents shall be submitted:
1) The ODM agreement between the CCC certificate holder of the initial ODM, the factory, and the ODM manufacturer.
2) The relevant agreement between the ODM factory and the ODM manufacturer concerning certification and product quality and safety responsibilities.
3) The ODM product nameplate (external identification) and instruction manual.
4) Copies of the certification certificate and type test report for the initially certified ODM product.
5) Other necessary documents.
The designated certification body shall, in accordance with the relevant procedures, accept the documents submitted by the certification applicant, verify their authenticity, and issue the certification certificate upon satisfactory verification in accordance with the relevant provisions. The designated certification body shall ensure the authenticity and traceability of the ODM certification certificate and certification results.
5.1 A holder who has obtained a certification certificate under the ODM certification mode shall not use the certification results as the basis for another factory to apply for certification.
5.2 An application for changes to an ODM-certified product shall be submitted by the CCC certificate holder of the initial ODM. After approval by the certification body in accordance with the relevant procedures, other CCC certificate holders of ODM shall submit application for certification modification within one month.
6.1 The ODM factory shall retain the relevant records relating to ODM product certification and production with the ODM manufacturer, specifically including the following:
1) Relevant ODM agreements between the factory and the manufacturer.
2) Relevant Records of the ODM-certified products produced by the factory for its manufacturer, including production dates and production quantities, etc.
3) Manufacturer’s product quality feedback records (where applicable).
4) The factory’s outgoing goods inspection records of the products of the ODM manufacturer.
5) Records of the factory receiving products of the ODM manufacturer, including, where applicable, CCC certification mark, packaging, nameplates, etc.
6.2 Where an ODM factory has not mass-produced ODM-certified products for a contracting manufacturer for 12 consecutive months, the ODM factory shall file this with the designated certification body within one month.
6.3 The ODM factory has the obligation to ensure that the ODM manufacturer and certificate holder accept post-certification surveillance inspections by the certification body.
7.1 The ODM manufacturer or certificate holder has the obligation to comply with the requirements of certification-related laws, regulations and certification rules.
7.2 The ODM manufacturer or certificate holder has the obligation to maintain the validity of the certification certificate and ensure the correct use and management of the CCC mark.
7.3 The ODM manufacturer or certificate holder shall retain the relevant ODM agreement with the ODM factory.
7.4 The ODM manufacturer or certificate holder shall not use the CCC certificate or certification mark without the approval of the designated certification body in the event of changes to information related to the CCC certificate, such as name change, address relocation, or product name change.
7.5 The ODM manufacturer or certificate holder has the obligation to accept post-certification surveillance inspections by the designated certification body.
7.6 The ODM manufacturer has the obligation to assume legal liability for product quality and shall have the capability to effectively control the safety and quality of ODM-certified products.
7.7 The ODM manufacturer shall retain records of receipt of certified products from the ODM factory.
8.1 For ODM factories and manufacturers that fail to meet the requirements of these Provisions, the designated certification body shall, in accordance with the relevant provisions, take measures such as notifying them to make correction, suspending certification certificates, or withdrawing the CCC certificates.
8.2 Where the CCC certificate of an ODM factory or any ODM manufacturer is suspended or withdrawn due to nonconformity of the ODM product or factory inspection, the designated certification body shall simultaneously suspend or withdraw all related ODM certification certificates and notify the holders of the CCC certificates.
8.3 Where a certain ODM manufacturer fails to meet the requirements of subsequent annual surveillance inspection because it has not commissioned the ODM factory to mass-produce certified products for 12 consecutive months, the designated certification body shall suspend the product certification certificate bearing that ODM manufacturer’s name and notify the certificate holder of the certification.
8.4 Where the initial ODM CCC certificate is suspended, cancelled or withdrawn for other reasons (other than nonconformity in product testing or factory inspection), the designated certification body shall simultaneously suspend, cancel or withdraw all related ODM certification certificates and notify the certificate holders of the certification.
8.5 Where the initial ODM CCC certificate related to the certified product has been changed and other ODM CCC certificate holders have not applied for certification change and obtained approval as required by Clause 5.2, the designated certification body shall suspend the relevant ODM CCC certificates and notify the certificate holders.
8.6 An application for restoration of an ODM CCC certificate suspended due to nonconformity in product or factory inspection shall be submitted by the certificate holder of the initial ODM. After the designated certification body approves the restoration of the initial ODM CCC certificate in accordance with the relevant procedures, other CCC certificates holders of ODM may submit applications for certificate restoration.
9.1 Where necessary, the designated certification body may conduct on-site inspection and surveillance inspection of the ODM manufacturer. The number of person-days for verification shall not exceed 0.5 person-days.
9.2 When the designated certification body conducts surveillance inspection of the ODM factory, it shall verify the production quality control and relevant records of all related ODM products and issue verification reports for each ODM manufacturer. During the surveillance inspection of the ODM factory, the number of person-days for verification may be appropriately increased according to the number of ODM manufacturers, but should not exceed 0.25 person-days per manufacturer, with a total increase not exceeding 1 person-day.
The validity period of the CCC certificate obtained under the ODM mode shall be the validity period specified in the ODM agreement, but shall not exceed five years.
11.1 In principle, ODM certification implementation activities shall be carried out by the same certification body.
11.2 These Provisions shall be interpreted by CNCA.