0 Introduction

These implementation rules are established based on the safety risks and conformity assessment risks associated with explosion protected electrical product and set out the basic principles and requirements for implementing compulsory certification for them.

These implementation rules shall be applied in conjunction with the following general implementation rules issued by the National Certification and Accreditation Administration (CNCA), including: the Compulsory Certification Implementation Rules — Classification Management of Production Enterprises, Selection and Determination of Certification Modes; the Compulsory Certification Implementation Rules — Utilization of Production Enterprises’ Testing Resources and Other Certification Results; the Compulsory Certification Implementation Rules — Factory Quality Assurance Capability Requirements; and the Compulsory Certification Implementation Rules — General Requirements for Factory Inspection etc.

The Certification bodies shall develop detailed rules for certification implementation based on the requirements specified in these implementation rules and the general implementation rules, and implement jointly.

The The production enterprise shall ensure that the certified products it produces continuously meet the certification requirements.

1 Scope 

These implementation rules are applicable to Group I, Group II and Group III explosion-protected electrical products. The product categories include: explosion protected motors; explosion protected electrical pumps; explosion protected power distribution devices; explosion protected switch, control and protection devices; explosion protected starter; explosion protected transformers; explosion protected electric actuator and solenoid valves; explosion protected plug-in devices; explosion protected monitoring devices; explosion protected communication and signal devices; explosion protected air conditioning and ventilation equipment; explosion protected electric heaters; explosion protected accessories and Ex components; explosion protected instruments; explosion protected sensors; safety barriers; explosion protected instrument boxes; explosion protected lighting fixtures and control devices.

Any adjustment to the scope resulting from changes in laws, regulations, standards, industrial policies, etc., shall be subject to documents issued by the CNCA.

2 Standards for certification 

The certification of explosion protected electrical product shall be carried out in accordance with the standards applicable to their types of protection (see Table 1). The type of protection of the product may be one of the following, or a combination of two or more types of protection.

In principle, the current valid versions published by the national standardization authority shall be applied for the above standards.

3 Certification mode 

The basic certification mode for compulsory certification of explosion protected electrical products is:

Type testing + initial factory inspection+ post-certification surveillance

The post-certification surveillance above refers to one of the following two methods: follow-up inspection after certification, sample testing or inspection from the production or a combination thereof . 

For the single-batch manufactured/imported explosion protected electrical product, an alternative certification mode can be chosen:

Type testing +100% inspection

Single-batch manufactured/imported explosion protected electrical products refer to a batch with a quantity not exceeding five (5) units (sets), which have been included in signed sales contracts with determined sales purpose, customers and product models, and all products are manufactured using the same raw materials and process.

The certification bodies shall implement classification management of production enterprises in accordance with the requirements of the Compulsory Certification Implementation Rules — Classification Management of Production Enterprises, Selection and Determination of Certification Modes, and may, based on the results of the classification management, the method and frequency of the post-certification surveillance shall be determined, and initial factory inspection for extension of product certification may be exempted.

4 Certification Unit Division

Certification unit is divided by the Group, type of protection, category of product, Ex structure and safety parameters of explosion protected electrical products.

Where identical products are produced by the same manufacturer but under different production enterprise, or where identical products are produced by different manufacturer within the same production enterprise, type testing may be performed on samples from only one unit; for products under other manufacturers/production enterprises, documentation shall be provided for consistency verification.

The designated certification body shall follow the rules published by CNCA and specify the detailed requirements for certification unit division in its detailed rules for certification implementation.  

5 Certification Application 

5.1 Submission and Acceptance of Certification Application 

The certification applicant shall submit the certification application to the certification body in an appropriate manner. The certification body shall process the application and provide feedback on acceptance or nonacceptance within the timeframe specified in its detailed rules for certification implementation.

The certification bodies shall not accept applications that do not comply with the requirements of national laws, regulations or relevant industrial policies.

5.2 Certification Application Documentation 

As required by laws, regulations, standards and certification implementation, the certification body shall clearly specify the certification application documentation in its detailed rules for certification implementation, which shall include, as a minimum, the certification application form or certification service agreement, and the business registration of the applicant/manufacturer/production enterprise.

The certification applicant shall submit the required documentation according to the list in the detailed rules for certification implementation. The designated certification body is responsible for reviewing, managing, retaining and ensuring the confidentiality of the submitted documentation, and shall inform the applicant of the review results.

5.3 Implementation Arrangements 

The designated certification body shall agree with the applicant on the respective responsibilities and arrangements for each stage of certification implementation. Based on the production enterprise's actual situation and the classification results, the designated certification body shall determine the specific implementation plan in accordance with these implementation rules and the detailed rules for certification implementation, and notify the applicant accordingly.

6 Certification Implementation 

6.1 Type testing 

6.1.1 Type testing plan 

After completing the documentation review, the certification body shall develop a type testing plan and inform the certification applicant.

The type testing plan shall include all sample requirements and quantities, test items and standards, and laboratory information, etc.

When the applicant submits type test report which fulfils the requirements of certification, the certification body shall accept the result.

6.1.2 Sample Requirements for Type Testing  

Typically, samples for type testing shall be selected and submitted by the certification applicant as representative samples based on the requirements of the designated certification body.  When necessary, the certification body may utilize the on-site sampling. The certification body shall define the requirement of sample by delivery or sampling in the detailed rule for implementations.  

The applicant shall ensure the samples for type testing are consistent with the products produced daily. The Certification Body and/or Testing Laboratory shall review the authenticity of the samples provided by the applicant. When there is any doubt about authenticity, Testing Laboratory shall communicate with the certification body and take corresponding action.

Designated certification bodies shall, in accordance with relevant CNCA provisions, specify in their detailed rules for certification implementation the list of critical components and materials used in the product, along with related requirements.

For critical component and material in the Compulsory Certification scope and purchased in China, the production enterprise shall provide Compulsory Certificate. For critical component and material out of the Compulsory Certification scope, the certification body shall determine the criterion to accept the voluntary certificate or type test report.

6.1.3 Type Testing Items

In principle, all the testing items specified in the standards for certification shall be conducted.

Any adjustment on the testing item specified in the standards will be implemented according to the announced of CNCA.

6.1.4 Conduct of Type Testing 

In principle, type testing shall be conducted by the Designated Testing Laboratory. The designated test laboratory conducts the type testing on the samples and makes complete records of the entire process and archives them, ensuring the traceability of records for the testing process and results.

Without compromising the validity of certification results, the designated certification body may, in accordance with the Compulsory Certification Implementation Rules — Utilization of Production Enterprises’ Testing Resources and Other Certification Results, establish management procedures under which designated laboratory personnel carry out or witness testing using the manufacturer's testing resources, with the testing report issued by the designated laboratory.

The designated test laboratory may send testing personnel to conduct testing or witness testing in accordance with the standards by using the testing facilities of the factory, and issue test report. The test laboratory shall ensure the authenticity, correctness and traceability of the test result. The certification body shall clearly specify the requirements and procedure in the detailed rule for implementations.

6.1.5 Type testing report 

The certification body shall stipulate a unified type testing report.

After completion of type testing, the designated laboratory shall issue a type testing report to the certification body and the certification applicant in time. The test report shall contain a description of information relevant to certification for all products within the certification unit. The certification applicant shall ensure that a complete and valid type testing report can be provided to the certification body and enforcement authorities during post-certification surveillance.

6.2 Initial factory inspection 

The initial factory inspection is an on-site inspection and evaluation for the certification body to determine whether the quality assurance capability and product consistency control of the factory meet the certification requirements. The initial factory inspection shall be carried out after the product type testing completed with positive result. When necessary, the initial factory inspection may be conducted simultaneously with the type testing.

Based on the Compulsory Certification Implementation Rules — Factory Quality Assurance Capability Requirements and the Compulsory Certification Implementation Rules — General Requirements for Factory Inspection, and taking into account product characteristics, the certification body shall specify the requirements for initial factory inspection in its detailed rules for certification implementation.

The initial factory inspection shall cover all the certification application/certified product and their production sites. When necessary, the certification body may perform extension inspection and visit other related sites, outside of the factory.

6.3 Certification Evaluation and Decision 

The certification body shall comprehensively evaluate the type testing results, initial factory inspection and relevant documentation/information, and make a certification decision. Where the certification requirements are met, a certificate shall be issued. Where any nonconformity is found, the certification body shall reject the certification application and terminate the certification process.

6.4 Certification Timeframe 

The designated certification body shall specify clear timeframes for each stage of the certification and ensure that relevant work is completed within those timeframes. The certification applicant shall actively cooperate with certification activities. Under normal circumstances, the designated certification body shall issue the certificate to the certification applicant within 90 days from the date of application acceptance.

7 Post-certification Surveillance

Post-certification surveillance refers to the supervision conducted by the certification body over certified products and their production enterprises. The certification body shall, based on its classification management of product enterprises and actual circumstances, specify in its detailed rules for certification implementation the requirements for selecting appropriate post-certification surveillance methods.

7.1 Follow-up Inspection after Certification 

7.1.1 Principles of Follow-up Inspection after Certification

Based on the classification management of product enterprises, the certification body shall conduct effective follow-up inspections on certified products and their production enterprises, to verify that the production enterprise’s quality assurance capability continues to meet certification requirements, that the certified products continue to comply with standard requirements, and maintain consistency with type testing samples.

Follow-up inspections after certification shall be conducted during normal production at the product enterprise’s site, preferably without any prior notice to the inspected party. For products that are not continuously produced, the certification applicant shall submit relevant production plan to the certification body to facilitate effective post-certification surveillance.

7.1.2 Requirements of Follow-up Inspection after Certification

The certification body shall develop specific followup inspection requirements after certification, product consistency inspection requirements, and product enterprise’s quality control testing requirements in accordance with Compulsory Certification Implementation Rules — Factory Quality Assurance Capability Requirements and shall specify these in its detailed rules for certification implementation.

7.2 Sample Testing or Inspection from the Production 

7.2.1 Principle of Sample Testing or Inspection from the Production

Generally, sample testing or inspection from the production shall cover the types of protection and categories of explosion protected electrical products.

When sample testing from the production is adopted as a postcertification surveillance method, the certification applicant, manufacturer, and production enterprise shall cooperate accordingly. 

7.2.2 Requirement of Sample Testing or Inspection from the Production

The designated certification body shall specify in the detailed rules for certification implementation the specific content and requirements for sample testing from the production site. The production enterprise shall send the samples to the designated laboratory.

Based on the Compulsory Certification Implementation Rules — Utilization of  Production Enterprises’ Testing Resources and Other Certification Results, the certification body shall stipulate the management procedure and utilize the facilities in the factory to conduct the sample testing (or witness testing), the designated test laboratory shall issue the test report.

The certification body shall stipulate the procedure and requirements in the detailed rule for implementation.

7.3 Frequency and Timing of Post-Certification Surveillance 

Based on classification management of product enterprises, the designated body shall apply different surveillance frequencies for different categories of production enterprises, and reasonably determine the timing of surveillance. Specific principles shall be specified in its detailed rules for certification implementation.

7.4 Records of Post-Certification Surveillance

The designated certification body shall record the archive the entire postcertification surveillance process to ensure traceability of the certification process and results.

7.5 Evaluation of Post-Certification Surveillance Results 

The certification body shall comprehensively evaluate the conclusions of the post-certification surveillance and related data/information. Where the evaluation is passed, the certificate may be maintained and the certification mark may continue to be used. Where the evaluation fails, the certification body shall suspend or withdraw the certificate based as appropriate, and announce such actions accordingly.

8 Certificate

8.1 Maintenance of Certificate 

The validity period of the explosion protected electrical product certificate is 5 years. The validity of the certificate is maintained through post-certification surveillance.

When the certificate is to expire and to be renewed, the applicant shall submit a certification application 90 days before the expiry of the certificate. Based on the latest surveillance results, the certification body shall directly up-issue the certificate when the certificate expires.

The validity period of certificates issued for single-batch explosion protected electrical products shall not exceed six (6) months, and no renewal is permitted.

8.2 Changes to Products Covered by the Certificate 

After product certification, if changes occur to critical components and materials, to the structure and technical parameters related to explosion protection, or in other matters specified in the detailed rules for certification implementation of the certification body, the certification applicant shall apply to the designated certification body for a modification and obtain approval/completion of filing before implementing such changes.

8.2.1 Change application and requirements 

The certification body shall stipulate the requirements for certification change in the detailed rule for implementation, including the scope and procedure of change.

For changes of same products and same content of multiple production enterprises under the same manufacturer, the certification applicant may submit only one modification application, and the designated certification body shall associate the certificates involved in the changes accordingly.  

8.2.2 Evaluation and decision for change application 

The certification body shall evaluate the document related to the changes and make decision for approval. When type testing and/or inspection are required, the change shall be approved after the testing and/or inspection completed successfully. Generally, the representative samples originally subjected to type testing shall be used as the basis for the evaluation of changes.

8.2.3 Change filing 

For changes of critical components and materials, or changes to the structure and technical parameters related to explosion protection that do not need to provide sample testings, such changes may be confirmed and approved by the certification technical manager authorized by the certification body. The corresponding records shall be retained and submitted to the certification body for filing. The certification body shall conduct verification during the surveillance and may conduct testing when necessary.

8.3 Extension of Products Covered by the Certificate

When a certification applicant wishes to extend the scope of products covered by an existing certificate, it shall submit a certification application for the product extension to the designated certification body.

The certification body shall, based on the technical documentation provided by the certification applicant for the extended products, verify the differences between the extended products and the originally certified products, confirm the validity of the original certification results for the extended products, and conduct supplementary testing or inspection of products from the production site to address such differences. If the testing or inspection is passed, the designated certification body shall issue a separate certificate or reissue the certificate, as requested by the certification applicant.

In principle, the representative model initially subjected to full type testing shall be used as the basis for extension evaluation.

8.4 Cancellation, Suspension and Withdrawal of Certificate 

The cancellation, suspension and withdraw of the certification shall be implemented in accordance with the Provisions on Administration of China Compulsory Certification (CCC) and the Compulsory Certification Implementation Rules — Cancellation, Suspension and Withdrawal of Certificate, and the relevant rules of the certification body.

The certification body shall determine the product category and scope, which is not in line with the certification requirements, and take relevant action for public notification for those cancelled, suspended and withdrawn certificates.

8.5 Use of the Certificate 

The use of the certificate shall comply with the Requirements of the Provisions on Administration of China Compulsory Certification (CCC). 

9 Certification Mark 

The management and use of certification mark shall comply with the Requirements on Compulsory Certification Marks.

9.1 Certification Mark Pattern 

9.2 Placement of Certification Mark  

The uniformly printed standard CCC mark shall be affixed to an obvious position on the body of the certified product. If the CCC mark is printed or molded, it shall be printed or molded on the nameplate or an obvious position on the product. If the CCC mark cannot be affixed to the product body, it shall be affixed to the smallest packaging of the product and the accompanying documentation.

10 Fees 

Certification fees shall be charged in accordance with the fee schedules publicly announced by the designated certification body and designated laboratories.

11 Certification Responsibilities 

The designated certification body shall be responsible for the certification conclusions it reaches.

The designated laboratories shall be responsible for the testing results and testing reports.

The designated certification body and the  factory inspectors it assigns shall be responsible for the factory inspection conclusions.

The certification applicant shall be responsible for the authenticity and legality of the application documentation and samples it submits.

12 Detailed Rules for Implementation

On the basis of this rule, the certification body shall formulate the detailed rule for implementation in scientific, reasonable and operable manner. The detailed rule for implementation shall be announced publicly and implemented after being filed with the National Certification and Accreditation Administration.

The detailed rule for implementation shall at least include the following contents:

(1) Requirements of certification procedure and timeframe

(2) Requirements of selection of certification mode

(3) Requirements of certification unit division

(4) Requirements of production enterprise classification management

(5) Requirements of certification application

(6) Requirements of sample testing (including type testing, sample testing from the production, and use of production enterprises' testing resources)

(7) Requirements of initial inspection and post-certification surveillance (coverage of factory inspection, quality assurance capability and product consistency inspection, testing requirements for quality control, testing requirements for critical components and materials, requirements for factory inspection ODM/OEM, frequency of surveillance, requirements for sample testing or inspection)

(8) Requirements of certification change (including application of new edition of standards)

(9) Critical components and materials

(10) Requirements for the single-batch manufactured/imported explosion protected electrical products

(11) Requirements for the technical representative

(12) Requirements for certification fee

(13) Procedure and requirements of technical disputes and appeals and timeframe