Promulgated by the General Administration of Quality Supervision, Inspection and Quarantine of the People's Republic of China (AQSIQ) Order No.117 on 3rd July, 2009; Revised pursuant to the State Administration for Market Regulation (SAMR) Order No. 61 on 29th September 29, 2022.
Chapter I General Provisions
Article 1 In order to regulate compulsory product certification work, improve the effectiveness of certification and safeguard the interests of the state, the public and the society, these Provisions are formulated in accordance with the Regulations of the People's Republic of China on Certification and Accreditation and other relevant laws, administrative regulations and state provisions.
Article 2 To protect national security, prevent fraudulent practices, protect human health or safety, protect life or health of animals and plants and protect environment, relevant products specified by the state shall not be released from factory, sold, imported or used in other business activities unless they have been certified (hereinafter referred to as “China Compulsory Certification”) and have had the certification mark affixed.
Article 3 SAMR shall be in charge of compulsory product certification nationwide and shall be responsible for its organization, implementation, supervision, administration and overall coordination.
The local market regulation authorities at or above the county level shall be responsible for supervision and administration of compulsory product certification activities within their respective jurisdictions.
Article 4 The State shall implement a unified product Catalogue, unified mandatory requirements of technical specifications, unified standards and unified conformity assessment procedures, unified certification marks and fee standards for products subject to compulsory certification.
SAMR, in conjunction with relevant departments of the State Council, shall formulate and adjust the Catalogue, which shall be promulgated by SAMR and implemented jointly with relevant departments.
Article 5 The State encourages the development of international mutual recognition activities for compulsory product certification based on equality and mutual benefit, which shall be conducted within the framework of international mutual recognition agreements signed by SAMR or its authorized departments with foreign parties.
Article 6 Certification bodies and their personnel engaged in compulsory product certification activities shall be obligated to maintain the confidentiality of any trade secrets, technical secrets and information such as production technologies and processes which obtained during their activities.
Chapter II Certification Implementation
Article 7 The basic certification rules for compulsory product certification shall be formulated and promulgated by SAMR.
Article 8 Compulsory certification shall apply the following single certification mode or a combination of multiple modes, which specifically include:
(1) Design appraisal;
(2) Type testing;
(3) Sample testing from the production;
(4) Sample testing from the open market;
(5) Inspection of the production enterprise's quality assurance capability and product consistency;
(6) Post-certification follow-up inspection.
The product certification mode shall be determined based on comprehensive factors such as the product's performance, the degree of harm that may be caused to public safety, human health and the environment, the product's life cycle, and the risk profile of production and imported products, in accordance with the principles of being scientific, convenient and so forth.
Article 9 Certification implementation rules shall include the following contents:
(1) The scope of applicable products;
(2) The applicable national standards, industry standards and mandatory requirements of national technical specifications for the products;
(3) Certification Mode;
(4) Principles or provisions for the division of certification units;
(5) Requirements for Sampling and sample submission;
(6) Requirements for the confirmation of critical components or raw materials (where necessary);
(7) Requirements for testing standards (where necessary);
(8) Requirements for factory inspection;
(9) Requirements for post-certification follow-up inspection;
(10) Requirements for CCC certificate validity;
(11) Requirements for affixing the certification mark on certified products;
(12) Other provisions.
Article 10 Producers, sellers, or importers of products listed in the Catalogue (hereinafter collectively referred to as “certification applicants”) shall entrust certification bodies designated by SAMR to certify their products.
Where products listed in the Catalogue are manufactured by another enterprise under entrustment, either the entrusting enterprise or the entrusted enterprise may apply for certification.
Article 11 Certification applicants shall submit relevant technical materials to certification body in accordance with the provisions of the specific product certification rules.
When a seller or an importer acts as applicant, they shall also submit a copy of the relevant contract between seller and manufacture, or between importer and manufacture to certification body.
When entrusted production listed in the Catalogue, certification applicants shall also submit a copy of the relevant contract between entrusting enterprise and entrusted enterprise to certification body.
Article 12 After accepting a certification application, the certification body shall arrange type testing and factory inspection in accordance with the provisions of the specific product certification rules.
Article 13 Certification applicants shall ensure that the samples they provide are consistent with the products actually manufactured, and certification body shall examine the authenticity of the samples provided by certification applicants.
Certification body shall adopt sampling methods such as certification applicants delivering samples, sampling from production or certification applicants delivering samples after on-site product sealing, and entrust SAMR designated laboratories for type testing.
Article 14 Laboratories shall ensure the authenticity and accuracy of type testing conclusions, make complete records of the entire testing process and archive them to ensure the traceability of the testing process and results, and cooperate with certification body in conducting effective follow-up inspections of certified products.
The laboratory and its relevant personnel shall be responsible for the content and conclusions of the testing reports they issue. If they have doubts about the authenticity of the samples, they shall explain the situation to the certification body and take corresponding actions.
Article 15 When factory inspection is required, certification body shall assign a compulsory certification inspector who is a nationally registered auditor to inspect the production enterprise’s quality assurance capability, the consistency between the manufactured products and the type testing samples, etc., in accordance with the provisions of the specific product certification rules.
The certification body and its compulsory certification inspectors shall be responsible for the inspection conclusions.
Article 16 After completing type testing and factory inspection, certification body shall, for those meeting the certification requirements, issue a CCC certificate within 90 days from the date of acceptance of the certification application.
For products that do not meet the certification requirements, the certification body shall notify the certification applicant in writing and state the reasons.
The certification body and its relevant personnel shall be responsible for the certification conclusions they make.
Article 17 Certification body shall implement classified management and effective follow-up inspections for certified products and their production enterprises through methods such as sample testing from the production, sample testing from the open market, and quality assurance capability inspection.
Article 18 The certification body shall complete traceable records of the entire follow-up inspection process and keep them on file.
Where the certification requirements cannot be continuously met, certification body shall suspend or withdraw certificate and make an announcement.
Article 19 Certification body shall determine the frequency and timing of follow-up inspections based on the safety level, quality stability and the compliance records (both positive and negative) of the production enterprises of the certified products.
Chapter III CCC Certificate and Certification Mark
Article 20 SAMR shall uniformly prescribe the format and content of CCC certificates, as well as the patterns and categories of certification marks.
Article 21 The CCC certificate shall include:
(1) Name and address of the certification applicants;
(2) Name and address of the product producer (manufacturer);
(3) Name and address of the entrusted production enterprise (where necessary);
(4) Product name and model;
(5) Certification basis;
(6) Certification mode (where necessary);
(7) Date of issuance and validity period;
(8) Issuing body;
(9) Certificate number;
(10) Other information that shall be indicated.
Article 22 The validity period of a certificate is 5 years.
Certification body shall, based on the results of its follow-up inspections of the certified products and their production enterprises, indicate on the certificate the website and telephone number for inquiring about the validity status of the annual inspection.
An application for extension may be filed within 90 days prior to the expiration date.
Article 23 If the certified products or their sales packaging bear any content contained in the CCC certificate, such content shall be consistent with the CCC certificate and comply with the relevant state provisions on product labeling.
Article 24 Under any of the following circumstances, the certification applicant shall apply to the certification body for amendment of the CCC certificates, and the certification body shall take corresponding actions depending on the specific circumstance:
(1) Where the product name or model changes due to a change in the product naming method, or where the name of the producer, the name of the production enterprise, or their addresses changes, the certification body shall, after verification, amend the CCC certificates;
(2) Where the models of the certified products changes without involving any change to the internal safety performance and electromagnetic compatibility structure, or where the certified products reduces product models of the same type, the certification body shall, after confirmation, amend the CCC certificates;
(3) Where the critical components, specifications and models of the certified products, or the design, structure, process, materials or raw material production enterprises that affect the whole product's safety or electromagnetic compatibility changes, the certification body shall, after the certified product passes re-testing, modify the CCC certificates;
(4) Where the production enterprise location of the certified products, or its quality assurance system, production conditions or the like changes, the certification body shall, after the certified products passes re-inspection of the factory, modify the CCC certificates;
(5) Any other circumstances requiring modification of the CCC certificates.
Article 25 Where the certification applicant needs to extend the coverage of its certified products, it shall apply to the certification body for the extension of the CCC certificate. The certification body shall verify the consistency between the extended products and the originally certified products, and confirm the validity of the original certification results for the extended products. Upon confirmation of conformity, the certification body may, at the request of the certification applicant, issue a separate CCC certificate or reissue a CCC certificate.
The certification body may, in accordance with the requirements of the certification rules, conduct supplementary type testing or factory inspection with respect to the differences.
Article 26 Under any of the following circumstances, the certification body shall cancel the CCC certificate and make an announcement to the public:
(1) The validity period of the CCC certificate expires, and the certification applicant fails to apply for renewal;
(2) Production of the certified product ceases;
(3) The model of the certified product is included in the Catalogue of products that the state expressly phases out or prohibits from production;
(4) The certification applicant applies for cancellation of the CCC certificate;
(5) Other circumstances under which the CCC certificate shall be cancelled in accordance with laws and regulations.
Article 27 Under any of the following circumstances, the certification body shall suspend the CCC certificate for the period specified in the certification rules, and make a public announcement:
(1) Where the applicable certification basis or certification rules for the product have been amended, and the product fails to meet the amended requirements within the prescribed period;
(2) Where during a follow-up inspection, it is found that the certification applicant has violated the certification rules or other relevant provisions;
(3) Where the certification applicant refuses to accept a follow-up inspection without justifiable reasons, or the follow-up inspection finds that the product is no longer capable of meeting the certification requirements on a continuing basis;
(4) Where the certification applicant applies for suspension;
(5) Any other circumstance under which suspension shall be made in accordance with the law.
Article 28 Under any of the following circumstances, the certification body shall withdraw the CCC certificate, and make a public announcement:
(1) Where there are defects in the certified product that have resulted in a quality or safety incident;
(2) Where during a follow-up inspection, it is found that the certified product is inconsistent with the sample provided by the certification applicant;
(3) Where, during the suspension period of the CCC certificate, the certification applicant has failed to take corrective measures, or the corrective measures taken are still unsatisfactory;
(4) Where the certification applicant has obtained the CCC certificate by deception, bribery or other illegitimate means;
(5) Any other circumstance under which withdrawal shall be made in accordance with the law.
Article 29 Where the CCC certificate of a certified product is cancelled, suspended, or withdrawn, the certification body shall determine the categories and scope of products that do not meet the certification requirements.
From the date of cancellation or withdrawal of the CCC certificate, or during the period when the CCC certificate is suspended, the products that do not meet the certification requirements shall not be further manufactured for distribution, sold, imported, or used in any other business activities.
Article 30 The design of the China Compulsory Certification (CCC) mark consists of a basic pattern and a certification category identification. The basic pattern is shown below.
Article 31 The certification mark may have the certification type abbreviation marked to the right of the basic pattern.
SAMR shall formulate specific requirements for the labeling of certification categories based on the needs of mandatory product certification work.
Article 32 Certification applicants shall establish a certification mark use management system, truthfully record and archive the use of the certification mark, and correctly use and label the certification mark on products, packaging, advertisements, product introductions and other promotional materials in accordance with the provisions of the certification rules.
Article 33 The forging, altering, fraudulently using, buying, selling or transferring of certificates and marks is prohibited.
Chapter IV Supervision and Administration
Article 34 SAMR shall conduct annual regular inspections and unscheduled special inspections of the certification and testing activities of certification bodies and laboratories.
Article 35 Certification bodies shall report to SAMR and the provincial market regulation authorities information on the certification applicants of certified products, the certified products and their , as well as the cancellation, suspension or withdrawal of CCC certificates.
Article 36 SAMR shall make unified plans and conduct regular or irregular supervision and inspections of certified products.
Producers, sellers, importers and business users of certified products shall not refuse such supervision and inspection.
SAMR shall establish a publication system for certified products and their producers, and make public the supervision and inspection results public to the society.
Article 37 Local market regulation authorities at or above the county level shall be responsible for the supervision and inspection of compulsory certification activities within their respective jurisdictions, and investigate and punish violations.
For products listed in the Catalogue that are not yet certified but have not been released from factory or sold, the local market regulation authority shall admonish the production enterprise to undergo compulsory certification in a timely manner.
Article 38 When conducting supervision and inspection, the local market regulation authority at or above the county level may enter the production or business premises to carry out on-site inspections, consult and copy relevant contracts, invoices, account books and other materials, and seal up or detain products that are not certified or do not meet the certification requirements.
Article 39 Where manufacturer or sellers of products included in the Catalogue discover that the products they produce or sell have potential safety hazards that may cause harm to human health or life safety, they shall publicly disclose relevant information, proactively take remedial measures such as product recall, and report to the relevant supervisory and administrative authorities in accordance with relevant provisions.
If the producers or sellers of products included in the Catalogue fail to perform the obligations set forth in the preceding paragraph, the SAMR shall initiate the product recall process, order the producers to recall the products, and order the sellers to stop selling the products.
Article 40 Customs authorities shall implement entry verification management for imported products listed in the Catalogue. Such verification shall include: checking CCC certificates and certification marks as supporting documents; verifying the consistency between the goods and the documents. If verification is unsuccessful, the relevant products shall be handled in accordance with applicable laws and regulations, and post-entry supervision shall be conducted for imported products listed in the Catalogue.
Article 41 Where imported goods subject to the Catalogue fall under any of the following circumstances, they are not required to undergo compulsory certification upon entry:
(1) Articles for personal use by foreign embassies, consulates or international organizations in China and their diplomatic personnel;
(2) Articles for personal use by official institutions of the governments of the Hong Kong and Macao Special Administrative Regions stationed in the Mainland and their staff members;
(3) Personal articles carried into China by entry personnel;
(4) Articles provided as aid or gifts by foreign governments;
(5) Other circumstances under which compulsory certification is not required by law.
Article 42 Where any of the following circumstances applies, the producer, importer, seller or their agent of a product subject to the Catalogue may file an application for exemption from compulsory certification with the local administration for market regulation, submit relevant supporting documents, a letter of guarantee of responsibility, a product conformity declaration (including a type testing report) and other materials, and undergo product testing where necessary. Only after obtaining the Certificate of Exemption from China Compulsory Certification upon approval may the product be imported and used for the declared purpose:
(1) Products needed for scientific research and testing;
(2) Components and parts needed for the assessment of production lines introduced through technology transfer;
(3) Products needed directly for the maintenance purposes of end users;
(4) Equipment/components needed for supporting factory production lines/complete production lines (excluding office supplies);
(5) Products used only for commercial display and not for sale;
(6) Products (including exhibits) that are temporarily imported and subsequently re-exported;
(7) Components and parts imported under general trade for the purpose of exporting finished products entirely;
(8) Components and parts imported under processing with imported materials or processing with supplied materials for the purpose of exporting finished products entirely;
(9) Other circumstances under which exemption from compulsory certification is granted for special purposes.
Article 43 Where a certification body or laboratory falls under any of the following circumstances, SAMR shall order it to suspend operations for rectification. During the suspension period, it shall not engage in compulsory certification or testing activities within its designated scope:
(1) Adding, omitting or altering procedures prescribed by the basic rules or certification rules for certification;
(2) Failing to carry out effective follow-up investigation on the products it has certified, or failing to suspend or withdraw the CCC certificates in a timely manner and make public the same upon discovering that the certified products no longer continue to meet the certification requirements;
(3) Failing to keep complete records of the certification and testing process for archiving, where the circumstances are serious;
(4) Using personnel without the necessary qualifications to engage in certification or testing activities, where the circumstances are serious;
(5) Failing to effectively examine the authenticity of the samples provided by the certification applicant;
(6) Obstructing or interfering with the certification compliance inspections conducted by regulatory authorities;
(7) Conducting compulsory certification for products not included in the Catalogue;
(8) Other violations of laws and regulations.
Article 44 Where any of the following circumstances applies, SAMR may, at the request of an interested party or on its own authority, withdraw the designation of a certification body or laboratory:
(1) The designation decision was made by the staff through abuse of authority or dereliction of duty;
(2) The designation decision was made in excess of statutory authority;
(3) The designation decision was made in violation of statutory procedures;
(4) The designation was granted to a certification body or laboratory that does not meet the qualification requirements for designation;
(5) Other circumstances under which the designation decision may be withdrawn in accordance with the law.
Article 45 Where a certification body or laboratory obtains designation through fraud, bribery, or other improper means, the SAMR shall withdraw such designation and make it public.
A certification body or laboratory whose designation has been withdrawn shall not reapply for designation within 3 years from the date of revocation.
Article 46 Personnel who issue false or inaccurate conclusions or fabricate false or inaccurate documents or records shall have their practice qualifications withdrawn, and the certification personnel registration body of the China Certification and Accreditation Association shall not accept their registration application within 5 years from the date of revocation.
Article 47 Certification applicants who disagree with the certification decisions made by a certification body may file a complaint with such certification body.
Article 48 Any entity or individual shall have the right to report, to the administration for market regulation, any illegal or non-compliant conduct in the activities of compulsory certification. The administration for market regulation shall carry out a timely investigation into such reports and take appropriate actions, and shall maintain the confidentiality of the informants.
Chapter V Penalties
Article 49 Where a product subject to the Catalogue is placed on the market, sold, imported or otherwise used in business activities without certification in violation of the relevant regulations, the local administration for market regulation at or above the county level shall impose a penalty in accordance with Article 66 of the Regulations of the People's Republic of China on Certification and Accreditation.
Article 50 Where a product subject to the Catalogue fails to comply with the statutory conditions or requirements in its production or business activities, or fails to meet the statutory requirements in the product itself after being certified, the local administration for market regulation at or above the county level shall take actions in accordance with Article 2 and Paragraph 2 of Article 3 of the Special Provisions of the State Council on Strengthening the Administration of the Products Safety Such as Food.
Article 51 Where, in violation of Paragraph 2 of Article 29 of these provisions, a product that fails to meet the certification requirements continues to be placed on the market, sold, imported or otherwise used in business activities during the period of cancellation, withdrawal or suspension of its CCC certificate, the local administration for market regulation at or above the county level shall impose a penalty in accordance with Article 66 of the Regulations of the People's Republic of China on Certification and Accreditation.
Article 52 Where, in violation of Article 42 of these provisions, a certificate of exemption from compulsory certification is obtained by fabricating false materials, or the product is not used for the declared purpose after obtaining the Certificate of Exemption from China Compulsory Certification, the administration for market regulation shall order the violator to rectify the situation, withdraw the Certificate of Exemption from China Compulsory Certification, and impose a penalty in accordance with Article 66 of the Regulations of the People's Republic of China on Certification and Accreditation.
Article 53 Actions as forging, altering, leasing, lending, fraudulently using, buying, selling or transferring a CCC certificate shall be corrected by the local market regulation authority at or above the county level, and a fine of RMB 30,000 shall be imposed.
Actions as transferring or reselling a certification mark shall be corrected, and a fine of not more than RMB 30,000 shall be imposed.
Article 54 Where any of the following circumstances applies, the local administration for market regulation at or above the county level shall order the violator to rectify the situation and impose a fine of not more than RMB 30,000:
(1) In violation of Paragraph 1 of Article 13 of these Provisions, the sample provided by the certification applicant is inconsistent with the product actually manufactured;
(2) In violation of Article 24 of these Provisions, a product subject to the Catalogue is placed on the market, sold, imported or otherwise used in business activities without applying for a modification of the CCC certificate with the certification body as required;
(3) In violation of Article 25 of these Provisions, a product subject to the Catalogue is placed on the market, sold, imported or otherwise used in business activities without applying for an extension of the CCC certificate with the certification body as required.
Article 55 Where any of the following circumstances applies, the local administration for market regulation at or above the county level shall order the violator to rectify the situation within a prescribed period of time. Where the violator fails to rectify the situation upon the expiry of such period, a fine of not more than RMB 20,000 shall be imposed:
(1) In violation of Article 23 of these Provisions, the contents of the certified product and its sales packaging labelled with the CCC certificate are inconsistent with the contents of the CCC certificate;
(2) In violation of Article 32 of these Provisions, the certification mark is used improperly.
Article 56 Where a certification body or laboratory issues false conclusions or conclusions which are materially inaccurate, SAMR shall withdraw its designation. The person directly in charge and the person directly responsible shall have their relevant qualifications withdrawn. Where such conduct constitutes a criminal offence, criminal liability shall be pursued in accordance with the law. Where losses are caused, the violator shall be liable for compensation accordingly.
Article 57 Where a certification body or laboratory falls under any of the following circumstances, SAMR shall order it to rectify the situation. Where the circumstances are serious, SAMR shall withdraw its designation and may withdraw its certification body approval documents:
(1) Engaging in certification of products subject to the Catalogue or certification-related testing activities beyond its designated scope of business;
(2) Transferring designated certification business;
(3) Continuing to engage in compulsory certification or testing activities within its designated scope during the period of suspension for rectification;
(4) Following the suspension period for rectification, failing to meet the rectification requirements upon inspection.
Article 58 Where SAMR, the local administration for market regulation at or above the county level or any of their staff members abuses authority, engages in malpractices for personal gain, or neglects duties, administrative sanctions shall be imposed in accordance with the law. Where such conduct constitutes a criminal offence, criminal liability shall be pursued in accordance with the law.
Article 59 For any other illegal or non-compliant conduct in the activities of compulsory certification, penalties shall be imposed in accordance with the relevant laws and administrative regulations.
Chapter VI Supplementary Provisions
Article 60 Certification fees shall be charged in accordance with state regulations.
Article 61 SAMR shall be responsible for the interpretation of these Provisions.
Article 62 These Provisions shall come into force on September 1, 2009, and the original Order No. 117 on December 3, 2001 is hereby repealed.