0  Introduction

These implementation rules are established based on the safety risks and conformity assessment risks associated with electronic products and safety accessories, 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; and the Compulsory Certification Implementation Rules — General Requirements for Factory Inspection etc.

Designated 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 the detailed rules in conjunction with these implementation rules and the general implementation rules.

The production enterprises shall ensure that the certified products they produce meet the certification requirements continuously.

1  Scope  

These implementation rules apply to electronic products and safety accessories falling within the scope of the China Compulsory Certification (CCC) Catalogue. 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

In principle, the current valid versions published by the national standardization authority shall be applied for the above standards. When other versions of the standard need to be applied, it shall be implemented in accordance with the relevant requirements on the applied standard(s) announced by the CNCA.
3  Certification Modes

The basic certification mode for compulsory certification of electronic products and safety accessories is:

For Category I or Category II Equipment:

Type testing + post-certification surveillance;
The post-certification surveillance above refers to one of the following three methods: follow-up inspection after certification, sample testing or inspection from the production, or sample testing or inspection from the open market.

For equipment other than Category I or Category II:

Type testing + follow-up inspection after certification;

Designated 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 classification management results,  add relevant elements such as an initial factory inspection as appropriate to the basic certification mode, and combine the various post-certification surveillance methods, to determine the certification mode applicable to the certification applicant.

4  Certification Unit Division 

4.1 General Requirements

In principle, certification units shall be divided by product type, model, specification, operating principles, and safety structure etc. Designated certification body shall, in accordance with the relevant CNCA provisions and the Annexes to these implementation rules, and taking into account the classification management of production enterprises, specify detailed requirements for unit division in their detailed rules for certification implementation.

4.2 Special Requirements

(1) Products with different operating methods (e.g., scanning method, display method, printing method etc.) shall also be divided into certification units based on the different operating methods.

(2) Products whose main function is display shall also be divided into certification units based on display screen size.

(3) Power supply products shall be divided into certification units based on circuit principle and safety structure.

(4) Lithium-ion batteries shall be divided into certification units based on differences in material specifications (positive/negative electrode materials, separator, electrolyte), safety design, shape and dimensions, assembly method, rated voltage, rated capacity (maximum capacity within each unit covering a downward tolerance of 20%), etc.

(5) Lithium-ion battery packs shall be divided into certification units based on differences in rated voltage, rated capacity, type of constituent batteries, series/parallel configuration of constituent batteries, design and layout of protection circuit, built-in/external type, etc.

(6) Power banks shall be divided into certification units based on differences in specification, operating principle, safety structure, output/input method, type of constituent batteries, series/parallel configuration of constituent batteries, design and layout of protection circuit, etc.

4.3 Other Requirements

Where identical products are produced by different production enterprises but under same manufacturers (lithium-ion batteries and battery packs are not included) or identical products are produced by the same production enterprise but under different manufacturers, type testing may be performed on samples from only one unit; for products under other production enterprises/manufacturers, documentation shall be provided for consistency verification.

For identical lithium-ion batteries and battery packs manufactured by the same manufacturers but different production enterprises, type testing shall be performed separately.

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 non acceptance within the timeframe specified in its detailed rules for certification implementation.

Designated 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

Designated certification bodies shall specify, in its detailed rules for certification implementation, a list of required documentation for certification application based on laws, regulations, standards, and certification implementation requests (including at least the certification application form or contract, proof of registration of the applicant/manufacturer/enterprise, etc.)

For production enterprises not subject to an initial factory inspection during certification, the applicant shall submit a self-evaluation report on the factory’s quality assurance capability.

The certification applicant shall provide all required documentation as specified in the detailed rules for certification implementation. The designated certification body is responsible for reviewing, managing, retaining, and maintaining the confidentiality of such documentation, and shall inform the applicant of the documentation review results.

5.3 Implementation Arrangements

Designated certification bodies shall agree with the applicant on the respective responsibilities and arrangements for each stage of certification implementation. Based on the manufacturer's actual situation and the classification results, designated certification bodies 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.

6.1.2 Type Testing Sample Requirements

The designated certification body shall specify the requirements for sample submission or sampling for type testing in its detailed rules for certification implementation. Typically, samples for type testing shall be selected and submitted by the certification applicant as representative samples for testing based on the requirements of the designated certification body. If necessary, the designated certification body may also obtain samples through on-site sampling/sealing.

The certification applicant shall ensure that the samples provided are consistent with products actually manufactured. The designated certification body and/or laboratory shall verify the authenticity of the samples provided. If the designated laboratory has doubts about the sample authenticity, it shall inform the designated certification body and take appropriate action.

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

For critical components and materials purchased domestically that are within the scope of compulsory certification, the production enterprise shall provide valid compulsory certification certificates. For critical components and materials not subject to compulsory certification, the designated certification body shall specify in its detailed rules for certification implementation the conditions and detailed requirements under which voluntary certification certificates or type testing reports acceptable or recognizable.

6.1.3 Type Testing Items

(1) Safety testing items

Safety testing items shall, in principle, cover all applicable items specified in the product standards.
(2) Electromagnetic compatibility (EMC) testing items (when applicable)

EMC testing items shall, in principle, cover all applicable items specified in the product standards.

6.1.4 Implementation of Type Testing

In principle, type testing shall be conducted in laboratories designated by CNCA. The designated laboratory shall conduct type testing on samples and maintain complete records of the entire testing process, to ensure traceability of 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 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 laboratory shall ensure the authenticity, correctness and traceability of test results. The designated certification body shall specify detailed requirements and procedures in its detailed rules for certification implementation.

6.1.5 Type Testing Report

The designated certification body shall prescribe a unified format for type testing reports.

After completion of type testing, the designated laboratory shall promptly issue a type testing report to the designated certification body and the certification applicant. 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 Certification Evaluation and Decision

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

6.3 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 designated certification body over certified products and their production enterprises. The designated certification body shall, based on its classification management of production enterprises and actual circumstances, specify in its detailed rules for certification implementation the requirements for selecting appropriated post-certification surveillance methods.

7.1 Follow-up Inspection after Certification

7.1.1 Principles

Based on the classification management of production enterprises, the designated 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 production 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 designated certification body to facilitate effective post-certification surveillance.

7.1.2 Content of Follow-up Inspection after Certification

The designated certification body shall develop specific followup inspection requirements after certification, product consistency inspection requirements, and production enterprise’s quality control testing requirements in accordance with the 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 Principles

Sample testing or inspection from the production shall cover all certified units.

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

7.2.2 Content 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 or inspection from the production.

Where testing is required, the production enterprise shall submit samples to a designated laboratory. The designated certification body may also, in accordance with the Compulsory Certification Implementation Rules — Utilization of Production Enterprises’ Testing Resources and Other Certification Results, establish management procedures to use the manufacturer’s testing resources to conduct (or witness) testing, with the testing report issued by the designated laboratory.

7.3 Sample Testing or Inspection from the Open Market

7.3.1 Principles

Sample testing or inspection from the open market shall cover certified products at a defined proportion.

When sample testing or inspection from the open market is used as a surveillance method, the certification applicant, manufacturer and production enterprises shall cooperate and confirm samples taken from the open market.

7.3.2 Content of Sampling Testing or Inspection from the Open Market

The designated certification body shall specify in the detailed rules for certification implementation the specific content and requirements for sample testing or inspection from the open market.

7.4 Frequency and Timing of Post-Certification Surveillance

Based on classification management of production 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.

7.5 Records of Post-Certification Surveillance

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

7.6 Evaluation of Post-Certification Surveillance Results

The designated certification body shall comprehensively evaluate the results of follow up inspections, sample testing results, and relevant documentation/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 Certification Certificate

8.1 Maintenance of the Certification Certificate

The validity period of the compulsory certification certificate for products covered by these implementation rules is 5 years. During the validity period, the validity of the certificate depends on continued maintenance through post certification surveillance by the designated certification body.

Where the certificate expires and continued use is desired, the certification applicant shall submit a certification application no later than 90 days before the expiry date. If the results of the last post certification surveillance within the certificate’s validity period are satisfactory, the designated certification body shall directly issue a new certificate upon receiving the application.

8.2 Changes to Products Covered by the Certification Certificate

After product certification, if changes occur to critical components and materials, safety related design or electrical structure of the certified product, 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 Modification Application and Requirements

The designated certification body shall specify in its detailed rules for certification implementation the specific requirements for certification modification, including the scope and procedures for such changes.

For changes of the same content to identical products from multiple production enterprises but belong to the same manufacturer, the certification applicant may submit only one change application. The designated certification body shall associate the change with all relevant certificates.

8.2.2 Modification Evaluation and Approval

Based on the content of the change, the certification body shall evaluate the submitted documentation and decide whether to approve the modification. If sample testing and/or factory inspection are required, the modification shall be granted only after successful completion of such testing and/or inspection. In principle, the representative model initially subjected to full type testing shall be used as the basis for modification evaluation.

8.2.3 Modification Filing

For modifications to critical components and materials, where sample testing is not required, it may be approved by the designated certification body's recognized technical person in charge of certification in the production enterprise for confirmation, and the corresponding records shall be kept and filed with the designated certification body. The designated certification body shall verify during post-certification surveillance, and conduct verification tests when necessary.

The designated certification body shall specify the relevant requirements for the technical person in charge of certification in the detailed rules for certification implementation.

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 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

Cancellation, suspension and withdrawal of certification certificates shall be conducted in accordance with the Provisions on Administration of China Compulsory Certification (CCC) and the Compulsory Certification Implementation Rules — Cancellation, Suspension and Withdrawal of Certificate, as well as the relevant provisions of the certification body. The designated certification body shall determine the product categories and scope that do not meet certification requirements, and shall publicly announce certificates that have been cancelled, suspended or withdrawn through appropriate means.

8.5 Use of Certificate

Use of the certificates shall comply with the Provisions on Administration of China Compulsory Certification (CCC) and the relevant documents issued by the CNCA.

9 Certification Mark

The certification applicant shall affix the standard-format certification mark or a printed/molded certification mark at appropriate position of the product body or on the product nameplate, and shall ensure that the management and use of the certification mark comply with the Provisions on Administration of China Compulsory Certification (CCC) and the relevant documents issued by the CNCA.

9.1 Permitted Certification Mark Pattern

 9.2 Use of Deformed Certification Mark

A deformed certification mark is permitted, i.e., the abbreviation“CCC” for “China Compulsory Certification”, in a font size appropriate for the external dimensions of lithium-ion cells with size constraints.

10 Fees

Designated certification bodies and laboratories shall establish and publish relevant fee schedules, and charge fees to certification applicants in accordance with those schedules.

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 Certification Implementation 

Designated certification bodies shall develop scientific, reasonable, and operable detailed rules for certification implementation based on the principles and requirements of these implementation rules. The detailed rules for certification implementation shall be published and implemented after being filed with the CNCA. The detailed rules for certification implementation shall include at least the following:

(1) Certification process and timeframe requirements;

(2) Selection of certification modes and related requirements;

(3) Detailed rules for certification unit division and related requirements;

(4) Requirements for classification management of production enterprises;

(5) Certification application documentation and related requirements;

(6) Sample testing requirements (including type testing, sample testing from the production or from the open market, and use of production enterprises’ testing resources);

(7) Initial factory inspection and post-certification surveillance requirements (including coverage requirements of factory inspection including product category division, factory quality assurance capability and product consistency inspection requirements, production enterprise’s quality control testing requirements, quality control testing requirements for critical components and materials, factory inspection requirements for ODM/OEM models, surveillance frequency, sample testing or inspection requirements, etc.);

(8) Requirements for certification modification (including standard version updates);

(9) List of critical components and materials;

(10) Requirements for the technical person in charge;

(11) Basis of fees and related requirements;

(12) Process and time limit requirements for technical disputes and appeals.