Detail of CNCA-C11-01-2020

Introduction of CNCA-C11-01-2020

0 Introduction Implementation rules for compulsory product certification - Motor vehicles (hereinafter referred to as “the Rules”) is developed based on safety risks and certification risks of motor vehicles. The Rules specifies the basic principles and requirements for compulsory certification of all vehicles within its application scope to ensure the continued compliance of the certified vehicles with laws, regulations and standards. The Rules shall be used in conjunction with the general implementation rules issued by Certification and Accreditation Administration of the People's Republic of China (CNCA), such as Implementation Rules for Compulsory Product Certification - Manufacturing Enterprise Classification Management, Certification Mode Selection and Determination, Implementation rules for compulsory product certification - Utilization of testing resources and other certification results of production enterprises, Implementation rules for compulsory product certification - General requirements for factory inspection. The certification body shall, in accordance with the requirements of general implementation rules and the Rules, prepare detailed rules for the implementation of certification, which shall be implemented together with the general implementation rules and the Rules. The manufacturing enterprise shall ensure the continued compliance of its certified products with the requirements of the certification and applicable standards. 1 Application scope The Rules is applicable to Categories M and N motor vehicles and Category O trailers (including complete vehicles and incomplete vehicles) that can travel on highways and urban roads in China. The Rules is not applicable to the low-speed vehicles (a generic term for tri-wheel vehicles and low-speed goods vehicles), vehicles running on rails, trolleybuses, as well as wheel mobile machinery vehicles for special purposes, tractors for agriculture and forestry, engineering machinery and Type III chassis that are not mainly used for traveling on roads, but for operation and construction of closed roads and workplaces. Any adjustment to the application scope caused by any change(s) in laws and regulations, related product standards, technologies, industrial polices and other factors shall be subject to the announcement issued by the CNCA. For vehicles that are exempted from certification due to scientific research, testing, or the need of providing samples for certification testing, etc., the "Administrative Regulations on Compulsory Product Certification" and the relevant regulations of CNCA shall be implemented.   2 Terms and definitions For definitions of vehicles, see GB/T 3730.1 Motor vehicles and trailers — Types — Terms and definitions, GB/T 17350 Terms marks and designation for special purpose vehicles and special trailers, and GB 7258 Technical specifications for safety of power-driven vehicles operating on roads. For the classification of vehicles, see GB/T 15089 Classification of power-driven vehicles and trailers. Other terms are given as follows: 2.1 Complete vehicles: vehicles that have intended functions without any manufacturing. 2.2 Incomplete vehicles: vehicles that need to be further manufactured to have intended functions. 2.3 Vehicles manufactured in two or more stages: vehicles that have intended functions after multi-stage manufacturing. 2.4 Basic vehicles: complete vehicles and Type II chassis that are used in modification. 2.5 Parts: the smallest independent units that constitute the assembly, system and vehicle. E.g., the lens in the rearview mirror assembly. 2.6 Assembly: a complex, with certain functions, that is composed of parts. It can be independent or a part of the vehicle or system, such as headlamp assembly and steering wheel assembly in steering system. 2.7 Parts and components: a generic term for parts and assembly. 2.8 System: a complex, with certain functions, that is composed of parts and assemblies. E.g., steering system and braking system. 2.9 Type II chassis: incomplete vehicles that can become complete vehicles after being installed with the loading platform or operating equipment. 2.10 Type III chassis: incomplete vehicles that can become complete vehicles after being installed with the driving cab, loading platform or operating equipment and integral vehicle body. 2.11 Mass-produced vehicles: vehicles produced in batches and on a large scale. 2.12 Non-mass-produced vehicles: vehicles that are not produced on a large scale, and the annual production volume or import volume of which covered by each certification certificate is not more than 500. 2.13 Modified vehicles: vehicles that are modified on complete vehicles and Type II chassis ①. 2.14 Parallel import vehicles: vehicles that are imported from abroad by an importer other than the main dealer outside the authorized sales system of vehicle manufacturers, which are sold in the channel "parallel" ② to that of the domestic authorized dealers. Note ①: The terms and definitions apply only for the purpose of the Rules, and can be used in combination, for example, modified non-mass produced vehicles and non-mass-produced modified complete vehicles. Note ②: Parallel import vehicles are not customized for Chinese market compared to the ones from the general import channel, and are consequently often subjected to compliance rectification according to national standards when entering the Chinese market. Parallel import vehicles are generally non-mass-produced vehicles. The quantity requirement of the non-mass-produced vehicle certification mode can be canceled when the designated certification body confirms that the consistency of the applied vehicle certification is effectively managed. 3 Certification standards The standards for the certification testing in accordance with the Rules are given in Attachment 1. In principle, the standards used for certification and testing shall be the latest editions issued by the national competent administrative department of standardization, in which the certification body shall specify in the detailed rules the year number and clause number of the standard on which it is based. Any addition, reduction or use of other editions of the standards, where necessary, shall be subject to the announcement issued by CNCA. 4 Certification modes 4.1 Basic mode: Type test + initial factory inspection (enterprise quality assurance capacity and product consistency inspection) + post-certification supervision The basic certification mode stipulated in the Rules is determined according to the inherent safety risk characteristics of products and the production processes commonly adopted by the manufacturing enterprises, based on the premise of good faith and self-discipline, effective management and stable production of the manufacturing enterprises. The certification bodies shall implement the classified management on the manufacturing enterprises in accordance with the requirements of the Rules for the implementation of compulsory product certification - Manufacturing enterprise classification management, certification mode selection and determination and add certification elements based on the basic certification mode in combination with the classified management results, so as to determine the applicable certification mode for the applicant. The quality assurance capacity and product consistency inspection of mass-produced vehicle enterprises shall be carried out according to the mode of production conformity inspection; for the non-mass-produced vehicle enterprises, the quality assurance capacity and product consistency inspection shall be carried out by adding sampling testing or inspection on production site or port site of the enterprise. The post-certification supervision mode shall be one of the follow-up inspection, sampling testing or inspection on production or port site, sampling testing or inspection on the market, or their combinations. 4.2 Single vehicle certification: 100% inspection This mode is applicable to small quantities of imported products for production and daily consumption that have not obtained compulsory product certification due to special purpose or special reasons③. The certification body shall formulate the corresponding implementation rules in accordance with the relevant national policies and regulations. Note ③: Scope of application for special purposes or for special reasons includes anti-terrorism safety, emergency rescue and disaster relief, emergency command, sports competition, road test, major national production and construction projects, and use of end-users (the import purpose or use specified in the import license must be for the unit or individual's own use). 5 Certification unit division Vehicle products are divided according to model series or units, and the basis for division is shown in Attachment 3. The applicant shall file the application for certification based on the model series or unit. Products applied for certification under the single vehicle certification mode are not divided by units, and certificates are issued by model and specific vehicle identification code to ensure that each vehicle shall have a certificate. 6 Application for certification 6.1 Submission and acceptance of application for certification The applicant shall apply to the certification body for certification in proper manner, and the certification body shall handle the application for certification and inform applicant whether it accepts or rejects the application within the time limit specified in the implementation rules for certification. The applicant shall be able to bear the quality and legal responsibilities including product recall, warranty, etc. The manufacturers and the manufacturing enterprises of motor vehicles and trailers who apply for the certification shall be able to perform normal production, and meet the requirements of national laws and regulations and relevant industrial policies. 6.2 Application documents The certification body shall specify the list of application documents (at least including contents specified in Attachment 4 to the Rules) in the implementation rules for certification, according to the requirements of laws and regulations, standards and the Rules. The applicant shall provide the necessary documents in accordance with the list of application documents given in the implementation rules for certification. The certification body is in charge of the review, management, preservation and confidentiality of relevant documents, and shall inform the applicants of the results. 6.3 Implementation arrangements The certification body shall reach an agreement with the applicant on their relevant responsibilities and arrangements in each link of implementing the certification, and determine the specific scheme for implementation of the certification and inform the applicant according to the actual situations and classified management of the manufacturing enterprises and the requirements of the Rules and the implementation rules for certification. The certification scheme shall at least include type test requirements and initial factory inspection requirements (where applicable). 7 Implementation of certification 7.1 Type test 7.1.1 Type test plan The certification body of the type test plan shall formulate a type test scheme after reviewing the data, and inform the certification applicant. In terms of the test plan, the opinions of the applicant shall be consulted. A type test plan covers the requirements & quantities of samples, type test items, information of the undertaking laboratory, etc. The type test shall be undertaken by the laboratory designated by the CNCA, and the applicant may voluntarily select among the laboratories designated by the CNCA. On the premise of evaluating the ability of the certification applicant and the overall risk of the certified product, the certification body can start product certification in the conceptual design stage, and formulate the certification scheme according to the design process, trial production and testing capabilities of the enterprise. 7.1.2 Requirements for type test samples Under normal circumstances, the applicant shall prepare samples and deliver to the designated laboratory according to the requirements of the type test plan. Where necessary, according to the actual situation of the manufacturing enterprise and the situations of the classified management, the certification body may obtain samples by on-site sampling according to the requirements of the type test plan and send them to the designated laboratory. The selection of samples shall be based on whether the test items of the vehicle series are of the same type or not, and one sample may be selected for items that can be judged as the same type. For items that cannot be judged as the same type, samples shall be selected separately, and the corresponding test samples of all test items shall be integrated to determine the total sample quantity and requirements. See Attachment 5 for sample quantity and requirements. The certification applicant shall ensure that the sample it provides can be produced normally and is consistent with the actual product. The certification body and/or the laboratory shall review the authenticity of the samples provided by the certification applicant. In case of any doubt about the authenticity of the samples, the laboratory shall explain the reasons to the certification body, and carry out corresponding treatment. 7.1.3 Type test items and requirements The certification applicant, jointly with the laboratory, shall confirm the test items in accordance with the requirements of the Rules and in combination with the types and uses of its vehicles applied for certification. See Attachment 1-1 for the test items and regulations for mass-produced and non-mass-produced vehicles; see Attachment 1-2 for other regulations of parallel import vehicles; see Attachment 1-3 for test items and regulations for single vehicle certification. 7.1.4 Implementation of type test The type test shall be carried out after the certification body confirms that the application documents submitted by the applicant are complete and a test plan is developed. The laboratory shall carry out type test on the sample, ensure the authenticity and accuracy of test conclusion, make a complete record of the whole test process, and keep it on file, so as to ensure the traceability of the test process and results. For the rejected test item, if any, the test can be carried out again after rectification upon the analysis on causes of the rejection. Where re-test is required, the laboratory shall inform the certification body of test conditions and the certification body shall re-confirm the test plan. For products that have obtained compulsory product certification (including self-declaration), the results shall be directly recognized; for recognition of the test results of other conformity assessment systems, the certification body shall specify the relevant requirements in the implementation rules. 7.1.4.1 If the manufacturing enterprise meets the testing conditions specified in the Implementation rules for compulsory product certification - Utilization of testing resources and other certification results of manufacturing enterprises and certification standards, the certification body may use the testing resources of the manufacturing enterprise to implement sampling testing on production site (or witness testing), and the designated laboratory shall issue the testing report. The certification body shall specify specific requirements and procedures in the implementation rules for certification. 7.1.4.2 For qualified enterprises, some of the certification projects can take the form of certification of design. The certification body, the certification applicant and the laboratory may jointly develop a scheme in the product design stage, using reviews, verification and other ways to confirm the product's compliance with the design and certification standards. A certification of design report jointly issued by the parties involved will be accepted as the credible type test result. The certification body shall carry out certification of design in accordance with Attachment 2-1. 7.1.4.3 For the same type of products produced by the same manufacturer in different production sites, on the premise of ensuring the consistency of production, the type test process can be simplified and the same type test items can be reduced or exempted. 7.1.4.4 For some type test items, the company's self-declaration method will be used instead of testing, and the certification body will strengthen the post-certification supervision and random checking according to Attachment 1-4. 7.1.4.5 For the motor vehicle products adopting new technologies, it shall be ensured at least that their performance in safety, environmental protection and other aspects are not lower than the compulsory certification requirements of vehicle products. If the implementation rules for compulsory certification of relevant vehicle components are involved, they shall also meet the requirements of the corresponding implementation rules. The certification implementation of new technology products shall be carried out in accordance with Attachment 2-2.

Contents of CNCA-C11-01-2020

Contents 0 Introduction 1 Application scope 2 Terms and definitions 3 Certification criteria 4 Certification mode 5 Certification unit division 6 Certification entrustment 7 Certification implementation 8 Supervision after certification 9 Certificate 10 Certification mark and vehicle conformity certificate 11 Charges 12 Certification responsibilities 13 Rules for implementation of certification Attachment 1 Certification Items and Requirements Attachment 1-1 Type test items and standards Attachment 1-2 Type test of parallel imported vehicles Attachment 1-3 Certification test items and standards for individual vehicles Attachment 1-4 Implementation procedures for self-commitment mode of environmental protection Attachment 1 Annex A Implementation procedure for parallel management of average fuel Consumption and new energy vehicle points for passenger vehicle enterprises Attachment 2 Certification implementation Attachment 2-1 Implementation procedure for automobile design evaluation Attachment 2-2 Implementation procedures for new technology product certification Attachment 3 Classification basis for model series, units and models Attachment 4 Data required for certification Attachment 4 Annex A Vehicle structure and technical parameters Attachment 4 Annex B Individual vehicle certification structure and technical parameter table Attachment 5 Sample delivery requirements and sample details Attachment 6 Factory inspection requirements Attachment 6 Annex A Review of conformity of vehicle structure and technical parameters Attachment 7 Inspection items for conformity verification of non-mass produced vehicles Attachment 8 Vehicle conformity certificate Attachment 8 Annex A Technical parameters for vehicle conformity of automotive products Attachment 8 Annex B Conformity technical parameter styles of M1 and M1G complete single-stage vehicles