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 and trailers. 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 together with general implementation rules including Rules for the implementation of compulsory product certification - Manufacturing enterprise classification management, certification mode selection and determination, Rules for the implementation of compulsory product certification - Utilization of testing resources of manufacturing enterprises and other certification results, and Rules for the implementation of compulsory product certification - General requirements for factory inspection
The certification body shall, in accordance with the requirements of the general implementation rules and the Rules, develop the implementation rules for certification for use together with 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 ad 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, as well as wheel mobile machinery vehicles for special purposes, tractors for agriculture and forestry, engineering machinery and Type III chassis that are not designed and manufactured for traveling and use on roads, but mainly used 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 Certification and Accreditation Administration of the People’s Republic of China (CNCA).
Any application for exemption from certification due to scientific research, testing and other special reasons shall be implemented in accordance with the Provisions on the management of compulsory product certification and relevant provisions issued by CNCA.
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 certification.
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 and the connector in the brake hose 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 brake 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: for non-mass-produced vehicles, each certification certificate covers an annual production volume or import volume of not more than 500 vehicles.
2.13 Modified vehicles: vehicles that are modified on complete vehicles and Type II chassis. ①
Note ①: The terms and definitions apply only for the purpose of this document, and can be used in combination, for example, modified vehicles of non-mass produced vehicles and non-mass-produced complete vehicles.
3 Certification standards
The manufacturing enterprise shall fully implement the national standards and regulations with regard to safety, environment protection, energy saving and anti-theft of motor vehicles, and meet the requirements.
The standards for the certification in accordance with the Rules are given in Annex 1 Type test items and standards. In principle, the standards used for certification and testing shall be the latest editions issued by the national competent administrative department of standardization. Any addition of new applicable standards or use of other editions, where necessary, shall be subject to the announcement specified by relevant applicable standards issued by CNCA.
4 Certification mode
The basic certification mode stipulated in the Rules is determined based on the inherent safety risk characteristics of products and the production processes commonly adopted by the manufacturing enterprises, 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.
Basic mode: type test + initial factory inspection (enterprise’s quality assurance capability and product consistency check) + post-certification supervision
The quality assurance capability and product consistency check of mass-produced vehicle enterprises are subject to the conformity of production (COP) check;
The non-mass-produced vehicle enterprises add sampling testing or inspection on the production site or port site to the quality assurance capability and product consistency check.
The post-certification supervision mode is one among the follow-up inspection, sampling testing or inspection on production or port site, sampling testing or inspection on the market, or their combinations.
5 Certification unit division
In principle, the vehicle products are applied according to the certification units. The applicant files the application for certification according to the principle of unit division. For the division of series, units and models of certified vehicles, see Annex 2 Basis for division of series, units and models.
6 Application for certification
6.1 Filing and acceptance & handling
The applicant shall file the application for certification to the certification body; the latter shall handle the application and feed back to the 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 recall, warranty, etc. The producers (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, otherwise the certification body will not accept the relevant application for certification.
6.2 Application documents
The certification body shall specify the list of application documents (at least including contents specified in Annex 3 to the Rules) in the implementation rules for certification, according to the requirements of laws, regulations and standards as well as the implementation of certification.
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 applicant of the results.
6.3 Arrangement for implementation
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 situations 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 shall develop the type test plan after the review on the documents, and inform the applicant. The type test plan includes requirements, quantities, testing standard items, laboratory information, etc. of all samples for the type test.
The applicant may choose the laboratory on its own within the scope designated by the CNCA, and advices from the applicant shall be sought in the development of the test scheme.
7.1.2 Requirements for type test sample
Under normal circumstances, the applicant shall prepare samples for delivery to the 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 applicant 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 judged 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. For sample quantity and requirements, see Annex 4 Sample delivery requirements and sample details to the Rules.
The applicant shall ensure that the sample it provides can be produced normally and confirm the consistency with the actual product. The certification body and/or laboratory shall confirm the authenticity of the sample provided by the applicant for review. In case of any doubt about the authenticity of the sample, the laboratory shall explain the reasons to the certification body, and the certification body shall carry out corresponding treatment.
The certification body shall, in accordance with the relevant regulations issued by the CNCA, specify the conditions and specific requirements for the list of key parts and raw materials used in the product and the accepted compulsory and voluntary product certification certificate or type test report in the implementation rules for certification.
0 Introduction 1 Application scope 2 Terms and definitions 3 Certification standards 4 Certification mode 5 Certification unit division 6 Application for certification 6.1 Filing and acceptance & handling 6.2 Application documents 6.3 Arrangement for implementation 7 Implementation of certification 7.1 Type test 7.2 Initial factory inspection 7.3 Assessment and approval of certification result 7.4 Certification time limit 8 Post-certification supervision 8.1 Post-certification follow-up inspection 8.2 Sampling testing or inspection on production site 8.3 Market sampling testing or inspection 8.4 Application of quality information 8.5 Frequency and time of post-certification supervision 8.6 Record of post-certification supervision 8.7 Evaluation of post-certification supervision result 8.8 Consistency parameter management 9 Certification certificate 9.1 Maintenance 9.2 Contents 9.3 Change 9.4 Suspension, cancellation and revocation 9.5 Use 10 Certification mark and vehicle conformity certificate 10.1 Pattern of mark 10.2 Application of mark 10.3 Product consistency certificate 11 Charging 12 Responsibilities for certification 13 Implementation rules for certification Annex 1: Type test items and standards Annex 2: Basis for division of series, units and models Annex 3: Information Required for Certification Annex 4: Sample delivery requirements and sample details Annex 5: Factory inspection requirements Annex 6: Vehicle conformity certificate
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 and trailers. 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 together with general implementation rules including Rules for the implementation of compulsory product certification - Manufacturing enterprise classification management, certification mode selection and determination, Rules for the implementation of compulsory product certification - Utilization of testing resources of manufacturing enterprises and other certification results, and Rules for the implementation of compulsory product certification - General requirements for factory inspection
The certification body shall, in accordance with the requirements of the general implementation rules and the Rules, develop the implementation rules for certification for use together with 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 ad 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, as well as wheel mobile machinery vehicles for special purposes, tractors for agriculture and forestry, engineering machinery and Type III chassis that are not designed and manufactured for traveling and use on roads, but mainly used 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 Certification and Accreditation Administration of the People’s Republic of China (CNCA).
Any application for exemption from certification due to scientific research, testing and other special reasons shall be implemented in accordance with the Provisions on the management of compulsory product certification and relevant provisions issued by CNCA.
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 certification.
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 and the connector in the brake hose 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 brake 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: for non-mass-produced vehicles, each certification certificate covers an annual production volume or import volume of not more than 500 vehicles.
2.13 Modified vehicles: vehicles that are modified on complete vehicles and Type II chassis. ①
Note ①: The terms and definitions apply only for the purpose of this document, and can be used in combination, for example, modified vehicles of non-mass produced vehicles and non-mass-produced complete vehicles.
3 Certification standards
The manufacturing enterprise shall fully implement the national standards and regulations with regard to safety, environment protection, energy saving and anti-theft of motor vehicles, and meet the requirements.
The standards for the certification in accordance with the Rules are given in Annex 1 Type test items and standards. In principle, the standards used for certification and testing shall be the latest editions issued by the national competent administrative department of standardization. Any addition of new applicable standards or use of other editions, where necessary, shall be subject to the announcement specified by relevant applicable standards issued by CNCA.
4 Certification mode
The basic certification mode stipulated in the Rules is determined based on the inherent safety risk characteristics of products and the production processes commonly adopted by the manufacturing enterprises, 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.
Basic mode: type test + initial factory inspection (enterprise’s quality assurance capability and product consistency check) + post-certification supervision
The quality assurance capability and product consistency check of mass-produced vehicle enterprises are subject to the conformity of production (COP) check;
The non-mass-produced vehicle enterprises add sampling testing or inspection on the production site or port site to the quality assurance capability and product consistency check.
The post-certification supervision mode is one among the follow-up inspection, sampling testing or inspection on production or port site, sampling testing or inspection on the market, or their combinations.
5 Certification unit division
In principle, the vehicle products are applied according to the certification units. The applicant files the application for certification according to the principle of unit division. For the division of series, units and models of certified vehicles, see Annex 2 Basis for division of series, units and models.
6 Application for certification
6.1 Filing and acceptance & handling
The applicant shall file the application for certification to the certification body; the latter shall handle the application and feed back to the 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 recall, warranty, etc. The producers (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, otherwise the certification body will not accept the relevant application for certification.
6.2 Application documents
The certification body shall specify the list of application documents (at least including contents specified in Annex 3 to the Rules) in the implementation rules for certification, according to the requirements of laws, regulations and standards as well as the implementation of certification.
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 applicant of the results.
6.3 Arrangement for implementation
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 situations 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 shall develop the type test plan after the review on the documents, and inform the applicant. The type test plan includes requirements, quantities, testing standard items, laboratory information, etc. of all samples for the type test.
The applicant may choose the laboratory on its own within the scope designated by the CNCA, and advices from the applicant shall be sought in the development of the test scheme.
7.1.2 Requirements for type test sample
Under normal circumstances, the applicant shall prepare samples for delivery to the 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 applicant 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 judged 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. For sample quantity and requirements, see Annex 4 Sample delivery requirements and sample details to the Rules.
The applicant shall ensure that the sample it provides can be produced normally and confirm the consistency with the actual product. The certification body and/or laboratory shall confirm the authenticity of the sample provided by the applicant for review. In case of any doubt about the authenticity of the sample, the laboratory shall explain the reasons to the certification body, and the certification body shall carry out corresponding treatment.
The certification body shall, in accordance with the relevant regulations issued by the CNCA, specify the conditions and specific requirements for the list of key parts and raw materials used in the product and the accepted compulsory and voluntary product certification certificate or type test report in the implementation rules for certification.
Contents of CNCA C11-01-2014
0 Introduction
1 Application scope
2 Terms and definitions
3 Certification standards
4 Certification mode
5 Certification unit division
6 Application for certification
6.1 Filing and acceptance & handling
6.2 Application documents
6.3 Arrangement for implementation
7 Implementation of certification
7.1 Type test
7.2 Initial factory inspection
7.3 Assessment and approval of certification result
7.4 Certification time limit
8 Post-certification supervision
8.1 Post-certification follow-up inspection
8.2 Sampling testing or inspection on production site
8.3 Market sampling testing or inspection
8.4 Application of quality information
8.5 Frequency and time of post-certification supervision
8.6 Record of post-certification supervision
8.7 Evaluation of post-certification supervision result
8.8 Consistency parameter management
9 Certification certificate
9.1 Maintenance
9.2 Contents
9.3 Change
9.4 Suspension, cancellation and revocation
9.5 Use
10 Certification mark and vehicle conformity certificate
10.1 Pattern of mark
10.2 Application of mark
10.3 Product consistency certificate
11 Charging
12 Responsibilities for certification
13 Implementation rules for certification
Annex 1: Type test items and standards
Annex 2: Basis for division of series, units and models
Annex 3: Information Required for Certification
Annex 4: Sample delivery requirements and sample details
Annex 5: Factory inspection requirements
Annex 6: Vehicle conformity certificate
