Implementation Detailed-Rules for China Compulsory Certification

Transcription

1 Translated English: CQC-C1109: Serial No.: CQC-C1109:2014 Implementation Detailed-Rules for China Compulsory Certification Automotive interiors 汽车内饰件 Issued on: December 31, 2014 Implemented on: January 1, 2015 China Quality Certification Center Page 1 of 30

2 Table of Contents 0. Introduction Terms and definitions Classification Management Requirements of Manufacturing Enterprises Requirements on Utilizing Testing Resources of Manufacturing Enterprises Application scope Certification standards Certification mode Basic Certification Mode Applicability of Certification Mode Division of Certification Units Certification entrusting Proposal and Acceptance of Certification Application Application Materials Implementation Arrangement Implementation of Certification Type Test Initial Factory Inspection Certification Evaluation and Determination Certification Time-limit Service-parts of discontinued vehicle model After-Certification Supervision After-certification follow-up inspection Sampling Test or Inspection at the Production On-site Market Sampling Test or Inspection Frequency and Time of After-Certification Supervision Record of After-Certification Supervision Evaluation of Supervision Result after getting the certificate Certificate Maintenance of the certificate Content of the Certificate Change of the Certificate Cancellation, Suspension and Withdrawal of the Certificate Use of the Certificate Certification Mark Mark style permitted to use Use Requirements Charge Certification Responsibility Procedures and Time-limit Related to Technical Disputes, Complaints and Appeals Attachment 1 Requirements of Production Conformity Control Plan Page 3 of 30

3 Attachment 2 Certification implementation of service parts for after-sales maintenance for discontinued vehicle model Page 4 of 30

4 0. Introduction Implementing Detailed-Rules for China Compulsory Certification - Automotive interiors (hereinafter referred to as Detailed-Rules) is compiled based on the requirements of Implementation Rules for China Compulsory Certification - Automotive interiors (CNCA-C11-09:2014) (hereinafter referred to as Implementation-Rules). This Detailed-Rules is used together with the Implementation-Rules as supportive document. The product scope, certification basis and all other contents of this Detailed-Rules shall comply with relevant provisions of Implementation Rules. It shall also be adjusted according to the Notices such as defined directory and directory adjustment that are issued by Certification and Accreditation Administration of China (hereafter referred to as CNCA). In accordance with the provisions of Implementation Rules, following the principles of maintaining the effectiveness of product certification, improving quality of product, serving certification companies, and controlling risk of certification, CQC formulates and issues this Detailed-Rules. Through establishing the classification management requirements of manufacturing enterprises, and combining the classification of manufacturing enterprises, this Detailed-Rules determines the implementation requirements for China Compulsory Certification of Automotive interiors. 0.1 Terms and definitions Testing at Manufacturer s Premises (abbreviated as TMP mode) It means that the engineers of designated laboratory use the testing equipment in the factory laboratory to conduct testing. The factory shall dispatch test personnel to provide assistance. The designated laboratory will examine, approve and issue the test report Witnessed Manufacturer s Testing (abbreviated as WMT mode) It means that the engineer of designated laboratory witnesses the factory laboratory s test conditions and all tests completed by using the laboratory s equipment or according to the test plan submitted; or witnesses part of the test conditions and the test items. Test personnel of the factory laboratory shall provide the original records and draft up the test report together with the engineer of designated laboratory according to relevant provisions. The designated laboratory shall audit, approve and issue the test report. 0.2 Classification Management Requirements of Manufacturing Enterprises CQC collects and sorts-out all the information related to certification products and quality related to manufacturing enterprises; and uses dynamic classification management for manufacturing enterprises. certification entrusting client [hereafter abbreviated as CLIENT], manufacturer and manufacturing enterprise shall make cooperation with it. CQC classifies the manufacturing enterprises into 4 categories - A, B, C and D. Page 5 of 30

5 Quality information that is based to classify the manufacturing enterprises shall at least include the following aspects: (1) results of factory inspection (including the initial factory inspection and after-certification follow-up inspection); (2) results of sample test and / or supervision sampling test (including type test, production on-site sampling or market sampling, etc.); (3) inspection results of national-level or provincial-level sampling, CCC special sampling, etc.; (4) the cooperation conditions of CLIENT, producers (manufacturers) and manufacturing enterprises for after-certification supervision; (5) judicial decision, arbitration of complaint and appeal, media exposure, quality information feedback of consumers, etc.; (6) quality conditions of the certification products; (7) other information. Classification principles of manufacturing enterprises are shown in following table. Table 1 Classification principles of manufacturing enterprises Category B A Classification principles Category B enterprises provide CQC with compliance documents. CQC performs comprehensive risk evaluation of the collected quality information and the documents provided by Category B enterprises. Then CQC determines the classification result. The evaluation contents include at least following aspects: 1. Factory inspection: Initial factory inspection / after-certification follow-up inspection in the recent two years (including current year) has no non-conformance item that affects the product conformity; 2. Product test result and sampling test result: after-certification supervision test in recent two years (including current year) have no non-conformance item; and all national-level and provincial-level inspection, and CCC special inspection are concluded as qualified. 3. Product test capacity: Manufacturing enterprise (or its manufacturer, parent company) shall have the test capacity required by the certification standards (conforming to Chapter 5 Technical Capacity Requirements of GB/T (IEC 17025). 4. Product volume: The volume of CCC certificate-covered products maintains at certain level during supervising period; 5. Other information related to the certification products and quality of relevant manufacturing enterprises. Manufacturing enterprises except category A, C, and D. Manufacturing enterprises having no any quality information are defaulted as category B. Page 6 of 30

6 when performing production conformity inspection of In this case, Sampling shall be made on the premise that factory inspection is concluded as qualified; or there is conformity item, it needs the written-mode to verify the effectiveness of corrective measures. In principle, manufacturing enterprises shall send the samples to designated laboratory within 20 days for type test. In the case that CLIENT fails to send the samples to designated laboratory on time, reasonable explanations shall be made to CQC Sample specification and quantity for type test (1) It shall guarantee that, for the materials of same burning speed, at least 5 pieces of samples can be taken from the sent-samples / sampling of interior parts. The sample is a rectangle, of which the length is 356mm, the width is 100mm, the thickness is that of parts, but is not more than 13mm. In case the shape and size of interiors are not enough to constitute above sample, it shall guarantee the following minimum size samples: a If the width of interiors is between 3mm and 60mm, the length shall at least be 356mm. In this case, the width of sample shall be made to approach that of interiors as much as possible. b If the width of interiors is more than 60mm, the length shall at least be 138mm. (2) For materials that can only use the same material and same process to specially make standard samples (i.e. the c and f of sampling methods in of GB ) so as to conduct the experiment, and: Products of which the interiors width is between 3mm and 60mm, length is less than 356mm; or products of which the interiors width is more than 60mm, length is less than 138mm; or products of which the interiors width is less than 3mm - then it is not required to be tested according to this Detailed-Rules. (3) If, within the same unit, it contains various models, CLIENT shall also send other models and parts, besides major model, for conducting difference-test according to the testing plan Relevant requirements of critical components / raw materials For related critical components / raw materials in test plan, such as assembly that is made of several interiors-components or certification products, relevant test items of flammability of automotive interior materials can be exempted - if the manufacturer or manufacturing enterprise can provide the compulsory product certificate of required interiors or voluntary certificate required interiors issued by designated organization that comply with the requirements. Certification results in such certificates may be adopted by Page 13 of 30

7 CQC after review Test Items and Requirements Type test items are applicable to standard in Article 2 of this Detailed-Rules: (1) Burning speed of passenger cars shall be less than or equal to 70mm/min; (2) For the bus, and highway bus and tourist bus with rear-mounted engines, its soundproof, adiabatic interiors that are used in engine compartments shall meet the requirements of GB If the CNCA technical expert group has special requirements, the resolution made by the group shall prevail Implementation of Type Test Type test shall be performed in the laboratory designated by the CNCA. When performing type test, the laboratory shall ensure the accuracy and authenticity of test conclusion; record and keep the whole test procedures; make sure the test process and test result are traceable. If there is abnormality in the test, the laboratory shall contact CQC and handle it accordingly If there are unqualified test items, the CLIENT has the right to make corrections after analyzing the failure for further retest. In this case, the laboratory shall inform the certification body; and the certification body shall confirm the test plan again. Generally, the CLIENT shall complete the correction within 90 days, and provide the valid corrected materials/samples to the designated laboratory/cqc. If it exceeds 90 days, it is deemed that the CLIENT gives up and terminates the certification entrusting. The CLIENT may also terminate the certification by itself. For rectification samples of sampling mode, CQC shall arrange personnel to conduct on-site sampling. If the factory inspection has been completed, necessity of extra factory inspection shall be determined based on failure reasons and failed items Type test shall not exceed 20 working days (counted from the date when samples arrive the laboratory); time for correction and retest due to sample failure or test items failure is not counted in it. Time-limit of new test after correction is the same as type test Type Test Report CQC shall formulate the unified format of type test report. The laboratory shall issue type test reports in the unified format. The laboratory and its related personnel shall be responsible for correctness of the content and test conclusions of the type test reports made by them. The laboratory shall issue type test report to CQC and to CLIENT timely when test is completed. Test report shall include descriptions of Page 14 of 30

8 parameters with type test samples, then the inspection result is unqualified. If inspection result is unqualified, then the certification is terminated Inspection time Factory on-site inspection time depends on unit-quantity of entrusted certification products, and shall take production scale of the factory into consideration. Generally, inspection time for each factory is 1 ~ 2 man-days When performing compulsory product certification, CQC may, according to the actual conditions, decide not to test some of the items as specified in Appendix I of the Attachment 2 of the Implementation-Rules, provided the factory has secured service and management system certificate issued by the CNCA-authorized organizations and the certificate is valid. Other test items in initial factory inspection shall not be exempted. 6.3 Certification Evaluation and Determination CQC shall comprehensively evaluate type test result, initial factory inspection result, and other related materials/information. If the evaluation is approved, then certificate shall be issued according to certification-unit, otherwise, the certification is terminated. After termination, the certification shall be applied again if it is still wanted. 6.4 Certification Time-limit CQC shall make clear time-limit to each application procedure, and make sure that related procedures can be completed on time. CLIENT shall provide full collaboration. Generally, certificate shall be issued to CLIENT within 90 days since acceptance of certification. 6.5 Service-parts of discontinued vehicle model It shall be implemented in accordance with Attachment 2 of this Detailed-Rules. 7. After-Certification Supervision Considering the category management of manufacturing enterprises and the actual conditions, selection of after-certification supervision mode are shown in table 2. Page 17 of 30

9 Samples shall be sampled by designated personnel from certified products in the market (including at warehouse or at user-site), and shall be sent to the designated laboratory for test. 7.4 Frequency and Time of After-Certification Supervision Frequency of After-Certification Supervision In principle, manufacturing enterprise shall be subject to supervision, after first-time certified or after the initial factory inspection, according to the basic frequency specified in table 2. After-certification follow-up inspection and production on-site sampling test shall be made at least once every two years. When following cases happen, category A, B, C and D manufacturing enterprises shall increase the supervision-frequency on basis of basic supervision-frequency: (1) Serious quality problem happens to the certified products (such as failed to pass national-level or provincial-level quality sampling inspection); the quality is complained by customers and causes serious influence, which is determined to be the liability of CLIENT, manufacturer, or manufacturing enterprise; (2) CQC has reasons to doubt the conformity of certified products for standard safety requirements; (3) When classification result (category) of manufacturing enterprise degrades. Increased supervision-frequency shall be made without prior notice. For discontinuous production, the CLIENT or manufacturing enterprise shall consciously submit production schedule to CQC for convenience of after-certification supervision Time of After-Certification Supervision Time for after-certification follow-up inspection depends on type and quantity of certified products, and takes factory scale into consideration. Generally, it is 1 ~ 2 man-days for each factory. For production on-site or market sampling test, test shall be done within 20 working days since the samples are determined as qualified by designated laboratory. 7.5 Record of After-Certification Supervision Certification body shall record the after-certification supervision procedures, keep the record, make sure that the certification procedure and result are traceable. 7.6 Evaluation of Supervision Result after getting the certificate CQC shall make comprehensive evaluation of follow-up inspection result, sampling test or Page 20 of 30

10 inspection result, and other related materials/information. If the evaluation is approved, the certificate can be kept and used continuously. If there is any unqualified item, the evaluation of after-certification supervision result is unqualified; CQC shall decide to suspend or withdraw the certificate accordingly and issue the decision. 8. Certificate 8.1 Maintenance of the certificate The validity of the product certificate under coverage of the Implementation-Rules is 5 years. Within the period, maintenance of the validity of the certificate depends on the after-certification supervision of the certification body. When the certificate is going to be expired and needs to be extended, the CLIENT shall submit the certification entrusting 90 days prior to the expiration. The certificate can be directly replaced with a new one, provided the last after-certification supervision within the validity period of certificate is qualified. 8.2 Content of the Certificate Certified products and the sales packages shall be labeled with the content that is contained in the certificate; it shall be consistent with the content in the certificate. Change of the certificate shall specify the changed edition number to clearly show the changing times of the products. 8.3 Change of the Certificate Change Content (1) Contents in the certificate are changed (such as name and address of the CLIENT, manufacturer or manufacturing enterprise, model and specification, certification standards, etc.); (2) Technical changes of certified products (such as design, structure parameters, critical components / raw materials, etc.) which may affect the conformity with relevant standards; (3) Change in production conformity control plan, production conditions, relocation etc. of the factory that may affect the production conformity; (4) Change in other items as specified by CQC, such as it is changed to certificate of service-parts of discontinued vehicle model Implementation of Change When above changes happen, CLIENT shall apply for change-entrusting to CQC according to the requirements of Article 5.1 of this Detailed-Rules; the change can be Page 21 of 30

11 Attachment 1 Requirements of Production Conformity Control Plan The object of production conformity control is to make sure mass-produced certified products are consistent with approved certified products. The factory shall establish production conformity control plan for certified products according to Attachment 2 of the Implementation-Rules. Conformity of production (or COP) control plan shall at least contain the following contents: 1. COF test (test, inspection or check) control plan; The factory shall establish necessary check, test and inspection plan according to certification standards. It shall guarantee that each interiors material can carry out flammability test. For interiors which is made directly while the manufacturing enterprise do not carry out the processing influencing the flammability, the supplier of its critical components / raw materials shall provide the test report of requirements for certification standards as the result of production conformity testing. After-certification supervision sampling test can also be treated as COF test result. COF control plan shall at least include following item: (1) Test scope and responsibilities, and specification of test capacity and requirements of test laboratory; (2) Test items, including off-production test items and items in certification standards; (3) Test procedures; (4) Test frequency; (5) Requirements of sampling and samples; (6) Test result evaluation conditions (qualified or unqualified shall be determined respectively); (7) Analysis, record and preserving requirements of test result; (8) Correction, prevention and non-conformity control measures when test result is unqualified. Relevant documents or articles can be directly referenced into production conformity control plan, provided the factory has already established independent quality control program, production guidance or control plan (similar to Appendix A of GB/T (ISO/TS 16949)) for production conformity test. Page 25 of 30

12 2. Control plan for critical components or raw materials The factory, based on the manufacturing processes, shall control the critical components or raw materials that may affect the production conformity, at least including raw materials and additives influencing the flammability. When above parts are made by the factory, corresponding raw materials shall be controlled. Control plan shall at least include name, model/specification, supplier, purchasing inspection items and frequency of critical components or raw materials. Production conformity control plan can make principle requirements to above mentioned critical components; detailed critical components or raw materials list shall be provided with product description of each unit. Relevant documents or articles can be directly referenced into production conformity control plan, if the factory has already established independent quality control program, production guidance or control plan for production conformity test. 3. Control of compulsory product certificate and certification mark Relevant documents or articles can be directly referenced into production conformity control plan, if the factory has already established independent quality control program, production guidance. 4. Control of certification change Relevant documents or articles can be directly referenced into production conformity control plan, provided the factory has already established independent quality control program, production guidance. 5. Correction, prevention and recall measures upon production inconformity Relevant documents or articles can be directly referenced into production conformity control plan, if the factory has already established independent quality control program, production guidance. 6. Upgrade of certification references and relevant laws and regulations Relevant documents or articles can be directly referenced into production conformity control plan, if the factory has already established independent quality control program, production guidance. 7. Requirements of quality assurance capacity of the factory If the factory and the certification product have not obtained the GB/T 9001 (ISO 9001) or GB/T (ISO/TS 16949) certificates that are issued by CNCA authorized certification body; or it has obtained that corresponding certificate, buy cannot meet all requirements in Appendix 1 of Attachment 2 of the Implementation Rules; then there must have Page 26 of 30

13 material. However, it is allowed to change the critical components / raw material suppliers. If the above aspects have to be changed, the service parts shall be re-evaluated according to the requirements on change of mass-produced products. Other requirements for change can refer to 8.3 of this Detailed-Rules. END Page 30 of 30