电气电子产品类强制性认证实施规则家用和类似用途设备.doc

Ref . No. CNCA-01C-016:2001
IMPLEMENTATION RULES FOR COMPULSORY CERTIFICATION OF ELECTRICAL AND ELECTRONIC PRODUCTS
Household and Similar Use Appliances

Announced on Dec.7, 2001 Implemented on May 1, 2002
Certification and Accreditation Administration
of
People’s Republic of China contents

1. Scope 3
2. Certification model 3
3. Major processes for certification 4
3.1Application for certification 4
3.2Type testing 4
3.3Initial inspection of the factory 4
3.4Evaluation of certification results and approval of certification 4
3.5Follow-up inspection 4
4. General requirements for certification 4
4.1Application for certification 4
4.2 Type testing 5
4.3 Initial inspection of the factory 6
4.4 Evaluation of certification results and approval of certification 7
4.5 Follow-up inspection 8
5. Certificate 9
5.1 The validity of the certificate 9
5.2 Change of the certified product 10
5.3 Extension of certified products 10
5.4 Suspension, cancellation and withdrawal of the certificates 11
6. Use of compulsory product certification mark 11
6.1 Design of the mark allowed to use 11
6.2 Derivations of certification mark 11
6.3 Ways of use 12
6.4 Location of the mark 12
7. Charge 12
Appendix 1 13
Appendix 2 15
Appendix 3 18
Appendix 4 19
Appendix 5 21
Appendix 6 22

IMPLEMENTATION RULES FOR COMPULSOEY CERTIFICATION OF ELECTRICIAL AND ELECTRONIC PRODUCTS
Household and Similar Use Appliances
1. Scope
This document applies to household electric appliances and similar use.
It includes:

Household refrigerator
Food freezer
Electric fan
Air-conditioner
Washing machines
Storage water heaters
Room heaters
Vacuum cleaners
Appliances for skin and hair care
Instantaneous water heaters
Electric irons
Electromagnetic ovens
Roasters
Electric food processors
Microwave ovens
Cooking ranges, cooking table, ovens and similar appliances
Range hoods
Appliances for heating liquids
Electric rice cookers
Water dispensers
Motor-compressors
2. Certification model
Type testing + Initial inspection of the factory + Follow-up inspection
3. Major processes for certification
3.1Application for certification
3.2Type testing
3.3Initial inspection of the factory
3.4Evaluation of certification results and approval of certification
3.5Follow-up inspection
4. General requirements for certification
4.1Application for certification

4.1.1 Defining application unit for certification

4.1.1.1 In principle, application unit (see appendix 1) shall be defined according to different product families, models /types, specifications, working principles, constructions in terms of product safety, the components having significant influence on EMC performance (see the components with * of appendix 5).

4.1.1.2 In principle, the application shall be made according to application unit.

The products, of same model/type, of same manufacturer, but from different manufacturing premises, shall be in different application units, but only one type testing is required.

4.1.2 Application documents

The formal application shall be submitted with the following documents:

1) Product assembly chart, circuit diagram;

2) List of critical components and/or materials

3) Description of the difference between the different model/type of products in the same application unit.

4) Other necessary documents.

4.2 Type testing

4.2.1 Sample delivery for type testing

4.2.1.1 The principles of sample delivery for type testing

The representative samples from the units of application for certification shall be selected and supplied for type testing. According to requirements, samples of other products covered by the application unit should be supplied for additional testing on differences.

4.2.1.2 Samples quantity/amount requirements

The applicants shall take responsibility of sample delivery for type testing in accordance with the requirements of the certification body and be responsible for them.

The quantities of samples shall be according to the requirements of appendix 3 and those for components tested accompanying the appliances shall be according to the requirements of appendix 4.

4.2.1.3 Handle of samples and relating documents after type testing

The samples tested and/or the relating documents should be handled in appropriate ways after type testing.

4.2.2 Test standards, items and methods for type testing

4.2.2.1 Test standards

The test standards for certification are specified in appendix 2.

4.2.2.2 Test items

1) Test items for safety

The test items for safety shall include all appropriate items specified in standards.

Test items for EMC

a. 0.15MHz~30MHz radio continuous disturbance voltage (GB4343-1995)

b. 30MHz~300MHz radio continuous disturbance power (GB4343-1995)

c. 0.15MHz~30MHz radio discontinuous disturbance voltage (GB4343-1995)

d. Limits for the harmonic current emissions (GB17625.1-1998)

4.2.2.3 Test methods

The type testing shall be carried out according to the methods specified and/or referred in the standards.

4.3 Initial inspection of the factory
4.3.1 Contents of the inspection

The contents of factory inspection shall include the factory quality assurance ability assessment and the products consistency check.

4.3.1.1 Assessment of factory quality assurance ability.

The inspector assigned by the certification body shall carry out the factory quality assurance capability assessment according to the Requirements for Factory Quality Assurance Ability (see appendix 6) and the additional inspection requirements stipulated by CNCA.

4.3.1.2 Check of consistency of the product

The consistency of the product applying for certification shall be checked on the site of production. If more than one application unit are involved in the certification, at least one type/model sample shall be taken from each unit for the product consistency check. The following major points shall be checked:

1) The name of product, type/model and specification on the nameplates and packages of products to be certified shall be identical with those indicated in the type testing reports.

2) The constructions of products to be certified (mainly constructions in terms of safety and EMC performance) shall be identical with those of the samples for type testing.

3) The critical components in terms of safety and components having significant influences on EMC shall be identical with those declared in type testing and confirmed by certification body.

The witness tests on site, if necessary, should be carried out to confirm safety and EMC performance of the products during the factory inspection.

4.3.1.3 Inspection scope

All the products to be certified and processing premises shall be covered for inspection of factory quality assurance ability and of consistency of the products.

4.3.2 Timing of factory inspection

Normally, the initial inspection should be implemented after the sample has passed the type testing. The type testing and factory inspection can be implemented at the same time in special cases.

The duration of factory inspection shall be determined by the amounts of application units of products to be certified and with the consideration of the scale of the factory. It will normally take about 1 to 4 man-day for each processing premises.

4.4 Evaluation of certification results and approval of certification

4.4.1 Evaluation of certification results and approval of certification

The certification body shall be responsible for a general evaluation of the results of type testing and factory inspection and for issuing the certificates to the applicants for the conformed products. One certificate shall be issued for one application unit. The application of the certificates shall comply with the requirements for Regulations for Compulsory Product Certification.

4.4.2 Time frame

Time frame for certification means the working days from the acceptance of complete application till the issuance of the certificates, which includes the time of type testing, factory inspection, reports submission after inspection, evaluation of certification results and approval of certificates, etc.

Normally, type testing takes 30 working days, not including the time for corrective actions and retest of the non-conformity item(s). If the components are required to be tested and the required time exceeds that of appliances, the time of type testing should be calculated according to the longest test time of the component, counting upon the receipt of the samples and testing fees.

The inspection reports should be submitted within 5 working days after the inspection. It will be counted from the day when the inspectors complete the inspection and receive from the factory the corrective action reports on non-conformities satisfying the requirements.

Evaluating certification results and approving the certificates shall normally be completed within 5 working days.

4.5 Follow-up inspection

4.5.1 The frequency of follow-up inspection

The follow-up inspection shall normally be implemented at least once per year. The first follow-up inspection shall normally be implemented 12 months after the certificate being granted.

The frequency of inspection should be increased in any of the following cases:

1) The certified product has serious quality problem, or is complained by clients, which has been verified to be the responsibility of the certificate holder.

2) The certification body doubts the conformity of the certified product against the requirements of safety and EMC standards with sufficient reasons.

3) Sufficient information indicates that the conformity or the consistency of certified products might be affected due to the changes in organization structure, production condition and the quality system of the manufacturer and/or factories.

4.5.2 Contents of the follow-up inspection

The model of follow-up inspection: re-assessment of factory quality assurance ability + check of consistency of products certified, and if necessary, samples may be taken and tested at the testing laboratories.

The certification body shall implement the factory re-assessment in accordance with Requirements for Factory Quality Assurance Ability (see appendix 6). The items 3, 4, 5 and 9 specified in Requirements for Factory Quality Assurance Ability must be assessed for follow-up inspection and the rest items may be selected. All the items of the Requirements shall be covered at least every four years.

The duration for follow-up inspection shall be determined by the amounts of units of certified products with appropriate consideration of the production scale of the factory. It will normally take about 1 to 2 man-day.

4.5.3 Sampling & testing

If necessary, the certified products should be sampled and tested. The samples shall be taken randomly from the qualified products of the factory (including those from production line, stock and market). The designated testing bodies shall be responsible for testing. The methods and requirements for sampling shall be carried out according to the relevant specifications of the certification body.

The test items specified in the standards for certification can be applied to testing.

The certification body may carry out part or all of test items based on the degree of effects on the safety and/or EMC performance of the products.

4.5.4 Evaluation of follow-up inspection results

The certificates can be retained and the certification marks can be continuously used upon favorable inspection results. If there is any non-conformities found in the follow-up inspection, the corrective actions shall be taken within three months. Otherwise, the certificates will be withdrawn, the certification marks will be stopped using, and the relevant results will be announced.

5. Certificate
5.1 The validity of the certificate
The certificate of the products covered by this Rules itself doesn’t indicate specific expiry date. The validity of the certificate depends on the follow-up inspection.

5.2 Change of the certified product

5.2.1 Applying for change of certified product

Should any change occur in the specification, type/model of the components listed in appendix 3 of the certified products or the design, electric construction involved in safety or EMC of the appliances, the application for approving/recording the change shall be made to the certification body.

5.2.2 Evaluation and approval of change

The certification body shall evaluate the change according to the submitted information and confirm whether it can be approved or samples should be submitted for tests. If test is necessary, the change will be approved upon favorable test result.

5.3 Extension of certified products

5.3.1 Procedure for extension

For extension of the range of products covered by the unit of certified products, the certificate holder shall first make application.

The certification body shall check the consistency of the extended products against the certified products and confirm the applicability of the original certification results to the extended products and carry out, if necessary, the additional test or inspection based on the differences.

After approval, either a separate certificate can be issued or the original certificate can be updated at the request of the certificate holder.

5.3.2 The requirements for sample

The certificate holder shall first submit the technical documents related to the extended products. And, if necessary, one sample may be required by the certification body according to the requirements of Clause 4.2 of this Rules, for which the testing items shall be decided by the certification body.

5.4 Suspension, cancellation and withdrawal of the certificates

The suspension, cancellation and withdrawal of the certificates shall follow Regulations for Compulsory Product Certification.

6. Use of compulsory product certification mark

The certificate holder shall follow the Regulations for Compulsory Product Certification Mark

6.1 Design of the mark allowed to use

The certification mark with letter reference “S”(as below) shall be used for certification involving safety only:

The certification mark with letter reference “ S&E” (as below) shall be used for certification involving both safety and EMC:

6.2 Derivations of certification mark

The products listed in this Rules shall not be allowed to use any derivation of certification mark.

6.3 Ways of use

Any of the following three ways is required: affixing standard-size marks (labels) printed only by CNCA, printing on the nameplate or moulding.

6.4 Location of the mark

The certification mark shall be applied on an expo