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"Compulsory Product Certification Management Regulations" (AQSIQ Order 117)
source: Release time: 2012-04-27

General Administration of Quality Supervision, Inspection and Quarantine

No. 117


The "Administrative Regulations on Compulsory Product Certification" has been deliberated and approved by the General Administration of Quality Supervision, Inspection and Quarantine Bureau meeting on May 26, 2009, and is now promulgated.


王勇 Director Wang Yong

九年七月三日 July 3, 2009



Compulsory product certification management regulations

Chapter I General Provisions


The first is to regulate the compulsory product certification work, improve the effectiveness of certification, and protect the national, social and public interests. Develop this provision.
Article 2: In order to protect national security, prevent fraud, protect human health or safety, protect animal and plant life or health, and protect the environment, relevant products required by the state must be certified (hereinafter referred to as compulsory product certification), and marked with the certification mark , Can only be manufactured, sold, imported or used in other business activities.
Article 3 The General Administration of Quality Supervision, Inspection and Quarantine (hereinafter referred to as the General Administration of Quality Supervision, Inspection and Quarantine) is in charge of national compulsory product certification.
The National Certification and Accreditation Regulatory Commission (hereinafter referred to as the National Certification and Accreditation Administration) is responsible for the organization, implementation, supervision, management, and comprehensive coordination of the compulsory product certification nationwide.
The local quality and technical supervision departments at all levels and the local entry-exit inspection and quarantine agencies (hereinafter referred to as the two local quality inspection bureaus) shall be responsible for the supervision and management of law enforcement investigation and punishment of compulsory product certification activities in their jurisdictions in accordance with their respective responsibilities.
Article 4: For products subject to compulsory product certification, the State shall harmonize the product catalog (hereinafter referred to as the catalog), the compulsory requirements, standards and conformity assessment procedures of technical specifications, the certification marks and the charging standards.
The General Administration of Quality Supervision, Inspection and Quarantine of the People's Republic of China and the relevant departments of the State Council formulate and adjust the catalogue. The catalogue is jointly issued by the General Administration of Quality Supervision, Inspection and Quarantine of the People's Republic of China, and will be implemented jointly with relevant parties.
Article 5 The State encourages international mutual recognition activities for compulsory product certification on an equal and mutually beneficial basis. Mutual recognition activities shall be carried out within the framework of an international mutual recognition agreement signed by the General Administration of Quality Supervision, Inspection and Quarantine of the People's Republic of China, or the relevant authority authorized by it.
Article 6 Institutions and their personnel engaged in compulsory product certification activities shall have the obligation to keep confidential the trade secrets, production technologies, and technological secrets and information known to them in their activities.


Chapter II Certification Implementation


Article 7 The basic specifications for compulsory product certification shall be formulated and issued by the General Administration of Quality Supervision, Inspection and Quarantine and Administration of the People ’s Republic of China, and the compulsory product certification rules (hereinafter referred to as the certification rules) shall be formulated and issued by the State Administration of Certification and Inspection.
Article 8 Compulsory product certification shall apply to the following single certification mode or a combination of multiple certification modes, and the specific modes include:
(1) Design appraisal;
(2) type test;
(3) taking samples for testing or inspection at the production site;
(4) market sampling testing or inspection;
(5) Inspection of enterprise quality assurance ability and product consistency;
(6) Follow-up inspection after obtaining the certificate.
The product certification mode should be based on the performance of the product, and should be determined in accordance with the principles of science, convenience, and other comprehensive factors such as the degree of harm that may be caused by aspects such as public safety, human health, and the environment, the life cycle of the product, and the risk status of production and imported products .
Article 9 The certification rules shall include the following:
(1) applicable product range;
(2) Mandatory requirements of national standards, industry standards and national technical specifications corresponding to applicable products;
(3) authentication mode;
(4) Principles or regulations for division of application units;
(5) Sampling and sampling requirements;
(6) Confirmation requirements for key components or raw materials (when required);
(7) Requirements of testing standards (when required);
(8) Requirements for factory inspections;
(9) Requirements for follow-up inspection after obtaining the certificate;
(10) Requirements for the validity period of the certificate;
(11) Requirements for marking the certified products with certification marks;
(12) Other regulations.
Article 10: Producers, sellers, and importers of products listed in the catalogue (hereinafter collectively referred to as the certification clients) shall entrust a certification body designated by the State Certification and Accreditation Administration (hereinafter referred to as the certification body) to carry out their production, sales or import of products. Certified.
Where other enterprises are entrusted to produce the products listed in the catalogue, both the entrusted enterprise and the entrusted enterprise may entrust certification to the certification body.
Article 11 The certification client shall provide relevant technical materials to the certification body in accordance with the specific product certification rules.
When the seller or importer is the certification client, it shall also provide the certification body with a copy of the relevant contract entered into between the seller and the producer or the importer and the producer.
Where other enterprises are entrusted to produce the products listed in the catalog, the certification client shall also provide the certification body with a copy of the relevant contract concluded between the entrusted enterprise and the entrusted enterprise.
Article 12 After the certification body accepts the certification commission, it shall arrange product type tests and factory inspections in accordance with the specific product certification rules.
Article 13 The certification client shall ensure that the samples provided by it are consistent with the products actually produced, and the certification body shall review the authenticity of the samples provided by the certification client.
The certification body shall, in accordance with the requirements of the certification rules, according to the product characteristics and actual conditions, adopt sampling methods such as samples sent by the certification client, on-site sampling, or samples sent by the certification client after the site is sealed, and commission the laboratory designated by the CNCA. (Hereinafter referred to as the laboratory) product type tests on samples.
Article 14 When conducting a product type test on a sample, the laboratory shall ensure the authenticity and accuracy of the test conclusions, and make a complete record of the entire test process, keep it on file, and ensure that the records of the test process and results are traceable. The certified products are subject to effective follow-up inspections.
The laboratory and its relevant personnel shall be responsible for the contents of the test report and test conclusions made by them. If there is any doubt about the authenticity of the sample, they shall explain the situation to the certification body and take appropriate measures.
Article 15 Where factory inspection is required, the certification body shall appoint a compulsory product certification inspector with national registration qualifications. According to the situation of the quality assurance ability of the product manufacturing enterprise, the consistency of the manufactured product and the type test sample, etc. Certification rules are checked.
The certification body and its compulsory product certification inspector shall be responsible for the inspection conclusions.
Article 16 After completing the product type test and factory inspection, the certification body shall issue a certification certificate to the certification client within 90 days from the date of accepting the certification commission.
Those who do not meet the certification requirements shall notify the certification client in writing and explain the reasons.
The certification body and its related personnel shall be responsible for the certification conclusions they make.
Article 17 The certification body shall implement classified management and effective follow-up inspection on the certified products and their production enterprises through on-site product testing or inspection, market product sampling testing or inspection, quality assurance capability inspection, etc. to control and verify the certification The consistency of products and type test samples and the quality assurance ability of production enterprises continue to meet the certification requirements.
Article 18 The certification body shall make a complete record of the entire process of follow-up inspection, keep it on file, and ensure that the certification process and results are traceable.
For those who cannot continue to meet the certification requirements, the certification body shall suspend or revoke the certification certificate according to the corresponding situation and make it public.
Article 19 The certification body shall, in accordance with the provisions of the certification rules, conduct follow-up inspections of the certified products and their production enterprises based on factors such as the safety level of the certified products, product quality stability, and good and bad records of the product manufacturing enterprise. Classification management to determine a reasonable frequency of follow-up inspections.


Chapter III Certification Certificates and Certification Marks


Article 20 The State Certification and Accreditation Administration uniformly stipulates the format and content of the compulsory product certification certificate (hereinafter referred to as the certification certificate) and the style and type of the compulsory product certification mark (hereinafter referred to as the certification mark).
Article 21 The certification shall include the following basic contents:
(1) the name and address of the authentication client;
(2) the name and address of the product producer (manufacturer);
(3) the name and address of the entrusted production enterprise (when required);
(4) Product name and product series, specifications and models;
(5) Certification basis;
(6) Authentication mode (when required);
(7) the date of issue of the certificate and the period of validity;
(8) Issuing authority;
(9) Certificate number;
(10) Other contents to be marked.
Article 22 The certificate is valid for 5 years.
The certification body shall, according to its follow-up inspection of the certified product and its production enterprise, indicate the query website and telephone number of the validity status of the annual inspection on the certification certificate.
If the validity period of the certification certificate expires and it is necessary to continue to use it, the certification client shall apply for it within 90 days before the validity period of the certification certificate expires.
Article 23 The content of the certification certificate marked on the certified product and its sales package shall be consistent with the content of the certification certificate and comply with the relevant national regulations on product labeling management.
Article 24 Under any of the following circumstances, the certification client shall apply to the certification body for a change in the certification certificate, and the certification body shall deal with it according to different situations:
(1) If a change in the naming method of a certified product results in a change in the product name, model or the name of the producer, manufacturer, or address of the certified product, the certification shall be changed after verification by the certification body;
(2) Changes in the type of the certified product, but not involving changes in the internal structure of safety performance and electromagnetic compatibility; or if the certified product reduces the number of the same product model, the certification certificate is changed after confirmation by the certification body;
(3) If the key components, specifications, and models of the certified product, as well as the design, structure, process, and material or raw material manufacturing enterprises involved in the safety or electromagnetic compatibility of the whole machine are changed, the certification shall be changed after the certification body has passed the retest and passed the certification certificate;
(4) If the location of the manufacturer of the certified product or its quality assurance system, production conditions, etc. are changed, the certification certificate shall be changed after passing the re-factory inspection by the certification body;
(5) Other circumstances that should be changed.
Article 25 If the certification client needs to expand the coverage of its certified products, it shall apply to the certification body for the expansion of the certification certificate. The certification body shall check the consistency of the extended product with the original certified product, and confirm that the original certification results are consistent with the extended product. Effectiveness. After confirming compliance, a certification certificate can be issued separately or re-issued according to the requirements of the certification client.
The certification body may perform product type tests or factory inspections on the supplements in accordance with the requirements of the certification rules.
Article 26 Under any of the following circumstances, the certification body shall cancel the certification certificate and make it public:
(1) When the validity period of the certification certificate expires, the certification client has not applied for continued use;
(2) The certified products are no longer produced;
(3) The model of the certified product has been listed in the catalogue of products that have been eliminated or banned from production by the state;
(4) The certification client applies for cancellation;
(5) Other circumstances that should be cancelled according to law.
Article 27 Under any of the following circumstances, the certification body shall suspend the certification certificate for the period specified in the certification rules and make it publicly available:
(1) The certification basis or certification rules applicable to the product are changed, and the product fails to meet the change requirements within the prescribed period;
(2) It is found in the follow-up inspection that the certification client violates the certification rules and other provisions;
(3) Refusing to accept the follow-up inspection without justifiable reasons or finding that the product cannot continue to meet the certification requirements;
(4) The certification client applies for suspension;
(5) Other circumstances that should be suspended according to law.
Article 28 Under any of the following circumstances, the certification body shall revoke the certification certificate and make it public:
(1) The certified product is defective, which leads to a quality safety accident;
(2) It is found in the follow-up inspection that the certified product is inconsistent with the sample provided by the certification client;
(3) During the suspension of the certification certificate, the certification client fails to take corrective measures or fails to pass the rectification;
(4) The certification client obtains the certification certificate by fraud or bribery;
(5) Other circumstances that should be revoked according to law.
Article 29 Where a certified product is cancelled, suspended or withdrawn, the certification body shall determine the category and scope of the product that does not meet the certification requirements.
Since the date of cancellation or revocation of the certification certificate or during the suspension of the certification certificate, products that do not meet the certification requirements shall not continue to be shipped, sold, imported or used in other business activities.
Article 30 The pattern of the certification mark consists of a basic pattern and a certification type label. The basic pattern is as follows:

    

"CCC" in the basic pattern is the English abbreviation of "China Compulsory Certification" in English.
Article 31 The certification type is marked on the right side of the basic pattern of the certification mark and consists of abbreviated letters of English words representing the certification type of the product.
According to the needs of the compulsory product certification work, the State Certification and Accreditation Administration has formulated specific requirements for the certification type labeling.
Article 32 The certification client shall establish a management system for the use of certification marks, truthfully record and archive the use of certification marks, and correctly use and mark certification in product and its packaging, advertising, product introduction and other promotional materials in accordance with the certification rules Sign.
Article 33 No unit or individual may forge, alter, use, trade, or transfer certification certificates and certification marks.


Chapter IV Supervision and Management


Article 34 The National Certification and Accreditation Administration of the People's Republic of China shall carry out annual supervision and inspection and irregular special supervision and inspection on the certification, inspection and testing activities of certification bodies, inspection agencies and laboratories.
Article 35 The certification body shall send the information about the certified client of the certified product, the certified product and its production enterprise, and the information about the cancellation, suspension or revocation of the certification certificate to the State Certification and Accreditation Administration and the provincial-level local quality inspection bureau. Notification.
Article 36 The General Administration of Quality Supervision, Inspection and Quarantine of the People's Republic of China has a unified plan for the supervision and inspection of certified products by the National Certification and Inspection Commission on a regular or irregular basis.
Producers, sellers, importers and users of business activities of certified products shall not refuse supervision and inspection.
The State Certification and Accreditation Administration has established a system for the announcement of certified products and their producers, and announced the results of supervision and inspection to the public.
Article 37 The two local quality inspection bureaus shall supervise and inspect the compulsory product certification activities in their jurisdictions in accordance with their respective duties according to law, and investigate and punish illegal acts.
If the products listed in the catalog are not certified but have not yet been shipped or sold, the two local quality inspection bureaus should warn their product manufacturing enterprises to conduct compulsory product certification in a timely manner.
Article 38 When the two local quality inspection bureaus conduct compulsory product certification supervision and inspection, they may enter the production and business premises according to law to conduct on-site inspections, consult and copy relevant contracts, bills, account books, and other materials, and seal and seize uncertified products. Products or products that do not meet certification requirements.
Article 39 If a manufacturer or seller of a product listed in the catalog finds that the product it produces or sells has hidden safety hazards that may cause harm to human health and life safety, it shall announce relevant information to the society and take the initiative to take relief such as recalling the product. Measures and report to relevant supervision and management departments in accordance with relevant regulations.
If the producers or sellers of the products listed in the catalog fail to fulfill the obligations specified in the preceding paragraph, the AQSIQ shall initiate the product recall procedure, order the producers to recall the products, and the sellers shall stop selling the products.
Article 40 Entry-exit inspection and quarantine institutions shall implement entry verification management on imported products listed in the catalogue, check certification documents such as certification certificates and certification marks, and check whether the goods certificates are consistent. If the verification fails, it shall be dealt with in accordance with relevant laws and regulations, and follow-up supervision shall be implemented on the imported products listed in the catalog.
Article 41 If the inbound articles listed in the catalog meet one of the following situations, no compulsory product certification is required upon entry:
(1) Items for personal use of foreign embassies, consulates or international organizations in China and their diplomats;
(2) Self-use articles of the official institutions of the Hong Kong and Macao Special Administrative Regions in the Mainland and their staff members;
(3) The entry personnel bring their own personal belongings from abroad for entry;
(4) Items assisted and donated by foreign governments;
(5) Other situations where it is not necessary to apply for compulsory product certification according to law.
Article 42 Under any of the following circumstances, the producer, importer, seller or agent of the products listed in the catalogue may apply to the local entry-exit inspection and quarantine institution for exemption from compulsory product certification and submit relevant certificates Materials, guarantee of responsibility, product compliance statement (including type test report) and other products, and product testing as required. After obtaining the "Exemption from Compulsory Product Certification Certificate", it can be imported and used according to the declared purpose. :
(1) Products required for scientific research and testing;
(2) Parts and components required for the introduction of production lines for the assessment technology;
(3) Products directly needed for maintenance purposes of end users;
(4) Equipment / components required for the supporting of the factory production line / complete production line (excluding office supplies);
(5) Products used only for commercial display but not for sale;
(6) Products (including exhibits) that need to be returned after being temporarily imported;
(7) Parts imported by general trade for the purpose of full export of the whole machine;
(8) Parts and components imported by processing or processing for the purpose of full export of the whole machine;
(9) Other situations exempted from compulsory product certification for special purposes.
Article 43 Under any of the following circumstances, certification institutions, inspection agencies, and laboratories shall be ordered by the State Certification and Accreditation Administration to suspend business for rectification, and shall not engage in compulsory product certification, inspection, and testing activities within the designated scope during the business rectification:
(1) adding, reducing, omitting or changing the procedures stipulated in the basic certification standards and certification rules;
(2) failing to implement an effective follow-up investigation on its certified products, or finding that its certified products cannot continue to meet the certification requirements, failing to suspend or revoke the certification certificate in time and publish it;
(3) Failure to make a complete record of the certification, inspection, and testing process, keeping it on file, and the circumstances are serious;
(4) if the use of a person who has not obtained the corresponding qualifications for certification, inspection and testing activities is serious;
(5) Failure to effectively check the authenticity of the samples provided by the certification client;
(6) Obstructing or interfering with the certification and law enforcement inspection of the supervision department;
(7) Compulsory product certification for products not included in the catalog;
(8) Other violations of laws and regulations.
Article 44 Under any of the following circumstances, the CNCA may revoke the designation of certification bodies, inspection bodies, and laboratories at the request of interested parties or in accordance with their functions and powers:
(1) A staff member abuses his authority or neglects his duties to make a designated decision;
(2) making a designated decision beyond the legal authority;
(3) making a designated decision in violation of legal procedures;
(4) Approval of the certification bodies, inspection bodies, and laboratories that do not have the designated qualifications;
(5) Other circumstances in which the designation decision can be revoked according to law.
Article 45 If a certification body, inspection agency or laboratory is appointed by improper means such as deception or bribery, the designation shall be revoked by the CNCA and announced.
The certification body, inspection body or laboratory shall not apply for designation again within 3 years from the date of the designation being revoked.
Article 46 Persons engaged in compulsory product certification activities who issue false or untrue conclusions and fabricate false or untrue documents or records shall be disqualified from practice; within 5 years from the date of revocation, certification personnel of China Certification and Accreditation Association shall register Institutions no longer accept their applications for registration.
Article 47 If the certification client has any objection to the certification body's certification decision, it may appeal to the certification body, and if there is still any objection to the results of the certification body's processing, it may appeal to the State Certification and Accreditation Administration.
Article 48 Any unit or individual has the right to report violations of laws and regulations in compulsory product certification activities to the General Administration of Quality Supervision, Inspection and Quarantine, or the two local quality inspection bureaus. Or the two local quality inspection bureaus should investigate and deal with it in a timely manner and keep it confidential for the reporter.


Chapter V Penalties


Article 49 The products listed in the catalog without certification, leaving the factory, selling, importing or using in other business activities without authorization shall be punished by the two local quality inspection bureaus in accordance with Article 67 of the Regulations on Certification and Accreditation.
Article 50: After the products listed in the catalog are certified, they are not engaged in production and operation activities or produce or sell products that do not meet legal requirements in accordance with legal requirements. Special regulations on supervision and management shall be dealt with in accordance with Articles 2 and 3 (2).
Article 51 In violation of the provisions of Article 29, paragraph 2 of these Provisions, during the period of cancellation, revocation or suspension of the certification certificate, products that do not meet the certification requirements shall continue to be manufactured, sold, imported or used in other business activities. The two local quality inspection bureaus will be punished in accordance with Article 67 of the Regulations on Certification and Accreditation.
Article 52 In violation of Article 42 of these Regulations, if the manufacturer fails to use the product for the purpose of the original application after fabricating false materials to defraud the Certificate of Exemption from Compulsory Product Certification , The entry-exit inspection and quarantine agency shall order it to make corrections, revoke the "exemption from compulsory product certification", and punish it in accordance with Article 67 of the Certification and Accreditation Regulations.
Article 53 Whoever forges, alters, leases, lends, misuses, buys, sells, or transfers an authentication certificate shall be ordered by the local quality inspection bureaus to correct it and a fine of 30,000 yuan shall be imposed.
Where the certification mark is transferred or resold, the local quality inspection bureau shall order it to correct it and impose a fine of less than 30,000 yuan.
Article 54 In any of the following circumstances, the local quality inspection bureaus shall order them to make corrections and impose a fine of less than 30,000 yuan:
(1) in violation of the first paragraph of Article 13 of these regulations, the samples provided by the certification client are inconsistent with the actual products;
(2) Violating Article 24 of these Provisions, failing to apply to the certification body for a change in the certification certificate in accordance with the provisions, leaving the factory, selling, importing or using the listed products in other business activities without authorization;
(3) Violating Article 25 of these regulations, failing to apply to the certification body for certification certificate extension in accordance with regulations, leaving the factory, selling, importing, or using the products listed in the catalog in other business activities without authorization.
Article 55 In any of the following circumstances, the local quality inspection bureaus shall order them to make corrections within a time limit. If they fail to make corrections within the time limit, they shall be fined up to 20,000 yuan.
(1) in violation of Article 23 of these regulations, the content of the certification certificate marked on the certified product and its sales package is inconsistent with the content of the certification certificate;
(2) Failure to use the certification mark in accordance with the provisions of Article 32 of these Provisions.
Article 56 If the certification body, inspection body, or laboratory issues a false conclusion or the conclusion is seriously inaccurate, the CNCA shall revoke its designation; the person in charge directly responsible and the person with direct responsibility shall revoke the corresponding Professional qualifications; if a crime is constituted, criminal liability shall be investigated in accordance with the law; if losses are caused, corresponding liability shall be assumed.
Article 57 If the certification body, inspection body or laboratory has any of the following circumstances, the CNCA shall order it to make corrections. In serious cases, the designation shall be revoked until the approval document of the certification body is revoked.
(1) Engaging in the certification of the products listed in the catalog and the testing and inspection activities related to certification beyond the designated business scope;
(2) transferring the designated certification business;
(3) Continuing to engage in compulsory product certification, inspection, and testing activities within the designated scope during the suspension and rectification;
(4) After the suspension of the rectification period, the inspection still fails to meet the rectification requirements.
Article 58 The State Accreditation and Supervision Commission, the Local Bureau of Quality Supervision and Inspection, and their staff who abuse their powers, engage in malpractices for personal gain, or neglect their duties shall be given administrative sanctions in accordance with the law; if a crime is constituted, criminal liability shall be investigated in accordance with the law.
Article 59 Other illegal acts in compulsory product certification activities shall be punished in accordance with the provisions of relevant laws and administrative regulations.


Chapter VI Supplementary Provisions


Article 60 Compulsory product certification shall be charged in accordance with relevant state regulations.
Article 61. The General Administration of Quality Supervision, Inspection and Quarantine shall be responsible for the interpretation of these provisions.
Article 62 These Provisions shall become effective on September 1, 2009. The "Administrative Regulations on Compulsory Product Certification" promulgated by the General Administration of Quality Supervision, Inspection and Quarantine on December 3, 2001 shall be repealed simultaneously.

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