IT-Silkroad

[Summary of China Compulsory Certification

of products（CCC）]

■ Definition of CCC

According to WTO relevant agreements and international rules, Chinese government implements the CCC system to protect the safety of consumers,animal and plant life, environment and safety of the country. It is the system of product conformity assessment in accordance with laws and regulations.

Commodities on the list of "Compulsory Certification of products catalog"are required to get relevant certificates in accordance with Chinese relevant regulations and get the mark of certificate, and such commodities only can be sold, used or processed for import and export trade.

Therefore, during trading with China, the commodities on the list of "Compulsory Certification of products catalog" without the certification cannot be sold, used, and will also receive the appropriate punishment. Business or individual which process production, circulation, and trade related with China must confirm whether the product is within the scope of certification, if within the scope of certification appropriate conditions must be secured with requirements.

■ Background of System Establishment

Before the implementation of CCC system, China has used various kinds of certification system, including national security certification (CCEE), import safety quality license system (CCIB), electromagnetic compatibility certification (EMC) and so on.

With China's entry of WTO, in order to fulfill the relevant obligations and to adapt to the development of market economy and expansion of foreign trade, the Chinese government has eliminated some duplicate certification system. Since May 1st, 2002, various kinds of certification system has been integrated into a single system of CCC certification system.

The main characteristics of CCC system:

① unified catalog announced by the State; ② to determine the unified national standards, technical regulations and implementation procedures; ③ to develop a unified identification mark ④ to establish a standard of fees payable.

CCC certification system carries out the principle of international acceptance. The establishment of certification system, implementation, testing, inspection, and the corresponding institutions’ operations, the implementation of the standard and procedures are in accordance with ISO or IEC and other international standards. The standard of certification is also based on the principle of international acceptance.

■ Legal basis

ㅇ " Law of Commodity Quality"

ㅇ "Import and ExportCommodity Inspection Law of China"

ㅇ "Implementation Regulations of Import and Export Commodity Inspection Law"

ㅇ "China Certification and Accreditation Regulations"

ㅇ "Regulations of Compulsory Product Certification Management"

ㅇ "Measures of Compulsory Product Certification Management"

ㅇ "Implementation Rules of Compulsory Product Certification"

■ Competent authority

ㅇAdministration of Quality Supervision, Inspection and Quarantine (AQSIQ) is responsible for the unified management of the national CCC certification.

ㅇCertification and Accreditation Administration (CNCA) is responsible for receiving applications for accreditation, supervision and management.

ㅇLocal quality and technical supervision department and entry-exit inspection and quarantine institution（inspection and quarantine institution for short）are responsible for the supervision and management of CCC products within the jurisdiction and implementation of specific penalties and so on.

ㅇDesignated certification institution（DCBS）is products certification institution designated by CNCA, implementing product testing, follow-up supervision,certificates issuing.

■ The scope of certification

ㅇThe scope of certification is mainly based on mechanical and electrical products. The first batch of CCC products catalog published by the State contains 9 categories with 132 kinds of products. Until now the scope of certification has gradually expanded.

ㅇThe specific scope of CCC products catalog is not based on the standard of HS code, but on the specifications of product. So for even products with the same HS code, its specifications will be decided whether within the certification scope or not.

■ Implementation of certification

Compulsory product certification is applicable to the following single-certification mode or a combination of several certifications mode, the specific models including:

ㅇDesign appraisal

ㅇType testing

ㅇProduction n-site sample testing or inspection’

ㅇMarket sample testing or inspection

ㅇInspection on the consistency of products and enterprise quality assurance

ㅇFollow-up examination.

■ Certification Application Process

The general process of CCC certification as below:

Application and application acceptance-> Materials review-> product testing-> Factory Audit -> Factory sampling -> approval

⊙ Qualification of certification application

ㅇThe client should be manufacturers, distributors and importers of products within the scope of CCC certification catalog.(manufacturers, distributors and importers as the client should also provide copy of the relevant contracts signed by manufacturers and distributors, or manufacturers and importers)

ㅇEntrusted to other enterprises for producing products in the catalog, commissioning enterprises and commissioned enterprises can request for certification to certification authority.

⊙ Determination of certification authority

With different products, the certification authority is not the same. Generally products within the scope of relevant items have several certification authorities. Thus, corresponding certification authority must be determined to each item.

⊙ Application of certification

The application should be applied on specific website for online application. The general application process as below:

① Submission of CertificationIntention Application

The applicant shall submit application of certification intention to designated certification authority.

② Submission of Certification ApplicationThe certification authority divided applied products into application units and sent formal Application form to the applicant.

③ Application materials should be submitted:

ㅇRelated information of the applicant, the manufacturer and the factories.

ㅇProduct-related information (Product, Brand, Model name, Basic Model, Alternate Model, Testing Standards, etc.), design drawings and materials used.

ㅇList of main parts related to Safety and EMC (if required).

ㅇIECEE-CB test certificate must be provided if the applicant possesses the certificate.

ㅇIf CCIB, CCEE factory certifications are accepted, related materials should be affixed.

ㅇOther relevant materials (business license, organization charts, product roadmap and instructions of services and use (in Chinese), etc.

■ Process of Product Review

⊙ Application of product review

ㅇAccording to the "Regulations of Compulsory Product Certification Management", the applicant should submit application form for certification and related technical materials and samples to the designated certification authority.

ㅇIn addition to the above materials, the applicant as an agent or distributor should provide copy of the contract signed during the production period.

⊙ Type testing of samples

ㅇ Submission of samples for type testing

Based on the classification of products and in accordance with"Regulations of Compulsory Product Certification Management", the applicant will choose samples. And the certification authorities also have sampling in accordance with relevant laws.

ㅇ Quantity of samples and standard of type test, projects, methods

Submitted quantity of samples, standard of type test, projects, and method should follow the specific provisions of products. Standard of type test generally follows GB（Compulsory National Standards of China). If applied products have various types, one kind of representative type can be chose as sample.

ㅇ Type testing institution

Before the applied type test, the applicant should pay for testing costs to application authority according to the relevant provisions. After receiving the fees, relevant test institutions will be noticed for the implementation of type test.

Certification authority should consider the applicant's country, type of product region and other objective conditions to determine the relevant testing institutions.

■ Factory inspection process

The initial factory inspection is generally carried out after type test for the applied products. If necessary, type testing and factory inspection can be carried out simultaneously. The object of factory inspection is the production site of applied certification products.

⊙ Review of factory capability for quality assurance

Certification authority appoints inspectors to check whether the manufacturer’s quality assurance capabilities meets the conditions for approval established by the Certification and Accreditation Supervision and Administration Commission.

Manufacturer who has obtained ISO international certification system has relatively simple process of quality assurance capability review. Therefore, manufacture without ISO international certification should establish ISO international quality certification system.

⊙ Inspection on product consistency

The consistency inspection of certified products is processed at production site, inspected products belong to various series should at least be extracted with one sample of each series.

ㅇCheck the consistency of product trademark and content of type testing

ㅇCheck the consistency of product structure and samples of type testing

ㅇCheck the components and confirmation letter of the type test issued by certification authority

■ Evaluation of review results and permission

⊙ Processing time for certification review

After type testing and factory audit, the certification authority will issue the certification certificates within 90 days of receiving the application for qualified applicant.

(Except for unqualified application due to extension, confirmation letter of type test will be issued within 30 days after receiving the samples and test costs.

Report of factory audit will be processed within 5 working days since the date that inspectors completing on-site audit receive the corrective action report of disqualification from the manufacturer.

Certification conclusion evaluation, issuing time and processing of certificates shall normally not exceed 5 workdays. )

However, the actual processing time is different by product and whether products have received certification or other factors. Generally, period from the advice in the beginning to the final certificate issuing may cost about five months, so it is better to get ready as early as possible.

⊙ Evaluation and permission

The comprehensive evaluation of type tests and factory audit is under the supervision of certification authority. Qualified evaluation will be issued with certificates signed by certification authority (each application will be issued with one certificate), the applicant can use the certificate according to the relevant provisions of compulsory product certification.

■ Follow-up supervision after certification

In accordance with relevant laws, certification authority carries out follow-up supervision to products obtained certification and manufacturers. The content of supervision is re-audit of quality assurance ability and on consistency of certified products.

⊙ Sampling inspection after certification

ㅇAfter productsobtained certification, the certification authority can process sampling test for certified products if needed.

ㅇCertification authority has the right to conduct some or all testing for products involved with safety or product quality issues.

ㅇSampling test is under the supervision of certification authority and usually takes 30 working days.

⊙ If one of the following situations occurs, the supervision frequency will be increased.

ㅇCertified products have serious quality issue or claims from user and already verified the responsibility of the certificate holder

ㅇCertification authority has enough reasons to question the compliance of certified products with the requirements specified by the rules.

ㅇThere is enough information to indicate that changes in organization structure, production conditions and the quality management system may affect the compliance or consistency of the products.

■ Valid period of the certificate

ㅇThe certification certificate is valid for 5 years.

ㅇIf extension of use is needed, the client should submit application within 90 days before the expiration of certificate.

■ Information of related costs

In order to obtain CCC certification, it costs a lot. Generally it is calculated by a unit of process. However, the type of products, testing institution, uncertainties, factory location, certification authority and other factors may change the costs. (The following description of costs is limited as reference) (The currency unit is CNY)

⊙ Application for certification fees

It is determined by applied unit and Chinese translation fees are required.

(Application fees 600 Yuan (CNY) + Chinese translation fees 1,000 Yuan (CNY))

⊙ Production testing fees

It refers to fees of product type test and fees for report issuance and additional costsfor re-audit of unqualified products. It is calculated by test projects and types of products, its detailed costs will be informed to the applicant after the completion of type test in the laboratory.

⊙ Factory audit fees

The costs include factory audit fees, materials review fees, audit report production fees. Costs are calculated based on inspectors’ working days. The initial factory audit usually takes 4-8 days working days (according to the scale of production, employees, sales performance, etc.). Meanwhile, the inspector's transport fares, accommodation fees are in charged by the applicant. (2,500 Yuan ~5,000 Yuan / person / day)

⊙ Permission, registration and certificate issuance fees

Permission and registrationfees (including certificate costs) are calculated according to each application unit. The issuing of certification certificate is also required to pay related costs after qualified evaluation. (Permission fees $ 900, registration fees $ 800)

⊙ Follow-up supervision and re-audit fees

It includes fees for follow-up supervision and re-audit of certified enterprises. Follow-up supervision and re-audit fees are calculated according to the working days per inspector.

⊙ Certificate management fees, identification mark issuance and imposed fees

It includes fees for the preservation of related materials and fees for certification mark producing.

■ Additional Notes

⊙ Penalty

ㅇProducts on the list of "catalog" without compulsory product certification in accordance with the provisions will pay for a penalty below 30,000 Yuan. The person who has got the certificate but without required identification mark will pay for a penalty below 10,000 Yuan.

ㅇCounterfeiting or transforming, lending, fraudulent using, selling or transferring of certificate or certification mark will pay for a penalty below 30,000. Serious cases will be investigated for criminal responsibility.

⊙ CCC certification for foreign enterprises

ㅇSubmission of application form for certification and type tests on samples must be processed in China.

ㅇFactory audit is processed at the location of foreign enterprises.

ㅇCountries which have international trade with China generally own the agent of CCC certification institution in the State.

⊙ Relationship with other certifications

ㅇProducts which previously obtained CCEE, CCIB certifications can change the certificates for CCC Certification or reduce the time required for certification. Even for the re-implementation of the CCC, related costs will be reduced.

ㅇWith the submission of IECEE-CB test, if test resultsmeet the requirements of CCC, it can be exempted from compulsory certification.

ㅇCertified products which even obtained CE, UL, FCC certifications before cannot be exempted from CCC.

ㅇEnterprises with ISO international certification cannot be exempted from compulsory certification. However, time for factory audit can be reduced.

⊙ Factory Relocation, Expansion, etc.

In the case of factory relocation or expansion, even if the projects, equipment, staff aren’t changed, it also need to accept factory audit again.

⊙ Review of product

If other certifications are required, enterprises even with the certification will apply for all the process again, and so does the factory audit.

ㅇTherefore, applicant should try to bundle some products with similar characteristics for certification application.

⊙ Additional certification for similar items

ㅇAfter the obtaining of certification, if with similar product structure but different series code and specifications, the same enterprises do not need another confirmation test.

⊙ Finished products and components

ㅇIf finished products are not within the scope of certification but components are included, finished products are not required for certification during transaction. On the contrary, the transaction of its components needs to apply for compulsory product certification.

ㅇIf finished products and components are both within the scope of certification,both of them need to apply for compulsory product certification. In this case, the order of components certification application first and then finished products later will be more favorable for saving processing time and process costs.

ㅇCCC certification and Entry verification for civil commodities (Inspection and Quarantine L)

ㅇFor import commodities which closely related to people's lives and in the range of CCC, the possession of Entry verification for civil commodities (L) are required to inspect.

ㅇCivil commodities on the list of "Import licensing system to verify the civil commodities catalog" are required to get CCC certification for entry and those with mark of certification only can be imported, used or sold.

ㅇTherefore, imported domestic enterprises or exported foreign enterprises shall get CCC certification in advance.

※ TCS software, based on HS code, will introduce all CCC certification object items published by China so far according to "CCC product definition and description form of certification catalog" issued by Certification and Accreditation Administration of China (CNCA).

※ TCS software has introduced products on the list of CCC certification catalog which need entry verification for civil commodities and related processes in inspection and quarantine section.

※ CCC system gives the qualification of ex-factory in China, being sold or imported from abroad for products within the scope of certification. CCC Mark is not a quality mark but one of the most basic safety certification. Therefore, export products within the scope of certification in China are not belonging to statutory inspection objects.