1、Ref . No. CNCA-01C-004:2001IMPLEMENTATION RULES FOR COMPULSORY CERTIFICATION OF ELECTRICAL AND ELECTRONIC PRODUCTSLighting Electrical Appliances Announced on Dec.7, 2001 Implemented on May 1, 2002Certification and Accreditation AdministrationofPeoples Republic of ChinaContents2contents1.SCOPE.32. CE
2、RTIFICATION MODEL .33.1APPLICATION FOR CERTIFICATION.43.2TYPE TESTING .43.3INITIAL INSPECTION OF THE FACTORY .43.4EVALUATION OF CERTIFICATION RESULTS AND APPROVAL OF CERTIFICATION .43.5FOLLOW-UP INSPECTION.44.GENERAL REQUIREMENTS FOR CERTIFICATION .44.1 APPLICATION FOR CERTIFICATION .44.2 TYPE TESTI
3、NG .54.3 INITIAL FACTORY INSPECTION .64.4 EVALUATION OF CERTIFICATION RESULTS AND APPROVAL OF CERTIFICATION.74.5 FOLLOW-UP INSPECTION .85. CERTIFICATE .95.1MAINTENANCE OF THE CERTIFICATES .95.2 EXTENSION OF CERTIFIED PRODUCTS .95.3 SUSPENSION, CANCELLATION AND WITHDRAWAL OF THE CERTIFICATES.106. USE
4、 OF COMPULSORY PRODUCT CERTIFICATION MARK.106.1 DESIGN OF THE MARK ALLOWED TO USE .106.2 DERIVATIONS OF CERTIFICATION MARK .116.3 WAYS OF USE .116.4 LOCATION OF THE MARK.117. CHARGE .11APPENDIX 1 .12APPENDIX 2 .15APPENDIX 3 .17APPENDIX 4 .203SPECIFIC RULES FOR COMPULSOEY CERTIFICATIONOF ELECTRICIAL
5、AND ELECTRONIC PRODUCTS Lighting Electrical Appliances1.ScopeThis document applies to electric power source with rated voltage more than 36V and not exceeding 1000V luminaries(recessed, fixed, portable) and electric power source with rated voltage not exceeding 1000V ballasts, AC Supplied electronic
6、 ballasts for tubular fluorescent lamps.2. Certification modelType testing + Initial inspection of the factory + Follow-up inspection3. Major processes for certification3.1Application for certification3.2Type testing3.3Initial inspection of the factory 3.4Evaluation of certification results and appr
7、oval of certification 3.5Follow-up inspection4.General Requirements for Certification4.1 Application for certification4.1.1 Defining application unit for certification In principle, those products conforming to all the requirements below can be put into one application unit: a. In compliance with th
8、e same applicable standard;b. Equipped with lamps of the same nature;c. Equipped with major parts of the same nature(see the appendix 2)d. With the same class of protection against electrical shocks, the same IP classification and the same mounting methods;e. With the similar construction;f. Produce
9、d in one factory4For details, please refer to appendix 1.4.1.2 Application documentsThe formal application shall be submitted with the following documents:1) List of critical components and/or materials2) Description of the difference between the different model/type of products in the same applicat
10、ion unit.3) Other necessary documents.4.2 Type testing 4.2.1 Sample delivery for type testing4.2.1.1 The principles of sample delivery for type testing The sample supplied for type testing shall select the representative sample from the unit of application for certification.4.2.1.2 Requirements for
11、sample delivery 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.For sample requirements please refer to appendix 1.4.2.1.3 Handle of samples and relating documents after type testin
12、gThe 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 1) GB7000.1-1996 Luminaries General requirements and tests 2) GB7000.10-1999 Requirements of fixed general purpos
13、e luminaries 3) GB7000.11-1999 Requirements of portable general purpose luminaries 4) GB7000.12-1999 Requirements of recessed luminaries 5) GB2313-1993 Ballasts for tubular fluorescent lamps general and safety requirements 6) GB15143-1994 AC Supplied electronic ballasts for tubular fluorescent lamps
14、-General and safety requirements 7) GB14045-1993 Ballasts for discharge lamps(excluding tubular fluorescent lamps)general and safety requirements 8) GB17743-1999 Limit and methods of measurement of radio disturbance characteristics of electrical lighting and similar equipment 9) GB17625.1-1998 The l
15、imits for the harmonic current emissions caused by low-voltage electrical and electronic equipments(“equipment input current”=16A per phase) 4.2.2.2 Test items51) Test items for safety The test items for safety shall include all appropriate items specified in standards. 2) Test items for EMCInsertio
16、n lossDisturbance voltagesRadiated electromagnetic disturbancesHarmonic current (emission)4.2.2.3 Test methods The type testing shall be carried out according to the methods specified in the safety and EMC standards and / or referred standards and/or test methods.4.3 Initial factory inspection 4.3.1
17、 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 quali
18、ty assurance capability assessment according to the Requirements for Factory Quality Assurance Ability (see appendix 4) and the additional inspection requirements stipulated by CNCA. At the same time, the inspector should also follow Testing Requirements of Quality Control on Compulsory Product Cert
19、ification for Luminaries (see Appendix 3).4.3.1.2 Check of consistency of the productThe consistency of the product applying for certification shall be checked on the site of production. The following major points shall be checked:1) The name of product, type/model and specification on products to b
20、e 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 performances) shall be identical with those of the samples for type testing.3) The critical components in terms of safety
21、and components having influences on EMC shall be identical with those declared in type testing and confirmed by certification body.4.3.1.3 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.
22、Should the products be involved in more than one application units, at least one type/model sample shall be taken from each unit for consistency check of the products.The witness tests on site should be carried out to confirm the performances of safety of the products during the inspection. 64.3.2 T
23、iming of factory inspectionNormally, 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 appli
24、cation 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 certification4.4.1 Evaluation of certification results and approval of cert
25、ificationThe 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 certific
26、ates shall comply with the requirements for Regulations for Compulsory Product Certification.4.4.2 Time frameTime 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 inspect
27、ion, reports submission after inspection, evaluation of certification results and approval of certificates, etc.Normally, type testing takes 30 working days and for conventional ballast, it takes 45 working days; not including the time for corrective actions and retest of the non-conformity item(s).
28、 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 withi
29、n 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
30、 be completed within 5 working days.4.5 Follow-up inspection4.5.1 The frequency of follow-up inspection4.5.1.1 Normally the first follow-up inspection should be implemented 7 months after the certificate being granted and at least once every 12 month. 74.5.1.2 The frequency of inspection should be i
31、ncreased in any of the following cases:The certified product has serious quality problem, or is complained by clients, which has been verified to be the responsibility of the certificate holder.The certification body doubts the conformity of the certified product against the requirements of safety a
32、nd EMC standards with sufficient reasons.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 th
33、e follow-up inspectionThe 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. (See Clause 4.5.3.)The certification body shall implement the facto
34、ry re-assessment in accordance with Requirements for Factory Quality Assurance Ability (see appendix 3). At the same time, follow-up inspection should check according to Testing Requirements of Quality Control on Compulsory Product Certification for Luminaries (see appendix 3).The items 3, 4, 5 and
35、9 specified in Requirements for Factory Quality Assurance Ability (see appendix 4) 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 t
36、he 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 & testingIf necessary, the certified products should be sampled and tested. The designated testing bodies shall be responsible fo
37、r 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
38、the degree of effects on the safety and/or EMC performances of the products.4.5.4 Evaluation of follow-up inspection resultsThe 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 8actions 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. Certificate5.1Maintenance of the certificates 5.1 .1The validi
