CCC Certification

I. CCC Certification (hereinafter referred to as 3C Certification)

The China Compulsory Product Certification System (hereinafter referred to as the 3C Certification System) is a product conformity assessment system implemented by the national government in accordance with laws and regulations to protect the personal safety of consumers and the life of animals and plants, protect the environment, and protect national security. It requires products to comply with national standards and technical regulations. Compulsory product certification involves establishing a mandatory product catalog and implementing mandatory product certification procedures, subjecting products listed in the "3C Certification Catalog" to mandatory testing and auditing.

II. "Four Unifications"

The "Four Unifications" refer to unified standards, technical regulations and conformity assessment procedures, a unified catalog, a unified mark, and unified fee standards. Establishing my country's compulsory product certification system based on the principle of "Four Unifications" aims to fully adapt to the needs of my country's market economic development and maximize the overall effectiveness of China's certification and accreditation system.

On December 7, 2001, the State Administration for Quality Supervision, Inspection and Quarantine (AQSIQ) and the Certification and Accreditation Administration of my country (CNCA) held a press conference at the Great Hall of the People to announce the new "Four Unifications" compulsory product certification system and released the normative documents for the "Four Unifications." The issuance and implementation of these documents mark a new stage in the development of the national certification and accreditation system: the establishment and development of a unified national certification and accreditation system.

III. Basic Contents of the 3C Certification System

(I) Document System of the 3C Certification System

1. Laws and Regulations
my country's compulsory product certification system (3C certification system) is established based on the *Product Quality Law*, the *Import and Export Commodity Inspection Law*, and the *Standardization Law*. The compulsory product certification system applies to products involving human health, animal and plant safety, environmental protection, public safety, and national security. The technical basis for compulsory product certification is the mandatory requirements in national mandatory standards or national technical specifications. The basic framework of the compulsory product certification system consists of three parts: the establishment of the certification system, the implementation of certification, and the administrative enforcement supervision of the effectiveness of certification implementation.

2. Regulations

The "Regulations on the Administration of Compulsory Product Certification" (Order No. 5 of the State Administration for Quality Supervision, Inspection and Quarantine, issued on December 3, 2001) is the fundamental document for implementing the compulsory product certification system. It details the following:

― The legal and regulatory basis for the establishment and implementation of the compulsory product certification system by the State;

― The scope of products managed by the national compulsory product certification system includes products related to human health and safety, animal and plant life and health, environmental protection, and public safety;

― The compulsory product certification system is based on the "four unifications" principle;

― Products listed in the compulsory product certification catalog that have not obtained certification and have not been marked with the China Compulsory Certification mark shall not be manufactured, sold, imported, or used in business or service activities;

― The regulations establish the basic framework for the establishment and implementation of the mandatory product certification system. Specifically, the State Administration for Quality Supervision, Inspection and Quarantine (AQSIQ) issues regulations, and the Certification and Accreditation Administration of the People's Republic of China (CNCA) establishes and organizes the implementation. Designated certification bodies and their service agencies and personnel are responsible for accepting certification applications, conducting testing and inspection, issuing certificates, and supervising certified products. Local quality inspection agencies are responsible for market supervision and inspection of products listed in the catalog, as well as their producers, importers, and distributors. Designated agencies are responsible for issuing the China Certification Mark and reviewing the use of the certification mark scheme upon the entrustment of the CNCA.

— The regulations specify the specific certification rules and procedures for products listed in the catalog, certification certificates, and the requirements for suspension, cancellation, and revocation of certification certificates.

— The regulations define the rights and obligations of producers, distributors, and importers of products listed in the catalog during the implementation of the mandatory certification system.

— The regulations stipulate the administrative penalties for violations of these regulations.

3. Normative Documents

(1) "Administrative Measures for Mandatory Product Certification Marks," which details the following:

— The nature of the mandatory product certification mark: It is owned by the government and, together with the certification certificate issued by the designated agency, serves as the identifier for products listed in the catalog to enter the circulation and use field. — Basic design of the certification mark: The certification mark, abbreviated as 3C mark, specifies the requirements for standard and non-standard certification marks;

— It specifies the printing and use requirements of the certification mark, as well as the application procedure.

(2) "First Batch of Products Subject to Compulsory Product Certification": This document publishes the first batch of products subject to the compulsory product certification system, totaling 132 products in 19 categories.

(3) "Notice on Issues Related to the Implementation of Compulsory Product Certification": This document specifies the effective date of the compulsory product certification system, the transition period between the old and new systems, and the arrangements during the transition period.

(4) Compulsory certification implementation rules for products listed in the catalog. These rules, totaling 47 documents, detail the compulsory certification application units, type testing, factory inspection, certification approval and post-certification supervision, as well as the specific usage regulations of the mark, certification changes, and certification extensions for relevant products. They serve as the basic basis for certification bodies to implement certification, for certification applicants to apply for certification, and for local law enforcement agencies to conduct supervision and inspection of specific products. (5) The "Administrative Measures for the Designation of Inspection and Testing Bodies Undertaking Compulsory Product Certification" stipulates the designation conditions and procedures for certification bodies undertaking compulsory product certification tasks and inspection bodies providing product testing and factory inspection tasks, as well as supervision and management requirements.

(6) The "Regulations on Fees for Compulsory Product Certification" approved and issued by the State Planning Commission stipulates the fee items, fee standards, and related fee management requirements for compulsory product certification. It is an important component of the "Four Unifications" document.

(II) Establishment and Implementation System of 3C Certification
1. Competent Authority and Functions
The State Administration for Quality Supervision, Inspection and Quarantine (AQSIQ) is an agency directly under the State Council, responsible for national standards, metrology, quality supervision, inspection, and quarantine work. Its functions in compulsory product certification are:

― Approving and jointly issuing the "3C Certification Catalog" with the Certification and Accreditation Administration of China (CNCA);

― Organizing the formulation of regulations for compulsory product certification.

The Certification and Accreditation Administration of China (CNCA) is an agency authorized by the State Council responsible for national compulsory product certification work. Its functions in the establishment and implementation of the mandatory product certification system are as follows:

— Drafting and adjusting the "3C Certification Catalog" and jointly releasing it with the State Administration for Quality Supervision, Inspection and Quarantine;

— Designating and releasing the implementation rules for product certification within the "3C Certification Catalog";

— Formulating and releasing certification marks and determining the requirements for mandatory product certification certificates;

— Designating certification bodies to undertake certification tasks and inspection bodies to provide product testing and factory inspections, and designating certification mark issuing agencies;

— Publishing the list of certified products and related enterprises;

— Guiding local quality inspection agencies in investigating and handling violations of mandatory product certification;

— Handling relevant complaints and appeals, and organizing the investigation and handling of major certification violations;

— Approving exemptions from mandatory certification for special-purpose products.

2. Functions of Relevant Industry Departments in Mandatory Product Certification

According to the regulations of the State Council, the relevant industry regulatory departments under the State Council should actively cooperate with, support, and comply with the management of mandatory product certification work by the Certification and Accreditation Administration of the People's Republic of China (CAC). The CAC will actively leverage the roles of various departments in the establishment and implementation of the mandatory product certification system.

3. Local Government Quality Inspection Agencies
Local quality inspection agencies refer to local quality and technical supervision departments and local entry-exit inspection and quarantine departments. The functions of local quality inspection agencies in mandatory product certification are:

― Supervise products listed in the "3C Certification Catalog" within their jurisdiction. The focus of supervision is: products that have not obtained certification or have not affixed certification marks; products with counterfeit or forged certification marks; and products involved in consumer complaints or major quality incidents. Products not listed in the "3C Certification Catalog" are strictly prohibited from entering the jurisdiction;

― Investigate and punish violations of mandatory product certification regulations. The targets of investigation are mainly producers, distributors, importers, and users of products listed in the "3C Certification Catalog" who violate mandatory product certification regulations. Any violations or illegal activities by certification bodies, testing bodies, inspection bodies, and certification personnel discovered during supervision, inspection, and punishment should be reported to the Certification and Accreditation Administration of the People's Republic of China (CNCA), which will be fully responsible for investigation and punishment, with the local quality inspection departments providing cooperation. Economic penalties will be enforced by the relevant provincial quality inspection departments as entrusted by the CNCA.

4. Designated Certification Bodies and Testing/Inspection Bodies
Designated certification bodies are the main entities responsible for implementing mandatory certification for products listed in the 3C Certification Catalog. Their main responsibilities include:

* Implementing mandatory certification activities for specific products according to the requirements of the certification implementation rules;

* Issuing mandatory product certification certificates to certified products and related enterprises;

* Conducting follow-up inspections of certified products and related manufacturers;

* Suspending, canceling, and revoking certification certificates;

* Handling complaints and appeals from relevant parties regarding certified products and certification applicants.

Testing and inspection bodies that provide services to certification bodies are entrusted by certification bodies to provide test reports for certified products and factory inspection reports for certified product manufacturers.

Certification bodies are responsible for mandatory product certification certificates. (Product manufacturers, importers, and distributors are responsible for the products they produce, import, and sell, and cannot transfer corresponding responsibilities due to product certification.)

5. Designated Certification Mark Issuing Agencies
To facilitate market supervision and prevent counterfeiting, the China Compulsory Product Certification mark is uniformly issued by agencies designated by the Certification and Accreditation Administration of the People's Republic of China. The specific tasks of the designated agency are:

― Issuing certification marks based on the certification certificates provided by enterprises;

― Approving the use of non-standard certification marks and certification marks used in other ways such as molding, upon entrustment by the Certification and Accreditation Administration of the People's Republic of China;

― Providing local quality inspection agencies with the information required for law enforcement.

(III) Basic Technical Requirements of the 3C Certification System

1. 3C Certification Models and Selection
The mandatory product certification model can be composed of one or more of the following models:

1) Design assessment;

2) Type testing;

3) On-site sampling and inspection at the manufacturing site;

4) Market sampling and inspection;

5) Audit of the enterprise's quality assurance system;

6) Post-certification supervision and inspection.

The certification model is determined based on the product's performance, the potential harm to human health, environment, public safety, and national security, the product's life cycle characteristics, and other comprehensive factors, following principles of science and convenience. The specific certification model for each product is specified in the implementation rules for mandatory certification of specific products. 2.3C Certification Implementation Rules
According to the "Regulations on Compulsory Product Certification," the Certification and Accreditation Administration of the People's Republic of China (CNCA) shall formulate and publish certification implementation rules for products listed in the "Catalogue" to guide applicants in applying for certification, clarify the basis for certification bodies to conduct certification, and guide local quality inspection agencies in supervising the effectiveness of the compulsory certification system. The formulation of specific product certification implementation rules, referring to the requirements of international guidelines (ISO/IEC Guide 28), generally includes the following:

1) The scope of products covered by the rules;

2) The national standards and technical regulations on which the certification of the covered products is based;

3) The certification model and the corresponding product scope and standards;

4) Rules or regulations for dividing certification application units;

5) Product sampling and sample submission requirements;

6) Confirmation requirements for key components (when necessary);

7) Relevant requirements such as testing standards and testing rules;

8) Specific requirements for factory inspections (when necessary);

9) Specific requirements for follow-up inspections;

10) Specific requirements for certification marks and their use;

11) Other provisions.

The standards listed in the certification implementation rules shall adopt the latest valid national standards, industry standards, and relevant specifications. When standards are updated, the standards listed in the certification implementation rules are automatically updated. For those requiring special transition periods, the Certification and Accreditation Administration of the People's Republic of China (CNCA) will be responsible for publicly announcing the relevant arrangements.

3. 3C Certification Procedure The mandatory product certification procedure consists of all or part of the following steps:

1) Application and Acceptance;

This is the initial step of the certification procedure. The applicant submits a formal written application to the designated certification body, along with technical documents and certification samples according to the certification implementation rules and the certification body's requirements. An agreement is also signed with the certification body regarding relevant matters (this agreement can be combined with the application). The applicant can be the product manufacturer, importer, or seller. When the applicant is not the product manufacturer, the applicant should sign relevant documents with the product manufacturer regarding certification implementation matters, making arrangements for document review, sample testing, factory inspection, mark use, and post-certification surveillance. The applicant may also appoint an agent to handle the certification application, but the agent must be registered with the CNCA.

2) Type Testing;

Type testing is the core step of the certification procedure. When the product is a special product such as a chemical product, this step is replaced by sampling testing. Type testing is conducted by designated testing bodies in accordance with the certification implementation rules and the requirements of the certification body. In special circumstances, such as large products or difficulties in transportation, type testing may also be arranged by the certification body using the factory's resources, as required by the Certification and Accreditation Administration of the People's Republic of China (CNCA). Generally, one test report is required per unit; however, for the same product from the same applicant but produced at different locations, only one test is needed.

3) Factory Inspection;

Factory inspection is a crucial step in ensuring the validity of certification. It is conducted by the certification body or designated inspection body in accordance with the certification implementation rules. Factory inspection includes two parts: first, a review of product consistency, including verification of product structure, specifications, important materials or components; and second, a review of the factory's quality assurance capabilities. In principle, factory inspection is conducted after product testing is completed. In special circumstances, at the applicant's request, the certification body may arrange for an earlier factory inspection and make appropriate arrangements for the number of inspection days as needed. For factories that have obtained management system certification from authorized certification bodies, the review of the system portion of their quality assurance capabilities can be simplified or omitted.

4) Sampling Inspection;

Sampling inspection is a step in the design of products unsuitable for type testing and is conducted when there are doubts about product consistency during factory inspections. To facilitate companies, sampling is generally arranged during factory inspections. However, upon the applicant's request, sampling can be conducted in advance, and the factory inspection can only proceed after the samples pass inspection.

5) Evaluation and Approval of Certification Results;

The certification body should evaluate the results based on the testing and factory inspection, make a certification decision, and notify the applicant. In principle, the time from the date the certification body accepts the certification application to the date of the certification decision should not exceed 90 days.

6) Post-Certification Surveillance;

To ensure the continued validity of the certification certificate, post-certification surveillance is arranged for certified products according to their characteristics. The certification implementation rules provide detailed regulations on this. It is worth mentioning that post-certification surveillance includes two parts: product consistency review and review of the factory's quality assurance capabilities.

4. 3C Certification Certificate and Certification Mark

The certification certificate is a document proving that products listed in the "3C Certification Catalog" meet the requirements of the certification implementation rules and are permitted to use the certification mark. To facilitate supervision, the format of certification certificates is uniformly stipulated by the Certification and Accreditation Administration of the People's Republic of China (CNCA). Its specific contents include: applicant; manufacturer; product name, model, or series name; product producer, production or processing site; certification mode; standards and technical rules on which certification is based; date of issuance and validity period; issuing authority.