REGULATION CONCERNING MANAGEMENT OF COMPULSIVE PRODUCT CERTIFICATION

The Bureau of Quality Control Inspection and Quarantine

Order of the State Bureau of Quality Control Inspection and Quarantine

No.5

The Regulation concerning Management of Compulsive Product Certification was examined and adopted at the Bureau-Affair Meeting of
the Head Bureau of Quality Control, Inspection and Quarantine of the PRC on November 21, 2001. It is hereby promulgated and shall
come into force on May 1, 2002.

Li Changjiang , Director of the State Bureau of Quality Control Inspection and Quarantine

December 3, 2001

Regulation Concerning Management of Compulsive Product Certification

Chapter 1 General Provisions

1

This Ordinance is formulated to improve and regulate compulsive product certification, and safeguard the interests of the state, the
society, and the public in a practical manner. It is in accordance with the laws and regulations concerning product safety-quality
permit and product quality certification; it is also within the functions and powers authorized by the State Council to the Head
Bureau of Quality Control, Inspection and Quarantine of the PRC and the Supervisory and Managerial Committee of Certification and
Permit of the PRC

2

The state shall carry out compulsive certification to the products involving human health and safety, animal life and health, environmental
protection and public safety.

3

In accordance with the authorizations of the State Council, the Supervisory and Managerial Committee of Certification and Permit of
the PRC shall be responsible for the work of certification and permit of the whole country.

4

The state shall promulgate unified Catalogue of the Products under Compulsive Certification of the State (hereinafter called the Catalogue),
establish unified state standards, technique regulations and implementation procedures, set down and promulgate unified signs and
charge standards.

5

As for those products listed in the Catalogue (hereinafter called the Catalogue Products), they must be certified by designated certification
organizations of the state, issued certification letters by designated certification organizations, and given certification signs
before their sales, imports and utilizations in business activities.

Chapter 2 Organization and Management of Compulsive Product Certification

6

The Head Bureau of Quality Control, Inspection and Quarantine of the PRC shall formulate regulations and rules concerning compulsive
product certification in accordance with laws and regulations concerned; it shall approve and promulgate the Catalogue.

7

The Supervisory and Managerial Committee of Certification and Permit of the PRC shall be responsible for the management and implementation
of the system of compulsive product certification, and shall perform the following duties:

(1)

Conduct Management and supervision over the certification and permit of products of the whole country, and conduct coordination for
significant issues of certification and permit;

(2)

Draft and adjust the Catalogue and promulgate it together with the Head Bureau of Quality Control, Inspection and Quarantine of the
PRC;

(3)

Formulate and promulgate the Implementing Rule of Certification of Catalogue Products;

(4)

Establish applicable certificating models for Catalogue Products;

(5)

Set and promulgate certification signs;

(6)

Set the patterns and formats of certification letters;

(7)

Appoint certification organizations and inspecting organizations providing services for certificating organizations; examining organizations
shall be responsible for the inspection in compulsive product certification;

(8)

Promulgate the Catalogue of the names and working scopes of designated certificating organizations, designated inspection organizations
providing service for the former ones;

(9)

Promulgate the names of certified products and enterprises;

(10)

Examine and approve the proceedings suitable for exempt from compulsive product certification.

(11)

Guide quality control administrations to investigate into and deal with violating acts against rules concerning compulsive product
certification;

(12)

Accept complaints and appeals concerning compulsive product certification; organize for investigation and handling of serious violations;

(13)

Provide guidance for handling significant affairs concerning compulsive product certification.

8

The quality inspection administrations of various places shall be responsible for performance of the following duties:

(1)

Supervise over the Catalogue Products in the places under their control in accordance with their duties stipulated in laws and regulations;

(2)

Investigate into and deal with violations concerning compulsive product certification.

9

Duties of designated certification organizations:

(1)

Carry out compulsive product certification within their designated working scopes in accordance with the Implementing Rule of Product
Certification;

(2)

Issue certification letters to certified products;

(3)

Conduct follow-up inspections to certified products;

(4)

Accept relevant complaints and appeals concerning certification;

(5)

Suspense, cancel and recall certification letters in accordance with laws and regulations.

Chapter 3 Implementation of the System of Compulsive Product Certification

10

One of the following certification models or their combinations shall be applied to certification of Catalogue Products:

(1)

Design Appraisal;

(2)

Model Test;

(3)

Sample Inspection at manufacturing places;

(4)

Sample Inspection in markets;

(5)

Ratification of the quality guarantee systems of enterprises;

(6)

Follow-up inspection to certified products.

Product certification models shall be set in accordance with the principle of scientificity and convenience and in consideration of
various comprehensive factors including product performance, degrees of possible harm to the aspects including human health, environment
and public safety, and product manufacturing periodicity.

Specific certification models shall be stipulated in the Implementing Rule concerning Product Certification.

11

The Implementing Rule of Catalogue Product Certification shall include the followings:

(1)

The scope of applicable products;

(2)

The national standard and technique requirement of applicable products;

(3)

Certification models and corresponding product varieties and standards;

(4)

The Rule concerning division of application units;

(5)

Sample requirements and sample-sending requirements;

(6)

Requirements for confirming key components and parts (in accordance with needs)

(7)

Relevant requirements including inspection standards and codes;

(8)

Specific inspection requirements of factories (in accordance with needs);

(9)

Specific follow-up inspection requirements;

(10)

Specific requirements for applying certification signs to certified products;

(11)

Other provisions

12

The certification procedures of Catalogue Products include all or part of the following processes:

(1)

Certification application and acceptance;

(2)

Model type test;

(3)

Factory inspection

(4)

Sample test;

(5)

Evaluation and approval of certification results;

(6)

Supervision after certification;

13

Manufacturers, sellers and importers of Catalogue Products may apply to certification organizations for certification of Catalogue
Products.

14

Certification applicants of Catalogue Products shall observe the following rules:

(1)

In accordance with the Implementing Rule of Catalogue Products Certification, bring forward application letters, necessary technique
documents and samples to designated certification organizations;

(2)

If applicants are sellers or importers, they shall also provide to designated certification organizations with relevant copies of
contracts concluded between sellers and manufactures or between importers and manufactures;

(3)

If applicants authorize others with applications of Catalogue Products, they shall enter into contracts for issues including certification,
inspection, and follow-up inspection with authorized parties; the authorized parties shall provide to designated certification organizations
with authorization letters, copies of authorization contracts and other relevant contracts;

(4)

Pay certification fees in accordance with regulations.

15

Designated certification authorities shall be responsible for acceptance of certification applications, arrange for the activities
including model type tests, factory inspections and sample inspections in accordance with the Implementing Rule, make certification
decisions and issue certification letters to certified products.

Designated certification organizations shall make certification decisions and notify applicants within 90 days from acceptance of
the certification applications.

16

Certification letters are documents for proving that Catalogue Products have been up to certification requirements and allowed to
bear certification signs.

Certification letters shall include the following contents:

(1)

Applicants;

(2)

Product names, types or series names;

(3)

Product manufacturers, manufacturing or processing places;

(4)

Certification patterns;

(5)

Certification standards and technique regulations;

(6)

Issuing dates and validity dates;

(7)

Issuing authorizations.

17

Named as China Compulsory Certification in English and abbreviated as CCC or 3C, a certification sign is to prove that the Catalogue
Products have obtained permits to be sold, imported and used.

Bearers of certification letters shall use certification signs in accordance with the Rule for Management of Certification Signs.

18

Designated certification organizations shall conduct follow-up inspections to the products with certification letters as well as to
the manufacturing places of the certified products.

19

In case of the following situations, designated certification organizations shall repeal certification letters:

(1)

The applicable national standards, technique rules or implementing certification rules of Catalogue Products are modified, and the
bearers of certification letters cannot meet the modified requirements;

(2)

The validity periods of certification letters expire and the bearers of the certification letters have not applied for extension of
utilization;

(3)

Certified products are not put into production any more;

(4)

The bearers of certification letters apply for repealing their certification letters.

20

In case of the following situations, designated certification organizations shall give orders of provisional suspension of the utilizations
of certification letters:

(1)

Certification letter bearers do not use the certification letters and certification signs in accordance with regulations;

(2)

Certification letter bearers violate the Implementing Rule of Catalogue Product Certification and the requirements of designated certification
organizations;

(3)

Supervisory results show that the products are not in accordance with the Implementing Rule of Catalogue Product Certification, however,
immediate recall of certification letters is not necessary.

21

In case of the following situations, designated certification organizations shall recall the certification letters:

(1)

During the suspension period of the utilization of certification letters, certification letter bearers have not adopted rectifying
measures;

(2)

Supervisory results show that the products have serious defects;

(3)

Serious accidents are caused due to serious quality defects of certified products.

22

If applicants and bearers of certification letters hold different opinions to the certification decisions made by designated certification
organizations, they may complain or appeal to the certification organizations by which the certification decision are made; If the
applicants and bearers still oppose the handling of the certification organizations, they may appeal to the Supervisory and Managerial
Committee of Certification and Permit of the PRC.

Chapter 4 Supervision and Management of Compulsive Product Certification

23

Designated certification organizations and the designated inspection organizations providing services to the former ones, shall observe
the following regulations:

(1)

Accept the supervision and management of the Supervisory and Managerial Committee of Certification and Permit of the PRC;

(2)

Conduct certification and inspection to Catalogue Products within designated scopes in accordance with laws and regulations concerning
product quality certification

(3)

Guarantee the correctness of certification results and bear corresponding legal liabilities;

(4)

Report regularly to the Supervisory and Managerial Committee of Certification and Permit of the PRC for certificating information
of Catalogue Products;

(5)

Keep the commercial and technique secrets of certified products and shall not come into possession of others’ scientific achievements
illegally;

(6)

Shall not transfer their authority of certification acceptance, decision, and inspection to other certification organizations without
permission;

(7)

Shall not be engaged in consult and product development within the scopes of their certification duties.

(8)

Shall not presumptuously enter into agreements with other units and organizations about bilateral or multilateral acknowledgements
of certification results of Catalogue Products;

(9)

Shall not issue certification letters to Catalogue Products in accordance with the agreements described in the above item;

(10)

Investigate into and deal with the acts in violation of the laws, regulations and rules concerning quality certification in cooperation
with quality inspection administrations of various places;

(11)

Establish complaining and appealing systems for Catalogue Products; deal with disputes arising from certification of Catalogue Products
within designated scopes.

24

Manufactures, sellers and importers of certified Catalogue Products shall observe the following regulations:

(1)

Guarantee to provide necessary working conditions for certification;

(2)

Guarantee that all the certified products accord with relevant national standards and technique provisions incessantly;

(3)

Guarantee that all the Catalogue Products sold or imported by them are certified ones;

(4)

Apply certification signs to certified products in accordance with relevant regulations;

(5)

Shall not use certification letters and signs to mislead consumers;

(6)

Shall not transfer or trade certification letters and signs, or partially bring forth or copy certification letters;

(7)

Accept supervisory or follow-up inspections of various quality inspection administrations and designated certification authorities.

Chapter 5 Penalty Provisions

25

The Catalogue Products that fail to be certified in accordance with this Ordinance shall be under penalty of less than 30 thousand
RMB Yuan and the orders of being certified within scheduled periods.

26

The Catalogue Products that do not bear certification signs in accordance with relevant regulations shall be exposed to orders of
being certified within scheduled periods; if rectifications are not conducted within scheduled time, penalties of less than 10 thousand
RMB Yuan shall be paid.

27

The acts in violation of the laws and regulations concerning product safety, quality permit and quality certification, including forging
or imitating certification letters or signs, shall be under penalty in accordance with relevant laws and regulations.

28

If designated certification organizations and designated inspection organizations providing service for the former ones, bring forth
false certification letters or forge relevant documents, they shall bear corresponding liabilities in accordance with laws and regulations.

29

The administrative penalties stipulated in this Ordinance shall be carried out by quality control administrations of various places
in accordance with the Handling Procedures of the Head Bureau of Quality Control, Inspection and Quarantine of the PRC

Chapter 6 Supplementary Provisions

30

The Implementing Rule of Certification(mentioned in this Ordinance), and specific managerial provisions( including the Rule for Management
of Certification Signs), shall be formulated separately by the Supervisory and Managerial Committee of Certification and Permit of
the PRC.

31

The Head Bureau of Quality Control, Inspection and Quarantine of the PRC shall authorize the Supervisory and Managerial Committee
of Certification and Permit of the PRC to interpret this Ordinance.

32

This Ordinance shall enter into force as of May 1, 2002.