中国产品认证主要制度及程序 Product Certification System and Procedures in China

1. 中国产品认证主要制度及程序Product Certification System and Procedures in China • 国家认监委认证监管部 • Presented by: MS.LU MEI • CNCA，CHINA • June,2010

2. 内容Content 一、中国认证认可政策简介 I. A Brief Introduction of the Chinese Certification and Accreditation Policies 二、中国认证认可法规体系 II. Laws and Regulations on Certification and Accreditation 三、中国产品认证制度的基本框架 III. Product Certification System Frame in China

3. 内容Content 四、产品认证新领域 IV. New Areas of Product Certification 五、电工产品认证结果的国际互认 V. Mutual Recognition of Test Results for Electrical Equipment

4. 一、中国认证认可政策简介 I. A Brief Introduction of the Chinese Certification and Accreditation Policies

5. 1、开展认证认可是中国政府的战略性选择; 2、高效统一的认证认可监督管理; 3、健全法规体系,依法开展认证认可; 4、统一的认可制度; 1、To develop certification and accreditation — a strategic choice by the Chinese government; 2、efficient and unified supervision over certification and accreditation; 3、improvement of the legal system pertaining to certification and accreditation; 4、unified accreditation system;

6. 5、自愿性认证和强制性认证相结合 6、统一的实验室资质评价体系; 7、认证市场的监督管理; 8、参与国际合作,推进国际互认活动. 5、combination of mandatory and voluntary certification; 6、unified system of laboratory competence evaluation; 7、supervision over certification activities; 8、participation in international cooperation which aims at mutual recognition.

7. 二、中国认证认可法规体系 II. Laws and Regulations on Certification and Accreditation

8. 1、法律 产品质量法 进出口商品检验法 标准化法 1、Laws Law on Product Quality Import and Export Commodity Inspection Law Standardization Law

9. 2、法规 2003年9月3日，中国国务院令，颁布了《中华人民共和国认证认可条例》，并于同年11月01日施行，明确了认证认可工作的立法宗旨, 确立了如下的主要制度 ： 2、Regulations Regulations of the People’s Republic of China on Certification and Accreditation was promulgated on September 3, 2003 as the State Council Order, and came into effect on November 1. It establishes the following systems：

10. 1）统一的认证认可监督管理制度 2）统一的认可制度 3）自愿性认证和强制性认证相结合的认证制度 4）政府监督与行为自律并举的监督制度 5）认证机构的审批制度 6）检查机构、实验室资质能力评价制度 7）认证咨询机构和培训机构的监督管理制度 1）unified certification and accreditation supervision system 2）unified accreditation system 3）certification system in combination of voluntary and mandatory certification 4）discipline system in combination of government supervision and trade self-discipline 5）certification body approval system of 6）evaluation system of inspection bodies and laboratories 7）certification consultancy and training body supervision system

11. 3、规章 • 为保证《中华人民共和国认证认可条例》的实施，AQSIQ制定了四个配套的部门规章(局长令)： • 3、Rules • To facilitate and guarantee the implementation of The Regulations on Certification and Accreditation, four package rules were announced as the orders of the Minister of General Administration of Quality Supervision and Inspection and Quarantine of P. R. China(AQSIQ):

12. 1、《强制性产品认证管理规定》； 2、《认证及认证培训、咨询人员管理办法》； 3、《认证证书和认证标志管理办法》； 4、《强制性产品认证机构、检查机构和实验室管理办法》等。 1) Rules for Control of Compulsory Product Certification 2) Measures for Control of certification consultancy and training body 3) Measures for Control of Certificates and Certification Marks 4) Measures for Control of Certification Bodies, Inspection Bodies and Laboratories Designated for CCC

13. 三、 中国产品认证制度的基本框架 III. Product Certification System Frame in China

14. 认证的概念Types of Certification In view of certification object Product Certification Management System Certification In view of legal requirements Compulsory Certification Voluntary Certification • 认证的种类：认证对象角度 • 产品认证 • 管理体系认证 • 认证的种类：认证性质角度 • 强制性 • 自愿性

15. 强制性产品认证简介About Compulsory Certification • 性质:市场准入制度，通过立法实施。 • Characteristics: Market entrance permission through legislation • 范围：Scope • --人类健康和安全 Human Health and Safety --动植物生命安全 Life of Animals and Plants --环境保护 Environment Protection --公共安全 Public Security --国家安全 National Security • 是国家强制实施的一种评估产品是否符合国家规定的要求（标准和/或技术规范）的产品认证制度 • Compulsory product certification system for the evaluation of the product’s conformity with the national requirements in forms of standards and/or technical regulations 。

16. 强制性产品质量认证简介About Compulsory Certification • 方式：Method • 主要通过制定强制性产品认证的产品目录和相关产品强制性认证实施规定，对列入目录中的产品实施强制性的检测和审核。凡列入目录内的产品未获得指定第三方认证机构的认证证书和/或未按规定加施认证标志，不得出厂、进口、销售。 • Based on the Product Catalogue for Compulsory Certification and the related Implementation Rules for Compulsory Certification and carry out compulsory test and inspection for the products listed in the Catalogue. Products listed in the Catalogue are not allowed to be manufactured, imported and sold without certificate issued by the authorized third-party certification body or without certification mark according to the regulation.

17. 强制性产品认证简介About Compulsory Certification • 原则：Principal • “四个统一”:统一标准、技术法规和合格评定程序、统一目录、统一标志、统一收费标准 • “Four Unifications”: • Unification of standards, technical regulations and conformity assessment procedures, • Unification of product catalogue, • Unification of certification mark, • Unification of fee structure.

18. 强制性产品认证简介About Compulsory Certification • 中国强制性产品认证标志-CCC标志 • Compulsory Certification Mark of China –CCC mark

19. 监督管理： 对指定机构的监督：CNCA负责 对认证目录内产品市场准入的监督：各地质量技术监督局和出入境检验检疫局负责 For the supervision: Supervision over the designated Bodies: exercised by CNCA. Supervision over the market access of the products subject to CCC certification: exercised by Local AQSIQ 市场监督体系Market Surveillance System

20. 2003年8月1日,地方质检部门开始执法检查。 目录内产品未获认证不得出厂、销售、进口。 对违反规定的责任者进行处罚 获证产品认证证书数据库 The local Authorities started the supervision over the Catalogue products from August 1, 2003. The Catalogue products must obtain the certification before marketed or imported. To eliminate related illegal practices Data Base for the certified products 执法检查工作的实施Implementation of Administrative Supervision

21. 监督管理： CNCA对所有指定认证机构和家实验室进行监督 对认证目录内产品市场准入的监督：组织各省市质量技术监督局和出入境检验检疫局对产品进行监督抽查 CNCA has carried out surveillance over all designated certification bodies and testing labs Market Surveillance for CCC Products: local AQSIQ was organized to conduct sampling tests and inspections for CCC products in the market. 执法检查工作的实施Implementation of Administrative Supervision

22. 强制性产品认证简介About Compulsory Certification • 目录:截止到2010年4月，共发布 CCC产品：22大类 159种产品 • 涵盖行业：电子电器、电信、汽车与摩托车、安全玻璃、消防、安防、农机、乳胶制品、轮胎、建材、玩具等。 • 实施规则： 74个 • 指定机构：10家认证机构， 156（家）实验室 • Catalogue: Including 159 products under 22 categories (till Apr.2010) • Industries Covering: Electrical and electronic appliances, telecommunication products, vehicles and motorcycles, safety glass, fire protection products, Burglar-resistant products,agricultural machine, rubber products, tires, construction materials, toys, etc. • Implementation Rules: 74 • Authorized bodies: 10 certification bodies, 156 labs

23. 截止至2010年4月： 指定认证机构已颁发有效的3C认证证书 266209 张，其中境内产品242885张，关境外产品23324张。获证产品涉及的企业数为42658家，其中关境内企业37796家，关境外企业4862家。 3C认证制度得到普遍认同。 Up to Apr. 2010 The total valid certificates issued : 266,209 The issued certificates: 242,885 (domestic) The issued certificates: 23,324 (import) The involved factories: 42,658 (total) The involved factories: 37,796 (domestic) The involved factories: 4,862 (import) 认证实施的进展情况statistics of CCC Certification

24. 自愿性产品认证简介About voluntary product certification 自愿性产品认证的作用 Purpose of voluntary product certification --指导整机、整车企业选购达标零部件; --To help the manufacturers of appliances and vehicles to choose the qualified components --指导消费者购买安全可靠的产品; --To help the consumers to purchase safe products --提高产品在国际市场上的竞争能力; --To improve the competitiveness in global market

25. 自愿性产品认证简介About voluntary product certification • 性质：Characteristics • 适应市场需求，强制性产品认证目录外的管理范畴。 • Management of products outside the catalogue of compulsory product certification according to the market need • 种类：Types • 1）国家统一推行的自愿性产品认证； • 1) Voluntary product certification recommended by the government 2）机构自主开展的自愿性产品认证 2) Voluntary product certification carried out by the certification bodies

26. 自愿性产品认证简介About voluntary product certification • 国家推行的自愿性产品认证 • Voluntary product certification recommended by the government • 大力推动资源节约自愿性产品认证工作，与国家发改委、质检总局联合发布了《关于加强资源节约产品认证工作的意见》 • Promote resource-saving voluntary product certification and issue Opinion on strengthening resource-saving voluntary product certification • 节电、节水、节油和可再生能源领域将作为资源节约产品认证的重点领域。 • Resource-saving product certification will focus on electricity-saving, water-saving, oil-saving and renewable energy

27. 自愿性产品认证简介About voluntary product certification 机构自主开展的自愿性产品认证 Voluntary product certification carried out by the certification bodies • 为电子电器整机配套的零部件自愿认证； • Voluntary certification for components used in electrical and electronic products • 电器产品性能测试。（高清显示电视） • Performance test of electrical appliances (HDTV)

28. 产品认证的基本程序Procedures of Product Certification 1）认证申请和受理 1) Application 2）样品试验 2) Type Test 3）初始工厂审查 3)Initial Factory Inspection 4）认证结果评价和批准 4) Evaluation and approval of certification results 5）获得认证后的监督 5) Surveillance

29. 四、产品认证新领域 IV. New Areas of Product Certification

30. 产品认证新领域New Areas of Product Certification 一、世界范围内广泛关注与资源节约、环境保护相关的产品认证 Source-saving and environmental certification arouse extensive attention worldwide • 节能认证（已经从绿色电源、低能耗家电、电光源向工业用电机和建筑设计、建筑材料等方面发展 ） • Energy-saving certification (starting from green electricity, energy efficient household appliances and electric light source and extending to motors for industrial purpose, constructional design, constructional materials, etc. ) • 节水认证 • Water-saving certification • 新能源认证（风能、水能、光能认证 ） • New energy certification (wind energy, water energy, solar energy) • 环保认证 （环境标志认证） • Environmental certification (Environmental mark certification)

31. 产品认证新领域New Areas of Product Certification 三、涉及人类安全消费、健康消费为主题的认证新领域 New areas concerning human safety and human health • 符合人体工程学要求的产品认证（显示器、电脑、键盘和办公家具、移动电话类。它主要从人体工程学、辐射、电气安全等角度对产品进行评估 ） • Ergonomics certification (Products evaluation related to ergonomics, radiation and electrical safety for display, computer, keyboard, mobile phone and furniture for office use) • 符合有毒有害物质限制要求的产品认证（配合中国的电子产品ROHS（有毒有害物质限制）要求） • ROHS testing and certification

32. 五、电工产品认证结果的国际互认 V. Mutual Recognition of Test Results for Electrical Equipment

33. 互认的宗旨Aim of mutual recognition • 促进国际贸易，消除技术壁垒 • Promote international trade, eliminate trade barriers • 促进各国标准的统一 • Promote the harmonization of the national standards • 促进各国认证合作，促进“一个产品, 一 次测试， 多个标志”的全球的通行。 • Promote international cooperation and the realization of “ one product, one test and multi certification marks”

34. 双边与多边 Bilateral and multi-lateral H H A G A G F B CAB Scheme F B C E C E D D 双边协议 Bilateral agreement 多边协议 Multi-lateral agreement

35. IEC的组织结构Organizational Chart of IEC

36. IEC合格评定三大体系中国加入情况 1、IECQ：( International Electrotechnical Commission Quality Assessment System for Electronic Components) IECQ established in1981. China joined in in 1985 with CEPREI as its NAI and five labs • Scope of IECQ: Active and passive component, hybrid integrated circuit, PCB, electromechanical/electromagnetic/photoelectrical element, telecommunication cables and materials; HSMP QC80000 management system certification • IECQ certification modes: Supplier’s approval, type approval, technical appraisal, process approval, capability approval • IECQ clients in China:over 300

37. IEC合格评定三大体系中国加入情况 2. IECEx： (Certification to Standards that relate to Apparatus for Explosive Atmospheres) IECEx: estbalished in 1996. China joined in 1997 as establishing member with CQM as its ExCB and 4 labs • Scope of IECEx: Product, Installation and Maintenance 。 • IECEx clients in China: over 10

38. IEC合格评定三大体系中国加入情况China participates three conformity assessment systems of IEC 3、IECEE： IEC System for Conformity Testing and Certification of Electrical Equipment 。IECEE : established in1985 and China joined in in the same year and now with CQC as its NCB and 16 CBTLs • IECEE recognition Programs: IECEE CB scheme and IECEE FCS • Scope of IECEE: CABL, CAP,HOUS,INST, LIGHT,MEA,MED,OFF, TRON,POW,PROT,TOOL,TRON, PV Members of IECEE: 70 certification bodies in 54 countries • CB certificates in China: over 20,000.

39. CB多边体系中的证书互认 Recognition of Test Certificate in CB scheme Issuing NCB APPLICANT RecognizingNCB TEST REPORT 15 working days

40. www.aqsiq.gov.cn （国家质检总局） www.cnca.gov.cn (国家认监委） 谢 谢!