浅析音视频认证实施规则(英文版)(doc 30页).doc

Ref. No. CNCA01C017：2007IMPLEMENTATION RULES FOR COMPULSORY CERTIFICATION OF ELECTRICAL AND ELECTRONIC PRODUCTS Audio & Video productsAnnounced on Aug.6, 2007 Implemented on Aug. 15, 2007Certification and Accreditation Administrationof the Peoples Republic of China Contents1. Scope32. Certification model33. Major processes for certification33.1Application for certification33.2Type testing33.3Initial inspection of the factory33.4Evaluation and approval of certification results33.5Follow-up surveillance34 Implementation of certification44.1 Application for Certification44.2 Type testing44.3 Initial inspection of the factory65. Certificate115.1 Retaining of certificate115.2 Extension of the scope of certified products115.3 Suspension, cancellation and withdrawal of the certificate126. Use of compulsory product certification mark136.1 Design of the authorized mark136.2 Use of derivations of certification mark136.3 Ways of use136.4 Location of the mark137. Charge13Appendix I List of Definition of application units for Audio&Vedio products of compulsory product certification15Appendix II List of critical safety components, testing standards and sample quantities19Appendix III List of major components affecting EMC performance for Audio&Vedio products of compulsory product certification22Appendix IV Testing Requirements on factory quality control of compulsory certification of Audio&Vedio products.23Appendix V Compulsory product certification requirements on factorys quality assurance. ability.25IMPLEMENTATION RULES FOR COMPULSORY CERTIFICATION OF ELECTRICAL AND ELECTRONIC PRODUCTSAudio & Video products1. Scope This document applies to audio and video apparatus as follow, which can be connected to electrical power source with rated voltage more than 36V (R.M.S) directly or indirectly.It includes:Powered sound boxes with single or multiple speakers having total output power under 500W (R.M.S.), audio amplifiers, tuners, radio receivers with various frequency bands, audio/video recorder/player/dealer with sorts of carrier media (including cassette tape recorder/player, disc player, CD/MD player, LD/VCD/Super VCD/ DVD player, MP3, MP4 recorder/player, language learning machine, audio/video processing apparatus, and etc.), combo audio/video systems, power adapters(including charger) for audio/video products, video cassette recorders/players, color/B&W or monochrome television receivers and display monitors with sorts of display types (including LCD, PDP and front/back projector), monitor, digital TV top-set boxes, antenna amplifiers, electronic organ and other appliances, etc.; and also including the accessories such as tubes (greater than 16cm), tuners. 2. Certification modelType testing + initial inspection of the factory + Follow-up surveillance3. Major processes for certification 3.1 Application for certification3.2 Type testing3.3 Initial inspection of the factory 3.4 Evaluation and approval of certification results 3.5 Follow-up surveillance4 Implementation of certification4.1 Application for Certification4.1.1 Defining the application unit for certificationIn principle, application for certification is made according to model/type of products.The products, of the same manufacturer, of the same model/type, but from different factories, shall be divided into different application units, however, only one type testing is required to carry out on samples from the factory. The sample and related documents should be provided by other factories to the certification body for consistence checking when necessary.Products defined in one application unit should have identical critical components related to electrical structure, safety and significant influence on EMC performance (see the components with * in Appendix III). The concrete model/type of product in one application unit should be clearly indicated in principle. The explanation of application units shall be defined in details according to Appendix I.For the combination or multi-function appliances, if the separate units could be powered with AC mains and sold independently, they should be applied separately.4.1.2 Application documentsThe formal application shall be submitted with the following documents:1) Circuit diagram related to safety and EMC test (such as the circuit diagram of power supply unit) and/or the appliances system block/ installation configuration diagram, etc.;2) List of critical components and/or materials;3) Users manual in Chinese;4) Nameplate and warnings in Chinese;5) Description of the difference between each model/type of products in the same application unit;6) Other necessary documents .4.2 Type testing 4.2.1 Sample delivery for type testing The principles of sample delivery for type testing For application unit containing only one model/type, sample of such model/type shall be submitted.When product series are applied for certification as one application unit, the representative samples covering Safety and EMC characteristics of the whole series shall be selected and submitted for type testing. Extra sample type should be submitted for supplementary testing when the representative samples can not cover all the requirements above.Critical safety components (Appendix II) in appliance should be submitted following corresponding requirements for separate testing. Separate testing can be exempted only when components have been CCC certificated/Voluntary certificated with admitted results as the appliance CCC regulated by CNCA, also samples and related documents are required to provide for checking. Samples quantity/amount requirementsThe applicants shall take responsibility of sample delivery for type testing in accordance with the requirements of the certification body and be responsible for them. The sample quantities of appliances shall be according to the requirements of Table below, the quantities for safety components accompanying the appliances tested separately shall be according to the requirements of Appendix II Sample quantities of the type testingAppliance（Representative type）2 setsSample quantities of the type testingAppliance（derived type）1 set Handle of samples and relating documents The samples tested and/or the relating documents should be dealt with in appropriate ways after type testing.4.2.2 Test standards, items and methods Test standards:1.GB 8898:Safety Requirements of household and similar use apparatus powered by mains supply. 2.GB 13837: Limits and Methods of Measurement of Radio Interference Characteristics of Sound and Television Broadcast Receivers and Related Apparatus.3. GB17625.1 The Limits For the Harmonic Current Emissions Caused by Low-voltage Electronic Equipments (Equipment Input Current 16A per Phase)Note: Latest Version of standards mentioned above should be automatically implemented. Explanation will be made by CNCA in special cases. Test items The test items for safety shall include all appropriate items specified in standard GB8898. The test items for EMC shall include all appropriate items specified in standards GB13837 and GB176.2.3 Test methods The type testing shall be carried out according to regulations of relative product standards and corresponding methods and/or standards cited.4.2.3 Type testing report and product description reportTesting body issues the when the type testing completed.When type testing items are partially unqualified, applicant is allowed to make correction; the correction should be accomplished within the time limit stipulated by certification body (count from the date of unqualified notification). The application will be regarded as abandoned if the correction is not accomplished within the time limit. Also the applicant can choose to terminate the application. is the file including the relative information for all the model types of the application. The certification body compiles and issues the template according to regulated contents and format. Contents of the report should be clear and integrated.The certification body should provide the and to the applicant in time. The certification holder should assure the valid and integrated reports can be acquired in the factory.4.3 Initial inspection of the factory4.3.1 Contents of the inspection The contents of factory inspection shall include the assessment of factory quality assurance ability and product consistency checking. Assessment of factory quality assurance ability. The inspector assigned by the certification body shall carry out the factory quality assurance ability assessment according to the Requirements for Factory Quality Assurance Ability (see Appendix V) and supplementary assessment requirements regulated by CNCA. In the meantime, the inspector shall carry out checking according to Testing Requirements of Factory Quality Control of Compulsory Certification of Audio& Video Products (see Appendix IV). Checking of consistency of the productThe product consistency applying for certification shall be checked on the site of production, with choice of at least one sample for each product and each manufacturer. The consistency checking includes the on-site witness testing and the following verified contents:1) The name of product, type/model and specification on the nameplates and packages of products to be 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 dimensions of the plug of direct plug-in AC adapter shall be in compliance with construction requirements of GB1002.4) The critical components in terms of safety (See Appendix II)and components having significant influences on EMC(See Appendix III) shall be identical with those declared in type testing and confirmed by certification body.The following witness test items are the least type testing requirements according to standard GB8898 for safety: Class equipment: Electric strength test, Grounding resistance testClass equipment: Electric strength testWitness testing or checking the records of verification test can be adopted for EMC characteristics. Inspection scopeAll the manufacturing premises of products applied shall be covered for inspection of factory quality assurance ability and of consistency of the products.4.3.2 Timing of factory inspectionNormally, the initial inspection should be carried out after the sample has passed the type testing. The type testing and factory inspection can be implemented at the same time if needed. The duration of factory inspection shall be determined by the amounts of application units of products to be certified and with consideration of the scale and distributions of factories. It will normally take about 1 to 4 working days/p for each manufacturing premises.Normally, the initial inspection should be carried out after the sample has passed the type testing. The type testing and factory inspection can be implemented at the same time in special cases. In principle, the factory inspection should be carried out within 1 year after the type testing, otherwise the type testing should be re-conducted. The certificated products can be manufactured in the manufacturing premises during the initial factory inspection.The duration of factory inspection shall be determined by the amounts of application units of products to be certified and with consideration of the scale and distributions of factories. It will normally take about 1 to 4 working days/p for each manufacturing premises.4.3.3 Conclusions of factory inspectionThe inspection team submits conclusions of factory inspection to the certification body. The factory should take correction action within the stipulated time limit when non-conformity item exists during the factory inspection. The certification body will verify the validity of the correction action with appropriate methods. Conclusions of factory inspection will be unqualified when correction action is uncompleted within the time limit.4.4 Evaluation and approval of certification results 4.4.1 Evaluation and approval of certification results The certification body is responsible for the general evaluation of type testing results and conclusions of factory inspection. The certificate will be issued when the evaluation is qualified. The certification body will disapprove and terminate the application either the type testing result or factory inspection conclusions are unqualified 4.4.2 Time frameTime frame for certification means the working days from the acceptance of application till the issuance of the certificates, which includes the time of type testing, factory inspection, reports submission after inspection, evaluation of certification results and approval of certificates, etc.Normally, the type testing takes 30 working days, not including the time for correction actions and retest of the non-conformity item(s). 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 within 5 working days after the inspection. It will be counted from the day when the inspectors complete the inspection and receive the correction action reports from the factory on non-conformities satisfying the requirements.Normally, evaluating the certification results and approving the certificates shall be completed within 5 working days.4.5 Follow-up surveillance4.5.1 Scope of follow-up surveillanceThe scope of follow-up surveillance includes the annual follow-up surveillance and also the effective follow-up investigation to the certified products conducted by the certification body.4.5.2 Annual follow-up surveillanceThe follow-up surveillance will be conducted without notifying the factory beforehand in principle. The manufacturing premises contracted with different manufacturers should accept the follow-up surveillance respectively.The factory should assure the certified product is in normal production during the follow-up surveillance. The certificate holder should undertake the follow-up surveillance on schedule, otherwise itll be regarded as rejection to the follow-up surveillance. The frequency of follow-up surveillanceThe follow-up surveillance shall normally be implemented 12 months after the first certificate being granted with a frequency of once per 12 months.The frequency of surveillance should be increased in any of the following cases:1) If serious quality problem arises with the certified product, or the certified product is complained by clients, which has been verified to be the responsibility of the certificate holder and/or the factory.2) The certification body doubts the conformity of the certified product against the requirements of safety and EMC standards with sufficient reasons.3) 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. Contents of follow-up surveillanceThe follow-up surveillance includes: re-assessment of factory quality assurance ability + checking of consistency of certified products, and if necessary, samples may be taken and tested at the testing laboratory, refer to clause 4.5.3.The certification body shall implement the factory re-assessment in accordance with Requirements for Factory Quality Assurance Ability (see Appendix V). The items 3, 4, 5 and 9 specified in Requirements for Factory Quality Assurance Ability must be assessed for each follow-up surveillance and the rest items may be selected. All the items of the Requirements shall be covered at least every four years. The contents of consistency checking for certificated product are identical with those of the initial factory inspection basically.At the same time, the checking shall be conducted according to “Testing requirements of factory quality control of compulsory certification of Telecommunication Terminal Equipment” (see Appendix IV), together with checking use of “CCC” mark and certificates. Timing of the follow-up surveillanceThe duration of the follow-up surveillance shall be determined by the amounts of units of certified products with appropriate consideration of the production scale of the factory. It will normally take about 1 to 2 working days/p. Conclusions of the follow-up surveillanceThe inspection team submits the conclusion of the follow-up inspection to the certification body. When the follow-up inspection conclusion is unqualified, the inspection team submits directly to the certification body. The factory should take correction action within 40 working days when non-conformity item exists. The certification body will verify the validity of the correction action with appropriate methods. The conclusions of follow-up inspection will be unqualified when the corr