Guide for Applicants
(Voluntary Certification for Products)
I. Application and acceptance
1. Firstly, find out your applying products from the catalogue of our product certification, if your products are included in it, you will apply for certification according to the regulated process.
2. Application requirements
Domestic enterprises and the enterprise from abroad or other applicants can apply the certification for their automotive products. The following conditions should be satisfied:
(1) Business License of Enterprise Corporation issued by administration for industry and commerce organization for domestic enterprises, and registration license issued by relevant organizations for enterprises from abroad.
(2) The applied products should conform to Chinese state standards, industrial standards and its additional technical requirements or the standards confirmed by Standardization Administration of China.
(3) The applied products should be produced in batches normally with stable quality and the enterprise should supply certificating materials of it.
(4) The quality management system (production condition of factory) of your enterprise should conform with ISO-9001: 2000 Quality System-Quality assurance mode of production, installation and service and additional requirements for production condition of factory as well.
3. How to Apply
(1) The applicants who satisfy the basic conditions will submit the written application to CCAP and fill in the Application Form on Products Certification and Questionnaire on enterprise condition.
The following items should be provided as well:
Duplicate of Business License of Enterprise Corporation or registration license for enterprises from abroad;
(1) The test report about the conformity of the applied products and the certification standards;
(2) Quality Management manual
(3) Relevant technical materials (Enterprise standards, Operation guide and necessary assembly drawings, etc.)
(2) CCAP will decide whether accepting your application or not within 10 days after we received your application materials. If your application is accepted, an Acceptance Notice will be sent to you, otherwise, we will inform you of the unacceptable reasons in written form and return the related application materials.
(3) A contract will be signed between the applicant and CCAP if the application is acceptable. The applicant should pay the fee for the certification.
(4). CCAP works out the certification plan and starts the formal certification process after CCAP received the certification fees.
II. Audit and Inspection
Certification for products consists of two parts:
Audit for quality management system and Products inspection.
1.CCAP will send an audit team to audit the quality management system of the applicants the basic process is as follows:
Preliminary document audit;
(1) A preliminary visit or audit may be carried out if necessary.
(2) Works out the audit plan and prepares the documents for on-site audit.
(3) On-site audit;
(4) Writes out and submits the quality management system audit reports with the signature of leader of the audit team and the date.
(5) Surveillance for the corrective action;
2.The enterprise should get ready for the on-site audit and provide convenient working condition for the audit team:
After the audit schedule is determined, the enterprise should connect to the audit team, and arrange everything for the reception;
(1) A set of effective and controlled quality management system manual and procedural documents of quality management system for everyone of the audit team;
(2) Quiet and clean accommodation should be provided;
(3) Book and pay for the round-trip-tickets for everyone of the audit team in advance;
(4) Correct the unqualified items, which are found in the certification process, within the limited period.
4. The enterprise should pack the samples, which are generally chosen by the audit team of CCAP and deliver them to the authorized Lab. in time and CCAP may also entrust other organizations with responsibility for the sampling.
4. The authorized Lab. should test the sample after received and confirmed that it conforms to the requirement, and submit the test report to CCAP.
III. Approval and issue Certificates
1. CCAP will issue the certificate to the applicant and allow the enterprise to use the marks on its products according to the audit and inspection report of the products. If the products do not conform to the certification requirements, CCAP will inform the applicant of the reason.
2. When received the notice, the applicant will go to receive the certificate and order the certification marks from CCAP.
3. When receiving the certificates, the enterprise should pay the annual management fee and the cost of the marks.
4. The enterprise should learn how to use the certificates and marks, and management method.
IV. Supervision after certification
1. CCAP exercises constant supervision over the qualified enterprises regularly to ensure the quality of their products up to the standards.
2. Generally, the supervision and inspection shall be done once a year. The first supervision shall be arranged after 6-8 months as the enterprise received its certificate. There are 3 times of supervision within the validity of 3 years. The said inspection items shall cover all of the major elements under regularity.
3. The supervision items include quality management system audit and products test.
4. CCAP prepares the supervision plan and then notifies the enterprise, which has received certificate, should get ready for the supervision and pay the expenses for it.
5. The enterprise shall be in position of using the certificate and mark approved by CCAP continuously, if the supervision results are proved being qualified.
6. If the supervision results are unqualified, CCAP will treat it according to the relevant regulation.
7. In any of the following cases, a non-periodical supervision will be carried out:
(1) Distinct changes of design or specification;
(2) Change of the standards used for certification;
(3) Obvious changes in process, installation and maintenance;
(4) Quality management system related to the notified products is changed.
(5) Obvious changes in production site;
(6) Distinct changes in leadership and structure of organization;
(7) Products are unqualified according to result of the state supervision and inspection;
(8) Any other information indicates that the product is considered as inconformity to the certification requirements.
The enterprise should notify the cases mentioned above to CCAP in time, and CCAP will decide whether an audit or inspection is needed or not. The enterprise can't sell any changed products, which have been notified, till being approved by CCAP again.
8. The approved products should be inspected in manufacturer according to the related inspection items and frequency specified in Chinese State Standards, Industrial Standards or Enterprise Standards. For those are not specified in standards, enterprise should work out the specification in addition.
V. Management of Certificate for motor-vehicle products
1. Right and duty of the qualified enterprise within the validity
(1) Using its certificate is the legal right and it is defended.
(2) The qualified enterprise is authorized to publicize its certificates through the advertisements, publication materials, business letters, product instructions and other similar documents. But the qualified product is not to be confused with unqualified ones in propaganda. And it is not allowed to use the certificate indiscriminately.
(3) If the enterprise intends to issue any part on the inspection report related to its product, it must be approved by CCAP in written form.
2. The certificates will be suspended in any of the following cases:
(1) The supervision results show that the product is unqualified, but it does not need to revoke the certificates immediately;
(2) The enterprise uses the certificate improperly. It uses the printed materials and advertisements, which are misunderstood easily, and the enterprise doesn't correct it with proper measures.
(3) The qualified enterprise is not able to keep a stable quality of the products.
(4) The customers presented a severe complaint about the qualified enterprise or its products. And the complaint has been verified.
(5) The products can't pass the state supervisions and inspections.
(6) The enterprise has not paid the cost for its certification in time, and till being informed again;
(7) Some other reasons agreed by both of CCAP and the qualified enterprises;
(8)The qualified enterprise did not use its marks according to the regulations or refuse to use its marks and did not correct its manner after it is pointed out.
3. CCAP will inform the qualified enterprises of the decisions on suspension of using its certificate and normally it will last for 3 months.
4. The certification marks cannot be used on the products during the suspension period.
5. Before the end of suspension, CCAP must investigate whether the condition of resuming for using the certificates is conformed to, CCAP should cancel the suspension and inform the enterprises to use the certification marks again if it conforms to the requirement, otherwise, the certificates will be revoked.
6. The certificates will be revoked in any of the following cases:
(1) The qualified enterprises did not correct the unqualified items after having received the notice of suspension in limited period.
(2) The enterprise transferred its ownership of certificates and marks to others.
(3) The enterprise has not paid up the certification fee.
(4) The enterprise, that customers present complaint about the quality of whose products is getting worse and has caused serious results;
(5) The enterprise refuses to accept the state supervision and inspection.
(6) Any other actions violate the certification rules.
7. Before revoking, CCAP will decide if it is necessary to take off the certification marks from all products in store, even from the sold products if it is possible, or check up the marked products in store while limited time as soon as possible, or take other measures according to the usage of the qualified products.
8. The re-application for the products whose certificate has been revoked shall be submitted after one year.
9. Revoking certificates:
(1) The qualified enterprise does not intend to extend the validity for their certificates.
(2) The standards for certification have been changed, but the enterprise does not intend to or can't conform to the new one;
(3) The qualified products are stopped to produce, or the manufacturer has gone out of business.
(4) According to other clauses of certification rules.
10. The validity of certificate is 3 years. If the enterprise wants to extend its validity, an application should be submitted to CCAP 3 months ahead of the expiry date. The process of application is just as same as the first time.
VI. Management for the quality certification marks of automotive products.
1. Principally, the marks are made by CCAP uniformly after an agreement signed between CCAP and the qualified enterprise according to the CCAP/CP09-05 On Usage of Certification Marks. In the special case, the qualified enterprise may make the marks by itself, but the pattern and the code name of the marks must be determined by CCAP.
2. The use, supervision and management of the certification marks
(1) The qualified enterprises shall order marks from the Administration Division of CCAP 20 days ahead of the date of receiving and pay for it according to the detailed rules in time.
(2) The marks may only be used on approved products and on its name -plate, package, instruction manual or certificate of delivery; it is not allowed to use on what other than the approved product. But all of the integrated factories, branches and subsidiary factories of the qualified enterprises can't use the pattern of certification marks.
(3) The certification mark and its pattern must be scaled up or down by the qualified enterprise in conformity to the mark standards issued by CCAP.
(4) Administration Division of CCAP is in charge of the supervision and management of the certification marks. The qualified enterprise shall submit the quarter report of mark usage to Administration Division of CCAP.
(5) In such cases as any breach of rules in using mark, making mark by enterprise itself without authorization, or abusing the pattern of the marks, the enterprise will get a notice for breach of rule, and be punished or revoked its certificate according to the seriousness
(6) The enterprises, which have not got the certificate, are not allowed to use the certification marks on their products. Otherwise, CCAP will investigate the legal responsibility under the relevant regulations of the State.
VII. How to expend or reduce scope of products certificated
1. Qualified enterprise, which applies to change the certification scope of its products, should supply the following materials to CCAP:
(1) Application for expanding the certification scope of products;
(2) Application materials of original applied products;
(3) Explanation about the relationship between the original and the expanded scopes;
(4) One copy of the original certificate and its duplicate;
(5) Other additional explanations
2. The products, which conform to the following items, will be accepted as expansion scope:
(1) The product applied for scope expansion conforms to the confirmed standards.
(2) The ownership, location of production and control of the changed product are just as same as the original one;
(3) The same quality management system (production condition of factory) and process are used, and are under the common management with the original one.
(4) Keep production in batches with stable quality.
3. Products, which conform to any of the following items, shall be reduced in the certification scope:
(1) The qualified enterprise does not intend to extend the validity of its certificate.
(2) The standards for certification have been changed, but the enterprise does not intend to or is not able to conform to the new one.
(3) The qualified product is stopped to produce, or the manufacturer has gone out of business.
(4) For other clauses of the reduction in scope
4. After receiving the application, CCAP will decide whether it is acceptable or not within the fixed time.
5. The products certification will be carried out according to the formal process listed above as the application of scope expansion is accepted.
6. After the application of scope reduction is accepted, CCAP will recall the certificate and its duplicate, rescind related products, append distinguishable stamp or change its certificate and duplicate, an new one shall be issued for the remains then.
VIII. Charge management for motor vehicle product certification:
1. Items of charge:
(1) Application fee: The enterprise applied to CCAP for the certification will pay for the applying.
(2) Audit fee: For the audit of certification and supervision of the enterprise's quality management system (production condition of factory).
(3) Sampling fee: For the product sampling.
(4) Inspection fee: For technical inspection and test of product.
(5) Fee of examination & approval and registration:
For examination & approval and registration
(6) Cost of the certification mark: The qualified enterprise shall pay the cost of certification mark.
(7) The annual management fee: It shall be paid by the qualified enterprise to CCAP annually.
2. Standards of the charge
(1) Application fee: the fee of application shall be paid according to the Document JJG No. (1999) 1610 issued by the State Planning Commission and State Bureau of Quality and Technical Supervision.
(2) Fee of audit: it should be paid according to the Document JJG No. (1999) 1610 issued by the State Planning Commission and State Bureau of Quality and Technical Supervision and the Document CMH No. 18 issued by the CNACP (China National Accreditation Council for Product Certification Bodies).
(3) Fee of examination & approval and registration: 3000yuan(RMB)
(4) Cost of certification mark: According to the actual cost of the mark;
(5) Sampling fee:
1500yuan(RMB)/one type of product
2500yuan(RMB) / two types of product
3000yuan(RMB) /three types of product
3500yuan(RMB) /over three types of product
(6) Fee of technical inspection and product test: According to the relevant regulations on product quality test made by the State.
(7) Annual management fee: it will be carried out according to the Document JJG No. (1999) 1610 issued by the State Planning Commission and State Bureau of Quality and Technical Supervision.
Notes:
The qualified enterprise shall apply for re-certification before the expiry date of certification validity. The charge will be as same as the first certification.
3. Means of charge
(1) Charge for the first certification
a). After the contract of certification is signed, the enterprise shall pay the total costs for certification, audit, sampling, technical inspection & product test, examination & approval and registration, the formal certification process will begin then.
b). When the enterprise received the certificate, it shall pay the annual management fee of the current year to CCAP. Other annual management fees should be paid 10 days ahead of each anniversary of the certificate.
(2) Charge for supervision audit
After receiving the notice of supervision from the Administration Division of CCAP, the enterprise, which will be supervised, should pay the total cost for supervision, (including audit and test for supervision)
(3) Cost of certification mark
The qualified enterprises shall apply to CCAP for the number of the marks 20 working days in advance and pay the cost for marks, if they want to use the mark.
(4) If the standards, which are used in the product certification of any enterprise applied for certification, require confirmation, this enterprise shall pay 2000 yuan (RMB) at most to CCAP for the confirmation.
IX. Handling the complaints, appeals and disputes

The enterprise may complaint or appeal, if they dissatisfied at CCAP or its staff members.
1. Contents:
Complaint and appeal includ those related to audit result, test result or conclusion of certification and action of CCAP staff members. If the content only covers the result of minor audit process, test process or a partial item, it will be defined as disputes.
2. Aim of appeals, complaint and disputes:
The aim of appeals and complaints is to reappraise audit conclusion, test result or the conclusion of some important items. The aim of disputes is to denote some different opinions and to improve the certification but to change the results.
3. Limits of appeal: the different opinions on quality management system audit, product test result, certification result, suspension, revoking or rescinding of certificate.
4.Limits of complaint:
(1) An application, which conforms to the acceptance condition, does not be accepted by CCAP.
(2) The divisions and staff members of CCAP act contrary to related regulations.
(3) The divisions and staff members of CCAP act contrary to the standards of the charge
(4) Customers and/or others present that an approved product does not conform to the rules.
5. How to treat the disputes?
The disputes may be presented to the Administration Division of CCAP by someone directly, by mail or by phone. CCAP will investigate and give a proper written answer within 15 days after receiving the disputes.
6. How to treat the appeal and complaint
(1) For appeals and complaints from foreign customers, the litigant may ask an agency in China to appeal or complain with ground, idea and requirements in written form and provide the necessary materials as well.
(2) If the qualified enterprise has any objections to the certification result, it should submit the Form of Appeal and related materials to the Administration Division of CCAP within 30 days from the second day as he received the certification result, otherwise, it will be considered as agreed to the certification result. The validity for appeals from customers is 2 years from the time that problems or damages being found, or is carried out according to the related law or regulations.
(3) The appellor (or complainant) shall submit the appeal paper (or application) in written form with the copies made according to the number of the parties, who are appellees.
(4) The contents of appeal paper (or application) shall be as follows:
a). Name, address of working and residence, corporation of the appellor; or the name, address of other organization; name, post, address, zip code, telephone number of corporation for that organization;
b). Name, address of working, address of the appellee (or defendant), or the name, address of other organization; name, post of corporation for that organization;
c). Items of appeal;
d). Facts and reasons of appeal;
e). Evidence and its source; name, address of work, address of witness.
(5) CCAP will issue acceptance or rejection notice to the appellor within 10 days after the appeal paper received. The appellor shall pay the cost for his appeal within one month, otherwise, the complaint is considered as being canceled by self; for the rejecting case, a rejection notice will be sent to the appellor by CCAP.
(6) CCAP will check the perfection of the appeal paper and ask appellor to perfect it within the specified time. Otherwise the appeal is considered as being canceled by self.
(7) After the appeal paper is accepted, the Administration Division of CCAP shall submit all of the appeal materials to CCAP or to the inspection and control team for complaint and appeal.
(8) The inspection and control team for complaint and appeal registers the all appeal materials and gets ready for handling it. The copy shall be sent to the appellee within 10 days after the registration. Handling of the case is not affected by the appellee whether he submits its reply in written form or not.
(9) According to the complaint, a single person will be assigned to treat a simple dispute; otherwise, a group of persons will be needed for that normally.
(10) When the arbitrators are confirmed, both parties of the case should be notified. The litigant may apply to withdraw from arbitrators in words or in written form.
7. According to the investigation and evidence collected, the mediation will be sent to both of litigants by arbitrator.
(1) The mediation will be legal authentic after it is signed by both of the litigants.
(2) For the case, that litigant does not agree to mediate or does not come to an agreement of mediation, arbitrators shall report it to inspection and control team for the complaint & appeal, and then inspection and control team for the complaint & appeal shall report it to the general secretary of committee (CCCAP) for the final mediation.
(3) If there is any disagreement to the decision from the litigant, he may apply to the State Commission for Certification and Accreditation Administration or China National Accreditation Council for Product Certification Bodies (CNACP) for reconsidering within 3 months after the decision is received. Otherwise, the decision shall be legal authentic after this period.
8. Cost for treating the dispute in certification should be paid by the litigant. It includes real expenses on business trip, investigation, testing, appraisal and consult action of experts.
(1) The cost of mediation should be prepaid by the complaints. For the case that is solved by mediation, both parties of litigant should share the expenses through an agreement. If the complainant recalled his complain during the handling process, he should pay the total expenses had been spent on it.
(2) If the result of mediation shows that CCAP or the laboratory should answer for the dispute, CCAP or the Lab should pay the expenses. If the complainant should answer for that, he should pay the expenses. For the case that both parties related to the dispute should answer for that, they should share the expenses for mediation.

X. Alternation of the certification requirements
1.Main alternations of the certification requirements.
(1) Alternation on the standards of product certification;
(2) Alternation on the quality management system (production condition of factory)
2. Process of alternation
(1) CCAP shall inform the qualified enterprise of relevant product about the certification requirements, which are going to be alternated, by fax (or equivalent way) as quickly as possible.
(2) CCAP shall determine the concrete alteration form and effective date, after considered the ideas from relevant parties and give certain time for their improvement.
(3) CCAP shall sent auditor to verify the qualified part after the alteration being effective, to confirm whether the relevant product or system conforms to the alternated requirements or not; if it conforms to the new requirements, a new certificate will be issued for the qualified enterprise and the certification marks are allowed to be used; otherwise, the original certificate will be revolted and the marks will be stopped to use.