1. Introduction
Implementation Rules for Compulsory Certification on Plant Protection Machinery (hereinafter referred to as “Implementation Rules”) were prepared in accordance with such rules as Compulsory Product Certification Implementation Rules – Agricultural Machinery Product （CNCA-C14-01:2014）(hereinafter referred to as “AMP Rules”), and Choice & Confirmation of Manufacturer Classification Management and Certification Mode （CNCA-00C-003）, as the supporting documents. In line with such principles as maintaining the effectiveness of product certification, improving the product quality, serving certificated enterprises and controlling certification risks, the certification authority prepared and issued the Implementation Rules.
The product scope and certification criteria applicable to the Implementation Rules are executed in accordance with AMP Rules, and adjusted according to such announcements as Contents Definition and Contents Adjustment issued by Certification and Accreditation Administration of the Peoples’ Republic of China (hereinafter referred to as CNCA).
In accordance with the AMP Rules, the certification authority establishes manufacturer classification management system, and confirms implementing requirements for compulsory certification of plant protection machinery products in combination with the manufacturer classification.
2. Terms & Definitions
2.1 Initial Factory Inspection
The initial factory inspection on plant protection machinery products in Implementation Rules includes two parts – product conformity inspection and quality guarantee capacity inspection. The evaluation purpose of production conformity control is to guarantee the conformity of plant protection machinery in batch production to the products approved by certification authority.
2.2 Manufacturer Classification Management
The manufacturer classification management in the Implementation Rues refers that, as for manufacturers of the same category of products, the certification authority conduct comprehensive evaluation based on the qualify-related information such as the manufacturer quality guarantee capacity, integrity & law abiding status and the product quality status, classify the manufacturers, so as to implement differentiated management on the products manufactured by different categories of manufacturers, in such aspects as certification mode selection and post-certification supervision, in order to fulfill the objectives – controlling certification risks, improving the certification quality and efficiency and guarantee the consistent certification conformity of certified products.
2.3 Basic Certification Mode
Basic Certification Mode refers to the combination of basic elements for product certification, confirmed according to the risk features inherent in products and production technology commonly adopted by enterprises, with the objectives to guarantee the consistent conformity of products to compulsory certification standards, under the premise of integrity self-discipline, effective management and stable production of manufactures.
2.4 Certification Mode
Certification mode is the short term for specific implementation certification mode which certification authority selects and confirms based on the products of the manufacturers.
To effectively control certification risks, improve consistent conformity of certification results, and enhance supervision requirements, the certification authority gradually adds combination of necessary certification elements based on basic certification mode, via evaluation on the potential risks in event of inconformity, for the certification objects which are unsuitable for certification implemented in basic certification mode, in accordance with the actual situation of its classification management over manufacturers.
2.5 Manufacturer (Production Site, Factory)
Manufacturer refers to the site for final manufacture, assembling and/or test, and certification mark addition of the certification products. Without particular introduction in this Implementation Rules, the production site and factory both refer to the manufacturer.
Note: “Processing place” in the Implementation Rues is just the place in this Definition.
2.6 Factory Inspection
It refers to the evaluation on factory quality guarantee capacity, product consistency, and the conformity between product and standard. Its scope includes product scope and location boundary.
Note: product scope refers to the certification product. Location boundary refers to the location, department, activity and process; in event that the manufacture of certification products involves multiple places, the location boundary for factory inspection shall at least include routine inspection, product nameplate addition, and the location for CCC marking link; if necessary, further inspection, namely extended inspection shall be conducted in other places (e.g. key procedures).
2.7 Written Verification
It refers to the process to verify the effectiveness of corrective measures on product/system non-conformity according to the submitted documentary evidence.
2.8 Test Verification
It refers to the procedure to verify the effectiveness of corrective measures adopted for unqualified products according to the prototype inspection results. If necessary, the test verification items also involve the ones associated with disqualification.
2.9 Site Verification
It refers to the procedure to verify the effectiveness of the corrective measures adopted for unqualified/incompetent items based on the site inspection results.
2.10 General Incompetence
It refers to the fact of the occasional & slight failure in factory quality control system.
2.11 Severe Incompetence
It refers to the systematic, regional or severely consequential failure facts in factory quality control system, including lack of basic production condition, unqualified in product consistency inspection, unqualified in site inspection of key product items, repetitive occurrence of key procedure control problems for real product quality, as well as safety accidents or product safety risk incurred of product defects, etc.
3. Principle for Manufacturer Classification
3.1 Certification authority classifies manufactures into four classes: A, B, C and D, with the classification principles detailed in Table 1:
Contents
Foreword I
1. Introduction
2. Terms & Definitions
2.1 Initial Factory Inspection
2.2 Manufacturer Classification Management
2.3 Basic Certification Mode
2.4 Certification Mode
2.5 Manufacturer (Production Site, Factory)
2.6 Factory Inspection
2.7 Written Verification
2.8 Test Verification
2.9 Site Verification
2.10 General Incompetence
2.11 Severe Incompetence
3. Principle for Manufacturer Classification
4. Selection of Certification Mode
5. Division of Certification Unit
6. Certification Process and Time Limit
6.1 Certification Process
6.2 Certification Time Limit
7. Pre-certification Requirements
7.1 Certification Authorization
7.2 Type Test
7.3 Initial Factory Inspection (Factory Quality Assurance Capacity and Product Conformity Inspection)
7.4 Certification Results Evaluation and Approval
8 Certification Requirements for Post-certification Supervision
8.1 The Selection of Method and Frequency for Post-Certification Supervision
8.2 Requirements for Post-Certification Follow-up Inspection
8.3 Requirements for Sampling Inspection on Production Site
8.4 Requirements for Sampling Inspection on Production Field and/or Market
8.5 Post-certification Supervision Inspection Person Days
8.6 Evaluation and Approval of Post-certification Supervision Results
9. Requirements for Implementing Inspection with Manufacturer's Testing Resources
10. Certificate
10.1 Validity Period of Certificate
10.2 Contents of Certificate
Annex 5-3 Items, Methods and Conformity Indexes for Product Inspection- Knapsack Sprayer
Annex 5-4 Items, Methods and Conformity indexes for Product Inspection - Knapsack Electric Sprayer
Annex 5-5 Items, Methods and Conformity indexes for Product Inspection - Compressed Sprayer
Annex 5-6 Items, Methods and Conformity Indexes for Product Inspection - Pedal Sprayer
Annex 5-7 Items, Methods and Conformity Indexes for Product Inspection - Aerosol Sprayer
10.3 Certificate Changes
10.4 Certificate Expansion
10.5 Narrowing of Certification Scope
10.6 Suspension, Revocation, Cancel and Recover for Certificate
10.7 Use of Certificate
10.8 ODM Certificate
11. Certification Marks
12. Charge Basis and Requirements
13. Requirements for Process and Time Limit Related to Technology Dispute, Complaint and Appeal
13.1 Dispute
13.2 Complaint
13.3 Appeal
Annex 1: Materials to be Submitted in Certification Authorization
Annex 2 List of 3C Certified Products and Safety Critical Parts of Plant Protection Machinery
Annex 3 Compulsory Product Certification Factory Quality Assurance Capacity Requirements
Annex 4 Main Technical Specifications and Inspection Methods of the Product
Annex 5-1 Inspection Item, Method and Conformity Index - Knapsack Sprayer-duster of the Product
Annex 5-2 Inspection Item, Method and Conformity Index of the Product - Motorized Knapsack Sprayer
Annex 5-3 Items, Methods and Conformity Indexes for Product Inspection- Knapsack Sprayer
Annex 5-4 Items, Methods and Conformity indexes for Product Inspection - Knapsack Electric Sprayer
Annex 5-5 Items, Methods and Conformity indexes for Product Inspection - Compressed Sprayer
Annex 5-6 Items, Methods and Conformity Indexes for Product Inspection - Pedal Sprayer
Annex 5-7 Items, Methods and Conformity Indexes for Product Inspection - Aerosol Sprayer
Annex 5-8 Items, Methods and Conformity Index for Product Inspection - Power Sprayer
Annex 5-9 Items, Methods and Conformity Index for Product Inspection- Boom Sprayer
Annex 5-10 Items, Methods and Conformity Index for Product Inspection - Air-Assisted Sprayer
Annex 5-11 Items, Methods and Conformity Index for Product Inspection- Electric Pneumatic ULV Sprayer
Annex 5-12 Supplementary Inspection Item, Method and Conformity index of Self-propelled Plant Protection Mechanical Products
Annex 6 Necessary Production and Inspection Devices
Annex 7 Critical Components and Parts of Plant Protection Machinery
Annex 8 Key Production Process
