标准编号:	CQC-C1301-2014
中文名称:	强制性产品认证实施细则 安全玻璃
英文名称:	China Compulsory Certification Implementation Detailed-Rules - Safety glass
行业分类:	CQ
发布机构:	中国质量认证中心
发布日期:	2014-09-01
实施日期:	2014-9-1
标准状态:	现行
翻译语言:	英文
文件格式:	PDF
中文字符数:	28000 字
翻译价格(元):	3840.00 元
交付时间:	付款后 1 个工作日

1. Introduction



The Detailed Rules for the Implementation of Compulsory Product Certification - Safety Glass (hereinafter referred to as the Detailed Rules) is prepared according to the requirements of the Rules for the Implementation of Compulsory Product Certification - Safety Glass Products (CNCA-C13-01:2014) (hereinafter referred to as the Rules), and shall be used jointly with the Rules as an auxiliary document for the Rules. China Quality Certification Center (hereafter referred to as CQC) formulates and publishes the Detailed Rules according to the requirements of the Rules and the relevant requirements of its documents such as quality manual, procedure document and operation instructions and in line with the principles of maintaining the effectiveness of product certification, improving product quality, serving for certification enterprises, controlling the certification risk, etc.

The Detailed Rules is prepared according to the requirements of the Rules and shall be used jointly with the Rules. The applicable product scope and certification basis of the Detailed Rules are consistent with the relevant requirements of the Rules and are subject to adjustment according to the announcement on catalogue definition and adjustment issued by the Certification and Accreditation Administration of the People's Republic of China (hereinafter referred to as CNCA).

CQC specifies the implementation requirements for compulsory product certification of safety glass products through establishing requirements for classified management of manufacturing enterprises according to the requirements of the Rules and in combination with classification of manufacturing enterprises.



2. Terms and Definitions



2.1 Evaluation of Production Conformity Control

The evaluation of production conformity control for safety glass products in the Detailed Rules includes inspection on enterprise quality assurance capacity and product conformity; the evaluation of production conformity control is aimed at guaranteeing the conformity between the batch-produced glass and the CQC-approved product.



3. Principles for Classification of Manufacturing Enterprises



CQC acquires and reorganizes all kinds of information relevant to the quality of certified product and its manufacturing enterprise so as to classify manufacturing enterprises accordingly. The certification client, producer (manufacturer) and manufacturing enterprise shall coordinate with CQC.

CQC classifies the manufacturing enterprises into four categories which are expressed as A, B, C and D respectively.

The quality information on which manufacturing enterprise classification is based contains at least the following aspects:

① Factory inspection (including initial factory inspection and post-certification follow-up inspection) results;

② Type test and supervision sampling testing (production site sampling) results;

③ Results of random inspection in national or provincial quality supervision, CCC special supervision inspection, etc.;

④ Coordination of certification client, producer (manufacturer) and manufacturing enterprise in post-certification supervision;

⑤ Media exposure and the quality information feedback of product user and public;

⑥ Quality condition of certified product;

⑦ Other information.

See Table 1 for the principles for classification of manufacturing enterprises.

Table 1 Principles for Classification of Manufacturing Enterprises

Category Classification principle

A The enterprises meeting all of the following conditions can be listed as Category A enterprises through comprehensive risk assessment by the certification authority:

The enterprises have passed and there is no nonconforming item found in the quality assurance capacity inspection and product conformity inspection for two consecutive years; there is no rejected product testing and/or inspection; the conclusion of all random inspections in national and provincial quality supervision and CQC special supervision inspection is "qualified"; there is no product quality complaint and/or event resulting in adverse effect on the society;

B Other manufacturing enterprises except those of Categories A, C and D

Manufacturing enterprises without any quality information are classified into Category B by default

C Manufacturing enterprise meeting any of the following conditions can be listed as Category C:

(1) Conclusion of factory inspection is judged as "site verification";

(2) There is media exposure about product quality problem for the reason of enterprise, but the problem is not serious enough to result in suspension of certificate;

(3) The manufacturing enterprise needs to be adjusted to Category C as considered by CQC as per the result of comprehensive evaluation on the relevant quality information of manufacturing enterprise and certified product.

(4) The enterprises pass the initial application after two times or more retests.

(5) According to other information, the enterprises shall be listed as Category C through comprehensive evaluation.

D Manufacturing enterprise meeting any of the following conditions can be listed as Category D:

(1) Conclusion of factory inspection is judged as "rejected";

(2) The result of sampling testing is "unqualified", and such disqualification will affect product safety performance;

(3) Reject inspection and/or supervision sampling without justifiable reasons;

(4) There is media exposure for the reason of enterprise, and it has a great effect on product quality;

(5) The conclusion of national and provincial random inspections, 3C special inspection, etc., is "unqualified" and is caused by the quality problem of enterprise.

CQC will determine the classification result (category) of manufacturing enterprises according to the above classification principles based on various quality information acquired in real time.

Manufacturing enterprises without any quality information, entrusting certification for the first time, are classified into Category B by default. In principle, the result (category) of manufacturing enterprise classification must be gradually upgraded in the sequence of D-C-B-A while degraded in the sequence of A-B-C-D, or directly adjusted to corresponding category after risk assessment.



4. Selection of Certification Mode



Basic certification mode: type test + initial factory inspection + post-certification supervision.

In the above-mentioned basic certification mode, initial factory inspection is evaluation of production conformity control (enterprise quality assurance capacity and product conformity inspection). Post-certification supervision mode is any one or combination of post-certification follow-up inspection, sampling testing or inspection on production site and market sampling testing or inspection.



5. Certification Unit Division



Certification unit division shall comply with the Attachment 1 of the Rules for the Implementation of Compulsory Product Certification - Safety Glass (CNCA-C13-01:2004).



6. Certification Process and Time Limit



6.1 Certification Process

Certification process includes: certification entrustment, acceptance and data review, collection of expenses, scheme planning, type test and initial factory inspection, certification result evaluation and approval, issuance of certification decision, post-certification supervision, etc.



6.2 Certification Time Limit

Generally, certificate will be issued within 90 days since the acceptance of certification entrustment, covering time for type test and initial factory inspection, submittal time for post-inspection report (if applicable), certification result evaluation and approval date, as well as certificate fabrication time. As for insulated safety glass for building, due to its long experimental period, such a certificate will be issued within 120 days since the acceptance of certification entrustment.

The duration for completing the certification activities above excludes that for correction, retest and inspection. CQC shall inform the client of the nonconformity with certification requirements and give the reason.

Certification process and time limit not specified in the Detailed Rules are subject to the requirements of related procedure documents and operation instructions of CQC. CQC shall control the certification time limit according to the requirements of relevant procedure documents and operation instructions so as to complete related work and the certification client, producer and the manufacturing enterprise shall work in coordination.

If certification is overtimed resulting from delayed certification activities due to the certification client, producer and manufacturing enterprise themselves, it shall not be counted into the certification time.



7. Pre-certification Requirements



7.1 Certification Entrustment

7.1.1 Proposal and Acceptance of Certification Entrustment

The certification client shall propose certification entrustment to CQC online (www.cqc.com.cn), during which, it shall provide necessary enterprise information and product information as required, including business registration certification and organization code. CQC shall examine the application according to relevant requirements, and send out the acceptance or refusal notice timely, or require the certification client to re-propose the certification application after correction.

7.1.2 Application data

After the application is accepted, the certification client shall provide relevant certification entrustment data and technical materials to CQC as required (see Attachment 1 for details).

Upon the receipt of valid certification entrustment data, CQC will conduct conformity audit on such data in accordance with relevant review requirements, and send out a notice of data audit result to the certification client. If the data fail to meet the requirements, certification client shall be notified for further supplement.

Certification client shall be responsible for the authenticity of the provided data.

CQC manages and preserves the certification data provided by certification client, and bears the obligation of confidentiality.



7.2 Type Test

7.2.1 Type test scheme

For certification entrustment requiring type test, CQC shall, after the acceptance of application data review, formulate type test scheme and inform the certification client. Type test scheme shall include information such as sample delivering requirements and quantity, testing standards and items, and laboratory information.

7.2.2 Sample requirements

Generally, type test and initial factory inspection shall be carried out simultaneously. The certification client shall prepare and submit samples to the designated laboratory according to the requirements of type test scheme, or CQC may arrange for designated laboratory personnel to conduct test on site by using factory testing resources.

Type test samples shall be the products manufactured by and inside the manufacturing enterprise entrusting for certification in normal processing mode. The certification client shall ensure the conformity between the provided sample and the actual product.

In principle, the manufacturing enterprise shall ensure to submit samples to the designated laboratory for type test within 20 days. If the certification client fails to submit samples within specified time due to exceptional circumstances, adequate reasons for the delay shall be given to CQC.

The laboratory shall check the authenticity of sample provided by the certification client according to the relevant requirements of sample check and submit the checking result to CQC and CQC will take measures correspondingly.

7.2.3 Sample quantity and testing items and requirements

Sample quantity and testing items and requirements shall comply with the Attachment 3 of the Rules for the Implementation of Compulsory Product Certification - Safety Glass (CNCA-C13-01:2004).

7.2.4 Implementation of type test

The laboratory shall carry out type test on the samples, guarantee the authenticity and accuracy of the testing conclusion, and shall keep complete record of the whole test process, file the record and guarantee the traceability of the testing process and results. In case of any abnormality in the process of type test, it shall be communicated with CQC without delay and appropriately treated.

In case of any rejected test item during type test, the certification client is allowed to make correction; the certification client shall complete correction within 3 months, and submit valid correction data and sample to CQC. In retest, certification client shall provide new sample with the same specification as initial test for testing; if all the retested items/correction verification are qualified, the product type test is deemed as qualified in retest; if not, the product type test is deemed as unqualified.

Generally, correction and retest shall be completed within 3 months; due to overlong test cycle of insulated safety glass for building, the client shall send the retest samples to the laboratory within 1 month upon the receipt of correction notice; any overdue correction is considered as the certification client's waiver of certification entrustment, and the certification is hereby terminated. The certification client may also initiatively terminate the certification entrustment.

After the type test, test sample and relevant data shall be disposed according to the relevant requirements of sample verification.

Generally, the type test duration is not greater than 30 days and that of insulated safety glass for building shall not exceed 90 days (calculated from the date when samples arrive at the designated laboratory to the issue date of type test report). The duration for the enterprise making correction is excluded).

7.2.5 Type test report

CQC shall be responsible for formulating a uniform format of type test report.

The laboratory shall issue type test report in uniform format. The laboratory and relevant personnel shall be responsible for the correctness of the contents in the issued type test report and testing conclusions.

1. Introduction
2. Terms and Definitions
2.1 Evaluation of Production Conformity Control
3. Principles for Classification of Manufacturing Enterprises
4. Selection of Certification Mode
5. Certification Unit Division
6. Certification Process and Time Limit
6.1 Certification Process
6.2 Certification Time Limit
7. Pre-certification Requirements
7.1 Certification Entrustment
7.2 Type Test
7.3 Initial Factory Inspection
7.4 Evaluation and Approval of Certification Results
8. Certification Requirements for Post-certification Supervision
8.1 Selection of Post-certification Supervision Mode
8.2 Man-days of Post-certification Supervision
8.3 Frequency and Contents of Post-certification Supervision
8.4 Requirements for Post-certification Follow-up Inspection
8.5 Supervision Sampling
8.6 Market Sampling Testing
8.7 Evaluation and Approval of Post-certification Supervision Result
8.8 Requirements for Testing with the Testing Resources of Manufacturing Enterprise
9. Certificate
9.1 Validity Period of Certificate
9.2 Certificate Content
9.3 Certificate Alteration/Extension
9.4 Narrowing of Certification Scope
9.5 Cancellation, Suspension and Revocation of Certificate
9.6 Certificate Recovery
9.7 Use of Certificate
10. Certification Mark
11. Charge Basis and Requirements
12. Requirements for Process and Time Limit Related to Technical Dispute, Complaint and Appeal
Attachment 1: Materials to be submitted in Certification Entrustment
Attachment 2-1: On-site Designated Test in Initial Factory Inspection
Attachment 2-2: On-site Designated Test in Factory Inspection during Post-certification Supervision
Attachment 3: Post-certification Supervision Sampling Testing Items and Requirements
Attachment 4: Requirements for the Items and Minimum Frequency of Confirmation Inspection
Attachment 5: Requirements for Factory Quality Assurance Capacity

1.引言
安全玻璃产品实施细则(以下简称实施细则)是依据《强制性产品认证实施规则安全玻璃产品》(CNCA-C13-01：2014)(以下简称实施规则)的要求编制，作为认证实施规则的配套文件。依据实施规则和中国质量认证中心(以下简称CQC)的质量手册、程序文件、作业指导书等有关要求，本着维护产品认证有效性、提升产品质量、服务认证企业和控制认证风险等原则，制定并公布本认证实施细则。
本认证实施细则依据实施规则的要求编制，应与实施规则共同使用。细则适用的产品范围、认证依据与实施规则中的有关规定保持一致，并根据国家认证认可监督管理委员会(以下简称国家认监委)发布的目录界定、目录调整等公告实施调整。
CQC依据认证实施规则的规定，建立生产企业的分类管理要求，结合生产企业的分类，明确安全玻璃产品强制性产品认证的实施要求。
2.术语和定义
2.1生产一致性控制的评价
本实施细则中对安全玻璃产品的生产一致性控制评价包括企业质量保证能力检查和产品一致性检查，生产一致性控制评价的目的是确保批量生产的玻璃与获得CQC批准的产品的一致性。
3.生产企业分类原则
CQC收集、整理与认证产品及其生产企业有关的各类质量信息，并据此对生产企业进行分类。认证委托人、生产者(制造商)、生产企业应予以配合。
CQC将生产企业分为四类，分别用A、B、C、D表示。
生产企业分类所依据的质量信息至少包含如下方面：
①工厂检查(包括初始工厂检查和获证后的跟踪检查)结论；
②型式试验和监督抽样的检测结果(生产现场抽样)；
③国家级或省级质量监督抽查结果、CCC专项监督检查结论；
④认证委托人、生产者(制造商)、生产企业对获证后监督的配合情况；
⑤媒体曝光及产品使用方、社会公众的质量信息反馈；
⑥认证产品的质量状况；
⑦其他信息。
生产企业分类原则见表1。
表1：生产企业分类原则
类别 分类原则
A 满足以下全部条件的企业，经认证机构进行综合风险评估可列入A级企业：
企业连续两年，质量保证能力检查和产品一致性检查结果通过且无不符合项，产品检测和/或检查无不合格，无国家级或省级质量监督抽查、CCC专项监督检查不合格情况；未发生对社会造成不良影响的质量投诉和/或事件。
B 除A类、C类、D类的其他生产企业
对没有任何质量信息的生产企业，其分类定级默认为B类
C 满足以下条件之一的，均可列入C类企业
(1)工厂检查结论判定为“现场验证”的；
(2)被媒体曝光产品质量存在问题且系企业责任，但没有严重到需暂停证书的；
(3)CQC根据生产企业及认证产品相关的质量信息综合评价结果认为需调整为C类的；
(4)初次申请认证时，试验复试2次及以上才获通过的。
(5)根据其他信息，综合评价需列入的。
D 满足以下条件之一的，均可列入D类企业
(1)工厂检查结论判定为“不通过”的；
(2)抽样检测结果为不合格且影响到产品安全性能的；
(3)无正当理由拒绝检查和/或监督抽样的；
(4)被媒体曝光且系企业责任，对产品质量影响较大的；
(5)国抽、省抽、3C专项检查等结论为不合格且系企业产品质量问题的；

CQC将依据所实时收集的各类质量信息，按照上述分类原则确定生产企业的分类结果(类别)。
对于无质量信息的初次委托认证的生产企业，其生产企业分类结果(类别)为B级。原则上生产企业分类结果(类别)按照D—C—B-A的次序逐级提升，按A—B—C—D的次序逐级下降，或经过风险评估后直接调整到相应类别。
4.认证模式选择
基本认证模式：型式试验+初始工厂检查+获证后监督。
上述基本认证模式中，初始工厂检查为生产一致性控制的评价(企业质量保证能力检查和产品一致性检查)；获证后监督方式为获证后的跟踪检查、生产现场抽取样品检测或检查、市场抽样检测或检查三种方式之一或组合。
5.认证单元划分
按CNCA-C13-01：2004《强制性产品认证实施规则 安全玻璃》附件1执行。
6.认证流程及时限
6.1认证流程
认证流程包括：认证委托、受理及资料评审、收费、方案策划、型式试验和初始工厂检查、认证结果评价及批准、认证决定发出和获证后监督等环节。
6.2认证时限
一般情况下，自受理认证委托之日起至颁发认证证书时止不超过90天，包括型式试验时间、初始工厂检查时间及检查后提交报告时间(适用时)、认证结果评价和批准时间，以及证书制作时间。对建筑用安全中空玻璃，因实验周期长，自受理之日起至颁发认证证书时止不超过120天。
以上认证活动完成时间，不包括不符合整改时间及复试检测时间。对不符合认证要求的情况，CQC应通知委托人，并说明理由。
本细则没有做出明确规定的认证流程及时限，以CQC有关程序文件及作业指导书要求为准。CQC将按照相关程序文件和作业指导书的要求控制认证时限完成相关工作，认证委托人、生产者、生产企业应予以配合。
由于认证委托人、生产者、生产企业其自身原因逾期未完成认证活动导致认证超时，不计入认证时间内。
7.获证前的认证要求
7.1认证委托
7.1.1认证委托的提出与受理
认证委托人通过网络(www.cqc.com.cn)向CQC提出认证委托。提出认证委托时，需提供必要的企业信息和产品信息，包括工商注册证明、组织机构代码等。CQC依据相关要求对申请进行审核，及时发出受理或不予受理的通知，或要求认证委托人整改后重新提出认证申请。
7.1.2申请资料
认证委托人应在认证委托受理后按CQC的要求提供有关认证委托资料和技术材料(详见附件1)。
CQC收到有效的认证委托资料后，依据相关评审要求对委托材料进行符合性审核，向认证委托人发出资料审核结果的通知。如资料不符合要求，应通知认证委托人补充完善。
认证委托人应对提供资料的真实性负责。
CQC对认证委托人提供的认证资料进行管理、保存，并负有保密的义务。
7.2型式试验
7.2.1型式试验方案
对于需要进行型式试验的认证委托，且认证委托人提供的资料审核合格后，CQC应制定型式试验方案，并通知认证委托人。型式试验方案包括送试样品的要求和数量、检测标准、检测项目、实验室信息等信息。
7.2.2样品要求
一般情况下，型式试验与初始工厂检查同时进行，由认证委托人按型式试验方案的要求准备样品并送往指定实验室，或由指定实验室人员利用工厂检测资源在现场完成试验。
试验样品应是在申请认证的生产企业内按正常加工方式生产的产品；认证委托人应保证其提供的样品与实际生产的产品一致。
原则上，生产企业应确保在20天内将样品送指定实验室进行型式试验。如认证委托人因特殊情况未在规定时间内送出样品，需向CQC提供其延迟送样的充分理由。
实验室应在收到样品后按样品核查的有关规定对认证委托人提供样品的真实性进行审查，并将审查结果上报CQC，CQC依据上报结果做出相应处理。
7.2.3样品数量、检测项目及要求
按照CNCA-C13-01：2004《强制性产品认证实施规则 安全玻璃》附件3执行。
7.2.4型式试验的实施
实验室对样品进行型式试验，应确保检测结论真实、准确，对检测全过程做出完整记录并归档留存，以保证检测过程和结果的记录具有可追溯性。型式试验过程发现异常情况时，应及时与CQC沟通，并做出相应处理。
当型式试验有不合格项目时，允许认证委托人进行整改；应在3个月内完成整改并向CQC提交有效的整改资料和样品。复试时认证委托人应重新提供与初次检测相同规格样品进行检测，当复试全部检测项目/整改验证合格时，方为产品型式试验复试通过；复试检测结果不合格，为产品型式试验不合格。
通常整改和复试应在3个月内完成，建筑用安全中空玻璃由于试验周期太长，委托人应在接到整改通知后1个月内将复试样品送到实验室，超过该期限的视为认证委托人放弃认证委托，终止认证；认证委托人也可主动终止申请。
型式试验后，按样品核查的有关规定处置试验样品和相关资料。
型式试验时间一般不超过30天，建筑用安全中空玻璃不超过90天(从实验室收样日期起，至型式试验报告签发日期止)，不包括企业进行整改的时间。
7.2.5型式试验报告
CQC负责组织编制统一的型式试验报告格式。
实验室应按统一格式出具型式试验报告，实验室及其相关人员应对其做出的型式试验报告内容及检测结论正确性负责。
7.3初始工厂检查
初始工厂检查是在生产者(制造商)和/或生产企业提交的文件审核通过后，由CQC委派覆盖玻璃专业的检查组到生产现场对生产一致性控制的执行情况进行确认，应覆盖委托认证的产品及其加工场所，现场检查时，生产企业应确保委托认证的产品在生产。
一般情况下，初始工厂检查与型式试验同时进行，也可以在型式试验之前或之后进行，如果型式试验在工厂检查完成之后结束，当发生复试时，如有重大的工艺调整，必要时，须重新进行工厂检查。
7.3.1检查范围
初始工厂检查包括工厂质量保证能力检查和产品一致性检查，工厂质量保证能力检查应覆盖所有与委托认证单元产品质量相关的部门、场所、人员、活动，产品一致性检查包括且不限于下述检查内容：
A.认证产品申请/备案的关键原材料一致性检查；
B.认证产品现场指定试验；
C.认证产品标志的检查。
7.3.2检查要求
7.3.2.1工厂质量保证能力检查
初始工厂检查时，生产企业应确保委托认证的产品在生产。
工厂质量保证能力检查依据附件5执行。
7.3.2.2产品一致性检查
产品一致性检查应覆盖每一种类认证产品。
关键原材料一致性检查依据委托人申请备案的关键原材料供应商清单。
现场指定试验：
通常情况下，检查组现场随机抽取样品，对必须由试样完成的试验项目，可由企业现场制作样品，由生产企业实验室依据国家标准进行试验，现场指定试验对初始工厂检查和获证后监督工厂检查，检验项目有所不同，见附件2。
7.3.3初始工厂检查时间
检查人日根据生产企业(场所)、检查内容和所委托认证产品的种类、单元及覆盖的产品规格数量确定，并适当考虑生产企业的规模，一般为4～6人日/加工场所，对仅生产建筑用安全中空玻璃的工厂，检查人日数为2人日/加工场所。
7.3.4检查结论
初始工厂检查未发现不符合项或有轻微不符合项且现场已完成整改并经检查组确认有效的，工厂检查结果评价为合格。
初始工厂检查存在不符合项，可允许限期(不超过3个月)整改。生产企业应采取纠正措施，并将整改材料报检查组。检查组对整改情况进行书面验证或现场验证。整改有效的，工厂检查结果为合格；逾期未完成整改或整改结果不满足要求的，工厂检查结果为不合格，终止本次检查，终止认证。现场指定试验不合格时，工厂应分析查找原因，并采取纠正、预防措施，对工厂质保体系进行整改，并将整改材料报检查组，经检查组现场验证后，方可判定工厂检查通过。
初始工厂检查存在严重不符合项，且直接危及产品一致性或产品与标准的符合性时，工厂检查不通过。
7.4认证结果评价与批准
认证机构对型式试验、初始工厂检查的结论和有关资料/信息进行综合评价，评价通过，按单元颁发认证证书；当型式试验不合格、初始工厂检查不通过，CQC做出不合格决定，终止认证。终止认证后认证委托人如要继续委托认证，应重新提出认证委托。
8、获证后监督的认证要求
认证委托人、生产者(制造商)、生产企业应确保其持续生产的获证产品符合法律法规和标准要求、企业质量保证能力和产品一致性控制持续符合认证要求。认证委托人、生产者(制造商)、生产企业应在本文第8.3条规定的周期内接受监督，否则按不能接受获证后监督处置。
8.1获证后监督方式选择
获证后的监督方式包括获证后跟踪检查、生产现场抽取样品检测、市场抽样检测；结合生产企业分类结果和实际情况，获证后监督为其中一种或多种方式的组合。
8.1.1 A类企业
获证后监督方式为“获证后跟踪检查及产品一致性检查，必要时，增加生产现场抽样检测”。
8.1.2 B类企业
获证后监督方式为“获证后跟踪检查及产品一致性检查，必要时，增加生产现场抽样检测”。
8.1.3 C类企业
获证后监督方式为“获证后跟踪检查及生产现场抽取样品检测”，优先采取不预先通知的方式实施获证后跟踪检查。
8.1.4 D类企业
获证后监督方式为“获证后跟踪检查及抽取样品检测”，采取不预先通知的方式实施获证后跟踪检查。
8.2获证后监督人日
获证后监督的总人日为1～4人日/生产企业，依企业分类所对应的检查内容、企业获证产品的种类数量决定监督的人日数。
8.3获证后监督频次、内容
8.3.1基本要求
按照生产企业分类结果(类别)，获证后监督的频次和内容见表3。
表3获证后监督的频次和内容
类别 获证后监督频次和内容
A 2年内完成1次：跟踪检查，必要时产品抽样检测
跟踪检查内容为工厂质量保证能力要求条款3、5、10和产品一致性检查。
B 1年内完成1次：跟踪检查，必要时产品抽样检测
跟踪检查内容为工厂质量保证能力要求部分条款和产品一致性检查，五年覆盖一次全条款检查。
C 1年内完成1次：跟踪检查+产品抽样检测
跟踪检查内容为工厂质量保证能力检查、关键原材料一致性检查、标志检查。优先采取不预先通知的方式实施。
D 1年内完成1次跟踪检查+1次特殊检查+1次产品抽样检测，跟踪检查内容为工厂质量保证能力检查、关键原材料一致性检查、标志检查。
采取不预先通知的方式实施。

8.3.2其他增加监督频次的情况
当A、B、C、D类生产企业出现以下情况时，在基本监督频次的基础上增加监督频次：
1)获证产品出现严重质量问题(如发生国家级或省级质量监督抽查不合格等)，或用户提出质量投诉并造成较大影响，经查实为认证委托人/生产者(制造商)/生产企业责任的。
2)CQC有理由对获证产品与标准安全要求的符合性提出质疑时。
3)当生产企业分类结果(类别)下降时。
增加频次的监督检查采取不预先通知的方式进行。
8.4获证后跟踪检查的要求
工厂检查组按照CQC的要求，到工厂现场对获证产品及生产一致性控制执行情况进行跟踪检查，跟踪检查的内容至少包括工厂质量保证能力的跟踪检查，前次工厂检查不合格整改措施有效性的验证、产品一致性检查、法律法规及其他要求执行情况、认证证书和认证标志的使用等。不同类别企业跟踪检查的内容按本细则8.3.1执行，获证后的跟踪检查原则上应在生产企业正常生产时进行，正常生产的产品至少覆盖有效证书的产品类别(见附件3)。
对于以ODM模式获证的，在跟踪检查中增加对ODM生产企业的核查内容，包括ODM合作协议的执行情况、认证标志管理、顾客产品管理、生产销售管理、ODM生产企业为其他生产者(制造商)生产认证产品的实际情况等。在进行产品一致性检查时特别关注ODM产品的一致性。
8.5监督抽样
8.5.1生产现场抽样检测
监督抽样由检查组完成，抽样地点在生产企业的生产现场或库房中抽取，能用成品进行试验的项目尽量抽取成品进行试验，不能用成品进行试验的样片，可适当提前通知企业生产或者现场生产制作。原则上，每次监督抽样应抽取不同单元的产品，抽取的样品应加贴标签，由工厂负责送到指定实验室检测，或由指定实验室人员利用工厂检测资源在现场完成试验。
8.5.2抽样检测项目及要求
按本细则附件3执行，
8.5.3抽样规格和数量
按每个检验项目对应的国家标准要求执行。
8.6市场抽样检测
按CQC相关文件要求执行
8.7获证后监督结果的评价与批准
8.7.1跟踪检查评价
跟踪检查未发现不符合项或有轻微不符合项且现场已整改并经检查组确认有效的，跟踪检查结果评价为通过。
跟踪检查存在不符合项且未对产品安全性能造成严重影响时，允许限期(不超过2个月)整改。企业应采取纠正措施，并将整改材料报检查组。CQC检查组对整改情况进行书面验证或现场验证。整改有效的，跟踪检查结果为合格；逾期未完成整改及整改结果不满足要求的，跟踪检查结果为不通过。
跟踪检查发现严重不符合项，且直接危及产品一致性或产品与标准的符合性时(如现场指定试验不合格)，跟踪检查结果为不通过。
8.7.2监督抽样检测结果评价
当产品监督抽样检测合格时，产品抽样检测/市场抽样检测评价结果为通过。
当产品监督抽样检测不合格时，暂停该样品单元的证书。同时对该小类(指附件3的产品类别，下同)产品的其他所有单元进行抽样检测，检测结果合格的，保留证书，检测结果不合格，暂停该单元的证书。
8.7.3综合评价
获证后监督结果的综合评价包括跟踪检查评价、生产现场抽取样品检测和/或市场抽样检测的评价。
获证后监督结果评价通过时，CQC向认证委托人发出批准保持认证证书通知书，准许继续使用认证证书和认证标志。若任意一项评价结果不通过，则获证后监督结果评价不通过；CQC根据相应情况做出暂停或撤销认证证书的决定。
8.8利用生产企业检测资源实施检测的要求
按国家认监委《生产企业检测资源及其他认证结果的利用》文件规定执行。