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0 Introduction The Rules was formulated based on the safety risk and certification risk of motorcycles. It specifies the basic principles and requirements for compulsory certification of all motorcycles within its application scope with a view to guaranteeing the certified motorcycles always complying with the laws, regulations and standard requirements. The Rules shall be used together with the general implementation rules issued by the Certification and Accreditation Administration of the Republic of China (CNCA), e.g., "Implementation Rules for Compulsory Product Certification - Production Enterprise Classified Management, Certification Mode Selection and Determination", "Implementation Rules for Compulsory Product Certification - Utilization of Testing Resources and Other Certification Results of Production Enterprises" and "Implementation Rules for Compulsory Product Certification - General Requirements for Plant Inspection". The certification body shall formulate the certification implementation regulations in accordance with the requirements of general implementation rules and the Rules and in combination with classified management of production enterprises, and shall implement these regulations together with the general implementation rules and the Rules. The production enterprises shall ensure that their certified products always meet the requirements of certification and applicable standards. 1 Application Scope The Rules is applicable to such motorcycles which can be driven on the highways and urban roads in China. It is not applicable to the following items: a. Track vehicles, track racers, sport utility vehicles designed and manufactured for off-road driving and use. b. Motor vehicles (including motor wheelchairs, electric wheelchairs, etc.), electric bicycles and the like for the disabled, etc. The adjustment of application scope caused by the changes of factors such as laws, regulations, relevant product standards, technologies, and industrial policies shall be subject to the announcement issued by CNCA. The application for exemption from certification due to scientific research, testing or other special reasons shall comply with "Regulations on Compulsory Product Certification" and the relevant requirements of CNCA. 2 Terminologies and Definitions The definitions of vehicles are detailed in "Safety Specifications for Power-driven Vehicles Operating on Roads" (GB 7258) and "Term for Motorcycles and Mopeds - Part 1: Types of Vehicles" (GB/T 5359.1); the classification of vehicles is detailed in "Classification of Power-driven Vehicles and Trailers" (GB/T 15089). 3 Reference Standards for Certification The standards referenced for certification according to the Rules are detailed in Attachment 1 - "Type Test Items and Reference Standards". In principle, the standards on which certification and testing are based shall be the latest editions issued by the administrative department of standardization of the nation. New applicable standards or other editions of service standards, if required, shall be added in accordance with CNCA's announcements applicable to relevant standards. 4 Certification Mode The basic certification modes specified in the Rules are determined under the premise of the integrity and self-discipline, effective management and stable production of production enterprises and on basis of the inherent safety risk features of products and the production processes commonly adopted by production enterprises. The certification body carries out classified management over the production enterprises according to the requirements of "Implementation Rule for Compulsory Product Certification - Production Enterprise Classified Management, Certification Mode Selection and Determination" and also adds certification elements on the basis of basic certification modes in combination with the classified management results, in order to determine the certification mode applicable to the certification client. Basic mode: type test + initial plant inspection (enterprise quality assurance capacity and product conformity inspection)+ post-certification supervision Motorcycle production enterprise quality assurance capacity and production conformity shall be inspected in accordance with production conformity inspection mode. Post-certification supervision refers to one or combination of the following: post-certification follow-up inspection, sampling testing/inspection at production site or port, and market sampling testing/inspection. 5 Certification Unit Division In principle, certification authorization shall be carried out for motorcycles according to certification authorization unit and vehicles of the same unit shall meet the "type change" conditions. The certification client shall apply for certification authorization on the basis of unit division principles. The certification authorization units shall be divided in accordance with the requirements specified in Attachment 2 - “Compulsory Certification Unit Division for Motorcycles”. 6 Certification Authorization 6.1 Application and Acceptance of Certification Authorization The certification client shall apply for certification authorization to the certification body in proper manner. The certification body shall evaluate the certification authorization and feed back the acceptance or rejection information within the time limit required in the certification implementation regulations. The certification client shall be able to assume the relevant quality and legal liabilities such as recall and three guarantees. The producer and production enterprise authorizing the certification of motorcycles shall be able to carry on normal production and shall meet the requirements of national laws and regulations, otherwise the certification body will not accept the relevant certification authorization. 6.2 Certification Authorization Data The certification body shall define the list of data for certification authorization in the certification implementation regulations according to the requirements of relevant laws, regulations and standards as well as the demand of certification implementation, and this list shall at least include the contents required in Attachment 3 - "Certification Authorization Data" of the Rules. The certification client shall provide required data according to the requirements of authorization data list given in the certification implementation regulations. The certification body shall be responsible for the examination, management, preservation and secrecy of relevant data, and shall inform the certification client of the data evaluation result. 6.3 Implementation Arrangement The certification body shall come to an agreement with the certification client upon relevant responsibilities and arrangement in each link of certification implementation, and shall determine the specific certification implementation scheme based on the actual situation and classified management condition of production enterprise and according to the requirements of the Rules and the certification implementation regulations, and shall also inform the certification client of this scheme. The certification scheme shall at least include type test requirements and initial plant inspection (if applicable). 7 Certification Implementation 7.1 Type Test 7.1.1 Type test scheme The certification body shall prepare the type test scheme after examining the data and inform the certification client of the scheme. The type test scheme shall include all the sample requirements and quantity, standard test items, laboratory information and the like of type test. The certification client may voluntarily select laboratory within range designated by CNCA, and the test scheme shall be prepared based on the opinions of certification client. 7.1.2 Requirements for samples in type test In general, the certification client prepares samples and sends them to designated laboratory according to the requirements of type test scheme; if necessary, the certification body will obtain sample by the method of site sampling according to the requirements of type test scheme based on the actual situation and classified management condition of production enterprise, and also send the samples to designated laboratory. Samples shall be selected in the judgment principle whether the vehicle type test items are in the same type, and one sample will be taken for the items judged as the same type, or respective samples shall be taken for the items not of the same type, and the total sample quantity and requirements will be determined according to the test samples corresponding to all the test items. The certification client shall guarantee the conformity of the samples provided with the actual products. The certification body and/or laboratory shall examine the authenticity of the samples provided by the certification client. If the laboratory doubts about the sample authenticity, it shall explain the circumstances to the certification body and take measures correspondingly. The certification body shall, in the certification implementation regulations, define the adopted critical parts, raw material list, acceptable compulsory and voluntary product certificates or conditions and specific requirements for type test report according to the relevant requirement documents issued by CNCA. 7.1.3 Type test items and requirements The certification body, together with the laboratory, shall confirm the test items according to the requirements of the Rules and in combination with the pursuant inspection standards, vehicle type, structure and technical parameters of vehicle for which the certification client authorizes the certification, and different products of the same vehicle type shall undergo additional difference tests. The test items and test basis specified in the Rules are detailed in Attachment 1 - "Type Test Items and Reference Standards". If new design or new process is adopted for complete vehicle or relevant systems and parts due to technological progress, the producer and/or production enterprise shall submit the verification result for the conformity of the vehicle with relevant safety standards to the certification body for judgment; if any significant safety or environmental protection item is involved, the verification result shall also pass the resolution of technical expert panel. 7.1.4 Implementation of type test Type test shall be carried out after the certification body has confirmed that the application information submitted by the certification client meets relevant requirements and also prepared the test scheme. The certification body shall entrust the laboratory designated by CNCA to conduct type test over the samples. The designated laboratory shall conduct type test over the samples, shall ensure the authenticity and accuracy of test conclusion, and shall record the whole test process and file the complete record, to ensure the traceability of test process and result. In case of any rejected test item, correction is allowed after reason analysis of rejection, and the type test shall be carried out again after correction. Where re-test is required, the laboratory shall notify the test condition to the certification body, and the certification body shall reconfirm the test scheme. If test results from other qualification judgement systems are admitted, the certification body shall detail the relevant requirements in the implementation regulations. If the production enterprise possess the testing conditions required in "Implementation Rules for Compulsory Product Certification - Utilization of Testing Resources and Other Certification Results of Production Enterprises" and certification standard, the certification body may implement the sampling inspection on production site (or witness inspection) by virtue of the testing resources of production enterprise, and the designated laboratory shall issue the test report. The certification body shall define the specific requirements and procedures in the certification implementation regulations. 7.1.5 Type test report The certification body shall specify a uniform format of type test report. After the type test is finished, the laboratory shall issue the type test report to certification body and certification client timely. Test report shall include the description of products in application unit and relevant certification information. Certification client shall ensure to provide complete and effective type test report to certification body and law enforcement authority during post-certification supervision. 7.2 Initial Plant Inspection Initial plant inspection is on-site inspection and evaluation carried out by the certification body to determine whether the quality assurance capacity, product conformity and standard compliance control of production enterprise meet the certification requirements. The initial plant inspection shall be carried out after the type test is passed. Alternatively, the type test and initial plant inspection may be carried out at the same time as required. 7.2.1 Basic principles The producer and production enterprise shall establish, implement and continuously maintain its product conformity and standard compliance control system according to Attachment 4 - "Production Conformity Inspection Requirements" of the Rules so as to ensure that the certified product continuously meets certification requirements. The certification body shall formulate the implementation regulations for plant inspection of motorcycle production enterprise according to the general requirements of "Implementation Rules for Compulsory Product Certification - Plant Quality Assurance Capability Requirements" and "Implementation Rules for Compulsory Product Certification - General Requirements of Factory Inspection" to ensure the proper implementation of plant inspection requirements. The inspection shall cover the production place of the certified product which the production enterprise has authorized. If necessary, the certification body may implement extended inspection beyond the place of production enterprise. In principle, the initial plant inspection shall be completed within one year after type test is passed, otherwise the product type test shall be carried out again. 7.2.2 Plant inspection Plant inspection shall be carried out according to the mode of production conformity control plan review + production conformity plant on-site inspection. 7.2.2.1 Production conformity control plan review The producer or production enterprise shall formulate the production conformity control plan according to Attachment 4 - "Production Conformity Inspection Requirements" of the Rules and shall submit it to the certification body for review. The certification body shall inform the production enterprise of the review result. If the production conformity control plan meets production conformity review requirements stated in Attachment 4 of the Rules, the production conformity control plan passes the review. If the certification body considers that the plan is defective, the producer or production enterprise shall make it corrected and submit it again. The certification body shall inform the certification client of the review result after reviewing the plan again. If certification body and producer or production enterprise cannot agree on the production conformity control plan, certification body may accept the production conformity control plan of the manufacturer provided that the producer or manufacturer agree and ensure to cooperate with certification body in follow-up sampling test and recheck. After the production conformity control plan formulated by producer or production enterprise passes the review, the certification body shall prepare the production conformity inspection (plant on-site inspection) scheme accordingly, covering the product, site and scope of inspection. 7.2.2.2 Production conformity plant on-site inspection After the type test and production conformity control plan review is passed, the certification body shall appoint compulsory product certification inspectors with state-registered qualification to form an inspection team to conduct on-site production conformity inspection over the production enterprise. During the inspection, the production enterprise shall have the products which are authorized for certification being produced. 7.2.3 Structure and technical parameter check and inspection During plant on-site inspection, the certification body may sample an appropriate number of products for certification according to Appendix 1 of Attachment 4 in the Rules, and check them for their consistency with the structure and technical parameters of the declared vehicles. The relevant contents of the labels on the parts, systems or assemblies of the complete vehicle product shall be consistent with the CCC certificate of part product or the technical parameters of structure reported to the certification body for record. 7.2.4 Results of plant inspection If no nonconforming item is found in plant inspection, the inspection result shall be “qualified”; If nonconforming item is found in plant inspection, correction is permissible, and the certification body shall confirm the correction result in a proper way. The correction duration shall not exceed 3 months; if the correction is not completed within the above time limit or the correction result is unqualified, the inspection result shall be "unqualified". If it is found during plant inspection that the implementation condition of production conformity control plan is severely deviated from the declared and approved plan or the structure and technical parameters of actually produced vehicle are significantly different from the samples used in type test, the inspection result shall be "unqualified" and the inspection shall be stopped. 7.2.5 Duration of plant inspection The duration of plant inspection shall be implemented by the certification body according to the relevant national regulations and shall be defined in the implementation regulations. 7.3 Adoption of Relevant Certification Results As for the parts and assemblies that have already passed compulsory product certification or the voluntary product certification admitted by CNCA, only the consistency of the specification and model of actually installed parts and assemblies with the above certificate as well as the validity of this certificate shall be confirmed, and the sample inspection or supplemental plant inspection is not required. 7.4 Certification Evaluation and Decision The certification body shall conduct comprehensive evaluation on the results of type test and initial plant inspection as well as other relevant data/information. If they pass the evaluation, certificate shall be awarded by units; if not, the certification shall be terminated. 7.5 Time Limit for Certification The certification body shall propose definite requirements for the time limit of each certification link and ensure that the relevant works are completed according to the time limit requirements. The certification client must cooperate closely in the certification activity. Generally, the certificate shall be issued to the certification client within 90d from the acceptance of certification authorization. 8 Post-certification Supervision Post-certification supervision refers to the supervision on certified product and its production enterprise by the certification body. The certification body shall define the specific requirements for the selection of post-certification supervision mode in the certification implementation regulations in combination with the classified management and actual situation of production enterprises. 8.1 Post-certification Follow-up Inspection 8.1.1 Principles of post-certification follow-up inspection On the basis of classified management, the certification body shall carry out effective follow-up inspection on the certified product and its production enterprise in order to verify that the quality assurance capacity of production enterprise continuously meets the certification requirements, to ensure that the certified product continuously meets the standard requirements and to maintain the conformity of certified product with type test samples. Post-certification follow-up inspection shall be carried out during the normal production of production enterprise. For the products produced discontinuously, the certification client shall submit relevant production plans to the certification body so as to facilitate the effective development of post-certification follow-up inspection. 8.1.2 Contents of post-certification follow-up inspection The certification body shall formulate the specific required contents of post-certification follow-up inspection according to Attachment 4 in the principle of controllable certification risk, and shall also define the contents in the certification implementation regulations. 8.2 Sampling Testing or Inspection on Production Site 8.2.1 Principles of sampling testing or inspection on production site Where sampling testing or inspection on production site is adopted for post-certification supervision, the certification client, producer and production enterprise shall actively cooperate. 8.2.2 Contents of sampling testing or inspection on production site The certification body shall formulate the contents and requirements of sampling inspection or inspection on production site in the implementation regulations according to the principle of enterprise classification and the product features, and shall also formulate the specific sampling testing scheme according to these contents and requirements and appoint worker to sample among the qualified products (including production line, warehouse or port, etc.) of the production enterprise. Sample testing may use the testing resources of the production enterprise, and the conditions and requirements are the same as those stated in 7.1.4 of the Rules. 8.3 Market Sampling Testing/Inspection 8.3.1 Principles of market sampling testing/inspection Where market sampling testing/inspection is adopted for supervision, the certification client, producer and production enterprise shall actively cooperate and shall also confirm the samples taken from the market. 8.3.2 Contents of market sampling testing/inspection The certification body shall specify the contents and requirements of market sampling testing/inspection in the implementation regulations. The certification body shall formulate the sampling testing scheme according to product features and shall also appoint worker to sample among the certified products sold in the market (including complete vehicle plant or user place, etc.). Contents 0 Introduction 1 Application Scope 2 Terminologies and Definitions 3 Reference Standards for Certification 4 Certification Mode 5 Certification Unit Division 6 Certification Authorization 6.1 Application and Acceptance of Certification Authorization 6.2 Certification Authorization Data 6.3 Implementation Arrangement 7 Certification Implementation 7.1 Type Test 7.2 Initial Plant Inspection 7.3 Adoption of Relevant Certification Results 7.4 Certification Evaluation and Decision 7.5 Time Limit for Certification 8 Post-certification Supervision 8.1 Post-certification Follow-up Inspection 8.2 Sampling Testing or Inspection on Production Site 8.3 Market Sampling Testing/Inspection 8.4 Quality Information Application 8.5 Frequency and time of post-certification supervision 8.6 Record of Post-certification Supervision 8.7 Evaluation on Post-certification Supervision Results 8.8 Conformity Parameter Management 9 Certificate 9.1 Maintenance of Certificate 9.2 Contents of Certificate 9.3 Change of Certificate 9.4 Suspension, Cancellation and Revocation of Certificate 9.5 Application of Certificate 10 Certification Mark and Vehicle Certificate of Conformity 10.1 Pattern 10.2 Mark Application 10.3 Vehicle Certificate of Conformity 11 Charge 12 Certification Responsibility 13 Certification Implementation Regulations Attachment 1: Type Test Items and Reference Standards Attachment 2: Division of Compulsory Certification Unit for Motorcycle Products Attachment 3: Certification Authorization Data Attachment 4: Production Consistency Inspection Requirements Attachment 5: Vehicle Conformity Certificate 编号：CNCA-C11-02：2014 强制性产品认证实施规则 摩托车 2014-08-21发布 2015-01-01实施 中国国家认证认可监督管理委员会 发布 0 引言 本规则基于摩托车产品的安全风险和认证风险制定，规定了包含对其适用范围内的所有摩托车产品实施强制性认证的基本原则和要求，其目的是保证认证摩托车产品持续符合法律、法规及标准要求。 本规则与国家认监委发布的《强制性产品认证实施规则生产企业分类管理、认证模式选择与确定》、《强制性产品认证实施规则生产企业检测资源及其他认证结果的利用》、《强制性产品认证实施规则工厂检查通用要求》等通用实施规则配套使用。 认证机构应依据通用实施规则和本规则的要求，结合生产企业分类管理，编制认证实施细则，配套通用实施规则和本规则共同实施。生产企业应确保所生产的获证产品能够持续符合认证及适用标准要求。 1 适用范围 本规则适用于可在中国公路及城市道路上行驶的摩托车产品。 但不适用于： a、为非道路上行驶和使用而设计和制造的场地用车、场地赛车、越野用车辆。 b、残疾人用机动车辆（包含机动轮椅车、电动轮椅车等）、电动自行车等。 由于法律法规或相关产品标准、技术、产业政策等因素发生变化所引起的适用范围调整，应以国家认监委发布的公告为准。 对于因科研、测试及其他特殊原因申请认证免除应按照《强制性产品认证管理规定》及国家认监委的有关规定执行。 2 术语和定义 车辆的定义见GB7258《机动车安全运行技术条件》和GB/T5359.1《摩托车和轻便摩托车术语第1部分：车辆类型》；车辆的分类见GB/T15089《机动车辆及挂车分类》。 3 认证依据标准 按本规则认证所依据的标准见附件1《型式试验项目及依据标准》。 原则上，认证检测依据用标准应执行国家标准化行政主管部门发布的最新版本。当需增加新适用标准或使用标准的其他版本时，则应按国家认监委发布的适用相关标准要求的公告执行。 4 认证模式 本实施规则规定的基本认证模式，是以生产企业诚信自律、有效管理、稳定生产为前提，基于产品的固有安全风险特点和生产企业普遍采用的生产工艺确定的认证模式。 认证机构应按照《强制性产品认证实施规则生产企业分类管理、认证模式选择与确定》的要求对生产企业实施分类管理，并结合分类管理结果在基本认证模式的基础上增加认证要素，以确定认证委托人所能适用的认证模式。 基本模式：型式试验+初始工厂检查（企业质量保证能力和产品一致性检查）+获证后监督摩托车生产企业质量保证能力和产品一致性检查按照生产一致性检查方式进行；获证后监督方式为获证后的跟踪检查、生产或口岸现场抽样检测或检查、市场抽样检测或检查三种方式之一或各种组合。 5 认证单元划分 原则上，摩托车产品按照认证单元进行认证委托，同一认证委托单元的车辆应符合“变型”的条件。认证委托人依据单元划分原则提出认证委托。认证单元划分见附件2《摩托车产品强制性认证单元划分》。 6 认证委托 6.1 认证委托的提出和受理 认证委托人需以适当的方式向认证机构提出认证委托。认证机构应对认证委托进行评审，并按照认证实施细则中的时限要求反馈受理或不予受理的信息。 认证委托人应能够承担召回、三包等相关质量及法律责任。 委托认证的摩托车产品的生产者和生产企业应能正常生产，并符合国家法律法规要求，否则认证机构不予受理相关认证委托。 6.2 认证委托资料 认证机构应根据法律法规、标准及认证实施的需要在认证实施细则中明确委托认证资料清单，至少应包括本规则附件3《认证委托资料》所要求内容。 认证委托人应按认证实施细则中委托资料清单的要求提供所需资料。认证机构负责审查、管理、保存、保密有关资料，并将资料评审结果告知认证委托人。 6.3 实施安排 认证机构应与认证委托人约定双方在认证实施各环节中的相关责任和安排，并根据生产企业实际和分类管理情况，按照本规则及认证实施细则的要求，确定认证实施的具体方案并告知认证委托人。认证方案应至少包括型式试验要求、初始工厂检查要求（适用时）。 7 认证实施 7.1 型式试验 7.2 型式试验方案 认证机构应在进行资料审核后制定型式试验方案，并告知认证委托人。 型式试验方案包括型式试验的全部样品要求和数量、检测标准项目、实验室信息等。 认证委托人在国家认监委指定范围内可自行选择实验室，试验方案的制定应征询认证委托人的意见。 7.1.2 型式试验样品要求 通常情况下，认证委托人按型式试验方案要求准备样品送至指定的实验室；必要时，根据生产企业实际和分类管理情况，认证机构可按型式试验方案要求采取现场抽样的方式获得样品并送往指定的实验室。 样品的选取以车型试验项目是否为同一型式为判定原则，能判定为同一型式的项目可选取一个样品；不能判定为同一型式的项目应分别选取样品，综合所有试验项目对应的试验样品，确定总的样品数量和要求。 认证委托人应当保证其提供的样品与实际生产的产品一致，认证机构和/或实验室应当对认证委托人提供样品的真实性进行审查。实验室对样品真实性有疑义的，应当向认证机构说明情况，并做出相应处理。 认证机构应依据国家认监委发布的相关规定文件，在认证实施细则中明确产品所用关键零部件和原材料清单及可被接受的强制性及自愿性产品认证证书或型式试验报告的条件和具体要求。 7.1.3 型式试验项目及要求 认证机构会同实验室根据本规则的规定，结合认证委托人委托认证车辆依据的检测标准、车辆型式、结构及技术参数来确认试验项目，同一车辆型式下的不同产品需补充差异试验。本规则规定的试验项目和检测依据见附件1《型式试验项目及依据标准》。 对于因技术进步，整车或相关系统、零部件采用新设计、新工艺时，生产者和/或生产企业应提供车辆满足相关安全标准的验证结果，由认证机构进行判定，涉及重大安全、环保等项目时，还需通过技术专家组决议。 7.1.4 型式试验的实施 型式试验应在认证机构确认认证委托人所提交的申请资料符合要求并制定试验方案后进行。认证机构应当委托经国家认监委指定的实验室对样品进行型式试验。 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。 若有试验项目不合格，允许在对不合格产生原因分析后进行整改，整改完成后重新进行试验。凡需重新试验的，实验室须将试验情况通报认证机构，由认证机构重新确认试验方案。 对于承认其他合格评定制度检测结果的，由认证机构在实施细则中细化相关要求。 如生产企业具备《强制性产品认证实施规则生产企业检测资源及其他认证结果的利用要求》和认证标准要求的检测条件，认证机构可利用生产企业检测资源实施生产现场抽样检测（或目击检测），并由指定实验室出具检测报告。认证机构应在认证实施细则中明确具体要求及程序。 7.1.5 型式试验报告 认证机构应规定统一的型式试验报告格式。 型式试验结束后，实验室应及时向认证机构、认证委托人出具型式试验报告。试验报告应包含对申请单元内产品与认证相关信息的描述。认证委托人应确保在获证后监督时能够向认证机构和执法机构提供完整有效的型式试验报告。 7.2 初始工厂检查 初始工厂检查为认证机构对确定生产企业质量保证能力、产品一致性和标准符合性控制能否符合认证要求而开展的现场检查和评价。 初始工厂检查应在型式试验合格后进行。根据需要,型式试验和初始工厂检查也可以同时进行。 7.2.1 基本原则 生产者和生产企业应按本规则附件4《生产一致性检查要求》建立、实施并持续保持企业产品一致性和标准符合性控制体系，以确保认证产品持续满足认证要求。 认证机构应按照《强制性产品认证实施规则工厂质量保证能力要求》及《强制性产品认证实施规则工厂检查通用要求》通则要求制定摩托车生产企业工厂检查实施细则，确保工厂检查要求落实到位。检查应覆盖生产企业委托认证产品的生产场所。必要时，认证机构可到生产企业以外的场所实施延伸检查。 初始工厂检查原则上应在型式试验合格后一年内完成，否则应重新进行产品型式试验。 7.2.2 工厂检查 按生产一致性控制计划审查+生产一致性工厂现场检查方式进行。 7.2.2.1 生产一致性控制计划审查 生产者或生产企业应按本规则附件4《生产一致性检查要求》制定生产一致性控制计划，并提交认证机构进行审查。认证机构应将审查结果告知企业。 当生产一致性控制计划能够满足本规则附件4生产一致性审查要求的，生产一致性控制计划的审查通过。如认证机构认为生产一致性控制计划存在缺陷，生产者或生产企业应整改并重新提交。认证机构重新审查后将审查结果告知认证委托人。 若认证机构和生产者或生产企业对生产一致性控制计划不能达成一致，生产者或生产企业在同意并保证配合认证机构进行产品后续抽样试验复核的前提下，认证机构可接受制造商的生产一致性控制计划。 生产者或生产企业制定的生产一致性控制计划审查通过后，认证机构根据其编制生产一致性检查（工厂现场检查）方案，方案应包括检查的产品、场地及范围。 7.2.2.2 生产一致性工厂现场检查 认证机构应在型式试验合格和生产一致性控制计划审查合格后，委派具有国家注册资格的强制性产品认证检查员组成检查组，对生产企业进行生产一致性检查的现场检查。 检查时，生产企业应有委托认证的产品在生产。 7.2.3 结构及技术参数核对及检查 在工厂现场检查时，认证机构可参照本规则附件4附录1的要求抽取相应数量的认证委托产品，与申报的车辆结构及技术参数进行一致性核对。 整车产品各零件、系统或总成上的标识的相关内容应与部件产品的CCC 证书或向认证机构备案的结构技术参数一致。 7.2.4 工厂检查结果 工厂检查未发现不合格项，则检查结果为合格； 工厂检查存在不合格项，可允许整改，认证机构采取适当方式对整改结果进行确认。整改时间不得超过3个月，若逾期不能完成整改，或整改结果不合格，检查结果不合格。 工厂检查发现生产一致性控制计划的执行情况与申报并经检查批准的生产一致性控制计划存在严重偏差，或实际生产车辆的结构及技术参数与型式试验样品一致性存在重大差异时，检查结果不合格，终止本次检查。 7.2.5 工厂检查时间 工厂检查时间由认证机构按照国家有关规定执行，并在实施细则中明确。 7.3 对相关认证结果的采信 对已获得强制性产品认证或国家认监委承认的自愿性产品认证的部件、总成，仅需确认装车的部件、总成规格型号与证书的一致性以及该证书的有效性，无需随车送样检测或追加工厂检查。 7.4 认证评价与决定 认证机构对型式试验、初始工厂检查结果和有关资料/信息进行综合评价，评价通过，按单元颁发认证证书；评价不通过，认证终止。 7.5 认证时限 认证机构应对认证各环节的时限做出明确规定，并确保相关工作按时限要求完成。认证委托人须对认证活动予以积极配合。一般情况下，自受理认证委托起90天内向认证委托人出具认证证书。 8 获证后监督 获证后监督是指认证机构对获证产品及其生产企业实施的监督。 认证机构应结合生产企业分类管理和实际情况，在认证实施细则中明确获证后监督方式选择的具体要求。 8.1 获证后的跟踪检查 8.1.1 获证后的跟踪检查原则 认证机构应在分类管理的基础上，对获证产品及其生产企业实施有效的跟踪检查，以验证生产企业的质量保证能力持续符合认证要求、确保获证产品持续符合标准要求并保持与型式试验样品的一致性。 获证后的跟踪检查应在生产企业正常生产时进行。对于非连续生产的产品，认证委托人应向认证机构提交相关生产计划，便于获证后跟踪检查的有效开展。 8.1.2 获证后的跟踪检查内容 认证机构应在确保认证风险可控的原则下，按照附件4制定获证后跟踪检查要求的具体内容，并在认证实施细则中予以明确。 8.2 生产现场抽取样品检测或者检查 8.2.1 生产现场抽取样品检测或者检查原则 采取生产现场抽取样品检测或者检查方式实施获证后监督的，认证委托人、生产者、生产企业应予以配合。 8.2.2 生产现场抽取样品检测或者检查内容 认证机构应根据企业分类原则和产品特点在实施细则中制定生产现场抽样检测或者检查的内容和要求，并依据其制定抽样检测具体方案，指定人员在企业生产的合格品中（包括生产线、仓库或口岸等）抽取样品。样品检测可以利用生产企业检测资源，条件及要求同本规则7.1.4 条款。 8.3 市场抽样检测或者检查 8.3.1 市场抽样检测或者检查原则 采取市场抽样检测或者检查方式实施监督的，认证委托人、生产者、生产企业应予以配合，并对从市场抽取的样品予以确认。 8.3.2 市场抽样检测或者检查内容 认证机构应在实施细则中制定市场抽样检测或者检查的内容和要求。认证机构根据产品特点制定抽样检测方案，指定人员在市场销售的（包括整车厂或用户处等）认证产品中按抽样检测方案抽取样品。 8.4 质量信息应用 企业应建立用户投诉信息收集、汇总、分析、保存系统，并保证全面向认证机构公开用户投诉信息，不得隐瞒和销毁用户投诉信息。认证机构在证后监督时，应将用户投诉、社会高度关注、质量缺陷调查、风险预警、重大质量事故、监督抽查、专项核查等质量信息中涉及本规则要求的内容作为重要输入。认证机构应保证除向认证主管部门汇报外，不得向第三方泄露企业的用户投诉信息。认证机构应建立本规则涉及的车辆安全、环保、节能、防盗等项目的用户投诉及其他相关质量信息搜集、处理、反馈系统及相关处理程序，以加强对获证企业和产品的监督，满足政府管理信息需求，推动认证结果采信。认证机构应符合认证信息提供的通则要求。 8.5 获证后监督的频次和时间 认证机构应在分类管理的基础上，对不同类别的生产企业采用不同的获证后监督频次，合理确定监督时间，具体原则应在认证实施细则中予以明确。 8.6 获证后监督的记录 认证机构应当对获证后监督全过程予以适当记录并归档留存，以保证认证过程和结果具有可追溯性。 8.7 获证后监督结果的评价 对获证后的跟踪检查时发现的不符合项应在3个月内完成纠正措施，否则，跟踪检查不通过。 认证机构对跟踪检查的结论、抽取样品检测或检查的结论和有关资料/信息进行综合评价。评价通过的，可继续保持认证证书、使用认证标志；评价不通过的，认证机构应当根据相应情形做出暂停或者撤销认证证书的处理，并予以公布。 8.8 一致性参数管理 认证机构应对车辆一致性参数进行分类及动态管理，根据参数变化情况判别产品可能涉及的安全质量风险，并根据需要及时做出追加工厂检查、增加抽样检测等处理。 9 认证证书 9.1 认证证书的保持 认证证书的有效期为5年。有效期内，认证证书的有效性依赖认证机构的获证后监督获得保持。 认证证书有效期届满，需要延续使用的，认证委托人应当在认证证书有效期届满前90天内提出认证委托。证书有效期内最后一次获证后监督结果合格的，认证机构应直接换发新证书。 9.2 认证证书的内容 认证证书除满足《强制性产品认证管理规定》要求的项目和内容外，还须随同证书出具附件，注明该证书涉及产品符合本实施规则引用的标准和认证实施规则的名称、编号。对于证书的变更应注明变更的版本号以明确显示该产品的变更次数。 整车产品各零件、系统或总成上的标识的相关内容应与部件产品的CCC证书或向认证机构备案的结构技术参数一致。 9.3 认证证书的变更 获证后，如果证书上的内容发生变化时；或已获证产品发生技术变更（设计、结构参数、关键零部件/原材料等）影响相关标准的符合性时；或工厂因变更生产一致性控制计划、生产条件等而可能影响生产一致性时；或认证机构在认证实施细则中明确的其他事项发生变更时，认证委托人应向认证机构提出变更委托，经认证机构批准后，方可实施变更。 认证机构应在认证实施细则中明确认证变更的具体要求，包括认证变更的范围和程序。认证机构应根据变更的内容，对提供的资料进行评价，确定是否可以批准变更。如需样品检测和/或工厂检查，应在检测和/或检查合格后方能批准变更。样品检测可以利用生产企业检测资源，条件及要求同本规则7.1.4条款。 对符合要求的，批准变更。换发新证书的，新证书的编号、批准有效日期原则上保持不变，并注明变更批准日期。不需换发新证书的，出具变更确认表，注明变更内容以及变更批准日期。 9.4 认证证书的暂停、注销和撤销 认证证书的暂停、注销和撤销依据《强制性产品认证管理规定》和《强制性产品认证证书注销、暂停、撤销实施规则》及认证实施细则规定执行。 认证机构应建立获证产品的风险预警机制，当车辆存在重大设计缺陷或安全隐患（如风险预警、缺陷调查、召回、重大质量事故或在监督抽查、专项核查中发现严重不符合等），并经查实确为生产者责任时，认证机构视具体情况和性质可暂停和撤销认证证书。 认证机构应确定不符合认证要求的产品类别和范围，并采取适当方式对外公告被暂停、注销和撤销的认证证书。 9.5 认证证书的使用 认证委托人应确保认证证书的使用符合《强制性产品认证管理规定》的规定。 10 认证标志及车辆一致性证书 认证标志的管理、使用应符合《强制性产品认证标志管理办法》的规定。 10.1 标志式样 获得认证的汽车及挂车产品应使用安全类（S）认证标志，式样如下图： 10.2 标志加施 本规则覆盖的产品不允许使用任何形式的变形认证标志。可以采用标准规格标志、模压或铭牌印刷三种方式中的任何一种。采用模压或铭牌印刷认证标志时，还应在标志周边适当位置注明产品的工厂代码。 10.3 车辆一致性证书 生产者或生产企业应按规则要求将车辆一致性证书式样和参数提交认证机构。车辆一致性证书的样式、相关要求及参数内容见附件5《车辆一致性证书COC》。每一辆获证车辆须在随车文件中附带车辆一致性证书，以向消费者或有关部门明示认证产品信息和环保及燃料消耗指标。 11 收费 认证收费项目，由认证机构按照国家关于强制性产品认证收费标准的规定收取。认证机构应按照国家关于强制性产品认证收费标准中初始工厂检查、获证后监督复查收费人日数标准的规定，合理确定收费人日数。 12 认证责任 认证机构应当对认证结论负责。实验室应对检测结果和检测报告负责。认证机构及其委派的检查员应对工厂检查结论负责。认证委托人对提交的认证委托资料的真实性、合法性负责。 13 认证实施细则 认证机构应依据本实施规则的原则和要求，制定科学、合理、可操作的认证实施细则。认证实施细则应在向国家认监委备案后对外公布实施。认证实施细则应至少包括以下内容： (1)认证流程及时限要求； (2)认证模式的选择及相关要求； (3)生产企业分类管理要求； (4)认证委托资料及相关要求； (5)样品检测要求（包括生产现场或市场抽样检查或检测要求）； (6)初始工厂检查要求； (7)获证后监督要求； (8)利用生产企业资源实施检测的要求及其他认证结果的利用； (9)认证变更（含标准换版）的要求； (10)关键零部件和原材料清单及相关要求； (11)收费依据及相关要求； (12)与技术争议、申诉相关的流程及时限要求。 附件1：型式试验项目及依据标准 1、依据标准 GB 7258 机动车运行安全技术条件 GB 21861 机动车安全技术检验项目和方法 GB 16735 道路车辆车辆识别代号(VIN) GB 16737 道路车辆世界制造厂识别代号(WMI) GB 14023 车辆、船和内燃机无线电骚扰特性用于保护车外接收机的限值和测量方法 GB/T 18387 电动车辆的电磁场辐射强度的限值和测量方法宽带9kHz～30MHz GB 14621 摩托车和轻便摩托车排气污染物排放限值及测量方法（双怠速法） GB 14622 摩托车污染物排放限值及测量方法(工况法，中国第Ⅲ阶段) GB 18176 轻便摩托车污染物排放限值及测量方法（工况法，中国第Ⅲ阶段） GB 20998 摩托车和轻便摩托车燃油蒸发污染物排放限值及测量方法 GB 15744 摩托车燃油消耗量限值及测量方法 GB 16486 轻便摩托车燃油消耗量限值及测量方法 GB/T 24157 电动摩托车和电动轻便摩托车能量消耗率和续驶里程试验方法 GB 20073 摩托车和轻便摩托车制动性能要求及试验方法 GB 16169 摩托车和轻便摩托车加速行驶噪声限值及测试方法 GB 4569 摩托车和轻便摩托车定置噪声限值及测量方法 GB 15365 摩托车操纵件、批示器及信号装置的图形符号 GB 17353 摩托车和轻便摩托车转向锁止防盗装置 GB 20074 摩托车和轻便摩托车外部凸出物 GB 20075 摩托车乘员扶手 GB 18100.1 摩托车照明和光信号装置的安装规定 第1部分两轮摩托车 GB 18100.2 摩托车照明和光信号装置的安装规定 第2部分两轮轻便摩托车 GB 18100.3 摩托车照明和光信号装置的安装规定 第3部分：三轮摩托车 GB 17352 摩托车和轻便摩托车后视镜的性能和安装要求 GB 15084 机动车辆间接视野装置性能和安装要求 GB 15742 机动车用喇叭的性能要求及试验方法 GB 24155 电动摩托车和电动轻便摩托车安全要求 GB 19482 摩托车和轻便摩托车燃油箱安全性能要求和试验方法 GB 5948 摩托车白炽丝光源前照灯配光性能 GB 19152 轻便摩托车前照灯配光性能 GB 17510 摩托车光信号装置配光性能 GB 11554 汽车和挂车用后雾灯配光性能 GB 11564 机动车回复反射器 GB 16897 制动软管的结构、性能要求及试验方法 GB 9656 汽车安全玻璃 GB 518 摩托车轮胎 GB/T 20076 摩托车和轻便摩托车最大扭矩和最大净功率测量方法 2、型式试验项目及要求 1.车辆识别代号 (VIN)： VIN 应符合GB 16735及GB 16737的规定。 2.车辆标志：应符合GB 7258中4.1.1、4.1.2、4.1.3、4.1.4。 3.摩托车外廓尺寸：应符合GB 7258中4.2的规定。 4.驻车性能：应符合GB7258中4.7.4、7.10.4的规定。 5.转向装置：应符合GB 7258中6.1、6.2、6.4、6.6、6.7、6.13的规定。 6.转向轴轴荷比：应符合GB 7258中4.5.1.2的规定。 7.安全防护装置：应符合GB7258中12.2.1、12.2.2、12.2.5、12.2.6、12.3、12.5、12.13.7的规定。 8.整车前照灯光束照射位置及发光强度：应符合GB7258中8.5.1、8.5.2、8.5.3.1、8.5.3.3的规定，按照GB 21861的规定进行试验。 9.乘坐人数核定：应符合GB 7258中4.5.5、11.6.10的规定。 10.车速表指示误差值：应符合GB 7258中4.12的规定，按照GB 21861的规定进行试验。 11.车速受限车辆最高车速：应符合GB 7258中10.6的规定。 12.三轮车辆整车整备质量：应符合GB 7258中3.5的规定。 13.侧倾稳定角：应符合GB 7258中4.7.3的有关规定。 14.无线电骚扰特性：应符合GB 14023和/或GB/T 18387的规定。 15. 排气污染物排放：应符合14621、GB 14622、GB 18176的规定。 16.燃油蒸发：应符合GB 20998的规定。 17.燃油消耗量：应符合GB 15744或GB 16486的规定。 18.电动摩托车能量消耗率和续驶里程：应符合GB/T 24157的规定。 19.制动性能：应符合GB 20073的规定。 20.加速噪声：应符合GB 16169的规定。 21.定置噪声：应符合GB 4569的规定。 22.操纵件、指示器及信号装置的图形符号：应按GB 15365要求设置并符合其规定。 23.转向锁止防盗装置：应符合GB 17353的规定。 24.外部凸出物要求：应符合GB20074的规定。 25.摩托车乘员扶手：应符合GB20075的规定。 26.照明和光信号装置的安装：应符合GB 18100.1、GB 18100.2、GB 18100.3的规定。 27.后视镜及其安装要求：车身部分或全部封闭驾驶员的车辆应符合GB 15084的规定，其他产品应符合GB 17352的规定。 28.喇叭及其安装要求：应符合GB7258中8.6.1的规定，以及GB15742中3.1.1、3.1.2、3.1.3、4.1.2的规定。 29.电驱动摩托车安全要求：应符合GB 24155的规定。 30.燃油箱安全性能要求：应符合GB 19482的规定。 31.前照灯配光性能：应符合GB 5948、GB 19152的规定。 32.光信号装置配光性能：正三轮摩托车后雾灯应符合GB 11554的规定、其他产品应符合GB 17510。 33.回复反射器：应符合GB 11564的规定。 34.制动软管：应符合GB 16897的规定。 35.摩托车轮胎：应符合GB 518中4.1、4.2.1、4.2.2、4.2.3、4.3、4.4.1、6条的规定。 36. 风窗玻璃：机动车的风窗玻璃应符合GB 9656的规定。 37. 发动机最大扭矩和最大净功率：摩托车发动机最大扭矩和最大净功率应符合GB/T20076第6.1条的相关规定。 附件2：摩托车产品强制性认证单元划分 在认证管理过程中，同一申请单元的车辆应符合“车辆型式”、“变型”和“改型”中“变型”的条件。 1 “车辆型式” 即指一辆车，也指一组车辆（变型），其： （a）属于同一类型（L1、L2、L3、L4、L5）； （b）由同一生产企业生产； （c）具有相同的底盘、车架、副架、底板或者具有相同的结构用来固定主要部件； （d）具有工作原理相同的动力单元（内燃机型、电动型、混合型等）； （e）具有生产者（制造商）给定的相同型式名称。同一种车辆型式可能包括其“变型”和“改型”； 1.1 “变型”即指一辆车，也指相同型式的一组车（改型），其： （a）车体形状相同（基本特性）； （b）在一组车（改型）中，整车整备质量最小值与最大值之差不超过最小值的20%； （c）在一组车（改型）中，整车的允许最大总质量最小值与最大值之差不超过最小值的20%； （d）具有相同的工作循环及点燃方式（二或四冲程、火花点燃或压燃）； （e）在一组车（改型）中，车辆动力单元（如果为内燃单元）气缸工作容量最小值与最大值之差不超过最小值的30%； （f）气缸数量和布置相同； （g）在一组车（改型）中，车辆动力单元输出功率最小值与最大值之差不超过最小值的30%； （h）电动机工作模式相同（电动摩托车）； （i）变速箱类型相同（手动型、自动型等）； 1.2 “改型” 指相同型式的一辆车和其变型车，它可能包含附件1的附录1的资料文件中所列的任何装置、部件或系统，但是应满足下列条件： （a）下列指标是相同的： （i）整车整备质量； （ii）允许最大总质量； （iii）动力单元的输出功率； （iv）动力单元的气缸容量； 并且 （b）相同的噪声、排放测试结果； 附件3：认证委托资料 一、认证委托人、生产者（制造商）、生产企业（工厂）基本信息 1.认证委托书或合同； 2.认证委托人/生产者（制造商）/工厂的工商注册证明、组织机构代码证（境内企业）； 3.委托人为销售者、进口商时，还需提交销售者和生产者，进口商和生产者订立的相关合同副本。（首次申请及变更）； 4.工厂审查调查表； 二、认证产品信息 1.摩托车产品结构及技术参数（本附件附录1，首次申请及参数发生变更） 2.生产一致性控制计划（首次申请及计划发生变更） 2.1 生产一致性控制计划执行报告（获证后每年） 3.车辆的车型系列、单元和车辆型号的编制说明。说明应具体到每一车辆型号及其对应的区分参数指标。（首次申请和变更车辆车型系列、单元、车辆型号时）； 4.车辆识别代号编制规则的编制说明。说明应具体到每一位（或每一不可分割组合）可能使用的符号及其对应的车辆技术信息。（首次申请和车辆识别代号编制规则变更时）； 5.企业应用于区分车型的车辆外部标识信息（每一车型系列，首次申请及变更）； 三、委托人需提供上述资料属实并承担相应法律责任（含“三包”、“召回”及相关质量责任）的承诺函。 附录1：摩托车产品结构及技术参数 |
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