Recently, combining deregulation with stronger supervision and continuously strengthening the "bottom line" role of quality certification, and on the basis of ensuring the smooth operation of the compulsory product certification (CCC) self-declaration system, the Certification and Accreditation Administration of China (CNCA) issued the Announcement of the CNCA on Strengthening the Main Responsibility of Laboratories for Testing Quality under the Compulsory Product Certification Self-Declaration Evaluation Method, requiring CCC self-declaration laboratories to strictly implement their main responsibility for testing quality.

2023 No. 26

Announcement of the CNCA on Strengthening the Main Responsibility of Laboratories for Testing Quality under the Compulsory Product Certification Self-Declaration Evaluation Method

In order to fully implement the Outline for Building a Quality Power, strengthen in-process and post-event supervision of compulsory product certification, urge product testing laboratories engaged in the compulsory product certification self-declaration evaluation method (hereinafter the laboratories) to establish and implement a working mechanism whereby they take overall responsibility for compulsory product certification test results, strengthen the implementation of the laboratories' main responsibility for testing quality and safeguard the validity of compulsory product certification self-declaration results, the requirements for product testing activities carried out by laboratories in accordance with the Implementation Rules for Compulsory Product Certification - Self-Declaration (CNCA-00C-008) are announced as follows:

1. Strictly comply with the law and continuously improve capability

Laboratories shall carry out testing activities strictly in accordance with the relevant requirements for compulsory product certification self-declaration (hereinafter self-declaration), earnestly perform their statutory duties and obligations, operate in a regulated manner and maintain market order. They shall uphold fair competition, honesty and trustworthiness and improved service, consciously safeguard the reputation of the industry, resolutely resist violations such as malicious competition, commercial bribery and false or untrue testing, and uphold the credibility of the compulsory product certification system. They shall strengthen integrity and self-discipline education and urge practitioners to consciously observe professional ethics and industry standards.

Laboratories shall continuously maintain the testing capability and resources, including equipment, facilities, environment and personnel, required to meet compulsory product certification testing requirements, and obtain the necessary qualifications in the relevant fields. Laboratories applying self-declaration procedure A shall meet the requirements for self-selected laboratories in the Implementation Rules for Compulsory Product Certification - Self-Declaration (CNCA-00C-008); laboratories applying self-declaration procedure B shall be designated laboratories for compulsory product certification.

2. Implement the main responsibility and clarify job duties

Laboratories shall bear the main responsibility for self-declaration test results and shall establish and implement an operating mechanism whereby they take overall responsibility for test results. The principal person in charge of the laboratory shall attach great importance to establishing and implementing the main responsibility, formulate management rules to guarantee its implementation, designate the leading department and staff concerned and provide the necessary resource guarantees. They shall strengthen communication, coordination and information interfaces between internal departments, reinforce a sense of responsibility among all staff and ensure the main responsibility is effectively implemented.

Laboratories shall designate the quality person in charge, the technical person in charge and the responsible persons for each step of the testing process related to self-declaration product testing. The persons responsible for accepting commissions and contract review, formulating test plans, carrying out testing, preparing test reports, reviewing test reports, signing off test reports and uploading test reports are the responsible subjects for the corresponding activities. For self-declaration testing business, laboratories shall set up at least the following posts and designate dedicated persons in charge:

1. Commission acceptance and contract review post. The person shall master the requirements for defining the scope of the compulsory product certification catalogue, the self-declaration implementation rules and the corresponding product implementation rules. They are responsible for determining whether a product falls within the scope of the compulsory product certification catalogue in accordance with the implementation rules, and for accepting commissions and signing contracts (for the in-house laboratories of producers and manufacturers, a letter of entrustment or internal work order may be used).

2. Self-declaration test plan formulation post. The person shall master the unit division principles for the corresponding product, the product testing standards and the principles for formulating test plans. They are responsible for dividing units in accordance with the corresponding product implementation rules and standard requirements, determining the main test model and variant models, and formulating the self-declaration test plan.

3. Self-declaration test report review and sign-off post. The person shall master the requirements for defining the scope of the compulsory product certification catalogue, the self-declaration implementation rules and the relevant product implementation rules, the unit division principles for the corresponding product, the product testing standards, the principles for formulating test plans, the traceability requirements for the testing process and results, and the relevant requirements for type test reports. They are responsible for reviewing the original test records and test reports in accordance with the self-declaration requirements and ensuring that the type test reports issued are complete and valid.

4. Self-declaration test report upload post. The person shall master the operating requirements for completing entries and uploading reports in the self-declaration conformity information submission system. They are responsible for uploading test reports to the self-declaration conformity information submission system after the reports are issued, in accordance with the entrustment contract and the Implementation Rules for Compulsory Product Certification - Self-Declaration (CNCA-00C-008).

3. Improve the traceability system and strengthen internal management

Laboratories shall establish a traceability system for the self-declaration testing process and results with reference to the requirements of the Notice on Issuing the Minutes of the Working Conference of the Compulsory Product Certification Technical Expert Group (Certification Technology Group) (Ren Ban Zheng Han [2007] No. 143), retain supporting documents covering the entire testing process, and ensure that the original state of the test results can be traced.

Laboratories shall formulate working documents covering the technical and implementation requirements for accepting self-declaration testing commissions, formulating test plans, carrying out testing, reviewing and signing off test reports and uploading test reports.

Laboratories shall strengthen internal management, adopt the necessary work quality evaluation and process quality monitoring measures, and ensure the effective implementation of the testing process and consistency in the application of standards at each step.

Laboratories are encouraged to establish information systems that meet the traceability requirements for the testing process and results, give full play to the advantages of such systems, effectively record and monitor the testing process and provide support for tracing testing quality.

4. Strengthen risk control and consolidate safety responsibility

Laboratories shall pay attention to and collect all kinds of quality risk information related to self-declaration testing, such as testing quality problems found by market regulation departments and industry authorities in supervision, product quality and safety notifications, product spot-check results, risk warning information, and feedback from consumers and manufacturers. They shall fully identify the key steps affecting test results, strengthen quality risk control and consolidate the quality and safety responsibility of compulsory product certification.

They shall focus on whether the type testing process is objective and fair, whether it meets compulsory product certification requirements, whether the content of test reports is complete and valid, and whether original records and test reports meet traceability requirements; whether testing capability has been improved in a timely manner when self-declaration requirements change or standards are revised, including equipment updates and personnel training; whether dedicated persons and posts have been designated for self-declaration work; whether practitioners observe professional ethics and industry standards; and whether risk management is carried out, actively identifying all kinds of risk points related to self-declaration and formulating response measures.

5. Disclose information and provide technical services

Third-party laboratories shall disclose to the public information such as the charging standards, testing turnaround times and commissioning procedures for self-declaration testing. They shall set up channels for appeals and complaints, consciously accept public supervision, safeguard the legitimate rights and interests of parties involved in self-declaration and build a good social image. They shall actively study industry technology trends, optimise internal management processes and improve testing efficiency, and on the premise of ensuring testing quality and validity provide enterprises with convenient and efficient testing services, improve technical service capability and promote industry quality improvement.

6. Hold the safety bottom line and pursue accountability seriously

Laboratories shall strictly control the quality of testing implementation in accordance with all the requirements of this announcement and ensure the validity and credibility of compulsory product certification testing. Laboratories and their personnel are responsible for the test reports they issue and bear civil, administrative and criminal liability in accordance with the law.

Market regulation departments will strengthen supervision of the laboratories concerned and conduct spot checks of self-declaration testing activities from time to time. For procedure A self-declaration laboratories whose technical capability and testing management do not meet the requirements, they will be ordered to rectify within a time limit and stopped from uploading test reports to the self-declaration conformity information submission system; for procedure B self-declaration laboratories that do not meet the requirements, they will be ordered to rectify within a time limit and stopped from uploading test reports to the system, up to suspension or revocation of their status as designated testing laboratories for compulsory product certification. Those issuing untrue or false test reports will be dealt with seriously in accordance with laws and regulations.