Several situations and disposal methods of selling products without corresponding CCC certificate

Date：2020/5/11　　Clicks：1396

In the process of certification and enforcement, it is often found that the products produced or sold by manufacturers or merchants do not have corresponding CCC certificates, or although they have certificates, but the models and specifications are inconsistent. How to deal with such situations?

 Several situations and disposal methods of selling products without corresponding CCC certificate

  ——Take a complaint from a children's tablet as an example

 

In June 2017, consumers purchased 3 "Children's Word Tablets" through the online store of Q Maternal and Child Products Co., Ltd., model K1, and the manufacturer was Outer City M Company, which implemented the GB 6675 series of toy standards, packaging and The body is marked with the "CCC" logo.

 Consumer inquiries found that manufacturer M had 2 CCC certificates for "video toys / video story machines", but the certificates only included K2, K5, K5s, and K6. Consumers believed that the K1 models they purchased were not CCC certified , And then filed a complaint with the supervisory department of Q company.

 After receiving the report, the law enforcement personnel immediately inspected Company Q. Company Q provided the receipts and sales records from Company M. The company has sold a total of 9 K1 tablets. Due to the inconsistency between the model of the Q company ’s actual sales and the model in the CCC certificate, there is a suspect of violation of the law, and the law enforcement personnel filed an investigation and prosecution against the Q company. After verification, the K1 product is not uncertified, it is a new model that can be applied for expansion on the basis of the original certificate, and finally punished according to law.

Several situations where the model does not have a corresponding certificate

 In the process of certification and enforcement, it is often found that the products produced or sold by manufacturers or merchants do not have corresponding CCC certificates, or although they have certificates, but the models and specifications are inconsistent. In such cases, you cannot simply and rudely assume that as long as there is no corresponding model in the certificate, it is a product that has not been compulsory product certification, and the penalty of Article 67 of the "Certification and Accreditation Regulations" is directly applicable (some review, litigation authorities have Laws and regulations are not familiar, and there are many misunderstandings in reconsideration and judgment. For this situation, it has been considered in the revision of the "Compulsory Product Certification Management Regulations" in 2009, and this has been divided into four categories.

The first category is completely uncertified, that is, the manufacturer has never obtained any CCC certificate, or obtained other types of certificates, but has not obtained a certificate that can cover such products. Only in this case, the product is completely uncertified. According to Article 49 of the above "Regulations," the products listed in the catalog are not certified, and are unauthorized to be shipped, sold, imported or used in other business activities. The two bureaus of quality inspection shall be punished in accordance with the provisions of Article 67 of the Certification and Accreditation Regulations, and shall be returned to the regulations of Article 67 of the Regulations. Penalty for "income".

The second category is certified, but the actual object is incorrectly marked, that is, the product model and specifications are actually consistent with the CCC certificate, but due to omissions when printing the nameplate label, the actual marked part is inconsistent with the certificate. For example, there are K2, K5, K5s and K6 models in the M company certificate. If the actual product is K5s, but the packaging is wrongly printed as K5S (upper case), this situation does not constitute a substantial difference. For another example, the certificate of information technology or audio and video products requires the parameters of the matching power adapter to be marked. If the output parameter in the certificate is "DC5V 1A", the actual matching adapter is also the same, but the label is marked as "DC5V 2A", which is also Mislabeling, not physical parameter changes. The "Regulations" have considered this situation, namely Article 55, Item 1, "If there is one of the following circumstances, the local quality inspection bureau shall order it to make corrections within a time limit. If it is not corrected within the time limit, it shall be fined not more than 20,000 yuan: (1 ) Violating the provisions of Article 23 of these regulations, the content of the certification certificate on the certified product and its sales package is inconsistent with the content of the certification certificate. "

The third category, after certification, subsequent revision changes, that is, a certain type of certified products, for some reasons, the manufacturer took the initiative to change the revision, resulting in changes in the model, specifications, etc. and the original CCC certificate. For example: the original model of a product has the same name as the competitor's model. In order to distinguish it, the model is changed actively, but the design structure, specifications, etc. have not changed; a key component in the product was forced to replace the model due to the replacement of the accessory factory, resulting in some Specification parameters changed. In this regard, Article 54 Item 2 of the Regulations clearly states: "In one of the following situations, the local quality inspection bureau shall order it to correct and impose a fine of not more than 30,000 yuan: ... (2) Violation of these regulations Article 24 stipulates that if you fail to apply to the certification body for the change of the certification in accordance with the regulations, you may leave the factory, sell, import or use the products listed in the catalog without authorization. "

The fourth category, after certification and subsequent expansion (additional new), that is, a certified product, due to market demand, manufacturers subsequently redesigned and produced new models of similar products. This situation is obviously different from the first "completely uncertified" situation, the new model is extended from the original certified similar products, generally speaking, the new and old models are not much different. The main difference between this situation and the third "revision change" situation is that the change is based on the original model, not an additional model. For example, after the adapter specification of a product was changed from 5V 1A to 5V 2A, the old version with 5V 1A was discontinued, and there is still only one product; while the expansion is to retain the old model while adding a new model, that is, simultaneous production Products with 5V 1A and 5V 2A adapters. Regarding the failure to perform the "extended" procedure, Article 54 Item 3 of the Regulations also stipulates, "In one of the following cases, the local quality inspection bureau shall order it to make corrections and impose a fine of less than 30,000 yuan: Violating the provisions of Article 25 of these regulations, failing to apply to the certification body for certification extension in accordance with the regulations, leaving the factory, selling, importing, or using products listed in the catalog without authorization. "

Who will distinguish

Among the above four cases, only the first case can be directly judged by law enforcement personnel to be uncertified when the inquiry manufacturer has never obtained a CCC certificate for such products. If the manufacturer has a certificate, but the actual product (commercial product) involved in the case is inconsistent with the content of the certificate, who should distinguish? In this regard, Article 17 of the “Regulations” has already made it clear that “certification agencies should implement classified management and effective management of certified products and their production enterprises through on-site product testing or inspection, market product sampling testing or inspection, and quality assurance capability inspection. Follow-up inspection, control and verify the consistency of certified products and type test samples, and the quality assurance capabilities of production enterprises continue to meet the certification requirements ", which is a general obligation. There are detailed rules later, Article 24 "In one of the following situations, the certification client shall apply to the certification body for the change of the certification certificate, and the certification body shall make corresponding treatment according to different circumstances". Among them, items 1 to 4 Take "certification body verification, confirmation, re-testing or re-factory review" as an essential prerequisite for approving changes. Article 25 directly writes: "If the certification client needs to extend the coverage of its certified products, it should apply to the certification body for the extension of the certification certificate. The certification body should check the consistency of the extended product with the original certified product and confirm the original The validity of the certification results for the extended product. After being confirmed to be qualified, the certification certificate can be issued separately or re-issued according to the requirements of the certification client. "

It can be seen from the above that to distinguish whether the model and specification parameters in the physical object are "consistent" with the certificate, there is already a statutory obligation and responsibility that belongs to the certification body (the original certification body).

 

How to differentiate

 After figuring out what should be distinguished by the certification body (original issuing authority), it is then necessary to understand "how to distinguish". Because the final classification result involves the disposal of manufacturers and merchants, the handling of different situations varies greatly (from "only order correction within a time limit" to "penalties under 30,000" to "penalties of 50,000 to 200,000") and must be treated with care. So what does the certification body base on?

Simply put, according to the "Principle of Division of Certification Units" in the "Compulsory Product Certification Implementation Rules" (issued by the CNCA) and "Certification Implementation Rules" (issued by the certification body) corresponding to a certain type of product. According to the specific principle of unit division, after the actual product is compared with the product in the original certificate, if the difference is small, it can be included in the same certification unit, and the application for change or extension can be applied on the basis of the original certificate, which is not "uncertified"; If the difference is large, it cannot be included in the same unit, cannot change or expand the program, and must apply for certification again, which means it is "uncertified".

In the case of the above-mentioned situation, the law enforcement personnel should send a letter of inquiry to the original issuing agency, and attach the actual product or detailed pictures, internal structure, circuit diagram and other materials of the product involved. The product data retained during the organization's application for certification are compared, the consistency and the size of the difference are checked, and finally the "physical match, logo inconsistency", "physical inconsistency, change scope" "physical inconsistency, extended scope" or "inconsistency in kind" , Can not be changed or expanded, you must reapply for certification "these four conclusions.

In this case, the law enforcement personnel sent the involved "children's word-writing tablet" to the original certificate issuing agency together with the letter of inspection. After verification, the agency concluded that the physical object involved was similar in structure and appearance to the product in the original certificate. The scheduled play modes are similar, the main materials are the same, the applicable age is the same, and they should be able to be placed in the same certification unit. The enterprise needs to apply for an extended model (not mentioned here). Based on this, it can be concluded that although the model of the "children's tablet computer" that was complained is not in the manufacturer's CCC certificate, it belongs to the scope that can be expanded on the original certificate, and it is not "completely uncertified", so the Regulations do not apply. 》 Article 67 Penalties.

Whether the penalty applies to the seller

It was previously determined that the K1 "Children's Tablets for Practicing Words" belong to the "extensions that should be applied for but not applied". In this regard, the "certification principal" of Article 25 of the Regulations should apply for certificate extensions from the issuing authority. However, the penalties corresponding to Article 54 "Failing to apply to the certification body for the change or extension of the certification certificate without authorization, leaving the factory and selling without authorization" only stipulate "order corrections and impose a fine of less than 30,000 yuan" without specifying the punishment target. Judging from the correspondence between the text before and after, the punishment should have been the "client" in the original certificate, in this case the product manufacturer M company. However, as a pure seller, if the local Q company fulfills the obligation of purchase inspection, it should be found that the K1 product it purchased is not in the manufacturer's CCC certificate, but it is still being purchased and sold. Does Q company need to bear the corresponding legal responsibility?

In response, the law enforcement officers asked the CNCA in writing for each level, and the CNCA replied in the reply (Approval Measures [2017] No. 174). In this case, the manufacturer who did not apply for the extension of the product certificate should be punished first; at the same time, Because the seller failed to fulfill the obligation to "establish and implement a purchase inspection and acceptance system, verify product qualification certificates and other marks", and sold unexpanded products without authorization, he may also be punished according to Article 54 of the Regulations. . According to this, the law enforcement personnel finally punished Q Company with reference to Article 54 of the Regulations. In addition, because the operating address of the manufacturer M company is in a foreign city, the law enforcement personnel notify the certification opinions of the original issuing agency and the reply letter from the CNCA to the regulatory department of the company M's location for legal processing.

 

Determination of the fine

The punishment in Article 54 of the "Regulations" is "The State shall order corrections and impose a fine of not more than 30,000 yuan." But the fine amount only has an upper limit and no lower limit. Does it mean that the amount can be freely controlled (even infinitely close to zero)?

Article 16 of the 2010 “Applicable Rules for the Administrative Penalty for Quality Supervision, Inspection and Quarantine” of the General Administration of Quality Supervision, Inspection and Quarantine in 2010 stipulates that: “If the statutory fine has only the highest limit and no minimum limit, the administrative penalty shall not be lower than the maximum 5%. ”For the manufacturer ’s“ not applying for certificate extension according to regulations, selling the product without authorization ”and the seller ’s“ inadequate inspection of purchases leading to the sale of products that did not apply for certificate extension ”, consideration should be given to different treatment . Penalties for sellers can be lighter, but not less than 1,500 yuan is appropriate.

It is worth noting that the "Minimum Penalties" section of the "Guidelines on Regulating the Administrative Penalty Discretionary Power of the State Market Supervision and Administration" has been removed from the minimum fine limit. Regulations are sufficient.

 

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