Guidelinefor

Implementation Regulations of ImportBoiler & Pressure Vessel Safety Licensing System

Chinese Edition was approved by theMinistry of Labour the People‘s Republic of China

on May 14, 1996

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CONTENTS

1. INTRODUCTION

2. GLOSSARY OF TERMS

3. GENERAL PROVISIONS

3.1 Legal status of safety quality licensing system

3.2 The Product List of Import Boilers and Pressure Vessels Subjected to Safety Quality Licensing System 3.2.1 Boilers

3.2.2 Transportable Pressure Vessels

3.2.3 Stationary Pressure Vessels

3.2.4 Safety Appurtenances of Boiler and Pressure Vessel

3.3 Forms of safety quality licensing

3.3.1 The two forms of safety quality licensing

3.3.2 Manufacturer Approval

3.3.3 Type Approval

3.3.4 Selection and validation of forms for safety quality licensing

3.4 Organizations relevant to safety quality licensing

3.5 Application procedures for safety quality licensing

3.5.1 Application procedure for Manufacturer Approval

3.5.2 Application procedure for Type Approval

3.6 Basic requirements for the product manufacturer

3.6.1 Resource requirements

3.6.2 Quality management requirements

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3.6.3 Product safety quality requirements

4. APPLICATION

4.1 Preparation for application

4.2 Submitting the application

4.2.1 Application intention

4.2.2 Distribution of the related information & documents and the blank Application Forms

4.2.3 Completion of the Application Form and submission of the application documents

4.3 Acceptance of the application

4.3.1 Review and acceptance of the application

4.3.2 Handling of acceptance

4.3.3 Handling of non-acceptance

4.4 Notes to the applicant

4.4.1 Non-acceptable conditions of application

4.4.2 Application when the manufacturer has more than one sub-manufactureror production facilities

4.4.3 Application made by the manufacturerí s representative agency

4.4.4 Application made by both the representative agency and the product manufacturer

4.4.5 Content, format and completion of the Applicant Form

4.4.6 Commitment of the applicant

5. REVIEW, SURVEY AND ASSESSMENT

5.1 General description of safety quality licensing review, survey and assessment

5.1.1 Basic principles and content of safety quality licensing review, survey and assessment

5.1.2 Basic procedures of safety quality licensing review, survey and assessment

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5.1.3 Basic requirements of safety quality licensing review, survey and assessment

5.2 Document Review

5.2.1 Basic principles and requirements of the Document Review

5.2.2 Main contents of the Document Review

5.2.3 Time and method of the Document Review

5.2.4 Validation of the Document Review results

5.3 Manufacturer Survey and Assessment

5.3.1 Basic principles and requirements of the Manufacturer Survey and Assessment

5.3.2 Main contents of the Manufacturer Survey and Assessment

5.3.3 Basic requirements of quality system and assessment checklist

5.3.4 Basic means for Manufacturer Survey and Assessment

5.3.5 Basic procedures of Manufacturer Survey and Assessment

5.3.5.1 Initial meeting of the review, survey and assessment team with related personnel ofthe manufacturer

5.3.5.2 Initial tour of the manufacturerí s facility

5.3.5.3 Review of the documents provided by the manufacturer

5.3.5.4 Review and assessment of the quality system documents

5.3.5.5 Audit and assessment of the implemented quality system

5.3.5.6 Checks or spot checks of product safety quality, and equipment & instruments 5.3.5.7 Review and verification of the corrective action required by the previous Assessment

Team

5.3.5.8 Exit meeting of the Assessment Team with the manufacturerí s personnel

5.3.6 Validation and disposition of Manufacturer Survey and Assessment results

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5.4 Sample Inspection & Test (only applicable to Type Approval )

5.4.1 Basic principles of Sample Inspection & Test

5.4.2 Preparation of product samples

5.4.2.1 Time, location and method of product sample selection

5.4.2.2 Quantity of product samples

5.4.2.3 Technical documents for the product samples

5.4.2.4 The delivery and acceptance of the product samples

5.4.3 Inspection and test of the product samples

5.4.3.1 Time of inspection and test

5.4.3.2 Personnel & location of inspection and test

5.4.3.3 Equipment, instruments and conditions of the inspection and test

5.4.3.4 Contents, item and method of the inspection and test

5.4.3.5 Assessment of inspection and test records and results

5.4.3.6 Guarantee of the fairness and correctness of the inspection and test

5.4.4 Validation of the inspection and test results

5.4.5 Disposal of product samples after inspection and test

5.5 Handling of disputes for review, survey and assessment results

5.6 Conclusion for the safety quality licensing review, survey and assessment

5.6.1 Drawing conclusion

5.6.2 Approval of conclusion

5.6.3 Disposition of the non-conformities with safety quality licensing requirements

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6. SAFETY QUALITY LICENSE AND LICENSING SYMBOL STAMP

6.1 Issuing and proclaiming of Safety Quality License

6.1.1 Issue of the Safety Quality License

6.1.2 Delivery of the Safety Quality License

6.1.3 Contents, format and validity period of the Safety Quality License

6.1.4 Proclamation for Safety Quality License

6.2 Renting of safety quality licensing Symbol Stamp

6.2.1 Submitting samples of the product name plate and trademark details of the product(or manufacturer)

6.2.2 Renting of licensing Symbol Stamp

6.3 Types of safety quality licensing Symbol Stamp

6.4 Use and control of the Safety Quality License

6.5 Use and control of safety quality licensing Symbol Stamp

6.5.1 Drafting procedure documents for use and control of the Symbol Stamp

6.5.2 Requirements for using the Symbol Stamp on products

7. ADMINISTRATION AND SUPERVISION AFTER OBTAININGTHE SAFETY QUALITY LICENSING

7.1 Responsibility and notes for the license holder

7.1.1 Quality control of safety quality licensing products

7.1.2 Use and control of safety quality licensing Symbol Stamp

7.1.3 Requirements for safety quality licensing products registration

7.1.4 Documentation requirements for safety quality licensing products

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7.1.5 Subsequent surveillance audit, checks or spot checks by the authorized agency

7.1.6 Report and disposition in the event of major changes

7.1.7 Notes for the license holder

7.2 Inspection, test and supervision of boiler & pressure vessel products exported to thePeopleí s Republic of China

7.3 Renewal procedure for the Safety Quality License

7.3.1 Safety Quality License renewal application

7.3.2 Review, survey and assessment for the Safety Quality License renewal

7.3.3 Issue of the new Safety Quality License

8. FEES AND EXPENSES FOR SAFETY QUALITY LICENSING

8.1 Items, standard and payment of fees and expenses for applying for safety qualitylicensing

8.1.1 Fee and expense items

8.1.2 Standard and payment of fees and expenses

8.1.3 Fee disposition of non-accepted application

8.1.4 Fee disposition of canceled application

8.2 Items, standard and payment of fees and expenses for the subsequent surveillance,checks or spot checks to license holder

8.3 Items, standard and payment of fees and expenses for renewal of the safety qualitylicensing

9. SUPPLEMENTARY PROVISIONS

10. APPENDIX Appendix A Application Form

Appendix B Quality System Requirements and Assessment Checklist

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Appendix C Safety Quality License

Appendix D Registration Form1. INTRODUCTION

This Guideline is formulated based on the stipulations of article 30 in ImplementationRegulations of Import Boiler and Pressure Vessel Safety Quality Licensing System issued bythe Ministry of Labour of the Peopleí s Republic of China (hereinafter referred to as theImplementation Regulations).

This Guideline is a specific guidance document formulated for implementing the importboiler & pressure vessel safety quality licensing system by following the fundamental principlesof the Implementation Regulations.

This Guideline is provided mainly for foreign and overseas manufacturers or enterprises,and their representative agencies which export their boiler and pressure vessel products to thePeopleí s Republic of China . It is also provided for the review, survey and assessmentpersonnel when assigned to conduct the safety quality licensing review, survey and assessmentas well as other relevant personnel.

This Guideline is aimed at helping its users to acquaint and understand the nature,content, requirements, procedures and the various stipulations of the import boiler & pressurevessel safety quality licensing system of the People's Republic of China and to ensure thecorrect execution.

This Guideline was drafted by the Center of Boiler and Pressure Vessel Inspection &Research, the Ministry of Labour, the Peopleí s Republic of China, approved and promulgatedby the Ministry of Labour, the Peopleí s Republic of China.

The Center of Boiler & Pressure Vessel Inspection & Research of the Ministry ofLabour, authorized by the Ministry of Labour of the People í s Republic of China, isresponsible for the interpretation of this Guideline.

2. GLOSSARY OF TERMS

2.1 Boiler & Pressure Vessel - A general designation of boilers, pressure vessels, gascylinders, and safety appurtenances of boiler and pressure vessel.

2.2 Guideline - Guideline for Implementation Regulations of Import Boiler & Pressure VesselSafety Quality Licensing System, unless otherwise indicated.

2.3 Implementation Regulations - Implementation Regulations of Import Boiler and PressureVessel Safety Quality Licensing System issued by the Ministry of Labour of the People'sRepublic of China.

2.4 MOL - Abbreviation for the Ministry of Labour of the Peopleí s Republic of China.

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2.5 SACI - Abbreviation for the State Administration of Import & Export CommodityInspection of the Peopleí s Republic of China.

2.6 OBA - Abbreviation for the Bureau of Occupational Safety & Health and Boiler &Pressure Vessel Administration of the Ministry of Labour of the Peopleí s Republic of China.

2.7 CBPVI - Abbreviation for the Center of Boiler & Pressure Vessel Inspection & Researchof the Ministry of Labour of the Peopleí s Republic of China.

2.8 SQLO - Abbreviation for the Safety Quality Licensing Office for Import Boiler andPressure Vessel of the Ministry of Labour of the Peopleí s Republic of China.

2.9 List - The Product List of Import Boilers and Pressure Vessels Subjected to Safety QualityLicensing System jointly promulgated by the Ministry of Labour of the People's Republic ofChina and the State Administration of Import & Export Commodity Inspection of the Peopleí s Republic of China unless otherwise indicated.

2.10 SQLS - Abbreviation for the Import Boiler & Pressure Vessel Safety Quality LicensingSystem of the Peopleí s Republic of China unless otherwise indicated.

2.11 Applicant - A general designation of foreign (or overseas) product enterprises,manufacturers or their representative agencies which apply for the Import Boiler & PressureVessel Safety Quality Licensing of the Ministry of Labour of the Peopleí s Republic of China.

2.12 License Holder - An applicant which has obtained and held a valid Safety QualityLicense for Import Boiler & Pressure Vessel issued by the Ministry of Labour of the People'sRepublic of China.

2.13 Application Form - The written application document submitted by the applicant inaccordance with the content and format required in Appendix A of this Guideline.

2.14 Safety Quality License - The Safety Quality License for Import Boiler & Pressure Vesselauthorized and issued by the Minister of Labour of the People's Republic of China.

2.15 Manufacturer - A general designation of a foreign or overseas company, productenterprise or product manufacturer which exports their boiler and pressure vessel products tothe Peopleí s Republic of China. Also referred to as Product Manufacturer.

3. GENERAL PROVISIONS

3.1 Legal status of safety quality licensing system

3.1.1 Legal basis of safety quality licensing systemThe Import Boiler & Pressure Vessel Safety Quality Licensing System of the People's

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Republic of China is based upon the following laws, decrees and regulations:

(1) Article 22 of the Law of the People's Republic of China on Import and ExportCommodity Inspection, "The State, when deemed necessary, shall institute the SafetyLicense System for important import and export commodities and their manufacturers."(Adopted by the sixth meeting of the standing committee of the Seventh NationalPeople's Congress on February 21,1989; Promulgated by the President of the People'sRepublic of China).

(2) Article 38 of the Regulations for the Implementation of the Law of the People's Republicof China on Import and Export Commodity Inspection, "As required by the state, forimportant import and export commodities involving safety and hygiene, etc. and theirmanufacturers, an import safety quality license and export quality license system shall beimplemented."(Approved by the State Council on October 7, 1992 and promulgated bythe State Administration of Import and Export Commodity Inspection of the Peopleí sRepublic of China on October 23, 1992.)

(3) Article 3 and article 4 of the Implementation Regulations of Import Commodity SafetyQuality Licensing System, "The State Administration of Import & Export CommodityInspection is responsible for formulation and promulgation of the List of ImportCommodities Subject to Import Safety Quality Licensing System for commoditiesinvolving safety, hygiene, environment protection, and labour protection”; ì Nocommodities shall be allowed to export to the People's Republic of China unlessobtained the Safety Quality License.” (Promulgated by the State Administration ofImport & Export Commodity Inspection of the Peopleí s Republic of China on June 30,1993).

(4) Products from kinds 35th to 38th covered in The Second List of Import CommoditiesSubject to Import Safety Quality Licensing System. (Jointly promulgated by the StateAdministration of Import and Export Commodity Inspection of the People's Republic ofChina and the Ministry of Foreign Trade and Economic Co-operation of the People'sRepublic of China on September 4, 1995).

(5) The Product List of Import Boilers and Pressure Vessels Subject to Safety QualityLicensing System.(Jointly promulgated by the Ministry of Labour of the People'sRepublic of China and the Stated Administration of Import & Export CommodityInspection of the People's Republic of China on September 6, 1995).

(6) The Implementation Regulations of Import Boiler and Pressure Vessel Safety QualityLicensing System (Issued by the Ministry of Labour of the People's Republic of China onSeptember, 29, 1993).

3.1.2 Enforcement date of safety quality licensing systemAccording to the aforementioned laws, decrees, and regulations, from October 1, 1997

onwards, no boiler and pressure vessel products which are covered in The Product List ofImport Boilers and Pressure Vessels Subjected to Safety Quality Licensing System(hereinafter referred to as the List) shall be allowed to export to the territory of the People'sRepublic of China unless the foreign or overseas manufacturers have obtained the SafetyQuality License issued by the Ministry of Labour (hereinafter referred to as MOL) of the

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People's Republic of China.

3.1.3 Nature of safety quality licensingThe Import Boiler & Pressure Vessel Safety Quality Licensing System of the People's

Republic of China (hereinafter referred to as SQLS) is a legal and mandatory product safetyquality certification system based upon the national laws and prescribed procedures.

Obtaining the Safety Quality License issued by the MOL means that a manufacturerpossesses the assurance capability of providing boilers and pressure vessels in accordance withthe safety quality requirements and achieves the governmental import licensing certification ofthe People's Republic of China, thus possesses the prerequisite official qualification to exportits products covered in the licensing scope to the Peopleí s Republic of China. The productsshall also be subjected to commodity inspection and product safety performance qualityinspection according to the stipulations of the Law of the People's Republic of China onImport and Export Commodity Inspection and the Provisions for the Peopleí s Republic ofChina on the Supervision and Control of the Import and Export Boilers and Pressure Vesselswhen the products are exported to the territory of the Peopleí s Republic of China.

3.2 The Product List of Import Boilers and Pressure Vessels Subjected to Safety QualityLicensing System

The following four categories of boiler and pressure vessel products shall be subjected toimport boiler & pressure vessel safety quality licensing system according to the List jointlypromulgated by the Ministry of Labour and the State Administration of Import and ExportCommodity Inspection of the People's Republic of China.

3.2.1 Boilers, including:1) Steam Boilers-

A general designation for stationary steam boilers in which steam is generated at acertain pressure in water service conditions.

2) Hot Water Boilers-A general designation for stationary hot water boilers operating at a certain pressure in

water service conditions.3) Organic Fluid Heaters-

A general designation for stationary organic fluid heaters in vapour phase or in liquidphase service conditions.

3.2.2 Transportable Pressure Vessels, including:1) Gas Cylinders-

A general designation for various cylinders which are used in the normal ambienttemperature (-40~60°C) with nominal working pressure 1.0-30 MPa (gage pressure)and nominal volume 0.4-1000L.

2) Truck Transport Tank Units-A general designation for truck transport tank units with the maximum workingpressure in the tanks of not less than 0.1MPa.

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3) Railway Transport Tank Units-A general designation for railway transport tank units with the maximum workingpressure in the tanks of not less than 0.1 MPa.

3.2.3 Stationary Pressure VesselsA general designation for stationary pressure vessels, includes stationary vessels with the

maximum working pressure of not less than 0.1MPa, inside diameter of not less than 0.15m,volume of not less than 0.025 cubic meters, and the contained medium as gas, liquefied gas, orliquid with the maximum working temperature of not less than its standard boiling point.

Note: The typical stationary pressure vessels used in industrial installation of fertilizer, chemicalengineering, petrochemical engineering, air separation, light industry, paper-making,metallurgy, building materials, power, medicine, and textile industries are as follows:

1.Classification of reaction, such as, varieties of reactors, synthetic towers, polymerizers,condensing-polymerizing kettles, shift converters, pyrolysis furnaces(towers), decomposer towers,oxidizing towers, reducing towers, and generators, etc. in which, chemical reaction takes placeamong the contained mediums.

2. Classification of separation, such as, various distillation towers, rectifying towers, fractionatingtowers, absorbing towers, extracting towers, scrubbing towers, crystallizers, concentrators,deaerators, and separators, etc. in which, mass transfer and/or mass separation takes placeamong the contained medium.

3. Classification of heat exchange, such as ,varieties of heat exchangers, heaters, coolers, pre-heaters, evaporators, condensers, dryers, reboilers, autoclaves, stoving ovens, spherical digesters,and cold boxes, etc. in which, heat transfer and exchange takes place among the containedmediums.

4. Classification of storage, such as, all kinds of horizontal cylindrical tanks, vertical cylindricaltanks, spherical tanks, fermentation pots, and mixers, etc. mainly used in storage and/or mixingof mediums.

3.2.4 Safety Appurtenances of Boiler and Pressure VesselA general designation for safety appurtenances for boiler and pressure vessel. These

include: safety valves, rupture discs, pressure measuring devices, protection devices, mainvalves, pressure fittings, etc..

3.3 Forms of safety quality licensing

3.3.1 The two forms of safety quality licensingThere are two forms of import boiler and pressure vessel safety quality licensing, i.e.

Manufacturer Approval and Type Approval.

3.3.2 Manufacturer ApprovalManufacturer Approval is principally to confirm the capability and degree for a

manufacturer to assure the safety quality of its products, through the survey of a manufacturerí s manufacturing and inspection conditions, and the review and assessment of a manufacturerí s quality system.

For the manufacturer who has passed the review, survey and assessment, the MOL willissue the ì Manufacturer Approval” Safety Quality License corresponding to the licensingscope and the ì Manufacturer Approval” Symbol Stamp to the manufacturer according to the

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stipulations of the Implementation Regulations.The Manufacturer Approval form is applicable to Boiler, Stationary Pressure Vessel,

Truck Transport Tank Unit, and Railway Transport Tank Unit products in the List.

3.3.3 Type ApprovalType Approval is principally to confirm the safety quality reliability of a type of

products, through the review of design for a specific type of products, the survey andassessment of manufacturing, and the inspection and test of safety quality of a specific type ofproducts.

For the manufacturer and its products which have passed the review, survey andassessment, the MOL will issue the ì Type Approval” Safety Quality License which applies tothe corresponding product type and the ì Type Approval” Symbol Stamp to the manufactureraccording to the stipulations of the Implementation Regulations.

The Type Approval form is applicable to Gas Cylinder, and Safety Appurtenance ofBoiler and Pressure Vessel products in the List.

3.3.4 Selection and validation of forms for safety quality licensingThe applicant may put forward the forms of safety quality licensing application

according to the application product category and the stipulations of clause 3.3.2 and clause3.3.3 of this Guideline and indicate the selection in the Application Form.

For the Gas Cylinder, and Safety Appurtenance of Boiler and Pressure Vessel products,the applicant may apply for the addition of Manufacturer Approval. However, the applicantshall not be allowed to change to Manufacturer Approval. For all the other productcategories, the applicant may also apply for the addition of Type Approval according to thespecific product type.

Forms of safety quality licensing application shall be finally validated by OccupationalSafety & Health and Boiler & Pressure Vessel Administration (OBA) in the Application Form.

3.4 Organizations relevant to safety quality licensingSACI: the promulgation organization of the List and the proclamation organization of

Safety Quality License holders.MOL: the issuing organization of Safety Quality License and the proclamation

organization of Safety Quality License holders.OBA: the acceptance organization for the safety quality licensing application; the

approval organization of safety quality licensing review, survey and assessment results; andthe administration organization of Safety Quality License.

CBPVI: the organization for safety quality licensing review, survey, assessment,inspection and test; the implementation organization responsible for subsequent surveillanceand supervision; and the acceptance organization of import product registration for the licenseholder, authorized by the Ministry of Labour.

SQLO: the routine administration office for implementing the import boiler and pressurevessel safety quality licensing system, jointly established by the OBA and the CBPVI of theMOL for simplifying the application procedures. This office is responsible for the receipt ofsafety quality licensing applications, liaison with the applicants, and the specific consultation

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services related to safety quality licensing.

3.5 Application procedures for safety quality licensing

3.5.1 Application procedure for Manufacturer Approval (Fig.1) 3.5.2 Application procedure for Type Approval (Fig.2)

application intention by the applicant

completion and submission of Application Form(Submission of application documents)

payment of application fee

review and acceptance of application

document review

first manufacturer survey and assessment

second manufacturer survey and assessment

conclusion for safety quality licensingreview, survey and assessment

payment & balance of safety quality licensing fee

renewal of licenseissuing safety quality license

issuing Symbol Stampproclamation of license holder

subsequent surveillance & supervision to license holder and licensing products

Fig.1. Application procedure for Manufacturer Approval

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application intention by the applicant

completion and submission of Application Form(submission of application documents)

payment of application fee

review and acceptance of application

document review

manufacturer survey and assessment(selection & choice of product sample)

payment of inspection & test fee for product sample

inspection & test of product sample

renewal of licenseconclusion for safety quality licensing review, survey & assessment, and inspection & test

payment & balance of safety quality licensing fee

issuing safety quality license; issuing Symbol Stamp;proclamation of license holder

subsequent surveillance & supervision to license holderand licensing products

Fig.2 Application procedure for Type Approval

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3.6 Basic requirements for the product manufacturerThe product manufacturer shall possess the independent legal person status or be a

manufacturer approved or registered in the local government according to national law wherethe product manufacturer is located, in addition to the following conditions:

3.6.1 Resource requirementsThe product manufacturer shall possess the necessary resources and capability required

for the manufacturing of its products and for the forms of safety quality licensing application,including product production site, manufacturing & fabrication equipment, inspection & testequipment, instruments and conditions as well as the suitable and appropriate technicalpersonnel and human resources, etc..

3.6.2 Quality management requirements1) Establish and maintain a quality system which shall be suitable for the products produced

and be able to assure the product quality, meet the contract requirements and providethe confidence to customers;

2) The quality system shall be documented. A Quality Manual shall be prepared which shallinclude or make reference to the quality system procedures and outline the structure ofthe documentation used in the quality system;

3) The quality system, Quality Manual and quality system procedures shall be effectivelyimplemented;

4) The product manufacturer may make its own choice to establish its quality systemaccording to the actual situation. However, the quality system established shall generallyinclude the main quality elements listed in the ISO 9000 series standards and meet therequirements of clause 5.3.3 of this Guideline;

5)Documented descriptions following China Safety Quality Licensing System requirementsshall also be included in the quality system procedure document. It shall mainly include:custody control procedures for safety quality licensing Symbol Stamp; procedures forthe registration of safety quality licensing products exported to P.R.C. and controlprocedures for exporting the safety quality licensing products to P.R.C.; documentedprocedures for providing the quality related documents to customers in P.R.C.; and adescription of accepting the responsibility and obligation stipulated in theImplementation Regulations, etc..

3.6.3 Product safety quality requirements1) In the China Safety Quality Licensing System, the product design, manufacturing and

acceptance code or standard applied shall not be specified by the authorities, except forthe inspection and test of product samples. The product design, manufacturing andacceptance code or standard applied shall follow the manufacturerí s quality system andthe purchasing contract requirements.

2) The product design, manufacturing and inspection shall conform to the requirements ofthe manufacturerí s quality system and meet the product quality standard or criteriastipulated in the product purchasing contract. The product manufacturer shall beresponsible for its product quality.

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4. APPLICATION

4.1 Preparation for applicationThe applicant is required to carefully read the Implementation Regulations and this

Guideline as well as the relevant documents provided by the Safety Quality Licensing Office(SQLO). If deemed necessary, the applicant may also inquire to SQLO so as to have athorough understanding of Safety Quality Licensing System of the Peopleí s Republic ofChina.

4.2 Submitting the application

4.2.1 Application intentionThe applicant may start applying for safety quality license by submitting a written application

intention (Chinese or English) or verbally expressing the application intention to SQLO of theMOL, the People's Republic of China.

The application intention shall include or cover the following details: Full name, address,telephone and fax numbers of the applicant; Full name, address, telephone and fax numbers of theproduct manufacturer; A brief introduction of the product manufacturer and its products; Astatement as to whether or not the intention is to get the blank Application Form or to get thefurther information related to the safety quality licensing. At the same time, the situation ofproducts exported to the People's Republic of China (in the previous three years) should bedescribed as far as possible.

Submission of the application intention is not binding on the applicant.

4.2.2 Distribution of the related information & documents and the blank Application FormsAfter receiving the application intention, SQLO will distribute the following related

documents and the blank Application Form to the applicant: 1)Documents related with the application procedure for safety quality licensing; 2)Description of the fees & expenses for safety quality licensing and the payment;3)Other information & documents necessary for the application for safety quality licensing.

4.2.3 Completion of the Application Form and submission of the application documentsHaving made the final decision of application, the applicant shall complete the Application

Form in triplicate in Chinese or in English. The completed Application Form shall be submitted bythe applicant to SQLO, together with the related application documents required.

Documents required for the safety quality licensing application are as follows:1)General introduction of the manufacturer2)Quality Manual of the manufacturer3)Copy of the legal business documents approved or registered by the local government4)Copy of registration or certification issued by an authority or organization obtained by

the product manufacturer5)Catalogue of typical products for which application is made6)Product design drawings and specifications(applicable to Type Approval)7)Other necessary supplementary documents

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The completed Application Form is a formal application document (equivalent to a contract)put forward by the applicant. Once signed and mailed, the application shall be binding on theapplicant.

4.3 Acceptance of the application

4.3.1 Review and acceptance of the applicationAfter SQLO receive the completed Application Form, the related documents and the

application fees, and upon confirming their completeness & correctness, the Bureau ofOccupational Safety & Health and Boiler & Pressure Vessel Administration (OBA) will reviewthem and decide whether or not the application can be accepted. If OBA accepts the application,the forms (Manufacturer Approval or Type Approval or both) of safety quality licensing will bedetermined at that time.

4.3.2 Handling of acceptanceIf OBA accepts the application, SQLO will inform the OBA's acceptance decision in writing

to the applicant within fifteen days. One copy of the Application Form which has been signed byOBA for the acceptance approval shall be returned to the applicant. The applicant shall also beinformed for the preparation and arrangements for the manufacturer review, survey andassessment.

4.3.3 Handling of non-acceptanceIf OBA's decision is non-acceptance of the application, SQLO will inform the OBA's decision

to the applicant in writing and describe the reason for the non-acceptance.

4.4 Notes to the applicant

4.4.1 Non-acceptable conditions of applicationUnder the following conditions, the application will normally be unacceptable:

1)If no product manufacturer is indicated in the Application Form, the application isunacceptable;

2)If the product manufacturer does not possess the independent legal person status or isnot approved or registered with the local government according to national law wherethe product manufacturer is located, the application is unacceptable;

3)If the application products are not covered in the List, the application is unacceptable;4)If the product manufacturer does not establish a documented quality system or has not

submitted the quality manual, the application will be suspended;5)If the application documents are not adequate or the application fee is not received, the

application will be suspended;6)If the application does not indicate the address of the product manufacturer or does not

indicate the product category, series or type or specification, and standards or codesapplied for the Type Approval, the application will be suspended.

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4.4.2 Application when the product manufacturer has more than one sub-manufacturer orproduction facilities

1)If all the sub-manufacturers or production facilities of the manufacturer are located inthe same city, the application may be made either in one Application Form or separately.If the applications are made in one Application Form, the addresses, productionconditions, product categories, forms of safety quality licensing application of all thesub-manufacturers or production facilities as well as whether the quality system andquality manual are applicable to all the sub-manufacturers or production facilities shall beindicated or described.

2)If the sub-manufacturers or production facilities are not located in the same city, theapplication for safety quality licensing shall be made separately. If the applications aremade in the same Application Form, the acceptance, review, survey and assessment ofthe safety quality licensing for the sub-manufacturers or production facilities which arenot in the same city shall be handled independently.

3)One Safety Quality License shall be issued for each application. The address of theproduct manufacturer shall also be indicated in the Safety Quality License.

4.4.3 Application made by the product manufacturerí s representative agency1)The applicant shall indicate the product manufacturerí s name, address as detailed in the

Application Form and submit the required application documents. The applicant shallalso be required to submit a valid document describing that the product manufacturerhas agreed and promised to accept the review, survey and assessment, productinspection & test, and the subsequent surveillance audits & supervision as required bythe safety quality licensing system.

2)One Safety Quality License shall be issued to the applicant. The name, address ofproduct manufacturer shall also be indicated in the Safety Quality License.

4.4.4 Application made by both the representative agency and the product manufacturerTwo original copies of the Safety Quality License may be issued to the representative

agency and the product manufacturer respectively. The names and addresses of the twoapplicants shall also be indicated in the Safety Quality License simultaneously.

4.4.5 Content, format and completion of the Application FormSee Appendix A.

4.4.6 Commitment of the applicantThe responsible officer of the applicant shall express his/her commitment by signature

under the following declaration in the Application Form: I hereby declare that my party iswilling to apply for the safety quality licensing of the People's Republic of China by followingthe Implementation Regulations of Import Boiler and Pressure Vessel Safety QualityLicensing System issued by the Ministry of Labour of the People's Republic of China. Myparty will accept the review, survey and assessment, product inspection & test, subsequentsurveillance audits & supervision, and provide the necessary working conditions, and pay therelevant fees and expenses as stipulated.

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5. REVIEW, SURVEY AND ASSESSMENT

5.1 General description of safety quality licensing review, survey and assessment

5.1.1 Basic principles and content of safety quality licensing review, survey and assessmentManufacturer Approval is principally to confirm the capability and degree for a

manufacturer to assure the safety quality of its products, through the survey of a manufacturerí s manufacturing and inspection conditions, and the review and assessment of amanufacturer's quality system. The contents of review, survey and assessment include: thereview of documents and the survey and assessment of the production site (i.e. ManufacturerSurvey and Assessment).

Type Approval is principally to confirm the safety quality reliability of a type ofproducts, through the review of design for a specific type of products, the survey andassessment of manufacturing, and the inspection and test of safety quality of a specific type ofproducts. The contents of the review, survey and assessment include: the review ofdocuments, the comprehensive inspection and test of product samples (i.e. Sample Inspection& Test), and the necessary survey and assessment of the production site (i.e. ManufacturerSurvey and Assessment).

5.1.2 Basic procedures of safety quality licensing review, survey and assessment Step 1. Document Review of the documents submitted by the applicant. After theconfirmation of conformance to the specified requirements for documents submitted, theapplicant will be advised to prepare for acceptance of the Manufacturer Survey andAssessment. Step 2. Implementing the Manufacturer Survey and Assessment. Step 3. For Type Approval, the Sample Inspection & Test shall also be conducted after themanufacturer has successfully passed the Manufacturer Survey and Assessment. Step 4. Upon the completion and passing the final Manufacturer Survey and Assessment orSample Inspection & Test , the authorized review, survey and assessment, inspection & testorganization -CBPVI will compile the results of safety quality licensing review, survey andassessment, inspection & test and draft a report to OBA for its review and approval. Step 5. When the results meet the safety quality licensing requirements, the Ministry ofLabour will issue the Safety Quality License and make the proclamation.

5.1.3 Basic requirements of safety quality licensing review, survey and assessment1)The review, survey and assessment of safety quality licensing shall be performed by

strictly following the requirements of the Implementation Regulations and this Guidelinein order to assure its objectiveness, impartiality, correctness and reliability.

2)Part of the Document Review shall be carried out before the Manufacturer Survey andAssessment, the other part of the Document Review shall be carried out in the productmanufacturer combining with the Manufacturer Survey and Assessment.The Manufacturer Survey and Assessment shall be carried out at the productmanufacturerí s facilities.

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The selection and choice of product samples for Sample Inspection & Test shall becarried out in the product manufacturerí s facility combined with the ManufacturerSurvey and Assessment. The inspection and test of "product sample" will be carried outin the laboratory of CBPVI or an accredited laboratory entrusted by CBPVI.

3)The organization & personnel carrying out the review, survey & assessment, inspection& test shall keep confidential the design, manufacturing, inspection techniques and theinspection results of the product manufacturer and the product by following theinternational custom and practice and at the request of the applicant.

4)The applicant shall cooperate well, following the requirements of ImplementationRegulations and this Guideline.

5.2 Document Review

5.2.1 Basic principles and requirements of the Document ReviewThe Document Review is principally to review the documents submitted by the applicant

for their completeness, correctness and effectiveness in order to determine whether or not theysatisfy the requirements of Manufacturer Survey and Assessment and/or Sample Inspection &Test, whether or not conforming to the requirements of quality system documents and productstandards, whether or not conforming to the requirements for controlling the product safetyquality, and whether or not conforming to the stipulations of the relevant laws, regulations ofthe People's Republic of China and the requirements of Safety Quality Licensing System.

The applicant shall submit the necessary documents in accordance with the stipulationsof this Guideline and the notification of SQLO as well as the request of the review, survey andassessment team. All documents submitted shall be in Chinese or English language unlessagreed by SQLO or by the review, survey and assessment team beforehand.

5.2.2 Main contents of the Document Review, including: 1) Review of the documents related with the manufacturerí s basic condition and of the

application documents; 2) Review of the documents related with the production conditions, manufacturing and

fabrication equipment, inspection & test equipment and instruments as well as thetechnical personnel situation etc.;

3) Review of the manufacturer's quality system documents (Quality Manual and the qualitysystem procedure etc.);

4) Review of the documents related with the product design and the records and reports ofproduct manufacturing, inspection & test, etc..

5.2.3 Time and method of the Document ReviewReview of the documents related with the manufacturer's basic conditions and the

application documents is generally carried out before the Manufacturer Survey andAssessment. The review of all the other documents is usually carried out in the productmanufacturerí s facility in combination with the Manufacturer Survey and Assessment. For theType Approval, the review of documents related with product samples is generally performedbefore the Sample Inspection & Test.

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The method of Document Review takes the form of going over the documents, askingquestions or explanation by the manufacturer.

5.2.4 Validation of the Document Review resultsFor the Document Review results, if any addition or change to the documents is deemed

necessary, the manufacturer shall make up the additional documents or modify the documentsafter joint confirmation by the review, survey and assessment personnel and the representativeof the applicant. The addition or change of the document will be validated by CBPVI.

5.3 Manufacturer Survey and Assessment

5.3.1 Basic principles and requirements of the Manufacturer Survey and Assessment

5.3.1.1 The Manufacturer Survey and Assessment is principally to survey the production andinspection conditions, to check the manufacturing process technology, and to assess theestablished and implemented quality system of the manufacturer. It will be carried out incombination with the survey and assessment of the typical product manufacturing, inspectionand test.

5.3.1.2 The Manufacturer Survey and Assessment shall be carried out twice for theManufacturer Approval

The first Manufacturer Survey and Assessment is a comprehensive review, survey andassessment of the manufacturer, performed by a team organized by Center of Boiler andPressure Vessel Inspection & Research (CBPVI). The review, survey and assessment resultsshall be given and the arrangement of the second Manufacturer Survey and Assessment shallalso be suggested by the team. The valid working period of the Manufacturer Survey andAssessment usually is not more than four days. The members of the team performing theManufacturer Survey and Assessment usually will not be more than three people.

The second Manufacturer Survey and Assessment shall be performed by a joint teamwith team members coming from CBPVI and OBA. It is mainly to joint survey and assess theimplementation of quality system of the manufacturer, to verify the first Manufacturer Surveyand Assessment results, and to review, verify and validate the corrective action taken asrequested by the first Manufacturer Survey and Assessment team. The conclusion of theManufacturer Survey and Assessment will also be given by combining the two ManufacturerSurvey and Assessment results. The second Manufacturer Survey and Assessment is usuallyarranged within two months after the completion date of the first Manufacturer Survey andAssessment. The valid working period of the Manufacturer Survey and Assessment is notmore than three days. The members of the team performing the Manufacturer Survey andAssessment usually will not be more than three people.

5.3.1.3 For Type Approval, the Manufacturer Survey and Assessment will be usually carriedout once and will be performed by a joint team with team members coming from CBPVI andOBA. The selection and choice of product samples used for Sample Inspection and Test shallbe carried out at the manufacturerí s facilities before the completion of the Manufacturer

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Survey and Assessment by following the requirements of clause 5.4.2.1 to 5.4.2.3 of thisGuideline. The valid working period of the Manufacturer Survey and Assessment will not bemore than four days. The members of the team performing the Manufacturer Survey andAssessment will normally not be more than four people.

5.3.2 Main contents of the Manufacturer Survey and Assessment include: 1) Survey, checks or spot checks of the product production conditions, manufacturing and

fabrication equipment, inspection & test equipment and instruments as well as thetechnical personnel qualifications etc.;

2) Review and assessment of the quality system documents of the manufacturer; 3) Audit and assessment of the implementation of the manufacturerí s quality system; 4) Checks or spot checks of the product safety quality; selective inspection or test of the

product safety performance may be conducted, if deemed necessary; 5) Other checks, or review, survey and assessment if deemed necessary by the review,

survey and assessment personnel.

5.3.3 Basic requirements of quality system and assessment checklistBasic requirements of the manufacturer's quality system and quality elements and the

assessment checklist for the implementation of quality system documents and the qualitysystem are listed in Appendix B.

5.3.4 Basic means for Manufacturer Survey and Assessment

5.3.4.1 The survey and checks of the product production conditions, manufacturing andfabrication equipment, inspection and test equipment and instruments as well as the technicalpersonnel qualifications etc. will be carried out mainly in the form of inspection tour,verification, checks and spot-checks, etc..

5.3.4.2 The review and assessment of the quality system documents will be carried out mainlyby means of a review of documents and through inquiring & querying questions, etc..

5.3.4.3 Audit and assessment of the implementation of the quality system and quality elementswill be carried out mainly by means of checking and witnessing, asking questions, tracing andinquiring, verifying material & objects, on-site spot checks etc. in combination with the design,manufacturing, inspection, test of the typical products, and the typical procedures orprocesses.

5.3.4.4 The inspection and spot-checks of the product safety quality will be performed mainlyby means of on-site inspection, spot checks, test of completed products or in-processproducts. For the manufacturer applying or products being applied for Type Approval,products shall also be selected to carry out the inspection and test of safety qualityperformance in the manufacturerí s facility.

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5.3.5 Basic procedures of Manufacturer Survey and Assessment

5.3.5.1 Initial meeting of the review, survey and assessment team (hereinafter referred to asAssessment Team) with related personnel of the manufacturerThe initial meeting is a meeting of the Assessment Team with manufacturer í s

management personnel, responsible personnel of related departments, and quality managementpersonnel of the manufacturer. The meeting usually covers the following topics:

1) Introduction of personnel of the two parties.2)The manufacturerí s personnel shall give an introduction covering the following contents:

A brief introduction of the manufacturer and its quality system;The supplementary situation and corrective action taken since the previous ManufacturerSurvey and Assessment (applicable to the second Manufacturer Survey and Assessmentfor the Manufacturer Approval).

3) The Assessment Team leader shall give an introductory speech including the followingmain contents:Verifying the main contents of safety quality licensing application (applicable to the firstManufacturer Survey and Assessment);Describing the purpose, tasks and responsibility of the Assessment Team;Introduction of the Safety Quality Licensing System of the People's Republic of China(applicable to the first Manufacturer Survey and Assessment);Describing the main contents, methods, procedures and requirements of the currentManufacturer Survey and Assessment;Presenting the relevant requirements and the necessary supplementary document list tobe provided by the manufacturer;suggested current Manufacturer Survey and Assessment schedule.

4)An address by the manufacturerí s responsible personnel.5)Exchange views and make the arrangements for the working schedule, supplement

documents, working conditions, and coordination etc. between the two parties.

5.3.5.2 Initial tour of the manufacturerí s facilityThe initial tour of the manufacturerí s facility will normally be arranged after the initial

meeting. The Assessment Team will make a quick tour of the related departments, workshopsand test laboratories under the guidance of the relevant personnel of the manufacturer so as tohave a initial understanding of the manufacturerí s situation, production conditions, productstructures, manufacturing processes, inspection conditions, etc..

5.3.5.3 Review of the documents provided by the manufacturerAfter the initial understanding of the manufacturerí s situation, the Assessment Team

will review the documents provided by the manufacturer and exchange views, inquire andverify, with related personnel of the manufacturer concerning the problems (including doubtfulpoints, and the completeness and correctness etc.). The necessary records shall be made. Ifproblems or findings exist, they shall be agreed and confirmed by the two parties.

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5.3.5.4 Review and assessment of the quality system documents (mainly for the firstManufacturer Survey and Assessment)

The review and assessment of the quality system documents will usually be carried out atbilateral meetings of the Assessment Team and the relevant responsible personnel for thequality system management of the manufacturer in order to confirm whether or not thedocuments meet the safety quality licensing requirement. The main contents and requirementsof the assessment shall be carried out according to Appendix B "Quality System Requirementsand Assessment Checklist". The assessment results shall be recorded. The manufacturer shalladequately consider the recommendations concerning the supplement and amendment to thequality system documentation by the Assessment Team.

5.3.5.5 Audit and assessment of the implemented quality systemThe audit and assessment of the implementation of the quality system, elements or

documentation shall be carried out by the Assessment Team accompanied by the relevantpersonnel of the manufacturer as described in clause 5.3.4.3 of this Guideline. The results shallbe recorded. If problems or findings exist, they shall be agreed and confirmed by the twoparties. The manufacturer shall take the corrective and preventative action necessary byfollowing its quality system procedures.

5.3.5.6 Checks or spot checks of product safety quality, and equipment & instrumentsThe on site checks, spot checks, or test for the quality of products or in-process

products as well as the quality control activity shall be carried out by the Assessment Teamjoined or accompanied by the relevant personnel of the manufacturer. The checks or spot-checks or test of the performance and control of the equipment and instruments shall also becarried out. The checks, spot-checks or test results shall be recorded. If problems or findingsexist, they shall be agreed and confirmed by the two parties.

For the manufacturer applying or product being applied for Type Approval, a certainamount of products shall be randomly selected from the normal acceptable products, thesafety performance shall then be inspected & tested in accordance with the product standardsapplied. The inspection and test items and quantity shall be selected and determined by theAssessment Team, by following the product standards applied. The inspection and test will becarried out by the manufacturer. The relevant personnel of the Assessment Team shall be on-site to witness the inspection and test. The inspection & test equipment and instruments andthe inspection & test data and results shall be validated by the member of the AssessmentTeam.

5.3.5.7 Review and verification of the corrective action required by the previous AssessmentTeam (Applicable to the second Manufacturer Survey and Assessment for ManufacturerApproval)

Time shall be arranged by the Assessment Team and the manufacturer for reviewing andverifying the corrective and supplemental action required by the first Manufacturer Survey andAssessment (if applicable). The two parties shall verify the corrective and preventative actiontaken by the manufacturer and/or the supplementation or amendment of the documents etc.case by case based on the evidence and the effectiveness. The Assessment Team shall validatethem in the case of conforming to the related requirements.

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5.3.5.8 Exit meeting of the Assessment Team with the manufacturerí s personnelWhen finishing the manufacturer survey and assessment, an exit meeting will be held by

the Assessment Team, and the manufacturerí s management, the responsible personnel of therelevant departments, quality management personnel of the manufacturer. The main contentsof the meeting are as the follows :

1)The Assessment Team leader will give a general introduction to the results of thereview, survey and assessment, inspection and test of the Manufacturer Survey andAssessment as per the requirements of clause 5.3.5.3 to 5.3.5.7 of this Guideline.

For the first Manufacturer Survey and Assessment for Manufacturer Approval and theManufacturer Survey and Assessment for Type Approval, the Assessment Team leader shallalso give a verbal conclusion of the current visit according to the Manufacturer Survey andAssessment results. The corrective and preventative action to be taken or supplemental itemsby the manufacturer shall be clearly identified or stated by the Assessment Team leader. Thenecessary arrangements for the next step shall also be made.

For the second Manufacturer Survey and Assessment of the Manufacturer Approval, theAssessment Team leader shall also give the verbal initial conclusions of the ManufacturerSurvey and Assessment after combining the twice Manufacturer Survey and Assessmentresults. It must be stressed that the initial conclusions are only valid after validation by theresponsible technical personnel of CBPVI. If necessary, the requirements and suggestions forthe future work including the administration and supervision after obtaining the safety qualitylicensing shall also be given.

2)Manufacturer management comments or opinions on the Manufacturer Survey andAssessment results.

The exit meeting is an important meeting during the Manufacturer Survey andAssessment. It shall be recorded.

5.3.6 Validation and disposition of Manufacturer Survey and Assessment results

5.3.6.1 The written report for each Manufacturer Survey and Assessment shall be drafted. Thereport shall be reviewed and validated by the responsible technical personnel of CBPVI.

5.3.6.2 If the results of the Manufacturer Survey and Assessment do not satisfy the safetyquality licensing requirements , CBPVI will advise the applicant in writing within 30 days afterthe completion of Manufacturer Survey and Assessment. Non-conformity items and thereview, survey and assessment ,inspection and test results shall also be described. At therequest of the applicant, the review, survey and assessment can be conducted again orrechecked after the required improvement has been completed by the manufacturer accordingto the specific situation.

5.3.6.3 If the results of the Manufacturer Survey and Assessment satisfy the safety qualitylicensing requirements, one of the following two dispositions shall be taken:

1)For the form of Manufacturer Approval, CBPVI will give the Manufacturer Survey andAssessment conclusions compiled from the results of the two Manufacturer Surveys andAssessments.

2)For the form of Type Approval, CBPVI will carry out the Sample Inspection and Test of

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the product samples selected in the manufacturer.

5.4 Sample Inspection & Test (only applicable to Type Approval )

5.4.1 Basic principles of Sample Inspection & Test

5.4.1.1 The Sample Inspection & Test described in this section 5.4 is only applicable to themanufacturer applying or products being applied for Type Approval. It is an important review,survey and assessment item. It is not necessary to carry out the Sample Inspection & Testrequired by this section 5.4 for the form of Manufacturer Approval.

5.4.1.2 The Sample Inspection & Test is to determine whether the safety quality performanceof the product sample conforms to the product standard and the safety quality licensingrequirement through the review, check, inspection and test of the material, structure, strengthand safety performance of the product samples for the product type of Type Approval.

5.4.1.3 The criteria of the Sample Inspection & Test are both the standard which applies tothe products of this type and the standard of the safety quality performance qualification orproduct type test of the Peopleí s Republic of China unless otherwise described. In case of thelack of either standard, the other standard shall prevail.

5.4.2 Preparation of product samples

5.4.2.1 Time, location and method of product sample selectionThe product samples used in the Sample Inspection & Test shall be randomly selected

from the normal production products which are acceptable after being inspected and tested bythe manufacturer. The selection will be carried out by members of the Assessment Teambefore the completion of the Manufacturer Survey and Assessment accompanied by therelevant personnel of the manufacturer.

Product samples selected shall be recorded in every detail and respectively signed by thetwo parties. The product samples shall be stamped or otherwise identified with the selectedmark of the Assessment Team. All the product samples shall be packaged and sealed by themanufacturer using an appropriate method and witnessed by the two parties. The sealedpackage shall be included the identification marks by the two parties. The packed and sealedproduct samples shall be temporally preserved by the manufacturer waiting for the delivery orrelease.

5.4.2.2 Quantity of product samplesIn principle, the quantity of the product sample used for Sample Inspection & Test shall

meet the quantity requirements required by the inspection and test in the standards determinedaccording to clause 5.4.1.3 of this Guideline. A certain amount of product samples for everyproduct type shall usually be selected. In considering the specific situation, the quantity ofproduct samples may be appropriately decreased, if agreed by the two parties. In this case, thequantity of the product samples shall at least meet the quantity requirement for the productsample inspection & test according to clause 5.4.3.4 of this Guideline.

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5.4.2.3 Technical documents for the product samplesThe applicant shall provide all the product sample documentation which includes

material test reports or material property test data, quality inspection records, test records,quality certification documents by the manufacturer, product performance documents, and theproduct standards applied. If required by the Assessment Team, the necessary inspection andtest method standards referenced in the product standards shall also be provided.

5.4.2.4 The delivery and acceptance of the product samplesThe applicant shall be responsible for the delivery of the product samples selected to the

designated location as required by the Assessment Team. The technical documentation listedin clause 5.4.2.3 of this Guideline and the shipping documents of the product samples shallalso be sent to CBPVI by express mail.

After the acceptance of product samples and the documents, CBPVI shall confirm theircorrectness and completeness. If the results are acceptable, the applicant shall be informed.

5.4.3 Inspection and test of the product samples

5.4.3.1 Time of inspection and testThe inspection and test of the product samples shall be carried out after the completion

of the Manufacturer Survey and Assessment and the payment of the Sample Inspection & Testfees and expenses by the applicant.

5.4.3.2 Personnel & location of inspection and testThe inspection and test work shall be carried out by CBPVI at its Laboratory on Boiler

and Pressure Vessel accredited by SACI or at its National Product Quality Supervision andInspection Center. It may also be carried out at the other accredited laboratory entrusted orutilized by CBPVI. CBPVI shall be responsible for the inspection and test data and report.The Inspection & test personnel carrying out the Sample Inspection & Test shall possess therequired qualification and experience.

5.4.3.3 Equipment, instruments and conditions of the inspection and testThe inspection & test equipment, instruments and environment shall be in accordance

with the requirements of the standards determined by the clause 5.4.1.3 of this Guideline.

5.4.3.4 Contents, item and method of the inspection and testThe contents and item of the product sample inspection and test shall be in accordance

with the requirements of the standards determined in clause 5.4.1.3 of this Guideline. Inprinciple, for every product type, the samples shall be subjected to the inspection and test.Considering the specific situation, the inspection items, contents or product type may beappropriately decreased, upon agreement by the two parties. The reduction must be agreed byOBA beforehand and the inspection and test of the important safety quality performance shallnot be exempted.

The inspection & test method of the product samples shall be carried out in accordancewith the standards determined in clause 5.4.1.3 of this Guideline.

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5.4.3.5 Assessment of inspection and test records and resultsThe inspection & test results shall be recorded and appropriately preserved.The determination of inspection & test results shall be in accordance with the standards

determined in clause 5.4.1.3 of this Guideline.

5.4.3.6 Guarantee of the fairness and correctness of the inspection and test The product sample inspection and test shall be objective, fair, correct, valid andreliable. The product techniques and inspection and test results shall be kept confidential inaccordance with the international practice and at the request of the applicant.

5.4.4 Validation of the inspection and test results The inspection and test personnel shall give the inspection and test conclusions

according to the inspection & test results and produce a product sample inspection and testreport. The report shall be reviewed and validated by the responsible technical personnel ofCBPVI.

5.4.5 Disposal of product samples after inspection and testThe product samples after the inspection and test as well as any surplus product samples

shall be sealed and preserved appropriately. Until thirty days after the delivery of safety qualitylicensing review, survey and assessment conclusion notification, SQLO will advise theapplicant to determine the disposition of the samples.

5.5 Handling of disputes for review, survey and assessment resultsIn case of disputes of the review, survey and assessment results raised by the applicant,

CBPVI should reconsider or give further explanation. If the disputes still exist after thereconsideration or further explanation by CBPVI, the applicant may apply for arbitration byOBA.

5.6 Conclusion for the safety quality licensing review, survey and assessment

5.6.1 Drawing conclusionsCBPVI will draw the review, survey and assessment conclusions whether or not the

requirements of the safety quality licensing are met by compiling the results of DocumentReview, Manufacturer Survey and Assessment and Sample Inspection & Test (only applicableto Type Approval ) and produce the conclusion report.

5.6.2 Approval of conclusionThe safety quality licensing review, survey and assessment conclusion report put forward

by CBPVI shall be finally approved by OBA.

5.6.3 Disposition of the non-conformities with safety quality licensing requirementsIf the review, survey and assessment results do not satisfy the safety quality licensing

requirements, OBA will notify the conclusion and the disposal opinions to the applicantthrough SQLO within thirty days of the final Manufacturer Survey and Assessment or SampleInspection & Test. The items and reasons of the non-conformities will be clearly described indetail.

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6.SAFETY QUALITY LICENSE AND LICENSING SYMBOL STAMP

6.1 Issuing and proclaiming of Safety Quality License

6.1.1 Issue of the Safety Quality LicenseAfter the approval of CBPVI's conclusion report, OBA will complete the Safety Quality

License and submit it to the authorized personnel of the Minister of Labour for his/her formalsignature.

6.1.2 Delivery of the Safety Quality LicenseSQLO will mail or deliver the Safety Quality License in a timely manner to the applicant

after the payment of all the fees and expenses by the applicant. The method of delivery will beas agreed with the applicant.

6.1.3 Contents, format and validity period of the Safety Quality LicenseThe contents of the Safety Quality License will include the full name of the applicant and

product manufacturer, address of the product manufacturer, forms of licensing, licensingscope, expiry date, signatory and date of issue, and the seal of the Ministry of Labour of thePeople's Republic of China. The format of the Safety Quality License is shown in Appendix C.

The validity period of the Safety Quality License is four years.

6.1.4 Proclamation for Safety Quality LicenseFor the license holder obtaining the Safety Quality License, MOL and SACI will issue or

publish the proclamation in the relevant newspapers and publications. SQLO will mail theproclamation to the license holder.

6.2 Renting of safety quality licensing Symbol Stamp

6.2.1 Submitting samples of the product name plate and trademark details of the product (ormanufacturer)After receiving the notification of the issue of the Safety Quality License from SQLO,

the applicant shall submit samples or duplicates of name plates for the products whichobtained safety quality licensing and the trademark details of the product (or manufacturer) toSQLO for registration.

6.2.2 Renting of licensing Symbol StampAt the time of submission of the product name plates and trademark etc., the applicant

shall also put forward the quantity of safety quality licensing Symbol Stamps to be rented inwriting.

The rented safety quality licensing Symbol Stamp shall be mailed to the applicant bySQLO.

6.3 Types of safety quality licensing Symbol StampThe safety quality licensing Symbol Stamp shall be specifically manufactured and

registered by CBPVI.There are two types of safety quality licensing Symbol Stamps. The Manufacturer

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Approval Symbol Stamp consists of letters "CM". The Type Approval Symbol Stampconsists of letters "CT". The Symbol Stamps are shown in Fig 3. and Fig 4.

Fig 3: Manufacturer Approval Symbol Stamp Fig4: Type Approval Symbol Stamp

6.4 Use and control of the Safety Quality License

6.4.1 A copy of the Safety Quality License shall be attached to the product qualitycertification documents for examination when the applicants which have obtained the safetyquality licensing (hereinafter referred as license holder) export their products covered in thesafety quality licensing to the People's Republic of China.

6.4.2 The Safety Quality License issued by the Ministry of Labour shall be appropriatelypreserved and shall not be allowed to be altered or transferred to others. It is also notpermitted to be used in the products for which the license holder has not obtained a safetyquality licensing.

6.4.3 If the Safety Quality License is lost or damaged during the validity period of the license,the license holder shall give timely notice to SQLO in writing to apply for the reissue orchange for a new Safety Quality License. For the new Safety Quality License reissued orchanged, the full name of the applicant and product manufacturer, address of the productmanufacturer, forms of licensing, licensing scope, validity date as per the original license willnot be changed.

6.5 Use and control of safety quality licensing Symbol Stamp

6.5.1 Drafting procedure document for use and control of the Symbol StampThe safety quality licensing Symbol Stamp rented by the applicant, who has obtained the

safety quality licensing (license holder) shall be used and controlled by the license holder.The license holder shall draft the use and control procedure document of safety quality

licensing Symbol Stamp, beforehand. It shall be submitted to the Assessment Team for reviewand approval during the Manufacturer Survey and Assessment. In the use and controlprocedure document of safety quality licensing Symbol Stamp, the department and personnelof Symbol Stamp control, the user of the Symbol Stamp, and the record of use, the locationon the name plate or products and the date of stamping, the substitution method in case theproduct is not allowed to be stamped etc. shall be clearly stipulated.

The use and control procedure document of safety quality licensing Symbol Stamp shallbe sent for registration by SQLO.

6.5.2 Requirements for using the Symbol Stamp on productsFor all the products exported to the People's Republic of China which have got the

Safety Quality License, the license holder shall stamp the corresponding safety qualitylicensing Symbol Stamp onto the name plate of each product.

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If the name plate does not exist or the product name plate is too small, it is allowed tostamp the corresponding Symbol Stamp on another clearly visible location on the product. Inthis case, the corresponding Symbol Stamp location information shall be attached in theproduct quality documents.

If the product is too small or the product does not allow for stamping, the stamping maybe omitted. In this case, the necessary description shall be attached to the product qualitycertification documents.

7. ADMINISTRATION AND SUPERVISION AFTER OBTAINING THE SAFETYQUALITY LICENSING

7.1 Responsibility and notes for the license holder

7.1.1 Quality control of safety quality licensing productsAccording to the requirements of safety quality licensing system, the license holder shall

manufacture the products exported to the People's Republic of China covered in the safetyquality licensing in accordance with the product design, manufacturing, acceptance standardand the supplemental clauses stipulated in the purchasing contract and quality systemdocuments as well as the product type (only suitable for Type Approval) approved. Thelicense holder shall be responsible for the product quality. The relevant requirements of thisGuideline shall also be satisfied.

7.1.2 Use and control of safety quality licensing Symbol StampThe license holder shall correctly use and control the safety quality licensing Symbol

Stamp by following the basic requirements of section 6.5 of this Guideline.

7.1.3 Requirements for safety quality licensing products registrationAccording to the requirements of Implementation Regulations, the license holder shall

register the name and quantity of products, names and addresses of the Chinese users etc. toCBPVI when exporting the products covered in the safety quality licensing scope to thePeople's Republic of China. The basic registration requirements are as follows:

1)Contents and format of product registration:In accordance with the Appendix D of this Guideline ì Registration Form” for safetyquality licensing products exported to P.R.C.. The product data report of themanufacturer shall also be attached (contents and format may be in accordance with thestipulations of the manufacturerí s quality system documents).

2)Time and requirements of product registration:The above mentioned ì Registration Form” , and the product data report of themanufacturer shall be mailed to CBPVI at the time of delivery of the product. In general,registration for each individual product shall be made separately. The one RegistrationForm and the one product data report of the manufacturer may be used for the smallerproducts which are mass produced provided for the same contract, with the samespecification and type. In this case, a detailed description shall be attached.

3)The documented procedure for the implementation and control of the productregistration shall be clearly specified by the manufacturer. The documents for product

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registration shall be assured for the correctness and truthfulness by the manufacturer.

7.1.4 Documentation requirements for safety quality licensing productsThe following documents shall be included in the product quality related documents

provided to the domestic user of China when the license holder exports the product covered inthe safety quality licensing scope to the People's Republic of China:

1)Product quality certification documents;2)Product manufacturer data report;3)Copy of Safety Quality License;4)Copy of Registration Form;5)The necessary descriptive documents related with safety quality licensing Symbol Stamp

and Registration Form;6)The documents required in the standard stipulated in the purchasing contract, the

documents required in the contract clause, and the other documents specifically requiredby the user or customer.

7.1.5 Subsequent surveillance audit, checks or spot checks by the authorized agencyAfter the license has been granted, the license holder shall be subject to subsequent

surveillance audit by CBPVI. Random checks or spot checks of manufacturing, inspection andtest conditions, safety performance quality of products and status of the use of Symbol Stampsfor safety quality licensing at manufacturerí s facilities shall be conducted.

The license holder shall be formally notified seven days in advance of this kind ofsubsequent surveillance, checks or spot-checks. The team performing the subsequentsurveillance, checks or spot-checks will usually not more than two people. The valid workingperiods will usually be not more than two days. The subsequent surveillance, checks or spotchecks shall be normally performed once every two years.

7.1.6 Report and disposition in the event of major changes

7.1.6.1 The license holder shall report in a timely manner to SQLO in writing when one of thefollowing cases occurs:

1)Change of the manufacturer name;2)Change the trademark of manufacturer or product;3)General changes of quality system or revision of Quality Manual (the part of change or

modification shall be registered to SQLO);4)Modification of important production procedure.

7.1.6.2 The license holder shall report in a timely manner to SQLO in writing for the approval,or apply for a re-licensing procedure when one of the following occurs:

1)Major change to the quality system;2)Change of product production location or addition of product production locations;3)Change of material, structure or standard/code of the "Type Approval" product;4)Extension of safety quality licensing product scope.

SQLO will determine whether the approval will be given or whether the necessaryreview, survey and assessment or check will be carried out before the approval according tothe specific situation reported by the license holder. SQLO will advise in a timely manner itsopinions to the license holder applying for the change.

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7.1.7 Notes for the license holder

7.1.7.1 According to the stipulation of article 24 of Implementation Regulations, if one of thefollowing situations exists, the license holder shall be notified to suspend the use of and sealup of the safety quality licensing Symbol Stamps:

1)Two batches of products exported to the People's Republic of China are found to beunacceptable after check or inspection;

2)Two batches of product samples selected and inspected in the manufacturer are found tobe unacceptable;

3)Violation of the stipulations of article 10 of Implementation Regulations (i.e. Clause7.1.6 of this Guideline);

4)Non-acceptance of the stipulations of article 23 of Implementation Regulations (i.e.Clause 7.1.5 of this Guideline).

7.1.7.2 According to the stipulations of article 25 of Implementation Regulations, if one of thefollowing situations exists, the license holder shall be notified to revoke the Safety QualityLicense and withdraw the safety quality licensing Symbol Stamps. The revocation of SafetyQuality License and withdrawal of safety quality licensing Symbol Stamps shall be announcedin a public statement:

1)Unauthorized use of the safety quality licensing Symbol Stamp on boiler and pressurevessel products which have not obtained the Safety Quality License;

2)Issue of fraudulent product quality certification documents or reports;3)Non-execution of the disposal of article 24 of Implementation Regulations (i.e. Clause

7.1.7.1 of this Guideline);4)More than two years of suspension of use and seal up of safety quality licensing Symbol

Stamps for which license holder is unable to get restoration approval.

7.2 Inspection, test and supervision of boiler & pressure vessel products exported to thePeopleí s Republic of China.

7.2.1 No boiler and pressure vessel products covered in the List which have not got the safetyquality licensing shall be allowed to be exported to the People's Republic of China as ofOctober, 1, 1997 according to the notification of The Second List of Import CommoditiesSubject to Import Safety Quality Licensing System jointly promulgated by the SACI and theMinistry of Foreign Trade and Economic Co-operation of the People's Republic of China onSeptember 4, 1995, the notification of The Product List of Import Boilers and PressureVessels Subject to Safety Quality Licensing System jointly promulgated by the MOL and theSACI on September 6, 1995.

7.2.2 Inspection of boiler & pressure vessel products exported to the Peopleí s Republic ofChina.According to the stipulations of Implementation Regulations, the boiler and pressure

vessel products covered in the List which have got the safety quality licensing, when enteringinto the People's Republic of China, product safety quality performance supervisory inspectionshall be carried out following the requirements of Provisions for the People's Republic ofChina on the Supervision and Control of the Import and Export Boilers and Pressure Vessels.

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The products which do not satisfy the safety performance quality requirements will not beallowed to be put into use.

7.3 Renewal procedure for the Safety Quality License

7.3.1 Safety Quality License renewal applicationThe Safety Quality License shall be valid for a period of four years from the date of

issuance. A written renewal application shall be submitted at least four months prior to theexpiry date of the license if the license holder wants to continuously maintain its validation andprolong its validity periods after its expiration.

At the date of expiration of the Safety Quality License without submitting the writtenrenewal application, MOL and SACI will jointly promulgate a public announcement of theinvalidation of the Safety Quality License. The license holder shall hand over the safety qualitylicensing Symbol Stamps.

7.3.2 Review, survey and assessment for the Safety Quality License renewalReview, survey and assessment for Safety Quality License renewal shall be carried out

by a review, survey and assessment team jointly organized by CBPVI and OBA. It shall becarried out usually once in the form of Manufacturer Survey and Assessment, except when theaddition or expansion of Type Approval products is involved. The valid working periodsof Manufacturer Survey and Assessment is usually not more than three days. The teamcarrying out the review, survey and assessment shall not be more than three members. Therequirements of Manufacturer Survey and Assessment shall be the same as section 5.3 of thisGuideline. But the procedure shall be appropriately simplified.

7.3.3 Issue of the new Safety Quality LicenseWhen the review, survey and assessment results for Safety Quality License renewal meet

the safety quality licensing requirements, the authorized personnel of Minister of Labour willissue a new Safety Quality License.

8. FEES AND EXPENSES FOR SAFETY QUALITY LICENSING

8.1 Items, standard and payment of fees and expenses for applying for safety quality licensing

8.1.1 Fee and expense items, include:1)Application fees- It shall be paid within fifteen days after the submission of completed

Application Form;2)Review, Survey and Assessment fees and expenses (include Document Review, and

Manufacturer Survey and Assessment fees and expenses)- It shall be paid at least withinfifteen days after the receipt of the notification of review, survey and assessmentconclusion;

3)Sample Inspection & Test fees and expenses (limited to Type Approval)- It shall be paidbefore the commence of inspection & test at the sample inspection & test laboratory;

4)License Issuing fees (including proclamation fees)- It shall be paid at least before thedelivery of Safety Quality License;

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5)Stamp Renting fees and expenses (2 stamps)- It shall be paid at least at the time ofrequesting the renting of stamps;

6)Fees and expenses for Product Registration- It shall be paid at least before the deliveryof the Safety Quality License.In the above mentioned Review, Survey and Assessment fee and expense standards, the

international flight tickets, accommodation and meals, telecommunications and domestictraveling fees and expenses for the review, survey and assessment personnel performing theManufacturer Survey and Assessment (including travel time) are not included. All theseadditional fees and expenses shall be paid by the applicant.

8.1.2 Standard and payment of fees and expenses

8.1.2.1 Standard of fees and expensesSQLO shall promulgate the above mentioned standard of fees and expenses specified in

Clause 8.1.1 of this Guideline annually. The applicant shall be advised before completing theApplication Form.

8.1.2.2 Payment of the fees and expensesThe above mentioned fees and expenses specified in clause 8.1.1 of this Guideline may

be paid separately i.e. calculated item by item or may be paid in several installments or in onepayment in advance i.e. calculated in a lump-sum fee and expense. The specific settlement andpayment will be drawn up by SQLO and agreed with the applicant.

8.1.3 Fee disposition of a non-accepted applicationIf the results of the application review by OBA is non-acceptable, the application fee

shall be returned to the applicant.

8.1.4 Fee disposition of a canceled applicationIf the application has been formally accepted by OBA and the application is canceled by

the applicant, the application fee shall not be returned to the applicant.

8.2 Items, standard and payment of fees and expenses for the subsequent surveillance, checksor spot checks to license holder

According to the stipulations of the article 23 of the Implementation Regulations (i.e.clause 7.1.5 of this Guideline), when an authorized review, survey and assessment (inspection& test) agency carries out the subsequent surveillance, checks or spot-checks of themanufacturer or products to the license holder, the license holder shall be responsible for theinternational flight tickets, accommodation and meals, telecommunications and domestictraveling to the manufacturer. Additionally, the license holder shall also pay the subsequentsurveillance, check or spot-check fees referring to the standard of fees and expenses andpayment stipulated in the Clause 8.1.2.1 of this Guideline.

8.3 Items, standard and payment of fees and expenses for renewal of safety quality licensing

8.3.1 Items of fees and expenses for renewal of Safety Quality License, include:1) Review, Survey and Assessment fees & expenses;

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2) License Issuing fees (include proclamation fee);3) Stamp Renting fee & expense (2 stamps);4) Fees and expenses for Product Registration;5) Product Sample Inspection & Test fees and expenses ( when Sample Inspection & Test

is required).In the above mentioned Review, Survey and Assessment fee and expense standard, the

international flight tickets, accommodation and meals, telecommunications and domestictraveling fees and expenses for the review, survey and assessment personnel performing theManufacturer Survey and Assessment for the renewal of the license (include traveling time)are not included. All these additional fees and expenses shall be paid by the applicant.

8.3.2 The fee and expense standard and payment for renewal of the Safety Quality Licenseshall be in accordance with the requirements of Clause 8.1.2 of this Guideline.

9. SUPPLEMENTARY PROVISIONS

9.1 The applicant and license holder shall facilitate the work and provide the necessarycooperation for the personnel performing the safety quality licensing review, survey andassessment (Manufacturer Survey and Assessment) and for the personnel performing thesubsequent surveillance checks. The applicant and license holder shall assist in handling entryand transit visa formalities as needed for the personnel to perform the work.

9.2 The applicant and license holder shall pay the necessary fees and expenses as stipulated insection 8 of this Guideline.

9.3 The authorized agency and its personnel performing the safety quality licensing review,survey and assessment, checks, inspection & test shall keep confidential the product design,manufacturing, inspection technique and inspection & test data at the request of the applicantand license holder.

9.4 This Guideline shall enter into effect on the date approved by the Ministry of Labour ofthe People's Republic of China.