CCAP-GZ-464204-2021 English PDF

CCAP-GZ-464204-2021: Implementation Rules for CCAP Mark Certification - Battery and charger for electric bicycle
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CCAP-GZ-464204-2021
Serial No.: CCAP-GZ-464204:2021
Implementation Rules for CCAP Mark Certification
Battery and charger for electric bicycle
ISSUED ON: FEBRUARY 01, 2021
IMPLEMENTED ON: FEBRUARY 01, 2021
China Certification Centre for Automotive Products
Table of Contents
1 Application scope ... 4
2 Certification basis and standards ... 4
3 Certification mode selection and relevant requirements ... 4
3.1 Basic certification modes ... 4
4 Classification of certification unit ... 5
5 Certification entrusting ... 5
5.1 Proposal and acceptance of certification entrusting ... 5
5.2 Certification entrusting materials ... 6
5.3 Implementation ... 8
6 Certification implementations ... 9
6.1 Type test ... 9
6.2 Initial factory inspection ... 11
6.3 Certification evaluation and decision ... 16
6.4 Time-limit of certification ... 16
7 Post-certification supervision ... 16
7.1 Post-certification follow-up inspection ... 17
7.2 Production on-site sampling test or inspection ... 18
7.3 Market sampling test or inspection ... 19
7.4 Frequency and time of post-certification supervision ... 19
7.5 Record of post-certification supervision ... 20
7.6 Evaluation of post-certification supervision result ... 20
8 Certificate ... 20
8.1 Maintenance of certificate ... 20
8.2 Content of certificate ... 20
8.3 Change of certificate ... 21
8.4 Cancellation, suspension and withdrawal of certificate ... 22
8.5 Use of certificate ... 22
9 Certification marks ... 22
9.1 Mark style permitted to use ... 22
9.2 Use requirements ... 22
10 Charges ... 23
11 Certification responsibilities ... 23
12 Process and time-limit requirements related to technical disputes, complaints and appeal ... 23
Attachment 1 -- Description of battery and charger for electric bicycle ... 24
Attachment 2 – Type test and production conformity test items ... 26
Attachment 3 -- Production conformity requirements ... 27
Appendix 1 -- Factory quality assurance capability requirements ... 30
Appendix 2 -- Compilation requirements of production conformity control plan and
implementation report ... 36
Appendix 3 -- Recommended format of production conformity control plan ... 40
Attachment 4 -- Principles for manufacturing enterprise classification ... 44
Attachment 5 -- Requirements for using manufacturing enterprise testing resources to implement
testing and the use of other certification results ... 47
1 Application scope
This Rules is applicable to lithium-ion batteries, sealed lead-acid batteries, metal
hydride nickel batteries and their chargers for electric bicycles.
2 Certification basis and standards
2.1 For battery
GB/T 36972-2018, Lithium-ion battery for electric bicycle
GB/T 22199.1-2017, Valve-regulated lead-acid batteries for moped - Part 1: Technical
conditions
QB/T 2947.2-2008, Electric bicycles-cell or battery and chargers - Part 2: metal-hydride
Ni-ion batteries and chargers (Except charge retention capacity and cycle life)
2.2 For charger
GB/T 36944-2018, Technical requirements of charger for electric bicycles
QB/T 5511-2020, Lithium-ion battery charger for electric bicycle
In principle, the above standards shall implement the latest version issued by the
national standardization administrative department. When other versions of the
standard need to be used, the announcement of applicable relevant standard
requirements issued by CCAP shall be followed.
3 Certification mode selection and relevant requirements
3.1 Basic certification modes
The basic certification mode for implementing CCAP mark certification for battery and
charger for electric bicycle is:
Type test + initial factory inspection + post-certification supervision
The basic certification mode is based on the premise of manufacturing enterprises'
integrity and self-discipline, effective management, and stable production. It is
determined based on the inherent safety risk characteristics of the product and the
production process commonly used by manufacturing companies. CCAP has
formulated the "Principles for Classification of Manufacturing enterprises" (see
Attachment 4) to implement classified management of manufacturing enterprises.
Combining the classification management results, production methods and product
characteristics, certification elements are added to the basic certification mode, so as to
determine the certification mode applicable to manufacturing enterprises with different
capabilities and levels.
The post-certification supervision is a combination of post-certification follow-up
inspection, production on-site sampling test or inspection, and market sampling test or
inspection.
4 Classification of certification unit
The battery and its charger are divided into different units. In principle, battery and
charger for electric bicycle produced by the same producer (manufacturer) and the same
manufacturing enterprise (site) with no significant differences in the following aspects
are one certification unit:
4.1 Battery:
(1) Battery type (lithium-ion battery, lead-acid battery, metal hydride nickel battery);
(2) Materials (such as positive and negative electrode materials, etc.).
4.2 Charger:
(1) Charger category (Type I charger, Type II charger);
(2) Applicable battery types (lithium-ion batteries, lead-acid batteries, metal hydride
nickel batteries).
Same-unit may include multiple “models (or specifications)” products. Same-model
refers to those products of which the design has no impact to standard compliance.
For the same product that is of same manufacturer but of different manufacturing
enterprises, or for the same-model product that is of different manufacturers and of
same manufacturing enterprise, it may consider to only conduct the type test on the
samples of one unit. The products of other manufacturing enterprises / manufacturers
shall provide documents for conformity inspection.
5 Certification entrusting
5.1 Proposal and acceptance of certification entrusting
The certification client shall submit a certification entrustment to CCAP in an
appropriate manner in accordance with CCAP's certification process and requirements,
and shall be responsible for the authenticity and legality of the submitted certification
application materials. The certification client shall be able to assume relevant quality
and legal responsibilities. The battery producers (manufacturers) and manufacturing
enterprises entrusted with certification shall be able to produce normally and comply
with national laws, regulations and relevant industrial policy requirements.
CCAP will conduct a completeness and normative review of the certification
entrustment materials submitted by the certification client. If problems are found during
the review process, CCAP acceptance personnel will communicate with the
c. If the certification client is the seller or the importer, copies of relevant contract
signed between the seller and the manufacturer OR the importer and the
manufacturer shall be provided (when it is the first-time application and
when there is change);
d. Power of attorney of the client (when applicable);
e. For foreign certification client, it must provide the relevant certificate
documents to prove the authenticity of above materials and undertake
relevant legal responsibilities (including “three guarantees”, “call-back” and
relevant quality responsibilities).
(2) Information of certified product
1) Quality system documents, including:
a. Quality manual, including organization chart and/or responsibility provisions;
b. Quality assurance capability control files directory. It shall conform with the
relevant requirements specified in Appendix 1 of Attachment 2;
c. Copy of the quality management system certificate (if any).
2) Product description of the battery and charger for electric bicycle shall comply
with the requirements of Attachment 1 (when it is the first-time application and
when parameters change);
3) Product photos sufficient to identify the main features of the product;
4) Product drawings: assembly diagram, structural diagram and electrical schematic
diagram;
5) Production conformity control plan (when it is the first-time application and when
the production conformity control plan changes). Compilation requirements are
shown in Attachment 3;
6) Implementation report of the production conformity control plan. See Appendix
2 of Attachment 3 for the preparation requirements (every year after
certification);
7) CCAP mark addition plan (for the first application and change);
8) If entrusting other enterprises to produce the battery and charger for electric
bicycle, the certification client shall also provide CCAP with a copy of the
relevant contract signed between the entrusting enterprise and the entrusted
enterprise, such as the ODM/OEM agreement signed between the certification
client, the producer (manufacturer) and the manufacturing enterprise, the
authorization letter and a copy of the original ODM certification certificate
the audit result and the "Principles for Classification of Manufacturing enterprises"
(Attachment 4), which includes:
(1) The certification mode adopted and unit division;
(2) Type test plan (including the selection and confirmation of the designated
laboratory);
(3) Factory inspection plan and time (man-day);
(4) Estimated certification fees;
(5) Other matters and requirements that need to be explained.
CCAP shall give the above certification plan to the client. After reaching a consensus,
it shall sign a formal certification contract with the client as the basis for certification
implementation.
6 Certification implementations
6.1 Type test
6.1.1 Type 1 test plan
CCAP shall formulate a type test plan after reviewing the data and inform the
certification client. Certification client can choose designated laboratories by himself.
Once the laboratory is selected, no adjustments will be made in principle. The
certification client can provide opinions on the type test plan. If the designated
laboratory has any objection to the type test plan, it shall explain the situation to CCAP.
The type test plan includes all sample requirements and quantities for the type test,
testing standard items, designated laboratory information, etc. (including differential
test requirements).
6.1.2 Sample requirements of type test
Normally, the certification client selects representative samples for testing according to
the requirements of CCAP for type test samples. When necessary, CCAP can also obtain
samples through on-site sampling/sealing. If there is only one model in the certification
unit, a sample of this model will be sent. When there is more than one model in the unit,
CCAP will select a representative model among them, and conduct difference tests on
other models when necessary.
Type test samples shall be products produced by the manufacturing enterprise entrusted
with certification according to normal processing methods. The certification client shall
ensure that the samples provided are consistent with the actual products produced.
Samples may not be obtained for testing by borrowing, renting, or purchasing samples.
CCAP and/or the laboratory shall review the authenticity of the samples provided by
the certification client. When the laboratory has doubts about the authenticity of the
sample, it shall explain the situation to CCAP and handle it accordingly.
6.1.2.1 Specification and quantity of type test samples
Quantity of type test samples: Refer to Attachment 2 "Type test and production
conformity items". The final number of test samples is subject to the test plan confirmed
by CCAP and the certification client or its agent.
After the type test, the samples and/or related data that have been confirmed to be
qualified shall be disposed of in an appropriate manner. The number of test samples for
supervision and random inspection and/or the need for supplementary differences shall
be subject to the test plan finally confirmed by CCAP. The certification client shall
ensure that the submitted samples are completely consistent with the actual products
produced, including materials, structures, parameters, etc.
6.1.2.2 Critical components/raw materials list and relevant requirements
When sending samples, the certification client shall also submit a product description
sheet and a list of critical components/raw materials. It shall be consistent with the
critical components/raw materials identified in the "Production Conformity Control
Plan" submitted by the enterprise. The list must at least include the name, model,
specification and supplier of critical components (materials).
For critical components/raw materials purchased domestically, manufacturing
companies can provide corresponding certification certificates.
6.1.3 Type test items and test base
See Attachment 2 of this Rules for type test items and test base.
6.1.4 Selection and confirmation of the designated lab
The certification client can select a lab among the designated inspection labs provided
by CCAP for the certification products. According to the client’s confirmation, CCAP
shall give inspection commission to the selected lab to conduct type test.
6.1.5 Implementation of type test
Type test shall be completed by the designated lab entrusted by CCAP. The designated
lab shall complete the sample testing within the stipulated time according to relevant
stipulations of CCAP. The lab shall make a complete record of the whole test process
and put it on file in order to ensure traceability of the inspection process and result.
If there is unqualified item, the lab shall inform the situation to CCAP. If the client
wants to continue applying for certification, it shall complete rectification within 3
months and submit the rectification material to CCAP. CCAP shall reconfirm the test
CCAP shall check production conformity control system of the enterprise. In principle,
the initial factory inspection shall be completed within 1 year after passing the...