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CCAP-GZ-499422-2020 English PDF (CCAP-GZ-499422-2020)

CCAP-GZ-499422-2020 English PDF (CCAP-GZ-499422-2020)

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CCAP-GZ-499422-2020: Implementation rules for CCAP mark certification -- Controller used for electric bicycles

This Rules applies to the CCAP mark certification of controllers used for electric bicycles.
Serial No.: CCAP-GZ-499422:2020
Implementation Rules for CCAP Mark Certification
Controller used for electric bicycles
China Certification Centre for Automotive Products
Table of Contents
1 Application scope ... 4
2 Certification basis and standards ... 4
3 Certification mode ... 4
4 Classification of certification units ... 4
5 Certification entrusting ... 5
5.1 Certification process ... 5
5.2 Certification entrustment materials ... 5
5.3 Certification plan and certification contract ... 5
6 Certification implementation ... 6
6.1 Type test ... 6
6.2 Certification evaluation and decision ... 9
6.3 Time limit of certification ... 9
7 Post-certification supervision ... 10
7.1 Post-certification follow-up inspection ... 10
7.2 Sampling for test or inspection at the production site ... 12
7.3 Records of post-certification supervision ... 13
7.4 Evaluation of post-certification supervision results ... 13
8 Certificate ... 13
8.1 Maintenance of the certificate ... 13
8.2 Content of the certificate ... 14
8.3 Changes to certification certificates ... 14
8.4 Cancellation, suspension, and withdrawal of certificates ... 15
8.5 Use of certificates ... 15
9 Certification marks ... 15
9.1 Mark style permitted to use ... 15
9.2 Use requirements ... 16
10 Charges... 16
11 Certification responsibilities ... 16
12 Process and time limit requirements related to technical disputes, complaints, and appeals ... 16
Appendix 1 -- List of documents and materials required to be submitted by the applicant ... 18
Appendix 2 -- Factory quality assurance ability requirements ... 23
1 Application scope
This Rules applies to the CCAP mark certification of controllers used for electric bicycles.
2 Certification basis and standards
GB 17761-2018 Safety technical specification for electric bicycle
QB/T 2946-2008 Motor and controller used for electric bicycles
3 Certification mode
Type test + post-certification supervision
4 Classification of certification units
In principle, controller products produced by the same producer (manufacturer) and the same manufacturing enterprise (location), and having no significant differences in the following aspects could be classified as one certification unit:
(1) Structural type;
(2) Voltage level;
(3) Current level.
In principle, the certification client shall propose certification entrusting based on the principle of classification of units. The same unit may include multiple "models (or specifications)" of products.
For the same product produced by the same producer but different manufacturing enterprises, or for the same model product produced by different producers but the same manufacturing enterprise, it may be taken into account that the type test is only conducted on the samples of one unit. For products from other manufacturing enterprises/producers, documents shall be provided for conformity inspection. 5 Certification entrusting
5.1 Certification process
(1) Certification entrusting, materials review and acceptance;
(2) Dividing certification product units and formulating the certification plan; (3) Signing the certification contract and charging;
(4) Product type test;
(5) Certification evaluation and decision;
(6) Issuing the certificate;
(7) Post-certification supervision.
5.2 Certification entrustment materials
See Appendix 1 "List of documents and materials to be submitted by the applicant". 5.3 Certification plan and certification contract
CCAP shall review the application materials. If the application materials need to be supplemented or improved, it shall communicate with the client and require supplementing and submitting relevant materials. After the review is completed, it shall issue a notice of acceptance or not-acceptance to the client.
After accepting the application, CCAP shall formulate a certification plan according to the audit result, which includes:
(1) The certification mode and unit division adopted;
(2) Type test plan (including the selection and confirmation of the laboratory); (3) Estimated certification fees;
(4) 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 implementation
6.1 Type test
6.1.1 Type test plan
CCAP shall formulate the product inspection plan after reviewing the materials. The inspection plan includes requirements and quantity of all samples, the inspection standard, inspection items, information on the labs that can be selected by the certification client, etc.
6.1.2 Sample requirements of type test
The samples for type test shall be products produced by the manufacturing enterprise that entrusts the certification according to normal processing methods. The certification client shall ensure that the samples provided by it are consistent with the actual products produced, and shall not obtain samples for testing by borrowing, renting, purchasing, etc.
In principle, the certification client shall send samples to the laboratory contracted by CCAP for testing. If necessary, CCAP can also use on-site sampling/sealing to obtain samples for testing according to the requirements of the type test plan. If there is only one model in one certification unit, samples of that model shall be sent for testing. If there are multiple models in one unit, CCAP can choose a representative model; a differential test shall be made for other models when necessary. CCAP and/or the laboratory shall review the authenticity of the samples provided by the certification client. If the laboratory has doubts about the authenticity of the sample, it shall explain the situation to CCAP and handle it accordingly.
In principle, it shall be ensured that samples are sent to the laboratory for a type test within 10 days. If samples are not sent within the specified time due to special circumstances, sufficient reasons for delaying sample delivery must be provided to CCAP. Number of type test samples
The number of samples to be submitted shall comply with the provisions in Table 1 of this Rules.
The number of test samples that need to be supplemented for a differential test shall be subject to the test plan finally confirmed by CCAP.
7 Post-certification supervision
7.1 Post-certification follow-up inspection
7.1.1 Type, frequency and inspection time of post-certification follow-up inspection The post-certification supervision for the electric bicycle controller is divided into two types: initial supervision and regular supervision.
The initial supervision refers to the first post-certification supervision implemented by CCAP on the certified enterprise within 6 months after the issuance of the first certificate.
Regular supervision refers to the post-certification supervision that CCAP implements according to the post-certification supervision plan after the initial supervision is implemented on the certified enterprise. In principle, regular supervision shall be carried out at least once a year.
The time for post-certification follow-up inspection is determined according to the number of categories of certified products, with due consideration to the production scale of the factory. Generally, the inspection time of the initial supervision for the same manufacturing enterprise (location) is 2~4 man-days, and the inspection time of the regular supervision is 1~2 man-days. When ODM factories are involved, the number of inspection man-days can be appropriately increased according to the number of ODM manufacturers, and the increased inspection time for each manufacturer shall not exceed 0.25 man-days. If necessary, when on-site inspections can be conducted on ODM producers (manufacturers), the number of inspection man-days for each ODM producer (manufacturer) shall not exceed 0.5 man-days. According to the number of product models involved in expansions/changes, on-site inspection man-days may be appropriately increased.
If one of the following situations occurs, the frequency of supervision may be increased: 1) Serious quality problems occur in certified products, or serious complaints from users are found to be the responsibility of the certificate holder; 2) When the certification body has sufficient reasons to question the compliance of the certified product with health and safety standards;
3) When there is sufficient information to show that product compliance or conformity may be affected due to changes in organizational structure,
production conditions, quality management systems, etc. of the manufacturer or manufacturing enterprise.
7.1.2 Content of post-certification follow-up inspection
(1) Product consistency inspection (including consistency of structure and parameters, model specifications, and critical components/materials), factory quality assurance ability inspection (see Appendix 3), and on-site designated testing (selected from routine inspections and verification inspections); (2) The use of certification marks and certificates;
(3) Other CCAP factory on-site inspection requirements.
Among them, product consistency inspection and designated on-site test mean that the inspection team randomly takes samples from the products that have passed the inspection at the end of the production line or in the warehouse to conduct inspections; the inspection items include but are not limited to the following:
a) The identification of the certified product (such as name, specification, model, and trademark) shall be consistent with that indicated in the test report and the information submitted for entrusted certification;
b) The structure and parameters of the certified product shall be consistent with the samples submitted and the information submitted for entrusted
c) Designated on-site test for certified products (inspection items are selected from routine inspections and verification inspections).
NOTE: The initial supervision shall include all items in Appendix 2 "Factory quality assurance ability requirements"; during regular supervision, Articles 3, 4, 5, and 8 specified in Appendix 2 "Factory quality assurance ability requirements" are required inspection items in each supervision, other items can be checked optionally, and at least all the items in the requirements shall be covered every 4 years. 7.1.3 Results of post-certification follow-up inspection
For post-certification follow-up inspections, the inspection conclusions are divided into three types: "factory inspection is PASS", "there are unqualified items, it is PASS after rectification and verification", and "factory inspection is NOT-PASS". The conditions of each conclusion are as follows:
(1) There are no unqualified items found in the factory inspection, the inspection result is "PASS".
(2) There are any unqualified items found in the factory inspection, rectification may be allowed, and the rectification shall be done within 3 months.
After CCAP takes appropriate ways to verify the rectification result, it is PASS. It During each supervision, CCAP formulates a sampling and inspection plan, and some or all of the type test inspection items are selected for testing. In principle, different units/models of products shall be sampled during each supervision.
The personnel appointed by CCAP shall take samples according to the sampling and inspection plan from the qualified products produced by the enterprise (including production lines, warehouses, etc.). After sampling, CCAP shall seal up the samples, and the enterprise shall send the samples to the designated test laboratory for testing within 10 working days. When sending the samples, the enterprise shall fill in the sample description form and truthfully describe the critical components and materials (including suppliers) used in the samples taken. CCAP and/or the laboratory will inspect the conformity of the samples. If the samples taken are found to be inconsistent with the certified product, in principle, the test shall not be continued. The inspection conclusion is that the samples taken are inconsistent with the certified product, and the test is stopped.
NOTE: If sampling from a warehouse, the sampling base shall be no less than 10 times the number of test samples, but there is no base limit when randomly sampling on the production line. 7.3 Records of post-certification supervision
CCAP shall properly record and archive the entire post-certification supervision process to ensure traceability of the certification process and results.
7.4 Evaluation of post-certification supervision results
CCAP shall conduct a comprehensive evaluation of the results of follow-up inspections, the sampling inspection results, and relevant materials. If it passes the evaluation, the certificate can be kept and the certification mark can be continuously used; if it fails in the evaluation, CCAP shall handle with suspension or withdrawal of the certificate according to the corresponding situation, and an announcement shall be issued. 8 Certificate
8.1 Maintenance of the certificate
The valid period of the product certificate covered by this Rules is 5 years. During the valid period, the validity of the certificate is maintained by depending on CCAP's post- certification supervision.
If the certificate expires and needs to be renewed, the certification client shall put forward a certification entrusting within 90 days before the valid period of the certificate expires. If the last post-certification supervision result within the valid period of the certificate is PASS, then the certificate can be directly renewed. 8.2 Content of the certificate
If the content contained in the certificate is marked on the certified products and their sales packages, it shall be consistent with the content of the certificate. Changes to the certificate shall indicate the change information to clearly show the number of changes to the product.
8.3 Changes to certification certificates
8.3.1 Change of certification requirements (including standard version upgrade) When the certification requirements are changed, CCAP shall issue a notice of the change for the above-mentioned certification requirements on the public website. At the same time, CCAP shall notify the certification enterprises of the change requirements by fax, email, or other methods.
After the certification enterprise receives the notice, it shall submit a certification change application and the required materials to CCAP within the stipulated time limit. CCAP shall draw up a plan on whether it needs to arrange a supplementary product inspection and/or factory inspection according to the result of the material review, and conduct an evaluation on the result. If within the time limit specified in the change plan, the client's supplementary inspection/document review/factory inspection evaluation is "PASS", then CCAP shall approve the change, and the certificate shall be renewed. If the certification enterprise does not submit a change application within the time limit specified in the plan or the evaluation result of the supplementary inspection/factory inspection is not qualified, then CCAP shall suspend the certificate for the relevant range of products from the expiry date of the stipulated time-limit. If the enterprise does not submit the certificate recovery application within the suspension time limit OR the rectification measures are not taken OR the rectification result is not qualified, then CCAP shall withdraw the certificate or shrink the relevant certification range. 8.3.2 Certification change of certification enterprise
After the enterprise is certified, if there are changes that may affect the certification (hereinafter referred to as certification change), including changes in the content on the certificate, or technical changes of the certified products (design, structure parameters, software version, critical components/raw materials, suppliers, etc.) that may affect the compliance with relevant standards; or changes of the factory production conformity control requirements and the production conditions that may affect the production Appendix 2 -- Factory quality assurance ability requirements
In order to ensure the consistency between mass-produced certified products and samples that have passed the type test, the factory shall meet the product quality assurance ability requirements specified in this document.
1 Responsibilities and resources
1.1 Responsibilities
The factory shall stipulate the responsibilities and interrelationships of various personnel related to quality activities. The factory shall designate a person in charge of quality within the organization. Regardless of the member's responsibilities in other areas, he shall have the following responsibilities and authorities:
a) Be responsible for establishing a quality system that meets the requirements of this document and ensuring its implementation and maintenance;
b) Ensure that products with the certification mark meet the requirements of the certification standards;
c) Establish documented procedures to ensure the proper storage and use of certification marks;
d) Establish documented procedures to ensure that nonconforming products and certified products with changes will not be affixed with certification marks without confirmation by the certification body.
The person in charge of quality shall have sufficient ability to perform his/her job. 1.2 Resources
The factory shall be equipped with necessary production equipment and inspection equipment to meet the needs of stable production of products that meet the requirements of certification standards; corresponding human resources shall be allocated to ensure that personnel engaged in work that affects product quality have the necessary capabilities. The necessary environment suitable for product production, inspection, testing, storage, etc. shall be established and maintained.
2 Documents and records
2.1 The factory shall establish and maintain documented procedures to ensure effective control of the documents required by this document, necessary external documents and records. Product design standards or specifications shall not be lower than the requirements of the product certification rule. For the main content that may affect the consistency of the product, the factory shall have the necessary drawings, templates, key parts list, process documents, work instructions, and other design documents, and ensure continuous validity of documents.
2.2 The factory shall ensure the adequacy and suitability of the documents and use valid versions of the documents.
The factory shall ensure that the records are clear, complete, and traceable as evidence that the product meets the specified requirements. The retention period of quality- related records shall meet the requirements of laws and regulations to ensure that the records after the previous inspection can be obtained in this inspection, and at least not less than 24 months of records can be obtained.
2.3 The factory shall identify and save important documents and quality information related to product certification, such as type test reports, factory inspection results, certification status information (validity, suspe...

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