CCAP-GZ-464204-2021 PDF in English
CCAP-GZ-464204-2021 PDF English
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CCAP-GZ-464204-2021: PDF in English 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 type test.
Otherwise, product type test shall be made again, in principle, the initial inspection shall
cover the products applied for certification/certification-products and the processing
sites. “Processing sites” refer to all departments, sites, personnel and activities.
6.2.2 Production conformity control plan auditing
The factory shall develop a production conformity control plan in accordance with the
requirements of Attachment 3 and submit it to CCAP for review. CCAP will notify the
certification client of the review results after the review is completed. If the production
conformity control plan can meet the requirements, the audit is PASS. If CCAP
considers that the production conformity control plan is not up to standard, the client
shall make rectification and submit it again. CCAP shall inform the client of the audit
result after completing the new review.
After passing the production conformity control plan review, CCAP shall formulate the
on-site inspection plan as scheduled. The plan includes the products to be inspected,
inspection site, and scope of inspection.
The review time of the production conformity plan is determined according to the unit-
quantity of the products that apply for certification, and appropriately consider the scale
of the manufacturing enterprise. Normally it needs 0.5~2 man-days for each
manufacturing enterprise.
6.2.3 Production conformity factory on-site inspection
Under normal circumstances, CCAP will go to the production site to conduct
production conformity inspection after passing the type test and passing the review of
the production conformity control plan. Type test and conformity factory inspection can
be carried out simultaneously if required.
6.2.3.1 Principles for production conformity factory on-site inspection
CCAP shall dispatch inspectors with national registration qualification to form an
inspection team to conduct on-site inspection in the manufacturing enterprise. During
the inspection, the manufacturing enterprise shall be producing the products entrusted
for certification. When necessary, CCAP can conduct extended inspection in sites
outside the manufacturing enterprise.
6.2.3.2 Production conformity inspection and specified on-site test
During factory on-site inspection, the inspection team shall randomly draw samples of
the products at the end of the production line or among qualified products in the
warehouse. The inspection items include but are not limited to the follows:
a. The identification of the certified product (such as name, specification, model,
trademark and so on) shall be consistent with the type test report and the materials
submitted for entrusted certification;
b. The structure and parameters of the certified product shall be consistent with the
type test samples and the materials submitted for entrusted certification;
c. On-site designated test for certified products (the inspection items are drawn from
the production conformity control plan).
Product conformity inspection shall cover product categories. The factory inspection
team is responsible for the inspection samples taken. If the factory inspection team
discovers deficiencies in the enterprise's production conformity control plan during on-
site inspection, it shall provide opinions and suggestions to CCAP.
The production conformity factory on-site inspection time is determined based on the
number of units of the certified products entrusted. Give due consideration to the
production scale of the factory. Generally, each factory has 2~4 man-days. To ensure
certification quality, a combination of on-site man-days and production conformity
control plan review time is allowed, but the total initial factory on-site inspection man-
days shall not exceed 6 man-days.
6.2.3.3 ODM mode manufacturing enterprise inspection
On-site inspections of ODM factories shall be carried out in accordance with the
"Supplementary Provisions Involving the ODM Model in the Implementation Rules for
Compulsory Product Certification" and relevant CCAP document requirements.
Implement in accordance with CCAP relevant document requirements. The number of
verification days can be appropriately increased according to the number of ODM
producers (manufacturers). Each producer (manufacturer) shall not exceed 0.25 man-
days. The total increase shall not exceed 1 man-day. If necessary, on-site inspection can
be conducted on the ODM producer (manufacturer). The number of inspection man-
days shall not exceed 0.5 man-days.
6.2.4 Adoption of relevant certification results
See Attachment 5 for the requirements for the adoption of relevant certification results.
For factories that have obtained a quality management system certification certificate
issued by a relevant organization recognized by the Certification and Accreditation
Administration, the results of the quality management enterprise certification that are
the same as the factory's quality assurance capability requirements can be recognized.
Appropriately reduce the number of review days.
6.2.5 Production conformity factory on-site inspection results
Factory inspection results are usually divided into four categories: "factory inspection
passed", "written verification passed", "on-site verification passed", and "factory
the production conformity control plan and the declared and reviewed and approved
production conformity control plan; Or when there are significant differences between
the structure and technical parameters of the actual production product and the
consistency of the type test samples; Or when there are many general non-conformities
or individual serious non-conformities that constitute system non-compliance and
directly endanger product consistency or product compliance with standards, the
inspection result is unqualified. Terminate this inspection. Specific examples:
(1) The specified on-site test results are unqualified;
(2) Key resources do not meet the requirements and it is difficult to ensure product
consistency or product compliance with standards;
(3) There are serious problems with product conformity, which will cause the
product to fail to meet standard requirements, such as changes in product
structure or key parts that do not meet specified requirements;
(4) Inspections reveal defects or safety hazards in certified products, which may lead
to quality and safety accidents;
(5) Changes and consistency control of certified products are not effectively
implemented, resulting in product unconformity and systematic failure of
quality assurance capabilities;
(6) Illegal use of CCAP marks or certificates, and the factory has serious dishonesty;
(7) During the period of suspension of the certification certificate, the factory fails
to take corrective measures or is still unqualified after corrective measures;
(8) The factory obtains the certification certificate by cheating, bribery or other
improper means;
(9) Other serious non-conformities that directly endanger product consistency or
product compliance with standards.
The main situations of illegal use of CCAP marks or certificates include: counterfeiting,
altering, renting, lending, impersonating, buying and selling, transferring CCAP marks
or certificates, and misappropriating CCAP marks; continue to use the CCAP marks or
certificate after learning that the certificate has been revoked or suspended;
intentionally apply the CCAP marks on products that have not obtained a CCAP
certificate; other intentional and illegal use of the CCAP marks or certificate.
6.2.5.4 Notification of results of factory on-site inspection of production
conformity
After the inspection team completes the factory inspection, it shall inform the enterprise
of the inspection results. If non-conformities are found during factory inspections, the
company shall provide clear requirements for the verification method of corrective
measures (such as written verification or on-site verification) and the time limit for
rectification. Notify the production company of the verification results in a timely
manner.
When the conclusion of the inspection team’s on-site review changes after CCAP’s
assessment, CCAP shall promptly notify the manufacturer of the conclusion.
The factory inspection team shall not only give the conclusion of the factory inspection,
but also make recommendations on the enterprise classification results to CCAP in
accordance with Attachment 4 of this Rules.
6.3 Certification evaluation and decision
CCAP conducts comprehensive assessment of the type test result, the initial factory
inspection result and relevant materials/information. If the evaluation is PASS, the
certificate shall be granted according to certification unit. If not, the certification is
terminated.
6.4 Time-limit of certification
Time-limit of certification refers to the period FROM the date when CCAP accepts the
entrusting TO the date when the certificate is issued.
Usually, FROM the date when CCAP accepts the entrusting TO the date when the
certificate is issued (or certification decision is made), the time is not more than 90 days.
In which, it includes type test time, initial factory inspection time, test report submission
time, evaluation and approval time of the certification result, and the certificate-making
time. It excludes the time required for the certification client to prepare materials, the
time required to rectify non-conformities in test samples, the time to re-submit samples
for testing, and the time to rectify non-conforming items in factory inspections..
Other certification procedure time-limit shall follow relevant provisions of CCAP. Each
department of CCAP shall control the certification time-limit according to the
requirements of relevant documents. The certification client and the manufacturing
enterprise shall actively cooperate in order to complete all the activities within the time-
limit required by CCAP.
If the certification activities are not completed within the specified time-limit due to
reasons of the client and the manufacturing enterprise, it shall not be counted in the
certification time-limit.
7 Post-certification supervision
Post-certification supervision refers to that the certification body conducts supervision
to the certification-products and the manufacturing enterprise. The supervision method
is one of or combination of the following three modes: post-certification follow-up
(1) Production conformity control plan implementation report that is completed by
the manufacturer or the manufacturing enterprise;
(2) Implementation situation of the production conformity control plan of the
manufacturing enterprise;
(3) Production conformity inspection and on-site designated test;
(4) Use situation of the certification mark and the certificate;
(5) Corrective measures for non-conformities in the previous factory on-site
inspection and verification of their effectiveness;
(6) Other CCAP’s requirements on factory on-site inspection.
7.2 Production on-site sampling test or inspection
7.2.1 Principles of production on-site sampling test or inspection
In principle, sampling test or inspection at the production site shall at least cover the
certified product categories (i.e., lithium ion, lead-acid, metal hydride nickel, charger,
etc.).
If production on-site sampling inspection or test method is adopted for post-
certification supervision, then the certification client, manufacturer and manufacturing
enterprise shall cooperate.
7.2.2 Content of production on-site sampling test or inspection
In principle, different unit/models of products shall be drawn as samples for each time
of supervision. CCAP formulate the sampling inspection plan according to the
enterprise classification principles and features of the products. For the inspection items,
all or several of the type test inspection items shall be inspected.
The personnel appointed by CCAP shall draw samples from qualified products
produced by the enterprise (including the production lines, warehouses or
seaports/airport) according to the sampling inspection plan. After sampling, CCAP shall
seal up the samples. The enterprise shall send the samples to the designated test lab
within 10 working days. The enterprise shall also fill out the sample description form
when sending the samples and truthfully describe critical components and materials
(including the suppliers) used in the samples. CCAP and/or the lab shall inspect the
conformity of the samples. If they find that the samples are inconsistent with the
certification-products, in principle, test shall not be continued. The inspection
conclusion shall be that: the samples are not consistent with the certification-products;
the test is not continued.
If the manufacturing enterprise meets the requirements of Attachment 5, it can use the
......
Source: Above contents are excerpted from the PDF -- translated/reviewed by: www.chinesestandard.net / Wayne Zheng et al.
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