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CCAP-GZ-499422-2020 PDF in English


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CCAP-GZ-499422-2020: PDF in English

CCAP-GZ-499422-2020
Serial No.: CCAP-GZ-499422:2020
Implementation Rules for CCAP Mark Certification
Controller used for electric bicycles
ISSUED ON: MARCH 10, 2020
IMPLEMENTED ON: MARCH 10, 2020
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.
6.1.2.1 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
certification;
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, suspension, withdrawal, cancellation, and so
on), certification change approval information, supervision and sampling test reports,
product quality complaints and handling results.
3 Purchasing and incoming inspection
3.1 Control of suppliers
The factory shall develop procedures for the selection, evaluation, and daily
management of suppliers of key parts and materials, so as to ensure that suppliers have
the ability to produce key parts and materials that meet requirements.
The factory shall keep records of supplier selection, evaluation, and daily management.
3.2 Inspection/verification of key parts and materials
The factory shall establish and maintain procedures for the inspection or verification of
key parts and materials provided by suppliers and procedures for periodic confirmation
inspections. The procedure can be a control plan, inspection specifications, or other
similar documents, which shall at least include inspection items, methods, frequency,
and judgment criteria, to ensure that key parts and materials meet the requirements
stipulated in the certification.
Inspection of key parts and materials can be done by the factory or by the supplier.
When inspected by the supplier, the factory shall put forward clear inspection
requirements to the supplier.
The factory shall keep key part inspection or verification records, verification
inspection records, the certificate of conformity and relevant inspection data provided
by suppliers, etc.
......
Source: Above contents are excerpted from the PDF -- translated/reviewed by: www.chinesestandard.net / Wayne Zheng et al.