Guidance Document for BCRO Submissions

NOTE 14: BATTERY COMPLIANCE REVIEW ORGANISATION (BCRO)

Guidance Document for BCRO Submissions

CTIA Battery Certification Program

Registration Phase

Version 1.0 February 2007

Contents

Introductionpage 1

Frequently Asked Questionspage 2

Procedure Diagrampage 5

Typical Compliance Folder Structurepage 6

Guidance Notes - Audit Reportspage 9

Guidance Notes - Test Reportspage 11

Guidance Notes - Inspection Reportspage 13

Guidance Notes - Declarationspage 14

Introduction

This document will help you in compiling appropriate documentation to be used as supporting evidence to be supplied with your BCRO Worksheet.

This supporting documentation and worksheet forms the “Compliance Folder” that will be submitted for review.

Before starting your application you must ensure that you are using the latest versions of the CTIA documentation:

• Battery Program Management Document (BPMD)
• Certification Requirements for Battery System Compliance to IEEE1725 (CRD)
• Certification Requirements Status List (CRSL)
• BCRO Worksheets

These documents can be downloaded from:

Contact:

Matthew Larkin +44 (0)1489 558212

Richard Poate +44 (0)1489 558215

The standard IEEE 1725 can be obtained from the IEEE;

The key documents for preparation of the compliance folder are:

CRD, CRSL & IEEE 1725

Frequently Asked Questions

1) What types of product is this scheme aimed at?

Products that directly connect to the cellular network and are powered from rechargeable Li-Ion and Li-Ion Polymer batteries. Applies to battery packs with single or multiple cells connected in parallel (series connected cells are excluded).

2) Who can apply for registration?

System Vendors only are permitted to make an application. System Vendors are the organisation responsible for the placing on the market of the complete system (for example a handset or PDA manufacturer).

The complete system includes the battery cell(s), battery pack(s), host (e.g. handset), AC-DC Adapter, DC-DC Adapter etc.

3) What are the CTIA Documents used for?

Battery Program Management Document (BPMD)

The BPMD defines the requirements and process of the CTIA Battery Certification Program and includes copies of the Battery Registration Agreement, Declarations of Compliance, and Submitter’s Declaration.

Certification Requirements for Battery System Compliance to IEEE 1725 (CRD)

The CRD defines the CTIA Battery Certification Program requirements for IEEE 1725 and provides interpretations of how to demonstrate compliance. It also provides an outline of the minimum information to be contained within the test and audit reports.

Certification Requirements Status List (CRSL)

The CRSL defines the level of documentation required to show compliance for a particular aspect (CR section). The Categories used are “C”, which means you the (System Vendor) need to supply a test or audit report (including suitable evidence such as the procedure being audited); and “P” / “V” which mean that a company declaration is required stating compliance to the requirement.

BCRO Worksheets

The BCRO worksheet details your verdict for each CR section / clause stating compliance. You must also state the name of the evidence file and its location within your “compliance folder”; this is the yellow section of the worksheet. You must also complete the System Definition section in the Host part. We will complete the orange section and then send the completed document to the CTIA (copy to you).

4) Are there any registration fees payable to the CTIA?

No. However, TÜV Product Service charges for its service as a BCRO.

5) Are Factories audited by the BCRO or CTIA?

There is no mandatory requirement for the CTIA or BCRO to audit the factory.

The required audits can be undertaken (with the agreement of the System Vendor where applicable) by the cell manufacturer, battery pack manufacturer, system vendor or system vendor and sub-system manufacturer.

Only cell and battery pack facilities are required to be audited.

The Audit Team shall consist of individuals who have relevant experience in auditing and of the particular process being audited (a summary of this evidence should be included within the compliance folder). The Audit Team must be independent from the processes being audited.

If required TÜV Product Service can undertake auditing on your behalf anywhere in the world via our 500 offices.

6) Who does the testing?

There is no mandatory requirement for the CTIA or BCRO to carry out 3rd party testing.

The required testing can be undertaken (with the agreement of the System Vendor where applicable) by the cell manufacturer, battery pack manufacturer or System Vendor.

If the System Vendor wishes to outsource the testing to a 3rd party, they shall ensure that the Test Laboratory is ISO / IEC 17025 accredited with a scope appropriate for the scope of the required testing. It is recommended that the System Vendor confirms acceptance of 3rd party results with us prior to the testing being undertaken.

TÜV Product Service have extensive test facilities and can undertake testing on your behalf.

7) What are BCROs?

BCROs are independent organisations appointed by the CTIA to perform reviews of compliance data supplied by System Vendors.

8) What language and format shall our submitted documentation be in?

All documentation shall be provided in English. We prefer to accept documentation in electronic format (word, excel or pdf), but we can accept printed (hardcopy) documentation by prior arrangement.

9) How do we submit the documentation to the BCRO?

You can upload your electronic compliance folder directly to our secure FTP server, or you can submit documents by post. Please contact us for your FTP username and password or to discuss alternative submission methods.

10) Can we modify the CTIA documentation e.g. BCRO Workbook?

No, but if you have any improvement suggestions please contact us.

11) How do we register our application on the CTIA database?

You must register your application before we can commence your review. However it is recommended that you confirm the date of review with us before making an application request.

To obtain a username and password e-mail the CTIA and then log onto .

12) What documentation do we submit to the BCRO?

Typically the documentation will include:

• Declarations
• Design / manufacturing / test data to support test and audit reports
• Test reports
• Audit reports
• BCRO Worksheets
• Circuit Diagrams
• Parts Lists / BoM
• Draft copy of Declaration of Compliance or Submitter’s Declaration

13) Who are CTIA?

The Cellular Telecommunications and Internet Association (CTIA) is an international organisation representing all sectors of wireless communications – cellular, personal communication services and enhanced specialized mobile radio. They represent service providers, manufacturers, wireless data and Internet companies and other contributors to the wireless industry representing its members.

14) Who are TÜV Product Service?

We are a leading international testing, certification and consultancy organisation who have an established and proven track record in the certification and testing of cellular products; our specialised team of auditors and consultants are recognised as leading experts in the battery industry and specialise in Li-Ion and Li-Ion Polymer technologies.

We are one of only four organisations authorised by the CTIA to perform reviews as a BCRO and the only organisation based outside America. We have an extensive network of auditors, consultants and engineers around the world.

See for further information.

Procedure diagram

Typical Compliance Folder Structure

Draft Declaration of Compliance or Submitters Declaration

BCRO Worksheets

BCRO Worksheet Section 3: System

Inspection Report(s)

Supporting Documentation*

BCRO Worksheet Section 4: Cell

Audit Report(s)

Supporting Documentation

Test Report(s)

BCRO Worksheet Section 5: Battery Pack Validation

Audit Report(s)

Supporting Documentation

Test Report(s)

Inspection Report(s)

Supporting Documentation*

BCRO Worksheet Section 6: Host Device

Test Report(s)

Inspection Report(s)

Supporting Documentation*

BCRO Worksheet Section 7: Adapter

Test Report(s)

Inspection Report(s)

Supporting Documentation*

BCRO Worksheet Section 8: Reliability

Inspection Report(s)

Supporting Documentation*

BCRO Worksheet Section 9: System Security Validation

Audit Report(s)

Supporting Documentation

Inspection Report(s)

Supporting Documentation*

BCRO Worksheet Section 10: Validation

Audit Report(s)

Supporting Documentation

Inspection Report(s)

Supporting Documentation*

Parts List

Cell

Battery Pack

Adapter

Host

Circuit Diagram

Cell

Battery Pack

Adapter

Host

* supporting documentation may be present in the report or not applicable

Guidance Notes – Audit Reports

This document outlines the basic contents of a typical Audit Report and should be considered as the minimal content to show compliance to the CTIA requirements.

• Customer report reference number
• CTIA project number (if known)
• IEEE 1725 and CRSL versions
• Date(s) of audit
• Full name and address of factory being audited
• Identification of production line(s) being audited (if applicable)
• Product being audited including manufacturer’s name, model and rating information.
• Revision level of product being audited
• Name, phone number and / or e-mail address of factory representative including job title
• Names and job titles of key personnel involved in the audit from the factory being audited
• Name(s) and job title(s) of member(s) of the audit team. If they represent different companies such as the handset manufacturer and the cell / battery pack manufacturer state the company they represent
• The Lead Auditor shall include his / her contact details including phone number and e-mail address
• Statement that the Audit Team is independent from the processes being audited. This statement being signed and dated by the Lead Auditor.
• The completed report shall be signed and dated by the Lead Auditor and Factory Representative to show the audit has been undertaken to the criteria of IEEE 1725 and CTIA requirements and to signify that both parties are in agreement with the findings.

Example structure of the Audit Report:

Additional Information:

• The Audit Team shall consist of individuals who have relevant experience in auditing and in the process being audited. This could be a single person or an audit team.

• Supporting evidence is required for the majority of verdicts; this evidence can be in the form of a flow chart, procedure document or report. If the evidence forms part of a larger document the relevant pages can be submitted and documented separately provided that a cross-reference to the complete document is included.

• If, at the end of the audit, non-compliances are found any follow-up or remedial actions required are at the discretion of the Lead Auditor.

• If required TÜV Product Service can sign Non-Disclosure Agreements (NDA) with companies so that copies of supporting evidence are sent directly to TÜV Product Service Ltd and not through 3rd parties.

• If required TÜV Product Service can undertake auditing of facilities at the System Vendors request. This service will be at additional cost.

Guidance Notes – Test Reports

This document outlines the basic contents of a typical Test Report and should be considered as the minimal content to show compliance to the CTIA requirements.

• Internal report reference number
• CTIA project number (if known)
• IEEE 1725 and CRSL versions
• Date(s) of test
• Full name and address of factory where testing is being undertaken. If the testing is being conducted off-site at another location both locations shall be detailed i.e. location of manufacture and test location
• Identification of samples tested including quantity, serial and batch numbers
• Product being tested including manufacturer’s name, model and rating information
• Revision level of product being tested
• The report shall meet the criteria set out in ISO / IEC 17025
• The report shall include CR section reference
• The report shall include details of the test method used
• The report shall include actual test results and data; tables, graphs etc.
• Details of the test equipment used such as type of equipment, manufacturer, model type, parameters used, equipment identifier (if applicable) and calibration details such as calibration date and expiry date (if applicable)
• The report shall detail the pass criteria and the verdict at the conclusion of test for that particular section / clause
• Statement that the product tested meets the relevant criteria of IEEE 1725 and CTIA documentation
• The report shall be signed and dated by the Test Engineer(s) (Tested By) and by the authorised signatory (Approved By) to show the testing has been undertaken to the criteria of IEEE 1725 and CTIA requirements and to signify that named individuals are in agreement with the findings

Additional Information:

• The Test report can include for example all relevant tests for the cell. Individual reports are not required for each test.

• For test methods and procedures guidance shall be sort from published standards (if applicable) and CTIA documentation. Example resources:

- IEC 61000-4-2 (Electro-static Discharge)

- ISO/IEC 17025 (Requirements for test & calibration laboratories)

- IEC 60068 (Environmental Testing)

- CTIA CRD

- UN Recommendations on the Transport of Dangerous Goods Manual of Tests and Criteria (ST/SG/AC.10/11)

• Ensure when the standard IEEE 1725 references publish standards the correct versions are used and stated

• If the System Vendor wishes to outsource the testing to a 3rd party, they shall ensure that the Test Laboratory is ISO / IEC 17025 accredited with an applicable scope for the tests to be undertaken. It is recommended that the System Vendor confirms acceptance of 3rd party results with the BCRO.

• TÜV Product Service has extensive test facilities and can carry out the required testing on your behalf. This service will be at additional cost.

Guidance Notes – Inspection Reports

This document outlines the basic contents of a typical Inspection Report and should be considered as the minimal content to show compliance to the CTIA requirements.

• Internal report reference number
• CTIA project number (if known)
• IEEE 1725 and CRSL versions
• Date(s) of inspection
• Full name and address of factory where inspection is being undertaken. If the inspection is being conducted off-site at another location both locations shall be detailed i.e. location of manufacture and inspection location
• Identification of samples being inspected including quantity, serial, and batch numbers
• Product being inspected including manufacturer’s name, model and rating information.
• Revision level of product being inspected
• The report shall include CR section reference
• The report shall include details of the inspection method used
• The report shall include observations, findings and conclusions
• Details of the test equipment used if applicable (please refer to “Guidance Notes – Test Reports”)
• Statement that the product inspected meets the relevant criteria of IEEE 1725 and CTIA documentation
• The report shall be signed and dated by the Engineer(s) (Inspected By) and by an authorising signatory (Approved By) to show the inspection has been undertaken to the criteria of IEEE 1725 and CTIA requirements and to signify that the named individuals are in agreement with the findings

Guidance Notes – Declaration

This document outlines the basic contents of a typical Declaration and should be considered as the minimal content to show compliance to the CTIA requirements.

• The declaration shall be on company headed paper
• CTIA project number (if known)
• IEEE 1725 and CRSL versions
• Date of declaration
• Full name and address of factory
• Manufacturer’s name, model and rating information
• Revision level of product
• Type of product
• The declaration shall include CR section reference, & section / clause title
• Statement that the product meets the relevant criteria of IEEE 1725 and CTIA documentation
• The declaration shall be signed and dated by the appropriate representative of the issuing company to show the requirements have been satisfied; this could be a Technical Director or Senior Manager

Additional Information:

• A single declaration can be made that covers several CR sections; a declaration does not have to be made for each individual section