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net

ICS 29.220.99
K 82

National Standard of the People’s Republic of China

GB 40165-2021

Lithium ion cells and batteries used in

stationary electronic equipment -
Safety technical specification
固定式电子设备用锂离子电池和电池组

安全技术规范

(English Translation)

Issue date: 2021-04-30 Implementation date: 2022-05-01

Issued by the State Administration for Market Regulation
the Standardization Administration of the People’s Republic
of China

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Contents

Foreword ............................................................................................................................... i
Introduction .......................................................................................................................... ii
1 Scope ............................................................................................................................. 1
2 Normative references ..................................................................................................... 2
3 Terms and definitions ..................................................................................................... 2
4 Test conditions ............................................................................................................. 10
4.1 Applicability of the tests ..................................................................................... 10
4.2 Ambient conditions of the tests.......................................................................... 11
4.3 Parameters measurement tolerances ............................................................... 11
4.4 Measuring method of temperature .................................................................... 11
4.5 Charging and discharging procedures for testing ............................................. 12
4.6 Type test ............................................................................................................ 12
5 General safety requirements........................................................................................ 15
5.1 General considerations on safety ...................................................................... 15
5.2 Safe working parameters ................................................................................... 15
5.3 Marking and warning instructions ...................................................................... 16
5.4 Key safety components ..................................................................................... 17
6 Electrical safety of cells ................................................................................................ 18
6.1 External short circuit at high temperature.......................................................... 18
6.2 Overcharge ........................................................................................................ 19
6.3 Forced discharge ............................................................................................... 19
7 Environmental safety of cells ....................................................................................... 20
7.1 Low pressure ..................................................................................................... 20
7.2 Temperature cycling ........................................................................................... 21
7.3 Vibration ............................................................................................................. 22
7.4 Acceleration shock ............................................................................................. 23
7.5 Drop ................................................................................................................... 23
7.6 Impact/extrusion with weight ............................................................................. 25
7.7 Thermal abuse ................................................................................................... 27
8 Environmental safety regarding batteries .................................................................... 27
8.1 Temperature cycle ............................................................................................. 27
8.2 Vibration ............................................................................................................. 27
8.3 Acceleration shock ............................................................................................. 28
8.4 Drop ................................................................................................................... 29
9 Functional safety of battery system ............................................................................. 29
9.1 Requirements for battery management unit/battery management system ....... 29
9.2 Requirements for test samples .......................................................................... 29
9.3 Overvoltage charging control ............................................................................. 30
9.4 Overcurrent charging control ............................................................................. 31
9.5 Undervoltage discharge control ......................................................................... 31
9.6 Overload control................................................................................................. 31

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9.7 Short circuit control ............................................................................................ 32

9.8 Reverse charging ............................................................................................... 32
9.9 Overheat control ................................................................................................ 33
9.10 Electrostatic discharge..................................................................................... 33
10 System safety ............................................................................................................. 33
Annex A (Normative) Test sequence ............................................................................... 34
Bibliography ....................................................................................................................... 35

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Foreword

ChinaStandards.net is in charge of this English translation. In case of any doubt about

the English translation, the Chinese original shall be considered authoritative.

This standard is developed in accordance with the rules given in GB/T 1.1-2009.

Attention is drawn to the possibility that some of the elements of this document may be the
subject of patent rights. The issuing body of this document shall not be held responsible
for identifying any or all such patent rights.

This standard was proposed by and is under the jurisdiction of the Ministry of Industry and
Information Technology of the People's Republic of China.

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Introduction

For the purpose of this standard, only the most basic safety requirements for lithium ion
cells and batteries are taken into account to provide protection for personal and property
safety, while the performance and functional characteristics are not involved.

Further development of technology and process will certainly require further revision of
this standard.

The hazards caused by the lithium ion cells and batteries within the scope of this standard
refer to:

——Leakage, which may directly pose chemical corrosion hazard to human bodies, or
lead to failures of insulations inside the electronic equipment powered by cells, indirectly
causing hazards such as electric shock and fire;

——Fire, which directly burns human bodies, or causes ignition hazard to electronic
equipment powered by cells;

——Explosion, which directly endangers human bodies or damages equipment;

——Overheating, which directly causes burns to human body, or leads to degradation of

insulation grade and performance of safety elements and components, or ignites
combustible liquids;

——Electric shock, which causes injuries (such as burns, muscle spasm and ventricular
fibrillation) by currents flowing through human body.

Batteries whose output voltage exceed the safe voltage limit (DC 60 V) may directly cause
the electric shock hazard, while the battery that can exceed the safe voltage limit (DC 60
V or 42.4 V (AC peak)) after being inverted may also cause the electric shock hazard.

Priority in determining the design scheme for cells or batteries:

——First, priority shall be given to materials with high safety, if possible;

——Second, protective devices shall be designed (such as adding protective devices) to

reduce or eliminate the possibility of hazards if the above-mentioned principles cannot be
implemented;

——Finally, the residual hazards that cannot be completely avoided shall be identified and
described.

ii

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The above-mentioned principles are not intended to replace the detailed requirements of
this standard, but only to inform the designer of the principles on which these
requirements are based.

The safety of lithium ion cells and batteries is related to material selection, design,
production process, transport and service conditions. Thereof, service conditions include
normal service conditions, foreseeable misuse conditions, and foreseeable fault
conditions, as well as environmental conditions that affect its safety, such as temperature
and altitude

The safety requirements for lithium ion cells and batteries cover the hazards to personnel
caused by all the factors mentioned above. Personnel refer to maintenance personnel and
users.

Maintenance personnel refer to those who maintain electronic equipment and its cells,
and can use professional skills to avoid possible injuries in case of obvious hazards.
However, they shall be protected against unexpected hazards, such as using signs or
warning instructions to remind them of residual hazards.

Users refer to all personnel other than maintenance personnel. The safety and protection
requirements are put forward on the assumption that users have not been trained in how
to identify hazards, but will not deliberately create hazardous situations.

iii

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Lithium ion cells and batteries used in stationary

electronic equipment -
Safety technical specification

1 Scope

This standard specifies the safety requirements and test methods for lithium ion cells and
batteries used in stationary electronic equipment.

This standard is applicable to lithium ion cells and batteries used in stationary electronic
equipment (hereinafter referred to as “cells and batteries”), where the stationary electronic
equipment includes:

a) Stationary information technology equipment (IT equipment);

b) Stationary audio and video equipment (AV equipment) and similar equipment;

c) Stationary communication technology equipment (CT equipment);

d) Stationary measurement control equipment, electronic equipment for laboratories and

similar equipment.

Note: The stationary electronic equipment listed above does not include all the equipment, so the
equipment not listed may also be covered in this standard. This standard is also applicable to lithium ion
cells and batteries for uninterruptible power supply (UPS) and emergency power supply (EPS).

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2 Normative references

The following referenced documents are indispensable for the application of this
document. For dated references, only the edition cited applies. For undated references,
the latest edition of the referenced document (including any amendments) applies.

GB/T 2423.5 Environmental testing - Part 2: Test methods - Test Ea and guidance:
Shock
GB/T 2423.10 Environmental testing - Part 2: Tests methods - Test Fc: Vibration
(sinusoidal)
GB/T 2423.21 Environmental testing - Part 2: Test methods - Test M: Low air pressure
GB/T 2423.22 Environmental testing - Part 2: Tests methods - Test N: Change of
temperature
GB 4943.1-2011 Information technology equipment - Safety - Part 1: General
requirements
GB/T 17626.2 Electromagnetic compatibility - Testing and measurement techniques -
Electrostatic discharge immunity test

3 Terms and definitions

For the purposes of this document, the following terms and definitions apply.

3.1

(lithium ion) cell

device that relies on the movement of lithium ions between the positive and negative
electrodes to realize the mutual conversion of chemical energy and electrical energy, and
is designed to be rechargeable

Note: The device usually includes electrodes, diaphragms, electrolytes, containers and terminals.

3.2

large lithium ion cell

lithium ion cell with total mass exceeding 500 g

Note: This term is simply referred to as “large cell” in this standard.

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3.3

cell block

configuration in which multiple cells are connected in parallel and for which protective
devices (such as fuses or positive temperature coefficient thermistors (PTC)) and
monitoring circuits may or may not be provided

Note: It cannot be used because it has not been provided with a housing, terminal device and electronic
control device.

[IEC 62619:2017, definition 3.8]

3.4

module

configuration in which multiple cells are connected in series or in parallel and for which
protective devices (such as fuses or positive temperature coefficient thermistors (PTC))
and monitoring circuits may or may not be provided

[IEC 62619:2017, definition 3.9]

3.5

battery/battery pack

energy storage device electrically coupled by one or more cells or modules

Notes:

1 It can include protection and monitoring devices that provide information (such as cell voltage) to the
battery system.

2 It can contain a protective cover provided by a terminal or other interconnection device.

3 It is revised from IEC 62619:2017, definition 3.10.

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3.6

battery system

system consisting of one or more cells, modules or batteries

Notes:

1 It has a battery management system which will act if overcharge, overcurrent, overdischarge and
overheating occur.

2 The over-discharge cut-off is not mandatory if an agreement is made between the battery
manufacturer and the user.

3 It can include cooling or heating devices, and some even include charging and discharging modules
and inverter modules.

4 In this standard, the requirements for the battery system are equivalent to those for batteries.

5 It is revised from IEC 62619: 2017, definition 3.11.

3.7

large lithium ion battery

lithium ion battery with total mass exceeding 12 kg

Note: This term is simply referred to as “large battery” in this standard.

3.8

battery management system; BMS

electronic system which is connected with the battery, capable of cutting off the circuit
under overcharge, overcurrent, overdischarge and overheating, and used to monitor
and/or manage the state of the battery, calculate secondary data, report data and/or
control the environment to influence the safety, performance and/or service life of the
battery; the functions of BMS may be assigned to the battery or equipment using the
battery

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Notes:

1 The over-discharge cut-off is not mandatory if an agreement is made between the battery
manufacturer and the user.

2 The functions of BMS may be available on the battery or on the equipment using the battery.

3 The BMS may be separated, possibly with a part in the battery and a part at the application end, as
shown in Figure 1.

4 Sometimes BMS is also called BMU (battery management unit).

[IEC 62619:2017, definition 3.12]

Equipment
Equipment
Battery system

Battery system

Battery
Battery

Signal output

Module (one or more)

Module (one or more)
Cell (one or more) Cell (one or more)

b) Battery and equipment containing some

a) Battery containing all functions of BMS
functions of BMS

Equipment
Equipment

Battery system Battery system

Module (one or more)

Cell (one or more) Cell (one or more)

c) Combination of equipment with BMS and d) Equipment containing all functions BMS and
modules batteries

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Figure 1 Example for location of BMS and composition of battery system

3.9

stationary electronic equipment

electronic equipment that is not intended to be frequently carried by the user

Notes:

1 It includes non-portable electronic equipment, and mobile electronic equipment weighing more than
18 kg.

2 Within the scope of this standard, electronic equipment that does not belong to the "portable
electronic equipment" specified in GB 31241-2014 is defined as stationary electronic equipment, as
shown in Figure 2.

3 See 3.3 of GB 31241-2014 for the definition of portable electronic equipment.

Stationary electronic equipment

Stationary electronic equipment

"Portable electronic
equipment" specified in
GB 31241

Portable electronic equipment Non-portable electronic equipment

Figure 2 Scope of stationary electronic equipment specified in this standard

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3.10

rated capacity

cell or battery capacity indicated by the manufacturer

Note: It is expressed in ampere-hour (A·h) or milliampere-hour (mA·h).

3.11

upper limited charging voltage

Uup

maximum safe charging voltage that the cell or battery can withstand, as specified by the
manufacturer

3.12

discharge cut off voltage

Udo

minimum load voltage specified by the manufacturer for safe discharge of the cell or
battery

3.13

end of discharge voltage

Ude

load voltage specified by the manufacturer at which the discharge behavior of the cell or
battery in cycle use is terminated

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3.14

recommendation charging current

Icr

constant-current charging current recommended by the manufacturer

3.15

maximum continual charging current

Icm

maximum constant-current charging current specified by the manufacturer

3.16

recommendation continual discharging current

Idr

continual discharging current recommended by the manufacturer

3.17

maximum discharging current

Idm

maximum continual discharging current specified by the manufacturer

3.18

upper limited charging temperature

Tcm

maximum ambient temperature specified by the manufacturer for charging the cell or
battery

Note: It refers to the ambient temperature, not the surface temperature of the cell or battery.

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3.19

upper limited discharging temperature

Tdm

maximum ambient temperature specified by the manufacturer for the discharge of the cell
or battery

Note: It refers to the ambient temperature, not the surface temperature of the cell or battery.

3.20

lower limited charging temperature

Tcl

minimum ambient temperature specified by the manufacturer for charging the cell or
battery

Note: It refers to the ambient temperature, not the surface temperature of the cell or battery.

3.21

leakage

visible leakage of liquid electrolyte

[GB/T 28164-2011, definition 1.3.9]

3.22

rupture

mechanical damage to the cell case or battery case due to internal or external factors,
resulting in exposure or spillage, rather than ejection, of internal material

[GB/T 28164-2011, definition 1.3.11]

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