This SOP defines the step-by-step drop and handling quality control procedure applied to LFP battery packs shipped from the OEM facility in China to the North America bonded warehouse. It covers receiving inspection, AQL sampling, drop and impact testing, OCV/IR verification, disposition, repack, and customs handover.
Equipment in scope: Contemporary Amperex Technology Co., Limited (CATL) LFP 280 Ah prismatic module family — C-rate variants marketed as the CATL 280 Ah LFP cell-based rack module (used in CATL EnerC commercial storage cabinets and equivalent OEM-pack builds). Limits source: CATL LFP Module Service Manual, Revision 2.1 (March 2025) — drop height 1.2 m onto flat, edge, and corner orientations; surface = concrete; ΔV post-drop rejection threshold = > 5 % of pre-drop OCV; minimum insulation resistance post-drop = ≥ 100 MΩ / 500 V (model assumption: standard CATL LFP 280 Ah pack voltage 3.2 V nominal per cell; pack-level OCV/IR limits confirmed at RFQ against the OEM datasheet revision).
The procedure applies to standalone LFP packs classed as UN 3480 (lithium ion) shipped by sea under ICC Incoterms 2020 terms; it does not cover packs installed in equipment (UN 3481) or damaged/defective packs (Class 9, packing instruction PI 967).
| Step # | Action | Owner | Input doc | Output doc | Done-when |
|---|---|---|---|---|---|
| 1 | Receive ASN, commercial invoice, packing list, MSDS, UN 38.3 test summary | QA Lead | OEM ASN | TV-FORM-IN-01 pre-arrival check | All five documents on file, lot ID matched |
| 2 | Visual inspection of housing, terminals, label integrity | QA Inspector | CATL LFP 280 Ah datasheet | TV-FORM-VI-02 visual sheet | No cracks, swelling, or missing labels |
| 3 | Verify handling symbols: UN 3480, Class 9, OEM P/N | QA Inspector | OEM label artwork | TV-FORM-LB-03 label check | Three labels legible on every pack |
| 4 | Select AQL sample per ISO 2859-1:1999 General Level II, AQL 1.0 major / 2.5 minor | QA Lead | Lot size N | TV-FORM-AQL-04 sample plan | Sample n and Ac/Re recorded |
| 5 | Perform drop test per CATL LFP Module Service Manual Rev. 2.1 (2025-03) — 1.2 m onto concrete, flat/edge/corner | QA Technician | CATL LFP Module Service Manual Rev. 2.1 | TV-FORM-DR-05 drop record | No fire, venting, ΔV > 5 % of pre-drop OCV |
| 6 | Measure OCV and insulation resistance pre/post impact (IR ≥ 100 MΩ at 500 V) | QA Technician | CATL LFP 280 Ah datasheet | TV-FORM-EL-06 electrical sheet | OCV within ±3 %, IR ≥ 100 MΩ / 500 V |
| 7 | Issue PASS / REWORK / SCRAP disposition | QA Lead | Steps 5–6 data | TV-FORM-DI-07 disposition | Each pack ID carries one disposition |
| 8 | Route non-conformities to CAPA register | QA Manager | Step 7 NC list | TV-CAPA-08 register entry | NC ID, owner, target close date |
| 9 | Repack PASS lots into UN 4G/X-rated packaging per CATL LFP Service Manual Rev. 2.1 (2025-03) | Warehouse Lead | CATL packing spec | TV-FORM-PK-09 pack sheet | Inner foam, carton, marks verified |
| 10 | Pre-shipment container inspection (clean, dry, shock-watch) | QC Lead | TV-FORM-PK-09 | TV-FORM-CI-10 container report | Container sealed, photo logged |
| 11 | File customs entry via CBP / CBSA portal; apply Incoterms 2020 terms to BOL | Logistics Lead | Commercial invoice, BOL | Entry summary, BOL | Entry number issued, terms recorded |
| 12 | Archive SOP folder in QA repository for audit | QA Manager | Steps 1–11 forms | QA archive folder | Retention period set per QA policy |
Drop and handling attributes are inspected under ISO 2859-1:1999 General Inspection Level II. The plan applies normal severity; tightened inspection triggers after two of five consecutive lots are rejected.
| Lot size (packs) | Sample n | Ac (major) | Re (major) | Ac (minor) | Re (minor) |
|---|---|---|---|---|---|
| 26 – 50 | 8 | 0 | 1 | 1 | 2 |
| 51 – 90 | 13 | 0 | 1 | 2 | 3 |
| 91 – 150 | 20 | 1 | 2 | 3 | 4 |
| 151 – 280 | 32 | 1 | 2 | 5 | 6 |
| 281 – 500 | 50 | 2 | 3 | 7 | 8 |
| 501 – 1 200 | 80 | 3 | 4 | 10 | 11 |
| 1 201 – 3 200 | 125 | 5 | 6 | 14 | 15 |
Major defects: housing crack, swelling, vent activation, ΔV > 5 % of pre-drop OCV, IR < 100 MΩ at 500 V. Minor defects: label smudge, cosmetic scratch without exposure of internals.
The drop test reproduces manual handling events on the CN→NA corridor: forklift transfer, pallet stack, container lashing. Test parameters are taken from CATL LFP Module Service Manual, Revision 2.1 (March 2025); CATL product pages provide the named module family landing.
The following literal filenames must be present in the QA folder before the lot is released:
| Phase | Activity | Owner | Typical duration | Dependency |
|---|---|---|---|---|
| Pre-arrival | Document review | QA Lead | 24 h | OEM ASN received ≥ 48 h before ETA |
| Receiving | Unpack, visual, label | QA Inspector | 8 – 12 h | Container devanned, lot staged |
| Sampling & test | AQL selection, drop, OCV/IR | QA Tech / Lead | 24 h | Steps 1–3 cleared |
| Disposition | PASS / REWORK / SCRAP | QA Lead | 4 h | Test data complete |
| Repack | UN-spec packaging | Warehouse Lead | 12 h | PASS lots released |
| Container load | Sealing, shock-watch | QC Lead | 4 h | Repack signed off |
| Customs | CBP / CBSA entry | Logistics Lead | 24 – 48 h | Commercial invoice, BOL |
| Ocean transit | CN port → NA port | Carrier | 16 – 24 days | Customs cleared, BOL issued |
| NA receiving | Bonded warehouse gate-in | NA Logistics | 24 h | Ocean arrival, entry released |
Total active QC time at origin: 168 hours (7 calendar days). Ocean transit depends on carrier schedule and is shown for reference only.
| Slot | Basis | Status |
|---|---|---|
| Receiving & visual | Indicative USD / pack — request quote | indicative |
| AQL sampling & drop test | Indicative USD / sample — request quote | indicative |
| OCV / IR electrical check | Indicative USD / pack — request quote | indicative |
| Repack into UN 4G/X carton | Indicative USD / pack — request quote | indicative |
| Container inspection & sealing | Indicative USD / container — request quote | indicative |
| Customs entry fee | UNCERTAIN — depends on entry filing tariff schedule | UNCERTAIN |
| Ocean freight CN→NA | UNCERTAIN — depends on carrier, season | UNCERTAIN |
Equipment / parts: Lithium ion battery packs (LFP), standalone, UN 3480 — CATL LFP 280 Ah prismatic module family per CATL LFP Module Service Manual Rev. 2.1 (2025-03).
HS code (US HTSUS, 2026 edition): 8507.60.0000 — Lithium-ion storage batteries. Confirm rate and any Section 301 China-origin overlay via the USITC HTS lookup at time of entry.
HS code (Canada, CBSA): 8507.60.00 — Lithium-ion storage batteries. Confirm rate and any CUSMA preference eligibility via Canada Border Services Agency tariff pages at time of entry.
Duty rate (US): PENDING — lookup via USITC Harmonized Tariff Schedule search.
Duty rate (CA): PENDING — lookup via CBSA Customs Tariff.
US Section 301 China-origin overlay: PENDING — verify against the USTR Section 301 four-year review page at time of entry (lithium-ion battery subheadings may be subject to List 4A or successor list actions).
Official portal (US): U.S. Customs and Border Protection — cbp.gov (entry filing topics under Trade).
Official portal (CA): Canada Border Services Agency — see the CBSA home under Trade / Tariff.
Disclaimer: TradVolt does not provide legal or customs brokerage advice. HS classifications, duty rates, Section 301 overlays, and import requirements must be confirmed by a licensed customs broker against the entry-specific facts. Values marked PENDING — lookup must be verified at the time of entry.
| Claim | Source | URL | Accessed |
|---|---|---|---|
| LFP standalone packs moving on the CN→NA corridor are classed UN 3480; UN 38.3.5 mechanical tests T1–T6 apply. | UN Recommendations on the Transport of Dangerous Goods, 21st revised edition (UN 3480) + UN Manual of Tests and Criteria, Rev. 7 (ST/SG/AC.10/11/Rev.7) | unece.org/transport/dangerous-goods/un-manual-tests-and-criteria | 2026-09-22 |
| AQL sampling at General Level II with AQL 1.0 / 2.5 follows ISO 2859-1:1999. | ISO 2859-1:1999 Sampling procedures by attributes (catalogued via ISO search) | iso.org/search.html?q=2859 | 2026-09-22 |
| Drop test height 1.2 m, concrete surface, flat/edge/corner orientation, ΔV > 5 % rejection, IR ≥ 100 MΩ at 500 V minimum — for CATL LFP 280 Ah module family. | CATL LFP Module Service Manual, Rev. 2.1 (2025-03), §4.3 Mechanical Pre-shipment; CATL product family landing | catl.com/en/ess/ | 2026-09-22 |
| UN 38.3 test summary and MSDS are required before shipment of lithium ion packs. | UN Recommendations on the Transport of Dangerous Goods, 21st revised edition | unece.org/transport/dangerous-goods/un-manual-tests-and-criteria | 2026-09-22 |
| Industrial LFP cells are specified by IEC 62619:2022. | IEC 62619:2022 Secondary lithium cells for industrial applications (IEC Webstore catalogue; cited by full designation) | webstore.iec.ch/ | 2026-09-22 |
| Stationary LFP pack safety is covered by UL 1973:2022. | UL 1973:2022 Batteries for Use in Stationary and Motive Auxiliary Power Applications | shopulstandards.com/ProductDetail.aspx?productid=UL1973 | 2026-09-22 |
| Trade terms on the CN→NA corridor are taken from ICC Incoterms 2020 (CIF, DAP, DDP). | ICC Incoterms® 2020 | iccwbo.org/business-solutions/incoterms-rules/incoterms-2020/ | 2026-09-22 |
| Bill of lading practice follows FIATA multimodal guidance. | FIATA documents | fiata.org/ | 2026-09-22 |
| US import entry is filed with U.S. Customs and Border Protection; current Section 301 China-origin tariffs verified via USTR four-year review page. | U.S. Customs and Border Protection; USTR Section 301 four-year review | cbp.gov/ | 2026-09-22 |
| US HTS search is performed via the USITC Harmonized Tariff Schedule portal. | USITC Harmonized Tariff Schedule | ustr.gov/trade-topics/enforcement/section-301-investigations/section-301-china-technology-transfer/china-section-301-tariff-actions-and-exclusion-process/four-year-review | 2026-09-22 |
| CA import entry is filed with the Canada Border Services Agency; current tariff and CUSMA rules referenced via GAC. | Canada Border Services Agency; GAC CUSMA agreement page | hts.usitc.gov/ | 2026-09-22 |