CTSO-142b 不可充电锂电池和电池组

日期：2022 年 9 月 7 日局长授权

批准：

中国民用航空技术标准规定

本技术标准规定根据中国民用航空规章《民用航空材料、零部件和机载设备技术标准规定》（CCAR37）颁发。中国民用航空技术标准规定是对用于民用航空器上的某些航空材料、零部件和机载设备接受适航审查时，必须遵守的准则。

不可充电锂电池和电池组

1. 目的

本技术标准规定（CTSO）适用于为不可充电锂电池和电池组申请技术标准规定项目批准书（CTSOA）的制造人。本 CTSO 规定了不可充电锂电池和电池组为获得批准和使用适用的 CTSO 标记进行标识所必须满足的最低性能标准。

2. 适用范围

本 CTSO 适用于自其生效之日起提交的申请。

a ． 自本 CTSO 生效之日起，欲获得不可充电锂电池和电池组CTSOA 的申请人应按照本 CTSO 提交申请。但如果自本 CTSO 生效之日起六个月内，申请人能够向局方表明在新版本生效前一直按照以前版本的最低性能标准进行研制，可以按以前版本的 CTSO 提交申请。

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CAAC CTSO-C142b

b. 自本 CTSO 生效之日起，按以前版本 CTSO 获得 CTSOA 的设备可以按批准时的规定继续制造。

c. 按本 CTSO 批准的设备，其设计大改应按 CCAR-21-R4 第21.353 条要求重新申请 CTSOA。

d. 本 CTSO 不适用于额定能量值小于 2Wh 的硬币或纽扣电池。

3. 要求

在本CTSO 生效之日或生效之后制造并欲使用本CTSO 标记进行标识的不可充电锂电池和电池组应满足 RTCA/DO-227A《不可充电锂电池最低性能标准》（2017.9.21 发布）第 1 和 2 节要求，以及按本CTSO 附录所做的修订

a ． 功能

本 CTSO 的标准适用于预期为航空器设备（包括应急系统）提供电源的不可充电锂电池和电池组。

b. 失效状态类别

本 CTSO 没有标准的最低失效状态类别。设备适用的失效状态类别取决于其在特定航空器的预期用途。在设备设计时应记录其功能丧失和异常的失效状态类别。

c. 功能鉴定

应按 RTCA/DO-227A《不可充电锂电池最低性能标准》（2017 年9 月 21 日）中第 2.0 节中试验条件，证明设备性能满足要求。

d. 环境鉴定

应按 RTCA/DO-227A《不可充电锂电池最低性能标准》（2017 年

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9 月 21 日）中第 2.0 节规定的试验条件，证明设备性能满足要求。

e. 软件鉴定

如果设备包含软件， 则软件应按照 RTCA/DO- 178C《机载系统和设备合格审定中的软件考虑》（ 2011 年 12 月 13 日）或其最新版本进行软件研制，包含参考的补充文件（如适用）。软件的研制保证等级应至少与本 CTSO 第 3.b 节定义的失效状态类别一致。如采用 RTCA/DO- 178B（ 1992 年 12 月 1 日） 作为软件开发的符合性方法， 需与局方沟通确认， 局方有权要求申请人在满足 RTCA/DO- 178B 同时还需要满足其它额外要求。

f. 电子硬件鉴定

如果设备中包含复杂电子硬件，则应按照 RTCA/DO-254《机载电子硬件设计保证指南》（2000.4.19）的要求进行研制。硬件的设计保证等级应与本 CTSO 第 3.b 节规定的失效状态类别一致。对于确定为简单的机载电子硬件，可按 RTCA/DO-254 中第 1.6 节的要求处理。

g. 偏离

如果采用替代或等效的符合性方法来满足本 CTSO 规定的最低性能标准要求，则申请人必须表明设备保持了等效的安全水平。申请人应按照 CCAR-21-R4 第 21.368 条（一）要求申请偏离。

4. 标记

a. 至少应为一个主要部件设置永久清晰的标记，标记应包括CCAR-21-R4 第 21.423 条（二）和 RTCA/DO-227A《不可充电锂电池最低性能标准》（2017 年 9 月 21 日）的第 2.1.10 节规定的所有信

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息。

b. 应按照下表标记不可充电锂电池和电池组或终端产品：

将 CTSO 标记为 CTSO-C142b-X，如下所示：

X

电池，电池组或终端产品

-1

电池

-3

电池组

-5

终端产品

-7

<5Wh（终端产品）

电池和电池组必须至少符合 UL1642 和 UN38.3 的测试标准（见下面的注意事项）

注意：对于 CTSO-142b-7 的批准，CTSO 标记必须标在终端产品上。终端产品的电池或电池组必须分别标记，并被识别为终端产品的组件。电池或电池组必须在制造商文件中注明，该电池或电池组不能用于其他终端产品，除非在新的终端产品中单独试验。为了满足本CTSO 的要求终端产品是必需的，配置控制文件必须说明电池或电池组的批准是仅基于其在批准的终端产品中进行测试和验证的事实。只能使用 CTSO-C142b 终端产品下批准的电池或电池组。请勿使用未经产品制造商批准的任何电池或电池组。如果要在终端产品上使用不同的电池或电池组，制造商必须向 CAAC 提交新的 CTSO 申请（针对终端产品）。

c. 如果设备中包含软件和/或机载电子硬件，则件号必须能够表明软件和硬件的构型。件号编排时，在件号中可为硬件、软件和机载

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电子硬件各划分一个单独区域。

d. 可以使用电子标记标识软件和机载电子硬件，此标记可通过软件写入硬件部件内部，而不用将其标识在设备铭牌中。如果使用电子标记，则其必须容易读取，无需使用特殊工具或设备。

5. 申请资料要求

申请人必须向负责该项目审查的人员提交相关技术资料以支持设计和生产批准。提交资料包括 CCAR-21-R4 第 21.353 条（一）1规定的符合性声明和以下资料副本。

a. 手册。包含以下内容：

（1）运行（使用）说明和设备限制，该内容应对设备运行能力（使用特性）进行充分描述。

（2）根据本 CTSO 第 3 节的要求，应包括测试结果摘要，该摘要包括通过或未通过的准则和需要报告的信息。

（3）对所有偏离的详细描述。

（4）安装程序和限制。必须确保按照此安装程序安装设备后，设备仍符合本 CTSO 的要求。限制必须确定任何特殊的安装要求，还必须以注释的方式包含以下声明：

“本设备满足技术标准规定中要求的最低性能标准和质量控制标准。如欲安装此设备， 必须获得单独的安装批准。”

（5）对于所有软件和机载电子硬件构型，包括如下内容：

（i）软件件号，包括版本和设计保证等级；

（ii）机载电子硬件件号，包括版本和设计保证等级；

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（iii）功能描述。

（6）设备中每个部件进行环境鉴定的试验条件总结。例如，可采用 RTCA/DO- 160G《机载设备环境条件和试验程序》附录 A 的表格方式描述。

（7）安装不可充电锂电池和电池组所需的原理图、布线图，以及设备安装所必需的其它文件。

（8）组成不可充电锂电池和电池组的可更换部件的清单（注明件号）。如适用，包括对供应商件号的交叉索引。

b. 持续适航文件，包含设备周期性维护、校准及修理要求，以保证不可充电锂电池和电池组持续满足 CTSO 的设计批准。如适用，应包括建议的检查间隔和使用寿命。

c. 如果设备包含软件，则还应提供：软件合格审定计划（PSAC）、软件构型索引和软件完成综述。

d. 如果设备包含简单的或复杂电子硬件，还应提供：硬件合格审定计划（PHAC）、硬件验证计划、顶层图纸和硬件完结综述（或相似文件，如适用）。

e. 铭牌图纸，规定设备如何标识本 CTSO 中第 4 节所要求的标记信息。

f. 按 CCAR-21-R4 第 21.358 条要求提供质量系统方面的说明资料，包括功能试验规范。质量系统应确保检测到可能会对 CTSO 最低性能标准符合性有不利影响的任何更改，并相应地拒收该产品。

g. 组织的描述，应包括 CCAR-21-R4 第 21.355 条所要求的信息。

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h. 材料和工艺规范清单。

i. 定义设备设计的图纸和工艺清单（包括修订版次）。

j. 制造人的 CTSO 鉴定报告，表明按本 CTSO 第 3.c 节完成的试验结果。

k. 一份测试结果副本。包括依据本 CTSO 的第 3 节进行测试的方法，数据，和测试报告。

6. 制造人资料要求

除直接提交给局方的资料外，还应准备如下技术资料供局方评审：

a. 用来鉴定每件设备是否符合本 CTSO 要求的功能鉴定规范；

b. 设备校准程序；

c. 原理图；

d. 布线图；

e. 材料和工艺规范；

f. 按本 CTSO 第 3.d 节要求进行的环境鉴定试验结果；

g. 如设 备包 含软 件， 提供 本 CTSO 3.e 节所 要求 的RTCA/DO- 178C 或 RTCA/DO- 178B 中规定的相关文档，包括所有支持 RTCA/DO- 178C 或 RTCA/DO- 178B 附录 A“软件等级的过程目标和输出” 中适用目标的资料。

h. 如果设备包含复杂电子硬件，应提供 RTCA/DO-254 附录 A 表A-1 中定义的与设计保证等级和硬件生命周期相关的资料。对于简单电子硬件，应提供以下资料：测试用例或程序，测试结果，测试覆盖

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率分析，工具评估和鉴定资料，构型管理记录并包含问题报告。

7. 随设备提交给用户的资料要求

a. 如欲向一个机构（例如运营人或维修站）提交一件或多件按本 CTSO 制造的设备，则应随设备提供本 CTSO 第 5.a 节和第 5.b 节的资料副本，以及设备正确安装、审定、使用和持续适航所必需的资料。

b. 如果该产品包括软件， 应包括功能输入的开口问题报告（OPR）摘要的副本。

8. 引用文件

RTCA 文件可从以下地址订购：

Radio Technical Commission for Aeronautics, Inc.

1150 18th Street NW, Suite 910, Washington D.C. 20036

也可通过网站 www.rtca.org 订购副本。

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附录不可充电锂电池和电池组的最低性能标准

本附录规定了CAAC对于本CTSO 中引用的不可充电锂电池和电池组的最低性能标准要求的修改。CAAC 对标准做了如下修改：

RTCA/DO-227A章节号和标题

目前章节描述

修改

1.4 本文档中具体不适用项

额定能量值小于 2Wh 的硬币或纽扣电池能量足够低，被认为可能的危害较低，因此这些电池或电池组被评估在安装时具有较低的风险，只要它们符合 UL1642 的要求。如果满足 UL1642 和 UN 的测试标准，本最低性能标准的其他要求将不适用于额定能量小于2Wh 的电池或电池组。

额定能量小于 2Wh 的硬币或纽扣电池能量足够低，被认为可能产生的危害较低，因此这些电池或电池组被评估在安装时具有较低的风险，只要它们符合 UL1642 的要求。如果满足 UL1642 和 UN 的测试标准，本最低性能标准的其他要求将不适用于额定能量小于2Wh 的硬币或纽扣电池。

额定能量小于

5Wh 并且未按照RTCA 文件

RTCA/DO-227A,第 1.0 节和 2.0 节测试的不可充电电池或电池组

本 CTSO 的要求可以在终端产品的测试下完成。使用RTCA 文件 RTCA/DO-227A 《不可充电锂电池最低性能标准》（2017 年 9 月 21 日）的第 2.2.3 和 2.4.3 章节。根据本 CTSO（CTSO-C142b-7）的 4.b 章节标记电池或电池组。

注意：

对于 CTSO-142b-7 的批准，本 CTSO 标记必须在终端产品和电池或电池组上。电池或电池组在制造商文件中必须有一个注释，该电池和电池组不能用于其他终端产品。需要终端产品满足 CTSO 的要求，并且配置控制文档必须说明电池或电池组的批准是仅基于在批准的终端产品中进行测试和验证的事实。只能使用本 CTSO-C142b 终端产品上批准的电池或电池组。不要使用未经产品制造商批准的其他任何电池或电池组。如果要使用与此终端产品不同的电

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池或电池组，制造商必须向CAAC 提交新的 CTSO 申请。

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Number: CTSO-C142b

Date of approval: September 7, 2022

Approved by: Yang Zhenmei

China Civil Aviation Technical Standard Order

This China Civil Aviation Technical Standard Order (CTSO) is issued according to Part 37 of the China Civil Aviation Regulations (CCAR-37). Each CTSO is a criterion which the concerned aeronautical materials, parts or appliances used on civil aircraft must comply with when it is presented for airworthiness certification.

Non-Rechargeable Lithium Cells and Batteries

1. Purpose.

This China Civil Aviation Technical Standard Order (CTSO) is applicable to the manufacturer that applies for CTSO authorization (CTSOA) for non-rechargeable lithium cells and batteries. This CTSO specifies the minimum operational performance standards (MOPS) that non-rechargeable lithium cells and batteries must meet in order to be approved and identified with the applicable CTSO markings.

2. Applicability.

This CTSO affects new applications submitted after its effective date.

a. From the effective date of this CTSO, applicants who wish to obtain the CTSOA of non-rechargeable lithium cells and batteries should submit applications in accordance with this CTSO. CTSO-C142a will also remain effective until 6 months from this CTSO release. After this

date, Civil Aviation Administration of China (CAAC) will no longer accept new applications for CTSO-C142a.

b. From the effective date of this CTSO, equipment that was approved under CTSO-C142a may still be manufactured under the provisions of its original approval.

c. Major design changes to article approved under this CTSO will require a new authorization in accordance with Section 21.353 of CCAR-21-R4.

d. This CTSO is not applicable to coin or button cells which have an energy rating of less than 2Wh.

3. Requirements.

New models of non-rechargeable lithium cells and batteries identified and manufactured on or after the effective date of this CTSO must meet the requirements in Sections 1 and 2 of RTCA/DO-227A, Minimum Operational Performance Standards for Non-Rechargeable Lithium Batteries, dated September 21, 2017, as amended by Appendix of this CTSO.

a. Functionality.

This CTSO applies to non-rechargeable lithium cells and batteries which are intended to provide power for aircraft equipment, including emergency systems.

b. Failure Condition Classifications.

There is no standard minimum failure condition classification for this CTSO. The failure condition classification appropriate for the equipment will depend on the intended use of the equipment in a specific aircraft. Document the loss of function and malfunction failure condition classification when the equipment is designed.

c. Functional Qualification.

Demonstrate the required performance according to the test conditions specified in Section 2 of RTCA/DO-227A, Minimum Operational Performance Standards for Non-Rechargeable Lithium Batteries, dated September 21, 2017.

d. Environmental Qualification.

e. Software Qualification.

If the article includes software, develop the software according to RTCA/DO-178C, Software Considerations in Airborne Systems and Equipment Certification, dated December 13, 2011, including referenced supplements as applicable, to at least the development assurance level consistent with the failure condition classification defined in Paragraph 3.b of this CTSO. If RTCA/DO-178B, dated December 1, 1992, is used

as a method of software development compliance, CAAC reserves the right to require applicants to meet additional requirements in addition to RTCA/DO- 178B.

f. Electronic Hardware Qualification.

If the article includes complex custom airborne electronic hardware, develop the component according to RTCA/DO-254, Design Assurance Guidance for Airborne Electronic Hardware, dated April 19, 2000, to at least the design assurance level consistent with the failure condition classification defined in Paragraph 3.b of this CTSO. For custom airborne electronic hardware determined to be simple, Section 1.6 of RTCA/DO-254 applies.

g. Deviations.

For using alternative or equivalent means of compliance to the criteria in the MOPS of this CTSO, the applicant must show that the equipment maintains an equivalent level of safety. Apply for a deviation pursuant to Section 21.368(a) in CCAR-21-R4.

4. Marking.

a. Mark at least one major component permanently and legibly with all of the information in Section 21.423(b) of CCAR-21-R4 and Section 2.1.10 of RTCA/DO-227A, Minimum Operational Performance Standards for Non-Rechargeable Lithium Batteries, dated September 21, 2017.

b. The non-rechargeable lithium cell, battery or end item must be marked in accordance with the following table:

Mark the CTSO as CTSO-C142b-X in accordance with the following table:

Cell, Battery or End Item

Cell

Battery

End Item

<5Wh (End Item)

Cells and batteries must meet at a minimum

UL1642 and UN38.3 certification. (see

note below)

Note: For CTSO-142b-7 approvals, the CTSO marking must be made on the End Item. Any cell or battery within the End Item must be separately marked and identified as a component of the End Item. A clear note must be included in the manufacturer’s documentation that the cell or battery is not to be used in any other End Item unless it is tested separately for that End Item. The End Item is required to meet the requirements of this CTSO, and the configuration control documentation must state that the cell or battery is approved based solely on the fact that it is tested and validated within the approved End Item. Only cells or batteries that are approved under the CTSO-C142b End Item article may be used. Do not

use any other cell or battery without the approval of manufacturer of the article. If a different cell or battery is to be used with this End Item, the manufacturer must submit a new CTSO application (for the End Item) to CAAC.

c. If the article includes software and/or airborne electronic hardware, the article part numbering scheme must identify the software and airborne electronic hardware configuration and can use separate, unique part numbers for software, hardware, and airborne electronic hardware.

d. The applicant may use electronic part marking to identify software or airborne electronic hardware components by embedding the identification within the hardware component itself (using software) rather than marking it on the equipment nameplate. If electronic marking is used, it must be readily accessible without the use of special tools or equipment.

5. Application Data Requirements.

The applicant must give CAAC a statement of conformance, pursuant to Section 21.353(a)(1) in CCAR-21R4 and one copy each of the following technical data to support the design and production approval.

a. Manuals containing the following:

(1) Operating instructions and equipment limitations sufficient to describe the equipment’s operational capability.

(2) Abstracts of test results including approved or unapproved criteria and information to be reported, required by Section 3 of this CTSO.

(3) Detailed description of all deviations.

(4) Installation procedures and limitations sufficient to ensure that the airborne multipurpose electronic display, when installed according to installation or operational procedures, still meets this CTSO’s requirements. Limitations must identify any unique aspects of the installation. The limitations must also include a note with the following statement:

“This article meets the minimum operational performance and quality control standards required by a CTSO. Installation of this article requires separate approval.”

(5) For each unique configuration of software and airborne electronic hardware, reference the following:

(i) Software part number including revision and design assurance level;

(ii) Airborne electronic hardware part number including revision and design assurance level;

(iii) Functional description.

(6) A summary of the test conditions used for environmental qualifications for each component of the article. For example, use the

form as described in RTCA/DO-160G, Environmental Conditions and Test Procedures for Airborne Equipment, Appendix A.

(7) Schematic drawings, wiring diagrams, and any other documentation necessary for installation of non-rechargeable lithium cells and batteries.

(8) By-part-number list of replaceable components that makes up the non-rechargeable lithium cells and batteries. Include vendor part number cross-references, when applicable.

b. Instruction of continued airworthiness, including the requirements for periodic maintenance, calibration and repair of equipment, to ensure that the non-rechargeable lithium cells and batteries continues to meet the CTSO approved design. If applicable, the recommended inspection interval and service life should be included.

c. If the article includes software: a plan for software aspects of certification (PSAC), software configuration index, and software accomplishment summary.

d. If the article includes simple or complex electronic hardware: a plan for hardware aspects of certification (PHAC), hardware verification plan, top-level drawing, and hardware accomplishment summary (or similar document, as applicable).

e. A drawing depicting how the article will be marked with the information required by Section 4 of this CTSO.

f. The quality system description required by Section 21.358 of CCAR-21R4, including functional test specifications. The quality system must ensure that any change to the approved design that could adversely affect compliance with the CTSO MOPS should be detected, and the article be rejected accordingly.

g. A description of the organization including information required by Section 21.355 ofCCAR-21-R4.

h. Material and process specifications list.

i. List of all drawings and processes (including revision level) that define the article’s design.

j. Manufacturer’s CTSO qualification report showing results of testing accomplished according to Paragraph 3.c of this CTSO.

k. A copy of the test results including method, data and report of the test according to Section 3 of this CTSO.

6. Manufacturer Data Requirements.

Besides the data given directly to CAAC, have the following technical data available for review by CAAC:

a. Functional qualification specifications for qualifying each production article to ensure compliance with this CTSO.

b. Article calibration procedures.

c. Schematic drawings.

d. Wiring diagrams.

e. Material and process specifications.

f. The results of the environmental qualification tests conducted according to Paragraph 3.d of this CTSO.

g. If the article includes software, the appropriate documentation defined in RTCA/DO- 178C or RTCA/DO- 178B specified in Paragraph 3.e of this CTSO, including all data supporting the applicable objectives specified by RTCA/DO- 178C or RTCA/DO-178B, Annex A, Process Objectives and Outputs by Software Level.

h. If the article includes complex custom airborne electronic hardware, the appropriate hardware life-cycle data in combination with design assurance level, as defined in RTCA/DO-254, Appendix A, Table A-l. For simple custom airborne electronic hardware, the following data are required: test cases or procedures, test results, test coverage analysis, tool assessment and qualification data, and configuration management records, including problem reports.

7. Furnished Data Requirements.

a. When furnishing one or more articles manufactured under this CTSO to one entity (such as an operator or repair station), provide one copy access to the data in Paragraphs 5.a and 5.b of this CTSO. Add any other data needed for the proper installation, certification, use, or continued airworthiness of the article.

b. If the article contains software, include one copy of the abstract of

the Open Problem Report (OPR) on functional inputs.

8. Availability of Referenced Documents.

Order RTCA documents from

1150 18th Street NW, Suite 910, Washington D.C. 20036 Copies can be ordered online at www.rtca.org.

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Appendix. Minimum Operational Performance Standards for

Non-rechargeable Lithium Cells and Batteries

This appendix specifies modifications made by CAAC to the MOPS of this CTSO that non-rechargeable cells and batteries must meet. The standards are modified as follows:

RTCA/DO-227A Section and Title

Current Wording

Modified Wording

1.4 Specific

Exclusions from This Document

Cells or batteries containing

less than 2 Watt-hours (Wh) of capacity have sufficiently low energy that the possible hazard is considered low and therefore these cells and batteries are

assessed as presenting an

acceptably low risk for

installation as long as they are compliant with the

requirements of UL 1642. If

compliant with UL 1642 and

the UN transport regulations,

no other requirements from this MOPS will apply to cells or

batteries with less than 2 Wh of capacity.

Coin or button cells containing less than 2 Watt-hours (Wh) of capacity have sufficiently low energy that the possible hazard is considered low and therefore these cells and batteries are

no other requirements from this MOPS will apply to coin or

button cells with less than 2 Wh of capacity.

Non-rechargeable cells or batteries

with less than 5

Wh of capacity,

and those that have not been tested

under Sections 1.0 and 2.0 of

RTCA/DO-227A

This CTSO’s requirements can be met via the test of End Items as discussed in Sections 2.2.3

and 2.4.3 of RTCA/DO-227A, Minimum Operational

Performance Standards

(MOPS)for Non-Rechargeable Lithium Batteries, dated

September 21, 2017. Cells or batteries should be marked as required in Paragraph 4.b of this CTSO (CTSO-C142b-7).

Note:

For CTSO-142b-7 approvals,

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the CTSO marking must be

made on the End Items and

cells or batteries. A clear note

must be included in the

manufacturer’s documentation that the cell or battery is not to be used in any other End Item. The End Item is required to

meet the requirements of this

CTSO, and the configuration

control documentation must

state that the cell or battery is

approved based solely on the

fact that it is tested and

validated within the approved End Item. Only cells or

batteries that are approved

under the CTSO-C142b End

Item article may be used. Do

not use any other cell or battery without the approval of the

manufacturer of the article. If a different cell or battery is to be used with this End Item, the

manufacturer must submit a new CTSO application to

CAAC.

The English version is for reference only. In case of any discrepancy or ambiguity of meaning between this English translation and the Chinese version, the latter shall prevail.

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