INTERNATIONAL
ELECTROTECHNICAL
COMMISSION
Conformity assessment and the IEC
Conformity Assessment Board (CAB)
Jan-Henrik Tiedemann
IEC Community S&S Manager
A
Refrigerators
B
A
B
A
B
$ 500
$ 300
A
B
Refrigerator
performance
standard
IEC 62552-1
$ 500
SDoC
$ 300
SDoC
A
B
Refrigerator
performance
standard
IEC 62552-1
$ 500
Certified
$ 300
Certified
A
B
Refrigerator
performance
standard
IEC 62552-1
$ 500
Certified
$ 400
Certified
1.
What is conformity
assessment?
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Conformity assessment (CA): Basic ideas
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Check to see if product adheres to standard
Any method may be used
Typical CA activities
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Testing
Inspection
Certification (“Here’s proof / assurance”)
Declaration (“My product is conformant”)
Assessment / Accreditation (quality of org.)
CA costs money, but adds value
Major aspect is organizing CA
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Why perform CA? - 1
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Safety: governments want to protect the
population:
 Consumers
 Workers in high-risk areas
Performance: buyers want to ensure quality and
safety
 Interoperability: other manufacturers want to
know that their product will work correctly with
the one being assessed
 Industry wants proof of compliance with IEC
International Standards
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Why perform CA? - 2
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World Trade Organization, WTO
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Regulations should be based on
International Standards & conformity to them
CA procedures should be comparable
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Existing CA results should be accepted
Transparency, predictability, low cost
 Agreement on Technical Barriers to Trade (TBT)
 No privileges for local products
 No privileges for local CA procedures
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Definitions
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Conformity Assessment (CA)
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Checking that a product conforms to a specification
First-party CA
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Carried out by manufacturer, supplier
Second-party CA
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Carried out by customer
Third-party CA
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Carried out by independent organization
Neither of the first two interested parties
Certification
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Third-party, formal CA, producing a certificate
Provides assurance that product is conformant
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2.
The IEC and conformity
assessment
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IEC’s mission & CA
 To achieve its mission, the IEC works
 through its National Committee members,
 through cooperative agreements, and
 directly
 The IEC offers both standards development
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and conformity assessment services
IEC standards are suitable for 1st, 2nd and 3rdparty CA
The IEC CA promotes use by industry and
recognition by regulators of the IEC Conformity
Assessment Systems
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IEC Conformity Assessment Policy
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IEC CA serves the needs of international trade
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Transparency and neutrality
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Seek to provide services with respect to first and second party CA
Conformity Assessment Board (CAB)
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Work with ISO/CASCO and develop joint ISO/IEC standards for CA
Promote the value of peer assessment
Work with other international CA bodies
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Industry participation at all levels, including management bodies
Standards are written to facilitate first, second and third party CA
CA services are available to all stakeholders
Participation in Systems open to both IEC member NCs & non-IECmember countries
Oversight of IEC third-party CA Systems
Representative of the whole IEC community
International Accreditation Forum (IAF)
International Laboratory Accreditation Cooperation (ILAC)
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Goals of IEC CA
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One test, one certification, one mark (where relevant)
Remove delays and costs of multiple testing and
approval
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Help industry to open up new markets
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Industry can get its products to market more quickly and with
less expense
Reduce trade barriers caused by different certification criteria
in various countries
Help to ensure a fair global trading system in accordance with
WTO rules on Technical Barriers to Trade (TBT)
Provide a “standardized” approach to testing and
certification
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IEC organizational structure
IEC COUNCIL
National Committees
Central Office
(The Executive)
EXECUTIVE COMMITTEE
(IEC Officers)
Management
Advisory
Committees
COUNCIL BOARD
MARKET
STRATEGY
BOARD
STANDARDIZATION MGMT
BOARD
Management of International
Consensus Standards Work
CONFORMITY ASSESSMENT
BOARD
Management of CA policy and Systems
Technical Committees
Policy, strategy, Working Groups
Advisory Committees
IECEE
Strategic Groups
IECEx
IECQ
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IEC CA structure
• Policy
CONFORMITY
ASSESSMENT
BOARD
IEC Conformity
Assessment
Systems
Working groups
• Strategy
• Projects
IECEE
IECEx
IECQ
System for conformity
testing and
certification of
electrotechnical
equipment and
components
System for
certification to
standards for
electrical equipment
for explosive
atmospheres
Approval and
certification
system for electronic
components
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The CAB’s responsibilities
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CA Policy
CA decision-making body
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Same level as SMB
Reports to Council Board (CB)
Responsible for all Systems
Approves their Rules, accounts, budgets
Organizes “CABPUBs”, draft ISO/IEC
international standards on CA (ISO/CASCO)
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3.
The three IEC Systems
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IEC Systems overview
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Neither IEC nor the Systems carry out testing or issue
certificates
Testing is carried out by testing laboratories accepted
by the Systems
Certificates are issued by certification body members
of the Systems
The Systems provide an ordered framework in which
certification bodies and testing laboratories operate
Acceptance into the Systems of certification bodies
and testing laboratories is by peer assessment
IEC exercises oversight of the operations of the
Systems
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The Systems are
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Product-based, not system-based, although IECQ has a
system component
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Users of IEC international standards but structured to
accommodate national differences
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Membership organizations
Governed by the members
Self financing
Managed by IEC staff
Overseen by the IEC Conformity Assessment Board
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Principles
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Openness
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All may use the Systems (like IEC Standards)
All who undertake to follow rules may become
members
Transparent, democratic
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All decisions are taken by members
All rules are written down, approved & published
Mutual recognition
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Also called “reciprocal acceptance”
Peer assessment
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The IECEE: What it is
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System for conformity testing and
certification of electrotechnical equipment
and components
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The IECEE: What it covers
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IT and office equipment
Electronics, entertainment
Electrical equipment for
medical use
Installation accessories and
connection devices
Safety transformers and
similar equipment
Lighting
Switches for appliances and
automatic controls for
electrical household
appliances
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Portable tools
Photovoltaics
Household and similar
equipment
Measuring instruments
Low voltage, high power
switching equipment
Installation protective
equipment
Capacitors as components
Batteries
Cables and Cords
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IECEx: What it is
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Worldwide system for certification to standards
relating to equipment for use in explosive
atmospheres
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IECEx: What it covers
 Ex equipment: almost any electrical device
 Services: repair & maintenance
 Competence of personnel
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Petrol stations
Oil refineries & rigs
Chemical processing
plants
Printing/textile industries
Hospital operating theatres
Aircraft refuelling and
hangars
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Surface coating industries
Coal mines
Sewerage treatment plants
Gas pipelines
Grain handling and storage
Woodworking areas
Sugar refineries
Metal surface grinding
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4.
Standards on how to do
conformity assessment
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The ISO Committee on CA: ISO/CASCO
 International Standards on how to do CA
 Called the “CASCO Toolbox of ISO/IEC Standards”
 Always published as dual-number ISO/IEC standards
 IEC collaborates in a major way
 IEC CAB on policy matters and advisory groups
 Many IEC experts, especially from the IEC CA
Systems, in Working Groups drafting standards
 All standards are voted on by IEC National
Committees as well as ISO Member Bodies
 Identified as “CABPUB” documents on IEC system
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5.
Relationship between
standards and CA
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Relationship between standards and CA
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A good standard is a checkable standard
Distinguish:
1. Standards for objects of CA, from
2. Standards for how to carry out CA
Separate type 1. from type 2. standards
Separate Product/process/service standards
from Mgmt. system standards
ISO/IEC Dir., Part 2, 6.7
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Relationship of TCs to CA
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Good practice in standards-writing
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Performance approach
Testable specifications
Reproducible tests
ISO/IEC Directives Part 2
Distinguish responsibilities
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TCs: write standards
Neutral with respect to 1st, 2nd or 3rd-party
CA: uses standards, does not write them
Information exchange (experts, cttees)
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INTERNATIONAL
ELECTROTECHNICAL
COMMISSION