By Pierre de Ruvo
Chief Operating Officer IECEE
IEC SYSTEM OF CONFORMITY ASSESSMENT
SCHEMES FOR ELECTROTECHNICAL
EQUIPMENT AND COMPONENTS
Discussion
• Back Ground: What was first envisaged
•
•
•
The Standard(s)
Extract from the business plan
Reasoning for Change:
• Change in Landscape
•
Example of Industrial Automation
• Summary
• Future Scope extension
•
Inclusion of New Certification Products
• Functional Safety
• Industrial Automation Security
2/39
IEC TC 65 Advisory- 22-23-24 May 2013-Beijing
Back Ground: The Standard
•
•
•
•
3/39
Originally only one Standard was proposed: IEC 61131 for PLC’s
some 3 years ago.
The work of TC 65 and expertise in IEC 61131could be drawn upon to
complement the Certification expertise of the IEC EE System.
The work of TC65 and TC 66 was requested by China to be
Harmonized. This was the main initiative driving the Standards work.
The Big Industrial Automation Manufacturers wanted a new Category
to go forward.
•
Rockwell Automation
•
Siemens
•
Groupe Schneider
•
Mitsubishi
•
Omron
•
Eaton
•
ABB
IEC TC 65 Advisory- 22-23-24 May 2013-Beijing
3
Extract from the Business plan
•
Business/Project Overview
•
The intent and focus for this category for certification is to gather under
one umbrella those IEC standards that bear directly on products used in the
industrial automation arena. This should allow and encourage a consistent
view, understanding and training of and for persons and agencies certifying
products for use in this space.
•
The background of TC 65’s focus is on the control equipment standards
impinging on industrial equipment.
•
This plan is show how industry can benefit from certifying industrial
control equipment, within this category. As such, the idea is that there will be
expertise or the potential to develop expertise in that area of application.
•
This, it is felt can be vital in proper interpretation of, testing and
qualification to the standards. This is as opposed to a situation where a
category houses multiple different kinds of application disciplines, e.g.
commercial, household, industrial, so no clear focus or understanding of
any particular application space is gained.
•
Hence, their interpretation of any particular standard, testing and
qualification to the standard may be erratic, unpredictable or unexpected.
4/39
IEC TC 65 Advisory- 22-23-24 May 2013-Beijing
The Industrial Automation Land scape has changed
• The landscape of industrial automation has changed considerably over the last 3 years:
–
Interconnectedness of industrial products
• TC65 products are used together with other industrial products from,
example; TC17, TC22
• TC65 products are used in systems, example; TC44
–
This points to the need for closer relationship to other industrial safety standards provided
by the other industrial TC’s
–
It also points to higher need to coordinate standards within TC65
–
TC65 organization already provides all the other requirements for it’s products: functionality,
networking, software, security, functional safety, EMC and in some cases physical safety
62477
60947
TC17
TC22
61800
TC65
60204
62368
TC108
TC44
61131
5/39
IEC TC 65 Advisory- 22-23-24 May 2013-Beijing
60950
Typical industrial plant situation
Servers, PC, Supply Chain
Mgmnt SW, MES
PLC/EOI
Multiple HumanMachine Interface,
PC, DCS, PLC
PC, Mat’l Tracking SW
Custom Batch
Control, DCS, PLC
Safety
PC, Mat’l Tracking SW
Multiple products types
High level of interconnectivity
Products spanning multiple TC’s
6/39
PLC, Motion Controller, HMI/EOI
IEC TC 65 Advisory- 22-23-24 May 2013-Beijing
66
Summary
• The Market is requiring a closer coordination between industrial
product IEC TC’s
• Interconnectedness of industrial products
– TC65 products are used together with products from TC17,
TC22, etc.
– TC66 products Standards compliment TC65 activity
• Relationship to other industrial safety standards
• Utilize IECEE CB-scheme to focus agencies on industrial
environment
• Agencies utilizing the standard will have clear focus to the
industrial environment
• Governments are requiring more rigor in Industrial Automation (eg
Security)
7/39
IEC TC 65 Advisory- 22-23-24 May 2013-Beijing
7
Scope Extension: The Business Plan of
2013 suggested these Standards be the
Starting Point of the Scheme
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
IECEE CB Scheme “Industrial Automation” category IEC standards:
IEC 60034: Rotating electrical machines
IEC 60439: Low-voltage switchgear and controlgear assemblies - all parts
IEC 60947: Low-voltage switchgear and controlgear – all parts
IEC 61010: Safety requirements for electrical equipment for measurement, control, and laboratory
use – Part 1 only
IEC 61010-2-201: Safety requirements for electrical equipment for measurement, control, and
laboratory use – Part 2-201: Control Equipment
IEC 61131: Programmable controllers – all parts
IEC 61204: Low-voltage power supply devices, d.c. output – all parts
IEC 61496: Safety of machinery - Electro-sensitive protective equipment – all parts
IEC 61800: Adjustable speed electrical power drive systems – all parts
IEC 62026: Low-voltage switchgear and controlgear - Controller-device interfaces (CDIs) – all
parts
IEC 62046: Safety of machinery - Application of protective equipment to detect the presence of
persons – all parts
IEC 62061: Safety of machinery - Functional safety of safety-related electrical, electronic and
programmable electronic control systems – all parts
IEC 60204: Safety of machinery - Electrical equipment of machines – all parts
IEC 62477: Safety requirements for power semiconductor converter systems – all parts
8/39
IEC TC 65 Advisory- 22-23-24 May 2013-Beijing
Scope Extension: More Standards
•
The Standard: TC66 had a Standard IEC 61010 that TC 65
felt would suit the Market Place more adequately and with
the view of migrating IEC 61131 to this new Standard.

•
Industrial Equipment:
o IEC 61010-2-201: Control systems: examples, PLC, DCS, PAC
IEC 61010-2-20a: Stand alone power supplies
IEC 61010-2-20b: Actuators where movement is contained: examples, rotational, linear valves
IEC 61010-2-20c: Actuators where movement is not contained: examples, rotational, linear slides,
tables
IEC 61010-2-20d: Human machine interface
•
Inclusion of other Automation Standards:
• Functional Safety
IEC 61508: Generic Electrical Control Systems
IEC 62061: Machinery Electrical Control Systems
IEC 61511: Process Electrical Control Systems
• Industrial Automation Security
IEC TC 65 WG 10 is working on a set of Standards
9/39
IEC TC 65 Advisory- 22-23-24 May 2013-Beijing
Scope Extension: IEC 61010
• The Standard:
 Industrial Equipment:
IEC 61010-2-201: Control systems: examples, PLC, DCS,
PAC
IEC 61010-2-20a: Stand alone power supplies
IEC 61010-2-20b: Actuators where movement is contained:
examples, rotational, linear valves
IEC 61010-2-20c: Actuators where movement is not
contained: examples, rotational, linear slides, tables
IEC 61010-2-20d: Human machine interface
10/39
IEC TC 65 Advisory- 22-23-24 May 2013-Beijing
Combining TC66 and TC65 Effort
and Expertise
• Provide one standard to the market IEC 61010
• A joint working group of TC65/TC66 will handle the
work
• Advantages:
o
o
o
o
o
o
11/39
Single standard in market
Leverage recognition of IEC 61010 for new work
Utilize expertise of the two TC’s effectively
Provide clean lines of TC’s impact
Place work where expertise can/will support it
Provide more support for the work now and in the future, i.e.
two TC’s will perform work on IEC 61010.
IEC TC 65 Advisory- 22-23-24 May 2013-Beijing
11
Areas Handled by TC 66/65 : WG 13
IEC involvement in IEC 61010
4-050
Communications
4-090
Vision/Barcode
Systems
4-030
Ind Pwr
Supplies
4-070
Actuators where
movement is not
contained
2-010:
Heating
of
materials
4-060
Actuators
where
movement
is contained
4-040
Electromagnetic
valves
4-110
Human
machine
interface
TC65 would add industrial expertise and focus in that area.
TC65 would support new work, changes, etc in this area.
TC65/WG13 would support this work
Add requirements for interconnectedness to equipment in other
industrial standards
12/39
IEC TC 65 Advisory- 22-23-24 May 2013-Beijing
IEC 61010 Generic
4-080
RFID
2-031:
Hand- Held
Probe
Assemblies




2-020:
Centrifuges
2-081:
Analysis
4-020
Control
systems
2-032: HandHeld and HandManipulated
Current Sensors
2-051:
Mixing
and
stirring
2-061: Atomic
spectrometers
with thermal
atomization
and ionization
2-040:
Sterilizers
and washer –
disinfectors
2-101: In Vitro
Diagnostic
(IVD)
12
Additional Standards
Inclusion of Automation System
Functional Safety Standards:
• Functional Safety Standards
IEC 61508: Generic Electrical Control Systems
IEC 62061: Machinery Electrical Control Systems
IEC 61511: Process Electrical Control Systems
ISO 13849 part 1
13/39
IEC TC 65 Advisory- 22-23-24 May 2013-Beijing
Who is requiring Functional Safety
• Regulations
•
Some regulatory bodies, such as OSHA, EU, require
or encourage functional safety evaluation
• Customer Requirements
•
Customers are demanding a functional
safety evaluation before purchasing
equipment
• Insurance companies
•
14/39
Insurers are starting to require a functional safety
evaluation before equipment is installed in the
workplace, or may provide discounted premiums for
using products evaluated for functional safety
IEC TC 65 Advisory- 22-23-24 May 2013-Beijing
Functional Safety
• Functional safety is part of the overall safety that depends on a
system or equipment operating correctly in response to its
inputs.
• Neither safety nor functional safety can be determined without
considering the system as a whole and the environment with
which they interact.
• There are a number of Certifying Agencies in the market place.
• The issue: Not all certificates are equal although they are
evaluated against the current Standards.
• A unified certification process is required for products and
personnel.

15/39
This would be similar to IECEX system requirements today
IEC TC 65 Advisory- 22-23-24 May 2013-Beijing
Future Standards
Inclusion of Automation System
Security Standards:
• Industrial Automation Security
IEC TC 65 WG 10 is working on a set of
*Standards
*These have not been released at this time, work
continues on these new standards.
16/39
IEC TC 65 Advisory- 22-23-24 May 2013-Beijing
Plant Wide Security
 The Preference is for an IEC globally accepted conformity
assessment program
 Industry Preference is for First Party Product Certification ?
 Self declared SAL levels based on standard specification
 Industry Preference is for 3rd Party Personnel Certification ?
 Automation Systems implemented reliably with skilled
resources
 Industry would entertain 3rd party security process evaluation
if market demands ?
 This is alternative to product certification to assure
customer that security aspects have been considered in
all stages of the product life cycle
17/39
IEC TC 65 Advisory- 22-23-24 May 2013-Beijing
Security Regulations
 Currently no known national or regional regulations exist
 Many countries/regions including the US are focusing
regulators on cyber security with a secondary objective
including critical infrastructure e.g. manufacturing plants
 There is a SMALL window of opportunity to establish these
IEC industry voluntary standards with associated conformity
assessment activities that are acceptable to regulators before
the regulators take the lead and prescribe their solutions.
 The EU has a CEN-CENELEC/BT/WG titled 'Strategic
Advisory Group on Cyber Security (STACS). Which includes
both IT and automation aspects
18/39
IEC TC 65 Advisory- 22-23-24 May 2013-Beijing
Scope of IECSecure
Supplier Practices
Product Development Life Cycle
(Design for Security)
User Practices
Integration/Deployment, Operations,
Life Cycle Management
(Manage for Security)
Devices and Systems
Conform to IECSecure Requirements
(products constructed to prescribed
characteristics and behaviors)
Near-term
Near Term Focus
Timeline
19/39
IEC TC 65 Advisory- 22-23-24 May 2013-Beijing
Long-term
IECSecure Benefits to Users
For users, a well designed and managed product
security certification process results in reduced
costs and time commitment in product selection
and deployment. Key benefits include:
– Certification saves time and costs for validation and
verification of security capabilities.
– Certification provides assurances that products are more
secure ‘out of the box’, leading to improved process
reliability and safety.
– The security certification stamp provides instant
recognition of product characteristics and capabilities.
– Asset owners are able to specify and successfully procure
compliant products that interoperate securely.
20/39
IEC TC 65 Advisory- 22-23-24 May 2013-Beijing
IECSecure Benefits to Users
For suppliers and integrators, the security
certification process provides a single
compliance framework and an industry stamp of
approval. Key benefits include:
– Suppliers are able to make and substantiate clear claims
of compliance to a consensus open, industry security
specification.
– Certification responds to a common need for a shared
security vision to be executed by suppliers, users, and
consultants. This helps suppliers build what users want.
– The program addresses the security characteristics of the
product that allow it to be integrated into a larger system.
21/39
IEC TC 65 Advisory- 22-23-24 May 2013-Beijing
The CB Scheme
In recognition of the need to facilitate international trade in
electrotechnical equipment, and components primarily
intended for use in homes, offices, workshops healthcare facilities
and similar locations, for benefit of consumers, industries,
authorities etc, and to provide convenience for
manufacturers and other users of the services provided by various
National Certification Bodies (NCBs), an international Scheme is
operated by the IECEE (IEC System for Conformity Testing and
Certification of Electrotechnical Equipment and Components),
known as the CB Scheme.
IEC TC 65 Advisory- 22-23-24 May 2013-Beijing
IECEE facilitates international trade
The IECEE System is intended to reduce
obstacles to international trade which arise
from having to meet different regulations,
national certification or approval criteria.
23/39
IEC TC 65 Advisory- 22-23-24 May 2013-Beijing
IECEE facilitates international trade
What is conformity assessment?
Conformity assessment is the process used to show that a
product, service or system meets specified requirements.
Showing that a product, service or system meets certain
requirements has a number of benefits:
 It provides consumers with added confidence.
 It gives the company a competitive edge.
 It helps regulators ensure that health,
environmental conditions are met.
safety
or
The principal forms of conformity assessment are testing and
certification
24/39
IEC TC 65 Advisory- 22-23-24 May 2013-Beijing
IECEE facilitates international trade
Certification
Certification is the provision by an independent
body of written assurance (a certificate) that the
product, service or system in question meets
specific requirements. Certification is also known as
third party conformity assessment.
Testing
Testing is the determination of one or more of an
object or product’s characteristics and is usually
performed by a laboratory.
25/39
IEC TC 65 Advisory- 22-23-24 May 2013-Beijing
National differences
Where national standards are not yet
completely based on IEC standards,
declared national differences are taken
into account.
However, successful operation of the
Scheme presupposes that national
standards are reasonably harmonized
with the corresponding IEC standards.
26/39
IEC TC 65 Advisory- 22-23-24 May 2013-Beijing
IECEE CB-scheme
•The CB-scheme was created to facilitate Global
Trade through the use of IEC Standards
•Globalization of standards certification
•Allows for acceptance of certifications executed in
one country, by another CB-scheme country
•De facto accepted in the Global Market by
Regulators, Retailers, Buyers, Vendors
•Creating an “Industrial Automation” category - INDAT
•Leverage CB-scheme to organize standards
27/39
IEC TC 65 Advisory- 22-23-24 May 2013-Beijing
IECEE CB Scheme (& FCS) in action
Conformity
Certification body A
Assessment
Typetest
test
Type
Certificate
program
program
Test
Report
Conformity
Assessment
National
National
Report
differences
differences
Factory
applicable)
(if(if
applicable)
Factory
Inspection
Audit Report
National
differences
issuing
Analyzing…
Laboratory
National
differences
(if applicable)
Testing…
(if applicable)
Application
documents
Applicant
Conformity
Assessment
Factory
Certificate
Audit Report
Conformity
Assessment
Report
Auditing…
Factory
Audit Report
National
differences
(if applicable)
Regulators
Retailers/vendors
buyers
15 working days
Certification body B1
recognizing
28/39
Factory
Certification body B2
Certification body B3
Market
IEC TC 65 Advisory- 22-23-24 May 2013-Beijing
Manufacturer’s Testing Laboratories
IECEE
CB
certificate
+
Certification body
IECEE
test
report
Testing laboratory
Manufacturer’s testing laboratory
29/39
IEC TC 65 Advisory- 22-23-24 May 2013-Beijing
The CB Scheme (& CB-FCS) Processes
CB-FCS
Sample
request
CB requests sample(s) and sets the
testing programme
Testing
CBTL’s staff performs the measuring
and testing programme
Inspection
CB’s staff performs the factory
inspection
Evaluation
CB’s staff evaluates the test report
Decision
License
30/39
CB’s officer takes the certification
decision
CB issues the CB test certificate
and test report
IEC TC 65 Advisory- 22-23-24 May 2013-Beijing
Acceptance procedure of TLs and CBs
Application for candidate CBs and TLs
Appointment of assessment team
On-site assessment-ISO/IEC 17025 & 17065
Assessment report & non-conformities
Proposed corrective actions & clearance
Assessment report & non-conformities
Acceptance and registration
Re-assessment cycle every 3 years
31/39
IEC TC 65 Advisory- 22-23-24 May 2013-Beijing
Safety – Functional Safety - Security
Safety
32/39
Functional Safety
IEC TC 65 Advisory- 22-23-24 May 2013-Beijing
Security





33/39
IECEE DNA
Compliance with IEC statutes + rules
One single set of rules and operational
procedures for TLs + CBs
ALL TLs and CBs undergo the same
qualification process to join IECEE –
peer assessment
Common test report and certificate
format used by ALL TLs and CBs but
always maintaining CB brand
Participation of manufacturer’s testing
laboratories
IEC TC 65 Advisory- 22-23-24 May 2013-Beijing
Key demand drivers for IECEE – the “why”
•
•
•
•
•
34/39
Removal of costly duplication of testing/cert at
local level + delays to accessing new products
Confidence among industry, regulators +
stakeholders – high capital cost
Trust among bodies (labs + certifiers), a “standard
way of doing testing + certification”
Portability of assessment results + certificates
Instant access to information, including “on-line”
certificates – instant checking.
IEC TC 65 Advisory- 22-23-24 May 2013-Beijing
IECEE value proposition
Benefits to industry
•One stop service
•Cost savings
•Savings in resources
•Consistency in supplier assessments
•Confidence in supply chain
•“On-line” certificates
35/39
IEC TC 65 Advisory- 22-23-24 May 2013-Beijing
Governments concern
IMPORTING
Governments want to make sure that
imported electrical goods are safe and
operate efficiently
EXPORTING
Governments interest is to help the
National Industry to be able to export
their electrotechnical goods in the
global market
36/39
IEC TC 65 Advisory- 22-23-24 May 2013-Beijing
Conclusion
•
•
•
•
•
•
37/39
One International Standard, one test and one
international certificate
One stop service
Reduces delays and costs of multiple testing and
approval
Participation of manufacturer’s testing
laboratories
The IECEE System facilitates global trade.
Provides transparency to the public through the
on-line database.
IEC TC 65 Advisory- 22-23-24 May 2013-Beijing
CBTC online data base
38/39
IEC TC 65 Advisory- 22-23-24 May 2013-Beijing
By Pierre de Ruvo
Chief Operating Officer IECEE
IEC SYSTEM OF CONFORMITY ASSESSMENT
SCHEMES FOR ELECTROTECHNICAL
EQUIPMENT AND COMPONENTS