Regulatory Compliance: Regulatory Compliance: An Introduction to Rules and Regulations and Best EMC Practices Scope and objectives Date – April,

Introduction This presentation is presented by ; Chaman Bhardwaj Sr. Engineer, Global Compliance SHURE ® Incorporated. Dated: April 22, 2009

Rules & regulations There are the following types of Rules & Regulations. Mandatory: Laws imposed by the government are mandatory. For example, FCC-15, FCC-74, and FCC- 90 etc. Recommendatory : Product Safety rules. Contractual Laws: These are agreed upon between the supplier and buyer of products.

Terms and Definitions European Directive  Legal Document adopted by EC (EU Commission) Council of Ministers  Must be adopted into National Law by each EC member state  Does not call out technical standards; refers to private standards- making bodies to draw up product standards European Norm (EN)  Harmonized Standard: Common Standard used for determining conformity – Committee process Committee process – ENs based on existing standards (CISPR, IEC)  Must be adopted into National Standards by each EC Member state CENELEC ( Comite Europeen de Normalisation Electrotechnique)  European Committee for Electrotechnical Standardization: responsible for generating European Norms CE: Communaute Europeenne CISPR: Comite International Special des Perturbations Radioelectriques or in English the International Special Committee on Radio Interference

New approach directives Objective: Elimination of Technical Barriers New Approach calls out Essential Requirements  Technical Details Left to Committees  Harmonization of European Norms (Standards)  CENELEC Conformity to European Norms demonstrates compliance Products meeting essential requirements eligible for CE Marking

Scope of New EMC Directive Directive 2004/108/EC Article 1: 1. This Directive regulates the electromagnetic compatibility of equipment. It aims to ensure the functioning of the internal market by requiring equipment to comply with an adequate level of electromagnetic compatibility. This Directive applies to equipment as defined in Article This Directive shall not apply to: (a) equipment covered by Directive 1999/5/EC;

Article 2 of New Approach EMC Directive Definitions 1. For the purposes of this Directive, the following definitions shall apply: (a) ‘equipment’ means any apparatus or fixed installation; (b) ‘apparatus’ means any finished appliance or combination thereof made commercially available as a single functional unit, intended for the end user and liable to generate electromagnetic disturbance, or the performance of which is liable to be affected by such disturbance; (c) ‘fixed installation’ means a particular combination of several types of apparatus and, where applicable, other

Article 2, Continued… devices, which are assembled, installed and intended to be used permanently at a predefined location; (d) ‘electromagnetic compatibility’ means the ability of equipment to function satisfactorily in its electromagnetic environment without introducing intolerable electromagnetic disturbances to other equipment in that environment; … and so on..

Essential requirements – Article 5 Apparatus  Electromagnetic disturbances generated do not exceed level to interfere with operation of radio, telecommunications or other equipment  Has a level of immunity to electromagnetic disturbances expected in it’s intended environment Fixed installations  Use good engineering practices with a view to meeting apparatus requirements. Document those practices with the documentation on file as long as installation is in operation.

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Flow Chart Notes 1. Equipment without electrical or electronic parts is except 2. Excluded  R&TTE (covered by 1999/5/EC)  Aeronautical parts, products and appliances  Radio equipment used by radio amateurs 3. Equipment covered by other specific community directives  Motor vehicles (2004/104/EC)  Medical devices (various directives)  Marine equipment (6/98/EC)  Agricultural and forestry tractors (75/332/EEC)  Two or three wheeled motor vehicles (97/24/EC)  Measuring instruments (immunity excluded see 2004/22/EC)  Non-automatic weighing instruments (immunity excluded see 90/334/EEC) 4. Inherently benign equipment  Incapable of generating or contributing to emissions  Operate without degradation in the presence of EMI normally present 5. Apparatus or fixed installation classification (to flowchart 4)

CE MARKING There is no such thing as a CE approval or CE certification! CE is not a mark or approval, it’s a marking which is only a self declaration under the supplier’s own responsibility.

CE DIRECTIVES Directives tell us why we must comply (consumer safety / EMC) and what may happen if we ignore laws (withdraw products). It’s the European standards that show us how to comply (design and assessment).

Implementation of CE marking Implementation of the CE Marking:  Must be affixed to: – Product – Packaging – Instructions for use, OR – Guarantee certificate  Can be used with other marks providing they do not reduce the visibility and legibility of the mark  The marking may include: – The identification of a notified body involved in assessment

Europa Web site lex.europa.eu/LexUriServ/LexUriServ.do?uri=OJ:C:2008: 280:0014:0032:EN:PDFhttp://eur- lex.europa.eu/LexUriServ/LexUriServ.do?uri=OJ:C:2008: 280:0014:0032:EN:PDF

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Safety Standards  IEC th edition  IEC 60950: 2000  IEC Standard: Title: Audio, Video and similar Electronic Apparatus, Safety Requirements  IEC Standard: Title: Safety of Information Technology Equipment

Scope of Safety Standards  Scope of IEC International Safety Standard applies to electronic apparatus designed to be fed from MAINS, from a SUPPLY APPARATUS, from Batteries or from REMOTE POWER FEEDING and intended for reception, generation or reproduction respectively of audio, video and associated signals. It also applies to apparatus designed to be used exclusively in combination with above mentioned apparatus. International Safety Standard applies to electronic apparatus designed to be fed from MAINS, from a SUPPLY APPARATUS, from Batteries or from REMOTE POWER FEEDING and intended for reception, generation or reproduction respectively of audio, video and associated signals. It also applies to apparatus designed to be used exclusively in combination with above mentioned apparatus.

 Scope of IEC This standard is applicable to mains-powered ITE, including electrical business equipment and associated equipment, with RATED Voltage not exceeding 600V. This standard is applicable to mains-powered ITE, including electrical business equipment and associated equipment, with RATED Voltage not exceeding 600V. This standard is also applicable to such ITE designed and intended to be connected directly to TELECOMMINICATION NETWORK, regardless of the source of power This standard is also applicable to such ITE designed and intended to be connected directly to TELECOMMINICATION NETWORK, regardless of the source of power It is also applicable to such ITE designed to use the AC mains Supply a telecommunication transmission medium It is also applicable to such ITE designed to use the AC mains Supply a telecommunication transmission medium Scope of Safety Standards

Principles of Safety  Electric Shock  Excessive Temperatures  Radiation (ionization and Lasers)  Implosion (Picture Tubes)  Mechanical hazards  Fire  Chemical hazard

 Energy Efficiency Rules and Regulations –USA California Energy Commission (CEC) regulations for external Power supplies. ENERGY INDEPENDENCE AND SECURITY ACT OF Also called PUBLIC LAW 110–140—DEC. 19, 2007, Effective July 2008 –Europe Code of Conduct (It’s a voluntary standard at this time). It is similar to CEC rules. Directive 2005/32/EC, ECO Design Energy Efficiency and Environmental Regulations

Energy Efficiency Requirements continued.. –Australia & New Zeeland Per Standard AS/NZS :2005 and AS/NZS :2005. These are similar to Tier I requirements of CEC and effective date for these requirements is October 1 st, Tier II has not been on the horizon as of today for this market. –China, Japan and S. Korea watch out for updates

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24 © Copyright 2006 Shure, Inc Global Compliance: Safety and EMC Rules and Regulations

Environmental Regulations  RoHS (Restrictions of Hazardous Substances –USA California Proposition 65 and OSHA RegulationsCalifornia Proposition 65 and OSHA Regulations –Europe Per ROHS and WEEE directivesPer ROHS and WEEE directives RoHS-Directive 2002/95/ECRoHS-Directive 2002/95/EC WEEE-Directive 2002/96/EC for consumer electronics items and there is another directive for consumer batteries, “Directive 2006/66/EC” dated September 6, 2006WEEE-Directive 2002/96/EC for consumer electronics items and there is another directive for consumer batteries, “Directive 2006/66/EC” dated September 6, 2006 –China and other Asian countries Watch out for upcoming news, for China it will be in phases I and II etc.Watch out for upcoming news, for China it will be in phases I and II etc.

EMI and EMC regulations  EMC issues have been around since radio –USA: Communications Act of 1934  Regulation of EMC started after WWII. –Military, aircraft EMC standards –Automotive EMC standards –Medical EMC standards  Personal computers spurred emissions rules starting ~  EMC Directive required commercial immunity regulations by 1996.

EMC Rules and Regulations EMC Directive 89/336/EEC  mandatory 1992 (delayed to 1996)  first standards harmonized 1996 EMC Directive 2004/108EEC  mandatory July 20, 2008 R & TTE Directive 1999/5/EC (radio/telecom)  safety, including RF exposure  EMC  protection of spectrum

Immunity Requirements Standards Electrostatic dischargeIEC RF radiated immunityIEC Fast transient burst (EFT/B)IEC Lightning induced surgeIEC RF conducted immunityIEC Harmonics/ interharmonics*IEC Radiated magnetic immunityIEC Pulsed magnetic immunityIEC Damped oscillatory magnetic IEC Voltage dips/interruptsIEC * a guide, not a standard

EMC Environment Class A Class B non-residential residential industrial residential, commercial, light industrial Emissions increase Immunity disturbances increase

EMC Environment Emissions  radiated  conducted –low-frequency –high-frequencyImmunity  compliance criteria  radiated & conducted phenomena

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32 © Copyright 2006 Shure, Inc Global Compliance: Safety and EMC Rules and Regulations

EMC environment - radiated Important to remember! Interference from unintentional radiators does not usually come from the clock frequency, but from harmonics of the clock frequency.

EMC- Conducted Emissions Low frequency ( kHz) Harmonics flicker high frequency (150 kHz - 30 MHz)

EMC Environment Radiated Intentional radiators  radio/TV stations  remote controls  paging, cell phones  Wi-Fi hotspots Unintentional radiators  digital electronics  microwave ovens  appliances

EMC Environment Radiated Comparison of maximum radiated interference field strength at 10 meters for FCC and CISPR specifications.

AC Power- Conducted Emissions  Considered a threat because power cord can be an effective antenna at low frequencies.  Also, power cord couples radio noise into AC power network.

Immunity  compliance criteria  phenomena

Immunity compliance criteria Performance criterion A - The apparatus shall continue to operate as intended during and after the test. Performance criterion B - The apparatus shall continue to operate as intended after the test. Performance criterion C - Temporary loss of function is allowed, provided the loss of function is self recoverable or can be restored by the operation of the controls.

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The design process Conceptthe idea Target specificationsthe details (include functional and regulatory - EMC) System architecturethe structure and details - EMC Design rulesthe circuit and layout constraints- EMC Initial designbuild it Functional evaluationdoes it work? If not, modify. Regulatory evaluationis it legal? If not modify - EMC Releaseit meets the (modified) specs.

The design process- check Target specificationsthe details (include functional and regulatory - EMC) - Are all the jurisdictions specified? - Have the requirements changed? - Is the environment correct?

The design process System architecturethe structure and details – EMC -How many layers in PCBs? -Are reactive circuits located away from I/O ports? -Are I/O ports isolated/shielded? -Are IC families appropriate for speeds needed? -Will housing provide shielding?

Design for compliance Initial Design must consider the following:  design goals  Components  PCB architecture  PCB layout and I/O  Cables  enclosures and shielding  software/firmware

The design process Design rulesthe circuit and layout constraints –EMC - Are RF signal traces short and/ or embedded? - Are bypass caps located and sized optimally? - Are ground planes low-Z, and earth bypass provided? - Have sensitive designs been modeled? -Consider use of Signal Integrity and Quiet expert, EMC Flo simulation tools

Design for compliance: software and firmware Design for robustness: - checkpoint routines and watchdog timers. - checksums, error detection/correction codes. - “sanity checks” of measured values. - poll status of ports, sensors, actuators. - read/write to digital ports to validate.

The design process To increase the EMC success rate, the design process must have following checks: -Be sure the regulatory specifications are correct and current. -Take into account the impact of equipment architecture on EMC. Assure that purchased modules also comply. - Consider EMC design rules, manual and/or automatic. - Include places for EMC compliance modifications. - Perform pre-compliance testing where possible.

The design process Regulatory evaluationis it legal? If not modify – EMC - Were places provided for optional filtering/bypassing? - Are ferrites cost-effective? - Can spring fingers be added to the enclosure? - Will a shielded cable help? - Board re-spin?

Design for compliance: logic families  EMI increases with power consumption  EMI increases with slew rate/clock speed  EMI increases with ground bounce  EMI increases with output loading  Differential drive can reduce EMI (LVDS)

Design for compliance: PCB architecture  Adjacent ground and power planes act as very good decoupling capacitors.  ground and power planes can shield high-speed or low-level signal traces between.  separate ground and chassis planes can reduce noise.  16-planes (layers) design is common for back planes

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52 © Copyright 2006 Shure, Inc Global Compliance: Safety and EMC Rules and Regulations

Design for compliance: Cables

54 © Copyright 2006 Shure, Inc Global Compliance: Safety and EMC Rules and Regulations

Design for compliance: Shielding

Design for compliance: enclosure openings Radiated Signal

Design for compliance: aperture size and shielding effectiveness

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Test for Compliance  pre-compliance EMI site  pre-compliance tools

To pre-test for RF immunity: use licensed transmitters for radiated fields. use coupling networks and transformers for conducted disturbances. To mitigate RF immunity problems: try ferrites and spring fingers above 50 MHz try filters below 50 MHz, bypassing anywhere. Pre-compliance tools

Pre-compliance EMI sites 1 m site  minimizes factory ambient.  good for small EUT, frequencies > 100 MHz. screened room  inexpensive, OK for regulatory conducted emissions and conducted immunity tests.  can be used for radiated emissions, with precautions.

Pre-compliance EMI site Pre-Compliance test setup: EUT 1 m analyzer floor - not a ground plane

Pre-compliance tools Immunity  disturbance generators (ESD, surge…)  radio transmitters  ferrites  filters and filtered connectors

Pre-compliance tools EMI  cable manipulation –ferrites –filters and filtered connector  EMI probes

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66 © Copyright 2006 Shure, Inc Global Compliance: Safety and EMC Rules and Regulations

CB radio27 MHz Portable phone handset49 MHz /2500 MHz Garage door opener300 MHz Walkie-talkie460 MHz Cell phone, analog/TDMA900 MHz Cell phone, PCS1900 MHz Wireless LAN2450 MHz Pre-compliance testing: radio transmitters

68 © Copyright 2006 Shure, Inc Global Compliance: Safety and EMC Rules and Regulations