ITU Deliverables and Guidelines on C&I ITU-UNIDO Forum on Sustainable Conformity Assessment for Asia-Pacific Region (Yangon City, Republic of Union of Myanmar 25-27 November 2013) ITU Deliverables and Guidelines on C&I http://www.itu.int/en/ITU-D/Technology/Pages/ConformanceandInteroperability.aspx Riccardo Passerini Head Telecommunication Technologies and Network Development, ITU-BDT riccardo.passerini@itu.int

Guidelines on C&I C&I Regimes: Conformity Assessment of ICT equipment C&I Regimes: - Regulatory Framework - ICT Standards and test suites - Type Approval, Certification and Self-declaration processes Regulatory Authority; Accreditation Bodies; Certification Bodies and Laboratories - Institutions - Flowchart MRA Principles: -Efficiency and Effectiveness -Partnership and collaboration -Mutual Benefit -Regional Development Guidance on: - Development - Implementation - Management Assessment Study Conformity Testing ITU Assistance Establishing Test Labs in Different Regions Feasibility Study

C&I Guidelines Guidelines for developing countries on Establishing Conformity assessment Test Labs in Different Regions (2012) Feasibility Study for the establishment of a Conformance Testing Centre (2013) Guidelines for the development, implementation and management of mutual recognition arrangements/agreements (MRAs) on conformity assessment (2013) Assessment Study and Guidelines on establishing C&I Regimes in Developing Countries (2013). * Complete Guidelines in 2014

1. Guidelines for developing countries on Establishing Conformity assessment Test Labs in Different Regions Guideline here

1. Guidelines for Establishing Test Labs in different Regions These guidelines presents the many elements necessary for the establishment of robust verification system. They address technical and regulatory aspects as well as the need of capacity building related to the whole conformity assessment process. Process required for building testing labs Best international practices Status in the regions and needs Funding and Training Sources Criteria to establish Accreditation Bodies and Test Labs (International Telecommunications Testing Centres -ITTCs) Economics and Cost Implications for ITTCs Roadmap for ITTC rollout .- Guidelines for developing countries on Establishing Conformity assessment Test Labs in Different Regions (2012). These guidelines include: the process required for building testing labs; a site analysis (e.g. existing testing labs, knowhow); collaboration mechanisms; best practices; reference standards and ITU Recommendations.

Guidelines for Establishing Test Labs in different Regions (cont.) Needs in Developing Countries for Test Labs Conformity Assessment Bodies activities contribute to create an orderly telecom apparatus marketplace Once standards and test suites are in place, test labs can check equipment for compliance Sharing test labs resources amongst countries and regions and must have sufficient scope to address regional priorities lowering overall costs A robust framework (following international procedures) is needed for trust and confidence in test results and among test labs

Guidelines for Establishing Test Labs in different Regions (cont.) Recommendations Members to: advise the ITU of interoperability problems establish market access requirements (regulators) assess legislation and regulations prioritize areas of concern related to telecommunication products and systems Establishment of Accreditation bodies and approach to at least regional MRAs and MLAs Establishment of Test Centres on a regional basis, wide areas and possibly common infrastructures

Guidelines for Establishing Test Labs in different Regions (cont.) Funding and Training Sources UNIDO, major Banks in each region, specialized funding agencies for telecoms projects and others Requirements to access funds vary from low interest loans, to grants, seed funding and cost underwriting Repository of international telecom training organizations Costs of training may vary from just travel to and from location, to government and supplier subsidized training, to private for-profit training.

2. Feasibility Study for building a Conformance Testing Centre (under publication)   Terms of Reference here

Feasibility Study for building a Conformance Testing Centre The feasibility study describes environments, procedures and methodologies to establish, manage and maintain a testing centre covering different kinds of conformance and interoperability testing areas Different Type Approval Testing domains are considered (e.g. electromagnetic compatibility, safety, fixed and mobile networks, broadcast)

Feasibility Study for building a Conformance Testing Centre (cont.) The feasibility study addresses: Resource management and organization Vendor management Test list cycle and management Investment and cost estimation Test campaign management Test Plant and laboratory management Instrumentation maintenance and management Quality Aspects (ISO/IEC 17025) Investment costs estimation - Feasibility Study for the establishment of a conformity Testing Centre (2013). This feasibility study describes environments, procedures and methodologies to be adopted to establish, manage and maintain a testing center covering different kind of conformity and interoperability testing areas. Different Type Approval Testing domains (e.g. electromagnetics, safety, fixed and mobile networks, broadcast) will be considered. The feasibility study will address all necessary aspects: i) Implementation; ii) Functional Model of Type Approval Institution; iii) Sustainability of operations; iv) Pricing policies; v) Proposal of the Organization Scheme; vi) Technical requirements for Type Approval Laboratories; vii) Staff requirements; viii) Project Implementation Recommendations; and ix) Investment costs estimation (summary).

2. Feasibility Study Steps to an ISO 17025 Compliant Test Lab ISO 17025 establishes a set of management requirements and systems Lab requirements, test methods and procedures, audits, equipment handling, technical competence Document control, calibration records and staff records Handling of test reports and calibration certificates Service to customers and handling of complaints

Feasibility Study for building a Conformance Testing Centre (cont.) Typical Organization Chart of a Testing Lab:

Feasibility Study for building a Conformance Testing Centre (cont.) Testing laboratory infrastructures: Area of competence Specific Absorption Rate lab User experience lab Broadband access lab Mobile value added services lab Electrical safety & protection lab Electroacoustic lab Electromagnetic compatibility lab Radio & Signalling lab Powering efficiency lab Quality of material lab Personal area network lab Fixed Test plant Mobile Test plant - Feasibility Study for the establishment of a conformity Testing Centre (2013). This feasibility study describes environments, procedures and methodologies to be adopted to establish, manage and maintain a testing center covering different kind of conformity and interoperability testing areas. Different Type Approval Testing domains (e.g. electromagnetics, safety, fixed and mobile networks, broadcast) will be considered. The feasibility study will address all necessary aspects: i) Implementation; ii) Functional Model of Type Approval Institution; iii) Sustainability of operations; iv) Pricing policies; v) Proposal of the Organization Scheme; vi) Technical requirements for Type Approval Laboratories; vii) Staff requirements; viii) Project Implementation Recommendations; and ix) Investment costs estimation (summary).

Feasibility Study for building a Conformance Testing Centre (cont.) Overview 1 Broadband access laboratory (BBA): The scope of the broadband access laboratory is to evaluate all different equipment and functionalities used in next generation access networks, ranging from the physical layer to networking aspects In particular xDSL transmission performances and optical parameters are tested for copper and fiber solution in relation to the different architectural choices (FTTx) - Feasibility Study for the establishment of a conformity Testing Centre (2013). This feasibility study describes environments, procedures and methodologies to be adopted to establish, manage and maintain a testing center covering different kind of conformity and interoperability testing areas. Different Type Approval Testing domains (e.g. electromagnetics, safety, fixed and mobile networks, broadcast) will be considered. The feasibility study will address all necessary aspects: i) Implementation; ii) Functional Model of Type Approval Institution; iii) Sustainability of operations; iv) Pricing policies; v) Proposal of the Organization Scheme; vi) Technical requirements for Type Approval Laboratories; vii) Staff requirements; viii) Project Implementation Recommendations; and ix) Investment costs estimation (summary).

Overview 2 EMC: Typical set-up for table top equipment for radiated immunity tests - Feasibility Study for the establishment of a conformity Testing Centre (2013). This feasibility study describes environments, procedures and methodologies to be adopted to establish, manage and maintain a testing center covering different kind of conformity and interoperability testing areas. Different Type Approval Testing domains (e.g. electromagnetics, safety, fixed and mobile networks, broadcast) will be considered. The feasibility study will address all necessary aspects: i) Implementation; ii) Functional Model of Type Approval Institution; iii) Sustainability of operations; iv) Pricing policies; v) Proposal of the Organization Scheme; vi) Technical requirements for Type Approval Laboratories; vii) Staff requirements; viii) Project Implementation Recommendations; and ix) Investment costs estimation (summary).

3. Guidelines for the development, implementation and management of Mutual Recognition Arrangements/Agreements (MRAs) on conformity assessment of telecommunications equipment Guidelines here

3. Guidelines for MRAs These guidelines aim at promoting the understanding, establishment and maintenance of Mutual Recognition Agreements/Arrangements (MRA), as efficient tools to promote regional development Through the share and efficient use of conformity and Interoperability (C&I) infrastructures – as laboratories, accreditation bodies and regulatory practices – technical requirements can be harmonized and the transit of ICT goods and services can be facilitated, increasing trade and regional development .- Guidelines for developing countries on Establishing Conformity assessment Test Labs in Different Regions (2012). These guidelines include: the process required for building - Guidelines for the development, implementation and management of mutual recognition arrangements/agreements (MRAs) on conformity assessment (2013). These guidelines aim at promoting the understanding and establishment of MRA, known as efficient tools to promote regional integration. Through the share and efficient use of Conformance and Interoperability (C&I) infrastructures – as laboratories, accreditation bodies and regulatory practices – technical requirements can be harmonized and the transit of ICT goods and services can be facilitated, increasing trade and regional development. The terms of reference are available on line.

Guidelines for MRAs (cont.) Topics: Benefits Types of MRA Attributes Development Implementation Management Consultation and Training Stakeholders Procedures for contesting the competence of conformity assessment bodies A typical MRA operation Recommendation .- Guidelines for developing countries on Establishing Conformity assessment Test Labs in Different Regions (2012). These guidelines include: the process required for building - Guidelines for the development, implementation and management of mutual recognition arrangements/agreements (MRAs) on conformity assessment (2013). These guidelines aim at promoting the understanding and establishment of MRA, known as efficient tools to promote regional integration. Through the share and efficient use of Conformance and Interoperability (C&I) infrastructures – as laboratories, accreditation bodies and regulatory practices – technical requirements can be harmonized and the transit of ICT goods and services can be facilitated, increasing trade and regional development. The terms of reference are available on line.

Guidelines for MRAs (cont.) Agreement x Arrangement A Mutual Recognition Agreement is a formal legal commitment between parties for recognition of conformity assessment results for telecommunication equipment. It deals with regulatory requirements and it is referred to in the text as “regulatory MRA”. Often such agreements are made bilaterally, regionally or multilaterally between two or more governments. A Mutual Recognition Arrangement is a voluntary arrangement between parties for recognition of conformity assessment results for telecommunication equipment. It deals with nonregulatory requirements and it is referred to in the text as “non-regulatory MRA”. An example of a mutual recognition arrangement is amongst accreditation bodies to mutually recognize the conformity assessment results from accredited conformity assessment bodies. .- Guidelines for developing countries on Establishing Conformity assessment Test Labs in Different Regions (2012). These guidelines include: the process required for building - Guidelines for the development, implementation and management of mutual recognition arrangements/agreements (MRAs) on conformity assessment (2013). These guidelines aim at promoting the understanding and establishment of MRA, known as efficient tools to promote regional integration. Through the share and efficient use of Conformance and Interoperability (C&I) infrastructures – as laboratories, accreditation bodies and regulatory practices – technical requirements can be harmonized and the transit of ICT goods and services can be facilitated, increasing trade and regional development. The terms of reference are available on line.

3. Guidelines for (MRAs) .- Guidelines for developing countries on Establishing Conformity assessment Test Labs in Different Regions (2012). These guidelines include: the process required for building - Guidelines for the development, implementation and management of mutual recognition arrangements/agreements (MRAs) on conformity assessment (2013). These guidelines aim at promoting the understanding and establishment of MRA, known as efficient tools to promote regional integration. Through the share and efficient use of Conformance and Interoperability (C&I) infrastructures – as laboratories, accreditation bodies and regulatory practices – technical requirements can be harmonized and the transit of ICT goods and services can be facilitated, increasing trade and regional development. The terms of reference are available on line.

4. Assessment Studies and Guidelines on establishing C&I Regimes Assessment Study here Short version of the Guidelines here

Assessment Studies The Assessment Studies looks for promoting the establishment of Harmonized C&I Programmes, whenever is possible. It will collaborate to improve regional integration and foster the availability of highly qualified institutions (as Laboratories, Certification and Accreditation Bodies) In an overall analysis, the Assessment Studies contributes to: Bridging the Standardization Gap, reducing the Digital Divide, and as is inherent to ICT technologies development, strengthens business environment for global players.

Assessement Studies (cont.) ITU has planned activities to allow C&I infrastructure in regions/sub-regions/countries being assessed Analysis of the status in the regions are being conducted Looking for promoting regional agreements about possible locations for resources (Labs), agreements and testing capabilities Close collaboration with regional experts in addressing capacity building activities, accreditation and type approval testing. Moving forward to establishing regional test centres

Assessment Studies (cont.) Methodology Preparation of a C&I assessment questionnaire Usage of international references relating to C&I, specially ITU guidelines and ISO/IEC publications. Establishment of high level contacts with Member administrations through the ITU Regional offices Missions to administrations that will allow to deep the research and collaboration Elaboration of Roadmaps, possible scenarios and possible ways to move forward for establishing common conformity and interoperability regimes, through promotion of mutual recognition agreements and/or building testing laboratories Final Workshop to present the results and recommendations containing possible scenarios

Assessment Studies (cont.) Roadmap Conformity Assessment Bodies will contribute with an orderly telecom apparatus market place Once standards and test suites are in place, test labs can check equipment for compliance Sharing test labs resources amongst countries and regions lowers overall costs while continues addressing regional priorities Setup of a robust framework (base on international procedures – ITU, ISO, IAF, ILAC, etc.) needed for trust and confidence in test results and among test labs

Assessment Studies (cont.) General C&I Regime Scenarios Scenario Regulatory Accreditation Laboratories Certification Bodies Single Country All structure must be selected and adopted by the country Yes According with country possibilities / policy Certification activities can be performed by the Regulatory Authority, delegated, accepted, etc. Bilateral Harmonization Yes, at least in one country (17025) Yes, at least in one country (17065) Unified Regime Steering Committee to harmonize standards   Any country

4.1 Assessment Studies for SADC Region Calendar and follow-up The results of the first assessment will be presented during the Subregional Workshop for SADC (Southern African Development Community). A common approach for using/building labs as well as for establishing MRAs will be proposed/discussed Same Studies for AMS, ARB and ASP are planned for 2014

4.2 Procedures for Establishing Conformity Assessment Regimes Typical procedures: Query for new products to be homologated (accepted) ‎Import procedures for testing proposals Reference Standards for conformity testing Issuing and validating the Type Approval Certificate ‎Homologation (acceptance) Suspension and Withdrawal of the Homologation Certificate ‎Performing the Tests and Test Reports acceptance ‎Conformity Assessment Management System Monitoring, Enforcement, Counterfeit, Sanctions and Post-Market Surveillance - Guidelines for establishing and Defining conformity and Interoperability Regimes for Developing Countries (2014). They will be made available soon through the ITU web (summary) and will be made available during the concerned ITU events on C&I.

Procedures for Establishing Conformity Assessment Regimes (cont.) Flowchart: possible procedures and interrelationships occurring in a conformity assessment process for ICT equipment: Certification Body Applicant Laboratory 1 Regulatory Authority 2 query samples Test Report Documentation + Certificate of Conformity Homologation 4 3 Market

Procedures for Establishing Conformity Assessment Regimes (cont.) Example: Regulatory Authority

Head Telecommunication Technologies and Network Development Thank you!! C&I Portal Riccardo Passerini Head Telecommunication Technologies and Network Development ITU-BDT riccardo.passerini@itu.int