International Telecommunication Union Quito, 6 July REGULATORY ASPECTS ON CONFORMITY ASSESSMENT AND HOMOLOGATION FOR TELECOMMUNICATION PRODUCTS ANATEL - BRAZIL Julio Cesar Fonseca Technical Regulations Manager ITU Consultation on conformance Assessment and Interoperability Testing – Quito - Ecuador, 6 July 2010

International Telecommunication Union Quito, 6 July ANATEL AS A DESIGNATING AUTHORITY ACCORDING TO THE CERTIFICATION AND APPROVAL REGULATION RES. Nr. 242

International Telecommunication Union Quito, 6 July OBJECTIVE & GENERAL PRINCIPLES The evaluation of the conformity of the telecom products in connection with the technical regulations issued or adopted by Anatel; The requirements for approval of telecom products in the Regulation approved by the Resolution 242.

International Telecommunication Union Quito, 6 July THE PURPOSE OF THE REGULATION - The purpose is to establish the general rules and procedures relating to certification and approval of telecom products; - The Regulation also establishes the main rights and obligations for manufactures, services providers, suppliers and users, considering the penalties involved - In addition, the regulation considers several requirements to comply with the Mutual Recognition Agreement - MRA.

International Telecommunication Union Quito, 6 July THE PRINCIPLES I - to ensure that the products sold or used in the Country are in conformity with the regulations issued or to the standards adopted by ANATEL; II - to ensure that the suppliers of the products meet the minimum quality requirements for their products; III - to ensure that the telecommunications products marketed in the Country, in particular those offered by the business directly to the public, have a minimum standard of quality and are suitable for the services for which they are intended; and…

International Telecommunication Union Quito, 6 July IV - to ensure that the products meet with the requirements of safety and the environment; V - to facilitate the entry of Brazil into international agreements of mutual recognition; VI - to promote uniformity in the treatment given to the interested parties in the certification and the approval of telecommunication products; and VII - to treat as confidential technical information, which is thus required, from the information made available by the interested parties by the force of this Regulation.

International Telecommunication Union Quito, 6 July The mandatory requirements for certification, and approval are applied for all products classified under the following definitions: Category I : final user terminal equipment (wired, and wireless); Category II: radio frequency equipment; Category III: network equipment; Note: The products have to comply with the requirements for EMC and Safety.

International Telecommunication Union Quito, 6 July APPLICABLE REGULATIONS AND STANDARDS FOR CERTIFICATION Anatel is authorized to issue regulations and standards for certification, to be observed in the certification and approval processes provided in this regulation.

International Telecommunication Union Quito, 6 July APPLICABLE REGULATIONS AND STANDARDS FOR CERTIFICATION In the absence of regulations or standards for certification issued by Anatel, the Agency will be responsible for deliberating on the appropriateness and the viability of the certification and approval;

International Telecommunication Union Quito, 6 July APPLICABLE REGULATIONS AND STANDARDS FOR CERTIFICATION Anatel may, at its discretion, require field tests to be undertaken on the product or equipment, so as to obtain support for its final decision with regard to the appropriateness or with regard to the viability of the certification.

International Telecommunication Union Quito, 6 July CERTIFICATION AND APPROVAL PROCEDURES As described in the Single Paragraph of the Art. 21, the issue of the approval document is an obligatory pre-requisite for the purposes of marketing and use, in the country, of products classified in Categories I, II and III.

International Telecommunication Union Quito, 6 July THE STRUCTURE OF THE PROCESSES OF CERTIFICATION AND APPROVAL The following agents will act in the processes of certification and of approval of telecommunications products, categories I, II and III: I - Administration of Radio frequencies and Control; II - Appointed Certification Bodies; and III - Test Laboratories.

International Telecommunication Union Quito, 6 July Certification Bodies non profit organizations established in Brazil, with the technical and administrative capacity to carry out correctly the conformity evaluation process of telecommunications products. The requirements are defined in the Annex 1 of the Resolution 242; or foreign certification bodies recognized through Mutual Recognition Agreement.

International Telecommunication Union Quito, 6 July Certification Bodies Certification bodies, must meet one of the following requirements: appointed by Anatel; organizations accredited by Inmetro to certify telecommunications products

International Telecommunication Union Quito, 6 July Test Laboratories 1.The conformity test reports will be conducted by laboratories accredited by INMETRO or evaluated by a CAB. 2.Future convergence from Anatel´s certification system to the National Certification System (INMETRO will accredit the test laboratories).

International Telecommunication Union Quito, 6 July Anatel will be able to sign Mutual Recognition Agreements - ARM, in matters of evaluation of the conformity of telecommunications products, the purpose of which is the recognition of certification bodies and of test laboratories, as integral parts of the system for conformity evaluation adopted by it. Mutual Recognition Agreements - ARM

International Telecommunication Union Quito, 6 July CERTIFICATION REQUIREMENTS I - Declaration of Conformity; II - Declaration of Conformity with test report; III - Certificate of Conformity based on standard test; IV - Certificate of Conformity based on standard test and on periodic evaluations of the product; or V - Certificate of Conformity with evaluation of the quality system.

International Telecommunication Union Quito, 6 July The Declaration of Conformity must: 1. indicate the regulations or standards applicable to the product; 2. confirm that the product complies with the applicable regulations and standards; * Applicable to the products skilled produced for own use.

International Telecommunication Union Quito, 6 July Declaration of Conformity with Test Report A. The Declaration of Conformity must be accompanied by the test reports produced by the laboratories. B. Tests carried out preferably by a third party laboratory; * Applicable in the excepcional hypotesis when Anatel will advance to conduct the conformity evaluation process.

International Telecommunication Union Quito, 6 July Certification of Conformity Based on standard test A. The certificate of conformity based on standard test must be issued by the appointed CAB; B. CAB must carry out the certification in accordance with the standards issued or adopted by Anatel; C. Certification issued for CATEGORY III products

International Telecommunication Union Quito, 6 July Certificate of Conformity based on periodic standard tests A. The certificate of Conformity for products subject to periodic tests will confirm the conformity of the product with the applicable regulations. B. Certification issued for CATEGORY II products.

International Telecommunication Union Quito, 6 July Certificate of Conformity with periodic tests and quality system evaluation A. The Certificate of Conformity with periodic tests and evaluation of the quality system will be issued, by an CAB, and will confirm the conformity of the product with the applicable regulations. B. CAB must guarantee that the manufacturers quality system covers the necessary procedures in accordance with the standards for certification. C. Certification issued for CATEGORY I products.

International Telecommunication Union Quito, 6 July Test Reports The use of laboratories must observe the following order of priority: 1. accredited laboratories; 2. third party, second party, first party laboratories, non-accredited, evaluated by a CAB; 3. non-accredited third party, second party, first party laboratories; 4. test laboratories situated abroad accredited by the official Accrediting Organization - ILAC.

International Telecommunication Union Quito, 6 July APPROVAL REQUIREMENTS An application for certification and approval in Brazil can be submitted by one of the following: I - the manufacturer of the product; II - the supplier of the product in Brazil; and III - a natural person or a legal entity that asks for the approval of the telecommunications product for its own use.

International Telecommunication Union Quito, 6 July APPROVAL REQUIREMENTS The requirements are described as follows: the certificate of conformity of the product; proof of payment; users manual written in Portuguese language (when the product is intended for direct sale ); and,

International Telecommunication Union Quito, 6 July APPROVAL REQUIREMENTS legal documentation about the interested party; proof that the interested party is legally established according to Brazilian laws, or has commercial representation in Brazil, such that it will be responsible for the quality, supply and technical assistance relating to the product in the national territory.

International Telecommunication Union Quito, 6 July VALIDITY AND IDENTIFICATION OF APPROVAL I - undetermined for the products approved by Certificate of Conformity; II - two years for products approved by Declaration of Conformity, with test report; III - five years for products approved by Declaration of Conformity, applicable to the products of skilled manufacture for own use.

International Telecommunication Union Quito, 6 July REQUIREMENTS FOR THE LABLE ANATEL mark, ID, Bar code HHHH-AA-FFFF

International Telecommunication Union Quito, 6 July SUSPENSION AND CANCELLATION OF THE APPROVAL By the Certification body when: I - the interested party does not carry out the adaptations by alteration of the regulation; II - the interested party does not address the clauses of the accompanying contract for periodic evaluation of the product or for the maintenance of the manufacturers Quality System; and,

International Telecommunication Union Quito, 6 July SUSPENSION AND CANCELLATION OF THE APPROVAL III - the interested party makes use of the Certificate of Conformity to advertise characteristics of the product which have not been subject to evaluation; or IV - the interested party makes use of any advertising of the certification of products that leads third parties to have certified a different product from the one that is effectively certified.

International Telecommunication Union Quito, 6 July SUSPENSION AND CANCELLATION OF THE APPROVAL By Anatel when: I - the true and opportune non-alteration to the specifications of the product, in view of the decision of adaptation to the new regulations issued by Anatel; II - the use or the marketing of a product with alterations without compliance with the obligations about modifications in the project or in the manufacturing process; and,

International Telecommunication Union Quito, 6 July SUSPENSION AND CANCELLATION OF THE APPROVAL III - the suspension of the validity of Certificate of Conformity by the Appointed Certification body; and IV - any irregularity in the certification and approval processes noted by Anatel.

International Telecommunication Union Quito, 6 July SANCTIONS - warning; - fine: from U$ to 1,500,000.00; - suspension of the approval; - cancellation of the approval; - suspension of the appointment; - cancellation of the appointment.

International Telecommunication Union Quito, 6 July THE APPROVAL OF THE CERTIFICATE Anatel will issue an approval document for every product that holds a certificate issued by the national CABs

International Telecommunication Union Quito, 6 July Benefits for the Brazilian Society 1. Provide adequate way to identify the products, and to facilitate the enforcement ; 2. Building the confidence in the Anatels mark ; 3. To provide a good privilege to the maker, and to the trade legally established in Brazil; 4. To guarantee the conformity of the products; 5. To avoid damage for the network, and prejudice to the user.

International Telecommunication Union Geneva, July 2009 Thank you