1. by Pierre de RUVO Executive Secretary IECEE
ISO-SAARC-BIS REGIONAL WORKSHOP ON CERTIFICATION AND CONFORMITY ASSESSMENT: BUILDING CONFIDENCE FOR DEVELOPING COUNTRIES
Proposed date: 6 – 7 December 2004, NEW DELHI, India
Successful example of mutual acceptance of product certificates through peer assessment - the IEC Schemes by
Pierre de RUVO
Executive Secretary IECEE

2. IEC Organization Chart
COUNCIL
National Committees
ADVISORY
BODIES
CENTRAL
OFFICE
COUNCIL BOARD
Sales Policy Cmte.
Marketing Cmte.
EXECUTIVE COMMITTEE
STANDARDIZATION
MANAGEMENT BOARD
CONFORMITY ASSESSMENT
BOARD
Management of
Standards Work
Management of Certification
SECTOR
ADVISORY
IECEE
BOARDS
COMMITTEES
IECQ
TECH. CMTES
IECEx 2

3. IEC at a glance
Responsible for international standards in the Electrotechnical sector
63 member countries
all significant economic regions
growing number of developing economies
5204 published International Standards
1446 current active projects
174 Technical committees and subcommittees 3

4. The IEC Schemes CONFORMITY ASSESSMENT BOARD CB Scheme IECEx IECQ IECEE
Mutual recognition of test data
between certification bodies
IECEx
Scheme for
explosive
environments
IECQ
Quality assessment
system for electronic
components
IECEE
System for conformity
testing and certification
of electrical equipment
CONFORMITY ASSESSMENT BOARD
CB FCS (full certification, including assessing QMS, surveillance and testing of samples) 4

5. Conformity Assessment Board
Represents the conformity assessment community.
Sets IEC’s CA policy.
Oversees all IEC conformity assessment activities (IECEE, IECQ and IECEx).
Single, co-ordinated contact point for negotiations with other international and regional CA organizations e.g. IAF, ILAC, etc. 5

6. Organisational Structure
CAB
Conformity Assessment Board
IECEE - CMC
Certification Management Committee
IECEE-CTL
Committee of testing Laboratories
The CB Scheme is based on the principle of mutual recognition (reciprocal acceptance) by its members of test results for obtaining certification or approval of products at the national level. In addtion to type testing, CB-FCS introduces assessment for the approval of the manufacturer ’s Quality Management System (QMS), regular surveillance through inspection of the manufacturer ’s factory QMS, and product quality plans and audit testing of samples from the factory. The CB-FCS Scheme is baed on the principle of mutual recognition of conformity assessment reports exchanged between two certification bodies (Body A and Body B) as the basis for approval or certification of products at the national level. The Scheme includes both initial and ongoing assessments. For the Scheme to operate, Body A must have the competence to develop the conformity assessment report to the satisfaction of B, and B must have enough confidence in A to do likewise for A.
IECEE
Assessment Advisory Group
Board of Appeal
Peer Evaluation 6

7. The role of conformity assessment
Safety is a prime consideration in electrical products
Objective: to ensure that products conform to specifications
Testing
Certification
Inspection
Quality systems certification or assessment
Ongoing surveillance
Market surveillance 7

8. Conformity assessment infrastructure
The regulator
IAF and ILAC
National accreditation bodies
Certification bodies
Testing laboratories
ISO and IEC standards
CASCO standards and guides
The IEC Conformity Assessment Schemes - the only globally recognized electrical schemes 8

9. Common objectives of IEC CA Schemes
A global solution for a global market
Provision of a framework for global conformity assessment
Partners with standards in facilitating international trade
Elimination of multiple testing, except for national differences
Elimination of multiple quality audits
Increased access to market
Reduced time to market
Increased confidence
Reduced costs – increased trade 9

10. Global conformity assessment through the IEC Schemes
Test results and certificates of conformity accepted by all members of a Scheme
CA Reports issued by NCB in one country accepted by NCBs in other member countries for purposes of national certification
Reduced testing and certification costs
Capacity to eliminate multiple unnecessary national certifications
Portable conformity assessment 10

11. The Schemes are Product-based, not system-based
Users of IEC standards but structured to accommodate national differences
Membership based
Governed by members
Self financing
Managed by IEC staff
Overseen by CAB 11

12. The ideal target
One test
One certification
One mark 12

13. Today’s achieved target
One test
One international certificate
One or more marks as needed 13

14. 14

15. What is IECEx?
The IECEx Scheme is an International Conformity Assessment Scheme covering Electrical Apparatus for Explosive Atmospheres, which is the Internationally accepted means of demonstrating conformity with IEC Standards dealing with the use of equipment in areas where flammable vapours and gases or combustible dusts may be present, e.g.
IEC 60079, 61241, series and many more
Such equipment is known as “Ex Equipment”

16. Areas where Ex equipment are used
Automotive refueling stations or petrol stations
Oil refineries, rigs and processing plants
Chemical processing plants
Printing industries, paper and textiles
Hospital operating theatres
Aircraft refueling and hangars
Surface coating industries
Underground coal mines
Sewerage treatment plants
Gas pipelines and distribution centres
Grain handling and storage
Woodworking areas
Sugar refineries
Metal surface grinding, especially aluminium dusts and particles 16

17. Why Have IECEx? Establish a Global benchmark for safety in Ex areas
Facilitate International Trade through one standard, one certification process
Access to new products and technologies through smaller markets due to reduced compliance costs associated with elimination of repeat testing and assessment.

18. Core Elements of IECEx Certification
Testing of Samples (Type Test)
Initial Assessment of Manufacturer’s Quality System (factory audit)
On-going Surveillance (factory audits) 18

19. IECEx Scheme – Countries
Australia
Canada
China
Czech Republic
Denmark
Finland
France
Germany
Hungary
Italy
Korea, Republic of
Netherlands
Norway
New Zealand
Romania
Russian Federation
Slovenia
South Africa
Sweden
Switzerland
United Kingdom
United States of America
Serbia & Montenegro
New countries to Join: Japan, Singapore, Brazil 19

20. IECEx CBs approved – Oct. 2004
AUSTRALIA:-
*SIMTARS
*TestSafe
CANADA
*CSA International
DENMARK:-
*UL Int./ DEMKO A/S
FRANCE
*LCIE
GERMANY:-
*PTB
*DMT/BVS
*TUV Nord
HUNGARY:-
*BKI
KOREA:-*KOSHA
*KGS
NORWAY:- NEMKO
RUSSIA: NANIO-CCVE
SLOVENIA:- SIQ
SWEDEN:- *SP, Sweden
UNITED KINGDOM:-
*ITS
*SIRA Cert
Baseefa (2001) Ltd.
UNITED STATES:-
*UL
*FM
20 ExCBs from 13 Countries now operating (more coming) 20

21. Further Information - Available
IECEx Website:
National Committee of IEC
IECEx CBs and ExTLs, Listed on IECEx Website
IECEx Secretary:
Mr Chris Agius –
Fax:

22. IECQ-CECC IEC Quality Assessment System for Electronic Components
IECQ-CECC adds value to the market in that it provides end-users with confidence that the parts being used are of desired quality regarding performance.
An equipment manufacturer does not have to invest major resources and incur majors costs in assessing an electronic component manufacturer or distributor, nor in qualifying parts for performance, if the IECQ-CECC is used.
IECQ-CECC product approval is a passport to international markets for component manufacturers.
A Mark is available for use on approved components. 22

24. IEC standards
The aim of the CB Scheme is to provide Manufacturers seeking worldwide third party certification marks, the most economic and cost effective procedures within the best certification frames.

25. Highlights of CB Scheme
Reciprocal recognition of test results among all participating Certification Bodies, to simplify granting of certification or approval at national levels.
CB Test Certificates and associated Test Reports facilitates obtaining secondary certifications.
The CB Scheme is the only internationally recognized scheme for the safety of electrical equipment used in homes, offices, workshops and similar locations.
Products are tested to IEC standards with provision for supplementary testing for national differences.

26. Advantages of CB Scheme
More rapid testing and certification
More universal product recognition
Acceleration of Product Acceptance
Direct acceptance by the Authorities in many countries
Direct acceptance by the Retailers and Buyers
Expanded markets
Faster product movement from plants to markets

27. IECEE CB Scheme
18 product categories ranging from Information Technology and electronic equipment, household, medical equipment, lighting to EMC, and Photovoltaics but 60% of activity is concentrated in these three areas:
Household appliances
Office & IT equipment
Electronics / entertainment

28. The IECEE CB Scheme 43 participating countries
60 National Certification Bodies - NCBs
174 Testing Laboratories – CB TLs
34200 certificates issued in 2003
0ver current certificates
More than 5000 manufacturers

29. IECEE of CB Scheme ACCURATE CUSTOMER SERVICE
Performance requirements
Regulatory requirements
Complete national differences of Body “Bs”
Ergonomic, Hygienic requirements
Compulsory EMC requirements

30. 18 Categories of Products

31. CB Scheme 43 Participating Countries
Romania
Russia
Singapore
Slovakia
Slovenia
South Africa
Spain
Sweden
Switzerland
Thailand
Turkey
Ukraine
United Kingdom
United States
Serbia and Montenegro
Argentina
Australia
Austria
Belarus
Belgium
Brazil
Canada
China
Czech Rep.
Denmark
Finland
France
Germany
Greece
Hungary
India
Ireland
Israel
Italy
Japan
Korea Rep. of
Malaysia
Mexico
Netherlands
New Zealand
Norway
Poland
Portugal

32. Current List of National Certification Bodies

33. ASSESSMENT ADVISORY Group
PEER ASSESSMENTS
IECEE CMC
ASSESSMENT ADVISORY Group
Peer Assessment

34. PEER ASSESSMENTS in the CB Scheme
Well-founded “Mutual Confidence” is needed for NCBs to grant their Certification Mark on the basis of the review of Test Results without repeat testing; this is what Peer Assessments achieve.
Globally Administered by the IECEE Secretariat in Geneva using a registered pool of International Lead Assessors and Technical Assessors located in 43 different countries.

35. PEER ASSESSMENTS
The evaluations made by Experts, employed by the Organisations’ Members of the IECEE, ensure that the Members’ Certification Bodies and Testing Laboratories are competent in the processing of Conformity Assessment activities within the field of Safety and Performance third party Product Certification.

36. Specific knowledge, skills and personal attribute of Technical Assessors
QUALITY ASPECT
Quality specific knowledge and skills
TECHNICAL ASPECT
Technical specific knowledge and skills
Generic
knowledge and skills
Education - Work experience - Assessor training
Assessor Experience
Personal attributes

37. Specific knowledge, skills and personal attribute of Technical Assessors
Prior to being qualified as an IECEE Lead Assessor, an Assessor should acquire assessment experience acting as an assessor team assistant/leader to develop the knowledge and skills of Lead Assessors.
This experience should be gained under the supervision and guidance of another assessor who is competent as a Lead Assessor.

38. Specific knowledge, skills and personal attribute of Technical Assessors
In addition, to have the personal attributes and competence of Assessors, Lead Assessors should have additional knowledge and skills in assessment leadership/project management to enable the assessment team to conduct the on-site assessment efficiently and effectively.  

39. Specific knowledge, skills and personal attribute of Technical Assessors
Knowledge and skills in this area should include:
IECEE Basic Rules (IECEE 01) and Rules of Procedure (IECEE 02);
IEC Safety and Performance Product Standards
CMC Operational Documents
ISO/IEC Guide 65, ISO/IEC (Guide 25)
CMC current decisions
CTL Decision sheets

40. Requirements for IECEE Assessors

41. Maintenance of assessing ability and evaluation
IECEE Assessors maintain and demonstrate their assessment ability through continual participation in IECEE activities within their own organisations and/or participating in the various managerial and technical committees such as CMC, CTL, WGs, IEC/TCs, etc.

42. Maintenance of assessing ability and evaluation
The evaluation of IECEE Peer Assessors occurs at the following different stages:
the initial evaluation of a candidate who wishes to become a “recognized” Assessor as part of the IECEE Peer Assessment Program;
further evaluation of the competence of the Assessor occurs as part of the assessment team selection process;
On-going evaluation of an Assessor’s performance to identify needs for maintenance and improvement of knowledge and skills through specific training courses.

43. Maintenance of Assessor’s ability
BEGIN
Further development
Initial Evaluation
On-going Evaluation
Performance judged
Lead and Technical Assessors
Maintenance of competence
Assessment Team selection
Assessing

44. AAG IECEE ASSESSMENT ADVISORY GROUP
Represented by experts in ISO/IEC 17025, ISO/IEC Guide 65 & ISO 9001
appointed by the CMC
UL, CSA, VDE, CQC, IRAM, IMQ, CEBEC, NEMKO, TÜV PS

45. To monitor the Peer Assessment and Re-assessment
AAG
TERMS OF REFERENCE
To monitor the Peer Assessment and Re-assessment
To determine common understanding and approach on ISO/IEC Standards and Guides
To evaluate the Assessment Reports of candidate NCBs and CBTLs and make recommendations to the IECEE-CMC

46. PEER ASSESSMENTS PROCESS
ASSESSMENT REPORT(s)
Candidate
NCB/CBTL
ASSESSMENT TEAM
ODs
DECISION
CMC
AAG
RECOMMENDATION

47. PEER ASSESSMENTS References ISO/IEC Guide 65:1996 ISO/IEC 17025 : 1999
ISO/IEC (ISO/IEC Guide 39 & 57)
IECEE 01 Basic Rules, IECEE 02 Rules of Procedure
IEC Standards covering the scope (e.g. IEC 60950)
CTL list of decisions

48. PEER ASSESSMENTS A B Unilateral A B Bilateral B CB Scheme Multilateral
A C
A B B C
non transitive
but A has no links with C agreement

49. «Bilateral recognition»
PEER ASSESSMENTS
IECEE: Multilateral
«Peer assessment»
«Bilateral recognition» H H A G A G B F B F
CB Scheme C E C E D D
n(n-1)/2 relations
n = audits
n relations 57 NCBs
57 audits
1 agreement

50. IECEE MEMBER BODY of INDIA
PS Das Manak Bhavan 9 Bahadur Shah Zafar Marg NEW DELHI India
Tel: Fax:

51. BIS : National Certification Body of India
Bureau of Indian Standards (BIS)
Manak Bhavan 9, Bahadur Shah Zafar Marg, New Delhi
Tel:
Fax: / /
Anupam Kaul,  Addl. Director (Central Marks)

52. STQC: National Certification Bodies of India
Standardization, Testing and Quality Certification Directorate
Ministry of Communications and Information Technology, Department of Information Technology, Government of India, Room No.3016,  Electronics Niketan, 6, CGO Complex, NEW DELHI , INDIA
Tel: ,
Fax:
Mr. Arun Sachdeva

53. Upstream level STQC Issuing” a CB Test CertificateOK or OK
Application
APPLICANT
IECEE CB
TEST CERTIFICATE +
IECEE
TEST
REPORT +
ON MFR REQUEST or

54. Time to Market essential
In Manufacturing and Trade every day counts
Buyers, Users and Governments need assurance of compliance

55. IECEE CB Scheme Process Initial Factory Assessment Report
Country A
TESTING IEC Std+N.D.
APPLICANT
Initial Factory Assessment Report or
APPLICATION
Recognizing Countries B
F.I.R.
TEST
REPORT
15 working days

56. French Market SEEKING WHAT ? …..a European Certification Marks ?PV
CERTIFICATE
TEST REPORT
FACTORY AUDIT REPORT
FACTORY AUDIT or
APPLICANT PV
CERTIFICATE
FACTORY AUDIT REPORT
TEST REPORT
French Market

57. MARKET SEEKING WHAT ? Direct access to a market ? APPLICANT orPV
CERTIFICATE
TEST REPORT
FACTORY AUDIT REPORT
FACTORY AUDIT or
APPLICANT
RETAILERS PV
CERTIFICATE
TEST REPORT
FACTORY AUDIT REPORT
BUYERS
VENDORS
MARKET

58. National Regulator MARKET SEEKING WHAT? Access into Regulatory Market?
TEST REPORT
FACTORY AUDIT or
APPLICANT
National Regulator PV
CERTIFICATE
TEST REPORT
FACTORY AUDIT REPORT
MARKET

59. The IECEE-FCS Scheme Extension of the CB scheme
A full certification scheme ISO/IEC Type 5
Assessment of QA system, surveillance and type testing
Accommodates national differences
Mutual agreement on on-going surveillance
16 participants
Multilateral agreement

60. IECEE CB Scheme benefit
Leads to safer products on domestic market
Needs to become even more efficient to provide fast time-to-market to suppliers
and will make the world’s products available to your domestic professional buyer and consumer

61. Market changes – Increasing flow of goods
GLOBAL MARKETS
INCREASING HARMONIZATION OF PRODUCT SPECIFICATIONS
WORLDWIDE ACCEPTANCE OF TEST RESULTS
TODAY’S CERTIFICATION SERVICES ADEQUATE?

62. Yearly overview of issued CB Certificates

63. CB Scheme Statistics

64. Because Globalization and competition are leading to rapid changes, technical barriers to trade remain a serious problem and the industry is anxious about time to market, the shortening life cycle of products and the need to reduce costs…
The CB Scheme offers de facto the true “passport” for the needs of different countries.
The CB Scheme answers de facto the market needs to have a Test Certificate tailored to be recognized worldwide.
The CB Scheme, in its fullest extent, proves de facto that certification and testing costs can be reduced through the use of... one stop testing.

65. Benefits for developing countries
Schemes now open to all countries
Developing countries may use the Schemes at modest cost
Basic regulatory and conformity assessment infrastructure required
Opportunity to be a “recognizing NCB” in the CB Scheme
Possibility of accepting Scheme conformity assessment certificates for national certification

66. More information IEC www.iec.org IECEE www.iecee.org
IECQ-CECC
IECEx

67. Further Information - IECEE
IECEE Website:
National Committee of IEC
IECEE Members, CB Scheme and Standards listed on website.
IECEE Secretary:
Mr Pierre de RUVO
Fax:

68. Thank you for your attention. Any questions?