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IEC SYSTEM OF CONFORMITY ASSESSMENT SCHEMES FOR ELECTROTECHNICAL EQUIPMENT AND COMPONENTS By Pierre de Ruvo Chief Operating Officer IECEE.

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Presentation on theme: "IEC SYSTEM OF CONFORMITY ASSESSMENT SCHEMES FOR ELECTROTECHNICAL EQUIPMENT AND COMPONENTS By Pierre de Ruvo Chief Operating Officer IECEE."— Presentation transcript:

1 IEC SYSTEM OF CONFORMITY ASSESSMENT SCHEMES FOR ELECTROTECHNICAL EQUIPMENT AND COMPONENTS By Pierre de Ruvo Chief Operating Officer IECEE

2 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 IEC TC 65 Advisory May 2013-Beijing2/39

3 Back Ground: The Standard Originally only one Standard was proposed: IEC 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 3 IEC TC 65 Advisory May 2013-Beijing3/39

4 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. IEC TC 65 Advisory May 2013-Beijing4/39

5 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 TC TC22 TC17 TC108 TC44 IEC TC 65 Advisory May 2013-Beijing 5/39

6 Typical industrial plant situation 6 Multiple products types High level of interconnectivity Products spanning multiple TC’s PLC/EOI PC, Mat’l Tracking SW Custom Batch Control, DCS, PLC PLC, Motion Controller, HMI/EOI Multiple Human- Machine Interface, PC, DCS, PLC Servers, PC, Supply Chain Mgmnt SW, MES Safety 6 PC, Mat’l Tracking SW IEC TC 65 Advisory May 2013-Beijing 6/39

7 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 IEC TC 65 Advisory May 2013-Beijing7/39

8 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 : 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 IEC TC 65 Advisory May 2013-Beijing8/39

9 Scope Extension: More Standards The Standard: TC66 had a Standard IEC that TC 65 felt would suit the Market Place more adequately and with the view of migrating IEC to this new Standard.  Industrial Equipment: o IEC : Control systems: examples, PLC, DCS, PAC IEC a: Stand alone power supplies IEC b: Actuators where movement is contained: examples, rotational, linear valves IEC c: Actuators where movement is not contained: examples, rotational, linear slides, tables IEC d: 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 IEC TC 65 Advisory May 2013-Beijing 9/39

10 Scope Extension: IEC The Standard:  Industrial Equipment: IEC : Control systems: examples, PLC, DCS, PAC IEC a: Stand alone power supplies IEC b: Actuators where movement is contained: examples, rotational, linear valves IEC c: Actuators where movement is not contained: examples, rotational, linear slides, tables IEC d: Human machine interface IEC TC 65 Advisory May 2013-Beijing10/39

11 Combining TC66 and TC65 Effort and Expertise Provide one standard to the market IEC A joint working group of TC65/TC66 will handle the work Advantages: o Single standard in market o Leverage recognition of IEC for new work o Utilize expertise of the two TC’s effectively o Provide clean lines of TC’s impact o Place work where expertise can/will support it o Provide more support for the work now and in the future, i.e. two TC’s will perform work on IEC IEC TC 65 Advisory May 2013-Beijing11/39

12 Areas Handled by TC 66/65 : WG 13 IEC involvement in IEC Laboratory Handheld Equipment Industrial Equipment Laboratory Equipment Medical Laboratory Equipment IEC Generic 2-010: Heating of materials 2-020: Centrifuges 2-051: Mixing and stirring 2-061: Atomic spectrometers with thermal atomization and ionization 2-081: Analysis 2-040: Sterilizers and washer – disinfectors 2-101: In Vitro Diagnostic (IVD) 2-031: Hand- Held Probe Assemblies 2-032: Hand- Held and Hand- Manipulated Current Sensors  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 Actuators where movement is not contained Control systems Ind Pwr Supplies Actuators where movement is contained Human machine interface Communications Electromagnetic valves RFID Vision/Barcode Systems 12 IEC TC 65 Advisory May 2013-Beijing 12/39

13 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 part 1 IEC TC 65 Advisory May 2013-Beijing13/39

14 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 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 May 2013-Beijing14/39

15 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.  This would be similar to IECEX system requirements today IEC TC 65 Advisory May 2013-Beijing15/39

16 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. IEC TC 65 Advisory May 2013-Beijing16/39

17 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 3 rd Party Personnel Certification ?  Automation Systems implemented reliably with skilled resources  Industry would entertain 3 rd 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 IEC TC 65 Advisory May 2013-Beijing17/39

18 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 IEC TC 65 Advisory May 2013-Beijing 18/39

19 Scope of IECSecure Supplier Practices Product Development Life Cycle (Design for Security) Devices and Systems Conform to IECSecure Requirements (products constructed to prescribed characteristics and behaviors) User Practices Integration/Deployment, Operations, Life Cycle Management (Manage for Security) Near Term Focus Timeline Near-termLong-term 19/39 IEC TC 65 Advisory May 2013-Beijing

20 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. IEC TC 65 Advisory May 2013-Beijing20/39

21 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. IEC TC 65 Advisory May 2013-Beijing21/39

22 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. The CB Scheme IEC TC 65 Advisory May 2013-Beijing

23 The IECEE System is intended to reduce obstacles to international trade which arise from having to meet different regulations, national certification or approval criteria. IECEE facilitates international trade 23/39 IEC TC 65 Advisory May 2013-Beijing

24 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, safety or environmental conditions are met. The principal forms of conformity assessment are testing and certification 24/39 IEC TC 65 Advisory May 2013-Beijing

25 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 May 2013-Beijing

26 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. National differences 26/39 IEC TC 65 Advisory May 2013-Beijing

27 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 IEC TC 65 Advisory May 2013-Beijing27/39

28 Certification body B3 Certification body B2 Certification body B1 recognizing Certification body A issuing Regulators Retailers/vendors buyers Applicant Laboratory IECEE CB Scheme (& FCS) in action Analyzing… Testing… Application documents Test Report National differences (if applicable) Conformity Assessment Certificate Conformity Assessment Report Factory Audit Report National differences (if applicable) Factory Type test program National differences (if applicable) Auditing… Factory Audit Report Type test program National differences (if applicable) Factory Inspection 15 working days Conformity Assessment Certificate Conformity Assessment Report Factory Audit Report National differences (if applicable) Market 28/39 IEC TC 65 Advisory May 2013-Beijing

29 Manufacturer’s Testing Laboratories Certification body Testing laboratory Manufacturer’s testing laboratory IECEE CB certificate IECEE test report + 29/39 IEC TC 65 Advisory May 2013-Beijing

30 The CB Scheme (& CB-FCS) Processes Sample request CB requests sample(s) and sets the testing programme Testing CBTL’s staff performs the measuring and testing programme Evaluation CB’s staff evaluates the test report Decision CB’s officer takes the certification decision CB issues the CB test certificate and test report License Inspection CB’s staff performs the factory inspection CB-FCS 30/39 IEC TC 65 Advisory May 2013-Beijing

31 Acceptance procedure of TLs and CBs Application for candidate CBs and TLs Appointment of assessment team On-site assessment-ISO/IEC & 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 May 2013-Beijing

32 Safety – Functional Safety - Security Safety Functional Safety Security 32/39 IEC TC 65 Advisory May 2013-Beijing

33  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 IECEE DNA  Compliance with IEC statutes + rules 33/39 IEC TC 65 Advisory May 2013-Beijing

34 Key demand drivers for IECEE – the “why” 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. 34/39 IEC TC 65 Advisory May 2013-Beijing

35 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 May 2013-Beijing

36 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 Governments concern 36/39 IEC TC 65 Advisory May 2013-Beijing

37 Conclusion 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. 37/39 IEC TC 65 Advisory May 2013-Beijing

38 CBTC online data base 38/39 IEC TC 65 Advisory May 2013-Beijing

39 IEC SYSTEM OF CONFORMITY ASSESSMENT SCHEMES FOR ELECTROTECHNICAL EQUIPMENT AND COMPONENTS By Pierre de Ruvo Chief Operating Officer IECEE


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