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

IEC SYSTEM OF CONFORMITY ASSESSMENT

SCHEMES FOR ELECTROTECHNICAL

EQUIPMENT AND COMPONENTS

IECEE New Product/System Category

INDATIndustrial Automation

By Pierre de RuvoChief Operating Officer IECEE

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- 22-23-24 May 2013-Beijing2/39

Back Ground: The Standard• Originally only one Standard was proposed: IEC 61131 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

3IEC TC 65 Advisory- 22-23-24 May 2013-Beijing3/39

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- 22-23-24 May 2013-Beijing4/39

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

61131

60204

61800

60950

62368

60947

TC65

62477

TC22 TC17

TC108

TC44

IEC TC 65 Advisory- 22-23-24 May 2013-Beijing

5/39

Typical industrial plant situation

6

Multiple products typesHigh level of interconnectivityProducts 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


http://www1.us.dell.com/content/products/category.aspx/storage?c=us&cs=555&l=en&s=biz

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)


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 61010-2-201: 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


Scope Extension: More Standards

• The Standard: TC66 had a Standard IEC 61010 that TC 65 felt would suit the Market Place more adequately and with the view of migrating IEC 61131 to this new Standard.

• Industrial Equipment:o IEC 61010-2-201: Control systems: examples, PLC, DCS, PAC

IEC 61010-2-20a: Stand alone power supplies

IEC 61010-2-20b: Actuators where movement is contained: examples, rotational, linear valves

IEC 61010-2-20c: Actuators where movement is not contained: examples, rotational, linear slides, tables

IEC 61010-2-20d: 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 SecurityIEC TC 65 WG 10 is working on a set of StandardsIEC TC 65 Advisory- 22-23-24 May 2013-Beijing9/39

Scope Extension: IEC 61010

• The Standard: Industrial Equipment:

IEC 61010-2-201: Control systems: examples, PLC, DCS, PAC

IEC 61010-2-20a: Stand alone power supplies

IEC 61010-2-20b: Actuators where movement is contained: examples, rotational, linear valves

IEC 61010-2-20c: Actuators where movement is not contained: examples, rotational, linear slides, tables

IEC 61010-2-20d: Human machine interface


Combining TC66 and TC65 Effort and Expertise

• Provide one standard to the market IEC 61010• A joint working group of TC65/TC66 will handle the work• Advantages:

o Single standard in marketo Leverage recognition of IEC 61010 for new worko Utilize expertise of the two TC’s effectivelyo Provide clean lines of TC’s impacto Place work where expertise can/will support ito Provide more support for the work now and in the future, i.e. two

TC’s will perform work on IEC 61010.


Areas Handled by TC 66/65 : WG 13 IEC involvement in IEC 61010

Laboratory Handheld Equipment

Industrial Equipment

Labora

tory

Equip

men

t

Medical Laboratory Equipment

IEC

610

10 G

ener

ic

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

4-070Actuators where movement is not

contained

4-020Control systems

4-030Ind Pwr Supplies

4-060Actuators

where movement

is contained

4-110Human

machine interface

4-050Communications

4-040Electromagnetic

valves

4-080RFID

4-090Vision/Barcode

Systems


Additional Standards

Inclusion of Automation System Functional Safety Standards:

• Functional Safety StandardsIEC 61508: Generic Electrical Control Systems

IEC 62061: Machinery Electrical Control Systems

IEC 61511: Process Electrical Control Systems

ISO 13849 part 1


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


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


Future Standards

Inclusion of Automation System Security Standards:

• Industrial Automation SecurityIEC 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.


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 3rd Party Personnel Certification ? Automation Systems implemented reliably with skilled

resources

Industry would entertain 3rd 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


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


Scope of IECSecure

Supplier PracticesProduct Development Life Cycle

(Design for Security)

Devices and SystemsConform to IECSecure Requirements (products constructed to prescribed

characteristics and behaviors)

User PracticesIntegration/Deployment, Operations,

Life Cycle Management

(Manage for Security)

Near Term Focus

TimelineNear-term Long-term

19/39IEC TC 65 Advisory- 22-23-24 May 2013-Beijing

IECSecure Benefits to UsersFor 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- 22-23-24 May 2013-Beijing20/39

IECSecure Benefits to UsersFor 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.


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 formanufacturers 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- 22-23-24 May 2013-Beijing

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- 22-23-24 May 2013-Beijing


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



CertificationCertification 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.

TestingTesting is the determination of one or more of an object or product’s characteristics and is usually performed by a laboratory.


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


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


Certification body B3Certification body B2

Certification body B1 recognizing

Certification body Aissuing

Regulators

Retailers/vendorsbuyers

Applicant

Laboratory

IECEE CB Scheme (& FCS) in action

Analyzing…Testing…

Application documents

TestReport

National differences(if applicable)

Conformity Assessment Certificate

Conformity Assessment Report

Factory Audit Report


Factory

Type test program


Auditing…


Type test program


Factory Inspection

15 working days

Conformity Assessment Certificate

Conformity Assessment Report



Market28/39 IEC TC 65 Advisory- 22-23-24 May 2013-Beijing

Manufacturer’s Testing Laboratories

Certification body

Testing laboratory

Manufacturer’s testing laboratory

IECEECBcertificate

IECEEtest report

+


The CB Scheme (& CB-FCS) Processes

Sample requestSample request

CB requests sample(s) and sets the testing programme

TestingTestingCBTL’s staff performs the measuring and testing programme

EvaluationEvaluation CB’s staff evaluates the test report

DecisionDecision CB’s officer takes the certification decisionCB issues the CB test certificate and test reportLicenseLicense

InspectionInspection CB’s staff performs the factory inspection

CB-FCS


Acceptance procedure of TLs and CBs

Application for candidate CBs and TLs

Appointment of assessment team

On-site assessment-ISO/IEC 17025 & 17065

Assessment report & non-conformities

Proposed corrective actions & clearance

Assessment report & non-conformities

Acceptance and registration

Re-assessment cycle every 3 years


Safety – Functional Safety - Security

Safety Functional Safety Security


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


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.


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


IMPORTINGGovernments want to make sure that imported electrical goods are safe and operate efficiently

EXPORTINGGovernments interest is to help the National Industry to be able to export their electrotechnical goods in the global market

Governments concern


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.


CBTC online data base


IEC SYSTEM OF CONFORMITY ASSESSMENT

SCHEMES FOR ELECTROTECHNICAL

EQUIPMENT AND COMPONENTS

Thank you!

By Pierre de RuvoChief Operating Officer IECEE

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

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