By Pierre de Ruvo Chief Operating Officer IECEE

beeuppityAI and Robotics

Oct 19, 2013 (3 years and 7 months ago)

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IEC SYSTEM OF CONFORMITY ASSESSMENT

SCHEMES FOR ELECTROTECHNICAL
EQUIPMENT

AND COMPONENTS

By Pierre
de
Ruvo

Chief 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

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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

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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.


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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

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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

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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)

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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

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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 Security

IEC TC 65 WG 10 is working on a set of Standards


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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



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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 market

o
Leverage recognition of IEC 61010 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 61010.



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

IEC 61010 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


4
-
070

Actuators where
movement is not
contained

4
-
020

Control
systems

4
-
030

Ind Pwr
Supplies

4
-
060

Actuators
where
movement
is contained

4
-
110

Human
machine
interface

4
-
050

Communications

4
-
040

Electromagnetic
valves

4
-
080

RFID

4
-
090

Vision/Barcode
Systems

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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 13849 part 1

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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

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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


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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.


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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


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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


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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
-
term

Long
-
term

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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
.


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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.


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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

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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

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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

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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
.

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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

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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

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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

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Manufacturer’s

Testing

Laboratories

Certification body

Testing laboratory

Manufacturer’s testing
l
aboratory

IECEE

CB

c
ertificate

IECEE

t
est
r
eport

+

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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
r
eport

Decision

CB’s officer takes the
certification

decision

CB issues the CB
test certificate

and
t
est report

License

Inspection

CB’s staff
performs
the factory

inspection

CB
-
FCS

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Acceptance procedure of TLs and CBs

Application for candidate CBs and TLs

Appointment
of
assessment
t
eam

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




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Safety



Functional

Safety

-

Security

Safety

Functional

Safety

Security

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One
single set of
rules
and
operational
p
rocedures
for TLs + CBs


ALL TLs and CBs undergo the same
qualification process to join IECEE


peer assessment


Common
test report
and
certificate
f
ormat
used by ALL TLs and CBs but
always maintaining CB
brand


Participation of
manufacturer’s
t
esting
l
aboratories

IECEE
DNA


Compliance with IEC statutes + rules

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Key
demand
d
rivers
for
IECEE


t
he “
w
hy



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.


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IECEE
value proposition

Benefits to
industry


One stop service


Cost
s
avings


Savings in
resources


Consistency in
supplier
assessments


Confidence in
supply chain



On
-
line

certificates

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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

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Conclusion


One International Standard, one test and one
i
nternational certificate


One stop service


Reduces
delays and costs of multiple testing and
approval


Participation of manufacturer’s testing
l
aboratories


The IECEE System facilitates global
trade
.


Provides transparency to the public through the
on
-
line database.

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CBTC online data
b
ase

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IEC SYSTEM OF CONFORMITY ASSESSMENT

SCHEMES FOR ELECTROTECHNICAL
EQUIPMENT

AND COMPONENTS

By Pierre de Ruvo

Chief Operating Officer IECEE