CB-02 - Recognition Criteria, and Administrative and Operational Requirements Applicable to Certification Bodies for the Certification of Radio Apparatus to Industry Canada's Standards and Specifications

Issue 4, October 2007

Spectrum Management and Telecommunications
Procedures for Conformity Assessment Bodies

Foreword

This document specifies the requirements applicable to the recognition of Canadian and foreign Certification Bodies under the terms of Mutual Recognition Agreements/Arrangements (MRAs).

This document will be reviewed and amended from time to time to reflect necessary changes in procedural requirements. The Department encourages comments and suggestions that will enhance the effectiveness of the document. They may be forwarded to:

Director General
Spectrum Engineering Branch
Industry Canada
300 Slater Street
Ottawa, Ontario
Canada
K1A 0C8

Issued under the authority
of the Minister of Industry
________________________
R.W. McCaughern
Director General
Spectrum Engineering Branch

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Contents

1. Purpose
2. Definitions
3. Related Documents
4. General Information
5. Recognition Criteria
   • 5.1  Accreditation Requirements
   • 5.2  Scope of Accreditation
   • 5.3  Technical Competence Requirement
6. Administrative and Operational Requirements
   • 6.1  General
   • 6.2  Auditing Requirements
   • 6.3  Certificate Information
   • 6.4  Notification Requirements
   • 6.5  Listing of Certifications

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Recognition Criteria, and Administrative and Operational Requirements Applicable to Certification Bodies for the Certification of Radio Apparatus to Industry Canada's Standards and Specifications
(PDF, 89 KB, 12 pages)

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1. Purpose

1.1  This document specifies the recognition criteria used by Industry Canada in the recognition of Canadian entities as Certification Bodies (CBs) and foreign entities under the terms of Mutual Recognition Agreements/Arrangements (MRAs) to certify products to Canadian regulatory requirements. It also specifies the administrative and operational requirements that CBs must meet in order to maintain their recognition.

1.2  Canadian CBs interested in applying for recognition to the Department's standards and specifications should refer to CB-01, Requirements for Certification Bodies. Foreign CBs interested in obtaining a similar recognition should be first designated by the MRA Designating Authority in their country which will then follow the procedure contained in document REC-CB, Procedure for the Recognition of Foreign Certification Bodies by Industry Canada. Both CB-01 and REC-CB refer to the criteria and requirements contained in this document.

1.3  CB-02 applies to CBs interested in certifying radio apparatus only. Telecommunications terminal equipment conformity assessment is subject to a declaration of conformity process. The use of CBs for the certification of telecommunications terminal equipment to Canadian requirements is therefore not required, and the Department will not recognize any CBs for that purpose.

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2. Definitions

Department refers to Industry Canada.

Bureau refers to the Department's Certification and Engineering Bureau.

Accreditation is a procedure by which an authoritative body gives formal recognition that a body or person is competent to carry out specific tasks.

Certification Body (CB) is an organization which conducts certification of radiocommunication equipment for the purpose of sale in the Canadian market.

Recognized Accreditation Organizations are accreditation organizations that have been recognized by either the Standards Council of Canada (SCC) or a Mutual Recognition Agreement/Arrangement partner as competent to perform accreditation.

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3. Related Documents

The following documents and web information pertain to Certifications Bodies and can be found on Industry Canada's Spectrum Management and Telecommunications website: http://www.ic.gc.ca/spectrum.

CB-01
Requirements for Certification Bodies: this document specifies the applicable requirements and the recognition procedure for Canadian CBs to be recognized by the Department to certify radio apparatus to Canadian requirements;

CB-03
Requirements for the Certification of Radio Apparatus to Industry Canada's Standards and Specifications: this document specifies the applicable requirements which shall be reflected in the radio apparatus certification procedure of recognized CBs;

REC-CB
Procedure for the Recognition of Foreign Certification Bodies by Industry Canada: this document specifies the recognition procedure for foreign CBs designated by MRA partners to certify radio apparatus to Canadian requirements;

DES-LAB(E)
Procedure for Designation and Recognition of Canadian Testing Laboratories by Industry Canada;

REC-LAB(E)
Procedure for the Recognition of Designated Foreign Testing Laboratories by Industry Canada;

TRC-43
Notes Regarding Designation of Emission (Including Necessary Bandwidth and Classification), Class of Station and Nature of Service;

RSP-100
Radio Equipment Certification Procedure; and

Category I Equipment Standards List.

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RSP - Radio Standards Procedure
TRC - Telecommunications Regulation Circular

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4. General Information

Additional information on these requirements can be obtained from:

Deputy Director
Telecommunications Engineering and Certification (DSI)
Industry Canada
300 Slater Street
Ottawa, Ontario
Canada
K1A 0C8

Telephone No.: 613-990-4526
Facsimile No.: 613-957-8845
E-mail Address: telecom.reg@ic.gc.ca

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5. Recognition Criteria

5.1  Accreditation Requirements

CBs shall:

1. have at least one permanent location in Canada or in an MRA partner territory;
2. be accredited in accordance with the general guidelines of ISO/IEC Guide 65:1996, General Requirements for Bodies Operating Product Certification Systems by the SCC or a Recognized Accreditation Organization, or equivalent as per the terms of the applicable Mutual Recognition Agreement/Arrangement (MRA). The accreditation shall include an assessment of the CB's certification procedure based on CB-03;
3. ensure that they have current technical competence, knowledge and expertise to evaluate the test data and test reports, to reach the appropriate conclusion in the conformity assessment work with respect to applicable technical regulations as specified in Section 5.3;
4. submit the CB's certification procedure (available to the clients) based on CB-03 to the Department through their Designating Authority;
5. submit the CB's internal auditing and surveillance procedures to the Department through their Designating Authority;
6. submit to the Department, through their Designating Authority, the assessment report signed by the accreditation body assessors. A list of the names of personnel interviewed during the assessment shall also be provided; and
7. submit to the Department, through their Designating Authority, a list from the accreditation body and based on the Category I Equipment Standards List, of all the RSSs and/or BETSs, as per Section 5.2 for which the CB was assessed against. The list shall also include the issue number and date of publication of the RSSs and/or BETSs.

5.2  Scope of Accreditation

CBs shall be accredited as per Section 5.1(b) to certify equipment to at least one of the two following scopes:

1. Radio - All Radio Standards Specifications (RSS) in the Category I Equipment Standards List;
2. Broadcasting - All Broadcasting Equipment Technical Standards (BETS) in the Category I Equipment Standards List.

Note: Radio equipment certification is not issued based on RSS-Gen, which is a requirement referred to by other Radio Standard Specifications (RSSs).

5.3  Technical Competence Requirement

5.3.1  For the purpose of maintaining current technical competence, knowledge and expertise, CBs shall:

1. have their in-house testing laboratory accredited in accordance with ISO/IEC 17025, General Requirements for the Competence of Testing and Calibration Laboratories by the Department, the SCC or a Recognized Accreditation Organization, or equivalent as per the terms of the MRA. Accreditation to ISO/IEC 17025 shall cover all RSSs and/or all BETSs in the entire scope of accreditation chosen from Section 5.2; or
2. enter into contractual arrangements with testing laboratories such that the personnel of the Certification Body have access to personnel and facilities capable of performing the required testing and can supervise the testing. The purpose of this is to maintain current expertise and understanding of the applicable technical regulations. These testing laboratories must be accredited in accordance with ISO/IEC 17025 by a recognized Accreditation Organization, or equivalent as per the terms of the MRA, to the required RSSs and/or BETSs. Copies of all arrangements with testing laboratories shall be provided to the Department through the CB's Designating Authority. At the time of accreditation, the CB shall have, as a minimum, procedures in place demonstrating to the assessors how these contractual arrangements will be achieved.

5.3.2  The scope of the CB's in-house testing laboratory and the scope of contracted testing laboratory as per contractual arrangements shall cover all RSSs and/or all BETSs in the entire CB scope chosen in Section 5.2.

5.3.3  A list of applicable standards can be found in the Category I Equipment Standards List.

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6. Administrative and Operational Requirements

6.1  General

6.1.1  CBs shall:

1. limit their certification activities to their scope of recognition unless a bulletin for a newly published or revised RSS and/or BETS provides specific instructions. The CB's scope shall be updated to include any newly published RSS and/or BETS within one year;
2. publish and maintain a radio apparatus certification procedure (available to the clients) based on CB-03;
3. ensure that the persons involved in certification (or involved in the certification decision) are different from those involved in testing and evaluation;
4. retain all information furnished in support of applications for certification for ten years from the date the certificate is issued;
5. accommodate changes or additions to their processes and procedures as may be specified by the Department;
6. stay abreast of the Department's regulations, procedures, requirements, standards, specifications and amendments thereto, and in order to do so shall:
   • forward all issues and inquiries to cb.inquiries@ic.gc.ca;
   • keep CB contact information up-to-date by forwarding any changes to the same e-mail address; and
   • participate in discussion groups or teleconferences that are established as required under the supervision of Industry Canada to address certification issues.
7. maintain a list of all of the products they have certified to Canadian requirements and make the list available to the Department upon request;
8. have an Open Area Test Site (OATS)¹ filed with the Bureau as per RSS-Gen or have arrangements with recognized testing laboratories that have OATS filed with the Bureau and have an IC OATS filing reference number;
9. accept only test reports from testing laboratories that used an OATS on file with the Bureau and that have an IC OATS filing reference number when tests require the use of such a site;
10. provide upon request to the Bureau a copy of the information received in support of a certification application;
11. submit to the Bureau, using electronic filing, a copy of the technical brief, as per RSP-100, for every certification performed;
12. ensure that a certification number is assigned for each equipment model as per RSP-100;
13. inform certificate holders of the Department's requirements for labelling certified equipment with the assigned certification number, as specified in RSP-100; and
14. address complaints forwarded to them by the Department regarding their operation and non-compliance notices on products they certified; implement the required corrective action and report to the Department as prescribed.

6.1.2  CBs shall not:

1. assign a new Company Number (CN) as specified in RSP-100;
2. waive any applicable requirements promulgated by the Department;
3. certify equipment for which there are no requirements promulgated by the Department; and
4. advertise their recognition status for certification activities that are outside of their scope of recognition.

6.1.3  Industry Canada is the final arbiter of disputes relating to equipment compliance with Canadian requirements between CBs and certificate holders, testing laboratories, and suppliers of radio apparatus.  Dispute information shall be sent to the Deputy Director of the Directorate of Telecommunications Engineering and Certification (refer to Section 4).

6.2  Auditing Requirements

6.2.1  CBs should consider the following when selecting samples to be audited:

1. manufacturer's quality assurance system;
2. manufacturer's past history of non-compliance;
3. whether the product comes from a new applicant;
4. whether the product is based on new technology;
5. concerns with regard to continuing compliance;
6. requests from IC for an audit to be performed on specific equipment; and
7. impact of non-compliance.

6.2.2  CBs shall perform testing on a minimum of one product or 2 percent  (whichever is greater) of the total number of products certified in a given year, for auditing purposes. When calculating the number of products to be audited, the number should be rounded up to the next whole number.  If a product fails to comply with the applicable requirements during an audit conducted by the CB, the CB shall immediately notify the certificate holder and the Bureau. The information submitted to the Bureau shall include a copy of the certificate that was issued for the subject equipment. A follow-up report of the corrective action taken or to be taken by the certificate holder shall be submitted to the Bureau by the CB within thirty (30) days after the notification of non-compliance has been sent to the Bureau. Decertification shall take place only after full consultation between the Bureau, the CB and the certificate holder. The Department anticipates that the certificate holder will normally take prompt, satisfactory corrective action in order to avoid de-certification.

6.2.3  The Bureau can be contacted at:

Certification and Engineering Bureau
Industry Canada
P.O. Box 11490, Station H
3701 Carling Avenue
Building 94
Ottawa, Ontario
Canada
K2H 8S2

Telephone No: 613-990-4218
Facsimile No: 613-990-5009
E-mail Address: certification.bureau@ic.gc.ca
Website: http://www.ic.gc.ca/eic/site/ceb-bhst.nsf/eng/Home

6.2.4  CBs shall notify the Bureau, by electronic filing via the Bureau's website, preferably upon completion of an audit or, at the latest, by January 31st of each year for audits conducted in the previous year, to minimize duplication of surveillance activities. The notification must include the manufacturer's name, model number, certification number issued and the name of the testing laboratory that performed the test, and the date of the audit. The Bureau may request test reports of audit and surveillance activities from a CB. The CB shall submit such reports to the Bureau within thirty (30) days of a request.

6.2.5  In addition to the minimum auditing requirement of 2 percent, CBs shall conduct testing on targeted products upon request by the Department. CBs shall submit their findings to the Bureau within thirty (30) days of the request.

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6.3 Certificate Information

6.3.1  When a CB performs a certification, the CB shall issue a certificate which bears the name and logo of the CB. The Department's logo, the Canadian flag, or a “Canada” word mark shall not be used. The following shall appear on the certificate:

1. name and address of the certificate holder;
2. model identification and equipment category for the certified equipment;
3. name(s), issue number(s) and date(s) of the Department's standard(s) and specification(s) under which the subject equipment was tested and certified;
4. contact information of the testing laboratory that performed the testing (name, mailing address, e-mail, fax and phone numbers);
5. IC assigned Company Number, if available, of the testing laboratory that performed the testing;
6. Certification number;
7. Frequency range, conducted RF power or field strength, and antenna information;
8. emission designations, identifying necessary bandwidth(s), type of modulation(s), nature of the signal(s), type of information being transmitted, details about the signal(s) and the nature of multiplexing (see TRC-43);
9. the following conditional notice:
   
   Certification of equipment means only that the equipment has met the requirements of the above noted specification. Licence applications, where applicable to use certified equipment, are acted on accordingly by the issuing office and will depend on the existing radio environment, service and location of operation. This certificate is issued on condition that the holder complies and will continue to comply with the requirements and procedures issued by Industry Canada / La certification du matériel signifie seulement que le matériel a satisfait aux exigences de la norme indiquée ci-dessus. Les demandes de licences nécessaires pour l'utilisation du matériel certifié sont traitées en conséquence par le bureau de délivrance et dépendent des conditions radio ambiantes, du service et de l'emplacement d'exploitation. Le présent certificat est délivré à la condition que le titulaire satisfasse et continue de satisfaire aux exigences et aux procédures d'Industrie Canada; and
10. an authorized signature, with the title of the signing officer and the date of issue of the certificate.

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6.4 Notification Requirements

6.4.1  The Bureau shall be notified of all certifications performed by CBs. To ensure timeliness of the information, the requested information shall be sent to the Bureau, by electronic filing, at the same time as the certificate is issued. The information to be provided with the notification shall include all required documents, as per the appropriate section in RSP-100 for the type of certification (e.g. Section 5.1 – Single New Certification, 5.2 – Family Certification, 5.3 – Multiple Listing, 5.4 – Reassessment, etc.).

6.4.2  Terminal equipment which is also a radio apparatus, requires certification under the Radiocommunication Act. Notification to the Department of the certification to the applicable Radio Standards Specifications and the registration of the terminal equipment must be performed at the same time. The Department reserves the right to withhold notification of certification and/or registration if they are not submitted together. The Certification Body shall perform both notification of certification and registration together. For information about registration of terminal equipment please refer to DC-01(E), Procedure for Declaration of Conformity and Registration of Terminal Equipment.

6.4.3  CBs shall notify the Bureau of any changes to the technical parameters referred to in Section 6.4.1 resulting from an equipment modification.

6.4.4  CB certification procedure shall require an acknowledgment from the certificate holder allowing the technical parameters referred to in Section 6.4.1 to be posted in the Radio Equipment List (REL) on Certification and Engineering Bureau's website.

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6.5 Listing of Certifications

6.5.1  The Bureau will record the details of all certifications in the Department's Radio Equipment List based on the notification received from CBs through electronic filing. Certified equipment shall not be distributed, leased, sold or offered for sale in Canada before the details of the certification have been added to the REL.

6.5.2  An applicable listing fee shall be paid to the Bureau before the equipment is added to the REL. The payment of this fee may be made by the CB on behalf of the certificate holder.

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¹The meaning of OATS in this document and related documents also includes alternate test sites such as an anechoic chamber as per RSS-Gen.

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