CB-02 — Recognition Criteria and Administrative and Operational Requirements Applicable to Certification Bodies (CBs) for the Certification of Radio Apparatus

Issue 7

Posted on July 7, 2016

Preface

CB‑02 specifies the requirements applicable to the recognition of Canadian and foreign certification bodies (CBs) under the terms of Mutual Recognition Agreements/Arrangements (MRAs).

This document will come into force upon its publication on the Department's website.

Issue 7 of CB‑02 has been updated and provides a more streamlined user‑friendly fillable checklist (Annex A).

Enquiries concerning the procedure for equipment certification should be directed to:

Innovation, Science and Economic Development Canada
Certification and Engineering Bureau
Attention: Manager, Equipment Certification
P.O. Box 11490, Station H
3701 Carling Avenue, Building 94
Ottawa, Ontario  K2H 8S2

Email:  ic.certificationbureau‑bureauhomologation.ic@canada.ca

Enquiries concerning technical specifications should be directed to:

Innovation, Science and Economic Development Canada
Engineering, Planning and Standards Branch
Attention: Regulatory Standards
235 Queen Street
Ottawa, Ontario  K1A 0H5

Email: ic.consultationradiostandards‑consultationnormesradio.ic@canada.ca

All Spectrum Management and Telecommunications publications are available on the Official Publications page of Innovation, Science and Economic Development Canada's website.

Issued under the authority of
the Minister of Innovation, Science and Economic Development

space to insert signature

Martin Proulx
Acting Director General
Engineering, Planning and Standards Branch



1. Purpose

This document specifies the recognition criteria used by Innovation, Science and Economic Development Canada (ISED) in the recognition of Canadian and foreign entities as certification bodies (CBs), 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. For related procedures, refer to CB‑01 — Requirements for Certification Bodies.

CB‑02 applies to CBs interested in certifying radio apparatus, including telecommunications terminal equipment (TE), with radio interface. The assessment of telecommunications TE conformity is subject to a declaration of conformity process. The use of CBs for the certification of telecommunications TE to Canadian requirements is therefore not required, and the Department will not recognize any CBs for this purpose.


2. Definitions

For the purpose of this document, the following definitions apply:

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

Accreditation Body (AB) is an authoritative body that performs accreditation to certification bodies by assessing them against international voluntary standards.

Bureau refers to ISED's Certification and Engineering Bureau (CEB).

Category I Equipment is radio equipment subject to technical regulations for which certification is required, such as cordless and cellular telephones.

Certification is an attestation by a recognized certification body or the Bureau that a product conforms to specified ISED requirements.

Certification Body (CB) is a recognized independent organization which conducts certification of radiocommunication equipment to Canadian regulatory requirements for sale in Canada.

Department refers to Innovation, Science and Economic Development Canada (ISED).

Radio Apparatus refers to devices or equipment used for radiocommunication, including broadcasting.

Radio Equipment List (REL) is a list of radio equipment that has been certified for use in Canada. This list is maintained by the Department. Equipment included on the REL has been certified. The supplier is therefore permitted to manufacture, import, distribute, lease, offer for sale, sell, install or use this equipment in Canada.

Telecommunication Apparatus Register (TAR) is the official list of TE maintained by the Department. Equipment included on the TAR has been registered. The supplier is therefore permitted to manufacture, import, distribute, lease, offer for sale, sell, install or use this equipment in Canada.


3. Related Documents

The following documents and Web information pertain to CBs and can be found on the Department's Official Publications page.


4. Recognition Criteria

4.1 Accreditation Requirements

For the purpose of accreditation, CBs shall:

  1. have at least one permanent location in Canada or in an MRA partner territory;
  2. be accredited in accordance with the latest edition of ISO/IEC 17065, Conformity assessment  — Requirements for bodies certifying products, processes and services, by the Standards Council of Canada or a recognized accreditation organization or equivalent, as per the terms of the applicable MRA;
  3. ensure that they have current technical competence, knowledge and expertise to evaluate the test data and test reports in order to reach the appropriate conclusion in the conformity assessment work with respect to applicable technical regulations, as specified in Section 4.3;
  4. submit their radio apparatus certification procedure (available to clients) to the Department through their Designating Authority;
  5. submit their internal product audit procedures to the Department to demonstrate how the certified equipment will meet the minimum audit requirements 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;
  7. submit a list from the Accreditation Body, based on the Category I Equipment Standards List, of all Radio Standards Specifications (RSSs) and/or Broadcasting Equipment Technical Standards (BETS) that were used in their assessment, as per Section 4.2. The list shall be submitted to the Department through the CB's Designating Authority and shall include the issue number and date of publication of the RSSs and/or BETSs; and
  8. submit a sample of the certificate that the CB would issue to its clients.

4.2 Scope of Accreditation

As per Section 4.1 (b), CBs shall be accredited to certify equipment to at least one of the following scopes:

  1. Radio Scope 1 — Licence‑Exempt Radio Frequency Devices;
  2. Radio Scope 2 — Licensed Personal Mobile Radio Services;
  3. Radio Scope 3 — Licensed General Mobile and Fixed Radio Services;
  4. Radio Scope 4 — Licensed Maritime and Aviation Radio Services;
  5. Radio Scope 5 — Licensed Fixed Microwave Radio Services; and
  6. Broadcasting — All BETS in the Category I Equipment Standards List.

Details of the above-mentioned scopes can be found at Radiocommunication and Broadcasting Equipment Scopes of Accreditation for Certification Bodies

Note: Equipment cannot be certified solely on the radio apparatus general standard (RSS‑Gen) or on radio frequency exposure standard RSS‑102 — Radio Frequency (RF) Exposure Compliance of Radiocommunication Apparatus (All Frequency Bands). These standards are requirements that are referenced by other RSSs.

4.3 Technical Competence Requirements

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

  1. have their in‑house testing laboratory accredited, in accordance with the latest editionFootnote 1 of ISO/IEC 17025 — General requirements for the competence of testing and calibration laboratories by the Standards Council of Canada or a recognized accreditation organization or equivalent, as per the terms of the MRA; or
  2. enter into contractual arrangements with testing laboratories such that the CB's personnel can have access to personnel and facilities that are capable of performing the required testing and can supervise the testing. The purpose of this arrangement is to maintain current expertise and understanding of the applicable technical regulations. These contracted testing laboratories must be accredited in accordance with the latest edition of ISO/IEC 17025 by a recognized accreditation organization or equivalent, as per the terms of the MRA. Copies of all arrangements with the testing laboratories shall be provided to the Department by the CB through the Designating Authority (in the case of a foreign CB) before the recognition is granted.

The scope of the CB's in‑house testing laboratory and that of the contracted testing laboratory, as per the contractual arrangements, shall cover all RSSs and/or all BETSs in the entire CB scope selected in Section 4.2.

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


5. Administrative and Operational Requirements

5.1 CB Requirements

For the purpose of administrative and operational requirements, CBs shall:

  1. limit their certification activities to their scope(s) of accreditation for which recognition was issued, unless a bulletin for a newly published or revised RSS and/or BETS provides specific instructions. The CB's scope(s) shall be updated to include any newly published RSS and/or BETS in the CB scope(s), within one year of the date of publication;
  2. publish, maintain and make available to clients their radio apparatus certification procedure;
  3. ensure that the persons involved in certification (or the certification decision) are not the same persons involved in testing and evaluation;
  4. retain, for ten (10) years, all documentation furnished in support of an application for certification and make such documentation available to the Department upon request;
  5. conduct a product audit, as outlined in Section 5.3;
  6. accommodate changes or additions to their processes and procedures, as may be required by the Department;
  7. 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 the Bureau;
    • keep CB contact information up to date by forwarding any changes to the Bureau within thirty (30) days; and
    • participate, as required, in discussion groups or teleconferences that are established, under the supervision of the Department, to address certification issues.
  8. maintain a list of all products that have been certified to Canadian requirements and make the list available to the Department upon request;
  9. have an Open Area Test Site (OATS) or an alternate test site registered with the Bureau as per RSS‑Gen, or have arrangements with testing laboratories that have a test site registered with the Bureau;
  10. accept test reports only from testing laboratories that used a test site registered with the Bureau, when tests require the use of such a site;
  11. submit to the Bureau an electronic copy of the technical brief, as per RSP‑100, for every certification performed. For equipment subject to radio frequency (RF) exposure requirements, as per RSS‑102, a copy of the RF exposure test report shall be included in the submission;
  12. ensure that a certification number is assigned to 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;
  14. address complaints forwarded by the Department regarding their operation and non‑compliance notices on products they have certified; and
  15. implement the required corrective action and report to the Department, as prescribed, within thirty (30) calendar days of the notification.

5.2 CB Restrictions

For the purpose of administrative and operational requirements, CBs shall not:

  1. assign a new Company Number (CN), as specified in RSP‑100;
  2. interpret the Department's regulations;
  3. grant a waiver of the Department's regulations or certify equipment for which the application of the rules or requirements is unclear;
  4. certify equipment to radio standards that are outside their scope of accreditation;
  5. certify equipment for which there are no requirements promulgated by the Department; or
  6. advertise their recognition status for certification activities that are outside their scope of recognition.

The Department 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 Department.

5.3 Product Audit Requirements

The following subsections specify the requirements for requested product audits.

5.3.1 Acceptable Audit Activities

CBs shall conduct appropriate product audit activities in accordance with the latest edition of ISO/IEC 17065.

5.3.2 Samples to be Audited

The number of samples to be audited by the CB in any given calendar year (January 1 through to December 31 inclusive) shall be based on the following:

  1. a minimum of five percent (5%) of the total number of products certified by the CB in that calendar year; and
  2. a minimum of one percent (1%) of the total number of products certified by the CB in that calendar year that are subject to specific absorption rate (SAR) requirements outlined in RSS‑102. This one percent (1%) SAR audit can be part of the five percent (5%) audit in (a) if the audited equipment requires testing for both radio and SAR parameters.

5.3.3 Number of Products to be Audited

When calculating the number of products to be audited, the following shall apply:

  1. different models of equipment covered under a unique ISED certification number are counted as a single product;
  2. the total number of products to be audited comprises the total number of products subject to:
    1. single new certifications; and
    2. new family certifications, as per RSP‑100; and
  3. the number of products to be audited shall be rounded up to the next whole number. For example, a result of 0.04 is rounded up to 1; a result of 95.3 is rounded up to 96, and so on.

A product certified in a previous calendar year but audited in the current calendar year shall be credited as an audit in the current calendar year.

5.3.4 Responsibility to Notify

As part of the CB's product audit responsibility, CBs shall notify the Bureau, by email (Microsoft Word or Adobe PDF) at ic.certificationbureau-bureauhomologation.ic@canada.ca,once an audit has been completed during the current calendar year, or no later than January 31 of the following year.

5.3.5 Selection of Samples for Audit

CBs should consider the following when selecting samples for audit:

  1. the manufacturer's history of compliance;
  2. whether the sample comes from a new applicant;
  3. whether the sample is based on new technology;
  4. popularity (mass deployment) of the technology;
  5. price of the sample relative to the average price of similar technology; and
  6. potential harm/impact to networks or individuals due to non‑compliance.

5.3.6 Availability of Product Samples

CBs shall notify certificate holders of the audit requirement and advise them that, for auditing purposes, they should make provisions to always have product samples upon request by the CB or by the Bureau. The CB shall notify the Bureau if the request for a sample cannot be met.

5.3.7 Quality Control

CBs shall advise certificate holders that, in the event of an investigation for non‑compliance, the certificate holder will be asked to provide the Department with records of the quality control process and any relevant information that would help identify the cause and extent of the non‑compliance. All certificate holders are expected to be able to demonstrate the quality control process used for production inspection and testing, in accordance with good engineering practices.

  1. 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;
  2. In the notification to the certificate holder, the CB shall instruct the certificate holder to provide it with relevant information, including, but not limited to, the following: 
    • test samples and/or test reports,
    • quality control data and/or
    • a corrective action plan.

The notification will indicate that the requested information shall be provided within thirty (30) calendar days of the date of the notification. An acknowledgement of receipt of the notification by the certificate holder shall be provided to the CB within twenty‑one (21) calendar days of the date of the notification.

However, if a product fails to comply with SAR requirements, the requested information shall be submitted to the CB within fifteen (15) calendar days from the date of the notification. An acknowledgement of receipt of the notification by the certificate holder shall be provided to the Bureau within seven (7) calendar days of the date of the notification.

If the non‑compliance case is not resolved, the CB will provide the Bureau with all information obtained during its investigation. Decertification will be considered 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.

5.3.8 SAR Testing Laboratories

If a CB does not have an SAR testing facility and therefore subcontracts testing to a third‑party laboratory, the CB shall coordinate the audit results of the subcontracted SAR testing laboratory and submit the audit results to the Department, as part of the CB's audit report.

5.3.9 Request for Test Reports

The Bureau may also request test reports of audit activities from the CB. The CB shall submit such reports to the Bureau within thirty (30) calendar days of the request.

5.3.10 Testing Targeted Products

In addition to the minimum auditing requirements of Section 5.3.2, CBs shall conduct testing on targeted products upon request by the Department. CBs shall submit their findings to the Bureau within thirty (30) calendar days of the request, via the Bureau's website.

5.4 Certificate Requirements

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, a "Canada" word, or statements such as "Issued, Tested or Certified under the Authority of Innovation, Science and Economic Development or under the Authority of the Minister of Innovation, Science and Economic Development" shall not be used.

5.4.1 Information Required for the Certificate

The following information shall appear on the certificate:

  1. name and address of the certificate holder;
  2. model identification, including product marketing name (PMN), hardware version identification number (HVIN) and firmware version identification number (FVIN), where applicable, as well as the 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 telephone numbers);
  5. company number of the testing laboratory that performed the testing, if available. This number will have been assigned by the Department;
  6. certification number;
  7. frequency range, conducted RF power or field strength and antenna information;
  8. emission designations (including necessary bandwidth(s)), type(s) of modulation, nature of the signal(s), type of information being transmitted, details about the signal(s) and the nature of multiplexing (see TRC‑43 — Designation of Emissions, Class of Station and Nature of Service);
  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 ISED 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 ISED. The equipment for which this certificate is issued shall not be manufactured, imported, distributed, leased, offered for sale or sold unless the equipment complies with the applicable technical specifications and procedures issued by ISED.

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 d'ISDE 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'ISDE. Le matériel à l'égard duquel le présent certificat est délivré ne doit pas être fabriqué, importé, distribué, loué, mis en vente ou vendu à moins d'être conforme aux procédures et aux spécifications techniques applicables publiées par ISDE.

  • j. the following statement shall also be included in the certificate:

I hereby attest that the subject equipment was tested and found in compliance with the above noted specification.

J'atteste, par la présente, que le matériel a fait l'objet d'essai et a été jugé conforme à la spécification ci‑dessus.
  • k. authorized signature, with the title of the signing officer and the date of issue of the certificate.

5.5 Notification of Certification

The Bureau shall be notified of all certifications performed by CBs. To ensure the 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 for the type of certification shall include all required documents, as per the appropriate section in RSP‑100.

5.6 Certification of Terminal Equipment

Terminal equipment which is also a radio apparatus requires certification under the Radiocommunication Act. Notification to the Department of the certification to the applicable RSS and the registration of the terminal equipment must be provided by the CB at the same time. This will allow the device to have the same registration number and certification number. The Department reserves the right to withhold notification of certification and/or registration if they are not submitted together. If a registration number has already been assigned for the terminal part of the device, the notification to the Department for radio certification shall include the already assigned registration number. For information regarding registration of TE, refer to DC‑01 — Procedure for Declaration of Conformity and Registration of Terminal Equipment.

  1. For the registration of TE in Section 5.6, the CB shall verify that testing of the terminal part was performed by a recognized testing laboratory.

5.7 Notification of Changes

CBs shall notify the Bureau of any changes to the technical parameters referred to in Section 5.5, as per the appropriate section in RSP‑100, for the type of certification which resulted from an equipment modification.

5.8 Acknowledgement of CB Certification Procedure

The CB certification procedure shall require an acknowledgement from the certificate holder allowing the technical parameters referred to in Section 5.5, as per the appropriate section in RSP‑100 for the type of certification, to be posted in the Radio Equipment List on the Bureau's website.

5.9 Recording of Details of Certifications

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 Radio Equipment List and Telecommunication Apparatus Register (where applicable).

An applicable fee (see TRC‑49 — Telecommunications and Radio Equipment Service Fees of the Certification and Engineering Bureau) shall be paid to the Bureau before the equipment is added to the Radio Equipment List. Payment may be made by the CB on behalf of the certificate holder.

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