CB-02 — Recognition Criteria, and Administrative and Operational Requirements Applicable to Certification Bodies (CB) for the Certification of Radio Apparatus to Industry Canada's Standards and Specifications
Spectrum Management and Telecommunications
Procedures for Conformity Assessment Bodies
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 be reviewed and amended from time to time to reflect necessary changes in procedural requirements. Industry Canada invites comments and suggestions that will enhance the effectiveness of the document. These may be forwarded to:
Engineering, Planning and Standards Branch
300 Slater Street
Canada K1A 0C8
Issued under the authority
of the Minister of Industry
Engineering, Planning and Standards Branch
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 6, October 2011 (PDF, 96 KB, 23 pages)
- 1. Purpose
- 2. Definitions
- 3. Related Documents
- 4. General Information
- 5. Recognition Criteria
- 6. Administrative and Operational Requirements
- Annex A – Checklist: Application for Recognition
1.1 This document specifies the recognition criteria used by Industry Canada 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, Procedure for Recognition of Canadian and Foreign Certification Bodies by Industry Canada.
1.2 CB-02 applies to CBs interested in certifying radio apparatus, including terminal equipment with radio interface. 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 this purpose.
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.
Bureau refers to Industry Canada’s Certification and Engineering Bureau (CEB).
Category I Equipment is radio equipment subject to technical regulations for which certification is required, such as cordless telephones and cellular telephones.
Certification is an attestation by a recognized CB or the Bureau that a product conforms to specified Industry Canada requirements.
Certification Body (CB) is a recognized independent organization which conducts certification of radiocommunication equipment for sale in the Canadian marketplace.
Department refers to Industry Canada.
Radio Apparatus, in this document, refers to devices or equipment used for radiocommunication, including broadcasting.
Recognized Accreditation Organizations are accreditation organizations that have been recognized by either the Standards Council of Canada or a Mutual Recognition Agreement/Arrangement partner as competent to perform accreditation.
Radio Equipment List is a list of radio equipment that has been certified for use in Canada. This list is maintained by Industry Canada.
Terminal Equipment List is a list of terminal equipment that has been approved for use in Canada. This list is maintained by Industry Canada.
The following documents and web information pertain to CBs and can be found on Industry Canada’s Spectrum Management and Telecommunications website at http://www.ic.gc.ca/eic/site/smt-gst.nsf/eng/h_sf06138.html.
CB-01, Procedure for Recognition of Canadian and Foreign Certification Bodies by Industry Canada: this document specifies the requirements and procedure for the recognition of CBs to certify radio apparatus to Industry Canada’s standards and specifications;
CB-03, Requirements for the Certification of Radio Apparatus to Industry Canada’s Standards and Specifications: this document specifies the certification requirements to be incorporated in the radio apparatus certification procedure of recognized CBs;
DES-LAB(E), Procedure for Designation and Recognition of Canadian Testing Laboratories by Industry Canada: this document specifies the procedure applicable to Canadian testing laboratories for recognition by Industry Canada to test telecommunications equipment to the Department’s standards and specifications; and for designation by the Department to test telecommunications equipment, information technology equipment and radio apparatus, and test for electromagnetic compatibility (EMC), as applicable under the terms of the MRAs, to the requirements of foreign Regulatory Authorities;
REC-LAB(E), Procedure for the Recognition of Designated Foreign Testing Laboratories by Industry Canada: this document specifies the criteria and procedure used by Industry Canada for the recognition of foreign testing laboratories that have been designated by MRA partners to test telecommunications equipment to the Department’s standards and specifications;
RSP-100, Radio Equipment Certification Procedure: this document specifies the procedural requirements to be followed and the information to be submitted by an applicant wishing to obtain certification of radio apparatus to the Department’s standards and specifications by the Bureau or a recognized CB;
Additional information on these requirements can be obtained from:
Directorate of Technical Regulation and Conformance (DTRC)
300 Slater Street
Canada K1A 0C8
- (a) have at least one permanent location in Canada or in an MRA partner territory;
- (b) be accredited in accordance with ISO/IEC Guide 65 (latest edition1), General requirements for bodies operating product certification systems, by the Standards Council of Canada or a recognized accreditation organization or equivalent, as per the terms of the applicable MRA. The accreditation shall include an assessment of the CB’s certification procedure based on CB-03;
- (c) ensure that they have current technical competence, knowledge and expertise to evaluate the test data and test reports so as to reach the appropriate conclusion in the conformity assessment work with respect to applicable technical regulations as specified in Section 5.3;
- (d) submit their certification procedure (available to the clients), based on CB-03, to Industry Canada through their Designating Authority;
- (e) submit their internal audit procedures to the Department through their Designating Authority;
- (f) submit the assessment report, signed by the accreditation body assessors, to the Department through their Designating Authority. A list of the names of personnel interviewed during the assessment shall also be provided;
- (g) 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), as per Section 5.2, that were used in their assessment. 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
- (h) submit an example of the certificate that the CB would issue to its clients.
CBs shall be accredited as per Section 5.1(b) to certify equipment to at least one of the following scopes:
Radio Scope 1 – Licence-exempt Radio Frequency Devices;
Radio Scope 2 – Licensed Personal Mobile Radio Services;
Radio Scope 3 – Licensed General Mobile and Fixed Radio Services;
Radio Scope 4 – Licensed Maritime and Aviation Radio Services;
Radio Scope 5 – Licensed Fixed Microwave Radio Services; and
Broadcasting – All BETS in the Category I Equipment Standards List.
Details of the above-mentioned scopes can be found on Industry Canada’s Spectrum Management and Telecommunications website at http://www.ic.gc.ca/eic/site/smt-gst.nsf/eng/sf09888.html.
Note: Equipment cannot be certified based solely on the radio apparatus general standard (RSS-Gen) or on radio frequency exposure standard RSS-102. These standards are requirements which are referred to by other RSSs.
5.3.1 For the purpose of maintaining current technical competence, knowledge and expertise, CBs shall:
- (a) have their in-house testing laboratory accredited in accordance with the latest edition2 of ISO/IEC 17025, General requirements for the competence of testing and calibration laboratories, by the Department, the Standards Council of Canada or a recognized accreditation organization or equivalent, as per the terms of the MRA, and all the RSSs and/or BETS in the entire scope of accreditation chosen from Section 5.2; or
- (b) enter into contractual arrangements with testing laboratories such that the personnel of the CB 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 contracted testing laboratories must be accredited in accordance with the latest edition3 of ISO/IEC 17025 by a recognized accreditation organization or equivalent, as per the terms of the MRA and the required RSSs and/or BETSs. 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. 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 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 5.2.
5.3.3 A list of applicable standards can be found in the Category I Equipment Standards List.
6.1.1 CBs shall:
- (a) 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) selected in Section 5.2, within one year from the date of publication;
- (b) publish and maintain their radio apparatus certification procedure (which is available to the clients) based on CB-03;
- (c) ensure that the persons involved in certification (or involved in the certification decision) are different from those involved in testing and evaluation;
- (d) retain, for 10 years, all documentation furnished in support of an application for certification and make such documentation available to the Department upon request;
- (e) conduct product audit as outlined in Section 6.2;
- (f) accommodate changes or additions to their processes and procedures as may be specified by Industry Canada;
stay abreast of the Department’s
regulations, procedures, requirements,
standards, specifications and amendments thereto and, in order to do so,
- forward all issues and inquiries to firstname.lastname@example.org;
- keep CB contact information up to date by forwarding any changes to the same e-mail address within thirty (30) calendar days; and
- participate in discussion groups or teleconferences that are established as required, under the supervision of Industry Canada, to address certification issues;
- (h) maintain a list of all products that they have certified to Canadian requirements and make the list available to the Department upon request;
- (i) 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;
- (j) 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;
- (k) submit to the Bureau, using electronic filing, a 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;
- (l) ensure that a certification number is assigned to each equipment model as per RSS-Gen;
- (m) inform certificate holders of the Department’s requirements for labelling certified equipment with the assigned certification number, as specified in RSS-Gen; and
- (n) address complaints forwarded to them by the Department regarding their operation and non-compliance notices on products that they certified; implement the required corrective action and report to the Department, as prescribed, within thirty (30) calendar days of the notification.
6.1.2 CBs shall not:
- (a) assign a new Company Number (CN), as specified in RSP-100;
- (b) waive any applicable requirements promulgated by the Department;
- (c) certify equipment for which there are no requirements promulgated by the Department; and
- (d)advertise their recognition status for certification activities that are outside 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 Director of the Directorate of Technical Regulation and Conformance (refer to Section 4).
- (a) a minimum of five (5) percent of the total number of products certified by the CB in that calendar year; and
- (b) a minimum of one (1) percent 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-102.5 This one percent SAR audit can be part of the five percent audit in (a) if the audited equipment requires testing for both radio and SAR parameters;
- (a) different models of equipment covered under a unique Industry Canada certification number are counted as a single product;
- (b) the total number of products to be audited comprises the total number of products subject to (i) single new certifications and (ii) new family certifications, as per RSP-1006 (see sections 5.1 and 5.2.1 respectively); and
- (c) 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.
6.2.4 As part of the CB’s product audit responsibility, CBs shall notify the Bureau, by electronic filing via the Bureau’s website, upon completion of an audit during the current calendar year, or at the latest by January 31 of the following year.
- (a) the manufacturer’s history of compliance;
- (b) whether the sample comes from a new applicant;
- (c) whether the sample is based upon new technology;
- (d) popularity (mass deployment) of the technology;
- (e) price of the sample relative to the average price of similar technology; and
- (f) potential harm/impact to network or people due to non-compliance.
6.2.6 CBs shall notify certificate holders of the audit requirement and advise them that they should make provision to always have production samples available upon request by the CB or by the Bureau, for auditing purposes. The CB shall notify the Bureau if the request for a sample cannot be met.
6.2.7 CBs shall advise certificate holders that, in the event of an investigation of non-compliance, the certificate holder will be asked to provide, to the Department, records of the quality control process and any relevant information that would help to identify the cause and extent of the non-compliance. It is expected that all certificate holders will be able to demonstrate a quality control process used for production inspection and testing in accordance with good engineering practices.
126.96.36.199 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.
188.8.131.52 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/test reports, quality control data and/or an action plan. The notification will indicate that the requested information shall be provided within thirty (30) calendar days from the date of the notification. An acknowledgement of receipt of the notification by the certificate holder shall be provided to the CB within fifteen (15) 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 twenty-one (21) calendar days from the date of the notification. An acknowledgement of receipt of the notification by the certificate holder shall be provided to the CB within seven (7) calendar days of the date of the notification.
184.108.40.206 Should the non-compliance case not be resolved, the CB will provide all information obtained during its investigation to the Bureau. 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.
6.2.8 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.
6.2.10 In addition to the minimum auditing requirements of Section 6.2.2, 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.
Certification and Engineering Bureau
P.O. Box 11490, Station H
3701 Carling Avenue
Canada K2H 8S2
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, a “Canada” word, or statements such as “Issued, Tested or Certified under the Authority of Industry Canada or under the Authority of the Minister of Industry” shall not be used.
6.3.2 The following shall appear on the certificate:
- (a) name and address of the certificate holder;
- (b) model identification and equipment category for the certified equipment;
- (c) 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;
- (d) contact information of the testing laboratory that performed the testing (name, mailing address, e-mail, fax and telephone numbers);
- (e) Industry Canada assigned Company Number, if available, of the testing laboratory that performed the testing;
- (f) certification number;
- (g) frequency range, conducted RF power or field strength and antenna information;
- (h) emission designations (including 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-437);
- (i) the following
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 Industry Canada 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. 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 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 d’Industrie Canada 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. 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 Industrie Canada.
- (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.
6.4.1 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 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, Section 5.2 – Family Certification, Section 5.3 – Multiple Listing, Section 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 RSS and the registration of the terminal equipment must be performed by the CB at the same time. This will allow the device to have the same registration number as the 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 terminal equipment, 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, as per the appropriate section in RSP-100, for the type of certification which resulted from an equipment modification.
6.4.4 The CB certification procedure shall require an acknowledgement from the certificate holder allowing the technical parameters referred to in Section 6.4.1, 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.
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 Radio Equipment List and Terminal Equipment List (where applicable).
6.5.2 An applicable fee8 shall be paid to the Bureau before the equipment is added to the Radio Equipment List. The payment of this fee may be made by the CB on behalf of the certificate holder.
|No.||Requirements||CB-02 Section No.||Applicant’s Reference (e.g. document name, page and paragraph #)||Remarks|
|1||CB has at least one permanent location in Canada or Mutual Recognition Agreement/Arrangement (MRA) partner territory.||5.1(a)|
|2||Accreditation to ISO/IEC Guide 65 for at least one of the scopes defined in CB-02 Section 5.2, by the Standards Council of Canada or a recognized accreditation organization, or equivalent as per the terms of the applicable MRA.||5.1(b) and 5.2|
|3||Accreditation in accordance with ISO/IEC 17025 for at least one of the scopes defined in CB-02, Section 5.2, or have contractual arrangement with testing laboratory accredited in accordance with ISO/IEC 17025 for the required RSSs and/or BETSs.||5.1(c); 5.2; and 5.3|
|4||Limit CB certification activities to the scope of accreditation for which recognition was issued; CB’s scope shall be updated to include any newly published or revised RSS and/or BETS within a year from publication.||6.1.1(a)|
|5||Radio apparatus certification procedure, available to the clients, based on CB-03.||5.1(d) and 6.1.1(b)|
Certification procedure issued by CBs includes an acknowledgement from the certificate holder allowing all the technical information referred to in CB-02, Section 6.4.1, to be posted in the Radio Equipment List (REL).
|7||Ensure that the persons involved in certification (or involved in the certification decision) are different from those involved in testing and evaluation.||6.1.1(c)|
|8||Retain all information furnished in support of applications for certification for 10 years from the date the certificate is issued and make such documentation available to Industry Canada upon request.||6.1.1(d)|
|9||Certificates issued by CB bear the name and logo of the CB.||6.3.1|
|10||Certificates issued by CBs contain the technical parameters included in CB-02, Section 6.3.2. Submit a sample of the certificate that the CB would issue to its clients.||6.3.2
|11||Maintain a list of all products CB certified to Canadian requirements and make the list available to Industry Canada upon request.||6.1.1(h)|
|12||Submit to the Bureau, using electronic filing, a copy of the technical brief, as per RSP-100, for every certification performed.||6.1.1(k)|
|13||Inform certificate holders of Industry Canada’s requirements for labelling certified equipment with the assigned certificate number as specified in RSS-Gen, General Requirements and Information for the Certification of Radio Apparatus.||6.1.1(m)|
|14||Ensure that a certification number is assigned for each equipment model as per RSS-Gen.||6.1.1(l)|
|15||Notifications made to the Department for certifications performed by CB include all required documents, as per Section 5 of RSP-100, for the appropriate type of certification.||6.4.1|
|16||Submit internal product auditing procedures to demonstrate how the CB intends to ensure that the equipment CB has certified will meet the minimum audit requirements.||5.1(e)|
|17||CB’s product auditing procedures shall cover the following:||6.1.1(e)|
|Conduct appropriate product audit activities in accordance with ISO/IEC Guide 65.||6.2.1|
|The number of samples to be audited include: (a) a minimum of 5% of the total number of products certified in a given year and (b) a minimum of 1% of products, subject to SAR requirements, certified in the given year.||6.2.2 and 220.127.116.11|
|Notify Industry Canada’s Certification and Engineering Bureau (the Bureau), through electronic filing, preferably upon completion of an audit during the current calendar year or, at the latest, by January 31 of the following year.||6.2.4|
|Consider the following when selecting samples for audit: manufacturer’s history of compliance; whether samples come from a new applicant or based upon a new technology; mass deployment of technology; price; and potential harm to network or users.||6.2.5|
|Advise certificate holders that, in the event of an investigation of non-compliance, the certificate holder will be asked to provide to Industry Canada, records of the quality control process and any relevant information that would help to identify the cause and extent of the non-compliance.||6.2.7|
|Immediate notification to both the certificate holder and the Bureau when a product fails to comply. Notification includes a copy of certificate issued.||18.104.22.168|
|Follow-up report within 30 days. If a product fails to comply with specific absorption rate (SAR) requirements, prepare follow-up report within 21 days.||22.214.171.124|
|If subcontracting SAR testing to a third party laboratory, coordinate the audit results of the third party laboratory and submit the audit results to Industry Canada, as part of the audit report.||6.2.8|
|Upon request by the Department, provide test reports of audit within 30 days.||6.2.9|
|Upon request by the Department, conduct audits of targeted products and submit findings within 30 days.||6.2.10|
|Address complaints forwarded to CB by Industry Canada regarding the CB’s operation and non-compliance notices on CB certified products. Implement the required corrective actions and report to the Department as prescribed.||6.1.1(n)|
- signed by assessors from the accreditation body; and
- includes a list of names of personnel interviewed during the assessment.
|19||List (from the accreditation body) of all RSS and/or BETS against which the CB was assessed.||5.1(g)|
Have a test site registered with the Bureau as per RSS-Gen, or have arrangements with testing laboratories that have test sites registered with the Bureau; and
Provide a copy of the arrangement, if applicable, with the testing laboratory that has test sites registered with the Bureau.
|21||Accept test reports only from testing laboratories that have test sites registered with the Bureau.||6.1.1(j)|
|22||For terminal equipment which is also radio apparatus, CB shall perform both notification of certification and registration together. The CB shall verify that the testing of the terminal part was performed by a testing laboratory that is recognized by Industry Canada.||6.4.2 and 126.96.36.199|
|23||Notify the Bureau of any changes to the technical parameters, as per Section 5 of RSP-100, for the appropriate type of certification.||6.4.1 and 6.4.3|
1 Accreditation to the latest edition is required within a year of its publication.
2 Accreditation to the latest edition is required within a year of its publication.
3 Accreditation to the latest edition is required within a year of its publication.
4 Accreditation to the latest edition is required within a year of its publication.
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