NEMA SG-IC 1-2013 Smart Grid Interoperable & Conformant (SG-IC) Testing and Certification Scheme Operator Guidelines.pdf

1、NEMA Standards PublicationNational Electrical Manufacturers AssociationANSI/NEMA SG-IC 1-2013Smart Grid Interoperable b) Launching a formal partnership to facilitate development of additional standards to address remaining gaps and integrate new technologies; and c) Developing a plan for testing and

2、 certification to ensure that Smart Grid equipment and systems conform to standards for security and interoperability. Following a series of public forums on Smart Grid standards facilitated by NIST, in November 2009 it opted to form the SGIP. As stated on the NIST website (http:/www.nist.gov/smartg

3、rid/priority-actions.cfm, searched on May 7, 2012): The SGIP engages stakeholders from the entire Smart Grid Community in a participatory public process to identify applicable standards, gaps in currently available standards, and priorities for new standardization activities for the evolving Smart G

4、rid. Thus, the SGIP supports NIST in fulfilling its responsibilities under the 2007 Energy Independence and Security Act. The task of creating a written document for achieving the third phase of the NIST plan falls on the SGTCC of the SGIP. Through an extensive public process that was co-chaired by

5、a member of the NIST staff and involved a voluntary workforce from the SGIP membership, the SGTCC published its Interoperability Process Reference Manual (IPRM), detailing the “recommendations on process and best practices that enhance the introduction of interoperable products in the marketplace.”

6、(SGIP, SGTCC Interoperability Process Reference Manual, version 2.0, January 2012). As it relates to the IPRM, the operating units of THE SCHEME consist of: a) Interoperability Testing and Certification Authorities (ITCA, plural ITCAs) that own and operate implementations of THE SCHEME; 1 For the pu

7、rpose of simplicity, this document will refer only to “SSOs” and “standards” when discussing the features of THE SCHEME. Please note that any such reference is equally applicable to SDOs as well as specifications, guidelines, etc. ANSI/NEMA SG-IC 1-2013 Page 2 b) Accreditation Bodies (AB, plural ABs

8、) that accredit those performing testing and certification activities meeting THE SCHEME requirements; c) Testing Laboratories (TL, plural TLs) that perform tests under THE SCHEME; and d) Certification Bodies (CB, plural CBs) that perform and manage the product certification activities under THE SCH

9、EME. Under THE SCHEME, product certification indicates that representative specimens of the individual grid elements have successfully passed tests to show compliance with the requirements of the relevant SG-IC Test Suite Specifications (TSS, plural TSSs) endorsed by the ITCA, and that continued pro

10、duction of individual grid elements are consistent with those originally submitted under THE SCHEME. For the purposes of Products being evaluated under THE SCHEME, the Test Suite Specifications (TSS) endorsed by the ITCA will generally center on either an individual standard or specific family of Sm

11、art Grid standards. The concept of the TSS encompasses existing testing standards that were previously developed and published by an SDO or it may be developed by a working group constituted by the ITCA. ANSI/NEMA SG-IC 1-2013 Page 3 2 SCOPE This publication contains a description of the attributes

12、for operating a testing and certification scheme as it relates to establishing the characteristics of “interoperability” between devices and systems associated with the electric grid. For the purpose of this scheme, the term “interoperability” is intended to convey the ability of two or more devices

13、 or systems to seamlessly pass electrical current and readily exchange and use information during the course of its normal duty cycle. 2.1 Items considered in-scope include: a) the identification of use cases for the purpose of testing b) the selection of standards that apply to that use case c) the

14、 identification of environmental conditions necessary for testing to that use case d) the identification of a TSS that incorporates all of the above e) the relationships between the various entities involved in the testing: i. ITCA ii. AB iii. CB iv. TL f) the management aspects associated with the

15、implementation of a testing program based on THE SCHEME: i. Handling related families of products ii. Exception handling for variations in manufacturing processes iii. Grievances against participating entities 2.2 Items considered out-of-scope include: a) individual testing procedures associated wit

16、h a TSS b) specific techniques for accomplishing market surveillance after certification testing ANSI/NEMA SG-IC 1-2013 Page 4 3 NORMATIVE REFERENCES The following referenced documents contain provisions that are to be incorporated through reference. References indicate that the latest edition of th

17、e referenced document applies. NEMA shall decide the timetable for the introduction of new publications or revised editions of existing publications. ISO/IEC Guide 28:2004, Conformity assessment Guidance on a third-party certification system for products ISO/IEC Guide 65:1996, General requirements f

18、or bodies operating product certification systems ISO/IEC Guide 67:2004, Conformity assessment Fundamentals of product certification ISO/IEC Guide 68:2002, Arrangements for the recognition and acceptance of conformity assessment results ISO/IEC 17000:2004, Conformity assessment Vocabulary and genera

19、l principles ISO/IEC 17025:2005, General requirements for the competence of calibration and testing laboratories Smart Grid Testing b) suspensions or withdrawals and the procedure for executing and announcing revocations of previous Product certifications; and c) routine assessments of the CB and th

20、e Products it has certified. 5.3.4 SG-IC Product Listing As part of the responsibilities for certifying products, the CB shall maintain on its Web site a certification file for each Participant, which shall contain a listing of SG-ICcertified products. The listing shall include at minimum: a) a stat

21、ement that only SG-ICcertified products are listed; b) vendor/manufacturer name and contact information; c) brand/model/model number for every certified model; d) certification file number; and 2 In some cases a CB may want to ask the ITCA whether its current accreditations can be permitted, even th

22、ough they may be by International Accreditation Forum (IAF) signatories not yet identified by the ITCA. If a CB already has relationship with an IAF signatory accreditor, it may be a minor scope expansion to participate in THE SCHEME rather than establish a new (and possibly redundant) relationship

23、with another accreditor. ANSI/NEMA SG-IC 1-2013 Page 7 e) certification date 5.3.4.1 Deleted or Discontinued Models Deleted or Discontinued Models are those whose production has ceased, but there is still new stock available for sale. The effective date of the Deleted Model status is the date that a

24、n authorized CB is notified by letter of the decision to delete or discontinue manufacturing the Product by the Participant. Models can be deleted only after production ceases, but they will continue to be subject to market surveillance procedures. Deleted Models should continue to be listed by the

25、CB for THE SCHEME. 5.3.4.2 Obsoleted Models Obsoleted Models are Deleted or Discontinued Models for which there is no more new stock available for sale and that are beyond the scope of monitoring and surveillance under THE SCHEME. Obsoleted Models will be removed from the CB listing for THE SCHEME.

26、5.3.5 Sub-Contracting of Testing Activities In exceptional cases when well-founded reasons prevail, it may be accepted that some testing be subcontracted. A subcontractor is a supplier to a TL in a contractual situation. In this case, the TL and the subcontractor shall have a duly established agreem

27、ent. The TL shall ensure and document how the subcontractor is initially qualified and how the ongoing validation is maintained. The TL is responsible for exercising full control over the subcontractor in accordance with ISO/IEC 17025 by performing audits and checking the qualification of the equipm

28、ent and its operator. 5.3.6 Loss of AB In the event an AB loses its approval to accredit CBs for THE SCHEME, the ITCA will notify its affected authorized CBs and will provide them with a transition period of one year (from the termination date of the approval of its AB) to seek and obtain accreditat

29、ion by another currently approved AB. Once the AB has been identified, the CB and the AB will work together to transition the accreditation. After this transition period, if the authorized CB does not obtain accreditation by an approved AB and reapply for licensure, the ITCA may terminate the CBs pa

30、rticipation in the program. 5.3.6.1 Acceptance of Test Data from Another Authorized CB An authorized CB shall have procedures in place to receive the test data for a Participants products that were previously certified by another ITCA authorized CB. This should generally include the acceptance of al

31、l data and information generated from the certification so as to reduce or eliminate requirements for product reevaluation. This acceptance is contingent upon: a) the Participants good standing with its previous authorized CB; and b) the Product is within its certification scope as defined by the TS

32、S identified by the ITCA. Upon review, the CB has the option to issue a certification for the Product. 5.3.7 Acquisition of a Participants Product Line by Another Manufacturer When the product line of a Participant having SG-IC certification is acquired by another manufacturer, certified listings wi

33、ll remain valid and certification services may continue without interruption if that is the desire of the new owner. The new company shall notify the authorized CB, in writing, as soon as possible after the acquisition of an SG-IC Program Participant of its intent to continue or rescind certificatio

34、n. If the intent is to continue, no initial production inspection and product testing is required as long as the new owner states that the certified product is manufactured using the same design and production tools. Changes to the brand name of a previously certified Product shall require the CB to

35、 issue a new certificate under that brand. The new owner shall assume all of THE SCHEME obligations and liabilities of the former owner. ANSI/NEMA SG-IC 1-2013 Page 8 6 PRODUCT CERTIFICATION 6.1 Application Process An auditable application process that is compliant with ISO Guide 65 will be establis

36、hed and maintained by the CB, reviewed by an AB, and approved by the ITCA for each grid element that will be subject to testing and certification. This includes the possibility of electronic as well as paper records. This process will show: a) the entry point and method of collection for application

37、s; b) movement of application information between parties involved in the certification process; c) the method for capturing and recording notifications between parties; and d) archiving and recordkeeping practices. 6.1.1 Submitting an Application for SG-IC Certification Vendors and Manufacturers se

38、eking SG-IC certification for their products shall apply directly to a CB that is accredited for the relevant SG-IC TSS by an ITCA. A list of authorized CBs for each standard will be maintained by the ITCA. The application shall be made on a form supplied by the CB. 6.1.1.1 Individual Grid Elements

39、Covered The application shall relate to the specific or group of SG-IC TSSs for which certification is requested. Once the application is accepted, the authorized CB shall provide the Applicant with an estimate of the time required to conduct the initial evaluation, and any further information neces

40、sary for the application process. For Participants with products already listed by a CB, subsequent requests for listing of new models for listed products shall be made on separate forms. 6.1.1.2 Private Labeled/Rebranded products If an Applicant intends to have its products private certified or reb

41、randed under a separate organization and brand from the Applicants, when the Applicant applies for certification it shall acknowledge such organization(s) as an “additional company” on its application and shall include the brand name and model numbers that the additional company will use to identify

42、 and sell the SG-ICcertified products. 6.1.2 Initial Production Inspection and Product Testing 6.1.2.1 General Upon confirmation of the acceptance of an SG-IC application, the CB shall make the necessary arrangements with the Applicant for the initial evaluation of the Product. The CB is responsible

43、 for all actions included in THE SCHEME, including product sampling and testing, assessment of the production process or quality system, if applicable, and the surveillance of existing Product models already in the market. 6.1.2.2 Initial Production Inspection If the CB has no prior certification re

44、lationship with the Applicant in the specific product area, the CB may conduct an initial production inspection at its own discretion to audit the Applicants capability for production and quality management. The purpose of this inspection is to give the CB confidence that the Applicants production l

45、ines have the capability to produce products that conform to the technical requirements of the SG-IC TSS. 6.1.3 Initial Product Testing 6.1.3.1 Selection of Samples Samples for testing and examination shall be selected in accordance with the requirements of the prevailing SG-IC TSS for that Product.

46、 ANSI/NEMA SG-IC 1-2013 Page 9 If not covered in the TSS, the CB shall determine the appropriate method for the selection of product samples for testing that are representative of the model to be certified and made using components and subassemblies identical to those used in production. The samples

47、 selected shall be made from production tools and assembled using methods established for the production run. 6.1.3.2 Conduct of Initial Testing All test facilities used by the CB shall demonstrate compliance to ISO/IEC 17025. The CB shall determine the means it will use to conduct the initial testi

48、ng in accordance with the prevailing SG-IC test suite specification for that Product. Allowable options may include: a) In-House Testing: The CB performs all product testing in its own facilities; b) Subcontract Testing: The CB designates approved third-party test labs to conduct product testing and

49、/or evaluation; c) On-site Testing or Witness Testing: Qualified staff from the CB oversees testing conducted by the Applicant at its own facility. 6.1.3.3 Product Evaluation 6.1.3.3.1 Preparation for Evaluation Prior to initiating product testing or a production inspection, if applicable, the CB shall complete a comprehensive review of quality management documentation and Product literature and schematics to ensure that there is substantiated evidence to show that the Product is manufactured in accordance with the relevant SG-IC TSS and that proper production and quality ma