1、 IEC Quality Assessment System for Electronic Components (IECQ System) IECQ OD 3801 Edition 1.0 2015-07 IECQ OPERATIONAL DOCUMENT Procedures for the issuing of IECQ LED Component Product Certificates of Conformity for Component Product(s) associated with LED lighting IECQ OD 3801:2015-07(en) THIS PU
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11、07 IECQ OPERATIONAL DOCUMENT Procedures for the issuing of IECQ LED Component Product Certificates of Conformity for Component Product(s) associated with LED lighting INTERNATIONAL ELECTROTECHNICAL COMMISSION IEC Quality Assessment System for Electronic Components (IECQ System) 2 IECQ OD 3801:2015 I
12、EC 2015 CONTENTS FOREWORD . 3 INTRODUCTION . 4 SECTION 1 PROCEDURES FOR THE ISSUING OF AN IECQ LED COMPONENT PRODUCT CERTIFICATE OF CONFORMITY . 5 SECTION 2 SURVEILLANCE AUDITS PROCEDURES FOR MAINTAINING VALIDITY OF AN IECQ LED COMPONENT PRODUCT CERTIFICATE OF CONFORMITY 20 SECTION 3 PROCEDURES FOR
13、THE PROCESSING OF CHANGES TO ISSUED IECQ LED COMPONENT PRODUCT CERTIFICATES OF CONFORMITY . 27 Annex A Acceptance of test or assessment data obtained prior to the application for an IECQ LED Component Product Certificate of Conformity 37 A.1 Introduction . 37 A.2 Acceptance of test data obtained pri
14、or to the manufacturer submitting an application for an IECQ LED Component Product Certificate of Conformity . 37 A.3 Manufacturers test data . 37 A.4 Reporting requirements . 37 IECQ OD 3801:2015 IEC 2015 3 INTERNATIONAL ELECTROTECHNICAL COMMISSION _ IECQ Operational Document 3801 Procedures for th
15、e issuing of IECQ LED Component Product Certificates of Conformity for Component Product(s) associated with LED lighting FOREWORD This Operational Document, OD 3801 sets out the procedures for the processing of applications for IECQ LED Component Product Certificates of Conformity (CoC), for Compone
16、nt Product(s) associated with LED lighting in accordance with the Rules and Procedures, IECQ 03-8. Document History Date Summary 2015-03-28 Working Group Final Draft Following March 2015 meeting issued as MC/324/CD 2015-05-09 Updated Draft Following 1 May 2015 Singapore MC meeting issued as MC/324A/
17、CA Address: IECQ Secretariat c/o IEC Sydney Office The Executive Centre Australia Square, Level 33 264 George Street Sydney NSW 2000 Australia Contact details: Tel: +61 2 4628 4690 Fx: +61 2 4627 5285 infoiecq.org www.iecq.org 4 IECQ OD 3801:2015 IEC 2015 INTRODUCTION This operational document is su
18、pplementary to the operational manuals and procedures operated by IECQ Certification Bodies (IECQ CBs) for the purpose of ensuring a thorough and consistent assessment of applications for IECQ Certification of Component Product(s) used or associated with LED lighting. The IECQ Scheme for LED Lightin
19、g is modelled on an ISO Type 5 Certification System with the rules, IECQ 03-8, requiring that both satisfactory testing/assessment of samples and on- site factory auditing are required to be completed in order that an IECQ CB may then issue an IECQ LED Component Product Certificate of Conformity. Th
20、is is shown in the flowchart contained in Section 1. This IECQ Operational Document comprises 3 sections: Section 1 Procedures for the issuing of an IECQ LED Component Product Certificate of Conformity Section 2 Surveillance audits Procedures for maintaining validity of an IECQ LED Component Product
21、 Certificate of Conformity Section 3 Procedures for the processing of changes to issued IECQ LED Component Product Certificates of Conformity The procedures are set out in table form identifying: Step number showing the link between flowcharts and table Description of the activity Related documents
22、Responsible person or party Additional comments and remarks where appropriate This document also captures previous decisions of the IECQ Management Committee concerning the use of test data via the IECEE CB Scheme as reflected in IECQ Technical Notice TN 010. The preparation of this document has bee
23、n done so with the aim of alignment with various ISO/IEC International Standards and Guides. IECQ OD 3801:2015 IEC 2015 5 Procedures for the issuing of IECQ LED Component Product Certificates of Conformity for Component Product(s) associated with LED lighting SECTION 1 PROCEDURES FOR THE ISSUING OF
24、AN IECQ LED COMPONENT PRODUCT CERTIFICATE OF CONFORMITY This section is to be applied by IECQ CBs when processing new applications for IECQ LED Component Product Certificates of Conformity. These steps are in line with the requirements of ISO/IEC 17065 and ISO/IEC 17021-1 as relevant. Section 1 also
25、 refers to Annex A for the criteria for use of previous test data and obtained prior to the application for an IECQ LED Component Product Certificate of Conformity being lodged. 6 IECQ OD 3801:2015 IEC 2015 Receive application from manufacturer 1 Contract review 2 Successful 3 Issue IECQ On-Line Cer
26、tificate and commence surveillance programme 23 + 24 Yes No Refer to applicant Identify/Develop Component Product Specification + develop test/assessment plan Previously tested ? Prepare for on-site audit to establish compliance with OD 3802 + IECQ 03-8 Rules Corrective action by applicant Documenta
27、tion assessment of manufacturers quality system and manufacturing quality plans/specifications Compile audit report Successful No Yes Refer to audit staff or applicant as necessary Successful Certification review by IECQ CB Independent review of test/ assess results Successful Ensure compliance with
28、 Annex A No Yes 4 5 7 Test/Assess samples 6 10 Independent review of report Conduct on-site audit to OD 3802 at manufacturing location Successful NO 11 12 12a + 14a 13 15 16 17 17a 7 8 9 3a 5a + 5b Refer to applicant 7a + 9a No No Successful 14 No Successful 20 Refer to audit staff or applicant as n
29、ecessary 20a Compile IECQ Certificate 21 Review Certificate for errors 22 Successful 22a No No 19 Report issued 18 + 18aFigure 1 IECQ Certificate of Conformity application process IECQ OD 3801:2015 IEC 2015 7 Figure 1 Step Section 1 Procedures for the issuing of an IECQ LED Component Product Certifi
30、cate of Conformity covering Component Product(s) as defined in IECQ 03-8 used or associated with LED lighting Description of activity (Refer Figure 1) Related documents By whom Notes/Comments 1 Application received in accordance with IECQ 03-8 and the IECQ CBs internal procedures IECQ 03-8 IECQ CBs
31、procedures IECQ CB IECQ 03-8 defines Component Product(s) and includes electronic components, materials, assemblies and modules along with non electronic items that ensure the correct functioning of the above. LED lamps themselves are considered as electronic assemblies and are covered by this Schem
32、e. 8 IECQ OD 3801:2015 IEC 2015 Figure 1 Step Section 1 Procedures for the issuing of an IECQ LED Component Product Certificate of Conformity covering Component Product(s) as defined in IECQ 03-8 used or associated with LED lighting Description of activity (Refer Figure 1) Related documents By whom
33、Notes/Comments 2 Contract review to be conducted by the IECQ CB receiving the application, in accordance with the IECQ CBs own quality system and as required by ISO/IEC 17065. Contract review shall include: A review to ensure that the application is within the scope of acceptance of the IECQ CB Whet
34、her the manufacturer has an established quality management system Whether a surcharge applies for manufacturers from non member countries (Refer to OD 011, IECQ Scheme Fees) Estimation of costs and time to complete project Determination of any special requirements, e.g. travel for site audit, etc. A
35、greement on method and system of payment by applicant, in accordance with IECQ CBs own policy and quality system Details of specification advised and within scope of CB capabilities. IECQ CBs own certification procedures as included in their quality system as required by ISO/IEC 17065 IECQ CB The re
36、sults of the contract review shall be documented and the applicant advised. 3 IECQ CB shall only proceed where the contract review has been successfully completed. IECQ CB 3a Where unsuccessful, IECQ CB shall communicate in writing to the applicant with the applicant is permitted to amend their appl
37、ication or select another IECQ CB, when the IECQ CBs scope of IECQ acceptance does not cover the application. IECQ CB IECQ OD 3801:2015 IEC 2015 9 Figure 1 Step Section 1 Procedures for the issuing of an IECQ LED Component Product Certificate of Conformity covering Component Product(s) as defined in
38、 IECQ 03-8 used or associated with LED lighting Description of activity (Refer Figure 1) Related documents By whom Notes/Comments 4 Identify, prepare and agree on the Product Specification(s) to be used to assess the Component Product and develop test and assessment plan, especially where model rang
39、es are involved in the application. The manufacturer is responsible for preparing/nominating the specification. IECQ CB is responsible for accepting the specification. IECQ 03-8 provides guidance on developing Product Specifications. 5 Where products, the subject of the application, have been previo
40、usly tested and the applicant wishes to utilize these tests then steps 5a and 5b may be applied. Annex A to this document IECQ CB In accordance with Annex A 5a A review of the previous test data shall include: Determination whether the test requirements, methods and pass/fail criteria used previousl
41、y are the same as those contained in the specification for which application is made Confirmation the test sample is identical NOTE A file note is required to act as a record to demonstrate the outcome of the assessment to Annex A. Such file note shall be retained on the IECQ CBs records for possibl
42、e review by an IECQ Peer Assessment Team conducting surveillance or re-assessment of the IECQ CB. Annex A to this document IECQ CB 10 IECQ OD 3801:2015 IEC 2015 Figure 1 Step Section 1 Procedures for the issuing of an IECQ LED Component Product Certificate of Conformity covering Component Product(s)
43、 as defined in IECQ 03-8 used or associated with LED lighting Description of activity (Refer Figure 1) Related documents By whom Notes/Comments 6 Samples to be obtained by the IECQ CB for conducting tests as required by the Product Specification(s) under the responsibility of the IECQ CB Product Spe
44、cification IECQ CB Refer to IECQ 03-8 for guidance regarding test facilities. 7 + 7a Where testing is unsuccessful, then such results should be communicated in writing to the applicant with the applicant given the opportunity to modify the design and provide new samples or amend their original appli
45、cation. IECQ CB 8 Independent review by IECQ CB staff of test results where testing witnessed or conducted by the IECQ CB IECQ CB 9 + 9a Where the independent review is unsuccessful, this shall be referred to the IECQ CB technical staff responsible for the testing for correction or may be referred b
46、ack to the applicant for their action, similar to step 7 + 7a, depending on the nature of the problem detected during the review. IECQ CB 10 Preparation for the quality assessment and on-site audit IECQ 03-8 IECQ OD 3801 IECQ CB IECQ OD 3801:2015 IEC 2015 11 Figure 1 Step Section 1 Procedures for th
47、e issuing of an IECQ LED Component Product Certificate of Conformity covering Component Product(s) as defined in IECQ 03-8 used or associated with LED lighting Description of activity (Refer Figure 1) Related documents By whom Notes/Comments 11 Documentation assessment: assessment of the manufacture
48、rs quality management system procedures that relate to the manufacture of Component Products to be covered by the IECQ LED Component Product Certificate of Conformity. Generally, this will relate to the detailed product quality plans. The assessment shall ensure that all requirements contained in IE
49、CQ OD 3802, as they relate to the product, are adequately addressed by the manufacturers quality system procedures and work instructions. This step may also be termed the “Documentation review”. Relevant manufacturers quality system documentation is to be reviewed to verify that documentation complies with the requirements of IECQ 03-8 and IECQ OD 3802. Where serious deficiencies in the manufacturers documented quality plan
