I E CE E OD -2 039

Edition 2.0 201 5-06-03

I E CE E

OPE R ATI ON AL D OCU M E N T

I E C S ystem of Co n fo rm i ty Assessm en t Sch em es fo r E l ectro tech n i cal E q u i pm en t

an d Com pon en ts (I ECE E S ystem )

Acceptan ce o f Com p on en ts wi th i n th e I E CE E an d Co m pon en t Acceptan ce M atri x

IECEE OD-2039:201 5(en)
 TH I S P U B L I C AT I O N I S C O P Y R I G H T P R O T E C T E D

C o p yri g h t © 2 0 1 5 I E C , G e n e v a , S w i t z e rl a n d

All rights reserved. Unless otherwise specified, no part of this publication may be reproduced or utilized in any form
or by any means, electronic or mechanical, including photocopying and microfilm, without permission in writing from
either IEC or IEC's member National Committee in the country of the requester.
If you have any questions about IEC copyright or have an enquiry about obtaining additional rights to this publication,
please contact the address below or your local IEC member National Committee for further information.
IEC Central Office Tel.: +41 22 91 9 02 1 1
3, rue de Varembé Fax: +41 22 91 9 03 00
CH-1 21 1 Geneva 20 [email protected]
Switzerland www.iec.ch

Ab o u t t h e I E C

The International Electrotechnical Commission (IEC) is the leading global organization that prepares and publishes
International Standards for all electrical, electronic and related technologies.
Ab o u t I E C p u b l i c a t i o n s

The technical content of IEC publications is kept under constant review by the IEC. Please make sure that you have the
latest edition, a corrigenda or an amendment might have been published.

U se fu l l i n ks :

I EC publ ications search - www. iec. ch/search pub The worl d's leading onli ne di ctionary of el ectronic
The advanced search en abl es you to fi nd I EC and el ectrical term s containi n g m ore than 30 000
publ ications by a vari ety of criteria (reference term s and definiti ons i n Engl ish an d French, with
num ber, text, technical com m ittee, … ). equi valent term s in additional lang uag es. Also
I t also gives i nform ation on proj ects, replaced and known as the I nternati onal Electrotechnical
wi thdrawn publ ications. Vocabul ary (I EV) on-lin e.

I EC J ust Published - webstore. iec. ch/justpubl ished Custom er Service Centre - webstore. i ec. ch/csc
Stay up to date on all new I EC publicati ons. J ust If you wish to give us your feedback on this publication
Published details all n ew publ ications rel eased. or need further assistance, please contact the
Avail abl e on -lin e and also once a m onth by em ail. Customer Service Centre: [email protected].
Electropedi a - www. electropedi a. org
 I E CE E OD -2 039

Edition 2.0 201 5-06-03

I E CE E

OPE R ATI ON AL DOCU M E N T

I E C S ystem o f Con fo rm i ty Assessm en t Sch em es fo r E l ectro tech n i cal

E q u i pm en t an d Co m po n en ts (I E CE E System )

Acceptan ce o f Com p on en ts wi th i n th e I E CE E an d Com pon en t Acceptan ce M atri x

INTERNATIONAL
ELECTROTECHNICAL
COMMISSION PRICE CODE
ZZ
 –2– IECEE OD-2039:201 5 © IEC 201 5

CONTENTS
CONTENTS . ... ... ... ... ... ... ... .. ... ... ... ... ... ... ... ... ... ... ... ... ... ... .. ... ... ... ... ... ... ... ... ... ... ... . .. ... ... ... .. ... ... ... 2
Introduction. ... ... ... ... ... ... ... ... ... ... .. ... ... ... ... ... ... ... ... ... ... ... ... ... ... .. ... ... ... ... . .. ... ... ... ... ... ... ... ... ... ... .. . 3
1 Scope . ... ... ... ... ... ... ... ... ... ... ... ... ... ... .. . .. ... ... ... ... ... ... ... ... ... ... ... ... ... ... ... .. . .. ... ... ... ... ... ... ... ... ... . 3
2 Definitions .. ... ... ... .. ... ... ... ... ... ... ... ... ... ... ... ... .. . ... ... .. ... ... ... ... ... ... ... ... ... ... ... ... ... ... .. ... ... ... ... ... 3
2. 1 Com ponent .. ... ... ... ... ... ... ... ... ... ... ... ... ... .. ... ... .. . ... ... ... ... ... ... ... ... ... ... ... ... .. ... ... ... ... ... ... . 3
2. 2 Harm onized standard ... ... ... ... ... ... .. ... ... ... ... ... ... ... . .. ... ... ... ... ... ... ... .. ... ... ... ... ... ... ... ... .. . 3
2. 3 National standard technicall y equivalent to I EC standard . ... ... ... .. ... ... ... ... ... ... ... ... ... . 3
2. 4 Com ponent Acceptance Matrix (CAM) . ... ... ... ... ... ... ... ... ... .. ... ... ... ... ... ... ... ... ... ... ... ... ... 3
2. 5 Certification docum entation .. ... .. ... ... ... ... ... ... ... ... ... ... ... ... ... ... ... .. ... ... ... ... ... ... ... ... ... ... . 4
3 General Principles ... ... ... ... ... .. ... ... ... ... ... ... ... .. . ... ... ... ... ... ... ... .. ... ... ... ... ... ... ... ... ... ... ... ... ... ... . 4
4 Potential situations for com ponent requirem ents .. ... ... ... ... ... ... .. ... ... ... ... ... . .. ... ... ... ... ... ... ... . 4
5 Com ponent acceptance situations ... ... .. ... ... ... ... ... ... ... ... ... ... ... ... ... ... . .. .. ... ... ... ... ... ... ... ... ... . 4
5. 1 Existing I EC Com ponent Standard . ... ... ... ... .. ... ... ... ... ... ... ... ... ... ... ... ... ... ... .. ... ... ... ... ... 4
5. 2 No existing I EC Com ponent Standard . ... ... ... ... ... ... ... ... ... .. ... ... ... ... ... ... ... ... ... ... ... ... ... 6
6 Com ponent Acceptance Matrix .. ... ... ... ... ... ... ... ... ... ... ... .. ... ... ... ... .. . ... ... ... ... ... ... ... ... ... ... .. ... . 6
6. 1 Responsibilities of the N CBs ... .. ... ... ... ... ... ... ... ... ... ... ... ... ... .. . ... .. ... ... ... ... ... ... ... ... ... ... . 6
6. 2 Responsibilities of the I ECEE Secretariat . ... ... ... ... ... ... ... ... ... ... ... ... .. . ... ... .. ... ... ... ... ... . 7
6. 3 CAM Database details . ... ... ... ... ... .. ... ... ... ... ... ... ... ... ... ... ... ... ... ... ... .. ... ... ... ... ... ... ... ... ... 7
6. 4 Additional Ru les for completing the Com ponent Acceptance Matrix . ... ... ... ... ... ... ... ... 7
7 Com ponent inform ation in the CB Test Reports ... ... ... ... ... ... ... .. ... ... ... ... ... ... ... ... ... . .. ... ... ... . 7
7. 1 Proof of com ponent compliance .. ... ... ... ... ... ... ... ... ... ... ... ... ... .. ... ... .. . ... ... ... ... ... ... ... ... .. 8
I ECEE OD-2039:201 5 © I EC 201 5 –3–

I n t ro d u ct i o n

This operational docum ent contains definitions and basic principles for acceptance of
com ponents within the I ECEE. The intended im plem entation of this docu m ent is to enhance
the com m on understanding am ong the National Certification Bodies (N CBs) participating in
the Schem es of the various com ponent acceptance scenarios encountered by the m em bers,
as well as, to establish a m inim um proof of com ponent com pliance with the applicable
acceptance criteria expected in the CB Test Reports. An y differences between th e
requ irem ents in this operational docum ent and corresponding requirem ents of the NCB shall
be clearl y identified and published in the CB Bulletin and in the Com ponent Acceptance
Matrix.
The Com ponent Acceptance Matrix (CAM) is part of the com ponent acceptance process. It
was prepared to provide inform ation on the level of harm onization with the I EC standards
am ong the participating countries. The database should also assist the National Certification
Bodies and CB Testing Laboratories in the com pilation of the CB Test Reports by m aking the
requ irem ents for com ponents m ore transparent.
Today, I ECEE has two procedures in dealing with acceptance of com ponents in the end
products. This Operational Docum ent describes “generic” approach to com ponent
acceptance. Com ponent acceptance declarations prepared by the NCBs are a tool for
im proving com ponent acceptance u nder the “generic” approach.
1 Scope

This docum ent describes com ponent related situations and decisions in th e process of issuing
and accepting CB Test Reports and Certificates for end products. I t also provides
requirem ents and clarifications for the use of Component Acceptance Matrix.
2 Defi n i ti o n s

2. 1 Com p on en t

For the purpose of this docum ent a com ponent has been defined as follows:
Com ponent – a part or a subassem bl y intended to be installed into an end product in a factory
by the end-product m anufacturer. Som e exam ples are: switches for appliances, capacitors,
filters, fuseholders, bu ild-in power suppl y, internal CD Rom or hard drive, and sim ilar.
2. 2 H a rm o n i z ed s t an d a rd

For the purpose of this docum ent a harm onized standard issued by a national (e. g. DI N,
ANSI , SCC, BSI) or regional (e. g. CENELEC) body has been defined as follows:
Harm onized standard –m eans a standard that is nationall y recognized as a standard
harm onized with I EC and for which there are published and readil y available N ational or
Regional Differences from the I EC requ irem ents.
2. 3 N at i on al stan d ard tec h n i cal l y eq u i val en t to I E C stan d ard

For the pu rpose of this docum ent, the term “technicall y equivalent standard“ m eans that even
though the national standard is not officiall y declared as harm onized with the I EC
requ irem ents, all param eters have either the sam e or m ore stringent requirem ents as
declared by the NCB (in cooperation with the Mem ber Body, as applicable).
Note: An y national differences that need to be addresses for full com patibility of both
standards are clearl y identified by the NCB claim ing technical equivalency of the national
standard.
2. 4 C o m p o n e n t A c c e p t a n c e M a t r i x ( C AM )

CAM is a database containing com pilation of I ECEE com ponent acceptance practices by the
NCBs participating in the I ECEE.
 –4– IECEE OD-2039:201 5 © IEC 201 5

2. 5 C e rt i fi ca t i o n d o cu m en t at i o n

For the purpose of this docum ent, a certificate, a license, or sim ilar evidence of certification
are considered equivalent. See clause 7.1 .
3 G en eral Pri n ci pl es

3. 1 . Com ponents shall com pl y with the relevant requirem ents of the applicable com ponent
standards and the com ponent requirem ents of the end-product standard.
3. 2. NCBs in countries that have not yet harm onized their com ponent standards with I EC
standards are strong l y recom m ended to develop procedures perm itting the acceptance of
tests based on I EC com ponent standards or on national com ponent standards of the
accepting NCB.
3. 3. All com ponent related differences in requ irem ents and acceptance practices shall be
declared by the NCBs (in cooperation with the Mem ber Body) in the CB Bulletin and in the
CAM.
4 Poten ti al si tu ati o n s f o r co m po n en t re q u i re m en t s

The following four cases can be identified:

4. 1 There is an existing I EC standard for the com ponent;
4. 2 There is no I EC standard but there is a regional or national standard for the com ponent;
4. 3 N o com ponent requ irem ents exist;
4. 4 The end-product standard contains com ponent requirem ents.
5 Com pon en t acceptan ce si tu ati on s

The existence of an I EC standard for a com ponent is the m ost desired situation, however, I EC
standards do not exist for all com ponents. The following ou tlines procedures for the
acceptance of com ponents for the situ ations identified above.
5. 1 E xi s t i n g I E C C o m p o n e n t S t a n d a rd

Two potential situations were identified as outlined in 5. 1 .1 and 5. 1 . 2 below:

5. 1 . 1 Com pon en t wi th C B Te s t C e rt i fi c at e

Where a com ponent is provided with its own valid CB Test Certificate accom panied by th e
Test Report or inform ation describing the conditions of com ponent acceptability the following
acceptance situations shall be considered:
5. 1 . 1 . 1 N o N ati on al D i ff e re n c e s fo r co m p o n en t d e c l a re d b y t h e N C B

Com ponent shall be accepted by the receiving N CB without further evaluation if no additional
com ponent requirem ents are specified in the end-product standard, otherwise, see 5.1 . 1 . 3.
5. 1 . 1 . 2 Recog n i z i n g N CB h as d ecl ared N ati on al D i ffe ren c es fo r co m po n en t

5. 1 . 1 . 2. 1 N ati on al D i ff e ren c e s h a ve b ee n ad d res sed by an N CB

Com ponent shall be accepted by the receiving N CB without further evaluation if no additional
com ponent requirem ents are specified in the end-product standard, otherwise, see 5.1 . 1 . 3.
5. 1 . 1 . 2. 2 N ati o n al D i ff e ren c e s h a v e n o t b e en ad d ressed b y an N CB

Com ponent shall be accepted by the receiving N CB after additional satisfactory evalu ation to
address the National Differences; see 5. 1 . 1 . 3 to address additional com ponent requirem ents
specified in the end-product standard.
IECEE OD-2039:201 5 © IEC 201 5 –5–

5. 1 . 1 . 3 Ad d i t i o n a l co m po n en t req u i rem en ts s peci fi ed i n th e n at i on al s t a n d a rd fo r th e

en d p ro d u c t

5. 1 . 1 . 3. 1 Ad d i t i o n a l co m p o n en t re q u i r e m en t s a d d re s s e d by th e i ssu i n g N CB

Com ponent shall be accepted by the receiving NCB if N ational Differences have been
addressed (5. 1 . 1 . 2) .
5. 1 . 1 . 3. 2 Ad d i t i o n a l co m p o n en t re q u i r e m en t s n o t c o ve re d b y t h e i s s u i n g NCB

Com ponent shall be accepted by the receiving NCB after additional evaluation to address the
additional com ponent requirem ents.
5. 1 . 1 . 4 Th e recei vi n g N C B d o e s n o t a d h e re t o I E C co m p o n en t s t a n d a rd ( s ) re fe ren c ed

i n th e I E C en d p ro d u ct s t a n d ar d

The following scenarios m ay exist:

5. 1 . 1 . 4. 1 Th e recei vi n g N C B h a s a n o n - h a rm o n i z ed n ati o n al com p on en t stan d ard

d e c l a re d as a n ati on al d i fferen c e

The receiving N CB m ay accept a Report issued by another NCB to the national standard of
the receiving NCB, or conduct com ponent testing according to its national standard
5. 1 . 1 . 4. 2 Th e recei vi n g N C B h a s a n o n - h a rm o n i z ed n ati o n al com p on en t stan d ard n o t

d e cl a red as a n ati on al d i fferen c e

Com ponent shall be accepted by the receiving N CB based on the available CB Test Report
according to the I EC com ponent standard
5. 1 . 1 . 4. 3 Th e recei vi n g N C B h as n o n ati on al co m po n en t stan d ard

Com ponent shall be accepted by the receiving N CB based on the available CB Test Report
according to the I EC com ponent standard
5. 1 . 2 C o m p o n en t wi t h o u t a C B T e s t C e rt i fi c at e

Where a com ponent is not provided with its own valid CB Test Certificate for com pliance with
a relevant com ponent standard it shall be checked for correct application and use in
accordance with its specified ratings. I t shall be subj ected to the applicable tests of the end-
product standard, as part of the end product, and to the applicable tests of the com ponent
standard, under the conditions occurring in the end product. I n order to ease the process of
acceptance, the applicable tests from com ponent standard shall be reported in the Test
Report for the com ponent and attached to the end -product CB Test Report. The following
acceptance situations shall be considered:
5. 1 . 2 . 1 N o ad d i ti on al r e q u i re m e n t s f o r t h e c o m p o n e n t i n t h e e n d - p r o d u ct s t a n d a rd

5. 1 . 2 . 1 . 1 N o N ati on al D i ff e re n c e s d e c l a r ed fo r com pon en t

Com ponent shall be accepted by receiving NCB provided that com ponent test report to I EC
standard is available from the issu ing N CB.
5. 1 . 2 . 1 . 2 N at i on al D i ff e ren c e s d e cl a re d fo r c o m p o n e n t

- Com ponent shall be accepted by receiving NCB provided that com ponent test report to
IEC standard is available from the issuing N CB and includes National Differences,
otherwise.
- Com ponent shall be accepted by receiving N CB when inform ation provided in the Report
fulfills acceptance criteria declared by the receiving N CB in the CAM database,
otherwise.
- Com ponent accepted by receiving NCB after additional evaluation addressing N ational
Differences.
5. 1 . 2 . 2 Ad d i t i o n a l req u i rem en t s fo r c o m p o n en t i n t h e en d - p ro d u ct s t a n d a rd

5. 1 . 2. 2. 1 N o N ati on al D i ff e re n c e s d e c l a red

Com ponent shall be accepted by receiving NCB provided that com ponent test report to I EC
 –6– IECEE OD-2039:201 5 © IEC 201 5

5. 1 . 2. 2. 2 N ati on al D i ff e ren c e s d e c l a re d fo r c o m p o n e n t

Sam e as 5. 1 . 2. 1 . 2.
5. 1 . 2. 3 Co m p o n en t p ro vi d ed wi th a n ati o n al c e rt i f i cat e , wh i ch i n d i cates th at, th e

com pon en t was test ed t o a h a rm o n i z ed stan d ard an d i t sh o ws l i m i t ati o n s

a n d /o r c o n d i t i o n s o f u s e

Com ponent shall be accepted by receiving N CB provided that an y additional requirem ents
(i. e., N ational Differences, end-product requirem ents, applicable tests of the com ponent
standard, under the conditions occurring in the end product) have been addressed in the end-
product report.
5. 1 . 2. 4 C o m p o n en t t e s t e d t o t h e re q u i r em en t o f a n o n - h a rm o n i z ed s t an d a rd

Com ponent m ay be accepted at the discretion of the receiving N CB.

5. 1 . 2. 5 C o m p o n en t t e s t e d t o t h e co m p o n en t req u i rem e n t s i n th e en d p ro d u ct o n l y

( n o t t e s t e d t o t h e ap p l i c ab l e c o m p o n e n t s t an d a rd )

Com ponent accepted after additional evalu ation to the applicable com ponent requirem ents,
where necessary.
5. 1 . 2 . 6 Th e recei vi n g N C B d o e s n o t ad h e re t o I E C c o m p o n en t s t a n d a rd

See 5. 1 . 1 . 4.
5. 2 N o exi sti n g I EC Co m po n en t Stan d ard

Potential situations identified for evalu ation and acceptance of com ponents in the end product
in case no IEC standard for com ponent is available. This situation is possible due to quickl y
chang ing technolog y.
It is not allowed to issue a CB Test Certificate for a com ponent if there is no existing I EC
com ponent standard accepted for use in the I ECEE. The test results for such com ponent
testing shall be included in the CB Test Report of the end product.
5. 2. 1 Recei vi n g N C B h a s a n at i o n a l /reg i o n al c o m p o n en t s t an d a rd an d h a s d e cl a red it

in N ati on al D i ff e re n c e s fo r t h e en d - p ro d u ct s t a n d a rd

The receiving NCBs are strongl y encouraged to accept com ponent reports prepared by the
issuing NCB when testing has been done to their declared national/regional com ponent
standard(s) .
5. 2. 2 R ecei vi n g N C B h a s n o d e cl a red n ati on al c om p on en t stan d ard

Com ponent shall be accepted by the receiving NCB when tested to the com ponent
requirem ents of the end-product standard under the conditions occurring in the end product.
6 C o m p o n e n t Ac c e p t a n c e M a t r i x

The Database is general in nature and is intended for use with a variety of I EC standards. I t is
not m eant as a su bstitute for the technical requirem ents in a particular standard (which m ay
be m ore stringent) nor is it intended as a replacem ent for established practices for a particular
product categ ory.
The prim ary purpose of the Com ponent Acceptance Matrix is to create widest possible
acceptance of CB Test Reports, whilst m aintaining a reasonable m inim um standard for
evidence of com ponents’ conform ity to declared standards. See Clause 7.
Detailed inform ation on technical requirem ents for m em ber cou ntries, as well as, N CB
adherence to I EC standards and scope of participation are contained in the CB Bulletin and
on the I ECEE website.
6. 1 R espo n s i b i l i ti es of th e N C B s

Each NCB shall update the CAM database (identify the required “proof of com pliance”) on a
reg ular basis as requ irem ents change
IECEE OD-2039:201 5 © IEC 201 5 –7–

6. 2 R e s p o n s i b i l i t i es o f t h e I E C E E Se c re t a r i at

The I ECEE Secretariat is responsible for u ploading u pdated Excel spreadsheets into the CAM
database based on the input received from NCBs.
6. 3 C AM Datab as e d etai l s

The following displays the contents and the abbreviations used in the database.

6. 4 Ad d i t i o n a l Ru l es for co m pl eti n g t h e C o m p o n e n t Ac c e p t a n c e M a t r i x

The NCB m ay select as m an y choices as acceptable by that N CB for com ponent

6. 4. 1

acceptance. The selected choices m ay be different for each com ponent.

The colum n called “Com m ents” shou ld be used to explain choices m arked in colum ns from 5
to 9. (The selected choices can be inclusive or exclusive. The NCB should state if the
selected options are “or” or “and”).
6. 4. 2I f the N CB requires Factory I nspections for com ponents, then colum n 1 0 should be
marked appropriatel y. In the colum n for comm ents, the N CB shou ld provide answers to the
following questions:
- Does the N CB accept Factory I nspections done by others?
- If yes, who can perform the factory inspection?
- What type of inspection is required, product based, quality based or com bination?
- How often the Factory I nspection is required for com ponents?
- I s there an y on-going retesting required?
7 C o m p o n e n t i n f o r m a t i o n i n t h e C B Te s t R e p o r t s

A Critical Com ponent Table in CB Test Reports shall be com pleted according to the latest
Edition of OD-2020.
 –8– IECEE OD-2039:201 5 © IEC 201 5

7.1 Proof of component compliance

The m inim um expected proof of com ponent com pliance with com ponent standard(s) is a copy
of certification docum entation according to the definition in clause 2. 5 of this proposed
Com ponent Acceptance Operational Docum ent.
Note 1 : This docum entation shall contai n, as a m ini m um , a m odel n um ber, m anufacturer’ s nam e, standard used
includi ng edition and any lim itation or restrictions on com ponent use, if an y.
Note 2: Due to different system s at each NCB, the expected proof of com ponent com pliance with th e requirem ents
m ay be different, h owever, an y additi onal requirem ents on top of a vali d com pon ent licen se m ust be declared by
each N CB in the Com pon ent Acceptance Matri x Database.
Note 3: The colum n in th e Criti cal Com pon ent Table called “Mark(s) of conform ity” is used to identi fy/describe proof
of com ponent’s com pliance with the requi rem ents used by I ssuing Body du ri ng the end product investi gation.
Note 4: When providi ng produ ct descripti on in the CB Test Report special em phasis should be pl ace on expl aini ng
the rol e of specific com ponents in the end product to assist Recog ni zin g Bodies with identification of trul y safety
critical com ponents in the end product. This is especi al ly im portant to those NCB that “wai ve” sam pl e
requirem ents.
INTERNATIONAL IEC SYSTEM OF CONFORMITY ASSESSMENT
ELECTROTECHNI CAL SCHEMES FOR ELECTROTECHNICAL
COMMI SSION EQUI PMENT AND COMPONENTS (I ECEE)
I ECEE Secretariat c/o I EC
3, rue de Varembé 3, rue de Varembé
PO Box 1 31 PO Box 1 31
CH-1 21 1 Geneva 20 CH-1 21 1 Geneva 20
Switzerland Switzerland

Tel: + 41 22 91 9 02 1 1 Tel: + 41 22 91 9 02 1 1
info@iec. ch secretariat@iecee. org
www. iec. ch www. iecee. org