Asia-Pacific Economic Cooperation (APEC)
Mutual Recognition Arrangement for Conformity Assessment ofTelecommunications Equipment ( May 8, 1998 )
Introduction
The APEC Leaders adopted the Osaka Action Agenda in November 1995 which states that APEC economies will develop and begin to implement, on an elective basis, a model mutual recognition arrangement on conformity assessment of telecommunications equipment.
The APEC economies are striving to follow the APEC Guidelines for Regional Harmonization of Equipment Certification, with a view to facilitating trade in telecommunications goods and services.
The World Trade Organization (WTO) Agreement on Technical Barriers to Trade provides that WTO Members "shall ensure, whenever possible, that results of conformity assessment procedures in other WTO Members are accepted, even when those procedures differ from their own, provided they are satisfied that those procedures offer an assurance of conformity with applicable technical regulations or standards equivalent to their own procedures."
The WTO Agreement on Technical Barriers to Trade also provides that "where a positive assurance of conformity with a technical regulation or standard is required, Members shall, wherever practicable, formulate and adopt international systems for conformity assessment and become members thereof or participate therein." and that "Members are encouraged to permit participation of conformity assessment bodies located in the territories of other Members in their conformity assessment procedures under conditions no less favourable than those accorded to bodies located within their territory or the territory of any other country."
Substantial work has been conducted by International Telecommunication Union on standardization in telecommunications.
One essential precondition for mutual recognition is an importing Party's confidence in the competence of Conformity Assessment Bodies of another Party to test or assess conformity to the importing Party's requirements, including confidence that physical standards of measurement are maintained to a high degree of accuracy and are traceable to international standards, that instruments in laboratories and test facilities are properly calibrated, and that inspectors and assessors are technically competent to carry out tests and to interpret results and are familiar with and able to put in place all necessary tests and procedures.
Confidence building can be facilitated in various ways, including through technical cooperation and assistance which can help to develop institutional structures on measurement, testing and other conformity assessment skills, and also by means of courses, seminars, personnel exchanges, inter-comparisons, joint audits and the like. Such technical cooperation and assistance can help to develop a greater familiarity with other Parties' requirements and a greater commonality of approach.
Confidence building is promoted by the development within each economy of rigorous systems of accreditation for Conformity Assessment Bodies, using guides such as ISO/IEC guides or recommendations issued by international bodies. Parties to this Arrangement may rely on mutual recognition arrangements between such accreditation systems to secure and simplify their participation in this Arrangement.
This Arrangement is not intended to displace private sector arrangements among Conformity Assessment Bodies, nor to displace regulatory regimes allowing for manufacturers' self-assessments and declarations of conformity. It is an expression of intent by the participating economies to work together, in their mutual interests, to accept test reports and/or equipment certifications. This Arrangement does not, in and of itself, create legally binding obligations. Two or more Parties may enter into legally binding obligations between or among themselves through exchange of letters incorporating this Arrangement, or through such other means as they deem necessary.
The Parties to this Arrangement mutually decide as follows:
1.PURPOSE OF THE ARRANGEMENT
This Arrangement is intended to streamline the Conformity Assessment Procedures for a wide range of telecommunications and telecommunications-related equipment and thereby to facilitate trade among the Parties. It provides for the mutual recognition by the importing Parties of Conformity Assessment Bodies and mutual acceptance of the results of testing and equipment certification procedures undertaken by those bodies in assessing conformity of equipment to the importing Parties' own Technical Regulations.
2.GENERAL PROVISIONS
2.1The requirements that the Parties will apply to designate and monitor testing laboratories and certification bodies as Conformity Assessment Bodies are found in Appendix A to this Arrangement, "Designation and Monitoring Requirements of Conformity Assessment Bodies."
2.2The procedures that the Parties will use to mutually recognize Conformity Assessment Bodies and to mutually accept the results of Conformity Assessment Procedures produced by those Bodies are set forth in two additional appendices:
Appendix B - "Phase I Procedures for Mutual Recognition of Testing Laboratories As Conformity Assessment Bodies and Mutual Acceptance of Test Reports" (Phase I Procedures).
Appendix C - "Phase II Procedures for Mutual Recognition of Certification Bodies as Conformity Assessment Bodies and Mutual Acceptance of Equipment Certifications" (Phase II Procedures).
3.DEFINITIONS AND INTERPRETATIONS
3.1General terms concerning test reports and Conformity Assessment Procedures used in this Arrangement have the meaning given to those terms in ISO/IEC Guide 2 (1996 edition) Standardization and related activities - General Vocabulary of the International Organization for Standardization and the International Electrotechnical Commission (ISO/IEC Guide 2). In addition, the following definitions apply to this Arrangement:
Administrative Arrangements means any publicly available procedures or legal or contractual arrangements within a Party's jurisdiction which impact on the Conformity Assessment Procedures for the telecommunications equipment within the scope of this Arrangement, as described in paragraph 4 of this Arrangement.
Conformity Assessment Body means a body, which may include a third party or a supplier's testing laboratory, or a certification body, that performs conformity assessment to an importing Party's Technical Regulations.
Designation means the act by a Designating Authority of designating a Conformity Assessment Body to perform Conformity Assessment Procedures under this Arrangement.
Party means an APEC member economy that chooses to join this Arrangement.
Public Telecommunications Network means public telecommunications infrastructure that permits telecommunications between defined network termination points.
Technical Regulations means those technical requirements, legislative and regulatory provisions, and Administrative Arrangements that a Party has specified under Annex I of the Phase I or Phase II Procedures pertaining to the registration, testing or certification of equipment with respect to which compliance is mandatory.
3.2In the event of any inconsistency between a definition in ISO/IEC Guide 2 (1996 edition) and a definition in this Arrangement, the definition in this Arrangement will prevail.
3.3In the event of any inconsistency between a term in this Arrangement and a term in one of the Appendices, the Appendices will prevail, to the extent of the inconsistency.
4.SCOPE
4.1Scope of Technical Regulations - This Arrangement applies to Technical Regulations listed separately by each Party under Annex I concerning conformity assessment of equipment. The Technical Regulations will concern equipment subject to network terminal attachment or other telecommunications regulation. Where network terminal attachment or other telecommunications regulation pertains, the Arrangement applies to the Technical Regulations listed in Annex I concerning conformity assessment, including electromagnetic compatibility (EMC) and electrical safety.
4.2Equipment Scope - The equipment scope covers network terminal attachment and other equipment subject to telecommunications regulation of each Party, including wire and wireless equipment, and terrestrial and satellite equipment, whether or not connected to a Public Telecommunications Network.
Equipment which is intended to be connected behind devices providing adequate network protection for a Public Telecommunications Network will be excluded by the Parties from the scope of equipment certification as it applies to network terminal attachment.
4.3Nothing contained in this Arrangement precludes the Parties from entering into arrangements under the International Telecommunication Union Memorandum of Understanding on Global Mobile Personal Communications by Satellite (GMPCS).
4.4This Arrangement does not constitute an acceptance of the standards or technical regulations of a Party by the other Parties, or mutual recognition of the equivalence of such standards or technical regulations.
4.5Arrangements concluded by any Party with an economy that is not a Party to this Arrangement (including non-APEC economies) will not impose any obligation upon any other Parties.
5.DESIGNATING AUTHORITIES
5.1Parties will ensure that their Designating Authorities have the authority and competence to designate, list, verify the compliance of, limit the Designation of, and withdraw the Designation of Conformity Assessment Bodies within their jurisdictions. Parties also will ensure that their Designating Authorities have the authority and competence to recognize Conformity Assessment Bodies outside their jurisdictions.
5.2Parties will take such measures as necessary to ensure that their designated Conformity Assessment Bodies maintain the necessary technical competence to undertake the Conformity Assessment Procedures for which they have been designated.
5.3The Designating Authority also may appoint an accreditation body to accredit Conformity Assessment Bodies while maintaining full responsibility as a Designating Authority under this Arrangement.
5.4Each Party will list, under Annex II, its Designating Authorities and accreditation bodies.
6.DESIGNATION OF CONFORMITY ASSESSMENT BODIES AND APPOINTMENT OF ACCREDITATION BODIES
6.1Each Designating Authority listed in Annex II may designate Conformity Assessment Bodies to perform conformity assessment of equipment subject to another Party's Technical Regulations.
6.2In making such Designations, a Designating Authority will observe the procedures set out in Appendix A to this Arrangement.
6.3An exporting Party may appoint one or more accreditation bodies which have entered into a mutual recognition arrangement among other accreditation bodies, to accredit Conformity Assessment Bodies.
6.4In making such accreditations, an accreditation body will observe the procedures set out in Appendix A to this Arrangement.
6.5A Conformity Assessment Body will publish and maintain a list of equipment certifications, and upon a request by a Party, will identify all equipment certified by that Conformity Assessment Body to the Party's Technical Regulations. The Designating Authority that designated the Conformity Assessment Body will enforce the request, as necessary.
7.RECOGNITION OF CONFORMITY ASSESSMENT BODIES AND MUTUAL ACCEPTANCE OF THE RESULTS OF CONFORMITY ASSESSMENT PROCEDURES
Under the conditions and procedures specified in the Phase I or Phase II Procedures, a Party will recognize the Conformity Assessment Bodies designated by another Party's Designating Authority or accredited by an accreditation body operating under a separate mutual recognition arrangement and accept the results of Conformity Assessment Procedures performed by those bodies.
8.VERIFICATION OF CONFORMITY ASSESSMENT BODIES
8.1Parties concerned have the right to contest the technical competence of Conformity Assessment Bodies, as well as the Conformity Assessment Bodies' conformity with Appendix A. This right will be exercised under exceptional circumstances only.
8.2The contesting Party will provide written notice of its contest to the exporting Party. The contest will include an objective and reasoned written description of the basis for the contest, including a description of the available evidence and opinions supporting the contest. The relevant Designating Authority, accreditation body, and the Conformity Assessment Body will be given prompt notice of the contest and not less than sixty days from receipt of the notice to present information refuting the contest or correcting the deficiencies which form the basis of the contest.
8.3Where verification of the Conformity Assessment Body's technical competence or conformity with Appendix A is required to resolve the issue, it will be carried out in a timely manner jointly by the Parties concerned with the participation of the relevant Designating Authority and accreditation body.
8.4Parties will ensure that their Conformity Assessment Bodies are available for verification of their technical competence and their conformity with Appendix A.
8.5The results of this verification will be discussed by the Parties, the relevant Designating Authority, accreditation body, and the Conformity Assessment Body concerned with a view to resolving the issue as soon as possible. Where, as a result of the verification, the Conformity Assessment Body is found to be not in conformity with Appendix A, the contesting Party will give the Conformity Assessment Body prompt notice and not less than sixty days from receipt of the notice to present information refuting the findings of the verification or correcting the deficiencies which form the basis of the contest.
8.6Where, as a result of the verification and subsequent response by the Conformity Assessment Body, the contesting Party intends to withdraw or limit to certain Technical Regulations its recognition of the Conformity Assessment Body, the contesting Party will provide sixty days advance notice of its intent, including a written explanation of its reasons, to the Conformity Assessment Body concerned, to the relevant Designating Authority, accreditation body, and the exporting Party.
8.7Upon mutual consent of one or more contesting Parties and the relevant Designating Authority and accreditation body, matters relating to the conformity of the Conformity Assessment Body with Appendix A may be referred to a review process recognized by those Parties, or to a subcommittee of the Joint Committee, comprised of the Parties involved, for evaluation and assistance in resolution of technical issues.
8.8When a Party withdraws or limits to certain Technical Regulations recognition of a Conformity Assessment Body, that Party will continue to accept the results of Conformity Assessment Procedures performed by the Conformity Assessment Body prior to the withdrawal or limitation, unless that Party has good cause for not accepting such results.
8.9If the Party determines not to accept such results, it will provide sixty days advance notice including a written explanation of the reason to the Conformity Assessment Body concerned, to the relevant Designating Authority, accreditation body, and the exporting Party.
8.10The withdrawal or limitation will remain in effect until agreement has been reached by the Parties upon the future status of the Conformity Assessment Body.
9.COMMENCING THE ARRANGEMENT AND INITIATING PARTICIPATION IN PHASE I OR PHASE II PROCEDURES
9.1This Arrangement will take effect July 1, 1999. Two or more Parties may mutually decide that the Arrangement may apply between them prior to July 1, 1999.
9.2Those economies that intend to participate in this Arrangement as of July 1, 1999 will notify the APEC TEL WG Chair by the APEC TEL XIX meeting in Japan in March 1999 that they are prepared to initiate participation in Phase I or Phase II Procedures, or both. Following the March 1999 meeting, the APEC TEL WG Chair will identify the Parties to one another.
9.3Economies that are not prepared to initiate participation in Phase I or Phase II Procedures as of July 1, 1999 may notify the APEC TEL WG Chair at any time when they are prepared to do so. Such notification will generally be given six months prior to the date that the economy intends to initiate participation in Phase I or Phase II Procedures, or both, so that other Parties have the opportunity to begin learning about the economy's Technical Regulations, and vice versa. Immediately after receiving a notification from an economy under this paragraph, the APEC TEL WG Chair will identify the economy to the other economies.
9.4Once the APEC TEL WG Chair has identified a Party under paragraph 9.2 or 9.3,the Party will supply to the other Parties the following information in writing:
(a)The list of Technical Regulations for which it will recognize the test reports and equipment certifications from other Parties' Conformity Assessment Bodies in accordance with the respective Phase I and Phase II Procedures. The list will be provided in the format specified in Annex I to the procedures.
(b)The list of Designating Authorities in the notifying Party's jurisdiction that will be responsible for designating Conformity Assessment Bodies in accordance with Appendix A. The list will be provided in the format specified in Annex II to the Phase I and Phase II Procedures. The list will include any accreditation bodies that the Designating Authority intends to appoint for accrediting Conformity Assessment Bodies as provided under paragraphs 5.3 and 6.3 of this Arrangement.
(c)The contact persons to be responsible for the activities under this Arrangement.
The other Parties will supply the new Party with the same information.
9.5Parties will enjoy full and equal benefits and responsibilities under this Arrangement immediately upon initiating participation in accordance with this Arrangement.
9.6If two or more Parties jointly determine to add to or subtract from the Arrangement, they will promptly notify all other Parties.
10.INFORMATION EXCHANGE
10.1 Each Party will maintain a publicly available list of Technical Regulations under Annex I of the Phase I and Phase II Procedures and will make those Technical Regulations publicly available. Except where more urgent action is required, each Party will make publicly available any amendments to the Technical Regulations included in the Parties' list of Technical Regulations or any changes to its list of Technical Regulations within sixty days of publication of the amended or new regulation. In the event of any need for interpretation of such provision, the official language in which the provision was prepared will be used.
10.2The Parties will consult as necessary to ensure the maintenance of confidence in Conformity Assessment Procedures and to ensure that all Technical Regulations are identified and are satisfactorily addressed.
10.3Each Party will provide public notice of any new or amended technical regulations within the scope of the respective Phase I and Phase II Procedures. The Party will provide any interested person, including manufacturers of other Parties, an opportunity to comment, unless expressly prohibited under a Party's law, on the relevant part of the new or amended technical regulations in advance of their adoption. When the new or amended technical regulations come into effect, the Party will amend its list accordingly.
10.4Each Party will promptly notify the other Parties of any changes to its list of Designating Authorities and accreditation bodies (Annex II), list of designated Conformity Assessment Bodies (Annex III), or list of recognized Conformity Assessment Bodies and mutual recognition arrangements among accreditation bodies (Annex IV).
11.JOINT COMMITTEE
11.1The Parties hereby establish a Joint Committee, consisting of representatives of each Party. The Joint Committee will meet at the request of the APEC TEL WG, or more frequently as agreed by the Joint Committee, to assist in the effective implementation of the Arrangement. The Joint Committee will determine its own rules of procedure. All decisions of the Joint Committee will be made by consensus, unless the Parties mutually decide otherwise.
11.2To assist in the effective implementation of this Arrangement, the Joint Committee may appoint one or more subcommittees in which the representatives of a Party may include persons from the business/private sector including suppliers, manufacturers and Conformity Assessment Bodies.
12.ADDITIONAL PROVISIONS
Each Party will endeavor to use international standards, or the relevant parts of international standards, as the basis for its Technical Regulations, where applicable international standards exist or when their completion is imminent, except when such international standards or relevant parts would be ineffective or inappropriate. Examples include, but are not limited to, fundamental climatic or geographic considerations or fundamental technical problems.
13.CONFIDENTIALITY
13.1An importing Party will not require a Designating Authority, accreditation body or Conformity Assessment Body to disclose a supplier's proprietary information except where necessary to demonstrate conformity with an importing Party's Technical Regulations.
13.2A Party, in accordance with its applicable laws, will protect the confidentiality of any proprietary information disclosed to it in connection with Conformity Assessment Procedures.
14.PRESERVATION OF REGULATORY AUTHORITY
14.1Each Party retains all authority under its laws to interpret and implement its Technical Regulations governing equipment included within the scope of this Arrangement.
14.2Nothing in this Arrangement will be construed to limit the authority of a Party to determine the level of protection it considers appropriate with regard to safety, the protection of consumers, and otherwise with regards to risks of concern to the Party.
14.3Nothing in this Arrangement will be construed to limit the authority of a Party to take all appropriate measures whenever it ascertains that equipment may not meet the Party's Technical Regulations. Such measures may include carrying out surveillance activities, prohibiting connection of the equipment to the Public Telecommunications Network, withdrawing the equipment from the market, prohibiting their placement on the market, restricting their free movement, initiating an equipment recall, or otherwise preventing the recurrence of such problems, including through a prohibition on imports. If a Party takes such action, it will notify the affected Parties within fifteen days of taking such action, providing its reasons.
15.FEES
The Parties will ensure that any fees imposed by the Parties for determining compliance of Conformity Assessment Bodies with the Designation requirements under paragraph 6 of this Arrangement will be non-discriminatory, transparent, and reasonable.
16.AMENDMENT AND TERMINATION OF ARRANGEMENT
16.1This Arrangement may be amended by the mutual, written consent of the Parties provided, however, that a Party may modify its respective lists of Technical Regulations (Annex I), Designating Authorities and accreditation bodies (Annex II), designated Conformity Assessment Bodies (Annex III), and recognized Conformity Assessment Bodies and mutual recognition arrangements among accreditation bodies (Annex IV), as specified in paragraph 10.
16.2Any Party may terminate its participation in this Arrangement or only in the Phase I or Phase II Procedures, as applicable, by giving to all other Parties six months notice in writing.
16.3Following termination by a Party of its participation in this Arrangement or only in the Phase I or Phase II Procedures, as applicable, a Party will continue to accept the results of Conformity Assessment Procedures performed by Conformity Assessment Bodies under this Arrangement prior to termination, unless the Party decides otherwise, and so advises other Parties in its termination notice.
17.FINAL PROVISIONS
17.1This Arrangement includes:
Appendix A, "Designation and Monitoring Requirements for Conformity Assessment Bodies";
Appendix B, "Phase I Procedures for Mutual Recognition of Testing Laboratories as Conformity Assessment Bodies and Mutual Acceptance of Test Reports" ;
Appendix C, "Phase II Procedures for Mutual Recognition of Certification Bodies as Conformity Assessment Bodies and Mutual Acceptance of Equipment Certifications" ;
Annex I, "List of Technical Regulations For [Name of Economy]" ;
Annex II, "List of Designating Authorities and Accreditation Bodies For [Name of Party]" ;
Annex III, "List of Conformity Assessment Bodies(CAB) Designated by [Name of Party]" ;and
Annex IV, "List of Conformity Assessment Bodies(CAB) and Mutual Recognition Arrangements Among Accreditation Bodies Recognized by [Name of Party]".
17.2 In the event of any inconsistency between a provision in this Arrangement and a provision in one of the Appendices, the Appendices will prevail, to the extent of the inconsistency.
