Transcript Document

RUSSIAN LEGISLATION AS A TOOL OF
REDUCING TECHNICAL BARRIERS TO
ELECTRICAL EQUIPMENT TRADING
S.V. Pugachev
Deputy Head
Federal Agency
on Technical Regulation
and Metrology
Stimulation of economic development
and market protection as
major targets of technical regulation
 Improved efficiency of market protection from
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hazardous products
Reduced administrative and economic pressure
on manufacturer
Reduced technical barriers to trade
Harmonized technical legislation
Expanded capabilities of manufacturers
TECHNICAL REGULATION
Managing production/consumption relations
TARGETS::
 Protecting life, health
of individuals, property
 Protecting
environment
 Preventing actions that
mislead purchasers
TOOLS AND
TECHNIQUES:
 Rating safety
requirements (in
technical regulations)
 Standardization
 Attestation
(declaration,
certification)
 Government control
(supervision)
 Accreditation
 Product recall
PROMOTES:
 Competent selection
of products,
processes, services by
purchasers
 Creating conditions for
free movement of
goods
 Implementation of
innovations
 Technical and
information
compatibility
 Product
interchangeability
System problems of enforcing Federal Law on
Technical Regulation
(over the period from July 1, 2003 to May 1, 2007)
 Inconsistency of the Law (in terms of individual key
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provisions) with WTO/TBT Agreement, international and
European principles and approaches in the area of
technical regulation
Lack of clear differentiation of legal areas in laws on
technical regulation, environmental protection,
occupational and fire safety, health…
Use of obsolete model to generate mandatory technical
requirements – development of directly applicable
prescriptive technical regulations containing exhaustive
requirements
Lack of continuity when using normative technical
documents
Problems of transition period: “freezing” of normative
and technical documents
OECD and APEC review of applicability of international
standards for technical regulation purposes
 «Use of irrelevant regulations may cause a
substantial growth of costs and operational
inefficiency of both individual sector and economy as
a whole … Direct results of irrelevant regulation in a
particular sector may result in higher costs, higher
prices, wrong allocation of resources, lack of
innovative product improvement suggestions and
unsatisfactory quality of services»
Types of technical regulations
(APEC and OECD classification)
 Prescriptive regulations shall be only approved in the
presence of exclusively limited possibilities of achieving
the target or when the problem is… static.
 Performance-based technical regulations precisely specify
the target but allow the item being regulated to determine
its own method of achieving the result…ensure flexibility in
achieving the target. Such regulations are the least limiting
form of trade regulation and are approved by members of
APEC (APEC guidelines for development, approval and
revision of technical regulations) and members of WTO
(Clause 2.8 of WTO/TBT Agreement).
To solve the problem of conformity and control a reference
to alternative prescriptive standards (the so called
“solutions aimed at conformity achievement”) is used.
Recommendations of the United Nations Economic Commission
for Europe (UN ECE)
concerning
standardization policy
(Recommendation “D” of UN ECE (UNESCO, UNECE TRADE/WP.6/2002/7 of June 14, 2002.)
 The governments of ECE member countries should whenever
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possible use references to national standards in their laws…
and encourage more extensive application of “reference to
standards” while drawing the attention of their competent
authorities to the benefits of this method and various ways of its
application.
Benefits:
Contributes to elimination of trade barriers and prevents their
creation
Simplifies and accelerates legislative business
Promotes more simple process of amending technical
specifications subject to technological advancement
Documents (recommendations) of international organizations
(two-tier model)
 Recommendations of the United Nations Economic Commission for
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Europe (UN ECE) concerning standardization policy
Review of applicability of international standards for technical regulation
purposes made by the Organization for Economic Cooperation and
Development (OECD)
Recommendations of the Asia-Pacific Economic Cooperation (APEC)
conference for good practices of technical regulation
ISO/IEC Guide 15 “ISO/IEC code of principles on “reference to
standards”
Report of the European Commission Directorate-General “Use of
reference standards in legislation with emphasis on European law”
ISO/IEC Draft Guide “Use of ISO and IEC Standards for technical
regulations” (considered by ISO Standardization Management Board in
February 2006)
RUSSIA-EC SUMMIT
 Road Map on the Common Economic Space
(approved by V.V. Putin, President of Russia, and EC leaders on
May 10, 2005)
1. General issues of commercial and economic cooperation
1.1. Industrial products regulation dialog (standardization, technical
regulation and conformity assessment procedures)
Target: development of harmonized and compatible standards,
regulations and conformity assessment procedures…
This dialog is aimed at further transparency of regulation, exchange
of information between regulators to promote step-by-step
approximation of relevant laws (including technical regulation) and
practices in clearly specified priority industrial sectors of mutual
interest to be defined by joint effort and whenever possible on the
basis of New Approach.
Basic principles of New Approach
(European Council Resolution 85/ЕС 136/01 dated May 7, 1985)
 Product Directives specify general (essential) safety
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requirements;
specific characteristics are defined by European standards
voluntary for use and duly developed by the following
organizations: CEN, CENELEC, ETSI;
products manufactured in accordance with harmonized European
standards (Directive) are viewed as meeting general (essential)
requirements of the Directive (presumption of conformity
principle);
if the product manufacturer is not willing to use a harmonized
standard or such standard is not available, he must prove the
conformity of his products to general (essential) requirements of
the Directive usually with the help of a third party;
a list of European standards harmonized with the Directive is
published in the Official Journal of Europe, official edition of the
European Council;
products may be marketed in EC countries only after conformity
assessment;
market surveillance is done by public authorities.
Major advantages of New Approach
 developers and legislators find it much easier to
agree upon general (essential) requirements rather
than technical details;
 the use of essential requirements in technical
regulations (directives) prevents unfair lobbing in the
interests of individual groups;
 the manufacturers are not confined to a single
solution of meeting the requirements of technical
regulations (directives) and may select their own
technical solution provided it meets the safety level
specified in the regulation;
 technical regulations (directives) do not require
regular updating in connection with technical
innovations and revised international requirements
for products.
Legislation (documents) of CIS countries related to
technical regulation (two-tier model)
 Law of the Republic of Belarus on Technical Normalization and
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Standardization
Law of Ukraine on Standards, Technical Regulations and
Conformity Assessment Procedures
Law of the Republic of Moldova on Product Conformity
Assessment
Law of the Republic of Kazakhstan on Technical Regulation
Agreement on Technical Barriers in the free trade zone (singed
by the leaders of CIS countries in 2000)
Recommendations of the Eurasian Council for standardization,
metrology and certification concerning references to standards
in documentation and standards designation in marking (RMG
50-2000)
Extract from Minutes No 12 of the Meeting of the Russian
Government dated April 13, 2006
on technical regulation progress
 2.…update a set of arrangements concerning
implementation of the Federal Law on Technical
Regulation for 2006 having provided in particular for:
 - improvement of technical regulation legislation, including
specified mandatory requirements for products and
related production process characteristics as well as
potential differentiation of requirements specified in
technical regulations and requirements of other statutory
acts possibly referred to in technical regulations;
 4.…ensure the application of common practices and
approaches in technical regulation harmonization
agreements…within CIS, Single Economic Space and
Eurasian Economic Community, etc.
 5.…ensure that in May 2006 a draft Federal Law on
changes and amendments to the Federal Law on
Technical Regulation be submitted to the Government of
the Russian Federation…
Stages of approving changes and amendments to the
Federal Law on Technical Regulation
 The draft law was prepared as resolved by the Government of the
Russian Federation, supported by the Russian Union of Industrialists
and Entrepreneurs, Federation of Independent Trade Unions of
Russia, Russian Union of Scientific and Engineering NonGovernmental Organizations, Association of Civil Engineers of
Russia, Association of Automanufacturers of Russia, Russian Union
of Chemists, International Union of Metallurgists and other nongovernmental organizations and associations
 Supported at the enlarged meeting of the Committee Chairmen
Board of the Chamber for Commerce and Industry of the Russian
Federation
 Supported at the meeting of the Committee for Innovations, Hi-Tech
Scientific and Engineering Projects of the Public Chamber of the
Russian Federation
 Passed by the State Duma in its third reading on April 6, 2007,
approved by the Federation Council on April 18, 2007 and signed by
the President of the Russian Federation on May 1, 2007
(published in Russian Gazette on May 11, 2007)
MAJOR CHANGES proposed in
the Law on Changes and Amendments to
the Federal Law on Technical Regulation
(No 65-FZ of May 1, 2007)
 CLARIFIED SCOPE OF LAW (occupational safety, manufacturing
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processes…, arrangements made for soil conservation…, preventive health care)
TECHNICAL REGULATION SYSTEM (item description, exhaustive
requirements, types of safety, there should be forms and rules of conformity
assessment, international standards should be used)
CONTENT OF TECHNICAL REGULATIONS (general/special technical
regulations, priority technical regulations, resolutions passed on an ongoing
basis)
PRESUMPTION OF CONFORMITY AND APPLICABILITY OF
DOCUMENTS TO MEET THE REQUIREMENTS OF REGULATIONS
STANDARDIZATION SYSTEM (standardization objectives, TC composition
and regulations)
ATTESTATION SYSTEM
(declaration registration procedure, simplified procedure of certificate
extension…)
GOVERNMENT SUPERVISION SYSTEM (no overlapping of functions,
clarified authorities and rights of supervising bodies)
TRANSITION PERIOD PROBLEMS (status of conformity assessment
procedures confirmed, single lists of products for certification and declaration
introduced, changes allowed to be made in regulatory and legal documents)
WTO/TBT AGREEMENT
 Technical regulation – document specifying
characteristics of goods or related processes
and methods of production, including
applicable administrative provisions to be
absolutely observed…
 Explanatory note
The definition contained in ISO/IEC Guide 2
is not isolated, it is underlain by the so
called “building block” system
Definition of technical regulation
from ISO/IEC Guide 2:2004
(“building block” system under WTO/TBT Agreement)
 Technical regulation – regulation that
provides technical requirements, either
directly or by referring to or
incorporating the content of a standard,
technical specification or code of
practice.
HARMONIZED EUROPEAN STANDARDS (EN)
THAT ENSURE CONSUMPTION OF CONFORMITY TO EC
DIRECTIVES
(list published in EC official journal)
SIMPLE
PRESSURE
VESSELS
ELECTROMAGNETI
C COMPATIBILITY
(87/404/ЕЕС)
(89/336/ЕЕС)
12
LOW VOLTAGE
127
612
MACHINERY
(73/23/ЕЕС)
(98/37/ЕС)
506
118
PRESSURE
EQUIPMENT
(97/23/ЕС)
38
ATEX
(94/9/ЕС)
Role of standards in reducing technical
barriers to trade
 Code of practice for development, approval and
application of standards (Appendix to WTO/TBT
Agreement)
 A 10-per cent increase in the level of harmonization
of standards between the countries steps up bilateral
trading volume by 3% (WTO Report on world trade (2005)
 …successful operation of IECEE CB Scheme suggests that
national standards are adequately harmonized with relevant
IEC Standards (Rules of Procedure IECEE 02)
Development concept of national standardization system
Decree No 266-r
of the Government of the Russian Federation
dated February 28, 2006
 Standardization is a key factor supporting the
national social and economic policy, it
promotes fair competition, innovations,
reduces technical barriers to trade, improves
life safety level, protects health and property
of individuals, ensures consumer protection,
environmental protection and saving of all
resources
CONTENT OF TECHNICAL REGULATIONS
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ARTICLE 7:
INSTEAD OF EXHAUSTIVE LIST OF PRODUCTS A
TECHNICAL REGULATION MUST CONTAIN A LIST
AND/OR DESCRIPTION OF REGULATION ITEMS
A REGULATION MUST CONTAIN FORMS AND RULES OF
CONFORMITY ASSESSMENT (IT MAY CONTAIN
ATESTATION SCHEMES, CERTIFICATE EXTENSION
PROCEDURES)
MANDATORY REQUIREMENTS CONTAINED IN A
TECHNICAL REGULATION ARE NOT EXHAUSTIVE
TYPES OF SAFETY COVERED BY REGULATIONS TO BE
DEVELOPED ARE NO LONGER LIMITED
INTERNATIONAL STANDARDS MUST BE USED FULLY OR
PARTIALLY AS A BASIS FOR TECHNICAL REGULATIONS
NATIONAL STANDARDS AND TECHNICAL REGULATIONS
FEDERAL LAW ON TECHNICAL REGULATION
Article 16. Rules for development and
approval of national standards
Before any technical regulation becomes
effective the national standardization body shall
approve a list of national standards and/or
codes of practice. And “voluntary use” of
national standards and/or codes of practice is a
sufficient condition for meeting the
requirements of relevant technical regulations.
When national standards and/or codes of
practice are used to meet the requirements of
technical regulations, assessment of conformity
to technical regulations may be done by
attesting their conformity to national standards
and/or codes of practice.
USE OF DOCUMENTS ON A VOLUNTARY BASIS TO MEET
THE REQUIREMENTS OF TECHNICAL REGULATIONS
 THE CONCEPT OF ”CODE OF PRACTICE” HAS BEEN
INTRODUCED
 Code of practice – document in the area of standardization containing
technical rules and/or description of processes of designing (including
research), production, construction, installation, setting-up, operation,
storage, transportation, marketing and disposal of products and applicable on
a voluntary basis
The code of practice development and approval procedure is
specified by the Government of the Russian Federation
 IMPLEMENTATION OF PRESUMPTION OF CONFORMITY
PRINCIPLE
 FOR ASSESSMENT OF CONFORMITY TO REGULATIONS THE
GOVERNMENT OF THE RUSSIAN FEDERATION APPROVES A LIST
OF STANDARDS CONTAINING RULES AND METHODS OF
TESTING, RULES OF SAMPLING
Where such standards are not available (in respect of individual
requirements or items), the Government of the Russian Federation shall
approve the rules and methods themselves
SOLUTION OF TRANSITION PERIOD PROBLEMS
 IT IS SPECIFIED THAT DURING THE TRANSITION
PERIOD CONFORMITY ASSESSMENT AND MARKING OF
PRODUCTS WITH A MARK OF CONFORMITY IN THE
MANDATORY AREA SHALL BE DONE IN ACCORDANCE
WITH PRE-ESTABLISHED PROCEDURES
 AUTHORITIES OF THE RUSSIAN GOVERNMENT FOR
MAINTAINING A SINGLE LIST OF PRODUCTS SUBJECT
TO MANDATORY CERTIFICATION AND A SINGLE LIST OF
PRODUCTS SUBJECT TO DECLARATION HAVE BEEN
DEFINED
 IT IS ALLOWED TO MAKE CHANGES IN STATUTORY
ACTS OF THE RUSSIAN FEDERATION AND REGULATORY
DOCUMENTS OF FEDERAL EXECUTIVE AUTHORITIES
Approved changes and amendments to the Federal Law
on Technical Regulation will ensure:
 consistency of the law with international practices and
international agreements signed by the Russian party
 higher efficiency of the technical regulation reform and
attainment of the reform objectives: protection of consumers
followed by reduced administrative pressure on
manufacturers and reduced technical barriers to trade
 required level of safety requirements during the transition
period (before technical regulations are approved)
Participation of Russia in IEC attestation systems
(schemes)
(Decree No 526-r of the Government of the Russian
Federation dated April 17, 2006)
 IEC System for Conformity Testing and Certification of Electrical
Equipment and Components (IECEE)
47 countries involved, 8 Russian laboratories recognized, about 40
international certificates issued
Russia joined IECEE in 1985
 IEC Quality Assessment System for Electronic Components (IECQ)
22 countries involved, 3 Russian laboratories recognized, 7
manufacturers assessed
Russia joined IECQ in 1983
 IEC Certification Scheme for Explosive Atmospheres (IECEx)
20 countries involved, 1 Russian laboratory and 1 certification body
recognized in 2004
Russia joined IECEx in 1996
STATUS OF CERTIFICATION SYSTEM FOR
ELECTRICAL EQUIPMENT (CSEE)
(established in May 1992)
 The System operates over 680 standards for electrical equipment
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(altogether there are over 3000 стандартов for electrical equipment)
The System covers:
- 287 types of products subject to mandatory certification
- 47 types of products subject to declaration of conformity
The System comprises over 380 accredited testing laboratories and 190
accredited certification bodies
CSEE operates Certification Rules. GOST R Certification System.
Certification Procedures for Electrical Equipment (approved by the
Gosstandart of Russia under No 36 on July 16, 1999, registered with the
Ministry of Justice under No 1885 on September 2, 1999)
In terms of its structure, regulatory base, rules, procedures and
regulations CSEE has been harmonized with IECEE
Correspondence table
for IEC and GOST (GOST R) standards
applicable under IECEE CB Scheme and GOST R Certification System
N
Class of electrical equipment
Description
Level of harmonization
Percentage
82
CONT
Cables and cords
Panel and automatic switches, household appliances controls
3.
HOUS
Household appliances
62
4.
INST
Installation components and connectors
52
5.
LITE
Lighting fixtures
66
6.
MEAS
Measuring instruments
38
7.
MED
Medical electrical appliances
67
8.
OFF
Information and office equipment
40
9.
PROT
Installation protective equipment
71
10
POW
Low-voltage power controls
48
11
TOOL
Hand-held and transportable motor-operated electric tools
81
12
TRON
Entertainment electronics
67
13
SAFE
Safety isolating transformers
5
14
CAP
Capacitors as components
30
15
ВАТТ
Batteries
10
16
MISC
Miscellaneous
0
1.
CABL
2.
Total
29
60
By January 1, 2010 the following priority technical regulations
shall be approved
(Clause 1 of Article 9 of the Federal Law on Technical Regulation):
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machinery;
low voltage;
construction materials and building products;
buildings and structures;
drugs;
elevators;
power plants and mains;
overpressure equipment;
electromagnetic compatibility;
wheeled vehicles;
medical products;
personal protective equipment;
chemical products;
foodstuffs;
gas fuel operated equipment;
ATEX;
packaging.
Development of Low Voltage Technical Regulation
 The technical regulation development program approved by the
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Government of the Russian Federation, decree No 1421-r dated
November 6, 2004
Airing of the draft: February 2005 – April 2005.
About 300 comments from 36 organizations received,
85% of comments implemented
Approval in consultation with 6 ministries (departments)
Findings received from: expert committee, Institute of Legislation
and Comparative Jurisprudence under the Government of the
Russian Federation, Legal Department of the President of the
Russian Federation, Department of the Government of the Russian
Federation
The Technical Regulation approved at the meeting of the
Government Panel for Technical Regulation in November 2006
Source documents for Technical Regulation
development
 New Approach Low Voltage Directive 73/23/EEC
 Directive Application Guide – official publication
of the European Commission
 IECEE rules and procedures (Russia joined
IECEE in 1985: Decree No 2236-R of the USSR
Council of Ministers dated October 24, 1985,
Decree No 526-R of the Government of the
Russian Federation dated April 17, 2006)
 Regulatory base – 240 standards of the
International Electrotechnical Commission
9 Leninsky Prospect
Moscow V-49, GSP-1, 119991
Tel.: 236 0553, fax: 236 4395
Е-mail: [email protected]
http://www.gost.ru