IECEx OD 316-5
Edition 1.2

2023-10IECEx
OPERATIONAL DOCUMENT

IEC System for Certification to Standards relating to Equipment for use
in Explosive Atmospheres (IECEx System)
IECEx Certified service facilities scheme –Part 5: Repair, overhaul and reclamation of Ex equipment

IECEx OD 316-5:2023(E)Assessment procedures for IECEx acceptance of candidate certification bodies(ExCBs) for the purpose of issuing IECExc Certificates to Ex service facilities
involved in the repair, overhaul and reclamation of Ex equipment

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IECEx OD 316-5
Edition 1.2

2023-10IECEx
OPERATIONAL DOCUMENT
IEC System for Certification to Standards relating to Equipment for use
in Explosive Atmospheres (IECEx System)
IECEx Certified service facilities scheme –Part 5: Repair, overhaul and reclamation of Ex equipment
Assessment procedures for IECEx acceptance of candidate certification bodies(ExCBs) for the purpose of issuing IECEx certificates to Ex service facilities
involved in the repair, overhaul and reclamation of Ex equipment

INTERNATIONAL
ELECTROTECHNICALCOMMISSION

PRICE CODE

ZZ

–2–

IECEx OD 316-5 Ed.1.2 © IEC:2023(E)

CONTENTSFOREWORD ........................................................................................................................... 3
INTRODUCTION ..................................................................................................................... 4
SECTION 1 – INITIAL ASSESSMENT AND RE-ASSESSMENT OF EXCBS ............................ 5
SECTION 2 – ON GOING SURVEILLANCE OF EXCBS ........................................................ 10
SECTION 3 – ASSESSMENT OF EXISTING EXCBS SEEKING TO EXTEND THEIRSCOPE OF ACCEPTANCE TO COVER THE IECEX CERTIFIED SERVICE FACILITIESSCHEME FOR REPAIR, OVERHAUL AND RECLAMATION OF EX EQUIPMENT ................. 13
Annex A – IECEx ASSESSMENT REPORT FORM for IECEx 03-5 ExCB (IECEx
Certification Body – Certified Service Facilities Program) – Repair, overhaul andreclamation of Ex equipment ................................................................................................. 14
Annex B – ExCB Auditor Competence – minimum requirements ……………………….………21

IECEx OD 316-5 Ed.1.2 © IEC:2023(E)–3–INTERNATIONAL ELECTROTECHNICAL COMMISSION____________
IECEx Operational Document 316-5
IECEx Certified service facilities scheme –Part 5: Repair, overhaul and reclamation of Ex equipment
Assessment procedures for IECEx acceptance of candidate certification
bodies (ExCBs) for the purpose of issuing IECEx certificates to
Ex service facilities involved in the repair, overhaul andreclamation of Ex equipment
FOREWORD
This IECEx operational document IECEx OD 316-5 on assessment procedures for theacceptance of applicant ExCBs seeking to participate in the IECEx Certified service facilities
scheme – Part 5: Repair, overhaul and reclamation of Ex equipment (“IECEx 03-5 scheme”)
defines the requirement for assessment for acceptance to issue IECEx certificates to service
facilities involved in the repair, overhaul and reclamation of Ex equipment.
A listing of currently approved ExCBs is maintained on the IECEx website: www.iecex.com.
Document History
Date

Summary

2013-03

This original issue Edition 1.0 of
OD 316-5 supersedes OD 016 version 1 in part and represents theapplication of a new numbering system.

2017-10

Edition 1.1
This edition was prepared to clarify the process of application andacceptance for applicant ExCBs that are already accepted as ExCBs
in the IECEx Certified equipment scheme and to align with IECEx 035 provisions and requirements. This was approved via Decision
2017/582023-10

Edition 1.2 published as recommended by ExSFC WG5, endorsed by
the ExSFC and approved by the ExMC via Decision 2023/34

Address:
IECEx Secretariat c/o IEC Sydney OfficeAngel Place, Office 1721, Level 17
123 Pitt Street
Sydney, NSW 2000
Australia
Contact details:
Tel: +61 2 4628 4690
info@iecex.com
www.iecex.com

–4–

IECEx OD 316-5 Ed.1.2 © IEC:2023(E)

INTRODUCTION
This operational document details the assessment procedures established by the IECEx
scheme’s management committee, ExMC, for the purpose of ensuring a thorough assessmentof candidate ExCBs.
The principle aim of these procedures is to instil international confidence in the ExCB’s
competence and capabilities for performing assessment and auditing of Ex service facilities
involved in the repair, overhaul and reclamation of Ex equipment and who seek IECEx
certification.
International confidence is established by evaluating the competence of a certifying body. The
assessment is to cover the competence, experience and familiarity of ExCB personnel and theorganization with the relevant explosion protected standards, quality management systems,
IECEx scheme and associated rules and ISO/IEC 17065 and IECEx technical capability
documents (TCDs).
The procedures are also aimed at ensuring a consistent approach to assessments by IECEx
assessment teams.
This operational document provides the following three sections:• Section 1 – Initial assessment and re-assessment of ExCBs• Section 2 – Ongoing surveillance of ExCBs• Section 3 – Assessment of existing ExCBs seeking to extend their scope of acceptance tocover the IECEx Certified service facilities scheme for repair, overhaul and reclamation of
Ex equipment
The procedures are set out in table form identifying:• Step number• Required action• Responsible person or party• Desired outcome
The steps identified in the table correspond to the steps shown in the flowchart.
The preparation of this document has been done so with the aim of alignment with various
ISO/IEC International Standards and Guides, including but not limited to the following:
ISO/IEC 17000, Conformity assessment – Vocabulary and general principles
ISO/IEC 17011, Conformity assessment – General requirements for accreditation bodies
accrediting conformity assessment bodies
ISO/IEC 17021, Conformity assessment – Requirements for bodies providing audit andcertification of management systems
ISO/IEC 17065, Conformity assessment – Requirements for bodies certifying products,
processes and services
ISO 19011, Guidelines for auditing management systems
ISO Guide 27, Guidelines for corrective action to be taken by a certification body in the eventof misuse of its mark of conformity
ISO Guide 28, Conformity assessment – Guidance on a third-party certification system forproducts
ISO Guide 53, Conformity assessment – Guidance on the use of an organization's quality
management system in product certification

IECEx OD 316-5 Ed.1.2 © IEC:2023(E)–5–Assessment procedures for IECEx acceptance of candidate certification
bodies (ExCBs) for the purpose of issuing IECEx certificates to
Ex service facilities involved in the repair, overhaul andreclamation of Ex equipment
SECTION 1 – INITIAL ASSESSMENT AND RE-ASSESSMENT OF EXCBs
This section is to be applied for the initial assessment of ExCBs prior to their acceptance in the
IECEx scheme and re-assessment of existing ExCBs.
The term lead assessor, as used throughout this document, shall mean the IECEx assessment
team leader appointed by the IECEx Secretariat and endorsed by ExMC.
This section does not apply to ExCBs already accepted in the IECEx Certified equipment
scheme. Refer to section 3.
The ExCB shall use application forms that include a statement by which the applicant declares
any previous or existing applications made to other ExCBs.

–6–
Step

Activity

IECEx OD 316-5 Ed.1.2 © IEC:2023(E)
By whom

Desired outcome

Formal application submitted to IECEx Secretariat
1

Application received by IECEx Secretariat, in
accordance with IECEx 03-5. The application
shall include details of the proposed ExCB
assessors to undertake IECEx 03-5 audits.

IECEx Secretariat

Candidate ExCB

2

Application assessed for completeness.
Appointed assessment team accepted by ExMC.

IECEx Secretariat

Assessment team proposed by
IECEx Secretary and accepted
by ExMC3

IECEx Secretariat reviews application
documentation for completeness. The IECEx
Secretariat may request further information fromthe candidate. ExMC Secretary to report findings
to candidate ExCB.

IECEx Secretariat

4

IECEx Secretariat forwards application package
to members of the appointed assessment team.

IECEx Secretariat

All relevant information
available for team tocommence their assessment

Team leader tomanageTeam leader notifies candidateof successful review of
documentation and thenprepares to arrange site visit

Documentation review stage
5

IECEx assessment team commences
assessment. Team leader, in conjunction withteam members reviews application
documentation to satisfy steps 6 to 8.
The ExCB shall provide a filled-out TCD 6007919.
Team leader may request additional informationfrom the candidate ExCB.

6Team leader, in conjunction with team members
determines whether the applicant ExCB has
independent accreditation.

Team leader ortheir delegate

Formal notification ofaccreditation, with a copy
being submitted by theapplicant7

Assessment of the accreditation and credentialsof the accreditation body. For example,
determining:

Team leader­ Verification of MRAs
­ Notification of government
recognition­ Whether the body has mutual recognition
agreements with other bodies­ Use of ISO/IEC 17065­ Frequency of surveillance
audits­ Whether the body has national government
recognition­ What standards or guides are used
IECEx assessment team leader may obtain
information directly from accreditation body or
candidate ExCB and circulate to other IECEx
assessment team members for review via
correspondence.
NOTE ExCB should obtain all necessary informationfrom accreditation body for presentation to IECEx
assessment team leader.

8

Review of past audit reports, issued by theaccreditation body, by assessment team toestablish compliance with the requirements ofIECEx 03-5, and documents, ISO/IEC 17021 andISO/IEC 17065 as relevant.

Assessment teammanaged by teamleaderAcceptance by IECEx
assessment team of
information and audit reports
as evidence of compliance tothe requirements of IECEx 035 and ISO/IEC 17065

9

Notification of results of steps 6 to 8 to candidate
IECEx 03-5 ExCB.

Team leader

Letter, fax or email tocandidate ExCB. Copy to
IECEx Secretariat

IECEx OD 316-5 Ed.1.2 © IEC:2023(E)–7–On-site visit
10

A minimum of one representative of the IECEx
assessment team visits candidate to conduct asite visit for each ExCB application. This visit isto verify the applicant ExCBs ability to comply
with IECEx 03-5 requirements.
The assessment shall include a review of the
ExCB’s system for allocating auditors ascompetent to undertake IECEx service facility
assessments.

At least one
person fromIECEx
assessment team(usually teamleader)Visit notes to be included inassessment file

Team leader

Team leader to commence
arranging for a final
assessment report compiling areportTeam leader in consultation
with his team shall determine
the duration of the visit

The assessment of competence of the ExCB’s
auditors shall detail each auditor’s knowledge
and experience qualifying them as competent toassess service facilities conducting overhaul,
repair and reclamation to the requirements of
IEC 60079-19, IECEx OD 313-5, OD 314-5 andOD315-5. This shall also detail their additional
competence to assess service facilities
compliance with IEC 60034-23 where the Ex
equipment being overhauled and repaired is anelectric motor
11

Results of site visit determined with a final reportfor submission to the IECEx Secretariat preparedin the format as outlined in Annex A.
Final report to be reviewed by all members of theassessment team.

12

Final IECEx assessment team report reviewed by
IECEx Secretariat.

IECEx Secretariat

Review by IECEx Secretariat
to ensure completeness of
information and ready forcirculation to ExMC for voting

13

IECEx Secretariat prepares report for voting andsubmits to ExMC members for formal voting, viacorrespondence or at the next ExMC meeting.

IECEx Secretariat

ExMC document issued forvoting, with a copy submitted
to candidate ExCB

Final approval of ExCB by ExMC
14

Assessment of report considered by ExMC
members with members returning the completed
voting form to the IECEx Secretariat as soon as
possible and by due date.

ExMC members

Majority acceptance voteapproves application (refer
IEC CA 01 and IECEx 01-S)

15

If voting is acceptable, then IECEx Secretariat
notifies applicant of their acceptance.

IECEx Secretariat

ExMC letter to accepted ExCB

16

Appointment recorded at next ExMC meeting.

IECEx Secretariat
to arrange

Recorded in the minutes

17

Where review in step 12 is unsatisfactory, IECEx
Secretariat refers the matter to the IECEx
assessment team leader seeking additional
information or revised report.

IECEx Secretariat

An acceptable report forcirculation to ExMC

18

Where a positive vote, in accordance with
IECEx 01 is not achieved the application is thenreferred to the next ExMC meeting fordiscussion.

IECEx Secretariat
to arrange

Findings recorded in theminutes19

If at the conclusion of the “document review
stage”, the assessment team is not satisfied with
the information presented, the team leader shallinform the candidate ExCB and IECEx
Secretariat of the assessment team’s views.

Team leader tomanageAssessment report by teamleaderIn order for the assessment to proceed, theIECEx assessment team may be required to
conduct a full on-site assessment in accordancewith IECEx 03-5 and technical guidance
documents (TCD 60079-14), ISO/IEC 17065 andISO/IEC 17021, as applicable.

–8–

IECEx OD 316-5 Ed.1.2 © IEC:2023(E)20Where non-conformances are identified during
the assessment process, the candidate ExCB
implements corrective action if they wish toproceed with their application.

Candidate ExCB

Implementation of corrective
actions

21

Assessment team assesses corrective action.
This may be performed by either the full team ora partial team or even one member of the team.

Team leader tomanageReport on assessment ofcorrective actions

22

Notification of results of step 5 to candidate
IECEx 03-5 ExCB.

Team leader

Letter, fax or email to Chair ofassessing panel

IECEx OD 316-5 Ed.1.2 © IEC:2023(E)

–9–

2

1

Application package
reviewed by ExMC
Secretary

ExCB Application
Submitted to ExMC
Secretary

11

3
Satisfactory

IECEx Team Leader
submits report to
ExMC Secretary for
ReviewNO

YES

6

Has National
Accred?

4
ExMC Secretary
forwards package toAssessment Team

YES

7

NO

Team Leader establishes
credentials of theAccreditation Body eg MRAs
with other Acc. Bodies andacceptance of last audit ie nolonger than 12 months

NO

YES

17

Refer to Team
Leader for
additional
information orrevised report

5

Assessment
Team
Commences
Assessment

12

Satisfactory?

NO

Acceptable?

13

Secretary Circulates
Report to ExMC for
voting

YES

19

8

ExMC Assessment
Team conducts fullon-site assessment

IECEx Assessment
Team reviews last audit
report and audit notes

14

VotingAcceptable
?

NO

NO

20

Applicantimplements
corrective action

Satisfactory?

YES

YES

NO

Document
Review Satisfactory?

18
Refer to next
ExMC Meeting

YES

21

NO

9

15

IECEx Assessment
Team assesses
corrective action &Implementation

Report results

ExMC Secretary
notifies Applicant of
their Acceptance22

10

Satisfactory?
Report Results

IECEx Assement Team
Representative(s)conducts min. 1 day visit

Appointment
recorded at next
ExMC Meeting

YES

IECEx Assessment FlowChart(Refer to table for details of each step)16

– 10 –

IECEx OD 316-5 Ed.1.2 © IEC:2023(E)SECTION 2 – ON GOING SURVEILLANCE OF EXCBs
This section applies to ExCBs that have already been accepted into the IECEx Certified service
facility scheme for the scope of issuing IECEx certification to Ex service facilities involved in
the repair, overhaul or reclamation of Ex equipment.
The purpose of ongoing assessments is to satisfy the international Ex community that ExCBs
maintain their facilities and capabilities that enabled their entry into the scheme.

2.1 Surveillance of ExCBs with national accreditation either accepted by oracceptable to ExMC
2.1.1

Scope

This section covers ExCBs that maintain national accreditation found to be acceptable by theoriginal IECEx assessment team, and by way of ExMC voting on the initial assessment report,
the ExMC.
Acceptable national accreditation according to this clause means accreditation to
ISO/IEC 17065 or ISO/IEC 17024 for Ex product certification or Ex personnel competence
certification by an accreditation body that is a member of the International Accreditation Forum(IAF). No limitations to Ex types of protection can apply.
The procedures detailed below are general and ALL ExCBs are reminded of their obligations to
notify the IECEx Secretariat of any changes within their organization that may impact on theirability to deliver IECEx certification services in accordance with IECEx rules and operational
documents and in the spirit of a timely and professional service delivery.
2.1.2

Procedures

Each year, prior to the anniversary date of acceptance into the IECEx scheme, ExCBs shallsubmit to the IECEx Secretariat a report containing the following information:a) Any changes in the organization
Description of changes in the organization of the ExCB, its staff (in particular, its auditors),
facilities, quality system, operating procedures, or other similar changes, that relate to the
ExCB’s operation under IECEx 03-5.
ANDb) Annual audit report
Copy of a national accreditation body’s audit report issued during the preceding 12 months.
This report should show:OR•

Site that was audited by the accreditation body•

Date and duration of the audit•

Audit scope•

ISO/IEC Guides, Standards and IECEx technical guidance documents (TGDs) usedduring the audit•

Observation notes•

Details of any non-conformances raised•

Copy of any audit report summary

IECEx OD 316-5 Ed.1.2 © IEC:2023(E)– 11 –c) Report by the ExCB based on its own internal audit(s) carried out during the preceding 12months. A standardized report format should be used for this purpose. Once every two
years, the report, prepared by the ExCB shall be endorsed by the national accreditation
body.
Item a) is mandatory and either of b) or c).
2.1.3

Review

The IECEx Secretariat shall review the information to ensure:•

Site assessed aligns with the site previously approved by ExMC•

All clauses of ISO/IEC 17065, as applicable, have been covered•

Ensure that technical guidance documents have been used (where available)•

Ensure that all auditors have the required competence•

Any non-conformances are identified

Where major non-conformances have been identified the IECEx Secretariat in consultation with
the IECEx Executive officers shall propose appropriate action to be taken, with the IECEx
Executive to decide on such action and report at the next ExMC meeting.
Where the ExCB does not agree with the course of action, the matter may be referred for appeal
in accordance with IECEx Basic Rules.
During the period of referral to the Board of Appeal, the ExMC Chair in consultation with theother IECEx Executive shall decide on the status of the ExCB in question.
In extreme circumstances the status of temporary suspension may be considered. The ExMC
shall decide on the final action to be taken.
The IECEx Secretariat will retain a copy of the report, for a minimum of 10 years, for record
keeping purposes.
2.1.4

Re-assessment

On or before the fifth anniversary of the acceptance of the ExCB or of the last re-assessmentof an ExCB, a re-assessment, in accordance with the assessment procedure detailed in Section
1, shall be performed by an IECEx assessment team appointed by ExMC.

2.2

Surveillance of ExCBs without national accreditation acceptable by ExMC

2.2.1

Scope

This section covers ExCBs that do not have national accreditation but who have been accepted
in to the IECEx scheme by way of a full on-site assessment, by the IECEx assessment team.
2.2.2

On-site audit

The IECEx Secretariat shall arrange to have one member of the original IECEx assessment
team conduct an annual on-site audit. The assessor shall be appointed by the IECEx
assessment team leader responsible for the original assessment.
The ExCB shall agree to bear the costs associated with this on-site audit prior to the site visiton the basis of an estimate prepared and submitted to the ExCB by the team leader.
The appointed assessor shall carry out an assessment for compliance with ISO/IEC 17065 andIECEx scheme rules. The team leader will then issue a report.

– 12 –

IECEx OD 316-5 Ed.1.2 © IEC:2023(E)

These reports shall be forwarded to the IECEx Secretariat who shall review them forcompleteness and any non-conformances.
2.2.3

Non-conformances

Where non-conformances have been identified, the reports shall be referred to IECEx
Secretariat, who shall consult with IECEx Executive who shall propose appropriate action to betaken and report at the next ExMC meeting.
Where the ExCB does not agree with the course of action proposed, the matter may be referredto the ExMC or appealed according to IECEx Basic Rules.
During the period of referral to ExMC, the ExMC Chair, in consultation with the IECEx Executive,
shall decide on the status of the ExCB in question. In extreme circumstances the status of
temporary suspension may be considered. The ExMC will then decide on the final action to betaken.
2.2.4

Fifth anniversary

On or before the fifth anniversary of the original acceptance or of the last re-assessment of an
ExCB, a reassessment, in accordance with the assessment procedure detailed in Section 1,
shall be performed by an IECEx assessment team appointed by ExMC on recommendation fromthe IECEx Secretariat.

IECEx OD 316-5 Ed.1.2 © IEC:2023(E)– 13 –SECTION 3 – ASSESSMENT OF EXISTING IECEx EQUIPMENT SCHEME
ExCBs SEEKING TO EXTEND THEIR ACCEPTANCE TO COVER THE
IECEX CERTIFIED SERVICE FACILITIES SCHEME FOR REPAIR,
OVERHAUL AND RECLAMATION OF EX EQUIPMENT
3.1

Scope

This section covers the situation where an ExCB already accepted in the IECEx Certified
equipment scheme wishes to extend their acceptance to include the ability to assess and issue
IECEx certification to Ex service facilities involved in the repair, overhaul or reclamation of Ex
equipment.
3.1.1

Assessment procedures within scope

ExCBs seeking acceptance to issue IECEx service facility certification, WITHIN the Ex types ofprotection and existing field of their current scope of acceptance as an ExCB in the IECEx
Certified equipment scheme, shall be subjected to the following assessment procedures.
3.1.2

Internal procedures

In general, a site assessment visit is not required when an ExCB, already accepted in the IECEx
Certified equipment scheme, wishes to be accepted for issuing IECEx certification for service
facilities, within their current scope of IECEx Certified equipment scheme acceptance, if the
ExCBs submits suitable copies of their internal procedures for dealing with applications for Ex
service facilities and for the maintenance of certification of Ex service facilities (refer to
IECEx 03-5 Annex A and ExMC/417*/Q for guidance) to the IECEx Secretariat. The IECEx
Executive Secretary will assess or arrange to have the procedures reviewed for compliancewith IECEx OD 313-5. The candidate IECEx 03-5 ExCB application and internal procedures
shall include details of the ExCB’s process for appointing ExCB auditors that are competent(according to Annex B to this operational document) to conduct IECEx 03-5 audits of applicant
service facilities seeking certification.
The ExCB shall use application forms that include a statement by which the applicant declares
any previous or existing applications made to other ExCBs. If after the IECEx Executive
Secretary’s review and report to the IECEx Executive (refer 3.1.4 following), the IECEx
Executive Secretary or the IECEx Executive feel that a site assessment visit is necessary, thisshall be arranged by the IECEx Secretariat.
3.1.3

Cost estimate

The ExCB shall be provided with a cost estimate for the documentation review and must agreewith the cost prior to the review proceeding.
3.1.4

ReportFollowing the documentation review the IECEx Executive Secretary shall prepare a report forconsideration by the IECEx Executive. Where any one IECEx Executive member disagrees withthe extension of acceptance for the ExCB, this shall be documented and consultation conductedwith the ExCB in an effort to resolve the concerns raised.
Upon finalizing the application, the ExCB’s acceptance into the IECEx 03-5 scheme shall be
published and reported to the IECEx management committee. Alternatively, the IECEx Chair
may elect to refer the matter to a vote by ExMC via correspondence or at a meeting.

3.2

Assessment procedures outside scope

ExCBs already accepted as ExCB in the IECEx Certified equipment scheme that are seeking
appointment for issuing IECEx repair certification, OUTSIDE the types of protection and existing
field of their current scope of acceptance as ExCB in the IECEx Certified equipment scheme,
shall be assessed according to the procedures of Section 1 of this operational document.

– 14 –

IECEx OD 316-5 Ed.1.2 © IEC:2023(E)Annex A
IECEx ASSESSMENT REPORT FORM for IECEx 03-5 ExCB
(IECEx certification body – Certified service facilities programme) –Repair, overhaul and reclamation of Ex equipment
Type of assessment:•

Initial assessment for candidate IECEx 03-5 ExCB•

Surveillance assessment for existing ExCB

A.1

OBJECT AND FIELD OF APPLICATION...................................................................................................................................
...................................................................................................................................
...................................................................................................................................

A.1.1

Country...................................................................................................................................

A.1.2

Name of candidate IECEx 03-5 ExCB...................................................................................................................................
...................................................................................................................................

A.1.3

Members of the assessment team...................................................................................................................................
...................................................................................................................................
...................................................................................................................................

A.1.4

Place and date of assessment...................................................................................................................................
...................................................................................................................................
...................................................................................................................................
...................................................................................................................................
...................................................................................................................................

A.1.5

Assessment references
Document (current editions):i)

IECEx 03-5

ii)

IECEx 316-5

iii)

IECEx OD 313-5 and IECEx OD 314-5

iv)

ISO/IEC 17065

v)

ISO/IEC 17021

vi)

ExCB application supporting documentsvii) IEC 60079-19
viii) TCD 60079-19

IECEx OD 316-5 Ed.1.2 © IEC:2023(E)A.1.6– 15 –

Scope of application

Indicate whether this is an extension of scope for an already accepted ExCB (include details of
existing acceptance)

A.1.7

Candidate ExCB persons interviewed
Name

Position...................................................................................................................................
...................................................................................................................................
...................................................................................................................................
...................................................................................................................................
A.1.8

Legal entity of the candidate ExCB...................................................................................................................................
...................................................................................................................................
...................................................................................................................................

A.1.9

Associated certification functions...................................................................................................................................
...................................................................................................................................
...................................................................................................................................

A.1.10National marks and certificates...................................................................................................................................
...................................................................................................................................
...................................................................................................................................

A.1.11

Financial support...................................................................................................................................
...................................................................................................................................
...................................................................................................................................

A.1.12

History...................................................................................................................................
...................................................................................................................................
...................................................................................................................................
...................................................................................................................................

A.1.13Standards accepted...................................................................................................................................
...................................................................................................................................
...................................................................................................................................
...................................................................................................................................

– 16 –
A.1.14IECEx OD 316-5 Ed.1.2 © IEC:2023(E)

National differences to IEC Standards...................................................................................................................................
...................................................................................................................................
...................................................................................................................................
...................................................................................................................................
...................................................................................................................................
...................................................................................................................................

A.2
A.2.1

ORGANIZATION
Names, titles and experience of the senior executives
Name

Title

Experience...................................................................................................................................
...................................................................................................................................
...................................................................................................................................
...................................................................................................................................
...................................................................................................................................
A.2.2

Name, title and experience of the quality management representative
Name

Title

Experience...................................................................................................................................
...................................................................................................................................
...................................................................................................................................
...................................................................................................................................
...................................................................................................................................
A.2.3

Name and title of nominated principal contact
Name

Title

Comments...................................................................................................................................
...................................................................................................................................
...................................................................................................................................
A.2.4

Name and title of signatories for certification
Name

Title

Comments...................................................................................................................................
...................................................................................................................................
...................................................................................................................................
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A.2.5

Name and title of IECEx 03-5 assessors
Name

Title

Responsibility...................................................................................................................................
...................................................................................................................................
...................................................................................................................................
...................................................................................................................................
...................................................................................................................................
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IECEx OD 316-5 Ed.1.2 © IEC:2023(E)A.2.6– 17 –

Other employees in ExCB activity
Name

Title

Responsibility...................................................................................................................................
...................................................................................................................................
...................................................................................................................................
...................................................................................................................................
...................................................................................................................................
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A.2.7

Organizational structure...................................................................................................................................
...................................................................................................................................
...................................................................................................................................
...................................................................................................................................

A.2.8

Administration...................................................................................................................................
...................................................................................................................................
...................................................................................................................................
...................................................................................................................................

A.2.8.1 Administrative structure...................................................................................................................................
...................................................................................................................................
...................................................................................................................................
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A.2.8.2 Terms of reference of the governing board...................................................................................................................................
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...................................................................................................................................

A.3

RESOURCES...................................................................................................................................
...................................................................................................................................
...................................................................................................................................
...................................................................................................................................
...................................................................................................................................

A.4

COMMITTEES...................................................................................................................................
...................................................................................................................................
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– 18 –

A.5
A.5.1

IECEx OD 316-5 Ed.1.2 © IEC:2023(E)

CERTIFICATION OPERATIONSNational approval/certification methods...................................................................................................................................
...................................................................................................................................
...................................................................................................................................
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A.5.2 Certification policy...................................................................................................................................
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A.5.3

Staff work instructions...................................................................................................................................
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A.5.4

Application for certification...................................................................................................................................
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A.6

STATISTICS
Detail experience in assessment and certification of Ex-related service facilities
involved in the repair, overhaul and reclamation of Ex equipment under this application
during the past 2 years:

A.7

DOCUMENTATION...................................................................................................................................
...................................................................................................................................
...................................................................................................................................
...................................................................................................................................

A.8

RECORDS...................................................................................................................................
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IECEx OD 316-5 Ed.1.2 © IEC:2023(E)A.9– 19 –

CONFIDENTIALITY...................................................................................................................................
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A.10 PUBLICATIONS...................................................................................................................................
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A.11 APPEALS...................................................................................................................................
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A.12 NATIONAL ACCREDITATION...................................................................................................................................
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A.13 RECOGNITION AND AGREEMENTS...................................................................................................................................
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A.14 QUALITY MANAGEMENT SYSTEM (QMS) MANUAL...................................................................................................................................
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A.15 INTERNAL AUDIT AND PERIODIC REVIEW...................................................................................................................................
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A.16 COMPLAINTS...................................................................................................................................
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A.17 WITHDRAWAL AND CANCELLATION OF CERTIFICATES...................................................................................................................................
...................................................................................................................................

– 20 –

IECEx OD 316-5 Ed.1.2 © IEC:2023(E)A.18 SPECIAL FACTS TO BE NOTED...................................................................................................................................
...................................................................................................................................

A.19 RECOMMENDATION...................................................................................................................................
...................................................................................................................................

A.20 LIST OF ANNEXES...................................................................................................................................
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IECEx OD 316-5 Ed.1.2 © IEC:2023(E)– 21 –

Annex BExCB auditor competence – minimum requirements
B.1
Introduction
This annex defines the minimum requirements that ExCBs must include within their process
and associated quality management procedures for the selection, appointment and initial andongoing qualification of auditors used by the ExCB to conduct audits of repair, overhaul andreclamation facilities under the IECEx Certified service facility scheme for compliance withIEC 60079-19 and IECEx rules and operational documents. These requirements apply to ExCBs
whether they use their own staff (employed ExCB auditors) for audits or employ contract
auditors to conduct this work for and under the direction of the ExCB.
Compliance with this annex will also be assessed and verified as part of the initial assessment
and re-assessment of ExCBs participating in the IECEx 03-5 scheme.
B.2
Minimum requirements of ExCB auditors
As a minimum ExCB’s auditors shall possess the following competence to be employed by an
ExCB as auditors to operate within the IECEx 03-5 repair, overhaul and reclamation scheme.
B.2.1 Knowledge and understanding
ExCB’s auditors shall possess all of the following:a) a demonstrated understanding of the requirements all issues of the IEC 60079-19 standard (which
may have been validly applied at the time of the repair, overhaul or reclamation activity), theIEC 60079 and ISO 80079 series of standards, and where electric machines are repaired
IEC 60034-23 standardb) a demonstrated understanding of repair, overhaul and reclamation processes and explosion
protection techniques within the scope of IEC 60079-19c) a demonstrated understanding of the IECEx 03-5 rules and all IECEx operational documents(ODs) associated with the IECEx 03-5 repair and overhaul schemed) a demonstrated understanding of the product certification schemes applicable to certified
equipment, for example, the IECEx 02 certified equipment scheme because the audit of the repair,overhaul or reclamation facility will involve assessment of the facility’s approach to decision
making when planning repair, overhaul or reclamation activities in accordance with IEC 60079-19e) Demonstrated understanding of specific condition of use “X” suffix to the certificate identification
number as used in Ex equipment certification, control of hold and check for specific conditions
impacting repair before any work
B.2.2 Competence
ExCB’s auditors shall be competent in the auditing of quality management systems inaccordance with IECEx OD 314-5 requirements.
NOTE: The following are examples of elements that may be considered successful completion of formal training inauditing skills experience in the development and running of technically based quality management systems technicalqualifications in an engineering discipline

B.3
Process for qualifying ExCB auditors
The ExCB shall have a documented process for:a) detailing the requirements for criteria satisfying B.2.1 and B.2.2 above, auditors to be assigned as
ExCB auditors for the IECEx 03-5 repair, overhaul and reclamation schemeb) the assessment of auditors for compliance with a) abovec) appropriate ongoing maintenance and verification of the competence of ExCB auditors as requiredby this operational document.
The ExCB’s qualification process for the selection, appointment, and initial qualification ofauditors shall include provision for the satisfactory witnessing of newly appointed ExCB auditors
conducting an IECEx 03-5 audit by an experienced ExCB IECEx 03-5 auditor, prior to newly
qualified ExCB auditors being permitted to independently perform IECEx 03-5 audits.

– 22 –

IECEx OD 316-5 Ed.1.2 © IEC:2023(E)

B.4
Evidence of understanding repair, overhaul and reclamation processes
While ExCB’s auditors assigned to conduct audits of Ex repair and overhaul workshops
according to the IECEx 03-5 scheme will have varying degrees of competence, they are
required to have an awareness and understanding of all of the following:• Use of vertical auditing techniques, specific job report, drill down to details, verify processes• Assessment of responsible person (RP) technical competence, RP’s control of repair process andauthority• Specific condition of use “X” suffix to the certificate number, control of hold and check for specificconditions impacting repair before any work
• For Ex ”d” equipment, evidence of systematic use of Annex C of IEC 60079-19• How type of protection standard edition, year of publication, is determined before inspection,
repair or testing• Initial inspection suitability, type of protection requirement parameters used, identification of
instruments used, traceability to calibration to international or national standards, andcompetence of persons• Measuring instrument must be on site and used. In particular for Ex ”d” equipment where
flamepaths are measured, only a micrometer or equivalent precision measuring device that isunder current calibration control shall be used for the direct measurement of flamepaths• Alternative measures to locked rotor testing when omitted. Testing on user’s site is not an
acceptable alternative measure• No-load running test, electrical tests and bearing temperature checks• Inspection during final assembly, recorded in user report• Approval of job records and user report by RP before repair label fitted and release to customer• Method of shipping and protection

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