IECEx OD 316-4
Edition 3.0

2021-10IECEx
OPERATIONAL DOCUMENT

IEC System for Certification to Standards Relating to Equipment for Use in
Explosive Atmospheres (IECEx System)
IECEx Certified Service Facilities Scheme –Part 4: Ex inspection and maintenanceIECEx OD 316-4:2021-10(en)Assessment procedures for IECEx acceptance of Candidate Certification
Bodies (ExCBs) for the purpose of issuing IECEx Certificates to
Ex Service Facilities providing Ex installations related services

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IECEx OD 316-4
Edition 3.0

2021-10IECEx
OPERATIONAL DOCUMENT

IEC System for Certification to Standards Relating to Equipment for Use in
Explosive Atmospheres (IECEx System)
IECEx Certified Service Facilities Scheme –Part 4: Ex inspection and maintenance
Assessment procedures for IECEx acceptance of Candidate Certification
Bodies (ExCBs) for the purpose of issuing IECEx Certificates to
Ex Service Facilities providing Ex installations related services

INTERNATIONAL
ELECTROTECHNICALCOMMISSION

–2–

IECEx OD 316-4:2021 © IEC 2021

CONTENTSFOREWORD ........................................................................................................................... 3
INTRODUCTION ..................................................................................................................... 4
SECTION 1 – INITIAL ASSESSMENT AND RE-ASSESSMENT OF EXCBs ............................. 6
SECTION 2 – ON GOING SURVEILLANCE OF EXCBs ......................................................... 11
SECTION 3 – ASSESSMENT OF EXISTING IECEx EQUIPMENT SCHEME EXCBs
SEEKING TO EXTEND THEIR ACCEPTANCE TO COVER THE IECEx CERTIFIEDSERVICE FACILITIES SCHEME FOR Ex INSTALLATIONS RELATED SERVICES ............... 15
Annex A IECEx ASSESSMENT REPORT FORM for IECEx 03-4 ExCB (IECEx Certification
Body – Certified Service Facilities Programme) – Ex installations related services ............... 17

IECEx OD 316-4:2021 © IEC 2021

–3–

INTERNATIONAL ELECTROTECHNICAL COMMISSION____________
IECEx Operational Document 316-4
IECEx Certified Service Facilities Scheme –Part 4: Ex inspection and maintenance
Assessment procedures for IECEx acceptance of Candidate Certification
Bodies (ExCBs) for the purpose of issuing IECEx Certificates to
Ex Service Facilities providing Ex installations related services
FOREWORD
This IECEx Operational Document, OD 316-4 Assessment procedures for the acceptance ofApplicant ExCBs seeking to participate in the IECEx Certified Service Facilities Scheme –Part 4: Ex inspection and maintenance (IECEx 03-4 Scheme) defines the requirement forassessment for acceptance to issue IECEx Certificates to Service Facilities providing Ex
installations related services.
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 of OD 316-4 supersedes IECEx OD 016 Edition 1 in part andrepresents the application of a new numbering system.

2017-11This Edition 2.0 was approved for publication by the 2017 ExMC Meeting via Decision
2017/56 and supersedes Edition 1.0 of OD 316-4 upon publication. This Edition also aligns
with IECEx 03-4 provisions and requirements.

2021-10

Edition 3.0 published to add provisions and requirements for witness assessments.
This Edition was approved for publication by the IECEx EMC as recorded as ExMC
Decision 2021/29

Address:
IECEx Secretariat c/o IEC Sydney Office
The Executive Centre
Australia Square, Level 33
264 George Street
Sydney, NSW 2000
Australia
Contact details:
Tel: +61 2 4628 4690
Fax: +61 2 4627 5285
info@iecex.com
www.iecex.com

–4–

IECEx OD 316-4:2021 © IEC 2021

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
covering Ex installations related services 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 GuidanceDocuments (TGD).
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 – On going surveillance of ExCBs•

Section 3 – Assessment of existing ExCBs seeking to extend their scope of acceptance tocover the IECEx Certified Service Facilities Scheme for Ex installations related services

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:
NOTE Although this document makes reference to IEC 60079-14 and IEC 60079-17, it is also relevant indetermining ability to work with other international, national or regional requirements of a similar nature, such as
IEC 61892-7, Mobile and fixed offshore units – Electrical installations – Part 7: Hazardous areas.

IEC 60079-14, Explosive atmospheres – Part 14: Electrical installations design, selection anderection
IEC 60079-17, Explosive atmospheres – Part 17: Electrical installations inspection andmaintenance
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

IECEx OD 316-4:2021 © IEC 2021

–5–

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

–6–

IECEx OD 316-4:2021 © IEC 2021

IECEx Certified Service Facilities Scheme –Part 4: Ex inspection and maintenance
Assessment procedures for IECEx acceptance of Candidate Certification
Bodies (ExCBs) for the purpose of issuing IECEx Certificates to
Ex Service Facilities providing Ex installations related services

SECTION 1 – INITIAL ASSESSMENT AND RE-ASSESSMENT OF EXCBs
1.1

Application

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.
1.1.1

Initial assessment

An initial assessment of applicant ExCBs shall be conducted by an IECEx Assessment Teamappointed by the IECEx Secretariat in accordance with the following Table and associatedflowchart.
1.1.2

Re-assessment

On or before the fifth anniversary of the acceptance of the ExCB or the last re-assessment of
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 the IECEx Secretariat.
Witness assessments conducted in accordance with Section 2 of this Operational Document
are not generally repeated at the time of re-assessment unless there is evidence to show it may
be necessary for ExCBs that have national accreditation where the national accreditation
process includes witnessed assessment of surveillance activity at the certified service facility.

IECEx OD 316-4:2021 © IEC 2021
Step

–7–

Activity

By Whom

Desired Outcome

Formal Application Submitted to IECEx Secretariat
1

Application received by IECEx Secretariat, in
accordance with IECEx 03-4. The application
shall include details of the proposed ExCB
assessors to undertake IECEx 03-4 audits.

IECEx Secretariat

Candidate ExCB

2

Application assessed for completeness.
Appointed Assessment Team accepted by ExMC.

IECEx Secretariat

Assessment team proposed by
IECEx Secretariat andaccepted by ExMC

3

IECEx Secretariat reviews application
documentation for completeness. IECEx
Secretariat may request further information fromthe candidate. IECEx Secretariat to reportfindings 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
candidate of 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
TGD 60079-14 (those parts related to initialinspection) and TGD 60079-17.
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
information from accreditation body forpresentation to IECEx Assessment Team
Leader.
8

Review of past audit reports, issued by theaccreditation body, by Assessment Team toestablish compliance with the requirements ofIECEx 03-4, and Documents, ISO/IEC 17021 andISO/IEC 17065 as relevant.

Assessment
Team managed
by Team Leader

Acceptance by IECEx
Assessment Team of
information and audit reports
as evidence of compliance tothe requirements ofIECEx 03-4 andISO/IEC 17065

9

Notification of results of step 6 to8 to candidate
IECEx 03-4 ExCB.

Team Leader

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

–8–

IECEx OD 316-4:2021 © IEC 2021

On-site Visit
10A

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 03-4 requirements.
The Assessment shall include a review of the
ExCB’s system for allocating auditors ascompetent to undertake IECEx Service Facility
Assessments.

10B

Witnessed assessment (re-assessments)
Witnessed assessment is normally conducted
after stage 10, or stage 21, as appropriate but
may be completed at a different time forconvenience. In any case, it shall be completed
before proceeding to stage 11. Because of thepotential variation in timing, it is not shown on
the flowchart.

At least one
person from
IECEx
Assessment
Team (usually
Team Leader)

Visit notes to be included inassessment fileAt least one
person from
IECEx
Assessment
Team (usually
Team Leader)

Visit notes to be included inassessment file

Team Leader

Team Leader to commence
arrange for a final assessment
report compiling a Report

Team Leader in consultation
with the Team shall determine
the duration of the visit

Team Leader in consultation
with the Team shall determine
the duration of the visit

NOTE Witnessed assessment for initialassessment (or re-assessments, whenapplicable) is performed as described in Clauses
2.1.4 or 2.2.4, as appropriate.
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
and submits to ExMC Members for formal voting,
via correspondence 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 vote(approval ≥ 67 %) approves
application (IECEx 01)

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 Basic Rules is not achieved theapplication is then referred to the next ExMC
meeting for discussion.

IECEx Secretariat
to arrange

Findings recorded in theminutes

IECEx OD 316-4:2021 © IEC 2021
19

–9–

If at the conclusion of the “Document Review
Stage”, the Assessment Team is not satisfied
with the information presented, the Team Leader
shall inform the candidate ExCB and IECEx
Secretariat of the Assessment team’s views.

Team Leader tomanageAssessment report by Team
LeaderIn order for the assessment to proceed, theIECEx Assessment Team may be required to
conduct a full on site assessment in accordancewith IECEx 03-4 and Technical GuidanceDocuments (TGD 60079-14 and TGD 60079-17),
ISO/IEC 17065 and ISO/IEC 17021, asapplicable.
20

Where 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 03-4 ExCB.

Team Leader

Letter, fax or e-mail to
Chairman of Assessing Panel– 10 –

IECEx OD 316-4:2021 © IEC 2021

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

IECEx OD 316-4:2021 © IEC 2021

– 11 –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 issuing IECEx Certification to Ex Service Facilities involved in Ex inspection
and maintenance.
The purpose of on-going 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 that have National Accreditation acceptable by 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.
Acceptable National Accreditation according to this Clause means accreditation to
ISO/IEC 17065 and/or ISO/IEC 17021-1 (noting the requirements and provisions of IECEx 034, Clause 10.1.1) for the provision of Inspection and Maintenance services relating to Ex
equipment 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, facilities, quality system,
operating procedures, or other similar changes, that relate to the ExCB’s operation under
IECEx 03-4. In case of a new edition of an applicable standard related to Ex installations
being published during the period following the most recent assessment, evidence of
training for personnel involved in certification on changes in new edition shall be available
for review.
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 (TGD) usedduring the audit•

Observation notes•

Details of any non-conformances raised•

Copy of any audit report summary

– 12 –

IECEx OD 316-4:2021 © IEC 2021c) Report by the ExCB based on its own internal audit(s) carried out during the preceding 12months. A standardised 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 17021, ISO/IEC 17065, as applicable, have been covered•

Ensure that Technical Guidance Documents have been used (where available)•

Any Non-conformances are identified

Where major Non-conformances have been identified the IECEx Secretariat in consultation with
the IECEx Assessor Panel Chairman 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 to forappeal in accordance with IECEx Basic Rules.
During the period of referral to the Board of Appeal, the ExMC Chairman in consultation withthe other 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
is to 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

Witnessed assessments requirements

2.1.4.1 The assessor shall witness the first assessment of an Ex service facility conducted by
the ExCB after their acceptance after acceptance as an ExCB. The witnessed assessment shallbe repeated at the time of re-assessment
2.1.4.2

Witnessed assessments shall include the following considerations:•Notification to the ExCB by the team leader of the requirement for peer assessment in atimely manner for scheduling purposes.

•

Notification to the service facility by the ExCB of the external assessor acting as an observer
prior to the audit and shall agree to the presence of this external assessor prior to the audit.

•

Confidentiality and impartiality concerns with regards to the external assessor, the Ex
service facility and ExCB.

•

Use of local external assessors or remote observation to minimize costs and travel
concerns.

•

There shall be no influence or interference with the audit process or outcome of the audit
process by the external assessor. If there is feedback from the external assessor, it should
be provided to the ExCB after the audit and not during the audit process.

•The presence of the external assessor shall not extend the time of the audit.

2.1.4.3 Further witnessed assessment activity shall be undertaken where there is a change incritical personnel at the ExCB, unless there is other evidence to confirm continuity ofcompetence.

IECEx OD 316-4:2021 © IEC 2021

– 13 –

2.1.4.4 Should the IECEx assessment team wish to deviate from 2.1.4.1 - 2.1.4.3 inclusive,
this shall be discussed between the Assessment Team Leader and the IECEx Executive
Secretary.

2.2

Surveillance of ExCBs that do not have 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 visit
based on 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.
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 ofaction, proposed, the matter may be referred to the ExMC or appealed according to IECEx
Basic Rules. During the period of referral to ExMC, the ExMC Chairman 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 be taken.
2.2.4

Witnessed assessment requirements

2.2.4.1 The assessor shall witness the first assessment of an Ex service facility conducted by
the ExCB after their acceptance after acceptance as an ExCB. The witnessed assessment
shall be repeated at the time of re-assessment.
2.2.4.2

Witnessed assessments shall include the following considerations:•Notification to the ExCB by the team leader of the requirement for peer assessment in atimely manner for scheduling purposes.

•

Notification to the service facility by the ExCB of the external assessor acting as an observer
prior to the audit and shall agree to the presence of this external assessor prior to the audit.

•

Confidentiality and impartiality concerns with regards to the external assessor, the Ex
Service Facility providing Ex installations related services and ExCB.

•

Use of local external assessors or remote observation to minimize costs and travel
concerns.

•

There shall be no influence or interference with the audit process or outcome of the audit
process by the external assessor. If there is feedback from the external assessor, it should
be provided to the ExCB after the audit and not during the audit process.

– 14 –•

IECEx OD 316-4:2021 © IEC 2021

The presence of the external assessor shall not extend the time of the audit.

2.2.4.3 Further witnessed assessment activity shall be undertaken where there is a change incritical personnel at the ExCB, unless there is other evidence to confirm continuity ofcompetence.
2.2.4.4 Should the IECEx assessment team wish to deviate from 2.2.4.1 - 2.2.4.3 inclusive,
this shall be discussed between the Assessment Team Leader and the IECEx Executive
Secretary.

IECEx OD 316-4:2021 © IEC 2021

– 15 –SECTION 3 – ASSESSMENT OF EXISTING IECEx EQUIPMENT SCHEME
EXCBs SEEKING TO EXTEND THEIR ACCEPTANCE TO COVER
THE IECEx CERTIFIED SERVICE FACILITIES SCHEME FOR
Ex INSTALLATIONS RELATED SERVICES
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 Ex installations related services.
3.1.1

Assessment procedures within scope

ExCBs seeking acceptance to issue IECEx Service Facility Certification, WITHIN the Ex Typesof Protection and existing field of their current scope of acceptance as 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
03-4 Annex A and ExMC/417x/Q for guidance) to the IECEx Secretary. The IECEx Secretary
will assess or arrange to have the procedures reviewed for compliance with IECEx Operational
Document OD 313-4. The candidate IECEx 03-4 ExCB application shall include details of the
proposed ExCB assessors that will conduct IECEx 03-4 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 Secretary’s review
and report to the IECEx Executive (refer 3.1.4 following), the IECEx Secretary or the IECEx
Executive feel that a site assessment visit is necessary, this shall be arranged by the IECEx
Secretary.
3.1.3

Cost estimate

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

ReportFollowing the documentation review the IECEx Secretariat 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 finalising the application, the ExCB’s acceptance into the IECEx 03-4 Scheme shall be
published and reported to the IECEx Management Committee. Alternatively, the IECEx
Chairman 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 Service Facility Certification, OUTSIDE the Types of Protectionand existing field of their current scope of acceptance as ExCB in the IECEx Certified Equipment

– 16 –

IECEx OD 316-4:2021 © IEC 2021

Scheme, shall be assessed according to the procedures of Section 1 of this Operational
Document.

IECEx OD 316-4:2021 © IEC 2021

– 17 –

Annex A
IECEx ASSESSMENT REPORT FORM for IECEx 03-4 ExCB
(IECEx Certification Body – Certified Service Facilities Programme) –Ex installations related services
Type of Assessment:•

Initial Assessment for Candidate IECEx 03-4 ExCB•

Surveillance Assessment for existing ExCB

A.1

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

A.1.1

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

A.1.2

Name of candidate IECEx 03-4 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 03-4;

ii)

IECEx OD 316-4;

iii)

IECEx OD 313-4, IECEx OD 314-4;

iv)

IECEx OD 504;v)

ISO/IEC 17065;

vi)

ISO/IEC 17021;

vii) ExCB application documents;viii) IEC 60079-14 and IEC 60079-17 (Also IEC 61892-7 for Ex Services Facilities
performing Ex inspection or Ex maintenance in offshore Ex installations).
ix)

TCD 60079-14, TCD 60079-17

– 18 –
A.1.6

IECEx OD 316-4:2021 © IEC 2021

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...................................................................................................................................
...................................................................................................................................
...................................................................................................................................
...................................................................................................................................

IECEx OD 316-4:2021 © IEC 2021
A.1.14– 19 –

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...................................................................................................................................
...................................................................................................................................
...................................................................................................................................
...................................................................................................................................
A.2.5

Name and title of IECEx 03-4 assessors
Name

Title

Responsibility...................................................................................................................................
...................................................................................................................................
...................................................................................................................................
...................................................................................................................................
...................................................................................................................................
...................................................................................................................................

– 20 –
A.2.6

IECEx OD 316-4:2021 © IEC 2021

Other employees in ExCB activity
Name

Title

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

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

A.2.8

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

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

A.3

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

A.4

COMMITTEES...................................................................................................................................
...................................................................................................................................
...................................................................................................................................
...................................................................................................................................
...................................................................................................................................

IECEx OD 316-4:2021 © IEC 2021

A.5
A.5.1

– 21 –

CERTIFICATION OPERATIONSNational approval/certification methods...................................................................................................................................
...................................................................................................................................
...................................................................................................................................
...................................................................................................................................

A.5.2 Certification policy...................................................................................................................................
...................................................................................................................................
...................................................................................................................................
...................................................................................................................................
A.5.3

Staff Work instructions...................................................................................................................................
...................................................................................................................................
...................................................................................................................................
...................................................................................................................................
...................................................................................................................................
...................................................................................................................................

A.5.4

Application for certification...................................................................................................................................
...................................................................................................................................
...................................................................................................................................
...................................................................................................................................

A.6

STATISTICS

Detail experience in assessment and certification of Ex related Service Facilities for Ex
inspection or maintenance related services under this application during the past 2 years:

A.7

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

A.8

RECORDS...................................................................................................................................
...................................................................................................................................
...................................................................................................................................
...................................................................................................................................

– 22 –

A.9

IECEx OD 316-4:2021 © IEC 2021

CONFIDENTIALLY...................................................................................................................................
...................................................................................................................................
...................................................................................................................................
...................................................................................................................................

A.10 PUBLICATIONS...................................................................................................................................
...................................................................................................................................
...................................................................................................................................
...................................................................................................................................

A.11 APPEALS...................................................................................................................................
...................................................................................................................................
...................................................................................................................................

A.12 NATIONAL ACCREDITATION...................................................................................................................................
...................................................................................................................................

A.13 RECOGNITION AND AGREEMENTS...................................................................................................................................
...................................................................................................................................

A.14 QUALITY MANAGEMENT SYSTEM (QMS) MANUAL...................................................................................................................................
...................................................................................................................................

A.15 INTERNAL AUDIT AND PERIODIC REVIEW...................................................................................................................................
...................................................................................................................................

A.16 COMPLAINTS...................................................................................................................................
...................................................................................................................................

A.17 WITHDRAWAL AND CANCELLATION OF CERTIFICATES...................................................................................................................................
...................................................................................................................................

IECEx OD 316-4:2021 © IEC 2021

– 23 –

A.18 SPECIAL FACTS TO BE NOTED...................................................................................................................................
...................................................................................................................................

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

A.20 LIST OF ANNEXES...................................................................................................................................
...................................................................................................................................

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