5 August 2014 Certification of Alarm Communication Certification (ATS) Kiwa N.V. - 1-5 Augustus 2014
Preface This Evaluation Guideline (Certification Scheme) has been accepted by the Kiwa Board of Experts Security, wherein all the relevant parties in the field of Fire Safety are represented. These Boards of Experts also supervises the certification activities and where necessary require the evaluation guideline to be revised. All references to Board of Experts in this evaluation guideline pertain to the above mentioned Boards of Experts. This evaluation guideline will be used by Kiwa in conjunction with the Kiwa- Regulations for Product Certification, in which the general rules in case of certification are registered. The purpose of this evaluation guideline is to make clear in which way a declaration of conformity regarding performance-, reliability-, defensibillity- and security demands of the rated alarm transmission system will be developed. This is independent of movable- or immovable property. The alarm transmission system consists of components and network(s) under control of a service provider. Based on the European standards in this area. To achieve the certification of the service of the supplier should consists the research in main points of the following components: - The adoption of the demarcation and the specifications of the alarm transmission system; - The criticism of the productquality of relevant components; - The criticism of the network architecture; - The field inspection of the performance- and defensibillity demands of ATS; - The criticism of the security demands of ATS; - The evaluation of the statistical data which is generated by the hardware and software of the ATS; - The criticism of the monitoring- c.q. alarm-central who collects the data and plays the specifications on to the service provider; - The criticism of the corrective measures by the service provider on failing communication by the ATS. Kiwa Nederland B.V. Sir Winston Churchilllaan 273 Postbus 70 2280 AB RIJSWIJK The Netherlands Tel. +31 70 414 44 00 Fax +31 70 414 44 20 info@kiwa.nl www.kiwa.nl 2014 Kiwa N.V. All rights reserved. No part of this report may be reproduced, stored in a database or retrieval system, or published, in any form or in any way, electronically, mechanically, by print, photoprint, microfilm or any other means without prior written permission from the publisher. The use of this evaluation guideline by third parties, for any purpose whatsoever, is only allowed after a written agreement is made with Kiwa to this end. Validation This evaluation guideline has been validated by the Director Certification and Inspection of Kiwa on august 5 th, 2014 Kiwa N.V. - 2-5 Augustus 2014
INDEX 1 Introduction 4 1.1 General 4 1.2 Field of application / scope 4 1.3 Acceptance of test reports provided by the supplier 5 1.4 Quality declaration 5 2 Terminology 6 2.1 Definitions 6 3 Procedure for granting the quality declaration 8 3.1 Pre certification tests 8 3.2 Repeat survey 8 3.3 Granting the certificate 9 4 Requirements and test methods 10 4.1 General 10 5 Requirements in respect of the quality system 11 5.1 General 11 5.2 Manager of the quality system 11 5.3 Internal quality control/quality plan 11 5.4 Procedures and working instructions 11 5.5 Object declaration (delvivery label) 11 6 Agreements on the implementation of certification 12 6.1 General 12 6.2 Certification staff 12 6.2.1 Qualification requirements 12 6.3 Report Pre certification tests 12 6.4 Decision for granting the certificate 13 6.5 Nature and frequency of external inspections 13 6.6 Interpretation of requirements 13 6.7 Model reports 13 6.8 Sanctions 13 6.8.1 Critical error 13 6.8.2 Serious error 13 6.8.3 Important error 14 7 Titles of referenced documents 15 7.1 Important Standards / normative documents 15 Kiwa N.V. - 3-5 Augustus 2014
1 Introduction 1.1 General This evaluation guideline (certification scheme) includes all relevant requirements which are adhered by Kiwa as basis for the issue, and maintenance of a certificate for based on EN50136-1; alarm systems Alarm Transmission Systems and equipment Part 1: General requirements for Alarm Transmission Systems. In the execution of certification-activities is Kiwa bound by the requirements, as contained in EN 17065 which are record in the chapter Agreements on the implementation of certification. The origin of this scheme is founded in the need of the market to organize the alarm communication according to the quality-standards based on measurable requirements. Based on agreed measurable requirements. The goal of this scheme is to verify the quality of the supplier of this service and in order to link it to the customers. The aim of this scheme is to make clear for the customers what services in this scope meet the requirements. In this scheme, the European standards (chapter 7) are used to review this processes. 1.2 Field of application / scope For the delivery of the service alarm communication within an alarm transmission system, the following resources are needed: a. An approved and certified Supervised Premises Transceiver according to EN50136-2; b. An approved and certified Receiving Centre Transceiver according to EN50136-3 that is compatible with the Supervised Premises Transceiver; c. A network between the Supervised Premises Transceiver and Receiving Centre Transceiver as part of EN50136-1; d. A management organization that determines the performance the alarm transmission system and provides the periodic reporting provides EN50136-1 and, if necessary, directly communicates with the user; e. A management organization which takes proactive corrective actions if the performance of the alarm transmission system is insufficient. 1.2.1 Responsibilities There are several responsibilities and scopes to be recognized are: 1. The supplier that delivers the equipment, network and tools for the end-toend alarm transmission system and is responsible for the end-to-end performance and is responsible for compliance with the performance requirements and reporting based on proactive actions and provides the services "alarm communication system"; 2. The supplier that delivers the network for communication and is responsible for the performance and compliance with the performance requirements and reporting based on proactive actions and provides the service "critical communication"; 3. The supplier that delivers the certified Supervised Premises Transceiver and Receiving Centre Transceiver and is responsible for the determination of performance of the alarm transmission and periodically reporting towards the user and a the direct commutation if the performance of the alarm Kiwa N.V. - 4-5 Augustus 2014
communication is not compliant and provides the service "alarm communication verification". 1.2.2 Tasks of the supplier The task of the supplier in scope 1 is delivery of alarm communication system. The task of the supplier in scope 2 is delivery of a network for critical communication. The task of the supplier in scope 3 are: To provide a yearly report to the user relating to the performance of the alarm communication together with a declaration of conformity that the system meets the performance requirements; The right to notify the user of deviations in the alarm transmission and requests the user to take action; The withdrawal of the certificate of conformity and informs the user if the user does not take sufficient proactive actions and no longer meets the performance requirements. Abbreviations The evaluation of a closed network for the thread of "Denial or service" is different than with public network. SLA - Service Level Agreement: The supplier of scope 1, 2 and 3 shall have a SLA with the (end) user and its subcontractors. 1.3 Acceptance of test reports provided by the supplier When reports from test institutions or laboratories are produced by the manufacturer in order to demonstrate that the product meets the requirements of this evaluation guideline, the institute or laboratory shall meet one of the applicable accreditation norms, namely; NEN-EN-ISO/IEC 17025 for laboratories; NEN-EN-ISO/IEC 17020 for inspection bodies; NEN-EN-ISO/IEC 17065 for certification bodies who certifies products; NEN-EN ISO/IEC 17021 for certification bodies who certifies management systems; NEN-EN-ISO/IEC 17024 for certification bodies who certifies persons. The institution is being considered to comply with this criteria when a certificate of accreditation can be shown, either issued by the Board of Accreditation (RvA) or one of the institutions with which the RvA an agreement of mutual acceptance has been concluded. The accreditation shall refer to the examination as required in this BRL. When no certificate of accreditation can be shown, Kiwa will verify whether the accreditation norm is fulfilled or redo the research in question itself. 1.4 Quality declaration The delivered quality declarations based on this evaluation guideline are described as Kiwa product-certificate. Herewith is the supplier of the process that leads to the service of alarm communication certified by Kiwa. Kiwa N.V. - 5-5 Augustus 2014
2 Terminology 2.1 Definitions In this evaluation guideline the following terms and definitions are applicable: Evaluation Guideline: the agreements made within the Board of Experts on the subject of certification. Supplier: the party that is responsible for ensuring that the products or service meets and continue to meet the requirements on which the certification is based. Initial assessment: the assessments to determine if all requirements will meet the requirements of the evaluation guideline. Control assessment: the assessments to determine, after granting the certificate, the certified processes, here is also indicated with what frequency control assessment will be conducted by Kiwa. Notice In the assessment matrix is summarized what research will be conducted by Kiwa upon the admission and controls, and with what frequency the control research will be produced. Product certificate: a document, in which Kiwa declares that a product may, on delivery, be deemed to comply with the product specification recorded in the product certificate. CTS: critical transmission system. It involves a transmission-system for critical communication. Wherein the transmission system is provided by a service organization, who guarantees security about the operation and the performance of the transmission system. The service organization performs also proactive management regarding this system. They try to let the failing transmission work according to the specifications and they even advise the users about this. These systems are designed for users who want to have a guarantee regarding the functioning of the transmission-system. Where further in this scheme is spoken about ATS, with a limited scope regarding critical transmission, shall be read KTS. An endto-end situation is not mentioned here. Scope: the scope ATS is the fully scope according to EN50136-1, alarm transferor to alarm receiver. Service providers who fill in the fully scope (see figure 1) under supervision receives a certificatie regarding the alarm transmission system. Service providers who fill in a part of the scope (see figure 1) under supervision receives a certificate regarding the critical transmission system. Kiwa N.V. - 6-5 Augustus 2014
Figure 1 Further definitions can be found in chapter 4 of EN50136-1. Overview classification alarm transmission components and -systems ATS Alarm transmission systems Option Type Name Part Standard Level 1. Product certificate Component Alarm transferor EN50136-2 5 2. Product certificate Component Alarm receiver EN50136-3 5 3. Product certificate Component with system Alarm transferor and receiver EN50136-2 and EN50136-3 5 4. Process certificate 5. Process certificate functionality System end to end Component with system functionality without network Alarm transmission system for the purpose of alarm communication including network Network for the purpose of critical communication (modem to modem) EN50136-1; 2012 6 EN50136-1; 2012 (incomplete) 6 Level 5 Level 6 Type testing with quality assurance product manufacturing Type testing with quality assurance service Kiwa N.V. - 7-5 Augustus 2014
3 Procedure for granting the quality declaration Hereunder the procedure is included which lead to the acquisition of the certificate for the provision of its service. 3.1 Pre certification tests initial assesment The pre certification-tests which will be performed are based on the (product) requirements as included in this evaluation guideline including the test methods and contain, depending on the nature of the product to be certified: This consists of the following components - Determining the demarcation (configuration) and specifications (categories) of the alarm transmission systems (ATS) based on the requirements of the EN50136-1; - The evaluation of the product of relevant components based on the EN50136-2 and for Fires Safety additional application according to EN54-21. - The evaluation of the network architecture; - The field inspection of the performance requirements and resilience requirements of the ATS; - Assessing the security demands of the ATS; - The evaluation of the statistical data that is generated by hardware and software of the ATS; - The evaluation of the monitoring- or alarm central (MARC) who collects the data and passes it according to the specifications trough to the service provider; - The evaluation of corrective measures by the service provider based on failing communication by the ATS; - The evaluation of the quality system of the MARC and the service provider concerning the subject ATS; - Review the functioning of supporting procedures to comply with the above criticism. Part of the research is carried out in two phases namely: 1. Pre-inspection; herein is determined the extent to which the system has the potential in meeting the requirements. During this inspection there will be at least five risk addresses inspected with a maximum of 1% of the total associated risk addresses. 2. End inspection; herein shall be determined to what extent the system has met the requirements. During this inspection there will be at least five risk addresses inspected with a maximum of 1% of de total associated risk addresses. 3.2 Survey certification assesment The research takes place every 12 months based on the requirements included in this assessment; including testing methods and the nature of the certification system: This consists of the following main components: - determining of the demarcation and the specifications (categories) of the alarm transmission system (ATS); - field inspection of the performance requirements and the resilience requirements of the ATS; - criticism of the security-requirements of the ATS; - criticism of the statistical data which is generated by the hardware and software of the ATS; Kiwa N.V. - 8-5 Augustus 2014
- criticism of the monitoring- or alarm central who collects the data and plays it on according to the specifications to the service-provider - criticism of the corrective measures by the service provider by failing communication of the ATS; - criticism of the quality system of the MARC and the service provider concerning the subject ATS; - Testing for the presence and functioning of other required procedures Herein shall be determined in what extent the system had met the requirements. During this inspection there will be minimal 5 risk addresses inspected. The sample size is shown below. Number of connections Sample < 100.000 1 % Minimal 5, maximum 25 > 100.000 50 3.3 Granting the certificate After finishing the pre-certification tests the results are presented to the person deciding on granting of certificate. This person evaluates the results and decides whether the certificate can be granted or additional data and/or tests are necessary. Kiwa N.V. - 9-5 Augustus 2014
4 Requirements and test methods 4.1 General This chapter contains the requirements where the system must meet, as well as to determine whether the requirements are met. Hereunder is given an overview of the technical verifiers that will be applied based on the European standard EN 50136-1 alarmsystems and equipment Part 1: General requirements for. Clause Subject Activity 6.2 Transmission link requirements Verification 6.2.5 Denial of service Inspection 6.3.2 Transmission time Inspection 6.3.3 Monitoring of interconnections Inspection & verification 6.4 Securing of messages in the alarm Verification transmission system 6.5 Alarm transmission acknowledgement Verification 6.6 ATS generated alarms Inspection & verification 6.7 Availability Inspection & verification 6.8 Security Verification 7 Verification of performance Inspection & verification 8 Documentation Verification Kiwa N.V. - 10-5 Augustus 2014
5 Requirements in respect of the quality system 5.1 General This chapter contains the requirements which have to be met by the supplier s quality system being the service provider and the MARC. This refers to the specific components of the alarm transmission system. 5.2 Manager of the quality system Within the supplier s organizational structure an employee must have been appointed who is in charge of managing the supplier s quality system. This officer reports to the board. 5.3 Internal quality control/quality plan The supplier shall have an internal quality control scheme (IQC scheme) which is applied by him. The following must have been demonstrably recorded in this IQC scheme: what aspects are checked by the producer; according to what methods such inspections are carried out; how often these inspections are carried out; in what way the inspection results are recorded and kept. 5.4 Procedures and working instructions The supplier shall be able to submit the following: procedures for: o dealing with products showing deviations; o corrective actions to be taken if non-conformities are found; o dealing with complaints about products and/or services delivered; the working instructions and inspection forms used. 5.5 Object declaration (delvivery label) An explanation for the controlled object compound has a limited duration of a year. Periodically must be shown that the connection is still in the program of requirements. Periodic maintenance is a necessary part of the certification. Kiwa N.V. - 11-5 Augustus 2014
6 Agreements on the implementation of certification 6.1 General Beside the requirements included in these evaluation guidelines, also the general rules for certification as included in the Kiwa Regulations for Product Certification apply. These rules are in particular The general rules for conducting the pre-certification tests, to be distinguished in: o the way suppliers are to be informed about an application is being handled, o how the research is conducted, o the decision to be taken as a result of the pre certification tests. The general directions for conducting inspections and the aspects to be audited, The measurements to be taken by Kiwa in case of shortcomings, Measurements taken by Kiwa in case of improper Use of Certificates, Certification Marks, Pictograms and Logos, Terms for termination of the certificate, The possibility to lodge an appeal against decisions of measurements taken by Kiwa. 6.2 Certification staff The staff involved in the certification may be sub-divided into: certification experts: they are in charge of carrying out the pre-certification tests and assessing the inspectors reports; inspectors: they are in charge of carrying out external inspections at the supplier s works; decision-makers: they are in charge of taking decisions in connection with the pre-certification tests carried out, continuing the certification in connection with the inspections carried out and taking decisions on the need to take corrective actions. 6.2.1 Qualification requirements The qualification requirements are made up of: Qualification requirements for the executive certification staff of a certification institution that meets the requirements set in the ISO/IEC 17065; Qualification requirements for the executive certification staff of a certification institution which additionally adopted by the committee of experts for the subject of this BRL. 6.3 Report Pre certification tests Kiwa records the results of the pre certification tests in a report. This report shall comply with the following requirements: completeness: the reports verdicts about all requirements included in the evaluation guideline, traceability: the findings on which the verdicts have been based shall be recorded traceable, basis for decision: the decision maker shall be able to base his decision on the findings included in the report. Kiwa N.V. - 12-5 Augustus 2014
6.4 Decision for granting the certificate The decision for granting the certificate shall be made by a qualified decision maker which has not been involved in the pre certification tests. The decision shall be recorded traceable. 6.5 Nature and frequency of external inspections The certification body shall carry out Audits at the supplier at regular intervals to check whether the supplier complies with his obligations. About the frequency of inspections the Board of Experts decides. At the time this Evaluation Guideline took effect, the frequency was set at number of 1 of inspection visits per year on the quality system at the office and the required risk locations. Inspections shall at least refer to: The suppliers IQC-scheme and the results obtained from inspections carried out by the supplier, The correct way of marking of certified products Complying with required procedures. The results of each inspection shall be traceable recorded in a report. 6.6 Interpretation of requirements The Board of Experts may record the interpretation of requirements of these evaluation guidelines in one separate interpretation document. The certification institution is allowed to do an admission research each subarea and certify each subarea. 6.7 Model reports Parts of the evaluation are specified in the Kiwa Quality plan accompanying this certification scheme. Here are to be found among other things: - Model Kiwa process certificate about the supplier - Model explanation of the system of the supplier - Model Kiwa audit and inspection 6.8 Sanctions The Board of Experts has determined the following specific rules upon sanctions which must be acted when carrying out certification by Kiwa when. They shall be yearly informed by the annual report about specific sanctions. 6.8.1 Critical error A critical error is an error, which will lead to dangerous or unsafe situations for the user of the installation/ system. The supplier immediately takes proper action after the identification of a critical error. Kiwa takes the following action: inspects and verifies the results of the action taken for the prevention of the critical error. 6.8.2 Serious error A serious error is an error not covered by the critical errors. These errors will lead to malfunctions or unsuitability of the installation / system. Hereby will the installation not meet the objectives. The supplier makes a quick right following the detection of a critical error. Kiwa takes the following action: inspects and verifies the result of the action taken for the prevention of the critical error. Kiwa N.V. - 13-5 Augustus 2014
6.8.3 Important error A major mistake is a mistake, which the operation of the installation/ system such decreases, that there are complaints about the installation/ system. If the substantive errors often arise the major flaw will be converted to a serious or critical error. The supplier makes a quick right action following the detection of a critical error. Kiwa takes the following action: inspects and verifies the results of the action taken to prevent the major fault. Kiwa N.V. - 14-5 Augustus 2014
7 Titles of referenced documents 7.1 Important Standards / normative documents EN 50136-1 Alarmsystems: 2012 And equipment Part 1: General requirements for Alarm Transmission Systems EN 50136-2 Alarmsystems: 2011 And equipment Part 2: requirements for Alarm on carriers EN 50136-2 Alarmsystems: 2013 And equipment Part 2: requirements for Alarm on carriers Kiwa N.V. - 15-5 Augustus 2014