Regulatory Compliance: Regulatory Compliance: An Introduction to Rules and Regulations and Best EMC PracticesScope and objectives

Date – April, 22 2009

IntroductionIntroduction

This presentation is presented by ;

Chaman Bhardwaj

Sr. Engineer, Global Compliance

SHURE® Incorporated.

Dated: April 22, 2009

Rules & regulations

There are the following types of Rules &

Regulations.

• Mandatory: Laws imposed by the

government are mandatory. For

example, FCC-15, FCC-74, and FCC-

90 etc.

• Recommendatory : Product

Safety rules.

• Contractual Laws: These are agreed

upon between the supplier and buyer

of products.

Terms and Definitions

European Directive Legal Document adopted by EC (EU Commission) Council of

Ministers Must be adopted into National Law by each EC member state Does not call out technical standards; refers to private standards-

making bodies to draw up product standards

European Norm (EN) Harmonized Standard: Common Standard used for determining

conformity– Committee process– ENs based on existing standards (CISPR, IEC)

Must be adopted into National Standards by each EC Member state

CENELEC (Comite Europeen de Normalisation Electrotechnique)

European Committee for Electrotechnical Standardization: responsible for generating European Norms

CE: Communaute Europeenne

CISPR: Comite International Special des Perturbations Radioelectriques or in English the International Special Committee on Radio Interference

New approach directives

Objective: Elimination of Technical Barriers

New Approach calls out Essential Requirements

Technical Details Left to Committees Harmonization of European Norms (Standards) CENELEC

Conformity to European Norms demonstrates compliance

Products meeting essential requirements eligible for CE Marking

Scope of New EMC DirectiveDirective 2004/108/EC

Article 1:

1. This Directive regulates the electromagnetic compatibility

of equipment. It aims to ensure the functioning of the internal

market by requiring equipment to comply with an adequate

level of electromagnetic compatibility. This Directive applies to

equipment as defined in Article 2.

2. This Directive shall not apply to:

(a) equipment covered by Directive 1999/5/EC;

Article 2 of New Approach EMC Directive

Definitions

1. For the purposes of this Directive, the following definitions

shall apply:

(a) ‘equipment’ means any apparatus or fixed installation;

(b) ‘apparatus’ means any finished appliance or combination

thereof made commercially available as a single functional

unit, intended for the end user and liable to generate electromagnetic

disturbance, or the performance of which is

liable to be affected by such disturbance;

(c) ‘fixed installation’ means a particular combination of

several types of apparatus and, where applicable, other

Article 2, Continued…

devices, which are assembled, installed and intended to be

used permanently at a predefined location;

(d) ‘electromagnetic compatibility’ means the ability of equipment

to function satisfactorily in its electromagnetic environment

without introducing intolerable electromagnetic

disturbances to other equipment in that environment;

… and so on ..

Essential requirements – Article 5

Apparatus Electromagnetic disturbances generated do not

exceed level to interfere with operation of radio, telecommunications or other equipment

Has a level of immunity to electromagnetic disturbances expected in it’s intended environment

Fixed installations Use good engineering practices with a view to

meeting apparatus requirements. Document those practices with the documentation on file as long as installation is in operation.

Equipment Exclusions

Flow Chart Notes

1. Equipment without electrical or electronic parts is except

2. Excluded R&TTE (covered by 1999/5/EC) Aeronautical parts, products and appliances Radio equipment used by radio amateurs

3. Equipment covered by other specific community directives Motor vehicles (2004/104/EC) Medical devices (various directives) Marine equipment (6/98/EC) Agricultural and forestry tractors (75/332/EEC) Two or three wheeled motor vehicles (97/24/EC) Measuring instruments (immunity excluded see 2004/22/EC) Non-automatic weighing instruments (immunity excluded see 90/334/EEC)

4. Inherently benign equipment Incapable of generating or contributing to emissions Operate without degradation in the presence of EMI normally present

5. Apparatus or fixed installation classification (to flowchart 4)

CE MARKING

• There is no such thing as a CE approval or CE certification!

• CE is not a mark or approval, it’s a marking which is only a self declaration under the supplier’s own responsibility.

CE DIRECTIVES

• Directives tell us why we must comply (consumer safety / EMC) and what may happen if we ignore laws (withdraw products).

• It’s the European standards that show us how to comply (design and assessment).

Implementation of CE marking

Implementation of the CE Marking: Must be affixed to:

– Product– Packaging– Instructions for use, OR– Guarantee certificate

Can be used with other marks providing they do not reduce the visibility and legibility of the mark

The marking may include:– The identification of a notified body involved in

assessment

Europa Web site

• http://eur-lex.europa.eu/LexUriServ/LexUriServ.do?uri=OJ:C:2008:280:0014:0032:EN:PDF

On line Implementation Guide

Safety StandardsSafety Standards

IEC 60065 7IEC 60065 7thth edition edition IEC 60950: 2000IEC 60950: 2000

IEC 60065 Standard:IEC 60065 Standard:

Title: Audio, Video and similar Electronic Apparatus, Safety Requirements

IEC 60950 Standard:IEC 60950 Standard:

Title: Safety of Information Technology Equipment

Scope of Safety StandardsScope of Safety Standards

Scope of IEC 60065Scope of IEC 60065• International Safety Standard applies to International Safety Standard applies to

electronic apparatus designed to be fed electronic apparatus designed to be fed from MAINS, from a SUPPLY APPARATUS, from MAINS, from a SUPPLY APPARATUS, from Batteries or from REMOTE POWER from Batteries or from REMOTE POWER FEEDING and intended for reception, FEEDING and intended for reception, generation or reproduction respectively of generation or reproduction respectively of audio, video and associated signals. It also audio, video and associated signals. It also applies to apparatus designed to be used applies to apparatus designed to be used exclusively in combination with above exclusively in combination with above mentioned apparatus.mentioned apparatus.

Scope of IEC 60950Scope of IEC 60950

• This standard is applicable to mains-powered This standard is applicable to mains-powered ITE, including electrical business equipment and ITE, including electrical business equipment and associated equipment, with RATED Voltage not associated equipment, with RATED Voltage not exceeding 600V.exceeding 600V.

• This standard is also applicable to such ITE This standard is also applicable to such ITE designed and intended to be connected directly designed and intended to be connected directly to TELECOMMINICATION NETWORK, regardless to TELECOMMINICATION NETWORK, regardless of the source of powerof the source of power

• It is also applicable to such ITE designed to use It is also applicable to such ITE designed to use the AC mains Supply a telecommunication the AC mains Supply a telecommunication transmission mediumtransmission medium

Scope of Safety StandardsScope of Safety Standards

Principles of SafetyPrinciples of Safety

Electric ShockElectric Shock Excessive TemperaturesExcessive Temperatures Radiation (ionization and Lasers)Radiation (ionization and Lasers) Implosion (Picture Tubes)Implosion (Picture Tubes) Mechanical hazardsMechanical hazards FireFire Chemical hazardChemical hazard

Energy Efficiency Rules and RegulationsEnergy Efficiency Rules and Regulations

– USA

• California Energy Commission (CEC) regulations for external Power supplies.

• ENERGY INDEPENDENCE AND SECURITY ACT OF 2007. Also called PUBLIC LAW 110–140—DEC. 19, 2007, Effective July 2008

– Europe

• Code of Conduct (It’s a voluntary standard at this time). It is similar to CEC rules.

• Directive 2005/32/EC, ECO Design

Energy Efficiency and Energy Efficiency and Environmental RegulationsEnvironmental Regulations

Energy Efficiency Requirements continued..

– Australia & New Zeeland

• Per Standard AS/NZS 4665.1:2005 and AS/NZS 4665.2:2005. These are similar to Tier I requirements of CEC and effective date for these requirements is October 1st, 2007. Tier II has not been on the horizon as of today for this market.

– China, Japan and S. Korea

• watch out for updates

External Power Supplies EE limits

New Ecodesign EE requirements for Europe

Environmental RegulationsEnvironmental Regulations

RoHS (Restrictions of Hazardous SubstancesRoHS (Restrictions of Hazardous Substances

– USAUSA

• California Proposition 65 and OSHA RegulationsCalifornia Proposition 65 and OSHA Regulations

– EuropeEurope

• Per ROHS and WEEE directivesPer ROHS and WEEE directives

• RoHS-Directive 2002/95/ECRoHS-Directive 2002/95/EC

• WEEE-Directive 2002/96/EC for consumer WEEE-Directive 2002/96/EC for consumer electronics items and there is another directive for electronics items and there is another directive for consumer batteries, “Directive 2006/66/EC” dated consumer batteries, “Directive 2006/66/EC” dated September 6, 2006September 6, 2006

– China and other Asian countriesChina and other Asian countries

• Watch out for upcoming news, for China it will be Watch out for upcoming news, for China it will be in phases I and II etc.in phases I and II etc.

EMI and EMC regulationsEMI and EMC regulations

EMC issues have been around since radio

– USA: Communications Act of 1934 Regulation of EMC started after WWII.

– Military, aircraft EMC standards

– Automotive EMC standards

– Medical EMC standards Personal computers spurred emissions rules starting ~

1979. EMC Directive required commercial immunity

regulations by 1996.

EMC Rules and RegulationsEMC Rules and Regulations

EMC Directive 89/336/EEC mandatory 1992 (delayed to 1996) first standards harmonized 1996

EMC Directive 2004/108EEC mandatory July 20, 2008

R & TTE Directive 1999/5/EC (radio/telecom) safety, including RF exposure EMC protection of spectrum

Immunity Requirements StandardsImmunity Requirements Standards

Electrostatic discharge IEC 61000-4-2RF radiated immunity IEC 61000-4-3Fast transient burst (EFT/B) IEC 61000-4-4Lightning induced surge IEC 61000-4-5RF conducted immunity IEC 61000-4-6Harmonics/ interharmonics* IEC 61000-4-7Radiated magnetic immunity IEC 61000-4-8Pulsed magnetic immunity IEC 61000-4-9Damped oscillatory magnetic IEC 61000-4-10Voltage dips/interrupts IEC 61000-4-11

* a guide, not a standard

EMC EnvironmentEMC Environment

Class A

Class B

non-residential

residential

industrial

residential, commercial,

light industrial

Emissions increase Immunity disturbances increase

EMC EnvironmentEMC Environment

EmissionsEmissions radiated conducted

– low-frequency– high-frequency

ImmunityImmunity compliance criteria radiated & conducted phenomena

EMC EnvironmentEMC Environment

Where does undesired EMI enter/exit?

apparatus

enclosure portAC power port

DC power port

Earth port

Signal/control port

EMC EnvironmentEMC Environment

How undesired EMI happen?

Source emitting EM energy

Susceptible device

coupling

path

target or victim

EMC environment - radiatedEMC environment - radiated

Important to remember!

Interference from unintentionalradiators does not usually comefrom the clock frequency, but fromharmonics of the clock frequency.

EMC- Conducted EmissionsEMC- Conducted Emissions

Low frequency ( 0 - 2 kHz)Low frequency ( 0 - 2 kHz)

Harmonics

flicker

high frequency (150 kHz - 30 MHz)high frequency (150 kHz - 30 MHz)

EMC Environment RadiatedEMC Environment Radiated

Intentional radiators radio/TV stations remote controls paging, cell phones Wi-Fi hotspots

Unintentional radiators digital electronics microwave ovens appliances

EMC Environment RadiatedEMC Environment Radiated

Comparison of maximum radiated interference field strength at 10 meters for FCC and CISPR specifications.

AC Power- Conducted EmissionsAC Power- Conducted Emissions

Considered a threat because power cord can be an

effective antenna at low frequencies.

Also, power cord couples radio noise into AC power

network.

ImmunityImmunity

compliance criteria

phenomena

Immunity compliance criteriaImmunity compliance criteria

Performance criterion A - The apparatus shall continue to operate as intended during and after the test.

Performance criterion B - The apparatus shall continue to operate as intended after the test.

Performance criterion C - Temporary loss of function is allowed, provided the loss of function is self recoverable or can be restored by the operation of the controls.

The design processThe design process

Typical Steps or phases of design process:

concept Target specifications

releaseInitial

design

Design rules

Functional evaluation

System architecture

Regulatoryevaluation

The design processThe design process

Concept the ideaTarget specifications the details (include functional

and regulatory - EMC)System architecture the structure and details - EMCDesign rules the circuit and layout

constraints- EMCInitial design build itFunctional evaluation does it work? If not, modify.Regulatory evaluation is it legal? If not modify - EMCRelease it meets the (modified) specs.

The design process- checkThe design process- check

Target specifications the details (include functional and regulatory - EMC)

- Are all the jurisdictions specified?

- Have the requirements changed?- Is the environment correct?

The design processThe design process

System architecture the structure and details – EMC

-How many layers in PCBs?-Are reactive circuits located away from I/O ports?-Are I/O ports

isolated/shielded?-Are IC families appropriate

for speeds needed?-Will housing provide

shielding?

Design for complianceDesign for compliance

Initial Design must consider the following: design goals Components PCB architecture PCB layout and I/O Cables enclosures and shielding software/firmware

The design processThe design process

Design rules the circuit and layout constraints –EMC

- Are RF signal traces short and/ or embedded?- Are bypass caps located and sized optimally?- Are ground planes low-Z, and earth bypass

provided?- Have sensitive designs been modeled? -Consider use of Signal Integrity and Quiet expert,

EMC Flo simulation tools

Design for compliance: Design for compliance: software and firmwaresoftware and firmware

Design for robustness:

- checkpoint routines and watchdog timers.- checksums, error detection/correction codes.- “sanity checks” of measured values.- poll status of ports, sensors, actuators.- read/write to digital ports to validate.

The design processThe design process

To increase the EMC success rate, the design process must have following checks:

-Be sure the regulatory specifications are correct and current.

-Take into account the impact of equipment architecture on EMC. Assure that purchased modules also comply.

- Consider EMC design rules, manual and/or automatic.

- Include places for EMC compliance modifications.

- Perform pre-compliance testing where possible.

The design processThe design process

Regulatory evaluation is it legal? If not modify – EMC

- Were places provided for optional filtering/bypassing?

- Are ferrites cost-effective?

- Can spring fingers be added to the enclosure?

- Will a shielded cable help?- Board re-spin?

Design for compliance: logic families

EMI increases with power consumption EMI increases with slew rate/clock speed EMI increases with ground bounce EMI increases with output loading Differential drive can reduce EMI (LVDS)

Design for compliance:PCB architecture

Adjacent ground and power planes act as very good decoupling capacitors.

ground and power planes can shield high-speed or low-level signal traces between.

separate ground and chassis planes can reduce noise. 16-planes (layers) design is common for back planes

Design for compliance : Design for compliance : reduce emissionsreduce emissions

• Short straight current elements radiate fields that are:– Proportional to the current they carry (l)– Proportional to their (electrical) length (L)– Increasing with frequency (f)

• Small current loops radiate fields that are:– Proportional to the current

– Proportional to the square of the loop radius -- and the square of frequency

(E,H) ~ (f, L, l)

(E,H) ~ (f2, a2, l)

L

I

a

I

Design for complianceDesign for compliance

Clock

Clock Buffer

I/O Driver

Ed

ge

Co

nn

ecto

r

• Locate I/O drivers away from sources of high frequency and near Locate I/O drivers away from sources of high frequency and near the connectors they serve.the connectors they serve.

Design for compliance:Design for compliance:

Cables

Common Mode and Differential SignalsCommon Mode and Differential Signals

• Differential Signals:• Convey the desired information• Don’t cause interference: The fields generated by differential

currents oppose each other and nearly cancel.

• Common Mode Signals:• Are the major source of cable radiation• Have no useful purpose• Cause the cabling to act as a monopole antenna

Vcm

Design for compliance:Design for compliance:

Shielding

Design for compliance: enclosure Design for compliance: enclosure openingsopenings

Radiated Signal

Design for compliance: aperture size Design for compliance: aperture size and shielding effectivenessand shielding effectiveness

Design for compliance:Design for compliance:shielding of I/O, using chassisshielding of I/O, using chassis

Incorrect

Chassis GroundCorrect

Signal Ground

Test for ComplianceTest for Compliance

pre-compliance EMI site pre-compliance tools

To pre-test for RF immunity:

use licensed transmitters for radiated fields.

use coupling networks and transformers for

conducted disturbances.

To mitigate RF immunity problems:

try ferrites and spring fingers above 50 MHz

try filters below 50 MHz, bypassing anywhere.

Pre-compliance tools

Pre-compliance EMI sitesPre-compliance EMI sites

1 m site minimizes factory ambient. good for small EUT, frequencies > 100 MHz.

screened room inexpensive, OK for regulatory conducted emissions and

conducted immunity tests. can be used for radiated emissions, with precautions.

Pre-compliance EMI sitePre-compliance EMI site

Pre-Compliance test setup:

EUT

1 m

analyzer

floor - not a ground plane

Pre-compliance toolsPre-compliance tools

Immunity disturbance generators (ESD, surge…) radio transmitters ferrites filters and filtered connectors

Pre-compliance toolsPre-compliance tools

EMI cable manipulation

– ferrites

– filters and filtered connector EMI probes

Pre-compliance testing:Pre-compliance testing:EMI probesEMI probes

50 cableto analyzer

39 pF capacitor on center conductor

contact probe

Contact probes are useful in finding:- reactive component pins- reactive PC board traces and planes- reactive I/O and connector pins- driven areas of enclosures

Pre-compliance testing:Pre-compliance testing:EMI probesEMI probes

proximity probe50 cableto analyzer

center conductor looped back to shield and soldered

Proximity probes are useful in localizing:- reactive PC board areas and components- reactive signal, I/O and power cables- reactive enclosure gaps and openings- by pumping signal in, as immunity probe

CB radio 27 MHz

Portable phone handset 49 MHz /2500 MHz

Garage door opener 300 MHz

Walkie-talkie 460 MHz

Cell phone, analog/TDMA 900 MHz

Cell phone, PCS 1900 MHz

Wireless LAN 2450 MHz

Pre-compliance testing:radio transmitters

Questions and Answers