IEC 60115-1:1999

INTERNATIONAL
IEC
STANDARD
60115-1
QC 400000
Third edition
1999-05
Fixed resistors for use in electronic equipment –
Part 1:
Generic specification
Résistances fixes utilisées dans les équipements
électroniques –
Partie 1:
Spécification générique
Reference number
Numbering
As from 1 January 1997 all IEC publications are issued with a designation in the
60000 series.
Consolidated publications
Consolidated versions of some IEC publications including amendments are

available. For example, edition numbers 1.0, 1.1 and 1.2 refer, respectively, to the
base publication, the base publication incorporating amendment 1 and the base

publication incorporating amendments 1 and 2.

Validity of this publication
The technical content of IEC publications is kept under constant review by the IEC,
thus ensuring that the content reflects current technology.
Information relating to the date of the reconfirmation of the publication is available
in the IEC catalogue.
Information on the subjects under consideration and work in progress undertaken by
the technical committee which has prepared this publication, as well as the list of
publications issued, is to be found at the following IEC sources:
• IEC web site*
• Catalogue of IEC publications
Published yearly with regular updates
(On-line catalogue)*
• IEC Bulletin
Available both at the IEC web site* and as a printed periodical
Terminology, graphical and letter symbols
For general terminology, readers are referred to IEC 60050: International
Electrotechnical Vocabulary (IEV).
For graphical symbols, and letter symbols and signs approved by the IEC for
general use, readers are referred to publications IEC 60027: Letter symbols to be
used in electrical technology, IEC 60417: Graphical symbols for use on equipment.
Index, survey and compilation of the single sheets and IEC 60617: Graphical symbols
for diagrams.
* See web site address on title page.

INTERNATIONAL
IEC
STANDARD
60115-1
QC 400000
Third edition
1999-05
Fixed resistors for use in electronic equipment –
Part 1:
Generic specification
Résistances fixes utilisées dans les équipements
électroniques –
Partie 1:
Spécification générique
 IEC 1999  Copyright - all rights reserved
No part of this publication may be reproduced or utilized in any form or by any means, electronic or
mechanical, including photocopying and microfilm, without permission in writing from the publisher.
International Electrotechnical Commission 3, rue de Varembé Geneva, Switzerland
Telefax: +41 22 919 0300 e-mail: inmail@iec.ch IEC web site http://www.iec.ch
Commission Electrotechnique Internationale
PRICE CODE
V
International Electrotechnical Commission
For price, see current catalogue

– 2 – 60115-1 © IEC:1999(E)
CONTENTS
Page
FOREWORD . 4

Clause
1 General. 5

1.1 Scope . 5

1.2 Normative references. 5
2 Technical data. 7
2.1 Units and symbols. 7
2.2 Definitions. 7
2.3 Preferred values. 10
2.4 Marking. 10
2.5 Coding . 11
3 Quality assessment procedures. 11
3.1 General. 11
3.2 Primary stage of manufacture. 12
3.3 Subcontracting. 12
3.4 Structurally similar components. 12
3.5 Qualification approval procedures . 12
3.6 Capability approval procedures. 13
3.7 Rework and repair. 19
3.8 Release for delivery . 19
3.9 Certified test records of released lots . 19
3.10 Delayed delivery. 19
3.11 Alternative test methods. 19
3.12 Manufacture outside the geographical limits of IECQ NSIs. 20
3.13 Unchecked parameters . 20
4 Test and measurement procedures . 20
4.1 General. 20
4.2 Standard atmospheric conditions. 20
4.3 Drying . 21
4.4 Visual examination and checking of dimensions . 21

4.5 Resistance. 22
4.6 Insulation resistance (insulated styles only) . 22
4.7 Voltage proof . 25
4.8 Variation of resistance with temperature . 25
4.9 Reactance . 27
4.10 Non-linear properties. 28
4.11 Voltage coefficient. 28
4.12 Noise . 29
4.13 Overload . 29
4.14 Temperature rise. 29
4.15 Robustness of the resistor body . 30
4.16 Robustness of terminations . 30

60115-1 © IEC:1999(E) – 3 –
Clause Page
4.17 Solderability . 32

4.18 Resistance to soldering heat . 33

4.19 Rapid change of temperature . 34

4.20 Bump . 34

4.21 Shock . 34

4.22 Vibration . 34

4.23 Climatic sequence. 35

4.24 Damp heat, steady state. 36

4.25 Endurance . 37
4.26 Accidental overload test (for low-power non-wire-wound resistors only). 42
4.27 Single-pulse high-voltage overload test . 44
4.28 Periodic-pulse high-voltage overload test. 47
4.29 Component solvent resistance. 50
4.30 Solvent resistance of marking . 50
4.31 Mounting (for surface mount resistors only) . 50
4.32 Shear (adhesion) test. 53
4.33 Substrate bending test (formerly bond strength of the end face plating) . 53
Annex A (normative) Interpretation of sampling plans and procedures as described
in IEC 60410 for use within the IEC quality assessment system for
electronic components (IECQ). 54
Annex B (normative) Rules for the preparation of detail specifications for resistors and
capacitors for electronic equipment . 55
Annex C (informative) Example of test equipment for the periodic-pulse high-voltage
overload test . 56
Annex D (normative) Layout of the first page of a PCP/CQC specification. 57

– 4 – 60115-1 © IEC:1999(E)
INTERNATIONAL ELECTROTECHNICAL COMMISSION

____________
FIXED RESISTORS FOR USE IN ELECTRONIC EQUIPMENT –

Part 1: Generic specification
FOREWORD
1) The IEC (International Electrotechnical Commission) is a worldwide organization for standardization comprising
all national electrotechnical committees (IEC National Committees). The object of the IEC is to promote
international co-operation on all questions concerning standardization in the electrical and electronic fields. To
this end and in addition to other activities, the IEC publishes International Standards. Their preparation is
entrusted to technical committees; any IEC National Committee interested in the subject dealt with may
participate in this preparatory work. International, governmental and non-governmental organizations liaising
with the IEC also participate in this preparation. The IEC collaborates closely with the International Organization
for Standardization (ISO) in accordance with conditions determined by agreement between the two
organizations.
2) The formal decisions or agreements of the IEC on technical matters express, as nearly as possible, an
international consensus of opinion on the relevant subjects since each technical committee has representation
from all interested National Committees.
3) The documents produced have the form of recommendations for international use and are published in the form
of standards, technical reports or guides and they are accepted by the National Committees in that sense.
4) In order to promote international unification, IEC National Committees undertake to apply IEC International
Standards transparently to the maximum extent possible in their national and regional standards. Any
divergence between the IEC Standard and the corresponding national or regional standard shall be clearly
indicated in the latter.
5) The IEC provides no marking procedure to indicate its approval and cannot be rendered responsible for any
equipment declared to be in conformity with one of its standards.
6) Attention is drawn to the possibility that some of the elements of this International Standard may be the subject
of patent rights. The IEC shall not be held responsible for identifying any or all such patent rights.
International Standard IEC 60115-1 has been prepared by IEC technical committee 40:
Capacitors and resistors for electronic equipment.
This third edition cancels and replaces the second edition published in 1982, amendment 2
(1987), amendment 3 (1989) and amendment 4 (1993).
The text of this standard is based on the following documents:
FDIS Report on voting
40/1087/FDIS 40/1109/RVD
Full information on the voting for the approval of this standard can be found in the report on
voting indicated in the above table.
The QC number that appears on the front cover of this publication is the specification number
in the IEC Quality Assessment System for Electronic Components (IECQ).
Annexes A, B and D form an integral part of this standard.
Annex C is for information only.
A bilingual version of this standard may be issued at a later date.

60115-1 © IEC:1999(E) – 5 –
FIXED RESISTORS FOR USE IN ELECTRONIC EQUIPMENT –

Part 1: Generic specification
1 General
1.1 Scope
This part of IEC 60115 is applicable to fixed resistors for use in electronic equipment.
It establishes standard terms, inspection procedures and methods of test for use in sectional
and detail specifications of electronic components for quality assessment or any other purpose.
1.2 Normative references
The following normative documents contain provisions which, through reference in this text,
constitute provisions of this part of IEC 60115. For dated references, subsequent amendments
to, or revisions of any of these publications do not apply. However, parties to agreements
based on this part of IEC 60115 are encouraged to investigate the possibility of applying the
most recent editions of the normative documents indicated below. For undated references, the
latest edition of the normative document referred to applies. Members of IEC and ISO maintain
registers of currently valid International Standards.
NOTE – In the case of IEC 60068 standards, use the referenced edition.
IEC 60027 (all parts), Letter symbols to be used in electrical technology
IEC 60050 (all parts), International Electrotechnical Vocabulary (IEV)
IEC 60060-1:1989, High-voltage test techniques – Part 1: General definitions and test require-
ments
IEC 60060-2:1994, High-voltage test techniques – Part 2: Measuring systems
IEC 60062:1992, Marking codes for resistors and capacitors
Amendment 1 (1995)
IEC 60063:1963, Preferred number series for resistors and capacitors
Amendment 1 (1967)
Amendment 2 (1977)
IEC 60068-1:1988, Environmental testing – Part 1: General and guidance
Amendment 1 (1992)
IEC 60068-2-1:1990: Environmental testing – Part 2: Tests – Tests A: Cold
Amendment 1 (1993)
Amendment 2 (1994)
IEC 60068-2-2:1974, Environmental testing – Part 2: Tests – Tests B: Dry heat
Amendment 1 (1993)
Amendment 2 (1994)
IEC 60068-2-3:1969, Environmental testing – Part 2: Tests – Test Ca: Damp heat, steady state
Amendment 1 (1984)
– 6 – 60115-1 © IEC:1999(E)
.IEC 60068-2-6:1995, Environmental testing – Part 2: Tests – Test Fc: Vibration (sinusoidal)

IEC 60068-2-13:1983, Environmental testing – Part 2: Tests – Test M: Low air pressure

IEC 60068-2-14:1984, Environmental testing – Part 2: Tests – Test N: Change of temperature

Amendment 1 (1986)
IEC 60068-2-20:1979, Environmental testing – Part 2: Tests – Test T: Soldering

Amendment 2 (1987)
IEC 60068-2-21:1983, Environmental testing -– Part 2: Tests – Test U: Robustness of termina-

tions and integral mounting devices
Amendment 2 (1991)
Amendment 3 (1992)
IEC 60068-2-27:1987, Environmental testing -– Part 2: Tests – Test Ea and guidance: Shock
IEC 60068-2-29:1987, Environmental testing -– Part 2: Tests – Test Eb and guidance: Bump
IEC 60068-2-30:1980, Environmental testing – Part 2: Tests – Test Db and guidance: Damp
heat, cyclic (12 + 12 hour cycle)
Amendment 1 (1985)
IEC 60068-2-45:1980, Environmental testing – Part 2: Tests – Test XA and guidance: Immer-
sion in cleaning solvents
Amendment 1 (1993)
IEC 60068-2-58:1989, Environmental testing – Part 2: Tests – Test Td: Solderability, resistance
to dissolution of metallization and to soldering heat of Surface Mounting Devices (SMD)
IEC 60195:1965, Method of measurement of current noise generated in fixed resistors
IEC 60249-2-4:1987, Base materials for printed circuits – Part 2: Specifications – Specification
No. 4: Epoxide woven glass fabric copper-clad laminated sheet, general purpose grade
IEC 60294:1969, Measurement of the dimensions of a cylindrical component having two axial
terminations
IEC 60410:1973, Sampling plans and procedures for inspection by attributes

IEC 60440:1973, Method of measurement of non-linearity in resistors
IEC QC 001002-3: 1998, IEC Quality Assessment System for Electronic Components (IECQ) –
Rules of procedure – Part 3: Approval procedures
IEC QC 001003:1998, IEC Quality Assessment System for Electronic Components (IECQ) –
Guidance documents
IEC QC 001005:1998, Register of firms, products and services approved under the IECQ
system, including ISO 9000
ISO 1000:1992, SI units and recommendations for the use of their multiples and of certain
other units
60115-1 © IEC:1999(E) – 7 –
2 Technical data
2.1 Units and symbols
For the purposes of this part of IEC 60115, the following definitions apply. In addition, units,

graphical symbols, letter symbols and terminology shall, whenever possible, be taken from the

following publications:
– IEC 60027;
– IEC 60050;
– ISO 1000.
When further items are required they shall be derived in accordance with the principles of the
documents listed above.
2.2 Definitions
For the purposes of this part of IEC 60115, the following definitions apply.
2.2.1
type
group of components having similar design features, the similarity of whose manufacturing
techniques enables them to be grouped together either for qualification approval or for quality
conformance inspection; they are generally covered by a single detail specification
NOTE 1 – Components described in several detail specifications, may, in some cases, be considered as belonging
to the same type and may therefore be grouped for quality assessment purposes.
NOTE 2 – Mounting accessories are ignored, provided they have no significant effect on the test results.
NOTE 3 – Ratings cover the combination of
– electrical ratings,
–sizes,
– environmental category.
The limits of the range of ratings are to be given in the detail specification.
2.2.2
style
subdivision of a type, generally based on dimensional factors; a style may include several
variants, generally of a mechanical order
2.2.3
grade
term indicating additional general characteristics concerning the intended application, for

example long-life applications.
The term "grade" may be used only in combination with one or more words (for example, long-
life grade) and not with a single letter or number.
The figures to be added after the term "grade" should be arabic numerals
2.2.4
family (of electronic components)
group of electronic components which predominantly displays a particular physical attribute
and/or fulfils a defined function
2.2.5
subfamily (of electronic components)
group of components within a family manufactured by similar technological methods

– 8 – 60115-1 © IEC:1999(E)
2.2.6
rated resistance
resistance value for which the resistor has been designed, and which is generally indicated on

the resistor
2.2.7
critical resistance
resistance value at which the rated voltage is equal to the limiting element voltage (see 2.2.15

and 2.2.16)
NOTE – At an ambient temperature of 70 (C, the maximum voltage which may be applied across the terminations

of a resistor is either the calculated rated voltage, if the resistance is less than the critical resistance, or the limiting
element voltage, if the resistance is equal to or greater than the critical resistance. At temperatures other than

70 (C, it is important that account be taken of the derating curve and of the limiting element voltage in the
calculation of any voltage to be applied.
2.2.8
category temperature range
range of ambient temperatures for which the resistor has been designed to operate
continuously, defined by the temperature limits of its appropriate category
2.2.9
upper category temperature
the maximum ambient temperature for which a resistor has been designed to operate
continuously at that portion of the rated dissipation which is indicated in the category
dissipation
2.2.10
lower category temperature
minimum ambient temperature at which a resistor has been designed to operate continuously
2.2.11
maximum surface temperature
maximum temperature permitted on the surface for any resistor of that type when operated
continuously at rated dissipation at an ambient temperature of 70 (C
2.2.12
rated temperature
maximum ambient temperature at which the rated dissipation may be applied continuously
under the conditions of the endurance test prescribed for this temperature. It has a value of
70 (C, unless otherwise prescribed in the relevant sectional specification
2.2.13
rated dissipation
maximum allowable dissipation at an ambient temperature of 70 (C under the conditions of the
endurance test at 70 (C and for which the permitted change in resistance for this endurance
test is not exceeded
2.2.14
category dissipation
fraction of the rated dissipation exactly defined in the detail specification, applicable at the
upper category temperature, taking account of the derating curve prescribed in the detail
specification
NOTE – The category dissipation may be zero.

60115-1 © IEC:1999(E) – 9 –
2.2.15
rated voltage (U or U )
N R
d.c. or a.c. r.m.s. voltage calculated from the square root of the product of the rated resistance

and the rated dissipation
NOTE – At high values of resistance, the rated voltage may not be applicable because of the size and the

construction of the resistor (see 2.2.16).

2.2.16
limiting element voltage
maximum d.c. or a.c. r.m.s. voltage that may be continuously applied to the terminations of a
resistor (generally dependent upon size and manufacturing technology of the resistor).

Where the term "a.c. r.m.s. voltage" is used in this standard, the peak voltage shall not exceed
1,42 times the r.m.s. value
NOTE – This voltage can only be applied to resistors when the resistance value is equal to or higher than the
critical resistance value.
2.2.17
insulation voltage (applicable only to insulated resistors)
the maximum peak voltage which may be applied under continuous operating conditions
between the resistor terminations and any conducting mounting surface
2.2.18
insulated resistor
resistor which fulfils the voltage proof and insulation resistance test requirements and the
damp-heat, steady-state test with a polarizing voltage applied when mounted on a metal plate
2.2.19
insulation resistance
Under consideration
2.2.20
variation of resistance with temperature
variation of resistance with temperature which can be expressed either as a temperature
characteristic or as a temperature coefficient as defined below
2.2.20.1
temperature characteristic of resistance
maximum reversible variation of resistance produced over a given temperature range within the
category temperatures related to a reference temperature of 20 (C

2.2.20.2
temperature coefficient of resistance (α)
relative variation of resistance between two given temperatures divided by the difference in the
temperature producing it
NOTE – It should be noted that the use of the term does not imply any degree of linearity for this function, nor
should any be assumed.
2.2.21
voltage coefficient of resistance
reversible change in resistance caused by the applied voltage and expressed as a percentage
change in resistance per applied volt
2.2.22
visible damage
visible damage which reduces the usability of the resistor for its intended purpose

– 10 – 60115-1 © IEC:1999(E)
2.2.23
surface mount resistor
fixed resistor whose small dimensions and nature or shape of terminations make it suitable for

use in hybrid circuits and on printed boards

2.2.24
heat-sink resistor
resistor type designed for mounting on a separate heat-sink

2.2.25
rated dissipation (heat-sink resistors only)

maximum allowable dissipation of a heat-sink resistor at an ambient temperature of 25 (C,
when mounted on the reference heat-sink, under the conditions of the endurance test at room
temperature for heat-sink resistors, and which will result in a change in resistance not greater
than that specified for this endurance test
2.2.26
maximum element temperature
maximum stated temperature at any point on or within the resistor, under any permissible
operating condition
2.3 Preferred values
2.3.1 General
Each sectional specification shall prescribe the preferred values appropriate to the subfamily;
for rated resistance, see also 2.3.2.
2.3.2 Preferred values of rated resistance
The preferred values of rated resistance shall be taken from the series specified in IEC 60063.
2.4 Marking
2.4.1 General
2.4.1.1 The information given in the marking is normally selected from the following list; the
relative importance of each item is indicated by its position in the list:
a) rated resistance;
b) tolerance on rated resistance;
c) temperature coefficient (if applicable);

d) year and month (or week) of manufacture;
e) number of the detail specification and style reference;
f) manufacturer's name or trade mark.
2.4.1.2 The resistor shall be clearly marked with a) and b) above, and with as many of the
remaining items as is practicable. Any duplication of information in the marking on the resistor
should be avoided.
2.4.1.3 The package containing the resistor(s) shall be clearly marked with all the information
listed above.
2.4.1.4 Any additional marking shall be so applied that no confusion can arise.

60115-1 © IEC:1999(E) – 11 –
2.5 Coding
When coding is used for resistance value, tolerance or date of manufacture, the method shall

be selected from those given in IEC 60062.

3 Quality assessment procedures

3.1 General
When this standard and any related standards are used for the purpose of a full quality

assessment system such as the IEC quality assessment system for electronic components

(IECQ), compliance to 3.5 or 3.6 is required.
When these standards are used outside such quality assessment systems for purposes such as
design proving or type testing, the procedures and requirements of 3.5.1 and 3.5.3 b) may be
used, but the tests and parts of tests shall be applied in the order given in the test schedules.
Before resistors can be qualified according to the procedures of this clause, the manufacturer
shall obtain the approval of his organization, in accordance with the provisions of
IEC QC 001002-3.
Two of the methods that are available for the approval of resistors of assessed quality, and
which are covered by the following subclause are qualification approval according to the
provisions of clause 3 of IEC QC 001002-3, and capability approval according to the provisions
of clause 4 of IEC QC 001002-3. For a given subfamily of resistors, separate sectional
specifications for qualification approval and capability approval are necessary, and capability
approval is therefore available only when a relevant sectional specification has been published.
3.1.1 Applicability of qualification approval
Qualification approval is appropriate for a standard range of resistors manufactured to similar
design and production processes, and conforming to a published detail specification.
The programme of tests defined in the detail specification for the appropriate assessment and
performance levels applies directly to the resistor range to be qualified, as prescribed in 3.5
and the relevant sectional specification.
3.1.2 Applicability of capability approval
Capability approval is appropriate when resistors based on common design rules are fabricated
by a group of common processes. It is particularly appropriate when resistors are manu-
factured to a user's specific requirements.

Under capability approval, detail specifications fall into the following three categories.
3.1.2.1 Capability qualifying components (CQCs), including process validation test
vehicles
A detail specification shall be prepared for each CQC as agreed with the national supervising
inspectorate (NSI). It shall identify the purpose of the CQC and include all relevant test
severities and limits.
3.1.2.2 Standard catalogue components
When the manufacturer requires that a resistor approved under the capability approval
procedure be listed in the IECQ register of approvals, a capability approval detail specification
complying with the blank detail specification shall be written. Such specifications shall be
registered by the IECQ and the component shall be listed in IEC QC 001005.

– 12 – 60115-1 © IEC:1999(E)
3.1.2.3 Customer specific components

The content of the detail specification (often known as a CDS (customer detail specification))

shall be by agreement between the manufacturer and the customer, in accordance with 4.4.3 of

IEC QC 001002-3.
Further information on these detail specifications is given in the relevant sectional speci-

fication.
Approval is given to a manufacturing facility on the basis of validated design rules, processes

and quality control procedures and the results of tests on capability qualifying components,

including any process validation test vehicles. See 3.6 and the relevant sectional specification
for further information.
3.2 Primary stage of manufacture
For fixed resistor specifications, the primary stage of manufacture is as follows:
– for film types:
deposition of the resistive film on the substrate;
– for carbon composition types:
process which produces the greatest change in polymerization of the binder;
– for wire-wound types:
winding of the resistance wire (or ribbon) on the former;
– for metal foil resistors:
fixing of the resistive foil on the substrate.
3.3 Subcontracting
If subcontracting of the primary stage of manufacture and/or subsequent stages is employed, it
shall be in accordance with 4.2.2 of IEC QC 001002-3.
The sectional specification may restrict subcontracting, in accordance with 4.2.2.2 of
IEC QC 001002-3.
3.4 Structurally similar components
The grouping of structurally similar components for qualification approval testing or for quality
conformance testing under qualification approval or capability approval shall be prescribed in
the relevant sectional specification.

3.5 Qualification approval procedures
3.5.1 Eligibility for qualification approval
The manufacturer shall comply with 3.1.1 of IEC QC 001002-3.
3.5.2 Application for qualification approval
The manufacturer shall comply with 3.1.3 of IEC QC 001002-3.

60115-1 © IEC:1999(E) – 13 –
3.5.3 Test procedure for qualification approval

One of the following two procedures shall be used.

a) The manufacturer shall produce test evidence of conformance to the specification

requirements on three inspection lots for lot-by-lot inspection, taken in as short a time as

possible, and on one lot for periodic inspection. No major changes in the manufacturing

process shall be made in the period during which the inspection lots are taken.

Samples shall be taken from the lots in accordance with IEC 60410 (see annex A). The

sample shall contain the highest and lowest resistance values represented in the lot and a

critical value when this falls between such high and low values. The highest and lowest

resistance values so selected shall define the resistance range for which qualification
approval is granted.
Normal inspection shall be used but, when the sample size gives acceptance on zero
nonconformances, additional specimens shall be taken in order to meet the sample size
requirements to give acceptance on one nonconforming item.
b) The manufacturer shall produce test evidence to show conformance to the specification
requirements on the fixed sample size test schedule given in the sectional specification.
The specimens taken to form the sample shall be selected at random from current
production or as agreed with the NSI.
For the two procedures, the sample sizes and the number of permissible nonconformances
shall be of comparable order. The test conditions and requirements shall be the same.
3.5.4 Granting of qualification approval
Qualification approval shall be granted when the procedures in accordance with 3.1.4 of
IEC QC 001002-3 have been completed satisfactorily.
3.5.5 Maintenance of qualification approval
Qualification approval shall be maintained by regular demonstration of compliance with the
requirements for quality conformance (see 3.5.6).
3.5.6 Quality conformance inspection
The blank detail specification(s) associated with the sectional specification shall prescribe the
test schedule for quality conformance inspection. This schedule shall also specify the grouping,
sampling and periodicity for the lot-by-lot and periodic inspection.
Operation of the switching rule for reduced inspection in Group C is permitted in all subgroups
except endurance. The sampling plans and inspection levels shall be selected from those given

in IEC 60410.
If required, more than one schedule may be specified.
3.6 Capability approval procedures
3.6.1 General
Capability approval in fixed resistor technology covers the following:
– the complete design, material preparation and manufacturing techniques, including control
procedures and tests;
– the performance limits claimed for the processes and products, that is, those specified for
the capability qualifying components (CQCs) and process control parameters (PCPs);
– the range of mechanical structures for which approval is granted.

– 14 – 60115-1 © IEC:1999(E)
3.6.2 Eligibility for capability approval

The manufacturer shall comply with the requirements of 4.2.1 of IEC QC 001002-3.

3.6.3 Application for capability approval

The manufacturer shall comply with the requirements of 4.2.4 of IEC QC 001002-3 and with the

requirements of the relevant sectional specification.

3.6.4 Description of capability

The capability shall be described in a capability manual in accordance with 4.2.5 of

IEC QC 001002-3 and with the requirements of the relevant sectional specification.
The NSI shall treat the capability manual as a confidential document. The manufacturer may, if
he so wishes, disclose part or all of it to a third party.
3.6.5 Demonstration and verification of capability
The manufacturer shall demonstrate and verify the capability in accordance with 4.2.6 of
IEC QC 001002-3 and with the requirements of the relevant sectional specification, with the
following details.
3.6.5.1 CQCs for demonstrating capability
The manufacturer shall agree with the NSI the process qualifying parameters and the range of
capability qualifying components which are necessary to demonstrate the capability range
specified in the capability manual.
The demonstration shall be made by testing the agreed range of CQCs which shall be
designed, manufactured and process-parameter-controlled in accordance with the capability
manual. The CQCs shall comply with the following requirements:
a) the range of CQCs used shall represent all the limits of the declared capability. The CQCs
shall be chosen to demonstrate mutually attainable combinations of limits.
b) the CQCs shall be
– either resistors specially designed to demonstrate a combination of limits of capability,
– or resistors of designs used in general production,
– or a combination of both of these, provided the requirements of a) are met.
When CQCs are designed and produced solely for capability approval, the manufacturer shall

use the same design rules, materials and manufacturing processes as those applied to
released products.
A detail specification shall be prepared for each CQC and shall have a front-page format in
accordance with annex D. The detail specification shall identify the purpose of the CQC and
shall include all relevant stress levels and test limits. It may refer to internal control
documentation which specifies production testing and recording in order to demonstrate control
and maintenance of processes, and limits of capability.
3.6.5.2 Limits of capability
The limits of capability shall be described in the relevant sectional specification.

60115-1 © IEC:1999(E) – 15 –
3.6.6 Programme for capability approval

In accordance with 4.2.6 of IEC QC 001002-3, the manufacturer shall prepare a programme for

the assessment of the declared capability. This programme shall be so designed that each

declared limit of capability is verified by an appropriate CQC.

The programme shall include the following:

– a bar chart or other means of showing the proposed timetable for the approval exercise;

– details of all the CQCs to be used, with references to their detail specifications;

– a chart showing the features to be demonstrated by each CQC;

– reference to the control plans to be used for process control.
3.6.7 Capability approval test report
In accordance with 4.2.6.3 of IEC QC 001002-3, a capability report shall be issued. The report
shall meet the specific requirements of this specification and shall contain the following
information:
– issue number and date of the capability manual;
– programme for capability approval in accordance with 3.6.6;
– all test results obtained during the performance of the programme;
– test methods used;
– reports on actions taken in the event of failure (see 3.6.10.1).
The report shall be signed by the designated management representative (DMR) as a true
statement of the results obtained and submitted to the body designated in the national rules
which is responsible for the granting of capability approval.
3.6.8 Abstract of description of capability
The abstract is intended for formal publication in IEC QC 001005 after capability approval has
been granted.
The abstract shall include a concise description of the manufacturer's capability and give
sufficient information on the technology, methods of construction and range of products for
which the manufacturer has been approved.
3.6.9 Modifications likely to affect the capability approval

Any modifications likely to affect the capability approval shall satisfy the requirements of
4.2.1.1 of IEC QC 001002-3.
3.6.10 Initial capability approval
The approval is granted when
– the selected range of CQCs has collectively satisfied the assessment requirements of the
CQC detail specifications, with no nonconforming item allowed,
– the control plan has been fully implemented in the process control system.
For a general overview of capability approval, see figure 1.

– 16 – 60115-1 © IEC:1999(E)
Resistor range
Select PCPs Select CQCs
Prepare control Prepare CQC detail
plan specifications
Commence process Prepare CQC test
control programme
INITIAL
CAPABILITY
APPROVAL
Process control Lot-by-lot tests

Verification
of limits
IEC  225/99
Figure 1 – General scheme for capability approval

60115-1 © IEC:1999(E) – 17 –
3.6.10.1 Procedure in the event of failure

See 4.2.10 of IEC QC 001002-3, with the following details.

In the event of the failure of the specimens to meet the test requirements, the manufacturer

shall notify the NSI and shall state his intention to follow one of the actions described in a) and

b) below:
a) to modify the proposed scope of his capability;

b) to conduct an investigation to establish the cause of the failure as being

– either a failure of the test itself, for example test equipment failure or operator error,

– or a design or process failure.
If the cause of the failure is established as a failure of the test itself, then either the specimen
which apparently failed or a new one, if appropriate, shall be returned to the test schedule after
the necessary corrective action has been taken. If a new specimen is to be used, it shall be
subjected to all of the tests in the given sequence of the test schedule(s) appropriate to the
apparently failed specimen.
If the cause of the failure is established as a design or process failure, a test programme shall
be carried out to demonstrate that the cause of the failure has been eradicated and that all
corrective measures, including documentation, have been carried out. When this has been
accomplished, the test sequences in which the failure occurred shall be repeated in full, using
new CQCs.
After the action is complete, the manufacturer shall send a report to the NSI, and shall include
a copy in the capability approval test report (see 3.6.7).
3.6.10.2 General plan for the selection of PCPs and CQCs
Each manufacturer shall prepare a process flow chart, based on the example given in the
relevant sectional specification. For all the process steps included in his flow chart, the
manufacturer shall include the corresponding process controls.
Controls shall be denoted by the manufacturer as shown in the example in the relevant
sectional specification.
3.6.10.3 Process control test plans
Test plans shall form part of the process control system used by the manufacturer. When
statistical process control (SPC) is used, implementation shall be in accordance with SPC

basic requirements. SPC plans represent mandatory controls at process nodes.
For each process step where production equipment is used, the manufacturer shall monitor the
process parameters at regular intervals, and compare the readings to the control and action
limits which he will establish.
3.6.10.4 Test plans for CQCs demonstrating limits of capability
Test plans for CQCs for the demonstration of limits of capability shall be prescribed in the
relevant sectional specification.

– 18 – 60115-1 © IEC:1999(E)
3.6.11 Granting of capability approval

Capability approval shall be granted when the procedures in accordance with 4.2.6 of

IEC QC 001002-3 have been completed satisfactorily and the requirements of the relevant

sectional specification have been met.

3.6.12 Maintenance of capability approval

Capability approval shall be maintained by complying with the requirements of 4.2.9 of
IEC QC 001002-3 and with the requirements declared in the capability manual following the

schedule of maintenance given in the relevant sectional specification.

Additionally, the following details apply.
Capability approval remains valid without retesting for two years.
The programme for the retesting of CQCs shall be defined by the manufacturer. For process
control, the manufacturer shall establish a control system. An exa
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