1、PD ISO/TR 19948:2016 Earth-moving machinery Conformity assessment and certification process BSI Standards Publication WB11885_BSI_StandardCovs_2013_AW.indd 1 15/05/2013 15:06PD ISO/TR 19948:2016 PUBLISHED DOCUMENT National foreword This Published Document is the UK implementation of ISO/TR 19948:201
2、6. The UK participation in its preparation was entrusted to Technical Committee B/513/1, Earth moving machinery (International). A list of organizations represented on this committee can be obtained on request to its secretary. This publication does not purport to include all the necessary provision
3、s of a contract. Users are responsible for its correct application. The British Standards Institution 2016. Published by BSI Standards Limited 2016 ISBN 978 0 580 87904 3 ICS 03.120.20; 53.100 Compliance with a British Standard cannot confer immunity from legal obligations. This Published Document w
4、as published under the authority of the Standards Policy and Strategy Committee on 31 August 2016. Amendments issued since publication Date Text affectedPD ISO/TR 19948:2016 ISO 2016 Earth-moving machinery Conformity assessment and certification process Engins de terrassement Processus dvaluation de
5、 la conformit et de certification TECHNICAL REPORT ISO/TR 19948 Reference number ISO/TR 19948:2016(E) First edition 2016-08-01PD ISO/TR 19948:2016ISO/TR 19948:2016(E)ii ISO 2016 All rights reserved COPYRIGHT PROTECTED DOCUMENT ISO 2016, Published in Switzerland All rights reserved. Unless otherwise
6、specified, no part of this publication may be reproduced or utilized otherwise in any form or by any means, electronic or mechanical, including photocopying, or posting on the internet or an intranet, without prior written permission. Permission can be requested from either ISO at the address below
7、or ISOs member body in the country of the requester. ISO copyright office Ch. de Blandonnet 8 CP 401 CH-1214 Vernier, Geneva, Switzerland Tel. +41 22 749 01 11 Fax +41 22 749 09 47 copyrightiso.org www.iso.orgPD ISO/TR 19948:2016ISO/TR 19948:2016(E)Foreword iv Introduction v 1 Scope . 1 2 Normative
8、references 1 3 Terms and definitions . 1 4 Process 2 4.1 General . 2 4.2 Characteristics of standards used for conformity assessment 2 4.2.1 Earth-moving machine (EMM) standards 2 4.2.2 Characteristics of conformity assessment standards 2 4.2.3 ISO 20474 . 2 4.3 Demonstrating compliance with standar
9、ds . 3 4.4 Certification process 3 4.4.1 Global objective for certification 3 4.4.2 Provision for third party certification . 3 5 Information for conformity assessment 3 5.1 Technical construction file 3 5.2 Conformity assessment certificate 4 5.2.1 General 4 5.2.2 Use of the conformity certificate
10、4 5.2.3 Detailed description of the machine . 4 5.2.4 Description of applicable standards and regulations 4 5.2.5 Information on responsible entity providing conformity assessment certificate . 4 5.2.6 Example conformity assessment certificate 4 Annex A (informative) Example conformity assessment ce
11、rtificate . 5 Bibliography 6 ISO 2016 All rights reserved iii Contents PagePD ISO/TR 19948:2016ISO/TR 19948:2016(E) Foreword ISO (the International Organization for Standardization) is a worldwide federation of national standards bodies (ISO member bodies). The work of preparing International Standa
12、rds is normally carried out through ISO technical committees. Each member body interested in a subject for which a technical committee has been established has the right to be represented on that committee. International organizations, governmental and non-governmental, in liaison with ISO, also tak
13、e part in the work. ISO collaborates closely with the International Electrotechnical Commission (IEC) on all matters of electrotechnical standardization. The procedures used to develop this document and those intended for its further maintenance are described in the ISO/IEC Directives, Part 1. In pa
14、rticular the different approval criteria needed for the different types of ISO documents should be noted. This document was drafted in accordance with the editorial rules of the ISO/IEC Directives, Part 2 (see www.iso.org/directives). Attention is drawn to the possibility that some of the elements o
15、f this document may be the subject of patent rights. ISO shall not be held responsible for identifying any or all such patent rights. Details of any patent rights identified during the development of the document will be in the Introduction and/or on the ISO list of patent declarations received (see
16、 www.iso.org/patents). Any trade name used in this document is information given for the convenience of users and does not constitute an endorsement. For an explanation on the meaning of ISO specific terms and expressions related to conformit y assessment, as well as information about ISOs adherence
17、 to the World Trade Organization (WTO) principles in the Technical Barriers to Trade (TBT) see the following URL: www.iso.org/iso/foreword.html The committee responsible for this document is ISO/TC 127, Earth-moving machinery.iv ISO 2016 All rights reservedPD ISO/TR 19948:2016ISO/TR 19948:2016(E) In
18、troduction Background ISO Technical committee, ISO/TC 127, Earth-moving machinery, was formed in 1968 to promote harmonization of global safety requirements for the already global earth-moving machine (EMM) industry. The goal of the committee is to pro-actively develop International Standards to add
19、ress all safety risks for its machines. EMM manufacturers use the standards to achieve a high level of safety for machines to meet the safety expectations of customers and health and safety groups. The EMM industry strives to develop machines that are recognized as safe machines, and allow its manuf
20、acturers to use ISO/IEC 17050, and for suppliers declarations of conformity (SDoC). Third party certification might be required by countries where manufacturers may lack the necessary expertise or testing facilities to do their own conformity assessment testing for SDoC. Challenge Earth-moving machi
21、nes are low-production volume compared to automobiles or home appliances. The yearly sales for many models is less than 10 machines per country. Repeated conformity assessment testing causes significant time delays and added cost for customers, if third party testing and certification are required i
22、n each country. United Nations Economic Commission for Europe (UNECE) project To address this challenge, the EMM industry started a “model regulation project” in the UNECEs Working Party (WP) 6. The purposed of WP 6 is to facilitate global harmonization of standards, regulations and conformity asses
23、sment processes. The UNECE EMM model regulation project includes developing and complying with International Standards developed by ISO/TC 127, using the requirements of the standards as the technical requirements for national safety regulations, accepting conformity assessment testing completed by
24、manufacturers for compliance to standards, and accepting SDoC for compliance with regulations. With the requirement for third party certification in some countries, the EMM model regulation project allows third party certification in the short-term, with provisions to accept testing by manufacturers
25、 for the third party certification without repeating the testing. If third party certification is required, the project promotes the acceptance of a single third party certification by all countries, thereby avoiding unnecessary costs and time delays. Current status The application of International
26、Standards and the conformity assessment process by machine manufacturers is a major element for achieving the goal of “zero injury and zero harm” on user worksites around the world. The SDoC assessment process completed by manufacturers demonstrates compliance for the entire machine, including all o
27、f its systems, components and parts. Additional conformity assessment is not necessary for replacement parts that were already covered in the manufacturers machine conformity assessment process. The UNECE WP 6 Model Regulation has been well received in countries where the UNECE project team has prov
28、ided training seminars. To further facilitate the use of the EMM model regulation process, this Technical Report documents the process. ISO 2016 All rights reserved vPD ISO/TR 19948:2016PD ISO/TR 19948:2016Earth-moving machinery Conformity assessment and certification process 1 Scope This document p
29、resents a process for conformity assessment and certification for earth-moving machinery as defined in ISO 6165. This includes a presentation of the characteristics of standards to be used for conformity assessment of the machines, a process for testing to demonstrate compliance with those standards
30、, and a process for third party certification where such certification is required. The global objective for the earth-moving machinery industry is acceptance and use of suppliers declarations of conformity (SDoC) according to ISO/IEC 17050. This document includes provisions for third party certific
31、ation in countries or regions where SDoC is not accepted. 2 Normative references The following documents are referred to in the text in such a way that some or all of their content constitutes requirements of this document. For dated references, only the edition cited applies. For undated references
32、, the latest edition of the referenced document (including any amendments) applies. ISO 6165, Earth-moving machinery Basic types Identification and terms and definitions ISO/IEC 17050-1, Conformity assessment Suppliers declaration of conformity Part 1: General requirements ISO/IEC 17050-2, Conformit
33、y assessment Suppliers declaration of conformity Part 2: Supporting documentation 3 Terms and definitions For the purposes of this document, the terms and definitions given in ISO 6165 and ISO/IEC 17000, and the following, apply. ISO and IEC maintain terminological databases for use in standardizati
34、on at the following addresses: IEC Electropedia: available at http:/ /www.electropedia.org/ ISO Online browsing platform: available at http:/ /www.iso.org/obp 3.1 conformity assessment demonstration that specified requirements relating to a product, process or system are fulfilled SOURCE: ISO/IEC 17
35、000:2004, 2.1, modified The words “person or body” and Notes 1 and 2 to entry have been omitted. 3.2 product identification number PIN unique set of 17 alphanumeric characters assigned to a complete machine by the manufacturer for identification purposes SOURCE: ISO 10261 TECHNICAL REPORT ISO/TR 199
36、48:2016(E) ISO 2016 All rights reserved 1PD ISO/TR 19948:2016ISO/TR 19948:2016(E) 4 Process 4.1 General This documents presents the elements needed by standards used in the conformity assessment of earth-moving machines, a conformity assessment process for demonstrating compliance with those standar
37、ds, and a global process for conformity assessment. The conformity assessment process should demonstrate compliance for the entire machine, including all its systems, components and parts. Using this process, additional conformity assessment for systems, components and parts will not be necessary fo
38、r replacement parts covered by the manufacturers original machine conformity assessment. 4.2 Characteristics of standards used for conformity assessment 4.2.1 Earth-moving machine (EMM) standards An EMM standard used for conformity assessment should a) address all safety risks for the machines to me
39、et the safety expectations of customers and health and safety organizations, b) provide the appropriate information to ensure that the testing and verification show compliance with the standards, c) ensure repeatable results. 4.2.2 Characteristics of conformity assessment standards Conformity assess
40、ment standards should have the following characteristics: a scope that clearly and explicitly defines the machines that are covered and the risks to be addressed, clear and concise definitions that will enable consistent interpretation and application of the standard, specific performance and safety
41、 criteria, comprising detailed performance requirements that address the safety risks for earth-moving machines, detailed test methods and procedures that will ensure accurate and repeatable results a verification process with procedures to show compliance, and provision for a concise test report, i
42、ncluding documentation of the test process and results. 4.2.3 ISO 20474 ISO 20474 is an International Standard that meets the objectives of standards for EMMs given in 4.2.1 to facilitate conformity assessment. This multi-part standard addresses all safety risks for earth-moving machines and has the
43、 characteristics set out in 4.2.2. It references other applicable standards and provides performance requirements. The first part in the series, ISO 20474-1, provides general safety requirements for all machines, while the other parts provide specific requirements for different EMM types. The ISO 20
44、474 series should be used for conformity assessment testing to demonstrate that a machine complies with safety requirements.2 ISO 2016 All rights reservedPD ISO/TR 19948:2016ISO/TR 19948:2016(E) 4.3 Demonstrating compliance with standards The conformity assessment process needs to allow the same res
45、ults to be obtained from any organization performing an assessment. For this, the organization will need the following: a quality plan at least equivalent to ISO 9000 for the manufacturing process and to ISO/IEC 17025 for the testing facilities; a quality plan for manufacturing facilities that ensur
46、es that the machines for the conformity testing are representative of the production machines; a quality plan for testing facilities that ensures accuracy and repeatability of the test results; a conformity assessment process that is documented, in order to ensure that it is definitive and repeatabl
47、e; a conformity assessment group or person to manage the conformity assessment, with the facility having an experienced person capable of carrying out the assessment. access to conformity assessment/test facilities able to perform the conformity assessment, which can be internal to the manufacturer
48、or an independent facility; documentation of test results, summarizing the results of the conformity assessment process. Conformity assessment completed by the manufacturer is acceptable if the manufacturer meets these criteria. 4.4 Certification process 4.4.1 Global objective for certification The
49、global objective of the EMM industry is the acceptance of manufacturers SDoC, as specified in ISO/IEC 17050, and a process as described here. 4.4.2 Provision for third party certification This document provides for third party certification where manufacturers do not currently have the conformity assessment capability for SDoC. When third party certification is required in countries or regions without SDoC, the aim is to allow a) conformity assessment testing completed by the manu
