Earth-moving machinery -- Conformity assessment and certification process

ISO/TR 19948:2016 presents 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, 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 supplier's declarations of conformity (SDoC) according to ISO/IEC 17050. This document includes provisions for third party certification in countries or regions where SDoC is not accepted.

Engins de terrassement -- Processus d'évaluation de la conformité et de certification

General Information

Status
Published
Publication Date
20-Jul-2016
Current Stage
6060 - International Standard published
Start Date
06-Jun-2016
Completion Date
21-Jul-2016
Ref Project

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TECHNICAL ISO/TR
REPORT 19948
First edition
2016-08-01
Earth-moving machinery —
Conformity assessment and
certification process
Engins de terrassement — Processus d’évaluation de la conformité et
de certification
Reference number
ISO/TR 19948:2016(E)
ISO 2016
---------------------- Page: 1 ----------------------
ISO/TR 19948:2016(E)
COPYRIGHT PROTECTED DOCUMENT
© ISO 2016, Published in Switzerland

All rights reserved. Unless otherwise 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 or ISO’s 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
copyright@iso.org
www.iso.org
ii © ISO 2016 – All rights reserved
---------------------- Page: 2 ----------------------
ISO/TR 19948:2016(E)
Contents Page

Foreword ........................................................................................................................................................................................................................................iv

Introduction ..................................................................................................................................................................................................................................v

1 Scope ................................................................................................................................................................................................................................. 1

2 Normative 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 standards ................................................................................................................... 3

4.4 Certification pr ocess .......................................................................................................................................................................... 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 Conf ormity assessment certificate ........................................................................................................................................ 4

5.2.1 General...................................................................................................................................................................................... 4

5.2.2 Use of the conformity certificate ........................................................................................................................ 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 certificate ................................................................................... 5

Bibliography ................................................................................................................................................................................................................................ 6

© ISO 2016 – All rights reserved iii
---------------------- Page: 3 ----------------------
ISO/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 Standards 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 take 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 particular 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 of 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 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 conformity assessment,

as well as information about ISO’s adherence 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 reserved
---------------------- Page: 4 ----------------------
ISO/TR 19948:2016(E)
Introduction
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 address 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 manufacturers to use ISO/IEC 17050,

and for supplier’s 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 machines 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 in each country.
United Nations Economic Commission for Europe (UNECE) project

To address this challenge, the EMM industry started a “model regulation project” in the UNECE’s

Working Party (WP) 6. The purposed of WP 6 is to facilitate global harmonization of standards,

regulations and conformity assessment 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 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

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 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 of its systems, components and parts. Additional conformity assessment is not

necessary for replacement parts that were already covered in the manufacturer’s machine c

...

TECHNICAL ISO/TR
REPORT 19948
First edition
Earth-moving machinery —
Conformity assessment and
certification process
Engins de terrassement — Processus d’évaluation de la conformité et
de certification
PROOF/ÉPREUVE
Reference number
ISO/TR 19948:2016(E)
ISO 2016
---------------------- Page: 1 ----------------------
ISO/TR 19948:2016(E)
COPYRIGHT PROTECTED DOCUMENT
© ISO 2016, Published in Switzerland

All rights reserved. Unless otherwise 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 or ISO’s 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
copyright@iso.org
www.iso.org
ii © ISO 2016 – All rights reserved
---------------------- Page: 2 ----------------------
ISO/TR 19948:2016(E)
Contents Page

Foreword ........................................................................................................................................................................................................................................iv

Introduction ..................................................................................................................................................................................................................................v

1 Scope ................................................................................................................................................................................................................................. 1

2 Normative 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 standards ................................................................................................................... 3

4.4 Certification pr ocess .......................................................................................................................................................................... 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 Conf ormity assessment certificate ........................................................................................................................................ 4

5.2.1 General...................................................................................................................................................................................... 4

5.2.2 Detailed description of the machine ............................................................................................................... 4

5.2.3 Description of applicable standards and regulations ...................................................................... 4

5.2.4 Information on responsible entity providing conformity assessment certificate ... 4

Annex A (informative) Example conformity assessment certificate ................................................................................... 5

Bibliography ................................................................................................................................................................................................................................ 6

© ISO 2016 – All rights reserved PROOF/ÉPREUVE iii
---------------------- Page: 3 ----------------------
ISO/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 Standards 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 take 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 particular 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 of 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 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 conformity

assessment, as well as information about ISO’s adherence to the WTO principles in the Technical

Barriers to Trade (TBT) see the following URL: Foreword - Supplementary information

The committee responsible for this document is ISO/TC 127, Earth-moving machinery.

iv PROOF/ÉPREUVE © ISO 2016 – All rights reserved
---------------------- Page: 4 ----------------------
ISO/TR 19948:2016(E)
Introduction
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 address 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 manufacturers to use ISO/IEC 17050 and for

supplier’s declaration of conformity (SDoC). Third party certification might be required by developing

countries where manufacturers may lack the necessary expertise or testing facilities to do their own

conformity assessment testing for SDoC.
Challenge

Earth-moving machines 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 in each country.
United Nations Economic Commission for Europe (UNECE) project

To address this challenge, the EMM industry started a “model regulation project” in the UNECE’s

Working Party (WP) 6. The purposed of WP 6 is to facilitate global harmonization of standards,

regulations and conformity assessment processes. The UNECE EMM model regulation project includes

— developing and complying with International Standards developed by ISO/TC 127,

— using the requirements the standards as the technical requirements for national safety regulations,

— accepting conformity assessment testing completed by 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

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 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 of its systems, components and parts. Additional conformity assessment is not

necessary for replacement parts that were already covered in the manufacturer’s machine conformity

assessment process.

The UNECE WP 6 Model Regulation has been well received in countries where the UNECE proj

...

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