This document provides the conformity assessment and certification process for earth moving machinery as defined in ISO 6165, including the provision of the characteristics used to assess the conformity of the machine to the standard, the testing process to demonstrate conformity to the standard and the third party certification process.
The global objective of the earth-moving machinery industry is to accept and use Supplier Declarations of Conformity (SDoC) in accordance with the provisions of ISO/IEC 17050. This document includes provisions for the use of third-party certification for countries or regions that do not accept a declaration of conformity from the supplier.
2 Normative references
The contents of the following documents constitute essential provisions of this document by means of normative references in the text. Among them, note the date of the reference documents, only the date of the corresponding version applies to this document; do not note the date of the reference documents, the latest version of its (including all the revision of the list) applies to this document.
ISO 6165 Earth-moving machinery - Basic types - Identification and terms and definitions
Note: GB/T 8498-2017 Earth moving machinery - Basic types - Identification and terms and definitions (ISO 6165:2012, IDT)
ISO/IEC 17000 Conformity assessment - Vocabulary and general principles
Note: GB/T 27000-2006 Conformity assessment vocabulary and general principles (ISO/IEC 17000:2004, IDT)
ISO/IEC 17050-1 Conformity assessment - Supplier's declaration of conformity - Part 1: General requirements
Note: GB/T 27050.1-2006 Conformity assessment - Supplier's declaration of conformity - Part 1: General requirements (ISO/IEC 17050-1 :2004, .IDT)
ISO/IEC 17050-2 Conformity assessment - Supplier's declaration of conformity - Part 2: Supporting documentation
Note: GB/T 27050.2-2006 Conformity assessment - Supplier's declaration of conformity - Part 2: Supporting documentation (ISO/IEC 17050-2:2004, IDT)
3 Terms and definitions
The terms defined in ISO 6165 and ISO/IEC 17000 and the following terms and definitions apply to this document.
3.1
Conformity assessment
The product, process. The confirmation that the specified requirements relating to the system have been met.
[Source: GB/T 27000- 2006, 2.1, with modifications]
3.2
Product identification number;PIN
A symbol consisting of a set of 17 alphanumeric digits assigned by the manufacturer to identify the machine.
[Source: GB/T 25606-2010, 3.1]
4 Process
4.1 Overview
This document provides:
The elements required for the criteria for conformity assessment of earth-moving machinery;
The conformity assessment process for demonstrating conformity to these standards;
The conformity assessment process to be applied worldwide.
It is appropriate for the conformity assessment process to demonstrate compliance for the entire machine. including its systems, components and parts.
Using this process, replacement parts for systems, components and parts already covered by the conformity assessment of the manufacturer's machine do not require an additional conformity assessment.
4.2 Characteristics of the criteria used for conformity assessment
4.2.1 Earthmoving machinery (EMM) standards
It is desirable that standards for earth moving machinery for conformity assessment meet the following characteristics:
a) address all safety risks of the machine to meet the expectations of the customer and the health and safety organisation;
b) provide appropriate information to ensure that testing and certification are in accordance with the standard;
Ensure repeatability of results.
4.2.2 Conformity assessment criteria
Conformity assessment criteria should meet the following characteristics:
. Clearly define the machines covered and the range of risks to be addressed;
Clear definitions in the criteria, so that their interpretation is consistent with their application;
specific performance and safety criteria, including detailed performance requirements to address the safety risks of earthmoving machinery;
Detailed testing methods and procedures to ensure accurate and repeatable results;
A validation process that includes compliance procedures;
Provision of concise test reports, including documentation of the testing process and results.
4.2.3 ISO 20474 .
ISO 20474 (all parts) meets the objectives of the standard for earth-moving machinery for conformity assessment presented in 4.2.1. The document contains several parts addressing all safety risks for earth moving machinery and has the characteristics specified in 4.2.2. It refers to other applicable documents and provides performance requirements. ISO 20474-1 provides generic safety requirements for all machines. While other parts provide specific requirements for different earth moving machines.
ISO 20474 (all parts) should be used for conformity assessment tests to demonstrate that the machine meets the safety requirements.
4.3 Demonstrating conformity to standards
The conformity assessment process requires the same results to be obtained from any organisation performing the assessment. For this purpose. The assessment organisation needs:
A quality plan, with manufacturing processes at least equivalent to ISO 9000 and testing facilities at least equivalent to ISO/IEC 17025; .
A quality plan for the manufacturing unit to ensure that the results of the qualification tests are representative of the mass production machines:
Quality plan for the testing unit. Ensuring the accuracy and repeatability of test results;
Documentation of the conformity assessment process to ensure that it is clear and repeatable;
Assessment by an experienced and competent conformity assessment team or individual;
A body that can carry out the conformity assessment, either in-house or independent of the manufacturer;
4.4 Certification process
4.4.1 Global Certification Objectives.
The global objective for the earth-moving machinery industry is to accept the manufacturer's Declaration of Supplier Conformity (SDoC) as specified in ISO/IEC 17050 and the process described in this document.
4.4.2 Third party certification requirements
This document specifies that third party certification is required for manufacturers who do not currently have conformity assessment capability and are unable to provide a Supplier's Declaration of Conformity (SDoC).
Where third party certification is required in countries or regions where the manufacturer's Declaration of Supplier Conformity (SDoC) is not available, it is permitted:
a) Conformity assessment tests completed by the manufacturer in accordance with 4.3 may be accepted for third party certification;
b) Certification in accordance with this document may be applied in all countries.
5 Conformity assessment information
5.1 Technical documentation
It is advisable to create a technical construction document, e.g. listing all test reports and information that meet the conformity assessment requirements of ISO 20474.
5.2 Conformity assessment certificate
5.2.1 Overview
The content of the conformity assessment certificate should include information that the machine meets all relevant requirements, as well as the content contained in 5.2.3 to 5.2.5.
5.2.2 Use of the conformity assessment certificate.
The conformity assessment certificate can be used for both the manufacturer's declaration of conformity and third party certification as well as for a wide range of machine requirements, such as the following examples. Examples of certificates are given in Appendix A.
5.2.3 Detailed description of the machine
The machine details should include:
the name and full address of the manufacturer
Identification of the machine, including type, model, product identification number (PIN) or serial number.
5.2.4 Description of applicable standards and regulations
The description of applicable standards and regulations should include:
A list of the standards and regulations applicable to the machine;
the name, address and identification number of the conformity assessment body.
5.2.5 Information on the entity responsible for the conformity assessment certificate
Information on the entity responsible for the conformity assessment certificate should include:
The name, signature, title and name of the body of the person authorised to sign on behalf of the manufacturer;
location and date.
5.2.6 Examples of conformity assessment certificates
Bibliography
Foreord 1 Scope 2 Normative references 3 Terms and definitions 4 Process 5 Conformity assessment information Bibliography
1 Scope
This document provides the conformity assessment and certification process for earth moving machinery as defined in ISO 6165, including the provision of the characteristics used to assess the conformity of the machine to the standard, the testing process to demonstrate conformity to the standard and the third party certification process.
The global objective of the earth-moving machinery industry is to accept and use Supplier Declarations of Conformity (SDoC) in accordance with the provisions of ISO/IEC 17050. This document includes provisions for the use of third-party certification for countries or regions that do not accept a declaration of conformity from the supplier.
2 Normative references
The contents of the following documents constitute essential provisions of this document by means of normative references in the text. Among them, note the date of the reference documents, only the date of the corresponding version applies to this document; do not note the date of the reference documents, the latest version of its (including all the revision of the list) applies to this document.
ISO 6165 Earth-moving machinery - Basic types - Identification and terms and definitions
Note: GB/T 8498-2017 Earth moving machinery - Basic types - Identification and terms and definitions (ISO 6165:2012, IDT)
ISO/IEC 17000 Conformity assessment - Vocabulary and general principles
Note: GB/T 27000-2006 Conformity assessment vocabulary and general principles (ISO/IEC 17000:2004, IDT)
ISO/IEC 17050-1 Conformity assessment - Supplier's declaration of conformity - Part 1: General requirements
Note: GB/T 27050.1-2006 Conformity assessment - Supplier's declaration of conformity - Part 1: General requirements (ISO/IEC 17050-1 :2004, .IDT)
ISO/IEC 17050-2 Conformity assessment - Supplier's declaration of conformity - Part 2: Supporting documentation
Note: GB/T 27050.2-2006 Conformity assessment - Supplier's declaration of conformity - Part 2: Supporting documentation (ISO/IEC 17050-2:2004, IDT)
3 Terms and definitions
The terms defined in ISO 6165 and ISO/IEC 17000 and the following terms and definitions apply to this document.
3.1
Conformity assessment
The product, process. The confirmation that the specified requirements relating to the system have been met.
[Source: GB/T 27000- 2006, 2.1, with modifications]
3.2
Product identification number;PIN
A symbol consisting of a set of 17 alphanumeric digits assigned by the manufacturer to identify the machine.
[Source: GB/T 25606-2010, 3.1]
4 Process
4.1 Overview
This document provides:
The elements required for the criteria for conformity assessment of earth-moving machinery;
The conformity assessment process for demonstrating conformity to these standards;
The conformity assessment process to be applied worldwide.
It is appropriate for the conformity assessment process to demonstrate compliance for the entire machine. including its systems, components and parts.
Using this process, replacement parts for systems, components and parts already covered by the conformity assessment of the manufacturer's machine do not require an additional conformity assessment.
4.2 Characteristics of the criteria used for conformity assessment
4.2.1 Earthmoving machinery (EMM) standards
It is desirable that standards for earth moving machinery for conformity assessment meet the following characteristics:
a) address all safety risks of the machine to meet the expectations of the customer and the health and safety organisation;
b) provide appropriate information to ensure that testing and certification are in accordance with the standard;
Ensure repeatability of results.
4.2.2 Conformity assessment criteria
Conformity assessment criteria should meet the following characteristics:
. Clearly define the machines covered and the range of risks to be addressed;
Clear definitions in the criteria, so that their interpretation is consistent with their application;
specific performance and safety criteria, including detailed performance requirements to address the safety risks of earthmoving machinery;
Detailed testing methods and procedures to ensure accurate and repeatable results;
A validation process that includes compliance procedures;
Provision of concise test reports, including documentation of the testing process and results.
4.2.3 ISO 20474 .
ISO 20474 (all parts) meets the objectives of the standard for earth-moving machinery for conformity assessment presented in 4.2.1. The document contains several parts addressing all safety risks for earth moving machinery and has the characteristics specified in 4.2.2. It refers to other applicable documents and provides performance requirements. ISO 20474-1 provides generic safety requirements for all machines. While other parts provide specific requirements for different earth moving machines.
ISO 20474 (all parts) should be used for conformity assessment tests to demonstrate that the machine meets the safety requirements.
4.3 Demonstrating conformity to standards
The conformity assessment process requires the same results to be obtained from any organisation performing the assessment. For this purpose. The assessment organisation needs:
A quality plan, with manufacturing processes at least equivalent to ISO 9000 and testing facilities at least equivalent to ISO/IEC 17025; .
A quality plan for the manufacturing unit to ensure that the results of the qualification tests are representative of the mass production machines:
Quality plan for the testing unit. Ensuring the accuracy and repeatability of test results;
Documentation of the conformity assessment process to ensure that it is clear and repeatable;
Assessment by an experienced and competent conformity assessment team or individual;
A body that can carry out the conformity assessment, either in-house or independent of the manufacturer;
4.4 Certification process
4.4.1 Global Certification Objectives.
The global objective for the earth-moving machinery industry is to accept the manufacturer's Declaration of Supplier Conformity (SDoC) as specified in ISO/IEC 17050 and the process described in this document.
4.4.2 Third party certification requirements
This document specifies that third party certification is required for manufacturers who do not currently have conformity assessment capability and are unable to provide a Supplier's Declaration of Conformity (SDoC).
Where third party certification is required in countries or regions where the manufacturer's Declaration of Supplier Conformity (SDoC) is not available, it is permitted:
a) Conformity assessment tests completed by the manufacturer in accordance with 4.3 may be accepted for third party certification;
b) Certification in accordance with this document may be applied in all countries.
5 Conformity assessment information
5.1 Technical documentation
It is advisable to create a technical construction document, e.g. listing all test reports and information that meet the conformity assessment requirements of ISO 20474.
5.2 Conformity assessment certificate
5.2.1 Overview
The content of the conformity assessment certificate should include information that the machine meets all relevant requirements, as well as the content contained in 5.2.3 to 5.2.5.
5.2.2 Use of the conformity assessment certificate.
The conformity assessment certificate can be used for both the manufacturer's declaration of conformity and third party certification as well as for a wide range of machine requirements, such as the following examples. Examples of certificates are given in Appendix A.
5.2.3 Detailed description of the machine
The machine details should include:
the name and full address of the manufacturer
Identification of the machine, including type, model, product identification number (PIN) or serial number.
5.2.4 Description of applicable standards and regulations
The description of applicable standards and regulations should include:
A list of the standards and regulations applicable to the machine;
the name, address and identification number of the conformity assessment body.
5.2.5 Information on the entity responsible for the conformity assessment certificate
Information on the entity responsible for the conformity assessment certificate should include:
The name, signature, title and name of the body of the person authorised to sign on behalf of the manufacturer;
location and date.
5.2.6 Examples of conformity assessment certificates
Bibliography
Contents of GB/Z 41096-2021
Foreord
1 Scope
2 Normative references
3 Terms and definitions
4 Process
5 Conformity assessment information
Bibliography
