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Prioritizing and Planning, product selection and sampling in relation to the products covered by the LVD

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Title: 1.Internationaler Steinmetztag Graz 2002-11-23 Author: on Last modified by: jan willem weijland Created Date: 11/17/2002 5:21:39 PM Document presentation format – PowerPoint PPT presentation

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Title: Prioritizing and Planning, product selection and sampling in relation to the products covered by the LVD


1
Prioritizing and Planning, product selection and
sampling in relation to the products covered by
the LVD
  • Workshop on Low Voltage Directive

2
Why Market surveillance?
  • Market surveillance is essential tool for the
    enforcement of product legislation
  • The purpose of Market Surveillance is
  • Ensure compliance with legislation
  • Establish community wide equivalent level of
    protection
  • Help to eliminate unfair competition
  • Member States are obliged to organize and carry
    out Market surveillance. (Article 10 of the EC
    treaty)

3
Market surveillance
  • Investigate (the levels of) compliance with
    legislation
  • Determine non compliances
  • Intervene when non compliances are found
  • Aim for increased levels of compliance

4
Prioritizing Planning
  • Select and perform MS activities in such a way as
    to make optimal use of the available resources
  • Dependent on the objectives and criterions defined

5
Market surveillance Planning cycle
  • Prioritizing and market surveillance policy
    development

6
Planning Cycle
Market Surveillance Vision
Governmental Product safety Policy
Long term program (3 years)
Short term program (1 year)
Operational Activity program
Carry out Activity program
Evaluation
7
Policy development
Market Surveillance Vision
  • Vision (where do we want to be in future?)
  • How do we want to operate
  • Consumer protection/fair competition
  • Enforcement/compliance assistance/education
  • Product, business or risk oriented approach
  • System oriented approach, document checks, tests
    or both
  • Strategy (How to go there)
  • Surveillance of the environment
  • Technological developments
  • Legal developments
  • Political developments
  • Consumer Trends
  • Demographic Developments
  • Emerging risks
  • Leads to a long term strategic program (3 year
    period, annually updated)

Long term program (3 years)
8
Long term program
Market Surveillance Vision
  • Sets global priorities for the next period
  • Indicates necessary adjustments to the
    organization
  • Adjustments in the way enforcement activities are
    performed
  • Adjustments in the fields of interest
  • Necessary Investments in laboratories
  • (Re)training of personnel

Long term program (3 years)
9
Long term program -gt Short term program
  • Examples of considerations in the long term
    program
  • Less administrative burden on business/trade and
    industry
  • More compliance assistence
  • Directed by considerations of health gain
  • Reducing accidents and injury
  • also dependent on organization
  • Capacity for specific tasks
  • Laboratory capacities

10
Short term program
Long term program (3 years)
Short term program (1 year)
  • Divide capacity between the tasks (Directives)
  • Guided by long term program
  • Aims to contribute to public health, e.g.
  • Centers on products that present hazards
  • Based on expert judgment of relative hazards of
    product categories and assessment of the relative
    risks for these fields
  • Makes use of analysis of accident and fire
    statistics
  • Uses information from consumer complaints
  • Uses information from regular inspections by
    field inspectors
  • Takes into account results from previous
    investigations
  • Weighs also concerns in society and political
    concerns
  • Takes into account the possibilities of the
    organization

11
Short term program
  • Leads to
  • Capacity division between the main terrains
  • Machines
  • Electrical products
  • Gas appliances
  • GPSD products
  • Toys
  • Playground equipment and amusement rides

12
Operational activity program
Short term program (1 year)
  • This leads to activity program
  • Detailed project descriptions
  • Detailed description of activities.
  • Which products, where to inspect, how many
    inspections, how many samples and which samples
  • What to test

Operational Activity program
13
Market surveillance Activity program
Short term program (1 year)
Operational Activity program
  • Prioritizing for product safety

14
Activity program
  • Detailed project descriptions
  • Detailed description of activities.
  • Which products, where to inspect, how many
    inspections, how many samples and which samples,
    which tests

15
Objectives
  • Product safety
  • Commonly Accepted as the main criterion for
    prioritization
  • GPSD
  • Consumer protection
  • Level Playing field
  • Important for trade and industry
  • Fair competition

16
Prioritization
  • AIM optimum contribution to increased consumer
    protection with available resources
  • Variables to consider
  • Economic operators
  • Market surveillance methods
  • Products
  • Selection of inspection items and tests

17
Economic operators Who has to comply?
  • According to LVD
  • First Importers into EU (small scale, large
    scale)
  • Manufacturers in the EU (small, large)
  • According GPSD
  • Distributors
  • Retailers (small, large, chains), anybody who
    trades

Economic operators
18
Surveillance at the source
  • Manufacturer or EU importer
  • Maximum effect EU-wide
  • Distributor (or importer in Member State)
  • Maximum effect in Member State
  • Distributors lower in chain
  • Retail chains
  • Retailers

Economic operators
19
Who complies and why
  • Ignorant Compliers
  • Spontaneous Compliers
  • Conscious Compliers
  • Deliberate Breakers
  • Ignorant Breakers

Economic operators
(expert estimate for small cafeterias take-away
restaurants in NL)
20
What is influenced by Market Surveillance?
Spontaneous Compliance Sanction Dimensions
Control Dimensions Knowledge of the rules
Sanction Probability Control
Probability Cost Benefit Sanction
severity Detection Probability Level of
Acceptance Quality of the rules
Selectivity Loyalty of the target group
Informal Control
Economic operators

No or minimal Influence Indirect
Influence Direct Influence
21
Interventions
  • Ignorant breakers and compliers
  • Communication on requirements
  • Enforcement communication
  • Compliance assistance
  • Breakers
  • Enforcement communication
  • Enforcement
  • Sanctions

Economic operators
22
Prioritization
  • AIM optimum contribution to increased consumer
    protection with available resources
  • Variables to consider
  • Economic operators
  • Market surveillance methods (enforcement)
  • Products
  • Selection of inspection items and tests

23
1 Inspection of compliance with administrative
requirements
  • Inspection of compliance with administrative
    requirements
  • CE marking
  • declaration of conformity
  • Third party certification when required
  • Advantages
  • Simple, fast and cheap
  • No equipment required
  • No laboratory investigation required
  • Inspectors need not be highly trained
  • Disadvantages
  • Inspection does not really focus on product
    deficiencies
  • Not directly linked to product safety

Market surveillance methods
24
2 Product inspections in the field
  • Limited inspection and tests of products during
    inspection by a field inspector
  • Advantages
  • Zooms in on shortcomings in the product
  • May aim at shortcomings that present hazards
  • Disadvantages
  • Possibilities for testing in the field are
    limited
  • Requires better trained inspectors
  • Quality assurance procedures not as good as in
    the lab

Market surveillance methods
25
Product inspection in the field Example
Market surveillance methods 2
  • Project wall and ceiling mounted luminaires
  • Why field tests
  • Many shortcomings in previous investigations
  • Potentially hazardous (fire risk electrical
    risks)
  • many companies involved, small and big
  • Numerous different types on offer
    (hundreds-thousands).
  • Need to test large numbers of luminaires to make
    an visible impression on the trade.

Market surveillance methods
26
product inspection in the field wall and
ceiling mounted luminaires
  • Selection of legal requirements (labelling)
    and standard requirements.
  • Requirements should be easy to test and
    require little or no equipment.
  • EN 60598-1, par. 3.2 Marking (CE, brand,
    wattage)
  • EN 60598-1, par. 3.3. Additional information
    (instructions for the proper and safe use
    language)
  • EN 60598-1, par. 4.3 Wireways smooth and free
    from sharp edges, burrs, ..
  • EN 60598-1, par. 5.2.10 cord anchorage
  • electrical safety by test finger

Market surveillance methods
27
product inspection in the field wall and
ceiling mounted luminaires
  • Determine which legal sanctions to take for each
    shortcoming
  • Proportionality principle
  • Consistency
  • Determine which companies will be inspected
  • large retail chains (bulk of sales)
  • Training of field inspectors
  • technical training to recognize shortcomings
  • Consistency in interpretation of the requirements
  • Legal training

Market surveillance methods
28
product inspection in the field wall and
ceiling mounted luminaires
  • Results
  • Appr. 60 inspections
  • 48.000 luminaires blocked (sent back to importer
    / manufacturer)
  • Percentage non compliances down from appr 30 to
    8 when checked in a second round of
    inspections

Market surveillance methods
29
3 Inspections laboratory testing
  • For example luminaires international project
  • Advantages
  • Gives a more detailed impression of conformity
  • Can be aimed at safety relevant tests
  • Disadvantages
  • Requires expensive laboratory testing
  • For the same resources less product inspections

Market surveillance methods
30
4 Inspection of conformity assessment and
certification files
  • For example
  • Gas appliances Directive requires
    certification by a notified body. This leads to
    a file of the design of the appliance and the
    tests performed to assess its conformity.
  • Advantages
  • Inspection of this file avoids doing the
    expensive laboratory tests
  • Thorough design and conformity check can be done
  • Plays also role in the assessment of the notified
    body
  • Disadvantages
  • Requires highly specific up to date knowledge of
    the products involved and therefore highly
    trained inspectors
  • Time intensive

Market surveillance methods
31
Prioritization
  • AIM optimum contribution to increased consumer
    protection with available resources
  • Variables to consider
  • Economic operators
  • Market surveillance methods (enforcement)
  • Products
  • Selection of inspection items and tests

32
Prioritizing products
  • Typically projects are chosen based on the
    following criteria
  • Risk assessment of the product types
  • Analysis of accident and fire statistics
  • Information from consumer complaints
  • Information from regular inspections by field
    inspectors
  • Results from previous investigations
  • Concerns in society and political concerns
  • Analysis of RAPEX Article 9 Notifications
  • And
  • Market information (brands, manufacturers, market
    penetration, etc.)
  • Consumer exposure

Products
33
Prioritizing products Art. 9 and RAPEX
notifications
Products
34
Prioritization
  • AIM optimum contribution to increased consumer
    protection with available resources
  • Variables to consider
  • Economic operators
  • Market surveillance methods (enforcement)
  • Products
  • Selection of inspection items and tests

35
Selection of inspection items and tests
  • Administrative requirements
  • Safety relevant tests from standard
  • MS is not conformity assessment not necessary to
    test all standard requirements
  • Select safety relevant tests from the standard
    based on
  • Previous knowledge of frequency of non compliance
  • Costs
  • Ease of test

Inspection items and test
36
Example Cross border project Luminaires 2006
  • First large scale joint market surveillance
    project for the LVD
  • Organized by LVD ADCO
  • Project management the Netherlands
  • Participants 15

37
Why Luminaires?
  • Risks electric shock fire risk
  • Accident statistics
  • Hardly accidents involving lighting some mention
    of fires, caused by proximity to bed clothing
  • High percentages of non conformity
  • From previous investigations (in NL up to 40)
  • Many notifications in CIRCA and RAPEX (the
    European information exchange systems)
  • Within the possibilities of the organizations

38
Scope
  • luminaries falling within the scope of EN 60598,
    part 1, 1.2.9 portable luminaires
  • That is portable luminaire luminaire, which, in
    normal use, can be moved from one place to
    another while connected to the supply.
  • Not wall- or ceiling mounted and trafo-fed
    luminaires
  • Reason increased complexity with wider scope

39
Which requirements tested?
  • EN 60598-12004 Luminaires- General requirements
    and tests
  • EN 60598-Part 2 1997 Luminaires Particular
    requirements -Section 4  Portable general
    purpose luminaires
  • Selection of requirements that are safety
    relevant.
  • Tests of the requirements should be within the
    possibilities of the laboratories
  • Test should be inexpensive
  • Previous experience taken into account.

40
Test requirements
41
Phasing of the action
  • Market orientation
  • Identification of EU importers and manufacturers
  • Collect information on market shares, etc
  • Sampling and Administrative requirements
  • Select businesses for sampling,
  • collect samples and
  • Check administrative requirements
  • CE marking, DOC, technical file if present.
  • Testing against the standard requirements
  • Reporting

42
Results
  • A total of 226 luminaires was investigated
  • Main results see beneath.

P pass F1 minor shortcoming F2 shortcoming
F3 serious shortcoming
43
More information
  • PROSAFE publication
  • Best Practice techniques in Market Surveillance
  • Downloadable from

http//www.prosafe.org/read_write/file/EMARS_Best_
Practice_Book.pdf
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