1. International Model for Technical Harmonization Earth-Moving Machine Safety Dan Roley/Jan Mimer/Kenzo Tanaka November 3, 2008

2. Outline of Presentation n Outline of International Model for Technical Harmonization for Earth-Moving Machines n Summary of Experience in Promoting the International Model for Earth-Moving Machines n Proposal for Improving the International Model

3. Earth-Moving Machines Machines for Excavating, Loading, Transporting, Spreading and Compacting Earth and Other Materials.

4. International Model for Technical Harmonization n Industry Associations From EU, USA, and Japan Worked Together to Develop an International Model for Earth-Moving Machines. n The International Model Outlines General Principles for Technical Regulations Following the WP 6 Guidelines. n The International Model Is Based on the Technical Requirements From the ISO/TC 127 Standards – ISO 20474.

5. EMM International Model 1.Scope – Applies to Earth-Moving Machines Defined by ISO 6165 2.Technical Requirements – Minimize Machine Safety Risks During Lifetime of Machines 3.Reference to ISO Standards for Compliance – ISO/TC 127 Standards 4.Compliance Clause – Use Supplier’s Declaration of Conformance (SDoC) 5.Market Surveillance – National Level

6. General Experience Promoting the International Model n Currently Working With China, Russia, India, and Chile. Initial Contact with GCC. n ISO/TC 127 Standards Are Accepted as National Standards, With Some National Differences Due to Technology Level n Must Work Within the Regulatory Process and the Format for Regulations in Each Country. n The General Principles of the International Model Regulation Can Be Applied to Different Types of Regulatory Processes. n Additional Guidance is Needed for the Compliance Clause in the International Model

7. Conformity Assessment Experience n Japan and the USA Accept SDoC n Europe Uses 93/465/EEC for Conformity Assessment and Certification  SDoC is Accepted for Earth-Moving Machines  A New Procedure Is Being Developed to Emphasize the Use of Harmonized Standards  Still Recommends Conformity Assessment by the Manufacture n SDoC Not as Well Accepted in Developing Countries

8. Conformity Assessment - Challenges in Developing Countries Manufacturers So Far Are Not Trusted to Do Their Own Compliance Declaration Some Small and Medium Manufacturers Are Considered to Need Help With Conformity Assessment and Certification n Resources for Market Surveillance Are Limited and a Third Party Conformity Assessment and Certification Process Is Considered As a Way to Compensate for the Challenges With Market Surveillance

9. Additional Compliance Options n Manufacturer Compliance Testing - Supplier’s Declaration of Conformity Third Party - Conformity Assessment and Issuance of Certificate n Combined Process  Manufacturer – Compliance Testing  Third Party: Review Test Facilities and Quality Assurance Systems and Issue Compliance Certificates n References:  ISO CASCO Standards  New EC Draft Directive

10. Recommended Actions n The Sectoral Initiative Requests the Working Party to Revise the CROs That Were Adopted in 2004, Specifically As Regards the “Compliance Cause”. n It Further Requests a Mandate to Develop Different Options That Can Be Used When Supplier’s Declaration of Conformity Is Not Judged to Be Acceptable.