CSA Post-Certification Product Surveillance Program. Bruce Deng Nov 24, 2016

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2 CSA Post-Certification Product Surveillance Program Bruce Deng Nov 24, 2016

3 About CSA Group Canadian Standard Association Since

4 About CSA Group Standards Development Testing & Certification Consumer Product Evaluation 4

5 About CSA Group 5

6 About CSA Group CSA marks appear on billions of products worldwide 6

7 About CSA Group 7

8 About CSA Group 8

9 Product Certification Procedure Initial Factory Evaluation 1. Manufacturing process 2. Quality Control system 3. Manufacturing and Production Tests 4. CSA Marks use and management Initial Factory Evaluation 9

10 Product Certification Procedure Initial Factory Evaluation 10

11 CSA Surveillance Program Factory Inspection Surveillance Marketplace Surveillance Conformity Testing 11

12 Factory Inspection Frequency Procedure Non-conformances and Follow up 12

13 Factory Inspection Frequency Determination of Frequency 4 times per year Exceptions Higher Frequency: 8 times Exceptions Lower Frequency: 2 times Adjustment of Frequency Reduced Increased 13

14 Factory Inspection Opening meeting Administrative Review Technical Review Selection of Conformity Testing or Components samples Factory Review Product Review Factory Inspection Report Completion Closing meeting 14

15 Factory Inspection Procedure Opening meeting Outstanding issues from previous inspections New requirements, for example CSA Notices Establish how the inspection will take place For new factory, explain who CSA is and the responsibilities of the manufacturer Administrative Review Technical Review Product Review Factory Review Selection of Conformity Testing or Components samples Factory Inspection Report Completion Closing meeting 15

16 Factory Inspection Procedure Opening meeting Administrative Review Review of contact information Reports of incidents of serious injury or property damage Recalls or contact with CPSC, FDA, Health Canada, etc. Any concerns or questions relating to CSA services Technical Review Product Review Factory Review Selection of Conformity Testing or Components samples Factory Inspection Report Completion Closing meeting 16

17 Factory Inspection Procedure Opening meeting Administrative Review Technical Review Certification Reports Outstanding issues from the last inspection and verify implementation of corrective action Product Review Factory Review Selection of Conformity Testing or Components samples Factory Inspection Report Completion Closing meeting 17

18 Factory Inspection Procedure Opening meeting Administrative Review Technical Review Product Review Components and materials Construction Markings, instructions, packaging Factory Review Selection of Conformity Testing or Components samples Factory Inspection Report Completion Closing meeting 18

19 Factory Inspection Procedure Opening meeting Administrative Review Technical Review Product Review Factory Review Selection of Conformity Testing or Components samples Factory Inspection Report Completion Closing meeting 19

20 Factory Inspection Factory Review Check stock and production to verify correct use of CSA marks Verify factory test capacity and equipment calibration Review records of factory tests 100% production line test (leakage test) Periodic tests on assembled products Witness the function of the test equipment Controls in place to prevent nonconforming products from being CSA marked Review procedures to ensure the correct construction and components are used on the production line 20

21 Factory Inspection Procedure Opening meeting Administrative Review Technical Review Product Review Factory Review Selection of Conformity Testing or Components samples Factory Inspection Report Completion Closing meeting 21

22 Factory Inspection Procedure Opening meeting Administrative Review Technical Review Product Review Factory Review Selection of Conformity Testing or Components samples Factory Inspection Report Completion Closing meeting 22

23 Factory Inspection Procedure Opening meeting Administrative Review Technical Review Product Review Factory Review Selection of Conformity Testing or Components samples Factory Inspection Report Completion Closing meeting 23

24 Non-conformances and Actions Non-conformances noted may include, but are not limited to: application of the CSA Mark to uncertified products; unauthorized component or material changes; unauthorized changes in construction; product does not comply with the CSA Certification Report; factory test is not being performed or is incorrectly performed; marking not in compliance with the CSA Certification Report or requirements; failure to follow through on commitments made during previous factory visits. 24

25 Non-conformances and Actions The Field Services Representative shall give consideration to the following elements to support further action in the event of a nonconformance: whether or not a safety hazard is posed; the potential impact on the integrity of the CSA Mark; whether or not the Submittor/factory, through the nonconformance, gained a competitive advantage over the competition; past performance of the factory; and whether or not the nonconformance(s) or lack of action by the factory is intentional, or believed to be intentional. 25

26 Non-conformances and Actions The general classification of the severity of nonconformances shall be as follows Classification Description Minor Moderate Serious Critical non-safety related issue that is easily resolved by or during a follow-up inspection non-safety related issue that may require a formal response from the Submittor issue that may prove to be safety related and/or risk the integrity of the CSA Mark This is an issue involving known safety hazards and will require immediate action to resolve. The manufacturer will be required to quarantine products, stop marking and/or rework existing inventory 26

27 Non-conformances and Actions Typical Actions: re-work of the product; product recall; suspension of the use of the CSA Mark (for the file and/or product); cancellation of the CSA Mark; issuance of an All Points Bulletin (as coordinated by the Mark Integrity Team); legal action; issuance of a Press Release; and removal of the CSA Mark from products held in quarantine 27

28 Conformity Testing Purpose of Conformity Testing Conformity Testing Options The normal frequency of conformity testing is once per year for each product type Handling of failures First failure Second Failure 28

29 Marketplace Surveillance Randomly select products bearing CSA marks from marketplace and have them tested in CSA laboratories Product compliance Counterfeit 29

30 Practices Retailers in North America Factory Assessment and Qualification Product Evaluation Product Inspections 30

31 Supplier Assessment and Qualification Factory Assessment Program Development and Implementation Capacity Capabilities Quality Mgmt Systems (Manufacturing, Quality, Continuous Improvement, etc.) History/Experience in Industry Social Accountability Occupational, Health and Safety Security Audit (C-TPAT) 31

32 Product Evaluation Pre-Purchase Testing or Level 2 Testing ISTA Packaging Testing 32

33 Product Inspections First Article Review Inspections to coincide with First Unit production In-Process/Random Evaluation and Inspections Random Inspections conducted during production Inspections conducted at 80% production or more Pre-Shipment Product Evaluation and Inspection (PSI) Inspections conducted at loading stage to prevent substitution Container Loading Inspections, FOB Inspections Inspections conducted at the factory, loading point or place of ownership transfer (China or North America). Landed Inspections Inspection conducted on shipment arrival in North America or at retailer distribution center prior to delivery to stores Post Market Product Evaluation and Inspections Store shelf product evaluation and inspection, or return product evaluation 33

34 Summary Application Evaluation Certification Decision Surveillance Initial Factory Evaluation 34

35 Bruce Deng Operations Manager, Guangzhou, CSA Group Ken Zeng China Sales Manager, Home & Commercial

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