European Non-compliance with the EMC Directive

By Pete Ridley, CEng. MIEE.

INTRODUCTION

A recent article (Ref. 1) in the journal of the Institute of Trading Standards Administrations covered UK enforcement difficulties regarding several '100A' Safety Directives, including the EMC Directive. Current European activity relating to non-compliance with the EMC Directive for assemblies comprising HV equipment such as switchgear, controlgear, transformers, etc. is providing some interesting insights into interpretation and enforcement anomalies.

The basis of non-compliance with the EMC Directive for HV assemblies is given in position papers issued by CAPIEL (the trade association representing European switchgear and controlgear manufacturers) and by COTREL (the Committee of Associations of European Transformer Manufacturers). The CAPIEL paper, issued in June 1997, states:-

Intended to apply to nearly all electrical equipment. Specifically, high-voltage electrical installations are fixed installations in the meaning of the EU Guidelines on the Application of the EMC Directive. Therefore, whilst high-voltage installations are subject to the protection requirements of the Directive, there is no need for CE-marking, or an EC declaration of conformity, or to involve a competent body (see Sections 6.5.2 + 6.5.3 in the Guidelines).
As for the constituent parts of high-voltage electrical installations, such as high-voltage switchgear and controlgear, these can be considered to be components not performing a direct function (see Definition 3.8). There is, therefore, no need for CE-marking, an EC declaration of conformity, or to involve a competent body.

The COTREL paper, issued in October 1997, states:-

Intended to apply to nearly all electrical equipment. However the EU Commission (DGIII) and Government Experts of Member States have now accepted the advice of the European Transformer industry and of the European EMC experts in CENELEC TC210 that power transformers (whatever their operating voltage) may be regarded as passive equipment with regard to the application of the EMC Directive and this Directive is thus not applicable to power transformers.
The decision for exclusion has now been incorporated into the Commission's Guidelines on the application of the EMC Directive.
There is thus no need for CE-marking, an EC declaration of conformity, or the involvement of a competent body. NB: See Reference 13 for more details of the "guidelines referred to in these position papers.

Concerns about manufacturers adopting the CAPIEL and COTREL positions were raised with the DTI and LACOTS following issue of the April 1996 version of the CAPIEL paper (Ref. 2). Several bodies have subsequently stated their positions on this issue (Ref. 2), more of which are given below, yet manufacturers are still (in 1998) supplying equipment that does not fully comply with the EMC Directive, implemented partially in 1992 then fully on 01 January 1996.

TRADING STANDARDS POSITION

The following position is typical of the numerous "home authorities" involved in current compliance activity:-
The items of high voltage switchgear are regarded by us to be 'relevant apparatus' and as such must fully comply with the provisions of the EMC Regulations, i.e. CE-mark, declaration of conformity etc. It is not considered to be a component since it has an intrinsic function intended for an end user which is available through simple connection which can be made by someone who is not fully aware of the EMC implications. The equipment does not require any further manufacturing or assembly to enable it to perform its intended function unlike a component.

Transformer and isolator assemblies do perform an intrinsic function for the end user and although this function may not be readily available without being connected to other components, the connections involved would be simple ones. For this reason these items are considered to be relevant apparatus and are required to comply fully with the requirements of the EMC directive and regulations. Since no harmonised European EMC standards have yet been published for high voltage switchgear a manufacturers only means of proving that conformity assessment requirements have been complied with will be the technical construction file route ..

We will expect the manufacturer of the high voltage switchgear to have followed this route to compliance and to have a technical certificate/report on the equipment prior to incorporation in the .. project.

We understand that our views on this matter are in line with the opinions published by the DTI and other Trading Standards authorities and will seek assurances from the manufacturer of the high voltage switchgear to be supplied ... that this equipment will meet the requirements of the EMC Regulations prior to being installed in the installation.

EUROPEAN COMMISSION & EUROPEAN PARLIAMENT INVOLVEMENT

Because manufacturers were not prepared to accept that full compliance with the EMC Regulations was required, the European Commission's Directorate-General III, Industrial Affairs (DGIII) were asked to give the matter urgent consideration and to advise regarding the validity of the CAPIEL position paper. Also, one MEP sent a letter to the Secretary Of State For Trade & Industry on this matter and the important issue of EMC & Functional Safety.

A response was received from the Minister of State for Science, Energy and Industry, which stated that the DTI:- has always been fully committed to the EMC Directive, which it regards as a sensible and necessary piece of legislation which is helping to protect the electromagnetic environment.

It included the following comments regarding enforcement by Trading Standards Departments (TSDs):- as the mandatory date for compliance is now long past TSDs are now taking a much firmer stance (where necessary). This has recently resulted in the first prosecutions in the UK under the EMC legislation.

Reference was also made to TSDs involved in HV equipment activity (Ref. 2 & 3) and the advice and guidance on this that they are receiving from DTI and their coordinating body LACOTS.

Regarding European activity, the response stated:-

Both the European Commission and the UK Government believe that proper enforcement is a key element in the success of the "new approach" Directives. The Commission has a formal procedure in place to ensure that all "new approach" Directives are properly transposed and enforced. One of the elements to ensure that the "level playing field" is achieved is "administrative co-operation"; a network of officials and enforcement officers who are able to rapidly circulate information on non-compliant products together with information on barriers to trade and irregular implementation/enforcement in other member states.
My officials have been in contact with officials from DGIII of the Commission and it has been explained that they are looking closely at the issues involved. My officials are hopeful that this subject will be on the Commission's agenda for the next 'EMC Experts Working Group' meeting which will unfortunately not be until early June. The rapid circulation of information on non-compliant products does not appear to have resulted in a rapid resolution of the HV issue (further information has been requested regarding the "administrative co-operation" network and its workings).

In addition, early in January 1998 the Vice President of the European Parliament put the following question to the EC:-

Non-compliance of high voltage (HV) switchgear and controlgear.

It has been brought to my attention that suppliers of high voltage switchgear and controlgear are being allowed to continue supplying apparatus that is non-compliant with the requirements of the EMC Directive 89/336/EEC which was fully implemented on 01 January 1996 and at variance with the latest Guidelines On The Application Of Council Directive 89/336/EEC of May 1989 On The Approximation Of The Laws Of The Member States Relating To Electromagnetic Compatibility. Can the Commission outline what action it will take to make sure Directive 89/336/EEC is complied with?

A copy of this question was also sent direct to DGIII, who advised that the question (Ref. 2) would be carefully considered and, if necessary, submitted to the appropriate EMC Directive discussion forum, namely the EMC Working Party (*), where a clarification on this issue should eventually be produced. * The EMC Working Party is the decision-taking forum for matters concerning the application of the EMC Directive. It is chaired by the European Commission, and composed of representatives of the EEA National Authorities, Industry and standardisation organisations.

In February 1998 the European Commission provided a written response to this question, starting with:-

To date, the Commission has not received any specific evidence or formal complaints about cases of non-compliance in the application of the EMC Directive to "high voltage switchgear and controlgear".

This statement is surprising, taking into consideration the correspondence with DGlll in mid-December. The EC's attention was quite deliberately drawn to the CAPIEL position paper because of concern regarding the interpretation being made by manufacturers of this type of equipment, particularly the complete assemblies (definitions in Ref. 10).

The EC response included the comment that:-

The devices considered must indeed be deemed to be covered by the EMC Directive, unless it can be demonstrated that they are not liable to cause electromagnetic disturbance.
Perhaps because of a lack of appreciation of the wide range of equipment described as switchgear and controlgear and assemblies incorporating these, this statement is incomplete. It should be extended to state "or be affected by such disturbances" (which is included elsewhere within the response). Despite this, the EC's response does support the argument that assemblies incorporating high voltage switchgear and controlgear are, in fact, relevant apparatus.

The EC was not prepared to state that the CAPIEL position was unacceptable in principal, instead stating:- In order to give a more complete answer on the issue, the Commission would need more detailed information. In particular, the type of equipment considered, its EMC characteristics and where, why and by whom it has been placed on the market in spite of not being in compliance with the Directive.

In order to help DGIII to make a declaration regarding the validity of the CAPIEL position, it should be possible for the UK MEPs involved to liaise with local TSSs in assembling any additional "more detailed information" required by DGIII and for MEPs to encourage effective coordination of enforcement activity within the EEA. Joint involvement among the local authorities and MEPs may help the enforcement authorities to better coordinate their efforts, which is the only way that this issue can be resolved effectively and expeditiously. After all, proper enforcement of the requirements of legislation implementing the EMC Directive is the responsibility of the enforcement authorities of the individual EU member countries, in the UK the TSSs.

A Swedish EMC Competent Body has expressed the opinion that .. switchgear is a finished product intended to be placed on the market for distribution and/or final use. It is to be CE marked with regards to the EMC Directive ... . and has confirmed that this is also the opinion of the Swedish EMC authorities. Other than in Sweden, most European suppliers of this type of equipment appear to be adopting the CAPIEL position in support of their non-compliance. Several of the UK trading standards services involved in current compliance activity have advised of the need to comply, but appear to be having difficulty in persuading suppliers to accept this position (Ref. 3). Most of these TSO's agree that a coordinated approach on this matter is required, however, neither LACOTS nor the DTI appear to be getting sufficiently involved (Ref. 2 & 3).

EMC & FUNCTIONAL SAFETY

The primary concern for anyone involved in the use of electrical or electronic equipment in hazardous installations is not the application of a CE mark to equipment so that it can enjoy free movement within the EU. Rather, it is the protection of people, the environment and property from hazards arising from equipment malfunction due to inadequate EMC performance (Ref. 6).

The HSE's opinion on the issue of HV equipment is given by their EMC expert, Simon Brown (Ref. 2). Simon has been appointed by BSI committee GEL/210 as an expert on two working groups of relevant International Electrotechnical Commission technical committees (TC) which are developing standards relating to EMC & Functional Safety:

HSE is making a significant contribution to the work of IEC TC65 / SC65A / WG10 (developing IEC 61508, Ref. 8), which is convened by the Head of HSE's Electrical & Control Systems Unit, (also a member of the IEE's Safety Critical Systems committee). It should be noted that IEC 61508 has the status of an IEC "basic safety publication", therefore the principles included therein must be used as a basis for any other IEC standard relating to safety. Its EMC & Functional Safety requirements will have far-reaching impact. IEC 61000-1-2 and 61508 support a life-cycle approach to EMC & Functional Safety. Both are nearing completion and can be expected to soon become approved documents.

CONCLUSION

The positions being adopted in relation to the EMC Directive give an indication of general attitudes towards compliance with other '100A' Directives. As stated by one trading standards officer "half-hearted commitment to the enforcement of any legislation penalises the conscientious and benefits the dishonest" (Ref. 11). When considering EMC & Functional Safety, the opinion that "Full and Proper compliance with the EMC Regulations is likely to lead to compliance with "Safety legislation" in so far as EMC is concerned" should be given due consideration by all parties concerned. (the emphasis on FULL & PROPER is clarified in papers in Ref. 12, available from the IEE). This should be done for all relevant apparatus at an installation, particularly where malfunction arising from inadequate EMC performance could result in a hazard. This will be given further consideration in a subsequent paper "Management Of EMC & Functional safety", meanwhile (Ref. 9):-

Do we really want to wait for another Flixborough or Piper Alpha to occur before industry takes its responsibilities seriously?

REFERENCES & BIBLIOGRAPHY

  1. "Enforcement Difficulties Relating to the Offences Created Under the '100A' Safety Directives as Enacted in the UK" by Martin Williams in the Trading Standards Review, December 1997.
  2. "Compliance With EMC Legislation For High Voltage Switchgear & Controlgear Assemblies" by Pete Ridley in The EMC Journal, Issue 14, November/December 1997.
  3. "Enforcement Of The EMC Regulations In The Workplace", by Pete Ridley in the Trading Standards Review, March 1998 and The UK EMC Journal, January/February 1998.
  4. "Workshop Initiatives Relating To EMC Management For Hazardous Installations" by Pete Ridley in The EMC Journal, Issue 13, September/October 1997.
  5. "Safety And EMC" in the ERA Technology Newsletter, Issue 36, December 1997.
  6. "Electronic BSE" by Keith Armstrong in The EMC Journal, November/December 1997.
  7. IEC 61000-1-2 "Influence Of electromagnetic phenomena on the functional safety of electrical and electronic equipment".
  8. IEC 61508 "Functional Safety - Safety-related Systems".
  9. "The IEE's 10th International EMC Conference" by Keith Armstrong in the EMC Journal, September/October 1997.
  10. IEC Vocabulary 50 (441), clauses 441-11-01 & 02 and 441-12-01 & 02.
  11. "Enforcement of electromagnetic compatibility legislation" by P. Ridley in Environmental Engineering, June 1996.
  12. IEE 10th International Conference On Electromagnetic Compatibility, Workshop Notes "EMC Management For Hazardous Installations" and "Product Conformity", 01 and 03 September, 1997.
  13. "Guidelines on the application of Council Directive 89/336/EEC of May 1989 ... " by EC DGIII, June 1997 (available from the DTI).

Pete Ridley, CEng. MIEE. Consultant. E-mail: pridley@iee.org or 'phone: 01707 650847

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