Professional Documents
Culture Documents
DOI 10.1007/s00769-009-0619-3
PRACTITIONER’S REPORT
Received: 18 September 2009 / Accepted: 6 November 2009 / Published online: 22 November 2009
Springer-Verlag 2009
Abstract The reliability of test results and subsequent Generally, the ‘added value’ of a certified product in
classification statements or product certification depend on contrast to an uncertified one should be clearly understood
the variability of the product’s properties and on the by the market partners. As this is an essential point, product
validity of the test procedures used. With an emphasis on certification bodies are always trying to explain, maintain
measurement uncertainty, producer’s and user’s risks as and possibly redefine the ‘added value’. All claims that
well as probabilities of conformance, conformity and could jeopardize ‘their’ specific products are eagerly
classification are calculated exemplarily for two require- checked.
ments for mineral aggregates used in construction. An Accredited certification bodies on the basis of ISO/IEC
important methodological basis is an international draft Guide 65 [1] have to make sure that decisions on product
document on measurement uncertainty in conformity certification are taken ‘on the basis of the information
assessment. The mathematical instruments given are gathered during the evaluation process and any other rel-
applied and further developed to a risk scenario for product evant information’. The evaluation of defined criteria in
classification. The results from a classification point of certification schemes is an explicit basis of contracts with
view show that the reliability of test results for acid-soluble clients and, in the background, with an accreditation body.
sulphates is mostly acceptable and both the producer’s and Apart from this matter, one has, of course, to come to terms
user’s risks are quite small. In contrast, the magnesium with what ‘other relevant information’ could mean in
sulphate index test produces results which are hardly practice. The subject of this contribution is an investigation
usable for classification and certification purposes or for into a possibly relevant information due to measurement
risk management in production. Product certification bod- uncertainty. For this purpose the properties of a group of
ies should generally have an appropriate approach when products are exemplarily investigated in order to answer
dealing with results where precision data are poor. the question to what extent in quantitative terms it may
have an impact on the producer’s and the user’s (con-
Keywords Measurement uncertainty sumer’s) risk and how it could influence the reliability of
Product certification Classification Risk Compliance decisions in certification and classification procedures.
The calculation of consumer’s and producer’s risk is in
no way new, as the basic principles are well known. But a
Introduction quantified application of such methods for purposes such as
the specification for construction is rarely found and the
The market acceptance of product certification schemes use of the uncertainty of test data for the calculation of
and conformity marks depends on several factors. risks and subsequent costs is the current discussion. There
are some recent publications which directly address this
subject or touch it in major points.
W. Hinrichs (&)
In recent investigations on risks and decision-making
Materialprüfanstalt für das Bauwesen, Beethovenstr. 52,
38106 Braunschweig, Germany linked with measurement, economic factors play an
e-mail: w.hinrichs@ibmb.tu-bs.de important role. The aim is to find optimal relations between
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290 Accred Qual Assur (2010) 15:289–296
measures to influence risks and their costs when doing so. the implementation of the GUM [7] in very different areas
Williams and Hawkins [2] investigate the consequences of of testing.
using safeguard bands. Their size is a possibility to manage It is obvious that the uncertainty of a test result can have
risks in production taking into account the inaccuracy of a an impact on product conformity and classification
test instrument on the profit per unit produced. Some of the assessment, but it is often difficult to clearly address this
basic models presented by these authors are also used in subject. Mostly the parties involved handle this subject
this paper. discreetly by saying that at the moment this requirement
Decisions in conformity assessment on the background of cannot be (fully) implemented as there is a lack both of
measurement uncertainty are also the subject of Rossi and guidance and methods to arrive at reliable quantitative
Crenna [3], who specify both a detailed and general approach data. This is somehow surprising, as laboratories working
to measurement-based decisions. Their probabilistic frame- according to ISO/IEC 17025 [8] are required to make a
work also aims at optimizing costs linked with risks. This statement on the measurement uncertainty in test reports,
includes a distinction between specific and general risks for e.g., if it affects compliance to a specification limit. But
producers and users, i.e., risks for given measurement results even if this would duly be done, the situation for the cer-
which lie inside or outside an acceptance region and average tification bodies would not be much different. On the basis
risks associated with the monitoring of the process. Fearn of the information provided they practically decide whether
et al. [4] present a study which emphasizes the link between a product is fit for putting on the market or into service. In
measurement and risk-born consequences with a focus on many cases the supplier’s declaration of conformity with a
financial issues. The model proposed allows making prac- product standard are based on such product certificates.
tical financial decisions on a well-defined probabilistic Recently, the Joint Committee for Guides in Metrology
background. Finally, Pendrill and Källgren [5] address (JCGM), a committee under the auspices of eight interna-
decisions in conformity assessment and measurement tional metrological and standardization organizations, has
uncertainty which are based on the approach of Fearn et al. issued a draft paper on conformance assessment and
[4]. They combine factors sampling, uncertainty and costs to measurement uncertainty [9]. It presents detailed guide-
consider optimized decisions in conformity assessments in lines for accept/reject decisions ‘where uncertain numerical
the metering of fuel dispensers, gas meters and exhaust gases results are compared with specified requirements’ and
analyzers. The main object of the paper is to present an contains a detailed description of methods for the quanti-
optimized uncertainty methodology. fication of the producer’s and the consumer’s risks,
The calculations in this paper do not go so far as to specifies procedures and instructs on how to arrive at
address costs in detail or quantitatively. This important safeguarding limits in first-party conformance testing. At
subject is not being ignored, but a quantitative approach to first glance, the focus seems to be quite different from that
cost is to be the next step. The focus has first been put on of this paper. But with the instruments given in the Eurolab
the quantification of appropriate data in order to create a guide [6] and with some additional assumptions, the
reliable basis for further cost considerations and subsequent mathematical methods can easily be transferred to third-
financial decisions. party conformity testing and classification applications.
Within this paper, the term ‘conformance’ relates to the
outcome of an assessment procedure of a producer, i.e., it is
used for first-party activity, whereas the term ‘conformity’ Basic input data
is a result of a third-party assessment. These definitions are
deemed to be sensible in this context as they are a direct Measurement uncertainty data are often inextricably mixed
consequence of the measurement uncertainty data used. with influences from the variability of the product tested. In
order to arrive at ‘pure’ measurement uncertainty figures, it
is necessary to thoroughly check and distinguish both
Uncertainty of test results and product classification/ influences. For reliable data it is usually necessary to
certification quantify both factors. It is important to keep in mind that
the product variability is a measure to quantify an inherent
Conformity decisions with known and quantified mea- property of the measurand which can in no way be influ-
surement uncertainty are subject of some instructions for enced by the measurement procedure. Such investigations
accredited laboratories. Such guides are rather general and are generally too difficult a task for a certification body and
do not provide any help for a quantitative approach to risks. the support of a specialized laboratory and/or user is nee-
An important document for the present paper is a recent ded. If, for example, a statement in a test report includes
Eurolab guide [6] to measurement uncertainty, as it makes both sampling and testing this fact must, of course, be
reference to widespread practical experiences gained with considered in the following considerations.
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Accred Qual Assur (2010) 15:289–296 291
3CP Z1
x
Z P
3C Z1 RCðUÞ ¼ gðx; a; bÞ U dx ð8Þ
um
RC ¼ FðzÞf0 ðzÞdz þ FðzÞf0 ðzÞdz ð3Þ T
1 3CP with
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292 Accred Qual Assur (2010) 15:289–296
RP(U) producer’s risk for a class with an only upper limit; with
RC(U) consumer’s risk for a class with an only upper
limit; TL lower tolerance limit;
T upper tolerance limit; TU upper tolerance limit;
um measurement uncertainty associated with x; xm test result;
x measurement value. sm estimate of uncertainty associated with xm;
U normal cumulative distribution function.
The Eqs. 7 and 8 differ from those proposed in an
AMSE Technical Report [10]. From the author’s point of Equation 10 is of worth only when the term sm is not
view, the preconditions for two-sided tolerances cannot be small compared to the tolerance TU - TL.
transferred unchanged to one-sided applications. In this
case a lower tolerance limit is not merely zero, in fact, it
does not exist and must therefore be deleted. Applications Certification schemes for mineral aggregates
of the proposed formulae lead to implausible results
because the producer’s and the user’s risks increase with In construction, mineral aggregates are used either bound
expectation values smaller than half the tolerance limit. or unbound in large quantities. They have to meet the
This would imply higher risks with increasingly good requirements of some product standards which often serve
products. The adapted Eqs. 7 and 8 do not produce such as the complete ‘technical’ basis of a certification scheme.
strange results. For the validation of the software, the These schemes usually include two kinds of testing: type
numerical example in the JCGM document [9] was used. testing carried out by an independent body and product
As the software produced the same result, the JCGM testing/checking in the frame of factory production control
approach is considered to be more reliable. performed by the producer.
Product standards for mineral aggregates for construc-
tion purposes require the quantification of geometrical,
Probability of conformance/conformity mechanical and chemical properties. In this contribution,
the acid-soluble sulphates AS and the content of magne-
Another useful figure is the probability of conformance PC sium sulphate MS of the material are used exemplarily out
which is quantified for each individual test result. For of this spectrum of tests. AS and MS test results form the
conformance testing, the repeatability standard deviation sr basis for calculations of producer’s and consumer’s risks
and for conformity testing the reproducibility standard and probabilities of compliance with specifications in a
deviation sR as defined in ISO 5725-2 [11] are useful certification procedure. Finally, they are needed to estimate
approaches. The probability of conformance is PC(r) with the reliability of classification statements.
um & sr and the probability of conformity PC(R) with Specifications of both parameters are set because an
um & sR. Both sr and sR are results of interlaboratory increased content of acid-soluble substances promotes the
comparison tests where the homogenization of the samples corrosion of steel in reinforced concrete and MgSO4 is
is done very thoroughly so that the variability of the sample harmful for the durability of concrete. Both test procedures
(product) should be very small. As the assumptions are are simple:
based on standard deviations which are not measurement
uncertainties the term sm is used instead of um. • The AS-content is measured gravimetrically after the
The draft JCGM document provides a formula for a two- dissolution of sulphates in diluted hydrochloric acid.
sided requirement which can be used as a starting point. • For the determination of MS, the aggregates to be
When each test result can be used to classify the product tested are several times immersed in MgSO4-saturated
tested, the sum for all probabilities in n classes, provided a solution and dried afterwards in a heat chamber.
Gaussian distribution of the test results, is given in Eq. 8. Crystallization pressures in the pores cause a refine-
The probability that a product lies in the class j out of n ment of the product which is measured through sieving
classes is given in Eq. 9. and weighing.
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Accred Qual Assur (2010) 15:289–296 293
Table 1 Information on
Requirement Test procedure Tolerance Standard deviations
standard deviations of test
(mass fraction, %)
results of aggregates
Acid-soluble sulphates (AS) EN 1744-1 [15] 0.2 sr = 0.072AS ? 0.008
0.8 sR = 0.293AS
pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
Magnesium sulphate index (MS) EN 1367-2 [16] 18 sr ¼ 0:054 MSð100 MSÞ
25 pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
sR ¼ 0:188 MSð100 MSÞ
35
repeated under the same conditions within a short period of c. Tests performed for classification and subsequent
time. This value is especially useful for conformance certification purposes usually provide ‘historical’ data,
testing because the measurement conditions are usually i.e., the validity of an extrapolation across time is
very similar, for example, in industrial production when the uncertain.
same person performs the test using the same measurement d. Certification statements according to the standards
device in similar environmental conditions. However, given above address the factory production control and
testing in production sites is often done under less stringent hence serve as an indirect measure to maintain
requirements, by less experienced and trained personnel in reasonably constant production conditions.
testing and the sampling procedures are often more relaxed.
The uncertainties (a) and (d) influence the variability of
The spread of test results should therefore be larger than in
the product and (b) is the testing (measurement) uncer-
specialized test laboratories so that the testing uncertainty
tainty. It is further assumed that the validity of the test
in factory production control should usually be larger than
results according to (c) is given, i.e., the influence is neg-
s r.
ligible. In cases where such an assumption cannot
sR is the dispersion of results when different laboratories
reasonably be made, a drift of a property depending on
are involved. This figure relates to conformity testing or to
time would have to be introduced as a systematic uncer-
initial product testing, respectively.
tainty component. It is important to keep in mind that the
Both sr and sR contain product and measurement vari-
test results AS and MS strongly depend upon the test
ability components. As it is a basic requirement in sample
procedures applied. The usual concepts to arrive at (con-
preparation for interlaboratory comparisons that material is
ventional) true values are not applicable in such cases.
taken from a well-known source as regards the variability
Given these assumptions are correct, it is possible to
and the subsequent homogenization is done very thor-
calculate the producer’s and the consumer’s (user’s) risks.
oughly, the product variability component should be
These terms are connected with pass and fail errors caused
significantly smaller than under usual conditions. Together
by both the process variability and the measurement
with additional information on the usual spread of test
uncertainty. With the tolerances given in the product
results for material taken in regular intervals from pro-
standards, all necessary data for the calculation of RP, RC
duction sites, it is deemed to be an acceptable approach that
and PC are available.
the product variability component in sr is small compared
to the measurement uncertainty.
Assumptions
Producer’s and user’s risks
In order to quantify risks and probabilities linked with
specific products, the product variability and the mea-
The ISO/IEC CD Guide 73 [17] defines risk generally as
surement uncertainty must be realistic and reliable. To do
the ‘effect of uncertainty on objectives’. The objective here
so, several assumptions have been made with reference to
are physico-chemical properties of aggregates which have
data from both production and product testing on the basis
an impact on reinforcing steel and the durability of con-
of product and test standards.
crete on the one hand, the consequences of a declaration of
Data used for the calculation of producer’s and user’s
conformity by the supplier on the other hand. From this
risks as well as those of the probabilities of conformance
point of view, the following uncertainties can be found:
and conformity are given in Table 2. The gamma distri-
a. The chemical properties of aggregates vary due to bution has been used for the classes from 0% mass fraction
changes in production and composition. to the first limit. Results above 0.8 or 35% mass fraction,
b. The uncertainties of both tests are significant. respectively, are not of interest in practice because the
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294 Accred Qual Assur (2010) 15:289–296
0,12
Standard
0,1
0,08
0,02
0,06
deviation in mass
0,04
0,02
fraction, %
0,4-0,5
consumer’s risks are all negligible, i.e., RC B 0.1%. 0,5 0,3-0,4
For the magnesium sulphate index (MS) the results for 0,2-0,3
0,4
the producer’s risks are given in Fig. 2. In this case the
0,3
figures for the consumer’s risks were not negligible. They
0,2
are plotted in Fig. 3.
9,5
8,5
2 Product variability
7,5
Probabilities of conformance/conformity
6,5
3 in mass fraction,
5,5
%
4,5
4
The probabilities for conformance/conformity have been
3,5
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Accred Qual Assur (2010) 15:289–296 295
7,5
8,5
variability in %
9,5
other hand suppliers with an AS = 0.30% product are
Standard deviation in faced with a probability of PC = 0.124 that the aggregate
mass fraction, %
even meets the requirement of the class AS \ 0.2. So, the
Fig. 3 Consumer’s risks when using the magnesium sulphate index tolerance limit becomes somehow arbitrary.
(MS) In general, the producer has the possibility to limit the
risk by setting safe guarding bands. Lower and upper
1 gauging limits can be set inside the tolerance zone (strin-
Probability P(class)
0,8
gent acceptance criteria) or outside of it (relaxed
acceptance criteria). Mostly such methods address indus-
Class < 0,2
0,6 trial production with relatively small measurement
Class 0,2 ... 0,8
0,4 Class > 0,8 uncertainties and product variabilities compared to the
width of the ‘acceptance zone’. As this contribution aims at
0,2 quantifying risks in situations where the uncertainty is
0 large compared to the range of acceptable values, the value
0 0,5 1 1,5 of guard-banding is considered to be of minor importance.
Possible test results AS in mass fraction, % As for AS, since the consumer’s risks are negligible pro-
ducers could think about a relaxed acceptance, i.e.,
Fig. 4 Probabilities of product classes for acid-soluble sulphates with
the two tolerance limits at 0.2 and 0.8% mass fraction accepting products for sale with test results that lie above
the requirement. For example, for AS \ 0.2 class product,
1 the acceptance band could be expanded to AS = 0.23%.
Under these circumstances, both parties could share the
Probability P(class)
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296 Accred Qual Assur (2010) 15:289–296
MS25/35: Pclass = 0.435 construction site can lead to considerable time-losses and
MS [ 35: Pclass = 0.204. additional transport expenses; apart from creating doubts in
the reliability of a supplier. The costs associated with such
Only aggregates with very low MS values can be clas-
a decision must be somehow balanced and require a further
sified with a due certainty. The same situation is with
economic analysis.
certification statements. The only possibility to improve the
A producer of aggregates can influence the variability,
situation is a validation of the test procedure in EN 1367-2.
e.g., by selection in the quarry or of piles of material to be
The use of quantitative data of risks for classification
re-cycled or it can be done by improving the homogeni-
purposes also depends on the definition of classes. Product
zation. To a certain extent this possibility is applicable for
classes for AS and MS have an including character. That
aggregate producers working with re-cycled material,
means, for example, that a MS18/25 product encompasses
whereas it is only in rare cases feasible for natural products
the requirements of class MS \ 18. For an aggregate with a
from quarries. An improvement of the test accuracy is
test result of MS = 20%, the probability for a product to be
limited by the very detailed prescription of the test
in the class MS 18/25% increases from Pclass = 0.35 to
procedure.
Pclass = 0.75 and for MS 25/35% even to Pclass = 0.98.
In this specific situation, there is an additional risk for
the producer: If for some reason the magnesium sulphate References
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5. Pendrill LR, Källgren H (2008) Optimized measurement uncer-
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