Liability, Standards, and Regulations Protecting the Public from Technology, to Some Extent Prof. Rick Vaz ECE 2799 April 27, 2004

Overview Liability Liability Grounds and minimization Grounds and minimization Standards Standards IEEE, UL, ANSI, ISO, NIST IEEE, UL, ANSI, ISO, NIST Regulations Regulations OSHA, CPSC, FCC, NTIA OSHA, CPSC, FCC, NTIA

Products Liability Law What are grounds for liability? What are grounds for liability? Negligence Negligence Breach of warranty Breach of warranty Strict liability (defects) Strict liability (defects) “carefulness” doesn’t matter—just harm “carefulness” doesn’t matter—just harm Who might be liable? Who might be liable? Component designers/manufacturers Component designers/manufacturers System designers/manufacturers System designers/manufacturers Importers, wholesalers, and retailers Importers, wholesalers, and retailers

Product Defects Design defects Design defects Inherent flaws in the product Inherent flaws in the product Manufacturing defects Manufacturing defects One bad assembly is all it takes One bad assembly is all it takes Marketing defects Marketing defects Improper instructions, lack of warnings Improper instructions, lack of warnings

How To Minimize Liability Responsible business and engineering practice Responsible business and engineering practice A culture of safety, caution, completeness A culture of safety, caution, completeness Careful procedures Careful procedures Design and testing Design and testing Production Production Documentation and record keeping Documentation and record keeping Quality assurance Quality assurance Adherence to standards and regulations! Adherence to standards and regulations!

Standards: Voluntary Consensus Neither regulations nor laws Neither regulations nor laws Goal: advance technology and commerce Goal: advance technology and commerce Promote compatibility/interconnectivity Promote compatibility/interconnectivity Address consumer safety/health concerns Address consumer safety/health concerns Simplify product development/reduce costs Simplify product development/reduce costs Verify new technology/create markets Verify new technology/create markets Independent non-profit organizations: Independent non-profit organizations: IEEE, UL, ANSI, ISO IEEE, UL, ANSI, ISO Nonregulatory federal organizations: Nonregulatory federal organizations: NIST NIST

IEEE Standards Association “…technically sound and market relevant standards…that provide social, economic, and safety benefits to the public at large.” “…technically sound and market relevant standards…that provide social, economic, and safety benefits to the public at large.” 877 active standards 877 active standards 20,000 members 20,000 members 450 working groups and committees 450 working groups and committees 200 ballots/year 200 ballots/year 100 new/revised standards/year 100 new/revised standards/year

Two of the 877 IEEE Standards 696: computer system component interfaces (S-100 bus) 696: computer system component interfaces (S-100 bus) Physical connections Physical connections Timing and signal protocols Timing and signal protocols Electrical specs Electrical specs Mechanical specs Mechanical specs 802: standards for LANs and MANs 802: standards for LANs and MANs : focusing on wireless LANs : focusing on wireless LANs

Underwriters Laboratories (UL) Product safety testing and certification since 1894 Product safety testing and certification since standards 886 standards 17 billion “UL Marks” per year 17 billion “UL Marks” per year Required by many municipalities Required by many municipalities Focus on electrical products Focus on electrical products

American National Standards Institute (ANSI) American National Standards Institute (ANSI) “…to enhance global competitiveness…and quality of life…” “…to enhance global competitiveness…and quality of life…” Nationwide voluntary consensus standards Nationwide voluntary consensus standards Neutral forum, accredits orgs (IEEE, UL) Neutral forum, accredits orgs (IEEE, UL) US representative to ISO US representative to ISO

International Organization for Standardization (ISO) Federation of national standards bodies Federation of national standards bodies 140 member nations 140 member nations ANSI represents the US ANSI represents the US Accomplishments: Accomplishments: Film speed code, bank card formats Film speed code, bank card formats MKS (SI) system, thread sizes, etc. MKS (SI) system, thread sizes, etc. ISO-9000 (quality management) ISO-9000 (quality management) ISO (environmental management) ISO (environmental management)

National Institute of Standards and Technology (NIST) Non-regulatory federal agency Non-regulatory federal agency Part of US Department of Commerce Part of US Department of Commerce 8 major labs, including Electronics and Electrical Engineering Laboratory (EEEL) 8 major labs, including Electronics and Electrical Engineering Laboratory (EEEL) Measurement science and technology Measurement science and technology Measurement standards Measurement standards Technical support to law enforcement Technical support to law enforcement Malcolm Baldridge Award Malcolm Baldridge Award Organizational excellence Organizational excellence

Regulation: “It’s not just a good idea, it’s the law.” OSHA—Occupational Safety and Health Administration OSHA—Occupational Safety and Health Administration US Department of Labor US Department of Labor CPSC—Consumer Product Safety Commission CPSC—Consumer Product Safety Commission Independent, reports to nobody Independent, reports to nobody FCC—Federal Communications Commission FCC—Federal Communications Commission Independent, reports to Congress Independent, reports to Congress NTIA—National Telecommunications and Information Administration NTIA—National Telecommunications and Information Administration US Department of Commerce US Department of Commerce

OSHA: Keeping the Workplace Safe Created in 1971 Created in 1971 On-the-job deaths reduced by half On-the-job deaths reduced by half 111 million workers covered 111 million workers covered Electrical and mechanical hazards Electrical and mechanical hazards Hazardous substances and waste Hazardous substances and waste Work-related illness and injury Work-related illness and injury

CPSC: Keeping Products Safe Oversees most consumer products Oversees most consumer products Exceptions: DOT, ATF, FDA,… Exceptions: DOT, ATF, FDA,… Develops voluntary standards Develops voluntary standards Issues and enforces mandatory standards Issues and enforces mandatory standards Monitors injury statistics Monitors injury statistics Educates and informs consumers Educates and informs consumers Obtains recalls Obtains recalls

FCC: Keeping the Spectrum Safe? Allocating a public resource: the radio frequency spectrum Allocating a public resource: the radio frequency spectrum Radio, TV, wire, satellite, cable Radio, TV, wire, satellite, cable Created by Communications Act of 1934 Created by Communications Act of 1934 Deregulation: Telecomm Act of 1996 Deregulation: Telecomm Act of 1996 Regulates commercial use of spectrum Regulates commercial use of spectrum Good reference: the ARRL Handbook Good reference: the ARRL Handbook

NTIA: Regulation for the Digital Age Created in 1978 to oversee telecommunications policy Created in 1978 to oversee telecommunications policy Runs “spectrum auctions” for FCC licences Runs “spectrum auctions” for FCC licences Represents federal users of spectrum Represents federal users of spectrum Telecomm as a strategic national resource Telecomm as a strategic national resource

Managing the Spectrum FCC works with NTIA to control frequencies from 900 kHz GHz FCC works with NTIA to control frequencies from 900 kHz GHz Priorities: efficiency, interoperability, public safety, economic activity Priorities: efficiency, interoperability, public safety, economic activity Balancing public and private interest Balancing public and private interest Below 30GHz, 93% shared Below 30GHz, 93% shared 5.5% private 5.5% private 1.5% gov’t 1.5% gov’t