Copyright© Underwriters Laboratories Inc. All rights reserved. No portion of this material may be reprinted in any form without the express written permission of Underwriters Laboratories Inc. or as otherwise provided in writing. Access to European and Russian Markets via Transportable Conformity Assessment sm Donald A. Mader Underwriters Laboratories Inc. Executive Vice President and Chief Technology Officer IECEE Workshop: Moscow,

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3 Access to European and Russian Markets via Transportable Conformity Assessment sm Key Elements of Compliance Conformity Assessment Transportable Conformity Asessment sm Case Studies Russian Federation European Union Service Providers

p/4 MARKET ACCESS CONFIDENCE SUPPLIER VALUE CLIENT INTERACTIVE PROGRAMS ACCREDITATION VALUE ACCEPTANCE AUTHORITY CONFIDENCE THIRD PARTY Conformity Assessment Value Chain

p/5 Key Elements of Compliance Compliance Systems Rules and Regulations that define a market Technical Requirements / Standards Minimum requirements used for evaluating compliance (may be mandatory or voluntary) Conformity Assessment Available paths which compliance can be verified (design, production, documentation) Market Requirements Additional requirements to those of the compliance system to establish confidence in the marketplace

p/6 Conformity Assessment Considerations Regulatory Marks Self-affxed Privately Issued Market Driven Marks Regional Marks Private Marks Compliance Certificates

p/7 Country A Sector K NCB X Conformity Assessment SUPPLIER Country B Sector K NCB Y Product Certification SDoC based on NCB X Conformity Assessment Acceptance of NCB X Conformity Assessment via gov’t to gov’t MRA Satisfaction of market/regulatory demands for conformity assessment: market acceptance National Certification CBTR/CBTC Flow of a CB Test Report (CBTR)/CB Test Certificate (CBTC) Transportable Conformity Assessment sm

p/8 Streamlining Global Market Access Delivery Portfolio 132 Local CO Direct delivery of Certification Marks and Certificates Alliance with CO Delivery via a partner or supplemental program Schemes Mutual recognition schemes Secondary Programs Intermediate Applicant

p/9 Underwriters Laboratories Meeting Customer’s Market Needs DoC IA CUSTOMER

p/10 Russian Federation & EU Case Studies

p/11 Case Study: Russian Federation GOST R ( Law No On Certification of Products and Service ) Privately Issued by Accredited Certification Organization Mandatory Facilitated by UL Demko, UL-US Required for Regulated Products Mandatory Examination Certificate Certification valid for 3 years Electrical safety and EMC Compliance with Russian IEC based standards Annual Inspections Required to Maintain Compliance

p/12 Case Study: European Union CE Marking (New Approach Directives) Manufacturer Affixed Marking Mandatory compliance to EU Directives Commonly agreed upon European regulations Govern design, production and documentation requirements May require intervention of a “Notified Body” Allow for free movement of goods Binding to Member States based on European Treaties Published in the Official Journal of the European Communities 27 Current European Union (EU) member states Austria, Belgium, Bulgaria, Cyprus, Czech Republic, Denmark, Estonia, Finland, France, Germany, Greece, Hungary, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, the Netherlands, Poland, Portugal, Romania, Slovakia, Slovenia, Spain, Sweden and the United Kingdom Iceland, Liechtenstein and Norway have also implemented a variety of EU legislation and together with the EU make up the European Economic Area (EEA)

p/13 Case Study: European Union Market Driven GS Mark (Geprüfte Sicherheit - Safety Tested) Privately Issued by German Accredited Certification Organization Issued by UL Demko Predominant German (European) Safety Mark Applicable for ready-to-use products Indicates a product has been found to comply with European safety standards Electrical safety, EMC and Ergonomics Requires annual inspections to maintain compliance

p/14 Transportable Conformity Assessment sm Streamlining Global Market Access

p/15 Case Study: United States Market Driven UL Mark Privately owned Certification Mark Issued globally by Underwriters Laboratories Issued via UL’s Receiving NCB procedures under the IECEE CB Scheme Predominant Safety Mark in the United States Applicable for: Ready-to-use products Components Based on Conditions of Acceptability Requires ongoing inspections to maintain compliance

p/16 UL Enterprise Global Locations

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Copyright© Underwriters Laboratories Inc. All rights reserved. No portion of this material may be reprinted in any form without the express written permission of Underwriters Laboratories Inc. or as otherwise provided in writing. Backup Materials

p/19 Process Model CB Scheme