1. Worldwide System for Conformity Testing and Certification of Electrotechnical Equipment and Components (IECEE) The IECEE Pillar: PEER ASSESSMENTS Mr. Pierre de Ruvo Executive Secretary IECEE

2. IECEE Copy right 2007 2 Contents The Purpose of Peer Assessments The Structure of Peer Assessments Types of Peer Assessments The Operation of Peer Assessments Conclusion

3. IECEE Copy right 2007 3 Contents The Purpose of Peer Assessments The Structure of Peer Assessments Types of Peer Assessments The Operation of Peer Assessments Conclusion

4. IECEE Copy right 2007 4 Globally Administered by the IECEE Secretariat in Geneva using a registered pool of International Lead Assessors and Technical Assessors located in 50 different countries. PEER ASSESSMENTS in the CB Scheme Well-founded “Mutual Confidence” is needed for NCBs to grant their Certification Mark on the basis of the review of Test Results without repeat testing; this is what Peer Assessments achieve. The Purpose of Peer Assessments

5. IECEE Copy right 2007 5 The evaluations made by Experts, employed by the Organisations’ Members of the IECEE, ensure that the Members’ Certification Bodies and Testing Laboratories are competent in the processing of Conformity Assessment activities within the field of Safety and Performance third party Product Certification. PEER ASSESSMENTS

6. IECEE Copy right 2007 6 Contents The Purpose of Peer Assessments The Structure of Peer Assessments Types of Peer Assessments The Operation of Peer Assessments Conclusion

7. IECEE Copy right 2007 7 ACAG Assessment & Certification Advisory Group ACAG Members are formally appointed by the IECEE Management Committee Experts in Certification Bodies and Testing Laboratories Auditing and assessments

8. IECEE Copy right 2007 8 ACAG – Assessment & Certification Advisory Group The Structure of Peer Assessments TERMS OF REFERENCE  To monitor the Peer Assessment Program  To determine common understanding and approach on ISO/IEC Guide 65 and ISO/IEC 17025  To evaluate the Assessment Reports of candidate NCBs and CBTLs and make recommendations to the IECEE-CMC

9. IECEE Copy right 2007 9 IECEE Lead Assessors and Technical Assessors The IECEE Lead Assessors and Technical Assessors are employees of the IECEE Member NCBs Certification Bodies and CBTLs Testing Laboratories. The competence and on-going training of the IECEE Lead Assessors and Technical Assessors are continuously monitored by the ACAG.

10. IECEE Copy right 2007 10 Peer Assessor Questionnaire Prior to being qualified as a Technical Assessor the candidate shall provide, through its responsible NCB, the Peer Assessor Questionnaire containing the academic education and experience in the specific field of activity of the IECEE Scope e.g. HOUS, LITE, MED, OFF

11. IECEE Copy right 2007 11 Specific knowledge, skills and personal attribute of Technical Assessors TECHNICAL ASPECT Technical specific knowledge and skills Education - Work experience - Technical Assessor trainings - Assessor Experience Personal attributes Household appliances Luminaires I.T. Equipments Medical Equipments

12. IECEE Copy right 2007 12 Specific knowledge, skills and personal attribute of Technical Assessors Prior to being qualified as an IECEE Lead Assessor, a Technical Assessor should acquire assessment experience acting as an assessor team assistant to develop the knowledge and skills of Lead Assessors. This experience should be gained under the supervision and guidance of another assessor who is competent as a Lead Assessor.

13. IECEE Copy right 2007 13 Requirements for IECEE Lead and Technical Assessors

14. IECEE Copy right 2007 14 Specific knowledge, skills and personal attribute of Lead Assessors Generic IECEE knowledge and skills QMS ASPECT Quality specific knowledge and skills TECHNICAL ASPECT Technical specific knowledge and skills Education - Work experience – Lead Assessor training – Assessor Experience Personal attributes

15. IECEE Copy right 2007 15 Specific knowledge, skills and personal attribute of Lead Assessors In addition, to having the personal attributes and competence of Technical Assessors in one or more Standard(s)/Product Category(ies), Lead Assessors MUST have additional knowledge and skills in assessment leadership/project management to enable the assessment team to conduct the on-site assessment, impartially, efficiently and effectively.

16. IECEE Copy right 2007 16 Specific knowledge, skills and personal attribute of Lead Assessors IECEE Basic Rules (IECEE 01) and Rules of Procedure (IECEE 02 and IECEE 03); ISO/IEC Guide 65, ISO/IEC 17025 (Guide 25) ISO 19001 Operational Documents CMC current decisions ACAG Decision Sheets CTL Decision sheets & Operational Procedures

17. IECEE Copy right 2007 17 Maintenance of assessing ability Initial evaluation of a candidate who wishes to become a “recognized” Assessor as part of the IECEE Peer Assessment Programme; Further evaluation of the competence of the Assessor occurs as part of the assessment team selection process; On-going evaluation of an Assessor’s performance to identify needs for maintenance and improvement of knowledge and skills through specific training courses; Participation at the IECEE Training Courses with examination

18. IECEE Copy right 2007 18 IECEE Training Courses

19. IECEE Copy right 2007 19 Peer Assessors Training Plan Date of TrainingType of TrainingLocation of TrainingStatus 2006-05-03/04Assessor TrainingUSA; NorthbrookCompleted 2006-11-15/17Lead Assessor TrainingSwitzerland, GenevaCompleted 2007-03-21/22Assessor TrainingShanghai, CHINACompleted 2007-12-03/04Assessor TrainingSwitzerland, GenevaPending 2008-11-13/14Lead Assessor TrainingSwitzerland, GenevaPending 2009-11-12/13Assessor TrainingAmericasPending 2010-09-23/24Assessor TrainingAsia/OceaniaPending 2010-11-09/10Lead Assessor TrainingSwitzerland, GenevaPending 2010-11-11/12Assessor TrainingSwitzerland, GenevaPending 2012-09-21/22Lead Assessor TrainingSwitzerland, GenevaPending 2012-11-15/16Assessor TrainingAmericasPending 2013-09-26/27Assessor TrainingAsia/OceaniaPending 2013-11-14/15Assessor TrainingSwitzerland, GenevaPending 2014-11-13/14Lead Assessor TrainingSwitzerland, GenevaPending

20. IECEE Copy right 2007 20 Feedback from the recent IECEE Lead Assessor Training

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22. IECEE Copy right 2007 22

23. IECEE Copy right 2007 23

24. IECEE Copy right 2007 24

25. IECEE Copy right 2007 25 Contents The Purpose of Peer Assessments The Structure of Peer Assessments Types of Peer Assessments The Operation of Peer Assessments Conclusion

26. IECEE Copy right 2007 26 Types of Peer Assessments  INITIAL ASSESSMENTS  RE-ASSESSMENTS  SCOPE EXTENSION ASSESSMENTS  RE-LOCATION ASSESSMENTS Types of Peer Assessments

27. IECEE Copy right 2007 27 Initial Assessments INITIAL ASSESSMENTS are required for all NCBs, CBTL and ACTLs upon joining the CB Scheme. This assessment ensures that the candidate organisation has the technical capability and experience to carry out the required tests and produce reports acceptable by all other members and in the market place. A New Candidate NCB or CBTL/ACTL that wishes to become a member of the CB Scheme is required to submit an application through its National Member Body in the IECEE. The application is then reviewed by the IECEE Secretariat and an INITIAL ASSESSMENT is organised.

28. IECEE Copy right 2007 28 LEVELS OF MEMBERSHIP

29. IECEE Copy right 2007 29 Re-assessments Every NCB & CBTL/ACTL accepted in the CB Scheme is subject to the 3-year round of re-assessments if accredited by e.g. SCC, OSHA, SWEDAC, UKAS, etc. A yearly Re-assessment is organised for those CBTLs that are not accredited to ISO/IEC 17025 by a reputable Accreditation Body such as SCC, OSHA, SWEDAC, UKAS etc.

30. IECEE Copy right 2007 30 Scope Extension Assessment The Scope Extension Assessment takes place upon request from a Member NCB. A Scope Extension Assessment is requested when an NCB &/or CBTL/ACTL wishes to expand their scope to include: - More standards in current accepted scope - New Product Categories in current accepted scope

31. IECEE Copy right 2007 31 Re-location assessments The Re-location assessment takes place when a CBTL/ACTL moves to another location: The assessment will focus on e.g.: Voltage stability: +/- 3 percent maximum Frequency stability: +/- 2 percent maximum Total harmonic distortion: maximum 5 % Re-location assessment also verifies that the overall testing equipment are functional and are properly set.

32. IECEE Copy right 2007 32 Contents The Purpose of Peer Assessments The Structure of Peer Assessments Types of Peer Assessments The Operation of Peer Assessments Conclusion

33. IECEE Copy right 2007 33 The Operation of Peer Assessments All Peer Assessment Information can be accessed by the IECEE Members and the IECEE registered pool of Technical Assessors and Lead Assessors from the IECEE Website. The Operation of Peer Assessments

34. IECEE Copy right 2007 34 The Operation of Peer Assessments The Operational Documents describing the procedures and rules related to Peer Assessments are also open for reference.

35. IECEE Copy right 2007 35 The Operation of Peer Assessments Stage 1: Application received All Assessments are recorded in a central database which follows through the complete assessment process and allows us to keep a record of the stage of the operation.

36. IECEE Copy right 2007 36 Stage 1: Application received The Documentation is checked, using OD-CB2007, all databases are updated and the documents are uploaded onto a Restricted Password protected area of the website

37. IECEE Copy right 2007 37 Stage 1: Application received Re-assessments For Re-assessments no formal application is received as this takes place automatically every 3 years. The organisation is informed of their up-coming Re-assessment by the IECEE Secretariat. For Re-assessments the list of standards to be assessed is provided by the IECEE Secretariat in Annex 1A of OD-CB2004/5

38. IECEE Copy right 2007 38 Stage 1: Application received The Application documentation is checked and uploaded on a specific Restricted area of the website which is later made available to the specific organisation and their Assessment Team.

39. IECEE Copy right 2007 39 Stage 2: The Assessment Team is set

40. IECEE Copy right 2007 40 Stage 2: The Assessment Team is set The IECEE Executive Secretary sets the Assessment Team based upon the current &/or requested scope (as applicable). Using our Lead Assessor and Technical Assessor database, the Assessment Team can be matched to the required scope of assessment.

41. IECEE Copy right 2007 41 Stage 2: The Assessment Team is set Receipt of the application and the set Assessment Team is officially sent to the NCB. Upon confirmation of the Assessment Team availability, the Lead Assessor then proceeds to co-ordinate the set date. All information is recorded in the central database

42. IECEE Copy right 2007 42 Stage 3: The Assessment Takes Place  The arrangements of the Assessment are organised by the Lead-Assessor and the NCB representative.  The Assessment Team then complete the on-site assessment, with the NCB representative present.  At the end of the Assessment the Lead Assessor completes the Assessment Report.

43. IECEE Copy right 2007 43 Stage 3: The Assessment Takes Place

44. IECEE Copy right 2007 44 Stage 4: The Assessment Report is complete The completed Assessment Report is then verified by the IECEE Secretariat and subsequently uploaded on the website

45. IECEE Copy right 2007 45 Stage 4: The Assessment Report is Complete  The IECEE Executive Secretary sets the two Reviewers of the Assessment Report, from the list of Lead Assessors  The Members are notified of the publication in the weekly notification and they too have the opportunity to comment on the Assessment Report

46. IECEE Copy right 2007 46 Stage 4: The Assessment Report is complete Member Body/Reviewer comments received IECEE Executive Secretary reviews comments IECEE Executive Secretary reviews comments. Comments sent to Lead Assessor Comments are published on the IECEE Website Clearance received Comments Reply received Here is the process should there be comments on the Report from either the Reviewers or Members

47. IECEE Copy right 2007 47 Stage 5: Clearance of the Assessment Report When all comments and the Non- conformities found during the on-site assessment have been cleared (should any arise), the NCB &/or CBTL scopes are updated according to the Assessment Team recommendation.

48. IECEE Copy right 2007 48 Stage 6: Scope update The scope is updated in several areas: 1. The Website:

49. IECEE Copy right 2007 49 Stage 6: Scope update 2. The CBTC online system to allow the NCB to issue Certificates:

50. IECEE Copy right 2007 50 Stage 6: Scope update 3. The two areas of the CB Bulletin:

51. IECEE Copy right 2007 51 Stage 6: Scope update 4. The two areas of the CB Bulletin:

52. IECEE Copy right 2007 52 Stage 7: Acceptance Certificate The (continued) acceptance certificate is then (re)issued

53. IECEE Copy right 2007 53 Stage 7: Acceptance Certificate The (continued) acceptance certificate is then (re)issued

54. IECEE Copy right 2007 54 Contents The Purpose of Peer Assessments The Structure of Peer Assessments Types of Peer Assessments The Operation of Peer Assessments Conclusion

55. IECEE Copy right 2007 55 Conclusion The confidence in this truly “Peer Assessment” programme is ever growing, as is demonstrated by the increased applications received just over the last three years:

56. IECEE Copy right 2007 56 Conclusion The growing confidence is also demonstrated by the impressive figures of the number of CB Test Certificates issued:

57. IECEE Copy right 2007 57 IECEE Membership CountriesNCBsCBTLsACTLs 200141531290 200242561410 200343581500 200443581700 200544581950 200646592160 2007506223410

58. IECEE Copy right 2007 58 IECEE Membership

59. IECEE Copy right 2007 59 India Indonesia Ireland Israel Italy Japan Kenya Korea Rep. of Malaysia Mexico Netherlands New Zealand Norway Poland Portugal Romania Russia Argentina Australia Austria Belarus Belgium Brazil Bulgaria Canada China Croatia Czech Rep. Denmark Finland France Germany Greece Hungary IECEE participating countries Saudia Arabia Serbia Singapore Slovakia Slovenia South Africa Spain Sweden Switzerland Thailand Turkey Ukraine United Arab Emirates United Kingdom United States Uruguay

60. Worldwide System for Conformity Testing and Certification of Electrotechnical Equipment and Components (IECEE) Thank you for your attention. Any questions?