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

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

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

IECEE Copy right Globally Administered by the IECEE Secretariat in Geneva using a registered pool of International Lead Assessors and Technical Assessors located in 47 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

IECEE Copy right 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

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

IECEE Copy right AAG – Assessment Advisory Group AAG Members are formally appointed by the Management Committee TERMS OF REFERENCE  To monitor the Peer Assessment and Re- assessment  To determine common understanding and approach on ISO/IEC Guide 65 and ISO/IEC  To evaluate the Assessment Reports of candidate NCBs and CBTLs and make recommendations to the IECEE-CMC The Structure of Peer Assessments

IECEE Copy right IECEE Lead Assessors and Technical Assessors The IECEE Lead Assessors and Technical Assessors are employees of the IECEE Member NCBs and CBTLs making this a true “Peer Assessment” programme. The competence and on-going training of the IECEE Lead Assessors and Technical Assessors are continuously monitored by the AAG.

IECEE Copy right 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 education and experience in the specific field of activity of the IECEE Scope e.g. HOUS, LITE, MED

IECEE Copy right 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

IECEE Copy right 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.

IECEE Copy right Requirements for IECEE LAs and TAs

IECEE Copy right 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

IECEE Copy right 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 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.

IECEE Copy right 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 (Guide 25)  ISO  CMC Operational Documents  CMC current decisions  AAG Decision Sheets  CTL Decision sheets & Operational Procedures

IECEE Copy right Maintenance of assessing ability 1.Initial evaluation of a candidate who wishes to become a “recognized” Assessor as part of the IECEE Peer Assessment Programme; 2.Further evaluation of the competence of the Assessor occurs as part of the assessment team selection process; 3.On-going evaluation of an Assessor’s performance to identify needs for maintenance and improvement of knowledge and skills through specific training courses; 4.Participation at the IECEE Training Courses with examination

IECEE Copy right IECEE Training Courses

IECEE Copy right Peer Assessors Training Plan Date of TrainingType of TrainingLocation of TrainingStatus /04Assessor TrainingUSA; NorthbrookCompleted /17Lead Assessor TrainingSwitzerland, GenevaCompleted /22Assessor TrainingShanghai, CHINACompleted /04Assessor TrainingSwitzerland, GenevaPending /14Lead Assessor TrainingSwitzerland, GenevaPending /13Assessor TrainingAmericasPending /24Assessor TrainingAsia/OceaniaPending /10Lead Assessor TrainingSwitzerland, GenevaPending /12Assessor TrainingSwitzerland, GenevaPending /22Lead Assessor TrainingSwitzerland, GenevaPending /16Assessor TrainingAmericasPending /27Assessor TrainingAsia/OceaniaPending /15Assessor TrainingSwitzerland, GenevaPending /14Lead Assessor TrainingSwitzerland, GenevaPending

IECEE Copy right Feedback from the recent IECEE Lead Assessor Training

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

IECEE Copy right Types of Peer Assessments  INITIAL ASSESSMENTS  RE-ASSESSMENTS – 3 Yearly and Annual  SCOPE EXTENSION ASSESSMENTS  RE-LOCATION ASSESSMENTS Types of Peer Assessments

IECEE Copy right 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 to all other members. 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.

IECEE Copy right LEVELS OF MEMBERSHIP

IECEE Copy right LEVELS OF MEMBERSHIP Level 1 as Member Body

IECEE Copy right LEVELS OF MEMBERSHIP Level 2 : Recognizing NCB

IECEE Copy right LEVELS OF MEMBERSHIP Level 3 Issuing and Recognizing NCB and CBTL

IECEE Copy right Re-assessments Every NCB & CBTL/ACTL accepted in the CB Scheme is subject to the 3-year round of re-assessments. (A yearly Re- assessment is organised for those CBTLs that are not accredited to ISO/IEC by a reputable Accreditation Body. The Re-assessment takes place in order to provide continued acceptance within the CB Scheme for the next three years. The Re-assessment checks that NCBs comply with ISO/IEC Guide 65 and that the CBTLs comply with the ISO/IEC Guide

IECEE Copy right 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 Product Categories - New Product Categories

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

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

IECEE Copy right 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

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

IECEE Copy right 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.

IECEE Copy right 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

IECEE Copy right 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

IECEE Copy right 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.

IECEE Copy right Stage 2: The Assessment Team is set

IECEE Copy right 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.

IECEE Copy right 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

IECEE Copy right Stage 3: The Assessment Takes Place  The Logistics 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.

IECEE Copy right Stage 3: The Assessment Takes Place

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

IECEE Copy right 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

IECEE Copy right 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

IECEE Copy right 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.

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

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

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

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

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

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

IECEE Copy right 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:

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

IECEE Copy right IECEE Membership CountriesNCBsCBTLs

IECEE Copy right IECEE Membership

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

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