ELECTRICAL REGULATORY AUTHORITIES COUNCIL (ERAC ...

ELECTRICAL REGULATORYAUTHORITIES COUNCIL(ERAC)NATIONAL ELECTRICALEQUIPMENT DATABASE(Registration)ANALYSIS AND DESIGNDOCUMENTforQLD Department of Justice and Attorney-GeneralPrepared By:Dialog Pty LtdApproved By:Leigh PostSenior ConsultantVersion: 1.3a

NATIONAL ELECTRICAL EQUIPMENT DATABASE(Registration)Analysis and Design DocumentRevision HistoryThis document is under version controlVERSION NO REASON FOR UPDATE DATE ISSUEDV1.0 First version 26/02/2010V1.1 Updated to correct formatting and toincorporate feedback from ERAC12/03/2010V1.2 Update to incorporate feedback from ERAC 18/03/2010V1.3aThis documentV1.3bRemoving or changing informationsurrounding equipment certification. Thisdocument should be viewed in conjunctionwith V1.3bRemoving or changing informationsurrounding registration of equipment. Thisdocument should be viewed in conjunctionwith V1.3a09/06/201009/06/2010Document Acceptance(List those who receive a copy of the approved document)Mick LoganNAME TITLE SIGNATURE DATEDirector,Business Development andPlanning,Electrical Safety OfficeQueenslandDistribution(List of those whom this document is to be circulated to)Mick LoganLuke RichardsJordan WattsNAMETITLEDirector,Business Development and Planning,Electrical Safety Office QueenslandPolicy Officer, Electrical Safety Office, Department ofJustice and Attorney-GeneralPrincipal Policy Officer, Electrical Safety Office,Department of Justice and Attorney-GeneralDialog Pty Ltd ©Version 1.2 ACN 010 089 175Page i

NATIONAL ELECTRICAL EQUIPMENT DATABASE(Registration)Analysis and Design DocumentTABLE OF CONTENTS1. INTRODUCTION ....................................................................................................... 51.1. Purpose of Document .................................................................................... 51.2. Background ..................................................................................................... 51.3. References ...................................................................................................... 61.4. Terms and definitions .................................................................................... 62. THE PROJECT ....................................................................................................... 102.1. Project goal and objectives ......................................................................... 102.2. Current situation ........................................................................................... 102.3. Assumptions and constraints ..................................................................... 112.3.1. Assumptions ................................................................................................... 112.3.2. Constraints ..................................................................................................... 112.4. Approach ....................................................................................................... 122.5. Terminology used for National system versus ESV Victorian system ... 123. BUSINESS VISION AND STRATEGIES ................................................................. 134. STAKEHOLDERS ................................................................................................... 144.1. Stakeholder Summary.................................................................................. 144.2. Summary of User Roles ............................................................................... 155. BUSINESS PROCESSES ....................................................................................... 165.1. Summary of Business Processes ............................................................... 165.1.1. User Registration Processes .......................................................................... 165.1.2. Responsible Supplier Registration Processes ............................................... 165.1.3. Equipment Registration Processes ................................................................ 175.1.4. Common Process ........................................................................................... 185.1.1. Other Business Processes ............................................................................. 186. HIGH-LEVEL ACTOR DIAGRAM ........................................................................... 197. DESCRIPTION OF BUSINESS PROCESSES ........................................................ 207.1. User Registration .......................................................................................... 207.1.1. Register a Regulatory Authority (RA) User .................................................... 207.1.2. Bulk RA\CB User Registration ........................................................................ 217.1.3. Register an Applicant user ............................................................................. 22Dialog Pty Ltd ©Version 1.2 ACN 010 089 175Page ii

NATIONAL ELECTRICAL EQUIPMENT DATABASE(Registration)Analysis and Design Document7.1.4. Register a Database Administrator User ........................................................ 237.1.5. Update a User ................................................................................................ 247.1.6. User Login ...................................................................................................... 247.1.7. Forgotten Password ....................................................................................... 257.1.8. Search Users .................................................................................................. 257.1.1. Cancel a User ................................................................................................. 267.1.2. Re-activate a User Account ............................................................................ 267.2. Responsible Supplier Registration ............................................................. 277.2.1. Register New Responsible Supplier ............................................................... 277.2.2. Update a Responsible Supplier ...................................................................... 297.2.3. Renew a Responsible Supplier ...................................................................... 307.2.4. Expire a Responsible Supplier ....................................................................... 307.2.5. Re-Activate a Responsible Supplier ............................................................... 317.2.6. Cancel a Responsible Supplier ...................................................................... 327.2.7. Un-Cancel a Responsible Supplier ................................................................ 327.2.8. Search Responsible Suppliers ....................................................................... 337.2.9. Notifications .................................................................................................... 337.2.10. Compliance History ........................................................................................ 347.3. Equipment Registration ............................................................................... 357.3.1. Apply for Equipment Registration ................................................................... 357.3.2. Update Equipment Registration ..................................................................... 407.3.3. Renew an Equipment Registration ................................................................. 407.3.4. Expire an Equipment Registration .................................................................. 417.3.5. Re-Activate an Equipment Registration ......................................................... 427.3.6. Cancel an Equipment Registration ................................................................. 427.3.7. Grandfather Equipment Registration .............................................................. 437.3.8. Shorten Equipment Registration .................................................................... 437.3.9. Transfer an Equipment Registration ............................................................... 447.3.10. Transfer all Equipment Registrations ............................................................. 447.3.11. Public Equipment Registration Search ........................................................... 457.3.12. Regulator Equipment Registration Search ..................................................... 477.3.13. Certifying Body Equipment Registration Search ............................................ 487.3.14. Un-Cancel an Equipment Registration ........................................................... 497.4. Payment Processing .................................................................................... 507.5. Automatic Email Notifications .................................................................... 527.5.1. User Registration Emails ................................................................................ 527.5.2. Responsible Supplier Registration Emails ..................................................... 527.5.3. Equipment Registration Emails ...................................................................... 527.5.4. Consultant Emails ........................................................................................... 52Dialog Pty Ltd ©Version 1.2 ACN 010 089 175Page iii

NATIONAL ELECTRICAL EQUIPMENT DATABASE(Registration)Analysis and Design Document7.6. Manually Generated Emails ......................................................................... 537.7. Reports .......................................................................................................... 537.7.1. Equipment Registration Reports .................................................................... 547.7.2. Responsible Supplier Reports ........................................................................ 547.7.3. Regulatory Authority reports ........................................................................... 547.8. History ........................................................................................................... 547.9. Administration .............................................................................................. 557.10. Conversion of data from existing systems (one-off process) ................. 557.11. Data Volumes – approximate only .............................................................. 587.12. Non Functional Requirements .................................................................... 587.12.1. Help Documentation ....................................................................................... 587.12.2. Backup/Recovery ........................................................................................... 597.12.3. Interface requirements.................................................................................... 597.12.4. System Usability ............................................................................................. 597.12.5. Security ........................................................................................................... 597.12.6. Maintainability ................................................................................................. 597.12.7. Audit................................................................................................................ 607.12.8. Archiving – data retention ............................................................................... 607.12.9. Platform .......................................................................................................... 607.12.10. Availability ....................................................................................................... 607.12.11. Browser compatibility ...................................................................................... 608. APPENDIX A – MID LEVEL BPMN DIAGRAMS .................................................... 61Dialog Pty Ltd ©Version 1.2 ACN 010 089 175Page iv

NATIONAL ELECTRICAL EQUIPMENT DATABASE(Registration)Analysis and Design Document1. INTRODUCTION1.1. Purpose of DocumentThis document describes the business requirements for a new National ElectricalEquipment Database which will be used to manage electrical equipment registrations andelectrical supplier registrations. The database will be used by Regulatory Authorities,Suppliers, Certifying Bodies, Certificate Holders, Consultants, Retailers and the generalpublic.1.2. BackgroundIn 2007 the Electrical Regulatory Authorities Council (ERAC) initiated a formal andcomprehensive review of the existing Electrical Equipment Safety System. This review ledto the creation of a Preliminary Regulation Impact Statement (PRIS), which was releasedfor public consultation in November 2008.Following consultation with electrical regulators, industry groups and other interestedparties, the Electrical Regulatory Authorities Council (ERAC) developed a final RegulationImpact Statement (RIS). In May 2009, the RIS was approved by members at the ERACmeeting.This final Regulation Impact Statement made a considerable number ofrecommendations.These recommendations focused on the following areas: Classification of electrical equipment; National Database; Uniform legislation; Scheme Rules; Improved surveillance; and ERAC governance.The recommendation relating to the classification of electrical equipment proposed achange to the way in which electrical equipment is currently registered as either declaredequipment or non declared equipment. It was recommended that this be replaced by athree level registration system that is based on a risk assessment of the equipment usinga risk engine approach. Equipment will be registered as Level 1 (low risk), Level 2(medium risk) or Level 3 (high risk) equipment.The second recommendation proposed the creation of a National Electrical EquipmentDatabase to be used to store both electrical equipment registration and electrical supplierregistration data. This National Electrical Equipment Database will be designed anddeveloped to support the new three level classification of electrical equipment.Dialog Pty Ltd © Page 5Version 1.2 ACN 010 089 175

NATIONAL ELECTRICAL EQUIPMENT DATABASE(Registration)Analysis and Design Document1.3. ReferencesThe documents below have been referred to during the preparation of this document.Nr. Document Name DefinitionProposed Electrical Equipment SafetyDOC1 Final RIS May 2009.pdf System, Final Regulation Impact Statement,March 2009 (draft document)DOC2ESO - database Description Document summarising the requirements forv0 2 .docthe National databaseHigh-level flowchart showing the requiredAttachment 2.pdf from ‘ESO functions, from the existing ESV ApprovalsDOC3 - database Description v0 2’ application, plus the new functions, requireddocumentin a national electrical Equipment SafetySystem.DOC4DOC5DOC6DOC7Attachment 1.pdf from ‘ESO- database Description v0 2’documentCombined High level processv1 1.vsdDatabase Pictorial.docDeclarations.docFlowchart showing responsible supplierregistration and renewal processBusiness Process Flows for EquipmentRegistration and Supplier registrationprocess.Document outlining aspects of the currentVictorian system, plus some newrequirements for the National systemDocument describing the Level 3 and Level 2Equipment Declaration1.4. Terms and definitionsTerm/AbbreviationABNDefinitionAustralian BusinessNumberUse of TermAn eleven digit number that identifiesan Australian business.ARBNACNApplicant(CertificateHolder)AuthorisedRepresentativeAustralian RegisteredBody NumberAustralian CompanyNumberApplicantSame as ConsultantA number which can be used to identifyan Australian or New Zealand businessA unique nine-digit number issued byASIC which can be used to identify acompanyPerson who initiates an application forequipment certification.Person who is authorised to work onbehalf of an applicant or a responsiblesupplier.Authorised Similar to a Responsible A person employed by a responsibleDialog Pty Ltd © Page 6Version 1.2 ACN 010 089 175

NATIONAL ELECTRICAL EQUIPMENT DATABASE(Registration)Analysis and Design DocumentTerm/Abbreviat DefinitionUse of TermionOfficer Supplier supplier, who is authorised to login tothe system using the responsiblesupplier’s user account.CB Certifying Body A private company that conductscertification. It may operate its owntesting and inspection activities oroversee these activities carried out onits behalf. It is able to issue electricalequipment certificates.Certificate, CoC Certificate of Conformity A document issued under the rules ofthe equipment certification process (forLevel 3 equipment). This documentindicates that the equipment conformsto the standards required for electricalsafety.Certificate, CoSCertificateHolderCertificate of Suitability(similar to a CoC)Same as applicantA document issued under the rules ofthe equipment certification process (forLevel 1 or Level 2 equipment). Thisdocument indicates that the equipmentconforms to the standards required forelectrical safety.A person who initiates an application forequipment certification. At the end ofthe certification process, a certificatenumber is assigned and the applicantbecomes the certificate holder.Certification Certification The process by which a certificate(CoC) is granted, usually for Level 3equipment. A certificate (CoS) can alsobe granted for Level 1 and Level 2equipment.CertifierConsultant(AuthorisedRepresentative)Certifying Body orRegulatory AuthorityConsultant(AuthorisedRepresentative)A third party Certification Body orRegulatory Authority providingcertification services.Person who is authorised to work onbehalf of an applicant in order to initiateor complete an application forequipment certification.Person who has authorisation to workon behalf of a responsible supplier inorder to initiate or complete anapplication for Level 2 or Level 3equipment registration.Equipment Equipment An item or family of items of electricalequipment.EquipmentCertificationEquipment Certification The process by which Level 1, Level 2or Level 3 equipment is granted aCertificate.Dialog Pty Ltd © Page 7Version 1.2 ACN 010 089 175

NATIONAL ELECTRICAL EQUIPMENT DATABASE(Registration)Analysis and Design DocumentTerm/AbbreviationEquipmentRegistrationERACJASANZLevel 1DefinitionEquipment RegistrationElectrical RegulatoryAuthorities CouncilJoint Accreditation Systemof Australia and NewZealandCategory of equipmentregistration indicatingdegree of safety riskUse of TermThe process by which electricalequipment is registered on the NationalElectrical Equipment Database.A body responsible for the liaisonbetween the technical and safetyelectrical regulatory authorities of eightAustralian states/territories and NewZealand.The government-appointedaccreditation body for Australia andNew Zealand responsible for providingaccreditation of conformity assessmentbodies (CABs) in the fields ofcertification and inspection.Level 1 is the lowest level, meaning lowrisk.Level 2Category of equipmentregistration indicatingdegree of safety risk.Level 2 is the middle level, meaningmoderate risk.Level 3Category of equipmentregistration indicatingdegree of safety riskLevel 3 is the highest level, meaninghigh risk.RA Regulatory Authority An Australian or New Zealandgovernment department or agencyresponsible for the administration ofelectrical equipment safety legislationand regulations.RISRiskClassification(of electricalequipment)RS(AuthorisedOfficer)Regulation ImpactStatementResponsible SupplierA regulatory authority may also conductcertification.A paper which documents the findingsof the review into the ElectricalEquipment Safety SystemA ranking of electrical equipment bytype into Level 1 (low risk), Level 2(medium risk) and Level 3 (high risk)An Australian or New Zealand legalentity that is the first seller or supplier ofelectrical equipment in the Australianand New Zealand supply chain.RSCF Responsible Supplier’s A collection of descriptive and technicalDialog Pty Ltd © Page 8Version 1.2 ACN 010 089 175

NATIONAL ELECTRICAL EQUIPMENT DATABASE(Registration)Analysis and Design DocumentTerm/AbbreviationRSD or RSDoCRCMDefinitionCompliance FolderResponsible Supplier’sDeclaration orResponsible Supplier’sDeclaration ofConformanceRegulatory ComplianceMarkUse of Terminformation that provides evidenceregarding the compliance of electricalequipment with the relevant standards.Only relevant to Level 2 equipment.A declaration made by a responsiblesupplier during the responsible supplierregistration process. This declarationindicates that a product, process orservice conforms to specifiedrequirements.A certification trademark that is used toindicate that an item of electricalequipment complies with relevantregulatory standards and requirements.Dialog Pty Ltd © Page 9Version 1.2 ACN 010 089 175

NATIONAL ELECTRICAL EQUIPMENT DATABASE(Registration)Analysis and Design Document2. THE PROJECT2.1. Project goal and objectivesAs a result of recommendations arising from a review of the Electrical Equipment SafetySystem in Australia, a new National Electrical Equipment Database is to be developed bythe ERAC secretariat in conjunction with the Victorian regulator. This document wasdeveloped in order to fully document the business requirements for this new nationalsystem. Once the business requirements have been documented, a SolutionsDevelopment Document will then be developed. The Solutions Development Documentwill describe the functional requirements for the National Electrical Equipment Database.2.2. Current situationThe existing Electrical Equipment Safety System has been in place for more than 60years with little change. It is based on approvals by individual State, Territory andNew Zealand regulatory authorities which, while they have national application throughmutual recognition arrangements, has led to inconsistent practices and procedures.The proposed Electrical Equipment Safety System final Regulation Impact Statement(RIS) recommended that a national database be developed. This database would be usedto store electrical equipment certifications, electrical equipment registrations and electricalsupplier registration data.A database for the registration of responsible suppliers and the different levels of electricalequipment currently does not exist, nor do the rules that would govern the whole process,including the way users interact with the database. The ERAC Secretariat thereforeinvestigated existing systems that could be modified to fill the needs of this proposeddatabase.In 2008, Energy Safe Victoria (ESV) completed a re-development of their existingcertificate of conformance database for electrical equipment. The system that wasredeveloped for Victoria includes functions for online applications and payments, easydata entry modes and user friendly interfaces. ESV has agreed to let ERAC use thisdatabase as a basis for the equipment and supplier registration system.The ESV database was developed to be used by a single state government organisationwithin the context of the current electrical equipment safety system. It is used by EnergySafe Victoria to manage the electrical equipment certification process. This process is oneof the core components needed in the National Electrical Equipment Database. However,in order to meet the RIS’s requirements, additional components will need to be developedfor responsible supplier registration and the registration of different levels (1, 2 and 3) ofelectrical equipment. As it was developed for use by one state only, the ESV system doesnot cater for multiple regulatory authorities or private certifying bodies.To help bridge the gap between what the current ESV system is capable of and what isrequired in the final RIS, the ERAC Secretariat developed a number of documents to helpdefine what is needed. These ERAC documents formed the starting point for thedevelopment of this document.Dialog Pty Ltd © Page 10Version 1.2 ACN 010 089 175

2.3. Assumptions and constraints2.3.1. AssumptionsNATIONAL ELECTRICAL EQUIPMENT DATABASE(Registration)Analysis and Design Document The National Electrical Equipment Database is to be designed and developed foruse by all Australian states and NZ. When implemented within a state, it willreplace any existing processes by which electrical equipment is certified in thatstate. The National Electrical Equipment Database will be managed and administered byERAC. A Database Administrator user role will be included within the database.This user role will be able to perform all system functions, will have access to alldata and will be responsible for maintaining reference data and also for the initialcreation of some user accounts. The process of accreditation of Certifying Bodies is outside the scope of theNational database. Certifying Bodies who choose not to use the national databasefor certification will have only limited access to the database. This access will allowthem to upload certification data and also search for equipment certifications thatthey performed. Certifying Bodies will be able to use the public equipmentcertification search to search for equipment certifications performed by othercertifying organisations. A user account will need to be created for each privateCertifying Body that uploads equipment certification data to the national database.This user account will be created by the Database Administrator. This will onlyoccur once the Database Administrator is confident that the CB has beenaccredited. Regulatory Authorities who choose not to use the national database forcertification will have full access to the national database. This access will allowthem to upload certification data and also search for equipment certifications thatthey performed, however they will not be able to be selected as a certifier duringthe equipment certification process. A user account will need to be created foreach Regulatory Authority that uploads equipment certification data to the nationaldatabase. This user account will be created by the Database Administrator. A data migration process will need to be carried out prior to the implementation ofthe National Electrical Equipment Database. This will transfer data from existingcomputer and paper based systems that manage equipment certificationprocesses in the different Australian states.2.3.2. Constraints Transitional arrangements will be required to provide for the continuation of currentequipment certifications of declared/prescribed equipment for the duration of therespective certification. Current equipment certifications will not be able to be extended or modified. The transitional arrangements will ensure that existing certifiers will be authorisedto continue, however a user account will need to be created within the nationaldatabase for each certifying body. Legislative amendments will also be required to support the EESS. If the requiredamendments are not able to be completed within time, the functionality andimplementation of the national database may be impacted. A set of Scheme Rules are currently being drafted by ERAC in consultation withRegulatory Authorities and Certifying Bodies. These will provide nationallyDialog Pty Ltd © Page 11Version 1.2 ACN 010 089 175

NATIONAL ELECTRICAL EQUIPMENT DATABASE(Registration)Analysis and Design Documentconsistent rules and processes for electrical equipment approval and registrationacross Australia and New Zealand. This Analysis and Design document wasbased on the scheme rules as currently drafted and may need to be amended ifthe scheme rules change.2.4. Approach This Analysis and Design document is a comprehensive record of the keybusiness requirements that must be satisfied by the national solution. Thisdocument is a pre-requisite for the production of the second deliverable, which is aSolutions Development Document. The Solutions Development Document will document the functional requirementsfor the new national database. It will describe how the new National ElectricalEquipment Database will operate, including use cases, detailed process diagrams,report definitions, detailed description of all user roles and security. The development phase of the National Electrical Equipment Database cancommence once the Solutions Development Document has been approved. Thefirst stage of this development phase should include the creation of a TechnicalDesign Document. A quotation for the Technical Design Document is the thirddeliverable of this assignment. The Analysis and Design Document and SolutionsDevelopment Document will need to be completed and approved before thequotation can be prepared.2.5. Terminology used for National system versus ESV VictoriansystemNational SystemCertificate HolderCertificationCertificate of ConformanceProduct\EquipmentLevel 3 equipmentLevel 1 equipmentVictorian SystemApplicantApprovalCertificateEquipmentPrescribed equipmentNon prescribed equipmentDialog Pty Ltd © Page 12Version 1.2 ACN 010 089 175

NATIONAL ELECTRICAL EQUIPMENT DATABASE(Registration)Analysis and Design Document3. BUSINESS VISION AND STRATEGIESIn 2007, the Electrical Regulatory Authorities Council (ERAC) initiated a review of theexisting Electrical Equipment Safety System. This review led to the creation of aRegulation Impact Statement (RIS) containing numerous recommendations. Classification of electrical equipment; National Database; Uniform legislation; Scheme Rules; Improved surveillance; andThe broad objectives of the Electrical Equipment Safety System are that: Electrical equipment offered for sale complies with relevant safety standards andother regulatory requirements and is safe for its intended use; Adequate information on electrical equipment installation, use and maintenance isavailable; Any unsafe electrical equipment that does reach the market is readily detected andreported; and Unsafe electrical equipment is removed from the market in an effective and timelymanner.The implementation of the new National Electrical Equipment database will support theobjectives of the Electrical Equipment Safety System and will underpin and support therecommendations contained in the RIS. The new National Electrical Equipment Database will support new uniform,consistent national rules and processes for electrical equipment approval andregistration across Australia and New Zealand; It will assist in the implementation of common national process for theclassification and registration of electrical equipment and the registration ofresponsible suppliers of electrical equipment; It will enable the tracking and management of the electrical certification andregistration process throughout Australia and NZ; It will support self-declaration for responsible supplier and electrical equipmentregistrations and will provide a national database of safe products and responsiblesuppliers available to regulatory authorities, retailers and consumers; It will support the new risk-based three level classification of electrical equipmentand will provide the ability to trace equipment back to responsible supplier bymake and model; It will support the increased emphasis on post market surveillance; It will provide support for the new ERAC National Surveillance Plan which willinclude check testing and audits of Certificates of Conformance, ResponsibleSupplier’s Declarations, Supplier’s Compliance Folders and Suppliers Declarationsof Conformity and underpinning documentation.Dialog Pty Ltd © Page 13Version 1.2 ACN 010 089 175

NATIONAL ELECTRICAL EQUIPMENT DATABASE(Registration)Analysis and Design Document4. STAKEHOLDERS4.1. Stakeholder SummaryStakeholders are people, or groups of people who will be affected by the project or caninfluence it. The Stakeholder Summary presents the Stakeholder name, the Stakeholdergroup and their classification, followed by a description of their representation in theproject and proposed system.Stakeholder ClassificationStakeholderClassificationCritical (C)Interested Party (IP)DefinitionInput from the stakeholder is mandatory, as they must give theirapproval or agreement to any activities associated with thisobjective. If the stakeholder does not give their approval it has theability to prevent the objective and ultimately the project fromachieving its outcomes.The stakeholder is informed or participates in activities associatedwith this objective. They have no role in approving and thereforedo not have the ability to stop or delay the objective fromachieving its outcomes.Stakeholder NamesStakeholder GroupERAC Secretariat(C)Department of Justice and Attorney-GeneralERAC Secretariat(C)ERAC Secretariat(C)Queensland Electrical Safety OfficeEnergy Safety WANT WorkSafeOffice of the Technical Regulator (SA)Energy Safe VictoriaMinistry of Economic Development (NZ)Australian Communications and MediaAuthority (ACMA)Electricity Standards & Safety (TAS)Office of Fair Trading (NSW)Planning & Land Authority (ACT)Stakeholder NameMick Logan, DirectorERAC SecretariatMark Lloyd,Director Justice Department, QLDJordan WattsElectrical Safety Office, QLDLuke Richards,Electrical Safety Office, QLDReg Neil, Technical OfficerDon Saunders, Ken BowronRobin SmithRob Faunt, Mark EmroseNeil Fraser, Adam MurdochPeter MorfeePatrick EmeryTony MillhousePeter KingDennis HarveyDialog Pty Ltd © Page 14Version 1.2 ACN 010 089 175

4.2. Summary of User RolesNATIONAL ELECTRICAL EQUIPMENT DATABASE(Registration)Analysis and Design DocumentUser RoleResponsible SupplierApplicant userConsultant userRegulatory Authority userCertifying Body userDatabase AdministratoruserPublicDescription of roleAn authorised user of the system who is required toregister each year and who is then able to createapplications for equipment registration.A responsible supplier can authorise a consultant to createLevel 2 and Level 3 equipment registrations on theirbehalf.An authorised user of the system who self-registers andwho is then able to create applications for equipmentcertification.An applicant can authorise a consultant to createapplications for equipment certification on their behalf.An authorised user of the system who self-registers andwho can then be granted authority to operate as anauthorised representative for an applicant.A consultant can also be granted authority to operate asan authorised representative for a responsible supplier.An authorised user of the system who is employed by aRegulatory Authority. A Regulatory Authority user canbelong to an ‘affiliated’ or ‘non-affiliated’ RegulatoryAuthority.An affiliated Regulatory Authority will use the system forequipment certification and other processes.A non-affiliated Regulatory Authority will be able to uploadcertification data to the system. They will have full accessto the system, however they will not be able to be selectedas a certifier during the equipment certification process.An authorised user of the system who is employed by aCertifying Body. A Certifying Body user can belong to an‘affiliated’ or ‘non-affiliated’ Certifying Body.An affiliated Certifying Body will use the system forequipment certification and other processes.A non-affiliated Certifying Body will upload certificationdata to the system and will have only limited access to thesystem.An authorised user who performs system administrationtasks and who has access to all system data andfunctions.Member of the public (could be a consumer, retailer orother interested party) who wishes to use the publicallyavailable website to search for equipment certificates andregistered electrical equipmentDialog Pty Ltd © Page 15Version 1.2 ACN 010 089 175

NATIONAL ELECTRICAL EQUIPMENT DATABASE(Registration)Analysis and Design Document5. BUSINESS PROCESSES5.1. Summary of Business ProcessesThis section lists all business processes in the National Electrical Equipment Database.5.1.1. User Registration ProcessesName of Process Brief Description UseCase IdRegister a Regulatory Authority (RA) A Regulatory Authority user account isUsercreatedUC 1.01Register a Certifying Body (CB) User A Certifying Body user account iscreatedUC 1.02Bulk RA\CB User Registration Upload a file containing data formultiple RA or CB users. New RA or UC 1.03CB user accounts are created.Register an Applicant User An Applicant user account is created UC 1.04Register a Consultant User A Consultant user account is created UC 1.05Register a Database Administrator A Database Administration userUC 1.06Useraccount is createdUpdate a User An existing user account is updated UC 1.07User Login The user logs in to the system UC 1.08Forgotten Password The user account password is reset UC 1.09Search UsersAllows a user to search, view andUC 1.10export user account information.Cancel a User Cancels a user account UC 1.11Re-Activate a User Account Re-Activates a user account UC 1.125.1.2. Responsible Supplier Registration ProcessesName of Process Brief Description UseCase IdRegister New Responsible Supplier A Responsible Supplier is registered UC 2.01Update a Responsible SupplierRenew a Responsible SupplierExpire a Responsible SupplierRe-Activate a Responsible SupplierCancel a Responsible SupplierSearch Responsible SuppliersA Responsible Supplier registration isupdatedA Responsible Supplier registration isrenewedA Responsible Supplier registration isexpiredA Responsible Supplier registration isre-activatedA Responsible Supplier registration iscancelled.Allows a RA user to search, view andexport responsible supplierregistrationsUC 2.02UC 2.03UC 2.04UC 2.05UC 2.06UC 2.07Dialog Pty Ltd © Page 16Version 1.2 ACN 010 089 175

NATIONAL ELECTRICAL EQUIPMENT DATABASE(Registration)Analysis and Design DocumentUn-Cancel a Responsible SupplierA Responsible Supplier registration isun-cancelled.UC 2.085.1.3. Equipment Registration ProcessesName of Process Brief Description UseCase IdApply for Equipment Registration Allows an application for equipmentregistration to be createdUC 4.01Update an Equipment Registration An equipment registration is updated UC 4.02Renew an Equipment Registration An equipment registration is renewed UC 4.03Expire an Equipment Registration An equipment registration is expired UC 4.04Re-Activate an EquipmentAn equipment registration is reactivatedUC 4.05RegistrationCancel an Equipment Registration An equipment registration is cancelled UC 4.06Grandfather EquipmentRegistrationsShorten Equipment RegistrationTransfer an Equipment RegistrationAllows equipment registrations to begrandfathered if a product standardchangesAllows the lifespan of an equipmentregistration to be reducedAllows an equipment registration to betransferred to a different responsiblesupplier.Transfer All Equipment Registrations Allows all equipment registration forone responsible supplier to betransferred to a different responsiblesupplier.Public Equipment RegistrationSearchRegulator Equipment RegistrationSearchCertifying Body EquipmentRegistration SearchUn-Cancel an EquipmentRegistrationAllows public users to search forregistered equipment by Type, Brand,Model Number and SupplierAllows RA users to search forregistered equipment by Type, Brand,Model Number and SupplierAllows CB users to search forequipment registrations that are basedon certificates issued by theirorganisationAn equipment registration is uncancelledUC 4.07UC 4.08UC 4.09UC 4.10UC 4.11UC 4.12UC 4.13UC 4.14Dialog Pty Ltd © Page 17Version 1.2 ACN 010 089 175

NATIONAL ELECTRICAL EQUIPMENT DATABASE(Registration)Analysis and Design Document5.1.4. Common ProcessName of Process Brief Description UseCase IdPayment ProcessingAllows payments for RS Registrations,Equipment Certifications and EquipmentRegistrations to be processedUC 5.015.1.1. Other Business ProcessesName of ProcessAutomatic Email NotificationsManually Generated emailsReportsHistoryAdministrationBrief DescriptionSends automated email notificationsSends ad-hoc emails to responsible suppliers,applicants, consultants, certifying bodies orregulatory authorities.Allows reports to be displayed for viewing, exportingand printing.Records lifecycle history for responsible supplierregistrations, equipment certifications and equipmentregistrationsAllows a Database Administrator to maintainreference data.Dialog Pty Ltd © Page 18Version 1.2 ACN 010 089 175

NATIONAL ELECTRICAL EQUIPMENT DATABASE(Registration)Analysis and Design Document6. HIGH-LEVEL ACTOR DIAGRAMDialog Pty Ltd © Page 19Version 1.2 ACN 010 089 175

NATIONAL ELECTRICAL EQUIPMENT DATABASE(Registration)Analysis and Design Document7. DESCRIPTION OF BUSINESS PROCESSESThis section describes all business processes in the National Electrical EquipmentDatabase. Detailed Use Cases for each of these processes will be included in theSolutions Development.7.1. User Registration7.1.1. Register a Regulatory Authority (RA) UserEach regulatory authority will need to have at least one user account registered in thenational database.Regulatory Authorities who choose to use the national database for equipmentcertification processing will be referred to as affiliated Regulatory Authorities. TheseRegulatory Authorities will have multiple user accounts, each with a different level ofaccess to the national database.Regulatory Authorities who choose not to use the national database for certification will bereferred to as non-affiliated Regulatory Authorities. Non-affiliated Regulatory Authoritieswill need to upload certification data to the national database. They will have one useraccount.UseCase IdUC 1.01Name of ProcessRegister a Regulatory Authority (RA) UserDescription The first Regulatory Authority Manager user account can only be created bya Database Administrator user. Subsequent users for this RegulatoryAuthority can then be created by the Regulatory Authority Manager. There will be four types of RA users, (RA Manager, RA Senior Certifier, RACertifier, RA Inspector), with each type having different levels of access tosystem functions and data. An RA Manager is the highest level RA user and will be able to see all useraccounts for their organisation. To create a new regulatory authority user, the following information mustentered: Organisation details Organisation Name Organisation Address Organisation Email Organisation Phone Organisation Fax Username User Role - to be selected from a list containing RA Manager, RASenior Certifier, RA Certifier, RA Inspector User details: First Name Last Name Position User contact details:Dialog Pty Ltd © Page 20Version 1.2 ACN 010 089 175

Contact Email Contact Phone Contact Mobile Contact FaxNATIONAL ELECTRICAL EQUIPMENT DATABASE(Registration)Analysis and Design Document The fields below will not be entered by the Database Administrator or RAManager, but will need to be completed by the user the first time that theylogin. Password Confirm Password Secret question – to be selected from a list Answer to secret question After all details are correctly entered and the new user registration is saved,a welcome email will be sent to the new user. The email will contain theirusername, a randomly generated temporary password and a link. When thenew user clicks on this link, they will be able to login and access the system. For the first time login, each user will be forced to change their password.They will also need to select a secret question and answer.7.1.2. Bulk RA\CB User RegistrationThe user registration component of the national database will allow multiple regulatoryauthority or certifying body user accounts to be easily created by uploading user accountinformation from a spreadsheet or .csv file.UseCase IdUC 1.03Name of ProcessBulk RA\CB User RegistrationDescription The RA\CB Manager will be able to create multiple RA\CB users bytriggering a user upload process. The RA\CB Manager will be able to view a list of all users who belong to theirorganisation). The RA\CB Manager will select a file containing data for multiple new users.The format and contents of the file will need to conform to strict rules in orderfor the upload process to succeed. The file will need to contain the followingdata for each new user: Organisation Name Organisation Address Organisation Email Organisation Phone Organisation Fax Username User Role First Name Last Name Email PositionDialog Pty Ltd © Page 21Version 1.2 ACN 010 089 175

NATIONAL ELECTRICAL EQUIPMENT DATABASE(Registration)Analysis and Design Document Contact Phone Contact Mobile Contact Fax After all user details are uploaded, a notification email will be sent to eachnew user. The email will contain their username, a randomly generatedtemporary password and a link. When the new user clicks on this link, theywill be able to login and access the system. For the first time login, each user will be forced to change their password.They will also need to select a secret question and answer.7.1.3. Register an Applicant userThe user registration component of the national database will allow an applicant (i.e. apotential certificate holder) to self-register in order to use the National ElectricalEquipment database.UseCase IdUC 1.04Name of ProcessRegister an Applicant userDescription An Applicant user will be created by self-registration. The applicant will beable to click on a ‘Register Now’ link on the home page of the NationalElectrical Equipment database. A page will display with fields for the following information to be entered: Applicant Business Name Applicant First Name Applicant Last Name Applicant Position Applicant Contact details: Applicant Address Applicant Postal Address Applicant Email Applicant Phone Applicant Mobile Applicant Fax Username User Role – select from Applicant or Consultant Secret question – to be selected from a list Answer to secret question Preferred Consultant (only available if user role of ‘Applicant’ has beenselected).- select from a list of registered consultants who have agreed to listtheir names. The two password fields below will not be entered at this stage, but will needto be completed by the user the first time that they login. Password Confirm PasswordDialog Pty Ltd © Page 22Version 1.2 ACN 010 089 175

NATIONAL ELECTRICAL EQUIPMENT DATABASE(Registration)Analysis and Design Document After all details are correctly entered and the new user registration is saved,a welcome email will be sent to the new user. The email will contain theirusername, a randomly generated temporary password and a link. When thenew user clicks on this link, they will be able to login and access the system. For the first time login, each user will be forced to change their password.7.1.4. Register a Database Administrator UserThe user registration component of the national database will allow a user account to becreated for a Database Administrator user. A Database Administrator can perform allsystem functions and has access to all system data.UseCase IdUC 1.06Name of ProcessRegister a Database Administrator UserDescription A Database Administrator user account can be created by an existingDatabase Administrator user. A Database Administrator will be able to view a list of all users and will beable to create another Database Administrator user. To create a new Database Administrator user, the following information mustentered: Username User Role – select ‘Database Administrator’ from a list containing RAManager, RA Senior Certifier, RA Certifier, RA Inspector, CB Manager,CB Senior Certifier, CB Certifier, Database Administrator User details: First Name Last Name Position User contact details: Contact Email Contact Phone Contact Mobile Contact Fax The fields below will not be entered by the Database Administrator, but willneed to be completed by the user the first time that they login. Password Confirm Password Secret question – to be selected from a list Answer to secret question After all details are correctly entered and the new user registration is saved,a welcome email will be sent to the new user. This email will contain theirusername, a randomly generated temporary password and a link. When thenew user clicks on this link, they will be able to login and access the system. For the first time login, each user will be forced to change their password.They will also need to select a secret question and answer.Dialog Pty Ltd © Page 23Version 1.2 ACN 010 089 175

NATIONAL ELECTRICAL EQUIPMENT DATABASE(Registration)Analysis and Design Document7.1.5. Update a UserThe user registration component of the national database will allow user account details tobe maintained. All users should be able to update their own user account information.Some users with a higher level of authorisation will be able to update account details forother users.UseCase IdUC 1.07Name of ProcessUpdate a UserDescription All registered users will be able to click on a ‘My Account Details’ link on thehome page of the National Electrical Equipment database. After logging in, the user’s account details will displayed and the user canupdate their own details and save the new user account information. If the user is a Database Administrator or RA\CB Manager, they will be ableto search for other users, using search criteria fields of ‘First Name’, ‘LastName’, ‘Username’ and ‘User Role’. A Database Administrator will be able to update all user accounts, whereas aRA\CB Manager will be able to update only those users in their ownorganisation. A Database Administrator or a RA\CB Manager will be able to search for auser they wish to update. They will then locate the user in the search resultsand click on a link to view all details for this user. The user accountinformation can then be updated and the new user account information canbe saved.7.1.6. User LoginThe user registration component of the national database will allow authorised users tologin with a username and password.UseCase IdUC 1.08Name of ProcessUser LoginDescription Users will be able to click on a ‘Login’ link on the home page of the NationalElectrical Equipment database. After a valid username and password is entered, the system will grant theuser access to the National Electrical Equipment Database. The functionsand information that will be available will vary depending on the user’s roleand their level of authorisation. If the user enters an invalid username\password combination, an errormessage will be displayed. All users (except for public users) will need to login to the National ElectricalDialog Pty Ltd © Page 24Version 1.2 ACN 010 089 175

NATIONAL ELECTRICAL EQUIPMENT DATABASE(Registration)Analysis and Design DocumentEquipment database.7.1.7. Forgotten PasswordThe user registration component of the national database will allow a new password to beissued to a user who has forgotten their password.UseCase IdUC 1.09Name of ProcessForgotten PasswordDescription All users will be able to click on a ‘Forgotten Password’ link on the homepage of the National Electrical Equipment database. The user will then be able to enter their username, the email address of theiruser account and will also be able to enter the answer to their ‘secretquestion’. After checking the email address and answer against the username, anemail will be sent to the user’s email address. The email will contain atemporary password which can be used for a ‘one time’ login. The user will be forced to change their password, the first time they login.7.1.8. Search UsersThe user registration component of the national database will allow user accounts to besearched. The list of users displayed will vary depending on the role of the logged in user.UseCase IdUC 1.10Name of ProcessSearch UsersDescription A user who is a RA\CB Manager, a Consultant or a Database Administratorwill be able to search for other users, using search criteria fields of ‘FirstName’, ‘Last Name’, ‘Username’ and ‘User Role’. The search results will display a list of one or more user accounts matchingthe search criteria values. The list of user accounts that is displayed will varydepending on the role of the logged in user. A Database Administrator will be able to see all user accounts. A RA\CB Manager will be able to see only those user accounts in their ownorganisation. A Consultant user will be able to see all applicant and responsible supplierusers who have selected them as their preferred consultant. The list of users displayed by the search will be able to be exported to anExcel spreadsheet.Dialog Pty Ltd © Page 25Version 1.2 ACN 010 089 175

NATIONAL ELECTRICAL EQUIPMENT DATABASE(Registration)Analysis and Design Document7.1.1. Cancel a UserThe user registration component of the national database will allow a user account to becancelled.UseCase IdUC 1.11Name of ProcessCancel a UserDescription A user who is an RA\CB Manager or a Database Administrator will be able tocancel a user account. The RA\CB Manager or a Database Administrator will search for the useraccount using search criteria fields of ‘First Name’, ‘Last Name’, ‘Username’and ‘User Role’. The search results will display a list of one or more user accounts matchingthe search criteria values. The list of user accounts that is displayed will varydepending on the role of the logged in user. For a RA\CB Manager, thesearch results will contain only users who belong to their own organisation. The RA\CB Manager or a Database Administrator will locate the user to becancelled and select ‘Cancel’. The status of the user account will be set to Cancelled and the user will nolonger be able to login to the system.7.1.2. Re-activate a User AccountThe user registration component of the national database will allow a cancelled useraccount to be re-activated.UseCase IdUC 1.12Name of ProcessRe-activate a User AccountDescription A user who is an RA\CB Manager or a Database Administrator will be able tore-activate a user account that has been previously cancelled. The RA\CB Manager or a Database Administrator will search for the useraccount using search criteria fields of ‘First Name’, ‘Last Name’, ‘Username’and ‘User Role’. The search results will display a list of one or more user accounts matchingthe search criteria values. The list of user accounts that is displayed will varydepending on the role of the logged in user. For a RA\CB Manager, thesearch results will contain only users who belong to their own organisation. The RA\CB Manager or a Database Administrator will locate the user to becancelled and select ‘Re-Activate’. The status of the user account will be set to ‘Active’ and the user will onceagain be able to login to the system.Dialog Pty Ltd © Page 26Version 1.2 ACN 010 089 175

7.2. Responsible Supplier RegistrationNATIONAL ELECTRICAL EQUIPMENT DATABASE(Registration)Analysis and Design Document7.2.1. Register New Responsible SupplierThe responsible supplier registration component of the national database will allow aresponsible supplier to create a new registration.UseCase IdUC 2.01Name of ProcessRegister a Responsible SupplierDescription A new responsible supplier will be able to click on a ‘Register as a Supplier’link on the home page of the National Electrical Equipment database. Information will be displayed to assist the new supplier to complete theregistration. The new supplier must indicate that they agree beforecontinuing with the registration. The ‘help’ information will include: What contact details are needed Their responsibilities Details of level 1, 2 and 3 equipment How to complete a declaration (Scheme rule information) To register a new responsible supplier, the following information mustentered and then saved: Company details: Company Name Company Address Company Postal Address Supplier Number (ABN or NZ equivalent) – use this as theSupplier Number. Only one supplier registration is allowed foreach ABN (or NZ equivalent).If there is no ABN or NZ equivalent number available, asystem generated unique number will be assigned to thesupplier registration (e.g. ERAC000001) Contact details: Contact Person First Name Contact Person Last Name Contact Person Position Contact Person Email Contact Person Phone Contact Person Mobile Contact Person Fax Preferred Consultant – optionally select from a list of registeredconsultants who have agreed to list their names. Username Password Confirm Password Secret question – to be selected from a list Answer to secret question Only one registration is allowed for each responsible supplier. The systemwill validate the entered information and will check the ABN or NZ equivalentDialog Pty Ltd © Page 27Version 1.2 ACN 010 089 175

NATIONAL ELECTRICAL EQUIPMENT DATABASE(Registration)Analysis and Design Documentnumber of the new supplier against the supplier numbers of existingresponsible suppliers. This will ensure that the supplier number has notalready been registered. A Responsible Supplier Declaration of Conformance (RSDoC) will then beautomatically displayed. This declaration will automatically be populated withthe Supplier Number, and Contact details previously entered. The supplier will be asked to confirm their agreement with this standarddeclaration- i.e. suppliers are asked to confirm that details are correct on theauto populated declaration and to confirm their responsibilities for equipmentthey will be importing. They do this by clicking ‘I agree’.Sample DeclarationI declare that:• The Responsible Suppliers ABN/ NZ equivalent/System generatednumber is: ‘Supplier Number’• NAME is an authorised officer who has been authorised to make thisdeclaration on behalf of the Responsible Supplier.• All Equipment supplied are electrically safe and will continue to meetrelevant standards or in the absence of a specific Australian or NewZealand Standard AS/NZS3820.• All Equipments supplied comply with the EESS and relevant electricalsafety laws. (link to EESS)• Cords, plugs and connectors supplied with all equipment have acurrent Certificate of Conformance for Australia and New Zealand.Company NameName Position ContactDialog Pty Ltd © Page 28Version 1.2 ACN 010 089 175• The Responsible Supplier supplies the following Low Risk (Level1)Equipment in Australia and New Zealand:

NATIONAL ELECTRICAL EQUIPMENT DATABASE(Registration)Analysis and Design Document Once all information is correctly entered and the supplier indicates that theywish to proceed with the registration, a ‘Confirm Registration Details’ pagewill be displayed. The user will be able to confirm the details and proceed topayment or instead return to the supplier registration. When the payment has been successfully completed, the followinginformation will be emailed to the supplier: Payment receipt Copy of the Responsible Supplier Declaration of Conformance(RSDoC) Formal letter advising supplier number. Information regarding Level 2 and Level 3 equipment registration Copy of the Standard AS/NZS4417.2 (- to be decided) Copy of RCM (- to be decided) The supplier will then be able to enter details for all Level 1 equipment thatthey supply. The Equipment Type and Brand will need to be entered.7.2.2. Update a Responsible SupplierThe responsible supplier registration component of the national database will allowresponsible supplier registration details to be maintained. All responsible suppliers shouldbe able to update their own responsible supplier registration information.UseCase IdUC 2.02Name of ProcessUpdate a Responsible SupplierDescription A responsible supplier will be able to login and update their registrationdetails. The Supplier Number (the ABN/ NZ equivalent/System generated number)and Registration Expiry Date cannot be updated. The Company Details, Contact Details, Preferred Consultant, Password, listof Level 1 products and all other details can be updated. When the responsible supplier registration is updated, an email notificationwill be sent to the supplier.Dialog Pty Ltd © Page 29Version 1.2 ACN 010 089 175

7.2.3. Renew a Responsible SupplierNATIONAL ELECTRICAL EQUIPMENT DATABASE(Registration)Analysis and Design DocumentThe responsible supplier registration component of the national database will allowresponsible supplier registrations to be renewed each year.UseCase IdUC 2.03Name of ProcessRenew a Responsible SupplierDescription Thirty days before the expiry date of the registration, a reminder email will besent to the supplier. The responsible supplier will be able to login to the system and renew theregistration. The responsible supplier will be asked to confirm that the contact details arecorrect before being allowed to continue. The contact details can be updatedat this point if required. A Responsible Supplier Declaration of Conformance (RSDoC) will then beautomatically displayed and the user will be asked to confirm their agreementwith this standard declaration- i.e. suppliers are asked to confirm that detailsare correct on the auto populated declaration and to confirm theirresponsibilities for equipment they will be importing. They do this by clicking‘I agree’. Once all information is correctly entered and the supplier user indicates thatthey wish to proceed with the renewal, a ‘Confirm Registration Details’ pagewill be displayed. The user will be able to confirm the details and proceed topayment or instead return to the supplier registration. When the payment has been successfully completed, the followinginformation will be emailed to the supplier: Payment receipt Copy of the Responsible Supplier Declaration of Conformance(RSDoC) The supplier will then be able to update the list of Level 1 equipment if theywish.7.2.4. Expire a Responsible SupplierThe responsible supplier registration component of the national database will expire aresponsible supplier registration if it is not renewed each year. An expired responsiblesupplier registration can later be re-activated.UseCase IdUC 2.04Name of ProcessExpire a Responsible SupplierDescription The responsible supplier registration will automatically be expired if theregistration expiry date has passed and the registration has not beenrenewed. Once the responsible supplier registration has expired, all equipmentDialog Pty Ltd © Page 30Version 1.2 ACN 010 089 175

NATIONAL ELECTRICAL EQUIPMENT DATABASE(Registration)Analysis and Design Documentregistrations for this supplier will also be automatically expired. Once the responsible supplier registration has expired it will no longer beable to be used when registering equipment. Once the responsible supplier registration has expired, the responsiblesupplier user account will be limited and will only be able to be used to loginand re-activate the responsible supplier registration. When the responsible supplier registration expires, an email notification willbe sent to the responsible supplier and also to their preferred consultantnotifying them that the responsible supplier registration has expired.7.2.5. Re-Activate a Responsible SupplierThe responsible supplier registration component of the national database will allow aresponsible supplier registration to be re-activated after it has expired. This will be treatedas similar to a renewal and a fee must be paid.UseCase IdUC 2.05Name of ProcessRe-Activate a Responsible SupplierDescription If a responsible supplier registration has expired, the responsible supplier willbe able to login and re-activate the registration. Re-activation of theregistration is the only system function that is available to a responsiblesupplier whose registration has expired. After the responsible supplier logs in, the registration details will be displayedand the responsible supplier will be asked to confirm that the contact detailsare correct before being allowed to continue. The contact details can beupdated at this point if required. A Responsible Supplier Declaration of Conformance (RSDoC) will then beautomatically displayed and the user will be asked to confirm their agreementwith this standard declaration- i.e. suppliers are asked to confirm that detailsare correct on the auto populated declaration and to confirm theirresponsibilities for equipment they will be importing. They do this by clicking‘I agree’. Once all information is confirmed and the supplier user indicates that theywish to proceed with the re-activation, a ‘Confirm Registration Details’ pagewill be displayed. The user will be able to confirm the details and proceed topayment or instead return to the supplier registration. When the payment has been successfully completed, the followinginformation will be emailed to the supplier: Payment receipt Copy of the Responsible Supplier Declaration of Conformance(RSDoC) The supplier will then be able to update the list of Level 1 equipment if theywish. The expiry date for the responsible supplier registration will be one year fromthe date of re-activation. When the responsible supplier registration expired, all equipmentDialog Pty Ltd © Page 31Version 1.2 ACN 010 089 175

NATIONAL ELECTRICAL EQUIPMENT DATABASE(Registration)Analysis and Design Documentregistrations for this supplier were automatically expired. These equipmentregistrations will now be automatically re-activated once the responsiblesupplier registration has been re-activated. When re-activating the equipmentregistrations, the system will need to check the expiry date of eachequipment registration to make sure that it has not expired.7.2.6. Cancel a Responsible SupplierThe responsible supplier registration component of the national database will allow aresponsible supplier registration to be cancelled. This can only be done by a DatabaseAdministrator.UseCase IdUC 2.06Name of ProcessCancel a Responsible SupplierDescription The Database Administrator will be able to cancel a responsible supplierregistration. The Database Administrator will search for the responsible supplier using thesupplier number or supplier name. The search results will display a list of one or more responsible suppliers thatmatch the search criteria. The Database Administrator will locate the responsible supplier to becancelled and select ‘cancel’. The status of the responsible supplier registration will be set to ‘cancelled’and the responsible supplier will no longer be able to login to the system. All equipment registrations for this supplier will also be automaticallycancelled. When the responsible supplier registration is cancelled, an email notificationwill be sent to the responsible supplier and also to their preferred consultantnotifying them that the responsible supplier registration has been cancelled.7.2.7. Un-Cancel a Responsible SupplierThe responsible supplier registration component of the national database will allow aresponsible supplier registration to be un-cancelled. This can only be done by a DatabaseAdministrator.UseCase IdUC 2.08Name of ProcessCancel a Responsible SupplierDescription The Database Administrator will be able to un-cancel a responsible supplierregistration. The Database Administrator will search for the responsible supplier using theDialog Pty Ltd © Page 32Version 1.2 ACN 010 089 175

supplier number or supplier name.NATIONAL ELECTRICAL EQUIPMENT DATABASE(Registration)Analysis and Design Document The search results will display a list of one or more responsible suppliers thatmatch the search criteria. The Database Administrator will locate the responsible supplier to be reinstatedand select ‘un-cancel’. The status of the responsible supplier registration will be set to ‘Registered’and the responsible supplier will now be able to login to the system. A feemay need to be paid, depending on the expiry date and the period ofcancellation. All equipment registrations for this supplier that have not passed their expirydate will also be automatically un-cancelled. The equipment registrations thathave passed their expiry date will be ‘expired’. When the responsible supplier registration is un-cancelled, an emailnotification will be sent to the responsible supplier and also to their preferredconsultant notifying them that the responsible supplier registration has beenreinstated.7.2.8. Search Responsible SuppliersThe responsible supplier registration component of the national database will allowresponsible supplier registrations to be searched.UseCase IdUC 2.07Name of ProcessSearch Responsible SuppliersDescription A user who is an RA Manager or a Database Administrator will be able tosearch for responsible supplier registrations using search criteria fields –Supplier Number, Company (Supplier) Name, Status, Registration ExpiryDate (search criteria fields to be confirmed). The search results will display a list of one or more responsible supplierregistrations matching the search criteria values. The user will be able to click on an entry in the search results and all theresponsible supplier registration details will be displayed. The list of responsible supplier registrations displayed by the search will beable to be exported to an excel spreadsheet.7.2.9. NotificationsThe notifications feature within the national database will allow applicants and consultantsto login to the national database and view permission requests that are awaiting theirresponse.An applicant who wishes a consultant to undertake work on their behalf will be able to usethe national database to send a request to the consultant. The database will automaticallygenerate an email request from the applicant to a consultant. The email will ask theDialog Pty Ltd © Page 33Version 1.2 ACN 010 089 175

NATIONAL ELECTRICAL EQUIPMENT DATABASE(Registration)Analysis and Design Documentconsultant to create a new application, or renew, modify, or transfer an application on theirbehalf.Similarly, a consultant who wishes to approach an applicant and ask permission toundertake work on their behalf will be able to use the national database to send a requestto the applicant.The notifications feature will operate as a backup to the automated emails by offering analternative way of replying to email permission requests. Applicants and consultants whowish to respond to permission requests can click on a link in the emails. Alternatively, ifthe email has been deleted or overlooked, they can login and access the Notificationspage.UseCase IdUC 3.08Name of ProcessNotificationsDescription The national database will contain a Notifications page that will be availableto applicants and consultants. This page will list any actions or permissions that are waiting for a reply fromthe logged in user. For example:o Request from a consultant to an applicant asking permission to createan application for equipment certification on their behalf.o Request from a consultant to an applicant asking permission to modifyan equipment certification on their behalf.o Request from a consultant to an applicant asking permission to renewan equipment certification on their behalf.o Request to an applicant asking them to agree to the transfer ofequipment certifications from another applicant. Applicants and consultants will be able to click on a Yes\No link to indicate ifthey grant permission. An email will then be sent to the requestor notifying them if permission hasbeen granted.7.2.10. Compliance HistoryA regulatory authority inspector will be able to record a history of compliance interventionsand local level post-market activity. All regulatory authority users will be able to viewcompliance history, but only the regulatory authority inspector will be able to add or modifycompliance history.This compliance history will not be able to be viewed by other users.UseCase IdUC 3.12Name of ProcessCompliance HistoryDescription A regulatory authority user will be able to login to the system and search forDialog Pty Ltd © Page 34Version 1.2 ACN 010 089 175

an equipment certification.NATIONAL ELECTRICAL EQUIPMENT DATABASE(Registration)Analysis and Design Document The user will be able to click on a link in the search results and theequipment certification details will be displayed. The user will indicate they wish to add a compliance history and aCompliance History page will display. To create a Compliance History entry, the following information must beentered: Description – to be selected from a list, mandatory Upload one or more files - optional Comments – optional, free text. The user will be prompted to enter details of any product recall:o Recall Details – mandatory if this entry relates to a product recall- Recall date- Recall reason- Recall details Existing compliance history entries for this certificate will be displayed at thebottom of the page. To modify an existing compliance history entry, the user will be able to selectan entry from the list, update the entry and then save.7.3. Equipment Registration7.3.1. Apply for Equipment RegistrationElectrical equipment that is classified as medium risk (Level 2 equipment) or high risk(Level 3 equipment) will need to be registered on the national database before it can beoffered for sale within Australia. There are differing registration requirements dependingon the risk classification of the equipment.A responsible supplier will be able to login and create an application for equipmentregistration. An authorised consultant will also be able to create an application forequipment registration on behalf of a responsible supplier.UseCase IdUC 4.01Name of ProcessApply for Equipment RegistrationDescription An application for equipment registration can be created either by aresponsible supplier, or by a consultant working on behalf of a responsiblesupplier. The user who creates the application will need to login to thenational database. If the user is a responsible supplier, they will be able to create the applicationand then optionally select a consultant to continue with the registrationprocess. If the user is a consultant, they will need to nominate the responsible supplieron whose behalf they are creating the application. If the consultant is notregistered as the preferred consultant for this responsible supplier, theconsultant will need to request permission from the responsible supplierDialog Pty Ltd © Page 35Version 1.2 ACN 010 089 175

efore they can continue.NATIONAL ELECTRICAL EQUIPMENT DATABASE(Registration)Analysis and Design Document An application for equipment registration will contain the followinginformation:Consultant Details - automatically populated If the application is created by a consultant or is handed over to aconsultant, the consultant details will be automatically populatedonce the consultant’s identity is determined.Supplier Details - automatically populated If the application is created by a responsible supplier, the system willautomatically populate the supplier details from the user account ofthe logged in responsible supplier. If the application is created by a consultant, the consultant will selecta supplier. The supplier details will then be automatically populated. Supplier Name Supplier Number Organisation Name Organisation Address Contact Person First Name Contact Person Last Name Contact Person Email Contact Person Phone Contact Person MobileEquipment Details Equipment Level– to be selected from a list of Level 2 and Level 3equipment types. Equipment Type –automatically populated once the EquipmentLevel is selected. Equipment Release Date – date on which the registered equipmentwill be visible on the public website. This is optional and cannot bea date more than six months in the future. There are differing data requirements depending on the risk classification ofthe equipment being registered. High risk (Level 3) equipment requires acertificate of conformance (CoC) before it can be registered. Therequirements for medium risk (Level 2) equipment are less stringent.Level 3 equipment registration - the following equipment information will beentered by the user or will be automatically populated by the system:Certificate Number – user will enter a certificate number and theequipment details below will automaticallybe populated from the certificate details:o Equipment Typeo Equipment Sub-Type\Descriptiono Accepted as Complying to: AS/NZSo Manufacturero Detailso Model Numbero BrandDialog Pty Ltd © Page 36Version 1.2 ACN 010 089 175

NATIONAL ELECTRICAL EQUIPMENT DATABASE(Registration)Analysis and Design Documento Input (Voltage, Current, Power, Hz)o Output (Voltage, Current, Power, Hz)o Certifier An equipment registration can have a maximum lifespan of five years,however most equipment registrations will be assigned a shorter lifespan.This is due to the fact that they rely on a CoC which itself has a maximumlifespan of five years. A Level 3 registration cannot have a later expiry datethan its CoC. It will be assigned the same expiry date as its CoC. The processing fee for a Level 3 equipment registration will be the sameregardless of the length of the registration. When the user enters thecertificate number for a Level 3 equipment registration payment, a messagewill be displayed showing the processing fee and also the expiry date thatwill be applied to this registration.Level 2 equipment registration - the following equipment information must beentered by the user. Location of Responsible Supplier’s Compliance Folder (RSCF) A link to a site which contains information relating to the suppliercompliance and\or Uploaded document\s relating to supplier compliance (there will bea limit to the size of each uploaded document) Equipment Sub-Type\Description Name of the standard to which the equipment complies Manufacturer Details Model Number Brand Input (Voltage, Current, Power, Hz) Output (Voltage, Current, Power, Hz) A Level 2 equipment registration will automatically be assigned a lifespan offive years.Dialog Pty Ltd © Page 37Version 1.2 ACN 010 089 175

NATIONAL ELECTRICAL EQUIPMENT DATABASE(Registration)Analysis and Design DocumentDeclaration As part of the equipment registration process, the responsible supplier will berequired to confirm their agreement with a standard Declaration ofConformance (RSDoC).Level 3 declaration - the following declaration will be automaticallydisplayed. Certificate number, Name, Position and Contact will beautomatically populated. The user must click on ‘I agree’ before theequipment registration process can continue.I declare that:• The Certificate of Conformance Number for this Equipment is:Certificate number• The Responsible Supplier will ensure the certificate remainscurrent for the life of this registration.• This Equipment is electrically safe and will continue to meet therelevant standards it has been tested to.• This Equipment will remain unchanged in terms of its electricalsafety characteristics.• Where this Equipment is sold under a different trade or brandname than that nominated on the Certificate of Conformance thatit is the same Equipment cited on the certificate.• I am authorised to make this declaration on behalf of theResponsible Supplier.Name Position ContactDialog Pty Ltd © Page 38Version 1.2 ACN 010 089 175

NATIONAL ELECTRICAL EQUIPMENT DATABASE(Registration)Analysis and Design DocumentLevel 2 declaration - the following declaration will be automaticallydisplayed. Location will be automatically populated. The user must click on ‘Iagree’ before the equipment registration process can continue.I declare that:• The location of the Compliance Folder for this Equipment is:Location• The compliance folder will be made available to an electricalsafety inspector within 10 days upon request or shorter periodspecified by the inspector.• The Responsible Supplier will ensure the compliance folderremains current for the life of this registration.• This Equipment is electrically safe and will continue to meet therelevant standards it has been tested to.• This Equipment will remain unchanged in terms of its electricalsafety characteristics.• I am authorised to make this declaration on behalf of theResponsible Supplier.Name Position Contact Once all information is correctly entered, the user can indicate that they wishto proceed with the equipment registration and continue to payment. Once the payment has been successfully processed, the equipmentregistration is completed and a registration number will be automaticallyassigned. The equipment registration number will start with E, the next fournumbers will represent the year, and the last few digits will be a systemassigned number that automatically increments i.e. E200915 = theequipment was the 15th registered in 2009. At the completion of the equipment registration, a message will be displayedwith the following information: Advice that the equipment meets the minimum safety requirementsunder the scheme and that the products are able to be sold underthe new EESS. The equipment registration number – for all registrations coveredby the payment Payment receipt information Details of the RCM In addition, an email will be sent to the responsible supplier (and anyconsultant). The email will contain the following information: Advice that the equipment meets the minimum safety requirementsunder the scheme and that the products are able to be sold underthe new EESS. The equipment registration number – for all registrations coveredby the payment Payment receipt informationDialog Pty Ltd © Page 39Version 1.2 ACN 010 089 175

Details of the RCMNATIONAL ELECTRICAL EQUIPMENT DATABASE(Registration)Analysis and Design Document If no release date is specified, the equipment registration will be immediatelyvisible on the public website. If a release date has been specified, theregistered equipment will not be available on the public website until theequipment release date. During this pre-release period, the equipment registration will be able to beviewed by regulatory authorities, by the responsible supplier and by anyconsultant who was involved in the registration. The release date can also beadjusted during this time.7.3.2. Update Equipment RegistrationA responsible supplier or an authorised consultant will be able to login to the nationaldatabase and update an equipment registration. Responsible suppliers will only be able toupdate a registration that have them listed as the responsible supplier. A consultant willonly be able to update a registration if they have been authorised by the responsiblesupplier.UseCase IdUC 4.02Name of ProcessUpdate Equipment RegistrationDescription A responsible supplier or authorised consultant will be able to login andupdate an equipment registration. Not all equipment registration information will be able to be amended. If an equipment release date is specified and the release date has not yetbeen reached, the release date may be amended. The new release datecannot be earlier than today’s date and must be no later than 6 months fromthe registration date. When an equipment registration is updated, an email notification will be sentto the responsible supplier (and consultant) advising them of the change.7.3.3. Renew an Equipment RegistrationAn equipment registration has a maximum lifespan of five years. Thirty days before theregistration expiry date, a reminder email will be sent to the responsible supplier (and toany consultant who was involved in the original registration).The responsible supplier (or consultant) will able to login to the national database torenew the registration in the thirty days prior to the expiry date. They will also be able torenew the registration during a thirty day grace period following the expiry date. Once thegrace period has passed, the equipment registration will no longer be able to be renewed.UseCase IdUC 4.03Name of ProcessRenew an Equipment RegistrationDialog Pty Ltd © Page 40Version 1.2 ACN 010 089 175

NATIONAL ELECTRICAL EQUIPMENT DATABASE(Registration)Analysis and Design DocumentDescription Thirty days before the expiry date of the registration, a reminder email will besent to the responsible supplier (and to any consultant who was involved inthe original registration). The responsible supplier or consultant will then be able to login to the systemand renew the registration. They will be asked to confirm that all details are correct before continuingwith the renewal. They can update registration details before renewing ifrequired. When renewing an equipment registration, a future release date cannot beentered. The user will be asked to re-select the Equipment Level and Equipment Typeto make sure that the current risk classification of the equipment is displayed. If the equipment registration renewal is for Level 3 equipment, the user willbe asked to re-enter the Certificate Number to ensure that a currentcertificate is being used. A message will then be displayed notifying the userof the remaining lifespan of the equipment certificate on which thisregistration is based. The message will inform the user that the equipmentregistration will automatically be assigned the same expiry date as thecertificate. The message will also display the fee for the registration renewal. If the equipment registration is for Level 2 equipment, the expiry date willautomatically be set to a date five years in the future. A standard Declaration of Conformance (RSDoC) will be automaticallydisplayed and the user will be asked to confirm their agreement with thisdeclaration. After agreeing to the declaration and completing the equipment registration,the user can indicate that they wish to proceed with the registration andcontinue to payment. Once the payment has been successfully processed, the equipmentregistration renewal is completed and the equipment registration number willhave an R appended to it in order to indicate that it has been renewed. At the completion of the renewal, a notification email will be sent to theresponsible supplier (and to any consultant involved in the renewal). Thisemail will contain a payment receipt, the equipment registration number ofthe renewed registration and the new expiry date.7.3.4. Expire an Equipment RegistrationAn equipment registration has a set lifespan and will expire if it is not renewed before itsexpiry date has passed. An equipment registration can also expire if the responsiblesupplier’s registration or the CoC on which it relies expire.The expiry of a registration is an automated process that will occur without user action.UseCase IdUC 4.04Name of ProcessExpire an Equipment RegistrationDialog Pty Ltd © Page 41Version 1.2 ACN 010 089 175

NATIONAL ELECTRICAL EQUIPMENT DATABASE(Registration)Analysis and Design DocumentDescription The equipment registration will automatically be expired if the registrationexpiry date has passed and the registration has not been renewed. An equipment registration is created on behalf of a responsible supplier. Anequipment registration will be automatically expired if the responsiblesupplier’s registration expires. A Level 3 equipment registration is dependent on a CoC. The equipmentregistration will be automatically expired if the CoC expires. When an equipment registration expires, an email notification will be sent tothe responsible supplier (and to any consultant involved in the registration).The email will notify the recipient that the registration has expired and thereason for the expiry. If the registration has expired because its expiry datehas passed, the email will notify the recipient that there is a thirty day graceperiod during which the registration can still be renewed.7.3.5. Re-Activate an Equipment RegistrationWhen a responsible supplier registration expires, all equipment registrations for thissupplier are also automatically expired. If the responsible supplier registration is later reactivated,these equipment registrations will also be re-activated. The re-activation of anequipment registration is an automated process that will occur without user action.UseCase IdUC 4.05Name of ProcessRe-Activate an Equipment RegistrationDescription An equipment registration can be automatically re-activated if its responsiblesupplier registration is re-activated. Before re-activating the equipment registration, the expiry date of theregistration will be checked. If the expiry date has passed, the equipmentregistration cannot be re-activated. An equipment registration that is re-activated retains its original expiry date.There is no payment involved in re-activating an equipment registration. When an equipment registration is successfully re-activated, an emailnotification will be sent to the responsible supplier (and to any consultantinvolved in the registration). The email will notify the recipient that theregistration has been re-activated.7.3.6. Cancel an Equipment RegistrationA Database Administrator will be able to manually cancel an equipment registration at anytime. In addition, there will be several events that will cause an equipment registration tobe automatically cancelled.If the responsible supplier’s registration is cancelled or the CoC linked to this registrationis cancelled, the equipment registration itself will be cancelled.Dialog Pty Ltd © Page 42Version 1.2 ACN 010 089 175

NATIONAL ELECTRICAL EQUIPMENT DATABASE(Registration)Analysis and Design DocumentUseCase IdUC 4.06Name of ProcessCancel an Equipment RegistrationDescription An equipment registration is created on behalf of a responsible supplier. Theequipment registration will automatically be cancelled if the responsiblesupplier’s registration is cancelled. A Level 3 equipment registration is dependent on a CoC. The equipmentregistration will be automatically cancelled if the CoC is cancelled. When an equipment registration is cancelled, an email notification will besent to the responsible supplier (and to any consultant involved in theregistration). The email will notify the recipient that the equipment registrationhas been cancelled.7.3.7. Grandfather Equipment RegistrationGrandfathered is a term used when a product standard has changed, and the product nolonger meets the current standard. Grandfathered products can no longer be imported ormanufactured but suppliers are allowed to sell existing stock in the country. Equipmentregistrations that relate to a product whose standard has changed cannot be renewed orextended. These equipment registrations will be marked as grandfathered.Equipment registrations are subject to annual review and an equipment registration canonly be marked as grandfathered on its anniversary date.UseCase IdUC 4.07Name of ProcessGrandfather Equipment RegistrationDescription If a product standard changes, the database administrator will be able tologon to the national database and nominate one or more equipmentregistrations that are to be grandfathered. The database administrator will select an equipment type from a list of allLevel 2 and Level 3 equipment types and will indicate that this equipmenttype is to be grandfathered. All equipment registrations with the selectedequipment type will be marked as grandfathered. For each individualequipment registration, this will not take effect until the anniversary of itsregistration is reached. Once an equipment registration is grandfathered, it can no longer berenewed or extended.7.3.8. Shorten Equipment RegistrationDialog Pty Ltd © Page 43Version 1.2 ACN 010 089 175

NATIONAL ELECTRICAL EQUIPMENT DATABASE(Registration)Analysis and Design DocumentThe lifespan of an equipment registration may need to be reduced. A databaseadministrator will be able to logon to the national database and enter a new expiry date forthe equipment registration.UseCase IdUC 4.08Name of ProcessShorten Equipment RegistrationDescription The database administrator will be able to logon to the national database andsearch for and view an equipment registration whose lifespan is to bereduced. The database administrator will indicate that they wish to shorten theregistration period. The expiry date will become available for editing and the databaseadministrator will enter a new expiry date and save. The new expiry datemust be earlier than the original expiry date. When an equipment registration is shortened, an email notification will besent to the responsible supplier (and consultant) advising them of thechange.7.3.9. Transfer an Equipment RegistrationThe national database will allow an equipment registration for a responsible supplier to betransferred to a different responsible supplier.UseCase IdUC 4.09Name of ProcessTransfer an Equipment RegistrationDescription The database administrator will be able to logon to the national database andsearch for and view an equipment registration that is to be transferred. The database administrator will indicate that they wish to transfer theequipment registration and will be able to select a new responsible supplierfrom a list of all responsible suppliers with current registrations. The company name and contact details of the new responsible supplier willbe displayed for confirmation purposes and the database administrator canindicate that they wish to complete the transfer. The equipment registration will be transferred to the new responsible supplierand the transfer will be recorded in the equipment registration history. An email notification will be sent to the old and new responsible suppliers(and to any consultant involved in the equipment registration).7.3.10. Transfer all Equipment RegistrationsDialog Pty Ltd © Page 44Version 1.2 ACN 010 089 175

NATIONAL ELECTRICAL EQUIPMENT DATABASE(Registration)Analysis and Design DocumentThe national database will allow all equipment registrations for a responsible supplier tobe transferred to a different responsible supplier.UseCase IdUC 4.10Name of ProcessTransfer all Equipment RegistrationsDescription The database administrator will be able to logon to the national database andsearch for the supplier whose equipment registrations are to be transferred. The database administrator will indicate that they wish to transfer all theresponsible supplier’s equipment registrations and will be able to select anew responsible supplier from a list of responsible suppliers with currentregistrations. The company name and contact details of the new responsible supplier willbe displayed for confirmation purposes and the database administrator canindicate that they wish to complete the transfer. All equipment registrations belonging to the original responsible supplier willbe automatically transferred to the new responsible supplier. The transfer willbe recorded in the equipment registration history in each of the registrations. The list of Level 1 products from the original responsible supplier‘sregistration will be copied across and appended to the list of Level 1 productsin the new responsible supplier’s registration. A message will be displayedasking the user if they wish to amend the combined list or else accept the list‘as is’. If the user indicates that they wish to amend the combined the list, theresponsible supplier’s registration will be displayed with the new combinedlist of level 1 products. The user can remove any duplicates and save thenew list. An email notification will be sent to the old and new responsible suppliers.7.3.11. Public Equipment Registration SearchMembers of the public, retailers and other interested parties will be able to access theERAC website and click on a link to search for equipment registrations. They will not needto login to the national database.UseCase IdUC 4.11Name of ProcessPublic Equipment Registration SearchDescription A member of the public will be able to click on a ‘Search’ link on the ERACwebsite and a public search page will display showing two options – ‘PublicSearch’ and ‘Retailer Search’.Public Search optiono If the user selects ‘Public Search’, a search page will display showing theDialog Pty Ltd © Page 45Version 1.2 ACN 010 089 175

NATIONAL ELECTRICAL EQUIPMENT DATABASE(Registration)Analysis and Design Documentfollowing search criteria fields: Equipment Type list – the list will display equipment types for allLevel 2 and Level 3 products. The last entry in the list will be‘Other’. Brand Model Numbero The user will select a value for Equipment Type, enter a value for Brandand Model Number and then select ‘Search’The search results will display a list of equipment registrations thatmatch the Type, Brand and Model Number. Each entry in the searchresults list will show the Brand and Model Number of the registration.If the user selects ‘Other’ from the Equipment Type list, a message willbe displayed indicating that ‘Low Risk’ (Level1) products do not need tobe registered. The message will advise the user that they should look forthe RCM mark on products that they wish to purchase.Retailer Search option If the user selects ‘Retailer Search’, a search page will display showing twoadditional search options – Search by Equipment’ and ‘Search by Supplier’.Search by Equipmento If the user selects ‘Search by Equipment’, a search page will displayshowing the following search criteria fields: Equipment Type list (optional) – the list will display equipmenttypes for all Level 2 and Level 3 products, along with theirassigned level (see below). The last entry in the list will be‘Other’. Brand - optional Model Number - optionalo The user will select a value for Equipment Type, enter a value for Brandand Model Number and then select ‘Search’The search results will display a list of equipment registrations thatmatch the Type, Brand and Model Number. Each entry in the searchresults list will show the Brand and Model Number of the registration aswell as the Responsible Supplier.o If the user selects ‘Other’ from the Equipment Type list a message will bedisplayed indicating that ‘Low Risk’ (Level1) products do not need to beregistered. The message will advise the user that they should look forthe RCM mark on products that they wish to purchase.Search by Suppliero If the user selects ‘Search by Supplier’, a search page will displayshowing the following search criteria fields: Responsible Supplier Name – select from a list of responsibleDialog Pty Ltd © Page 46Version 1.2 ACN 010 089 175

NATIONAL ELECTRICAL EQUIPMENT DATABASE(Registration)Analysis and Design Documentsuppliers Responsible Supplier Number – user can enter a numbero The user will select a responsible supplier name or enter a suppliernumber and select ‘Search’.The search results will display a list of equipment registered by thespecified supplier. Each entry in the search results list shows the Brand,Model Number and Registration Expiry Date of all Level 2 and Level 3products registered by the supplier. The list of equipment registrations displayed by the search will be able to beexported to an Excel spreadsheet.7.3.12. Regulator Equipment Registration SearchRegulatory Authority users will be able to login to the national database and search forequipment registrations.UseCase IdUC 4.12Name of ProcessRegulator Equipment Registration SearchDescription A regulatory authority user will be able to logon to the national database andselect ‘Search Equipment Registrations’. A search page will display showing two options – Search by Equipment’ and‘Search by Supplier’.Search by Equipment If the user selects ‘Search by Equipment’, a search page will display showingthe following search criteria fields: Equipment Type list (optional) – the list will display equipmenttypes for all Level 2 and Level 3 products, along with theirassigned level (see below). The last entry in the list will be‘Other’. Brand - optional Model Number - optional The user will select a value for Equipment Type, enter a value for Brand andModel Number and then select ‘Search’.The search results will display a list of equipment registrations that match theType, Brand and Model Number. Each entry in the search results list willDialog Pty Ltd © Page 47Version 1.2 ACN 010 089 175

NATIONAL ELECTRICAL EQUIPMENT DATABASE(Registration)Analysis and Design Documentshow the Brand, Model Number and Responsible Supplier of the equipment.For Level 3 equipment, the Certifier and Certificate Number will also bedisplayed. For Level 2 equipment, the location of the responsible suppliercompliance folder will instead be displayed. If the user selects ‘Other’ from the Equipment Type list, the Equipment Typeselection list will be replaced with an Equipment Type data entry field and theModel number field will no longer be displayed.The user will enter a value for Equipment Type and\or Brand and select‘Search’ to search all responsible supplier registrations for low risk (Level 1)products by Type and\or Brand. The search results will display a list ofresponsible suppliers who supply Level 1 products of the specified Typeand\or Brand.Search by Supplier If the user selects ‘Search by Supplier’, a search page will display showingthe following search criteria fields: Responsible Supplier Name – select from a list of responsiblesuppliers Responsible Supplier Number – user can enter a number The user will select a responsible supplier name or enter a supplier numberand select ‘Search’.The search results will display a list of equipment registered by the specifiedsupplier. Each entry in the search results list will show the Brand, ModelNumber and Registration Expiry Date of all Level 2 and Level 3 productsregistered by the supplier. The list of equipment registrations displayed by each search will be able tobe exported to an Excel spreadsheet.7.3.13. Certifying Body Equipment Registration SearchCertifying Body users will be able to login to the national database and search for Level 3equipment registrations. A Certifying Body will only be able to view equipmentregistrations that are based on certificates issued by their organisation. Equipmentregistrations that are based on certificates issued by other certifiers will not be displayed.UseCase IdUC 4.13Name of ProcessCertifying Body SearchDescription A certifying body user will be able to logon to the national database andselect ‘Search Equipment Registrations’. A search page will display showing two options – Search by Equipment’ andDialog Pty Ltd © Page 48Version 1.2 ACN 010 089 175

NATIONAL ELECTRICAL EQUIPMENT DATABASE(Registration)Analysis and Design Document‘Search by Certificate’.Search by Equipment If the user selects ‘Search by Equipment’, a search page will display showingthe following search criteria fields: Equipment Type list –the list will display equipment types for allLevel 3 products (see below). Brand Model Number The user will select a value for Equipment Type, enter a value for Brand andModel Number and then select ‘Search’.The search results will display a list of equipment registrations that matchthe Type, Brand and Model Number. Each entry in the search results list willshow the Type, Brand, Model Number, Certificate Number (issued by theCB) and Responsible Supplier of the equipment.Search by Certificate If the user selects ‘Search by Certificate’, a search page will display showingthe following search criteria fields: Certificate Number list – select from a list of CoC numbersissued by the certifying body Certificate Number – user can enter a CoC number The user will select a CoC number or enter a CoC number and select‘Search’.The search results will display a list of equipment registrations that used thespecified CoC. Each entry in the search results list will show the Type,Brand, Model Number, Certificate Number and Responsible Supplier of theequipment. The list of equipment registrations displayed by each search will be able tobe exported to an Excel spreadsheet.7.3.14. Un-Cancel an Equipment RegistrationIf a responsible supplier registration is cancelled, all equipment registrations for thissupplier are also automatically cancelled. If the responsible supplier registration is laterun-cancelled, these equipment registrations will also be un-cancelled. The un-cancellationof an equipment registration is an automated process that will occur without user action.UseCase IdName of ProcessDialog Pty Ltd © Page 49Version 1.2 ACN 010 089 175

NATIONAL ELECTRICAL EQUIPMENT DATABASE(Registration)Analysis and Design DocumentUC 4.14Un-Cancel an Equipment RegistrationDescription An equipment registration can be automatically un-cancelled if itsresponsible supplier registration is un-cancelled. Before un-cancelling the equipment registration, the expiry date of theregistration will be checked. If the expiry date has passed, the equipmentregistration cannot be un-cancelled. An equipment registration that is un-cancelled retains its original expiry date.A fee may need to be paid, depending on the expiry date and the period ofcancellation. When an equipment registration is successfully un-cancelled, an emailnotification will be sent to the responsible supplier (and to any consultantinvolved in the registration). The email will notify the recipient that theregistration has been un-cancelled.7.4. Payment ProcessingThe national database will accept and process payments for responsible supplierregistrations, for equipment certifications and for equipment registrations.UseCase IdUC5.01Name of ProcessPayment ProcessingDescription The payee will open the shopping cart and view the contents. If the contentsof the Shopping Cart are correct, the payee can click the “Proceed toPayment” button to pay for the items. All payment information will be in AUD. Optional: If the payee needs to add more items to the cart before paymentthey will need to click the “Add Additional Transaction” button and they willbe returned to the national database. Note: A responsible supplier registration payment is always treated as asingle transaction payment. Once the payee has decided to proceed with payment, a warning page willdisplay reminding the payee not to close the browser window during thepayment process. The user can then click on the “Continue” button. The user is taken to the CBA (Commonwealth Bank Australia) paymentportal.Note: The final decision on which payment processing portal to be used bythe National database will be determined by ERAC at a later date. Otherpayment options such as Paypal and BPay may be considered. The CBA portal will request the payee to select a payment type (Visa orMasterCard). The CBA portal will display a screen with the payment details shown (amountand recipient) and will request the payee to enter their Credit Card details(credit card number, expiry date and CSV number).Dialog Pty Ltd © Page 50Version 1.2 ACN 010 089 175

NATIONAL ELECTRICAL EQUIPMENT DATABASE(Registration)Analysis and Design Document The CBA portal will process the payment. If the payment is successful thepayee will be passed back to the national database and a receipt page willbe displayed. Optional: The payee can print the receipt by clicking on the “Print Receipt”button should they wish a permanent hard copy record.Dialog Pty Ltd © Page 51Version 1.2 ACN 010 089 175

NATIONAL ELECTRICAL EQUIPMENT DATABASE(Registration)Analysis and Design Document7.5. Automatic Email NotificationsMany of the processes within the National Electrical Equipment Database willautomatically generate email notifications. These emails are listed below:7.5.1. User Registration Emails New user welcome email – contains username, temporary password and alink to the national database login page. Forgotten password email – contains a temporary new password and a linkto the national database login page. This email will be sent to a user whohas forgotten their password.7.5.2. Responsible Supplier Registration EmailsThe emails below will be sent to a responsible supplier: Notification that a responsible supplier registration has been completed. Notification that responsible supplier details have been updated. Reminder to renew a responsible supplier registration – sent 30 days priorto the expiry date. Notification that a responsible supplier registration renewal is completed. Notification that a responsible supplier registration has expired. Notification that a responsible supplier registration has been cancelled. Notification that a responsible supplier registration has been un-cancelled.7.5.3. Equipment Registration EmailsThe emails below will be sent either to responsible suppliers or consultants whoare involved in creating an application for equipment registration. Notification email to a responsible supplier at the completion of anequipment registration. Notification to a responsible supplier that equipment registration detailshave been updated. Reminder to a responsible supplier to renew an equipment registration –sent thirty days prior to the expiry date. Notification that equipment registration renewal has been completed. Notification that equipment registration has expired. Notification that equipment registration has been cancelled. Notification that equipment registration has been un-cancelled.7.5.4. Consultant EmailsThe emails below will be sent to (or from) a consultant who is working as anauthorised representative for an applicant or a responsible supplier:Dialog Pty Ltd © Page 52Version 1.2 ACN 010 089 175

NATIONAL ELECTRICAL EQUIPMENT DATABASE(Registration)Analysis and Design Document Email to a consultant asking them to initiate or continue an equipmentcertification process. Email from a consultant accepting or declining a request to initiate orcontinue an equipment certification process. Email to an applicant requesting that a consultant be granted permission tocreate and complete an application for equipment certification on theirbehalf. Email to a consultant asking them to initiate or continue an equipmentregistration process. Email from a consultant accepting or declining a request to initiate orcontinue an equipment registration process. Email to a responsible supplier requesting that a consultant be grantedpermission to create and complete an application for equipment registrationon their behalf. Email to the preferred consultant of a responsible supplier notifying themthat the responsible supplier registration has been has expired. The emailshould inform the consultant that they will not be able to undertake work onbehalf of the supplier unless the registration is re-activated. Email to the preferred consultant of a responsible supplier notifying themthat the responsible supplier registration has been has been cancelled.The email should inform the consultant that they will no longer be able toundertake work on behalf of the supplier.7.6. Manually Generated EmailsThe national database will allow regulators to create and send ad-hoc emails from withinthe system. These emails will be manually created and sent when required.e.g. an email could be sent to responsible suppliers informing them of standards changesthat impact their equipment registrations.A Regulatory Authority Manager will be able to select one or more user types from thefollowing list: Applicants Consultants Certifying Bodies Regulatory Authorities Responsible SuppliersThe Regulatory Authority Manager will then be able to enter an email subject and emailcontent and select ‘send”. The system will locate all users of the specified user type andsend the email to them.7.7. ReportsThe reports listed below will be available from the national database. Each report will haveseveral report criteria fields available such as date range, certifying body, regulatoryauthority, responsible supplier.There will be an export facility available from all reports to enable ad-hoc reportingfunctionality. Report contents will be able to be exported to an Excel spreadsheet.Dialog Pty Ltd © Page 53Version 1.2 ACN 010 089 175

7.7.1. Equipment Registration ReportsNATIONAL ELECTRICAL EQUIPMENT DATABASE(Registration)Analysis and Design Document Level 3 Registrations Statistics report- for each financial year, will show the number of Level 3 equipmentregistrations and the money collected for these registrations. Thisreport will only be available to a Database Administrator. Level 2 Registrations Statistics report- for each financial year, will show the number of Level 2 equipmentregistrations and the money collected for these registrations. Thisreport will only be available to a Database Administrator.7.7.2. Responsible Supplier Reports Responsible Supplier Statistics Report- for each responsible supplier, will show the number of equipmentregistrations and the money collected for their equipmentregistrations.7.7.3. Regulatory Authority reports- To be defined7.8. HistoryThe system should record a history of changes made to critical system data, particularlythose that mark a lifecycle change of a responsible supplier registration, an equipmentcertification or an equipment registration.RequirementResponsible SupplierRegistration HistoryDefinition Provide a history of all status changes to a responsiblesupplier registration (record the date, username, new valueof status and reason for status change). This will enable any lapses in registration to be visible. This history data can be viewed by the DatabaseAdministrator, Regulatory Authorities and the ResponsibleSupplier.Equipment RegistrationHistory Provide a history of all status changes to an equipmentregistration (record the date, username, new value of statusand reason for status change). Provide a history of all changes made to an equipmentregistration expiry date (record the date, username andvalue of expiry date before and after the change). Provide a history of all changes (other than status andexpiry date) made to an equipment registration (record thedate, username and value before and after a change). Provide a history of any transfer of an equipmentregistration from one responsible supplier to a newDialog Pty Ltd © Page 54Version 1.2 ACN 010 089 175

NATIONAL ELECTRICAL EQUIPMENT DATABASE(Registration)Analysis and Design Documentresponsible supplier (record the date, username and valueof responsible supplier before and after a change). This history data can be viewed by the DatabaseAdministrator, Regulatory Authorities and the ResponsibleSupplier.7.9. AdministrationThe administration component of the National Electrical Equipment Database willallow system reference data to be set-up and maintained.Some of the reference data that will be needed in the national database is listedbelow: OrganisationsMaintain a list of all Regulatory Authorities and Certifying Bodies. This willinclude organisation information such as- Organisation Name- Organisation Address- Organisation Email- Organisation Phone- Organisation Fax- Affiliated Equipment Types Equipment Sub-Types Suburb\Postcodes Fees for payments – need to be able to store multiple equipmentcertification fees for each RA and CB. Triggers- Number of days prior to the expiry date of the responsible supplierregistration\equipment certification\equipment registration expiry datethat a renewal reminder email is sent.- Grace period for equipment registration renewal GST rate AS/NZS4417 types and classifications for equipment Other keyword maintenance for drop-downs7.10. Conversion of data from existing systems (one-off process)The table below lists each type of data that will be required in the new national database.Before the new database can be operational, equipment certification data will need to betransferred from computer based systems that manage this data in the different Australianstates. Data conversion programs and processes will need to be developed for the datafrom each state. Other data that is needed in the new national database can be created‘from scratch’ using functionality within the new national database.Dialog Pty Ltd © Page 55Version 1.2 ACN 010 089 175

NATIONAL ELECTRICAL EQUIPMENT DATABASE(Registration)Analysis and Design DocumentThe data source column in the table below briefly describes how each type of data will becreated or will be transferred from existing systems and processes into the new nationaldatabase.Nr. Type of Data Dataconversionprogramrequired?1. Equipment Certification yesdata2. Users - applicants andconsultants currentlyregistered with ESV’sApprovals databaseyesData Source Victoria’s equipment certificationdata will need to be transferred fromESV’s Approvals database to thenew national database. Data from other states will need tobe transferred from a variety ofcomputer based or paper basedsystems. Applicants and consultants usingESV’s Approvals database will needto be transferred to the new nationaldatabase.3. Other Users no All other applicants and consultantswill need to create new useraccounts by self-registering withinthe new national database.4. Regulatory Authorityreference datano The Database Administrator willcreate one new user account foreach Regulatory Authority andCertifying Body. The first user created for eachRegulatory Authority and CertifyingBody will be able to login to the newnational database and create allother user accounts for theirorganisation.The Database Administrator will useadministration functions within the newnational database to enter allorganisation details for each RegulatoryAuthority.5. Certifying Bodyreference datanoThis will include a field which willindicate if the Regulatory Authority isaffiliated.The Database Administrator will useadministration functions within the newnational database to enter allorganisation details for each CertifyingBody.This will include a field which willindicate if the Certifying Body isDialog Pty Ltd © Page 56Version 1.2 ACN 010 089 175

NATIONAL ELECTRICAL EQUIPMENT DATABASE(Registration)Analysis and Design DocumentNr. Type of Data Dataconversionprogramrequired?6. Equipment Typereference dataLevel 3 datanoData Sourceaffiliated.The Database Administrator will useadministration functions within thenational database to enter EquipmentTypes for all Level 3 products andassign them as high risk.Level 2 data no The Database Administrator will useadministration functions within thenational database to enter EquipmentTypes for all Level 2 products andassign them as medium risk.7. Equipment Sub-Types no The Database Administrator will be ableto use administration functions within thenational database to select anyequipment type and then enter a seriesof equipment sub-types.8. Suburb, Postcodereference datayesA list of suburbs and postcodes willneed to be imported from Australia Post.9. Fees no The Database Administrator will useadministration functions within thenational database to enter fees for allpayment types.Dialog Pty Ltd © Page 57Version 1.2 ACN 010 089 175

NATIONAL ELECTRICAL EQUIPMENT DATABASE(Registration)Analysis and Design Document7.11. Data Volumes – approximate onlyDataVolumeNumber of Responsible Suppliers Up to 10,000Number of Regulatory Authorities 9Number of Certifying Bodies 15Number of Certifying Body Users 15Number of Certifying Bodies who willupload equipment certificationsNumber of equipment certifications to beuploaded each day by each CertifyingBodyNumber of Regulatory Authority users foreach Regulatory AuthorityNumber of Applicant users 15,000Number of Consultant users 200Number of Equipment CertificationsNumber of Equipment RegistrationsNumber of Level 2 equipmentregistrationsNumber of Level 3 equipmentregistrationsNumber of Level 1 products15Expected to be 10-30 per dayRA Manager = 1-2RA Senior Certifier = 1-5RA Certifier = 1-10RA Inspector – to be confirmed8,000 – 10,000 each year10,000 – 15,000 each year15,000 – 25,000 at any one time40,000 – 50,000 at any one timeMany thousandsNumber of Level 3 Equipment Types Approximately 40Number of Level 2 Equipment Types Approximately 20Number of Level 1 Equipment Typesto be confirmed7.12. Non Functional Requirements7.12.1. Help Documentation Field-level help should be provided with mouse-over or pop-ups. Thecontent of this help should be able to be managed by the DatabaseAdministrator. Screen-level help should be provided, with a Help symbol to be displayedon each screen within the new national database. Clicking on this symbolwill display help information for the screen. The content of this screen levelhelp should be able to be managed by the Database Administrator.Dialog Pty Ltd © Page 58Version 1.2 ACN 010 089 175

NATIONAL ELECTRICAL EQUIPMENT DATABASE(Registration)Analysis and Design Document7.12.2. Backup/RecoveryThe new National Electrical Equipment Database is to be hosted centrally. Thehosting environment will need to include full backup and recovery for all systemcomponents and data.7.12.3. Interface requirementsThe national database may need to provide an interface in order to retrievecompany information from the Australian Tax Office (ATO). Companyinformation can be provided by the ATO once an ABN has been entered. Thiswill reduce the likelihood of incorrect ABNs being entered by responsiblesuppliers.7.12.4. System UsabilityThe National Electrical Equipment Database should provide an intuitive, easy touse solution with consistent navigation and logical screen flow. There should beconsistent behaviour of user interface components such as buttons, links, lists,sorting and paging. The system should include the following characteristics On-line help and /or tool-tips As much data as possible to be provided by default Email contact for further support Prompts where necessary Searching will allow the entry of partial search terms and will not be casesensitive.7.12.5. SecurityAll users of the National Electrical Equipment Database, (except public users)will be granted access to the database only after a user account has beencreated for them. They will need to enter a user id and password in order tologin and access the database.The login and authentication process will establish their user role, theorganisation to which they belong (for Regulatory and Certifying Body users)and any other levels of access granted to them when their user role wascreated.Each user will be granted access only to those business processes and datathat is defined by their role and their organisation.7.12.6. MaintainabilityThe National Electrical Equipment Database should be designed and developedwith maintainability in mind. The system must not hard code data values and allreference data should be maintainable by the Database Administrator.Dialog Pty Ltd © Page 59Version 1.2 ACN 010 089 175

7.12.7. AuditNATIONAL ELECTRICAL EQUIPMENT DATABASE(Registration)Analysis and Design DocumentThere is a requirement to be able to identify who has made changes to thedatabase. An audit function within the new database should record all new ordata modifications in the database. An Administration Audit screen will enablethe Database Administrator to view this audit information.7.12.8. Archiving – data retentionArchiving of data may be a future requirement, but this is not included in theinitial scope of the national database.7.12.9. PlatformThe new National Electrical Equipment Database is to be a web based systemthat will incorporate the existing functionality of ESV’s Approvals Database. TheESV Approvals database is a .NET V2.0, MS SQL Server 2005 application. Thesolution for the new National Electrical Equipment Database should minimisethe changes that need to be made to the existing ESV Approvals database.7.12.10. AvailabilityThe system will be used by registered users and members of the public and willpotentially have a large number of users located outside Australia in differingtime zones. The system must be therefore available 24 X 77.12.11. Browser compatibilityThe National Electrical Equipment Database is to be a web based system thatmust run on browsers IE 6, Firefox 2, Safari 3, or later.Dialog Pty Ltd © Page 60Version 1.2 ACN 010 089 175

8. APPENDIX A – MID LEVEL BPMN DIAGRAMSNATIONAL ELECTRICAL EQUIPMENT DATABASE(Registration)Analysis and Design DocumentDialog Pty Ltd © Page 61Version 1.2 ACN 010 089 175

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NATIONAL ELECTRICAL EQUIPMENT DATABASE(Registration)Analysis and Design DocumentSlide 7:Update a UserSlide 11: Cancel a UserDoes theUser Exist?NoEnd of ProcessStartStartUse Case Details:Name: Update a UserNo.: UC 1.07User Logs in, searchesfor the userSearch resultsdisplayedYesUser selects theappropriate user,makes the requiredchanges and clicks‘Save’New user saved andlist of users redisplayedEnd of ProcessDatabase Administratorlogs in and Searchesfor a UserSearch resultsdisplayedUSER REGISTRATION (2)Slide 8:StartUse Case Details:Name: User LoginNo.: UC 1.08Slide 9:StartUse Case Details:Name: Forgotten PasswordNo.: UC 1.09User LoginUser selects‘Log In’Forgotten PasswordUser selects ‘ForgottenPassword’ and enters theirusername, their emailaddress the Answer to theirSecret Question.Login page displayedTemporary passwordgenerated and emailsentUser enters theirusername andpasswordEmail with temporarypasswordsent to userUser logs in using thetemporary passwordand resets theirpasswordNew User?NoYesNew password savedand email sent to userEnd of ProcessNew user logs in,changes theirpassword and enters aSecret Question andAnswerPassword resetemail sent to userEnd of ProcessEnd of ProcessUse Case Details:Name: Cancel a UserNo.: UC 1.11User selects the userand cancels theiraccountUser registration statusis changed to‘Cancelled’End of ProcessSlide 12: Re-Activate a UserStartDatabase Administratorlogs in and Searchesfor a UserSearch resultsdisplayedUser selects the userand re-activates theiraccountSlide 10:Search UsersUser registration statusis changed to ‘Active’NoEnd of ProcessEnd of ProcessStartUser logs in andsearches for a userSearch resultsdisplayedExport UserDetails?YesUser Initiatesthe Export toMS ExcelEnd of ProcessUse Case Details:Name: Re-Activate a UserNo.: UC 1.12Use Case Details:Name: Search UsersNo.: UC 1.10Approver:Analyst:Last Edited:DialogRobert Molle12/03/2010Owner:Author: PostlDocument ID:Dialog Pty Ltd © Page 63Version 1.2 ACN 010 089 175

NATIONAL ELECTRICAL EQUIPMENT DATABASE(Registration)Analysis and Design DocumentSlide 1:Register New Responsible SupplierRESPONSIBLE SUPPLIER REGISTRATION (1)StartUse Case Details:Name: Register New Responsible SupplierNo.: UC 2.01Slide 2:StartUse Case Details:Name: Update Responsible SupplierNo.: UC 2.02Slide 3:StartUse Case Details:Name: Renew Responsible SupplierNo.: UC 2.03Slide 4:StartUse Case Details:Name: Expire a Responsible SupplierNo.: UC 2.04User clicks on ‘Registeras a Supplier’ link onERAC websiteUpdate Responsible SupplierUser logs in, searchesfor their RSRegistration & selectsEditRenew Responsible SupplierUser searches for theirRS Registration &updates theirinformation and savesExpire a Responsible SupplierExpiry Warning Noticeemailed to the RS andconsultant30 days beforeexpiry dateNew RS registrationpage displayedRS registration pagedisplayedRS registration pagedisplayedWait untilexpiry dateSystem expires the RSRegistration.User enters theCompany andContact DetailsUser makes therequired changesand savesUser agrees to theirresponsibilities andDeclarationRS Registration statusset to ‘Expired’`Expiry notificationsent to RS andconsultantRS Registration pageredisplayedChanges saved andemail sent‘RS RegistrationUpdated’ email sent toRS and consultantEnd of Process:Go to Slide 8System expires allequipment registrationsfor this RSExpiry notificationsent to RS andconsultantUser adds PreferredConsultant & agrees totheir responsibilities &Declaration & addsLevel 1 items (Optional)End of ProcessEnd of processEnd of Process:Go to Slide 8Approver:Leigh PostAnalyst:Robert MolleLast Edited:12/03/2010Owner:ERACAuthor: ERAC &Robert MolleDocument ID:Mid Level V 0.3Dialog Pty Ltd © Page 64Version 1.2 ACN 010 089 175

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NATIONAL ELECTRICAL EQUIPMENT DATABASE(Registration)Analysis and Design DocumentEQUIPMENT CERTIFICATION (2)Dialog Pty Ltd © Page 68Version 1.2 ACN 010 089 175

NATIONAL ELECTRICAL EQUIPMENT DATABASE(Registration)Analysis and Design DocumentSlide 10:Public Equipment Certification SearchNoNoEnd of ProcessStartUse Case Details:User EntersSearch Criteria &Initiates SearchSearch resultsdisplayedUser Selectsthe RequiredCertificationEquipment profiledisplayedPrint SearchResults?YesUser Print theEquipmentCertificationListExport UserDetails?YesUser Initiatesthe Export toMS ExcelEnd of ProcessEQUIPMENT CERTIFICATION (3)Name: Public Equipment Certification SearchNo.: UC 3.10Slide 11:StartRegulator & Certifying Body Equipment Certification SearchUser logs in, enterssearch criteria &initiates searchUse Case Details:Name: RA & CB Equipment Certification SearchNo.: UC 3.11Slide 12:StartUse Case Details:Name: Compliance HistoryNo.: UC 3.12Compliance HistoryRA user logs in &searches for anequipment certificationSearch resultsdisplayedSearch results are limitedby the users access rightsSearch resultsdisplayedPrint SearchResults?NoYesRA user adds/modifiescomments or productrecall informationUser Print theEquipmentCertificationListEnd of ProcessExport UserDetails?NoYesUser Initiatesthe Export toMS ExcelEnd of ProcessEnd of ProcessApprover:Leigh PostOwner:ERACAnalyst:Robert MolleAuthor: ERAC &Robert MolleLast Edited:12/03/2010Document ID:Mid Level V 0.3Dialog Pty Ltd © Page 69Version 1.2 ACN 010 089 175

NATIONAL ELECTRICAL EQUIPMENT DATABASE(Registration)Analysis and Design DocumentSlide 1:Apply for Equipment RegistrationEQUIPMENT REGISTRATIONS (1)StartUser initiates theRegistration andselects a RSUse Case Details:Name: Apply for Equipment RegistrationNo.: UC 4.01Slide 2:Slide 3:StartUse Case Details:Name: Renew an Equipment RegistrationNo.: UC 4.03StartStartUse Case Details:Name: Update an Equipment RegistrationNo.: UC 4.02Slide 4:User logs in andsearches for theequipment registrationRenew an Equipment RegistrationUser logs in, searchesfor equipmentregistration & selectsRenewEquipment Expiryprocess initiated andexpiry reminder noticesent to RS andconsultantRS registration detailsdisplayedUpdate an Equipment RegistrationEquipment RegistrationdisplayedEquipment details anddeclaration displayedExpire an Equipment RegistrationExpiry dateCoC?NoYesUser makes anyrequired changes andaccepts the DeclarationStatus changed to“Expired”, systemsends email notificationUser enters EquipmentDetails and FolderLocationUser enters EquipmentCertificate NumberUser edits theequipment registrationWait30 Days after ExpiryUser is directed to thePayment Portal toprocess the paymentEquipment details areretrieved from the CoCand displayedChanges saved andemail sentSystem blocks Anyfuture renewalsNotification of EquipmentRegistration Change email sentto RS and consultantPayment processedAppropriate declarationis displayedEnd of ProcessEnd of ProcessEnd of ProcessEmail Notification of renewal sent toRS and consultantUser accepts theDeclaration and thesystem saves theequipment registrationapplicationUser is directed to thePayment Portal toprocess the paymentEnd of ProcessSlide 5: Re-activate Equipment RegistrationStartSystem locates allequipment registrationsfor a re-activated RSStatus of all equipmentregistrations for the RSare set to “Registered”Use Case Details:Name: Re-activate an Equipment RegistrationNo.: UC 4.05Payment ProcessedSystem savesequipment registrationsand sends emailEquipment Registration completedemail sent to RS and consultantRe-Activationnotification emailed toEnd of RS and consultantProcessUse Case Details:Name: Expire an Equipment RegistrationNo.: UC 4.04Expiry reminder email sent toRS and ConsultantExpiry notification sent toRS and ConsultantApprover:DialogAnalyst:Robert MolleLast Edited:12/03/2010Owner:Author: PostlDocument ID:Dialog Pty Ltd © Page 70Version 1.2 ACN 010 089 175

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