[Federal Register Volume 63, Number 237 (Thursday, December 10, 1998)]
[Notices]
[Pages 68309-68312]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-32878]
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DEPARTMENT OF LABOR
Occupational Safety and Health Administration
[Docket No. NRTL-2-98]
NSF International, Recognition as an NRTL
AGENCY: Occupational Safety and Health Administration (OSHA); Labor.
ACTION: Notice.
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SUMMARY: This notice announces the Agency's final decision on the
application of NSF International for recognition as a Nationally
Recognized Testing Laboratory (NRTL) under 29 CFR 1910.7.
EFFECTIVE DATE: This recognition becomes effective on December 10, 1998
and will be valid until December 10, 2003, unless terminated or
modified prior to that date, in accordance with 29 CFR 1910.7.
[[Page 68310]]
FOR FURTHER INFORMATION CONTACT: Bernard Pasquet, Office of Technical
Programs and Coordination Activities, NRTL Program, Occupational Safety
and Health Administration, U.S. Department of Labor, 200 Constitution
Avenue, NW, Room N3653, Washington, DC 20210, or phone (202) 693-2110.
SUPPLEMENTARY INFORMATION:
Notice of Application
The Occupational Safety and Health Administration (OSHA) hereby
gives notice of its recognition of NSF International (NSF) as a
Nationally Recognized Testing Laboratory (NRTL), for testing and
certification of the equipment or materials, and use of the site and
the supplemental programs, listed below. OSHA recognizes an
organization as an NRTL, and processes applications related to such
recognitions, following requirements in Section 1910.7 of Title 29,
Code of Federal Regulations (29 CFR 1910.7). Appendix A to this section
requires that OSHA publish this public notice of its final decision on
an application.
NSF applied for recognition as an NRTL, pursuant to 29 CFR 1910.7,
and OSHA published the required notice in the Federal Register (63 FR
46082, 8/28/98) to announce the application. The notice included a
preliminary finding that NSF could meet the requirements for
recognition detailed in 29 CFR 1910.7, and invited public comment on
the application by October 27, 1998. OSHA received no comments
concerning this application for recognition.
You may obtain or review copies of all public documents pertaining
to the application by contacting the Docket Office, Occupational Safety
and Health Administration, U.S. Department of Labor, 200 Constitution
Avenue, NW, Room N2625, Washington, DC 20210. You should refer to
Docket No. NRTL-2-98, the permanent record of public information on the
NSF recognition.
The address of the testing facility (site) that OSHA recognizes for
NSF is: NSF International, 3475 Plymouth Road, Ann Arbor, Michigan
48105.
Background on the Applicant and the Application
According to its application, NSF International (NSF) has its
headquarters in Ann Arbor, Michigan, and was incorporated in that state
in 1990. The applicant asserts it has been a not-for-profit developer
of test standards and a third party certifier for more than fifty
years. The Bylaws of NSF state that it ``shall be operated exclusively
for charitable, educational, and scientific purposes and for the
purpose of testing for public safety . . . as a nonprofit
corporation.'' The Bylaws and other documentation submitted by NSF
indicate that NSF develops ``third-party consensus standards'' covering
the areas of safety, health, sanitation, and environment. The
application documents that NSF currently engages in conformity
assessment activities connected with several certification programs
that it operates in those areas.
NSF submitted an application for recognition, dated July 6, 1997
(see Exhibit 2A), and later submitted three amendments. On July 29,
1997, NSF amended its application to add two additional test standards
to the proposed scope of recognition (see Exhibit 2B). On December 9
and 16, 1997, NSF amended its application to replace one test standard
it previously requested and to request recognition to use certain
supplemental programs (see Exhibits 2C and 2D). Under these programs,
an NRTL may use outside parties to perform some of the activities
involved in testing and certification of products.
The applicant submitted several documents in support of its
application. These documents include its Corporate Quality Assurance
Manual (CQAM) and its Laboratories Quality Assurance Manual (LQAM). The
CQAM describes the overall quality system used at NSF, and includes an
explanation and reference to the Standard Operating Procedures (SOPs),
which ``detail the actions necessary to accomplish a particular task.''
The LQAM provides detailed policies, processes, and steps for the
activities performed by NSF's laboratories. The LQAM also references
the more specific SOPs. The CQAM and LQAM provide part of the overall
framework that will govern many of the activities NSF would have to
perform as an NRTL. NSF also submitted an example of an application and
contract for its certification services, and the detailed Certification
Policies that form part of this contract (see Exhibit 2E). These items
are applicable to all products certified by NSF, and will be applicable
to the certification of products for electrical safety.
The requirements for recognition are presented below, along with
examples that illustrate how NSF has met each of these requirements.
Capability
Section 1910.7(b)(1) states that for each specified item of
equipment or material to be listed, labeled or accepted, the laboratory
must have the capability (including proper testing equipment and
facilities, trained staff, written testing procedures, and calibration
and quality control programs) to perform appropriate testing.
The LQAM provides overall descriptions of NSF's laboratories, and
details facilities and equipment available in each of these
laboratories. According to the application, NSF has security measures
in place to restrict or control access to its facility, to sections
within its facility, and to confidential information. The LQAM contains
a listing or references to listings of equipment available for each
laboratory. It also addresses the maintenance program for equipment,
the calibration procedures and frequency, and the types of records
maintained for or supportive of many laboratory activities. NSF
addresses testing, sample handling, sampling, and test methods in its
CQAM or its LQAM. It also has documented the specific equipment it
plans to use for testing to the standards it has requested for
recognition.
In addition, NSF has submitted for OSHA review samples of the test
and evaluation procedures it plans to use. However, the test standard
information that NSF provided in its application indicates many test
procedures it plans to use are not yet in place. As a result, OSHA has
not performed an actual evaluation of the specific testing, evaluation
and reporting methods that NSF will utilize in certifying to any of the
requested test standards. OSHA needs to investigate how these methods
will work when NSF implements them.
The CQAM and LQAM cover personnel qualifications and training;
other materials identify NSF staff that will be involved with the NRTL
operations, along with a summary of their education and experience.
According to OSHA's on-site review report, NSF has sufficient personnel
with education, training, technical knowledge, and experience to
undertake the functions needed as an NRTL. Also, the report indicates
NSF's quality control, partially embodied in the CQAM and LQAM, is
adequate.
Control Programs
Section 1910.7(b)(2) requires that the NRTL provide certain
controls and services, to the extent necessary, for the particular
equipment or material to be listed, labeled, or accepted. They include
control procedures for identifying the listed or labeled equipment or
materials, inspections of production runs at factories to assure
conformance with test standards, and field inspections to monitor and
assure the proper use of identifying marks or labels.
[[Page 68311]]
The CQAM addresses the conformity assessment operations of NSF,
including the steps involved in the listing and certification of
products. NSF has submitted documentation showing it has a registered
certification mark. In addition, the NSF's certification policies
provide further details regarding the authorization of certifications,
and audits of facilities. The audits apply to both the initial
assessment and the follow-up inspection of manufacturers' facilities.
NSF provided further details regarding the procedures for authorizing
the use of the NSF mark, and the listings that NSF issues or revises in
connection with its current certification programs.
According to the on-site review report, NSF will perform follow-up
inspections at manufacturing sites four times a year. The certification
policies, and corresponding detailed procedures, contain many elements
that NSF will adapt for use in its NRTL operations. NSF has not yet
certified or listed any products for which it requests recognition, and
the follow-up inspection program it will use as an NRTL is a new
program for NSF. Therefore, OSHA will need to evaluate this new
program, and the actual certification and listing procedures when NSF
uses them for its NRTL operations.
Independence
Section 1910.7(b)(3) requires that the NRTL be completely
independent of employers subject to the tested equipment requirements,
and of any manufacturers or vendors of equipment or materials being
tested for these purposes.
As previously mentioned, NSF's Bylaws indicate it is a ``nonprofit
corporation.'' The Bylaws also state that NSF is a ``nonstock,
directorship basis'' corporation and that ``the Board of Directors
shall establish policies and oversee management of the Corporation,''
and ``elect Directors [and] . . . officers.'' In addition, the
``Conflicts of Interest'' section of the Bylaws contains self-
disclosure and disqualification requirements for directors and officers
in matters involving contracts and transactions in which they are
``interested.''
Creditable Reports/Complaint Handling
Section 1910.7(b)(4) provides that an NRTL must maintain effective
procedures for producing credible findings and reports that are
objective and without bias, as well as for handling complaints and
disputes under a fair and reasonable system.
The LQAM references the test data sheets and other documents used
to record test data, and indicates that results from tests are recorded
in an information management system. The information in this system is
then used to generate preliminary test reports that NSF personnel
review and check before completing them. Specific referenced procedures
are used for the direct measurement of data, and for the review and
authorization of preliminary and final test reports. As for the
handling of complaints and disputes, the CQAM and LQAM describe aspects
of the NSF customer feedback systems, and contain references to the
specific procedures that apply. In addition, the certification policies
specifically address customer complaints, which could apply either to a
user or a manufacturer of the products NSF certifies.
Supplemental Programs
NSF applied for recognition to use three (3) supplemental programs,
based upon the criteria first detailed in the March 9, 1995 Federal
Register notice (60 FR 12980). This notice lists nine (9) programs and
procedures (collectively, programs), eight of which an NRTL may use to
control and audit, but not actually to generate, the data relied upon
for product certification. An NRTL's initial recognition automatically
includes the first, or basic, program, which requires that all product
testing and evaluation be performed in-house by the NRTL that will
certify the product. The on-site review report indicates that NSF
appears to meet the requirements for use of the supplemental programs
for which it has applied.
Additional Condition
As described above, OSHA has concerns about NSF because it has not
had the opportunity to evaluate the actual testing and reporting
procedures, and use of the follow-up program, since NSF has not yet
implemented them. OSHA will therefore need to evaluate NSF when it
implements the detailed procedures and practices it plans to use to
test and certify products as an NRTL, and will conditionally recognize
NSF subject to a later assessment of the process once it is in place.
Therefore, OSHA has included an appropriate condition below to
address its concerns. This condition applies solely to the NSF
operations as an NRTL, and is in addition to the other conditions
listed below, which OSHA normally imposes in its recognition of an
organization as an NRTL.
Final Decision and Order
The NRTL Program staff has examined the complete application, the
amendments to the application, the supporting documentation, and the
OSHA staff finding including the on-site review report, dated December
22, 1997 (see Exhibit 3). Based upon this examination, OSHA finds that
NSF International has met the requirements of 29 CFR 1910.7 to be
recognized as a Nationally Recognized Testing Laboratory to test and
certify certain equipment or materials, subject to the limitations and
conditions listed below. Pursuant to the authority in 29 CFR 1910.7,
NSF International is hereby recognized as a Nationally Recognized
Testing Laboratory, subject to the limitations and conditions listed
below.
Limitations
This recognition is limited to equipment or materials (products)
for which OSHA standards require third party testing and certification
before use in the workplace. OSHA's recognition is further limited to
the site listed above, and to the use of the following 3 test standards
for the testing and certification of products included within the scope
of these standards. OSHA has determined these standards are
appropriate, within the meaning of 29 CFR 1910.7(c).
ANSI/UL 197 Commercial Electric Cooking Appliances
ANSI/UL 471 Commercial Refrigerators and Freezers
ANSI/UL 921 Commercial Electric Dishwashers
The designations and titles of the above standards were current at
the time of the preparation of the notice of the preliminary finding.
This recognition is also limited to the use of the following 3
supplemental programs. Recognition of these programs is contingent on
continued adherence to the criteria for their use.
Program 4: Acceptance of witnessed testing data
Program 8: Acceptance of product evaluations from organizations that
function as part of the International Electrotechnical Commission
Certification Body (IEC-CB) Scheme
Program 9: Acceptance of services other than testing or evaluation
performed by subcontractors or agents
Conditions
NSF International must also abide by the following conditions of
the recognition, in addition to those already required by 29 CFR
1910.7:
Within 30 days of certifying its first products under the NRTL
Program, NSF will notify the OSHA NRTL Program Director so that OSHA
may review NSF's implementation of procedures for
[[Page 68312]]
testing and follow-up inspections of products covered within the scope
of the above-listed test standards;
OSHA must be allowed access to NSF's facility and records for
purposes of ascertaining continuing compliance with the terms of its
recognition and to investigate as OSHA deems necessary;
If NSF has reason to doubt the efficacy of any test standard it is
using under this program, it must promptly inform the test standard
developing organization of this fact and provide that organization with
appropriate relevant information upon which its concerns are based;
NSF must not engage in or permit others to engage in any
misrepresentation of the scope or conditions of its recognition. As
part of this condition, NSF agrees that it will allow no representation
that it is either a recognized or an accredited Nationally Recognized
Testing Laboratory (NRTL) without clearly indicating the specific
equipment or material to which this recognition is tied, or that its
recognition is limited to certain products;
NSF must inform OSHA as soon as possible, in writing, of any change
of ownership or key personnel, including details;
NSF will meet all the terms of its recognition and will always
comply with all OSHA policies pertaining to this recognition;
NSF will continue to meet the requirements for recognition in all
areas where it has been recognized; and
NSF will always cooperate with OSHA to assure compliance with the
spirit as well as the letter of its recognition and 29 CFR 1910.7.
Signed at Washington, DC this 2nd day of December, 1998.
Charles N. Jeffress,
Assistant Secretary.
[FR Doc. 98-32878 Filed 12-9-98; 8:45 am]
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