[Federal Register Volume 63, Number 167 (Friday, August 28, 1998)]
[Notices]
[Pages 46082-46084]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-23251]
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DEPARTMENT OF LABOR
Occupational Safety and Health Administration
[Docket No. NRTL-2-98]
NSF International, Application for Recognition
AGENCY: Occupational Safety and Health Administration (OSHA); Labor.
ACTION: Notice.
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SUMMARY: This notice announces the application of NSF International for
recognition as an NRTL under 29 CFR 1910.7, and presents the Agency's
preliminary finding.
DATES: Comments submitted by interested parties must be received no
later than October 27, 1998.
ADDRESS: Send comments concerning this notice to: 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, D.C. 20210.
FOR FURTHER INFORMATION CONTACT: Bernard Pasquet, Office of Technical
Programs and Coordination Activities, NRTL Program at the above
address, or phone (202) 219-7056.
SUPPLEMENTARY INFORMATION:
Notice of Application
Notice is hereby given that NSF International (NSF) has applied to
the Occupational Safety and Health Administration (OSHA), pursuant to
29 CFR 1910.7, for recognition as a Nationally Recognized Testing
Laboratory (NRTL). The application covers testing and certification of
the equipment or materials, and use of the programs and procedures,
listed below.
The address of the laboratory covered by this application is: NSF
International, 3475 Plymouth Road, Ann Arbor, Michigan 48105.
Background
According to the applicant, NSF International (NSF) is
headquartered in Ann Arbor, Michigan, and was incorporated in that
state in 1990. The applicant also states 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 further 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 it application to request additional programs
and procedures, and to replace one test standard it previously
requested (see Exhibits 2C and 2D).
The applicant submitted a number of 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.
In summary, NSF represents that it maintains the experience,
expertise, personnel, organization, equipment, and facilities suitable
for accreditation as an OSHA Nationally Recognized Testing Laboratory.
It also contends that it meets or will meet the criteria of recognition
defined in 29 CFR 1910.7.
The four primary criteria for recognition are presented below,
along with examples that illustrate how NSF has met each of these
criteria.
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. The applicant contends it 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
procedures and evaluation it plans to use. However, the test standard
information NSF has submitted indicates that 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
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NSF will utilize in certifying to any of the requested test standards.
Therefore, OSHA still needs to investigate how these methods will work
when they are implemented.
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.
OSHA's on-site review report indicates that NSF has sufficient
personnel with education, training, technical knowledge, and experience
to undertake the functions needed as an NRTL, and that NSF quality
control, partially embodied in the CQAM and LQAM, is adequate.
Control Procedures
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.
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 or evaluation and the follow-up inspection of manufacturers'
facilities. Further details are provided 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. The
on-site review report indicates that follow-up inspections will be
performed by NSF 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 indicate 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 are reviewed and
checked prior to being finalized. 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.
Standards
NSF seeks recognition for testing and certification of products to
determine compliance with the following three (3) test standards, and
OSHA has determined the 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
Programs and Procedures
NSF has applied for three (3) supplemental programs and procedures,
based upon the criteria detailed in the March 9, 1995 Federal Register
notice (60 FR 12980, 3/9/95). This notice lists nine (9) programs and
procedures (collectively, programs) that may be used by an NRTL to
control and audit, but not actually to generate, the data relied upon
for product certification. An applicant, when recognized as an NRTL, is
automatically accredited for 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
following supplemental programs and procedures, for which it has
applied:
1. Program 4: Acceptance of witnessed testing data.
2. Program 8: Acceptance of product evaluations from organizations
that function as part of the International Electrotechnical Commission
Certification Body (IEC-CB) Scheme.
3. Program 9: Acceptance of services other than testing or
evaluation performed by subcontractors or agents.
Conditions
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 these have not yet
been implemented. Therefore, OSHA intends to impose the following
condition in the final notice to officially recognize NSF as an NRTL.
This condition applies solely to its operations as an NRTL and will be
in addition to all other conditions that OSHA normally imposes in its
recognition of an organization as an NRTL.
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 testing and follow-up
inspections of products covered within the scope of the above-listed
test standards.
Preliminary Finding
NSF International has addressed the criteria that must be met for
recognition as an NRTL, as summarized above. In addition, the OSHA has
performed an on-site review of NSF's Ann Arbor, Michigan facility, on
December 2-5, 1997, and investigated the processes, procedures,
practices, and general operations used by the laboratory.
[[Page 46084]]
Discrepancies noted by the review team during the on-site review were
addressed by NSF following the on-site evaluation and are included in
the on-site review report (see Exhibit 3).
Following a review of the application file and the on-site review
report, the NRTL Program staff has concluded that the applicant can be
granted recognition as a Nationally Recognized Testing Laboratory for
the Ann Arbor, Michigan facility, subject to the condition described
above. The staff therefore recommended to the Assistant Secretary that
the application be preliminarily approved.
Based upon the recommendation of the staff, the Assistant Secretary
has made a preliminary finding that NSF International Ann Arbor,
Michigan facility can meet the recognition requirements, as prescribed
by 29 CFR 1910.7, for the 3 standards and the 3 programs described
above with the condition to be applied as noted.
All interested members of the public are invited to supply detailed
reasons and evidence as to whether NSF International has met the
requirements of 29 CFR 1910.7 for recognition as a Nationally
Recognized Testing Laboratory. Pertinent written documents and exhibits
must be received no later than the last date for comments (see DATES
above), and submitted to the address provided above (see ADDRESS).
Copies of the NSF application, amendments to the application and
supporting documentation, the on-site review report, and all submitted
comments, as received, are available for inspection and duplication
(under Docket No. NRTL-2-98) at the Docket Office, Room N2625,
Occupational Safety and Health Administration, U.S. Department of
Labor, at the above address.
The Assistant Secretary's final decision on whether the applicant
(NSF) satisfies the requirements for recognition as an NRTL will be
made on the basis of the entire record including the public submissions
and any further proceedings that the Assistant Secretary may consider
appropriate in accordance with 29 CFR Section 1910.7, and Appendix A to
that section.
Signed at Washington, D.C. this 18th day of August, 1998.
Charles N. Jeffress,
Assistant Secretary.
[FR Doc. 98-23251 Filed 8-27-98; 8:45 am]
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