[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.

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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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