[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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