[Federal Register Volume 63, Number 237 (Thursday, December 10, 1998)]
[Notices]
[Pages 68306-68309]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-32879]
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DEPARTMENT OF LABOR
Occupational Safety and Health Administration
[Docket No. NRTL-1-98]
National Technical Systems, Recognition as an NRTL
AGENCY: Occupational Safety and Health Administration; Labor.
ACTION: Notice.
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SUMMARY: This notice announces the Agency's final decision on the
application of National Technical Systems 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.
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 National Technical Systems (NTS) as
a Nationally Recognized Testing Laboratory, 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.
NTS applied for recognition as an NRTL, pursuant to 29 CFR 1910.7,
and OSHA published the required notice in the Federal Register (63 FR
46079, 8/28/98) to announce the application. The notice included a
preliminary finding that NTS 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-1-98, the permanent record of public information on the
NTS recognition.
The address of the testing facility (site) that OSHA recognizes for
NTS is: National Technical Systems, 533 Main Street, Acton,
Massachusetts 01720.
Background on the Applicant and the Application
National Technical Systems, according to its application, is
headquartered in Calabasas, California, and became established in 1963.
Also, NTS became a public company in 1968 and is listed in the NASDAQ
exchange. The applicant asserts it is an independent testing,
engineering, research, and support services organization, with more
than 30 years of product testing experience. NTS also states that it
has provided testing services to the military/aerospace, commercial,
and power industry, and has conducted qualification testing for the
nuclear power industry for more than 20 years. The engineering services
that NTS provides include design of instrumentation and specialized
hardware, and electrical and mechanical engineering.
NTS submitted an application for recognition, dated September 30,
1994
[[Page 68307]]
(see Exhibit 2A). It separately submitted a Quality Manual (QM), dated
June 24, 1997, and Quality Assurance Procedures (QAPs), dated December
22, 1997, specifically for the activities it plans to undertake as an
NRTL (see Exhibits 2C and 2E). In this notice, these two documents are
referred to as ``NRTL QM'' and ``NRTL QAPs,'' respectively. The NRTL QM
replaced the Quality Manual submitted by NTS in the original
application. The QAPs were marked confidential by the applicant. The
applicant originally requested recognition for a facility in Acton and
for another facility in Boxborough, both in Massachusetts. The
applicant also originally requested recognition to test and certify to
more than 90 test standards.
OSHA performed an on-site assessment (review) of the Acton and
Boxborough facilities, on January 23-26, 1995. The review determined
that NTS did not meet all the requirements for recognition under 29 CFR
1910.7, and the applicant was so informed. After OSHA completed the
review, NTS eliminated the Boxborough facility from consideration. In
response to the findings of the review, the applicant also submitted
amendments to OSHA, dated April 10, and September 22, 1997 (see
Exhibits 2B and 2D). Through these amendments, NTS reduced the number
of test standards it requested for recognition to 13. Also, it
developed and submitted the previously mentioned NRTL QM and NRTL QAPs.
In the submittal covering the NRTL QM, NTS also applied to OSHA for
recognition to use the supplemental programs, under which an NRTL may
use outside parties to perform some of the activities involved in
testing and certification of products. OSHA's approval to use any of
these programs is based on criteria first detailed in a March 9, 1995
Federal Register notice (60 FR 12980). Finally, in response to OSHA's
request for clarification, dated March 18, 1998 (see Exhibit 2F), NTS
submitted amendments to its NRTL QAPs and to its NRTL QM, dated April
8, 1998 (see Exhibit 2G). It also eliminated one test standard since
the standards organization had withdrawn it. As a result, the
recognition covers 12 test standards.
According to the applicant, the NRTL QM is the first tier document
that will direct its NRTL activities. The NRTL QAPs provide more
detailed policies, processes, and steps for those activities. In
addition, the on-site review report references other procedures and
practices that NTS uses for the parts of its operations that can be
designated ``non-NRTL'' activities. However, the recognition will not
apply to any aspect of the non-NRTL activities, except to those product
testing or certification procedures and practices that are incorporated
in the NRTL QM and NRTL QAPs, and are in conformance with the
requirements of 29 CFR 1910.7.
The requirements for recognition are presented below, along with
examples that illustrate how NTS 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.
According to the on-site review report, NTS has adequate space and
utilities to perform the testing required. It has security measures in
place to restrict or control access to its facility. The report also
indicates that NTS has, available in the laboratory, all general test
equipment required to perform testing to the test standards requested,
and that it maintains records of repair, routine maintenance, and
calibrations. The NRTL QAPs cover the general processes and practices
NTS will use for its equipment calibrations, and NTS has detailed
procedures for the calibration of specific items of equipment.
The application and revisions address personnel qualifications and
training, and identify NTS staff involved with product testing, along
with a summary of their education and experience. Also, the on-site
review report indicates that NTS personnel have the necessary
education, training, technical knowledge, and experience specified by
their position descriptions.
According to the review report, the NRTL QM and NRTL QAPs, and NTS'
Internal Audit Program are the primary means of quality assurance.
Other aspects of quality assurance will be the individual testing
procedures and standard operating procedures. Also, the report
indicates that the engineer assigned to handle the testing for a
customer writes a unique procedure for each product that NTS tests in
its ``non-NRTL'' activities, and that this approach may be used for the
NTS operations as an NRTL. Such an approach would not meet the
requirement in 29 CFR 1910.7 (b)(1) for ``written testing procedures,''
which, like any other procedure, are intended to be a general set of
instructions that are applicable to each test. These procedures must
cover the steps and methods that recur in examining and testing
products.
The review report indicates that NTS has done only partial testing
to portions of the test standards, as required for compliance of
nuclear facility products and other testing programs. The applicant
submitted samples of written testing procedures in its original
application. These procedures illustrate how some requirements of the
standard will be verified, but did not address all the requirements of
the standard in all cases. NTS will need to develop and/or identify
written testing procedures that will be applicable over the broad range
of products that it plans to test and certify as an NRTL. These
procedures will need to be in place when OSHA performs its first review
of NTS after it has been recognized. Therefore, OSHA has not yet
evaluated the testing and reporting procedures that NTS will utilize
for purposes of certifying to a complete test standard, and OSHA needs
to investigate this aspect of NTS operations when these procedures are
in use.
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.
According to the onsite review report, NTS currently applies a mark
to components used in the nuclear power industry. The report also
mentions that NTS has applied for a registered certification mark that
it will use in its operations as an NRTL. NTS must obtain approval from
the U.S. Patent and Trademark Office for this mark before it can issue
any certifications in its capacity as an NRTL. NTS has not listed or
labeled any products under the NRTL Program. Therefore, OSHA has not
evaluated the actual listing and labeling procedures NTS will use as an
NRTL.
The NRTL QM and NRTL QAPs contain general descriptions of the
certification processes that NTS will utilize. They also contain
policies for the contents of the legal agreements, and outline the
processes that will define and control the way NTS implements its
certification schemes. These documents also include a description of
the process for selecting products for evaluation,
[[Page 68308]]
which may include NTS purchasing a commercial sample. NTS also
submitted a draft of a sample certification agreement.
For the certification schemes that NTS proposes to use, it will
conduct follow-up inspections of products at the manufacturing
facilities at least once every three months. The NRTL QAPs also contain
more detailed descriptions of the processes to qualify and then audit a
manufacturer. According to the review report, NTS plans to utilize the
approach it currently uses for its vendor surveillance and audits to
perform manufacturer site inspections. The report further indicates
that the process reviewed during the onsite review was similar to an
NRTL follow-up program. However, NTS has just developed its NRTL
follow-up program and OSHA needs to investigate this new program when
it is in use. Therefore, OSHA has been unable to evaluate the actual
use of the NTS follow-up program.
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.
In its original application, NTS states that it performs all
testing and certification activities independently of all NTS clients,
and that no clients have any significant ownership position in NTS, or
any influence on NTS activities. The application further states that
NTS employees are not under the influence or control of manufacturers
or suppliers, and that NTS is not under the influence of any
manufacturer or producer of hardware items. NTS also submitted a
detailed listing of ``beneficial owners'' of 5% or more of NTS common
stock.
NTS could conceivably perform its design and engineering services,
previously mentioned, for manufacturers or vendors of the products it
may test and certify as an NRTL. Financial considerations could give
these outside parties significant influence on the results of the NTS
testing and certification activities. For example, assume that NTS
sells design services for products to a manufacturer, and certifies the
same or different products for that manufacturer. Such a relationship
would violate the requirement for complete independence of an NRTL.
Since NTS is a public company, it is also conceivable that
manufacturers or vendors could acquire ownership of NTS. If such an
acquisition were to control or influence NTS in its NRTL testing and
certification activities, it would no longer be ``completely
independent'' with respect to those manufacturers or vendors.
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 NRTL QAPs contain the steps that the laboratory will use to set
up and inspect test apparatus, and record test data. Regarding the
handling of complaints and disputes, the NRTL QAPs describes some of
the process steps to handle a complaint either from a manufacturer or
user of the products NTS certifies.
Supplemental Programs
As previously mentioned, National Technical Systems applied for
recognition to use the supplemental programs, based upon the criteria
first detailed in a 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.
Based on the recommendation of the staff of the NRTL Program, the
programs that OSHA recognizes for NTS are limited to the three listed
under Final Decision and Order.
The on-site review report and the application indicate that NTS
meet the criteria for use of three supplemental programs. At this time,
OSHA does not intend to recognize NTS for the other programs it
requested. NTS must have documented procedures and practices in place
providing much greater detail, before OSHA can approve the use of the
remaining programs. The NRTL QAPs that are applicable to these programs
are, in many cases, minimal in nature, some of which just restate the
criteria in the March 9, 1995 notice that must be met. As such, they
constitute more policies than procedures. In addition, NTS needs to
develop certain experience to obtain recognition to use the programs
involving use of manufacturers to perform tests or evaluations
(Programs 5, 6, and 7). The March 9 notice specifies the need for a
confidence-building period with the manufacturer that can only result
after NTS has gained experience as an NRTL in certifying products for
those manufacturers. An additional consideration is that NTS does not
have experience in testing and certification to a complete standard,
and may have less opportunity to develop the required experience if it
uses others to do these activities. This experience is essential for
its continued recognition as an NRTL. Finally, OSHA will need to review
the actual implementation of certain key aspects of NTS'' operations as
an NRTL, which, as already noted, were not formally evaluated since
they were not yet in place at the time OSHA performed its on-site
reviews of NTS.
Additional Conditions
As described above, OSHA has concerns about NTS 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. OSHA has also identified issues related to the
ownership and commercial relationships that could affect the
independence of NTS. Unless NTS meets certain conditions imposed by
OSHA, it cannot retain its recognition as an NRTL under 29 CFR 1910.7.
OSHA's approach in imposing conditions is consistent with past
recognition of other organizations as NRTLs who, like NTS, were mainly
experienced in testing products to specific customer or partial test
standard requirements. OSHA indicated in the Federal Register notice
for those recognitions that the procedures to be used were new to the
organization (for example, see 56 FR 28581, 6/21/91; and 58 FR 15511,
3/23/93). OSHA will require NTS to take steps to correct any
deficiencies that OSHA may find during its initial audit of the NRTL.
If deficiencies are not corrected, then OSHA will commence its process
to revoke the recognition of the NRTL.
Many procedures and practices for its NRTL testing and
certification processes will be new to NTS. Those that exist or are
incorporated in the NRTL QAPs may need to be supplemented by more
detailed specific instructions on the many activities involved in
testing and certifying products to a complete test standard. Also, the
proposed NTS approach of developing a unique test procedure for each
test makes it difficult for OSHA to evaluate its testing capabilities.
OSHA will therefore need to evaluate NTS when it implements the
detailed procedures and practices it plans to use to test and certify
products as an NRTL, and will conditionally recognize NTS subject to a
later
[[Page 68309]]
assessment of the process once it is in place.
Regarding independence, NTS has or could potentially have
relationships that eliminate its complete independence, and OSHA
intends to impose conditions to assure this will not occur. Such
relationships may be the normal result of the NTS ownership structure,
and its financial and commercial transactions. However, as an NRTL,
those relationships could adversely influence the results of its
testing and certification processes, such that NTS may no longer be,
intentionally or not, impartial and objective. As a result, NTS would
no longer be completely independent, which is a requirement fundamental
to assuring that the products tested and certified are safe for use by
workers and employers.
Therefore, OSHA has included appropriate conditions below to
address its concerns. These conditions apply solely to the NTS
operations as an NRTL, and are 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
National Technical System 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,
National Technical System 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 12 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 465 Central Cooling Air Conditioners
ANSI/UL 484 Room Air Conditioners
ANSI/UL 489 Molded-Case Circuit Breakers and Circuit-Breaker Enclosures
ANSI/UL 499 Electric Heating Appliances
ANSI/UL 1012 Power Supplies
ANSI/UL 1459 Telephone Equipment
ANSI/UL 1778 Uninterruptible Power Supply
UL 1863 Communication Circuit Accessories
ANSI/UL 1950 Information Technology Equipment Including Electrical
Business Equipment
UL 2601-1 Medical Electrical Equipment, Part 1: General Requirements
for Safety
UL 3101-1 Electrical Equipment for Laboratory Use; Part 1: General
Requirements
UL 3111-1 Electrical Measuring and Test Equipment, Part 1: General
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
National Technical Systems 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, NTS will notify the OSHA NRTL Program Director so that OSHA
may review NTS' adoption and implementation of its NRTL Quality Manual,
NRTL Quality Assurance Procedures, and other procedures from other NTS
Program areas for use in the NRTL Program;
NTS must not test and certify products for a client to whom it
primarily sells design or similar services;
NTS must not test and certify products for a client if an owner of
NTS also owns more than two percent (2%) of that client's stock;
OSHA must be allowed access to NTS' facility and records for
purposes of ascertaining continuing compliance with the terms of its
recognition and to investigate as OSHA deems necessary;
If NTS 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;
NTS 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, NTS 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;
NTS must inform OSHA as soon as possible, in writing, of any change
of ownership or key personnel, including details;
NTS will meet all the terms of its recognition and will always
comply with all OSHA policies pertaining to this recognition;
NTS will continue to meet the requirements for recognition in all
areas where it has been recognized; and
NTS 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 2d day of December 1998.
Charles N. Jeffress,
Assistant Secretary.
[FR Doc. 98-32879 Filed 12-9-98; 8:45 am]
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