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NRTL Updates - NRTL Update #9 (March 17, 2003) |
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NRTL Update #9 (March 17, 2003)
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Hello Everyone,
We have a few items that we want to share with you. As usual, we would appreciate it if you would distribute this update to all within your organization that may need the information.
- Proposed Change in Policy
This first item is a little long, and it concerns a proposed change to our policy on Sites. We are considering this change to improve certain aspects of our operations and to address certain situations we have found during our audits or assessments of NRTLs. However, we believe these changes may be beneficial to you, too. For those of you who are unfamiliar with the policies of OSHA's NRTL Program, they are mostly contained under Appendix C of our program directive. In case the link does not work, go to www.osha.gov and choose the letter "D" in the Site Index at the top of the page. Then choose Directive and using the Directive Number option, find CPL 1-0.3. Our policy on Sites is paragraph "X" (roman numeral 10) of Appendix C.
Currently, under our policy, NRTLs can perform the functions listed below only at a site that OSHA has recognized, i.e., at a site listed under the NRTL's scope, as shown on our informational web page for each NRTL.
Functions:
- Qualifying other organizations for purposes of accepting their test or evaluation data or accepting such data from these organizations;
- Maintaining or controlling access to primary product test and evaluation files;
- Performing the final technical review or making the final decision on certification of a product; and
- Authorizing the use of the NRTL's mark.
Under the proposed change in policy, any NRTL could perform those functions at "satellite" facilities if the NRTL meets certain criteria. For purposes of the policy, a "satellite" would NOT be a recognized site under the OSHA NRTL Program. In order to perform the allowable functions at a satellite, OSHA would need to approve the NRTL for use of a new program. At this point, we are providing you with our current concept of major aspects of the proposed program in order to get some initial feedback from you.
Here are key parts of the criteria that the NRTL would have to meet for use of the proposed program:
- To initially include or to keep a site in the program, it must meet the definition of a "satellite." In addition, products tested and/or certified at a satellite must fall within the NRTL's scope of recognition, in particular, within the scope of the test standards recognized by OSHA for the NRTL.
Definition:
Satellite - a testing and/or certification site that is owned or leased and locally administered and controlled by the NRTL (the legal entity recognized by OSHA) or by an organization that the NRTL: a) controls administratively and operationally, b) maintains under the quality assurance program of the NRTL, and c) owns by greater than 50%. This site is not a recognized site, i.e., it is not included under any NRTL's scope of recognition.
- The NRTL must demonstrate that it has a written satellite qualification program that includes detailed criteria and procedures for qualifying a satellite site to perform particular functions, for revoking a site's qualification, and for identifying the NRTL personnel in charge of the qualification program.
- The NRTL must demonstrate that it has a written satellite audit program that includes training, qualifying, and monitoring of auditors in the functions they would be auditing; and detailed and comprehensive procedures for auditing each function and its quality functions and technical operations. At least twice a year (approximately every 6 months), a satellite must undergo a "re-qualification audit", i.e. an audit to re-qualify each satellite for the functions for which it has been qualified. Personnel performing these audits must be independent of operations and located at the NRTL's headquarters, which must be a recognized site of the NRTL. In addition, to the extent not covered by the re-qualification audit, every year a satellite must undergo a "technical audit", i.e., an audit to determine its continuing technical capability to assure a product meets the requirements of applicable test standards. Personnel performing technical audits must be within the NRTL's organization but may be located at a site that is not a recognized site of the NRTL. All audit reports must be forwarded to and stored at the NRTL's headquarters.
Any NRTL wishing to use the new program would have to submit appropriate documentation to OSHA and, once approved, would need to notify OSHA of additional or removed sites and certain other changes. For NRTLs in the program, each year, OSHA would audit the NRTL's main headquarters facility (most likely with at least two auditors) and satellites, usually not to exceed 50% of the satellites qualified. However, additional audits might be performed in a year if OSHA makes findings that warrant such action. Also, if OSHA determines that the NRTL is not fulfilling its obligations under the proposed program, OSHA could reduce the number of qualified sites or functions or terminate the NRTL's participation in the program. The NRTL would be billed for all audits under the fee schedule in effect at the time of the audit. At this time, OSHA would not charge for any paperwork review in connection with approving the NRTL to use the program. Such a fee might be proposed during OSHA's annual review of the fees, although we believe that review time and thus any fee would be minimal.
We would appreciate your informal feedback on the proposed change, e.g., alternative suggestions or what problems you see with it. Please e-mail these to me or to the Director of our office, MaryAnn Garrahan). We would appreciate your feedback by April 7, 2003. We may contact you individually to discuss it, if necessary. If you wish to discuss this proposed change, feel free to contact any member of the OSHA NRTL Program staff.
Once we have completed development of the details of the proposed program, we plan to publish a notice in the Federal Register to formally request public comment on the proposed program. Please note that the final program description might be different from the concept described above.
For those not choosing to use the program, the current policy would remain in effect.
- Suppliers Declaration of Conformity (SDOC)
We want to let you know about an action that OSHA is undertaking regarding SDOC. We are in the initial stage of processing a Request for Information (RFI) notice regarding SDOC, which would be published in the U.S. Federal Register. As evident by the name, this RFI notice primarily serves as a vehicle for obtaining information. The notice is NOT the commencement of any formal regulatory action, i.e., action on OSHA's part to change its requirements.
Our reason for this action stems from a proposal that OSHA received in November 2001 from the Information Technology Industry Council (ITIC), an industry trade association. They requested that OSHA permit the use of SDOC as an alternative means of approval for information technology (IT) equipment or products, i.e., in lieu of NRTL approval of these products. As you may know, under SDOC, equipment manufacturers self-approve their equipment by issuing a declaration of conformity, i.e., a written statement that a product meets or conforms to particular requirements.
To date, OSHA has only obtained informal comments concerning this proposal from NRTLs and a few other parties and has of course discussed the proposal internally. However, since the issues surrounding the proposal has potential broad interest and impact, the Agency recently decided to seek formal comment from all parties, i.e., from the general public, via the RFI notice. As currently drafted, the notice would request a wide range of information regarding SDOC.
Although the proposal was limited to IT equipment, OSHA has no rationale at this point for limiting the potential use of SDOC to one type of product. Therefore, any potential use of SDOC could apply to all the categories of products that currently must be approved by NRTLs. As indicated, the notice is in draft form at this point and undergoing informal review within OSHA. When it is formally approved, we will share an advance copy with you.
- Documents for Requesting an Expansion
When you request an expansion for additional test standards, please make sure to submit sufficient information demonstrating your capabilities relative to the standards requested. To facilitate our review, you should identify the standards on your expansion list that are similar to those already included in your scope. For new standards, submit the information detailed in our Applicable Test Standard sheet, which you can find in our Application Guidelines. If you do not submit this information, we will have to write back to you to request it and this will delay processing your request. You should also submit qualifications of personnel that will do the testing if it is of a kind that is different from testing covered under your current scope (e.g., testing products under hazloc standards when your scope only include ordinary location testing or standards requiring flammability testing when your scope only include electrical testing).
- MRA Update
In case you have not heard, the European Commission (EC) has decided to suspend its participation in the Electrical Safety Annex of the USEU MRA. Suspension puts the annex on hold and does not terminate it. The EC told us they are doing so because they have certain legal obligations to their member states. We do not believe that this suspension has any impact on our program. Therefore we do not object to it. For our part, we are willing to proceed with the annex and, as we have always said, process any complete applications that we receive from the EU, provided they are in English.
As always, if you have any questions, please contact any member of the OSHA NRTL Program staff. If you have suggestions for topics to cover in our updates, please feel free to send them to us.
Bernard Pasquet
Office of Technical Programs and Coordination Activities
Occupational Safety and Health Administration
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