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[Docket No. NRTL-2-92]

Canadian Standards Association

AGENCY: Occupational Safety and Health Administration, Labor.

ACTIONS: Notice of application for recognition as a Nationally Recognized Testing Laboratory, and preliminary finding.

SUMMARY: This notice announces the application of the Canadian Standards Association for recognition as a Nationally Recognized Testing Laboratory (NRTL) under 29 CFR 1910.7, and presents the Agency's preliminary finding.

DATES: The last date for interested parties to submit comments is May 2, 1994.

ADDRESSES: Send comments to: NRTL Recognition Program, Office of Variance Determination, Occupational Safety and Health Administration, U.S. Department of Labor, 200 Constitution Avenue NW., room N3653, Washington, DC 20210.

FOR FURTHER INFORMATION CONTACT: Office of Variance Determination, NRTL Recognition Program, Occupational Safety and Health Administration, U.S. Department of Labor, 200 Constitution Avenue, NW., room N3653, Washington, DC 20210.

SUPPLEMENTARY INFORMATION:

Notice of Application

Notice is hereby given that the Canadian Standards Association (CSA) has made application pursuant to section 6(b) of the Occupational Safety and Health Act of 1970, (84 Stat. 1593, 29 U.S.C. 655), Secretary of Labor's Order No. 1-90 (55 FR 9033), and 29 CFR 1910.7 for recognition of the following facilities as a Nationally Recognized Testing Laboratory.

The addresses of the laboratories covered by this application are:

Canadian Standards Association, Pointe-Claire (Montreal)

Facility, 865 Ellingham Street, Pointe-Claire (Montreal), Quebec H9R 5E8, Canada.

Canadian Standards Association, Richmond (Vancouver) Facility,

13799 Commerce Parkway, Richmond (Vancouver), British Columbia V6V 2N9, Canada.

Canadian Standards Association, Edmonton Facility, 1707-94th

Street, Edmonton, Alberta T6N 1E6, Canada. Canadian Standards Association, Moncton Facility, 40 Rooney Cresent, Moncton, New Brunswick E1E 4M3, Canada.

Canadian Standards Association, Winnipeg Facility, 50

Paramount Road, Winnipeg, Manitoba R2X 2W3, Canada.

CSA originally applied for recognition as an NRTL in 1989. In order to expedite the recognition procedure, CSA subsequently amended its application to allow the Agency to follow a multi-phase approach. Thus CSA requested initial recognition for its Rexdale (Toronto) facility only and requested that the scope of the application be limited to in-house testing only. CSA's Rexdale (Toronto) facility was accredited by OSHA as an NRTL on December 24, 1992 (57 FR 61452). The second phase of the CSA recognition involves the CSA facilities listed above and this recognition would also be limited to in-house testing only. It is contemplated that recognition of CSA's overseas facilities will be handled separately in a third phase in the future.

Regarding the merits of this application, the Canadian Standards Association contends that it meets the requirements of 29 CFR 1910.7 for recognition in the areas of testing which it has specified.

The applicant states that for each item of equipment or material to be certified, it has the capability (including proper testing equipment and facilities, trained staff, written testing procedures, and calibration and quality control programs) to perform testing and examination of equipment and materials for workplace safety purposes to determine conformance with appropriate test standards.

CSA's application contains sections dealing with background and history; the Certification and Testing (C&T) Division structure; affiliation including a statement of independence; personnel, including experience and expertise, training, a list of key personnel, position descriptions and resumes; the certification process, including testing and evaluation, certification, reports and records and the service agreement; the field services program, including follow-up inspections, re-examination testing and field monitoring; certification services, including prototype (model) certification; testing experience, including recognition by other bodies; control programs, including the quality assurance program, control of technical and quality records, handling and storage/packaging and shipping, and test procedures; laboratory test equipment and calibration of this equipment; facilities; and, finally, CSA's appeal process, the comprehensive system for handling complaints and ultimately providing an unbiased review of any controversial matter.

Montreal (Pointe Claire) Facility

The Montreal (Pointe Claire) facility houses the Standards Sales, Finance and Administration, Quality Assurance, and the Certification and Testing Division of the Eastern Operations. Approximately 75 employees are located at this facility, which is owned by CSA and consists of a two-story building covering 23,000 square feet. About 5,500 square feet of floor space is allocated to product testing. The applicant has been at this location since 1982.

All necessary utilities are available at this site. There is a written procedure for the receipt, retention, and disposal of samples for testing. Visitors to the facility are closely supervised and must be escorted throughout the premises. There are continuous 24-hour alarm systems for fire and security, and entry is controlled for staff members entering the facility after hours.

Most testing equipment is available in the laboratory to perform testing in accordance with the standards. When such equipment is not available, the testing is either subcontracted to the Rexdale facility or the equipment is purchased as necessary. The calibration laboratory maintains inventory lists that identify over 4,000 pieces of equipment.

All other aspects of the testing and certification process, including test and evaluation procedures, test reports, records, quality assurance, follow-up listing program, and details concerning personnel, are addressed in the On-Site Review Report (Survey) of the Montreal (Pointe Claire) facility, Ex. 10.A.(1).

Vancouver (Richmond) Facility

The Vancouver (Richmond) facility consists of some 56,600 square feet of owned office space of which 6,195 square feet is utilized for product testing. CSA has been at this new location since May 1992. There are some 110 employees located at this facility.

All necessary utilities are available at this site. There is a written procedure for the receipt retention, and disposal of samples for testing. Visitors to the facility are closely supervised and must be escorted throughout the premises. Fire protection is provided by a sprinkler system, over 60 fire extinguishers, pull stations, and a fire detection system that is monitored 24 hours a day. Entry is controlled for staff members entering the facility after hours by an ADT card reader and alarm.

Most testing equipment is available in the laboratory to perform testing in accordance with the standards. When such equipment is not available, the equipment is purchased as necessary. The laboratory maintains inventory lists that identify over 500 pieces of equipment.

All other aspects of the testing and certification process, including test and evaluation procedures, test reports, records, quality assurance, follow-up listing program, and details concerning personnel, are addressed in the On-Site Review Report (Survey) of the Vancouver (Richmond) facility, Ex. 10.A.(1).

Edmonton Facility

The Edmonton facility is under the direction of the Pacific Operations, which is headquartered in Vancouver.

CSA owns some 13,067 square feet of office space at the Edmonton Facility, of which 1,819 square feet are allocated for product testing. This location has been operational since 1985.

All necessary utilities are available at this site. There is a written procedure for the receipt, retention, and disposal of samples for testing. Visitors to the facility are closely supervised and must be escorted throughout the premises. Fire protection is provided by a monitoring system that alerts the local fire department in the event of a fire, and entry is controlled for staff members entering the facility after hours, by means of an entry alarm system.

Most testing equipment is available in the laboratory to perform testing in accordance with the standards. When such equipment is not available, the equipment is purchased as necessary. Annual operating budgets are designed to provide for funding of necessary testing equipment. The laboratory maintains inventory lists that identify over 300 pieces of equipment.

All other aspects of the testing and certification process, including test and evaluation procedures, test reports, records, quality assurance, follow-up listing program, and details concerning personnel, are addressed in the On-Site Review Report (Survey) of the Edmonton facility, Ex. 10.A.(2).

Moncton Facility

The Moncton facility is under the direction of the Montreal facility as part of the Eastern Operations.

The facilities are leased and consist of approximately 6,750 square feet of office and laboratory space plus an annex of some 1,600 square feet of additional office space.

All necessary utilities are available at this site. There is a written procedure for the receipt, retention, and disposal of samples for testing. Visitors to the facility are closely supervised and must be escorted throughout the premises. Fire protection of the facility is provided by an automatic fire sprinkler system located throughout the building, and entry is controlled for staff members entering the facility after hours. There is also a 24-hour alarm system.

Most testing equipment is available in the laboratory to perform testing in accordance with the standards. When such equipment is not available, the testing is subcontracted to the Rexdale facility or the equipment is purchased as necessary. Annual operating budgets are designed to provide for funding of necessary testing equipment. The laboratory maintains inventory lists that identify over 300 pieces of equipment.

All other aspects of the testing and certification process, including test and evaluation procedures, test reports, records, quality assurance, follow-up listing program, and details concerning personnel, are addressed in the On-Site Review Report (Survey) of the Moncton facility, Ex. 10.A.(2).

Winnipeg Facility

The Winnipeg facility is under the direction of the Rexdale facility as part of the Central Operations.

The facility is leased and consists of some 10,000 square feet of space, of which approximately 4,000 square feet is allocated as a test laboratory. CSA has made use of this facility for about 35 years providing certification services in the electrical and mechanical fields.

All necessary utilities are available at this site. There is a written procedure for the receipt, retention, and disposal of samples for testing. Visitors to the facility are closely supervised and must be escorted throughout the premises. Fire and burglar alarm systems are on line. Entry is controlled for staff members entering the facility after hours.

All other aspects of the testing and certification process, including test and evaluation procedures, test reports, records, quality assurance, follow-up listing program, and details concerning personnel, are addressed in the On-Site Review Report (Survey) of the Winnipeg facility, Ex. 10.A.(2).

The applicant states that CSA is an independent, not-for-profit membership association, without share capital, incorporated under the laws of Canada in 1919, engaged in developing national standards and providing a certification service for manufacturers wishing to have their products certified as complying with national standards or standards of foreign countries. The applicant states further that the organization has no affiliation with manufacturers or suppliers of the products submitted for testing and certification. Several documents are submitted as a part of the CSA up-to-date application to address the issue of independence. (See Ex. 2.K.).

The Canadian Standards Association claims that it maintains effective procedures for producing creditable findings or reports that are objective and without bias. The C&T Division maintains a quality assurance (QA) system for CSA's world-wide network. The QA Program of the Testing Laboratory is registered by Quality Management Institute (QMI) to ISO 9003 and Z299.3. The Corporate Engineering and Quality Assurance (EQA) Group has the responsibility and authority for overseeing all activities related to the Quality Program. The object of the QA system is to ensure technical excellence, consistency of interpretation and application of standards, consistency of implementation of certification programs and procedures, the integrity of the CSA Mark, and continuous improvement. In addition, the QA System is designed to meet National and International Accreditation Criteria. The QA System is documented as follows:

- "Quality Assurance Policy Manual" (QAPM). It contains the quality policies for the Certification and Testing Division and establishes the responsibility for implementation of these policies.

- "Quality Assurance Manual" (QAM). These manuals describe in detail the system and procedures outlined in the QAPM. They are issued by each Operation Unit after approval by EQA.

- "Divisional Quality Documents" (DQDs). They are issued and controlled by Engineering and Quality Assurance (EQA) and consist of additional operating procedures and guidelines to be used by operations staff.

Permanent records are compiled to document all technical and quality related activities of the Certification and Testing Division. The system for controlling all technical and quality records is described in the Quality Assurance Manuals for each CSA Office.

CSA claims that it has a comprehensive system for handling complaints and ultimately providing an unbiased review of any controversial matter. All complaints and disputes shall be resolved, whenever possible, by those directly involved with the work contested or at the level of authority appropriate for the nature of the complaint/dispute. If the issue cannot be resolved, there are specific steps, including appeals, which may be followed.

The applicant states that it provides for the implementation of control procedures for identifying the listed and labeled equipment or materials, inspection of the production run of such items at factories for product evaluation purposes to assure conformance with applicable test standards, and the conducting of field inspections to monitor and to assure the proper use of its identifying mark or labels on products. A submitter must enter into a written contract (service agreement) with CSA to permit the use of the CSA Mark on the product. This agreement clearly specifies the submitter's responsibilities and the terms and conditions for maintaining certification, such as the right of access by CSA inspection staff to listed factories, or notifying CSA when changes are made to certified products. These terms and conditions are designed to protect the integrity of the CSA Marks. CSA establishes a comprehensive field services program to ensure that manufactured products bearing any of the CSA Marks continue to meet the applicable requirements. The program consists of three elements:

Follow-up Inspections; Re-examination Testing; and Field Monitoring.

Follow-up inspections are conducted at the point of manufacturing and labeling to ensure, among other things, that:

- The CSA Mark is applied only to certified products; - That the terms of the Agreement are met when the CSA Mark is used;

- Defects noted during previous inspections have been corrected;

- The manufacturer is aware of any new services, requirements, and effective dates;

The inspections are unaccounted and are based on performing a minimum of four inspections per factory per year. The frequency varies with production volumes, the types of products and the manufacturer's track record.

When products fail to meet the requirements, Field Service Representatives take action to have the manufacturer correct the defect immediately, quarantine the stock until the products can be reworked or re-evaluated by certification staff, and remove the CSA Mark from the product.

In cases where it is difficult to determine if a product or component complies with the requirements strictly by visual examination, such products are re-examined and tested on a yearly basis.

CSA has an independent, special investigation unit, the Audits and Investigations Group, to monitor products in the field, investigate field complaints, and produce feedback to the standards writing and certification process.

Background

According to the applicant, the Canadian Standards Association is an independent, not-for-profit organization governed by a Board of Directors selected by the membership, providing integrated services in the fields of standards development and conformity assessment. The Standards Division of CSA is responsible for the administration of the development of voluntary consensus standards. The Certification and Testing Division provides conformity assessment programs including laboratory testing, certification, inspection and quality management services. The organization started out in 1919 as the Canadian Engineering Standards Association (CESA), which was changed in 1944 to the present name.

The applicant states that during the last 70 years, CSA has developed more than 1,400 standards and codes which cover industrial and consumer products and services in a wide range of product areas. In 1940, CSA began to test and certify products and today is an international organization with more than 9,000 volunteer members from 20 countries representing, among others, consumers, and regulators. They are supported by a staff of approximately 1,000 employees.

Again according to the applicant, over 14,000 manufacturers worldwide use CSA's testing and certification services, and the CSA Certification Mark appears on over one billion products a year. CSA processes some 36,000 engineering projects, and the inspection staff makes follow-up visits to some 19,000 factories in almost 60 different countries, each year.

The Rexdale Facility contains the corporate headquarters, the Standards Division, the Finance and Administration Division, and the Certification and Testing Division. The Rexdale facility houses the Central Region Office and the headquarters of the Central Operations. Central Operations includes the Prairie Region (Winnipeg) and the Central Region (Rexdale). The explosion testing laboratory in Ottawa (under the control of the Canadian Department of Energy, Mines and Resources), where CSA performs explosion testing, is monitored out of the Central Region.

The Montreal (Pointe Claire) facility houses the Eastern Region Office and the headquarters of the Eastern Operations. Eastern Operations includes the Eastern Region (Pointe Claire) and the Atlantic Region (Moncton). The Eastern Region and Atlantic Region maintain testing and inspection facilities for Eastern North America.

The Vancouver (Richmond) facility houses the Pacific Region Office and the headquarters of the Pacific Operations. Pacific Operations include the Pacific Region (Richmond), and the Western Region (Edmonton). The Pacific Region and Western Region maintain testing and inspection facilities for Western North America.

Quality Assurance

The Certification and Testing Division's Engineering and Quality Assurance (EQA) Office reports to the Vice President in charge of the Certification and Testing Division. The Eastern, Central, and Pacific Operations as well as each of the Regional Offices has a Quality Assurance Office. The Regional Quality Assurance Offices have a reporting relationship with the respective Operations Quality Assurance Office, and with the EQA from the corporate headquarters.

The Regional Quality Assurance Offices are responsible for quality assurance at their respective facilities. The Operations Quality Assurance Offices are responsible for quality assurance not only of their respective operations but also of all of the regions within their operations. The Engineering and Quality Assurance Office is responsible for the Certification and Testing Division's quality assurance, including all Operations and Regions.

Document Structure

The Certification and Testing Division's (C&T) Divisional Director of Engineering and Quality Assurance (EQA) establishes the quality assurance philosophy for the three operations, the Eastern, Central, and Pacific. The EQA uses Divisional Quality Documents (DQD) to establish Quality Assurance Procedures, Certification and Testing Division Operating Procedures (CDOP) and so-called Test Packs to provide evaluation procedures for products submitted for testing, Technical Information Letters (TIL) to document technical interpretations of standards, and Engineering Policy Supplements (EPS) to provide policies.

Audit Structure

The CSA audit structure is multilevel. EQA audits the regions, the Operations Quality Assurance Office audits the regions, and the Regional Quality Assurance Offices perform self-audits. In addition, outside agencies such as the Standards Council of Canada (SCC) perform yearly audits which involve EQA representation during the audit. For example, Edmonton and Moncton were subjected to at least five audits, and Winnipeg at least four audits, since July of 1991. In addition, specific technical audits of each Region are performed by the Senior Technical Engineer from the concerned Operation's Quality Assurance Office.

The applicant desires recognition for testing and certification of products when tested for compliance with the following test standards, which are appropriate within the meaning of 29 CFR 1910.7(c):

Preliminary Finding

The Canadian Standards Association addressed all of the criteria which had to be met for recognition as an NRTL in its initial application and in its further correspondence. For example, the applicant submitted a list of its test equipment and instrumentation; a roster of its personnel including resumes of those in key positions and copies of position descriptions; copies of a typical test report, a factory inspection form and an inspection summary; a summary of its listing, labeling, and follow-up services; a statement of its independence as a testing laboratory; and a copy of its Quality Assurance Manual including a description of its documentation, calibration system, appeals procedure, recordkeeping and operational procedures.

Nine major areas were examined in depth in carrying out the laboratory surveys: facility; test equipment; calibration program; test and evaluation procedures; test reports; records; quality assurance program; follow-up listing program; and personnel. The discrepancies noted by the survey teams in the on-site evaluations [Ex. 10.A.(1)] and in the extensive evaluations [Ex. 10.A.(2)] were adequately responded to by the applicant prior to the preparation of the survey report and are included as an integral part of the report.

With the preparation of the final survey reports of the Canadian Standards Association, the survey team was satisfied that the testing facilities appeared to meet the necessary criteria required by the standard, and so noted in the On-Site Review Report (Survey). (See Ex. 10.A.).

Following a review of the application file and the on-site survey reports of the CSA Montreal and Vancouver facilities, and the evaluation of the Edmonton, Moncton, and Winnipeg facilities (based upon questionnaire responses, supportive documentation, and video tapes of each site depicting the facility, test equipment, typical procedures, files, and staff), the NRTL Recognition Program staff concluded that the applicant appeared to have met the requirements for recognition as a Nationally Recognized Testing Laboratory for the five above noted facilities and, therefore, recommended to the Assistant Secretary that the application be preliminarily approved.

Based upon a review of the completed application file and the recommendation of the staff, the Assistant Secretary has made a preliminary finding that the Canadian Standards Association facilities for which accreditation was requested (Montreal, Vancouver, Edmonton, Moncton, and Winnipeg) can meet the requirements for recognition as required by 29 CFR 1910.7.

All interested members of the public are invited to supply detailed reasons and evidence supporting or challenging the sufficiency of the applicant's having met the requirements for a Nationally Recognized Testing Laboratory, as well as Appendix A, of 29 CFR 1910.7. Submission of pertinent written documents and exhibits shall be made no later than May 2, 1994, and must be addressed to the NRTL Recognition Program, Office of Variance Determination, room N1A3653, Occupational Safety and Health Administration, U.S. Department of Labor, 200 Constitution Avenue NW., Washington, DC 20210. Copies of the CSA application, the laboratory survey report, and all submitted comments, as received, (Docket No. NRTL-2-92), are available for inspection and duplication at the Docket Office, room N1A2634, Occupational Safety and Health Administration, U.S. Department of Labor, at the above address.

The Assistant Secretary's final decision on whether the applicant 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 Appendix A of section 1910.7.

Signed at Washington, DC this 25th day of February, 1994.

Joseph A. Dear,
Assistant Secretary.

[FR Doc. 94-4897 Filed 3-2-94; 8:45 am]