Federal Registers - Table of Contents|
| Publication Date:||08/09/1994|
| Publication Type:||Notice|
| Fed Register #:||59:40602-40609|
| Standard Number:||1910.7|
| Title:||Canadian Standards Association|
DEPARTMENT OF LABOR
Occupational Safety and Health Administration
[Docket No. NRTL-2-92]
Canadian Standards Association
AGENCY: Occupational Safety and Health Administration, Department of Labor.
ACTION: Notice of recognition as a nationally recognized testing laboratory.
SUMMARY: This notice announces the Agency's final decision on the Canadian Standards Association's application for its Pointe-Claire (Montreal), Richmond (Vancouver), Edmonton, Moncton, and Winnipeg facilities for inclusion in the previous recognition of its Rexdale facility as a Nationally Recognized Testing Laboratory (NRTL) under 29 CFR 1910.7.
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.
Notice of Final Decision
Notice is hereby given that the Canadian Standards Association (CSA), which made application for recognition pursuant to 29 CFR 1910.7, has been recognized as a Nationally Recognized Testing Laboratory for the equipment or material listed below.
The addresses of the laboratories covered by this recognition 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 Burnswick E1E 4M3, Canada Canadian Standards Association, Winnipeg Facility, 50 Paramount Road, Winnipeg, Manitoba R2X 2W3, Canada.
The Canadian Standards Association is an independent organization providing integrated services in the fields of standards development and conformity assessment. The Certification and Testing Division provides conformity assessment programs including laboratory testing, certification, inspection and quality management services.
CSA originated in 1919 as the Canadian Engineering Standards Association (CESA), which was changed in 1944 to the present name. In 1940, CSA began to test and certify products.
CSA's initial application, dated April 20, 1989 (Ex. 2A), was amended by letter dated January 16, 1990 (Ex. 2C) to expand the original request for NRTL recognition to test and certify products from only two standards to more than 360 acceptable test standards. By letter dated December 20, 1991 (Ex. 2M), CSA further amended its application for recognition as follows:
1. The scope of this application relating to certification services is to be limited to in-house testing, and
2. (a) The initial phase of the recognition is to be limited to the Rexdale (Toronto) facility.
(b) In parallel with the above, proceed with the assessments of the remaining CSA facilities.
An on-site evaluation of the Rexdale facility was conducted from November 4 through November 8, 1991, and the results discussed with the applicant who responded with appropriate corrective actions and clarifications to recommendations made as a result of the survey.
A notice of CSA's application together with a positive preliminary finding was published in the Federal Register on June 3, 1992 (57 23429-23434), (Ex. 1).
The notice of CSA's recognition of its Rexdale facility as a nationally recognized testing laboratory was published in the Federal Register on December 24, 1992 (57 FR 61452-61460), (Ex. 6). This recognition was expanded on February 4, 1994 (59 FR 5447).
On-site evaluations were carried out at the Pointe Claire (Montreal) facility on December 14 and 15, 1992, and at the Richmond (Vancouver) facility on December 16 and 17, 1992. Evaluations of the Moncton, Winnipeg, and Edmonton facilities were based upon response to a questionnaire sent to each facility, supportive documentation, and video tapes of each site depicting the facility, test equipment, typical procedures, files, and staff.
The final review report and evaluations (Ex. 11) consisting of both on-site and other evaluations of the five facilities listed above, including administrative and technical practices, and the OSHA staff recommendations, were subsequently forwarded to the Assistant Secretary for a preliminary finding on the application. A notice of CSA's application together with a positive preliminary finding were published in the Federal Register on March 3, 1994 (59 FR 10173-10180). Interested parties were invited to submit comments.
There were no responses to the Federal Register notice of the CSA application and preliminary finding (Docket No. NRTL-2-92).
Canadian Standards Association Overview
The Canadian Standards Association is an organization that has six main test facilities located in Canada. In addition, CSA either maintains test facilities overseas or enters into contract arrangements with foreign laboratories and inspection organizations. CSA is a standards producing organization that is actively working towards harmonizing the Canadian and United States Standards.
The Rexdale facility houses the headquarters of the Central Operations. The Rexdale Facility contains the corporate headquarters, a Standards Division, Finance and Administration Division, and a Certification and Testing Division. The laboratory, established in 1919, has been at this location since 1954. The Central Operations includes the Prairie Region (Winnipeg) and the Central Region (Rexdale). In addition, the explosion testing laboratory in Ottawa, under 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 headquarters of the Eastern Operations. The Eastern Operations includes the following regional operations: Eastern Region (Pointe-Claire), Atlantic Region (Moncton), and European Area (Brussels). The Eastern Region and Atlantic Region maintain testing and inspection facilities for Eastern North America. The European Area maintains a facility in Brussels and includes Europe, Africa and the Middle East, and is not covered by this recognition. Testing in the European Area is contracted to acceptable laboratories in the European community. Certification of products, review of the follow-up, and review of the test results are accomplished by the CSA Brussels Office.
The Vancouver (Richmond) facility houses the headquarters of the Pacific Rim Operations. The Pacific Rim Operations include the following regional operations: the Pacific Region (Richmond), Western Region (Edmonton), Japan Operations (Tokyo) and the Hong Kong Operations. The Pacific Region and Western Region maintain testing and inspection facilities for Western North America. The Japan and Hong Kong Operations include CSA testing facilities in Japan, Hong Kong, Korea, Taiwan, and either CSA or contracted inspection facilities throughout the Pacific Rim countries, and are not covered by this recognition.
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 Operations, Central Operations, and the Pacific Operations each has a Quality Assurance Office, and all of the nine Regional (Area) Offices also have Quality Assurance Offices. The Regional Quality Assurance Offices have a reporting relationship with the respective Operations Quality Assurance Office, and with the EQA.
Each Regional Quality Assurance Office is responsible for the quality assurance at its respective facility. Each Operations Quality Assurance Office is responsible for the respective quality assurance at its operation and all the regions within its operation. The EQA is responsible for the Certification and Testing Division Quality Assurance, including all of the operations and regions.
The Certification & 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 Rim. EQA uses Divisional Quality Documents (DQD) to establish Quality Assurance Procedures; Certification and Testing Division Operating Procedures (CDOP) and 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.
The CSA audit structure is multilevel. EQA audits the regions, the Operations Quality Assurance Office audits the regions, and each Regional Quality Assurance Office performs self audits. In addition, such outside agencies as the Standards Council of Canada (SCC) perform yearly audits which involve EQA representation during the audit. Thus, the Edmonton and Moncton regions were subjected to at least five audits since July of 1991, and the Winnipeg region to at least four audits. In addition, specific technical audits of each region are performed by the senior technical engineer from the operations office.
Requirements of 29 CFR 1910.7
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.
Based upon the on-site review reports and evaluations and the products and standards in question, CSA's facilities have adequate floor space for testing and evaluation and an adequate number of technical and professional personnel to accomplish the services required for the present workload in the areas of recognition CSA seeks.
CSA submitted personal resumes and position descriptions for the key C&T Division personnel, which include general accountability, reporting relationships, specific accountabilities, dimensions, and nature and scope. All personnel appear to be suitably educated and trained to carry out their assigned duties.
Test equipment is available to perform testing in accordance with the standards. Test equipment not available is purchased as required.
An inventory list identifies the various pieces of equipment by inventory number, instrument name, model and serial number, location in laboratory, range, accuracy, and manufacturer. The calibration lab maintains a separate equipment inventory list. Operational status and calibration information is maintained on instrument history files in the calibration laboratory.
Manufacturer's instructions on use and maintenance of test equipment are on file in the calibration laboratory. Instruction manuals are available at the appropriate work stations. Test equipment subjected to overloading or mishandling, or giving suspect results, is returned to the calibration laboratory. Defective equipment is retained in the instrumentation repair department. After repairs are completed, the instruments are re-calibrated before release. Tests that have been performed with defective equipment are reevaluated.
The manager of service quality has responsibility for the operation of the metrology laboratory which includes three full time calibration technologists who report, in turn, to a team coordinator.
All electrical measuring instrumentation is calibrated once per year at a minimum. Where equipment manufacturer recommended calibration intervals are exceeded, the instrument history records are used to determine any necessary reduced calibration intervals. New and repaired test equipment is calibrated prior to use. Power supplies, although not accurately calibrated, have their output set using calibrated equipment. Dated calibration labels are affixed to the instruments to indicate the calibration status.
Calibration and repair records are maintained on the metrology laboratory computer database. The data is maintained for the life of the equipment. The metrology laboratory computer database generates monthly recall lists on instruments due for calibration the following month. The team coordinators and quality assurance representatives ensure that the instruments are returned for calibration.
Calibration standards are traceable to the National Research Council of Canada (NRCC) or to the National Institute of Standards and Technology (NIST).
Published standards, test procedures, the quality assurance manual, divisional quality documents, and divisional operating procedures all contain construction or testing parameters to be met by the product being evaluated. These documents specify, as required, chronological order of evaluation. Experienced and trained personnel are responsible for conducting various stages of the investigation. The testing personnel are generally technical college graduates.
At the time of the on-site evaluation, not all requests for testing were documented. A directive has been issued requiring the documentation in the job files of all requests for tests or evaluations that are received from customers.
The engineering and quality assurance group develops, reviews and maintains the divisional quality documents (procedures). Procedures are reviewed once per year. Senior staff, audits and investigations staff, and engineering and quality assurance representatives are responsible for determining if procedures are followed. Work orders are prepared for the testing staff which specify the standards and clause numbers to be followed.
A letter is sent to the clients describing the construction or test deficiencies encountered during the course of the evaluation. No approval is granted until all deficiencies have been resolved.
The shipping/receiving department applies identification labels directly on the test samples to enable identification after they have been removed from shipping cartons. Technicians apply further identification tags, labels or direct markings to differentiate between similar samples or sets of samples.
Technical policy decisions regarding standards interpretations and deviations are developed by a consensus of technical experts. The laboratory distributes technical letters describing standards policy decisions. The engineering and quality assurance group is responsible for the development and issuance of technical policy decisions.
The tests procedures contain the following: Instructions on equipment; preparation of test samples; standard testing techniques; references to specific standards including titles and dates; testing equipment and accuracies; precautionary statements for operator safety; test data to be obtained, measurement resolution and data recording time; ambient conditions and adverse environmental conditions; and acceptance criteria during tests.
Test procedures are reviewed and approved by the engineering and quality assurance group. The procedures are reviewed once per year.
Test data sheets and attached work order contain the following: standard and clause numbers; product model number; measuring and test instruments; test date and file number, signature of tester and reviewer; ambient conditions; test observations and deviation; test data in the form of compliance, non-compliance, or the need for further review. An Engineering Policy has been issued that requires the documentation of the rationale for the waiving of any tests specified in the applicable standard.
The Certification and Testing 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, and OSHA has determined that it meets its 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 responsibilities 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.
OSHA is satisfied that the conditions noted above meet the requirements.
Creditable Reports/Complaint Handling
Section 1910.7(b)(4) provides that an OSHA recognized NRTL must maintain effective procedures for producing creditable findings and reports that are objective and without bias. The laboratory, in order to be recognized, must also maintain effective procedures for handling complaints under a fair and reasonable system.
The Canadian Standards Association maintains effective procedures for producing creditable findings or reports that are objective and without bias as demonstrated by its application as well as the on-site review report.
CSA has in force an appeals procedure, designed primarily for their clients, which consists of a comprehensive system for handling complaints and ultimately providing an unbiased review of any controversial matter. All complaints and disputes are 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.
There is also a system in effect enabling any interested party to file complaints concerning certification related matters, manufacturing related matters, or test standards discrepancies. Upon receipt of a complaint from a concerned party, the appropriate CSA section would take the matter under advisement to determine what corrective action should be taken. All complaints are investigated to determine if and what corrective action may be necessary.
CSA routinely investigates incidents involving CSA marked products. This is done with the help of regulatory and law enforcement authorities, consumers and manufacturers. The investigations are performed by the Special Support Services group. Their mandate is to protect the integrity of the Registered CSA Mark. The Special Support Services group investigates fires, examines products, does research, conducts fact finding studies, analyzes failures and trends and, when required, presents evidence in court.
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.
The certification reports contain the following: name and location of submitter and factory; title, number, and date of standard used for evaluation; file number, report date, edition number and revision date; description of product including drawings, specifications, and photographs; conditions of product use; construction and testing narratives which describe how the product(s) comply with the standard; tests and results of tests; deviations and technical rationale for acceptance.
The jobholder, or certification engineer, is responsible for the preparation and review of the final report. The test report is written by the technician. The senior technician also is responsible for reviewing and signing the test report before it is reviewed by the certification engineer. Certification reports are revised with replacement pages. A new report is prepared if extensive changes are required. Copies of the certification report are given to the customer, jurisdictional authorities, where required, and are placed in follow-up inspection files and main certification files.
Type of Testing
The standard contemplates that testing done by NRTLs fall into one of two categories: testing to determine conformance with appropriate test standards, or experimental testing where there might not be one specific test standard covering the new product or material. CSA has applied for recognition in the first category. The test standards included in this recognition are the same as those covered in the Rexdale (Toronto) recognition. They were found to be appropriate test standards during that recognition.
Section 1910.7(b)(2) requires that the NRTL provide certain follow-up procedures to the extent necessary for the particular equipment or material to be listed, labeled, or accepted. These include implementation of control procedures for identifying the listed or labeled equipment or materials, inspecting the production run at factories to assure conformance with test standards, and conducting field inspections to monitor and assure the proper use of the label.
The applicant 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 specified 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, and notifying CSA when changes are made to certified products. These terms and conditions are designed to protect the integrity of the CSA Mark, which is also registered as a certification mark with the U.S. Patent Office.
CSA established a comprehensive field service program to ensure that manufactured products bearing any CSA Mark continue to meet the applicable requirements. The program consists of three elements:
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 and requirements;
The inspections are unannounced and are based on performing a minimum of four inspections per factory per year. The frequency varies with production volumes, the types of product 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 product 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 reexamined 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 provide feedback to the standards writing and certification process.
Section 1910.7(b)(3) requires that an NRTL be completely independent of employers subject to the tested equipment requirements and of any manufacturer or vendors of equipment or materials being tested. The applicant stated in its application that it is in complete compliance with this requirement.
The applicant has demonstrated that it 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 further demonstrated that the organization has no affiliation with manufacturers or suppliers of the products submitted for testing and certification. Several documents were submitted as a part of the CSA application to address the issue of independence.
Section 1910.7 requires that an NRTL use "appropriate test standards", which are defined, in part, to include any standard that is currently designated as an ANSI safety designated product standard. As to the non-ANSI UL test standards for which CSA has applied to test products to, OSHA previously had examined the status of the Underwriters Laboratories Inc. (UL) Standards for Safety and, in particular, the method of their development, revision and implementation, and had determined that they are appropriate test standards under the criteria described in 29 CFR 1910.7(c) (1), (2), and (3). (See 54 FR 25643, 25645 (6/16/89), "Dash, Straus and Goodhue, Inc.; Recognition as a Nationally Recognized Testing Laboratory". That is, these standards specify the safety requirements for specific equipment or classes of equipment and are recognized in the United States as safety standards providing adequate levels of safety; they are compatible and remain current with periodic revisions of applicable national codes and installation standards; and they are developed by a standards developing organization under a method providing for input and consideration of views of industry groups, experts, users, consumers, governmental authorities, and others having broad experience in the safety fields involved.
The laboratory subscribes to the ANSI/UL standards updating service. Standards and revisions are distributed to appropriate laboratory personnel. Revised or superseded standards are archived.
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), Ex. 10A(2), as follows, and are found to be acceptable:
Ponte-Claire (Montreal) Facility - Exhibit 10A(2)(A);
Richmond (Vancouver) Facility - Exhibit 10A(2)(B);
Moncton Facility - Exhibit 10A(2)(C);
Winnipeg Facility - Exhibit 10A(2)(D);
Edmonton Facility - Exhibit 10A(2)(E).
Final Decision and Order
Based upon a preponderance of the evidence resulting from an examination of the complete application, the supporting documentation, and the OSHA staff finding including the on-site report and evaluations, and public comments, OSHA finds that the Canadian Standards Association, the Pointe-Claire (Montreal), the Richmond (Vancouver), the Edmonton, the Moncton, and the Winnipeg facilities, have met the requirements of 29 CFR 1910.7 to be recognized by OSHA as a Nationally Recognized Testing Laboratory to test and certify certain equipment or materials.
Pursuant to the authority in 29 CFR 1910.7, the Canadian Standards Association, the Pointe-Claire (Montreal) Facility, the Richmond (Vancouver) Facility, the Edmonton Facility, the Moncton Facility, and the Winnipeg Facility are hereby recognized as a Nationally Recognized Testing Laboratory subject to the conditions listed below. This recognition is limited to equipment or materials which, under 29 CFR Part 1910, require testing, listing, labeling, approval, acceptance, or certification, by a Nationally Recognized Testing Laboratory. This recognition is limited to the use of the following test standards for the testing and certification of equipment or materials included within the scope of these standards.
CSA has stated that all the standards in these categories are used to test equipment or materials which may be used in environments under OSHA's jurisdiction. These standards are all considered appropriate test standards under 29 CFR 1910.7(c):
ANSI Z21.1 - Household Cooking Gas Appliances
The Canadian Standards Association must also abide by the following conditions of its recognition, in addition to those already required by 29 CFR 1910.7:
This recognition applies to the Canadian Standards Association facilities in Canada only. Specifically, CSA's facilities in Pointe-Claire (Montreal) Richmond (Vancouver), Edmonton, Moncton, and Winnipeg;
Products tested or evaluated at other CSA facilities (or independent facilities that may be used by CSA for the purpose of testing equipment) must be re-evaluated by a CSA facility recognized as an NTRL by OSHA (i.e., the recognized CSA facilities will critically review the complete test data package, ensure the data was collected by qualified and independent sources, and physically evaluate the product's components and construction;
This recognition also does not apply to any aspect of any Canadian Standards Association program which is available only to qualified manufacturers and is based upon the NRTL's evaluation and accreditation of the manufacturer's quality assurance program;
The Occupational Safety and Health Administration shall be allowed access to CSA's facilities and records for purposes of ascertaining continuing compliance with the terms of its recognition and to investigate as OSHA deems necessary;
If CSA has reason to doubt the efficacy of any test standard it is using under this program, it shall promptly inform the test standard developing organization of this fact and provide that organization with appropriate relevant information upon which its concerns are based;
CSA shall not engage in or permit others to engage in any misrepresentation of the scope of conditions of its recognition. As part of this condition, CSA 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;
CSA shall inform OSHA as soon as possible, in writing, of any change of ownership, facilities, or key personnel, including details;
CSA will continue to meet the requirements for recognition in all areas where it has been recognized; and
CSA will always cooperate with OSHA to assure compliance with the letter as well as the spirit of its recognition and 29 CFR 1910.7.
This recognition will become effective on August 9, 1994 and will be valid for a period of five years from the date of the recognition of the Rexdale (Toronto) facility, that is, until December 24, 1997, unless terminated prior to that date, in accordance with 29 CFR 1910.7.
Joseph A. Dear
[FR Doc. 94-19387 Filed 8-8-94; 8:45 am]
Federal Registers - Table of Contents|