# Presentation: 811250

## Workshop on OSHA’s Nationally Recognized Testing Laboratory Program (NRTLP)

## Workshop on Nationally Recognized Testing Laboratory Program (NRTLP)

*  **Place: Brussels, Belgium*
*  **Date:  December 3, 1998*
*	**  **Program:*
*Opening*
*EU/US MRA Electrical Safety Annex*
*Overview of U.S. Requirements*
*Application Process*

_**Agenda**_

## List of Documents for Workshop

*  **Selected provisions of 29 CFR 1910*
*    **Subpart S*
*  **29 CFR Section 1910.7*
*  **Federal Register notice of March 9, 1995*
*  **Draft Application Guidelines - completed*
*    **sample *
*  **Draft Application Guidelines*
*  **Summary of Key Policies*
*  **Appendix F from draft NRTL Program*
*    **Directive*

## Introduction on EU/US MRA Electrical Safety Annex

***Overview - MRA***
*  **Composed of two parts:*
*Umbrella (or master) Agreement.*
*Sectoral Annexes, which contain requirements of specific industry sectors.*
*  **Umbrella: acceptance or recognition of *
*    **the results of conformity assessment *
*    **procedures.*
*  **Sectoral:  Electrical Safety Annex *
*    **relates to OSHA NRTLP.*

## Introduction on EU/US MRA Electrical Safety Annex

***Overview - Electrical Safety (ES) Annex***
*  **EC access to US market for electrical *
*    **safety requirements of products falling*
*    **under the scope of ****29 CFR 1910 Subpart S.***
*  **Coverage also includes electrical aspects *
*    **for workplace safety of medical and *
*    **telecommunications equipment.*

## Introduction on EU/US MRA Electrical Safety Annex

***Overview - Electrical Safety (ES) Annex***
*  **Includes the process to use in the *
*    **designation of conformity assessment *
*    **bodies.*
*  **Does not**** ****supercede or replace U.S. laws *
*    **or regulations.*
*  **Designation process**** ****does not replace *
*    **OSHA’s current NRTL application process.*

## Overview of U.S. Requirements

*  **Nationally Recognized Testing*
*    **Laboratory Program (NRTLP)*
*  **Product Coverage of NRTLP*
*  **Eligibility and Requirements for NRTL*
*    **Applicants*
*  **Appropriate Test Standards*
*  **Post Recognition and Key Issues*

_**Outline of Topics**_

## Overview of U.S. Requirements -Nationally Recognized Testing Laboratory Program (NRTLP)

***1. General***
*  **Recognizes **a private sector testing*
*    **organization's** capability to test and certify*
*    **specific types of products for workplace *
*    **safety.*
*  **Part of OSHA’s **Directorate of Technical *
*    **Support.*
*  **Seeks to prevent accidents through*
*    **assuring safety of products used by*
*    **American workers.*
*Commonly called the **NRTL Program.*

## Overview of U.S. Requirements -Nationally Recognized Testing Laboratory Program (NRTLP)

***2. History and Current Facts***
***  ******OSHA Safety Standards contain***
***    ******provisions requiring that certain***
***   ******equipment be "approved" by an NRTL.***
*  **When first adopted, the provisions either *
*    **required or implied that the equipment *
*    **approvals be performed only by *
*    **Underwriters Laboratories (UL) and Factory*
*    **Mutual Research Corporation (FMRC).*

## Overview of U.S. Requirements -Nationally Recognized Testing Laboratory Program (NRTLP)

***2. History and Current Facts***
*  **In 1983, OSHA ordered by a court to*
*    **remove the specific references to UL and *
*    **FMRC in a lawsuit brought by a private lab.*
*  **In 1988, OSHA revised its regulations to*
*    **remove the references, and established the*
*    **NRTL Program to recognize other *
*    **organizations as NRTLs.*

## Overview of U.S. Requirements -Nationally Recognized Testing Laboratory Program (NRTLP)

***2. History and Current Facts***
*  **Currently, 15 laboratories are recognized in*
*    **more than 35 locations, and pending*
*    **applications could result in a total of 21*
*    **laboratories in over 50 locations.*
*  **NRTLs have collectively been recognized to*
*    **test and certify to over 600 product safety *
*    **test standards.*

## Overview of U.S. Requirements -Nationally Recognized Testing Laboratory Program (NRTLP)

***3. Scope and Applicability***
*Requirements for NRTL approval of equipment apply to the great  majority of private employers in the U.S. and its territories.*
*Requirements apply to most Federal Government *_*places of employment.*_

## Overview of U.S. Requirements -Nationally Recognized Testing Laboratory Program (NRTLP)

***3. Scope and Applicability***
*Requirements also apply to state and local government *_*places of employment*_*, in states that are approved to operate an OSHA program.*
*Requirements apply only to workplaces and ****not to the marketplace.***

## Overview of U.S. Requirements -Nationally Recognized Testing Laboratory Program (NRTLP)

***3. Scope and Applicability***
*Requirements ****do not apply**** to state or local *_*code enforcement authorities*_*, although many accept or require certifications by an NRTL for purposes of their enforcement.*
*Legal authority to impose requirements on employers is given by the Occupational Safety and Health Act of 1970.*

## Overview of U.S. Requirements -Nationally Recognized Testing Laboratory Program (NRTLP)

***4. Significance of OSHA Recognition***
*Means the organization has met the legal requirements for recognition in 29 CFR Section 1910.7, i.e., the organization has the ****capability, control programs, complete independence, and reporting and complaint procedures**** to test and certify specific types of products for workplace safety.*

## Overview of U.S. Requirements -Nationally Recognized Testing Laboratory Program (NRTLP)

***4. Significance of OSHA Recognition***
*Means OSHA will accept products certified by the NRTL as meeting the “approval” requirements with which employers must comply.*
***Does not mean**** a government position, a transfer of government authority, or a government license.*

## Overview of U.S. Requirements -Product Coverage

***1. Types of Products Requiring NRTL***
***    ******Approval***
*  **Product types within the scope of the NRTL*
*    **Program are generally those for which*
*    **NRTL approval requirements are found in*
*    **29 CFR Part 1910.  A table of these types of*
*    **products is available on the Internet.  The *
*    **main types for which NRTLs are recognized*
*    **are:*
*Electrical equipment (****Subpart S****)*
*Fire detecting and extinguishing equipment*
*Liquefied Petroleum Gas (LPG) utilization equipment*

## Overview of U.S. Requirements -Product Coverage

***1. Types of Products Requiring NRTL ***
***    ******Approval***
*  **The scope of recognition of EU NRTLs is*
*    **limited to test standards for products falling*
*    **under the scope of Subpart S, i.e, electrical *
*    **conductors and equipment.*

## Overview of U.S. Requirements -Product Coverage

***1. Types of Products Requiring NRTL ***
***    ******Approval***
*  **29 CFR 1910 Subpart S*
*Refers to Subpart S of Part 1910 of Title 29, Code of Federal Regulations (CFR).*
*The CFR contains the official regulations of US Government Agencies.*

## Overview of U.S. Requirements -Product Coverage

***1. Types of Products Requiring NRTL ***
***    ******Approval***
*  **29 CFR 1910 Subpart S*
*Part 1910 contains OSHA’s General Industry Safety Standards*
*Subpart S - Electrical: consists of *_*sections*_* 1910.301 through 1910.399*

## Overview of U.S. Requirements -Product Coverage

***1. Types of Products Requiring NRTL ***
***    ******Approval***
*  **Scope of Subpart S, see 1910.302(a)*
*  **Includes virtually all electrical equipment*
*    “**installed or used within or on buildings, *
*    **structures, and other premises including:”*
*  **Mobile homes*
*  **Recreational Vehicles*
*  **Industrial Substations*

## Overview of U.S. Requirements -Product Coverage

***1. Types of Products Requiring NRTL ***
***    ******Approval***
*  **Scope of Subpart S (continued)*
*Includes equipment used in hazardous (classified) locations (1910.307); use of zone classification is not permitted at this time.*
*Excludes electrical equipment installations on ships, aircraft, most vehicles, and underground mines.*

## Overview of U.S. Requirements -Product Coverage

***1. Types of Products Requiring NRTL ***
***    ******Approval***
*  **Scope of Subpart S (continued)*
*Excludes electrical equipment installations of utilities or railway companies used for communications, or for power generation, distribution, and other power related functions.*

## Overview of U.S. Requirements -Product Coverage

***1. Types of Products Requiring NRTL ***
***    ******Approval***
*  **Content of Subpart S:*
*Contains *_*safety*_* requirements with which employers must comply.*
*The technical safety requirements for equipment are found in appropriate test standards.*

## Overview of U.S. Requirements -Product Coverage

***2. Example of Specific References (see ***
***    ******selected provisions)***
*  **Section 1910.303(a), and applicable *
*    **definitions, are the main reference to NRTL *
*    **approval in Subpart S:*
* **The conductors and equipment required or permitted by this part shall be acceptable only if tested and certified by an NRTL, although there are minor exceptions.*

## Overview of U.S. Requirements -Product Coverage

***2. Example of Specific References***
*  **Definition of “acceptable” is key (see *
*    **section 1910.399) - A product is acceptable*
*    **to OSHA if:*
*It is tested and certified by an NRTL, or*
*It is tested by a Federal, state or local authority and is of a kind that no NRTL tests and certifies, or*
*It is custom-made equipment designed for a particular customer and determined to be safe by its manufacturer. *

## Overview of U.S. Requirements -Eligibility and Requirements

***1. Eligibility***
*  **Any testing organization may apply for*
*    **NRTL Program recognition*
*May be U.S.-based or otherwise.*
*May be owned by a U.S. or foreign organization, but if foreign, OSHA must make a determination about equal treatment by the foreign country.*
*  **An applicant must have the capability to be*
*    **both a testing laboratory and certification*
*    **body.*

## Overview of U.S. Requirements -Eligibility and Requirements

***2. Requirements for Recognition***
*29 CFR Section 1910.7 contains the legal requirements that an organization must meet to obtain and retain its recognition as an NRTL. *
* *
*Appendix A to this section contains the requirements that OSHA  follows in approving or denying the recognition (****see 29 CFR 1910.7****).*

## Overview of U.S. Requirements -Eligibility and Requirements

***2. Requirements for Recognition***
*There are ****four basic requirements**** that an organization must meet:*
*It must have the ****capability**** (including proper testing equipment and facilities, trained staff, written testing procedures, and calibration and quality control programs) to perform testing for each item to be certified.*

## Overview of U.S. Requirements -Eligibility and Requirements

***2. Requirements for Recognition***
*Four basic requirements (continued)*
*It must have adequate ****controls**** for:*
*Listing and labeling the items it certifies.*
*Conducting follow-up inspections of the actual production of items to evaluate conformance with test standards.*
*Conducting field inspections to assure proper use of its marks or labels.*

## Overview of U.S. Requirements -Eligibility and Requirements

***2. Requirements for Recognition***
*Four basic requirements (continued)*
*It must be ****completely independent**** of employers (i.e., users), manufacturers, and vendors of the items it tests and certifies.*
*It must have ****effective procedures**** for producing its findings and reports, and for handling complaints and disputes fairly.** *

## Overview of U.S. Requirements -Eligibility and Requirements

***3. Evaluation Criteria***
*In evaluating whether an NRTL ****meets the requirements for recognition****, OSHA uses the specific criteria shown in the Detailed Application Information/Evaluation Criteria section of the Applications Guidelines (****see Guidelines****).*
*Criteria are partly based on modified portions of specific ISO Guides.*

## Overview of U.S. Requirements -Eligibility and Requirements

***3. Evaluation Criteria***
*  **Criteria are also based on specific OSHA*
*    **policies, which take precedence where*
*    **there are differences with any provisions of *
*    **the specific ISO Guides.*
***  ******Requirements in 1910.7 are broad****, not as*
*    **detailed as the ISO Guides, and in the case*
*    **of the requirement on complete*
*    **independence, exceed the general provisions *
*    **on independence in the appropriate ISO *
*    **Guides.*

## Overview of U.S. Requirements -Eligibility and Requirements

***3. Evaluation Criteria***
*  **Requirements in 1910.7 are only similar to,*
*    **and not the same as, the “provisions” of the*
*    **ISO Guides.*
*  **The general basis for the criteria is *
*    **explained in**** Appendix F ****of the Directive.*

## Overview of U.S. Requirements -Eligibility and Requirements

***4. Key Policies (see summary)***
*Follow-up Inspection Program and Frequency *
*Independence of an NRTL *
*Sites*
*Quality Assurance and Internal Audits*
*Allowable and Withdrawn Test Standards *
*Certification Marks and Listing Programs*

## Overview of U.S. Requirements -Eligibility and Requirements

***5. Supplemental Programs (see March 9, 1995 notice)***
*An NRTL may be recognized to use outside parties to do part of its testing or certification activities.*
*OSHA has broadly grouped the testing and certification activities that an NRTL may undertake under nine (9) programs.*
*The first, or basic, program requires the NRTL to perform all activities itself without use of outside parties.*

## Overview of U.S. Requirements -Eligibility and Requirements

***5. Supplemental Programs (see March 9, 1995 notice)***
*The remaining 8, or supplemental, programs involve the NRTL’s ****use and control**** of outside parties to perform specific types of activities.*
*The program descriptions and criteria for each program were first publicly issued on March 9, 1995 in the US Federal Register.*

## Overview of U.S. Requirements -Eligibility and Requirements

***5. Supplemental Programs (March 9, 1995 notice)***
*The description of the supplemental programs and a brief explanation of each follows.  In practice, an NRTL’s use of outside parties may be a combination of different aspects of various programs.*
*The NRTL must meet the criteria for the first program, and certain minimum criteria, to use any of the supplemental programs.*

## Overview of U.S. Requirements -Eligibility and Requirements

***5. Supplemental Programs (March 9, 1995 notice)***
*Programs 2 and 3: Acceptance of testing data (#2) or product evaluations (#3) from independent organizations *
*The NRTL must:*
*Have a program to qualify independent organizations*
*Ensure the organization does not subcontract the activity*
*Meet the criteria for #2 to use #3*

## Overview of U.S. Requirements -Eligibility and Requirements

***5. Supplemental Programs (March 9, 1995 notice)***
*Program 4: Acceptance of Witnessed testing data*
*The NRTL, using its own qualified personnel, may witness tests for outside parties.*
*The outside party may or may not be independent of users, manufacturers, and vendors.*

## Overview of U.S. Requirements -Eligibility and Requirements

***5. Supplemental Programs (March 9, 1995 notice)***
*Programs 5 and 6: Acceptance of testing data (#5) or product evaluations (#6) from non-independent organizations (including manufacturers)*
*The NRTL must have established a long term relationship with the manufacturer, and meet the criteria for #2 to use #5, and #3 and #5 to use #6.*

## Overview of U.S. Requirements -Eligibility and Requirements

***5. Supplemental Programs (March 9, 1995 notice)***
*Program 7: Continued certification following minor product modifications by the client*
*The NRTL must clearly define what constitutes a minor modification, and meet the criteria for #6.*

## Overview of U.S. Requirements -Eligibility and Requirements

***5. Supplemental Programs (March 9, 1995 notice)***
*Program 8: Acceptance of product evaluations from organizations that function as part of the International Electrotechnical Commission Certification Body (IEC-CB) scheme*
*The NRTL must have proper procedures to review testing data, evaluations, national deviations, and components.*

## Overview of U.S. Requirements -Eligibility and Requirements

***5. Supplemental Programs (March 9, 1995 notice)***
*Program 9: Acceptance of services, other than testing or evaluation, performed by subcontractors or agents** *
*The NRTL must have procedures to properly qualify the organization.*
*Services may include calibrations and follow-up inspections.*

## Overview of U.S. Requirements -Appropriate Test Standards

***1. Requirements and Guidelines***
*Approval requirements and guidelines - A test standard may be approved for recognition if it is:*
*Within the scope of the NRTL Program based on the products it covers.*
*A "document that specifies the safety [not primarily installation or maintenance] requirements" for a specific type of product, contains or references testing methods, and does not conflict with OSHA standards.*

## Overview of U.S. Requirements -Appropriate Test Standards

***1. Requirements and Guidelines***
*Approval requirements and guidelines  (continued):*
*Issued by a US-based standards organization (e.g., ANSI) and provides an adequate level of safety.*
*Developed under a method providing for input by a broad spectrum of those experienced in the safety field involved and that is consistent with an ANSI approved method.*
*Maintained current with revisions of applicable codes and installation standards, as demonstrated by proper policies and procedures.*

## Overview of U.S. Requirements -Appropriate Test Standards

***1. Requirements and Guidelines***
*Standards of the following organizations have been approved for NRTLs:*
*American National Standards Institute (ANSI)*
*American Society for Testing and Materials (ASTM)*
*Underwriters Laboratories (UL)*
*Factory Mutual Research Corporation (FMRC)*

## Overview of U.S. Requirements -Appropriate Test Standards

***1. Requirements and Guidelines***
*ANSI and ASTM standards are acceptable in accordance with section 1910.7.*
*Not all test standards from these four organizations are necessarily appropriate. *

## Overview of U.S. Requirements -Appropriate Test Standards

***2. Examples of appropriate test standards***
*Over 600 individual product safety standards have been recognized and a complete list is available through the Internet.*
*Examples of standards recognized:*
*ANSI/UL 50 Enclosures for Electrical Equipment*
*ANSI/IEEE C37.21 Control Switchboards.*
*ANSI/UL 696 Electric Toys*
*ANSI/UL 1082 Household Electric Coffee Makers*
*ANSI/UL 1950 Information Technology Equipment Including Electrical Business Equipment*

## Overview of U.S. Requirements -Post Recognition Activities and Issues

***1. OSHA Audits***
*An on-site audit of each NRTL is scheduled annually to verify that the laboratory's capability and quality of operation has been maintained.*
*In some cases, an office audit may be performed in place of the on-site audit, or more than one on-site audit may be done in a year if warranted.*
*Audits are conducted by OSHA staff.** *

## Overview of U.S. Requirements -Post Recognition and Issues

***2. Expansions and Renewals***
*Expansions*
*Once recognized, NRTLs often request an expansion of their scope of recognition.*
*Such expansions may be requested in any of the three areas that define the scope of recognition: sites, standards, or programs.*

## Overview of U.S. Requirements -Post Recognition and Issues

***2. Expansions and Renewals***
*Renewals*
*NRTL recognition is for a period of 5 years.*
*After the first five years, an NRTL must apply for and receive renewal of recognition to continue to operate as an NRTL.*

## Overview of U.S. Requirements -Post Recognition and Issues

***3. Pending Issues***
*Fees*
*OSHA has developed a proposal to charge fees to NRTL applicants and to NRTLs.*
*The fees are to be based on the cost of specific activities performed for an applicant or for an NRTL.*

## Overview of U.S. Requirements -Post Recognition and Issues

***3. Pending Issues***
*NRTL mark*
*OSHA had applied and subsequently withdrew an application to register the acronym “NRTL” as a certification mark.*
*OSHA has no current plans to pursue registration of such a mark.*

## Application Process Overview

***1. Major steps in the application process***
*Application - Application Guidelines are available in hard copy, on diskette and on the Internet.*
*Application Review - OSHA reviews the application for completeness and adequacy, and formally accepts or rejects the application.*
*On-Site Review - Following acceptance, a 2-3 day on-site review is performed of the applicant’s testing and administrative facilities.*

## Application Process Overview

***1. Major steps in the application process***
*Evaluation and Approval - The on-site assessors provide a report on their findings.  A determination is made regarding whether the applicant has met the requirements for recognition.  OSHA publishes its findings in the Federal Register and solicits comments.  Following resolution of any issues raised, another notice granting recognition is published.*
*Notification - Successful applicants are sent a formal notification by the **Assistant Secretary of Labor - OSHA, the head of the Agency**, which sets forth the terms of the recognition.*

## Application Process Overview

***2. Application Processing Time***
*  **The initial phase of the application*
*     **process, i.e., time from application receipt*
*    **to preparation of the first public notice, *
*    **which includes performance and reports of *
*    **on-site reviews, may take between 8 to 14*
*    **months.*
*  **Application processing may be delayed, for*
*    **example, due to lack of complete*
*    **application information or due to issues*
*    **raised in public comments or related to the*
*   **applicant’s qualifications.*

## Application Process Overview

***2. Application Processing Time***
*  **Normal time to process and publish the two*
*    **public notices that are required for a*
*    **recognition, i.e., the final phase of the*
*    **NRTL application process, is about 120*
*    **days.*
*  **OSHA will consider an application *
*    “**complete” under the MRA when the first*
*    **public notice has been prepared.*

## Application Process Overview

***3. Scope of  Recognition***
*Each NRTL applies for and is recognized for a specific scope of recognition.*
*The **specific product safety test standards** for which a laboratory applies and is approved defines one area of the scope of its recognition.  The other areas are the **specific sites** and the **specific programs** for which the NRTL has been recognized.*

## Application Process Overview

***3. Scope of  Recognition***
*OSHA does not specify the test standards that an NRTL must use.*
*However, the scope of recognition of EU NRTLs is limited to test standards for products falling under the scope of subpart S, i.e, electrical conductors and equipment.*

## Application ProcessCompleting the Application

***1. Application Guidelines ***
*The Guidelines are arranged to provide a suggested format to follow. *
*See ****sample of completed application.***

## Information

*  *
*  **For information on the NRTL Program:*
*    **Call (202) 693-2110 or visit the NRTL*
*    **Program web site at:**	*
***    ******http://www.osha-slc.gov/SLTC/nrtl/index.html**** You can also access the site by selecting “Programs” at: ****http://www.osha.gov***
*	*