Raymond. E.Burg@us.u Tb: Jim.Raba@EE.DOE.GOV

I.com cc: burg@us.ul.com, Edward.Pollock@EE.DOE.GOV,

lenore.j.berman@us.ul.com, stricklett@nist.gov,

01/24/02 06:35 PM Keith.A.Mowry@us.ul.com, Jodine.E.Smyth@us.ul.com,

James.Beyreis@us.ul.com

Subject: Re: Client Interactive Programs Manual

Good Afternoon Jim,

Please excuse our delay in responding, but we wanted to provide you with a

complete and accurate answer. The information provided in the attached

letter has been provided by our Global Accreditation Services and reviewed

by Mr. Keith Mowry our Department Manager of our Global Accreditation

Services. Keith Mowry has been involved with the work of ISO CASCO for more

than 10 years. ISO CASCO is the committee responsible for -SO/IEC

documents for conformity assessment bodies and activities. For the past

two years, Mr. Mowry has served as the Chair of the American National

Standards Institute International Conformity Assessment Committee (ANSI

?CAC) which is the U.S. representative to ISO CASCO. In that capacity, Mr.

Mowry has provided national leadership in defining U.S. positions to ISO

CASCO and has led the U.S. delegation to the 2000 and 2001 CASCO plenary

meetings.

We hope this information provides you with the response to your inquiries

and you can proceed with the final formal recognition of L under DOE's

Energy Efficiency program. If you have any further cuestions, please let

us know. We also will be faxing and FED-Eking the formal copies of the

letter to your attention.

(See attached file: Raba DOE 1-24-02.doc)

Ray Burg

Manager - CAS 3015E - 1\73K - !Lk'-&R

Underwriters Laboratories --Inc.

333 Pfingsten Road

Northbrook , IL, 60062

Tel: 847 - 272-8800 -x 42257

Fax: 847-509-6227

http: // w-uvw .ul.com

,im.Raba@EE.DO

E.GOV To: burg@us.ul.com,

lenore. j.berman @us.ul.cam

01/22/2002

09:26 AM

Programs Manual

cc: Edward. Pollock@EE.DOE.GOV,

stricklett@nist.gov

Subject: Client Interactive

Ray,

Good morning and thanks again for permitting me to examine Chapter 2,

"Client Test Data Program" in the UL Client Interactive Programs Manual.

Question: To what national or international certification criteria does

EE-RM-96-400-UL COMMENT 23
Chapter 2, and therefore the Manual adhere?

Chapter 2 appears to follow the general requirements and guidelines for a

certification body set forth in ISO/IEC Guides 27-1983 and 28-1982,

referred to in section 431.27(c)(3) of 10 CFR Part 431, but I found no

reference to either ISO/IEC Guide 27 or 28 in Chapter 2. Does the UL

"Client Test Data Program" or the "Energy Verification Service" adhere to

ISO/IEC Guides 27 and 28? If so, where are they mentioned?

Also, is there any UL requirement for a manufacturer's motor efficiency

testing laboratory to meet the requirements set forth in ISO/IEC Guide

25-1990, referred to in section 431.27(c)(3) of 10 CFR Part 431? If so,

where is such a requirement mentioned and what procedures does UL follow to

ensure a manufacturer adheres to ISO/IEC Guide 25?

Yours truly,

Jim

202-586-8654

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Raba DOE 1-24-02.doc

0

EE-RM-96-400-UL COMMENT 23
January 24, 2002

Mr. James Raba

Building Research and Standards

Energy Efficiency and Renewable Energy

Department of Energy

Washington, DC 20585

Subject: E-Mail of July 22,2002

Dear Jim,

Our response to your e-mail inquiry is as follows:

The UL EVS -[Energy Verification Service] fulfills ISO/IEC Guide 65, General

requirements for bodies operating product certification systems. Guide 65 does not

have any specific requirements for the acceptance of test data from the manufacturer of

the product being certified. However, this practice is common among product

certification bodies and accepted, under proper procedures, in all parts of the world.

Section 4.4 of Guide 65 provides requirements for "subcontracting" of testing. As there

are no other app ica e requirements in Gui e an as 's con racf ?the

manufacturer requires only accurate information (including test data) to be provided to

UL, UL considers the "subcontracting" clauses of Guide 65 to be those most applicable

to the acceptance of test data from the manufacturer.

through the contract manufacturers must sign for UL service.

The CTDP does-notattempt to follow either Guides 27 or 28, nor does it reference these

documents,. Guide 27- pertains to corrective actions for certification bodies to take in the

event their mark is misused. Guide 27 has no content related to acceptance of test data

from manufacturers. Guide 28 provides guidelines for a model third party product

certification system. Guide 28 has only one very minor reference related to acceptance

of test data from any external source. The material in Guide 65 is far more detailed and

bias is manage . i is requirement t rough the specific activities in lent

Guide 65 section 4.4 requires an a ro riate agreement to govern acceptance of test

data from manufacturers. UL's contract with the manu acturer as note a ove fulfills

this requiremen °l7C`is required to take res ons' „y, to and to retain

responsibility for all certification decisions. UL fulfills this requirement by baking full

responsibility or h'e ce i 'icarions it issues regardless of the source of test data. Finally,

UL is required to assure itself that the source of the test data is competent and that any

Test Data Program t e CTD apter 2 o t e Clien n erac we Program anual) and

EE-RM-96-400-UL COMMENT 23
E

•

instructive in this area. References to the unrelated Guides 27 and 28 in the CTDP

would cause misunderstanding of which ISO/IEC requirements apply to the various

portions of UL's programs.

10 CFR 431.27 (c) (3) requires UL have ". . . experience overseeing compliance with the

guidelines contained in ISO/IEC Guide 25. . ." The regulation does not explicitly require

that UL audit, assess or accredit manufacturer's laboratories for compliance with Guide

25. UL has significant experience understanding, adapting, documenting and ap Iying

the requirements of Guide 25 to manufacturer's la_ stories as evidence y e CTDP

documen a ion an overseeing compliance of manufacturers w h'U'C s_

Section 1.1 of Guide 25 indicates the requirements therein are those, which must be

met for a laboratory -to-demonstrate its competence. Nothing in Guide 25 indicates the

requirements therein are a basis for a transfer of responsibility for the test data. Indeed,

Guide 25 anticipates laboratories that demonstrate their competence by meeting

requirements therein will maintain responsibility for the test data, especially in a legal

liability sense. The combination of the laboratory maintaining this responsibility, AND

Guide 25 compliance, is viewed in many markets as an appropriate basis for

acceptance of test data.

Note however, that Guide 65 requires that UL take on the responsibility for the test data

generated by a manufacturer. Based on the text of Guide 25, how Guide 25 is used in

the market, and UL's understanding of responsibility (including legal liability) for test

data, UL has determined that Guide 25 as written can not solely be the basis on which it

accepts responsibility for the test data generated from manufacturer's laboratories. As a

result 's CTDP requirements are an ada tation of Guide 25, with necessary changes

made so that UL has an ade uate a^.ta ins responsibility or a es da a r a

manufacturers labora ory.

with the original test data generat d by he manu acturer. uc a requiremen i

The most important change is UL's requirement that a minimum amount of the

manufacturer's testing is repeate and t at the data from the repea es ing correlate

unKeard of in the testing market and is in no way required by Guide 25. However, UL

believes this additional requirement is necessary to accept responsibility for the test

data.

In other areas, UL has altered the Guide 25 requirements to play a direct role in the

testing that it accepts. For example, UL itself conducts audits of manufacturers'

laboratories under the CTDP. Guide 25 only requires e a ryo au it itself.

Again, this practice is not found in the testing market as clients of laboratories do not

visit the laboratory to audit it. However, UL believes this additional requirement is

necessary to accept responsibility for the test data.

EE-RM-96-400-UL COMMENT 23
Page 2

1/25/02

In general , UL does not rely solely on a manufacturer's self-monitoring of laboratory

competence through the laboratory's quality system. Rather, UL itself directly monitors

those aspects of laboratory operations that contribute to the accuracy o a.

The. CTDP cover,9 a a ora M as e - e ine in ui v^Frtch°diT^ct l to the

a c u r c of test data roduced. UL adds on a second level of assurance though •audit

testing and subsequent data correlation.

Through the development of the CTDP by adaptation of Guide 25, UL has demonstrated

its un ers an Mi e impac accuracy o test data an

its un_ ers i a top iar to basis c t res onsi irity fd'r"test-data Through

many years of operating the CTDP, UL has demonstrated experience vrs-eeing a

laboratory not just to Guide 25 requirements, but to even more stringent requirements

related to transfer of responsibility for test data. The accreditors of UL's product

certification programs recognize the extent to which UL has understood these issues

and fully accept the CTDP as fulfilling Guide 65 requirements.

We hope the above adequately answers your questions, however if you need additional

information or clarification, please let me know.

0

Sincerely yours, Reviewed by:

Raymond E. Burg Keith Mowry

Manager - CAS - 3015 Department Manager

Northbrook Office Global Accreditation Services

Cc:

UL Staff -L.Berman, J.Beyreis , R. Burg ,R.King,J.Smyth

E

EE-RM-96-400-UL COMMENT 23