8/4/2022 1 CCER

National Institute for Occupational Safety and Health (NIOSH)

National Personal Protective Technology Laboratory (NPPTL)

Conformity Verification and Standards Development Branch (CV&SDB)

The Standard Application Procedure

for the Approval of

Closed-Circuit Escape Respirators

Under 42 CFR Part 84

Revised: August 4, 2022
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Table of Contents

Introduction.................................................................................................................................................................. 4

Section 1 General Information for a Closed-Circuit Escape Respirator................................................................... 5

1.1 Getting Started.............................................................................................................................................5

1.1.1 Who May Apply .................................................................................................................................5

1.1.2 Approval.............................................................................................................................................5

1.1.3 Applicants Without a Three-characer Manufacturer’s Code............................................................5

1.1.4 Applicants Without NIOSH Approval ................................................................................................5

1.1.5 Where to Find the Standard Application Form.................................................................................6

1.1.6 Submitting the Application................................................................................................................6

1.1.7 Documents to Submit with the Application......................................................................................6

1.1.8 Submitting the Application and Associated Documents...................................................................6

1.1.9 Submitting Test Samples (Hardware)................................................................................................6

1.2 Types of Applications...................................................................................................................................7

1.2.1 New Approval Application .................................................................................................................7

1.2.2 Extension of Approval Application....................................................................................................8

1.2.3 Quality Assurance Approval Application ........................................................................................11

1.2.4 Resubmission Application ...............................................................................................................11

1.2.5 Amended Application......................................................................................................................12

1.2.6 Correlation Testing Only Application ..............................................................................................12

1.3 Approval Label Protections and Cautions and Limitations for Closed-Circuit Escape Respirators..........13

Section 2 Specific Instructions for Preparing a Closed-Circuit Escape Respirator Application Package...............14

Section 3 Supplemental Information for Preparing a Closed-Circuit Escape Respirator Application ..................23

3.1 Quality Assurance Documentation............................................................................................................23

3.2 Quality Assurance Manual.........................................................................................................................23

3.3 Product Quality Control Plan and Documentation ...................................................................................24

3.4 Fees.............................................................................................................................................................25

3.5 Closed-Circuit Escape Respirator Test Fees...............................................................................................26

3.6 Annual (Fixed) Certification (Approval) Fees............................................................................................26

3.7 Pay.Gov Instructions..................................................................................................................................28

3.8 Drawings for a Closed-Circuit Escape Respirator.....................................................................................30

3.8.1 Exploded-View Drawing for a Closed-Circuit Escape Respirator....................................................30

3.8.2 Example of an Exploded-View Drawing for a Closed-Circuit Escape Respirator............................30

3.8.3 Material Specifications on Drawings for a Closed-Circuit Escape Respirator................................30

3.9 Component Vendors..................................................................................................................................31
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3.10 Assembly Matrix ......................................................................................................................................31

3.11 Approval Labels and Private Labels.........................................................................................................32

3.12 List of NIOSH Cautions and Limitations for a Closed-Circuit Escape Respirator....................................33

3.13 Private Labeling Versus Private Packaging.............................................................................................33

3.14 User Instructions......................................................................................................................................34

3.15 Service Life Plan for a Closed-Circuit Escape Respirator ........................................................................35

3.16 Packaging Art Work and Carton Design ..................................................................................................36

3.17 Summary of Related Documents.............................................................................................................37

3.18 File Naming Conventions.........................................................................................................................39

Section 4 Approvals and Denials ............................................................................................................................41

4.1 Approval Documentation ..........................................................................................................................41

4.2 Denial Documentation...............................................................................................................................41

4.3 Denial Prior to Assignment of a Task Number..........................................................................................41

4.4 Denial of a Project Undergoing NIOSH Evaluation....................................................................................42

4.5 Respirator Certification (Approval) Program Decision Review Process...................................................43

Section 5 Respirator Tests for a Closed-Circuit Escape Respirator........................................................................44

Section 6 Closed-Circuit Escape Respirator Checklists...........................................................................................45

6.1 NIOSH Respirator Application Checklist....................................................................................................45

6.2 Exploded-View Drawing Checklist for a Closed-Circuit Escape Respirator ...............................................47

6.3 All Major Subassemblies Checklist for a Closed-Circuit Escape Respirator..............................................48

6.4 Private Label Checklist for a Closed-Circuit Escape Respirator.................................................................49

6.5 Assembly Matrix Checklist for Closed-Circuit Escape Respirators...........................................................50

Section 7 - Document Examples for a Closed-Circuit Escape Respirator .................................................................. 51

7.1 Example of a Product Quality Plan for a Closed-Circuit Escape Respirator ............................................. 51

7.2 Example of an Exploded-View Drawing for a Closed-Circuit Escape Respirator...................................... 52

7.3 Example of an Assembly Matrix for a Closed-Circuit Escape Respirator.................................................. 53

7.4 Example of an Approval Label for a Closed-Circuit Escape Respirator..................................................... 54

7.5 Example of an Abbreviated Approval Label for a Closed-Circuit Escape Respirator ............................... 55

Section 8 - Label Format Guidance............................................................................................................................. 56

Appendix..................................................................................................................................................................... 57

Letter to All Respirator Manufacturers...................................................................................................................... 58

Definitions................................................................................................................................................................... 68

Acronyms.................................................................................................................................................................... 76

Revision History..........................................................................................................................................................................79
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Introduction

This document is a revision to the NIOSH Standard Application Procedure for the Approval of 

Respirators dated August 2015. It is intended to add clarity to the approval process under Title 42, 

Code of Federal Regulations(CFR) Part 84 (also known as 42 CFR 84). It is recommended that applicants 

review the entire document before submitting a respirator for approval. 

This Standard Application Procedure (SAP) correlates with version 8 of the Standard Application Form

(SAF). 

NPPTL has developed individual instructions for each class of respirator. The information in this 

document pertain to the approval of Closed-Circuit Escape Respirators. Please see the appropriate 

application for the class of respirator being submitted. 

Schedule 13G

• Closed-Circuit Escape Respirator

NOTE: These instructions only cover Closed-Circuit Escape Respirators (CCERs) as defined in 42 CFR

Subpart H. 

Compliance with all instructions is essential for efficient processing of an application. 

The information in Section 2 of this document provides specific step-by-step instructions to prepare 

an application for a Closed-Circuit Escape Respirator. The paragraphs are numbered to correspond 

with the sections of version 8 of the SAF

Additional guidance and information related to CCERs is included in the sections that follow and 

should be used as reference.
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Section 1 General Information for a Closed-Circuit Escape 

 Respirator 

Instructions for Preparing an Application Package for a Closed-Circuit Escape

Respirator (13G Approval).

This guide applies strictly to Closed-Circuit Escape Respirators (CCERs). Please see 

the appropriate application and instructions for submitting an application for a 

different class of respirator.

1.1 Getting Started

1.1.1 Who May Apply

An individual, partnership, company, corporation, association, or other organization that designs, 

manufactures, assembles, or controls the assembly of a respirator may apply to NIOSH to become an 

approval holder (42 CFR Section 84.2). An organization may appoint an authorized representative to 

complete and submit the Standard Application Form (SAF) to NIOSH.

1.1.2 Approval

Approval is issued once NIOSH determines the product conforms to the requirements of 42 CFR Part 

84. 

1.1.3 Applicants Without a Three-characer Manufacturer’s Code

A prospective approval holder that has not applied for a NIOSH-Assigned three-characer 

manufacturer’s code will need to complete the Prospective Approval Holder Form and return it to the 

NIOSH NPPTL Records Room. To obtain the form, contact the NIOSH NPPTL Records Room at 

recordsroom@cdc.gov or (412) 386-4000.

1.1.4 Applicants Without NIOSH Approval

Prospective approval holders, without a NIOSH-Approved respirator, who have received a threecharacter manufacturer’s code, may submit an initial application for a single new respirator along 

with a signed and approved company Quality Assurance (QA) Manual. 

For prospective approval holders, once the application is accepted, reviewed, the respirator is tested, 

and a final review is successfully performed, a site qualification will be scheduled and conducted prior 

to the issuance of any approval. Please see the fee schedules for the cost of the site qualification. 

Other applications may be submitted with the initial application. However, subsequent applications 

will not be reviewed until the site qualification is completed and the initial application is approved.

The site qualification is only performed for new applicants (those without a NIOSH approval). 

Approval holders with joint NIOSH and Mine and Safety Health Administration (MSHA) approval have 

routine site audits conducted annually. NIOSH performs routine site audits for all approval holders 

every two years. 
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1.1.5 Where to Find the Standard Application Form

The standard application form, version 7 can be downloaded from the NIOSH NPPTL website. SAF 

versions 8 and 9 may be requested from the NPPTL Records Room once the three-character

manufacturer’s code is issued. 

1.1.6 Submitting the Application

Applications should be submitted on CD-R or DVD-R. Neither rewritable CDs nor thumb drives will be 

accepted. Due to computer security policies, NIOSH cannot accept thumb drives. Only one 

application per CD-R or DVD-R will be accepted. CD-Rs and DVD-Rs will be destroyed once the project 

is closed, unless a prepaid shipping label is sent with the media.

Compressed or “zip” files are recommended for applications submitted via email. Applicants that 

choose to email the attachments to NIOSH at recordsroom@cdc.gov risk having the information 

stripped by mail routers.

1.1.7 Documents to Submit with the Application

Checklists specific to the type of application being completed are included in Section 6. Fee 

schedules are included in Section 3. Tests required for CCERs are included in Section 5. Documents 

must be named in accordance with the prescribed naming convention, using an acceptable software 

package. 

1.1.8 Submitting the Application and Associated Documents

The CD-R or DVD-R with the completed application form and associated documents, including the 

application fee check or pay.gov receipt, must be sent to:

NIOSH NPPTL

CV&SDB, Records Room

626 Cochrans Mill Road

Pittsburgh, PA 15236

1.1.9 Submitting Test Samples (Hardware) 

NIOSH NPPTL

CV&SDB, Evaluation and Testing

626 Cochrans Mill Road

Pittsburgh, PA 15236

All boxes containing test samples (hardware) must be marked with the AAR# and include a packing 

slip.

Test samples (hardware) submitted for a series of applications must be identified for each project for 

which it is to be used. For example, a CCER that is to be used on three projects. One project with a 

mouthbit only, one with a mouthbit and visor, and one with a hood and mouthbit, must have all 

three Applicant-Assigned Reference Numbers (AAR#s) listed on the packaging. If there are multiple 

containers, each container must be labeled with all the appropriate information.
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If test samples (hardware) are being sent to NIOSH for the testing of multiple projects, please include 

this information in the first application where testing will be performed and label the test samples 

(hardware) package with each AAR#. All sample components or respirators must be identified, and 

labeled with their corresponding part number as listed on the assembly matrix.

1.2 Types of Applications

The types of applications include: New Approval Application, Extension of Approval Application, 

Quality Assurance Approval Application, Amended Application, Correlation Testing Only Application, 

Resubmission of New Approval Application, and Resubmission of Extension of Approval Application.

If there is any doubt about the appropriate type of application to submit, call the NIOSH NPPTL 

Conformity Verification and Standards Development Branch (CV&SDB) at (412) 386-4000.

Several screens in the Standard Application Form for New Approval Applications and Extension of 

Approval Applications identify the data fields that will be entered directly into the NIOSH Certified 

Equipment List (CEL). The product description should be short and succinct for an accurate reporting 

of the respirator in the CEL.

1.2.1 New Approval Application

• Used for new design, substantially different design, or different type or level of protection 

requested for an existing NIOSH-Approved respirator. 

• NIOSH assigns a new testing and certification (TC) number for each new respirator system 

design that is approved. 

• An application may be submitted for only one basic new respirator design per application. 

• Applications containing more than one design will be denied. 

o For example, if an applicant submits a new respirator with two different mouthbit 

arrangements, for example CAP 1 with mouthbit and hood and CAP 2 mining mouthbit

only, that use the same family respirator package, NIOSH requires two separate 

applications resulting in two new approvals because each respirator represents a 

separate design and level of protection.

New Approval Applications must contain or reference the following items as described in detail in 

Sections 2 and 3 of this SAP. 

• NIOSH Standard Application Form. 

• Pretest Data. 

• Simplified Drawings. 

• Assembly Matrix. 

• Draft Approval Label(s). 

• Quality Assurance Manual (Manual to be submitted separately as a QA Application after 

first approval). 

• Product Quality Control Plan. 

o Classification of Defects Document. 

o Sampling Plan. 

• Application Fee, $200. 
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• Service Life Plan

• User Instructions. 

• Test Samples (Hardware). 

1.2.2 Extension of Approval Application

Submitted when: 

• A critical or major characteristic affecting performance is altered on a previously approved 

respirator. 

• A critical or major characteristic affecting design (including Quality Assurance provisions) is 

altered on a previously approved respirator. 

• A new accessory is added to a previously approved respirator. 

• A change is made to an approval label, assembly matrix, User Instructions, or drawings. 

• All TC numbers affected must be listed in the “Reason for Application.” 

• All the TC numbers on a given assembly matrix apply to the extension. The assembly matrix 

may be referenced in lieu of listing the individual TC numbers. 

• A product is made obsolete. 

• The approval holder wants to add multiple accessories to one previously approved CCER. 

 Additional Accessories Previously Approved CCER

• An approval holder requests the addition of an accessory to multiple previously approved 

CCERs.

 Additional Accessories Previously Approved CCERs

The approval holder, company 

ABC, requests the addition of 

multiple accessories to their 

previously approved CCER 

described in TC-13G-xxxx.

Carrying Case

Multi-Unit Storage Box

Belt with Carrying Holster
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Changes to minor characteristics not affecting performance or designs which are not documented in 

the NIOSH approval records do not have to be submitted to NIOSH. A minor characteristic is an 

attribute such as a typographical error in a drawing. Approval holders are responsible for keeping all 

changes to minor characteristics on file and available for review at the request of NIOSH.

This includes any minor changes to any document that is part of the approval record. These changes 

should be submitted as an extension of approval at your earliest convenience. NOTE: documents 

that are not up-to-date in the NIOSH records may be identified during a site audit and will result in a 

non-conformance. 

If the type or level of protection changes, a New Approval Application must be submitted. For 

example, a CCER CAP 3 may be submitted and approved. The subsequent submission of the same 

respirator with a CAP 3 Mining would be considered a new ‘Type’ requiring a New Approval

Application and a different TC number being issued. 

In addition, a New Approval Application is required and a different TC number will be issued for 

additions of a new respirator arrangement to a respirator family, model, or series such as a new face 

cover arrangement on an existing CCER model. 

Extension of Approval Applications must contain the following items or reference as described in 

detail in Sections 2 and 3 of this SAP.

• NIOSH Standard Application Form.

• Pretest Data.

• Simplified Drawings.

• Assembly Matrix.

• Draft Approval Label(s).

The approval holder, company 

ABC, requests an accessory be 

added to multiple previously 

approved CCERs.

TC-13G-1234

TC-13G-2345

TC-13G-1357
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• Quality Assurance Manual (Manual to be submitted separately as a QA Application after 

first approval). 

• Product Quality Control Plan. 

o Classification of Defects Document.

o Sampling Plan. 

• Application Fee, $200. 

• Service Life Plan. 

• User Instructions. 

• Test Samples (Hardware). 

In the “Reason for Application”: Describe exactly and completely the change or additions to the 

approved respirator(s) and how the change(s) will affect the previously approved respirator(s). 

Provide a succinct description of the previously approved respirator(s). For example, "An Extension 

of Approval to allow our ‘xyz’ carrier to be used as an alternate to our ‘abc’ carrier on our CCER, 

models 123, 456, and 789. No other components are affected. This request is for use of an alternate 

carrier only." The Extension of Approval Application request must clearly indicate:

1. The affected respirator(s) by name, TC number, and part number. If multiple approvals are 

affected, the assembly matrix or matrices that contain these approvals may be listed in lieu of 

the TC numbers.

2. Complete details of the change(s) or addition(s). 

3. Related documentation that has changed since the last approval (assembly matrix, inspection 

procedures, simplified drawings, draft approval label, product quality control plan, User 

Instructions).

Example of a Well-Written Reason for Extension of Approval Application: 

Provides the model number, TC number, type of respirator, and what is being requested in a 

very descriptive manner. In this example, the request to allow an alternate carrier assembly

and the details are provided. 

This Extension of Approval is for our EZESC Closed-Circuit Escape Respirator family to allow an 

alternate carrying case. This case, part number 12345, will be an alternate carrying case for all 

approvals listed on the EZESC assembly matrix (EZESCAMrC.xls) which is included in our list of 

documents. The 12345 case allows greater mobility to the user than the original 67890 case. 

The internal dimensions and the materials are the same in both units. Test data is included to 

prove that the respirator performs the same regardless of which case is used.

Specifies the change(s)

This request is for use of an alternate carrying case only. No other components or processes 

are affected. Both carrying cases are made of high-density polyethylene and both pass the 

testing required to meet the criteria for CCERs. 

States how the change(s) affect(s) the product

The current carrying case design with the 12345 case has a limited mobility for users. The 

new carrying case 67890 provides a greater mobility while keeping the same internal 

dimensions and material as the original. 
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Any time the approval holder makes a change to a critical or major characteristic, as defined in 42 CFR

Part 84, affecting performance and/or design (including Quality Assurance provisions), the change 

must be submitted to NIOSH for approval. NIOSH will not assign new approval (TC) numbers for 

Extension of Approval Applications. New approvals can only be granted under a New Approval 

Application.

When adding an accessory to a previously approved assembly, the applicant must include the 

accessory in the exploded-view drawing, the assembly matrix, and the major subassembly drawings. 

If accessories are listed on the approval labels, the labels must be updated.

When changes are made that affect the User Instructions, highlight or clearly note the changes in the 

document. 

1.2.3 Quality Assurance Approval Application

• Current NIOSH approval holders may use this type of application to submit new or updated 

Quality Assurance (QA) Manuals. This type of application is limited to current approval 

holders only. 

• No other actions will be accepted under this type of application. 

• QA Manual changes must include a revision history sheet showing the revision date and 

reason for revision. 

NOTE: NIOSH will only accept QA Applications that request updates to the QA Manual. No other 

requested actions will be accepted under a QA Application. QA Applications will not be accepted 

until the requestor has at least one NIOSH-Approved product.

In the “Reason for Application” state the details of the changes to the QA Manual. Also, indicate the 

respirator(s) and manufacturing facility(ies) affected. 

QA approval submissions must not affect the performance or design of the respirator(s) and must not 

result in a different type or level of protection. If the change(s) impact(s) any of these aspects of the 

covered respirator(s), then applicants must submit an Extension of Approval Application to address 

this (these) change(s). 

1.2.4 Resubmission Application

• Resubmissions are only accepted when allowed by NIOSH.

• Used for hardware or documentation previously denied by NIOSH. 

If an application is for hardware or documentation that has been previously submitted to NIOSH and 

denied, select request type ‘Resubmittal of New’ or ‘Resubmittal of Extension’ as appropriate. The 

“Reason for Application” must include the changes made to address the respirator or documentation 

deficiencies, an explanation how the respirator or documentation now meets NIOSH requirements, 

and the task number (TN) of the previously denied application. Failure to provide this information 

will result in the application being denied.

1.2.5 Amended Application 

• Amended Applications are only accepted when requested by NIOSH. 
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• Used for open applications with an identified inaccuracy.

• Only the portion requested by NIOSH should be submitted. 

• The AAR# and TN will remain the same. 

1.2.6 Correlation Testing Only Application

• Choose this type of application if the respirator is being submitted to be correlated with 

NIOSH Standard Testing Procedures (STPs). NIOSH will only perform correlation testing using 

one of the NIOSH Standard Test Procedures. The results of this testing cannot be used as presubmission test data when submitting the respirator for NIOSH approval. No approval will be 

issued with a Correlation Testing Only Application. 

Independent or internal testing is still required prior to submittal of the application. Explain what 

testing is required, by STP number. NIOSH will only test the number of samples specified in the STP 

or 42 CFR Part 84. Specify the number of trials in the “Reason for Application” section.
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1.3 Approval Label Protections and Cautions and Limitations for

 Closed-Circuit Escape Respirators

PROTECTIONS

CAP 1, 20 L – Capacity 1, 20 liters of O2 minimum

CAP 2, L – X liters of O2 minimum

CAP 3, L – Capacity 3, X liters of O2 minimum 

CAP 1, M - 20 L – Capacity 1, 20 liters of O2 minimum, mining 

CAP 2, M - L – X liters of O2 minimum, mining

CAP 3, M - L – Capacity 3, X liters of O2 minimum, mining

CAUTIONS AND LIMITATIONS

I* Contains electrical parts that may cause an ignition in flammable or explosive atmospheres

J Failure to properly use and maintain this product could result in injury or death.

M All approved respirators shall be selected, fitted, used, and maintained in accordance with 

MSHA, OSHA, and other applicable regulations.

N Never substitute, modify, add, or omit parts. Use only exact replacement parts in the 

configuration as specified by the manufacturer.

O Refer to User Instructions, and/or maintenance manuals for information on use and 

maintenance of these respirators.

S Special or critical User Instructions and/or specific use limitations apply. Refer to User 

Instructions before donning.

* For non-mining units that have electrical components that have not been evaluated for 

intrinsic safety by MSHA or other recognized approval organization.
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Section 2 Specific Instructions for Preparing a Closed-Circuit 

Escape Respirator Application Package

The paragraphs in this section are numbered to correspond to the different sections on

version 8 of the Standard Application Form (SAF). 

1 Project Reference Numbers (Section C.1)

Enter the three-characer NIOSH-Assigned manufacturer’s code.

Check box if the applicant currently has a NIOSH-Approved product.

Assign a unique reference number to this application. 

This reference number must start with the three-characer NIOSH-Assigned manufacturer’s code.

There is no character limit on this reference number. This number must appear on each 

hardware sample package and the payment. Never reuse the Applicant-Assigned Reference 

Number (AAR#) except on Amended Applications requested by NIOSH.

NIOSH assigns a unique Task Number (TN) to each project. This number is emailed to the applicant 

once the application is received along with accompanying documents, check or payment 

confirmation, and test samples (hardware). All inquiries must refer to either the NIOSH-Assigned TN

or the AAR#.

2 Type of Application (Section C.2)

Select from: New Approval Application, Resubmission of New Approval Application, Extension of 

Approval Application, Resubmission of Extension of Approval Application, Quality Assurance 

Application Correlation Testing Only Application, or Amended Application.

New Approval Application

• Used for new design, substantially modified design, or different type or level of 

protection requested for an existing NIOSH-Approved respirator.

Resubmission of New Approval Application

• Resubmission applications are only accepted when allowed by NIOSH.

• Used for previously denied applications.

Extension of Approval Application

• A change is made to any document that was evaluated by NIOSH as part of an 

approval.

• A critical or major characteristic affecting performance or design (including Quality 

Assurance provisions) is altered on a previously approved respirator.

• One new accessory is added to a previously approved respirator.

• A change is made to an approval label, assembly matrix, User Instructions, or drawings.

• A private label request is made.

• A product is made obsolete.
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Resubmission of Extension of Approval Application

• Resubmission will only be accepted when allowed by NIOSH.

• Used for previously denied applications.

Quality Assurance Approval Application

• Current NIOSH approval holders may use this type of application to submit new or 

updated Quality Assurance (QA) Manuals. This type of application is limited to current 

NIOSH approval holders only 

• No other actions will be accepted under this type of application.

Correlation Testing Only Application

• Choose this type of application if the respirator is being submitted to be correlated 

with NIOSH Standard Test Procedures (STPs).

• The results of this testing cannot be used as pre-submission test data when submitting 

the respirator for NIOSH approval.

• Independent or internal testing is still required prior to submittal of the application.

• Explain what testing is required and indicate how many trials in the “Reason for 

Application.”

• No approval will be issued with a Correlation Testing Only Application.

Amended Application

• Amended submissions are only accepted when requested by NIOSH.

• Used for open applications with an inaccuracy in the application.

• Only the portion requested by NIOSH should be submitted.

• The AAR# and TN will remain the same.

3 and 5 Prospective Approval Holder (Section C.3 and Section 3.5)

Enter the name of the prospective approval holder.

Status of Facility Manufacturer/Approval Holder Name (if different than above).

Check if the organization has submitted a request for approval for any respirator produced at this 

manufacturing plant in the last three years.

Applicant – A person identified by the approval holder as completing and submitting the application.

Primary Contact – Person who will receive the approval or denial letter and all correspondence 

concerning the application.

Only those persons identified to NIOSH by the manufacturer/approval holder as official company 

contacts should be listed on the application. Multiple contacts can be identified as required by the 

manufacturer/approval holder. 
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Enter Official Title.

Enter the first and last name, middle initial, and suffix for the applicant.

Enter the name of the prospective approval holder, if different from above.

Enter the manufacturing plant address.

Enter the manufacturing plant phone number.

Click “add contact” to add information for another person who can answer questions related to this 

application.

6 Date of Application (Section C.6)

Choose the date from the dropdown calendar. The NIOSH date of application is when the application 

is assigned a TN by NIOSH.

7 Type of Product (Section C.7)

Select Atmosphere Supplying since this application applies only to Closed-Circuit Escape Respirators.

8 Specific Questions Pertaining to Submission (Section C.8)

Is this a resubmittal of a previous application?

If Yes, enter the previous TN.

Is this an amended application?

Yes or No.

Is this submission application a result of field problem or site audit?

If Yes, enter the relevant TN(s).

Is the respirator intended for use in mines?

Yes or No.

NOTE: If this respirator is to be used for underground mine use and has electrical 

components, MSHA intrinsic safety approval must be received prior to submitting to NIOSH.

Is this application dependent upon the approval of an application in process? 

If yes, specify the applicable AAR# or TN.

If the same respirator is being added as a private label, the second application cannot be approved 

until the first application is approved

If there are two or more applications that use the same assembly matrix, check the “yes” box and 

identify all subsequent applications in the Approval History. The second and subsequent applications 

using the same assembly matrix cannot be processed until the first application is approved. 
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9 Reason for Application (Section C.9) Provide a complete, concise, descriptive reason for the application. Do not provide information 

relating to respirator use or future respirator development. This is the information that will appear in 

the CEL.

The following must be addressed in the “Reason for Application”: 

• If making respirators obsolete, include the TC numbers and model numbers. 

List the TC numbers of all approvals affected by the application. If all of the TC numbers on the 

assembly matrix apply to the extension, the assembly matrix may be referenced instead of the 

individual TC numbers. 

If an Extension of Approval Application is the result of a field problem, site audit, or product audit, 

state that fact and list any associated task numbers (TN) here. Also list the Corrective Action Request 

(CAR) number associated with the application.

Please do not list “approval” as the “Reason for Application.”

Quality Assurance Approval Applications must state the details of the change(s) to the QA Manual 

and the respirator(s) and manufacturing facility(ies) affected. QA Approval Applications must not 

affect performance or design and must not result in a different type or level of protection.

Correlation Testing Only Applications must state which NIOSH Standard Testing Procedures is to be 

used and indicate how many trials are requested. Special correlation tests that are not consistent 

with a NIOSH Standard Testing Procedures will not be conducted unless previously agreed upon by 

NIOSH. An approval will not be issued with a Correlation Testing Only Application.

Resubmittals must state the modification(s) that was (were) made to address the rejection/denial, 

and demonstrate that the respirator or documentation now meets all requirements.

10 Approval History (Section C.10)

Provide additional information on Approval History and any other information pertaining to this 

application. Do not list additional requests in the Approval History. 

If the application is one of a series being submitted, clearly list the AAR#s of all applications in the 

series. Include a suggested processing order. Include an explanation how the applications build upon 

each other. When using a common assembly matrix for the entire series of applications, place the 

assembly matrix in the last application of the series and reference the application in which it is 

located in all applications in the series. Applications in a series will not be approved until the entire 

series is complete. 

If this respirator is to be used for underground mine use and has electrical components, MSHA 

intrinsic safety approval must be received prior to submitting to NIOSH. A copy of the intrinsic safety 
8/4/2022 18 CCER

approval from MSHA must be included with the application. The application will not be accepted 

without the intrinsic safety approval.

List the application TN where the respirator was last tested by NIOSH.

Example of a Well-Written Approval History for a Closed-Circuit Escape Respirator:

The new case material is documented on revised specification sheet ZM-FL-A02 Rev A.

The change is documented in the CCER unit bill of materials (Item 2) on page 3 of drawing 

103-01 Revision M.

This modification does not affect the respirator performance, but may affect the results of the 

environmental conditioning process. Happy Breathing Company has tested the respirator 

after conditioning and finds that the respirator still meet the requirements of 42 CFR Part 84 

for performance. Happy Breathing Company has not changed any of the other respirator 

components since the components were granted NIOSH approval under TN-xxxxx. Happy 

Breathing Company is relying on the post conditioning test data accompanying this 

submission, AAR#ph24, to obtain this approval.

This change will be applicable to the model III respirator. 

 

11 Description of Respirator (Section C.11)

Information for New Approval Applications and Extension of Approval Applications is entered in the 

SAF by selecting options from dropdown options. The respirator description fields vary based on the 

type of respirator selected. Both New Approval Applications and Extension of Approval Applications 

require a detailed narrative description.

Is this a joint SEI (CBRN NFPA) submission?

Yes or No. 

NOTE: Not applicable for CCERs.

Is this an SEI retrofit respirator?

Yes or No. 

Is this a CBRN Application?

Yes or No. 

Select Type of CBRN, if applicable.

Not Applicable.

Is testing required?

Yes or No. 

Return sample hardware? 

Yes or No.
8/4/2022 19 CCER

NOTE: If No, NIOSH will dispose of the equipment.

Source of submitted samples – Choose from dropdown options: 

Prototype, Regular Production Unit, or Correlation Test Sample. 

If No testing is required, please provide the reason.

Facepiece type – Choose from the dropdown options:

Filtering Facepiece, Full Facepiece, Half-Mask, Quarter-Mask, Mouthpiece, Hood, Helmet, or 

Tight-Fitting Full Facepiece with Neckdam Seal.

Fit – Choose from the dropdown options: 

Tight-Fit, Loose-Fit, Both Tight- and Loose-Fit, or Mouthbit.

Is this respirator fit checkable?

Yes or No. 

If the respirator contains electrical components, have the components been approved by MSHA for 

intrinsic safety?

Yes, No, or Not Applicable.

NOTE: If this respirator is to be used for underground mine use and has electrical 

components, MSHA intrinsic safety approval must be received prior to submitting to NIOSH.

Does the respirator have an inhalation valve?

Yes or No.

Does the respirator have an exhalation valve?

Yes or No.

Move to Air-Supplied Respirator Questions

Type of Supplied-Air Respirator – Choose from dropdown options: 

Self-Contained Breathing Apparatus (SCBA), Supplied-Air Respirator (SAR), or Combination 

SCBA/SAR. 

SCBA Type – Choose from dropdown options: 

Open-Circuit, Closed-Circuit, or Other Technology.

SCBA Use – Choose from dropdown options: 

Escape-only or Entry and Escape. 

SAR Category – Choose from dropdown options: 

A, AE, A and AE, B, BE, B and BE, C, CE, C and CE, or Other.

Select the Rated Service Time (minutes):

3, 5, 10, 15, 30, 45, 60, 120, 180, or 240.
8/4/2022 20 CCER

Airflow – Choose from dropdown options: 

Demand, Pressure-Demand, Continuous Flow, or Negative Pressure.

Breathing Gas – Choose from dropdown options: 

Compressed Air, Compressed Oxygen, Compressed and Rich Air, Chemical Oxygen, Liquid 

Oxygen, or Other Technology.

Enter the Concentration of Oxygen in Breathing Gas (percentage).

Enter the Cylinder Rating (psi).

Regulator Mounting Location – Choose from dropdown options: 

Belt, Chest, Facepiece, Back or Backpack, or Helmet.

Are the materials used in the construction which may be exposed to oxygen at pressures above 

atmospheric pressures, safe and compatible for their intended use?

Yes or No. 

If a hose set is needed, click on Add Hose Set and provide the model number, hose type, shortest 

length, maximum length, other lengths, total sections, valve type, and pressure.

Also provide a description of the respirator(s).

12 Intended Protection and Safety Design (Section C.12)

Atmosphere-Supplying respirators only

Confirm that any materials used in the construction of the respirator which may be exposed to 

oxygen pressures above atmospheric pressure are safe and compatible for intended use (e.g., 

exposure to elevated concentrations of oxygen). CBRN is not applicable to CCERs. 

The term “Intended for Mine Use” identifies respirators to be used for emergency use in mines.

NIOSH requires this information to determine if the application must be evaluated and approved by 

both NIOSH and the Mine Safety and Health Administration (MSHA). Any questions regarding the 

need for joint approval, please call NIOSH at 412-386-4000. 

Note: If the respirator is to be used in underground mines and has electrical components, MSHA 

intrinsic safety approval must be received prior to submitting to NIOSH.

13 Pre-Submission Performance Test Data and Statements (Section C.13)

Respirator pre-submission performance test data must accompany each application and must: 

• Specify components used for test configuration by part number. 

• Show units of measure for all test data (units of measure must match 42 CFR Part 84 

subparts H through O criteria). 

o Subpart O is a recent addition to 42 CFR 84. It is recommended that applicants 

unfamiliar with the subpart review the criteria.

• Submit copies of actual test data with all results and conclusions. 
8/4/2022 21 CCER

To verify which tests need to be performed as part of the pre-submission testing, please refer to the

Respirator Test Selection Guide. NIOSH expects that the applicants will have performed each NIOSH 

test and any additional tests the applicants deem appropriate during the process of validating that 

the device meets NIOSH approval requirements.

Note for resistance testing: 

Applicant data must include resistance values for all of the related Closed-Circuit Escape Respirator 

configurations. This data must be representative of each complete respirator assembly seeking

approval. For resistance testing, NIOSH will test and verify the highest and lowest resistance 

combinations reported by the applicant if multiple sizes or configurations are submitted.

14 Model Numbers and Product Trade Names (Section C.14)

The information provided in this field is how the product will appear in the Certified Equipment List. 

A product trade name that uniquely identifies the respirator or family is required. This name will be 

listed in the Certified Equipment List for public reference. In version 8 of the SAF for a New Approval

Application, the model number field can be blank, but the product trade name field must be 

completed before proceeding to the next data screen. A product trade name may indicate a 

protection, but it may not imply use. 

15 Test Samples (Hardware) (Section C.15)

Regular production units submitted for approval must be the result of actual manufacturing 

processes (42 CFR Section 84.11(e)). Applications will be denied if the test samples (hardware) 

provided for testing did not go through the manufacturer’s normal assembly, inspection, and test 

processes. Applications may be denied even if the component that failed is not related to the 

“Reason for Application.” 

Use the Respirator Test Selection Guide to determine the minimum number of hardware samples 

required for testing. Submit a sufficient number of hardware samples for testing at the time of 

application. The hardware samples to be used for testing must be sent under a separate cover from 

the application. In the application and on the packing slip with the hardware samples, list the item by 

part number and description, and indicate the quantity submitted for testing. Include a copy of the 

User Instructions in the box or shipping container with the hardware samples to be used for testing. 

The outside of each box or shipping container and packing slip(s) should clearly indicate "Test 

Samples/Hardware" along with the name of the applicant, AAR#(s), part number(s), and quantity(ies). 

The hardware samples to be used for testing and any additional hardware samples requested by 

NIOSH must clearly show the part number on each item as listed on the assembly matrix, regardless 

of how it is packaged. If additional hardware samples to be used for testing are requested by NIOSH, 

mark the shipment to the attention of the NIOSH employee requesting the samples. Include the 

AAR#, TN, and state “Additional Test Samples” on the outside of the box or shipping container. 

Cross-referenced lists will not be accepted.
8/4/2022 22 CCER

The applicant must submit prepaid return shipping labels or provide other return means with the 

hardware samples for any materials to be returned upon completion of testing. “Please Return 

Samples” should be indicated on the packing slip. If NIOSH denies an application based upon 

documentation issues, the application, and in most cases, all hardware samples will be returned. 

NIOSH does not retain hardware samples for any completed projects, approved or denied. The

hardware samples will be promptly destroyed unless the applicant indicates the samples should be 

returned and prepaid return shipping instructions are provided. NIOSH is not responsible for customs 

charges. The applicant is responsible for all shipping costs and making all arrangements to clear the 

hardware samples through customs when shipping hardware samples to be used for testing to or 

from NIOSH.

The test sample hardware submitted with the application will be tested. No substitutions, additions, 

or deletions are permitted by the applicant once NIOSH receives the application. If NIOSH evaluators 

determine a need for additional testing, additional test samples (hardware) may be requested.

Saving the Application

Once the application form has been completed, save the data file by selecting FILE, then SAVE AS, 

from the menu bar on the main menu screen. 
8/4/2022 23 CCER

Section 3 Supplemental Information for Preparing a Closed- 

 Circuit Escape Respirator Application

3.1 Quality Assurance Documentation

Understanding the requirements of 42 CFR Part 84 Subpart E and specific quality system 

characteristics as noted below are necessary to adequately develop and maintain Quality Assurance 

and quality control programs acceptable to NIOSH. Prior to obtaining any approvals under 42 CFR 

Part 84, all approval holders are required to have an approved Quality Assurance (QA) Manual on file 

at NIOSH. 

If an organization has an approved QA Manual and there is no change, complete the applicable blocks 

on the SAF. If a previously approved QA Manual is being revised, it is not necessary to submit the 

entire manual. In a separate application, submit only the sections that have been revised and an 

updated revision history sheet.

3.2 Quality Assurance Manual 

Submit a Quality Assurance Manual that documents the following elements at a minimum:

A. Statement of Quality Assurance. 

 - Upper management approval of the manual (usually a signature). 

- A revision history sheet showing date and reason for revision. 

- A Table of Contents. 

- Management assurance that the QA system meets NIOSH requirements in 42 CFR 

Part 84 Subpart E. 

B. Description of Management Responsibilities as they relate to:

 - The company quality policy. 

- Personnel/organization structure necessary to carry out these provisions. 

 - Verification of quality (internal auditing). 

 - Quality system review. 

 - International Standards Organization (ISO) Certification (if applicable). 

C. Structure of Quality System. 

- Identify how quality procedures and instructions are prepared and implemented. 

D. Contract Review Activities (as applicable). 

E. Design Control for aspects of safety, performance, and dependability of the product reliability 

programs. 

F. Control of All Documents and Data (control of engineering drawings, documentations, and 

changes). 

G. Quality in Purchasing. 

H. Control of Customer-Supplied Product (control of purchased material to include incoming 

inspection). 

I. Product Identification and Traceability. 

J. Control of Production Processes (lot identification, control of processes, manufacturing, 

fabrication, and assembly work conducted in the plant). 

K. All Areas of Inspection and Testing: Receiving, In Process, and Final Inspection. 

L. Control of Inspection, Measuring, and Test Equipment. 
8/4/2022 24 CCER

M. Inspection and Test Status. 

N. Control of Nonconforming Product. 

O. Corrective and Preventive Actions (as applicable). 

P. Inventory and Handling Controls. 

Q. Control of Quality Records. 

R. Internal Quality Audits (audit of final inspection of the completed product). 

S. Training. 

T. Servicing (as applicable). 

NOTE: If the manual does not incorporate the specific elements within the document, then the 

manual must link or list the Standard Operating Procedures (SOPs) for the various elements. 

3.3 Product Quality Control Plan and Documentation

Product Quality Control Plan (PQP) documentation is required to be submitted as part of an 

application to demonstrate to NIOSH the applicant’s process characteristics involved in controlling 

and monitoring the quality of the respirator being manufactured. 

Items that must be submitted are the:

A. PQP flowcharts showing all inspection and test operations. Identify each procedure by AAR#.

Inspection or test procedures must be clearly identified on the flow chart. 

B. Sampling plan and classification of defects document as described in 42 CFR Section 84.41 (c), 

(d), (e), (f), (g), and (h). 

C. In process inspection and test procedures for items listed on the assembly matrix. 

D. Final inspection and test procedures for the complete respirator and items listed on the 

assembly matrix. 

E. Simplified Closed-Circuit Escape Respirator drawing. 

F. Assembly matrix. 
8/4/2022 25 CCER

3.4 Fees 

An application fee of $200 is required at the time of submission for all approval requests. Checks are 

to be made payable to NIOSH, dated less than 30 days prior to the submission date, and contain the 

AAR#. The specific AAR# for the application must be written on the check. Checks older than 30 days 

may be returned. Separate checks are required for each application submitted. Do not issue multiple 

application fees on one check. Otherwise, checks will be returned and application processing 

delayed.

NIOSH will not begin processing the request until all items (application, check, and test samples 

(hardware)) are received. If a domestic applicant utilizes Pay.Gov, send a copy of the Pay.Gov receipt 

to the NIOSH NPPTL Records Room to facilitate linking the payment to the approval request. 

As part of the Initial Review Process, an estimate of the costs anticipated to be incurred during the 

evaluation will be provided. An email from the initial reviewer will be sent to the applicant towards 

the end of the Initial Review Phase. 

This estimate is prepared based on the “Reason for the Application,” the number of approvals 

affected, and the assigned tests. In the event other testing or other additional cost items are 

identified after the acceptance of the original estimate, the company will be contacted and an 

addendum to the estimate will be forwarded for acceptance.

Once the applicant has provided authorization to the initial reviewer via email, the evaluation can 

begin. During the Final Review Phase, an invoice for all fees, including testing of equipment, incurred 

in the processing of an application will be generated. Invoices will contain specific payment 

instructions and identify authorized methods of payment, and will be provided to the approval holder 

for payment. 

Respirator Approval Application-Based fees are as follows:

Administrative Fees:

Fee Type Legal Citation Amount Due Date

Application 42 CFR 

§84.20(b)(1) $200 per application submitted. 

Upon receipt of any application 

request. To be submitted with 

application.

Approval 42 CFR 

§84.20(b)(1)

$100 per each certificate of approval 

issued. Upon receipt of the invoice. 

Approval 

Modification

42 CFR 

§84.20(b)(1)

$50 per each certificate of approval 

modified. Upon receipt of the invoice. 

Site 

Qualification

42 CFR 

§84.20(b)(3)

• Existing approval holder, paper review:

o $400 per each request to inspect new 

production facility. 

• Prospective approval holders: 

 ▫ One day domestic site visit - $2,500.

 ▫ One day international site visit - $7,500.

Upon agreement on the date of 

the site qualification. 

NOTE: For any modification to an existing approval, such as changes to User Instructions or PQP, the 

approval modification fee will be charged for all the approvals affected by this change. For example, 

if the User Instructions are revised due to a change in a specific respirator, but the same User 
8/4/2022 26 CCER

Instructions are used on a family of respirators (example: family consists of 20 approvals), the 

approval modification fee of $50 will be charged for all the approvals under that family of respirators 

(20 X $50 = $1,000).

Testing fees will be charged in accordance with the following fee tables and will be due upon receipt 

of the invoice. The final letter (approval or denial) will be issued to the primary contact once all 

reviews are complete. The invoice is to be paid within 30 days after receipt.

3.5 Closed-Circuit Escape Respirator Test Fees 

All of these tests may not apply to the specific type of respirator being submitted. These apply only 

to Closed-Circuit Escape Respirators. 

New Site Qualification Fee, Existing Manufacturer $400.00

Test Fees for New and Unspecified Tests:

All Closed-Circuit Escape Respirator (CCER) testing

$500/day for testing

plus actual costs for test 

subjects and required 

medical coverage. 

$100/day per human test 

subject.

$1300/day for doctor and 

medical staff.

A single payment (check or pay.gov) for multiple invoices is allowed. Include the AAR#s for each 

associated application on the check and the pay.gov receipt so they will be properly credited. 

Separate payments (check or pay.gov) will also be allowed for each application invoice.

3.6 Annual (Fixed) Certification (Approval) Fees 

Annual (fixed) certification (approval) fees will be invoiced to approval holders who hold active or 

obsolete certificates of approval. Invoices will be sent in September with payment due by October 30 

of the applicable year. Invoices will itemize the number of manufacturing sites and approvals and

apply the fees per the following table: 

Respirator Certification (Approval) Fee Schedule A—Annual (Fixed) Fees

Fee Type Legal 

Citation Amount Due Date

Maintenance of 

Product 

Performance 

(Product Audit)

42 CFR 

§84.20(b)(5)

• Annual fee: $761 per each approval holder. 

• Variable fee: as billed by NIOSH based on the 

respirators chosen to be tested each year. 

October 30 of applicable year. 

Records 

Maintenance

42 CFR 

§84.20(b)(1)

$50 per every listed1 approval on file with NIOSH 

on July 1st of each year. October 30 of applicable year. 
8/4/2022 27 CCER

Quality Assurance 

Maintenance 

(Site Audit) 

42 CFR 

§84.20(b)(4) 

• Annual fee: $3,000 per every manufacturing 

site registered with NIOSH. 

• Variable fee:2

 

▫ 1 day domestic audit - $2,500 per site. 

▫ 2 day domestic audit - $5,000 per site. 

▫ 1 day international audit - $7,500 per site. 

▫ 2 day international audit - $10,000 per site. 

October 30 of applicable year. 

Maintenance of 

Testing and 

Approval Facilities

42 CFR 

§84.20(b)(2)

$34 per every listed1 approval on file with NIOSH 

on July 1st of each applicable year. October 30 of applicable year. 

Maintenance of 

Test Equipment

42 CFR 

§84.20(b)(2)

$36 per every active3 approval on file with NIOSH 

on July 1st of each applicable year. October 30 of applicable year. 

1. “Listed” approvals include all active and obsolete approvals. The Certified Equipment List (CEL) reflects the current listed 

approvals maintained by NIOSH.

2. Applies to design as well as manufacturing sites.

3. Does not include obsolete approvals. 

Checks are to be made payable to NIOSH, must be dated less than 30 days prior to the submittal date, 

and must reference the AAR#, TN, or NIOSH invoice number. 

 
8/4/2022 28 CCER

3.7 Pay.Gov Instructions

Domestic applicants may use the electronic fees transfer program known as Pay.Gov.

NOTE: Prior to making any payment of respirator approval fees, applicants must establish an account 

with Pay.Gov. 

A. Follow the web link provided below:

a. PAY.GOV homepage: https://pay.gov/paygov/homepage. 

B. On the center of the web page click on the link “Click here to register” to start the process 

or go to the web page address provided below:

a. Registration: Pay.gov - Register for a Pay.gov Account. 

b. Read the User Responsibility Statement, fill in the box, and select accept. 

c. Select the “Continue with Self Enrollment” tab.

d. Complete the required fields in the Online Self Enrollment form and then select 

“submit.” 

e. Use Pay.Gov username and password to log into the Pay.Gov system from the 

homepage.

f. Access the forms necessary to submit payments online using this process.

C. Fee Payment User Instructions. 

a. Open the Pay.Gov homepage.

b. Locate the “User Fee Form.”

i. Go to the Find Public Forms section below the login.

ii. Search for forms by three options:

1. Form Name.

2. Agency Name. 

3. Search Public Forms. 

iii. Use one of three links listed on the six forms in the system for the Centers 

for Disease Control and Prevention (CDC). 

1. Form Name: CDC Royalty BMLA and User fee Form.

a. Select CDC User Fee Form.

2. Agency Name: CDC Royalty BMLA and User Fee Form.

a. Select CDC User Fee Form.

3. Search Forms: CDC Royalty BMLA and User Fee Form.

a. Select CDC User Fee Form.

4. Click on the form name to open the online fillable form. 

iv. Complete the Online CDC User Fee Form.

1. Complete all mandatory blocks marked with asterisks.

2. Under CDC Invoice Number, enter the three digit Applicant-Assigned 

Reference Number (AAR#).

a. If payment is for an existing task number (TN), enter the 

associated TN.

3. For “Payment Options,” select the “NIOSH User Fee” from the three 

choices.
8/4/2022 29 CCER

4. Enter a short description in the comments block regarding the 

payment. Add any specific identifying information regarding the 

submission that may help in processing the payment.

c. When submitting the form, users will be prompted to enter their Automated 

Clearing House (ACH) debit information.

D. Currently Pay.Gov accepts payment directly by the Automated Clearing House (ACH) 

feature or through credit or debit cards as follows:

a. Credit Cards: Visa, MasterCard, American Express, and Discover. 

b. Debit Cards: Visa and MasterCard processed only.

NOTE: More in-depth instructions and information can be found at Pay.Gov homepage. 
8/4/2022 30 CCER

3.8 Drawings for a Closed-Circuit Escape Respirator

All drawings must be in English. Drawings are accepted in Adobe PDF, ProEngineer, Autodesk, Smart 

Draw, and Corel Draw. Drawings should be named by a unique identifier of the organization’s choice, 

R for drawing, the revision level (e.g. a, b, c, etc.), and the file extension representing the software 

program (e.g., nnnnRa.dwg). All engineering and CAD drawings must be saved and submitted in full 

view mode. All engineering and CAD drawings must be submitted in black and white. The signature 

blocks on each submitted drawing must contain the initials or signature of the preparer and approver 

along with the approval date for the drawing revision. 

3.8.1 Exploded-View Drawing for a Closed-Circuit Escape Respirator

For Closed-Circuit Escape Respirators, the exploded-view drawing is the major subassembly drawing 

and must include the complete respirator with critical or major dimensions, materials, and 

characteristics as listed on the Closed-Circuit Escape Respirator drawing checklist. User Instructions

do not need to be illustrated on the exploded-view drawing. Do not include future submittals or 

unapproved assemblies on the exploded-view drawing. Major subassemblies can be submitted for 

CCERs but are not required.

3.8.2 Example of an Exploded-View Drawing for a Closed-Circuit Escape Respirator

3.8.3 Material Specifications on Drawings for a Closed-Circuit Escape Respirator

For material specifications, use the criteria of affecting performance or design. For example, if an 

accessory would not affect the performance or design, materials could be identified as plastic, metal, 

rubber, etc. However, if the items do affect performance or design, the items would be identified as 

aluminum, butyl rubber, etc. The phrase “or equivalent” should not be used.
8/4/2022 31 CCER

3.9 Component Vendors

If the applicant controls all specifications for the component, the component vendors do not need to 

be specified. If the applicant does not control all specifications of the component, then the applicant 

must provide the name of the vendor. In accordance with 42 CFR Sections 84.42 (c) and 84.43 (c) the 

approval holder is obligated to manufacture in accordance with the approved documentation. NIOSH 

reserves the right to revoke, for cause, any certificate of approval where it is found that the 

applicant's quality control test methods, equipment, or records do not ensure effective quality 

control over the respirator for which the approval was issued. See the April 7, 2005 Letter to All 

Manufacturers on “Clarification of Supplier and Subcontractor Relationships" for additional 

information. 

3.10 Assembly Matrix

• An assembly matrix is a diagram of major subassemblies and accessories. It must be 

submitted electronically in Microsoft Excel 97 or later formats and it must be formatted as 

shown in the example. The assembly matrix cannot be part of the exploded-view drawing.

• An “X” placed in the wrong box on a label or assembly matrix could delay the approval 

process. Please verify the placement.

• Only one assembly matrix is necessary for a series of applications involving a common 

assembly matrix. This assembly matrix must be submitted with the last application in the 

series.

• The AAR# for the application that contains the assembly matrix must be identified in the 

Approval History section of each application in the series. 

• When a new TC number is being requested, identify the rows for the new TC number using 

the numbering convention of “schedule#, AAR#, alpha character” in the TC number column. 

For example, for a Closed-Circuit Escape Respirator where the schedule# is 13G, followed by 

the AAR# MOR699, and the TC number cell for the first row (a) of the new approval, the 

numbering convention would be 13G-MOR699a. The second row would be numbered 13GMOR699b, the third row would be numbered 13G-MOR699c, etc.

• “TC-”can only appear in the column heading; do not use “TC-” in the assembly matrix row. 

• Features that describe the respirator cannot be listed on the assembly matrix as a separate 

column. 

• Features associated with specific model numbers may be coupled together in the description 

column heading (e.g., Model 1201-EZ Flow, Model 1202-EZ Flow, etc.). 

• The listing of User Instructions on Closed-Circuit Escape Respirator assembly matrices is 

required. 

• The listing of the service life plan on Closed-Circuit Escape Respirator assembly matrices is 

required.

• More than one assembly matrix may be submitted with an application, if relevant. 

• Columns with new information or revised information may be lightly shaded. 

• Future submissions or unapproved assemblies should not be shown on the assembly matrices. 

• Blank cells need to be entirely blank. The cells should not contain any unnecessary 

information, spaces, embedded characters, hidden rows or columns, etc.

• The complete respirator or the respirator components listed on the assembly matrix must 

exactly match those illustrated on the exploded-view drawing. 
8/4/2022 32 CCER

Some components may be an accessory on one approval and a required component on another. If a 

component is an accessory, this must be explained in the “Reason for Application.” If this 

information is not clearly stated, NIOSH will consider the component required. The assembly matrix 

must list all major subassemblies and accessories.

The NIOSH evaluation status for each component or subassembly must be indicated as follows:

X = An existing component or respirator that has been previously tested and 

approved by NIOSH in this configuration. 

N = A new component or respirator. If a new TC number has been requested, “N” must 

appear in every column across the entire row. If an Extension of Approval is 

requested, “N” should only appear in columns for respirators or components new to 

the approval.

P = Pending. A component or respirator submitted in an earlier application that is 

currently being evaluated by NIOSH.

R = A redesign or revision to an existing component or respirator where the part number 

has not changed. “R” is to be used indicating a change to any associated document 

with that component.

- = A component or respirator designated by the approval holder as obsolete. Do not use

 “double dash.” An obsolete item must be shown on the matrix as obsolete for the TC 

 number/part number combination at least once. Once organizations have submitted 

 an assembly matrix with obsolete items, they may drop these items from the matrix in 

 future submissions. If obsoleting an approval, dash marks must appear in every block 

 that a component for that approval was marked. 

A = Accessory item. An item that does not affect the ability of a respirator to meet the 

 requirements of 42 CFR Part 84. The approval remains in effect whether the accessory 

 is used or not. 

For easier review and evaluation, it is recommended that applicants lightly shade the rows and 

columns containing new or redesigned (N or R) components. If no cells are marked N or R, the 

applicant should reconsider whether an application for approval is required. If in doubt, call NIOSH 

NPPTL Conformity Verification and Standards Development Branch at (412) 386-4000.

3.11 Approval Labels and Private Labels

Approval labels used in User Instructions, on packaging, or on devices must be legible. Labeling 

requirements vary based on the type and intended use of the respirator. See example label formats 

for Closed-Circuit Escape Respirators. The list of protections must be in the same order and identical 

to the matrix. Submit draft versions of the appropriate labels. 

Labels must be submitted for a New Approval and for an Extension of Approval when the 

components change. Labels must be created in Excel (97 or later) and follow the format of the 

examples. Accessories may be listed on the approval label, but are not required. NIOSH will accept 

draft labels with the location of the Health and Human Services (HHS) and NIOSH logos noted. Logos 

are available on the NIOSH NPPTL homepage. The applicant is responsible for inserting the logos 
8/4/2022 33 CCER

during label production. Approval Labels may not contain future submittals or show unapproved 

assemblies.

3.12 List of NIOSH Cautions and Limitations for a Closed-Circuit Escape 

 Respirator 

CCER: I*, J, M, N, O, S* 

* Notes: 

I Applies if the respirator is not intended for mine use, contains electrical components 

and intrinsic safety has not been evaluated and approved by MSHA or a recognized

independent laboratory.

S With unique or unusual design or critical operation requirements or a private label 

version.

If the respirator contains electrical components and the applicant wants to list the respirator as 

intrinsically safe on the NIOSH approval label, the applicant must obtain intrinsic safety approval from 

MSHA under Title 30 CFR Part 18 or a recognized independent laboratory before submitting the 

application to NIOSH. The verification of intrinsic safety must be submitted with the application. If 

the respirator is for underground mine use, MSHA intrinsic safety approval must be received prior to 

submitting to NIOSH.

3.13 Private Labeling Versus Private Packaging 

Private Labeling

Approval Holder A enters into an agreement to allow Company B to sell Approval Holder A’s 

respirator as being manufactured by Company B. All packaging, labeling, markings, User Instructions,

and literature should indicate Company B. This approach appears to the user that the approval 

holder of the respirator is Company B. The only reference to the actual approval holder is in a Special 

Instructions “S” section. The respirator name, model number, and part number may or may not be 

the same as what is used by Approval Holder A. The NIOSH TC number will not be changed. Approval 

Holder A remains responsible for the respirator quality and all packaging, labeling, markings, and 

literature pertaining to the NIOSH approval. Approval Holder A must ensure that the private labeler 

does not misrepresent the NIOSH approval. Private labeling is always submitted to NIOSH by the 

approval holder for approval.

An Extension of Approval Application, submitted by the approval holder, is necessary for all private 

label requests. If a part number or model number changes, an Extension of Approval Application 

must be submitted showing this change in the assembly matrix and all labeling. 

A Special Cautions and Limitation “S” is to be added to the private label approval label. A specific 

section titled “S-Special Instructions Section” is to be added to the private label User Instructions as 

follows:

The model/part number “respirator type” has been manufactured by Company (Approval 

Holder A) for private label Company B under TC-XXY-nnnn. 
8/4/2022 34 CCER

Private Packaging 

Approval Holder A enters into an agreement to have its respirators sold by Company B. Company B 

puts the assembled respirator in a different or additional package. The respirator name, model 

number, part number, respirator labeling, markings, User Instructions, and literature show Approval 

Holder A as the approval holder. The packaging may represent Company B and its catalog or other 

reference number. However, this packaging must be done in a manner which does not mislead the 

user to think Company B is the approval holder. Clarifiers, such as “Sold by Company B and 

Manufactured by Approval Holder A” or “Made by Approval Holder A for Company B” must be 

included on the packaging. The NIOSH approval label will not be changed. Approval Holder A 

remains responsible for respirator quality and all packaging, labeling, markings, and literature that 

pertains to the NIOSH approval. Approval Holder A must ensure that the private packager does not 

misrepresent the NIOSH approval. NIOSH does not need to be notified of private packaging 

arrangements (no application needs to be submitted).

NOTE: Private packaging does not result in any changes to NIOSH documentation on file for the 

approved respirator configuration. User Instructions and NIOSH approval labels provided on or with 

the package must not be changed. Approval labels and the package artwork are part of the NIOSH 

documentation and therefore must not be changed to remain a private packaging arrangement. 

For both private labeling and private packaging arrangements, the approval holder is responsible for 

notifying the private label or private package company of any changes in approval status, such as stop 

sale, rescission, or revocation.

3.14 User Instructions

User Instructions must be submitted to NIOSH for Closed-Circuit Escape Respirators. User 

Instructions must be listed on the assembly matrix for Closed-Circuit Escape Respirators. An 

Extension of Approval Application is required for changes to the User Instructions. User Instructions 

and associated procedures such as maintenance requirements, inspection procedures, and donning 

and doffing instructions that pertain to the respirator submitted for approval must be submitted as a 

complete package. When there is a change, NIOSH will not accept only the amended pages. A 

complete User Instructions document must be submitted indicating what has been changed either by 

highlighting the changed items or a cover page listing the page numbers and detailing the paragraphs 

that were updated. The file description for the User Instructions must clearly and specifically identify 

the model or product line and revision level. Bold, underline, or otherwise to indicate all changes to 

the User Instructions from the prior revision level. When an approval has an issue or a performance 

issue, corrections to the User Instructions is not adequate to address the issue. 

For cautions and limitations “S,” Special or Critical User Instructions, noted on the approval label and 

listed in the User Instructions: 

• Approval holders have discretion in what is identified as special cautions or limitations. To be 

“special” the specific attribute of the respirator must go beyond the standard cautions and 

limitations and be unique or unusual for the class of respirator. 

• If the approval holder states “Special or Critical User Instructions or specific use limitations 

apply,” the Special or Critical User Instructions must be readily identified within a separate 

section of the User Instructions with the heading, “S - Special or Critical User Instructions.” 
8/4/2022 35 CCER

• Examples of special or critical instructions are special donning procedures, service life 

limitations, and private labeled respirators. 

For private label respirators, the “S” Special or Critical User Instructions section in the private label 

holder’s User Instructions will state:

“The model/part number “respirator type” has been manufactured by Approval Holder 

A (Company) for private label Company B under TC-13G-nnnn.” 

If Special or Critical User Instructions or specific use limitations are stated, these items will be 

reviewed to ensure the items are correct and appropriate.

For all tight-fitting respirators that must be fit tested prior to use, the following Occupational Safety 

and Health Administration (OSHA) reference must be included in the User Instructions:

Before occupational use of this respirator, a written respiratory protection program must be 

implemented meeting all the local government requirements. In the United States, employers 

must comply with OSHA 29 CFR 1910.134 which includes medical evaluation, training, and fit 

testing.

Requirements Specific to Closed-Circuit Escape Respirators

The approval label may be located on the container or box or inserted in the package or in the User 

Instructions. The location of the approval label and User Instructions within the final packaging 

arrangement, are to be stated either on the respirator drawing or as an attachment to these 

documents. Packaging artwork is not required, but will be accepted as fulfillment of this 

requirement.

If a “Moisture Indicator” is used, applicants must include a description that denotes what the 

indicator changes or colors signify and if the unit can be used.

3.15 Service Life Plan for a Closed-Circuit Escape Respirator

Include a service life plan which contains information on reliability engineering methodology. In 

addition, appropriate service life dates that users may rely upon for determining safe and reliable 

performance of the respirator under intended use conditions should be included. The service life 

plan is a separate document from the User Instructions. Technical details for consideration must 

include: 

• Storage life of the various components based on intended use and environment.

• Chemical and physical component deterioration over time. 

• The useful life of elastomers including facepiece, O-rings, breathing tubes, and seals.

• Packaging design specs to eliminate deformation and enhance timely deployment.

• Carrying characteristics which include expected daily shock and vibration assault.

• Life expectancies of chemical adsorbents and filter media with expected moisture effects and 

degeneration over time.

• Inspection procedures which address daily and periodic validation of condition to assure 

acceptability for emergency use.
8/4/2022 36 CCER

• Specific shelf, deployment, or carrying life as applicable and interdependency.

• Intrinsic safety characteristics, if applicable. 

• Acceptable end user maintenance versus return to approval holder for service.

• Allowable conditions of use including applicable regulations governing use.

• Other characteristics to the specific CCER design required to determine the weakest links and 

expected acceptable performance over the approved service life of the unit.

• Description of how units will be date marked to clearly identify when the unit is to be 

removed from service. The date used can be the manufacturing date, deployment date, or 

terminal end-of-service-life date.

The service life plan must be listed on the assembly matrix. The service life plan must be based upon, 

and include, solid reliability engineering data that clearly shows component parts are good for the 

requested service life. This data can be manufacturer data, accelerated aging test data, literature 

review data, or data derived from actual field experience with similar components of the same 

material. An example would be the case seal gasket of similar design and same material that has 

been used on an existing escape unit under similar expected conditions.

Service life plans may be a composite of a text document, a spreadsheet, and a database file with 

drawings inserted or attached. Where composite documents are produced, NIOSH prefers that all 

parts be merged into a single document in a NIOSH-compatible format of the approval holder’s 

choice.

When the service life plan changes, clearly delineate what has changed in the document by either 

bolding or underlining text changes when the updated draft is submitted for approval.

NOTE: The service life plan is not to be confused with the air-purifying cartridge service life which 

indicates the length of time required for an air-purifying element to reach a specific effluent 

concentration or the time for which adequate breathing gas is supplied.

3.16 Packaging Art Work and Carton Design

In accordance with 42 CFR Section 84.33, the applicant will submit full scale reproductions of 

approval labels and markings, and a sketch or description of the method of application and position 

on the harness, container, canister, cartridge, filter, or other component, together with the 

instructions for use and maintenance of the respirator. 

Approval labels will include the HHS and NIOSH logos, the applicant's name and address, the approval 

number assigned by NIOSH and, where appropriate, restrictions or limitations on use of the 

respirator. When additional labels, markings, or instructions are required, the applicant will be 

notified. Approval labels and markings will only be used by the applicant to whom the labels were 

issued.

Legible reproductions or abbreviated forms of the label approved by NIOSH for use on each respirator 

will be attached to or printed on the following locations:

Respirator Type Label Type Location
8/4/2022 37 CCER

Self-Contained Breathing 

Apparatus

Entire Harness assembly and canister (where applicable).

When a company receives and accepts a NIOSH approval, the company agrees to manufacture, 

inspect, and test the respirator as it stated in the documentation as approved by NIOSH. The 

company will maintain the PQP as submitted and approved and will not deviate from this plan. The 

plan will only be changed after the company submits a request to NIOSH and this plan change is 

reviewed and approved by NIOSH.

Each respirator, respirator component, and respirator container will, as required by NIOSH to assure 

quality control and proper use of the respirator, be labeled distinctly to show the name of the 

applicant, and the name and letters or numbers by which the respirator or respirator component is 

designated for trade purposes, and the lot number, serial number, or approximate date of 

manufacture.

Approval holders may not imply “use” for approved respirators. 

Package advertising that is not permitted includes phrases such as:

“NIOSH-Approved Escape All Respirator.” 

 A trade name implying use, such as “Smoke Escape Respirator.” 

Packaging may include a phrase such as: “NIOSH-Approved Closed-Circuit Escape Respirator; 

recommended by the approval holder for use when escaping from an underground mine.” 

3.17 Summary of Related Documents

Provide a complete and accurate listing of all new or revised files that pertain to the application. Give 

a specific filename to each controlled document submitted with the application. The summary of 

related documents must precisely match the electronic files submitted. Applications may be 

returned without being processed if the summary is incorrect.

The following information must be included:

Filename: 

XXX represents the three-characer NIOSH-Assigned manufacturer’s code and should only 

appear on the application.

nnnn represents the unique characters chosen by the applicant.

The filename with extension must be listed, using Specific file naming conventions.

Spaces must not be used in filenames. 

Filenames are derived from the controlled document number, not the AAR#. 

For example, the filename for drawing 10222 revision A should be 10222Ra.dwg. 

For future submissions of the same document, the only change to the filename will be to the 

revision level; the next submission of the drawing above would be 10222Rb.dwg.

Files submitted using the AAR# as filenames will be returned.

Document Type:

Pretest data, drawing, assembly matrix, draft approval label, QA Manual, PQP, service life 

plan, User Instructions, etc.
8/4/2022 38 CCER

Description:

Detailed description giving specific information identifying model name or number, revision 

level, drawing number, and title.

Software program extension:

The software program (including version) used to create the file. 

nnnn = unique identifying characters.

a, b, c, etc. = revisions.

.xml, .xls, etc. = program used to create file.
8/4/2022 39 CCER

3.18 File Naming Conventions

Required Documents Naming Convention 

Abbreviation Acceptable Software Packages File Naming Convention Format

Application Form -

Adobe Acrobat

Microsoft Access

Java

XXXnnnn.PDF

XXXnnnn.MDB

XXXnnnn.xml

Pretest Data PD

Adobe Acrobat

Excel

Microsoft Word

nnnnPD.PDF

nnnnPD.XLS

nnnnPD.XLSX

nnnnPD.DOC

nnnnPD.DOCX

Drawings R followed by revision level 

(if applicable)

Adobe Acrobat

AutoCAD

Scanned file

nnnnRa.PDF

nnnnRb.DWG

nnnnRc.TIF

nnnnRd.GIF

nnnnRe.JPG

nnnnRf.BMP

(a-f indicate various revision levels)

Assembly Matrix AM followed by revision 

level (if applicable) Excel nnnnAMa.XLS

nnnnAMb.XLSX

Draft Approval Labels DL followed by revision level 

(if applicable) Excel nnnnnDLa.XLSnnnnDLb.XLSX

QA Manual QM followed by revision 

level (if applicable)

Adobe Acrobat

Scanned file

Excel

Microsoft Word

nnnnQMa.PDF

nnnnQMb.TIF

nnnnQMc.XLS

nnnnQMd.XLSX

nnnnQMe.DOC

nnnnQMf.DOCX

Plus one signed paper copy

(a-f indicate various revision levels)

Product Quality Control 

Plan (PQP)

PQP followed by revision 

level (if applicable)

Adobe Acrobat

Scanned file

AutoCAD

Excel

Microsoft Word

nnnnPQP.PDF

nnnnPQP.TIF

nnnnPQP.DWG

nnnnPQP.XLS

nnnnPQP.XLSX

nnnnPQP.DOC

nnnnPQP.DOCX

Fees - Paper or Pay.Gov only Paper or PAY.GOV only

Service Life Plan SLP followed by revision 

level (if applicable)

Adobe Acrobat

Scanned file

Excel

Microsoft Word

nnnnSLP.PDF

nnnnSLP.TIF

nnnnSLP.JPG

nnnnSLP.BMP

nnnnSLP.PNG

nnnnSLP.XLS

nnnnSLP.XLSX

nnnnSLP.DOC

nnnnSLP.DOCX

User Instructions UI followed by revision level 

(if applicable)

Adobe Acrobat

Scanned file

Microsoft Word

nnnnUIa.PDF

nnnnUIb.TIF

nnnnUIc.DOC

nnnnUId.DOCX

(a-d indicate various revision levels)
8/4/2022 40 CCER

• If “zipped” files are submitted, provide the individual filename, description, and program for 

each working file contained in the zipped file. 

• If there is more than one User Instructions or assembly matrix, list each in the assembly 

matrix by name. 

• If NIOSH has requested replacement files, give the replacement files the same name as the 

original files. 

• Send replacement files only at the request of NIOSH, and send the replacement files directly 

to the employee requesting the files. The requestor is responsible for having the corrected 

files posted to the project. 

• NIOSH will only accept replacement or new files that have been requested by NIOSH. 

• NIOSH will only accept single documents under a single file name. 

• Multiple documents under a single file name will not be accepted and the application may be 

denied.
8/4/2022 41 CCER

Section 4 Approvals and Denials

4.1 Approval Documentation

If the respirator complies with all of the requirements outlined in these procedures and 42 CFR 84, 

NIOSH will grant an approval and assign a TC number. 

All submitted documentation and supporting test data will become part of the approval record. 

NIOSH will send a letter to the applicant’s primary contact stating the nature of the approval and will 

return final approval label files, if applicable, with the appropriate approval documentation. 

Applicants may use consultants or authorized representatives as contacts for the application. These 

contacts may submit applications either by request of the company primary contact or in place of the 

company primary contact. Foreign companies may provide a U.S. contact as a consultant or 

authorized representative. For applicants using consultants or authorized representatives, the final 

letter of approval and enclosed documentation will be sent directly to the applicant with a copy of 

the approval letter to the consultant or authorized representative. All approval documentation and 

application discussions will still be done through the company primary contact.

When application approval labels and assembly matrices contain rows of information for approvals 

other than the ones evaluated in the individual application under review, approval letters will 

indicate that only the approvals indicated (or marked requested) under the individual application are 

granted. 

4.2 Denial Documentation

If the respirator fails to meet the requirements of 42 CFR Part 84, the application will be denied and 

all documentation, CD-Rs or DVD-Rs, and sample hardware will be returned or destroyed. NIOSH will 

not maintain documentation or sample hardware for any respirator that has failed to meet all of the 

requirements. If NIOSH denies an application based upon documentation issues, the application, CDRs or DVD-Rs, and all sample hardware will be returned to the applicant’s U.S. or Canadian address or 

authorized representative. It is recommended that foreign applicants have and use their U.S. 

representative’s address on return shipping labels.

NOTE: If any failure occurs in a series of applications, all related applications will also be denied. 

Subsequent requests for approval of previously failed units must be submitted with all associated 

documentation and the reason for failure must be addressed.

4.3 Denial Prior to Assignment of a Task Number

Some of the reasons applications will not be accepted and will be denied prior to issuance of a TN 

include: 

• An application is assigned a previously used AAR#.

• A major section of the application such as the assembly matrix, QA Manual, approval labels, 

pretest data, User Instructions, or drawing package is missing, in an unacceptable file format, 

or uses an unacceptable file naming convention.

• Sample hardware, application package, and payment are not received within two weeks of 

one another.
8/4/2022 42 CCER

• Shipping boxes contain sample hardware associated with different applications and without 

separate packaging to indicate what sample hardware goes with each application.

• Packages of sample hardware received within the same box are not clearly labeled

• An assembly matrix is not associated with every application (except QA Applications).

• The respirator is for underground mine use and has electrical components, but has not 

received MSHA intrinsic safety approval or the MSHA approval document has not been 

included with the application.

• A complete file list is not included in the related documents section of the application.

4.4 Denial of a Project Undergoing NIOSH Evaluation

Some of the reasons why applications may be denied after issuance of a TN include:

• Assembly matrix, exploded-view drawing, approval labels, or major subassembly drawings are 

incorrect (content or format) or show unapproved assemblies.

• Pre-submission test data is not complete. For example, it does not include total resistance on 

the complete assembly or all assemblies involved in the submittal(s).

• Sample hardware submitted does not match subassembly drawings, part numbers, or the 

assembly matrix drawing.

• Drawings are not in accordance with the documentation control procedures stated in the 

applicant’s Quality Assurance Manual.

• Additional information requested by NIOSH is not received within two weeks of the date 

requested.

• The application is for a new or unique respirator which cannot be approved under current 

regulations for which there is no existing NIOSH policy (e.g., smoke hoods, etc.).

• Applicant’s pre-submission test data indicates that the respirator would fail the NIOSH

regulatory test requirements or the appropriate pretest data is not submitted with the 

application.

• The official submittal either (1) requested approval of two respirators of different basic design

(includes submitting a CCER with chemical oxygen and an alternate with bottled oxygen in the 

same application) or (2) requested a New Approval and an Extension of Approval in the same 

application.

• The Standard Application Form (SAF) has errors, deficiencies, or is incorrect.

• Items on the assembly matrix do not correspond exactly to the “Reason for Application,”

drawing revision levels are wrong, components on the exploded-view drawing are improperly 

numbered, or documents are otherwise incorrect.

• Protection or intended use claims have not been requested or approval has not been obtained 

from other governing agencies (such as MSHA for mining (along with MSHA intrinsic safety)).

• QA documentation does not have sufficient inspections identified, is missing required 

inspection steps, or inspections identified are not sufficient to meet the NIOSH requirements.

• The Quality Assurance Application includes other documents, such as a PQP or inspection 

procedures, in addition to or instead of the Quality Assurance Manual.
8/4/2022 43 CCER

4.5 Respirator Certification (Approval) Program Decision Review Process 

NIOSH NPPTL has a structured Decision Review Process that enables applicants to request a review of 

decisions regarding NIOSH NPPTL policy statements, test procedures, and test results pertaining to 

ongoing respirator certification activities.
8/4/2022 44 CCER

Section 5 Respirator Tests for a Closed-Circuit Escape Respirator 

Item

Respirator 

Type *NIOSH Test # Title

Total Materials 

Needed

25 CCERs, 42 CFR Part

84 

Subpart O

TEB-CCER-STP-0600 Determination of Gasoline Permeation CAP 1 versions – 32 with mining 

use – 34. 

CAP 2 versions – 17 with mining 

use – 19. 

CAP 3 versions – 17 with mining 

use – 19. 

Spare units should be available 

and can be included with the 

required units listed. 

 

 

 

 

TEB-CCER-SOP-0601 SOP for Environmental Treatments

TEB-CCER-STP-0602 Determination of Capacity, BMS

TEB-CCER-STP-0603 Determination of Performance, BMS

TEB-CCER-STP-0604

Determination of Capacity, Minimum 

Temperature, BMS

TEB-CCER-STP-0610

Determination of Wearability, Human 

Subjects

TEB-CCER-STP-0611

Evaluation of Donning, Human 

Subjects

TEB-CCER-STP-0612

Determination of Capacity, Human 

Subjects

TEB-CCER-STP-0613

Determination of Performance, 

Human Subjects

TEB-CCER-STP-0614

Assessment of Stressors, Human 

Subjects Tests

TEB-CCER-STP-0615

Man Test 4 for Use in Underground 

Mines

TEB-CCER-SOP-0616

SOP for Human Subject Work Rate 

(VO2)

 * Actual tests selected may vary depending on design and 

intended use.
8/4/2022 45 CCER

Section 6 Closed-Circuit Escape Respirator Checklists

The following checklists will be used by NIOSH to review submitted documents for compliance to this 

procedure and 42 CFR Part 84. It is recommended that applicants review their documents using these 

checklists prior to submitting them to NIOSH. These checklists may not be all-inclusive. 

6.1 NIOSH Respirator Application Checklist

1. _____ The AAR# is unique to the application.

2. _____ All the applicable sections of the SAF are complete.

3. _____ The “Reason for Application” accurately reflects why the application is being submitted 

(e.g., New Approval, Extension of Approval, Quality Assurance Approval, Correlation 

Testing Only, Resubmission of a New Approval, Resubmission of an Extension of 

Approval, or Amended Application).

4. _____ The NIOSH TN where this (these) respirator(s) were last tested has been identified.

5. _____ All the files included with the application are listed in the SAF.

6. _____ All the files supplied are in the acceptable file formats.

7. _____ All the files are properly identified/listed in the SAF.

8. _____ Is the respirator to be used for underground mine use? Does it have electrical 

components, and has the respirator received MSHA intrinsic safety approval prior to 

submitting to NIOSH.

If Test Samples (Hardware) shipped under separate cover

9. _____ Shipped under a separate cover.

10. _____ The individual test samples (hardware) for evaluation are identified with the AAR# and 

part numbers as listed on the assembly matrix.

11. _____ The individual test samples (hardware) for evaluation are referenced on the assembly 

matrix. 

12. _____ The shipping container/box is marked with the associated AAR# and/or TN.

13. _____ The testing samples (hardware) package includes a packing slip identifying the item(s)

and quantity(ies) shipped.

Fees

14. _____ The application fee check or electronic funds transfer (Pay.Gov) receipt for $200 is 

included. 

15. _____ The fee check is dated less than 30 days before the submission date of the application.

16. _____ The check is payable to NIOSH.

17. _____ The check includes the EIN, if a U.S. company or subsidiary. 

18. _____ The check includes the AAR#. 

Assembly Matrix

19. _____ The assembly matrix matches what is listed in the “Reason for Application” section of 

the SAF. 

20. _____ The assembly matrix and SAF represent the actual configuration of the new or 

modified approval.

21. _____ The “Reason for Application” accurately reflects what is being requested (e.g., New 

Approval, Extension of Approval, Quality Assurance Approval, Correlation Testing Only

Approval, Resubmission of a New Approval, Resubmission of an Extension of Approval,

or Amended Application).
8/4/2022 46 CCER

22. _____ R’s are placed in the boxes that are associated with any change to the referenced 

components, including drawings, PQP’s, inspection procedures, or any other 

documents.

Drawings

23. _____ The necessary new or revised drawings are included in the application documents. 

24. _____ The revision levels on all drawings match those listed on the assembly matrix.

25. _____ Item numbers on the exploded-view drawing match the item numbers on the 

assembly matrix.

26. _____ All required information is present on the Closed-Circuit Escape Respirator drawings, 

as indicated on the appropriate checklists. 

Labels

27. _____ All applicable draft approval labels are included with the application (respirator, along 

with other labels as required).

28. _____ The assemblies identified on the label match those identified on the matrix (or 

matrices) with the possible exception of accessories and User Instructions.

29. _____ The abbreviated labels, primary company, and private label company, if applicable, are 

listed and shown on page two of the drawings.

30. _____ All the part numbers on the approval labels match the part numbers listed in the 

assembly matrix.

Cautions and Limitations

31. _____ All appropriate cautions and limitations statements are identified on the individual 

approvals.

32. _____ All cautions and limitations statements referred to on the approvals are stated on the 

label(s).

User Instructions

33. _____ The User Instructions include all the required information e.g., donning instructions, 

assembly instructions, additional warnings and cautions, private label statement (as 

required), name and contact information of the appropriate company.

Final Review of Application Documents

34. _____ All documents have been verified for the correct revision numbers and the revision 

levels match what is listed in the SAF.

35. _____ Pre-submission testing indicating that all performance requirements specified in 42 

CFR Part 84 is provided in the application and is complete. 
8/4/2022 47 CCER

6.2 Exploded-View Drawing Checklist for a Closed-Circuit Escape Respirator 

1. _____ Drawing contains all major subassemblies and accessories that appear on the 

assembly matrix (except the User Instructions and service life plan).

2. _____ Parts that are obsolete from the matrix should not appear on the exploded-view 

drawing.

3. _____ The reference numbering on the exploded-view drawing matches the reference 

numbering on the assembly matrix. All matrix assemblies are represented on the 

exploded-view drawing and there are no extra assemblies on the exploded-view 

drawing. For every reference number on the drawing there is a corresponding number 

on the matrix, and vice versa.

4. _____ The drawing is properly titled, signed/initialed, numbered, dated, and contains a 

revision level.

5. _____ There are no reference dimensions on the drawing except if the exploded-view drawing 

is the only drawing required.
8/4/2022 48 CCER

6.3 All Major Subassemblies Checklist for a Closed-Circuit Escape Respirator 

1. _____ Numbered, titled, signed/initialed by an authorized representative, with an effective 

date and revision level.

2. _____ Dimensions: length, width, or diameter, as applicable are referenced. 

3. _____ Material specifications or vendor part number is listed. 

4. _____ Part number location is listed. 

5. _____ Serial number location, if applicable, is listed. 

6. _____ Critical and major characteristics must identified on the drawing or on a separate 

document.

7. _____ Inspection procedures or classification of defects are identified on the drawing or in 

additional documentation provided with the drawing.

8. _____ Expiration date is indicated, if applicable.

Regulator 

1. _____ Parts list shows all parts and materials of the regulator.

If the unit has a cylinder:

1. _____ The documentation for the cylinder lists the burst disc pressure or states that it meets 

the CGA-1-1.1.6.3. Requirement is 90 to 100% of 5/3 service pressure:

• Cylinder fill pressure x 5 ÷ 3 = upper limit. 

• Highest pressure x .90 = lower limit. 

2. _____ Torque requirement for connection of cylinder valve to cylinder is listed.

3. _____ Cylinder construction (material(s) of construction, fiber reinforced, type of fiber) are

listed. 

4. _____ Full cylinder volume at operating pressure is listed. 

5. _____ Markings on cylinder must include compressed breathing air, compressed breathing 

oxygen, liquefied breathing air, or liquefied breathing oxygen as required by the U.S. 

DOT.

6. _____ Pressure gauge range has a scale reliable to within + or - 5% of full scale (minimum of

five graduations empty, 1/4, 1/2, 3/4, full).

7. _____ Where pressurized oxygen is used, the gauge must have the words “Oxygen” and “Use 

No Oil.” If respirator is a closed-circuit unit with oxygen, all materials must be 

compatible for use with oxygen (42 CFR Section 84.86).

8. _____ Procedure to assure proper gas mixture for refill purposes (percent oxygen) is 

included. 

9. _____ Specification and dimensions of outlet threads are marked.

10. _____ For compressed oxygen units, drawing specifies that cylinder is to be charged with 

oxygen meeting requirements in 42 CFR 84.79(b) and methods of determining this 

level can be found in the U.S. Pharmacopeia for pure oxygen. 
8/4/2022 49 CCER

6.4 Private Label Checklist for a Closed-Circuit Escape Respirator

1. _____ An assembly matrix showing private label version under current approval (TC) 

number is included.

2. _____ If private label CCER is a different model/part number than primary approval holder’s 

number, part number and description are in a new separate column on the matrix. 

3. _____ If the private label is the same model/part number as the primary approval holder’s 

model/part number, the approval holder name and private label company name are in 

the description column of the primary Closed-Circuit Escape Respirator model/part 

number.

4. _____ The private label abbreviated label is included on page two of the drawing.

A. _____ Abbreviated label must include the following items:

a. Private label company name.

b. NIOSH is printed in block letters.

c. Appropriate approval (TC) number.

d. Protection (CAP 1, CAP 2, etc.).

e. Model or part number.

f. Operating instructions.

g. The lot or date code is included on the label or packaging. 

B. _____ A draft of the full private label approval label is included and includes

 cautions and limitations special “S.”

C. _____ Private label User Instructions are included.

D. _____ “S” Special User Instructions section is required with the statement:

 Model nnnn Closed-Circuit Escape Respirator has been manufactured 

by approval holder xxx for private label company yyyy under TC-13Gnnnn.

E. _____ Contact information and a contact person must be identified either in 

the application or on a separate sheet. 
8/4/2022 50 CCER

6.5 Assembly Matrix Checklist for Closed-Circuit Escape Respirators

This checklist corresponds to the Example Assembly Matrix in Section 7.3

1. _____ The title of the document is indicated on the top of the page.

2. _____ The assembly matrix has the following information in the top right corner of the 

 page:

a. Title. 

b. Applicant’s name and address.

3. _____ The following is indicated below the key box:

a. Date. 

b. Revision level, if applicable. 

4. _____ New drawings submitted with the application or the drawing revision level reflects 

 the current revision level on file at NIOSH. If the drawing has changed from what is 

 currently on file at NIOSH, the altered drawing needs submitted with the appropriate 

 revision level noted. If the drawing is within another application at NIOSH, this 

 information must be identified in the “Reason for Application” section. 

5. _____ The numbering system used for assemblies shown on the matrix and exploded-view 

 drawing match. 

6. _____ The part number marked on the component must appear in the part number row 

 (model numbers optional).

7. _____ Features that describe the respirator are not listed as a separate column on the matrix. 

 Features associated with specific model numbers may be coupled together in the 

description (e.g., Model 1201 with Nuisance OV). 

8. _____ Top row (A) must be a general category, i.e., facepiece, etc. Accessories must be 

 included. “Alternate” will be in the column heading if there are more than one of the 

 same assemblies.

9. _____ The NIOSH TN (B) where the component was last tested is listed in the bottom row. If 

 new, indicate N. 

10. _____ The AAR# (C) appears in the first column from the left. 

11. _____ The TC number (D) appears in the second column from left. 

a. A new TC number is listed in the proper format: schedule# and AAR# followed 

by an alpha character. 

b. List “TC-” only in the category heading.

12. _____ The list of protections (E) appears in the third column from left. 

a. Verify the list matches the protections listed in the SAF. See the complete list 

of protections and cautions and limitations.

13. _____ The key box (F) must use only the characters X, N, P, R, -, or A. 

14. _____ TN/AAR# of the previously approved/pending matrix (G) is noted above the right-hand 

 side of the table. 

15. _____ Current exploded-view drawing number (H) and revision is located directly below the 

 TN/AAR# of the previously approved/pending matrix.

16. _____ A column for the part number/revision level of the User Instructions must be used.

17. _____ The service life plan part number and revision level for CCERs is included.
8/4/2022 51 CCER

Section 7 - Document Examples for a Closed-Circuit Escape 

 Respirator

7.1 Example of a Product Quality Plan for a Closed-Circuit Escape Respirator

Double Wing Manufacturing, Pittsburgh, PA Product Quality Plan (PQP)

DWER Closed-Circuit Escape Respirator Revision A, Date: 10/21/2015

Item Description Inspection Class Location AQL Test 

Method

Recorded 

Results

1 Bag Assembly Assembly 

Correct

Critical Assembly 

Station

100% Visual Assembly 

Station

Bag Leak 

Test

Critical Assembly 

Station

100% TP-00BT

2 Cylinder 

Assembly

Assembly 

Correct

Critical Assembly 

Station

100% Visual Assembly 

Station

Volume Major A Assembly 

Station

1% TP-00CT

3 Scrubber 

Assembly 

Assembly 

Correct

Critical Assembly 

Station

100% Visual Assembly 

Station

CO2 

Scrubbing 

Test

Major A Assembly 

Station

1%, 

destructive

TP-00ST

4 Breathing Tube Assembly 

Correct

Major A Assembly 

Station

1% Visual Assembly 

Station

5 Case Assembly Assembly 

Correct

Major A Assembly 

Station

100% Visual Assembly 

Station

1 Assembly Assembly 

Correct

Critical Assembly 

Station

100% Visual Assembly 

Station

2 Unit Final 

Inspection 

Testing

Capacity 

Level Testing

Major A QC Lab 1% 

destructive

TP-00FT QC Lab
8/4/2022 52 CCER

7.2 Example of an Exploded-View Drawing for a Closed-Circuit Escape Respirator

Approved Double Wing Manufacturing, Pittsburgh, PA

Drawing: 

DWW 

9/25/2015

Part Number: 

123455 

Title: DWER 2000 CAP 1

Release: 

DDW 

9/26/2015

Scale: 

NTS

Revision: 

0 

Drawing Number DWM001

Lanyard 
8/4/2022 53 CCER

7.3 Example of an Assembly Matrix for a Closed-Circuit Escape Respirator

(F)

(G)

(H)

2 3 4

(A) Case

Service 

Life Plan

User 

Instructions

Descript

ion

Escape RespiratorEscape Respirator MiningCarrying CaseService Life PlanUser Instructions

Revision 0 0 0 1 1

Drawing 

Number LWM001 LWM002 LWM004 N/A N/A

AAR#

(C) 

NIOSH 

Approval 

Number, 

TC-

(D)

Protection

(E) 

Model/

Part 

Number 123456 123457 CC001 N/A N/A

LWM101 13G-0010

SC/ESC/

CAP 1-20L X R R

LWM102 13G-0011

CAP 1-M20L R R R

(B) TN-16000 TN-16001 TN-16000 N/A N/A

Date: August 15, 2015 TN or AAR# of previously approved or pending matrix: n/a

Revision: 1

Key:

X=Currently Approved in this 

Configuration

N=New Component or Configuration

"-"=Obsolete

R=Redesign

P=Pending

Double Wing Manufacturing

123 Manufacture Lane

Pittsburgh, Pennsylvania, USA

Phone: 412-555-1212

CCER Respirator LW1000 Approval Matrix

1

Respirator

NIOSH Task Number Where 

Component was Last Tested (If 

Exploved-view drawing number: n/a; See simplified drawing 

of each unit.
8/4/2022 54 CCER

7.4 Example of an Approval Label for a Closed-Circuit Escape Respirator

Double Wing Manufacturing Company

Almost Heaven, West Virginia, USA

1-800-123-4567

LWM001 CCER

Closed-Circuit Escape Respirator

These respirators are approved only in the following configurations:

TC- Protection1 Model Escape 

Respirator

Escape 

Respirator, 

Mining

Carrying 

Pouch

Cautions 

and 

Limitations2

100101 100121 1001CP

13G-AARa SC/ESC/CAP 

1-20L LWM001 X X IJMNOS

13G-AARb SC/ESC/CAP 

1-M-20L LWM001M X X JMNOS

1. PROTECTIONS

SC - Self-Contained

ESC - Escape-Only

CAP 1-20L - Capacity, 20 Liters 

M - Mining

2. CAUTIONS AND LIMITATIONS

I Contains electrical parts that may cause an ignition in flammable or explosive atmospheres.

J Failure to properly use and maintain this product could result in injury or death.

M All approved respirators shall be selected, fitted, used, and maintained in accordance with 

MSHA, OSHA, and other applicable regulations.

N Never substitute, modify, add, or omit parts. Use only exact replacement parts in the 

configuration as specified by the manufacturer.

O Refer to User Instructions, and/or maintenance manuals for information on use and 

maintenance of these respirators.

S Special or critical User Instructions and/or specific use limitations apply. Refer to User 

Instructions before donning.

[NOTE: All appropriate cautions and limitations must be listed in a separate section of the User 

Instructions. This includes air quality requirements, special use instructions, etc.]
8/4/2022 55 CCER

7.5 Example of an Abbreviated Approval Label for a Closed-Circuit Escape 

Respirator

Double Wing Manufacturing Company

Almost Heaven, West Virginia, USA 1-800-123-4567

TC-13G-XXXX Cap 1 20L

TC-13G-YYYY Cap 1 M 20L

Models CCR-1 and CCR-2

Closed-Circuit Escape Respirators

Operating Instructions:

1. Open unit by lifting the red tab and removing the top cover.

2. Remove unit from bottom cover by pulling the black neck strap up.

3. Insert mouthpiece into mouth.

4. Place nose clip securely on nose.

5. Exhale into unit and breathe normally to escape.

6. Place neck strap around neck.

7. Put goggles on and adjust as necessary.

 Refer to the approved User Instructions for the complete list 

of components that make up the approved assembly.

[NOTE: All appropriate cautions and limitations must be listed in a separate section of the User 

Instructions. This includes cold temperature limitations, special use instructions, etc. that were listed 

on old Part 11 label.]
8/4/2022 56 CCER

Section 8 - Label Format Guidance

• Labels for Closed-Circuit Escape Respirators must be completed in the assembly matrix format 

shown in the preceding examples.

• The TC number is listed in the far left column. For initial submissions, the TC number is the 

schedule# and AAR# followed by an alpha character, exactly as in the assembly matrix. This 

links the approval label to the application and assembly matrix. Upon approval, NIOSH will 

insert the TC number. “TC-” can only appear in the column heading, not in the row. 

• Protections are the second column from the left.

• Cautions and limitations are the far right column. 

• The component columns must list all of the major subassemblies and accessories and can be 

in any order that the applicant chooses.

• Anytime more than one of the same subassemblies for a respirator configuration is listed on 

the approval label, the subassemblies must be identified as alternate components by adding 

“Alternate” to the column heading. X is the only character that may be used in the body of 

the approval label to designate an approved component. 

• If a component is offered as an accessory, the category must be labeled as “Accessory” (e.g., 

“Accessory Cover"). 

• Empty rows are not permitted. Approval labels must not be color coded.

• Wording of the standard protections and cautions and limitations must be identical to the 

NIOSH samples. Only appropriate cautions and limitations may be listed. For example, if only 

cautions and limitations J, M, and N apply, then only J, M, and N can be footnoted at the 

bottom of the label. 

• The abbreviated label mounted on Closed-Circuit Escape Respirators must clearly indicate the 

approval holder’s name, location, product model or trade name, approval number, 

protections, part number, and lot number. The entire CCER must appear in the User 

Instructions. 

• The entire canister for a Closed-Circuit Escape Respirator label must appear in the User 

Instructions.

If all respirators on the label are of the same series or family, text may be added to identify 

the respirator series or family, e.g., closed-circuit, CAP1, etc. This heading is optional on all 

approval labels.

• Non-NIOSH approval identifiers cannot be represented on any NIOSH labels. Applicants may 

use additional areas on the component to identify any other applicable approvals such as the 

European CE approval. However, this information must be separate from the NIOSH approval 

label. 

• If the label will not fit on the container, it must be included inside the container. If the label is 

inserted, the container must say “NIOSH-Approved - see insert.” The insert may consist of the 

approval label or the User Instructions containing the approval label.

If the respirator is for escape-only, the applicant must use the word escape on full approval labels. 

For example, “These escape-only respirators are approved only in the following configurations.”

‘Escape’ may be abbreviated in the protection column, but must be spelled out in the legend. 
8/4/2022 57 CCER

APPENDIX
8/4/2022 58 CCER

DEPARTMENT OF HEALTH & HUMAN SERVICES Public Health Service

Centers for Disease Control and

Prevention (CDC)

National Institute for

Occupational Safety and 

Health (NIOSH)

National Personal Protective

Technology Laboratory

(NPPTL)

P.O. Box 18070 

Pittsburgh, PA 15236

Phone: 412-386-4000 

Fax: 412-386-4051

September 24, 2012 

LETTER TO ALL RESPIRATOR MANUFACTURERS 

Subject: Sampling Procedures 

The National Institute for Occupational Safety and Health (NIOSH) requires that respirator 

approval holders inspect and/or test samples of respirators and components as part of 

their quality control plans. This requirement is stated in Title 42, Code of Federal 

Regulations, Part 84 (42 CFR 84), specifically in §§ 84.41(b) through 84.41(i). Some 

applicants or approval holders have had difficulty understanding how to select and use a 

sampling procedure which meets the requirements. This letter is intended to explain the 

practical use of common standard procedures acceptable to NIOSH. 

This letter will not discuss statistical theory underlying acceptance sampling. If applicants or 

approval holders intend to use alternatives to the procedures described here, they must 

understand the concepts of acceptance sampling and process control. The use of more 

modern methods such as calculating process capability values (Cpk) or employing statistical 

process control (SPC) is encouraged where this is compatible with the approval holder’s 

operations and provides equivalent assurance of respirator performance. Justification to 

demonstrate the equivalence of these procedures must be provided in the application 

seeking approval. 

1. Selection of Sampling Procedures 

1.1 Sampling by Variables. The standard sampling procedure specified in 42 CFR Part 84 is 

MIL-STD-414 [U.S. Department of Defense 1957]. This is a variable sampling plan, which 

means that the characteristic must be something that can be measured numerically on a 

continuous scale. Examples include the diameter of a hole in inches, the mass of a 

cartridge in grams, or the leakage of an exhalation valve in milliliters per minute. This 

procedure is only valid when the characteristic being measured has a statistically normal 

distribution over the population being sampled. The ANSI/ASQ Z1.9 standard [American 

National Standards Institute 2003b] is derived from MIL-STD-414, and NIOSH considers it 

to be equivalent. 
8/4/2022 59 CCER

1.2 Sampling by Attributes. The MIL-STD-105D sampling procedure [U.S. Department of 

Defense 1963] is explicitly accepted as an equivalent procedure in 42 CFR Part 84. This is an 

attribute sampling plan, which means that each characteristic is simply checked to see 

whether it is acceptable. Due to its simplicity, this standard and its derivatives are by far the 

most common in use. It has the advantage that it can be applied to characteristics which do 

not involve a numerical measurement (such as visual checks) as well as to those that are 

measurable. No calculations are needed to determine acceptance, and the procedure is 

valid whether the Page 2 – Letter to All Respirator Manufacturers 9-2012 characteristic has a 

normal distribution or not. Typically the sample sizes will be larger than the corresponding 

variable sampling plan. Procedures derived from this standard, and which NIOSH considers 

to be equivalent, include MIL-STD-105E [U.S. Department of Defense 1989] and ANSI/ASQ 

Z1.4 [American National Standards Institute 2003a]. 

1.3 Zero-Defect Sampling by Attributes. Another attribute sampling plan which NIOSH accepts as 

equivalent is the Squeglia C=0 procedure [Squeglia 2008]. While not directly derived from MIL-STD105E, its plans are matched to that procedure and provide an acceptable statistical assurance of lot 

quality. The chief difference is that in all cases, the lot is only accepted if there are zero defects 

found in the sample (C=0). This procedure usually requires fewer samples than MIL-STD-105D and 

related standards, and is the simplest to use of those listed in this letter. However, it is generally only 

suitable when defects in production are extremely rare. 

1.4 Equivalent Standards. The ANSI/ASQ standards mentioned above are revised periodically. In 

general, NIOSH will consider later editions of a given procedure to be equivalent. There may also be 

other national or international standards based on MIL-STD-414 or MIL-STD-105D that can be 

considered equivalent. If such a standard is used, NIOSH may request a copy from the applicant to 

verify its equivalence. 

1.5 Obtaining Sampling Procedure Documents. One feature of MIL-STD plans is that as works of the 

United States Government, they may be copied free of charge. Those mentioned can be downloaded 

from the Internet Archive at http://www.archive.org/ and may be available elsewhere. However, all 

MIL-STD documents in this letter have been cancelled by the Department of Defense and are no 

longer maintained or revised. The corresponding ANSI/ASQ standards are successors to the MIL-STD 

documents and have various minor improvements and clarifications added. Copies of these standards 

may be purchased from the American Society for Quality, the American National Standards Institute, 

or others who deal in national standards. 

2. Acceptable Quality Level (AQL)

• Meaning of AQL. The acceptable quality level is an indicator of the percent defective that

can be considered satisfactory for a particular characteristic. Smaller AQL values mean that

fewer defectives will be tolerated in an acceptable lot.

• Selection of AQL. The classification of defects document submitted with each application as

required by 42 CFR Section 84.41(c) through 84.41(e) must identify the severity level of each

characteristic. The AQL to be used for sampling is shown in the table below and is defined in 42

CFR Section 84.41(g). The AQL value does not depend on lot size or any other factor, and it is

generally improper to modify the AQL for any reason other than the defect classification.
8/4/2022 60 CCER

1 These are called “index values” in the Squeglia C=0 procedure.

2 It is acceptable to use a smaller (more stringent) AQL value.

2.3 Critical Characteristics. Characteristicsidentified as Critical in the classification of defects are

not assigned an AQL and are not eligible for any form of sampling. Each item made must be 100%

inspected as required by 42 CFR Section 84.41(f) and the entire lot rejected when a defect is found.

Any plans to perform rework on the lot must be approved as part of the product quality plan.

2.4 Cross-References. See MIL-STD-414 section A4; ANSI/ASQ Z1.9-2003 sections A2.1, A4; MILSTD-105D section 4; MIL-STD-105E sections 3.1, 4.4; ANSI/ASQ Z1.4-2003 section 4; Squeglia C=0

pages 3, 6.

3. Inspection Level

3.1 Meaning of Inspection Level. The inspection level decides the number of samples to be drawn

for a particular lot size and determinesthe sampling plan’s ability to discriminate between

conforming and nonconforming lots. Lower inspection levels increase the risk that a

nonconforming lot will be accepted.

3.2 Selection of Inspection Level. The inspection level to be used is shown in the “normal” column

of the table below and is defined in 42 CFR Section 84.41(h). As a special exception, NIOSH is

permitted under 42 CFR Section 84.41(i) to allow a lower inspection level for destructive testing

only. The minimum level NIOSH will accept under this exception is in the “destructive” column.

Approval of a level lower than the “normal” level is entirely at NIOSH’s option and will only be

granted if the rest of the inspection plan ensures adequate control over product quality.

1 Only permitted with specific prior approval from NIOSH.

The Squeglia C=0 procedure does not use the concept of inspection levels and NIOSH treats it as

equivalent to inspection level II of MIL-STD-105D.

3.3 Cross-References. See MIL-STD-414 section A7.1; ANSI/ASQ Z1.9-2003 section A7.1; MIL-STD105D sections 9.2, 9.3; MIL-STD-105E sections 4.9.1, 4.9.2; ANSI/ASQ Z1.4-2003 sections 9.2, 9.3.

4. Normal, Reduced, and Tightened Inspection

Defect Classification AQL1,2

Major A 1.0

Major B 2.5

Minor 4.0

Procedure Minimum Inspection Level

Normal Destructive1

MIL-STD-414 IV I

ANSI/ASQ Z1.9-2003 II S-3

MIL-STD-105D II S-2

MIL-STD-105E II S-2

ANSI/ASQ Z1.4-2003 II S-2
8/4/2022 61 CCER

4.1 Use of Switching Rules. Most sampling procedures referenced in this letter contain rules

allowing reduced inspection under certain conditions. Reduced inspection may be used only when

all conditions listed in the switching rules are met. Thisincludes the requirement that production is

not irregular or delayed. A history of lot acceptance at one manufacturing site cannot be used to

move to reduced sampling at another site. Approval holders may choose to stay at normal

inspection even when conditions for reduced inspection are met. However, tightened inspection is

not optional and must be used where specified by the rules. The Squeglia C=0 procedure does not

recommend switching rules, and reduced inspection is not permitted by NIOSH for that procedure.

Tightened inspection is not required for the Squeglia C=0 procedure.

4.2 Recordsto Support Reduced Inspection. To use reduced inspection, the approval holder

must maintain inspection records showing that the conditions in the applicable procedure are

met. Such records must be available for review during NIOSH on-site audits.

4.3 Cross-References. See MIL-STD-414 sections A8, B14, C14, D14; ANSI/ASQ Z1.9-2003 section

A10; MIL-STD-105D section 8; MIL-STD-105E sections 4.6, 4.7, 4.8; ANSI/ASQ Z1.4-2003 section 8;

Squeglia C=0 pages 14, 16.

5. Lots or Batches

5.1 Definition of Lot. Each procedure listed in this letter requires that product be grouped into

inspection lots (the term “batch” means the same as “lot”). Each lot consists of product which has

been manufactured under essentially the same conditionsin the same production facility and at

essentially the same time. For example, if a production line is shut down for a week for

maintenance, it is wrong to consider product made before and after the shutdown as part of the

same lot.

5.2 Selection of Samples from Lot. Each sample drawn from a lot must be representative of the lot.

For example, when drawing a sample of 200 pieces from a lot of 10,000 it would be improper to

select the first 200 respirators produced to use asthe sample. As another example, if respirators

being produced on five machines are being combined into an inspection lot, then one- fifth of the

sample drawn must come from each machine. As noted in section 6.2 of this letter, each sample

taken for double or multiple sampling must be representative of the whole lot.

5.3 Inspection Lot vs. Other Lot Designations. The grouping of finished respirators into lots for

shipment or other purposes may differ from the grouping used for inspection. The lot number

marked on the respirator or its container, as required by 42 CFR Section 84.33(g), does not

necessarily need to be the same number used for inspection purposes. However, the approval

holder must maintain traceability between lot numbering systems if more than one is used. For

example, a shipping lot number must be traceable to the corresponding production lot number (or

numbers).

5.4 Cross-References. See MIL-STD-414 sections A5, A7.2; ANSI/ASQ Z1.9-2003 sections A2.4, A5,

A7.2; MIL-STD-105D sections 5, 7.2; MIL-STD-105E sections 3.12, 3.13, 4.3, 4.5.1; ANSI/ASQ Z1.4-

2003 sections 5, 7.2; Squeglia C=0 page 2.

6. Specific Considerations for Attribute Plans
8/4/2022 62 CCER

6.1 Following Arrows to Select Appropriate Sampling Plan. Where the sampling plan indicated leads

to an arrow in the table, follow the arrow to the next available sampling plan. This will point to a 

new code letter row in the table with the acceptance and rejection numbers and a new

corresponding sample size to be used. 

As an example, consider sampling of a lot of 200 pieces under MIL-STD-105D for a Major A 

characteristic at inspection level II. Code letter G is selected from Table I, and an AQL of 1.0 is

used. An arrow pointing downward is contained in Table II-A for these conditions, indicating that

code letter G is not available and code letter H must be used. This means that the appropriate

sample size is 50 pieces, not 32, and that the lot is accepted if there are 0 or 1 defective pieces, and

rejected if there are 2 or more defectives.

6.2 Single, Double, or Multiple Sampling. Most attribute procedures include double or multiple

sampling plans (the Squeglia C=0 procedure only has single plans). Any of these options included in

the procedure may be selected. Note that each sample drawn must be representative of the entire

lot. Double and multiple sampling tend to require fewer samples when lot quality is either much

better or much worse than the AQL. Single sampling is simpler to administer and apply correctly

than double or multiple sampling and isthe overwhelmingly popular choice.

As an example, consider a lot of 200 pieces under MIL-STD-105D for a Minor characteristic at

inspection level II. Code letter G is selected from Table I, and an AQL of 4.0 is used. For single

sampling, Table II-A indicates that the sample size is 32. The lot is accepted if there are 3 or fewer

defective pieces, and it isrejected if there are 4 or more defectives. For double sampling, Table IIIA is used instead and an initial sample of 20 would be drawn. The lot is accepted if there are 0 or 1 

defectives, and it is rejected if there are 4 or more defectives. If there are 2 or 3 defectives, then a 

second sample of 20 is drawn from the lot and inspected. If after both samples (totaling 40 pieces)

are inspected there are a total of 4 or fewer defectives, then the lot is accepted; if 5 or more

defectives, then the lot is rejected. Multiple sampling (Table IV-A) works in a similar fashion, except

that there are up to seven rounds of sampling to reach a decision.

6.2.1 Cross-References. See MIL-STD-105D sections 7.4, 9.5, 10.1.1, 10.1.2, 10.1.3; MILSTD-105E sections 4.5.3, 4.9.4, 4.10.1.1, 4.10.1.2, 4.10.1.3; ANSI/ASQ Z1.4-2003 sections

7.4, 9.5, 10.1.1, 10.1.2, 10.1.3.

7. Specific Considerations for Variable Plans

7.1 Variability Unknown vs. Variability Known. A variability unknown method should normally be

used. The variability known method may only be used when the production process is under strict

control and the process parametersinfluencing final respirator performance are well understood.

Data must be provided with the application for approval, available during on- site audits, and

continuously updated to support the standard deviation value (σ) used.

7.2 Single Specification Limit vs. Double Specification Limit. This is selected on the basis of

whether there is only one limit value (such as penetration less than or equal to 5%) or two limit

values (such as cartridge mass between 95 and 105 grams) for the characteristic.
8/4/2022 63 CCER

7.3 Standard Deviation Method vs. Range Method. Either method may be selected. The standard

deviation method generally requiresfewersamples, but more complex computations. 

7.4 Form 1 vs. Form 2. The two forms are equivalent and either one may be selected. Form 2 is

recommended as it yields figures which must be calculated anyway to satisfy the switching rules.

7.5 Cross-References. See MIL-STD-414 Introduction, section A6.2; ANSI/ASQ Z1.9-2003

Introduction,section A6.2.

8. Scope

8.1 Limitation to Approved Quality Control Plans. Approval holders may perform additional

testing and inspection not listed in their approved quality control plans. Sampling for these

additional inspections is not required to meet the requirements set forth in 42 CFR Part 84 and

this letter. However, there must be a reasonable basis for selecting the sampling plans used.

8.2 Limitation to Required Testing. In some cases, applicants may wish to list testing and inspection

in their quality control plans above that required by NIOSH for effective quality control of respirator

performance. Sampling done for these additional inspections is not required to meet the

requirements in 42 CFR Part 84 and this letter. Additional testing should be identified clearly, such

as with the notation “additional inspection,” on documents submitted with the application to avoid

delay and requestsfor clarification during processing. Any such testing listed in the approved

quality control plan must be conducted as required by 42 CFR Section 84.42(c).

9. Common Errors

9.1 Selection of Inadequate Inspection Levels. The minimum acceptable inspection level is

described in section 3.2 of this letter. If a product quality control plan does not specify inspection

levels, NIOSH assumes that the level in the “normal” column of the table will be used. Use of lower

levels without specific approval, whatever the reason, is a failure to conform to NIOSH

requirements and can result in revocation of approval under 42 CFR Section 84.43(c).

9.2 Selection of Plan Based on Desired Sample Size. It is entirely improper to choose a desired

sample size and work backwards to identify a proposed AQL and inspection level which will yield

this result. To do so reflects a fundamental misunderstanding of the basis for sampling plans. The

appropriate AQL and inspection level are stated in sections 2.2 and 3.2 of this letter.

9.3 Selection of Defect Classification Based on Desired AQL. As in 9.2, the defect classification drives

the selection of AQL, not the other way around. Each defect must be classified based solely on the

definitions in 42 CFR Section 84.41(d).

9.4 Modification of AQL or Inspection Level Based on Lot Size or Other Factors. The AQL and

inspection level are chosen by the criteria in sections 2.2 and 3.2 of this letter. Approval holders are

free to use higher inspection levels if greater discrimination is desired, or to use lower (more

stringent) AQLs if a smaller percent defective is desired. However, these should not be modified

based on lot size or inspection history, as provisions already exist to account for those factors.

Changing AQL values or inspection levels is likely to result in a statistically invalid plan.
8/4/2022 64 CCER

9.5 Inappropriate Use of Reduced Inspection. As described in section 4.1 of this letter, reduced

inspection is permitted only when all conditions of the relevant procedure are met. When there are

significant delays or changes in production processes, approval holders must revert to normal

inspection. It will be considered a nonconformance during NIOSH on-site audits if the records

described in section 4.2 of this letter are not available.

9.6 Incorrect Sample Size When Following Arrowsin Sampling Tables. When using attribute

sampling, be careful when following arrows in the sampling plan tables. A different sample size

must be used to correspond with the new code letter as described in section 6.1 of this letter.

9.7 Improper Drawing of Samples. Each sample drawn must be representative of the entire lot as

described in section 5.2 of this letter. The typical method is to select samples at random. However,

other methods (such as every tenth piece) may be used so long as the sample is not biased in any

way as a result. If a lot contains multiple sublots, the sample must contain a proportional number

of pieces from each sublot.

10. References

American National Standards Institute [2003a]. Sampling procedures and tablesfor inspection by

attributes. Milwaukee, WI: American Society for Quality, American National Standard ANSI/ASQ

Z1.4-2003.

American National Standards Institute [2003b]. Sampling procedures and tablesfor inspection by

variables for percent nonconforming. Milwaukee, WI: American Society for Quality, American

National Standard ANSI/ASQ Z1.9-2003.

Squeglia NL [2008]. Zero acceptance number sampling plans. 5th ed. Milwaukee, WI: American

Society for Quality.

U.S. Department of Defense [1957]. Sampling procedures and tables for inspection by variables for

percent defective. Washington, DC: Office of the Assistant Secretary of Defense (Supply and

Logistics), Military Standard MIL-STD-414 (including Notice 1, 8 May 1968).

U.S. Department of Defense [1963]. Sampling procedures and tablesfor inspection by attributes.

Washington, DC: U.S. Government Printing Office, Military Standard

MIL-STD-105D (including Change Notice 2, 20 March 1964).

U.S. Department of Defense [1989]. Sampling procedures and tablesfor inspection by attributes.

Washington, DC: Department of Defense, Military Standard MIL-STD-105E.

For further information regarding sampling, contact Vance Kochenderfer via electronic mail at

vck6@cdc.gov or by telephone at 412-386-4029. General inquiries may be directed to the

Technology Evaluation Branch at npptl@cdc.gov or 412-386-4000.

Sincerely yours,

Heinz W. Ahlers

Chief, Technical Evaluation Branch

National Personal Protective Technology Laboratory
8/4/2022 65 CCER

DEPARTMENT OF HEALTH & HUMAN SERVICE Public Health Service

Centers for Disease Control

and Prevention (CDC)

National Institute for Occupational

Safety and Health (NIOSH)

National Personal Protective

Technology Laboratory (NPPTL)

P.O. Box 18070 

Pittsburgh, PA 15236

Phone: 412-386-4000 

 Fax: 412-386-4051

 April 7, 2005

LETTER TO ALL RESPIRATOR MANUFACTURERS

Subject: Clarification of Supplier and Subcontractor Relationships

Background

National Institute for Occupational Safety and Health (NIOSH or the Institute) approval holders

have established relationships with suppliers and subcontractors who are manufacturing,

components or subassemblies for approved respirator configurations. A growing number of

approval holders wish to ship NIOSH-Approved respirators directly from a subcontractor to

distribution centers or customers, and replacement parts directly to a repair center. The Institute

has identified two possible approval holder relationships with suppliers and subcontractors.

Listed below are the responsibilities and requirements NIOSH has established for these

relationships.

Definitions

Approval Holder: 

The party ofrecord to whom certificates of approval have been issued. The approval holder

maintains responsibility for, and control of, product design, performance, configuration

management, manufacture, quality, and support.

Supplier:

A supplier produces components orsubassemblies under their own quality system for delivery to

the approval holder. The approval holder confirms the acceptability of incoming goods by

accepting a Certificate of Compliance and inspecting incoming goods to ensure compliance with all

product design, performance, and Quality Assurance criteria (drawings and engineering control). 

The approval holder releases the product for distribution and sale.

Subcontractor:

The approval holder may authorize a subcontractor to release NIOSH-approved respirators

directly from their facility for distribution and sale, or to release components and subassemblies

directly to an authorized repair center. The approval holder maintains responsibility for, and

control of, product design, performance, configuration management, manufacture, quality, and

support by maintaining influence over, and active involvement in, the subcontractor's quality

system. As such, the subcontractor's facility is considered to be a manufacturing site forthe

approval holder.
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Page 2 -Letter to All Respirator Manufacturers

Subcontractor Relationship Responsibilities

The approval documentation on file atNIOSH must demonstrate that the following criteria

have been met forNIOSH recognition of a subcontractor.

- As with all otherNIOSH approvals, the approval holder maintains responsibility for all 

aspects ofthe approval: control over product drawings, material specifications, parts

lists, andmanufacturing processes; control overthe requirements forfinal inspection

and testing; and approval of any changesto the above.

- The approval holder must assure that a subcontractor has demonstrated the ability to

supply product that consistently meets the established release criteria, and has

adequate quality systems and procedures in place to assure product quality on an

ongoing basis.

- The approval holder must establish andmaintain active involvement and influence over

subcontractor quality systems. This can be demonstrated inmany different ways. One

example ofthisinvolvement and influence can be exhibited by participating in the

subcontractor's management reviews (as defined by ISO 9001, 2000, section 5.6)

required by the subcontractor's Quality System. A second example is participation in

the subcontractor's Material Review Board.

- The approval holder's methods formaintaining active involvement and influence over

their subcontractor's quality system needs to be documented in aplan or procedure

that suitsthe individual situation and manufacturing complexity ofthe secured goods.

This plan or procedure must be formally submitted toNIOSH.

- The approval holder will maintain copies of subcontractor quality records that

demonstrate compliance with NIOSH performance requirements. It is important to

assure that, in the event of a broken relationship, both the Approval Holder and NIOSH

have continued access to those records.

- Allsubmissionsrelated to the approval must be made by an authorized representative

of the approval holder. The subcontractor's Quality Manual and related quality system

documents must represent how the approval holder establishes and maintains active

involvement and influence overthe subcontractor's quality system. Thisinformation

must be specifically indicated and documented aspart of aQuality Assurance.

Application. As with all Quality Manuals, a process must be established and followed for

ongoing resubmission ofthe Quality Manual and related quality system documents inthe

event ofsignificant changes, and on aperiodic basis, per NIOSH requirements.

- All subcontractor relationships must belisted as an approval holder's manufacturing site, 

with a designated point of contact, on theNIOSH Standard Application Form (SAF) for

directshipment fromthe subcontractorto be acceptable undertheNIOSH Approval.
8/4/2022 67 CCER

Page3–Letter toAll RespiratorManufacturers

- All manufacturing sites for NIOSH-Approved products, including subcontractor facilities, 

will be audited by NIOSH on a regular basis. The Institute will not contact the

subcontractor directly, but will always work through the approval holder's designated

representative for the specific manufacturing site.

Sincerely yours,

Heinz W. Ahlers

Acting Branch Chief

Respirator Branch

National Personal Protective Technology Laboratory
8/4/2022 68 CCER

Definitions 

The following definitions are provided for clarification of terms used in these procedures:

Accessory - An item provided with a respirator that does not affect the respirator’s ability to meet the 

requirements of 42 CFR Part 84. The approval remains effective whether or not the accessory is used.

Alternate Contact - A contact designated by the prospective approval holder that can interface with 

NIOSH regarding applications and other NIOSH business such as audits and product investigations. 

Amended Application - An application submitted at NIOSH’s request that shows changes to correct 

an inaccuracy detected during the NIOSH application evaluation. The Applicant-Assigned Reference 

Number (AAR#) and Task Number (TN) will remain the same. 

 

Applicant - The individual, partnership, company, corporation, association or organization that 

designs, manufactures, assembles, or controls the assembly of a respirator and who seeks to obtain a 

certificate of approval for such respirator.

Applicant-Assigned Reference Number (AAR#) - A unique identifying number of the applicant’s 

choosing. The number must start with the three-characer manufacturer’s code. The AAR# must 

never be reused.

Approval - A certificate or formal document issued by the Institute (in this instance NIOSH) stating 

that an individual respirator or combination of respirators has met the minimum requirements of this 

part (42 CFR 84), and that the applicant is authorized to use and attach an approval label to any 

respirator, respirator container, or instruction card for any respirator manufactured or assembled in 

conformance with the plans and specifications upon which the approval was based, as evidence of 

such approval.

Approval Holder - The entity to which a certificate or formal document has been issued by NIOSH 

stating that an individual respirator or combination of respirators has met the minimum 

requirements of 42 CFR Part 84. The approval holder is authorized to use and attach an approval 

label to any respirator, respirator container, or instruction card for any respirator manufacturers or 

respirator assembled in conformance with the plans and specifications upon which the approval was 

based.

Approval Labels - The label that is attached to the respirator, container, instructions, or packaging 

once approved by NIOSH. All major subassemblies in the approved respirator configuration must be 

on the approval label. Accessories may be listed on the approval label, but are not required.

Assembly Matrix - A diagram of all major subassemblies and accessories that apply to approvals in a 

respirator family. Components are identified by category, description, drawing number and revision, 

part number, and applicability to the listed approvals.
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Authorized Representative - The person responsible for completing and submitting the Standard 

Application Form to NIOSH. This person can be an employee of the prospective approval holder or an 

independent consultant hired by the company to complete the Standard Application Form. 

Designated by prospective approval holder to interface with NIOSH regarding applications and other 

NIOSH business such as audits, and product investigations. 

Belt Mounted - An air-purifying canister, chemical cartridge, or particulate filter or an air-supplied 

regulating valve or regulator that is mounted on the user’s belt with an adaptor.

Canister - A gas or vapor removing component which meets the requirements of 42 CFR Part 84, 

subpart I, Tables 5, 6, and 7 only. Canisters may incorporate particulate filters and can be used for 

escape from immediately dangerous to life or health environments, which sufficient oxygen. Usually 

approved with under schedule 14G respirators.

Cartridge - A gas or vapor removing component which meets the requirements of 42 CFR Part 84, 

subpart L, Table 11. Cartridges may incorporate particulate filters. Cartridges cannot be used in 

immediately dangerous to life or health environments and are usually part of 84A or 23C approval 

schedules.

Chest and Back Mounted - Canisters fastened to a user’s body, either on the back or chest, that have 

a breathing tube running from the canister to the facepiece inlet. 

Chin Mounted - A canister, cartridge, or filter mounted on the full facepiece. Chin-style gas masks 

typically have a medium-sized (250-500 cm3) canister rigidly attached to a full facepiece.

Combination Particulate Filtering and Gas/Vapor Removing - Cartridges and canisters that protect 

the user from both particulates and gases and vapors.

Common Assembly Matrix - An assembly matrix (diagram) that contains all of the information for a 

series of applications. A common assembly matrix should be found in the last application of the 

series. Also, a suggested processing order and an explanation as to how the applications interrelate 

must be in the Approval History, if applicable. In addition, assembly matrices should not contain 

information for future submissions. (See “Series of Applications”). 

Component - Essential parts to a respirator that provide function and effective performance of the 

product. (See “Major Subassemblies”). 

Controlled Document - Documents signed, released, and placed in an applicant’s document control 

system.

Correlation Testing - Testing conducted to compare an applicant’s test equipment and results to 

NIOSH’s. The applicant must submit a new application with the wording “Correlation testing only; 

respirator is not submitted for approval” in the “Reason for Application” section. 
8/4/2022 70 CCER

Critical Characteristic - A feature that, if not manufactured properly, could have an adverse impact on 

the safety or health of the user. 100% testing or inspection is required prior to shipment to ensure 

conformance with all technical requirements of the approval. 

As defined in 42 CFR Part 84: “Critical” A defect that judgement and experience indicate is likely to 

result in a condition immediately hazardous to life or health for individuals using or depending upon 

the respirator.

Critical User Instructions - Instructions that are important to operate a particular respirator. For 

instance, checking the service life indicator on a CCER is a critical user instruction.

Delist - Respirator listing is removed from the Certified Equipment List when NIOSH approval is 

rescinded or revoked.

Design - The overall specification for the respirator that includes materials, physical envelope and 

shape, manufacturing processes, and Quality Assurance requirements.

Discontinued - See obsolete. 

Exploded-View Drawing - A drawing of the complete respirator assembly showing all major 

subassemblies and accessories and their proximity to one another.

Family of Products - A group or series of respirators sharing a common major subassembly, such as a 

facepiece or regulator. The applicant determines the basis for the respirator families. 

Facepiece - A respirator component designed to provide a gas-tight or dust-tight fit with the face and 

may include headbands, valves, and connections for canisters, cartridges, filters, or respirable gas 

source.

Facepiece Mounted - A canister, cartridge, or filter mounted on the facepiece. 

Features - Descriptors that relate to the makeup, shape, proportions, outward appearance, 

prominent characteristics, or qualities of the part, but are not separate components or devices. Do 

not list features on the approval label (e.g., “super-soft face seal”).

Filter - A particulate removing component of a respirator which meets the requirements of

42 CFR Part 84, subparts K or KK. 

Field-Replaceable - Any component, major subassembly, or accessory (e.g., cartridges, hoses, 

regulators) that can be replaced by the user following the manufacturer’s User Instructions without 

any special knowledge, skills, abilities, or equipment. 

Filtering Facepiece - An N, R, or P class particulate respirator where the entire facepiece is composed 

of the filtering media. The unit may have an exhalation valve, but has no replaceable parts. 

Full Facepiece - A type of facepiece that covers a user from the hairline to below the chin. 
8/4/2022 71 CCER

Gas/Vapor Removing Respirator - A type of respirator that provides protection against specific gases 

and vapors.

Half-Mask - A type of facepiece that fits over the nose and under the chin and is used to protect users 

from toxic materials.

Hardware - Regular production units submitted for approval must be the result of actual 

manufacturing processes.

Hazardous Atmosphere - Any atmosphere that contains toxic or disease producing gas, vapor, dust, 

fume, mist, or pesticide, that is either immediately or not immediately dangerous to life or health. 

Also, any oxygen-deficient atmosphere.

Helmet - A rigid protective headgear incorporated into the design of a respirator that covers the 

user’s head and possibly the user’s neck. 

Helmet Mounted - A canister, cartridge, or filter mounted on the helmet. 

Hood - A light, flexible device covering only the head and neck, or head, neck, and shoulders of a 

user.

Hood Mounted - A canister, cartridge, or filter mounted on the hood.

Immediately Dangerous to Life or Health - Conditions that pose an immediate threat to life or health 

or conditions that pose an immediate threat of severe exposure to contaminants, such as radioactive 

materials, which are likely to have adverse cumulative or delayed effects on health.

Inactive - See obsolete. 

Intrinsically Safe - Not capable of releasing enough electrical or thermal energy under normal or 

abnormal conditions to cause ignition of a flammable mixture such as methane or natural gas or air 

comprised of an easily ignitable composition.

Major Subassemblies - Those components or subassemblies (1) that are essential to the respirator’s 

function and effective performance; (2) that affect the respirator’s performance or design; and (3) 

which are field-replaceable items. 

Manufacturer’s Code - A unique three-letter code assigned to each approval holder by NIOSH.

Model Number - An identifier of a product given by the manufacturer. A model number is not 

required to identify each unique configuration. 

Mouthpiece - A respirator component that is held in the teeth with a clamp to close the nostrils that 

provides a gas-tight or dust-tight fit with the mouth. 
8/4/2022 72 CCER

New Design - An entirely new or substantially modified respirator, component, or arrangement of 

components (some of which may have been used on previously approved respirators) which NIOSH 

has not evaluated in this configuration.

Not Immediately Dangerous to Life or Health - Any hazardous atmosphere which may produce 

physical discomfort immediately, chronic poisoning after repeated exposure, or acute adverse 

physiological symptoms after prolonged exposure.

Nuisance Level Contaminants - Contaminants where the concentration in the atmosphere is below 

the established PEL (OSHA permissible exposure limit) or REL (NIOSH recommended exposure limit), 

whichever is lower. Nuisance level protection capability is not evaluated by NIOSH. 

Obsolete - A respirator is considered obsolete when it is no longer manufactured or supported by the 

approval holder. However the NIOSH approval is still listed and the respirators can still be used until 

the units can no longer be maintained in an approved configuration. Approval remains active and is 

shown in the CEL as obsolete.

Part Number - The unique number referenced by users to identify respirator parts. The identifying 

number located on the component must match the part number shown on all labels (abbreviated and 

full) and on the assembly matrix. The location of the part number on the component hardware must 

be shown on the drawings. Applicants sometimes refer to the part number as catalog number, 

manufacturer number, production component number, among other terms. 

Particulate Filtering Respirator - A type of respirator that protects users against solid particles or 

liquids such as dusts, fumes, and mists by trapping the particles with its fibers. The filters are 

classified by NIOSH as N, R, or P accompanied by either 95 (95%), 99 (99%), or 100 (99.97%) to 

indicate filtration levels.

Permissible Exposure Limit (PEL) - An OSHA permissible exposure concentration limit based on 

health data evaluation. Users working in contaminate levels below this concentration are not 

required by OSHA to have respiratory protection.

Pre-filter - An accessory item situated in front of the approved filter that removes coarse particles but 

does not meet 42 CFR Part 84 criteria for particulate filters. A pre-filter is a filter often used prior to 

an N-, R-, or P-series filter or cartridge. Pre-filters are not classified as N-, -R, or P-series filters. When 

pre-filters are used, the complete assembly must meet the resistance requirements of 42 CFR Part 84. 

Pre-filters may be listed on the approval labels. If shown on the approval label, pre-filters must be 

listed as an accessory and designated as a pre-filter.

Pre-Submission Test Data - Respiratory performance test data must accompany each application and 

must specify components used for test configuration by part number, show units of measure for all 

test data (matching 42 CFR Part 84 criteria), and submit copies of actual test data with all results and 

conclusions.
8/4/2022 73 CCER

Performance - The actual operational performance of the respirator with respect to the applicable 

regulations and design parameters. The respirator must meet or exceed the requirements of the 

NIOSH regulations under 42 CFR Part 84 when evaluated against NIOSH standard test procedures 

(STPs) as appropriate to the type of respirator. 

Primary Contact - The person designated by the prospective approval holder to receive all official 

NIOSH correspondence, including but not limited to approval and denial letters, manufacturers 

meeting notices, and notices seeking input for standards development. If this person changes, it is 

the responsibility of the manufacturer to notify NIOSH, in writing, of the person taking over this 

responsibility. The preference is for the Primary or Alternate Contact to make the notification to 

NIOSH prior to the change. Alternatively, a corporate officer may notify NIOSH.

Private Label - A respirator labeled as belonging to an organization that is not the approval holder. 

Private-labeled respirators are assigned the same TC number issued to the approval holder for the 

original product. Only the approval holder can apply for a private label.

Private Packaging - A respirator that is repackaged and sold by a company that is not the approval 

holder. All part numbers, model numbers, and approval labels must be the same as those approved 

by NIOSH. However, the packaging may reference the packaging company instead of the approval 

holder. The approval holder is responsible for ensuring that private packaging arrangements do not 

mislead the end user. 

Product Quality Control Plan (PQP) - Summarizes the manufacturing, inspection, test operations, and 

applicable documents used in regular production of a specific respirator family.

 

Product Trade Name - A name that uniquely identifies a respirator or respirator family. A product 

trade name is required because of the way approval holders market and users reference certified 

respirators. The product trade name must not imply use for a specific hazard.

Protection - A different type of protection is defined as protection against a different atmospheric 

contaminant (e.g., particulates, chlorine gas, ammonia gas, mercury vapor, etc.). A different level of 

protection is defined by a change in the type of facepiece (half-mask, full facepiece) or mouthpiece, 

filtering efficiency (such as N95 as opposed to N100), and/or the air supply capability (e.g., pressure, 

duration, demand flow, continuous flow, etc.).

Prototype - Defined as a respirator or component that (a) involves a new design produced using rapid

prototyping methods, temporary tooling, non-production tooling, or regular production tooling in a 

new fashion, and (b) has demonstrated by the applicant’s pretesting to meet 42 CFR Part 84 

minimum design and performance requirements. Respirators may not be submitted for approval 

while in this defined prototype stage (limited production tooling and processes). NIOSH will request 

samples made on regular production tooling and production quality control (Ref. 84.30 (c)) if the 

approval holder request approval. For non-approval prototype testing use a new application form 

and state “Prototype Testing Only - Respirator is Not Submitted for Approval” in the “Reason for 

Application.”
8/4/2022 74 CCER

Quality Assurance (QA) - A planned and systemic pattern of all activities necessary to provide 

confidence that all respirators will perform satisfactorily in operation.

Quality Assurance (QA) Manual - Documents the approval holder’s quality systems including the 

organizational structure, responsibilities, procedures, processes, and resources for implementing 

quality management and policy. Hard copies with original approval signatures need submitted and 

will be retained in NIOSH’s files.

Quarter-Mask - A type of facepiece that covers the mouth and nose where the lower sealing surface 

rests between the mouth and chin. Quarter-masks are most commonly found on dust and mist 

respirators. 

Recommended Exposure Limit (REL) - A NIOSH recommended exposure concentration limit based on 

health data evaluation. Users working in contaminate levels below this concentration are not 

required by OSHA to have respiratory protection.

Regular Production Unit - A respirator or component made on regular production tooling, or that is 

identical to units made using regular production tooling, and is not made with any operations that 

will not be included in regular production.

Rescission - The approval holder voluntarily requests the certificate of approval be withdrawn for a 

product. The approval is no longer valid. Respirators in the field are no longer NIOSH-Approved. 

Respirators are not listed in the CEL.

Respirator - Any device designed to provide the wearer with respiratory protection against inhalation 

of a hazardous atmosphere.

Resubmission of an Application - Resubmission of a previously denied application. Resubmitted 

applications receive a new task number (TN) and are placed at the end of the application processing 

queue. All documentation must be updated to the current dates and revision levels.

Revocation - NIOSH reserves the right to revoke, for cause, any certificate of approval issued 

pursuant to the provisions of 42 CFR Part 84. Such causes include, but are not limited to, misuse of 

approval labels and markings, misleading advertising, and failure to maintain or cause to be 

maintained the quality control requirements of the certificate of approval. The approval is no longer 

valid. Respirators in the field are no longer NIOSH-Approved. Respirators are not listed in the CEL.

SEI Retrofit - An update or correction to a suspected performance or design issue to a self-contained 

breathing apparatus (SCBA) that is approved by NIOSH and the Safety Equipment Institute. This type 

of SCBA is approved jointly by NIOSH and SEI for use in firefighting operations. 

Series of Applications - A series of associated applications submitted at the same time (in the same 

bundle or package). A common assembly matrix that contains all of the information for the 

submitted series is located in the last application of the series. Assembly matrices must not contain 

information regarding future submissions. 
8/4/2022 75 CCER

Service Life Plan - A document that contains information on the reliability engineering methodology 

and appropriate service life dates that users may rely on for determining safe and reliable 

performance of the respirator under intended use conditions.

Simplified Drawings - Exploded-view and major subassembly drawings that accompany the 

application. Any additional drawings necessary for clarification of a major subassembly or part may 

also be included.

Standard Application Form (SAF) - The electronic form used to submit respirator approval requests 

to NIOSH.

Subcontractor - The entity contracted to produce products under the direction/oversite of the 

prospective approval holder.

Supplier - The entity that produces components or subassemblies under their own quality system for 

delivery to the approval holder.

User Instructions - Detailed instructions provided to the user that describes how to properly inspect, 

don, and use the product.
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ACRONYMS

AAR# - Applicant-Assigned Reference Number

ABMS - Automated Breathing Metabolic Simulator

AP - Air-Purifying 

APRS - Air-Purifying Respirator Section

AQL - Acceptable Quality Level

AS - Air-Supplied

ASR - Air-Supplied Respirator (See SAR)

BMS - Breathing Metabolic Simulator 

CAR – Corrective Action Request

CBRN - Chemical, Biological, Radiological, and Nuclear

CCER - Closed-Circuit Escape Respirator

CEL - Certified Equipment List

CFR - Code of Federal Regulations

CGA - Compressed Gas Association

CV&SDB - Conformity Verification and Standards Development Branch

EBSS - Emergency Breathing Support System

EIN - Employer Identification Number

ESLI - End-of-Service-Life Indicator

EOSTI - End-of-Service-Time Indicator

ETB - Evaluation and Testing Branch

HHS - Department of Health and Human Services

HSBG - Human Subject Breathing Gas
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IDLH - Immediately Dangerous to Life or Health

LRPL - Laboratory Respirator Protection Level

MSHA - Mine Safety and Health Administration (Department of Labor)

NFPA - National Fire Protection Association

NIOSH - National Institute for Occupational Safety and Health

NPPTL - National Personal Protective Technology Laboratory

OSHA - Occupational Safety and Health Administration (Department of Labor)

PAPR - Powered Air-Purifying Respirator

PEL - Permissible Exposure Limit (OSHA)

PQP - Product Quality Control Plan

QA - Quality Assurance

REL - Recommended Exposure Limit (NIOSH)

RPD - Respiratory Protective Devices

RPU - Regular Production Unit

SAF - Standard Application Form

SAP - Standard Application Procedure

SAR - Supplied-Air Respirator

SCBA - Self-Contained Breathing Apparatus

SCP - Standard Conditioning Procedure

SCSR - Self-Contained Self-Rescuer

SEI - Safety Equipment Institute

SOP - Standard Operating Procedure

STP - Standard Test Procedure
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TC Number - Testing and Certification Number; the NIOSH approval number designation

TN - Task Number; a unique number assigned by NIOSH to each application
8/4/2022 79 CCER

Revision History

Date Section Action

8-Aug-22

Section 5

Respirator Tests for 

a Closed-Circuit 

Escape Respirator Updated: Correct links to STPs