THIRDPARTY CERTIFICATION Leveling the Playing Field Presented by

THIRD-PARTY CERTIFICATION Leveling the Playing Field Presented by: Rick Curkeet, PE 11/18/2009

Conformity Assessment (Product Certification) • • • Testing/Evaluation Documentation Validation Monitoring or Auditing – Follow-up Inspections • Marking/Labeling – Identification of certified products – Standards, Classification, Rating

System Structure Legislative Authority Codes & Regulations Accreditation Consensus Standards Consumer & Academia Certified Products Product Manufacturer Certification Body – Test Lab

Standards Are Critical • Almost all are voluntary consensus standards. • • “Nationally Recognized” Recognized Standards Development Organizations (SDO’s) ASTM, NFPA, UL, ISO, CSA, ASCE, etc. OMB Circular A-119 – • • – 6. What Is The Policy For Federal Use Of Standards? All federal agencies must use voluntary consensus standards in lieu of government-unique standards in their procurement and regulatory activities, except where inconsistent with law or otherwise impractical. In these circumstances, your agency must submit a report describing the reason(s) for its use of government-unique standards in lieu of voluntary consensus standards to the Office of Management and Budget (OMB) through the National Institute of Standards and Technology (NIST).

Life Safety Standards in Building Codes (>500 Standards)

Conformity Assessment Standards • • • ISO/IEC 17025 – Testing and Calibration Laboratories ISO/IEC 17020 – Inspection Agencies ISO/IEC 17010 – Accreditation ISO/IEC 17030 – Third-party Marks of Conformity ISO Guide 65 – Third-party Product Certification

Why do we need “Third-Parties”? “Second-Party” = BUYER (Consumer, Regulator, AHJ) “First-Party” = SELLER (Manufacturer, Importer, Distributor, Retailer) Third-Parties provide independent assurance of a product’s quality, performance, safety, or suitability for end use.

Why Trust a “Third-Party”? Their only marketable commodity is: “CREDIBILITY”. To demonstrate CREDIBILITY Third-Parties obtain “ACCREDITATIONS”. If buyers feel the 3 rd-Party favors the seller he/she can complain to accreditors. Likewise, if sellers feel the 3 rd-Party favors buyers. Lose ACCREDITATIONS = Lose CREDIBILITY = OUT of BUSINESS.

ACCREDITATIONS: • All major third-party certifiers obtain numerous accreditations required by various authorities. • Federal Government – – – • OSHA “NRTL” Program NVLAP Do. D, Navy, Coast Guard HUD EPA Canada – Standards Council of Canada

More Accreditors: • • • States Model Code Agencies - ICC-IAS Some Cites and Counties Insurance Companies Accrediting Agencies – A 2 LA – ANSI

THIRD-PARTIES ALSO MUST COMPLY WITH STANDARDS • ISO Guides & Standards – 17025 Testing and Calibration Laboratories – Guide 65 Third-Party Certification Programs – 17030 Third-Party Marks of Conformity and Their Use – 17020 Inspection – 27 Guidelines for corrective action in the event of misuse of the certification mark. – Others (39, 40, 53, 56) • ICC-ES - Acceptance Criteria and Rules.

What do “ACCREDITORS” do? • • Verifies that the Certification agency conforms to standards. • Most conduct regular audits of agency’s testing and inspection programs. • Generally publish lists of “Approved” or “Recognized” agencies. Most require copies of operating procedure documents, personnel résumés, calibration records, etc.

Levels of Certification: (Private Sector) • Supplier’s Declaration of Conformity (least stringent) – Supplier (mfgr. , dealer) does testing, validation, and auditing. (Assumed to be biased. ) • Affiliated Certification (Trade Associations) – Lab does testing. Association does validation and auditing. (Requires autonomous independent administrator to prevent bias toward members. ) • Third-Party Certification (most stringent, unbiased) – Independent agency does testing, validation, and auditing. (Usually required where life safety and public welfare the primary concern. )

Examples of Third-Party Certification Agencies Underwriter’s Laboratories - UL (1894) Canadian Standards Association - CSA(1919) Intertek - Warnock Hersey (1888), ETL (1890) National Sanitation Foundation – NSF (1944) Omni -Test

How Third-party Certification Works

Certification Flow Chart Application Determine Standards Sample Selection Compliance Evaluation Final Design Documentation In-Plant Monitoring Production YES Meets Spec. ? NO Corrective Action Authorize Marking

STEP 1: Identify Product • • • What is the product to be certified? • USE OF NATIONALLY RECOGNIZED STANDARDS PREFERED! – ANSI, ASTM, NFPA, etc. What standard(s) is it to be judged by? What are the minimum requirements for acceptance of the product?

Step 2: Document Design/Process • Compare product to design specifications and drawings. – Complete? – Accurate? • If the production process or procedure is critical, witness and document production of samples. (Pretest inspection. ) • In some cases samples are randomly selected from stock by the 3 rd-party.

Step 3: Conduct Evaluation • Sample(s) must be traceable to documented design/process. • Testing and evaluation under supervision and control of third-party. • Full compliance with applicable standards required. (Note: In some cases deviations may be allowed if fully disclosed in product markings, literature, etc. )

Step 4: Create Inspection Documentation • • • Test Reports. Design and process documentation. In-Plant Quality Assurance Procedures. Marking and Labeling Requirements. Listing and Labeling contract. – Includes “Authorization to Mark”.

Step 5: Follow-Up Surveillance • Regular and UNANNOUNCED visits to production facilities. • Verify that products being “Marked” comply with design, process and QA requirements. • Document results and report any deficiencies or deviations. • No product modifications without review and verification of compliance.

IMPORTANT! Without an effective and meaningful FOLLOW-UP SURVEILLANCE PROGRAM the other steps are meaningless! If the producer can submit one product for testing and evaluation and then make and label something different, the point of certification is lost.

If Variances* Are Found! • 3 rd-Party must investigate and determine scope/severity of non-compliance. • • Determine appropriate remedial actions. • Notification of Authorities of unsafe, hazardous or noncompliant products bearing the “mark”. • Because the process is governed by contract between the manufacturer and certification agency, resolution of non-compliance issues is quick and effective. If warranted will suspend or revoke authorization to apply certification mark. *Variance – Any deviation from the certified design.

Additional Requirements: • 3 rd-Party must have procedure to investigate noncompliance allegations from any source. • 3 rd-Party must have appeals procedure to resolve any issues arising from its compliance or non-compliance determinations. • No “conflict-of-interests” that could influence the objectivity of the 3 rd-party. • Must have procedure to protect client’s confidential and proprietary information.

Independence Requirements: • No affiliation or financial interest in producers, vendors or suppliers of products it certifies. • No stock ownership by employees in companies that produce certified products. (Except through “blind” mutual funds. ) • • No involvement in design of products it certifies. • Sufficient financial strength and diversity of business that the loss or award any single contract would not affect ongoing operations. Employment security of personnel is not subject to influence of clients.

Certification Marks • These are the Third-Party’s identifying symbol(s) registered as “Certification Marks” with the US patent office under “The Lanham Act”. • Third-Party must enforce control of the mark and allow its application only to products produced in compliance with the certification program rules.

IT WORKS! • Third-Party Certification is the dominant process that assures safety, performance and fitness for purpose of products and materials on a global basis. • Virtually all building materials and many consumer products are 3 rd-party certified for: – – • Fire safety Electrical safety Structural performance Energy Efficiency Areas where direct Federal Regulation has been required are increasingly moving to third-party certification. – Food and Drug Safety – CPSC Consumer Products Safety Regulations – FCC Electromagnetic Interference and Compatibility

IT’S A GOOD FIT! • Virtually all solid fuel appliances are required to be third-party certified for compliance with safety standards under state and local regulations. • Most of the work is already done - adding emissions and efficiency performance certification is therefore adds very minimal cost for manufacturers and consumers. • Regulators have a very simple and reliable method of verifying that products comply with specified limits. Just look for the label.

Final Comment • Third-Party certification does not usurp the regulatory authority to APPROVE or DISAPPROVE products. • It merely provides an efficient, effective and reliable mechanism to allow the “Authority Having Statutory Jurisdiction” to identify products which comply with standards and performance limits established by the applicable regulation. • Third-Party Certification uses the terms “Certified”, “Classified”, “Listed” and “Labeled” which are all defined within various conformity assessment systems. But Third-Party Certifiers do not use the term “Approved” to describe their services. (Although the term is frequently misused in the media and advertizing – e. g. “UL Approved”. )