TUV Rheinland PTL, LLC; Application for Recognition, 70692-70696 [2010-29127]
Download as PDF
70692
Federal Register / Vol. 75, No. 222 / Thursday, November 18, 2010 / Notices
of certification, are eligible to apply for
adjustment assistance under Chapter 2 of
Title II of the Trade Act of 1974, as amended.
Signed in Washington, DC this 10th day of
November 2010.
Elliott S. Kushner,
Certifying Officer, Division of Trade
Adjustment Assistance.
[FR Doc. 2010–29098 Filed 11–17–10; 8:45 am]
BILLING CODE 4510–FN–P
DEPARTMENT OF LABOR
Occupational Safety and Health
Administration
[Docket No. OSHA–2010–0013]
TUV Rheinland PTL, LLC; Application
for Recognition
Occupational Safety and Health
Administration (OSHA), Labor.
ACTION: Notice.
AGENCY:
This notice announces the
application of TUV Rheinland PTL,
LLC, for recognition as a Nationally
Recognized Testing Laboratory, and
presents the Agency’s preliminary
finding to grant this recognition.
DATES: Submit information or
comments, or a request for an extension
of the time to comment, on or before
December 20, 2010. All submissions
must bear a postmark or provide other
evidence of the submission date.
ADDRESSES: Submit comments by any of
the following methods:
Electronically: Submit comments
electronically at https://
www.regulations.gov, which is the
Federal eRulemaking Portal. Follow the
instructions online for making
electronic submissions.
Fax: If submissions, including
attachments, are no longer than 10
pages, commenters may fax them to the
OSHA Docket Office at (202) 693–1648.
Mail, hand delivery, express mail, or
messenger or courier service: Submit
one copy of the comments to the OSHA
Docket Office, Docket No. OSHA–2010–
0013, U.S. Department of Labor, Room
N–2625, 200 Constitution Avenue, NW.,
Washington, DC 20210. Deliveries
(hand, express mail, and messenger and
courier service) are accepted during the
Department of Labor’s and Docket
Office’s normal business hours, 8:15
a.m.–4:45 p.m., e.t.
Instructions: All submissions must
include the Agency name and the OSHA
docket number (i.e., OSHA–2010–0013).
OSHA will place all submissions,
including any personal information
provided, in the public docket without
revision, and these submissions will be
mstockstill on DSKH9S0YB1PROD with NOTICES
SUMMARY:
VerDate Mar<15>2010
16:56 Nov 17, 2010
Jkt 223001
made available online at https://
www.regulations.gov.
Docket: To read or download
submissions or other material in the
docket (e.g., exhibits listed below), go to
https://www.regulations.gov or the OSHA
Docket Office at the address above. All
documents in the docket are listed in
the https://www.regulations.gov index;
however, some information (e.g.,
copyrighted material) is not publicly
available to read or download through
the Web site. All submissions, including
copyrighted material, are available for
inspection and copying at the OSHA
Docket Office.
Extension of comment period: Submit
requests for an extension of the
comment period on or before December
20, 2010 to the Office of Technical
Programs and Coordination Activities,
NRTL Program, Occupational Safety and
Health Administration, U.S. Department
of Labor, 200 Constitution Avenue,
NW., Room N–3655, Washington, DC
20210, or by fax to (202) 693–1644.
FOR FURTHER INFORMATION CONTACT:
MaryAnn Garrahan, Director, Office of
Technical Programs and Coordination
Activities, NRTL Program, Occupational
Safety and Health Administration, U.S.
Department of Labor, 200 Constitution
Avenue, NW., Room N–3655,
Washington, DC 20210; telephone: (202)
693–2110. For information about the
Nationally Recognized Testing
Laboratory (NRTL) Program, go to
https://www.osha.gov, and select ‘‘N’’ in
the site index.
SUPPLEMENTARY INFORMATION:
government authority. As a result of
recognition, employers may use
products approved by the NRTL to meet
OSHA standards that require product
testing and certification.
The Agency processes applications by
a NRTL for initial recognition, or for an
expansion or renewal of this
recognition, following requirements in
Appendix A to 29 CFR 1910.7. This
appendix requires that the Agency
publish two notices in the Federal
Register in processing an application. In
the first notice, OSHA announces the
application and provides its preliminary
finding, and, in the second notice, the
Agency provides its final decision on
the application. These notices set forth
the NRTL’s scope of recognition or
modifications of that scope. OSHA
maintains an informational Web page
for each NRTL that details its scope of
recognition. These pages can be
accessed from OSHA’s Web site at
https://www.osha.gov/dts/otpca/nrtl/
index.html. Each NRTL’s scope of
recognition has three elements: (1) The
type of products the NRTL may test,
with each type specified by its
applicable test standard; (2) the
recognized site(s) that has/have the
technical capability to perform the
product testing and certification
activities for test standards within the
NRTL’s scope; and (3) the supplemental
program(s) that the NRTL may use, each
of which allows the NRTL to rely on
other parties to perform activities
necessary for product testing and
certification.
I. Notice of Application for Recognition
The Occupational Safety and Health
Administration (OSHA) is providing
notice that TUV Rheinland PTL, LLC,
(TUVPTL) applied for recognition as a
NRTL. (See Ex. 2—TUVPTL recognition
application dated 7/29/2008.) 1 The
application covers testing and
certification of the equipment or
materials, and use of the supplemental
programs, listed below.
OSHA recognition of a NRTL signifies
that the organization meets the legal
requirements specified in 29 CFR
1910.7. Recognition is an
acknowledgment that the organization
can perform independent safety testing
and certification of the specific products
covered within its scope of recognition,
and is not a delegation or grant of
II. General Background on the
Application
In its application, TUVPTL lists the
current address of the laboratory facility
covered by the application as: TUV
Rheinland PTL, 2210 South Roosevelt
Street, Tempe, Arizona 85282.
According to public information
(https://www.tuvptl.com/tuv-ptlhistory.html), TUVPTL states that it is a
testing and certification laboratory for
photovoltaic products, and a leading
test organization for photovoltaic
technology. Arizona State University
(ASU) established the organization in
1992, as the Photovoltaic Testing
Laboratory (PTL). The TUVPTL Web site
states that the PTL was instrumental in
the development of many major
standards concerning photovoltaic
products. It was part of ASU until
becoming an affiliate of TUV Rheinland
Group.
TUV Rheinland North America, Inc.,
(TUVRNA), a currently recognized
NRTL, submitted an application, dated
July 29, 2008, to expand its recognition
to include TUVPTL as a recognized site.
1 A number of documents, or information within
documents, described in this Federal Register
notice are the applicant’s internal, detailed
procedures or contain other confidential business or
trade-secret information. These documents and
information, designated by an ‘‘NA’’ at the end of,
or within, the sentence or paragraph describing
them, are not available to the public.
PO 00000
Frm 00021
Fmt 4703
Sfmt 4703
E:\FR\FM\18NON1.SGM
18NON1
Federal Register / Vol. 75, No. 222 / Thursday, November 18, 2010 / Notices
mstockstill on DSKH9S0YB1PROD with NOTICES
(See Ex. 2.) In response to OSHA’s
request for clarification, TUVRNA
amended its application to provide
additional technical details, and then
provided further details in a later
update. (See Ex. 3—TUVPTL amended
application dated 5/29/2009.) OSHA’s
NRTL Program staff performed an onsite assessment of TUVPTL’s facility in
January 2010. Based on this assessment,
TUVPTL revised its application to seek
recognition as a NRTL, thus superseding
the July 2008 expansion application by
TUVRNA. (See Ex. 4—TUVPTL revised
application dated 1/29/2010.) This
revised application incorporated the
bulk of the amended application. The
OSHA staff recommended recognition of
TUVPTL in their on-site review report
of the assessment. (See Ex. 5—OSHA
on-site review report on TUVPTL.)
Due to its close affiliation with
TUVRNA, the applicant will use many
TUVRNA operational and qualitycontrol procedures for operating as a
NRTL. For example, TUVPTL’s NRTL
quality-control system will follow that
used by TUVRNA: QP100001—Product
Certification Quality Manual (Ex. 3; see
document designated QP100001).
Through its application information (see
Ex. 2), TUVPTL represents that it
maintains the experience, expertise,
personnel, organization, equipment, and
facilities suitable for accreditation as an
OSHA NRTL. It also states that it meets
or will meet the requirements for
recognition defined in 29 CFR 1910.7.
This notice discusses the four
requirements for recognition (i.e.,
capability, control procedures,
independence, and creditable reports
and complaint handling) below, along
with examples that illustrate how
TUVPTL meets each of these
requirements. The applicant’s summary
addressing OSHA’s evaluation criteria
(see Detailed Application Information/
Evaluation Criteria (DAI/EC) summary
documents, Exs. 3 and 4) reference
many, but not all, of the documents or
processes described below in this
notice.
Capability
Section 1910.7(b)(1) states that, for
each specified item of equipment or
material requiring listing, labeling, or
acceptance by a NRTL, the NRTL must
have the capability (including proper
testing equipment and facilities, trained
staff, written testing procedures, and
calibration and quality-control
programs) to perform appropriate
testing. The ‘‘Capability’’ section of the
DAI/EC summary document (NA) shows
that the applicant has security measures
and detailed procedures in place to
restrict or control access to its facility,
VerDate Mar<15>2010
16:56 Nov 17, 2010
Jkt 223001
to areas within its facility, and to
confidential information. This section
states that TUVPTL’s facility has
equipment for monitoring, controlling,
and recording environmental conditions
during tests, and for handling test
samples. It also states that the facility
has adequate test areas and energy
sources, and procedures for controlling
incompatible activities. OSHA’s on-site
review report (Ex. 5, p. 2) confirmed this
information concerning the facility, as
well as its adequacy. TUVPTL provided
a detailed list of its testing equipment
(NA), and OSHA’s on-site review (Ex. 5,
p. 2) confirmed that this equipment is
in place and adequate for the scope of
testing requested.
The ‘‘Capability’’ section of the DAI/
EC summary documents (NA) indicates
that TUVPTL has detailed procedures
addressing the maintenance and
calibration of equipment, and the types
of records maintained for, or supporting,
many laboratory activities. It also
indicates that TUVPTL has detailed
procedures for conducting testing,
review, and evaluation, and for
capturing the test data required by the
standard for which it seeks recognition.
OSHA’s on-site review report (Ex. 5, p.
2) notes that TUVPTL currently is using
these procedures for testing products for
other NRTLs. Further, this section
indicates that TUVPTL has detailed
procedures for processing applications
and developing new procedures.
The revised application (Ex. 4)
indicates that TUVPTL has the
necessary procedures to adequately
address training or qualifying staff for
particular technical tasks (NA). The
revised application and OSHA’s on-site
review report (Ex. 5, p. 3) indicate that
TUVPTL has the qualified personnel to
perform the proposed scope of testing
based on their education, training,
technical knowledge, and experience.
The revised application and OSHA’s onsite review report (Ex. 5, p. 3) also
provide evidence that TUVPTL has an
adequate quality-control system in
place.
Control Procedures
Section 1910.7(b)(2) requires that the
NRTL provide controls and services, to
the extent necessary, for the particular
equipment or material undergoing
listing, labeling, or acceptance. These
controls and services include
procedures for identifying the listed or
labeled equipment or materials,
inspections of production runs at
factories to assure conformance with
test standards, and field inspections to
monitor and assure the proper use of
identifying marks or labels.
PO 00000
Frm 00022
Fmt 4703
Sfmt 4703
70693
The ‘‘Control Programs’’ section of the
DAI/EC summary document shows that
TUVPTL has the quality-control manual
and detailed procedures to address the
steps involved in listing and certifying
products. TUVPTL will use the
certification mark of its affiliate,
TUVRNA, which is similar to an
arrangement granted by OSHA to two
other affiliated NRTLs. (See 67 FR 3737,
January 25, 2002.) However, TUVPTL
personnel must perform the final
technical review, make the certification
decision, and authorize the use of the
mark. OSHA proposes to impose a
condition to this effect. In addition, the
‘‘Control Programs’’ section shows that
the applicant has certification
procedures (NA), and that these
procedures address authorization of
certifications and audits of factory
facilities. The audits apply to both the
initial evaluations and the follow-up
inspections of manufacturers’ facilities.
This section indicates that procedures
also exist for authorizing the use of the
certification mark, and the actions taken
when TUVPTL finds that the
manufacturer is deviating from the
certification requirements. Factory
inspections will be a new activity for
TUVPTL, and OSHA will need to
review the effectiveness of TUVPTL’s
inspection program when it is in place.
As a result, OSHA is proposing a
condition to ensure that inspections are
conducted properly, and at the
frequency set forth in the applicable
NRTL Program policy (see OSHA
Instruction CPL 1–0.3, Appendix C,
paragraph III.A).
Independence
Section 1910.7(b)(3) requires that the
NRTL be completely independent of
employers that are subject to the testing
requirements, and of any manufacturers
or vendors of equipment or materials
tested under the NRTL Program. OSHA
has a policy for the independence of
NRTLs that specifies the criteria used
for determining whether an organization
meets the above requirement. (See
OSHA Instruction CPL 1–0.3, Appendix
C, paragraph V.) This policy contains a
non-exhaustive list of relationships that
would cause an organization to fail to
meet the specified criteria.
The ‘‘Independence’’ section of the
DAI/EC, and additional information
submitted by TUVPTL (Ex. 4, section
titled, ‘‘Information For Evaluating
Compliance’’) shows that it has none of
these relationships, or any other
relationship that could subject it to
undue influence when testing for
product safety. TUVPTL’s major owner
is a subsidiary of the parent company of
TUVRNA, the NRTL currently
E:\FR\FM\18NON1.SGM
18NON1
mstockstill on DSKH9S0YB1PROD with NOTICES
70694
Federal Register / Vol. 75, No. 222 / Thursday, November 18, 2010 / Notices
recognized by OSHA. OSHA found no
information about TUVRNA’s
ownership that would raise an issue of
TUVPTL’s non-compliance with the
NRTL Program’s independence policy.
There are two other owners, each
owning less than 10% of TUVPTL. One
owner is an individual, and OSHA
found no information showing any
affiliation with manufacturers, vendors,
or major users of products requiring
NRTL approval. The remaining owner is
Arizona Technology Enterprises (AzTE),
which has a Web page (https://
www.azte.com/page/about_us/
foundation) that states that it ‘‘was
established in 2003 as a limited liability
company whose sole member is the
ASU Foundation. The ASU Foundation
is an independent non-profit
organization that acts as the principal
agent through which gifts are made to
benefit [ASU].’’ OSHA has found no
information to indicate that a
manufacturer, vendor, or major user of
products requiring NRTL approval, or
the major owners of these entities, has
an ownership interest in the Foundation
or ASU, with ASU being a non-profit,
State-operated educational institution.
According to AzTE’s Web page
(https://www.azte.com/page/for_
industry), ‘‘AzTE drives the transfer of
discoveries and innovation from ASU’s
labs to the marketplace through
technology partnering and the creation
of new technology-based ventures.’’
AzTE acts as the agent to license these
technologies, and takes an equity stake
in the companies that commercialize the
technology. AzTE’s Web page (https://
www.azte.com/page/portfolio) shows
that the vast majority of the technologies
licensed in this manner do not involve
the types of products for which OSHA
requires NRTL approval. Companies
may use materials and items developed
from a few of these technologies (such
as a sensor, electrode, or wafer) in
manufacturing these types of products,
but OSHA found only one product that
AzTE licenses that requires NRTL
approval. The entity to which AzTE
licensed this product, a bacterial
detection system, was Biosense
International (Biosense). However, the
State of Arizona Corporate Commission,
which registered Biosense as a
corporation, administratively dissolved
Biosense on June 14, 2010, and Biosense
remained administratively dissolved as
of the date of this notice. The remainder
of AzTE’s equity stakes are minor, thus
mitigating the undue influence that
such companies could exert on TUVPTL
should these companies sell or use
products tested by TUVPTL.
To address future business ventures
by AzTE, OSHA is imposing conditions
VerDate Mar<15>2010
16:56 Nov 17, 2010
Jkt 223001
on TUVPTL to avoid any situation that
could conflict with OSHA’s NRTL
independence requirement; OSHA
would actively monitor TUVPTL’s
compliance with these conditions.
In summary, the information related
to independence demonstrates that
TUVPTL meets the independence
requirement. Additionally, OSHA is
imposing conditions on TUVPTL that
will enable OSHA to monitor TUVPTL’s
compliance with the NRTL
independence requirements in the
future.
Creditable Reports and Complaint
Handling
Section 1910.7(b)(4) specifies that a
NRTL must maintain effective
procedures for producing credible
findings and reports that are objective
and free of bias, and for handling
complaints and disputes under a fair
and reasonable system. The ‘‘Report and
Complaint Procedures’’ section of the
DAI/EC summary document (NA) shows
that the applicant has detailed
procedures describing the content of the
test reports, and other detailed
procedures describing the preparation
and approval of these reports. This
section also shows that the applicant
has procedures for recording, analyzing,
and processing complaints from users,
manufacturers, and other parties in a
fair manner.
Standard Requested for Recognition
TUVPTL seeks recognition for testing
and certifying products to the following
test standard: 2
UL 1703 Flat-Plate Photovoltaic Modules
and Panels
OSHA limits recognition of any NRTL
for a particular test standard to
equipment or materials (i.e., products)
for which OSHA standards require
third-party testing and certification
before use in the workplace.
Consequently, if a test standard also
covers any product for which OSHA
does not require such testing and
certification, an NRTL’s scope of
recognition does not include that
product.
The American National Standards
Institute (ANSI) may approve the test
standard listed above as an American
National Standard. However, for
convenience, we may use the
designation of the standards-developing
organization for the standard instead of
the ANSI designation. Under the NRTL
Program’s policy (see OSHA Instruction
CPL 1–0.3, Appendix C, paragraph XIV),
any NRTL recognized for a particular
2 The designation and title of this test standard
was current at the time OSHA prepared this notice.
PO 00000
Frm 00023
Fmt 4703
Sfmt 4703
test standard may use either the
proprietary version of the test standard
or the ANSI version of that standard.
Contact ANSI to determine whether a
test standard is currently ANSIapproved.
Supplemental Programs
Should OSHA approve this
application for NRTL recognition, it also
will grant approval for TUVPTL to use
the following supplemental program
because TUVPTL uses outside parties to
perform its equipment calibration and,
therefore, must properly qualify these
parties for this purpose following the
criteria in the program:
Program 9: Acceptance of services other
than testing or evaluation performed by
subcontractors or agents
Additional Conditions
As noted above, a minor owner of
TUVPTL, AzTE, may have an equity
stake in companies that use
technologies licensed by AzTE. In its
present review, OSHA found that
AzTE’s ownership interest in these
companies does not currently result in
a conflict with OSHA’s NRTL
independence requirement; however,
the possibility exists that AzTE could in
the future acquire sufficient ownership
in one of these companies to establish
such a conflict or potential conflict
should any of these companies sell, or
become a major user of, the types of
products that require NRTL approval.
Thus, OSHA proposes to impose the
following conditions to avoid conflicts
or possible conflicts:
1. AzTE must comply with the
following conditions during the period
it has an ownership interest in TUVPTL
or in any company that may
subsequently purchase or replace
TUVPTL, and understands that failure
to comply with these conditions may
result in OSHA revoking or imposing
limits on TUVPTL’s NRTL recognition:
a. Identify the total number of
companies in which it has an ownership
interest and, of this total, the number in
which AzTE’s interest in the total
ownership of a company is 2% or less,
and the number in which this interest
in a company exceeds 2%.
b. Provide OSHA, annually and as
requested, (i) an updated list of
companies in which AzTE’s ownership
interests in a company exceeds 2% of
the total ownership of the company, and
(ii) for each of these companies, a
description of its business purpose.
AzTE also must state whether any of
these companies manufactures,
distributes, or sells a type of product
shown on OSHA’s Web page titled,
E:\FR\FM\18NON1.SGM
18NON1
mstockstill on DSKH9S0YB1PROD with NOTICES
Federal Register / Vol. 75, No. 222 / Thursday, November 18, 2010 / Notices
‘‘Type of Products Requiring NRTL
Approval.’’
c. Provide OSHA access (e.g., when
auditing TUVPTL) to the record(s) or
document(s) filed with the applicable
legal authority (e.g., the Secretary of
State or other State authority) describing
AzTE’s ownership interest in those
companies in which OSHA determines
AzTE has an ownership interest
exceeding 2% of the total ownership of
the company.
d. Provide OSHA, annually and as
requested, the names and affiliations of
any of its directors who are not directors
of the Arizona State University
Foundation.
2. TUVPTL must comply with the
following conditions while AzTE, or
any other entity that manufactures,
distributes, or sells a product tested by
TUVPTL or is affiliated with such an
entity,3 has an ownership interest in
TUVPTL:
a. Not test or certify any product
under the NRTL Program made or sold
by a company owned in excess of 2%
by AzTE. In addition, before testing or
certifying any product for an NRTL
client applicant, TUVPTL will follow
detailed procedures, reviewed and
found acceptable by OSHA, to
determine that such a company did not
make or sell the product.
b. Cease certifications related to the
NRTL Program if the following criteria
are met: (i) AzTE has more than a 10%
ownership interest in a company; (ii)
OSHA determines that such a company
or one of its subsidiaries, affiliates, or
significant owners, makes or sells a type
of product for which OSHA requires
NRTL approval (i.e., one currently
shown in OSHA’s Web page titled,
‘‘Type of Products Requiring NRTL
Approval’’); and (iii) OSHA determines
that the risk of actual or potential undue
influence resulting from this ownership
is not minor (see condition 2c below).
If these criteria are met, and AzTE does
not, within 60 days of OSHA’s request,
take steps to reduce such ownership
interests below 10% within 60 days,
OSHA will initiate the process to revoke
TUVPTL’s NRTL recognition.
c. For purposes of condition #2b
above, TUVPTL must provide or make
available, at OSHA’s request,
information required by OSHA to
determine whether a risk of actual or
potential undue influence is not minor.
This information may include, but is not
limited to, a financial statement(s) or the
annual report of the company owned by
AzTE, and, if not included in the
document(s) provided, a list of the types
3 Any condition that applies to AzTE also would
apply to such an entity.
VerDate Mar<15>2010
16:56 Nov 17, 2010
Jkt 223001
of products sold or made by the
company, and the overall percentage of
the company’s total revenue derived
from selling these products. If TUVPTL
cannot or does not provide or make
available this information at OSHA’s
request, OSHA will be unable to
determine whether the risk is minor,
and, thus, will commence the process to
revoke TUVPTL’s NRTL recognition.
d. To provide OSHA, either annually
or upon request, TUVPTL’s overall
client list, noting those clients that are
NRTL clients and, for each such client,
whether it is a company in which AzTE
has more than a 10% ownership
interest. Each list shall be in an
electronic format, and shall include the
information specified by OSHA. For
example, this information may include
the client’s name and address; the
product name(s) and model number(s);
the fees paid during the last calendar
year by the client for testing and
certifying its product(s); and the
percentage of TUVPTL’s total revenue
derived during the last calendar year
from testing and certifying this/these
product(s).
Additionally, as described above,
while TUVPTL has testing, review, and
evaluation procedures, OSHA could not
review how TUVPTL fully implemented
them because TUVPTL was not using
them fully for testing and certifying
products under the NRTL Program. In
addition, as also described above, while
TUVPTL has factory-inspection
procedures, it currently does not
conduct regular factory inspections. In
this regard, TUVPTL only recently
developed some components of these
factory-inspection procedures.
Therefore, OSHA also must review the
effectiveness of TUVPTL’s factoryinspection program should OSHA grant
NRTL recognition to TUVPTL, and do
so within a reasonable period after
granting recognition. Consequently,
OSHA proposes to recognize TUVPTL
conditionally, i.e., subject to a later
determination of the effectiveness of
these procedures. In addition, because
TUVPTL will use the mark of its
affiliate, OSHA is imposing a condition
to ensure that TUVPTL personnel
perform the critical steps involved in
certification. Therefore, the following
conditions also would apply should
OSHA recognize TUVPTL under the
NRTL Program:
3. Within 30 days of certifying its first
products under the NRTL Program,
TUVPTL will notify the OSHA NRTL
Program Director of this activity so that
OSHA may schedule its first audit of
TUVPTL. At this first audit of TUVPTL,
TUVPTL must demonstrate that it
properly conducted testing, review,
PO 00000
Frm 00024
Fmt 4703
Sfmt 4703
70695
evaluation, and factory inspections, and,
for inspections, did so at the frequency
set forth in the applicable NRTL
Program policy.
4. Only TUVPTL personnel may
perform the final technical review, make
the final certification decision, and
authorize use of the mark for those
products TUVPTL certifies under the
NRTL Program.
OSHA would include all of the
conditions proposed above in the final
notice should OSHA recognize TUVPTL
as an NRTL. These conditions apply
solely to TUVPTL’s operations as an
NRTL, and solely to those products that
it certifies for purposes of enabling
employers to meet OSHA productapproval requirements. These
conditions would be in addition to all
other conditions that OSHA normally
imposes in its recognition of an
organization as an NRTL.
Imposing these conditions is
consistent with OSHA’s past recognition
of several organizations as NRTLs that
met the basic recognition requirements,
but needed to further refine or
implement their procedures (for
example, see 63 FR 68306, 12/10/1998,
and 65 FR 26637, 05/08/2000). Given
the applicant’s current activities in
testing and certification, OSHA is
confident that TUVPTL will conform to
the requirements for recognition noted
above.
Preliminary Finding on the Application
TUVPTL submitted an acceptable
application for recognition as an NRTL.
OSHA’s review of the application file,
and the results of the on-site review,
indicate that TUVPTL can meet the
requirements prescribed by 29 CFR
1910.7 for recognition to use the test
standard listed above. This preliminary
finding does not constitute an interim or
temporary approval of the application.
TUVPTL corrected the discrepancies
noted by OSHA during the on-site
review, and the on-site review report
describes these corrections (Ex. 5).
Following examination of the
application file and the on-site review
report, the NRTL Program staff
concluded that OSHA can grant the
applicant recognition as an NRTL for its
Tempe, Arizona facility, subject to the
conditions described above. The staff,
therefore, recommended preliminarily
that the Assistant Secretary approve the
application.
OSHA welcomes public comment as
to whether TUVPTL meets the
requirements of 29 CFR 1910.7 for
recognition as an NRTL. Comments
should consist of pertinent written
documents and exhibits. Commenters
needing more time to comment must
E:\FR\FM\18NON1.SGM
18NON1
70696
Federal Register / Vol. 75, No. 222 / Thursday, November 18, 2010 / Notices
submit a request in writing, stating the
reasons for the request. OSHA must
receive the written request for an
extension by the due date for comments.
OSHA will limit any extension to 30
days unless the requester justifies a
longer period. OSHA may deny a
request for an extension if it is not
adequately justified. To obtain or review
copies of the publicly available
information in TUVPTL’s application
and other pertinent documents
(including exhibits), as well as all
submitted comments, contact the Docket
Office, Room N–2625, Occupational
Safety and Health Administration, U.S.
Department of Labor, at the above
address; these materials also are
available online at https://
www.regulations.gov under Docket No.
OSHA–2010–0013.
The NRTL Program staff will review
all comments to the docket submitted in
a timely manner, and, after addressing
the issues raised by these comments,
will recommend whether to grant NRTL
recognition to TUVPTL. The Assistant
Secretary will make the final decision
on granting NRTL recognition, and, in
making this decision, may undertake
other proceedings prescribed in
Appendix A to 29 CFR 1910.7. OSHA
will publish a public notice of this final
decision in the Federal Register.
Authority and Signature
David Michaels, Ph.D., MPH,
Assistant Secretary of Labor for
Occupational Safety and Health, 200
Constitution Avenue, NW., Washington,
DC 20210, directed the preparation of
this notice. Accordingly, the Agency is
issuing this notice pursuant to Sections
6(b) and 8(g) of the Occupational Safety
and Health Act of 1970 (29 U.S.C. 655
and 657), Secretary of Labor’s Order No.
4–2010 (75 FR 55355), and 29 CFR part
1911.
Signed at Washington, DC on this 15th day
of November 2010.
David Michaels,
Assistant Secretary of Labor for Occupational
Safety and Health.
[FR Doc. 2010–29127 Filed 11–17–10; 8:45 am]
BILLING CODE 4510–26–P
mstockstill on DSKH9S0YB1PROD with NOTICES
DEPARTMENT OF LABOR
Occupational Safety and Health
Administration
[Docket No. OSHA–2010–0046]
QPS Evaluation Services Inc.;
Application for Recognition
Occupational Safety and Health
Administration (OSHA), Labor.
AGENCY:
VerDate Mar<15>2010
16:56 Nov 17, 2010
Jkt 223001
ACTION:
Notice.
This notice announces the
application of QPS Evaluation Services
Inc. for recognition as a Nationally
Recognized Testing Laboratory, and
presents the Agency’s preliminary
finding to grant this recognition.
DATES: Submit information or
comments, or a request for an extension
of the time to comment, on or before
December 20, 2010. All submissions
must bear a postmark or provide other
evidence of the submission date.
ADDRESSES: Submit comments by any of
the following methods:
Electronically: Submit comments
electronically at https://
www.regulations.gov, which is the
Federal eRulemaking Portal. Follow the
instructions online for making
electronic submissions.
Fax: If submissions, including
attachments, are no longer than 10
pages, commenters may fax them to the
OSHA Docket Office at (202) 693–1648.
Mail, hand delivery, express mail, or
messenger or courier service: Submit
one copy of the comments to the OSHA
Docket Office, Docket No. OSHA–2010–
0046, U.S. Department of Labor, Room
N–2625, 200 Constitution Avenue, NW.,
Washington, DC 20210. Deliveries
(hand, express mail, and messenger and
courier service) are accepted during the
Department of Labor’s and Docket
Office’s normal business hours, 8:15
a.m.–4:45 p.m., e.t.
Instructions: All submissions must
include the Agency name and the OSHA
docket number (i.e., OSHA–2010–0046).
OSHA will place all submissions,
including any personal information
provided, in the public docket without
revision, and these submissions will be
made available online at https://
www.regulations.gov.
Docket: To read or download
submissions or other material in the
docket (e.g., exhibits listed below), go to
https://www.regulations.gov or the OSHA
Docket Office at the address above. All
documents in the docket are listed in
the https://www.regulations.gov index;
however, some information (e.g.,
copyrighted material) is not publicly
available to read or download through
the Web site. All submissions, including
copyrighted material, are available for
inspection and copying at the OSHA
Docket Office.
Extension of comment period: Submit
requests for an extension of the
comment period on or before December
20, 2010 to the Office of Technical
Programs and Coordination Activities,
NRTL Program, Occupational Safety and
Health Administration, U.S. Department
of Labor, 200 Constitution Avenue,
SUMMARY:
PO 00000
Frm 00025
Fmt 4703
Sfmt 4703
NW., Room N–3655, Washington, DC
20210, or by fax to (202) 693–1644.
FOR FURTHER INFORMATION CONTACT:
MaryAnn Garrahan, Director, Office of
Technical Programs and Coordination
Activities, NRTL Program, Occupational
Safety and Health Administration, U.S.
Department of Labor, 200 Constitution
Avenue, NW., Room N–3655,
Washington, DC 20210; telephone: (202)
693–2110. For information about the
NRTL Program, go to https://
www.osha.gov, and select ‘‘N’’ in the site
index.
SUPPLEMENTARY INFORMATION:
I. Notice of Application for Recognition
The Occupational Safety and Health
Administration (OSHA) is providing
notice that QPS Evaluation Services Inc.
(QPS) applied for recognition as a
Nationally Recognized Testing
Laboratory (NRTL). (See Ex. 2—QPS
recognition application dated 1/27/
2006.) 1 The application covers testing
and certification of the equipment or
materials, and use of the supplemental
programs, listed below.
OSHA recognition of a NRTL signifies
that the organization meets the legal
requirements specified in 29 CFR
1910.7. Recognition is an
acknowledgment that the organization
can perform independent safety testing
and certification of the specific products
covered within its scope of recognition,
and is not a delegation or grant of
government authority. As a result of
recognition, employers may use
products approved by the NRTL to meet
OSHA standards that require product
testing and certification.
The Agency processes applications by
a NRTL for initial recognition, or for an
expansion or renewal of this
recognition, following requirements in
Appendix A to 29 CFR 1910.7. This
appendix requires that the Agency
publish two notices in the Federal
Register in processing an application. In
the first notice, OSHA announces the
application and provides its preliminary
finding, and, in the second notice, the
Agency provides its final decision on
the application. These notices set forth
the NRTL’s scope of recognition or
modifications of that scope. OSHA
maintains an informational Web page
for each NRTL that details its scope of
recognition. These pages can be
accessed from OSHA’s Web site at
1 A number of documents, or information within
documents, described in this Federal Register
notice are the applicant’s internal, detailed
procedures or contain other confidential business or
trade-secret information. These documents and
information, designated by an ‘‘NA’’ at the end of,
or within, the sentence or paragraph describing
them, are not available to the public.
E:\FR\FM\18NON1.SGM
18NON1
Agencies
[Federal Register Volume 75, Number 222 (Thursday, November 18, 2010)]
[Notices]
[Pages 70692-70696]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2010-29127]
-----------------------------------------------------------------------
DEPARTMENT OF LABOR
Occupational Safety and Health Administration
[Docket No. OSHA-2010-0013]
TUV Rheinland PTL, LLC; Application for Recognition
AGENCY: Occupational Safety and Health Administration (OSHA), Labor.
ACTION: Notice.
-----------------------------------------------------------------------
SUMMARY: This notice announces the application of TUV Rheinland PTL,
LLC, for recognition as a Nationally Recognized Testing Laboratory, and
presents the Agency's preliminary finding to grant this recognition.
DATES: Submit information or comments, or a request for an extension of
the time to comment, on or before December 20, 2010. All submissions
must bear a postmark or provide other evidence of the submission date.
ADDRESSES: Submit comments by any of the following methods:
Electronically: Submit comments electronically at https://www.regulations.gov, which is the Federal eRulemaking Portal. Follow
the instructions online for making electronic submissions.
Fax: If submissions, including attachments, are no longer than 10
pages, commenters may fax them to the OSHA Docket Office at (202) 693-
1648.
Mail, hand delivery, express mail, or messenger or courier service:
Submit one copy of the comments to the OSHA Docket Office, Docket No.
OSHA-2010-0013, U.S. Department of Labor, Room N-2625, 200 Constitution
Avenue, NW., Washington, DC 20210. Deliveries (hand, express mail, and
messenger and courier service) are accepted during the Department of
Labor's and Docket Office's normal business hours, 8:15 a.m.-4:45 p.m.,
e.t.
Instructions: All submissions must include the Agency name and the
OSHA docket number (i.e., OSHA-2010-0013). OSHA will place all
submissions, including any personal information provided, in the public
docket without revision, and these submissions will be made available
online at https://www.regulations.gov.
Docket: To read or download submissions or other material in the
docket (e.g., exhibits listed below), go to https://www.regulations.gov
or the OSHA Docket Office at the address above. All documents in the
docket are listed in the https://www.regulations.gov index; however,
some information (e.g., copyrighted material) is not publicly available
to read or download through the Web site. All submissions, including
copyrighted material, are available for inspection and copying at the
OSHA Docket Office.
Extension of comment period: Submit requests for an extension of
the comment period on or before December 20, 2010 to the Office of
Technical Programs and Coordination Activities, NRTL Program,
Occupational Safety and Health Administration, U.S. Department of
Labor, 200 Constitution Avenue, NW., Room N-3655, Washington, DC 20210,
or by fax to (202) 693-1644.
FOR FURTHER INFORMATION CONTACT: MaryAnn Garrahan, Director, Office of
Technical Programs and Coordination Activities, NRTL Program,
Occupational Safety and Health Administration, U.S. Department of
Labor, 200 Constitution Avenue, NW., Room N-3655, Washington, DC 20210;
telephone: (202) 693-2110. For information about the Nationally
Recognized Testing Laboratory (NRTL) Program, go to https://www.osha.gov, and select ``N'' in the site index.
SUPPLEMENTARY INFORMATION:
I. Notice of Application for Recognition
The Occupational Safety and Health Administration (OSHA) is
providing notice that TUV Rheinland PTL, LLC, (TUVPTL) applied for
recognition as a NRTL. (See Ex. 2--TUVPTL recognition application dated
7/29/2008.) \1\ The application covers testing and certification of the
equipment or materials, and use of the supplemental programs, listed
below.
---------------------------------------------------------------------------
\1\ A number of documents, or information within documents,
described in this Federal Register notice are the applicant's
internal, detailed procedures or contain other confidential business
or trade-secret information. These documents and information,
designated by an ``NA'' at the end of, or within, the sentence or
paragraph describing them, are not available to the public.
---------------------------------------------------------------------------
OSHA recognition of a NRTL signifies that the organization meets
the legal requirements specified in 29 CFR 1910.7. Recognition is an
acknowledgment that the organization can perform independent safety
testing and certification of the specific products covered within its
scope of recognition, and is not a delegation or grant of government
authority. As a result of recognition, employers may use products
approved by the NRTL to meet OSHA standards that require product
testing and certification.
The Agency processes applications by a NRTL for initial
recognition, or for an expansion or renewal of this recognition,
following requirements in Appendix A to 29 CFR 1910.7. This appendix
requires that the Agency publish two notices in the Federal Register in
processing an application. In the first notice, OSHA announces the
application and provides its preliminary finding, and, in the second
notice, the Agency provides its final decision on the application.
These notices set forth the NRTL's scope of recognition or
modifications of that scope. OSHA maintains an informational Web page
for each NRTL that details its scope of recognition. These pages can be
accessed from OSHA's Web site at https://www.osha.gov/dts/otpca/nrtl/. Each NRTL's scope of recognition has three elements: (1)
The type of products the NRTL may test, with each type specified by its
applicable test standard; (2) the recognized site(s) that has/have the
technical capability to perform the product testing and certification
activities for test standards within the NRTL's scope; and (3) the
supplemental program(s) that the NRTL may use, each of which allows the
NRTL to rely on other parties to perform activities necessary for
product testing and certification.
II. General Background on the Application
In its application, TUVPTL lists the current address of the
laboratory facility covered by the application as: TUV Rheinland PTL,
2210 South Roosevelt Street, Tempe, Arizona 85282. According to public
information (https://www.tuvptl.com/tuv-ptl-history.html), TUVPTL states
that it is a testing and certification laboratory for photovoltaic
products, and a leading test organization for photovoltaic technology.
Arizona State University (ASU) established the organization in 1992, as
the Photovoltaic Testing Laboratory (PTL). The TUVPTL Web site states
that the PTL was instrumental in the development of many major
standards concerning photovoltaic products. It was part of ASU until
becoming an affiliate of TUV Rheinland Group.
TUV Rheinland North America, Inc., (TUVRNA), a currently recognized
NRTL, submitted an application, dated July 29, 2008, to expand its
recognition to include TUVPTL as a recognized site.
[[Page 70693]]
(See Ex. 2.) In response to OSHA's request for clarification, TUVRNA
amended its application to provide additional technical details, and
then provided further details in a later update. (See Ex. 3--TUVPTL
amended application dated 5/29/2009.) OSHA's NRTL Program staff
performed an on-site assessment of TUVPTL's facility in January 2010.
Based on this assessment, TUVPTL revised its application to seek
recognition as a NRTL, thus superseding the July 2008 expansion
application by TUVRNA. (See Ex. 4--TUVPTL revised application dated 1/
29/2010.) This revised application incorporated the bulk of the amended
application. The OSHA staff recommended recognition of TUVPTL in their
on-site review report of the assessment. (See Ex. 5--OSHA on-site
review report on TUVPTL.)
Due to its close affiliation with TUVRNA, the applicant will use
many TUVRNA operational and quality-control procedures for operating as
a NRTL. For example, TUVPTL's NRTL quality-control system will follow
that used by TUVRNA: QP100001--Product Certification Quality Manual
(Ex. 3; see document designated QP100001). Through its application
information (see Ex. 2), TUVPTL represents that it maintains the
experience, expertise, personnel, organization, equipment, and
facilities suitable for accreditation as an OSHA NRTL. It also states
that it meets or will meet the requirements for recognition defined in
29 CFR 1910.7.
This notice discusses the four requirements for recognition (i.e.,
capability, control procedures, independence, and creditable reports
and complaint handling) below, along with examples that illustrate how
TUVPTL meets each of these requirements. The applicant's summary
addressing OSHA's evaluation criteria (see Detailed Application
Information/Evaluation Criteria (DAI/EC) summary documents, Exs. 3 and
4) reference many, but not all, of the documents or processes described
below in this notice.
Capability
Section 1910.7(b)(1) states that, for each specified item of
equipment or material requiring listing, labeling, or acceptance by a
NRTL, the NRTL must have the capability (including proper testing
equipment and facilities, trained staff, written testing procedures,
and calibration and quality-control programs) to perform appropriate
testing. The ``Capability'' section of the DAI/EC summary document (NA)
shows that the applicant has security measures and detailed procedures
in place to restrict or control access to its facility, to areas within
its facility, and to confidential information. This section states that
TUVPTL's facility has equipment for monitoring, controlling, and
recording environmental conditions during tests, and for handling test
samples. It also states that the facility has adequate test areas and
energy sources, and procedures for controlling incompatible activities.
OSHA's on-site review report (Ex. 5, p. 2) confirmed this information
concerning the facility, as well as its adequacy. TUVPTL provided a
detailed list of its testing equipment (NA), and OSHA's on-site review
(Ex. 5, p. 2) confirmed that this equipment is in place and adequate
for the scope of testing requested.
The ``Capability'' section of the DAI/EC summary documents (NA)
indicates that TUVPTL has detailed procedures addressing the
maintenance and calibration of equipment, and the types of records
maintained for, or supporting, many laboratory activities. It also
indicates that TUVPTL has detailed procedures for conducting testing,
review, and evaluation, and for capturing the test data required by the
standard for which it seeks recognition. OSHA's on-site review report
(Ex. 5, p. 2) notes that TUVPTL currently is using these procedures for
testing products for other NRTLs. Further, this section indicates that
TUVPTL has detailed procedures for processing applications and
developing new procedures.
The revised application (Ex. 4) indicates that TUVPTL has the
necessary procedures to adequately address training or qualifying staff
for particular technical tasks (NA). The revised application and OSHA's
on-site review report (Ex. 5, p. 3) indicate that TUVPTL has the
qualified personnel to perform the proposed scope of testing based on
their education, training, technical knowledge, and experience. The
revised application and OSHA's on-site review report (Ex. 5, p. 3) also
provide evidence that TUVPTL has an adequate quality-control system in
place.
Control Procedures
Section 1910.7(b)(2) requires that the NRTL provide controls and
services, to the extent necessary, for the particular equipment or
material undergoing listing, labeling, or acceptance. These controls
and services include procedures for identifying the listed or labeled
equipment or materials, inspections of production runs at factories to
assure conformance with test standards, and field inspections to
monitor and assure the proper use of identifying marks or labels.
The ``Control Programs'' section of the DAI/EC summary document
shows that TUVPTL has the quality-control manual and detailed
procedures to address the steps involved in listing and certifying
products. TUVPTL will use the certification mark of its affiliate,
TUVRNA, which is similar to an arrangement granted by OSHA to two other
affiliated NRTLs. (See 67 FR 3737, January 25, 2002.) However, TUVPTL
personnel must perform the final technical review, make the
certification decision, and authorize the use of the mark. OSHA
proposes to impose a condition to this effect. In addition, the
``Control Programs'' section shows that the applicant has certification
procedures (NA), and that these procedures address authorization of
certifications and audits of factory facilities. The audits apply to
both the initial evaluations and the follow-up inspections of
manufacturers' facilities. This section indicates that procedures also
exist for authorizing the use of the certification mark, and the
actions taken when TUVPTL finds that the manufacturer is deviating from
the certification requirements. Factory inspections will be a new
activity for TUVPTL, and OSHA will need to review the effectiveness of
TUVPTL's inspection program when it is in place. As a result, OSHA is
proposing a condition to ensure that inspections are conducted
properly, and at the frequency set forth in the applicable NRTL Program
policy (see OSHA Instruction CPL 1-0.3, Appendix C, paragraph III.A).
Independence
Section 1910.7(b)(3) requires that the NRTL be completely
independent of employers that are subject to the testing requirements,
and of any manufacturers or vendors of equipment or materials tested
under the NRTL Program. OSHA has a policy for the independence of NRTLs
that specifies the criteria used for determining whether an
organization meets the above requirement. (See OSHA Instruction CPL 1-
0.3, Appendix C, paragraph V.) This policy contains a non-exhaustive
list of relationships that would cause an organization to fail to meet
the specified criteria.
The ``Independence'' section of the DAI/EC, and additional
information submitted by TUVPTL (Ex. 4, section titled, ``Information
For Evaluating Compliance'') shows that it has none of these
relationships, or any other relationship that could subject it to undue
influence when testing for product safety. TUVPTL's major owner is a
subsidiary of the parent company of TUVRNA, the NRTL currently
[[Page 70694]]
recognized by OSHA. OSHA found no information about TUVRNA's ownership
that would raise an issue of TUVPTL's non-compliance with the NRTL
Program's independence policy.
There are two other owners, each owning less than 10% of TUVPTL.
One owner is an individual, and OSHA found no information showing any
affiliation with manufacturers, vendors, or major users of products
requiring NRTL approval. The remaining owner is Arizona Technology
Enterprises (AzTE), which has a Web page (https://www.azte.com/page/about_us/foundation) that states that it ``was established in 2003 as
a limited liability company whose sole member is the ASU Foundation.
The ASU Foundation is an independent non-profit organization that acts
as the principal agent through which gifts are made to benefit [ASU].''
OSHA has found no information to indicate that a manufacturer, vendor,
or major user of products requiring NRTL approval, or the major owners
of these entities, has an ownership interest in the Foundation or ASU,
with ASU being a non-profit, State-operated educational institution.
According to AzTE's Web page (https://www.azte.com/page/for_industry), ``AzTE drives the transfer of discoveries and innovation
from ASU's labs to the marketplace through technology partnering and
the creation of new technology-based ventures.'' AzTE acts as the agent
to license these technologies, and takes an equity stake in the
companies that commercialize the technology. AzTE's Web page (https://www.azte.com/page/portfolio) shows that the vast majority of the
technologies licensed in this manner do not involve the types of
products for which OSHA requires NRTL approval. Companies may use
materials and items developed from a few of these technologies (such as
a sensor, electrode, or wafer) in manufacturing these types of
products, but OSHA found only one product that AzTE licenses that
requires NRTL approval. The entity to which AzTE licensed this product,
a bacterial detection system, was Biosense International (Biosense).
However, the State of Arizona Corporate Commission, which registered
Biosense as a corporation, administratively dissolved Biosense on June
14, 2010, and Biosense remained administratively dissolved as of the
date of this notice. The remainder of AzTE's equity stakes are minor,
thus mitigating the undue influence that such companies could exert on
TUVPTL should these companies sell or use products tested by TUVPTL.
To address future business ventures by AzTE, OSHA is imposing
conditions on TUVPTL to avoid any situation that could conflict with
OSHA's NRTL independence requirement; OSHA would actively monitor
TUVPTL's compliance with these conditions.
In summary, the information related to independence demonstrates
that TUVPTL meets the independence requirement. Additionally, OSHA is
imposing conditions on TUVPTL that will enable OSHA to monitor TUVPTL's
compliance with the NRTL independence requirements in the future.
Creditable Reports and Complaint Handling
Section 1910.7(b)(4) specifies that a NRTL must maintain effective
procedures for producing credible findings and reports that are
objective and free of bias, and for handling complaints and disputes
under a fair and reasonable system. The ``Report and Complaint
Procedures'' section of the DAI/EC summary document (NA) shows that the
applicant has detailed procedures describing the content of the test
reports, and other detailed procedures describing the preparation and
approval of these reports. This section also shows that the applicant
has procedures for recording, analyzing, and processing complaints from
users, manufacturers, and other parties in a fair manner.
Standard Requested for Recognition
TUVPTL seeks recognition for testing and certifying products to the
following test standard: \2\
\2\ The designation and title of this test standard was current
at the time OSHA prepared this notice.
---------------------------------------------------------------------------
UL 1703 Flat-Plate Photovoltaic Modules and Panels
OSHA limits recognition of any NRTL for a particular test standard
to equipment or materials (i.e., products) for which OSHA standards
require third-party testing and certification before use in the
workplace. Consequently, if a test standard also covers any product for
which OSHA does not require such testing and certification, an NRTL's
scope of recognition does not include that product.
The American National Standards Institute (ANSI) may approve the
test standard listed above as an American National Standard. However,
for convenience, we may use the designation of the standards-developing
organization for the standard instead of the ANSI designation. Under
the NRTL Program's policy (see OSHA Instruction CPL 1-0.3, Appendix C,
paragraph XIV), any NRTL recognized for a particular test standard may
use either the proprietary version of the test standard or the ANSI
version of that standard. Contact ANSI to determine whether a test
standard is currently ANSI-approved.
Supplemental Programs
Should OSHA approve this application for NRTL recognition, it also
will grant approval for TUVPTL to use the following supplemental
program because TUVPTL uses outside parties to perform its equipment
calibration and, therefore, must properly qualify these parties for
this purpose following the criteria in the program:
Program 9: Acceptance of services other than testing or
evaluation performed by subcontractors or agents
Additional Conditions
As noted above, a minor owner of TUVPTL, AzTE, may have an equity
stake in companies that use technologies licensed by AzTE. In its
present review, OSHA found that AzTE's ownership interest in these
companies does not currently result in a conflict with OSHA's NRTL
independence requirement; however, the possibility exists that AzTE
could in the future acquire sufficient ownership in one of these
companies to establish such a conflict or potential conflict should any
of these companies sell, or become a major user of, the types of
products that require NRTL approval. Thus, OSHA proposes to impose the
following conditions to avoid conflicts or possible conflicts:
1. AzTE must comply with the following conditions during the period
it has an ownership interest in TUVPTL or in any company that may
subsequently purchase or replace TUVPTL, and understands that failure
to comply with these conditions may result in OSHA revoking or imposing
limits on TUVPTL's NRTL recognition:
a. Identify the total number of companies in which it has an
ownership interest and, of this total, the number in which AzTE's
interest in the total ownership of a company is 2% or less, and the
number in which this interest in a company exceeds 2%.
b. Provide OSHA, annually and as requested, (i) an updated list of
companies in which AzTE's ownership interests in a company exceeds 2%
of the total ownership of the company, and (ii) for each of these
companies, a description of its business purpose. AzTE also must state
whether any of these companies manufactures, distributes, or sells a
type of product shown on OSHA's Web page titled,
[[Page 70695]]
``Type of Products Requiring NRTL Approval.''
c. Provide OSHA access (e.g., when auditing TUVPTL) to the
record(s) or document(s) filed with the applicable legal authority
(e.g., the Secretary of State or other State authority) describing
AzTE's ownership interest in those companies in which OSHA determines
AzTE has an ownership interest exceeding 2% of the total ownership of
the company.
d. Provide OSHA, annually and as requested, the names and
affiliations of any of its directors who are not directors of the
Arizona State University Foundation.
2. TUVPTL must comply with the following conditions while AzTE, or
any other entity that manufactures, distributes, or sells a product
tested by TUVPTL or is affiliated with such an entity,\3\ has an
ownership interest in TUVPTL:
---------------------------------------------------------------------------
\3\ Any condition that applies to AzTE also would apply to such
an entity.
---------------------------------------------------------------------------
a. Not test or certify any product under the NRTL Program made or
sold by a company owned in excess of 2% by AzTE. In addition, before
testing or certifying any product for an NRTL client applicant, TUVPTL
will follow detailed procedures, reviewed and found acceptable by OSHA,
to determine that such a company did not make or sell the product.
b. Cease certifications related to the NRTL Program if the
following criteria are met: (i) AzTE has more than a 10% ownership
interest in a company; (ii) OSHA determines that such a company or one
of its subsidiaries, affiliates, or significant owners, makes or sells
a type of product for which OSHA requires NRTL approval (i.e., one
currently shown in OSHA's Web page titled, ``Type of Products Requiring
NRTL Approval''); and (iii) OSHA determines that the risk of actual or
potential undue influence resulting from this ownership is not minor
(see condition 2c below). If these criteria are met, and AzTE does not,
within 60 days of OSHA's request, take steps to reduce such ownership
interests below 10% within 60 days, OSHA will initiate the process to
revoke TUVPTL's NRTL recognition.
c. For purposes of condition 2b above, TUVPTL must provide
or make available, at OSHA's request, information required by OSHA to
determine whether a risk of actual or potential undue influence is not
minor. This information may include, but is not limited to, a financial
statement(s) or the annual report of the company owned by AzTE, and, if
not included in the document(s) provided, a list of the types of
products sold or made by the company, and the overall percentage of the
company's total revenue derived from selling these products. If TUVPTL
cannot or does not provide or make available this information at OSHA's
request, OSHA will be unable to determine whether the risk is minor,
and, thus, will commence the process to revoke TUVPTL's NRTL
recognition.
d. To provide OSHA, either annually or upon request, TUVPTL's
overall client list, noting those clients that are NRTL clients and,
for each such client, whether it is a company in which AzTE has more
than a 10% ownership interest. Each list shall be in an electronic
format, and shall include the information specified by OSHA. For
example, this information may include the client's name and address;
the product name(s) and model number(s); the fees paid during the last
calendar year by the client for testing and certifying its product(s);
and the percentage of TUVPTL's total revenue derived during the last
calendar year from testing and certifying this/these product(s).
Additionally, as described above, while TUVPTL has testing, review,
and evaluation procedures, OSHA could not review how TUVPTL fully
implemented them because TUVPTL was not using them fully for testing
and certifying products under the NRTL Program. In addition, as also
described above, while TUVPTL has factory-inspection procedures, it
currently does not conduct regular factory inspections. In this regard,
TUVPTL only recently developed some components of these factory-
inspection procedures. Therefore, OSHA also must review the
effectiveness of TUVPTL's factory-inspection program should OSHA grant
NRTL recognition to TUVPTL, and do so within a reasonable period after
granting recognition. Consequently, OSHA proposes to recognize TUVPTL
conditionally, i.e., subject to a later determination of the
effectiveness of these procedures. In addition, because TUVPTL will use
the mark of its affiliate, OSHA is imposing a condition to ensure that
TUVPTL personnel perform the critical steps involved in certification.
Therefore, the following conditions also would apply should OSHA
recognize TUVPTL under the NRTL Program:
3. Within 30 days of certifying its first products under the NRTL
Program, TUVPTL will notify the OSHA NRTL Program Director of this
activity so that OSHA may schedule its first audit of TUVPTL. At this
first audit of TUVPTL, TUVPTL must demonstrate that it properly
conducted testing, review, evaluation, and factory inspections, and,
for inspections, did so at the frequency set forth in the applicable
NRTL Program policy.
4. Only TUVPTL personnel may perform the final technical review,
make the final certification decision, and authorize use of the mark
for those products TUVPTL certifies under the NRTL Program.
OSHA would include all of the conditions proposed above in the
final notice should OSHA recognize TUVPTL as an NRTL. These conditions
apply solely to TUVPTL's operations as an NRTL, and solely to those
products that it certifies for purposes of enabling employers to meet
OSHA product-approval requirements. These conditions would be in
addition to all other conditions that OSHA normally imposes in its
recognition of an organization as an NRTL.
Imposing these conditions is consistent with OSHA's past
recognition of several organizations as NRTLs that met the basic
recognition requirements, but needed to further refine or implement
their procedures (for example, see 63 FR 68306, 12/10/1998, and 65 FR
26637, 05/08/2000). Given the applicant's current activities in testing
and certification, OSHA is confident that TUVPTL will conform to the
requirements for recognition noted above.
Preliminary Finding on the Application
TUVPTL submitted an acceptable application for recognition as an
NRTL. OSHA's review of the application file, and the results of the on-
site review, indicate that TUVPTL can meet the requirements prescribed
by 29 CFR 1910.7 for recognition to use the test standard listed above.
This preliminary finding does not constitute an interim or temporary
approval of the application. TUVPTL corrected the discrepancies noted
by OSHA during the on-site review, and the on-site review report
describes these corrections (Ex. 5).
Following examination of the application file and the on-site
review report, the NRTL Program staff concluded that OSHA can grant the
applicant recognition as an NRTL for its Tempe, Arizona facility,
subject to the conditions described above. The staff, therefore,
recommended preliminarily that the Assistant Secretary approve the
application.
OSHA welcomes public comment as to whether TUVPTL meets the
requirements of 29 CFR 1910.7 for recognition as an NRTL. Comments
should consist of pertinent written documents and exhibits. Commenters
needing more time to comment must
[[Page 70696]]
submit a request in writing, stating the reasons for the request. OSHA
must receive the written request for an extension by the due date for
comments. OSHA will limit any extension to 30 days unless the requester
justifies a longer period. OSHA may deny a request for an extension if
it is not adequately justified. To obtain or review copies of the
publicly available information in TUVPTL's application and other
pertinent documents (including exhibits), as well as all submitted
comments, contact the Docket Office, Room N-2625, Occupational Safety
and Health Administration, U.S. Department of Labor, at the above
address; these materials also are available online at https://www.regulations.gov under Docket No. OSHA-2010-0013.
The NRTL Program staff will review all comments to the docket
submitted in a timely manner, and, after addressing the issues raised
by these comments, will recommend whether to grant NRTL recognition to
TUVPTL. The Assistant Secretary will make the final decision on
granting NRTL recognition, and, in making this decision, may undertake
other proceedings prescribed in Appendix A to 29 CFR 1910.7. OSHA will
publish a public notice of this final decision in the Federal Register.
Authority and Signature
David Michaels, Ph.D., MPH, Assistant Secretary of Labor for
Occupational Safety and Health, 200 Constitution Avenue, NW.,
Washington, DC 20210, directed the preparation of this notice.
Accordingly, the Agency is issuing this notice pursuant to Sections
6(b) and 8(g) of the Occupational Safety and Health Act of 1970 (29
U.S.C. 655 and 657), Secretary of Labor's Order No. 4-2010 (75 FR
55355), and 29 CFR part 1911.
Signed at Washington, DC on this 15th day of November 2010.
David Michaels,
Assistant Secretary of Labor for Occupational Safety and Health.
[FR Doc. 2010-29127 Filed 11-17-10; 8:45 am]
BILLING CODE 4510-26-P