TUV Rheinland PTL, LLC; Recognition as an NRTL, 16452-16456 [2011-6856]
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Federal Register / Vol. 76, No. 56 / Wednesday, March 23, 2011 / Notices
DEPARTMENT OF LABOR
Occupational Safety and Health
Administration
[Docket No. OSHA–2010–0013]
TUV Rheinland PTL, LLC; Recognition
as an NRTL
Occupational Safety and Health
Administration (OSHA), Labor.
ACTION: Notice.
AGENCY:
This notice announces the
Agency’s final decision to grant
recognition to TUV Rheinland PTL,
LLC, as a Nationally Recognized Testing
Laboratory under 29 CFR 1910.7.
DATES: This recognition becomes
effective on March 23, 2011 and will be
valid until March 23, 2016, unless
terminated or modified prior to that date
in accordance with 29 CFR 1910.7.
FOR FURTHER INFORMATION CONTACT:
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 phone (202) 693–2110. For
information about the Nationally
Recognized Testing Laboratory Program,
go to https://www.osha.gov, and select
‘‘N’’ in the site index.
SUPPLEMENTARY INFORMATION:
SUMMARY:
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Notice of Final Decision
The Occupational Safety and Health
Administration (OSHA) hereby gives
notice of its recognition of TUV
Rheinland PTL, LLC (TUVPTL) as a
Nationally Recognized Testing
Laboratory (NRTL). The scope of this
recognition includes testing and
certification of the equipment and
materials, and use of the supplemental
program, listed below. OSHA will detail
TUVPTL’s scope of recognition on an
informational Web page for the NRTL,
as further explained below.
OSHA recognition of an 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
an NRTL for initial recognition, or for an
expansion or renewal of this
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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 are available
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.
TUVPTL applied for recognition as an
NRTL (See Ex. 2—TUVPTL application
dated 7/29/2008) 1 pursuant to 29 CFR
1910.7, and OSHA published the
required preliminary notice in the
Federal Register on November 18, 2010
(75 FR 70692) to announce the
application. The notice included a
preliminary finding that TUVPTL could
meet the requirements for recognition
detailed in 29 CFR 1910.7, and invited
public comment on the application by
December 20, 2010. OSHA received no
comments in response to this notice.
OSHA now is proceeding with this final
notice to grant TUVPTL’s recognition
application.
All public documents pertaining to
the TUVPTL application are available
for review by contacting the Docket
Office, Occupational Safety and Health
Administration, U.S. Department of
Labor, 200 Constitution Avenue, NW.,
Room N–2625, Washington, DC 20210.
These materials also are available online
at https://www.regulations.gov under
Docket No. OSHA–2010–0013.
The current address of the laboratory
facility (site) that OSHA recognizes for
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.
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TUVPTL is: TUV Rheinland PTL, 2210
South Roosevelt Street, Tempe, Arizona
85282.
General Background on the Application
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.
(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 an 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 an
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
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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.
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.
Capability
Section 1910.7(b)(1) states that, for
each specified item of equipment or
material requiring listing, labeling, or
acceptance by an 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
also states that TUVPTL’s facility has
equipment for monitoring, controlling,
and recording environmental conditions
during tests, and for handling test
samples. It states further 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, as well as 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 to test 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
Control Procedures
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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 is imposing this condition
as part of TUVPTL’s NRTL recognition.
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 imposing a
condition as part of TUVPTL’s NRTL
recognition that ensures that TUVPTL
conducts inspections 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).
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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
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 of
TUVPTL, each owning less than 10% of
the organization. One owner is an
individual, and OSHA found no
information showing any affiliation of
this individual 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 nonprofit organization that acts as the
principal agent through which gifts are
made to benefit [ASU].’’ OSHA 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 nonprofit,
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
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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). At the time
OSHA published its preliminary notice
to announce TUVPTL’s application (75
FR 70692), the State of Arizona
Corporate Commission, which
registered Biosense as a corporation,
administratively dissolved Biosense as
of June 14, 2010. At the time OSHA
prepared this final notice, Biosense is in
good standing according to the
Commission’s Web site. However,
OSHA has no information that AzTE’s
ownership of BioSense would pose any
conflicts with OSHA’s independence
requirement. 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 will
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 an
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
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has procedures for recording, analyzing,
and processing complaints from users,
manufacturers, and other parties in a
fair manner.
Supplemental Programs
OSHA is approving TUVPTL to use
the following supplemental program for
which it applied:
Program 9: Acceptance of Services
Other Than Testing or Evaluation
Performed by Subcontractors or Agents
(Calibration Services Only)
OSHA is approving TUVPTL to use
Program 9 only for calibration services,
and added this limitation to the
program’s description above. The
application notice for TUVPTL
indicated this limitation, and OSHA is
adding it here for clarity. As noted in an
earlier Federal Register notice of NRTL
recognition (75 FR 222), OSHA will
approve a new NRTL to use Program 9
for other services or other supplemental
programs only after OSHA determines
that the new NRTL tests, evaluates, and
performs inspections adequately using
its own staff located at its recognized
site(s).
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 is imposing conditions to
avoid conflicts or possible conflicts.
These conditions are numbered 1 and 2
under the ‘‘Conditions’’ section below.
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 will, having granted
NRTL recognition to TUVPTL, review
the effectiveness of TUVPTL’s factory-
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inspection program, and do so within a
reasonable period. Consequently, OSHA
is recognizing TUVPTL conditionally
for these procedures, i.e., subject to a
later determination of the effectiveness
with which TUVPTL implements these
procedures. In addition, because
TUVPTL will use the mark of its
affiliate, TUV Rheinland of North
America, Inc., OSHA is imposing a
condition to ensure that TUVPTL
personnel perform the critical steps
involved in certification. These
conditions are numbered 3 and 4 under
the ‘‘Conditions’’ section below.
These conditions apply solely to
TUVPTL’s operations as an NRTL, and
only to those products that it certifies
for purposes of enabling employers to
meet OSHA product-approval
requirements. These conditions are 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). Based on
TUVPTL’s current activities in testing
and certification, OSHA is confident
that TUVPTL will conform to the
requirements for recognition noted
above.
Final Decision and Order
The NRTL Program staff examined
TUVPTL’s application, the additional
submissions, the on-site review report,
and other pertinent information. Based
on this examination and the analysis,
OSHA finds that TUVPTL meets the
requirements of 29 CFR 1910.7 for
recognition as a Nationally Recognized
Testing Laboratory subject to the
limitations and conditions listed below.
The recognition applies to the site listed
above, and the test standard listed
below. Pursuant to the authority granted
by 29 CFR 1910.7, OSHA hereby grants
the recognition of TUVPTL, subject to
this limitation and these conditions.
Limitation
OSHA limits the recognition of
TUVPTL to testing and certification of
products for demonstration of
conformance to the following test
standard,2 which OSHA determines is
an appropriate test standard within the
meaning of 29 CFR 1910.7(c):
2 The designation and title of this test standard
was current at the time OSHA prepared this notice.
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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 ANSIapproved.
Conditions
TUVPTL also must abide by the
following conditions of its NRTL
recognition, in addition to those
conditions already required by 29 CFR
1910.7:
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 exceed 2% of the
total ownership of the company, and (ii)
for each of these companies, a
description of each company’s 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,
‘‘Type of Products Requiring NRTL
Approval.’’
c. Provide OSHA access (e.g., when
auditing TUVPTL) to the record(s) or
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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,
distributed, 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,
distribute, 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, distributes,
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 2.c, 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%, OSHA will initiate the process to
revoke TUVPTL’s NRTL recognition.
c. For purposes of Condition 2.b,
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
3 Any condition that applies to AzTE also would
apply to such an entity.
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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, annually and as
requested, 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).
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;
TUVPTL must conduct factory
inspections 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 TUV Rheinland of
North America, Inc., mark for those
products TUVPTL certifies under the
NRTL Program;
5. TUVPTL will allow OSHA access to
TUVPTL’s facilities and records to
ascertain continuing compliance with
the terms of its NRTL recognition, and
to perform such investigations as OSHA
deems necessary;
6. If TUVPTL has reason to doubt the
efficacy of any test standard it is using
under its NRTL recognition, it will
promptly inform the test standarddeveloping organization of this concern,
and provide that organization with the
appropriate relevant information on
which it bases its concern;
7. TUVPTL will not engage in, or
permit others to engage in, any
misrepresentation of the scope or
conditions of its NRTL recognition. As
part of this condition, TUVPTL agrees
that it will allow no representation that
it is either a recognized or an accredited
NRTL without clearly indicating the
specific equipment or material to which
this recognition applies, and also clearly
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Federal Register / Vol. 76, No. 56 / Wednesday, March 23, 2011 / Notices
indicating that OSHA limits its NRTL
recognition to specific products;
8. TUVPTL will inform OSHA as soon
as possible, in writing, of any change of
ownership, facilities, or key personnel,
and of any major changes in its
operations as an NRTL, including
details of these changes;
9. TUVPTL will meet all of the terms
of its NRTL recognition, and will always
comply with all OSHA policies
pertaining to this recognition; and
10. TUVPTL will continue to meet the
requirements for NRTL recognition in
all areas covered by the scope of this
recognition.
Authority and Signature
David Michaels, PhD, 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 March 18,
2011.
David Michaels,
Assistant Secretary of Labor for Occupational
Safety and Health.
[FR Doc. 2011–6856 Filed 3–22–11; 8:45 am]
BILLING CODE 4510–26–P
NATIONAL SCIENCE FOUNDATION
Agency Information Collection
Activities: Comment Request
National Science Foundation.
Submission for OMB review;
comment request.
AGENCY:
ACTION:
The National Science
Foundation (NSF) has submitted the
following information collection
requirement to OMB for review and
clearance under the Paperwork
Reduction Act of 1995, Public Law 104–
13. This is the second notice for public
comment; the first was published in the
Federal Register at 76 FR 2151, and no
comments were received. NSF is
forwarding the proposed renewal
submission to the Office of Management
and Budget (OMB) for clearance
simultaneously with the publication of
this second notice. The full submission
may be found at: https://
www.reginfo.gov/public/do/PRAMain.
Comments: Comments are invited on
(a) whether the proposed collection of
information is necessary for the proper
performance of the functions of the
Agency, including whether the
jlentini on DSKJ8SOYB1PROD with NOTICES
SUMMARY:
VerDate Mar<15>2010
16:46 Mar 22, 2011
Jkt 223001
information shall have practical utility;
(b) the accuracy of the Agency’s
estimate of the burden of the proposed
collection of information; (c) ways to
enhance the quality, utility, and clarity
of the information on respondents,
including through the use of automated
collection techniques or other forms of
information technology; and (d) ways to
minimize the burden of the collection of
information on those who are to
respond, including through the use of
appropriate automated, electronic,
mechanical, or other technological
collection techniques or other forms of
information technology.
Comments should be addressed to:
Office of Information and Regulatory
Affairs of OMB, Attention: Desk Officer
for National Science Foundation, 725
17th Street, NW., Room 10235,
Washington, DC 20503, and to Suzanne
H. Plimpton, Reports Clearance Officer,
National Science Foundation, 4201
Wilson Boulevard, Suite 295, Arlington,
Virginia 22230 or via e-mail to
splimpto@nsf.gov. Individuals who use
a telecommunications device for the
deaf (TDD) may call the Federal
Information Relay Service (FIRS) at 1–
800–877–8339, which is accessible 24
hours a day, 7 days a week, 365 days a
year (including Federal holidays).
Comments regarding this information
collection are best assured of having
their full effect if received within 30
days of this notification. Copies of the
submission(s) may be obtained by
calling 703–292–7556.
NSF may not conduct or sponsor a
collection of information unless the
collection of information displays a
currently valid OMB control number
and the agency informs potential
persons who are to respond to the
collection of information that such
persons are not required to respond to
the collection of information unless it
displays a currently valid OMB control
number.
SUPPLEMENTARY INFORMATION:
Title of Collection: NSF Surveys to
Measure Customer Service Satisfaction.
OMB Number: 3145–0157.
Type of Request: Intent to seek
approval to renew an information
collection.
Abstract:
Proposed Project: On September 11,
1993, President Clinton issued
Executive Order 12862, ‘‘Setting
Customer Service Standards,’’ which
calls for Federal agencies to provide
service that matches or exceeds the best
service available in the private sector.
Section 1(b) of that order requires
agencies to ‘‘survey customers to
determine the kind and quality of
PO 00000
Frm 00081
Fmt 4703
Sfmt 4703
services they want and their level of
satisfaction with existing services.’’ The
National Science Foundation (NSF) has
an ongoing need to collect information
from its customer community (primarily
individuals and organizations engaged
in science and engineering research and
education) about the quality and kind of
services it provides and use that
information to help improve agency
operations and services.
Estimate of Burden: The burden on
the public will change according to the
needs of each individual customer
satisfaction survey; however, each
survey is estimated to take
approximately 30 minutes per response.
Respondents: Will vary among
individuals or households; business or
other for-profit; not-for-profit
institutions; farms; federal government;
state, local or tribal governments
Estimated Number of Responses per
Survey: This will vary by survey.
Dated: March 18, 2011.
Suzanne H. Plimpton,
Reports Clearance Officer, National Science
Foundation.
[FR Doc. 2011–6808 Filed 3–22–11; 8:45 am]
BILLING CODE 7555–01–P
NUCLEAR REGULATORY
COMMISSION
[NRC–2008–0441]
South Carolina Electric and Gas
Company (SCE&G) and the South
Carolina Public Service Authority
(Santee Cooper); Notice of Availability
of Application for a Combined License
On March 27, 2008, South Carolina
Electric and Gas Company (SCE&G)
acting as itself and agent for the South
Carolina Public Service Authority also
known as Santee Cooper filed with the
U.S. Nuclear Regulatory Commission
(NRC, the Commission) pursuant to
Section 103 of the Atomic Energy Act
and Title 10 of the Code of Federal
Regulations (10 CFR) Part 52, ‘‘Licenses,
Certifications, and Approvals for
Nuclear Power Plants,’’ an application
for combined licenses (COLs) for two
AP1000 advanced passive pressurized
water reactors at the existing Virgil C.
Summer Nuclear Site (VCSNS) located
in Fairfield County, South Carolina. The
reactors are to be identified as VCSNS
Units 2 and 3. The application is
currently under review by the NRC staff.
An applicant may seek a COL in
accordance with Subpart C of 10 CFR
Part 52. The information submitted by
the applicant includes certain
administrative information such as
financial qualifications submitted
E:\FR\FM\23MRN1.SGM
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Agencies
[Federal Register Volume 76, Number 56 (Wednesday, March 23, 2011)]
[Notices]
[Pages 16452-16456]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2011-6856]
[[Page 16452]]
-----------------------------------------------------------------------
DEPARTMENT OF LABOR
Occupational Safety and Health Administration
[Docket No. OSHA-2010-0013]
TUV Rheinland PTL, LLC; Recognition as an NRTL
AGENCY: Occupational Safety and Health Administration (OSHA), Labor.
ACTION: Notice.
-----------------------------------------------------------------------
SUMMARY: This notice announces the Agency's final decision to grant
recognition to TUV Rheinland PTL, LLC, as a Nationally Recognized
Testing Laboratory under 29 CFR 1910.7.
DATES: This recognition becomes effective on March 23, 2011 and will be
valid until March 23, 2016, unless terminated or modified prior to that
date in accordance with 29 CFR 1910.7.
FOR FURTHER INFORMATION CONTACT: 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 phone (202) 693-2110. For
information about the Nationally Recognized Testing Laboratory Program,
go to https://www.osha.gov, and select ``N'' in the site index.
SUPPLEMENTARY INFORMATION:
Notice of Final Decision
The Occupational Safety and Health Administration (OSHA) hereby
gives notice of its recognition of TUV Rheinland PTL, LLC (TUVPTL) as a
Nationally Recognized Testing Laboratory (NRTL). The scope of this
recognition includes testing and certification of the equipment and
materials, and use of the supplemental program, listed below. OSHA will
detail TUVPTL's scope of recognition on an informational Web page for
the NRTL, as further explained below.
OSHA recognition of an 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 an 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 are
available 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.
TUVPTL applied for recognition as an NRTL (See Ex. 2--TUVPTL
application dated 7/29/2008) \1\ pursuant to 29 CFR 1910.7, and OSHA
published the required preliminary notice in the Federal Register on
November 18, 2010 (75 FR 70692) to announce the application. The notice
included a preliminary finding that TUVPTL could meet the requirements
for recognition detailed in 29 CFR 1910.7, and invited public comment
on the application by December 20, 2010. OSHA received no comments in
response to this notice. OSHA now is proceeding with this final notice
to grant TUVPTL's recognition application.
---------------------------------------------------------------------------
\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.
---------------------------------------------------------------------------
All public documents pertaining to the TUVPTL application are
available for review by contacting the Docket Office, Occupational
Safety and Health Administration, U.S. Department of Labor, 200
Constitution Avenue, NW., Room N-2625, Washington, DC 20210. These
materials also are available online at https://www.regulations.gov under
Docket No. OSHA-2010-0013.
The current address of the laboratory facility (site) that OSHA
recognizes for TUVPTL is: TUV Rheinland PTL, 2210 South Roosevelt
Street, Tempe, Arizona 85282.
General Background on the Application
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. (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 an
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
an 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
[[Page 16453]]
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 an
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 also states
that TUVPTL's facility has equipment for monitoring, controlling, and
recording environmental conditions during tests, and for handling test
samples. It states further 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, as well as 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 to test 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 is
imposing this condition as part of TUVPTL's NRTL recognition. 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 imposing a condition as part of TUVPTL's NRTL
recognition that ensures that TUVPTL conducts inspections 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
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 of TUVPTL, each owning less than 10% of
the organization. One owner is an individual, and OSHA found no
information showing any affiliation of this individual 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 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 nonprofit, 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
[[Page 16454]]
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). At the time OSHA published its preliminary
notice to announce TUVPTL's application (75 FR 70692), the State of
Arizona Corporate Commission, which registered Biosense as a
corporation, administratively dissolved Biosense as of June 14, 2010.
At the time OSHA prepared this final notice, Biosense is in good
standing according to the Commission's Web site. However, OSHA has no
information that AzTE's ownership of BioSense would pose any conflicts
with OSHA's independence requirement. 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 will 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 an 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.
Supplemental Programs
OSHA is approving TUVPTL to use the following supplemental program
for which it applied:
Program 9: Acceptance of Services Other Than Testing or Evaluation
Performed by Subcontractors or Agents (Calibration Services Only)
OSHA is approving TUVPTL to use Program 9 only for calibration
services, and added this limitation to the program's description above.
The application notice for TUVPTL indicated this limitation, and OSHA
is adding it here for clarity. As noted in an earlier Federal Register
notice of NRTL recognition (75 FR 222), OSHA will approve a new NRTL to
use Program 9 for other services or other supplemental programs only
after OSHA determines that the new NRTL tests, evaluates, and performs
inspections adequately using its own staff located at its recognized
site(s).
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 is imposing conditions
to avoid conflicts or possible conflicts. These conditions are numbered
1 and 2 under the ``Conditions'' section below.
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 will, having granted NRTL
recognition to TUVPTL, review the effectiveness of TUVPTL's factory-
inspection program, and do so within a reasonable period. Consequently,
OSHA is recognizing TUVPTL conditionally for these procedures, i.e.,
subject to a later determination of the effectiveness with which TUVPTL
implements these procedures. In addition, because TUVPTL will use the
mark of its affiliate, TUV Rheinland of North America, Inc., OSHA is
imposing a condition to ensure that TUVPTL personnel perform the
critical steps involved in certification. These conditions are numbered
3 and 4 under the ``Conditions'' section below.
These conditions apply solely to TUVPTL's operations as an NRTL,
and only to those products that it certifies for purposes of enabling
employers to meet OSHA product-approval requirements. These conditions
are 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). Based on TUVPTL's current activities in testing and
certification, OSHA is confident that TUVPTL will conform to the
requirements for recognition noted above.
Final Decision and Order
The NRTL Program staff examined TUVPTL's application, the
additional submissions, the on-site review report, and other pertinent
information. Based on this examination and the analysis, OSHA finds
that TUVPTL meets the requirements of 29 CFR 1910.7 for recognition as
a Nationally Recognized Testing Laboratory subject to the limitations
and conditions listed below. The recognition applies to the site listed
above, and the test standard listed below. Pursuant to the authority
granted by 29 CFR 1910.7, OSHA hereby grants the recognition of TUVPTL,
subject to this limitation and these conditions.
Limitation
OSHA limits the recognition of TUVPTL to testing and certification
of products for demonstration of conformance to the following test
standard,\2\ which OSHA determines is an appropriate test standard
within the meaning of 29 CFR 1910.7(c):
---------------------------------------------------------------------------
\2\ The designation and title of this test standard was current
at the time OSHA prepared this notice.
---------------------------------------------------------------------------
[[Page 16455]]
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.
Conditions
TUVPTL also must abide by the following conditions of its NRTL
recognition, in addition to those conditions already required by 29 CFR
1910.7:
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 exceed 2% of
the total ownership of the company, and (ii) for each of these
companies, a description of each company's 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, ``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:
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\3\ Any condition that applies to AzTE also would apply to such
an entity.
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a. Not test or certify any product under the NRTL Program made,
distributed, 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,
distribute, 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,
distributes, 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 2.c, 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%, OSHA will initiate
the process to revoke TUVPTL's NRTL recognition.
c. For purposes of Condition 2.b, 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, annually and as requested, 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).
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; TUVPTL
must conduct factory inspections 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 TUV
Rheinland of North America, Inc., mark for those products TUVPTL
certifies under the NRTL Program;
5. TUVPTL will allow OSHA access to TUVPTL's facilities and records
to ascertain continuing compliance with the terms of its NRTL
recognition, and to perform such investigations as OSHA deems
necessary;
6. If TUVPTL has reason to doubt the efficacy of any test standard
it is using under its NRTL recognition, it will promptly inform the
test standard-developing organization of this concern, and provide that
organization with the appropriate relevant information on which it
bases its concern;
7. TUVPTL will not engage in, or permit others to engage in, any
misrepresentation of the scope or conditions of its NRTL recognition.
As part of this condition, TUVPTL agrees that it will allow no
representation that it is either a recognized or an accredited NRTL
without clearly indicating the specific equipment or material to which
this recognition applies, and also clearly
[[Page 16456]]
indicating that OSHA limits its NRTL recognition to specific products;
8. TUVPTL will inform OSHA as soon as possible, in writing, of any
change of ownership, facilities, or key personnel, and of any major
changes in its operations as an NRTL, including details of these
changes;
9. TUVPTL will meet all of the terms of its NRTL recognition, and
will always comply with all OSHA policies pertaining to this
recognition; and
10. TUVPTL will continue to meet the requirements for NRTL
recognition in all areas covered by the scope of this recognition.
Authority and Signature
David Michaels, PhD, 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 March 18, 2011.
David Michaels,
Assistant Secretary of Labor for Occupational Safety and Health.
[FR Doc. 2011-6856 Filed 3-22-11; 8:45 am]
BILLING CODE 4510-26-P