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NEC Articles 90.7 & 110.3: Navigating The Certification Maze

Presented by John Gorman CSA Group

Certification Topics to be Covered

• Building Codes and Product Standards. • Third Party Product Safety Testing & Certification. • Product Testing and Certification Process – Stakeholders:

1. Product Manufacturers. 2. Standards Development Organizations. 3. Nationally Recognized Testing Laboratories. 4. Authorities Having Jurisdiction. – Understanding the roles of standards developers and third-party testing &

certification agencies. – The difference between “listing” and “labeling”. – What the registered trademarks mean. – A review of third-party testing & certification agencies and the benefits of

competition. • Protecting Certification Marks and Avoiding Counterfeiting. • Questions and Discussion.

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Building Codes and Product Standards

Codes and Standards are EVERYWHERE!

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Codes and Standards • Codes provide the minimum safeguards for people with

regard to building safety and fire protection. • Codes protect health, safety and welfare as they relate

to the residential and commercial built environment.

* http://www.iccsafe.org/CS/Pages/default.aspx

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Common Codes

Electrical National Electric Code (NEC)

International Electrical Code (IEC)

Gas ANSI Z.223.1/NFPA 54 – National Fuel Gas Code International Fuel Gas Code (IFGC)

Plumbing International Plumbing Code (IPC) - ICC Uniform Plumbing Code (UPC) – IAPMO

Buildings/Construction International Building Code (IBC) International Residential Code (IRC) International Green Construction Code (IgCC) NFPA 5000 Building Construction and Safety Code

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Codes and Standards • The code becomes law of a particular jurisdiction when

formally adopted by the appropriate governmental or private authority.

• Adopting codes helps to ensure consistency among

jurisdictions while permitting states and local authorities to make adjustments based on specific conditions.

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National Electric Code (NEC)

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Codes and Standards • Standards* are developed as an extension of code

requirements and are written by technical experts. • Standards* represent consensus on how a material,

product or assembly is to be designed, manufactured, tested or installed to obtain a specific level of performance.

• Standards provide specific details for a given product so the code does not need to include them.

* http://www.iccsafe.org/CS/Pages/default.aspx

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Codes and Standards

• Most codes do not accommodate new technologies until

such time there is a standard for the product and a means of compliance to that standard.

• Codes rely on the use of tested and certified products

that meet safety and performance standards. Examples: NEC 2011 - Informative Annex A - Product Safety Standards

shows complete list of standards used for product listing. International Residential Code (IRC) - Section G2422 (618)

FORCED-AIR WARM-AIR FURNACES General forced-air warm-air furnaces shall be tested in

accordance with ANSI Z21.47 or UL 795.

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Third Party Product Safety Testing & Certification

What is Product Certification?

“Certified” or “Listed” means that:

• The product has been tested and certified to comply with a product safety standard.

• The product was tested and certified by an accredited third-party certification agency, also known as:

Nationally Recognized Testing Laboratories (NRTLs) • The product is listed in the NRTL’s registry of certified

products. • The product manufacturer has license to bear the

NRTL’s mark on the certified product. • Manufacturers can then mass produce that certified

product for use in any location.

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Accredited Third-Party Certification Agencies

Example: NEC 2011 90.7 Examination of Equipment for Safety For specific items of equipment & materials referred to in this

Code, examinations for safety made under standard conditions provide a basis for approval where the record is made generally available through promulgation by organizations properly equipped and qualified for experimental testing, inspections of the run of goods at factories, and service value determination through field inspections.

Extraction from NEC 2011 Edition

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Accredited Third-Party Certification Agencies

90.7 Examination of Equipment for Safety continued…….. This avoids the necessity for repetition of examinations by

different examiners, frequently with inadequate facilities for such work, and the confusion that would result from conflicting reports on the suitability of devices and materials examined for a given purpose.

If the equipment has been listed by a qualified electrical

testing laboratory that is recognized as having the facilities described in the preceding paragraph and that requires suitability for installation in accordance with this Code.


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Types of Full Certification

Model Certification

Witness Certification

Shared Certification

Category Certification

Field/Batch Certification

Products are tested at NRTL’s laboratories

Products are tested at the manufacturer’s facility by the manufacturer’s staff



Individual products are tested at the manufacturer’s facility or at NRTL’s laboratories by an Engineering Specialist

Designated Engineering Specialist

NRTL sends an Engineering Specialist to witness the testing

NRTL will examine the product, review and validate test data

NRTL will review and validate test data

NRTL will individually label certified products (follow-up services do not apply)

Reports are written by NRTL


Reports can be written by the manufacturer

Reports are written by the manufacturer


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Product Certification

• Manufacturers have their products certified voluntarily. • Retailers are looking to see that products are certified before

they put them on their shelves to make sure they are safe. • Manufacturers will contact a NRTL when they have a new

product to be certified. • The Certifier will tell manufacturer:

– which standards it will need to be tested to. – how long it will take to complete tests. – how much it will cost to complete tests. – how many samples and drawings will be needed.

• When the product passes all the necessary tests determined by the product safety standard, the manufacturer has “license” to put the certification mark of the NRTL on the product and/or packaging.

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Examples of Certification Marks

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Field Evaluation/Labeling Program

• Field Evaluation Bodies (FEBs) offer programs for products that are unique or produced in limited quantities.

• FEBs need to be accredited to NFPA 790 by a qualified third-

party certifier, e.g. International Accreditation Services (IAS).

• Products are evaluated to nationally recognized standards with site specific variances accepted by AHJs.

• Field Evaluation is a safety evaluation, NOT a certification program.

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Field Evaluation/Labeling Program

• Products are eligible to display an applicable Field Evaluation Label, which is valid for a specific location only.

• The label indicates that the product was tested and has met the

all requirements, including the National Fire Protection Association (NFPA) and the National Electric Code (NEC), for installation and use.

• This program helps AHJs to identify products that meet accepted

safety criteria

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Example: NEC 2011

Article 110.3 Examination, Identification, Installation, and Use of Equipment

(A) Examination. In judging equipment, considerations such as the following shall be evaluated:

(1) Suitability for installation and use in conformity with the provisions of this Code.

(2) Mechanical strength and durability, including, for parts designed to enclose and protect other equipment, the adequacy of the protection thus provided.

(3) Wire-bending and connection space. (4) Electrical insulation. (5) Heating effects under normal conditions of use and also under abnormal

conditions likely to arise in service (6) Arcing effects. (7) Classification by type, size, voltage, current capacity, and specific use. (8) Other factors that contribute to the practical safeguarding of persons

using or likely to come into contact with the equipment.


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Product Testing & Certification Process

Product Testing & Certification Process

Four stakeholder groups participate in the product certification process:

1. Product Manufacturers 2. Standards Development Organization (SDOs) 3. Nationally Recognized Testing Laboratories (NRTLs) 4. Authorities Having Jurisdiction (AHJs)

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1. Product Manufacturers

Product Manufacturers are companies that produce products for use in both residential and commercial environments.

The products may be meant for consumer use or be installed permanently by a professional contractor for either residential or commercial use.

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• Electric Appliances: refrigerators, stoves, clothes dryers, air conditioners, ventilation systems.

• Gas Appliances: furnaces, water heaters, ranges, commercial ovens, etc. • Gas Accessories: valves, ignition systems, vents, high pressure hoses,

CSST tubing & connectors. • Outdoor Gas: gas grills, fireplaces, outdoor heaters, gas lamps. • Lighting: indoor lighting fixtures, outdoor decorative lighting, emergency

lighting. • Plumbing: kitchen sinks & faucets, lavatory sinks & faucets, toilets, urinals,

shower controls, spas/hot tubs, pumps. • Electrical Supplies: wire, cable, electrical connectors, fuse boxes. • Plumbing Supplies: ABS/PVC pipe, plumbing connectors, valves,

backflow prevention assemblies. • Consumer Electronics: computers, power supplies, cameras, radios,

digital media, cell phones. • Medical Equipment: x-ray equipment, life support machines. • Safety Equipment: safety glasses, safety shoes, hockey helmets, ski

helmets, bike helmets.

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When designing their products, manufacturers must be aware of applicable U.S. product safety standards that apply to their type of product so that:

• They choose the correct materials and components to

use during the manufacturing process. • They design the product to last as many cycles as

required by the standards. • The size of the product is such that it will be

interchangeable with the same type of products designed by other manufacturers.

• The product will not harm anyone when used per the manufacturer’s instructions.

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2. Standards Development Organizations

Standards Development Organizations (SDOs) are accredited organizations that are

responsible for creating or facilitating the development of product standards for given market sectors

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• AGA American Gas Association • ANSI American National Standards Institute • ASME American Society of Mechanical Engineers • ASSE American Society of Sanitary Engineers • CGA Compressed Gas Association • CSA CSA Group • FM FM Approvals • IAPMO International Association of Plumbing & Mechanical Officials • IAS International Accreditation Services • IEC International Electrotechnical Commission • NFPA National Fire Protection Association • NSF National Sanitary Foundation • UL Underwriters Laboratory

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• SDOs facilitate the development of consensus standards which outline how a product needs to perform to: – meet minimum safety requirements. – meet minimum performance requirements. – allow for interchangeability so that it can fit into another product

or be replaced if necessary. • Consensus means that all stakeholder groups are

represented during development of the standard including manufacturers, regulators, consumers, trade associations, utilities, etc.

• Standards do not determine which product works the best or lasts the longest.

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Request / evaluation/

authorization

Assign to committees

Submit notice that SDO is

working on the project

Meetings with committees to

develop technical content

Draft document distributed for public review

Meetings with Technical

Committee to reach consensus

Internal review (quality/pre-

edit)

Draft document approved by the

Technical Oversight Committee

Procedural approval

Final edit and publication Distribution Maintenance


2. Standards Development Organizations In addition to writing their own standards, SDOs often work

together to write a harmonized or “joint” standard that has contributions from multiple organizations.

For example: – ANSI Z21.47 • CSA 2.3, Standard for Gas-Fired Central Furnaces – ASSE 1016-2011/ASME A112.1016-2011/CSA B125.16-11,

Performance requirements for automatic compensating valves for individual showers and tub/shower combinations

– ANSI Z21.20 • CSA C22.2 No. 60730-2-5 • UL 60730-2-5, Standard

for Automatic Electrical Controls For Household and Similar Use – Part 2-5: Particular Requirements for Automatic Electrical Burner Control Systems

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3. Nationally Recognized Testing Laboratories

• Nationally Recognized Testing Laboratories (NRTLs) are independent, third-party organizations accredited and recognized by various government or national organizations to provide testing to national and international standards.

• Examples of organizations that accredit and recognize NRTLs are OSHA, ANSI and SCC.

• NRTLs are contracted by manufacturers to test products and certify that they meet the applicable standards.

• NRTLs must be qualified, by location, to test and certify

products based on their laboratories qualifications.

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• In the U.S., the NRTL Program is operated by OSHA.

• OSHA’s recognition of a NRTL is an acknowledgement of the organization’s ability to perform product safety and testing within its scope.

• For more information, check out the OSHA website: http://www.osha.gov/dts/otpca/nrtl/

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http://www.osha.gov/dts/otpca/nrtl/�

3. Nationally Recognized Test Laboratories

In addition to OSHA, other bodies accredit laboratories as qualified to test electrical, gas, and other classes of products for the U.S. market.

These include: • American National Standards Institute (ANSI) • International Accreditation Service (IAS) • International Code Council (ICC) • National Voluntary Laboratory Accreditation Program

(NVLAP) • American Society of Safety Engineers (ASSE)

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• To begin the product testing and certification process, a product manufacturer requests a project estimate from one or more NRTLs.

• Once the manufacturer receives the estimate, they

choose an NRTL based on factors such as technical knowledge, cost, and delivery time.

• A manufacturer may choose to have more than one

NRTL test a product so that both of the certification marks will appear on the product.

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• The manufacturer then provides product samples and data, such as a materials list, schematic diagrams, and information about the components used in the product.

• The NRTL conducts an initial evaluation of the factory where the product is manufactured to determine if quality procedures and good manufacturing practices are being followed.

• This inspection provides evidence that, in the event of a quality or safety problem, the manufacturer has processes in place to issue a product recall.

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• Upon successful completion of product evaluation and testing, the manufacturer will receive certification confirmation from the NRTL.

• This is typically in the form of a test report, which specifies

that the product does comply with the applicable standards requirements.

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• Once a product is certified, the manufacturer is licensed to

use the appropriate certification mark on the product.

• The NRTL’s mark that appears on the product is the organization that completed the testing, not the organization that wrote the standard to which it was tested.

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• The product is then publicly listed by the NRTL.

• The NRTL conducts periodic follow-up inspections to determine if the certified products remain in compliance with applicable standards.

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NRTL Post Certification Activities • Conduct Factory Audits

– To ensure production compliance to what was originally certified.

• Complete Re-examination Testing – Production samples tagged and sent back to NRTL’s

labs for re-testing, especially for critical tests that are not visually verifiable.

• Perform Marketplace Surveillance – Obtain and re-evaluate products sold in the

marketplace. – Review advertising claims and use of their mark in

promotional materials.


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• All NRTLs test products against the same set of standards, regardless of who wrote or published them.

• For example, since CSA and UL are both NRTLs for electrical products, a floor lamp certified by one laboratory has successfully met the same criteria as a floor lamp certified by the other.

• The certification mark of the NRTL that tested it will appear on the product, not the mark of the organization that developed the standard.

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• Because multiple NRTLs are accredited or recognized to test and certify various types of products, manufacturers have the freedom and flexibility to select an accredited or recognized NRTL for a certification project.

• Since different NRTLs test and evaluate similar products against the same standards, retail buyers can select products based on brand, price, and quality rather than who did the testing evaluation.

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NRTLs currently recognized by OSHA are: • CSA Group (CSA) • Communication Certification Laboratory, Inc. (CCL) • Curtis-Straus LLC (CSL) • FM Approvals LLC (FM) • Intertek Testing Services NA, Inc. (ITSNA) • MET Laboratories, Inc. (MET) • NSF International (NSF) • QPS Evaluation Services Inc. (QPS) • SGS U.S. Testing Company, Inc. (SGSUS) • Southwest Research Institute (SWRI) • TÜV Rheinland PTL, LLC (TUVPTL) • TÜV SÜD America, Inc. (TUVAM) • TÜV SÜD Product Services GmbH (TUVPSG) • TÜV Rheinland of North America, Inc. (TUV) • Underwriters Laboratories Inc. (UL)

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•Independent, not-for-profit, membership association in business since 1919, dedicated to advancing safety, sustainability and social good. •One of the largest Standards Development Organizations in North America. • U.S. headquarters in Cleveland, OH. •Offices and laboratories in California, Connecticut, Georgia, Illinois, North Carolina, Ohio, Tennessee, Texas and Washington. •Over 15,000 companies use CSA’s services to demonstrate compliance. •Over 1 billion products bear the CSA mark.

3,000 Standards and Codes

7,800 expert Committee Members

40% of standards are referenced in government regulation

1,600 highly dedicated staff

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3. NRTLs: CSA Group

3. NRTLs: CSA Group

Alternative Energy & Sustainability

Industrial Products & Hazardous

Location

Appliances & Gas

Consumer Product Evaluation

Plumbing & Construction

Medical, Safety & Technology

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3. NRTLs: FM Approvals

• FM Approvals certifies industrial and commercial products and services for companies worldwide.

• Corporate offices in Johnston, RI. • When a product or service meets the standards of FM

Approvals, it is issued the "FM APPROVED" mark to signify it will perform as expected and support property loss prevention.

• FM Approvals lists more than 45,000 certified products and services in its Approval Guide.

• FM Approvals writes standards as well as testing to other SDOs standards.

Information from www.fmglobal.com

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3. NRTLs: Intertek

• Intertek Group plc is a multinational inspection, product testing and certification company.

• Intertek does not develop standards. • The company started out by offering independent testing

of ships’ cargos in the 1880s. • Headquartered in London, United Kingdom. • Intertek is listed on the London Stock Exchange and is a

constituent of the FTSE 100 Index.

• Information from www.intertek.com

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3. NRTLs: MET Laboratories

• MET Laboratories was founded as Maryland Electrical Testing in 1959. Name changed to MET Electrical Testing Company.

• In 1992, MET changed focus exclusively to testing and certification of electrical products and the name changed to the present MET Laboratories

• MET Laboratories is headquartered in Baltimore, MD and has offices in California, Texas, North Carolina, China, Korea, Taiwan, and Italy.

• MET Laboratories does not write product safety standards but is accredited to test to many other SDOs’ standards.

• Information from www.metlabs.com

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3. NRTLs: NSF International

• NSF International, headquartered in Ann Arbor, MI, is an independent global organization that writes public health standards, and tests and certifies products for the food, water, health science, dietary supplements and consumer goods industries and then tests to these standards or protocols.

• As they expanded services beyond sanitation and into global markets in 1990, name changed to NSF International from the National Sanitation Foundation.

• NSF International has more than 80 public health and safety American National Standards and over 30 protocols developed for appliances, food equipment, drinking water filters and other products.

• Products that meet these standards bear the NSF mark • Information from www.nsf.org

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3. NRTLs: QPS Evaluation Services

• QPS is a nationally and internationally accredited independent third-party testing, certification and field evaluation body headquartered in Toronto, Canada.

• QPS has a full-service office and testing facility in Cleveland, OH and a number of service centers in Canada and the US.

• The company was founded in 1995, and today is the fastest growing privately held firm in the third party testing/certification sector.

• QPS offers testing and certification services to US and Canadian standards and codes, but does not develop standards.

• QPS provides Field Evaluation/Special Inspection services for products destined for the Canadian and US markets.

• Information from www.qps.ca

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3. NRTLs: Underwriters Laboratory

• UL (Underwriters Laboratories) is a safety consulting and certification company headquartered in Northbrook, Illinois.

• It maintains offices in 46 countries. • UL was established in 1894 and has participated in the safety

analysis of many of the last century's new technologies, most notably the public adoption of electricity and the drafting of safety standards for electrical devices and components.

• UL provides safety-related certification, validation, testing, inspection, auditing, advising and training services to a wide range of clients, including manufacturers, retailers, policymakers, regulators, service companies, and consumers.

• Information from www.ul.com

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4. Authorities Having Jurisdiction

• Authority Having Jurisdiction (AHJ) is the governmental agency or sub-agency that regulates the construction process. Typically, this is the building inspector or fire official in the municipality where the building is located.

• AHJs are present at the city, county and state levels.

• 44,000+ jurisdictions in the U.S. decide on the

acceptance of a certification mark.

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4. Authorities Having Jurisdiction • The AHJ interprets the locally adopted codes to

determine if the certification mark on a product is acceptable per the codes.

• AHJs do not want to risk incidents or accidents as they could be held personally liable if there is a product failure in the field.

• AHJs want peace of mind knowing when they see a certification mark on a product that it is safe.

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4. Authorities Having Jurisdiction

• Many AHJs still believe that some marks are only for use in certain countries, i.e. CSA’s mark is only used in Canada.

• Some do not understand the difference between being “listed to XYZ standard” and “listed by XYZ” and believe that that because a standard is referenced in Building Code, products must be certified by XYZ.

Note: For example, no code should ever state that a

product has to be “listed by UL” or “listed by CSA”. It should state “listed by an accredited third-party testing & certification agency” and not name a specific organization.

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Anti-Counterfeiting and Mark Protection

Counterfeit Certification Marks • Not just designer purses, watches and sunglasses. • Counterfeiters infiltrate the global supply chain with

component products integral to manufacturers and end users.

• Examples: – Electrical – light bulbs, holiday lights, circuit breakers, power

bars. – Commercial electrical and gas equipment. – Lighting and ceiling fans. – Plumbing products. – Water purification units. – HVAC. ………to name but a few!

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Economic Consequences

• $650 Billion annually • 5-7% of all global trade • Growth rate 20-25% annually

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Counterfeit Certification Marks

• While counterfeiting products, certification marks of NRTLs are often copied.

• Undermines entire North American system of standards, testing and certification.

• If unchecked, can enable unsafe or deficient products to gain widespread access to North American market.

• Can place consumers at risk of exposure and jeopardize public confidence in legitimate marked products.

• Counterfeit marks pose real threat to acceptance of legitimate marks.

• Counterfeit certification marks deceive buyers into purchasing untested products that could cause serious injury, illness or death.

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CSA has a Global Mark Integrity Team that:

• Investigates incidents involving CSA certified products. • Most other NRTLs do the same counterfeit investigation of

use of their mark. • Issues product recalls and safety notices in cooperation

with manufacturers. • Works closely with law enforcement and customs in North

America and other global regions. • Issues warnings and takes legal action.

“Zero Tolerance Policy”

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Which One is Counterfeit?

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Counterfeit CSA Mark on Power Bar

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Counterfeit CSA Mark on Power Bar

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Counterfeit Circuit Breakers

Investigation Case Study

Case Study – Circuit Breakers

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Counterfeit Legitimate

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Counterfeit Electric Fireplaces

Investigation Case Study

Un-Authorized use of CSA Mark

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•CSA inspector discovered electric fireplace units bearing unauthorized CSA certification marks at a factory in China while conducting a routine inspection.

•The inspector noted that the units bore one company name on the label and another on the packaging. The inspector attempted to quarantine the units for testing, but the manufacturer refused.

Un-Authorized use of CSA Mark

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•Both companies were uncooperative and unwilling to confirm the quantity of units imported and their exact locations.

•A private investigator was hired to confirm that the fireplaces were still being sold despite repeated warnings that they were engaging in illegal activity.

•The private investigator purchased a unit and it was determined that an attempt had been made to cover over the CSA mark on the packaging while leaving the markings on the unit itself.

Recall / APB-04-2012

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NRTLs rely on AHJs to report suspect counterfeit certification marks

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During inspections, how to determine if a product may be counterfeit.

• Certification marks that “don’t look right” or have typos. • Use of non-standard color coding. • Unclear printing and typos on packaging and/or

instruction manuals. • Missing items - discrepancy between contents of product

package and description on package. • If in doubt, report it to the NRTL.

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CSA Mark Awareness Key Contacts

Lisa Reiheld, Manager: [email protected]

1-877-977-2358 ext 88082

Val Madarasz, Program Coordinator:

[email protected]

1-877-977-2358 ext 88396

or [email protected]

1-888-242-9235

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