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Certification Policies for Drinking Water Treatment Systems and Components-03-06-pdf


March 28, 2006

NSF International
Certification Policies for Drinking Water Treatment Systems and Components

March 28, 2006

www.nsf.org

NSF In

ternational, an independent, not-forprofit, non-governmental organization, is dedicated to being the leading global provider of public health and safety-based risk management solutions while serving the interests of all stakeholders.

These Policies are subject to revision. Contact NSF to confirm this revision is current.

Users of these Policies may request clarifications and interpretations, or propose revisions by contacting:
General Manager, Drinking Water Treatment Units c/o NSF International 789 North Dixboro Road, P.O. Box 130140 Ann Arbor, Michigan 48113-0140 USA Phone: (734) 769-8010 Telex: 753215 NSF INTL FAX: (734) 769-0109 E-mail: info@nsf.org Web: http://www.nsf.org

NSF International Certification Policies

Drinking Water Treatment Systems and Components

Developer NSF International Adopted NSF International

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Prepared by NSF’s Drinking Water Treatment Units Program Recommended for Adoption by The NSF Certification Council Adopted by NSF International Revisions to Program Specific Policies March 1, 2006 Revisions to General Policies September 2005 March 28, 2006

Published by NSF International PO Box 130140, Ann Arbor, Michigan 48113-0140, USA
For ordering copies or for making inquiries with regard to these Certification Policies, please reference the designation Certification Policies for Drinking Water Treatment Systems and Components.

Copyright 2006 NSF International All rights reserved.
Unless otherwise specified, no part of this publication may be reproduced or utilized in any form or by any means, electronic or mechanical, including photocopying and microfilm, without permission in writing from NSF International.
Printed in the United States of America.

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Disclaimers NSF, in performing its functions in accordance with its objectives, does not assume or undertake to discharge any responsibility of the manufacturer or any other party. The opinions and findings of NSF represent its professional judgment. NSF shall not be responsible to anyone for the use of or reliance upon these Certification Policies by anyone. NSF shall not incur any obligation or liability for damages, including consequential damages, arising out of or in connection with the use, interpretation of, or reliance upon these Certification Policies. NSF Certification Policies provide basic criteria to promote public health and safety. Provisions for mechanical and electrical safety have not been included in these Certification policies because governmental agencies or other national organizations provide safety requirements. Participation in NSF Certification policy development activities by regulatory agency representatives (federal, local, state) shall not constitute their agency's endorsement of NSF or any of its Certification Policies. Preference is given to the use of performance criteria measurable by examination or testing in NSF Certification Policies development when such performance criteria may reasonably be used in lieu of design, materials, or construction criteria. The illustrations, if provided, are intended to assist in understanding their adjacent standard requirements. However, the illustrations may not include all requirements for a specific product or unit, nor do they show the only method of fabricating such arrangements. Such partial drawings shall not be used to justify improper or incomplete design and construction.

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Foreword1

This edition of the Certification Policies for Drinking Water Treatment Systems and Components contains the following change to the General Policies. They are effective March 28, 2006. – GP - 61. Lead has been revised to state that in general, products in contact with drinking water and food should not contain lead as an intentional ingredient. Program specific policies will address situations where lead content in products is not adequately addressed by regulation or NSF Standards.

The following are revisions to the Program Specific Policies section. These changes are effective March 1, 2006. – – – – – – – Added or revised definitions for Bulk Shipment, Component, and System. PP - 1. Clarified exemption information. PP - 3. Clarified Marking requirements. PP - 17. Revised Hybrid Systems. PP - 28: Clarified timing of submission of literature for Certified products. PP - 31. Clarified delineation of certified and non-certified claims. PP - 35 and PP - 36. Created policies to address Certified components using alternate materials and to address rework material.

This Policy was developed by the NSF Certification Council and Industry Forums. Suggestions for improvement of this Policy are welcome. Comments should be sent to General Manager, Drinking Water Treatment Units, c/o NSF International, Drinking Water Treatment Unit Department, PO Box 130140, Ann Arbor, Michigan 48113-0140, USA.

In September 2005, NSF added forewords to all its certification policies to identify changes to current editions. The forewords will identify whether the changes affected Program Policies, General Policies or both.

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TABLE OF CONTENTS SECTION I. GENERAL POLICIES FOR ALL PRODUCTS PAGE

INTRODUCTION....................................................................................................................................... 1 DEFINITIONS ............................................................................................................................................ 1 AUTHORIZATION FOR CERTIFICATION GP - 1. Eligibility ...................................................................................................................................... 2 GP - 2. Application for NSF Certification................................................................................................. 2 GP - 3. Contract for NSF Certification...................................................................................................... 2 GP - 4. Written Authorization for Certification and Use of the Mark....................................................... 2 GP - 5. Notification of NSF Certification ................................................................................................. 2 GP - 6. Transfer of Authorization for Certification and Use of the Mark ................................................. 2 GP - 7. NSF Acknowledgment of Certified Products ............................................................................... 3 GP - 8. Use of the Mark for Products Shown in the Official Listing ........................................................ 3 GP - 9. Trade Designations ....................................................................................................................... 3 GP - 10. Use of the Mark for New Products ........................................................................................... 3 GP - 11. Use of the Mark at Authorized Production Locations............................................................... 3 GP - 12. Product Modification ................................................................................................................ 3 GP - 13. Implementation of Revisions to Referenced Standards or Regulations .................................... 3 GP - 14. Certification of Distributors ...................................................................................................... 4 GP - 15. Private Labeling of Certified Products...................................................................................... 4 AUDIT GP - 16. GP - 17. GP - 18. GP - 19. GP - 20. GP - 21. GP - 22. TESTING GP - 23. GP - 24. GP - 25. GP - 26. Requirement and Purpose of Audits ......................................................................................... 4 Access for Audits ...................................................................................................................... 4 Cooperation With NSF.............................................................................................................. 4 Sample Collection ..................................................................................................................... 5 Corrective Action Report .......................................................................................................... 5 Audit Suspension Due to Travel Restrictions ........................................................................... 5 Non-Operational Production Locations .................................................................................... 6 Conduct of Testing.................................................................................................................... 6 Test Report................................................................................................................................ 6 Periodic Testing of Certified Products...................................................................................... 6 Disposal of Test Samples.......................................................................................................... 6

RECORDS GP - 27. Documentation Reports............................................................................................................. 7 GP - 28. Company Records of Materials and Components..................................................................... 7 GP - 29. Company Records of Production, Shipment, and Inventory..................................................... 7 GP - 30. Company Records of Complaints About Its Certified Products ............................................... 7 CONFIDENTIALITY Confidentiality .......................................................................................................................... 8 GP - 31. GP - 32. Separate Confidential Disclosure Agreement ........................................................................... 8 GP - 33. Procedures Upon Receipt of Subpoena for Confidential Business Information ....................... 8

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ADVERTISING Use of the Mark: Advertising, Packaging, and Literature........................................................ 8 GP - 34. INVESTIGATION OF COMPLAINTS Complaints ................................................................................................................................ 9 GP - 35. GP - 36. Investigation of Complaints: Sample Selection and Handling.................................................. 9 CORRECTIVE ACTION AND ENFORCEMENT GP - 37. Corrective Action for General Noncompliance ........................................................................ 9 GP - 38. Noncompliant Test Results for Initial Qualification ............................................................... 10 GP - 39. Noncompliant Test Results for Certified Products ................................................................. 10 GP - 40. Enforcement Action for Noncompliant Retest Results for Certified Products ....................... 10 GP - 41. Enforcement Action for Use of the Mark on a Non-Certified Product................................... 10 GP - 42. Enforcement Action for Unauthorized Change to a Certified Product ................................... 10 GP - 43. Enforcement Action for Unauthorized Shipment or Disposal of Products Placed on Hold ... 11 GP - 44. Enforcement Action for Bribes Offered to NSF ..................................................................... 11 GP - 45. Enforcement Action: Recall of Products................................................................................ 11 GP - 46. Enforcement Action: Administrative Hearing ........................................................................ 11 GP - 47. Enforcement Action: Withdrawal of Certification.................................................................. 12 GP - 48. Public Notice........................................................................................................................... 12 GP - 49. Reinstatement.......................................................................................................................... 13 APPEALS GP - 50. GP - 51. GP - 52. GP - 53. FEES GP - 54. GP - 55. GP - 56. GP - 57. GP - 58. GP - 59. GP - 60. Administrative Review ........................................................................................................... 13 Formal Appeal Through an Appeals Officer .......................................................................... 14 Final Appeal by a Panel .......................................................................................................... 15 Legal Action............................................................................................................................ 17 Application Fee ....................................................................................................................... 17 Standards Maintenance Fee .................................................................................................... 17 Certification Fee...................................................................................................................... 17 Reinstatement Fee ................................................................................................................... 17 Additional Charges ................................................................................................................. 18 Collection Fee ......................................................................................................................... 18 Charges by Governmental Agencies....................................................................................... 18

SPECIAL POLICIES GP - 61. Lead......................................................................................................................................... 18 GP - 62. Use of NSF Mark with Accreditation Marks .......................................................................... 18 GP - 63. NSF Certified Products and World Health Organization Collaborating Centre ..................... 19

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SECTION II.

PROGRAM SPECIFIC POLICIES FOR DRINKING WATER TREATMENT SYSTEMS AND COMPONENTS

INTRODUCTION..................................................................................................................................... 21 DEFINITIONS .......................................................................................................................................... 23 MARKING NSF Certification Marks for Drinking Water Treatment Products ......................................... 24 PP - 1. PP - 2. Replacement Element Data Plates........................................................................................... 26 PP - 3. Marking Requirements for NSF Certified Products ................................................................ 26 PP - 4. Use of the Mark on Repackaged Products .............................................................................. 27 PP - 5. Model Designation .................................................................................................................. 27 PP - 6. Product or Component Manufacturing Date Identification..................................................... 27 GENERAL REQUIREMENTS Authorization to Transfer to a New or Unlisted Production Facility ...................................... 27 PP - 7. PP - 8. Authorization of Transfer to a NSF Listed Production Facility .............................................. 28 OFFICIAL LISTING Format – Complete Systems.................................................................................................... 28 PP - 9. PP - 10. Format – Components ............................................................................................................. 28 AUDITS PP - 11. PP - 12. PP - 13. PP - 14. TESTING PP - 15. PP - 16. PP - 17. PP - 18. PP - 19. PP - 20. PP - 21. PP - 22. Scope of Audits ....................................................................................................................... 29 Initial Audits............................................................................................................................ 29 Annual Audits.......................................................................................................................... 29 Audit Requirements of Media Repackagers and/or Distributors............................................. 29 Test Reports............................................................................................................................. 30 General Requirements for Adding Products to the Listing of a Family Group....................... 30 Certification of Hybrid Systems.............................................................................................. 30 Contaminant Reduction Testing for Replacement Treatment Elements/Modules .................. 30 Reevaluation and/or Periodic Testing of Certified Products ................................................... 30 Witness Testing at the Company's Facilities ........................................................................... 30 Disposition of Samples............................................................................................................ 31 Product Modification During Reevaluation Testing ............................................................... 31

INFORMATION REQUIRED FOR CERTIFICATION PP - 23. Deposit for Certification.......................................................................................................... 31 PP - 24. Formulation Information ......................................................................................................... 31 PP - 25. Records of Materials, Compound and Product Formulation Information............................... 32 PP - 26. Design and Engineering Information ...................................................................................... 32 PP - 27. Documentation Reports........................................................................................................... 32 PP - 28. Literature Required by Standard ............................................................................................. 33 PP - 29. Percent Reduction Statements in Literature and Packaging.................................................... 33 PP - 30. Advertising, Promotional Material, Literature and Packaging................................................ 33 PP - 31. Delineation of NSF and Non-NSF Certified Claims ............................................................... 33

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SPECIAL POLICIES PP - 32. Documentation Requirements for “Another Name For” (ANF) Listings ............................... 34 PP - 33. Alternate Materials Exempt from Material Testing ................................................................ 34 PP - 34. New Product Certification; Name Change Only ..................................................................... 34 PP - 35. Certified Components using Alternate Materials .................................................................... 34 PP - 36. Reworked Material .................................................................................................................. 35

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SECTION I.

GENERAL POLICIES FOR ALL PRODUCTS INTRODUCTION

As a public service, NSF International (NSF) offers Certification of Products to any Company, subject to the requirements of the general and program specific policies. The general policies (Section I) apply to all Products being Certified against any Standard, within the scope of an NSF Certification program. There are additional program specific policies (Section II) that further define requirements under each NSF Certification program. The general and program specific policies shall be considered in their entirety, and shall be applied within the context of the Standard referenced in the contract between the Company and NSF. For clarity and ease of reference, these policies are presented as individually numbered items with appropriate headings. DEFINITIONS Company Compliance Contract Certified Product Certification Any public or private organization, group, individual, or other entity contracting with NSF, or a subsidiary or division of such an entity. Conformance with all NSF requirement(s). Any authorized written agreement between the Company and NSF. An authorized agreement is any agreement signed by a corporate officer of NSF. Product authorized by NSF for Certification and use of the Mark. NSF attestation demonstrating that adequate confidence is achieved, that a duly identified product, process, or service is in conformity with all applicable NSF requirements, and the Company is authorized to apply a designated Mark to the Product as long as it continues to conform with all NSF requirements. * THE TERMS “LISTING” OR “LISTED” ARE SYNONYMOUS WITH CERTIFICATION OR CERTIFIED. Mark Noncompliance NSF NSF Requirements A registered NSF Certification Mark. In this instance “registered” means a formal process with an appropriate official agency. Lack of conformance with any NSF requirement. NSF International, its staff, or other authorized representatives. Requirements of the relevant Standards, the general and program specific policies, and any agreements or contracts upon which NSF’s Certification are based. In all instances where this term is used, it is understood this means the requirements that are appropriate and applicable to the specific Product. Any point of final production or assembly. Multiple production locations producing a Certified product that can be audited in one audit day (eight hours) may be considered one production location. 1

Production Location -

Product Public Notice -

Any goods, equipment, component, system, service, material, facility, compound, or ingredient covered by a Standard for which NSF offers Certification. For new Certifications: the issuance of a copy of an Official Listing to a Company that may distribute this information. For enforcement purposes: distribution of a written notice of noncompliance.

Standard -

The document that is the basis for the Certification. This document may be an NSF Standard, an NSF/ANSI Standard, another voluntary standard, an NSF Criteria or other criteria, a government regulation, or other specifications. A laboratory that has been evaluated and contracted by NSF to perform testing for NSF in accordance with NSF requirements and procedures. Conformity testing on the basis of one or more specimens of a product representative of the production. AUTHORIZATION FOR CERTIFICATION

Subcontract Laboratory (SCL) Type Testing -

GP - 1.

Eligibility A Company with Products covered by a Standard for which NSF offers Certification is eligible to have its products certified by NSF. Application for NSF Certification An application provided by NSF shall be submitted by the Company to NSF for each production location. Contract for NSF Certification Prior to authorization for Certification, the Company and NSF shall execute a contract provided by NSF. A separate contract for services is required for each subsidiary or division of a Company requesting a separate Official Listing. Written Authorization for Certification and Use of the Mark NSF and the Marks are registered trademarks of NSF International. No Company or person shall apply or use the Mark in connection with a Product, or represent in any way that the Product is Certified, until receipt of written authorization from NSF. NSF may pursue legal recourse if the Mark is misused. Notification of NSF Certification The Company shall be advised in writing of the Certification, and the Certification shall be made public by NSF. Transfer of Authorization for Certification and Use of the Mark Upon request and with documentation of continued compliance with all applicable NSF requirements, NSF may transfer authorization for continued Certification of specific Products to another Company for the purpose of a name change, change of ownership, or change of a production location.

GP - 2.

GP - 3.

GP - 4.

GP - 5.

GP - 6.

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GP - 7.

NSF Acknowledgment of Certified Products Certified Products shall bear the Mark or be otherwise represented as Certified. For Certified Products that do not bear the Mark, a statement shall be included in the Official Listing indicating how the Product will be represented as being Certified. Use of the Mark for Products Shown in the Official Listing The Company shall represent as Certified, by use of the Mark or otherwise, only Products that are in full compliance with all applicable NSF requirements, and only after the Product has been Certified by NSF. The Company shall place the Mark only on Products with a trade designation or model designation shown in the Official Listing. Trade Designations A Company shall not use the letters “NSF” in its trade designation (e.g., name, model number, or other identification assigned by the Company) for a Certified or Non-Certified Product, unless there is a legitimate reason for doing so, i.e., NSF might mean “non-stick fry pan.” A Company shall not have a trade designation for a Certified Product that directly or indirectly states or implies an end use application for which the Product is not Certified. A Company shall not have a trade designation for a Certified Product that includes the designation of a Standard, (e.g., NSF or ANSI Standard), or official regulation (e.g., the Codex Alimentarius).

GP - 8.

GP - 9.

GP - 10.

Use of the Mark for New Products The Company shall place the Mark only on new Products fully complying with all NSF requirements, unless prior written authorization from NSF allows otherwise. In the context of this policy, “new” means Products manufactured or assembled after the date of authorization for Certification. Use of the Mark at Authorized Production Locations The Mark shall be placed on Products only at authorized production locations, unless prior written authorization from NSF permits placement at another location. Product Modification The Company shall notify NSF in writing prior to any changes related to NSF requirements for a Certified Product. The change shall be reviewed by NSF and the Company advised of any required evaluation or testing. The Company shall not make such changes to a Certified Product without prior written acceptance by NSF. Implementation of Revisions to Referenced Standards or Regulations Upon adoption of a revision to a Standard referenced in the contract for NSF Certification, NSF shall publish an effective date of implementation. All Certified Products shall be verified as complying with the requirements of the revised Standard on or before the effective date of implementation. Products submitted for Certification after the date of adoption of a revision to a Standard and prior to the date of implementation may be evaluated and tested against the previous version of the Standard. However, full compliance with the revision shall be verified prior to the date of implementation.

GP - 11.

GP - 12.

GP - 13.

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GP - 14.

Certification of Distributors A Company distributing a Certified Product with a trade designation other than that of the original manufacturer shall obtain NSF Certification for that product (separate contract and fees are required), or the Company making the Certified Product shall conform to the policy for private labeling. Private Labeling of Certified Products A Company shall be authorized to label Certified Products with another name and trade designation under one of the following provisions: The original Company's name, address, and trade designation shall also be included on the label or data plate, and in any advertising literature (no separate contract or charges are required); or The Company shall include the name and trade designation of the private labeled Product in its Official Listing (no separate contract or charges required); or The Company shall Certify and private label the Product as “Another Name For” the Company (a separate contract and fees are required). A separate Listing shall be issued as “Another Name For” the Company. AUDIT

GP - 15.

GP - 16.

Requirement and Purpose of Audits An onsite audit of all facilities and production locations of the Company may be required before Certification is authorized, and one or more unannounced audits may be conducted each calendar year. However, NSF reserves the right to conduct announced or unannounced audits as needed to monitor for compliance with all NSF requirements. A Company that is Certified for electrical safety shall have one visit each quarter to comply with NSF and the OSHA Nationally Recognized Testing Laboratory program. At the election of NSF, subcontract auditors may be used in lieu of NSF staff auditors. Access for Audits Access to facilities and production locations for NSF audits shall be granted promptly by the Company. NSF shall make every attempt to accommodate facility vacations, inventory shutdowns and other non-productive periods or facility closings where NSF has been notified in advance. NSF shall be granted access to all facilities and production locations of the Company, except where precluded from doing so by restrictions included in agreements between the Company and NSF or by government regulations, and where NSF has been notified in advance and is satisfied as to the validity of these restrictions. Refused or delayed access may result in withdrawal of Certification and in other appropriate actions by NSF including but not limited to, issuing a public notice. Cooperation With NSF Audit and sampling of Products by NSF is for the benefit of the Company as well as in the public interest. While engaged in the performance of these duties, NSF shall be given every assistance necessary, and shall have the right to examine all records bearing upon the duties and responsibilities of NSF or the Company with respect to compliance with NSF requirements. No NSF representative shall be required, nor authorized to make any agreements, waive any rights or privileges, or enter into any compromises as a condition of

GP - 17.

GP - 18.

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audit. While in a Company's facility, NSF representatives shall comply with all applicable health and safety rules and be accompanied by authorized Company personnel. NSF auditors may discontinue an audit at a site where their health and safety may be at risk, if they are subject to sexual harassment or discrimination, or the conduct of the Company staff hampers the completion of a valid audit. The Company may, at any time for any reason, require that an auditor of NSF leave the facilities of the Company. An auditor shall immediately notify executive management of the Company and NSF if an audit is to be discontinued. If an audit is terminated its status is “attempted.” GP - 19. Sample Collection The Company shall permit NSF to select samples for testing and retesting. The samples shall be provided without charge, appropriately identified by NSF, and shipped immediately prepaid by the Company. If samples are not received within 45 days from collection, a special audit shall be conducted to recollect samples. The Company shall bear the cost for expenses and staff time associated with the audit. It is acknowledged that samples collected outside the United States may experience delays in customs and transit. It is the Company’s responsibility to provide written notice to NSF if the receipt of the sample will exceed 45 days from collection. Corrective Action Report NSF shall provide the Company with a report detailing all nonconformities noted during the audit within five business days of the closing meeting. Note: While it is anticipated that NSF can provide most Corrective Action reports within one business day, for audit locations having limited internet access, this process may require up to five business days. GP - 21. Audit Suspension Due to Travel Restrictions NSF may elect to suspend travel by its representatives to a specific geographical location or region as the result of official travel warnings, advisories, or other health and safety concerns including, but not limited to, civil unrest, personal security, and risk of communicable disease. If suspension of travel prevents initial or on-going monitoring audits from being conducted, NSF shall notify the Company that travel has been suspended. This notification shall include alternate measures necessary in order for NSF to verify compliance during the period in which audits are not possible. These measures may include, but are not limited to: Identification and use of alternate sampling locations; Submittal of production, shipping, and quality control records; Submittal of material and formulation records; or Submittal of quality control manual. Additionally, the public Listing of the Products at the affected facility shall include the following footnote: Note: NSF has not conducted production control audits at this facility. Product Listing is based on type testing [ISO/IEC Guide 2: 1996(E/F/R) 14.5].

GP - 20.

A Company’s failure to comply with the alternate measures necessary to verify compliance shall result the withdrawal of Certification until such time as compliance can be verified.

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When NSF determines that the travel suspension is no longer warranted, the Company shall be notified that the travel suspension has been lifted and that audits will again be conducted. GP - 22. Non-Operational Production Locations In the event that a production location becomes non-operational due to a natural disaster or other catastrophic event, the Company may request that the public Listing be maintained for a maximum period of 12 months while the production location is repaired, or work is undertaken to transfer production to another suitable location. During this period, audits and annual monitoring requirements of the NSF Certification program may be suspended. NSF may require an on-site audit of the rebuilt or the alternate production location before production of the Certified Product can begin. In event that the Company elects not to transfer production or to re-build the facility, the Listing shall be discontinued immediately. The Company shall document to NSF’s satisfaction that a production location has been sufficiently damaged to prevent further production until repairs are completed and shall provide NSF with a time frame for transfer or re-construction of the production location. TESTING GP - 23. Conduct of Testing At the election of NSF, testing shall be conducted at one or more of the following locations: NSF; The Company's facilities under NSF's supervision; A subcontract laboratory; or Another site or arrangement acceptable to NSF. GP - 24. Test Report Upon completion of testing, NSF shall provide pertinent data and test results to the Company. When a subcontract laboratory is used, for proprietary reasons NSF reserves the right not to identify the subcontract laboratory in the test report, but shall provide this information to the Company if requested. Periodic Testing of Certified Products Periodic testing of Certified Products by NSF may be required to maintain Certification. The frequency of testing shall be sufficient to monitor for compliance with all NSF requirements. Disposal of Test Samples NSF reserves the right to retain any samples for archive purposes. All test samples not returned to the Company shall be disposed of by NSF in accordance with all applicable federal, state, and local laws, statutory regulations, rules, ordinances and orders. A Company, after acknowledging the test failure of a specific sample, may, upon written request to NSF, have access to examine or disassemble that product at NSF to determine the reason for failure.

GP - 25.

GP - 26.

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RECORDS GP - 27. Documentation Reports A Company shall submit sufficient information to NSF that documents that a Product (or family of Products) fully conforms with all applicable requirements for Certification (Documentation Report). The Documentation Report shall be reviewed by NSF and, if acceptable, shall be Registered by NSF. A Registered copy shall be maintained by NSF and at each production location for use by NSF to verify that there are no changes to the Product. For Products with a Registered documentation report, periodic testings by NSF may not be required for continuing Certification. The Documentation Report shall not be copied or distributed by the Company without prior written authorization from NSF. Company Records of Materials and Components The Company shall maintain, at the production location, records of the purchase of ingredients, materials, and components used in the production and/or assembly of all Certified Products. Such records shall be made available to NSF upon request. These records shall be maintained for a minimum of the preceding three (3) year period, and as specified in program specific policies. Company Records of Production, Shipment, and Inventory The Company shall keep up-to-date records of production, shipment, and inventory of Certified Products at the production location. Upon request, the Company shall provide NSF prompt and full access to such records. These records shall be maintained and made available for the preceding three (3) year period. Company Records of Complaints About Its Certified Products The Company shall retain a record of complaints and remedial actions taken by the Company since the last on-site audit performed by NSF, and shall make the record available to NSF upon request. All complaints received by the Company, the subject of which is under the Company's control, and referring to Certified Products or services covered by the scope of the Certification provided by NSF, are included in this policy. At a minimum, the record shall include: The nature of the complaint; Identification of the Product and/or services pertinent to the complaint; Confirmation that remedial action(s) have been taken; and The status (open or closed) of the complaint, as known to the Company. More detailed information and the identity of the complainant need not be provided to NSF. All records and other information provided to NSF shall remain the property of the Company and be handled by NSF as confidential information. If the complaint record required by this policy is not retained by the Company at the facility location being audited, NSF shall be advised by the Company in writing of the location of the record. The Company shall provide the record to NSF upon request by whatever means selected by NSF.

GP - 28.

GP - 29.

GP - 30.

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CONFIDENTIALITY GP - 31. Confidentiality NSF shall not disclose without the Company's prior written consent and shall keep confidential any information supplied to it by the Company about the Company and its Products, including formulations, components, processes, ingredients, or the identity of the Company's suppliers or vendors. NSF shall keep confidential all information regarding procedures and equipment gained during facility audits. NSF shall release information required by law to be disclosed. NSF shall release the information only to those persons or agencies authorized or required by law to receive such information. Confidentiality does not apply to any information known to NSF independently, generally available to the public, or obtained by NSF from a third party under no obligation to the Company not to disclose said information. Separate Confidential Disclosure Agreement Upon request by the Company, NSF may execute a separate, uniform, and standard written confidential disclosure agreement with the Company or with the Company's supplier(s). Procedures Upon Receipt of Subpoena for Confidential Business Information NSF shall notify the Company promptly of a subpoena or request for production of the Company's confidential business information, seek the Company's consent to release the information, and inquire whether the Company asserts a proprietary interest in the information. If the Company does not assert a proprietary interest, NSF shall release the information to parties requesting the information. The Company shall reimburse NSF for all reasonable expenses related to responding to the subpoena or request. If the Company advises that it does assert a proprietary interest and does not consent to release, NSF and the Company shall, through designated counsel, take appropriate steps to quash the subpoena or request, including the filing of motions and attendance at hearings where necessary. Such steps shall be taken at the Company's expense, including attorney's fees. If the Court orders release of the information covered by the subpoena or production request, NSF shall release the information only to parties entitled by the Court's order to receive such information. ADVERTISING GP - 34. Use of the Mark: Advertising, Packaging, and Literature Use of a Mark on sales literature, technical publications, promotions, materials, packaging, catalogs, and in advertising of Certified Products is acceptable, provided the Company complies with the following: The Company shall code literature and packaging to indicate version date; The Company shall not directly or indirectly represent, advertise, imply, or claim that any of its non-Certified Products are Certified by NSF; The Company shall not directly or indirectly represent, advertise, imply, or claim that any Product is Certified for an end use application for which it is not Certified; and Advertising Products as Certified by a party other than the Company is acceptable, provided the party complies with these requirements, and includes the name of the Company whose products are Certified and are being advertised, and the trade

GP - 32.

GP - 33.

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designation and/or model designation of the Certified Products, or includes specific instructions to obtain the name of the Company and the trade designation and/or model designation of the Certified Products. INVESTIGATION OF COMPLAINTS GP - 35. Complaints NSF shall investigate complaints related to Certified Products, misuse of a Mark by a Company, or use/misuse of a Mark by any party. A Request for Investigation (RFI) form provided by NSF shall be completed and signed by the complainant. NSF shall acknowledge receipt of an RFI, investigate the complaint, and take appropriate action. NSF may advise the subject of the complaint of the allegation. NSF shall confirm to the complainant that the allegation has, or has not, been verified as valid. NSF is not obligated to disclose any additional information concerning corrective actions. If the complaint is not verified as valid, NSF may require the complainant to bear the costs of the investigation. If the complaint is verified as valid, the subject of the complaint shall be responsible for the costs of the investigation. GP - 36. Investigation of Complaints: Sample Selection and Handling NSF shall not test for enforcement purposes, any samples submitted by a complainant, or select samples for testing that are under the control or influence of the complainant, or test samples if NSF has reason to believe that the samples may have been altered in a way that may affect the outcome. Samples for testing for enforcement purposes shall be selected by NSF and handled in accordance with established procedures. CORRECTIVE ACTION AND ENFORCEMENT GP - 37. Corrective Action for General Noncompliance A Company shall be advised in writing by NSF of all items of noncompliance. The Company shall promptly (or within a reasonable time agreed to by NSF), effect correction of all items of noncompliance. The Company shall submit, in writing within 30 days of the date of receipt of written notice, a root cause analysis, an explanation of corrective action, and a preventive action plan. NSF shall verify compliance. Note: To prevent any misunderstanding, this policy does not relieve a Company of its continuing responsibility to use the Mark (or otherwise represent as Certified) only on Products complying with all NSF requirements. The 30 days applies to the report, not to the date for corrective action.

For the first occurrence, NSF may require the Product to be held until the corrective action is authorized; For a recurrence within a period of two years, NSF may order an administrative hearing; and For a third occurrence within a period of two years, NSF may withdraw Certification for all Products for the production location. Other appropriate action may be taken by NSF including, but not limited to, ordering a Product recall and issuing a public notice.

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GP - 38.

Noncompliant Test Results for Initial Qualification Upon receipt of written notification from NSF that an initial qualification test of a Product is noncompliant, the Company shall notify NSF of its decision regarding the resolution of the noncompliant test. If the company elects to pursue further testing of the Product under the same test conditions as those resulting in the noncompliance, the Company may request retesting after NSF reviews and accepts the Company’s investigation into the cause of the noncompliant test. Noncompliant Test Results for Certified Products Upon receipt of written notification from NSF that the results of its testing of a Certified Product are noncompliant, the Company shall promptly take reasonable measures to prevent use of the Mark on any noncomplying Product. The measures shall include: Investigation to determine that any continuing production is in compliance and Review of inventory of Product bearing the Mark to verify that it is in compliance. The Company shall determine the cause of the NSF noncompliant results, and provide to NSF a written proposed resolution to the identified noncompliance within 30 days of notification of noncompliance. NSF shall retest the Product and verify the proposed resolution addresses the noncompliance. The Company shall be responsible for any additional costs necessary to verify compliance. Note: This policy does not relieve a Company of its continuing responsibility to use the Mark (or otherwise represent as Certified) only on Products complying with all NSF requirements. The 30 days applies to the report, not to the date of corrective action.

GP - 39.

GP - 40.

Enforcement Action for Noncompliant Retest Results for Certified Products If the results of retesting of a Certified Product due to failure are “noncompliant,” NSF shall withdraw Certification of the Product. Other appropriate action may be taken by NSF including, but not limited to, ordering a Product recall and issuing a Public Notice. Enforcement Action for Use of the Mark on a Non-Certified Product NSF may order an administrative hearing to determine the appropriate response to use of the Mark on a non-Certified product. For a second such occurrence within a period of two years, NSF may withdraw Certification for all Products for the production location. Other appropriate action may be taken by NSF including, but not limited to, ordering a Product recall and issuing a Public Notice. Enforcement Action for Unauthorized Change to a Certified Product Upon determination by NSF of unauthorized changes related to NSF requirements for a Certified Product (including, but not limited to, changes in design, components, or materials), the Company shall hold the changed Product in its inventory until released by NSF in writing. Other appropriate action may be taken by NSF including, but not limited to, ordering a Product recall and issuing a Public Notice. For the first occurrence, NSF may require the Product to be held until the change is authorized; For recurrence within a period of two years, NSF may order an administrative hearing; and

GP - 41.

GP - 42.

10

For a third occurrence within a period of two years, NSF may withdraw Certification for all Products for the production location. Other appropriate action may be taken by NSF including, but not limited to, ordering a Product recall and issuing a Public Notice. GP - 43. Enforcement Action for Unauthorized Shipment or Disposal of Products Placed on Hold NSF shall order an administrative hearing for unauthorized shipment or disposal of Products placed on hold by NSF. Such action by a Company may result in withdrawal of Certification. For a second occurrence within two years, NSF shall withdraw Certification for all Products for the production location. Other appropriate action may be taken by NSF including, but not limited to, ordering a Product recall and issuing a Public Notice. Enforcement Action for Bribes Offered to NSF Any attempt by a Company or its employees or agents to offer inducement or bribes to NSF may result in immediate withdrawal of Certification and/or other action deemed appropriate by NSF, including issuing a public notice. Enforcement Action: Recall of Products NSF may order the recall of Products from distribution if Products bear the Mark or are represented as Certified, but do not comply with all NSF requirements. The Company shall furnish to NSF, or at the option of NSF, permit prompt and full access to: Its production records to determine quantity and dates of production, and marking (identification) on Products; and Its shipping records to identify customers receiving the Products, quantity and dates of shipment, and marking (identification) on Products. The Company, at the request of NSF, shall in good faith draft a voluntary recall notice, acceptable to NSF, and promptly transmit the notice to each known purchaser and recipient of the Product. The Company shall provide satisfactory evidence to NSF that each customer received the recall notice. The Company shall provide evidence satisfactory to NSF that the recall notice was received by each customer, identify the quantity of Products returned from each customer, marking (identification) of the Products returned, and dates returned. The Company shall hold the inventory of returned Products for verification by NSF. If the recall is incomplete or cannot be conducted, NSF may make public notice of the recall. GP - 46. Enforcement Action: Administrative Hearing As a result of a Company's non-compliance, NSF may order the Company to appear at an administrative hearing. The purpose of the hearing is to review the noncompliance and to specify conditions for continued Certification, which may include, but is not limited to, increased monitoring by NSF. The Company shall be represented at the hearing by a person with authority to speak and act for the Company. The Company may have other representatives present, including legal counsel. However, the Company shall notify NSF, at least five days before the hearing or other time as specified by NSF, of the name and title or position of any and all Company representatives, agents, employees, or counselors who plan to attend the hearing. If the Company chooses to have legal counsel present at the hearing, NSF reserves the right to ask its counsel to attend as well.

GP - 44.

GP - 45.

11

If the Company does not attend, is represented by a person without authority to act for the Company, or is represented by any person(s) without prior notice to NSF, the hearing may be canceled and Certification may be withdrawn. Other appropriate action may be taken by NSF, including, but not limited to, Product recall and public notice. If the Company does not agree to the conditions for continued Certification, Certification shall be withdrawn. Again, other appropriate action may be taken by NSF, including, but not limited to, ordering a Product recall and issuing a public notice. The Company shall be responsible for the costs of the hearing, including NSF travel costs and reasonable attorneys' fees necessitated by the Company electing to have its legal counsel at the hearing. GP - 47. Enforcement Action: Withdrawal of Certification NSF may withdraw Certification of any Product, at any time, for failure to comply with any NSF requirements. NSF shall notify the Company, in writing, of withdrawal of Certification. Upon notice by NSF (whether written or oral) to the Company of withdrawal of Certification, the Company shall immediately stop applying the Mark to the Product. If directed by NSF, the Company shall notify its distributors and outlets that the Certification has been withdrawn. The Company shall confirm these actions to NSF. NSF may make public notice of withdrawal of Certification and the reason for such action. Upon withdrawal of Certification of a Product, NSF may require the Company to isolate, dispose of, modify, or destroy the entire Product, by means acceptable to NSF, to assure that it is not sold, used, or represented as Certified. The disposal, modification, or destruction of the Product shall be completed within 20 calendar days of notification to dispose. NSF shall verify the disposal. Upon withdrawal of Certification of all Products, NSF may require the Company to dispose of, modify, destroy, or surrender to NSF all Marks, marking devices, and marked materials, by means acceptable to NSF. The disposal, modification, destruction, or surrender of the Marks and/or marked materials shall be completed within 20 calendar days after NSF notifies the Company that it requires the action, and shall be at the Company's expense. No credit or refunds shall be provided for Marks disposed of, modified, destroyed, or surrendered. The Company shall confirm the disposal in writing to NSF, and shall also acknowledge in writing that it is not authorized to use the Mark or otherwise represent that any of its Products are Certified. GP - 48. Public Notice NSF may issue a public notice for noncompliance with any NSF requirement. The Company shall cooperate in good faith with NSF in determining who should receive copies of a public notice. The content and distribution of the notice shall be in accordance with the following conditions for a Class I, II, or III notice. A Class I notice shall be issued for a noncomplying Product that, in the opinion of NSF, has a high risk of causing serious, adverse health consequences or death (e.g., acute toxicity, reproductive toxicity). If the Product is not under the direct control of the Company for immediate and complete recall (within 48 hours), NSF shall issue a notice that includes the name of the Company, a description of the Product, including its trade or model designation, and may explain the cause for concern.

12

NSF shall issue a press release of the notice to appropriate print and broadcast media. NSF shall distribute a written notice to those appropriate persons, agencies and entities, which may include known purchasers and recipients of the Product, appropriate federal, state, and local regulatory officials in the United States and other countries, NSF's Council of Public Health Consultants, the appropriate Joint Committee(s), Certified Companies, and other individuals routinely receiving the appropriate Certification information. A Class II notice may be issued for a noncomplying Product that poses a known risk of long- or short-term adverse health consequences (e.g., contributing levels of toxic substances to food or water that exceed regulated or established maximum acceptable levels). The notice shall include the name of the Company, a description of the Product, including its trade or model designation, and may explain the cause for concern. NSF may distribute a written notice to those appropriate persons, agencies, and entities, which may include known purchasers and recipients of the Product, appropriate federal, state, and local regulatory officials in the United States and other countries, NSF's Council of Public Health Consultants, the appropriate Joint Committee(s), Certified Companies, and other individuals routinely receiving the appropriate Certification information. A Class III notice may be issued for noncompliance that, in the opinion of NSF, is unlikely to pose any adverse health consequence. The notice shall include the name of the Company, a description of the Product, including its trade or model designation, and state the Certification status of the Company and its Product(s). NSF may distribute a written notice to those appropriate persons, agencies, and entities, which may include known purchasers or recipients of the Product, NSF's Council of Public Health Consultants, the appropriate Joint Committee(s), Certified Companies, and other individuals routinely receiving the appropriate Certification information. GP - 49. Reinstatement Following withdrawal of Certification, Products may not be re-Certified until NSF has reevaluated and/or retested the Product, has verified that all items of noncompliance have been satisfactorily resolved, and has notified the Company in writing that it is authorized to use the Mark in connection with the Product. The Company shall be responsible for any fees associated with reinstatement, and for any additional costs necessary to verify compliance with NSF requirements. APPEALS GP - 50. Administrative Review A Company, or any other party, directly affected by a decision or action of NSF related to Certification by NSF, including investigation of complaints, may request an administrative review. The request shall be in writing to the Secretariat, Certification Council of NSF, and state the reasons for requesting the review. The request shall be acknowledged within 10 calendar days of receipt, and shall state the name of the NSF staff person assigned to conduct the review. NSF shall contact, inform and advise the Company impacted by the request if different from the party requesting the administrative review. NSF may, at its discretion, hold in abeyance any enforcement action against a Company until the administrative review has

13

been conducted. A request for an administrative review shall not entitle the requesting party to be provided any information to which it is not otherwise entitled by applicable law, regulation, NSF policy, or NSF procedure. NSF shall, within 30 calendar days of receipt of the written request, inform the Company or the party in writing of the results of the review. GP - 51. Formal Appeal Through an Appeals Officer A Company, or any other party, directly affected by a decision or action of NSF related to Certification by NSF that has requested and been granted an administrative review, but that is not satisfied with the results of the administrative review, may request a formal appeal. If the formal appeal directly impacts a Company that has not submitted the request, NSF shall request that the Company be involved in the formal appeal process. 1.) The request for formal appeal shall: Be in writing to the President of NSF; Be received at NSF within 30 calendar days of receipt of written notification by NSF of the results of the administrative review; and Indicate reasons why the action is being disputed. Along with the request, the appellant shall pay $5,000.00 U.S. to NSF for NSF's fee for the formal appeal. If the decision of the President is for the appellant, NSF shall reimburse this payment to the appellant. 2.) The request for formal appeal shall be acknowledged by NSF within 10 calendar days of receipt. NSF shall notify the Company directly impacted by the request for a formal appeal if different from the Company or party making the request. The request may be rejected if, in the opinion of the President of NSF, the Company or the party is not directly affected by the action. NSF may, at its discretion, hold in abeyance any enforcement action against a Company until a decision has been made in response to this appeal. If the President determines that the appeal relates primarily to the language of an NSF Standard or application or an interpretation thereof, and cannot be resolved to the satisfaction of the appellant by NSF staff, the President may refer the appeal to the NSF Joint Committee with jurisdiction for the Standard (reference NSF Standards Development and Maintenance Policies). If the President determines that the appeal relates primarily to the language of an NSF Certification policy or an application or interpretation thereof, and cannot be resolved to the satisfaction of the appellant by NSF staff, the President may refer the appeal to the NSF Certification Council (reference NSF Certification Council Policies). If the appeal has not been referred to the Joint Committee or Certification Council and cannot be resolved by NSF staff to the satisfaction of the appellant, the President shall appoint an appeals officer. The appeals officer shall be from NSF staff and have had no direct involvement in the NSF action being appealed. The appellant and NSF shall support their positions in writing to the President of NSF. The appellant and NSF shall send three copies of the written submittals to the President of NSF within 45 calendar days of receipt of NSF’s acknowledgment of the formal appeal. Written submittals are limited to 50 pages, including appended referenced documentation. Supporting documentation, as appropriate, should be made a part of the written submittal, and may include notes, correspondence, memoranda, legal or technical opinions, Standards, policies, or any other items that

3.)

4.)

5.)

14

bear on or relate to NSF’s disputed decision, so long as the documents are not protected by confidentiality agreements that prohibit their disclosure. If the formal appeal has a direct impact on a Company not requesting the formal appeal, the Company shall be provided the written submittals and be provided the opportunity to provide written response within 30 calendar days of receipt of the documents. The President shall, within seven calendar days of receipt, distribute the written submittals to the appeals officer, the appellant and the NSF representative, and shall set a meeting date. Unless otherwise agreed to by both parties, the meeting shall occur within 30 days of distribution of the written submittals. The formal appeal meeting is not a legal hearing. Each party will be represented by one person only for the purposes of oral presentations. Legal counsel may not attend. Up to four representatives of each party will be permitted, inclusive of the respective presenter. There shall be no electronic recording or verbatim transcription of the proceedings unless agreed to in advance by both parties. Each party will be provided one hour for oral presentation. Questions by the appeals officer may follow. Each party will be provided 20 minutes for rebuttal. The appeals officer shall provide a written recommendation to the President within 15 calendar days of the meeting. The President's decision shall be transmitted in writing to both parties within 30 calendar days of the meeting. NSF may, at its discretion, hold in abeyance any action required as a result of the formal appeal during the time prescribed in the policy for requesting a final appeal. GP - 52. Final Appeal by a Panel The appellant may request a final appeal by an appeals panel if it is not satisfied with the decision of the formal appeal. A final appeal shall not be recognized (or acknowledged) until completion of a formal appeal. If the formal appeal directly impacts a Company that has not submitted the request for the final appeal, NSF shall request that the Company be involved in the final appeal process. 1.) The request for final appeal shall: Be a written appeal to the President of NSF; Be received at NSF within 30 calendar days of receipt of written notice of the President's decision of the formal appeal; and Indicate the reasons why the decision of the formal appeal is being disputed. Along with the request, the appellant shall pay $10,000.00 U.S. to NSF for NSF's fee for the appeal. NSF shall compensate each appeals panel member $1,000.00 U.S. and pay for the travel, housing, and meal expenses of the panel members to attend the meeting. If the decision of the President is for the appellant, NSF shall reimburse this payment, and the payment for the formal appeal, to the appellant. 2.) The request for the final appeal shall be acknowledged by NSF within 10 calendar days of receipt. NSF may, at its discretion, hold in abeyance any enforcement action against a Company until a decision has been made in response to this appeal.

15

3.)

The final appeal shall be heard by a three-member appeals panel. The appeals panel shall be appointed by the Chair of the Certification Council from a list of acceptable candidates agreed to by both parties and the Company impacted by the decision, if different from the requestor of the final appeal. Within 10 calendar days of receipt of the acknowledgment letter, each party shall submit, to the Secretariat of the Certification Council, a list of names of five candidates to serve on the appeals panel. The candidates shall have had no direct involvement with the action being appealed. The Secretariat of the Certification Council shall provide to each party a list of candidates for the appeals panel that shall include all members of the Certification Council and the names of the additional candidates submitted by the appellant and NSF. Each party shall within 10 calendar days of receipt of the list, cross off any names it objects to, and return the list to the Secretariat of the Certification Council. The appeals panel shall be appointed by the Chair of the Certification Council from the marked-up list of candidates provided by each party. If any panel member declines the appointment, the Chair of the Certification Council shall appoint another panel member from the lists.

4.)

Before the appeal may go forward, the appellant shall agree in writing to hold harmless, defend, and indemnify each member of the appeals panel for matters arising out of the appeals process. Each party shall prepare a written submittal supporting its position but is limited to addressing the decision of the formal appeal or the issues in the written submittals presented in the formal appeal. New information supporting the issues presented in the formal appeal may be provided, but the appellant and NSF shall not raise any new issues. The Secretariat of the Certification Council shall receive five copies of the written submittals within 15 calendar days of the acknowledgment. Written submittals are limited to 10 pages maximum, including references and documentation, which shall be considered with the written submittals provided for the formal appeal. Supporting documentation, as appropriate, shall be made a part of the written submittal and may include notes, correspondence, memoranda, legal or technical opinions, Standards, policies, or any other items that bear on or relate to NSF's disputed decision, so long as the documents are not protected by confidentiality agreements that prohibit their disclosure. The Secretariat of the Certification Council shall, within seven calendar days of receipt, distribute the written submittals to both parties and each member of the appeals panel, and set a meeting date. Unless otherwise agreed to by both parties and the appeals panel members, the meeting shall occur within 30 days of distribution of the written submittals. The final appeal meeting is not a legal hearing, and may not involve legal counsel except with the advance agreement of both parties. If agreed, each party may have legal counsel present, but the oral argument shall not be made by the legal counsel. Each party shall be represented by one person only for purposes of the oral presentations and rebuttal. Up to four representatives of each party shall be permitted to attend, inclusive of the respective presenter and legal counsel. There shall be no electronic recording or verbatim transcription of the proceedings unless agreed to in advance by both parties. Unless otherwise agreed to by both parties, the Secretariat of the Certification Council shall provide administrative support to the appeals panel, and shall attend the meeting for the purpose of assuring proper conduct of the meeting. In this capacity, the Secretariat shall not be considered one of the representatives of NSF as it relates to the 16

5.)

6.)

7.)

8.)

subject matter of the appeal, and the Secretariat shall not question any presenters, participate in discussions, or otherwise influence the decision of the panel. 9.) If appeals panelists do not agree, the majority opinion shall be reported. The appeals panel shall provide a written recommendation to the President, endorsed by at least two of the appeals panel members, within 15 days of the meeting. Note: By intent, there is no chair of the appeals panel. If there is a unanimous or majority recommendation, the panel members shall agree upon one member to write the opinion; however, the final recommendation shall be agreed to and signed by all concurring panel members.

10.) The President's decision shall be transmitted in writing to both parties within 30 calendar days of the meeting. The appellant shall be advised that they have the option to pursue additional appeals of the decision through those accreditation bodies that NSF maintains accreditations. GP - 53. Legal Action The Company shall hold in abeyance any formal legal action against NSF until such time that all appeal mechanisms available have been exhausted. FEES GP - 54. Application Fee The Company shall submit payment of the application fee, if applicable, with the signed application form. This fee, if applicable, shall be paid once by each Company for each NSF program. For conglomerates and large corporations with operating subsidiaries or independent divisions desiring separate Certification (and invoicing), the fee shall be paid by each subsidiary or independent division. This fee is nonrefundable. Charges for services for initial Certification (including audits, toxicological assessments, tests, or evaluations) shall be invoiced as services are provided. GP - 55. Standards Maintenance Fee An annual standards maintenance fee, if applicable, shall be charged to each Certified Company for each program area in which it participates. Each Company shall be invoiced annually, on or about December 1; the invoice shall be dated January 1, payable 30 days net. Certification Fee For initial Certification, the Company shall submit payment of the Certification fee and any outstanding fees (e.g., audit, toxicological assessment, testing or evaluation) prior to the Official Certification being granted. The Company shall be responsible on an annual basis for continued conformance and for fees for continued Certification. The Company shall be invoiced for annual services for a calendar year on or about December 1 of each preceding year; the invoice shall be dated January 1, payable 30 days net. The Certification fee shall be paid for each facility location for each Standard. Reinstatement Fee The Company shall be invoiced and pay for reinstatement of a Certified Product (a single item, a Product line, or a series) that was decertified for noncompliance, after satisfactory corrective action has been taken and NSF has verified compliance and recertified the Product.

GP - 56.

GP - 57.

17

GP - 58.

Additional Charges The Company shall be responsible for any additional fees and costs incurred by NSF to monitor the Company's compliance with NSF requirements. Collection Fee The Company shall be responsible for any fees and costs incurred by NSF in collection of fees in arrears. Charges by Governmental Agencies The Company is responsible to pay, without any corresponding withholding from NSF, any and all taxes and fees (e.g., taxes or fees for currency transactions) that may be imposed by any and all governmental agencies outside of the United States, having jurisdiction over the transaction. SPECIAL POLICIES Lead To the maximum extent possible, lead should not be added as an intentional ingredient in any Product contacting food or drinking water. Restrictions on the use of lead as an intentional additive in Products covered by NSF Certification programs shall be addressed by program specific certification policies, as applicable. Use of NSF Mark with Accreditation Marks A Company with Products Certified by NSF, for a Certification program that is accredited by the American National Standards Institute (ANSI) and/or by the Standards Council of Canada (SCC), may use the Accreditation Mark in combination with the NSF Mark only as follows: The Accreditation Mark(s) shall be used in a manner that clearly communicates the accreditation and not imply that the product is certified by the accreditation body. Accreditation Mark(s) shall be in a smaller size than the NSF Certification Mark, shall be placed in direct proximity to the NSF Certification Mark, and shall state, “The NSF Certification program is accredited by (state either “Standards Council of Canada” or “ANSI” or both),” or equivalent language. Accreditation Mark(s) shall only be used on a Company's literature or marketing materials. The ANSI and SCC Accreditation Marks shall not be used directly on Products or Product packaging. However, ANSI and SCC Marks may be used on literature, letterhead and marketing materials.

GP - 59.

GP - 60.

GP - 61.

GP - 62.

18

The ANSI Accredited Certification Program Mark

NSF’s Certification Program is accredited by the American National Standards Institute

The SCC Accredited Certification Program Mark

NSF’s Certification Program is accredited by the Standards Council of Canada

Both Accredited Certification Program Marks

NSF’s Certification Program is accredited by the Standards Council of Canada

NSF’s Certification Program is accredited by the American National Standards Institute

NSF marks can be downloaded from the NSF Web site at http:/www.nsf.org/mark. For information on the use of the ANSI Mark on letterhead, please refer to section 5.5 of “Rules for Governing the Use of the Logo” through the ANSI Web site at www.ansi.org. GP - 63. NSF Certified Products and World Health Organization Collaborating Centre A Company shall not mention NSF’s World Health Organization Collaborating Centre status or use the World Health Organization (WHO) logo in connection with NSF Certified Products.

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20

SECTION II.

PROGRAM SPECIFIC POLICIES FOR DRINKING WATER TREATMENT SYSTEMS AND COMPONENTS INTRODUCTION

The NSF International (NSF) Drinking Water Treatment Unit (DWTU) program verifies that a Product certified to one of the following seven DWTU Standards meets the minimum requirements for that Product type. NSF/ANSI 42 DWTU - Aesthetic Effects NSF/ANSI 53 DWTU - Health Effects NSF/ANSI 44 Residential Cation Exchange Water Softeners NSF/ANSI 55 Ultraviolet Light NSF/ANSI 58 Reverse Osmosis NSF/ANSI 62 Distillation NSF/ANSI 177 Shower Filtration Systems - Aesthetic Effects Complete systems must meet the following requirements: material extraction, structural integrity (if it is a plumbed-in system), literature, and minimally one reduction claim. Components are required to meet the material extraction requirements, and if a pressure bearing component, the structural integrity requirements of the associated standard. Material extraction consists of an in-depth review of all materials in contact with drinking water. The intent of the material extraction review is to ensure that no contaminants are being added to the water by the treatment device. This is accomplished through a two-part evaluation: formulation review of all wetted materials of the water treatment device, followed by extraction testing. Extraction results are compared against regulated levels for contaminants observed in the extractant water. Structural integrity ensures that Products will not structurally fail when subjected to use conditions. Testing represents extreme conditions (spikes) and life of use (repeat cycling). Testing is determined based upon product type. There are three general tests: burst pressure, hydrostatic pressure and cyclic testing. Manufacturers select from many chemical, microbiological, and particulate reduction options contained within the Standards listed above. In order to be certified, a system is required to make a minimum of one reduction claim covered under the Standard. This testing is conducted with actual contaminated water at high influent challenge levels. These high influent challenges are established using “occurrence” data (e.g., from USGS or USEPA), if available. These challenges are then set at the 95% occurrence for these contaminants. If there is no occurrence data on which to base the influent challenge, the Standard uses three times the regulated level for the influent challenge. These filters are then tested to ensure that they reduce the contaminant below the regulated level for safe consumption. Product literature is reviewed to be in compliance with the Standard. Standards require the following to be reviewed: Installation, operation and maintenance instructions; Data plate; Replacement component labeling; and Performance data sheet. 21

Certification is granted when the Product meets the required sections of the corresponding Standard and a successful initial audit of the manufacturing facility. Manufacturers that are NSF Certified are authorized to use the NSF Certification Mark and are included in the published Listing. As part of the authorization to use the Certification Mark, the manufacturing facility agrees to abide by the policies specified herein. Section I specifies the general policies applicable not only to water filtration devices, but to every product Certified by NSF as meeting the appropriate NSF Standard/Criteria, another national consensus standard, or government regulation or specification. The general policies include (among other requirements) provisions relating to inspections, testing, records, complaints, corrective action/enforcement, and appeals. In addition to the General Policies applicable to all products Certified by NSF, which are in Section I, there are policies specific to the Certification of water treatment devices. These are included in Section II and relate to issues such as product marking and designation, auditing, product documentation, listing, testing and periodic retesting of the listed products. Both the general and program specific policies must be considered in their entirety and shall be applied within the context of the specific standard, criteria, government regulation, or other specifications referenced in the Contract for Certification by NSF International between the Company and NSF. For clarity and ease of reference, these policies are presented as individually numbered items with appropriate headings. General policies have a prefix of “GP,” and program policies have a prefix “PP.” A descriptive title and the page on which each policy appears are listed in the Table of Contents.

22

DEFINITIONS Another Name For (ANF) Listing A Company Listing whose Product Certification is based upon the Certification of the same Product by another Listed Company that is also responsible for the final Product packaging and marking. Product differences are acceptable if they have no bearing on the requirements of Certification. A shipment where the material or components are for use in the production of systems for distribution, or where the materials or components are not for resale and are to be used only at the site of an industrial customer or municipal user. A separate or distinct part of a drinking water treatment system including, but not limited to, appurtenant accessories such as membranes, filters, housing, tubing, storage tanks, faucets, valves, and connectors to the feed water supply. Products that are similar in materials, design, and construction and are Certified based on testing a representative model. A combination of two independently manufactured components for Certification. A laminated, blue “foil” mark, 13/16 in x 1in (20.6 mm x 25.4 mm), with an identification serial number and the standard number(s) to which the system is Certified. The Foil Mark is affixed to the Product as an alternative to the mark on the data plate, and is purchased only from NSF. Under Section 1417(d) of the Safe Drinking Water Act, “lead free” means that solder and flux may not contain more than 0.2 percent lead; pipes, pipe fittings and well pumps may not contain more than 8.0 percent lead; and plumbing fittings and fixtures shall meet standards established under Section 1417(e).

Bulk Shipment

Component

Family Group Hybrid System Foil Mark

Lead Free

Other Than Listed Manufacturer (OTLM) Listing A Listed Company whose Certified Product is packaged and marked at the production facility of another Listed Company. Packaging A container in which the Product is placed for public display purposes in retail shops and similar stores for distribution. Consumer information and certain required compliance information is displayed on the packaging. A system, replacement element, component, or material evaluated under the Drinking Water Treatment Systems and Components Program. A manufacturer or other supplier, other than the original Product manufacturer or the same production facility, who opens the packaging of a Product, places it into another container, seals, and labels/marks the Product. Any replaceable, pre-formed, or pre-packaged component containing media or membrane for use in a Certified system. perform.

Product Repackager

Replacement Element

23

Samples Shipping Container

The sum of the individual specimens of Products or the quantities of materials collected for testing by NSF. A protective container in which a Product is placed for shipping purposes. The container is not intended for public display of the Product, such as in a retail store, nor is it intended to convey Product information to the consumer. A series of components and appurtenant accessories intended to be assembled together as a single water treatment device. Analytical or physical results from NSF laboratories, NSF witness testing, or a NSF subcontractor’s laboratories. Refers to the complete evaluation of test results or results obtained by retesting, as appropriate. MARKING

System Test Results Testing

PP - 1.

NSF Certification Marks for Drinking Water Treatment Products A legible, permanent Mark and Statement or laminated “Foil” Mark and Statement shall appear on the Product’s data plate, packaging, owners manual, performance data sheet, magazine advertising and printed promotional brochures as specified by these policies in Table 1. Table 1 Certified Certified Complete Replacement Functional Systems or where the Replacement Elements for use in Certified Element Data Plate Serves Systems as the System Data Plate Data Plate Required Not Applicable Packaging Required Required Owners Manual Required Not Applicable Performance Data Sheet Permitted Not Applicable Printed Promotional Brochures Permitted Permitted Magazine Advertising Permitted Permitted Certified Components Not Allowed Required Not Applicable Not Applicable Permitted Permitted

An exemption exists for these requirements for materials or components that are shipped in bulk for use in the production of systems for distribution. In these cases, the NSF Mark, company name or identification, production location, trade name or designation as shown in the Official Listing and lot code shall appear on the bill of lading, packing slip, or the outside of the bulk shipment packaging. The Mark shall appear as specified in Table 2 on the following page. The Statement or the Mark and Statement shall be completely enclosed in its own box. The Mark may appear either directly above or directly next to the Certification Statement. The wording in the Statement may take several forms. Examples of acceptable Statements are shown in Table 2. The Statement shall include the following: 24

? ?

The words “Tested and Certified by NSF International”; The words “against NSF/ANSI Standard(s)” and the Standard number(s) for which the Product is Certified, except when the Foil Mark is used; NOTE: The words “under” and “to” are considered equivalent to “against.”

?

The words “for the reduction of” and the contaminant reduction claims for which a system or replacement element is Certified; or the words “for the reduction of the claims specified on the Performance Data Sheet”; For components that have been tested for structural integrity, the words “for materials and structural integrity requirements only” and for all other components the words “for material requirements only”; For Certified systems, the model number of the system, except where the model number already appears on the data plate or on printed information which only references one model; For Certified replacement elements, the model in which it is Certified.

?

?

?

If a Company is known to have removed a Mark for any reason, NSF may issue a public notice.

25

Table 2 Complete Functional Systems or where the Replacement Element Data Plate Serves as the System Data Plate

Replacement Elements

Components

System Tested and Certified by NSF International against NSF/ANSI Standard ___ for the reduction of .

Tested and Certified by NSF International against NSF/ANSI Standard ___ in model ___ for the reduction of .

REPLACEMENT ELEMENT

This (name of component) is Tested and Certified by NSF International against NSF/ANSI Standard ___ for material requirements only.

COMPONENT

OR

OR

OR

System Tested and Certified by NSF International against NSF/ANSI Standard___ for the reduction of .

Tested and Certified by NSF International against NSF/ANSI Standard ___ in model ___ for the reduction of .

REPLACEMENT ELEMENT

This (name of component) is Tested and Certified by NSF International against NSF/ANSI Standard___ for material requirements only.

COMPONENT

OR

OR Box statement if component is certified for materials and structural requirements
This (name of component) is Tested and Certified by NSF International against NSF/ANSI Standard ___ for materials and structural integrity requirements

Tested and Certified by NSF International for the reduction of ___.

PP - 2.

Replacement Element Data Plates A replacement element data plate shall serve as a system data plate when a data plate cannot be placed on the permanently installed portion of the system due to space limitations. Where replacement element data plates serve as the system data plate and the replacement element fits into a head, the head shall be labeled with a model number or unique identifier referenced for use with that element. Marking Requirements for NSF Certified Products All Certified Products shall be traceable to a NSF authorized manufacturing facility and an 26

PP - 3.

authorized registered formulation. The following information shall appear on the Product, Product packaging, or for bulk shipments; the bill of lading, packing slip or the outside of the bulk shipment packaging. ? ? ? ? ? NSF Mark (PP - 1); Company name or identification; Production facility location (city/state, province/country) or other facility identification acceptable to NSF; Trade name or designation as shown in the Official Listing; and Manufacturing Date Identification (PP - 6).

The Marking shall not be misleading to the user concerning the Product end uses Certified by NSF. PP - 4. Use of the Mark on Repackaged Products The Company may place the Mark on Certified Product that has been repackaged at a Listed production location of that Company if the Company has written procedures and documented practices, including prevention of possible product tampering, to ensure the repackaged product fully complies with all NSF requirements. Model Designation Each Certified system, replacement element, or component shall have a model designation, and the model designation shall be identified on the system or on the packaging for a replacement element or component. A Company shall not use the same model designation on a Certified and non-Certified Product. If a Product has been manufactured and distributed prior to Certification, it shall be assigned and bear a new model designation that distinguishes it from the earlier, nonCertified Product. If the Product bears a sequential serial or date code number, it may be Certified without a new model designation. In this case, the beginning serial number or date code of the Certified Product shall be indicated in the Official Listing. A redesign that results in a reduction of performance or when the performance claims are reduced, the Certified Product shall bear a new model designation. A model designation for a system must contain only one capacity. If the capacity or flow rate decreases for a Certified system, the model designation shall be changed. PP - 6. Product or Component Manufacturing Date Identification A code or some other notation shall indicate the production lot directly on the individual Product and/or its packaging. The code shall be traceable back to production or assembly date. GENERAL REQUIREMENTS PP - 7. Authorization to Transfer to a New or Unlisted Production Facility A Company requesting a production facility location change shall document the change, in writing, to NSF and shall also document how it can assure that there are no changes to the Certified Products as a result of the production facility move. NSF shall conduct an audit to verify that there are no changes to the formulation prior to Listing the new facility, including 27

PP - 5.

supplier ingredients and sources, components, and design and manufacture of the Certified Products. NSF may conduct Product testing prior to authorizing the facility location change, due to changes in product formulation, material suppliers, or production process. Certified Products may also be collected during the audit for monitoring testing. Unsatisfactory test results shall result in immediate de-Listing of the new manufacturing facility for the noncomplying Products. PP - 8. Authorization of Transfer to a NSF Listed Production Facility A Company requesting a transfer of Certified Product to a NSF Listed production facility shall document the change, in writing, to NSF and shall also document how it can assure that there are no changes to the Certified Products as a result of the production facility move. NSF shall verify there are no changes to the formulation or manufacturing of the Certified Products during the next monitoring audit of the Listed facility. Certified Products may be collected during the audit for monitoring testing. Unsatisfactory test results shall result in immediate de-Listing of the new manufacturing facility for the non-complying Products. OFFICIAL LISTING PP - 9. Format – Complete Systems The Listing for complete systems shall include the following: ? ? ? ? ? ? ? ? Company name and address; Production location (city/state, province/country, or other facility identification acceptable to NSF); Type of system (if applicable); Model designation; Model designation of replacement element(s) or module(s) (if applicable); Function (contaminant reduction claims); Rated service cycle (if applicable); and Flow rate or daily production rate (if applicable).

Additional claims (such as verification of performance, indication device accuracy, conformance to other standards, etc.,) shall appear in the Product footnote(s). PP - 10. Format – Components The Listing for materials and components shall include the following: ? ? ? ? ? ? Company name and address; Production location (city/state, province/country, or other facility identification acceptable to NSF); Component description (i.e., faucet, gasket, pressure vessel); Model designation; Surface area to volume ratio limitations; and Statement “conforms to the material requirements only,” or, where applicable, “conforms to materials and structural integrity requirements only.” 28

Verification of airgap, performance indication devices, etc., shall appear in the Product footnote(s). AUDITS PP - 11. Scope of Audits Audits may include, but are not limited to, the following items related to the NSF Certification: ? ? ? Review of formulation and/or manufacturing processes of all applied or Certified Products or materials; Production walk-through; Review records of raw material suppliers, component suppliers, and ingredient suppliers, through P.O., purchasing records or other plant designated tracking mechanism; Review of quality control (QC) programs and records; Observation of QC testing; Review of analytical procedures and methods; Sampling of Products for NSF testing, and verification that Products meet the requirements of NSF/ANSI DWTU Standards for which they are Certified.

? ? ? ? PP - 12.

Initial Audits Initial audits of all manufacturing facilities of the Company for Products proposed for Certification shall be announced and must be successfully completed prior to Certification. Initial audits may be waived prior to Product Certification if the manufacturing facility is a NSF Listed facility in good standing with NSF. Annual Audits A minimum of one unannounced audit shall be conducted at each production facility of the Company each calendar year. NSF reserves the right to conduct additional audits to monitor for compliance with all NSF requirements. Audit Requirements of Media Repackagers and/or Distributors Where a non-Certified media supplier is selling Product to a completely independent media repackager and/or distributor for resale, and the media repackager/distributor desires NSF Certification, one of the two following requirements shall be used in addition to the requirements for testing and evaluation described in the Standard. ? In addition to an annual, unannounced audit of the media repackager/ distributor, an annual unannounced audit of the supplier’s facility shall be required and shall be invoiced to the media repackager/distributor, or The media repackager/distributor shall have a minimum of two (2) unannounced audits by NSF per year. Every lot of every Certified Product shall be tested by the supplier or by the media repackager/distributor for compliance with NSF requirements. The test results shall be kept on file at the media repackager’s/distributor’s facility for five years, and provided to NSF upon request. The media repackager/distributor shall also

PP - 13.

PP - 14.

?

29

keep retained samples of every lot for two years or for the published shelf life, whichever is less. TESTING PP - 15. Test Reports Actual test data shall be reported to the Company, but the data shall not be used or transmitted outside of the Company prior to Certification, without prior written authorization from NSF. Companies may share data with domestic states with registration programs, international regulatory agencies, or for the purpose of defensive lawsuits, without prior written authorization from NSF. General Requirements for Adding Products to the Listing of a Family Group Additional Products may be added to an existing family group based on similarity of design and construction without testing by NSF. Similarity of design shall be established by fundamental scientific principles. The similarity shall be equivalent to or result in more conservative performance in the additional Product(s) to be valid. Certification of Hybrid Systems NSF shall require Companies seeking system Certification to obtain written authorization from their component suppliers if the following conditions exist: ? ? The system includes components of other NSF Certified systems and those components are not NSF Certified as components; and The non-NSF Certified components from other NSF Certified systems form the primary basis of treatment when used by the Company seeking system Certification, such as membranes, filters, or housings.

PP - 16.

PP - 17.

PP - 18.

Contaminant Reduction Testing for Replacement Treatment Elements/Modules A manufacturer of replaceable treatment elements/modules (RTEM) may submit the element/module for Certification of materials under one or more of the drinking water treatment systems and components standards. The RTEM manufacturer may also request that NSF conduct contaminant reduction tests of the RTEM under intended end-use conditions (i.e., specific flow rate). The manufacturer shall not be Certified for the reduction claims. However, the RTEM manufacturer may authorize the use of the test data to a Company of a complete system seeking Certification using the RTEM. NSF shall verify the test data produced for the RTEM are applicable to the complete system design prior to authorizing transfer of the test data. Reevaluation and/or Periodic Testing of Certified Products For continued Certification, Products shall be reevaluated at intervals not to exceed five years. Samples shall be selected from inventory by a NSF representative during an audit, or purchased in the marketplace (including distributors) with the cost invoiced to the Company. Witness Testing at the Company's Facilities When a Company demonstrates to the satisfaction of NSF that the Company has adequate test facilities, including necessary equipment, measuring devices, (NIST traceable calibrations where applicable), and acceptable QA/QC procedures, NSF may witness test at the production facility. The manufacturer shall have a witness test agreement with NSF covering 30

PP - 19.

PP - 20.

the specific test requirements for which data is to be submitted. The Company shall agree to pay for the time, travel and test report preparation of the NSF staff to witness test as well as for any analysis conducted by NSF. PP - 21. Disposition of Samples Unless otherwise agreed to in advance of testing, samples that satisfactorily complete testing may be discarded upon completion of testing. Samples that fail testing shall be retained for 20 days after the completion of testing and may be returned to the Company upon request. After the 20 days, the samples may be discarded. The Company shall pay for the shipping of all returned samples. PP - 22. Product Modification During Reevaluation Testing Companies may elect to modify Certified Product that is due for re-evaluation rather than to have the same Product reevaluated. The Company shall notify NSF in writing of their decision to submit a modified Product rather than to re-evaluate the same Product, including a description of the modification. Modified Product will be classified as a new Product qualification, allowing Product to be shipped to NSF for evaluation rather than to be collected by auditor. The modified Product shall complete all evaluations necessary to Certify the Product, as supported by test data that do not exceed five years in age, within the time period established in the original notification from NSF for the Certified Product re-evaluation. If the evaluation is not completed within the time period, the Certified Product due for reevaluation will be dropped from Certification. INFORMATION REQUIRED FOR CERTIFICATION PP - 23. Deposit for Certification A deposit shall be submitted with each new Company application. If the Company applies and does not complete the certification, a new application for Certification and deposit shall be resubmitted after a year of inactivity. Formulation Information The Company shall provide a “wetted parts list” identifying all of the materials that may contact drinking water and the source of each material. Upon request, the supplier(s) of the material(s) shall provide complete formulation information directly to NSF. Formulation information shall include formulation identification and for each ingredient: source of supply, chemical description, and use levels of ingredients. Additional requested supporting documentation including, but not limited to, the following may be provided to NSF when it is requested and available: ? ? ? ? ? Reference to the U.S. Code of Federal Regulations, Title 21 (Food and Drugs) for aqueous contact; Legal Letter of Opinion provided by a firm with competence in direct and indirect food additives classification within CFR 21; FDA Letter of Opinion; FDA Food Contact Notification Letter; Threshold of regulation calculation/documentation; and/or

PP - 24.

31

?

International regulatory reference with verification by NSF that each ingredient can be found and is appropriate under 21 CFR.

This information shall be reviewed by NSF and, if acceptable, NSF shall authorize material formulation for the Company. The following materials shall not require formulation disclosure if the source(s) of supply, surface area in contact with the water (or grams of media), and material trade designations are disclosed on the wetted parts list, providing that the system or component in which these materials are used meets the applicable extraction requirements. ? ? ? ? ? ? ? ? PP - 25. Brass - Copper Alloy Series C20000 and C30000 (specific number) meeting EPA’s “Lead Free” definition; Stainless steel - Series 200, 300 and 400 (specific number); Chrome plating - ASTM Specification B650-85; Nickel plating - ASTM B689; Materials Certified under NSF Standards 51, 60, or 61; Glass Hardened Quartz; Outerwrap tape on RO elements; Materials in contact with the brine side of water softeners.

Records of Materials, Compound and Product Formulation Information The manufacturer shall have a record system that allows NSF to satisfactorily verify the purchase and use of any authorized material used in the fabrication of Certified Products. A Company which blends materials to fabricate a treatment element (e.g., carbon block or specifically blended media mixture) shall submit complete formulation information including formulation identification, and for each ingredient, source of supply, chemical descriptions, use levels of ingredients, and/or other requested supporting documentation. NSF shall review the information and, if acceptable, a documentation report shall be registered by NSF, by signature and date, and returned to the Company. The original registered documentation report shall be maintained at each production location and be made available by the Company to NSF during the facility audit.

PP - 26.

Design and Engineering Information To initiate a Certification project, the Company shall provide Product design and engineering information including, but not limited to, exploded schematics, wetted parts list, installation instructions, and the Drinking Water Data Sheet information to NSF for the Product to be Certified. Any modification of the initial documentation shall be submitted to NSF prior to Listing. Documentation Reports Within 60 days of Certification of a Product, or family group of Products, NSF and the manufacturer shall finalize the Documentation Report for registration. Any proposed changes to the Certified Product shall be reviewed and authorized by NSF prior to implementation. All accepted changes after the initial Documentation Report shall be added to the registered Documentation Report.

PP - 27.

32

PP - 28.

Literature Required by Standard Certification may be granted based on draft literature, including Performance Data Sheets, Data Plates, Replacement Cartridge Packaging, and Installation and Operating Instructions, providing the draft literature is in full compliance with the applicable Standard and NSF Certification Policies. The Company shall submit final literature within 60 days following Certification, unless otherwise authorized by NSF. For newly Certified Product, or for Certified Product that has a reduction in treatment claims, the Company shall release Certified Product following the date of Certification only with literature that is in full compliance. For Certified Product that has an addition in treatment claims, the Company may continue use of existing literature inventory following the date of Certification, but shall produce revised literature at the next printing.

PP - 29.

Percent Reduction Statements in Literature and Packaging If a Company states a specific percent reduction for a contaminant reduction claim, it shall use the test data provided by NSF. All percentages shall be verified during the literature review process. For NSF/ANSI 53 inorganic reduction claims one of the following shall be used: ? ? Wherever the higher calculated percent reduction for both tests is used the pH of the test shall be specified. When the average calculated value or lower calculated value for both tests is used, specification of the pH of the test is not required.

For VOC reduction claims, the percent shown in the Standard for individual contaminant reductions of chemicals under the VOC surrogate shall be used. The manufacturer may not claim a higher percent reduction than that achieved by calculating the percent reduction from the average influent concentration and the detection limit. No percent reduction may be claimed at 100%. PP - 30. Advertising, Promotional Material, Literature and Packaging All advertising, promotional material, literature and packaging (audio, visual, electronic) of Certified Products shall be subject to General Policy, Use of the Mark: Advertising, Packaging and Literature. Delineation of NSF and Non-NSF Certified Claims If a Company has a system Certified by NSF, but advertises contaminant reduction claims, including individual specific reduction claims, system flow rates, and/or capacity not Certified by NSF, one of the following indications shall be used to avoid consumer confusion relation to claims that are not Certified by NSF: ? The following statement clearly and conspicuously displayed in close proximity to and in the same typeface and print size as the advertised statement: “Not Performance Tested or Certified by NSF.” A clear and conspicuous statement displayed in close proximity to, and in the same type face and print size as the advertised statement, citing the documentation source for the indicated claim(s). Such sources would include manufacturer's internal testing, or a statement such as “Tested & verified by independent laboratory testing," etc. For Certified system replacement elements, or for components Certified by NSF that advertise use in another Company’s Product, the following statement shall be used to 33

PP - 31.

?

?

avoid consumer confusion in relation to claims that are not Certified by NSF: “The following claims have not been tested and certified by NSF.” The statement shall be clearly and conspicuously displayed in close proximity to and in the same typeface and print size as the advertised statement; followed by a specific list of those claims that have not been tested and certified by NSF, including use in another Company’s Product. The Company shall not directly or indirectly represent, advertise, imply, or claim that any non-NSF Certified claim(s) is certified by NSF. SPECIAL POLICIES PP - 32. Documentation Requirements for “Another Name For” (ANF) Listings The following documentation shall be required for an ANF Listing: ? ? ? ? Completed application for ANF listing; New product model(s) designation(s) that correspond with Certified Product model(s); New product model(s) literature, data plate, packaging, installation and operating instructions, and performance data sheet; Letter of authorization from the ANF Company to use its name and confirmation of the new product model(s).

These documents shall be reviewed for compliance and accepted by NSF prior to certifying the ANF model(s). The Company that Certifies the base Product shall be the holder of the Listing for the ANF model(s). PP - 33. Alternate Materials Exempt from Material Testing Following Certification of a Product, including initial extraction testing, components and media binders consisting of polyethylene and polypropylene meeting the requirements of 21CFR 177.1520 may use alternate material without extraction testing following completion of material disclosure and formulation reviews. Structural and contaminant reduction testing, however, may be required. New Product Certification; Name Change Only A Company requesting a new Product Certification that is a name change only for an existing Certified Product of the same Company shall be required to supply the following documentation: ? ? New product model(s) designation(s) that correspond with Certified Product model(s). New product model(s) literature, data plate, packaging, installation and operating instructions, and performance data sheet.

PP - 34.

These documents shall be reviewed for compliance and accepted by NSF prior to Certifying the new Product.

PP - 35.

Certified Components using Alternate Materials A Certified component that uses alternate materials or is Certified for a material change in the component, and the alternate material or materials change may affect conformance of a 34

system to the applicable Standard when that component is used in a system, and which is used in another Company’s Certified system, shall comply with one of the following: ? ? ? A listed model designation for each alternate form of the component; or A product evaluation that demonstrates each alternate form does not negatively impact the conformance of all Certified systems that use the Certified component; or Authorization for NSF to notify all Companies with a Certified system and which incorporates the Certified component that a change to the Certified component has occurred, and that a product evaluation will be required to verify continued conformance of their system to the applicable Standard(s).

PP - 36.

Reworked Material Reworked material is permitted when it can be demonstrated that there is no impact on the scope of Certification for the Product using the reworked material.

35

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36

Printed 03/28/06


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