Original Notice.

Preproposal statement of inquiry was filed as WSR 99-17-115.

Title of Rule: Chapter 296-402A WAC, Electrical evaluation/certification laboratory accreditation.

Purpose: These rules describe the methods required to obtain recognition and accreditation of electrical product(s) certification and/or field evaluation laboratories. These rules are necessary to provide assurance to the general consuming public that electrical products have been tested for safety and identified for their intended use.

A new, state-initiated chapter 296-402A WAC is being proposed to:

•	Apply clear rule-writing principles to the current chapter 296-402 WAC. (See proposed chapter 296-402A WAC.)
•	Move existing chapter 296-402 WAC requirements into new sections of chapter 296-402A WAC. (See proposed chapter 296-402A WAC.)
•	Remove outdated and redundant language to make the rules easier to use and understand. (See proposed chapter 296-402A WAC.)
•	Reorganize and restructure rule sections to make the rules easier to use. (See proposed chapter 296-402A WAC.)
•	Add definitions for easier use and understanding of the rule. (See proposed WAC 296-402A-030.)
•	Clarify the differences between product certification requirements and field evaluation requirements. (See proposed WAC 296-402A-370 through 296-402A-690.)
•	Change the accreditation period from two years to five years to decrease the administrative burden on testing labs and the department. (See proposed WAC 296-402A-060.)
•	Modify the calculation of renewal fees from 50% of the initial accreditation amount (which could be as much as $2650) to 50% of the initial filing fee (which is only $500.00) which is $250.00. This change results in a decreased renewal fee. (See proposed WAC 296-402A-110.)
•	Correct the amount of time to appeal (currently in WAC 296-402-200) from fifteen days to twenty days and that the notice of intent to revoke, suspend, or refuse to renew must be sent to the last known address by certified mail (in new WAC 296-402A-260). These requirements are found in RCW 19.28.310.

There are no new requirements associated with this rule.

Statutory Authority for Adoption: RCW 19.28.060.

Statute Being Implemented: Chapter 19.28 RCW.

Summary: See Purpose above.

Reasons Supporting Proposal: See Purpose above.

Name of Agency Personnel Responsible for Drafting: Ron Fuller, Tumwater, (360) 902-5249; Implementation and Enforcement: Patrick Woods, Tumwater, (360) 902-6348.

Name of Proponent: Department of Labor and Industries, governmental.

Rule is not necessitated by federal law, federal or state court decision.

Explanation of Rule, its Purpose, and Anticipated Effects: See Purpose above.

Proposal Changes the Following Existing Rules: See Purpose above.

No small business economic impact statement has been prepared under chapter 19.85 RCW. A small business economic impact statement is not required because this rule does not impose any new costs on business.

RCW 34.05.328 does not apply to this rule adoption. This rule was clear rule written in order to clarify the requirements and make it easier to understand and use. This rule is exempt from the significant legislative rule requirements per RCW 34.05.328 (5)(b)(vi).

Hearing Location: Department of Labor and Industries Building, S 117 and S 118, 7273 Linderson Way S.W., Tumwater, WA, on April 25, 2000, at 9:00 a.m.

Assistance for Persons with Disabilities: Contact Josh Swanson by April 21, 2000, at (360) 902-6411.

Submit Written Comments to: Josh Swanson, Speciality Compliance Services Division, P.O. Box 44400, Olympia, WA 98504-4400, e-mail swaj235@lni.wa.gov, (360) 902-5292, by 5:00 p.m. on May 2, 2000. Comments submitted by fax must be ten pages or less.

Date of Intended Adoption: May 19, 2000.

March 22, 2000

Gary Moore

Director

OTS-3676.1

REPEALER
     The following chapter of the Washington Administrative Code is repealed:

WAC 296-402-010	Foreword.
WAC 296-402-020	Purpose and scope.
WAC 296-402-030	Definitions.
WAC 296-402-040	Organization.
WAC 296-402-050	Professional and ethical business practices.
WAC 296-402-060	Quality control system.
WAC 296-402-070	Personnel.
WAC 296-402-080	Calibration -- Verification and maintenance of facilities and equipment.
WAC 296-402-090	Plans for certification programs.
WAC 296-402-100	Records.
WAC 296-402-110	Product certification program.
WAC 296-402-120	Product assurance (follow-up) activities.
WAC 296-402-130	Laboratory approval program implementation.
WAC 296-402-140	Initial laboratory evaluation.
WAC 296-402-150	Renewals.
WAC 296-402-160	Conditions of accreditation.
WAC 296-402-170	Penalties.
WAC 296-402-180	Notification of change.
WAC 296-402-190	Revocation and suspension procedures.
WAC 296-402-200	Appeal procedures.

OTS-3677.3

Electricians and electrical installations RCW 19.28.010, 19.28.060, 19.28.065, and 19.28.070 authorize this chapter.

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This chapter describes the methods required to obtain recognition and accreditation of electrical product(s) certification and/or field evaluation laboratories by the state of Washington. This chapter provides assurance to the general consuming public that electrical products have been tested for safety and identified for their intended use.

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(1) "Accreditation" is a determination by the department that a laboratory meets the requirements of this chapter and is therefore authorized to offer electrical products for sale in the state of Washington.

(2) "ANSI" means American National Standards Institute.

(3) A "category list" is a list of nonspecific product types determined by the department.

(4) A "certified electrical product" is an electrical product to which a laboratory certification mark, accredited by the state of Washington, has been attached.

(5) A "certification mark" is a specified laboratory label, symbol, or other identifying mark that indicates the manufacturer produced the product in compliance with appropriate standards or that the product has been tested for specific end uses.

(6) A laboratory "certification program" is a specified set of testing, inspection, and quality assurance procedures, including appropriate implementing authority, regulating the evaluation of electrical products for certification marking by a certification laboratory.

(7) "Department" means the department of labor and industries.

(8) "Electrical board" means the board established in accordance with electricians and electrical installations RCW 19.28.065.

(9) An "electrical products certification laboratory" is a laboratory or firm accredited by the state of Washington to perform certification of electrical products.

(10) An "electrical products evaluation laboratory" is a laboratory or firm accredited by the state of Washington to perform on-site field evaluation of electrical products for safety.

(11) A "field evaluation program" is a specified set of testing, inspection, and quality assurance procedures, including appropriate implementing authority regulating the testing and evaluation of electrical products for field evaluation marking.

(12) "Field evaluated" means an electrical product to which a field evaluation mark is attached. Field evaluation must include job site inspection unless waived by the department, and may include component sampling and/or laboratory testing.

(13) "Field evaluation mark" is a specified laboratory label, symbol, or other identifying mark indicating the manufacturer produced the product in essential compliance with appropriate standards or that the product has been evaluated for specific end uses.

(14) "Labeled" means an electrical product to which a certification mark accredited by the state of Washington is attached.

(15) A "laboratory" may be either an electrical product(s) certification laboratory or an electrical product(s) evaluation laboratory.

(16) A "laboratory operations control manual" is a document to establish laboratory operation procedures and may include a laboratory quality control manual.

(17) "NRTL" means Nationally Recognized Testing Laboratory accredited by the Occupational Safety and Health Administration (OSHA) after meeting the requirements of 29 CFR 1910.7.

(18) A "quality control manual" is a document to maintain the quality control of the laboratory's method of operation. It consists of specified procedures and information for each test method responding to the requirements of the product standard. Specific information must be provided for portions of individual test methods when needed to comply with the standard's criteria or otherwise support the laboratory's operation.

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An electrical product is considered to be safe when it is either certified by a laboratory accredited by the department or labeled with a field evaluation mark by a laboratory accredited by the department.

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The department's chief electrical inspector's office provides forms and procedures enabling applicants to submit the data necessary for evaluation or accreditation.

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The accreditation period of an NRTL will be valid for the period of accreditation of the NRTL by OSHA.

The accreditation of a non-NRTL will be valid for the period of five years from the date of the department's accreditation.

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On-site inspection of the laboratory may be required during the initial application process or the renewal process. Technically qualified representative(s) of the department will evaluate for compliance with accreditation criteria.

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On-site inspection is not required for:

• NRTL recognized laboratories requesting approval as certification laboratories using standards for which NRTL recognition has been approved.

The department may waive on-site inspection for:

• Laboratories recognized or accredited by another state determined to provide an accreditation program acceptable to the department.

• NRTL recognized laboratories requesting approval as certification laboratories for using other standards for which NRTL recognition has not been approved.

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The applicant must pay all costs associated with the on-site inspection.

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Yes. For purposes of chapter 19.28 RCW, the department must accredit all laboratories which certify and/or field evaluate electrical products offered for sale in the state of Washington. A NRTL requesting approval as a certification laboratory will be approved for accreditation by the department upon completion of the application process.

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Initial filing fee			$ 500.00
Initial accreditation fee:
	One product category		$ 250.00
	Each additional category for the next nineteen categories		$ 100.00 each
	Maximum for twenty categories or more		$2150.00
Renewal fee:		50% of initial filing fee
	Each additional category for the next nineteen categories		$ 100.00 each
	Maximum for twenty categories or more		$2150.00

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The laboratory must apply for renewal of accreditation at least thirty days prior to the accreditation expiration date. The department will renew accreditation for the period specified in WAC 296-402A-060 or notify the renewing laboratory of the department's reason(s) of refusal following receipt of the completed form and renewal fee. Accreditation may be renewed or refused for one or more electrical product category(ies).

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The department accepts or denies laboratory accreditation. Adequacy is determined when a laboratory provides evidence to the department that all the requirements of this chapter are met. Adequacy is determined by the department and prior to making a determination the department may require information and documentation to be provided by the laboratory.

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Accreditation is subject to review when deemed necessary by the department. The laboratory must pay all costs associated with on-site review.

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Every accredited laboratory must continue to satisfy all the conditions specified in this chapter during the period of the accreditation. A non-NRTL accredited laboratory must furnish the department an annual report detailing the extent of its activities for the year. The report must include, but not be limited to:

(1) The number of factory inspections.

(2) Organizational structure.

(3) Statement of ownership.

(4) Laboratory equipment verification.

(5) Client accreditation programs.

(6) Reports of litigation, which in any way were the result of or will affect any accreditation or testing of products covered by this chapter.

(7) Assessment of recordkeeping (i.e., certification/evaluation plans, certification/evaluation reports).

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The department will notify the applicant of the accreditation results. A letter of accreditation from the department is proof of the accreditation of a laboratory.

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The laboratory will be approved to certify only those categories identified and authorized by the department. The department will approve and list electrical product category(ies) the laboratory is qualified to certify or evaluate. The accreditation letter will indicate the electrical product category(ies) for which accreditation is issued.

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No. The department may exclude specific electrical products from acceptance. When required, the laboratory must provide evidence, acceptable to the department, that the laboratory is qualified to certify or field evaluate the specific electrical product. Laboratory recognition as an NRTL for the standard(s) used to certify or field evaluate an electrical product will be acceptable evidence. The standards used for certification or field evaluation must be determined by the department to be acceptable and applicable to the electrical product being certified or field evaluated.

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Any laboratory failing to comply with the requirements of this chapter or submitting false information may have accreditation revoked or suspended for one or more electrical product category(ies).

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The department may suspend or revoke the accreditation of any laboratory found to be in noncompliance with this chapter or the laws of the State of Washington.

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Yes. Prior to suspension, revocation, or refusal to renew the accreditation of a laboratory, written notice of such intent must be served by the department by certified mail to the last known address.

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The laboratory must immediately notify all manufacturers whose products are covered by the accreditation that such products manufactured subsequent to the departmental revocation and offered for sale in the state of Washington can no longer bear the laboratory's label that identified it as a certified product in the state of Washington. A laboratory, whose accreditation has been suspended, may not reapply for accreditation during the period of such suspension. A laboratory, whose accreditation has been revoked, may reapply for accreditation no sooner than one year after the date of revocation of accreditation.

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Yes. Within fifteen calendar days of receipt of the notice of intent, the affected laboratory may request a conference before the department. The request for a conference stays the effect of notice of intent until the department makes its final determination.

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Yes. If the affected laboratory disagrees with the decision of the department, the laboratory may appeal to the electrical board.

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Only the affected laboratory may appeal the department's decision. The appeal must be filed within twenty calendar days after the notice of intent to suspend, revoke, or refuse to renew is sent by certified mail to the last known address of the holder of the accreditation.

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An appeal must be made in writing to the department chief electrical inspector, as secretary to the electrical board. The written appeal must state the decision of the department that is being appealed and the relief that is desired.

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A written request for a formal appeal must be made per the requirements of WAC 296-402A-260 through 296-402A-270 and accompanied by a certified check in the amount of two hundred dollars made payable to the department. The deposit will be returned to the appealing party if the decision of the department is not sustained or upheld. If the decision of the department is sustained or upheld, the deposit will be used to pay the expenses of holding the hearing, and any balance remaining after the payment of expenses will be paid into the electrical license fund.

A formal appeal will be held in conformance with the requirements of the Administrative Procedure Act, chapter 34.05 RCW and will be assigned by the electrical board to an administrative law judge.

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See chapter 296-13 WAC and chapter 34.05 RCW for additional information on appeals before the electrical board.

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The laboratory must be an independent, third-party organization with no organizational, managerial, financial, design, or promotional affiliation with manufacturers, suppliers, installers, or vendors of products covered under its certification or evaluation programs.

The laboratory must have an adequate diversity of clients or activity so that the loss or award of a specific contract regarding certification or evaluation would not be a deciding factor in the financial well being of the laboratory.

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The laboratory must adequately:

(1) Perform the examinations, tests, evaluations, and inspections required under the certifications programs in accordance with the designated standards and procedures.

(2) Assure that reported values accurately reflect measured and observed data.

(3) Limit work to that for which competence and capacity is available.

(4) Treat test data, records, and reports as proprietary information.

(5) Respond and attempt to resolve complaints contesting certifications and evaluation results.

(6) Maintain an independent relationship between its clients, affiliates, and other organizations so the laboratory's capacity to give certifications and evaluations objectively and without bias is not adversely affected.

(7) Notify the department within thirty calendar days should it become unable to conform to any of the requirements of this chapter.

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Yes. Laboratories accredited under this chapter must notify the department within thirty working days of any of the following:

(1) Change in company name and/or address.

(2) Changes in major test equipment which affect the ability to perform work for which accredited.

(3) Changes in principal officers, key supervisory and responsible personnel in the company including the director of testing and engineering services, director of follow-up services, and the laboratory supervisor.

(4) Change in independent status.

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The laboratory must develop and maintain a certification or evaluation program plan that includes, but is not limited to:

(1) The procedures and authority to ensure the product complies with the standard(s) established by the program.

(2) A quality control system.

(3) Adequate personnel to perform the certification or evaluation.

(4) Verification and maintenance of facilities and/or equipment.

(5) Sample selection as applicable for product certifications, and for component testing as necessary for field evaluations.

The plan must demonstrate that the laboratory has adequate personnel, facilities, and equipment to perform all certifications and testing for which it is accredited by the state of Washington. These elements must be contained in the laboratory operations control manual.

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The laboratory must develop and maintain a quality control system adequate to assure the accuracy and technical integrity of its work as follows:

(1) The laboratory's quality control system must include a quality control or laboratory operations control manual.

(2) The quality control or laboratory operations control manual must be adequate to guide a testing technician or inspector in conducting the inspection, evaluation, and/or test in accordance with the test methods and procedures required for the laboratory's certification and/or evaluation program(s).

(3) The laboratory must have a current copy of its quality control or laboratory operations control manual available in the laboratory for use by laboratory personnel.

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Competent personnel who must have training, technical knowledge, and experience adequate to perform the tests, examinations, and evaluations for the certification and/or evaluation activities for which recognition is sought must staff the laboratory.

The laboratory must:

(1) Provide adequate safeguards protecting the employment status of personnel from the influence or control of manufacturers, vendors, or installers of electrical products certified or tested by the laboratory.

(2) Develop and maintain a job description for each technical position category.

(3) Assure the competency of its staff to perform assigned tasks through individual yearly observation and/or examination by a person(s) qualified by the person who has technical responsibility for the laboratory.

(4) Develop and maintain records of the results and dates of the observation or examination of personnel performance.

(5) Maintain information on the training, technical knowledge, and experience of personnel.

(6) Develop and maintain an adequate training program assuring that new or untrained personnel will be able to perform assigned tasks properly and uniformly.

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The laboratory must develop and maintain records and reports of those testing, inspection, certification, and evaluation activities associated with each program for which accreditation is sought. The laboratory must retain these records for a minimum of three years.

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Yes. The laboratory must make available to the department, upon request, all records required by the department to verify compliance with this chapter.

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Certification reports must contain, as applicable:

(1) Name and address of the laboratory.

(2) Pertinent data and identification of tests or inspections.

(3) Name of client.

(4) Appropriate product title.

(5) Designation of standards used to certify or test the product including edition and latest revision (e.g., UL 508, 16th Edition, Feb. 1993, Revision Oct. 9, 1997).

(6) Description and identification of the sample including, as necessary, where and how the sample was selected.

(7) Identification of the test, inspection, or procedure as specified for certification or evaluation by the standard.

(8) Known deviations, additions to, or exclusions from evaluation and certification activities in order to be appropriate for new or innovative products not contemplated by the standard.

(9) Measurements, examinations, derived results, and identification of test anomalies.

(10) A statement as to whether or not the results comply with the requirements of the standard.

(11) Signature of person(s) having responsibility for the report.

(12) Raw data, calculations, tables, graphs, sketches, and/or photographs generated during certification or evaluation must be maintained if not included in the report.

(13) Control forms documenting the receipt, handling, storage, shipping, and testing of samples.

(14) The laboratory must maintain records of its quality control checks and audits for monitoring its test work associated with its certification programs, including:

(a) Records of products assurance (follow-up) test results; and

(b) Records of detected errors and discrepancies and actions taken subsequent to such detection.

(15) The laboratory must maintain a record of written complaints and disposition thereof.

(16) The laboratory must retain records required by these criteria for a minimum of three years after cessation of the certification or evaluation.

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(1) Name and address of the laboratory.

(2) Pertinent test evaluation data and identification of tests or inspections including anomalies.

(3) Name of client.

(4) Designation of standards used to certify or test the product including edition and latest revision (e.g., UL 508, 16th Edition, Feb. 1993, Revision Oct. 9, 1997).

(5) Description and identification of the nonlisted and nonlabeled component(s) requiring evaluation by applicable standard(s).

(6) Description of the overall product evaluated to include full nameplate data and equipment type.

(7) A statement as to whether or not the results comply with the requirements of the standard.

(8) Signature of person(s) having responsibility for the report.

(9) Any condition of acceptability or restrictions on use/relocation.

(10) Serial number(s) of the field evaluation label(s) applied must be included with the equipment identification.

(11) The labor and industries department file identification number.

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(1) The department's chief electrical inspector.

(2) Local electrical inspection office.

(3) Client.

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Yes. The field evaluation laboratory must have a system of controls and records for all field evaluation marks it applies. The records must include labels removed or otherwise voided.

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Yes. The field evaluation mark must:

(1) Not be readily transferable from one product to another.

(2) Be directly applied to each unit in the form of labels or markings suitable for the environment and use of the product.

(3) Include the name or other appropriate identification of the certification laboratory.

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The laboratory must provide adequate evidence of the calibration, verification, and maintenance of the facilities and equipment specified for each certification or evaluation.

Verification and maintenance of facilities and equipment must include as applicable, but not be limited to:

(1) Equipment description.

(2) Name of manufacturer.

(3) Model, style, serial number, or other identification.

(4) Equipment variables subject to calibration and verification.

(5) Statement of the equipment's allowable error and tolerances of readings.

(6) Calibration or verification procedure and schedule.

(7) Dates and results of last calibrations or verifications.

(8) Specified maintenance practices.

(9) Calibration and/or verification of equipment used.

(10) Name of personnel or outside contractor providing the calibration or verification service.

(11) Traceability to National Institute of Standards and Technology or other adequate standard reference authority.

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Yes. The laboratory must have copies available, for laboratory personnel use, of applicable standards and other documents referred to or used in performing each certification or test for which approval is sought.

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The standard(s) used, as the basis of the electrical product certification or evaluation program, must be a department approved product safety standard that is determined to provide an adequate level of safety or define an adequate level of safety performance.

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Generally, such standards will:

(1) Be recognized by ANSI as an electrical product safety standard.

(2) Be compatible with and be maintained current with periodic revisions of applicable national codes and installation standards.

(3) Be developed by a standards developing organization under a method providing for input and consideration of views of industry groups, experts, users, consumers, and governmental authorities, and others having broad experience in the electrical products safety field.

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Yes. All ANSI safety designated electrical product standards are deemed acceptable for their intended use without further qualification.

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Generally, such standards will:

• Be recognized in the United States as an electrical product safety standard.

• Be compatible with and be maintained current with periodic revisions of applicable national codes and installation standards.

• Be developed by a standards developing organization under a method providing for input and consideration of views of industry groups, experts, users, consumers, and governmental authorities, and others having broad experience in the electrical products safety field.

If a laboratory desires to use a standard other than an ANSI standard, the department will evaluate the proposed standard to determine that it provides an adequate level of safety. If a standard meeting the criteria of WAC 296-402A-450 and 296-402A-460 has been recognized by the department for use in similar certification or evaluation programs, the laboratory must identify and justify all differences between the proposed standard and the standard previously recognized by the department.

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Where there is no standard meeting the above-cited criteria for the equipment under consideration, the department will evaluate the proposed standard to determine that it provides an adequate level of safety. The laboratory must identify and justify the adequacy of the standard or other specifications used as a source of requirements.

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The program must contain test procedure(s), standard(s) used, certification agreement(s), method(s) of identification of products, follow-up inspection, and other laboratory procedures and authority necessary to ensure that the product complies with the standards (requirements) established by the program.

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Yes. All components of certified or tested products must be labeled or evaluated for compliance with all standards and conditions of use applicable to such components.

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Yes. The laboratory must publish an Annual Product Directory identifying products that are authorized to bear the laboratory's certification mark. The products directory must briefly describe the program, the products covered, the name of the manufacturer or vendor of the certified products, and the identification of the published standards or the compiled requirements on which the program is based. The product directory must be available to the public. Supplemental up-to-date information must be available to the public at the office of the laboratory during normal business hours.

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Measures to provide for manufacturer compliance with the provisions of the product standard and laboratory control of the use of the certification mark must be embodied in an agreement between the manufacturer and the certification laboratory. The certification agreement must:

(1) Require the manufacturer to provide information and assistance as needed by the laboratory to conduct the necessary product conformity and production assurance evaluation.

(2) Allow the laboratory's representative(s) access to the manufacturer's facilities during working hours for inspection and may allow audit activities without prior notice.

(3) Restrict the manufacturer's application of certification marks to products that comply with requirements of the product standard.

(4) Secure the manufacturer's agreement to the publication of notice by the certification laboratory for any product already available in the marketplace that does not meet the safety standard.

(5) Require reevaluation of products whenever the standard covering the product is revised.

(6) Require the laboratory to notify the manufacturer's personnel responsible for and authorized to institute product recall in the case of a hazard.

(7) Provide for control of certification marks by the laboratory.

(8) Require that the laboratory provide the manufacturer with a report of original product evaluation. The report must document conformity with applicable product standards by test results and other data.

(9) Require the identification of the manufacturer(s) of the product and the location(s) where the product is produced.

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The laboratory owns the certification mark.

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Yes. The mark must be registered as a certification mark with the United States Patent and Trademark Office.

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Yes. The certification mark must:

(1) Not be readily transferable from one product to another.

(2) Be directly applied to each unit of production in the form of labels or markings suitable for the environment and use of the product. When the physical size of the unit does not permit individual marking, markings may be attached to the smallest package in which the unit is marketed.

(3) Include the name or other appropriate identification of the certification laboratory.

(4) Include the product category.

(5) The laboratory must have a system of controls and records for all marks. The records must include marks removed or otherwise voided. See WAC 296-402A-390.

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Prior to authorizing the use of a certification mark on a product, the laboratory must:

(1) Determine by examination and/or tests that representative samples of the product comply with the requirements (standards). Components of certified products must comply with the applicable safety requirements (standards) or be listed. Evaluation of the product design must be made on representative production samples or on prototype product samples with subsequent verification that factory productions are the same as the prototype.

(2) Determine that the manufacturer has the necessary facilities, test equipment, and control procedures to ensure that continuing production of the product complies with the requirements.

(3) If the certification mark is not applied at the manufacturing facility, the laboratory must provide prior notification to the department of its intent to affix the certification mark in the field.

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Yes. The laboratory must develop and maintain a factory follow-up inspection program and manual to determine continued compliance of certified products with the applicable standard.

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The follow-up file must include the:

(1) Conditions governing the use of the certification mark on products.

(2) Identification of the products authorized for certification.

(3) Identification of manufacturer and plant location at which manufacture and certification are authorized.

(4) Description, specifications, and requirements applicable to the product.

(5) Description of processes needed for control purposes.

(6) Description of the manufacturer's quality assurance program when used as part of the follow-up program.

(7) Description of inspections and tests to be conducted by the manufacturer and the laboratory.

(8) Description of follow-up tests to be conducted in the laboratory.

(9) Description of the form and means of applying the certification mark.

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Follow-up procedures and activities must include:

(1) Periodic inspections at the factory with testing at the factory or certification laboratory of representative samples selected from production and, if appropriate, from the market.

(2) Periodic auditing or surveillance of the manufacturer's quality assurance program through the witnessing of manufacturer's tests, review of the manufacturer's records, and verification of the manufacturer's produced data.

(3) Investigation of alleged field failures upon department request.

(4) Procedures for control of the use of the certification mark by:

(a) Keeping records of the release and use of certification marks.

(b) Removal of marks from noncomplying products.

(c) Return or destruction of unused marks when the authority to use the marks is terminated.

(d) Legal action.

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The frequency of follow-up inspections must not be less than four times per year during production, unless adequate data is provided to the department to justify less frequent inspections. If there is no production during the year, at least one follow-up inspection is to be completed. The frequency of follow-up inspections must be sufficient to provide a reasonable check on the method(s) the manufacturer exercises to assure that the product bearing the certification mark complies with the applicable standards.

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The field evaluation laboratory may perform evaluations on any products or product categories previously approved by the department. NRTL recognition may be accepted by the department as a basis for approval to perform field evaluations. Since OSHA does not accept laboratories for field evaluation purposes, laboratories seeking accreditation from the department for field evaluation may be required to provide additional justification of capability such as, but not limited to: Recordkeeping, employee standards and proficiency, equipment requirements, and other requirements described in this chapter.

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Yes. The laboratory must request and receive permission from the department in writing two working days prior to conducting any field evaluation of an electrical product to be installed in any jurisdiction in the state.

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The scope will depend on the status of the item to be evaluated as follows:

(1) A new piece of equipment must have a complete evaluation of all components and the assembly as provided by the manufacturer. For example: An industrial machine with a control panel, remote motors, sensors, controls, and other utilization equipment.

(2) A product that has been modified internally or by an addition must have only those portions evaluated that were affected by the modification. For example: A switchboard with multiple sections that has a section added would only need the new section, the one section immediately adjacent, and any control modifications evaluated.

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Yes. Each unit that receives a field evaluation mark applied by the field evaluation laboratory must have sufficient inspections and/or testing completed to ensure it is in essential conformance with the applicable product standard(s).

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The laboratory may perform preliminary evaluation, in the manufacturer's facility. Final evaluation and acceptance of the product must be made on-site at the location of final installation, unless waived by the department.

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Only laboratory personnel may apply the field evaluation mark after final acceptance of the product. The field evaluation label must be applied on-site at the location of the final installation, unless waived by the department.

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Yes. A field evaluated product may be relocated or fed from a different power source if not prohibited by the field evaluation mark or the field evaluation report.

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Yes. The field evaluation mark must:

(1) Not be readily transferable from one product to another.

(2) Be directly applied by the laboratory personnel to each unit of production in the form of labels or markings suitable for the environment and use of the product.

(3) Include the name or other appropriate identification of the certification laboratory.

(4) Include a unique evaluation laboratory reference number.

The field evaluation laboratory must have a system of controls and records for all field evaluation marks it applies. The records must include labels removed or otherwise voided. See WAC 296-402A-400.

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