电器类产品美国安全认证（NRTL）的法律依据概述

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近期在安规网的QQ群内经常出现一个不变的问题：
) n# B" \: n7 U* f$ m6 S& {% Y: f$ }去美国的产品做UL认证是强制性认证还是自愿性认证？
7 _1 z1 ?" ~8 L3 T; f; U; y其实这个问题本身存在一定的漏洞，本文试图从美国产品安全认证的法律依据来解释这个问题。

6 @) o6 i- A& z# Q4 w/ H# p% u0 ?美国产品安全认证从法律角度来说属于OSHA（Occupational Safety and Health Administration——职业安全与健康管理署）在管理和监控的。你可以从OSHA官方网站这个链接https://www.osha.gov/nationally-recognized-testing-laboratory-program/ （旧http://www.osha.gov/dts/otpca/index.html）查到NRTL认证的来源，现摘录原文如下：  
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Administers the Nationally Recognized Testing Laboratory (NRTL) Program. Many of OSHA's workplace standards require certain equipment or products to be approved (i.e., tested and certified) by NRTLs to help ensure they can be used safely. NRTLs are qualified private organizations that meet the requirements in OSHA regulations under 29 CFR section 1910.7 to perform independent product safety testing and certification. OSHA determines whether a lab meets or continues to meet those requirements under its NRTL Program.
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( R' p) H0 _" s2 R这句话的意思是：
- e% r1 e% N+ d. E8 E管理NRTL（Nationally Recognized Testing Laboratory ——国家认可测试实验室）程序：很多OSHA有关工作场所的标准要求某些设备或产品要经过NRTL的认证（如测试或认证）来确保它们（设备或产品）在使用过程中是安全的。NRTL的实验室可以是满足OSHA规则29 CFR section 1910.7的任何私人组织来执行独立的产品安全测试和认证。OSHA根据NRTL程序来确定一个实验室是否满足了该要求。
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简单点说就是美国工作场所涉及的产品认证是在OSHA管理下、根据法律29 CFR section 1910.7认可的NRTL实验室进行测试和认证。
, _% i6 j$ g) k/ Q/ N+ b你可以通过http://www.osha.gov/pls/oshaweb/owadisp.show_document?p_table=DIRECTIVES&p_id=2004#APPENDIXA这个链接查看OSHA官方的文件CPL 01-00-003，详细了解NRTL的操作流程，也可以参考http://www.osha.gov/pls/oshaweb/owastand.display_standard_group?p_toc_level=1&p_part_number=1910查看29 CFR section 1910的具体内容。

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在CPL 01-00-003里有个有趣的章节XI:
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Background. The Occupational Safety and Health Administration (OSHA) published a final rule on April 12, 1988 that modified those provisions in 29 CFR Part 1910 that require product safety "certification" (by whatever term used) to specify that these certifications be accomplished by a nationally recognized testing laboratory (NRTL). The final rule also established a new section, 29 CFR 1910.7 and Appendix A to this section, which are referred to as the "NRTL Program regulations" or " program regulations" in this directive. As a result of this new section, an organization seeking to perform the "certification" required in Part 1910 must be "recognized" by OSHA and must apply to the OSHA NRTL Program for the recognition. The Program regulations include the requirements OSHA must follow in processing an application for recognition and the main criteria that OSHA must use to evaluate the qualifications of an organization for recognition.

) b, s+ c: Y- v# p" B- F6 aPrior to publication of the rule, the provisions in 29 CFR Part 1910 either had explicitly required or had implied that product certifications be performed only by Underwriters Laboratories, Inc. (UL) and Factory Mutual Research Corporation (FMRC). Other testing organizations claimed these provisions caused them to suffer economic losses, and sought the changes effected by the adoption of the rule. To date, a number of organizations, including UL and FMRC, have been recognized by OSHA as NRTLs.
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在1988年4月12日，OSHA修正了原来的29 CFR Part 1910，发布了最终的NRTL程序29 CFR 1910.7，对OSHA所要求的产品进行NRTL认证。
这段话也正是NRTL认证的历史背景，在29 CFR Part 1910时代（1988年4月12日前），无论明确的还是隐含的要求都是只有两家机构可以颁发NRTL认证，一家就是UL，另一家是FMRC。该文字还明确提到：Other testing organizations claimed these provisions caused them to suffer economic losses, and sought the changes effected by the adoption of the rule. 也就是其他的测试组织认为仅认可UL和FMRC导致了他们的经济损失，他们寻求改变29 CFR Part 1910，最终出现了29 CFR 1910.7，至此更多的NRTL陆续出现，与欧盟的Notified Bodies（NB）有类似的情况。你可以通过：（旧网址：http://www.osha.gov/dts/otpca/nrtl/，网页已更新为：）https://www.osha.gov/nationally-recognized-testing-laboratory-program/current-list-of-nrtls查看NRTLs的清单，截至目前，共有16家NRTLs被OSHA认可：
% \( J1 O- `( V5 v) cOrganizations Currently Recognized by OSHA as NRTLs
https://www.osha.gov/nationally-recognized-testing-laboratory-program/current-list-of-nrtls

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Canadian Standards Association (CSA) (also known as CSA International)

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Communication Certification Laboratory, Inc. (CCL)

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Curtis-Straus LLC (CSL)

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1 M  N# r! I. n" ]% fFM Approvals LLC (FM)  (formerly Factory Mutual Research Corporation)

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Intertek Testing Services NA, Inc. (ITSNA) (formerly ETL)

* O' _, C9 F% f% d; d1 LMET Laboratories, Inc. (MET)

. j4 x$ g! Q  M7 [6 M* oNSF International (NSF)

% `: z4 u# ~; i$ B' I4 H) g! MNational Technical Systems, Inc. (NTS)

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QPS Evaluation Services Inc. (QPS)

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SGS U.S. Testing Company, Inc. (SGSUS) (formerly UST-CA)

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$ X4 R7 W) ^+ t9 ~+ D1 g0 P- FSouthwest Research Institute (SWRI)

5 P8 e, b- f; XTUV Rheinland PTL, LLC (TUVPTL)

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! h5 |4 ^" M  [TÜV SÜD America, Inc. (TUVAM)

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1 f7 l) b* ^6 l- ^  o' Q% WTÜV SÜD Product Services GmbH (TUVPSG)

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! A( {' P; ]1 i: S8 p! bTUV Rheinland of North America, Inc. (TUV)

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Underwriters Laboratories Inc. (UL)

根据该清单你可以发现你所熟悉的认证机构：CSA (即CSA国际）、FM（原FMRC，消防认证的应该知道)、ITSNA（原ETL，被ITSNA收购）、MET（就是他起诉的OSHA，避嫌不多谈）、NSF（做食品卫生认证的就知道）、SGSUS（原UST-CA，被SGS收购）、TUV SUD及TUV PS（不用我多说了）、TUV莱茵北美（你懂的）、UL（被默认的NRTL认证） ，其中Wyle Laboratories 于09/08/2011被取消NRTL资格。
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) V4 k: N( }6 X可能很多人奇怪，这里面怎么会有几家欧洲公司控股的机构，在CPL 01-00-003的第III节有提到这方面的问题：
( u5 {: w/ H, m( |Eligibility. Any testing organization based within or outside the United States may apply to the NRTL Program for recognition. They may be organized as for-profit or as nonprofit entities. However, approval to recognize a foreign-based organization is contingent on a determination by the US Trade Representative on "equal treatment" (as required in I.A.1 of Appendix A to 29 CFR 1910.7).
也就是说，任何在美国本土或本土以外的机构可以申请NRTL认证。他们可以是盈利的或非盈利的实体。然而，美国本土以外的测试机构还是要视乎美国商务部“同等对待”原则，来认可是否可以接受NRTL认证。那么CQC什么时候敢向OSHA申请NRTL呢？我想应该是你的产品不需要向CQC申请认证CCC而是向UL等NRTL之类的机构申请CCC认证的时候，我想OSHA应该就会毫不犹豫地接受CQC的NRTL申请，当然也视乎CQC是否有能力遵守NRTL的Program了。
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) Y( }$ e& n4 ^- W' O1 g, y' E关于授权认证的范围：
5 Z& G1 C- K: H6 W' S( vOSHA只是向NRTLs授权相关的标准而不是向NRTLs授权产品类别。OSHA在其官方网站对授权的NRTL都有明确清单，你可以点击以下链接查询他们标准的授权：

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• Canadian Standards Association (CSA)
  (also known as CSA International)
• Communication Certification Laboratory, Inc. (CCL)
• Curtis-Straus LLC (CSL)
• FM Approvals LLC (FM)
  (formerly Factory Mutual Research Corporation)
• Intertek Testing Services NA, Inc. (ITSNA)
  (formerly ETL)
• MET Laboratories, Inc. (MET)
• NSF International (NSF)
• National Technical Systems, Inc. (NTS)
• QPS Evaluation Services Inc. (QPS)
• SGS U.S. Testing Company, Inc. (SGSUS)
  / H: t3 J4 I3 T- W: a, ~(formerly UST-CA)
• Southwest Research Institute (SWRI)
• TUV Rheinland PTL, LLC (TUVPTL)
• TÜV SÜD America, Inc. (TUVAM)
• TÜV SÜD Product Services GmbH (TUVPSG)
• TUV Rheinland of North America, Inc. (TUV)
• Underwriters Laboratories Inc. (UL)
  

CPL 01-00-003 在Appendix D里有详细授权NRTL标准的解释。

关于认证数据接受模式：
根据1995年3月9日的60 FR 12980，NRTL接受以下9种数据模式：
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• The basic procedure (i.e, program) ——最基本的NRTL模式，即在自己的实验室测试
• Acceptance of testing data from independent organizations, other than NRTLs——接受其他除了NRTL以外的独立组织的测试数据
• Acceptance of product evaluations from independent organizations, other than NRTLs ——接受其他非NRTL、独立组织的产品评估；
• Acceptance of witnessed testing data ——目击测试数据，等同于UL很广泛的使用WTDP
• Acceptance of testing data from non-independent organizations ——接受其他非独立组织的测试数据
• Acceptance of evaluation data from non-independent organizations (requiring NRTL review prior to marketing) ——接受其他非独立组织的产品评估，必须要NRTL评估后才能投放市场
• Acceptance of continued certification following minor product modifications by the client ——接受客户自主的产品细微修改
• Acceptance of product evaluations from organizations that function as part of the International Electrotechnical Commission Certification Body (IEC-CB) Scheme ——接受ECEE-CB Scheme的产品评估
• Acceptance of services other than testing or evaluation performed by subcontractors or agents ——接受非测试或评估的分包商或代理商的服务
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这里就是大家经常在说的WTDP的法律依据。
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关于NRTL认证涵盖的产品范围：
OSHA关注的是 safety of workplace，所以与人工作环境相关的产品才需要NRTL认证，并不是所有的产品都需要NRTL认证。CPL 01-00-003 在Appendix A里有详细地列出了37种产品需要做NRTL认证，而我们安规人接触最多的电器产品认证是第一大类的一些产品。
% F  d7 X0 t- `5 q- p1 l; z/ x附NRTL认证产品涵盖清单：

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1. Electrical conductors or equipment (Subpart S of Part 1910).大家接触最多的产品




2. Automatic sprinkler systems. 3. Fixed extinguishing systems (dry chemical, water spray, foam, or gaseous agents). 4. Fixed extinguishing systems components and agents. 5 S' S1 e. J  T  b* z. I5. Portable fire extinguishers. " G. S4 D8 N( d0 C6. Automatic fire detection devices and equipment. 7. Employee alarm systems.


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8. Self-closing fire doors. 9. Fire (B) doors. % S+ I  V. b  g1 w" n% W! z10. Windows (frames).




11. Heat actuated (closing) devices (dip tanks).


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12. Exit components.


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13. Spray booth overspray filters.


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14. Flame arresters, check valves, hose (transfer stations), portable tanks and safety cans - (flammable/combustible liquids). 15. Pumps and self-closing faucets (for dispensing Class I liquids). ' r- A( n0 t  i# \& m  c; C' U/ k4 s* |16. Flexible connectors (piping, valves, fittings) - (flammable liquids).




17. Service station dispensing units (automotive, marine). 18. Mechanical or gravity ventilation systems (automotive service station dispensing area). 19. Automotive service station latch-open devices for dispensing units.




20. New commercial and industrial LPG consuming appliances. 21. Flexible connectors (piping, valves, fittings) - LPG. 22. Powered industrial truck LPG conversion equipment. 0 N7 H, t; O# j3 Q" j- {6 u6 e23. LPG storage and handling systems ( DOT containers, cylinders). 1 @# V: {' N- R; x24. Automatic shut-off devices (portable LPG heaters including salamanders). 2 d' d& z: G2 _9 O; F* |  O25. LPG container assemblies (non-DOT) for interchangeable installation above or under ground.


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26. Fixed electrostatic apparatus and devices (coating operations). 27. Electrostatic hand spray apparatus and devices. 28. Electrostatic fluidized beds and associated equipment.


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29. Each appurtenance (e.g., pumps, compressors, safety relief devices, liquid-level gaging devices, valves and pressure gages) in storage and handling of anhydrous ammonia.


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30. Gasoline, LPG, diesel, or electrically powered industrial trucks used in hazardous atmospheres.


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31. Acetylene apparatus (torches, regulators or pressure-reducing valves, generators [stationary and portable], manifolds). 32. Acetylene generator compressors or booster systems. 33. Acetylene piping protective devices. 2 Y8 |2 d: n9 \34. Manifolds (fuel gas or oxygen) - separately for each component part or as assembled units.




35. Scaffolding and power or manually operated units of single-point adjustable suspension scaffolds. 2 t5 w$ a( s- p' {2 [36. Hoisting machine and supports (Stone setters' adjustable multiple-point suspension scaffold). / g& D0 y8 G$ n0 ?' j' e37. Hoisting machines (Two-point suspension scaffolds; Masons' adjustable multiple-point suspension scaffold.


& l6 k( f' ^2 u/ J关于NRTL认证的标志请参考：
4 x/ i+ }7 ~3 p7 Q3 E; E7 \2 Thttp://www.osha.gov/dts/otpca/nrtl/nrtlmrk.html

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& A5 Q0 X; F2 Z后来QQ群有位会员总结的很好，在满足法律的前提下尽量满足客户要求来做产品认证。（具体原文需翻阅安规网珠江三角QQ群聊天记录，后面更新该语句）。
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广州-wangcw 12:09:43 PM
其实没什么好争的，认证法律跟客户要求是两码事，满足法律要求的前提下，再满足客户的要求就OK,搞清楚这个就可以了

以上说明仅简单地概述了一下美国NRTL认证的一些法律依据，不做过多的介绍，有兴趣的同学可以参考一下CPL 01-00-003、29 CFR 1910。
相信通过以上简单的概述，UL是自愿认证还是强制认证不言而喻。用标准的语句来说应当是：
" S2 {- \5 t! }' a* E落在NRTL认证范围内的产品，进行NRTL认证是强制的，是否选择UL认证，是自愿的。
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+ g1 j  P& ^, D( r: D* x$ j相关链接：
4 |0 M8 I; u. O1、认可的NRTL实验室清单：
/ d. F# W3 U: ^$ X2 j4 e! i8 phttps://www.osha.gov/nationally-recognized-testing-laboratory-program/current-list-of-nrtls

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) B' x+ J: u7 n0 m（旧：http://www.osha.gov/dts/otpca/nrtl/ ）
2、认可NRTL实验室指导书CPL 01-00-003：
  J( N1 \" ~% l, T2 o4 Hhttp://www.osha.gov/pls/oshaweb/ ... p_id=2004#APPENDIXA
' Q" s$ F: M/ U; S  v3、29 CFR section 1910
http://www.osha.gov/pls/oshaweb/ ... &p_part_number=1910
' I, \* _3 Q0 ~# a; M- chttp://ecfr.gpoaccess.gov/cgi/t/ ... cfr1910_main_02.tpl
1 P* v5 T' d2 F" b( Xhttp://www.gpo.gov/fdsys/pkg/CFR ... -vol5-sec1910-7.pdf
  R2 Z/ e) R- e, [http://www.osha.gov/pls/oshaweb/ ... STANDARDS&p_id=9703
4、NRTL FAQ

7 V) Q5 `. B# f( ~. I8 F& shttps://www.osha.gov/nationally-recognized-testing-laboratory-program/frequently-asked-questions#nrtls
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（旧：http://www.osha.gov/dts/otpca/nrtl/faq_nrtl.html）
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4 F5 p* V8 M3 |) O! X" N8 j5、需NRTL认证的产品：
! e1 H+ J. i' F+ R3 @5 }http://www.osha.gov/dts/otpca/nrtl/prodcatg.html
6、被取消的NRTL或认可场地：
8 T4 U) u- `) k, g( U% Qhttp://www.osha.gov/dts/otpca/nrtl/recgterm.html
3 ^0 f2 W2 ~6 g7、需NRTL认证的标准清单：
http://www.osha.gov/dts/otpca/nrtl/1910refs.html

上水白龙

学习了，受益非浅啊。wyle被取消资格，太可惜了。

hdf590

是啊，当年这事出来后好多的已经拿到过wyle认证的产品都不知道下一步怎么做了。
9 A$ p+ l/ h. D7 O8 o* U多谢Fasten的整理，有些问题是要说清楚了，要不将来人家会说起做安规的怎么都是靠忽悠

K飘逸

谢谢分享！

kirk630330

这么好的一篇, 怎会那么少人来支持呢?

Bill.Lin

學習了~~感恩喔~~

vickywu

很經典的分析，收益了

jianfie

受益非浅啊。

cwlee

好文章，基础知识, BZ辛苦了~~

4sea

醍醐灌顶啊