NSF International Certification Policies

NSF International
Certification Policies for
NSF Protocols and
Non-NSF Standards

May 18, 2021

 NSF International Certification Policies NSF Protocols and Non-NSF Standards

NSF International, an independent, not-for-

profit, 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, Engineering and Research Services

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: [email protected]
Web: http://www.nsf.org

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NSF International
Certification Policies

NSF Protocols and

Non-NSF Standards

Developer
NSF International

Adopted
NSF International

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Prepared by
NSF’s Engineering and Research Services Program

Impartiality review completed by

The NSF Certification Council

Adopted by
NSF International

Revisions to Program Specific Policies Revisions to General Policies

Reaffirmed September 2011 September 2005
May 2013 March 2006
June 2015 March 2008
February 2016 November 2009
December 2013
April 2014
September 2015
May 2017
July 2017
December 2017
May 2021

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 NSF Protocols and Non-NSF Standards.

Copyright 2021 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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Foreword 1

This edition of the Certification Policies for NSF Protocols and Non-NSF Standards includes the
following changes to the General Policies, effective May 18, 2021:

Revisions:
• A majority of the General Policies were revised to improve clarity, simplify and align with
current NSF processes.
• Introduction was revised to add references to annexes and include the following language:
General Policies take precedence over program policies.
• Revised Certification definition to improve clarity and to include Verification and Registration
schemes.
• Added CAPA, Certification Services and Private Labeling definitions.
• Contract, Location, Mark, and NSF definitions have been revised to simplify.
• New Product and NSF Requirements definitions have been revised to improve clarity.
• GP – 1 Eligibility was revised.
• GP – 3 Contract was updated to align with current practices for NSF Contracts and to include
references to other requirements the client shall abide by.
• GP – 4 Notification of Certification and Authorization for Use of the Mark was revised to
improve clarity and include additional requirements related to use of NSF IP by clients.
• GP – 5 Transfer of Authorization for Certification and Use of the Mark was revised to improve
clarity on the process and requirements for transferring certification.
• GP – 6 NSF Acknowledgement of Certified products was revised to include reference to the
Program Policies where the use of the Mark for specific programs is described. Added
clarification for “physical” Certified Products and requirements for when certified products are
sold with noncertified products.
• GP – 7 Use of the Mark for Products Shown in the Official Listing was revised to clarify
requirements for use of the Mark and include action to be taken by NSF for failure to abide by
NSF Requirements.
• GP – 8 Trade Designations was revised to improve clarity.
• GP – 10 (OLD GP – 11) Product Modification was revised to improve clarity.
• GP – 11 (OLD GP – 12) Implementation of Revisions to Standards and Policies was revised to
replace Standard references with “NSF Requirement” to generalize as other types of documents
may be used as the basis of Certification.
• GP – 12 (OLD GP – 13) Private Labeling of Certified Products was revised to include web pages
and point of sale packaging Marking requirements. Included reference to additional fees and
terms and conditions that may apply to the Company for private labeling.
• GP – 13 (OLD GP – 14) Requirement and Purpose of Audits was revised to include reference to
the General Policies.
• GP – 14 (OLD GP – 15) Access for Audits was revised to include access to both the Company
and the Company’s subcontractors (where applicable).
• GP – 15 (OLD GP – 16) Cooperation with NSF was revised to simplify language and added
clarification for when an NSF representative may discontinue an audit.
• GP – 16 (OLD GP – 17) Sample Collection was revised to clarify that samples may be submitted
to NSF as required by the NSF Requirements.

1In 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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• GP – 17 (OLD GP – 18) Corrective Action Report was revised to remove the length of time for
NSF to provide the corrective action report as this may vary by NSF Program and may be
disclosed in a program document or program policies.
• GP – 18 (OLD GP – 19) Audit Suspension Due to Travel Restrictions was revised to allow for
audits by alternate means when necessary.
• GP – 23 (OLD GP – 25) Disposition of Test Samples was revised to include clarification on NSF
retaining test samples.
• GP – 25 Company Records (OLD GP – 27 Company Records of Materials and Components) was
revised to include a list of additional company records to be maintained from OLD GP – 28 and
to include clarification that another time period may be required by the NSF Requirements to
maintain these records.
• OLD GP – 28 Company Records of Production, Shipment and Inventory merged with GP – 25.
• GP – 26 Company Complaint Records (OLD GP -29 Company Records of Complaints About its
Certified Products) was revised to simplify company records for complaints.
• GP – 27 (OLD GP – 30) Confidentiality was updated.
• GP – 28 (OLD GP – 32) Use of the Mark or claims of NSF Certification by Certified Companies:
Advertising, Packaging, and Literature was revised to clarify that these requirements also apply
for claims of NSF Certification and not for Mark usage only. Added in reference to additional
requirements the Company shall comply with.
• GP – 29 (OLD GP – 33) Use of the Mark or claims of NSF Certification by Parties other than the
Certified Company: Advertising and Literature was revised to clarify that these requirements also
apply for claims of NSF Certification and not for Mark usage only. Added in reference to
additional requirements the Company shall comply with.
• GP – 30 (OLD GP – 34) Complaints was revised to align with NSF’s current process.
• GP – 32 (OLD GP – 36) Corrective Action for General Noncompliance was revised to clarify the
CAPA process, requirements of the Company and to align with current NSF processes in the
event of a noncompliance.
• GP – 33 (OLD GP – 37) Noncompliant Test Results for Initial Qualification was revised to
clarify the CAPA process, requirements and NSF’s current processes in the event of a
noncompliant test result for an initial qualification.
• GP – 34 (OLD GP – 38) Noncompliant Test Results for Certified Products was revised to clarify
that sample submission by the client is permitted unless audit collection is required.
• GP – 35 (OLD GP – 39) Noncompliant Retest Results for Certified Products was revised to
clarify that NSF may withdraw Certification for a product due to any nonconformance.
• GP – 36 (OLD GP – 40) Use of the Mark on a Non-Certified Product removed the option of an
administrative hearing as NSF no longer performs administrative hearings. Other measures as
stated in the General Policies will be taken by NSF as a result of misuse of the Mark.
• GP – 37 (OLD GP – 41) Unauthorized Change to a Certified Product was revised to clarify that
any unauthorized changes to a Certified Product results in the product not being certified. Other
measures as stated in the General Policies will be taken by NSF as a result of unauthorized
changes.
• GP – 38 (OLD GP – 42) Unauthorized Shipment or Disposal of Certified or Non-certified
Products Placed on Hold was revised to remove Product Recall and administrative hearing as
options NSF may take as a result of unauthorized shipment or disposal of products placed on
hold.
• GP – 39 (OLD – 43) Bribes Offered to NSF was updated to revise “may” to “shall” as bribes
offered to NSF will result in immediate withdrawal of Certification.
• GP – 40 (OLD GP – 46) Withdrawal of Certification was revised to update 20 calendar days to 14
calendar days for company to comply with requirements of the withdrawal of certification. Added

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in additional requirements for digital marketing along with the option for NSF to verify complaint
via an audit, if necessary.
• GP – 41 (OLD GP – 47) Public Notice was updated to simplify NSF’s Public Notice process and
to allow for all previously mentioned actions to be taken by NSF, at its discretion.
• GP – 43 (OLD GP – 49) Appeal of a Decision, Result or Action taken by NSF was revised to
align with NSF’s current Appeals process.
• Annex Z was updated.

Removals:
• Removed Client, Recall, and Type Testing definitions.
• OLD GP – 9 Use of the Mark for New products was removed as it is duplicative of other policies.
• OLD GP – 21 Scope of testing was removed as this is duplicative to other general policies.
• OLD GP – 31 Procedures Upon Receipt of Subpoena for Confidential Business Information was
removed as this is duplicative of the NSF Contract for Certification Services.
• OLD GP – 44 Request for Recall of Products was removed. Other measures as stated in the
General Policies will be taken by NSF.
• OLD GP – 45 Administrative Hearings was removed as NSF no longer performs administrative
hearings.
• OLD GP – 54 Additional Charges and OLD GP – 56 Charges by Governmental Agencies was
removed as this would be included in the quote or contract.

Suggestions for improvement of this Policy are welcome. Comments should be sent to the Secretariat of
the Certification Council, c/o NSF International, PO Box 130140, Ann Arbor, Michigan 48113-0140,
USA.

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TABLE OF CONTENTS

SECTION I. GENERAL POLICIES FOR ALL PRODUCTS PAGE

INTRODUCTION.................................................................................................................................... 1

DEFINITIONS ......................................................................................................................................... 1

AUTHORIZATION FOR NSF CERTIFICATION

GP – 1. Eligibility ..................................................................................................................................... 2
GP – 2. Application .................................................................................................................................. 2
GP – 3. Contract ....................................................................................................................................... 3
GP – 4. Notification of Certification and Authorization for Use of the Mark ..........................................3
GP – 5. Transfer of Authorization for Certification and Use of the Mark................................................3
GP – 6. NSF Acknowledgment of Certified Products .............................................................................. 3
GP – 7. Use of the Mark for Products Shown in the Official Listing .......................................................4
GP – 8. Trade Designations ...................................................................................................................... 4
GP – 9. Use of the Mark at Authorized Locations.................................................................................... 4
GP – 10. Product Modification ................................................................................................................... 4
GP – 11. Implementation of Revisions to Standards or Policies ................................................................4
GP – 12. Private Labeling of Certified Products ........................................................................................ 5

AUDIT
GP – 13. Requirement and Purpose of Audits ............................................................................................ 5
GP – 14. Access for Audits......................................................................................................................... 5
GP – 15. Cooperation with NSF ................................................................................................................. 6
GP – 16. Sample Collection........................................................................................................................ 6
GP – 17. Corrective Action Report............................................................................................................. 6
GP – 18. Audit Suspension Due to Travel Restrictions .............................................................................. 6
GP – 19. Non-Operational Locations ......................................................................................................... 7

TESTING
GP – 20. Conduct of Testing ...................................................................................................................... 7
GP – 21. Test Report .................................................................................................................................. 7
GP – 22. Periodic Testing of Certified Products ........................................................................................ 7
GP – 23. Disposition of Test Samples ........................................................................................................ 7

RECORDS
GP – 24. Records of Certified Product Information ................................................................................... 7
GP – 25. Company Records........................................................................................................................ 8
GP – 26. Company Complaint Records ...................................................................................................... 8

CONFIDENTIALITY
GP – 27. Confidentiality ............................................................................................................................. 8

ADVERTISING
GP – 28. Use of the Mark or claims of NSF Certification by Certified Companies: Advertising,
Packaging, and Literature ......................................................................................................... 9
GP – 29. Use of the Mark or claims of NSF Certification by Parties other than the Certified Company:
Advertising and Literature........................................................................................................ 9

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INVESTIGATION OF COMPLAINTS
GP – 30. Complaints ................................................................................................................................. 10
GP – 31. Investigation of Complaints: Sample Selection and Handling ..................................................10

CORRECTIVE ACTION AND ENFORCEMENT

GP – 32. Corrective Action for General Noncompliance ......................................................................... 10
GP – 33. Noncompliant Test Results for Initial Qualification.................................................................. 11
GP – 34. Noncompliant Test Results for Certified Products .................................................................... 11
GP – 35. Noncompliant Retest Results for Certified Products ................................................................. 12
GP – 36. Use of the Mark on a Non-Certified Product............................................................................. 12
GP – 37. Unauthorized Change to a Certified Product ............................................................................. 12
GP – 38. Unauthorized Shipment or Disposal of Certified or Non-certified Products Placed on Hold ...12
GP – 39. Bribes Offered to NSF ............................................................................................................... 13
GP – 40. Withdrawal of Certification ....................................................................................................... 13
GP – 41. Public Notice ............................................................................................................................. 13
GP – 42. Reinstatement ............................................................................................................................ 14

APPEALS
GP – 43. Appeal of a Decision, Result or Action taken by NSF .............................................................. 14
GP – 44. Legal Action .............................................................................................................................. 14

FEES
GP – 45. Application Fee.......................................................................................................................... 14
GP – 46. Standards Maintenance Fee ....................................................................................................... 14
GP – 47. Certification Fee ........................................................................................................................ 14
GP – 48. Collection Fee ............................................................................................................................ 15

ANNEX Z.................................................................................................................................................. Z1

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SECTION II. PROGRAM-SPECIFIC POLICIES FOR NSF PROTOCOLS AND

NON-NSF STANDARDS

INTRODUCTION..................................................................................................................................... 17
DEFINITIONS .......................................................................................................................................... 17

MARKING
PP – 1. NSF Certification Marks for NSF Protocols and Non-NSF Standards .......................................... 18
PP – 2. Model Designation ......................................................................................................................... 19

OFFICIAL LISTING
PP – 3. Format - Certified Company .......................................................................................................... 19

TESTING
PP – 4. Distribution of Test Data ............................................................................................................... 19
PP – 5. Certification of Additional Models Without Testing ..................................................................... 19
PP – 6. Certified Products Not Available for Periodic Testing .................................................................. 20
PP – 7. Noncompliant Test Results for Certified Products ........................................................................ 20

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SECTION I. GENERAL POLICIES FOR ALL PRODUCTS

INTRODUCTION

NSF offers Certification of Products to any Company, subject to the requirements of the general and
program specific policies and any annexes attached hereto, including but not limited to Annex Z.

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. For clarity and ease of reference, these policies are presented as individually numbered items with
appropriate headings.

In the event of a conflict, the general policies take precedence over program policies.

DEFINITIONS

CAPA An investigation into any noncompliance to expected or desired outcome

(Corrective Action/ that identifies the underlying root cause or reason the noncompliance
Preventive Action) – happened, determines corrective action to restore compliance and
preventive action to ensure the noncompliance does not recur.

Certified Product – Product authorized by NSF for Certification and use of the Mark.

Certification – NSF determination that adequate confidence is achieved that a duly

identified Product is in conformity with all applicable NSF Requirements.
For Verification schemes, replace the word “Certification” with
“Verification” and for “Registration” schemes, replace the word
“Certification” with “Registration”.

* THE TERMS “LISTING” OR “LISTED” OR

“CERTIFIED” ARE SYNONYMOUS WITH
CERTIFICATION.

Certification Services – Any work that NSF performs as part of the process for applying, achieving
or continuing Certification.

Company – The entity executing the Contract to seek Certification Services.

Compliance – Conformance with all NSF Requirement(s).

Contract – The authorized written agreement with NSF for Certification Services.

Distributor – The distributor is responsible for issuing catalogues and handling sales
functions for the brand. The distributor has direct interaction with the
retailer or purchasing customer.

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Location – Any point of final production or assembly. Multiple locations that can be
audited in one audit day (eight hours) may be considered one location.

Mark – An NSF trademark designated for the applicable Certification programs

and used to represent Certification.

New Product – Products manufactured, assembled, added or implemented after the date of
Certification.

Noncompliance – Lack of conformance with any NSF Requirement.

NSF – NSF International or its subsidiaries and affiliates.

NSF Requirements – Requirements of the relevant Standards, scheme, or program including but
not limited to the general and program specific policies, requirement
documents 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.

Private Labeling – Manufacture of a product by one company for sale under another
company’s brand.

Product – Any good, equipment, component, system, service, material, location,

compound, or ingredient covered by a Standard for which NSF offers
Certification, including those made on the behalf of another manufacturer
or those distributed by companies other than the manufacturer.

Public Notice – Distribution of a written notice of non-compliance.

Standard – The document that is the basis for the Certification. This document may be
an NSF Standard or protocol, an NSF/ANSI Standard, another voluntary
standard, an NSF Criteria or other criteria, a government regulation, or
other specifications.

Subcontract A laboratory that has been evaluated and contracted by NSF to perform
Laboratory (SCL) – testing for NSF in accordance with NSF Requirements and procedures.

AUTHORIZATION FOR NSF CERTIFICATION

GP – 1. Eligibility
A company with Products covered by a Standard for which NSF offers Certification is eligible
to seek Certification from NSF.

GP – 2. Application
Application materials provided by NSF shall be completed by the Company for each physical
address where Certification Services are requested.

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GP – 3. Contract
Company and NSF shall execute a contract provided by NSF. A separate contract is required
for each subsidiary or division of a Company requesting a separate Official Listing. A contract
shall be in place with the legal entity receiving Certification. A Company’s subsidiaries and/
or affiliates may not utilize the Company’s Contract unless bound by the Contract and approved
by NSF. NSF may require separate Contracts. If a Company seeks Certification of Product(s)
under more than one NSF Certification program, NSF may require separate Contracts for each
program service area.

In addition to the Contract, the Company shall abide by the terms of the NSF Requirements
and any annex, appendix, schedule, etc. attached hereto and as such, are incorporated herein by
reference.

GP – 4. Notification of Certification and Authorization for Use of the Mark

The Company shall be advised in writing of the Certification, and the Certification may be
made public by NSF or as otherwise specified by the NSF Requirements. If applicable, upon
receipt of notification, the Company is authorized use the Mark in connection with Certified
Product(s) as outlined in these Policies and the NSF Requirements. The Company may be
required to enter into a separate license agreement with a third party, such as a scheme owner,
for use of the applicable mark.

The Company may not use the Mark in any way until receipt of written authorization from
NSF. Unauthorized use of the Mark is prohibited. In the event that NSF determines that a
Product is not in compliance with NSF Requirements, use of the Mark is not authorized. NSF
may withdraw authorization to use the Mark at any time.

The Company agrees that the Mark, NSF logo and NSF name (“NSF IP”) are the sole property
of NSF and nothing in these Policies or the Contract transfer any ownership of the NSF IP to
the Company. The Company further represents and warrants that the Company shall not (1)
register or attempt to register any NSF IP or anything which encompasses or incorporate the
NSF IP, (2) claim of otherwise represent that the Company has any right, title or interest in the
NSF IP, (3) giver permission for any third party to use the NSF IP unless otherwise permitted
in writing by NSF, or (4) do anything that is prejudicial to the interest of NSF in or to the NSF
IP.

GP – 5. Transfer of Authorization for Certification and Use of the Mark

Upon request and with documentation of continued compliance with all applicable NSF
Requirements, NSF, in its sole discretion, may approve the transfer of the Contract and
respective Certification of specific Products to another Company for the purpose of a name
change, change of ownership, or change of a location provided that the transfer is permitted by
the Standard and the Company and the new Company execute all required documents from
NSF.

GP – 6. NSF Acknowledgment of Certified Products

Certified Products shall bear the Mark or be otherwise represented as Certified as described in
the program specific policies. For physical Certified Products that do not bear the Mark (e.g.
not a system, service or location), a statement shall be included in the Official Listing indicating
how the Product will be represented as being Certified.

When a Certified Product is sold with any non-Certified product, the Company shall clearly
indicate in a manner visible at minimum at the point of sale, that the non-Certified product has

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not been evaluated to the respective Standard. NSF reserves full discretion in determining
acceptability of the delineation between Certified Product and noncertified product.

GP – 7. Use of the Mark for Products Shown in the Official Listing

The Company shall represent as Certified only Products that are in compliance with all
applicable NSF Requirements. Products may not be represented as Certified until the trade
designation or model designation appears in the Company’s Official NSF Listing.

Certification shall only be represented as specifically authorized by NSF. The NSF Product
marking and advertising shall not directly or indirectly represent, imply, or claim an NSF
Certification for an end use application for which it is not Certified by NSF.

Failure to abide by the NSF Requirements in relation to usage of the Mark and claims may
result in enforcement action including but not limited to, withdrawal of Certification, and
Public Notice.

GP – 8. Trade Designations
A Company shall not use the letters “NSF” in its trade designation or unique identifier (e.g.,
name, model number, or other identification assigned by the Company) for a Certified or non-
certified Product, unless prior written authorization from NSF allows otherwise.

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.

NSF shall review any trade designation that references all or a portion of the designation of a
Standard (e.g., “51” for NSF 51, “C900” or “AWWA C900” for AWWA C900), or official
regulation (e.g., the Codex Alimentarius) before use by the Company. NSF in its sole discretion
shall determine whether the use of any trade designation reference is authorized. NSF may
include information about the scope of the NSF Certification to any Standards or regulations
referenced in a trade designation in the Product’s Official Listing.

GP – 9. Use of the Mark at Authorized Locations

The Mark shall be placed on Products only at Locations authorized by NSF, unless prior written
authorization from NSF permits placement at another location.

GP – 10. Product Modification

The Company shall notify and request authorization from NSF in writing prior to any changes
of a Certified Product where such changes are related to any NSF Requirement. The change
shall be reviewed by NSF and NSF will advise of any required evaluation or testing. The
Company shall not make such changes to a Certified Product without prior written acceptance
by NSF.

GP – 11. Implementation of Revisions to Standards or Policies

Upon adoption of a revision to an NSF Requirement that is applicable for Certification, NSF
shall publish an effective date of implementation. All Certified Products shall be verified as
complying with the requirements of the revised NSF Requirement on or before the effective
date of implementation.

Except as provided below, Products submitted for Certification after the date of adoption of a
revision to an NSF Requirement and prior to the date of implementation may be evaluated and
tested to the previous version of the NSF Requirement. However, full compliance with the

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revision shall be verified prior to the date of implementation. When a revision to an NSF
Requirement addresses an identified public health issue, new or modified products submitted
for Certification after the date of adoption and prior to the date of implementation of the revised
NSF Requirement shall be in full compliance with the revised NSF Requirement upon
qualification.

GP – 12. Private Labeling of Certified Products

If authorized by NSF, a Company shall be authorized to label Certified Products with a name
and trade designation, other than the Company’s, under one of the following provisions:

• Marking for the privately labeled Product shall include the name and trade designation
of the company for whom the private labeling is occurring and shall also prominently
identify the original Company as the manufacturer of the product. The original
Company’s name and address (or a unique company identifier approved by NSF); and
listed trade designation shall be included on the label or data plate, and in all
advertising materials including on all webpages and point of sales packaging. This
information is required in close proximity to each Mark or Certification claim, and in
font size equivalent or larger than that of the privately labeled name and trade
designation; or

• The original Company’s Official Listing shall include the name and trade designation
of the company for whom the private labeling is occurring; or

• The original Company shall private label the Product with no modifications as
“Another Name For” on behalf of the private label company. A separate Listing shall
be issued by NSF in the name of the private label company, which is supported by the
original Company’s Certified Product.

The Company shall be subject to additional fees and/or terms and conditions with regards to
authorized private labeling.

AUDIT

GP – 13. Requirement and Purpose of Audits

Except where otherwise provided for by these General Policies and program specific policies;
an audit of all relevant facilities of the Company shall 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.

At the election of NSF, subcontract auditors may be used in lieu of NSF staff auditors.

GP – 14. Access for Audits

Access to facilities and Locations, of both the Company and the Company’s subcontractors
(where applicable) 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 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

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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.

GP – 15. Cooperation with NSF

The Company shall provide any assistance required by NSF.

While in a Company's facility, NSF representatives shall comply with all applicable health and
safety laws. The Company shall provide authorized Company personnel to accompany NSF
representatives while in the Company’s facility. The Company shall notify NSF in advance of
any health and safety equipment necessary for access to the Company’s facility or shall provide
the necessary health and safety equipment for the NSF representative’s use during the audit,
along with instructions for proper use.

NSF representatives’ may discontinue an audit at any time where their health and safety may
be at risk, if they are subject to harassment or discrimination, if they feel threatened or subject
to abusive behavior, or the conduct of the Company staff hampers the completion of a valid
audit. NSF representatives may also discontinue an audit in the presence of an individual who
they believe may, intentionally or otherwise, influence its outcome in an inappropriate manner.
A representative shall immediately notify the Company and NSF if an audit is to be
discontinued.

GP – 16. Sample Collection

The Company shall provide samples of the Product and/or raw material for testing and retesting
when and as required by the NSF Requirements. The samples shall be provided to NSF without
charge and shipped immediately to NSF prepaid by the Company. NSF at its sole discretion
may determine the appropriate method for obtaining a sample, including but not limited to
obtaining a sample from the marketplace, at the Company’s expense. It is acknowledged that
samples collected outside the United States may experience delays in customs and transit.

GP – 17. Corrective Action Report

NSF shall provide the Company with a report detailing all nonconformances noted during the
audit.

GP – 18. 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 audits from being conducted, NSF shall notify the Company
that travel has been suspended. Where an audit is mandatory for Certification, the Certification
for the Location will be denied or withdrawn until audits can be resumed.

If NSF, at its sole discretion, determines that alternate measures may be used in place of an
onsite audit, NSF shall notify the Company of the alternate measures necessary in order to
proceed with Certification during the period in which audits are not possible.

A Company’s failure to comply with the alternate measures directed by NSF may result in the
withdrawal or denial of Certification.

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If the audit is conducted by the terms of this Policy in place of an on-site audit and the travel
suspension cannot be lifted after a one (1) year period for an initial audit or a two (2) year
period for a surveillance audit, Certification for the Location may be continued for another
length of time if approved by program management and authorized by the scheme and
accreditation body. Otherwise, the Location shall be withdrawn from Certification.

GP – 19. Non-Operational Locations

In the event that a 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 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 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 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 Location.

TESTING

GP – 20. Conduct of Testing

At NSF’s sole discretion, testing may be conducted at NSF, a subcontract laboratory, the
Company’s Location, or another site, as acceptable to NSF.

GP – 21. Test Report

Upon completion of testing, NSF shall provide the 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.

GP – 22. Periodic Testing of Certified Products

Periodic testing of Certified Products may be required by NSF to maintain Certification.

GP – 23. Disposition of Test Samples

NSF reserves the right to retain any Product and/or raw material samples in its discretion. All
samples not returned to the Company based on the Company’s direction in the sample
collection form shall be disposed of by NSF in its discretion.

RECORDS

GP – 24. Records of Certified Product Information

NSF may require a Company to submit information to document that a Product (or family of
Products) fully conforms with all applicable requirements for Certification. Product
information may be stored in a documentation report or other acceptable format. If required,
the documentation report shall be reviewed, approved and maintained by NSF. Each Location
shall have access to a copy of the documentation report, and it shall be made available for use

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during audits by NSF. The documentation report shall not be copied or distributed by the
Company without prior written authorization from NSF.

GP – 25. Company Records

The Company shall maintain, at the Location, or have immediate access to, records of the
purchase of ingredients, materials, and components used in the production or assembly of all
Certified Products, production records, shipment records, inventory records and any other
records as required by the NSF Requirements. 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, unless a different time period is identified in the applicable NSF Requirements.

If the records required by this policy are not retained at the location being audited, NSF shall
be advised by the Company in writing of the location of the records.

GP – 26. Company Complaint Records

The Company shall retain a record of complaints about its Certified Products relating to the
scope of Certification 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.

At a minimum, the record shall include:

• The nature of the complaint;

• Identification of the Product 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.

The identity of the complainant need not be provided to NSF.

The Company shall provide the record to NSF upon request by whatever means selected by
NSF.

CONFIDENTIALITY

GP – 27. Confidentiality
Where the Company provides NSF with Company Confidential Information, it shall be held in
strict confidence and shall not be disclosed or used for any purpose other than as specifically
authorized/provided in the NSF Requirements or the Contract without the prior written consent
of the Company. Confidential Information does not include information (a) that is or becomes
generally available in the public domain other than through the action of NSF, (b) lawfully in
the possession of NSF prior to disclosure by the Company, (c) lawfully obtained by NSF from
a third party, or (d) independently developed by NSF without use of the Company Confidential
Information. The term “Confidential Information” means any confidential or proprietary
information provided by the Company to NSF to enable NSF to perform the Certification
Services under the Contract.

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ADVERTISING

GP – 28. Use of the Mark or claims of NSF Certification by Certified Companies: Advertising,
Packaging, and Literature
Use of a Mark on sales literature, technical publications, promotions, materials, packaging,
catalogs, websites and in any format including electronic means, 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 clearly indicate in advertising, packaging, and literature that any
non-Certified product or component that is sold in combination with a Certified
Product has not been evaluated to the respective Standard;

• 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.

• Any use of the Mark in any literature and advertising that fails to truthfully and
accurately reflect the Product as Certified by NSF is prohibited. Any changes to the
product require that the Company shall notify NSF in writing prior to the change, in
compliance with GP-11; and

• The Company complies with all other marketing guidelines or instructions provided
by NSF (“Guidelines”). The Guidelines are hereby incorporated by reference into this
Policy. NSF reserves the right to modify the Guidelines from time to time.

GP – 29. Use of the Mark or claims of NSF Certification by Parties other than the Certified
Company: Advertising and Literature
Use of a Mark on sales literature, technical publications, promotions, materials, catalogs, and
in advertising of Certified Products by a party other than the Company is acceptable, provided
the party complies with the following:

• The party shall code literature to indicate version date;

• The party shall not directly or indirectly represent, advertise, imply, or claim that any
of its non-Certified Products are Certified by NSF;

• The party 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;

• The party includes the name of the Company whose products are Certified and are
being advertised, and the trade designation or model designation of the Certified
Products or includes specific instructions that at NSF’s sole discretion is adequate to
obtain the name of the Company and the trade designation or model designation of the
Certified Products; and

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• The Company complies with all other marketing guidelines or instructions provided
by NSF (“Guidelines”). The Guidelines are hereby incorporated by reference into this
Policy. NSF reserves the right to modify the Guidelines from time to time.

Parties other than the Company whose Product is Certified shall not apply the NSF Mark to a
product or any product packaging.

INVESTIGATION OF COMPLAINTS

GP – 30. Complaints
NSF shall investigate complaints by any party related to Certified Products, misuse of a Mark
or NSF claims or NSF’s Certification Services.

If the Company has a compliant to submit, the complaint shall be sent to NSF. When possible,
NSF shall acknowledge receipt of a complaint, investigate the complaint and take appropriate
action. NSF may advise the subject of the complaint or allegation. When possible, NSF shall
confirm to the source that the allegation has, or has not, been verified as valid. NSF is not
obligated to disclose any additional information concerning corrective actions.

Where possible, the identity of the source will be confidential.

If the Company submits a complaint to NSF about a third party and such complaint is
determined by NSF to be invalid, the Company shall reimburse NSF for all costs incurred by
NSF in investigating the complaint. If NSF receives a complaint about the Company and NSF
determines the complaint is valid, the Company shall reimburse NSF for all costs incurred by
NSF in investigating the complaint.

GP – 31. Investigation of Complaints: Sample Selection and Handling

NSF shall not, for complaint investigations:

• Test any samples submitted by a complainant, for enforcement purposes; 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.

Samples for testing for enforcement purposes shall be collected and tested by NSF.

CORRECTIVE ACTION AND ENFORCEMENT

GP – 32. Corrective Action for General Noncompliance

A Company shall be advised in writing by NSF of all items of Noncompliance. The Company
shall submit to NSF, in writing within 30 days, or the deadline as required by the standard or
scheme, of the date of receipt of written notice of the Noncompliance, a root cause analysis, a
corrective action and a preventive action plan (“CAPA”) for approval. Once NSF approves the
CAPA, the Company shall promptly implement the CAPA. NSF shall verify the Company’s
compliance with the CAPA by means acceptable to NSF.

Note: To prevent any misunderstanding, this policy does not relieve a

Company of its continuing responsibility to use the Mark (or otherwise represent

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as Certified) only on Products complying with all NSF requirements. The 30 days
applies to the report, not to the date for corrective action.

In addition to the CAPA, NSF may take the following action:

• NSF may require the Product to be held until the CAPA is completed;

• NSF may pursue additional enforcement action such as, but not limited to an
unannounced audit or increased audit frequency; and

• NSF may suspend or withdraw Certification for any or all Products for the Location.
Other appropriate action may be taken by NSF including, but not limited to, issuing a
Public Notice.

GP – 33. 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 investigate the noncompliant result and provide to NSF the
written results of its investigation, including the cause and any corrective and preventive
actions (CAPA) as well as its decision regarding resolution of the noncompliant result. NSF
shall notify the Company regarding the acceptance of the CAPA prior to any continuance of
testing should this be selected by the Company.

When noncompliant test results for an initial qualification represent a public health or safety
risk, NSF may notify the Company about the potential risk and/or may issue a Public Notice
even if the product is not yet Certified.

GP – 34. 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 stop all
use of the Mark on any noncomplying Product. The measures shall include:

• Investigation to determine that any continuing production is in compliance;

• Review of inventory of Product bearing the Mark to verify that it is in compliance; and

• Any other measures deemed necessary by NSF to protect public health including, but
not limited to an immediate Product hold, distribution of Public Notice, or the holding
in abeyance of any other product evaluation which could reasonably be expected to be
impacted by the noncompliance under investigation.

In addition to the preceding measures, the Company shall also determine the cause of the
Noncompliances and provide to NSF a description of the root cause and a proposed resolution
to the identified noncompliance in writing within 30 days of notification. The Company shall
promptly make any required samples available and shall be responsible for any additional costs
necessary to verify compliance. The Company shall then submit samples of the failed Product
within 30 days of having submitted the proposed resolution for the purpose of verifying that
the noncompliance is abated. At NSF’s discretion some retest samples may require auditor
collection.

In the event the Company cannot comply with the 30 day timeframes for proposed resolution
of the Noncompliances or the collection of retest samples, the Company shall advise NSF in

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writing of the proposed time to completion. NSF in its sole discretion shall determine the
acceptability of the requested extension.

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.

If the Company elects to drop the noncompliant Product from Listing, NSF reserves the right
to request the Company provide written corrective action if the Product is subsequently
resubmitted to NSF for qualification testing.

GP – 35. Noncompliant Retest Results for Certified Products

If the results of retesting of a Certified Product demonstrate failure for the original failed
parameter(s), NSF shall withdraw Certification of the Product. NSF may withdraw
Certification for any Nonconformances.

NSF may take any other measures deemed necessary to protect public health including, but not
limited to an immediate Product hold, distribution of Public Notice, or the holding in abeyance
of any other product evaluation which could reasonably be expected to be impacted by the
Noncompliance under investigation.

GP – 36. Use of the Mark on a Non-Certified Product

Use of the Mark on a non-Certified product or unauthorized or misleading claims or statements
regarding Certification are prohibited. If the Company uses the Mark on a non-Certified
product, NSF may withdraw Certification for one or all Products. Other appropriate action may
be taken by NSF including, but not limited to issuing a Public Notice.

GP – 37. Unauthorized Change to a Certified Product

Unless authorized by NSF, changes to Certified Product immediately result in the Product not
being Certified. The Company shall hold the changed Product in its inventory until released by
NSF in writing.

NSF may increase audit or testing frequency, conduct an unannounced audit, withdraw
Certification for one or all Products for the Location. In addition to the preceding, NSF at its
sole discretion may issue a Public Notice.

GP – 38. Unauthorized Shipment or Disposal of Certified or Non-certified Products Placed on

Hold
For the unauthorized shipment or disposal of any Product placed on hold, Certified or non-
certified, NSF may take any or all of the following actions:

• Increase number of annual facility audits

• Withdrawal of Certification, per GP-40, of the non-conforming
First Occurrence
Product(s)

• Increase number of annual facility audits

• Withdrawal of Certification, per GP-40, of the non-conforming
Second
Product(s)
Occurrence
• Withdrawal of Certification, per GP-40, of all Products Listed
at the Location

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Other appropriate actions may be taken by NSF, at any time, including, but not limited to
issuing a Public Notice.

GP – 39. Bribes Offered to NSF

Any attempt by a Company or its employees or agents to offer inducement or bribes to NSF
shall result in immediate withdrawal of Certification and other action deemed appropriate by
NSF.

GP – 40. Withdrawal of Certification

NSF may withdraw Certification of any Product, at any time, for failure to comply with any
NSF Requirements, including by not limited to termination of the Contract.

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. 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 or all Products, NSF may require the Company
to quarantine, dispose of, modify, or destroy the entire Product(s), by means acceptable to NSF,
to assure that it is not sold, used, or represented as Certified. The Company shall provide to
NSF its plan for the disposal, modification, or destruction of the Product(s) within 14 calendar
days of notification of withdrawal of Certification. NSF shall verify the action taken by the
Company.

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. Additionally, the Company shall cease all digital marketing and
advertising, remove all product images displaying the NSF Mark and cease all Certification
claims. The Company shall provide to NSF its plan for the disposal, modification, destruction,
or surrender of the Marks, marked materials and digital marketing compliance within 14
calendar days after NSF notifies the Company of withdrawal of Certification. Disposal,
modification or destruction of the Marks and marked materials shall be at the Company's
expense. NSF shall verify the action taken by the Company. No credit or refunds shall be
provided for Marks disposed of, modified, destroyed, or surrendered. The Company shall also
acknowledge in writing that it is not authorized to use the Mark or otherwise represent that any
of its Products are Certified.

If at NSF’s sole discretion determines that an audit is necessary to verify compliance, the
Company shall permit access.

GP – 41. Public Notice

NSF may issue a Public Notice for noncompliance with any NSF Requirement. NSF may also
require the Company to distribute a notice to known purchasers or recipients of the Product.
The Company shall cooperate in good faith with NSF in determining who should receive copies
of a Public Notice. The notice shall include the name of the Company, a description of the
Product, including its trade or model designation, the specific noncompliance and the specific
health consequences, if applicable.

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NSF may issue a press release of the notice to appropriate print and broadcast media. 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
and organizations routinely receiving the appropriate Certification information.

GP – 42. Reinstatement
Following withdrawal of Certification, Products may not be re-Certified until NSF has
reevaluated or retested, or both reevaluated and retested the Product, has verified that all items
of Noncompliance and issues of ethics or integrity, 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 – 43. Appeal of a Decision, Result or Action taken by NSF

Any decision, result or action taken by NSF may be appealed by the Company within thirty
(30) calendar days of the decision, result or action. The appellant may file a written request for
appeal with NSF staff. NSF shall, within thirty (30) calendar days of the written request, inform
the appellant of the results of the Appeal, unless otherwise notified by NSF.

NSF may, at its discretion, hold in abeyance any enforcement action against a Company until
the appeal has been conducted.

If the appellant is not satisfied with the outcome of the appeal, they have the right to contact
the accrediting body, if applicable.

GP – 44. 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 – 45. 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. This fee is nonrefundable.

GP – 46. 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.

GP – 47. 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.

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GP – 48. Collection Fee

The Company shall be responsible for any fees and costs incurred by NSF in collection of fees
in arrears.

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SECTION II. PROGRAM-SPECIFIC POLICIES FOR NSF PROTOCOLS AND NON-

NSF STANDARDS

INTRODUCTION

NSF’s Certification Policies for NSF Protocols is intended to cover the certification of products not
covered by specific NSF Standards.

The registered NSF Certification Mark on products covered by a Protocol confirms that NSF has assessed
and certified their conformity with the relevant NSF Protocols. As part of the certification process, the
production facility is audited. The purpose of this audit is to assure that all the requirements of the
Protocol are met, quality assurance and quality control procedures are followed in fabrication, products
are sampled and retested on schedule, and labeling and product literature are true and accurate.

While the standards and protocols outline the requirements for the products being certified, Policies are
necessary to outline the operational requirements for maintaining certification.

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 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 audits, testing, records, complaints, corrective action/enforcement, and appeals.

In addition to the general policies applicable to all products Certified by NSF, there are policies specific
to the Certification of products manufactured by per Protocol specifications. These are included in
Section II and relate to issues such as product marking, listing formats, product testing, and material
review processes.

Both the general and program specific policies must be considered in their entirety and shall be applied
within the context of the specific standard, protocol, government regulation, or other specifications
referenced in the Contract for Certification Services 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 is listed in the Table of Contents.

DEFINITIONS

Protocol – A written document that clearly states the objectives, goals and scope of the
evaluation and test plan(s) for the conduct of the evaluation. At a minimum, the
protocol will follow whenever possible the requirements of Title 40 of the Code
of Federal Regulations, Part 160 Subpart G - Protocol for the Conduct of a Study.

When a Company’s product is not covered within the scope of an NSF Standard,
NSF may develop a protocol against which the product can be evaluated. If NSF
develops a protocol, the protocol’s scope shall cover similar products to the
Company’s product; that is the protocol shall not be written to exclude products
similar to the Company’s product, such that trade is restrained. The protocol
shall be reviewed by a panel of experts representing various sectors including
academia, consulting, regulatory and industry, where available. The panel

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members shall have expertise in health and environmental science and

engineering, as applicable.

NSF shall review a published NSF Protocol at least once every five years. NSF
may modify the protocol as necessary to address stakeholder concerns. Any
proposed modification shall be submitted to the panel of experts, including the
Company, for review and comment.

MARKING

PP – 1. NSF Certification Marks for NSF Protocols and Non-NSF Standards

Complete functional systems, as defined by an NSF Protocol or Non-NSF Standard, shall
bear the NSF unit Mark (Mark) unless prior written authorization from NSF allows
otherwise. Certified components intended to be used along with other equipment or
components to make a complete, functional system as defined by an NSF Protocol or Non-
NSF Standard, shall bear the NSF component Mark (Mark).

Complete Functional Systems Components

COMPONENT

NSF Protocol or Non-NSF NSF Protocol or Non-NSF

Standard Title and Associated Standard Title and Associated
Reference Number ___________ Reference Number ___________

or or

NSF Protocol or Non-NSF NSF Protocol or Non-NSF

Standard Title and Associated Standard Title and Associated
Reference Number ___________ Reference Number ___________

Additional language may be required to accompany the Mark wherever used, as determined
by NSF, to further clarify the scope of Certification for specific products.
The Mark shall be affixed to a Certified system or Certified component at the Company's
main production facility(ies) only, unless prior written authorization from NSF permits
placement at another facility.

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The Mark shall be a legible, authorized facsimile of the Mark and be included on the data
plate; or shall be a laminated "foil" Mark, 13/16" x 1" (20.6 mm x 25.4 mm) with an
identified serial number and shall be purchased only from NSF.
If a Mark is known to have been removed for any reason, NSF may make public notice.

PP – 2. Model Designation
Each Certified system shall have a model designation and must bear the Mark. If a Product
has been manufactured and distributed prior to Certification, it shall be assigned a new model
designation that distinguishes it from earlier, non-Certified products, except that if the
Product bears a sequential serial number, it may be Certified without a new model
designation and the beginning serial number of Certified system shall be indicated in the
Official Listing.
The model designations of Certified systems must be distinguishable from model
designations of non-Certified systems.

OFFICIAL LISTING

PP – 3. Format - Certified Company

The Official Listing format shall include at least the following information, unless prior
written authorization from NSF allows otherwise:
• Company name and address;
• Production location (city and state or plant identification number and state, province, or
country);
• Product description;
• Trademark/model designation;
• Class rating (if applicable); and
• Rated capacity (if applicable).

TESTING

PP – 4. Distribution of Test Data

Upon satisfactory completion of evaluation and testing, the Company shall be provided with
a complete test report from NSF. The report shall detail the results of the evaluation and
testing program and include a complete description of the system or component. The
Company shall, at its expense, purchase copies of the printed report directly from NSF for
distribution. Any additional copies and reprints shall be ordered through NSF. These reports
shall not be copied or reproduced in any manner except for internal use only by the Company.
Only reports generated by NSF are authorized reports; and only authorized reports, in their
entirety, may be distributed by the Company.

PP – 5. Certification of Additional Models Without Testing

NSF may authorize additional models for Certification without testing, if a Company
documents to the satisfaction of NSF that testing on other Certified models verifies
compliance with all NSF requirements.

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PP – 6. Certified Products Not Available for Periodic Testing

If Certified Products with requirements for five (5) year retesting are not available for that
testing, Certification of the family group shall be withdrawn, unless all of the following
conditions are met:

• Client requests that a product family be maintained in NSF Listing.

• Client agrees to notify NSF before a production run, with sufficient notice for NSF to
arrange an inspection, if required, to verify production and collect samples for testing.
The sample shall be tested as the 5 year re-test sample.

• During subsequent annual inspections, NSF shall review production records for the
product family to determine if production has occurred without NSF notification. If so,
product shall be removed from NSF Listing, and a public notice may be issued.

• If there are any revisions to the applicable Protocol(s), the product shall be re-qualified
by the implementation date of the Protocol revision. Products that fail to re-qualify by the
implementation date shall be removed from Listing. Alternatively, if a sample of the
model in question is not available for re-qualification testing, a footnote shall be added to
the Listing to indicate that the model was certified under the older version of the protocol.

• Products are allowed to remain in listing due to non-production for a period of five years
only if the most recent test shows the product as compliant. Production facilities
participating under this plan that have all listed families on suspended sampling will still
have the annual audit.

Products may remain in Listing without being produced for a maximum of five years, at
which time they shall be removed from Listing.

PP – 7. Noncompliant Test Results for Certified Products

Upon notification of a periodic evaluation test failure, the Company shall submit corrective
action within 30 days. Upon approval of corrective action(s) retest samples may be submitted
to NSF or may be collected from the production facility by an NSF representative, as
determined by NSF.

Replacement of components, re-programming, repairs or product manipulation that are part

of the accepted corrective action shall be conducted by a Company representative at NSF or
by NSF at the Company’s request.

An audit by NSF to review and verify corrective action is required regardless of whether
samples submitted to NSF or collected by an NSF representative.

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Annex Z

Certification Agreement

The Company shall:

− Fulfill certification requirements at all times, including implementation of required changes that
are communicated by NSF, within an agreed upon timeframe;

− Assure that the Certified Product continue to fulfill certification requirement for ongoing
production;

− Make arrangements for:

• The conduct of evaluation and surveillance as required by NSF, including but not limited to,
arranging availability of documentation, records, relevant equipment, location(s), area(s);

• Personnel and subcontractors (if applicable);

• Investigation of complaints; and

• Participating by observers, if applicable;

− Assure that:

• All claims made by the Company are consistent with the scope of certification;

• The Product Certification is not used in a manner that would bring NSF into disrepute; and

• No statements are made regarding the Certified Product that are misleading or unauthorized;

− Any Certification certificate or report related to Certification shall not be used in any misleading
manner.

− Discontinue use of all advertising that contains any reference to NSF Certification; and take actions
as required by the NSF Requirements, or the Contract; if Certification has been suspended,
withdrawn or terminated;

− Upon the request of others, provide copies of the Certification documents, in their entirety, or as
specified by the NSF Requirements of the Contract;

− Assure that references to its Product Certification in documents, brochures or advertising comply
with NSF Requirements;

− Comply with any requirements contained in the scheme related to use of the NSF Mark, and on
information related to the product (i.e.; marketing materials, websites);

− Maintain a record of all complaints made known to the client relating to compliance with
certification requirements, and made these records available to NSF upon request; and

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− Take appropriate action based on complaints received, and deficiencies found in Certified Product
that affect compliance with certification requirements; and

 Document actions taken.

− Inform NSF immediately of changes that may affect the client’s ability to conform to certification
requirements as stated in the scheme or the contract.

− The Company acknowledges that NSF holds various accreditations that require review, audit, and
inspections by accreditation and oversight bodies. The Company agrees that such accreditation/
oversight bodies may review, witness, and analyze any Services and the associated data,
information and Reports for the Services, whether at the premises of the Company, NSF, or
elsewhere. To the extent required by such accreditation/ oversight bodies with respect to the
particular Services provided to the Company, the Company expressly consents that NSF may
disclose to third parties the information about the Company or the Company’s products or services
as directed by such accreditation/ oversight bodies.

Z2
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NSF International Certification Policies NSF Protocols and Non-NSF Standards

6531-13