Mfr Nara- t8- Ansi- Ansi Briefing- 12-3-03- 00020

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COMMISSION SENSITIVE[Unclassified]

Event: Meeting with American National Standards Institute (ANSI)Type of event: BriefingDate: Dec. 3, 2003Special Access Issues: NAPrepared by: Emily WalkerTeam Number: 8Location: 1819 L Street, Washington, D.C. 20036Participants - Non-Commission: ANSI: Lane W. Hallenbeck, Vice President ConformityAssessment; Matthew Deane, Homeland Security Program, Fran Schrotter;Emergency Corps Program, NY Safety Council: William G. RaischParticipants - Commission: Emily Walker

The purpose of this meeting at ANSI was to determine what procedures the organization had inplace to develop standards and certify compliance officers for these standards. ANSI is the"policy forum for the U.S. voluntary consensus standards and conformity assessmentcommunities and is recognized by both the public and private sectors in this regard'". "Aprimary goal of the American National Standards development process is to provide standardsthat improve the quality of life in the US, promote US Business products and practices globally,and enable a public-private sector partnership that provides more flexibility than the Governmentrule-making process." 2 ANSI's standards are accepted widely by industry and the Gov~rnment.ANSI does not "review or endorse the content of an American National Standard". 3 "ANSI'sapproval of a standard as such provides assurance that the standard was developed in compliancewith all of ANSI's due process-based requirements. The ANSI process ensures that there is anopportunity for all those who are interested in and affected by a standard to participate in itsdevelopment. ,,4

I ANSI Position Statement Issued Nov. 8,2002 "Reference to Standards and Building Codes".2 IBID3 IBID4 IBID

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COMMISSION SENSITIVEThe meeting focused on the role that ANSI could play in helping the Commission lead thedevelopment of emergency preparedness standards. ANSI does perform this role in manyinstances, and particularly is performing a coordinating role for standards for homeland security.They have the capability, practice and experience to perform this role. They are interested inparticipating with the Commission.

The final consensus of the meeting is that I would write up an action plan for the 9-11Commission to approve which would be to set up a panelled by ANSI to develop standards foremergency preparedness for the private sector and submit recommendations to the Commissionby April 15. The Commission would write a fonnalletter to ANSI requesting this action andANSI would get Board approval. The group would be invited in January to convene. TheCommission would work with ANSI to develop the participants and the discussion topics. Aseparate panel would be set up for recommending incentives.

Attachments:ANSI Position Statement in Reference to Standards and Building CodesANSI Conformity Assessment OverviewANSI National Conformity Assessment Principles for the U.S.

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Position StatementIssued November 8,2002

ANSI Position Statement on Reference to Standards and Building Codes

The American National Standards Institute (ANSI) is the policy forum for the U.S. voluntaryconsensus standards and conformity assessment communities and is recognized by both the public and privatesectors as such. Among other things, ANSI accredits standards developers and approves standards as AmericanNational Standards when those standards were developed in accordance with the requirements set forth in theANSI Procedures for the Development and Coordination of American National Standards. While ANSIbelieves that the approval of a document as an American National Standard indicates that a developer hasundertaken steps to ensure that the standard represents a consensus of involved and affected stakeholders and isthus beneficial to the public interest, ANSI also recognizes that no single standardization system can address allthe needs of the vast diversity of sectors within the United States.

ANSI is pleased that the National Fire Protection Association (NFPA), an ANSI Accredited StandardsDeveloper, has chosen to develop and approve NFPA 5000, Building Construction and Safety Cadet, as an

. American National Standard. Approval of a document as an American National Standard (ANS) indicates thatthe sponsor of that document voluntarily subjected the standard to an open, transparent, consensus developmentprocess subject to ANSI's neutral third-party oversight. Participation by a developer in the ANS processestablishes a connection between that developer and the larger recognized network of ANSI-accreditedstandards developers who consider the interests of key stakeholders in industry, consumers, government and thepublic in developing American National Standards.

ANSI is pleased that the International Code Congress (ICC), also an ANSI-accredited standardsdeveloper, has chosen to develop the ICC/ANSI Al17.1-1998 Accessible and Usable Buildings and Facilitiesstandard as an American National Standard. At the same time, ICC has chosen not to submit its InternationalBuilding Codes for approval as American National Standards.

(continued)

HeadquartQrs 1819 L Street, NW, Wa~hington D.C. 20036 Tel: 202,293,8020 fa.x: 202.293.9287> N'.HNYork Offj(x~ 2SWest 43rd Street, New York, NY 10036 Tel: 212..642.4900 Fax: 212.398.0023

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A primary goal of the American National Standards development process is to provide standards thatimprove the quality of life in this country, promote U.S. business products and practices globally, and enable apublic-private partnership that provides more flexibility than the government rule-making process. The wideacceptance of American National Standards by industry and the government regardless of the standardsdevelopment method used is evidence that the ANSI process is in harmony with the needs of those who usestandards.

ANSI-accredited standards developing organizations - and the experts that populate the consensusbodies of these groups as voting members - serve an important public interest function in devising AmericanNational Standards. The public interest is both served and protected if the standards developer is accredited byANSI and if its development process meets the Institute's requirements for openness, balance, consensus andother due process safeguards.

ANSI does not review or endorse the content of an American National Standard. ANSI's approval of astandard as such provides assurance that the standard was developed in compliance with all of ANSI's dueprocess-based requirements. The American National Standards process ensures that there is an opportunity forall those who are interested in and affected by a standard to participate in its development. Due process is keyto ensuring that American National Standards are developed in an environment that is equitable, accessible andresponsive to the requirements of various stakeholders. The ANS process includes a series of checks-and-balances that provide comprehensive due process safeguards:

Appeals provisions relating to the ANSI-accredited status of ANS developers and the approval of astandard as an ANS;

Equal access to voting member status on consensus bodies; Public notice requirements at various phases in the development cycle, including an opportunity for

public review and comment on all substantive drafts of the proposed standard; Consideration of all comments received whether from a voting member of a consensus body or a

public review commenter; and Mandatory procedural audit of all ANSI-accredited developers as a condition of maintaining

accreditation.


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Overview

eStanduds Store

About ANSIr"'lembershipStan dar d s Act i v i tie sCo nfo rm ity Ass e ss rn entOverviewNational ConformityAssessment Principles for theUnited StatesProduct Cert if icationAccreditationHow to ApplyProcess SummaryFee StructureANSI Accredited ProductCertification Bodies andApplicantsPerson nel Certification

AccreditationHow to ApplyProcess SummaryFee StructureANSI Accredited PersonnelCertification Bodies andApplicantsFAQs

Quality Management SystemsRegistrationEnvironmental ManagementSystems RegistrationBenefitsProcedures, Guides and FormsANSI - Accredited CertificationProgram MarksCorn rn itteesInternat ional ConformityAssessment Committee

Consumer AffairsGovernment AffairsNews & Publicationsr"'leetings & EventsEd u cat ion & Tr a i n i n 9Ot her S e r vic e sl.i b r a r vInternet ResourcesCar e e r 0 p port u nit i e s

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Conformity Assessment Overview Espariol

Buyers in the global market demand thatsellers fulfill their needs. Competing suppliersare motivated to convey assurance to theircustomers in the most efficient manner.Confidence that these needs can and will bemet is bu il t th roug h a variety of mea ns,including the assessment of conformity tostandards.

Since ANSI promotes and facilitates standards that definerequirements, it's logical that the Institute is concerned with andinvolved inactivities that assess conform ity. Governa nce ofConform ity Assessment policy at ANSI flows from the Board ofDirectors through the Conformity Assessment Policy Committee(CAPC) to the International Conformity Assessment Committee (ICAC)and the Accreditation Committees and Councils.

Conform ity Assessment is defined as "any activity concern ed withdeterm ining directly or indirectly that relevant requirements arefulfilled". There are many of these conformity assessment activitiesapplied in today's marketplace including Accreditation, Certification,Inspection, Registra tion , Supplier's Declaration ,and Testing, but theone dimension that ANSI is directly engaged with is Accreditation.

ANSI provides Accreditation services, specifically in product andpersonnel areas that recognize the competence of bodies to carry outproduct or personnel certification in accordance with requirementsd efi ned in Intern ationa I Sta ndard s 3,7. AN S I Accred ita tion prog ra rrisare themselves created in accordance with similar internationalguidelines4 as verified by government and peer review assessments.Fu rthermore, in part nersh ip with the Registra r Accre d itation Board(RAB), ANSI also serves the marketplace in the provision of a NationalAccreditation Program (NAP) for Quality1,5 and Enviro nmental2,6ma nagement systems registra rs

Continuing pressures in the global marketplace to preclude redundantand costly barriers to trade dri ve the need for acknowledgement ofequivalency across boundaries. AccordinglY,ANSI is involved inseveral international and regional arra nqernents for multi-I ateralrecognition. These include the International Accreditation Forum (IAF),the Inter-American Accreditation Cooperation (IAAC) and the PacificAccreditation Cooperation (PAC). ANSI is also recognized by the U.S.Department of Commerce via the National Institute for Standards andTechnology (N 1ST) and their National Voluntary ConformityAssessment System Evaluation (NVCASE) pro gra m.

ISO 9001 :2000,

2 ISO 14001,

3 ISO/IEC 17024,

4 ISOIIEC Guide 61,

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Overview Page 2 of2

5 ISO/IEC Guide 62,

6 ISO/IEC Guide 66, General requirements for bodies operatingassessment and certification/registration of environmentalmanagement systems (EMS)

7 ISOIIEC Guide 65,

http://www.ansi.org/conformity_assessment/overview/overview.aspx?menuid=4 12/1/2003


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Certification and Accreditation:Models in the United States and TheirPossible Uses in Homeland Security

Mary SaundersNational Institute of Standards andTechnology

ANSI-Homeland Security Standards Panel MeetingJune 9-10, 2003

Conformity Assessment Definition: Any activity concerned withdetermining directly or indirectly thatrequirements are fulfilled Relevant to requirements for products,services, systems and organizations May be conducted by:

- a supplier (first party)- a buyer (second party)- an organization independent of both buyerand seller (third party)

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Characteristics of the U.S.Conformity Assessment System

Conformity assessment activities are notcentrally organized Activities are a mix of government(regulatory programs) and private sector(market-based programs) Approaches vary among sectors

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Supplier's Declaration of.Conformity

Examples: consumer products, motorvehicles, IT equipment Possible elements:

- In-house testing- Third party testing- Supplier quality system

Responsibility lies with the supplier toensure requirements are met


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Second Party Programs Examples: large distributors,manufacturers buying components from avariety of sources, procurement entities Necessary condition: significant buyingpower Possible elements:

- Buyer testing to own specifications- Third party testing to buyer specifications- Supplier quality system Responsibility shared by supplier andbuyer

Third P arty P rograms Examples: certification of electrical safetyof equipment used in the workplace,telecommunications equipment Required elements:

- Impartiality- Competent personnel- Quality system- Ability to conduct follow-up assessments Responsibility shared among buyer,supplier and certifier

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Role of Accreditation Definition: procedure by which anauthoritative body gives formal recognitionthat a body or person is competent tocarry out specific tasks Possible applications:

- Testing and calibration laboratories- Inspection bodies- Certification bodies (product, system and personnel)- Management system registrars Builds confidence through independentevaluation and verification of technicalcompetence

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Conformity Assessment:Possible Homeland Security Applications

To verify/validate performancecharacteristics for products and systems- For product listing- For comparative evaluation- Etc.

To establish levels of protection To determine interoperability To establish the competence of trainingcourse providers To verify personnel competencies


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Examples of Current Programs FAA's Security Technology DeploymentOffice- Mission is to identify, test, select and deployadvanced technology security systems toimprove domestic aviation security

- Equipment may be qualified, assessed aseffective, or certified

- Involves in-house testing and evaluation

Examples of Current Programs National Institute of Justice (NIJ)- Administers testing programs for commerciallyavailable law enforcement and corrections equipmentto ensure that equipment utilized in the field is safe,reliable and meets the needs of the user community- Conducts:

standards-based testing to confirm compliance with NIJstandards comparative evaluation programs where equipment is field-tested and test data published, allowing users to select theproduct that best suits their needs and requirements

- Testing is conducted both in-house and in NIJ-approved independent laboratories

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Examples of Current Programs NIJ partnership for certification ofchemical/biological agent protectiveensembles- NFPA 1994 adopted by reference by NIJ

Outlines performance requirements, test protocols,certification and application procedures

- Testing and certification program conductedby the Safety Equipment Institute

- Certified equipment eligible for grant funding

Factors in Determining ProgramCharacteristics Specific approach will depend on:

- Risk associated with product, system,personnel failure- Breadth/specificity of need- Stability of technology- Number and range of product and systemproviders

Goal: effective, efficient progra-ms thatmeet user needs; assure requirements aremet

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Challenges Existing equipment must be tested for neWapplications

Primary need is for assessment of fieldperformance, not performance in acontrolled environment

Diverse threats Potentially diverse user requirements Different needs and capabilities

Relationship between Standardsand Con fo rm ity Assessmen t

Use of well-written standards in a conformity assessmentprocess adds credibility and validity to the process Standards should specify all essential characteristics ofa product Test methods should be capable of evaluating theconformity of a product to the specified requirements in amanner that produces test results that are within anacceptable accuracy range Results should be consistent from test to test Results should be reproducible

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Range of Homeland SecurityStandards-related Needs

Guides to instruments Performance standards Test methods Testing protocols Certification procedures ~ technicalspecifications and evaluation criteria Proficiency testing programs Measurement Assurance Programs

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NArION.Al.CONI~~O:llNl[]~Y~SSISS}\tfl~N~r:PRIN CIPlJl~S}?()R'rIlEUNIrfED SrfKfES

Conformity assessment activities a vital linkbetween standards and products, services, processes,systems, personnel qualifications and organizations.


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AMERICAN NATIONAL STANDARDS INSTITUTE

The American National Standards Institute (ANSI) is a private non-profit organizationthat administers and coordinates U.S. voluntary standardization and conformity assess-ment activities. Its mission is to enhance U.S. global competitiveness and the Americanquality of life by promoting, facilitating and safeguarding the integrity of the voluntarystandardization system.

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N A T IO N A L C O N F O R M IT Y A S S E S S M E N T P R IN C IP L E S F O R T H E U N IT E D S T A T E S


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~ NA TIO NA L CO NFO RM ITY A SSE SSM EN T PRINCIPLES FO R TH E U NITE D STA TE S I

a PURPOSEThe "National Conformity Assessment Principles for the United States" articulates theprinciples for U.S. conformity assessment activities that will allow consumers, buyers,sellers, regulators and other interested parties to have confidence in the processes of pro-viding conformity assessment, while avoiding the creation of unnecessary barriers totrade.We base these principles on the conformity assessment language in the Agreement onTechnical Barriers To Trade, one of the agreements within the World Trade Organization(WTO).1 These principles supplement the language of the agreement to give additionalclarity and focus to conformity assessment in the United States.We intend the concise and clear presentation of these principles for the United States topromote national and intemational understanding and recognition of competently con-ducted U.S. conformity assessment processes resulting in increased acceptance of U.S.products- within national and intemational markets. National and intemational accept-ance is vital to the continued economic health of the United States, as well as to the pro-tection of human health, safety and the environment.Because standards underlie all conformity assessment activities, this document is intend-ed to be a companion to the principles of the U.S. standards system as described in the"National Standards Strategy for the United States." These two sets of principles shouldbe considered together in the evaluation of standards and conformity assessment activitiesand related issues.

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1 Also referred to as the Final Act of the 1986-1994 Uruguay Round of trade negotiations.

2 For purposes of this document, the term "product" includes products, services, processes, systems,personnel qualifications and organizations.


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m CONFORMITY ASSESSMENTISO/IEC Guide 2: 1996, Standardization and related activities - General vocabulary,defines Conformity Assessment as "any activity concerned with determining directly orindirectly that relevant requirements are fulfilled." Conformity assessment includes sam-pling and testing, inspection, supplier's declaration of conformity, certification and man-agement system assessment and registration. It also includes accreditation of the compe-tence of those activities by a third party and recognition (usually by a government agency)of an accreditation program's capabil ity.While each of these activities is a distinct operation, they are closely interrelated. Thechoice of the most appropriate assessment processes, as well as the quality with which anyone of them is performed, can have a significant effect on the confidence and reliance thatcan be placed on the results of the entire conformity assessment.The evolution of the global marketplace has made buyers and regulators increasinglydependent not only on standards but also on the methods used to ensure that productscomply withthe requirements of those standards. Conformity assessment activities there-fore form a vital link between standards (which define the necessary characteristics orrequirements) and the products themselves. Conformity assessment can verify that a par-ticular product meets a given level of quality or safety and can provide explicit or implic-it information about its characteristics, the consistency of those characteristics and/or theperformance of the product. Conformity assessment, can also increase a buyer's confi-dence in a product, furnish useful information to a buyer and help to substantiate adver-tising and labeling claims. Information on conformance (or nonconformance) to a partic-ular standard can provide an efficient method of conveying information needed by regu-lators or buyers on the product's safety and suitability.Because conformity assessment forms a vital link between standards that define productcharacteristics or requirements and the products themselves, stakeholders in conformityassessment must better understand these conformity assessment principles to use and ben-efit from conformity assessment effectively. As the global marketplace continues toevolve, buyers, regulators and suppliers will depend increasingly on standards and con-formity assessment to assure that products fulfill specified requirements. Understandingthese conformity assessment principles will aid stakeholders in their decision-makingregarding conformity assessment usage. In addition, such understanding will encouragestakeholders in conformity assessment to work towards harmonization of requirementsand the global acceptance of all competently performed conformity assessments.

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r m ApPLICABILITY OF PRINCIPLESThe principles in this document may be beneficial to either first, second or third parties orto government users of conformity assessment, as well as to any of the different types ofconformity assessment activities (accreditation, cert ification, inspection, registration, sup-plier's declaration of conformity, and testing). There is no one-size-fits-all solution.Industry, government, consumers and other users rely on the results of the conformityassessment to meet the needs of supplier and acceptance authorities in a cost-effectivemanner. Consideration should be given to approaches that facilitate trade, provide regu-latory confidence and protect public safety.

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N A TIO N A L CO N FOR MITY A SSESSM EN T PR IN CIPLE S FOR T HE UN IT ED STA TE S


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DEFINITIONS

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The definitions in this document are based on ISO/IEC Guide 2: 1996.3 Some variances,noted in italics, occur where the term is not in Guide 2 or has another specific meaning inthe United States. Definitions are included in this document to preclude confusion and tomake it more understandable. In different contexts, the same tenn can mean very differ-ent types of activities.Accreditation Procedure by which an authoritative body gives formal recognition that abody or person is competent to carry out specific tasks. (These tasks include sampling andtesting, inspection, certification and registration.)Certification Procedure by which a third party gives written assurance that a product,process, service or person conforms to specified requirements.Conformity Assessment Any activity concerned with determining directly or indirectlythat relevant requirements are fulfilled.First, Second and Third Party The first party is usually the supplier. The second partyis usually the customer. The third party is that person or body that is recognized as being.independent of the parties involved, as concerns the issue in question.Inspection Conformity evaluation by observation and judgment accompanied as appro-priate by measurement, testing or gauging.Recngnitlon Procedure used to provide formal notice that an accreditation body iscompetent to carry out specific tasks. These tasks include accreditation of testinglaboratories and inspection, certification and registration bodies. A governmental recog-nition system is a set of one or more procedures l!sed by a Federal agency to providerecognition.Registration Procedure used to give written assurance that a system conforms tospecified requirements. Such systems include those established for the management ofproduct, process or service quality and environmental performance.Sampling The selection of one or more specimens of a product, process or serviceforthe purpose of evaluating the conformity of the product, process or service to specifiedrequirements.Supplier's Declaration Procedure by which a supplier gives written assurance that aproduct, process or service conforms to specified requirementsTest Technical operation that consists of the determination of one or more characteristicsof a given product, material, equipment, organism, person s qualification, physical phe-nomenon, process or service according to a specified technical procedure (test method).Testing Action of carrying out one or more tests.Test Method Specified technical procedure for performing a test.

3 ISO/IEC Guide 2, Standardization and related activities - General vocabulary. ConformityAssessment terms in this Guide are subject to revision in the forthcoming draft standard ISO/IEe .17000, Conformity assessment - General vocabulary andfunctional approach.

NATIONAL CONFORMITY ASSESSM ENT PRINCIPL ES fOR THE UNITED STATE S


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CONFORMITY ASSESSMENT PRINCIPLES

1. Conformity Assessment requirements and procedures do not create unnecessaryobstacles to national/international trade."

2. Conformity assessment requirements and procedures are open and transparent to allapplicants and provide them with equal treatment.All parties desiring to have their products, processes, services or personnel assessedfor compliance with relevant requirements are allowed to make application to anyconformity assessment body and have their applications accepted and processed in areasonable time.

3. Conformity assessments are competently conducted and based on appropriatestandards requirements and procedures. Conformity assessment requirements andprocedures are based on international guides and standards to the extent feasible.

Organizations conducting conformity assessment are encouraged to demonstrate theircompetency to conduct conformity assessment activities using accepted standardsand requirements for conformity assessment, either through formal recognition oraccreditation activities or by maintaining adequate records and documentation thatare available for public review.

4. The characteristics of a sector and the associated risks of the product drive theconformity assessment requirements and procedures.

5. Information on all conformity assessment requirements and procedures for obtainingconformity assessments are publicly available. Information on costs and processingtimes are available at any time to all applicants.

(continued)

4 "Unnecessary obstacles to trade," as used in this Principle, is understood to be within the contextof the use and meaning of the WTO TBT Agreement. Information on a product's conformance to apart icular standard can provide an efficient method of conveying information needed by regulators,customers, or society on the product's safety and suitability. Efficient, competently conducted,market-relevant conformity assessment programs can often satisfy both regulatory and marketconfidence needs with a single assessment to common or multiple requirements. Such programs canfacilitate simultaneous introduction of products globally. National Treatment of ConformityAssessment Bodies (each country shall accord to the bodies of other countries treatment no lessfavorable than that it accords to its own bodies) is one of the most effective means of facilitatingthese kinds of programs.

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(continued)

PRINCIPLES (CONTINUED)6. Conformity assessment procedures are completed promptly and efficiently. Accurate

and timely information on the status of ongoing conformity assessments are providedto applicants on request.>

7. Information requirements are limited to what is necessary to assess conformity anddetermine fees. Protective measures are taken so that confidential or proprietaryinformation is not communicated to any person or organization not having legal rightto such information.f

8. All applicants who apply for conformity assessment are treated equally with respectto the imposition of any fees charged. When fees are imposed, they are comparablefor all applicants, taking into account communication, transportation and other costsarising from differences between location of facilities of the applicants and the con-formity assessment bodies. Fees are not imposed in a manner that restricts market-place competition or creates unnecessary obstacles to trade."

5 Unnecessary delays in the performance of conformity assessment activities or the failure to keepapplicants apprised of the status of ongoing conformity assessment work can impede product entryinto the marketplace. As a resul t, such delays can cause economic injury to the affected companies,restrict marketplace compet ition and create unnecessary and unacceptable barriers to trade.

Fai lure to provide timely information on programmatic changes in a conformi ty assessment schemecan cause significant economic injury to stakeholders. Inadequate t ransi tion periods can also restrictmarketplace competition and create barriers to trade. Conformity assessment bodies should allowapplicants adequate time to make any necessary changes whenever possible. However, in estab-li shing the t ransi tion period, conformity assessment bodies need to take into account any signi ficantrisks to health, safety or the environment associated with noncompliance of the product to the newrequirements.

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Where relevant, any certification mark, number or other identification that will be required on theproduct 's label or on the product' s manual /accompanying documentation/packaging/carton shouldbe provided to the applicant at the time of application rather than after complet ion of the assessment.Approval for its use on the product will of course be dependent on the applicant's successfulfulfillment of all conformity assessment requirements. If the certification mark, number or otheridentification is only provided after completion of the assessment, the applicant cannot begin toprepare for product distribution. This will delay time-to-market for the product. If, on the otherhand, the mark, number or other identi fication is provided up-front, the applicant can proceed withpreparation for distribution if the applicant is willing to assume the risks associated with cancella-tion of packaging in the event that the product fails the assessment.

6 All companies and personnel have the right to have any proprietary information that they provideto conformity assessment bodies protected. Conformity assessment bodies should restrict access tosuch information to persons or organizat ions that have a legal right to such records. Protect ive meas-ures should be taken so that such information is not provided or accidentally released to any personor organization (not having legal right to such information) thereby decreasing the value of theinformation to the company. Failure by conformity assessment bodies to adequately protect suchinformation can cause serious and unacceptable economic injury to the affected companies .

7 "Unnecessary obstacles to trade," as used in this Principle, is understood to be within the contextof the use and meaning of the WTO TBTAgreement.


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PRINCIPLES (CONTINUED)9. The location, timing and sample selection process for the conformity assessment

work are chosen in a manner that enables competent conformity assessment andminimizes inconvenience and costs to applicants.10. When requirements and procedures change, stakeholders are notified expeditiously.

Transition periods allow applicants adequate time to make necessary changes.However, the transition period takes into account any significant risks to health,safety or the environment associated with noncompliance of the product to the newrequirements.

11. Organizations conducting conformity assessment have effective procedures forreviewing complaints, and such procedures are open to all stakeholders.Organizations take appropriate corrective action whenever they justify a complaint .

1 2. As appropriate, conformity assessment bodies undertake reasonable surveillanceprocedures to ensure continued product conformity and protection of their mark.

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SUGGESTED READINGThe World Trade Organization (WTO) Agreements

(also known as)Final Act of the 1986-1994 Uruguay Round of trade negotiationsAGREEMENT ON TECHNICAL BARRIERS TO TRADE(Article 5: Procedures for Assessment of Conformity by Central Government Bodies;Article 6: Recognition of Conformity Assessment by Central Government Bodies;Article 7: Procedures for Assessment of Conformity by Local Government Bodies;Article 8: Procedures for Assessment of Conformity by Non-Governmental Bodies; andArticle 9: International and Regional Systems)Breitenberg, Maureen A., The ABC's of the U.S. Conformity Assessment System,U.S. Department of Commerce, Technology Administration, National Institute ofStandards and Technology (NIST), April 1997ISO/lEC Guide 2, International Organization for Standardization, Switzerland, 1996ISO/lEC Compendium Conformity Assessment Guides and Standards, 4th Edition,International Organization for Standardization, Switzerland, 1999

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This National Conformity Assessment Principles for the United Statesdocument lvas approved by the /1NSI BO(1i'd of Directors on September 24, 2002.


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A M E R IC A N N A T IO N A L S T A N D A R D S IN S T IT U T E

Headquarters1819 LStreet, NWSixth FloorWashington, DC 20036T : 202.293.8020F: 202.293.9287New York Office25 West 43rd StreetNew York, NY 10036T : 212.642.4900F: 212.398.0023E : [email protected]: web.ansi.org

An electronic version o f this text is availablevia ANSI Online (http://www.ansi.org/ca)

Mfr Nara- t8- Ansi- Ansi Briefing- 12-3-03- 00020

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