drinking water treatment unit scheme ver 2

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Water Quality Association

4151 Naperville Road Lisle, IL 60532

Certification Scheme:

Drinking Water Treatment Units

Version 2.0

Published: August 09, 2013

Prepared By: Water Quality Association Gold Seal Certification Program

®Registered trade-mark of Water Quality Association WQA follows Certification System Type 5 according to ISO/IEC Guide 67

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08-09-2013 Drinking Water Treatment Units of 31

This scheme is owned by the Water Quality Association, a not-for-profit international trade association representing the household, commercial, industrial, and small system water treatment industry, and an accredited Certification Body.

Water Quality Association Gold Seal Product Certification Program Description The Water Quality Association’s (WQA) Gold Seal Certification Program represents one of the oldest third party testing and certification programs in the drinking water treatment industry. WQA tested and validated (certified) its first product in 1959. WQA’s Gold Seal has become one of the most recognized Certification Mark’s in the United States and throughout the World. The Water Quality Association has established working relationships with the United States (US) Food and Drug Administration (FDA), US Environmental Protection Agency (EPA), State Health and Environmental Agencies, Health Canada, USA Center for Disease Control (CDC) and the World Health Organization (WHO) in order to maintain the highest standards for independence, state-of-the-art operations, trust and acceptance in the United States and the World.

Mission Statement The Water Quality Association’s Gold Seal Product Certification Program is dedicated to providing public health and safety services throughout the United States and globally while maintaining expert service, superior reputation, and fair pricing. The Certification Scheme covers product(s) used for residential drinking water treatment equipment.

Scheme Development The Water Quality Association Gold Seal Certification Staff has developed this scheme in accordance with ISO/IEC Guide 67. The Gold Seal Certification Forum has input to the information contained herein, and the WQA Public Health Review Board has approved it. This scheme is intended to be solely operated by the WQA Gold Seal Certification Program. Although accreditation is not required to operate this scheme, Certification activities shall be performed in accordance with ISO/IEC Guide 65. The Gold Seal Certification Program maintains accreditation as a Certification Body operating according to ISO/IEC 65 with ANSI and SCC.

The Gold Seal Certification Schemes are publically available documents and are subject to revision. Please contact WQA directly or check the WQA website at www.wqa.org to ensure that you have the most current version of a scheme. If you have any questions concerning the scheme or would like to suggest improvements, please contact WQA’s Product Certification Manager at the Water Quality Association’s International Headquarters located at 4151 Naperville Rd., Lisle, IL 60532, phone 630-505-0160, facsimile 630-505-9637.

E-mail: [email protected], Web: http://www.wqa.org

Prepared by: WQA’s Gold Seal Certification Program

Approved by: WQA’s Public Health Review Board

mailto:[email protected]

http://www.wqa.org/

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Contents 1 Scope ............................................................................................................................................................................... 4

2 Terms and Definitions .................................................................................................................................................... 4

3 Selection ......................................................................................................................................................................... 7

3.1 Application Process for Certification ..................................................................................................................... 7

3.1.1 Agreement ...................................................................................................................................................... 8

3.1.2 Product Datasheet .......................................................................................................................................... 8

3.1.3 Wetted Parts List (WPL) and/or Formulation Sheet ....................................................................................... 9

3.1.4 Optional Information .................................................................................................................................... 10

3.2 Application Review ............................................................................................................................................... 10

3.2.1 Selection of Product Testing Requirements from the Standard(s) Requested for Certification .................. 11

3.2.2 Certification of Products Listed by another Certification Body .................................................................... 15

3.2.3 Changes to a Certified Product (CCP) ............................................................................................................ 15

3.2.4 Other Certification Evaluations ..................................................................................................................... 15

3.3 Facility Assessment Review ................................................................................................................................. 16

3.3.1 New Facility ................................................................................................................................................... 16

3.3.2 Existing Facility .............................................................................................................................................. 16

3.4 Proposal ................................................................................................................................................................ 17

4 Determination .............................................................................................................................................................. 17

4.1 Testing ................................................................................................................................................................... 17

4.1.1 Testing Locations ........................................................................................................................................... 17

4.1.2 R&D work conducted at the WQA Laboratory .............................................................................................. 18

4.1.3 Data Verification ........................................................................................................................................... 18

4.1.4 Test Samples ................................................................................................................................................. 18

4.2 Other Testing Information ................................................................................................................................... 18

4.2.1 Contaminant Reduction Testing for Replacement Component/Elements ................................................... 18

4.2.2 Testing Self-Adjusting Water Softeners ........................................................................................................ 19

4.2.3 Systems with Raw Water Blending Options .................................................................................................. 19

4.2.4 Integral Component Certification ................................................................................................................. 19

4.2.5 Cyst Testing according to NSF/ANSI 53 ......................................................................................................... 20

4.3 Facility Assessment Activities (Full Assessments) ............................................................................................... 20

4.4 Literature Requirements ...................................................................................................................................... 21

5 Evaluation ..................................................................................................................................................................... 24

6 Attestation .................................................................................................................................................................... 24

6.1 Decision on Certification (Granting) .................................................................................................................... 24

6.2 Maintaining Certification ..................................................................................................................................... 25

6.2.1 Yearly Requirements ..................................................................................................................................... 25

6.2.2 Sampling for any Required Testing ............................................................................................................... 25

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6.2.3 Modification of Certified Products ................................................................................................................ 26

6.2.4 Revision to a Standard or Regulation ............................................................................................................ 26

6.3 Extension of Certification / Re-certification ........................................................................................................ 26

6.3.1 Selection (see Section 3) ............................................................................................................................... 26

6.3.2 Determination (see Section 4) ...................................................................................................................... 27

6.3.3 Evaluation (see Section 5) ............................................................................................................................. 27

6.4 Termination, Reduction, Suspension or Withdrawal of Certification ................................................................ 27

7 Licensing ....................................................................................................................................................................... 29

7.1 Gold Seal ............................................................................................................................................................... 29

8 Surveillance .................................................................................................................................................................. 29

8.1 WQA Facility Assessment Plan (FAP) ................................................................................................................... 29

8.2 Frequency ............................................................................................................................................................. 29

8.3 Surveillance Assessments include: ...................................................................................................................... 29

8.4 For a new Another Name For (ANF)/Private Label Company of an Existing Facility ......................................... 30

8.5 Outcome of the Assessment ................................................................................................................................ 30

9 Product Registrations ................................................................................................................................................... 30

1 Scope

1.1 This third-party Certification Scheme establishes product certification criteria for Point-of-Entry (POE), Point-of-Use (POU), and components that are categorized as Drinking Water Treatment Units (DWTUs). The requirements that the products will be assessed against are contained in DWTU standards, including:

NSF/ANSI 42, NSF/ANSI 44, NSF/ANSI 53, NSF/ANSI 55, NSF/ANSI 58, NSF/ANSI 62, NSF/ANSI 177, NSF/ANSI 222, US EPA Microbiological Standard, CSA B483.1, WQA S-100, WQA S-200, WQA S-300, WQA S-400, NSF Protocol P231, and WQA ORD 0901.

1.2 It is intended for use by all companies wishing to certify drinking water treatment units with Water Quality Association whose products fall within the scope of this certification scheme.

2 Terms and Definitions

2.1 Another Name For (ANF) / Private Label – An identical product to a WQA Certified product sold under a different Company and model number. The new model also obtains WQA Certification.

2.2 Attestation – Issue of a statement, based on a decision following review, that fulfillment of specified requirements has been demonstrated.

2.3 Bracketing – Grouping products by similarities (shape, size, performance) in order to eliminate duplicate testing.

2.4 Certification Body - Responsible for verifying that a product sold or labeled as a certified product is produced, processed, prepared, handled, and traded according to applicable certification standards.

2.5 Certification Scheme - Certification system related to specified products, to which the same specified requirements, specific rules and procedures apply.

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2.6 Company - A Company that has a contract with WQA for Gold Seal Certification and manufactures, designs, sells, assembles, distributes, or markets Certified Product(s).

2.7 Component - A separate or distinct part of the drinking water treatment system including, but not limited to, appurtenant accessories such as membranes, filters, housing, tubing, storage tanks, faucets, valves, and connectors to the feed water supply.

2.8 Customized Certification – certification to portions of standards or modified standard requirements with listing notes to describe the modifications.

2.9 Data Plate – A permanently affixed label to a certified product that contains specific information as required by the standard. A data plate shall be placed on all certified products unless physically impossible.

2.10 Data Transfer – Test data transferred from a representative sample to a system of similar design and construction.

2.11 Determination – The use of one or more determination methods (e.g. test, audit and/or examination) to develop complete information regarding fulfillment of the specified requirements by the product or its sample.

2.12 De Minimus - Lacking significance or importance, so minor as to be disregarded.

2.13 Drinking Water Treatment Unit (DWTU) - A drinking water treatment system intended to be used as a Point-of-Use or Point-of-Entry device used to treat potable water. To be classified as a softener, the unit must reduce hardness by more than 50 percent.

2.14 Evaluation - Verification of the suitability, adequacy and effectiveness of selection and determination activities, and the results of these activities, with regard to fulfillment of specified requirements by an object of conformity assessment.

2.15 Exploded View Diagrams (EVD) – A diagram, picture, or technical drawing of an object that shows the relationship or order of assembly of various parts.

2.16 Extending Certification – Occurs every 5 years from the initial file date of granting Certification.

2.17 Formulation – A list of chemicals or ingredients used to make up a material or media.

2.18 Formulation Review – A review of material types and/or formulations to determine the analytical test battery for materials safety testing.

2.19 Full Assessment - A complete review of specific products, facilities, processes, and operations through the analysis of objective evidence. The review verifies compliance with specific Drinking Water Treatment Unit Standards and the WQA Drinking Water Treatment Unit Scheme. A full review of the quality system will be conducted at a Full Assessment.

2.20 Gold Seal Certification – Compliance with all WQA defined requirements.

2.21 Gold Seal Mark – A registered Certification Mark that is authorized by WQA for use on certified products that meet the content of this scheme.

2.22 Integral Component – A part typically appearing once within a complete system and not intended to be sold as a stand-alone component.

Examples include: RO shut-off valves, pumps, faucets, check-valves, bypass valves, control valves

2.23 Licensing - Granting, maintaining, extending, suspending, withdrawing the right to use certificates, marks or other statements of conformity on products conforming to the specified requirements.

2.24 Listed – A product that has obtained Gold Seal Certification.

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2.25 Major Finding - Non-conformances found during audits that may directly affect Certification.

2.26 Manufacturing Facility / Plant – Location of the Company producing, assembling, distributing, and/or applying the Gold Seal Mark to a Certified Product.

2.27 Material Evaluation - Toxicological evaluation of materials to ensure their safety to contact drinking water and determination of analytical test battery when extraction testing is required to verify the materials do not add contaminants to drinking water.

2.28 Minor Finding – Non-conformances found during audits that do not directly affect Certification.

2.29 Non-Conformity - One or more of WQA’s requirement(s) have not been met or approved.

2.30 Off-site Facility Assessment – Audit of a facility’s records and quality system at a location other than the manufacturing facility.

2.31 On-Site Facility Assessment – Audit of a facility’s records and quality system at the manufacturing facility.

2.32 Original Product – The base Certified product that an Another Name For (ANF) / Private Label product is Certified off of.

2.33 Owner’s Guide / Instruction Manual – A compilation of information provided to the consumer including product specifications, installation information, product warning and safeguards. Each standard also requires specific information to be included in this document. This type of manual is required for all certified units.

2.34 Performance Claim – Marketed reduction capabilities of contaminants or substances.

2.35 Performance Data Sheet (PDS) – A document that is required to be made available to customers that include product specifications. The information may be a permanent part of an owner’s guide or manual provided a consumer would receive the complete manual if a consumer requested a PDS. A PDS is required for all certified products.

2.36 Point-of-Entry - A drinking water treatment unit used to treat the water supply at a building or facility for drinking and for washing, flushing, or other non-consumption water supply purposes in addition to the drinking water supply.

2.37 Point-of-Use - A plumbed-in or faucet-mounted drinking water treatment unit used to treat the drinking and/or cooking water at a single tap or multiple taps but not used to treat the majority of water used for washing and flushing or other non-consumption purposes at a building or facility. Any batch system or device not connected to the plumbing system is considered a point-of-use system.

2.38 Prototype Sample – A product still in the research and development phase. The specifications for the final product that goes into production may differ from the prototype sample.

2.39 Public Notice - The issuance of Certification or De-Certification to the general public. The general public, including regulators, shall be informed of any product(s) (Listed or Delisted) that may raise health or safety concerns.

2.40 Replacement Component/Element – A replaceable, pre-formed, or pre-packaged part of a water treatment system containing media or medium.

Note: Examples include: carbon block, polypropylene filter, water pitcher filter cartridge, reverse osmosis pre and post filters, and reverse osmosis membranes.

2.41 Replacement Component Literature: A piece of media that must be sent with a replacement component for a certified system. Replacement component literature is only required for filtration units certified according to NSF/ANSI 42/53 or WQA S-200.

2.42 Sample – A product or component that is evaluated during testing.

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2.43 Seal Verification – Ensuring the influent water is not bypassing the filter cartridge or media because of an improper sealing mechanism (i.e. o-ring, gasket, friction…)

2.44 Selection – Identification of the products to be assessed, specification of the requirements to be met by the products (the specified requirements against which to assess the conformity of the product), and identification of the applicable procedural requirements for the assessment and sampling.

2.45 Signature – For the WQA Gold Seal Certification Contract Agreement, a signature is defined as a physical handwritten name, an electronically printed name accompanied by a statement of signature, or an electronic signature. For all other documentation a signature is additionally defined as any documented representation indicating that the document(s) submitted can be considered official and signed or an email stating that attached documentation is the formal submittal of the requested document(s).

2.46 Sold and Serviced By – A Company references another Company’s Certified product in conjunction with their own Company name and model number on the product and does not obtain its own certification.

2.47 Structural Integrity - Evaluation of materials is conducted to ensure that the products will not leak or explode during normal operation. Many of these products may experience water hammer during use.

2.48 Sub-Assembly – A component within a system that is made up of two or more parts.

2.49 Surveillance - Systematic iteration of conformity assessment activities as a basis for maintaining the validity of the statement of conformity.

2.50 Surveillance Assessment - a periodic review used to monitor the products based on the requirements of the specific Drinking Water Treatment Unit Standard, the WQA Drinking Water Treatment Unit Scheme, the production process, and the quality system. All elements of the Full Assessment may not be covered during a Surveillance Assessment.

2.51 System - A series of components and appurtenant accessories intended to be assembled together as a single water treatment device.

2.52 Technical Service Provider (TSP) – An organization that has been approved by WQA to perform analytical services, toxicological reviews, or product testing that may be used for certification.

2.53 Testing – Determination of one or more characteristics of an object of conformity assessment, according to a procedure.

2.54 Water Softener (Mechanical) - A water treatment device that softens water.

2.55 Water Softening - The reduction/removal of calcium and magnesium ions, which are the principle cause of hardness in water.

2.56 Wetted Parts List (WPL) – A list of components that come in contact with water intended for

consumption.

3 Selection The applicant shall request the Standard they would like their product Certified to that falls within this Certification Scheme. This information is verified by a completed product datasheet.

DWTU standards were developed for testing entire systems but have also been used to evaluate components by the drinking water treatment industry. WQA allows certification of components to the DWTU standards when they comply with material safety and/or structural integrity requirements of the standard as applicable.

3.1 Application Process for Certification

Required documents include: Agreement, Product Datasheet, and Wetted Parts List/Formulation Sheet

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3.1.1 Agreement

3.1.1.1 A Company must have a valid “WQA Gold Seal Certification Contract Agreement” (FORM.04087) on file with WQA, or one must be completed, signed and returned by the Company to the WQA Certification Department before attestation activities can commence.

3.1.1.2 WQA’s agreements are available through WQA or can be obtained through WQA’s website, www.wqa.org.

3.1.1.3 The WQA Gold Seal Certification Contract Agreement is valid for the duration that a Company successfully maintains a Certified product with WQA, commencing on the date an officer from WQA signs the Agreement.

3.1.2 Product Datasheet

3.1.2.1 Datasheet Requirements

3.1.2.1.1 See Table 3-1 for a list of current datasheets for products falling within this Certification Scheme.

3.1.2.1.2 For Another Name For/Private Label applications, an ANF form (FORM.04084) shall be completed and signed by the manufacturer who owns the test data (for Private Label products only) in lieu of a datasheet.

3.1.2.1.2.1 An ANF Company cannot grant permission for other Companies to ANF a product without the consent of the Company that owns the data.

3.1.2.1.3 Product families can be grouped on one datasheet as long as the performance and treatment technology characteristics are the same.

Table 3-1: Datasheets

PRODUCT TYPE STANDAND(S) FORM NUMBER

Cation Exchange Water Softeners NSF/ANSI 44, WQA S-100, CAN/CSA-B483.1-07 FORM.04066

Water Filters NSF/ANSI 42, NSF/ANSI 53, WQA S-200, CAN/CSA-B483.1-07 FORM.04067

Ultraviolet Microbiological NSF/ANSI 55, CAN/CSA-B483.1-07 FORM.04073

Reverse Osmosis NSF/ANSI 58, WQA S-300, CAN/CSA-B483.1-07 FORM.04068

Distillation NSF/ANSI 62, WQA S-400, CAN/CSA-B483.1-07 FORM.04072

Shower Filtration NSF/ANSI 177 FORM.05060

Microbiological Water Purifiers USEPA Microbiological /NSF Protocol P231/ORD 0901 FORM.05059

Ozone Generators NSF/ANSI 222 FORM.11019

Drinking Water Treatment Systems CAN/CSA-B483.1-07 (only) FORM.11005

DWTU Components NSF/ANSI 42/44/58/CSA B483.1 FORM.12029

http://www.wqa.org/

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3.1.3 Wetted Parts List (WPL) and/or Formulation Sheet

3.1.3.1 A separate WPL is required for each product (for process media, see 3.1.3.2) from each manufacturing facility.

3.1.3.1.1 If multiple units have identical wetted parts, one WPL with all model numbers listed on it may be submitted.

3.1.3.2 A formulation sheet from each manufacturing facility is required for process media being Certified as a component.

3.1.3.3 Waste streams of RO systems or brine systems for water softeners do not require material formulation disclosure.

3.1.3.4 A Company that blends materials to fabricate a treatment element (e.g. carbon block or blended media mixture) shall submit complete formulation information for each ingredient.

3.1.3.5 A formulation sheet may also be required when a toxicology review determines additional information is needed. If WQA is unable to obtain complete formulation of specific components or materials a plant inspection of the secondary material or secondary supplier shall be required.

3.1.3.6 Lead shall not be added as intentional ingredient in any material contacting drinking water, except brass meeting the definition of "lead free" under the specific provisions of the most current Safe Drinking Water Act of the United States.

The use of Dimethylformamide (DMF) is prohibited in WQA listed solvent cements and primers.

3.1.3.7 Certified products may contain components from secondary or tertiary supply companies. WQA’s Gold Seal Program shall place responsibility on the certified company to ensure that all secondary suppliers do not change their material formulations or component suppliers. Certified companies shall have a written agreement with each supplier stating that their component or material formulation is being used in a product that is certified by the Water Quality Association. Changes cannot be made to a component or formulation without informing the certified company or the Water Quality Association via a CCP prior to making the change and receiving confirmation from the Water Quality Association that the change is allowed.

3.1.3.8 Form numbers for the Wetted Parts Lists and Formulations are indicated in Table 3-2. Alternative formats will be accepted if the minimum required information is present in another format.

Table 3-2: Wetted Parts Lists and Formulation Information

DESCRIPTION FORM NUMBER

Wetted Parts List FORM. 09044

Wetted Parts List Instructions FORM. 09046

Formulation Sheet FORM. 09045

Formulation Instructions FORM. 09047

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3.1.4 Optional Information

The following additional information may also be submitted for review to reduce duplicate testing.

3.1.4.1 Other current certification Listings by a Certification Body officially approved as competent to carry out certification by a national accreditation body.

3.1.4.1.1 If the material/component makes up less than 25% of the total wetted surface area of the product (not including the surface area of the media or underbedding) under evaluation, and the material and or component is certified according to another NSF/ANSI standard that includes material safety testing by an approved, accredited certification body, the test data from the supplier will not be required.

3.1.4.1.1.1 For materials that are unknown, new, or known to be hazardous or toxic, this provision may not be applicable.

3.1.4.1.1.2 If the certification listing includes any use restrictions, they must be followed, as applicable, in order for this provision to be applicable.

3.1.4.1.2 For POU DWTUs, the test battery for media may be different than what is required in NSF/ANSI 61. Therefore, medias certified according to NSF/ ANSI 61 may only be used if the test data to support it has been obtained and reviewed.

3.1.4.1.3 This is meant to be a set of guidelines, and is not meant to eliminate judgment based on experience or technical expertise.

3.1.4.2 Test data from a laboratory or certification body on any product or component being considered for certification. Test reports will be accepted five years from the completion date unless the product maintains a current listing with another approved accredited certification body and the recertification testing has not yet been completed.

3.1.4.3 Material approvals referenced on wetted parts lists, such as FDA Title 21, Generally Recognized As Safe (GRAS).

3.1.4.4 Rework materials are permitted as long as there is no impact on the chemical extraction or structural integrity of the material. The Company(s) shall document their rational that demonstrates chemical extraction and structural integrity allowance for rework material.

3.1.4.5 Product literature, such as data plates, performance data sheets, operation/installation guides.

3.1.4.6 Data Transfer Application (FORM.04085).

3.1.4.7 Change to Certified Product Form (FORM.05011).

3.1.4.8 Wetted parts list for sub-assemblies.

3.1.4.9 Exploded View Diagram (EVD).

3.1.5 RUSH Request to Expedite Projects (Optional at Additional Cost)

3.1.5.1 Upon request, WQA can provide RUSH pricing for projects that need to be expedited. The time line for rush projects can vary based upon availability of the laboratory and certification staff. Customers should indicate the need to RUSH a project as part of the application process.

3.2 Application Review

A technical review of submitted information will be performed to ensure completeness, accuracy, and the scope of the certification project.

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3.2.1 Selection of Product Testing Requirements from the Standard(s) Requested for Certification

3.2.1.1 Table 3-3 outlines the minimum requirements for certification for systems making performance claims or components according to each applicable standard.

3.2.1.1.1 Point-of-Use systems may obtain certification for materials safety and structural integrity according to the applicable DWTU standard as long as the product literature does not make any claims about performance that are covered by the applicable standard.

3.2.1.1.2 Point-of-Entry systems that would like to obtain certification for materials safety only should go through NSF/ANSI 61 certification.

3.2.1.2 Not all sections from each standard are required for product certification.

3.2.1.3 Technical justifications and applicable product bracketing may be utilized based on CSOP.06016 when requesting Certification for multiple products.

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Table 3-3: Requirements for Product Certification according to Industry Standards

Standards 1,2

Material Evaluation

3,4,5

Structural Performance

(if pressure bearing)6,7

Minimum Performance Requirements

8,9

Elective Performance

Claims

Literature Requirements

10,11

FILT

ERS

NSF/ANSI 42 or WQA S-200

POE –NSF/ANSI 61

POU- NSF/ANSI 42

Hydrostatic Cyclic

Rated Service Flow Pressure Drop (POE) Minimum Service Flow One reduction claim

Reduction claims are voluntary – but a minimum of one is required for Certification

Data Plate PDS Instruction

Manual Replacement

Component (if present)


POE – NSF/ANSI 61

POU- NSF/ANSI 53

Hydrostatic Cyclic

PID (if present) POE Pressure Drop Minimum Service Flow Rated Service Flow One reduction claim

Reduction claims are voluntary – but a minimum of one is required for Certification


Manual Replacement


CAN/CSA-B483.1

Per NSF/ANSI 42 or NSF/ANSI 53


Life Cycle (shut off/check valves and diverters)

Thermal Cycle (faucet connected systems) Regenerant Tank Over Flow

(POE) Regenerant Tank Safety Float

(POE) Faucet Testing


Per NSF/ANSI 42 or NSF/ANSI 53 Plus Packaging

SOFT

ENER

S

NSF/ANSI 44 or WQA S-100 Efficiency Rated

POE – NSF/ANSI 61

POU – NSF/ANSI 44

Hydrostatic Cyclic

Softening Performance Capacity/Rinse Effectiveness Brine System Accuracy Pressure Drop Salt Efficiency Water Consumption

Barium/Radium


Manual

NSF/ANSI 44 or WQA S-100 Not Efficiency Rated

POE – NSF/ANSI 61

POU – NSF/ANSI 44

Hydrostatic Cyclic

Softening Performance Capacity/Rinse Effectiveness Brine System Accuracy Pressure Drop

Salt Efficiency Water Consumption Barium/Radium


Manual

CAN/CSA-B483.1

Per NSF/ANSI 44

Per NSF/ANSI 44

Life Cycle (bypass valve) Brine Tank Over Flow Brine Tank Safety Float

Per NSF/ANSI 44 Plus Packaging

ULT

RAVI

OLE

T M

ICRO

BIO

LOGI

CAL

NSF/ANSI 55

POE – NSF/ANSI 61

POU – NSF/ANSI 55

Hydrostatic Cyclic

(open discharge)

Performance Indication (Class A Only) UV Alarm Flow Control Lamp Operation UV Sensitivity Microbial Performance

Class A or Class B


Manual

CAN/CSA-B483.1

Per NSF/ANSI 55

Per NSF/ANSI 55

Life Cycle (shut off/check valves and diverters)

Thermal Cycle (faucet connected systems) Faucet Testing

Class A or Class B (for POU systems)

NSF/ANSI 55 Plus Packaging

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Table 3-3: Requirements for Product Certification according to Industry Standards

Standards 1,2

Material Evaluation

3,4,5

Structural Performance

(if pressure bearing)6,7

Minimum Performance Requirements

8,9

Elective Performance

Claims

Literature Requirements

10,11

REVE

RSE

OSM

OSI

S NSF/ANSI 58 or WQA S-300

Required Hydrostatic Cyclic

TDS Reduction Efficiency Rating Air Gap Daily Production Rate Storage Tank Capacity

Additional performance claims are voluntary Recovery Rating Open

Atmosphere (if applicable)


Manual

CAN/CSA-B483.1

Per NSF/ANSI 58

Per NSF/ANSI 58

Life Cycle (shut off and check valves) Thermal Cycle

(faucet connected systems)

Faucet Testing


DIST

ILLE

RS


POE – NSF/ANSI 61

POU – NSF/ANSI 62

Hydrostatic Cyclic

TDS Reduction Flow Control

Additional performance claims are voluntary Performance Indication


Manual

CAN/CSA-B483.1

Per NSF/ANSI 62

Per NSF/ANSI 62

Faucet Testing Life Cycle

(shut off/check valves and diverters)

Thermal Cycle (faucet connected systems)


SHO

WER

FI

LTRA

TIO

N

NSF/ANSI 177

Materials shall not contain lead as an intentional ingredient

Hydrostatic Cyclic

Minimum Service Flow Rated Service Flow Free Available Chlorine

Reduction

N/A


Manual

OZO

NE

NSF/ANSI 222 Ozone-resistant material review

No air, ozone, or coolant leaks shall be detected during normal operation

Ozone Concentration Output Rate N/A


Manual

MIC

ROBI

OLO

GICA

L PU

RIFI

ERS

USEPA Microbiological

N/A Bacteria Virus Cyst

N/A

No requirements in Standard; see WQA Certification Requirements

P231

Must comply w/ NSF/ANSI 42, 53, 55, 58, 62, as applicable

Must comply w/ NSF/ANSI 42, 53, 55, 58, 62, as applicable

Bacteria Virus Cyst

N/A


Manual Replacement


DWTU

CO

MPO

NEN

T 12

,13

NSF/ANSI 42, 44, 53, 58

Must comply w/ NSF/ANSI 42, 44, 53, 58, as applicable

Must comply w/ NSF/ANSI 42, 44, 53, 58, as applicable

N/A N/A

No requirements in Standard; see WQA Certification Requirements

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1 WQA will evaluate all products and determine their applicability to the standard and each section of the standard. If any portion of the testing is not applicable to the end use application of the product, modifications may be made in conjunction with listing notes to indicate how the requirements of the standard were modified.

2 WQA allows testing on prototype samples, however, confirmation tests or examination, as appropriate, should be made on production samples.

3 WQA Standards and USEPA Microbiological Water Purifiers standard allow for material compliance to FDA CFR Title 21 in lieu of extraction testing. This must be indicated on the wetted parts list.

4 Formulation Review - In conflict with ISO/IEC 17007, many of the NSF/ANSI Standards briefly describe a formulation review process. In compliance with ISO/IEC Guide 65, WQA follows CSOP.07001 when conducting formulation reviews to ensure the WQA Certification Department has enough information to adequately prescribe extraction testing battery.

• Any grade of SS that falls within Table C1 of NSF/ANSI 61 may be used without additional testing as long as the manufacturer can provide either proof that the composition of the SS matches what is in the table or that they are using SS that has been manufactured in accordance with one of the ASTM standards that the table references for that specific grade of SS. If proof is unattainable, an X-Ray Fluorescence (XRF) scan may be conducted to determine the composition of SS to determine whether or not Extraction testing is required. The comparison will use only the main constituents listed in Table C1 that are detectable via the XRF. Minor impurities detected by the XRF that are not included on Table C1 will not be included in the comparison.

• When components and media binders are manufactured with polyethylene (PE) and/or polypropylene (PP) that meets the requirements of CFR 21 177.1520, at least one supplier will be tested for extraction. When additives are disclosed, extraction testing may be waived if deemed appropriate after technical review. CFR compliance has no bearing on structural and contaminant reduction testing evaluation.

5 Extraction testing • De minimus may be used to waive or reduce requirements.

• Whole-system extraction testing may be waived if components, when separately tested, meet requirements for materials safety and are assembled in a manner that does not introduce any new components or increase the surface area-to-volume ratio of previously evaluated components. A technical review will determine whether a cumulative effects review is necessary.

• Alternate materials or suppliers shall be evaluated to determine if testing of the specific components or materials will be conducted. Not all alternately molded materials will require testing. Factors will be taken into consideration such as the type of material, wetted surface area of the material, the molders in which the material is coming from, the formulator of the material and past experience with the material and specific molders/suppliers.

6 Alternate materials or suppliers of pressure bearing components shall be evaluated to determine what testing may be required.

7 Loosening of housings is not considered a failure during cycle testing. Loosening can be caused by the torque of the hoses when they are pressurized and depressurized. Re-tightening will occur and the Company will be notified. 8 Delineations of non-certified claims may be made. See the Gold Seal Logo Policies for instruction.

9 Alternate materials or suppliers of critical components that affect performance of the system shall be evaluated to determine what testing may be required.

10 Gold Seal usage must follow WQA Gold Seal Logo Use Policies.

11 Literature requirements may not be required on a Certified product if it is not sold as a complete system to a consumer.

12 Typically Certified for material safety and/or structural integrity

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3.2.2 Certification of Products Listed by another Certification Body

3.2.2.1 A Company may request a transfer of Certification from a Certification Body approved as competent to carry out certification by a national accreditation body.

3.2.2.1.1 All certification scheme documentation must be received and approved by WQA within 12 months of WQA Certification in order to maintain certification. If documentation from the other certification body is unattainable, testing through WQA will be necessary.

3.2.2.1.2 All available test data (performed for the intent of certification purposes) applicable to the product from initial certification to the current date shall be provided.

3.2.2.1.3 If a complaint is initiated from the certification body where the test data originated due to non-disclosure of all test results, any expenses incurred by WQA from the investigation shall be passed onto the Company.

3.2.3 Changes to a Certified Product (CCP)

A CCP may include one or more of the following: supplier changes, material changes, addition of new components, manufacturing processes, facility location moves, addition or deletion of claims, model number, Company or brand name changes.

3.2.3.1 WQA will perform a technical review of the proposed change to determine if additional Certification activity is required, such as testing, auditing, or documentation needs.

3.2.3.1.1 Performance testing, when required, will be based on specification comparisons to the original certified material. Spot check testing may be performed in lieu of the full testing battery.

3.2.3.1.1.1 For water softener performance claims, the testing results must be within 10% of the original results.

3.2.3.1.1.2 For all other published claims, the testing results must be within 3% of the original results.

3.2.3.1.1.3 For all performance claims, if the results from the spot check testing are equal to or better than the original test results, the change will be accepted.

3.2.3.1.1.4 Literature changes will not be required if alternates are approved within the constraints above.

3.2.4 Other Certification Evaluations

3.2.4.1 Multiple production facilities

3.2.4.1.1 If WQA can determine that suppliers, materials, and manufacturing process, if applicable, are identical across multiple facilities, testing from all facilities may not be required.

3.2.4.2 Customized Certification

Based on specific product type and end use, Standard requirements may be modified or waived.

3.2.4.2.1 Certification will be maintained based on footnotes accompanying the public listings. Listing notes may also be required to be placed on product literature.

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3.2.4.3 System Assembler Certification

This process is typically used when water softener valve manufacturers submit generic complete systems for performance testing to lower Certification costs for Companies who purchase their products.

3.2.4.3.1 A Company that assembles WQA tested or Certified components may obtain authorization for Certification without additional performance testing.

3.2.4.3.2 The Company of the tested products shall provide WQA written authorization to use their data for assemblers.

3.2.4.3.3 The Company (Assembler) shall complete all required application documentation to begin the Certification process.

3.3 Facility Assessment Review

A review of the submitted application material is used to determine the facility location and if the facility is currently being audited on an annual basis (which is the minimum requirement) by WQA. WQA does not conduct plant inspections of secondary material or secondary supplier companies.

3.3.1 New Facility

3.3.1.1 WQA will perform a full assessment of new facilities where the following activities occur:

• The control of final assembly • Where Gold Seals are applied to the product • Production locations

3.3.2 Existing Facility

3.3.2.1 Previous audit history and non-conformities of the Certifying Company will be reviewed. If non-conformities affecting Certification are open, they will need to be closed or a facility assessment will be required.

3.3.2.2 Corruptness Assessment

3.3.2.2.1 Any reasons that lend doubt to the quality system such as audit history, complaints, or testing history shall be considered to determine if a facility assessment will be required.

3.3.2.3 Changes to a Facility for currently Certified Products

3.3.2.3.1 If the same equipment is being used and it is only a change in location, WQA will perform an assessment of the new facility at the new location on its normally scheduled annual assessment.

3.3.2.3.1.1 If there is a change to equipment and processes, WQA may perform a full assessment of the facility prior to Certification.

3.3.2.4 Additional Manufacturing Location

3.3.2.4.1 For products already certified and an additional manufacturing location is being added for the exact same product, WQA will perform a full assessment of the facility.

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Table 3-4: Determination of Audit Location*

AUDIT CIRCUMSTANCE ON-SITE AUDIT OFF-SITE AUDIT

Facility has not been audited by WQA in current or previous calendar year Yes No

Facility has been audited by WQA in the previous calendar year for the same product technology and has no open findings No No

Facility has been audited by WQA in the previous calendar year for the same product technology but has unresolved quality issues or findings Yes No

Facility has been audited by WQA in the previous calendar year but the audit was conducted for a different product technology Yes No

For new Private Label/Another Name For (ANF) product(s) and the Facility of the Original Product has been audited by WQA in the previous calendar year

No Yes

*In all cases, WQA reserves the right to change the audit type and location.

3.4 Proposal

3.4.1 A Proposal Approval Form (PAF), FORM.04092, will be sent to the client for approval before Determination activities begin. A signed proposal is considered approval to move forward with the project.

3.4.1.1 The PAF will list all anticipated fees required for Certification, including, but not limited to, Facility Assessments, Testing requirements and Certification requirements. A deposit may be required prior to moving forward with Certification activities. The PAF will not be exceeded without prior notification to the Company. Failure to approve additional necessary charges may cancel the Certification application.

3.4.2 A Test Unit Submittal Form, FORM.06002, may be provided by WQA specifying any samples needed for testing.

3.4.2.1 Samples should be representative of the entire line or group of products to be certified, and should be made using components and sub-assemblies identical to those used in production, made from production tools and assembled using methods established for the production run.

4 Determination 4.1 Testing

4.1.1 Testing Locations

4.1.1.1 The Water Quality Association Laboratory

4.1.1.2 The Company’s facilities or alternate site acceptable to WQA in accordance with WQA’s testing procedures (see WQA SOP.00005).

4.1.1.3 A recognized testing laboratory qualified according to WQA requirements for technical service providers (see WQA QSOP.06009).

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4.1.1.3.1 Companies will have the option to decline any recognized testing laboratory that is used to produce work used toward Certification projects.

4.1.2 R&D work conducted at the WQA Laboratory

4.1.2.1 The Laboratory can perform protocols directly from the Standards for this purpose, or perform and develop customer-specific test protocols. The Laboratory is also available to arrange and/or perform analytical testing.

4.1.2.2 WQA may deny testing requests for products manufactured by the applicant's competitors in the industry that have or have had products certified by WQA. If competitive testing is conducted by WQA, test results cannot be published, used for promotional comparisons or for marketing/advertising against competitive products.

4.1.3 Data Verification

Once all data generated during the course of testing is verified and determined to be correct and complete, the results of the testing are evaluated against the requirements of the Standard in order to determine the testing outcome.

4.1.3.1 If testing results meet or exceed all criteria in the applicable Standard, then the test shall be given a “Pass” result.

4.1.3.2 If testing results do not meet all criteria in the Standard, then the test shall be given a “Fail” result.

4.1.3.2.1 If a Company receives failing test results from WQA, the Company shall inform WQA what they felt was the root cause of the failure and satisfactorily explain what has been corrected or changed before WQA performs retesting of the product(s).

4.1.3.3 If testing is performed and only partially completed, then the test shall be given an “Incomplete” result.

4.1.3.4 If materials evaluation testing is performed and compliance to the Standard cannot be verified without toxicological evaluation, then the test shall be given a “Complete” result.

4.1.3.4.1 Contaminants that have extracted or been normalized to a concentration of 50 ppt or less shall be considered a “pass” unless a known EPA level is below the 50 ppt level.

4.1.3.4.2 Regardless of extraction testing outcome (i.e. pass, complete, fail, etc), a final toxicological evaluation is required to ensure the full analytical test battery was completed and all values are acceptable.

4.1.3.5 Test data shall be reported to the Company upon completion and verification as long as the Company is in good standing with WQA and all outstanding invoices have been paid.

4.1.4 Test Samples

All test samples will be disposed of by WQA upon the completion of testing, unless pre-arranged with the Company. If the Company wants the samples returned after testing is complete, the Company shall pay for the shipping and handling of the returned samples.

4.1.4.1 Samples that fail testing shall be retained for 30 days after the Company has been notified of the failure. Following the 30-day time period, the sample shall be discarded unless prior arrangements have been made by the Company to pay shipping and handling for the product’s return.

4.2 Other Testing Information

4.2.1 Contaminant Reduction Testing for Replacement Component/Elements

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4.2.1.1 A replacement element Company that maintains a material safety Certification with WQA may have the element tested in accordance to the drinking water treatment unit Standard(s) for contaminant reduction. The test results will not be certified but may be used by complete system Companies for Certification in conjunction with other compliance testing as required.

4.2.2 Testing Self-Adjusting Water Softeners

4.2.2.1 Manufacturers of and Companies that sell water softeners that adjust their salt settings based on water use and water characteristics shall be tested at a minimum, at their lowest, mid-point and highest achievable salt settings for capacity and efficiency ratings. For the softener to be efficiency rated all possible salt settings in the efficiency mode must achieve an efficiency of 3350 grains of hardness removed per pound of salt (4000 grains/pound for California rated systems). WQA shall verify that the certified salt settings can be achieved by reasonable water use patterns. Verification shall be conducted by one of the following means:

• Confirm that the manufacturer’s algorithm can choose all certified salt settings and that they can be chosen under reasonable water use patterns.

• Perform water use testing to determine salt selections of the certified system.

4.2.2.1.1 Self-adjusting water softeners shall contain a “regeneration now” button that is set to a specific salt setting (typically the highest certified setting). Brine accuracy testing of self-adjusting water softeners shall be conducted using the “regenerate now” button to ensure that the correct amount of brine will be drawn from the brine tank during regeneration. The brine fill times supplied by the manufacturer or Company shall be used to verify that the low and middle salt settings shall deliver the correct amount of brine during regeneration.

4.2.2.1.2 If software automatically adjusts salt dosages based upon volumetric capacity used, water hardness, water iron content or water TDS, a water softener may not be an efficiency rated softener, if the software could set the salt dosage for a value higher than the salt dosage for the minimum required efficiency rating.

4.2.2.1.3 If software automatically adjusts salt dosages based on use pattern or volumetric capacity used, water hardness, water iron content or water TDS, and all salt dosages are equal to or less than the salt dosage for the minimum required efficiency rating, the salt efficiency for the maximum salt dosage shall be stated at the level that the salt efficiency for the minimum salt dosage appears. This would include literature requirements and marketing material.

4.2.3 Systems with Raw Water Blending Options

4.2.3.1 Systems with the ability to blend treated and raw water together will be tested with the blending function disabled. When the blending function is in operation, the certification of the performance claims is no longer valid due to the uncertainty of the raw water which is being blended with the treated water. This limitation to the product certification must be communicated to the consumer.

4.2.4 Integral Component Certification

4.2.4.1 Certification for integral components that are part of complete systems with a holding volume of one gallon or greater such as ROs, softeners, and POE systems will be evaluated using the following:

4.2.4.1.1 Materials safety testing of integral components shall be normalized to 2L during extraction testing of those individual components.

4.2.4.1.2 When a company would like to make a change to a certified product and the change relates to an integral component within the system, the testing of these components shall be normalized to 2L during extraction testing.

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4.2.5 Cyst Testing according to NSF/ANSI 53

4.2.5.1 If a product qualifies for cyst reduction capabilities according to NSF/ANSI 53, the product also meets the cyst test requirement of USEPA Purifier Standard and NSF P231.

4.2.6 Microbiological Surrogates

4.2.6.1 Accepted as a surrogate for the bacteria and virus requirements under USEPA Purifier Standard and P231.

4.2.6.1.1 For mechanical filtration or UV devices, MS2 may be used when log reduction is equivalent to pathogen class requirement it is representing. To cover all pathogen classes with MS2 bacteriophage alone, the mechanical filtration or UV device must achieve a 6 log reduction.

4.2.6.1.2 A surrogate for any pathogen class may be used if evidence can be provided to show comparability to the pathogen class to be substituted.

4.2.7 Toxicological Evaluation Allowable Levels are Public Information

4.2.7.1 WQA performs toxicological studies to determine allowable levels of contaminants that leach from products during extraction testing. After WQA’s toxicologists have determined the safe allowable level of contaminant(s) (for which no public safety level or Standard has been established), the results will be reviewed by WQA toxicological review panel. After the panel reviews the study and agrees to the final allowable level WQA will make that value public information. This information may be made available to regulators, consumers and the industry.

4.3 Facility Assessment Activities (Full Assessments)

Audits assess the capability of a facility to control the quality and continuing conformity of its products to the requirements of relevant specifications. WQA shall be granted access to all facilities and production locations of the Company during normal operation hours.

4.3.1 Audits are typically announced, but WQA may conduct un-announced audits at any time.

4.3.1.1 All expenses for cancelled announced and unannounced audits are the responsibility of the certified company.

4.3.2 Specifics of facility assessment details are outlined in the WQA Facility Assessment Plan (FAP).

4.3.3 The first audit of a manufacturing facility will be a full, quality-based assessment.

4.3.3.1 Every five years thereafter, a full, quality-based assessment will be re-conducted.

4.3.3.2 WQA reserves the right to conduct full assessments more frequently than the prescribed timeframe of once every five years.

4.3.4 Full Assessments Include:

4.3.4.1 Review of the production process

4.3.4.2 Evaluation of the facility’s quality system

4.3.4.3 Evaluation of product information

4.3.4.3.1 EVD (if available)

4.3.4.3.2 WPL

4.3.4.3.3 Bill of Materials

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4.3.5 Exceptions to a Prescribed On-Site Audit

4.3.5.1 Travel restrictions according to the U.S. Department of State, WQA shall perform off-site audits until the travel restriction has been lifted.

4.3.5.2 An auditor unable to perform an audit due to illness or injury may perform an off-site audit to complete certification until another on-site audit can be scheduled, typically conducted within six months.

4.3.5.3 The same product models are manufactured at a new production facility using the same production process and quality system as a facility that is currently assessed by WQA, an off-site audit may be conducted until an on-site audit can be scheduled.

4.3.5.4 When off-site audits are conducted for any of the reasons above, WQA will require submittal of all documents that are reviewed during an on-site Facility Assessment process and WQA may request product samples for testing and review.

4.3.5.5 A new Another Name For (ANF)/Private Label Company if the original manufacturing facility is in good standing.

4.3.5.5.1 Documentation shall be requested from the manufacturer of the originally Certified

product as well as the ANF/Private Label product to verify equivalency. 4.3.6 Evaluation of the Assessment Result

4.3.6.1 The Facility Assessment Department shall inform the applicant through a Final Assessment Letter on the outcome of the assessment, which will include any findings as well as a timeframe for reconciliation.

4.3.6.1.1 Major Findings can include:

4.3.6.1.1.1 Improper use of the Gold Seal

4.3.6.1.1.2 Changes to Certified Products, components, or materials without notification to WQA

4.3.6.1.2 Minor Findings can include:

4.3.6.1.2.1 Records not being retained for required timeframe

4.3.6.1.2.2 Complaint system not being followed or implemented

4.3.6.2 If any findings are not reconciled to the satisfaction of WQA, or not within the allowed timeframe, an additional assessment may be conducted.

4.3.6.3 The findings and recommendations will be reviewed to determine the frequency and duration of surveillance audits.

4.4 Literature Requirements

4.4.1 Required literature must meet the requirements of the applicable standard(s) and the WQA Gold Seal requirements for literature. (See WQA Gold Seal Logo Policies and Table 3-3 of this document.)

4.4.1.1 Based on the size of literature, some requirements may be modified and or waived.

4.4.1.2 Some manufacturers produce generic systems for sake of product assemblers, in these cases, the original company will not be required to maintain complete system product literature.

4.4.1.3 In all cases, WQA reserves the right to waive the use of the Gold Seal on products, packaging, and/or literature for reasons decided upon between WQA and the Certifying Company.

4.4.1.4 Final print versions of literature will not be required prior to the decision on certification as

long as the following provisions are followed:

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4.4.1.4.1 Some literature requires revision due to a health or safety concern. In these

cases the requested changes must be in print form and implemented prior to obtaining certification or approval for the change.

4.4.1.4.2 The company must provide WQA with an electronic version of the corrected literature. Handwritten revisions will not be acceptable for use.

4.4.1.4.3 The company may use existing stock of literature for up to one year as determined by WQA.

4.4.1.4.3.1 When existing literature will be used, WQA will maintain two

sets of approved literature for audit purposes.

4.4.1.4.3.2 The unchanged literature will be approved only for a specified amount of time and may not be used post the date marked on the literature.

4.4.1.4.3.3 The electronic version of the literature will not have a specified

time frame for the approval and may be used until changes to it are approved through the program’s CCP process.

4.4.1.4.4 Literature that is made in multiple languages including English will not require a

complete review by WQA.

4.4.1.4.4.1 The English version of the literature will require a full review and be approved as noted above by WQA.

4.4.1.4.4.2 For any other language, the company shall be responsible for maintaining the intent of the language required when translated. WQA will not approve these foreign language documents.

4.4.1.4.4.3 Should complaints be submitted to WQA regarding foreign

language literature, all translation and administration fees will be at the expense of the certified company and will be processed through the program’s CCP process. If it is found that the translated literature does not meet the intent of the English version a fine of $1000 will be assessed.

4.4.1.4.5 Literature that is made only in a foreign language will not be reviewed by WQA.

It will be the responsibility of the certified company to ensure that any applicable literature requirements have been satisfied.

4.4.1.4.5.1 Literature requirements in part or in full may be waived if only selling to foreign markets.

4.4.1.4.5.2 Should complaints be submitted to WQA regarding foreign language literature, all translation and administration fees will be at the expense of the certified company and will be processed through the program’s CCP process. If it is found that the foreign language literature is misleading and or false a fine of $1000 will be assessed.

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4.4.1.5 Companies are required to notify WQA of any situation where a product bearing the Gold Seal could lead to a potential hazard or if the Gold Seal is being misrepresented on a product that is not Certified by WQA.

4.4.1.6 Product Certifications that require safety labeling, if so required by the standard or by the

regulatory authority having jurisdiction, shall be written in English. If the product is being sold in Canada, safety labeling is also required in French.

4.4.1.7 Companies that list a specific percent reduction of a contaminant that was tested by WQA

shall use test data rounded to appropriate significant digits provided by WQA using WQA’s approved rounding rules. For NSF/ANSI Standard 53 reduction claims, one of the following shall be used:

− WQA suggests that the Company list both the average calculated value and lowest

calculated value of both pH tests for inorganic claims.

− For VOC reduction claims, the percentages shown in the Standard for individual contaminant reductions of chemicals under the VOC surrogate shall be used.

− Detection limits shall be used for effluent calculations that are non-detected.

Percent reduction claims are typically calculated from the average percent influent and the highest percent effluent value achieved throughout the entire length of the test.

4.4.1.8 If a company indicates that a replacement component will fit into a competitor’s product, the

claim must be clearly delineated from any WQA claims and the implication cannot be made that WQA supports such a claim.

4.4.1.9 Manufacturers that have passed the VOC testing parameters in the NSF/ANSI Standards shall be allowed to make individual VOC claims that are listed in the VOC surrogate table on product packaging.

4.4.1.10 Remove vs. reduce: Remove implies 100% reduction. Because it is impossible to guarantee

100% reduction for any single contaminant, there are two options available:

− When stating that the product removes a specific contaminant, also state in the same sentence the percent removal as verified by test data. For example, “Product ABC will remove up to 99% chlorine. See performance data sheet for details.”

− Use the word “reduce” rather than “remove”. For example, “Product ABC reduces chlorine, VOC and Cyst. See performance data sheet for details.”

Absolute statements: Statements such “Product ABC removes all organic contaminants” are not acceptable. All absolute statements must be clearly defined as to the terms in which they apply. For example, including a statement such as “All organic contaminants as tested through the VOC surrogate and as listed on the performance data sheet are *reduced by the percentages shown” is acceptable.

Pure, Clean, and Safe: These words should not be used to describe the water. Words such as cleaner, safer or purer are acceptable. If absolute words such as pure, clean, and safe are used, then it is strongly recommended that they are clearly defined. For example, “Our system will provide you with pure* and clean* water.” The asterisk must lead to a comment such as, “Pure and clean as defined by the contaminant reduction performance listed on the performance data sheet.”

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Compliance with this policy does not ensure that your product literature will meet state, local, or international requirements.

Herbicides and Pesticides: General comments that a system *reduces herbicides and pesticides cannot be used. Instead, reference to the specific contaminants must be made.

The connection may be made by stating, “see performance data sheet for specific herbicides *reduced.”

Implied Health Claims: Independent studies cannot be referenced to imply that exposure to certain contaminants, that your system *reduces, will result in higher incidences of a disease.

Note: “Reduce” is allowed as long as the contaminant being reduced is not subject to percent reduction based on oxidation-reduction reaction.

5 Evaluation

5.1 All necessary requirements will be evaluated to determine whether or not a recommendation for certification can be made.

5.1.1 Evaluation Report

5.1.1.1 A report on the outcome of the evaluation will be sent to the company contact.

5.1.1.2 If non-conformances are determined, the Company contact shall be notified of the required corrective action and applicable timeframe necessary to attain conformance.

5.1.2 The Company shall be notified when non-conformities have been adequately addressed. Correspondence regarding non-conformities may occur multiple times throughout the certification process.

5.1.3 When making recommendations on certification, multiple capacity claims will be allowed for the same certified model based on different test results. When this is done, specific wording must be in the product literature to inform consumers of the meaning behind the different capacities.

Note: There can only be one capacity claimed per standard.

5.1.4 Certified and non-certified products for the same company may not hold the same model number.

6 Attestation

6.1 Decision on Certification (Granting)

6.1.1 The recommendation to certify will be reviewed by an appropriately designated WQA employee, or group of employees, that has not been involved in the evaluation process.

6.1.1.1 The certification recommendation for accuracy and completeness is reviewed. If it is determined that any outstanding non-conformities do not pose concern regarding integrity of the certification, certification will be granted.

6.1.2 Confirmation of Certification shall be sent to the Company.

6.1.2.1 An official letter will be provided, primarily via email.

6.1.2.2 A certificate of conformity may be created and made available to the Company contact for all Certified products.

6.1.3 All Certified products shall be publically listed on the WQA website.

6.1.3.1 Additional claims, verification of performance indication device accuracy, conformance to other Standards, and other variances, shall appear in a listing note.

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6.1.3.2 Components of systems that are Certified shall be allowed to be Listed on their own as a component. The holding volume of the tested system that the component must be used in will be noted.

6.2 Maintaining Certification

6.2.1 Yearly Requirements

6.2.1.1 A minimum of one annual assessment shall be completed per facility.

6.2.1.2 The Company must be in good standing with WQA accounts receivables.

6.2.1.3 All non-conformities must be completed appropriately (such as facility assessments, literature modifications, standard changes, expiring test data).

6.2.1.4 Notification to WQA of any proposed changes to Certified products.

6.2.1.4.1 Approval must be granted by WQA before any changes are made.

6.2.2 Sampling for any Required Testing

6.2.2.1 WQA may request samples based on the following:

6.2.2.1.1 Certification Department recommendation

6.2.2.1.2 Complaints

6.2.2.1.3 Unauthorized changes to Certified products

6.2.2.1.4 Facility quality issues

6.2.2.2 Samples may be obtained from several outlets, including:

6.2.2.2.1 Selected from inventory by a WQA representative during an audit;

6.2.2.2.2 Purchased in the marketplace with the cost invoiced to the company;

6.2.2.2.3 Supplied by the manufacturer upon WQA request.

6.2.2.3 All samples shall be provided free of charge, marked in accordance with WQA’s sample collection procedures, and shipped per WQA’s request.

6.2.2.3.1 Testing failures

6.2.2.3.1.1 The Company shall determine the cause of the failed test results and provide WQA a written proposed resolution to the identified source of the failure.

6.2.2.3.1.2 The Company shall have 20 calendar days from WQA’s failure notification to provide the written resolution.

6.2.2.3.1.2.1 If a resolution is not submitted within that time frame, listing modifications will be made including possible de-listing until an acceptable plan is submitted and re-testing has passed applicable requirements.

6.2.2.3.1.3 After reviewing the resolution to the source of the failure, WQA shall retest the product(s) and repeat only the necessary parts of the initial Certification procedure to ensure compliance.

6.2.2.3.1.3.1 Products must be submitted within 30 calendar days after the resolution has been approved.

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6.2.3 Modification of Certified Products

6.2.3.1 The Company shall notify WQA in writing, using WQA’s Change to Certified Product(s) form, prior to any changes they intend to make to a Certified product(s), listing or aspect of a certified product.

6.2.3.1.1 Changes include items such as: wetted parts, literature, documents as required by the standards and policies, Company name or location, Company’s quality system, a manufacturing process or other manufacturing plant changes.

6.2.3.1.2 WQA shall review the proposed change(s) and notify the Company of the steps that need to be taken to approve the change.

6.2.3.1.3 The Company shall not make any changes to a Certified product(s) without authorization from WQA.

Note 1: Examples of Quality System changes that require WQA notification include: final inspection and testing of the certified product and control of incoming materials.

Note 2: Examples of Manufacturing Process Changes that require WQA notification include: Changing plant locations and significant changes made to how the certified product is manufactured. Manufacturing processes that do not require notification include: addition of another manufacturing line that uses the same processes as originally certified and set up or modification of injection molding equipment.

6.2.3.2 Initiation of a change to a Certified product consists of the processes of selection, determination, review, and attestation as described in this scheme.

6.2.4 Revision to a Standard or Regulation

6.2.4.1 WQA will adopt a Standard in a reasonable time frame based on when WQA is notified that a new version has been published (not to exceed one year).

6.2.4.2 Product(s) certified or in-process prior to WQA’s effective date of the amended Standard shall be re-evaluated and/or re-tested as applicable to ensure that they meet the revised Standard. The review shall be conducted within a reasonable time frame (not to exceed one year).

6.2.4.3 After WQA has made a Standard or regulation effective, all new certifications shall be Certified to and in compliance to all the terms stated in the revised Standard.

6.2.4.3.1 Failure to comply with the new version of the standard may result in de-listing of products no longer compliant.

6.3 Extension of Certification / Re-certification

A certification project will be renewed a minimum of once every five years consisting of the processes of selection, determination, evaluation, and attestation as described in this scheme.

6.3.1 Selection (see Section 3)

6.3.1.1 The renewal consists of updating any outdated documentation, re-testing as deemed applicable by the technical review and revisions of literature due to performance result changes.

6.3.1.1.1 Notice of extension/re-certification will be provided to the company the previous year so each company has an opportunity to extend or de-list the products. WQA assumes all certifications will be extended unless WQA receives written notice at least six months prior to expiration to de-list the product(s).

6.3.1.1.2 Annual re-certification and testing fees may be assessed on an annual invoice.

6.3.1.2 Filtration products that make both health and aesthetic claims

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6.3.1.2.1 Re-testing of aesthetic claims may be waived based on a technical review that would provide evidence that the integrity of the claim is still intact.

6.3.1.3 All products that make only aesthetic claims

6.3.1.3.1 Re-testing of at least one aesthetic claim shall be conducted.

6.3.1.3.2 Additional aesthetic claim testing may be waived based on a technical review that would provide evidence that the integrity of the remaining claims is still intact.

6.3.1.4 Product line discontinuation

6.3.1.4.1 Extending the original certification before a new product line is effective may occur at the discretion of WQA.

6.3.1.5 If an alternate supplier of a material has previously been evaluated and approved, re-testing of all alternates will not be required. Re-testing will be conducted on the product in production at the time of sampling.

6.3.1.6 All other testing (for example, extraction, structural, pressure drop, etc) shall be conducted.

6.3.1.7 Product for re-certification testing may be tagged during the facility inspection, pulled from a retail location or requested to be sent by the facility.

6.3.2 Determination (see Section 4)

6.3.2.1 Testing failures during the extension evaluation

6.3.2.1.1 The Company shall determine the cause of the failed test results and provide WQA a written proposed resolution to the identified source of the failure.

6.3.2.1.2 The Company shall have 20 calendar days from WQA’s failure notification to provide the written resolution.

6.3.2.1.2.1 If a resolution is not submitted within that time frame, listing modifications will be made including possible de-listing until an acceptable plan is submitted and re-testing has passed applicable requirements.

6.3.2.1.3 After reviewing the resolution to the source of the failure, WQA shall retest the product(s) and repeat only the necessary parts of the initial Certification procedure to ensure compliance.

6.3.2.1.3.1 Products must be submitted within 30 calendar days after the resolution has been approved.

6.3.3 Evaluation (see Section 5)

6.3.3.1 If test results of the Certified Product(s) fail and are health related, WQA shall withdraw Certification of the Product(s) and/or the specific performance claim that failed.

6.3.3.2 Non-health claim failures will be evaluated individually for applicable action.

6.3.3.3 Literature changes will not be required if recertification performance results are less than a 10% difference lower than the original results for water softener capacity claims, or 3% for all other published claims.

6.4 Termination, Reduction, Suspension or Withdrawal of Certification

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WQA can reduce, suspend, and/or withdrawal certification upon substantiating a nonconformity with any certification requirement.

6.4.1 Suspension or reduction of Certification can result in any of the following enforcement actions:

6.4.1.1 Enforcement Actions

6.4.1.1.1 Administrative Hearing

6.4.1.1.1.1 WQA may request the Company to participate in an administrative hearing. WQA and the Company will discuss the nonconformance during the hearing and develop an action plan to correct the problem and prevent future problems.

6.4.1.1.1.2 The meeting date shall be determined by WQA within a time frame that is acceptable to WQA and the Company. If the Company does not attend, WQA may withdraw Certification. If the Company does not agree to the conditions for continued Certification, Certification shall be withdrawn.

6.4.1.1.1.3 If the noncompliance may cause a health or safety concern, WQA shall place all inventory on hold, order a recall, and/or issue a public and regulatory notice.

6.4.1.1.1.4 The Company shall be responsible for the costs of the hearing.

6.4.1.1.2 Placing Product(s) on Hold

6.4.1.1.2.1 As a result of a Company’s noncompliance regarding Certified product(s), WQA may place all product(s) inventories on hold until the non-compliance is resolved.

6.4.1.1.2.2 If the manufacturer ships product(s) that has been put on hold and the non-compliance may cause a health or safety concern, WQA shall withdraw Certification, order a recall and issue a public and regulatory notice.

6.4.1.1.3 Product(s) Recall

6.4.1.1.3.1 As a result of a Company’s non-compliance of a Certified product(s) that may cause a health or safety concern, WQA shall order a product(s) recall. The manufacturer shall:

• Provide WQA shipping details of all nonconforming product(s);

• Determine dates of shipments and final locations; • Provide evidence to WQA of the success of the recall; and • Determine how many products were sold to the general public.

6.4.1.1.3.2 If the product(s) recall cannot be completed in a timely manner, or product(s) reached the end consumer and those consumers could not be notified effectively of the recall, WQA shall issue a public and regulatory notice.

6.4.2 Withdrawal of Certification

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6.4.2.1 WQA shall notify the Company of the decision to withdraw Certification. The Company shall immediately stop applying the Gold Seal Mark to the product(s) once they have been notified.

6.4.2.2 If the withdrawal of Certification is due to a non-conformance that may affect public health and safety, WQA shall issue public notice and regulatory notice of the withdrawal of Certification and the reason for the action.

6.4.2.3 WQA may require the Company to dispose of, or surrender to WQA, all Gold Seal Marks, marking devices, and marked materials, by means acceptable to WQA and within a time frame acceptable by WQA. The Company shall confirm the disposal to WQA.

6.4.2.4 Any attempt by a Company to offer bribes to WQA may result in withdrawal of Certification. Other appropriate enforcement action may be taken by WQA.

6.4.3 Complaints, Appeals, and Disputes

6.4.3.1 A Company may file a complaint, appeal, or dispute regarding any Gold Seal Program decision or activity through www.wqa.org.

7 Licensing

7.1 Gold Seal

7.1.1 WQA does not authorize the use of the Gold Seal to any organization outside of the Water Quality Association.

7.1.2 All advertising, promotional material, literature, and packaging that is used in conjunction with a WQA Certified product must adhere to the Water Quality Association Gold Seal Logo Policies.

8 Surveillance

Surveillance facility assessment(s) are used to monitor the implementation of the quality system, the proper usage of the Gold Seal, product literature compliance, and the repeatability in manufacturing.

8.1 WQA Facility Assessment Plan (FAP)

8.1.1 Details and specifics of a surveillance assessment are outlined herein

8.2 Frequency

8.2.1 A minimum of one announced or unannounced Surveillance Assessment shall be conducted for Companies with Certified products each calendar year.

8.2.1.1 A full assessment may be conducted based on prior audit history.

8.2.1.2 All expenses for any cancelled audit are the responsibility of the Company who has signed the Contract Agreement with WQA. If the Company informs WQA that they need to reschedule a previously scheduled announced audit (regardless of whether travel arrangements were made or not), WQA may issue a $500.00 fine.

8.3 Surveillance Assessments include:

8.3.1 Review of the production process;

8.3.2 Partial evaluation of the quality system;

8.3.3 Evaluation of the product information

8.3.3.1 EVD (if applicable)

8.3.3.2 WPL

8.3.3.3 Bill of Materials

8.3.3.4 Product Literature and use of the Gold Seal

http://www.wqa.org/

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8.3.4 Samples may be selected from inventory by a WQA representative during an audit

8.3.4.1 They shall be provided free of charge, marked in accordance with WQA's sample collection procedures, and shipped per WQA's request.

8.4 For a new Another Name For (ANF)/Private Label Company of an Existing Facility

(if the original manufacturing facility is in good standing)

8.4.1 Documentation may be requested from the manufacturer of the originally Certified product as well as the ANF/Private Label product to verify equivalency.

8.5 Outcome of the Assessment

8.5.1 The Company will be notified through a Final Assessment Letter on the outcome of the assessment, which will include any findings as well as a timeframe for reconciliation.

8.5.2 Major Findings can include:

8.5.2.1 Improper use of the Gold Seal

8.5.2.2 Changes to Certified Products, components, or materials without notification to WQA

8.5.3 Minor Findings can include:

8.5.3.1 Records not being retained for required timeframe

8.5.3.2 Complaint system not being followed or implemented

8.5.4 If any findings are not reconciled to the satisfaction of WQA, or the facility is found to have repeated findings, WQA may conduct an additional assessment and/or increase the frequency of audits at the facility or proceed with certification withdrawal or suspension.

9 Product Registrations The Water Quality Association can act as a liaison to help manufacturers obtain State product registrations as well as various other registrations.

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Company Requests Certification

SELECTION • Documentation Submitted • Technical/Facility Assessment Review • PAF Created and Approved by

Company

DETERMINATION • Facility Assessment Conducted • Lab Performs Product Testing • Wetted Materials/Parts Review • Literature Review Conducted

REVIEW • Report on Outcome of Determination • Company Addresses Non-

Conformances

ATTESTATION • Certification Granted

LICENSING • WQA does not authorize the use of

the Gold Seal to any organization outside of the WQA.

• WQA Certified productsmust adhere to the Water Quality Association Gold Seal Usage Policies.

SURVEILLANCE • Required Annually

drinking water treatment unit scheme ver 2

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