Staff Analysis for Declaratory Statement Request DS2014-024

March 11, 2014

Issue: DS2014-024. The Petitioner, Warren W. Schaefer, P.E., seeks a Declaratory Statement on Rule 61G20-3.009 Criteria for Certification of Independence.

Petitioner in DS2014-024 seeks clarification on two (2) situations specific to him:

Question 1:

Situation 1: I am the engineer that prepared, signed and sealed the window drawings NO. 1518, 1519 &1520 that exist as part of Dade County NOA's 13-0829.18, .19 & .17 & Florida approvals FL10015, 10022& 10026 respectively. The manufacturer of these products is in process of applying for 1A state approvals using the referenced NOA's, listing Dade as the QA & certification entity. The manufacturer desires to list me as the validator. I have no financial interest in any of the parties involved (manufacturer, Dade, test lab), I will not be listed on the applications as any entity in the application, and I am listed with the state as a validator. Can I validate these approvals?

Question 2:

Situation 2: I am the engineer that has prepared, signed and sealed installation instructions for products being issued to the State of Florida for product approval under method 1A (Entity certification) & Florida approval FL16258. WDMA will be the certification and QA entity for these products. In the product listing, the manufacturer will be uploading my certified installation instructions. The manufacturer desires that I be the validator. I have no financial interest in any of the parties involved (manufacturer, WDMA, test lab), I will not be listed on the applications as an entity in the application, and I am listed with the state as a validator. Can I validate the approvals?

Background:

61G20-3.009 Criteria for Certification of Independence.

A certification of independence shall be provided by a Florida registered architect or licensed professional engineer as applicable or by an officer of the entity, agency or laboratory who is responsible for operation of said entity, agency or laboratory that attests to the following:

(1) The entity, agency or laboratory does not have, nor does it intend to acquire or will it acquire, a financial interest in any company manufacturing or distributing products tested or labeled by the agency.

(2) The entity, agency or laboratory is not owned, operated or controlled by any company manufacturing or distributing products it tests or labels.

(3) The Florida registered architect or licensed professional engineer performing an evaluation does not have nor will acquire, a financial interest in any company manufacturing or distributing products for which the reports are being issued.

(4) The Florida registered architect or licensed professional engineer performing an evaluation does not have, nor will acquire, a financial interest in any other entity involved in the approval process of the product.

61G20-3.002 Definitions.

(4) Approved product evaluation entity means an organization recognized by Florida law or approved by the Commission pursuant to subsection 61G20-3.008(1), F.A.C., to evaluate products, for compliance with the Code or intent of the Code or the standards referenced therein resulting in the issuance of an evaluation report.

(7) Approved validation entity means a third party entity approved by the Commission pursuant to subsection 61G20-3.008(2), F.A.C., which shall certify to the Commission the product’s compliance with the standards specified in the Code or intent of the Code for use in state approval.

(17)(a) Evaluation report means a report based upon testing or comparative or rational analysis, or a combination thereof, from an approved product evaluation entity or a licensed Florida professional engineer or architect indicating that the product was evaluated to be in compliance with the Code or the intent of the Code and that the product complies with the Code or is, for the purpose intended, at least equivalent to that required by the Code.

(37) Validation means determination of compliance pursuant to Rule 61G20-3.006, F.A.C., for state approval.

Situation:

Here the petitioner is asked by the manufacturer to be the validator. The petitioner was involved in the preparation of the signed and sealed installation instructions for the evaluation report.

Staff Analysis: Based on the above facts and circumstances, staff provides the following answers to proponent’s questions:

Question #1:

To the question #1: Situation 1: I am the engineer that prepared, signed and sealed the window drawings NO. 1518, 1519 &1520 that exist as part of Dade County NOA's 13-0829.18, .19 & .17 & Florida approvals FL10015, 10022& 10026 respectively. The manufacturer of these products is in process of applying for 1A state approvals using the referenced NOA's, listing Dade as the QA & certification entity. The manufacturer desires to list me as the validator. I have no financial interest in any of the parties involved (manufacturer, Dade, test lab), I will not be listed on the applications as any entity in the application, and I am listed with the state as a validator. Can I validate these approvals?

Answer: No, as per Rule 61G20-3.009 (4), the work in question is considered to be an evaluation as defined in Rule 61G20-3.002 and therefore a validator/Engineer cannot validate his/her own evaluation.

Question #2:

To the question #2: Situation 2: I am the engineer that has prepared, signed and sealed installation instructions for products being issued to the State of Florida for product approval under method 1A (Entity certification) & Florida approval FL16258. WDMA will be the certification and QA entity for these products. In the product listing, the manufacturer will be uploading my certified installation instructions. The manufacturer desires that I be the validator. I have no financial interest in any of the parties involved (manufacturer, WDMA, test lab), I will not be listed on the applications as an entity in the application, and I am listed with the state as a validator. Can I validate the approvals?

Answer: No, as per Rule 61G20-3.009 (4), the work in question is considered to be an evaluation as defined in Rule 61G20-3.002 and therefore a validator/Engineer cannot validate his/her own evaluation.