®Registered trade-mark of Water Quality Association

Sustainability Certification Scheme

Water Quality Association

4151 Naperville Road Lisle, IL 60532

Version 1.4 Published: 08/08/2014

Water Quality Association Sustainability Certification Scheme TABLE OF CONTENTS 1 Background ...... 5 1.1 Water Quality Association Sustainability Certification Program Description ...... 5 1.2 Mission Statement ...... 5 1.3 Scheme Development ...... 5 2 Scope ...... 6 3 References ...... 6 4 Terms and Definitions ...... 7 5 Process Overview ...... 12 6 Selection ...... 12 6.1 Initial Application ...... 12 6.1.1 WQA Certification Contract Agreement [FORM.04087] ...... 12 6.1.2 Product DataSheet [FORM.13005/13011/13028] ...... 12 6.1.3 Wetted Parts List [WPL] and/or Bill of Materials [BOM] ...... 13 6.1.4 Product Literature ...... 13 6.2 Application Review ...... 14 6.3 Facility Assessment Review ...... 14 6.3.1 Facilities New to WQA...... 14 6.3.2 Facilities Already Under Assessment by WQA ...... 14 6.3.3 Exceptions to a prescribed On-site Assessment: ...... 14 6.3.4 Change to Certified Products (CCP) Requests for Changes to Facilities (see also §6.4 and §10.3) ...... 15 6.3.5 ANF/Private Label Facilities ...... 15 6.4 Change to Certified Product (CCP) Requests ...... 16 6.4.1 CCP Request Form ...... 16 6.4.2 Application Review ...... 16 6.4.3 Additional Costs ...... 16 6.5 Proposal ...... 16 6.5.1 Proposal Approval Form (PAF) [FORM.04092]...... 16 7 Determination ...... 17 7.1 Appraisal Scorecards [FORM.13012/13024/13029] ...... 17 7.1.1 Prerequisite or Referenced Certifications ...... 17 7.1.2 Company Self-Appraisal ...... 17 7.1.3 WQA Preliminary Review of the Appraisal Scorecards ...... 19 7.1.4 Official Audited and Signed Appraisal Scorecards ...... 19 7.2 Facility Assessment Activities ...... 19 7.2.1 Notice ...... 19

Page 2 of 30 Water Quality Association Sustainability Certification Scheme 7.2.2 Cancellations/Rescheduling ...... 20 7.2.3 Initial Audits/New Facilities ...... 20 7.2.4 Existing Facilities/Surveillance Assessments ...... 20 7.2.5 Outcomes of the Assessment (Applies to Full, Labeling and Surveillance Assessments) ...... 21 7.3 Literature Requirements ...... 21 7.3.1 General Requirements ...... 21 7.3.2 Language Restrictions ...... 22 7.3.3 Websites/Internet Content ...... 22 8 Evaluation Report...... 23 8.1 Final Evaluation Report for Attestation Recommendation...... 23 9 Attestation ...... 23 9.1 Attestation Process ...... 23 9.1.1 Standard Operating Procedures (SOPs) and Authorized Personnel ...... 23 9.1.2 Prerequisite Management Standard (WQA S-801) ...... 23 9.1.3 Documents ...... 23 9.2 WQA Public Website Listings ...... 24 9.2.1 Product Listings ...... 24 9.2.2 Listing Notes ...... 24 10 Maintaining, Extending and Withdrawing Certification ...... 24 10.1 General Annual Requirements ...... 24 10.1.1 Annual Surveillance Assessment of all Facilities ...... 24 10.1.2 Annual Fees ...... 24 10.1.3 Good Standing ...... 24 10.1.4 Change to Certified Products (CCP) ...... 24 10.2 Annual Surveillance Assessments (see §7.2.4 above)...... 24 10.2.1 Frequency and Scope ...... 24 10.3 Notification of Change to Certified Products [CCPs] (see also §6.3.4and §6.4 above) ...... 25 10.3.1 Clerical Changes to Certified Products ...... 25 10.3.2 Material Changes to Certified Products ...... 25 10.4 Revision to a Standard or Regulation ...... 26 10.5 Expiration Renewal/Recertification ...... 26 10.5.1 Expiration Timeline and Notice to Company ...... 26 10.5.2 Scope ...... 27 10.5.3 Fees ...... 27 10.5.4 Selection (see §5) ...... 27 10.5.5 Determination, Evaluation and Attestation (see §7, §8 and §9) ...... 27

Page 3 of 30 Water Quality Association Sustainability Certification Scheme 10.6 Extending Certification to Identical “Another Name For” (ANF)/Private Label products ...... 28 10.6.1 Candidate Product Requirements ...... 28 10.6.2 Changes to Certified ANF Products ...... 28 10.6.3 Expiration and Recertification ...... 28 10.6.4 Delisting...... 29 10.7 Withdrawal, Suspension, Reduction or Revocation of Certification ...... 29 10.7.1 Withdrawal of Certification ...... 29 10.7.2 Authority to Remedy Noncompliance...... 29 10.7.3 Suspension or Reduction of Certification ...... 29 10.7.4 Revocation of Certification ...... 30 11 Complaints, Appeals, and Disputes ...... 30 Appendix A: WQA Certification Process Flowchart ...... 31

Page 4 of 30 Water Quality Association Sustainability Certification Scheme 1 Background 1.1 Water Quality Association Sustainability Certification Program Description The Water Quality Association’s (WQA) Sustainability Certification Program is designed to support the development of sustainable design, manufacturing, marketing and disposal practices in the drinking water treatment industry, and to serve as a vehicle for raising sustainability performance levels industry-wide. This program incorporates the use of standards with credible metrics for evaluating the sustainability of a product. The program enables consumers, businesses and contractors to easily identify products which have been evaluated and certified for sustainability by WQA.

WQA has currently applied for the “ANSI New Pilot Accreditation Program to Assess Competencies of Eco-labeling Certification Bodies that Operate a Type I Environmental Labeling Certification Scheme.” The first step in this process is acceptance under the “ANSI New Pilot Accreditation Program to Determine Eligibility of a Type I Environmental Labeling Certification Scheme.” WQA therefore fully expects to be among the first certification bodies to be accredited for eco-labeling by the American National Standards Institute (ANSI).

In order to maintain the highest standards for independence, state-of-the-art operations, trust and acceptance in the United States and throughout the world, WQA has established working relationships with the U.S. Environmental Protection Agency (EPA), EPA WaterSense program, EPA EnergyStar program, U.S. Department of Agriculture (USDA) BioPreferred program, State Health and Environmental Agencies, Health Canada, Association of Home Appliance Manufacturers (AHAM), PE INTERNATIONAL, and other organizations interested in sustainability. 1.2 Mission Statement The Water Quality Association’s Product Certification Program is dedicated to providing certification services throughout the United States and globally while maintaining expert service, superior reputation, and fair pricing. The Sustainability Certification (SC) Program is further dedicated to insuring that products, and the companies that produce them, continue to meet the needs of the present without compromising the ability of future generations to meet their own needs (by protecting people, the planet, and profits). This certification scheme covers products used in the drinking water treatment industry, including those used in the treatment of water for food preparation and recreation. The SC Program is available to all interested companies, without discrimination, and membership in the trade association arm of WQA is not required for participation. 1.3 Scheme Development The Water Quality Association Sustainability Certification staff has developed this scheme in accordance with ISO/IEC 17067 (Certification System Type 5). This scheme is subject to review and approval of the WQA Sustainability Review Board with input from the Sustainability Forum (the assemblage of WQA Sustainability Certification Program customers). This scheme is intended to be applied exclusively by the WQA Sustainability Certification Program. Although accreditation is not required to implement this scheme, certification activities shall be performed in accordance with ISO/IEC 17065. In addition, the program will also operate subject to the requirements under ISO 14024 for Type I Environmental Labeling Certification Schemes. 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. The Sustainability Certification Scheme is a publically available document and 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 the scheme. If you have any questions concerning the scheme or would like to suggest improvements, please contact WQA’s Sustainability Certification Supervisor at the Water Quality Association’s International Headquarters located at 4151 Naperville Rd., Lisle, IL 60532, phone 630-929-2546; E-mail: [email protected]; Web: http://www.wqa.org Prepared by: WQA’s Sustainability Certification Program Approved by: WQA’s Sustainability Review Board

Page 5 of 30 Water Quality Association Sustainability Certification Scheme 2 Scope This third-party Certification Scheme establishes product certification protocol for the WQA Sustainability Certification Program for all WQA Sustainability Standards, as well as other sustainability standards as necessary and appropriate. The requirements against which the products will be assessed are contained in the following standards:  WQA S-801, WQA S-802, WQA S-803, etc.  NSF/ANSI 375, NSF/ANSI 416, etc. Additional standards will be added as they are developed. This scheme is intended for use by the WQA Sustainability Certification Program and all companies applying to WQA for certification of water contact products, additives or services which fall within the scope of this scheme.

3 References The following standards are referenced or implicitly considered in the WQA Sustainability Scheme and Standards: . ISO/IEC Guide 22: General criteria for supplier's declaration of conformity (revised via ISO/IEC 17050-1: Conformity assessment -- Supplier's declaration of conformity -- Part 1: General requirements) . ISO/IEC Guide 23: Methods of indicating conformity with standards for third-party certification systems . ISO 14001: International Organization for Standardization. (2004). ISO 14001:2004 Environmental Management Systems -- Requirements with Guidance for Use. . ISO 14006: International Organization for Standardization ISO 14006:2011 Environmental Management Systems -- Guidelines for Incorporating Ecodesign. . ISO 14020: Environmental labels and declarations - General principles . ISO 14024: Environmental labels and declarations - Type I environmental labeling – Principles and procedures . ISO 26000: International Organization for Standardization ISO 26000:2010 Guidance on Social Responsibility. (need to purchase) . ISO/IEC 17000: Conformity assessment – Vocabulary and general principles . ISO/IEC 17020: Conformity assessment -- Requirements for the operation of various types of bodies performing inspection . ISO/IEC 17065: Conformity assessment — Requirements for bodies certifying products, processes and services . ISO/IEC 17067: Conformity assessment — Fundamentals of product certification and guidelines for product certification schemes . SAI SA8000: Social Accountability International SA 8000 – Standard on Voluntary Workplace Requirements, including Workers’ Rights, Workplace Conditions, and Management Systems (2008). . UL 880: Underwriters Limited (UL) UL 880: Standard for Sustainability for Manufacturing Organizations (2011). . FTC Green Guides

Page 6 of 30 Water Quality Association Sustainability Certification Scheme 4 Terms and Definitions Another Name For (ANF) / Private Label - An identical product to a WQA Certified Product [see below] sold under a different Company and Model Designation that has achieved WQA certification via the appropriate process and fees for ANFs. Attestation - Formal documentation (usually via written or electronic signature), that a Candidate Product conforms (or fails to conform) to all the required criteria for certification. Attestation may be used to grant, extend, modify or withdraw certification. Appraisal – The process of scoring the various Sustainability Attributes against the criteria set forth in the applicable Sustainability Standards. The Management Appraisal will evaluate the scoring/points against the prerequisite S-801 Management Standard. The Product Appraisal will evaluate the scoring/points against the particular Product Standard(s) (e.g. S-802, S-803). Note that a passing score on an Appraisal is not, in and of itself, sufficient for certification. This process is documented via the Appraisal Scorecard. Appraisal Scorecard – The official WQA form [13012/13024/13029] that is utilized for the Appraisal process and documents the Sustainability Criteria in the Standards, the points both available and received for each criteria (or the PASS/FAIL for the prerequisite criteria), and the source of the documentation that supports the awarding of the points for each item. The Scorecard is first completed by the Company, and then evaluated by WQA based on the supporting documentation and Facility Assessments. Only the version of the Scorecard formally approved by WQA may be used as a basis for Determination. Note that there may be an overall threshold for points, as well as various thresholds for points within some specific criteria. All applicable thresholds must be achieved to obtain a passing Determination. Bracketing – Grouping products by similarities (shape, size, performance) in order to eliminate duplicate testing or evaluation. Bill of Materials (BOM) – A comprehensive list of all materials, parts, assemblies and sub-assemblies that go into a finished product. Distinct from a WPL in that this includes non-wetted parts (and parts that contact only waste-stream water). Candidate Product – A specifically designated product model that has been submitted for certification. Also may be referred to as an “Object of Conformance Assessment.” Certification Body – Organization responsible for verifying that a Certified Product or Candidate Product conforms to all applicable requirements associated with the relevant certification standard(s) in all phases of production, marketing, sale, use and end-of-life. Certification Scheme - System (rules, procedures and management) by which a Certification Body evaluates whether or not a company and its candidate products conform to the applicable certification standard(s). Certified Product - A product which has been attested as conforming to all certification requirements set forth in this scheme and the applicable standard(s). Change to Certified Product (CCP) – see “Clerical Changes to Certified Products” and “Material Changes to Certified Products” Clerical Changes to Certified Products – “Clerical” changes are defined as changes exclusively to the documentation of a Company or its Certified Products that do not include any actual physical change to the BOM. Examples include company name changes and model/part designations (or that of suppliers). For a change to a model/part designation to be classified as clerical, only the designation itself may be modified, the actual physical manifestation must be identical to the original. Company - A company that has signed the WQA Certification Contract Agreement and whose name appears on the Certified Product or Candidate Product, as well as its literature/packaging. This is also the entity of record for all certification listings on the WQA website.

Page 7 of 30 Water Quality Association Sustainability Certification Scheme Conformance Statement – A brief statement that appears alongside the certification Mark to indicate that the Product has been certified as meeting the requirements of this scheme and delineates the standard to which it was evaluated. Customized Certification – certification to portions of standards or modified standard requirements with listing notes to describe the modifications. 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 impractical. Delisting – The process of removing products or entire company from WQA listings, and withdrawal of the license to apply the applicable WQA Mark to said product(s). Public notice may be required at the discretion of WQA (see Public Notice). de minimus - Lacking significance or importance, so minor as to be disregarded. Determination – Activities undertaken to develop complete information regarding whether the object of conformance assessment (or its sample[s]) conform to the specified requirements in the applicable standards. An example of a Determination activity would include Appraisal Scoring, Testing or Facility Assessment. 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. Environmental Management System (EMS) - A formal set of processes, practices and policies that enable an organization to reduce its environmental impacts and increase its operating efficiency. Evaluation – The culmination of the processes of Selection and Determination. Facility Assessment – Audit/inspection of a facility’s records, materials and processes, quality system and all policies (and implementation of said policies) relevant to requirements or criteria enumerated in this scheme and the applicable standards. These audits assess the capability of a facility to control the quality and continuing conformance of its products and supply chain to the requirements of relevant specifications. This activity also accomplishes verification that all documents and data submitted to WQA as part of the certification process are (and continue to be) accurate and complete, and that products continue to be produced in materially identical fashion as compared to the products reviewed, evaluated or tested by WQA (or other certification bodies, when WQA accepts data/documents from said other certification bodies). Note that Facility Assessments most often will be performed at the manufacturing facility (“On-site”), but at the sole discretion of WQA, may be conducted remotely (“Off-site”). Assessments are also categorized as either Full Assessments, Surveillance Assessments, or Labeling Assessments. Full Assessment – A complete Facility Assessment conducted for the purpose of verification of the capability of a facility to control the quality and continuing conformance of its products to the requirements of relevant specifications. A full review of the Quality System is required for completion of a Full Assessment. Formulation – A list of chemicals or ingredients used to make up a material or media. Generic Listings – Generic Listings/Generic Model Designations are defined as two or more models belonging to a particular family of similar Certified Products that are represented in WQA Listings by a single Generic Model Designation that usually contains one or more variable alpha-numeric digit(s) to represent a series of variant models covered under this listing. The specific designations for the variants will usually be specified in a listing note along with the definitions of those designations (e.g. Listing: WS01-XX, Listing Note: Where “XX” = “BK” for Black or “WH” for White). Variants are most often but not exclusively used to designate alternate colors or alternate fittings/connections. Other examples include market areas or customer codes [Ref: CSOP 12002]. Generic Model Designations – See Generic Listings. Labeling Assessment – A Facility Assessment that is restricted solely to the purpose of verifying conformance to Sustainability Logo policies and verifying correct use of approved literature.

Page 8 of 30 Water Quality Association Sustainability Certification Scheme Licensing - Granting, maintaining, extending, suspending, or withdrawing the right to use certificates, marks or other statements of conformance on Certified Products or Candidate Products. Life Cycle Assessment – An analysis of all environmental impacts (footprint) of a product (e.g. air emissions, water emissions, solid waste, GHG, energy use, etc.), across all phases of the Life Cycle of a product (e.g. resource extraction, production, distribution, consumer usage, end-of-life). Such an analysis may be more limited in scope (e.g. gate-to- gate) as opposed to the default cradle-to-grave, but should be explicitly delineated as such. Listed Product – A product that has obtained and maintains Sustainability Certification and appears on the official WQA website listings of Certified Products. Listing – The official record of a Sustainability or Gold Seal Certification on the WQA website. Such a listing is the ultimate and exclusive real-time arbiter of whether or not a product/company maintains a current WQA Certification. Listing Note – A footnote referenced to a specific listing that details additional information relevant to the certification (e.g. explanation of Generic Listings). Literature – Literature consists of Packaging, Data Plates, Performance Data Sheets (PDS), User Guides/Instruction Manuals, Flyers/Brochures, Warranties, Websites and any/all other documents that display the Sustainability Mark, refer to a Certified Product, present Sustainability Claims, or otherwise provide sales/marketing/informational functions regarding Certified Products or Sustainability Claims for the Company as a whole. Listing Note – A footnote, referenced by a Listing, which serves to qualify, clarify or elaborate on a particular listing. Often used to enumerate minor variants and/or Generically Listed Products. Major Finding - Non-conformance found during audits that may materially affect certification. Management Appraisal – (see “Appraisal”). Manufacturing Facility – Factory or physical entity/location where the manufacture, production, assembly, distribution, or application of the Sustainability and/or Gold Seal Mark occurs, for a Certified Product. Material Changes to Certified Products – “Material” changes are defined as physical changes to a certified product or changes/additions to the scope or claims of the certification. Examples include changes to: material type, suppliers, processes, design, function, production facilities, adding claims, etc. Note that in some cases, material changes may not be determined to have a significant effect on the safety, performance or sustainability attributes of the product, but they are still classified as “Material” changes and must undergo a formal review to determine if any further steps are necessary to maintain certification. Also note that the use of the word “material” in this case is not limited to the more narrow sense as would apply to a “material type” or material specification on a WPL, but rather applies in the more broad legal sense of the word. Minor Finding – Non-conformance found during audits that do not materially affect certification. Model Designation – A unique identifier for a Certified Product. Non-conformance - One or more certification requirement(s) which have not been satisfied by the company or approved by WQA (as applicable). Original Product – The certified product that is identical to an Another Name For (ANF) / Private Label product (with the exception of manufacturer name and model designation), and which provides the basis for the ANF certification. Owner’s Guide / Instruction Manual – A compilation of information provided to the consumer including product specifications; installation, usage and maintenance information; and product warnings/safeguards. Performance Claim – Marketed performance capabilities of the product or service. Performance Data Sheet (PDS) – A document, required to be made available to customers and potential customers, that includes product/performance specifications and warranty information. The information may be a permanent part of an owner’s guide or manual, provided a potential consumer would receive the complete manual if they requested a PDS.

Page 9 of 30 Water Quality Association Sustainability Certification Scheme Point-of-Entry (POE) - A DWTU used to treat the water supply for an entire building or facility for drinking, food preparation, washing, flushing, or other non-consumption water supply purposes. Point-of-Use (POU) - 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. Prerequisite Safety/Performance Standards – This refers to the traditional safety/performance standards applicable to product covered under the scope of this scheme that are identified in the applicable Sustainability Standards as prerequisites for the proposed Sustainability Certification. Examples include NSF/ANSI 42, 53, etc. Product Appraisal – (see “Appraisal”). 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. Public Notice - The general public (including regulatory bodies), at the discretion of WQA, shall be informed of any product(s) (including listed or unlisted products) that may raise health or safety concerns. Quality System/Quality Management System (QMS) - A quality system consists of planning, documenting and controlling all business processes. In particular the system should track and implement internal checks and controls such as Corrective Action Reports (CARs) and Continuous Improvements (CIs), as well as external complaint resolution. Recertification – Extending the certification of currently certified products for which the certification or supporting documentation for certification is approaching expiration. Regeneration – A process by which filtration media is cleansed of contaminants and therefore renewed for further efficacy to perform its designated function. Examples include (but are not limited to) ion exchange resins that are regenerated via some form of brine solution, or electro-chemical ion exchange systems that require flushing to rid the system of contaminant ions that accumulate on its electrodes. Replacement Component/Element – A separately available element of a DWTU that requires regular replacement in order to keep the system functioning properly as advertised. Note: Examples include: carbon block, polypropylene filter, water pitcher filter cartridge, reverse osmosis pre and post filters, and reverse osmosis membranes. Such elements may be in the form of filtration media that is to be inserted into a permanent/reusable housing, or “encapsulated” elements that include both media and a disposable housing that itself snaps or screws into the applicable DWTU system. Replacement Component/Element Literature – A document accompanies a replacement component for a certified system. Such literature usually includes the change-out procedures for the component. Sample – A product (or literature thereof) that is evaluated by WQA for conformance to the standard. The term sample may also be used to describe a policy, procedure, document or data supplied by a Company as pertaining to demonstration of conformance to criteria in the standard(s) or scheme. Selection – Planning and preparation activities undertaken in order to collect or produce all the information and input needed for the subsequent Determination function(s), and to enumerate the requirements and Determinations required for the specific project. Sold and Serviced By – A customer facing Company referenced by another Company’s Certified Product. The Certified Product’s Company name and model designation remain on the product, and the “Sold and Serviced By” Company does not obtain its own listing. Standard Operating Procedure [SOP]: Established or prescribed methods to be followed routinely for the performance of designated operations or in designated situations. Sub-assembly – A component within a system that is made up of two or more sub-parts.

Page 10 of 30 Water Quality Association Sustainability Certification Scheme Supporting Documentation – Documents submitted to WQA (or made available publicly online with a link to the exact page provided to WQA) that demonstrate compliance with the particular criteria (prerequisite or to attain points in the scoring system) in the applicable Standard(s), as codified in the Appraisal Scorecard. These will usually be in the form of policies, programs, procedures or environmental impact data. Additional onsite record must be kept to verify the veracity and methods of all data collection, and the actual implementation, practice and effectiveness of all programs, policies and procedures. Surveillance Assessment – An iterative program for Facility Assessments conducted to verify that a Company and its Certified Products, along with its production facilities, processes and Quality System, continue to conform to certification requirements, and that no unauthorized changes have been made to Certified Products and their associated production. A Surveillance Assessment need not include all the elements of a Full Assessment. Sustainability Attribute – A characteristic of a product or its life-cycle that has a direct influence on its sustainability performance. Sustainability Certification – 1) A designation that indicates the applicable product or service is in compliance with all requirements of this scheme and the applicable standard(s). 2) The process of attaining 1). Sustainability Claim – Marketed claim referencing sustainability performance or attributes of the product or service. Sustainability Mark – A registered Certification Mark that is authorized by WQA for use on Certified Products that meet the requirements of this scheme. Sustainability Management Standard – WQA S-801. A prerequisite Sustainability Standard required for certification to all WQA Sustainable Product Standards. No product, nor any Company as a whole, may be listed, or make any claim for certification to this standard. Sustainability Product Standard – The WQA Sustainability Standards that apply to specific Candidate/Certified Products and to which these products may be officially listed provided they have demonstrated conformance. Examples include WQA S-802 and WQA S-803, but WQA S-801 is explicitly excluded. System - A series of components and appurtenant accessories intended to be assembled together as a single water contact product. 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. Testing – Determination of one or more characteristics of an object of conformance assessment, according to a procedure. Wetted Parts List (WPL) – A list of components that come in contact with water intended for consumption.

Page 11 of 30 Water Quality Association Sustainability Certification Scheme 5 Process Overview This document is organized to mirror the certification process which consists of the following steps (per ISO 17065): 1. Selection: Includes the application process (submission of required forms and signing of agreements), plus the selection and enumeration of certification activities (documents, facility assessments, etc.) that will need to be completed and/or reviewed. 2. Determination: The certification activities that must be completed to determine conformance (or lack thereof) of the product with the applicable standard(s). 3. Evaluation Reports: Communication between the certification Project Coordinator and both the candidate company as well as the Product Certification Manager regarding the status of the determination activities and recommendations to proceed to attestation/certification. 4. Attestation/Certification: The formal act of granting both certification and the license to apply the certification mark to the product and product literature. Includes issuance of the certificate and posting of the certified products to the web-listings. 5. Maintaining, Extending, and Withdrawing of Certification: Activities necessary to maintain certification through the process of changing the product or the conditions/location of its production, recertification at the time of expiration, extending existing certifications to ANF/Private Label version of certified products, and the consequences of failure to properly maintain certification.

6 Selection 6.1 Initial Application

6.1.1 WQA Certification Contract Agreement [FORM.04087]

6.1.1.1 A Company must have a WQA Certification Contract Agreement 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.

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

6.1.1.3 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.

6.1.2 Product DataSheet [FORM.13005/13011/13028]

6.1.2.1 A completed Sustainability Certification DataSheet is required to commence the Sustainability Certification process.

6.1.2.1.1 At a minimum, the DataSheet shall specify the following: A. The Model Designation(s) for all Candidate Products B. The complete name, location, and contact information for all facilities where production of Candidate Products occurs. This includes facilities for final assembly, packaging and/or labeling with the Sustainability Mark. 1. The DataSheet will allow the Company to indicate groupings of facilities covered under identical Management Policies to reduce the need for redundant Management Standard Appraisal Scorecards (see §7.1.2.2 below). C. The Standards under which the Candidate Products will be certified (if determined to be in conformance).

Page 12 of 30 Water Quality Association Sustainability Certification Scheme D. Existing Prerequisite Safety/Performance Certifications for the Candidate Product 1. Name(s) of Standard(s) 2. Certification Body that is responsible to maintain the listing 3. Candidate Products not already certified to the applicable Prerequisite Safety/Performance Standard(s) must apply for concurrent WQA Gold Seal Certification per the requirements of the WQA DWTU scheme (or other applicable scheme). E. Any and all Sustainability related claims that the Company wishes to invoke for the Candidate Products.

6.1.2.2 For Another Name For/Private Label applications, an ANF form [FORM.04084] shall be completed and signed by the manufacturer of the Original Product (for ANF/Private Label products only) in lieu of a datasheet.

6.1.2.2.1 A Company cannot authorize a “second order” ANF Certification based on their own “first order” Certified ANF Product, without the consent of the Company that certified the Original Product.

6.1.2.3 Product families can be grouped on one datasheet as long as all the grouped models represent the same product category and would be evaluated to the same sections of the standard. 6.1.3 Wetted Parts List [WPL] and/or Bill of Materials [BOM]

6.1.3.1 For Candidate Products already certified by WQA to the applicable Prerequisite Safety/Performance Standard(s) or those being submitted for concurrent certification, WPLs will already be on file with WQA or be submitted per the applicable WQA Certification Scheme. These may be deemed acceptable by WQA, but at the discretion of WQA, BOMs shall be provided if required.

6.1.3.2 Candidate Products currently certified to the applicable Prerequisite Safety/Performance Standard schemes by a Certification Body other than WQA, a BOM shall be supplied.

6.1.3.2.1 NSF Document Reports, NSF “ARFs” or other equivalent documents may be provided to satisfy this requirement, unless WQA communicates that a more complete BOM is required.

6.1.3.2.2 Multiple models that share an identical WPL or BOM may all be included together on a single WPL or BOM, provided that all applicable Model Designations are enumerated.

6.1.4 Product Literature

6.1.4.1 The following product literature must be submitted to WQA for review: A. Product Packaging

6.1.4.2 The following product literature must be submitted only if the intention is for the relevant pieces to bear the Sustainability Mark, or if the relevant pieces contain sustainability claims. A. Data Plate B. Owner’s Guide/Instruction Manual C. Performance Data Sheet [PDS] D. Brochures

6.1.4.3 Any and all additional product literature that contains claims related to the Sustainability of the Certified Product or Company must also be submitted for review (including websites).

6.1.4.4 Ideally the literature submitted will already be in conformance with all literature requirements in the applicable standard(s), but this is not required at this Selection stage in the process. Existing literature may be submitted “as-is” so that certification activities can commence without unnecessary delay. In this case, WQA will provide literature revisions to the Company during the subsequent Determination phase, in order to aid in the process of achieving conformance.

Page 13 of 30 Water Quality Association Sustainability Certification Scheme 6.2 Application Review

6.2.1 An Application Review of submitted information will be completed by the Sustainability Certification Supervisor (or designee) to ensure completeness, accuracy, and the scope of the certification project [FORM 13032].

6.2.2 This review will set forth all Determination activities and other requirements necessary to demonstrate conformance to the standard(s) for the particular project/products. Including the Facility Assessment Review (see §6.3 below), this review will determine the costs of the project to be enumerated on the Proposal Approval Form (PAF - see §6.5 below).

6.2.3 As part of the Application Review, the BOM/WPL and, if needed, other documents will be reviewed to insure that the candidate product(s) fall within the applicable scope of the standard for which certification is being sought.

6.2.4 The Application Review will determine which, if any, product category specific modules appended to the standard will be required to be included in the evaluation.

6.2.5 The Application Review will determine which prerequisite or referenced certifications will be required to fulfill conformance requirements to the applicable standard. 6.3 Facility Assessment Review As part of the Application Review (see §6.2 above), a review of the submitted application material will be conducted to select all facilities that will be subjected to assessment and the type/timing/frequency of said assessments.

6.3.1 Facilities New to WQA

6.3.1.1 WQA will perform a Full Assessment of new facilities (those not previously subjected to assessment by the WQA Sustainability Certification Program) where any the following activities occur: A. Manufacturing/production B. Final assembly C. Packaging/application of the Sustainability Mark

6.3.1.2 Facilities not subjected to a full assessment by WQA within the previous 5 years shall undergo another full assessment.

6.3.2 Facilities Already Under Assessment by WQA

6.3.2.1 Facilities subjected to a full assessment within the previous five years shall undergo a Surveillance Assessment.

6.3.2.2 Previous audit history and non-conformances of the Company will be reviewed. If any findings remain open, they must be closed or WQA will require a new Full Assessment to be satisfactorily completed.

6.3.3 Exceptions to a prescribed On-site Assessment: A. When relevant travel restrictions are imposed by the U.S. Department of State, WQA shall perform Off- site Audits until the travel restriction has been lifted and an On-site Audit may be safely conducted. B. An auditor who is unable to perform an On-site 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. C. In cases where a new production facility utilizes the same equipment, production process and quality system to manufacture the same products as a facility that is currently assessed by WQA, an Off-site Audit may be conducted until an On-site Audit can be scheduled. D. In the event that a new Another Name For (ANF)/Private Label Application is submitted where the Original Product manufacturing facility is in good standing, an Off-site Audit may be conducted instead

Page 14 of 30 Water Quality Association Sustainability Certification Scheme of an On-site Audit. Documentation shall be requested from the manufacturer of the Original Certified Product as well as the ANF/Private Label product to verify identical (physical) equivalency. E. When Off-site Audits are conducted for any of the reasons above, WQA will require submittal of all documents that are reviewed as part of an On-site Facility Assessment process. WQA may request product samples for evaluations/review.

6.3.4 Change to Certified Products (CCP) Requests for Changes to Facilities (see also §6.4 and §10.3)

6.3.4.1 If the same equipment and/or processes are being used and it is only a change in location, WQA will perform an assessment of the new Facility at the new location according to the existing schedule for its Surveillance Assessment.

6.3.4.2 If there is a change to any of the following Facility characteristics, WQA may require a full assessment of the facility prior to certification: A. Equipment B. Processes C. Ownership, control or management of a third-party Facility

6.3.4.3 For the addition of a Facility to manufacture Certified Products, WQA will perform a full assessment of the facility.

6.3.5 ANF/Private Label Facilities

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

6.3.5.2 If the manufacturing facility is the same for the originally certified product, as well as the ANF/Private Label product, a desktop audit transfer to the ANF production facility may be conducted, provided that the facility where the originally certified product is manufactured is in good standing with the WQA Facility Assessment Department.

6.3.5.3 If a separate production facility is used for packaging or to apply the Sustainability Mark, then that facility is subject to an assessment by the WQA Facility Assessment Department. Table 1: Facility Assessment Selection Chart FACILITY STATUS ASSESSMENT TYPE* Facility has not been audited by WQA in current or previous two calendar years On-site/Full Assessment Facility has been audited by WQA in the previous calendar year for the same None (subject to existing schedule product technology and has no open findings for Surveillance Assessment) Facility has been audited by WQA in the previous calendar year for the same On-site/Surveillance Assessment product technology but has unresolved quality issues or findings Facility has been audited by WQA in the previous calendar year but the audit On-site/Surveillance Assessment was conducted for a different product technology Facility for the production of the Original Product that is the subject of an ANF/Private Label application, where said Facility has been audited by WQA in Off site the current or previous calendar year Separate Facility exclusively for the packaging and/or labeling of ANF/Private On-site/Labeling Assessment Label products. *In all cases, WQA reserves the sole discretion to change the audit type and location.

Page 15 of 30 Water Quality Association Sustainability Certification Scheme 6.4 Change to Certified Product (CCP) Requests

6.4.1 CCP Request Form

6.4.1.1 Companies wishing to modify Certified Products, or their associated certification scope and/or claims, as well as to modify Model or Company designations must submit a request to WQA via the Change to Certified Product (CCP) Request Form [FORM.05011], according to the conditions laid out in §10.3 below.

6.4.1.2 Included as part of the CCP Request Form, Companies must agree to pay the Minimum CCP Selection Fee indicated on the Form. This fee will cover the cost of the Selection Review (Application Review and Facility Assessment Review – up to a maximum of four hours) to evaluate the requested change.

6.4.2 Application Review

6.4.2.1 An Application Review (see §6.2 above) will be completed by WQA in order to set forth the requirements for Determination as to whether or not the proposed change(s) will allow continued conformance to the certification requirement set forth in this scheme and applicable Sustainability Standard(s).

6.4.2.2 If the results of the Application Review indicate that the project can be completed within any remaining unused portion of the 4 hours authorized for the Selection Review (via the submittal of the CCP request form), then WQA will proceed to complete to project for no additional cost to the Company.

6.4.3 Additional Costs

6.4.3.1 If however, the results of the Selection Review indicate that a new Appraisal, Facility Assessment(s), or other additional time (beyond the initial 4 hours approved via the CCP form) will be required to complete the project, a Proposal Approval Form (see §6.5 below) will be generated and sent to the company for signature. The PAF must be executed by the Company in order for the request to be considered further. 6.5 Proposal

6.5.1 Proposal Approval Form (PAF) [FORM.04092]

6.5.1.1 The PAF will list all anticipated fees required for Certification, including, but not limited to, facility assessments and certification fees and listing fees.

6.5.1.2 The PAF will clearly state all Candidate Model Designations, and the complete scope of the certification.

6.5.1.2.1 For any project for which multiple PAFs are issued, all PAFs subsequent to the initial PAF will indicate whether the PAF is a revision to the original PAF or supplemental to the original PAF.

6.5.1.3 Except where expressly authorized by the Sustainability Certification Supervisor or Director of Product Certification, the PAF must be executed by the Company, or the required deposit received prior to commencement of any work on the project.

6.5.1.4 A deposit may be required prior to moving forward with Certification activities.

6.5.1.5 It is understood that additional fees may be required if at any time during the course of the certification activities it is discovered that incomplete or inaccurate information has been provided to WQA, OR if the Company requests any change to the nature or scope of the certification.

Page 16 of 30 Water Quality Association Sustainability Certification Scheme 6.5.1.5.1 See §7.1.3.3.1 below for restrictions on the timeline for revising or adding supporting documentation without incurring additional project management fees.

6.5.1.6 WQA is not authorized to exceed costs disclosed on the signed PAF without prior notification to and approval from the Company via a supplemental or modified PAF. Failure to approve additional necessary charges may cancel the certification application without refund for any costs already incurred.

6.5.1.7 It is not possible for WQA to guarantee in any implicit or explicit way that a Company will be able to meet all of the requirements for certification prior to the execution of the PAF.

6.5.1.7.1 Any costs already incurred, up to the point where a determination is made that the Candidate Products will not be able to achieve certification, will still be subject to collection by WQA, however PAF items such as Listing Fees or costs for Facility Assessments not yet conducted will be waived.

7 Determination 7.1 Appraisal Scorecards [FORM.13012/13024/13029]

7.1.1 Prerequisite or Referenced Certifications

7.1.1.1 Certificates or screen captures of certification web-listings shall be documented on the Application Review Spreadsheet.

7.1.1.2 Required certifications granted by Certification Bodies (CBs) outside of WQA shall be properly accredited.

7.1.2 Company Self-Appraisal

7.1.2.1 The Appraisal Scorecards will be completed by the Company to the best of their ability.

7.1.2.1.1 In addition to the publicly available Sustainability Standards, WQA will make the applicable Appraisal Scorecard forms available to potential Companies so that they may make educated estimates of their chances of achieving Sustainability Certification for their Candidate Products, prior to committing to the upfront costs of the project.

7.1.2.2 Management System Appraisal (WQA S-801)

7.1.2.2.1 The Company must complete a WQA S-801: Sustainable Management standard Appraisal Scorecard for each production facility included within the scope of the application.

7.1.2.2.2 It is permissible for a company to include more than one production facility under a single WQA S-801: Sustainable Management standard Appraisal Scorecard, provided all the following conditions have been met: A. The management policies that apply to each and every facility covered by the aforementioned single scorecard, and are relevant to any criteria on the WQA S-801: Sustainable Management standard Appraisal Scorecard, are identical at all the facilities to be included under that Scorecard. B. The responses provided to each and every item on the Scorecard would be identical across all the facilities to be included under the scope of the particular Scorecard.

Page 17 of 30 Water Quality Association Sustainability Certification Scheme C. The responses provided on the WQA S-801: Sustainable Management standard Appraisal Scorecard are subject to verification during the Facility Assessment at any or all of the facilities listed on the Scorecard. D. The policies and supporting documentation may originate at the facility level, or at some higher corporate level. However in the case of higher/corporate level policies, they must be implemented at all the facilities covered (e.g. in the case of recent mergers/acquisitions). E. The WQA S-801: Sustainable Management standard Appraisal Scorecard includes an enumeration of the entire list of facilities that it covers.

7.1.2.2.3 For the WQA S-801: Sustainable Management standard Appraisal Scorecard, unless otherwise explicitly stated in the standard, criteria will only be judged according to the products made at the facility being scored. Other unrelated product lines produced out of facilities outside the scope of the scorecard will not be considered.

7.1.2.2.4 Companies that wish to use an existing certification to SA 8000 to demonstrate compliance to the Social Accountability prerequisites and/or points shall submit either a link to a listing or registration, or submit a valid certificate, from a properly accredited certification body (or obtain said certification from WQA).

7.1.2.2.5 Companies that wish to use an existing ISO 14001 certification to demonstrate attainment of the maximum points in the Organizational Sustainability scoring sections shall submit either a link to a listing or registration, or submit a valid certificate, from a properly accredited certification body (or obtain said certification from WQA).

7.1.2.3 Product Performance Standards Appraisal (WQA S-802, WQA S-803)

7.1.2.3.1 The Company must complete Product Standard Appraisal Scorecard for each and every facility included within the scope of the application (as determined in the Selection process):

7.1.2.3.2 The Scorecards are Excel spreadsheets that include equations which automatically calculate a PASS/FAIL result based on the criteria in the Standards.

7.1.2.3.3 WQA will clearly communicate to the Company the basis for any and all FAIL results so that the Company may initiate measures to clear the remaining requirements.

7.1.2.3.4 It is suggested that Companies devote sufficient attention and focus to completing the Supporting Documentation portion of the scorecards rather than only focus on the scoring as WQA will not award points for criteria that are not fully supported by applicable documentation that adequately demonstrates the following: A. The Supporting Documentation originates from and/or is enforced by the appropriate level of authority within the Company (per the Standard) B. Supporting Documentation must be submitted to WQA in writing (or a link to a document published online and publicly available) C. It can be verified via additional on-site documentation and/or observed during the Facility Assessment(see §7.2.3), that the actions, policies, programs, etc. in the particular Supporting Documentation have been properly implemented, continue to be observed in actual practice, and are effective in achieving their stated goals.

7.1.2.3.5 Companies who complete Scorecards that do not immediately achieve a passing score are encouraged to use these results to identify criteria that can be met through additional initiatives to formulate new policies and programs or properly document more informal existing efforts.

Page 18 of 30 Water Quality Association Sustainability Certification Scheme 7.1.2.3.5.1 WQA may be able to provide examples of some relevant (non-confidential) policies that have already been judged as acceptable to meet various criteria, IF and when they are developed or obtained.

7.1.2.3.6 Scorecards completed by the Company which yield passing results shall be submitted to WQA for review, along with the required Supporting Documents.

7.1.3 WQA Preliminary Review of the Appraisal Scorecards

7.1.3.1 All passing Scorecards that have been submitted by the Company, will be reviewed by the Sustainability Certification Supervisor (or appropriate designee) and preliminarily award or deny the points allocated for each criteria on the Scorecard based on the evidence provided in the Supporting Documentation, as well as further communication with the Company as required.

7.1.3.2 In cases where a Scorecard is submitted to WQA as passing the Self-Appraisal, but the WQA Review yields a failing score, this result shall be sent to the Company in order to afford them the opportunity to rectify or address the items that were rejected by WQA.

7.1.3.3 Revised Appraisal Scorecards may be submitted to and evaluated by WQA as often as necessary.

7.1.3.3.1 Companies are allotted a six (6) month window, from the date the first set of company Self- Appraisal Scorecards are received by WQA, for the purpose of revising/resubmitting their Scorecard and Supporting Documentation in order to attain a passing score (without being subject to additional Project Management Fees) [see §6.5.1.5]

7.1.3.4 Companies that have completed Scoresheets Scorecards that do not yield passing results, and where it is not expected that the Company can accomplish the necessary efforts to achieve passing results within the six (6) month timeframe noted above (see §7.1.3.3.1), shall notify WQA in writing of exactly which Scoresheets Scorecards cannot be satisfactorily completed. Upon receipt of this notification, WQA shall abort or amend the project as applicable, and any audit or listing fees that no longer apply will be waived.

7.1.3.5 Once the Scorecards for any particular facility have been confirmed by WQA review to have achieved a preliminary passing score, they shall comprise the basis for the final official review to take place as part of the Full Facility Assessment (see §7.2.3).

7.1.4 Official Audited and Signed Appraisal Scorecards

7.1.4.1 As part of the Full Facility Assessment, WQA will officially authorize the awarding of the points for the various criteria within the standards and as shown on the Appraisal Scorecards.

7.1.4.2 Upon official completion of the Scorecards, they will be sent to the Company for signature.

7.1.4.3 Once the signed Scorecards are received from the Company, they will be countersigned by WQA and then these executed copies will be returned back to the Company. 7.2 Facility Assessment Activities

7.2.1 Notice

7.2.1.1 A satisfactory Facility Assessment is required prior to certification Attestation.

7.2.1.2 WQA shall be granted access to all Facilities and production locations within the scope of the application, at any time during normal operation hours.

7.2.1.3 Audits are typically announced/scheduled in advance, but WQA may conduct unannounced audits at any time.

Page 19 of 30 Water Quality Association Sustainability Certification Scheme 7.2.2 Cancellations/Rescheduling

7.2.2.1 All expenses already incurred for any cancelled or rescheduled audits are the responsibility of the Company which has signed the Contract Agreement with WQA.

7.2.2.2 In addition to the expenses specified in §7.2.2.1 above, 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 supplemental U.S. $500.00 fine.

7.2.3 Initial Audits/New Facilities

7.2.3.1 The first audit of a manufacturing facility will be a Full Assessment (on-site) to include: A. Assessment of the production process, emissions and environmental impacts (relative to the significant environmental impacts identified via WQA S-801 §8.1.2). B. Assessment of the Quality System implementation (to include regulatory infractions, and EMS if applicable) C. Assessment of WPLs and/or BOMs (at the discretion of WQA) D. For products that contain activated carbon and are being evaluated for conformance to the activated carbon module of WQA S-803, particular attention shall be paid to verifying the carbon supplier(s) and relative percentages of carbon supplied by each supplier so that the criteria in this section and the accurate prorating of said criteria can be assured. E. Evaluation of scoring on criteria claimed by the Company but not sufficiently supported by the accompanying written documentation, or which otherwise must be reviewed onsite to validate (as identified through the WQA Preliminary Review of the Scorecards submitted). F. Assessment of adherence to, and efficacy of, policies, programs, objectives and targets identified in the Scorecards G. Examination of any other relevant information, if requested by the Sustainability Certification Supervisor.

7.2.4 Existing Facilities/Surveillance Assessments

7.2.4.1 Surveillance Assessments are used to monitor the implementation of the quality system, the proper application of the Sustainability Mark, and the continued adherence of the Certified Product to all parameters and production materials and processes as submitted and approved by WQA in the Initial Certification (or subsequent approved modifications).

7.2.4.2 A Surveillance Assessment shall include the following: A. Review of the production process, emissions and environmental impacts B. Review of the Quality System (to include regulatory infractions and EMS if applicable) C. Review of the product documentation including literature (and WPLs and/or BOMs, at the discretion of WQA) D. For products that contain activated carbon and are being evaluated for conformance to the activated carbon module of WQA S-803, particular attention shall be paid to verifying the carbon supplier(s) and relative percentages of carbon supplied by each supplier so that the criteria in this section and the accurate prorating of said criteria can be assured (see §10.3.2.3below for specific inclusions and exclusions that trigger a CCP as a result of auditing this information). E. Documentation of current, applicable Prerequisite Safety/Performance Certification(s) as well as other referenced certifications (e.g. ISO 14001 and SA8000). F. Verification that Policies, Programs, Objective, Targets, Procedures, Action Items, and other subject matter of Supporting Documentation have been implemented, continue to be observed in actual practice, and are effective in achieving their stated goals. G. Examination of any other relevant information, if requested by the Sustainability Certification Supervisor.

Page 20 of 30 Water Quality Association Sustainability Certification Scheme 7.2.5 Outcomes of the Assessment (Applies to Full, Labeling and Surveillance Assessments)

7.2.5.1 The Facility Assessment Department shall inform the applicant through a Final Assessment Letter on the outcome of the audit, which will include the following items, as well as a timeframe for reconciliation: A. Roster of attendees and participants B. Review of Findings (Major and Minor) C. Review of official scores awarded on the Appraisal Scorecards (and the associated PASS/FAIL result for each Scorecard). D. Summary of items identified on the Scorecards for which additional points may be awarded if the Company follows through with further supporting data/documentation E. Summary of areas which will be the subject of focus on subsequent surveillance audits or recertification evaluations (e.g. those areas that may have received a somewhat marginal approval on the first certification pass and for which further progress will be expected). F. Suggestions for additional criteria to be considered by the company to potentially increase their score in future evaluations. G. General recommendations for improvement of environmental performance.

7.2.5.2 Major Findings can include: A. Improper/unauthorized application of the Sustainability Mark B. Unauthorized Changes to Certified Products (CCPs) without proper notification to WQA (see §6.4)

7.2.5.3 Minor Findings can include: A. Records not being retained for required timeframe B. EMS/Quality/Complaint system not being followed or implemented

7.2.5.4 If any Findings are not reconciled to the satisfaction of WQA, or not reconciled within the allowed timeframe, an additional assessment may be required.

7.2.5.5 The Findings and recommendations will be reviewed to determine the frequency and duration of additional Surveillance Audits.

7.2.5.6 If any findings are not resolved 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. 7.3 Literature Requirements

7.3.1 General Requirements

7.3.1.1 All product literature must meet the requirements of the applicable standard(s) and the WQA requirements for literature. (See WQA Sustainability Logo Policies).

7.3.1.1.1 See §6.1.4 for the list of the required Literature that must be submitted for review.

7.3.1.1.2 See Sustainability Logo Policy [Table 2] for a chart and other relevant information that details the requirements and restrictions for application of the Sustainability Mark.

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

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

Page 21 of 30 Water Quality Association Sustainability Certification Scheme 7.3.1.4 In all cases, WQA reserves the right to waive the use of the Sustainability Mark on products, packaging, and/or any other literature for reasons decided upon between WQA and the Certifying Company.

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

7.3.1.6 Certified Products that are required by the standard or regulatory authority with jurisdiction to have safety labeling, shall be written in English and other applicable language (e.g., French when in Canada).

7.3.1.7 If a Company claims that their replacement cartridge fits into a competitor’s system, WQA will need written authorization from the other manufacturer to allow the claim.

7.3.1.8 Compliance with WQA Literature requirements does not ensure that your product literature will meet state, local, or international requirements.

7.3.2 Language Restrictions

7.3.2.1 Remove vs. reduce: Remove implies 100% reduction. Because it is impossible to guarantee 100% reduction for any single contaminant, there are two options available: A. 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.” B. Use the word “reduce” rather than “remove”. For example, “Product ABC reduces chlorine, VOC and Cyst. See performance data sheet for details.”

7.3.2.2 Absolute statements: Statements such as “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.

7.3.2.3 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 they shall be clearly defined. For example, “Our system will provide you with pure* and clean* water.” The asterisk must reference a comment such as, “Pure and clean as defined by the contaminant reduction performance listed on the performance data sheet.”

7.3.2.4 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 inserting the following footnote: “see performance data sheet for specific herbicides reduced.”

7.3.2.5 Implied Health Claims: Independent studies cannot be referenced to imply that exposure to any contaminants (that may or may not be reduced by the product in question) will result in higher incidences of a disease.

7.3.3 Websites/Internet Content

7.3.3.1 WQA reserves the right to review the entire contents of any website that includes: A. The Sustainability Mark, or B. The Certified Product and its sustainability related claims, or C. General sustainability claims for the Company as a whole D. Any retailer, distributor or reseller website that includes any of the above items is also subject to review.

Page 22 of 30 Water Quality Association Sustainability Certification Scheme 7.3.3.2 WQA shall be required to review any website that is the subject of any complaint related to the Sustainability Certification or Sustainability Claims for a Certified Product. Appropriate hourly fees for this review will be incurred by the Complainant (if the complaint is unfounded), or the respondent (if the complaint proves valid) [See QSOP 06001: Disputes, Complaints and Appeals; ISO Guide 27 re: misuse of the Sustainability Mark; Sustainability Logo Policy].

8 Evaluation Report 8.1 Final Evaluation Report for Attestation Recommendation

8.1.1.1 Subsequent to the completion of the Selection and Determination activities, the status of all requirements and Determinations enumerated in the Application Review will be evaluated by the Sustainability Certification Supervisor (or appropriate designee) relative to whether or not a recommendation for certification Attestation can be made.

8.1.1.1.1 No candidate product may be submitted for Attestation until all pre-requisite requirements in the applicable sustainability standard have been met. Pre-requisite requirements may include: A. Conformance or certification to a management standard; B. Certification to a material safety, structural integrity and/or performance standard

8.1.1.2 The Company shall be notified when all non-conformances have been adequately addressed.

8.1.1.3 When the conclusion of the Evaluation Report is that all requirement for certification have been satisfied, as outlined in the Application Review, the applicable Candidate Products will be submitted for an Attestation decision.

9 Attestation 9.1 Attestation Process

9.1.1 Standard Operating Procedures (SOPs) and Authorized Personnel

9.1.1.1 The recommendation to certify will be reviewed by an appropriately designated WQA employee who has not been involved in the Determination or Evaluation/Recommendation for Attestation.

9.1.1.2 The certification recommendation is reviewed for accuracy and completeness (per CSOP.11007).

9.1.1.3 Attestations for Provisional Listings can also be granted for Companies wishing to transfer listings of Certified Products from another Certifying Body to WQA (per CSOP.05002).

9.1.2 Prerequisite Management Standard (WQA S-801)

9.1.2.1 Where requirements related to a Quality Management System for the manufacturer or the object of certification is defined in a standard (e.g., WQA S-801 Sustainable Management Practices), those shall be considered as supporting. The appraisal of such requirements shall not lead to a statement regarding the certification of the management system, nor the Company as a whole.

9.1.3 Documents

9.1.3.1 If Attestation is granted for certification, confirmation of certification shall be sent to the Company and will include: A. An official letter B. A Certificate of Conformance (a single document to cover all Certified Products).

Page 23 of 30 Water Quality Association Sustainability Certification Scheme 9.2 WQA Public Website Listings

9.2.1 Product Listings

9.2.1.1 All Certified products shall be publically listed on the WQA website. Given that it is possible for a certification to be revoked prior to the expiration indicated on the Certificate (see §10.7 below), these public listings shall be the exclusive and official real-time record of listed products.

9.2.2 Listing Notes

9.2.2.1 Any additional claims or qualifications deemed relevant or necessary by WQA (e.g. explanation of Generic Listings), or requested by the company and subject to WQA approval, shall appear in a Listing Note.

10 Maintaining, Extending and Withdrawing Certification 10.1 General Annual Requirements

10.1.1 Annual Surveillance Assessment of all Facilities A minimum of one (1) Annual Surveillance Assessment shall be completed per facility (see §10.2 below), including timely closure of all findings per the Facility Assessment Policy (FAP).

10.1.2 Annual Fees Payment of Annual Fees as set forth in the WQA Certification Contract Agreement [FORM.04087] to include: A. Facility Assessment Fees B. Listing Fees C. Insurance and Regulatory Fees

10.1.3 Good Standing The Company must be in “good standing” with WQA Accounts receivables.

10.1.3.1 Companies that are in arrears for Accounts Receivables may still be considered in “good standing” with WQA provided they have signed and are adhering to a Payment Plan.

10.1.4 Change to Certified Products (CCP) Notification to WQA of any proposed Change to Certified Products [CCP] (see §6.4 above and §10.3 below). Note that approval must be granted by WQA before any changes are made.

10.2 Annual Surveillance Assessments (see §7.2.4 above)

10.2.1 Frequency and Scope

10.2.1.1 A minimum of one (1) announced (or unannounced – at the discretion of WQA) Surveillance Assessment shall be conducted for Companies with Certified Products each calendar year.

10.2.1.2 A Full Assessment may be required at the discretion of WQA, based on prior audit history.

10.2.1.3 For products/companies certified to S-802 and which have therefore satisfied the requirement for a full assessment at the primary or final production facility, WQA may elect to perform the any of the subsequent annual surveillance audits at the extraction/harvesting site or charring facility.

Page 24 of 30 Water Quality Association Sustainability Certification Scheme 10.3 Notification of Change to Certified Products [CCPs] (see also §6.3.4and §6.4 above)

10.3.1 Clerical Changes to Certified Products

10.3.1.1 A CCP request must be submitted to and approved by WQA prior to any implementation (marking) of products with a proposed change to the Company Name or Model Designation(s).

10.3.1.2 If clerical changes are merely to suppliers names or part numbers on WPLs or BOMs, no notification or approval to/from WQA is required (note: this applies only to the Sustainability Certifications, CCP requests must still be filed for the applicable Prerequisite Safety/Performance Standard(s) certifications).

10.3.2 Material Changes to Certified Products

10.3.2.1 A CCP request must be submitted to and approved by WQA prior to implementation of any changes to the scope or claims of any certification on product packaging or other literature (including websites).

10.3.2.2 A CCP request must be submitted to and approved by WQA if there is any change to the prerequisite or referenced safety/performance certifications required by the sustainability standard (e.g. NSF/ANSI DWTU Series, NSF/ANSI 61, ISO 14001, and SA8000).

10.3.2.3 A CCP request must be submitted to and approved by WQA prior to implementation of any changes to the Activated Carbon (or supplier thereof) for any products certified to WQA S-802 or S-803 (which contain Activated Carbon).

10.3.2.3.1 For products for which there are multiple carbon suppliers, any change to the relative percent supplied by each company that exceeds a 20% difference from that verified during the initial certification shall constitute such a change, if the change results from a redesign of any of the certified product(s) or if the change results from a purchasing decision.

10.3.2.3.2 Changes to the relative percent of carbon provided by different suppliers that result merely from changes to market fluctuations and thus production volumes of the product mix shall be excluded from this requirement (this shall be addressed at the time of recertification).

10.3.2.4 A CCP request must be submitted to and approved by WQA prior to implementation of any changes to the Manufacturing Process or Facilities, including: changing or adding Facilities or 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 or modification of injection molding equipment.

10.3.2.5 A CCP request must be submitted to and approved by WQA prior to implementation of any changes to any aspect of any Certified Product that could reasonably be construed to significantly affect the WQA Appraisal (scoring of points on the Appraisal Scorecard) of its Sustainability Attributes.

10.3.2.6 Any other Material Changes not covered under §10.3.2.1, §10.3.2.2, 10.3.2.4 or §10.3.2.5 above may be implemented at the discretion of the Company without notification or approval by WQA, provided that these changes are properly addressed under the applicable Prerequisite Safety/Performance Standard(s) certification schemes of WQA or accredited Certifying Body (e.g. NSF, Underwriters Laboratories (UL), etc.).

Page 25 of 30 Water Quality Association Sustainability Certification Scheme 10.4 Revision to a Standard or Regulation

10.4.1.1 WQA will adopt the revised/updated version of all Sustainability Standards within a reasonable time frame based upon the date WQA learns that a new version has been published.

10.4.1.2 Candidate Products submitted prior to WQA’s effective date of the amended Standard shall be evaluated to the revised standard to ensure that they continue to be in conformance with the revised Standard.

10.4.1.3 Certified Products, attested prior to the effective date of the revision will not be re-evaluated until the expiration/recertification comes due.

10.4.1.3.1 In cases where the standard revision becomes effective close on the heels of the due date for recertification, the following criteria shall be considered in determining the timeline by which the products must conform to the revised version of the standard (including but not limited to): a. the urgency of complying with the revised product environmental criteria; b. the extent of the change, the length of time, and the level of complexity involved in retooling the manufacturing process to comply with the revised criteria; c. avoidance of unintentional commercial advantage given to a particular manufacturer, particular design or process; d. the need to involve the company’s material suppliers; e. action that needs to be taken with respect to existing products with the label awarded under the old criteria which are still in the chain of supply to the end consumer; f. time for appropriate consultation with companies; g. complexity for WQA of administering the changes; and h. legislative requirements.

10.4.1.3.2 Failure to conform to the new version of the standard at the time of recertification may result in de-listing of products that are no longer compliant. 10.5 Expiration Renewal/Recertification

10.5.1 Expiration Timeline and Notice to Company

10.5.1.1 Sustainability Certification is valid for a maximum of five (5) years from the date of Attestation.

10.5.1.2 Appraisal Scorecards for both the Management Standard and all the Product Standards are also valid for a maximum of five (5) years subsequent to the approval date registered on the Appraisal Scorecards.

10.5.1.3 Notice of impending Expiration and/or Recertification will be provided to the company between six and twelve months in advance, so each company has an opportunity to choose to recertify or delist the products.

10.5.1.4 WQA assumes all certifications will be extended unless WQA receives written notice, at least three (3) months prior to expiration, requesting the delisting of the expiring certifications.

10.5.1.5 Recertification or expiration renewal projects must be completed prior to the expiration of the current certification or Appraisal Scorecard (as applicable), or the Certified Products are subject to delisting.

10.5.1.5.1 In cases where some unforeseeable and unavoidable delay (or other delay attributable to WQA rather than the Company) occurs to a recertification project, and the Company has cooperated and continues to cooperate to advance the process, WQA may elect, at its sole discretion, to extend the certification (per CSOP.11010), pending the resolution of the delay within a reasonable timeframe (as determined by the particular circumstances of the delay).

Page 26 of 30 Water Quality Association Sustainability Certification Scheme 10.5.1.5.2 In cases where a certification of a new product is pending, and this product is intended to replace an existing product for which certification is due to expire and will be delisted, extending the certification of the original product to allow for completion of certification for the new product may occur at the sole discretion of WQA.

10.5.2 Scope

10.5.2.1 A Recertification Project is required for all Sustainability Certification expirations, and will consist of the full processes of Selection, Determination, Evaluation Review, and Attestation as described in this scheme.

10.5.2.2 For Certified Products where the Sustainability Certification is still valid for a minimum of another twelve (12) months from the date of notification, but for which one or more Appraisal Scorecards is due to expire may request renewal of the Appraisal Scorecard(s) via the CCP process (see §6.4 and §10.3 above).

10.5.3 Fees

10.5.3.1 The same fees will apply to recertification as are applicable to the Initial Certification with the following exceptions (already covered under the Annual Fees): A. Listing fees B. Facility Assessment Fees

10.5.3.2 Annual recertification fees may be assessed on an Annual Invoice at the discretion of WQA.

10.5.4 Selection (see §5)

10.5.4.1 Companies shall either resubmit all documents and information (including the Self-Appraisal(s) covered under the Determination phase [see §7]), or they shall submit written confirmation that all required documents and information remain the same from the original certification project.

10.5.4.1.1 This is NOT intended to imply in any way that a Company may wait for this occasion before submitting to WQA required notification of a CCP (even if recertification is imminent or anticipated).

10.5.4.1.2 However, Companies may use this occasion to initiate a CCP request, provided that the change has not already been implemented. In this case, no additional charges will apply beyond the normal Recertification fees, provided the CCP does not involve significant changes to the Listings as previously posted. In this latter case, relisting fees may be added.

10.5.4.2 An Application Review shall be completed (see §6.2).

10.5.4.3 For Recertifications, the following will be required at a minimum: A. Literature Review (see §6.1.4 and §7.3) B. Documentation of valid, applicable and current Appraisal Scorecards (less than 4 years following approval signature date) C. Documentation of all applicable Facility Assessments, within the current or previous year, with no outstanding findings D. Documentation of existing, current Prerequisite Safety/Performance Certification(s)

10.5.5 Determination, Evaluation and Attestation (see §7, §8 and §9)

10.5.5.1 These steps in the process will be repeated as set forth in the applicable sections of this scheme per the applicable standard(s).

Page 27 of 30 Water Quality Association Sustainability Certification Scheme 10.5.5.2 If the literature contains any additional Sustainability Claims (beyond the mere presence of the WQA Sustainability Mark and Conformance Statement – see WQA Sustainability Logo Policy), then the results of the new Determination must support these additional claims.

10.5.5.2.1 The above analysis will take into account some agreed upon Functional Unit (e.g. per unit sold, per $ of revenue, etc.) – Companies will not be penalized for any increase in their gross reported impacts resulting from growth.

10.5.5.2.2 If the literature contains any quantified claims related to the Sustainability Attributes of the Certified Product(s), and the Determination reveals any changes to this data, the literature will be revised if the changes to the data show any reduction in performance that is greater than 5% vs. the claims in the approved literature (subject to WQA SOP for rounding and significant figures).

10.5.5.3 If the Determination shows improvement in the performance related to Sustainability Attributes, the Company may revise their literature and WQA will review and approve the updated documents, subject to substantiation of the claim (from the results of the Determination phase) and accuracy of the revisions compared to the new data. 10.6 Extending Certification to Identical “Another Name For” (ANF)/Private Label products

10.6.1 Candidate Product Requirements

10.6.1.1 The candidate ANF/Private Label product and the originally certified product must meet all of the following:

10.6.1.1.1 The Bill of Materials for both products (original and ANF) must be identical, with the exception of the product packaging and literature

10.6.1.1.1.1 Packaging/literature that is substantively different from the Originally Certified Product will require a separate review

10.6.1.1.2 All production facilities for the ANF product (including labeling facilities) must be in good standing with the WQA Facility Assessment Department

10.6.2 Changes to Certified ANF Products

10.6.2.1 If any relevant changes are made to a certified ANF product (see §10.3 for enumeration of changes which qualify), it is the responsibility of the manufacturer of the originally Certified Product to notify WQA of said changes (excluding changes under §10.6.2.1.2 below), and to complete a CCP project to approve said changes.

10.6.2.1.1 Changes approved to the originally Certified Product will automatically transfer to the ANF product without need for a separate project under the ANF Company.

10.6.2.1.2 Changes to product packaging and/or literature will require a notification/project under the responsibility of the ANF Company.

10.6.2.1.3 Any changes intended to apply only to the ANF product but not the Originally Certified Product will sever the ANF arrangement and require delisting of the ANF product or certification of the ANF product by other means.

10.6.3 Expiration and Recertification

10.6.3.1 ANF certifications shall last indefinitely provided that the Originally Certified Product remains listed, and all relevant facilities remain in good standing with WQA.

Page 28 of 30 Water Quality Association Sustainability Certification Scheme 10.6.4 Delisting

10.6.4.1 If the Originally Certified Product is delisted for any reason, The ANF product shall also be delisted.

10.6.4.1.1 However, if the ANF Company wishes to pursue independent certification, they shall be granted a six-month window to complete an Initial Certification Project. 10.7 Withdrawal, Suspension, Reduction or Revocation of Certification

10.7.1 Withdrawal of Certification

10.7.1.1 A Company may voluntarily withdraw certification for any or all of its products by providing written notice to WQA via the CCP request form (see §6.4.1).

10.7.1.1.1 The CCP minimum fee for 4 hours at the prevailing hourly rate shall apply to these delisting requests if the company wishes to retain any certifications under the Gold Seal or Sustainability Certification Program(s). This fee will cover the cost of labor for the actual delisting, plus the cost of literature reviews that may be required to verify delineation of Certified Products from delisted products (due to the common practice of shared literature within product families).

10.7.1.1.2 Annual Fees for the current calendar year are not refundable in full or in part.

10.7.2 Authority to Remedy Noncompliance

10.7.2.1 WQA has the authority suspend, reduce, or revoke any certification upon substantiating nonconformance with any certification requirement.

10.7.2.1.1 In most cases above, WQA will first inform the Company and provide them with an opportunity to respond, dispute, or resolve the nonconformance, but WQA reserves the right to take more extreme action if the situation warrants such.

10.7.2.1.2 In most cases above, WQA will prefer to first apply the more lenient of the available remedies, subject to cooperation from the Company, but may then escalate to any of the more severe remedies available if cooperation does not continue or a resolution is not imminent or possible.

10.7.2.1.3 Unless WQA receives written notification from the Company to voluntarily Withdraw Certification (see §10.7.1) for the nonconforming Certified Products, a CCP project will be automatically opened to address the noncompliance and will be subject to all the normal requirements set forth in this scheme for completion of a CCP project (including fees and Attestation).

10.7.3 Suspension or Reduction of Certification

10.7.3.1 Upon substantiating any serious noncompliance with any certification requirements set forth in the Standard(s) or this scheme, WQA may Suspend or Reduce existing certification for some or all of the company’s Certified Products (as applicable to the noncompliance).

10.7.3.1.1 Certified Products that continue to maintain compliance to some standards but not others will be subject to Reduction rather than Suspension and still be permitted to bear the Sustainability Mark.

10.7.3.1.2 Certified Products subject to Suspension may be allowed to continue to bear the Mark, but may be temporarily removed from the WQA listings, at the discretion of WQA, pending resolution of the outstanding noncompliance.

Page 29 of 30 Water Quality Association Sustainability Certification Scheme 10.7.3.1.3 WQA may place a hold on the sale of Certified Products subject to Suspension for egregious reasons until such time as the noncompliance is resolved. As an alternative, the Company may remove the Sustainability Mark until the noncompliance is resolved.

10.7.3.2 WQA may request that the Company 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.

10.7.3.2.1 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 revoke certification. If the Company does not agree to the conditions for continued certification, certification shall be revoked.

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

10.7.3.3 Suspended Certifications not resolved within six (6) months of Suspension may automatically be revoked at the discretion of WQA.

10.7.4 Revocation of Certification

10.7.4.1 WQA shall notify the Company in writing of the decision to Revoke Certification.

10.7.4.1.1 If the Company wishes to retain any Sustainability or Gold Seal Certifications that still remain valid, they shall authorize a CCP project (including fees) to delist the noncompliant Certified Products.

10.7.4.1.2 Annual fees are not subject to refund in whole or in part.

10.7.4.2 The Company shall immediately stop applying the Sustainability Mark to the product(s), and all literature, upon notification.

10.7.4.3 WQA may require the Company to dispose of, or surrender to WQA, all Sustainability Marks, marking devices, and marked materials, by means acceptable to WQA and within a timeframe acceptable by WQA. The Company shall provide verification of the disposal to WQA.

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

11 Complaints, Appeals, and Disputes

11.1.1.1 A Company may file a complaint, appeal, or dispute with the Sustainability Review Board regarding any Sustainability Certification Program decision or activity via- www.wqa.org or by sending an email to [email protected] Appropriate hourly fees for this review will be incurred by the Complainant (if the complaint is unfounded), or the respondent (if the complaint proves valid) [See QSOP 06001: Disputes, Complaints and Appeals; ISO Guide 27 re: misuse of the Sustainability Mark; Sustainability Logo Policy].

Page 30 of 30 Appendix A WQA Sustainability Certification Process Flowchart

Submit S-801: Sustainable Submit Product Standard DataSheet (S-802 or S-803) - Management Standard DataSheet includes documentation of prerequisite safety/performance certifications

WQA Application Review

WQA Identification of facilities subject to On-Site Audit

Product Certification Agreement and Proposal Approval Form [PAF]

Company completes Self-Assessment to both S-801 and Product Standard Appraisal Scorecards - note that multiple Product Standard Scorecards will be needed for multiple facilities

Company implements corrective actions for conformance and/or documentation

Self-assessed passing yes score achieved on all no scorecards?

WQA Desk-Top Review of Appraisal Scorecard(s) for both standards

Scorecards returned to company for corrective Points formally awarded, provisionally awarded actions on conformance and/or documentation (pending On-Site Audit), or denied by WQA

Provisional passing yes score achieved on all no scorecards?

Proceed to On-Site Audit of all facilities identified above - Final Audit Letter issued Company completes final corrective actions for conformance/documention sufficient to achieve an official passing score - to be reviewed by WQA via desk-top

Official passing score yes achieved on all no scorecards?

Literature Review

WQA issues Attestation, Certificate and Online Listings - Company applies Mark to products, packaging and literature