NSF International

Registration Guidelines
for Proprietary
Substances and Nonfood
Compounds

February 23, 2022

The Public
Health and Safety
Company.TM
 NSF Registration Guidelines for Proprietary Substances and Nonfood Compounds

NSF International, an independent, not-for-profit

organization, is dedicated to public health, safety and
protection of the environment by developing
standards, by providing education and by providing
superior third-party conformity assessment services
while representing the interests of all stakeholders.

This Guideline is subject to revision.

Contact NSF to confirm this revision is current.

Users of this Guideline may request clarifications and interpretations, or

propose revisions; or to obtain NSF Registration of
Proprietary Substances and Nonfood Compounds
per these Guidelines, contact:

NSF International
Proprietary Substances and Nonfood Compounds Registration Program
789 N. Dixboro Road
Ann Arbor, MI 48105
Phone: (800) NSF-MARK
Fax: (734) 827-7179
E-mail: nonfood@nsf.org
Web: www.nsfwhitebook.org

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 NSF Registration Guidelines for Proprietary Substances and Nonfood Compounds

NSF Registration Guidelines for

Proprietary Substances and Nonfood Compounds

Guidelines Developer
NSF International

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 NSF Registration Guidelines for Proprietary Substances and Nonfood Compounds

Prepared by NSF staff with advice and counsel from:

Labeling and Consumer Protection Staff
Food Safety and Inspection Services
United States Department of Agriculture

Published by

NSF International
PO Box 130140, Ann Arbor, Michigan 48113-0140, USA

For ordering copies or for making inquiries with regard to this Registration Guideline, please reference the
designation “NSF Registration Guidelines for Proprietary Substances and Nonfood Compounds."

Copyright 2022 NSF International

All rights reserved.

Unless otherwise specified, no part of this publication may be reproduced or utilized in any form or by any
means, electronic or mechanical, including photocopying and microfilm, without permission in writing from
NSF International.

Printed in the United States of America.

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TABLE OF CONTENTS

1 General ................................................................................................................................................ 1
1.1 Background ................................................................................................................................. 1
1.2 Purpose ...................................................................................................................................... 1
1.3 Scope ...................................................................................................................................... 2
1.4 Limitations ................................................................................................................................... 2
1.5 Definitions .................................................................................................................................... 2
1.6 Product Registration .................................................................................................................... 3
1.7 Requirements for antimicrobial products .................................................................................... 3
1.8 Waiver ...................................................................................................................................... 4

2 Products Covered under NSF’s Nonfood Compounds (NFC) program .......................................... 4

2.1 Proprietary Substances ............................................................................................................... 4
2.2 Nonfood Compounds .................................................................................................................. 5

3 Procedures for the Evaluation of Proprietary Substances and Nonfood Compounds ................. 7
3.1 Request for Evaluation ................................................................................................................ 7
3.2 Formulation Submission and Labeling Requirements ................................................................ 7
3.3 Preparation and Submission of Samples .................................................................................. 10
3.4 Notification by NSF of Evaluation Progress .............................................................................. 10
3.5 Published Listing of NSF Registered Products ......................................................................... 11
3.6 Termination of Registration ....................................................................................................... 11
3.7 Products Not Traditionally Requiring Registration .................................................................... 12

4 NSF General Policies ......................................................................................................................... 13

4.1 Authorization for NSF Registration............................................................................................ 13
4.2 Testing .................................................................................................................................... 14
4.3 Confidentiality ............................................................................................................................ 15
4.4 Advertising................................................................................................................................. 15
4.5 Investigation of Complaints ....................................................................................................... 16
4.6 Corrective Action and Enforcement .......................................................................................... 16

5 Product Specific Requirements – Proprietary Substances ........................................................... 19

5.1 General Requirements .............................................................................................................. 19
5.2 Smoke Flavoring Agents (Category Code 1) ............................................................................ 19
5.3 Marking Agents (Category Codes 2A, 2B, 2C) ......................................................................... 19
5.4 Poultry Scald Agents (Category Code 3A) ................................................................................ 20
5.5 Hog Scald Agents (Category Code 3B) .................................................................................... 20
5.6 Tripe Processing Substances (Category Code 3C) .................................................................. 21
5.7 Fruit and Vegetable Washing and/or Sanitizing Products (Category Codes 3D, 3DX) ............ 22
5.8 Preflushing Agents for Casings (Category Code 3E) ............................................................... 23
5.9 Refining Agents for Rendered Fats (Category Code 3F) .......................................................... 23
5.10 Rendering Agents (Category Code 3G) .................................................................................... 23
5.11 Release Agents (Category Code 3H) ....................................................................................... 23
5.12 Denaturants (Category Codes 4A, 4B, 4C, 4D) ........................................................................ 23
5.13 Other substances requiring a letter of authorized use (Category Codes 5A, 5B, 5C) .............. 24

6 Product Specific Requirements – Nonfood Compounds ............................................................... 24

6.1 General Requirements .............................................................................................................. 24
6.2 Cleaning Products (A Category Codes) .................................................................................... 25
6.3 Products for Laundry Use (B Category Codes) ........................................................................ 27
6.4 Products Used in Inedible Product and Non-Processing Areas (C Category Codes) .............. 27
6.5 Antimicrobial Agents (D Category Codes) ................................................................................ 28
6.6 Products for Employee Hand Care (E Category Codes) .......................................................... 29
6.7 Pesticides (F Category Codes) ................................................................................................. 31

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6.8 Water Treatment Products (G Category Codes) ....................................................................... 32

6.9 Lubricants (H Category Codes)................................................................................................. 34
6.10 Heat transfer fluids (HT Category Codes) ................................................................................. 35
6.11 Absorbents or anti-slip agents (Category Code J1) .................................................................. 36
6.12 Specialty Cleaning Products (K Category Codes) .................................................................... 36
6.13 Sewer and Drain Treatment Products (L Category Codes) ...................................................... 38
6.14 Mold Release Agents (Category Code M1) .............................................................................. 38
6.15 Drying Agents (Category Code N1) .......................................................................................... 39
6.16 Ozone Generators (Category O) ............................................................................................... 39
6.17 Shell Egg Products (Q Category Codes) .................................................................................. 39
6.18 Coatings and Paints (R Category Codes) ................................................................................. 41
6.19 Sealants and Adhesives (S Category Codes)........................................................................... 42
6.20 Paper Towels for use in food processing areas (Category Code T1) ....................................... 43
6.21 Metalworking Fluids (U Category Codes) ................................................................................. 43
6.22 Reverse Osmosis Products (W Category Codes)..................................................................... 44

ATTACHMENT A SAMPLE REGISTRATION LETTER ............................................................................A1

ATTACHMENT B SAMPLE LABEL...........................................................................................................B1

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Foreword

The purpose of the NSF Registration Guidelines for Proprietary Substances and Nonfood Compounds is
to establish evaluation criteria for proprietary substances and nonfood compounds used in food and
beverage processing, food handling facilities, and other facilities where the former USDA program was
utilized for compound authorization.

For this revision of the NSF Registration Guidelines for Proprietary Substances and Nonfood Compounds
editorials changes were made and are effective Febraury 22, 2022.

Prepared by NSF staff with advice and counsel from Labeling and Consumer Protection Staff, Food Safety
and Inspection Services, and United States Department of Agriculture. Suggestions for improvement of this
Guideline are welcome. Comments should be sent to nonfood@nsf.org, or Proprietary Substances and
Nonfood Compounds Registration Program, c/o NSF International, PO Box 130140, Ann Arbor, Michigan
48113-0140, USA.

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© 2022 NSF International Registration Guidelines

NSF REGISTRATION PROGRAM GUIDELINES FOR

PROPRIETARY SUBSTANCES AND NONFOOD COMPOUNDS

1 General
1.1 Background

Historically, the Food Safety and Inspection Services (FSIS), a branch of the United States Department of
Agriculture (USDA), required meat and poultry facilities to use pre-processing compounds (Proprietary
Substances) and products used in and around food processing areas (Nonfood Compounds) that had been
approved under the USDA authorization program. This requirement, based upon recognized public health
benefits, carried over into many other product applications (including fishery and retail operations). Product
evaluations were primarily based upon formulation and label review, and generally did not include testing.
The USDA determined compliance and issued a Letter of Authorization and the product was listed in the
next edition of the List of Proprietary Substances and Nonfood Compounds. The USDA authorization
ensured that FSIS inspectors approved a product's use within meat and poultry operations.

Two Federal Register notices, initially published on August 25, 1997, and the final on February 13, 1998,
announced the end of the USDA authorization program. The FSIS significantly altered its approach to
facility inspections, eliminating the need for USDA product evaluation. The FSIS moved away from
prescriptive regulations to performance-based reviews. This new approach was driven by the established
system of Hazard Analysis and Critical Control Points (HACCP) facility operation. Under HACCP, all meat
and poultry establishments must identify and manage critical control points (primarily relating to microbial
contamination) for food processing. For Proprietary Substances and Nonfood Compounds, the facility
operators must select the appropriate product to not only meet their operational needs but also their HACCP
requirements.

In December 1999, NSF launched the Registration and Listing Program for Proprietary Substances and
Nonfood Compounds. NSF’s Nonfood Compounds (NFC) program mirrors the prior USDA program
evaluation for all product categories and streamlines the registration process. Working with the USDA, NSF
captured all prior review guidelines and packaged them into this single document, which serves as the
foundation upon which products are evaluated and registered by NSF. New products and formulations were
added to the list after completion of the NSF Registration process. NSF Registered product labels bear an
NSF Registration Mark and a category code.

1.2 Purpose

NSF’s Nonfood Compounds (NFC) voluntary Registration and Listing program has established evaluation
criteria for proprietary substances and nonfood compounds used in food and beverage processing and food
handling facilities and other facilities where the former USDA program was utilized for compound
authorization. NSF’s Nonfood Compounds (NFC) program reflects the formulation, label, and use
instruction requirements from the following former USDA documents and more recent unpublished draft
revisions and guidelines:

“Guidelines for Obtaining Authorization of Compounds to be used in Meat and Poultry Plants”, U.S.
Department of Agriculture, Food Safety and Quality Service, Agriculture Handbook No. 562, September
1979.

“List of Proprietary Substances and Nonfood Compounds”, U.S. Department of Agriculture, Food Safety
and Inspection Service, Miscellaneous Publication No. 1419, January 1, 1998, and Supplement dated
July 1, 1998.

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1.3 Scope

NSF’s NFC program is intended to cover products used in the areas of food processing, handling, and
storage, which do not otherwise require declaration on food labeling under the Code of Federal Regulations
(CFR) Title 9 (Part 590) or Title 9 (Parts 317 and 381). NSF’s NFC program covers toxicology, odor
potential, product testing (if applicable) and intended use classifications for a wide range of products.

1.4 Limitations

NSF’s NFC program does not provide guidelines for operational issues inside food processing facilities.
Meat, poultry, and shell egg processing facilities are inspected by the USDA FSIS, which ultimately
determines the acceptability of any product.

1.5 Definitions

• Registered Product – Product authorized by NSF for registration and use of the Mark.
• Category Code – Alphanumeric categorization code designated within these Guidelines which
includes acceptance criteria based on the product type and end use.
• Nonfood Compounds – Products that are used in and around food processing areas, but are not
intended for direct food contact, or are not expected to become a component of the food or
beverage
• Proprietary Substances – Products used in the pre-processing of food.
• Registration – NSF determination that adequate confidence is achieved that a duly identified
product is in conformity with all applicable NSF Requirements. The terms “Listing”, “Listed”, or
“Registered” are synonymous with the term “Registration”.
• Registration Services – Any work that NSF performs as part of the process for applying, achieving
or continuing Registration.
• Company – The entity executing the Contract to seek Registration services.
• Compliance – Conformance with all NSF Requirement(s).
• Contract – The authorized written agreement with NSF for Registration services.
• Distributor – The distributor is responsible for issuing catalogues and handling sales functions for
the brand. The distributor has direct interaction with the retailer or purchasing customer.
• Mark – An NSF trademark designated to represent Nonfood Compounds Registration.
• Noncompliance – Lack of conformance with any NSF Requirement.
• NSF – NSF International, or its subsidiaries and affiliates.
• NSF Requirements – Requirements of the relevant Standards, scheme, or program requirement
documents and any agreements or contracts upon which NSF’s Registration are based. In all
instances where this term is used, it is understood this means the requirements that are appropriate
and applicable to the specific product.
• Private Labeling/Sub-Registration/Rebrand – Manufacture of a product by one company for sale
under another company’s brand.
• Listing Suppression – a Registered product, for sale under another company’s brand, which is
not publicly accessible in the NSF White Book™. Listing suppressed products are not permitted to
use the NSF Mark or reference NSF Nonfood Compounds Registration on product labels and in
marketing (brochures, website, etc.).

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• Product – Any good, equipment, component, system, service, material, compound, or ingredient
covered by these guidelines for which NSF offers Registration, including those made on behalf of
another manufacturer or those distributed by companies other than the manufacturer.
• New Product – Products manufactured, formulated, added, or implemented after the initial date of
Registration.
• Trade Name – the name, model number, or other identification assigned by the company and as
indicated on the product label. This does not include ™ or ® symbols.
• Additional Product Name – designation of an additional tradename by the manufacturer for a
Registered product.
• Formulation Review Only – formulary review to company requested category code, no label
review required and does not directly result in Registration.
• Public Notice – Distribution of a written notice of non-compliance.

1.6 Product Registration

Products meeting the requirements set forth in this document are issued an NSF Registration Number and
are authorized to bear an NSF Registration Mark on the product and in advertising. NSF Registered
products appear in the official NSF Listing on the NSF website (www.nsfwhitebook.org). This is an active
database which shall be updated daily. In addition, Registration Letters will be available through the NSF
online listing for customers and inspectors.

Products that are listing suppressed will not appear on the NSF website. These clients will receive a
Registration Letter to share with their distributors/rebrand partners. End users can verify the validity of listing
suppressed letters by contacting NSF directly.

1.7 Requirements for antimicrobial products

For Registered products sold or distributed within the United States (US), any claims and/or function
description of disinfectant, algaecide, fungicide, germicide, bactericide, sanitizer, etc. (as clarified in Title
40 Code of Federal Regulations (CFR), Part 152.15) in product literature and on labels, shall be registered
with the US Environmental Protection Agency (EPA) under the Federal Insecticide, Fungicide, and
Rodenticide Act (FIFRA) prior to being NSF Registered.

Registered products bearing disinfectant, algaecide, fungicide, germicide, bactericide, or sanitizer function
claims that are not FIFRA registered and sold or distributed exclusively outside of the US shall include the
statement “Not Registered for Use in the United States of America” on the product label. Alternate methods
of meeting this requirement for NSF Registration shall require prior review and express written authorization
by NSF.

NSF’s NFC program is voluntary. Your company remains solely responsible to ensure that your product(s)
comply with all applicable United States and foreign legal and regulatory requirements.

Registered hand care products sold or distributed within the United States (US) that are making hand
sanitizing claims in product literature and on labels, shall be registered with the FDA as an over the counter
(OTC) drug product.

Registered hand care products bearing sanitizing claims that are not FDA registered, and are sold or
distributed exclusively outside the United States (US), shall include the statement “Not Registered for Use
in the United States of America” on the product label. Alternate methods of meeting this requirement for
NSF Registration shall require prior review and express written authorization by NSF.

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NSF’s NFC program is voluntary. Your company remains solely responsible to ensure that your product(s)
comply with all applicable United States and foreign legal and regulatory requirements.

1.8 Waiver

Product(s) being considered for Registration must comply with the appropriate category code requirements
outlined in these guidelines. Waivers may be applied to guideline requirements for any time period officially
authorized by a federal governance body.

2 Products Covered under NSF’s Nonfood Compounds (NFC) program

2.1 Proprietary Substances

Products that are used in the pre-processing of food and beverages are defined as “proprietary
substances.” These include products such as antifoaming agents, marking agents, poultry scald media,
hog scald media, tripe processing substances, fruit and vegetable washing products, preflushing agents,
refining agents, rendering agents, release agents, denaturants, and other miscellaneous substances.
Category codes that are assigned to these products are shown in Table 1.

Table 1: Category Codes – Proprietary Substances

Category Category Code Intended Use

Smoke Flavoring Agents 1 Natural and artificial smoke flavoring

2A Branding inks

Marking Agents 2B Tattoo inks

2C Marking crayons
3A Poultry scald agents
3B Hog scald agents
3C Tripe denuding, bleaching and neutralizing agents
3D Substances for washing and/or sanitizing fruits and
vegetables
Food Processing Substances 3DX Ingredients for use in fruit and vegetable washing and/or
sanitizing products
3E Preflushing agents for casings
3F Refining agents for rendered fats
3G Rendering agents
3H Release agents
4A Denaturants for meat requiring tankage
4B Denaturants for meat not intended for human food
Denaturants
4C Denaturants for poultry requiring tankage
4D Denaturants for poultry not intended for human food
5A Foam control in soups, stews, rendered fats, curing pickle
Substances Requiring
5B Substances for cleaning or treating feet or other edible parts
Letter Indicating
Authorized Use 5C Miscellaneous

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2.2 Nonfood Compounds

Products that are used in and around food processing areas, but are not intended for direct food contact,
or are not expected to become a component of the food or beverage, are defined as “nonfood compounds.”
These include products such as maintenance and cleaning chemicals, sanitizers and pesticide chemicals,
lubricants, water treatment compounds, shell egg cleaning, defoaming, destaining, and sanitizing
compounds, and other miscellaneous products. Category Codes assigned to the products are shown in
Table 2.

Table 2: Category Codes – Nonfood Compounds

Category Category Code Intended Use

A1 General cleaners
A2 Soak tank, steam/mechanical cleaners
A3 Acid cleaners
A4 Floor and wall cleaners
Cleaning Products A5 Freezer floor and wall cleaners
A6 Scouring cleaners
A7 Metal polishes – no food contact
A8 Degreasers/carbon removers
AX Ingredients for use in Cleaning Products
B1 Laundry products – food contact
Laundry Products B2 Laundry products – no food contact
BX Ingredients for use in Laundry Products
C1 General
Non-processing Area C2 Toilet/dressing room
Products C3 Paint removers
CX Ingredients for use in Non-processing Area Products
D1 Antimicrobial agents always requiring a rinse
Antimicrobial Products D2 Antimicrobial agents not requiring rinse
DX Ingredients for use in Antimicrobial Products
E1 Handwashing products
E2 Handwashing and sanitizing products
Hand Care Products E3 Hand sanitizing products
E4 Hand lotions/cleaners – non-processing areas
EX Ingredients for use in Hand Care Products
F1 Nonresidual pesticides
F2 Residual pesticides
F3 Rodenticides
Pesticides
F4 Fumigants
F5 Fumigants
FX Ingredients for use in Pesticides
G1 General
Water Treatment
G2 Phosphate products
Products
G3 Silicate products

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G4 Chlorine products
Cooling and retort water treatment products – all food
G5
processing areas
Boiler treatment products – all food processing areas/food
G6
contact
Boiler treatment products – all food processing areas/no food
G7
contact
GX Ingredients for use in Water Treatment Products
H1 General – incidental food contact
H2 General – no food contact
H3 Soluble oils
Lubricants
HX-1 Ingredients for use in H1 Lubricants
HX-2 Ingredients for use in H2 Lubricants
HX-3 Ingredients for use in H3 Lubricants
HT1 Heat transfer fluids - incidental food contact
HT2 Heat transfer fluids – no food contact
Heat Transfer Fluids
HTX-1 Ingredients for use in HT1 Heat Transfer Fluids
HTX-2 Ingredients for use in HT2 Heat Transfer Fluids
Absorbents/Anti-Slip J1 General
Agents JX Ingredients for use in Absorbents/Anti-Slip Agents
K1 Non-processing area products
K2 Electronic instrument cleaners
K3 Adhesives/glue removers
Specialty Cleaners K4 Coil Cleaners – food processing area
K5 Coil Cleaners – non processing area
K6 Electronic instrument cleaner – incidental food contact
KX Ingredients for use in Solvent Cleaners
L1 General
Sewer and Drain
L2 Enzymatic cleaners
Cleaners
LX Ingredients for use in Sewer and Drain Cleaners
Mold Release Agents M1 Mold Release Agents
Drying Agents N1 Drying Agents
Ozone Generators O1 General
Miscellaneous P1 Miscellaneous
Products PX Ingredients for use in Miscellaneous Products
Q1 General cleaners
Q2 Destainers
Q3 Quaternary ammonium chloride sanitizers
Shell Egg Products Q4 Chlorine sanitizers
Q5 Foam control products
Q6 Iodine sanitizers
QX Ingredients for use in Shell Egg Products
R1 Coatings for use on direct food contact surfaces
Coatings R2 Coatings for use on structural surfaces – no food contact
RX-1 Ingredients for use in R1 Coatings

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RX-2 Ingredients for use in R2 Coatings

S1 Sealants – food contact
S2 Sealants – no food contact
S3 Adhesives – food contact
Sealants and
S4 Adhesives – no food contact
Adhesives
S5 Retaining compounds
S6 Thread locking compounds
S7 Construction adhesives
Paper Towels T1 General
U1 Surface lubricants used in the manufacture of metallic articles
U2 Cutting oils
Metalworking Fluids
UX-1 Ingredients for use in U1 surface lubricants
UX-2 Ingredients for use in U2 cutting oils
Reverse Osmosis W1 Antiscalants
Products W2 Disinfectants

3 Procedures for the Evaluation of Proprietary Substances and Nonfood

Compounds
3.1 Request for Evaluation

Product formulations may be submitted to NSF for Registration against the requirements of this document.
General program information and applications are available through the contact information below:

Email: nonfood@nsf.org
Toll Free (USA): 800-NSF-MARK
Fax: (+1) 734-827-7179

3.2 Formulation Submission and Labeling Requirements

3.2.1 Formulation submission

In order to evaluate a product for use in food processing facilities, the complete chemical composition must
be submitted to NSF. This information is necessary to determine the status of ingredients, both active and
inert, under existing regulations and policies of the Federal Meat, Poultry and Egg Products Inspection Acts,
the Federal Insecticide, Fungicide, and Rodenticide Act (FIFRA), and the Federal Food, Drug, and
Cosmetic Act (FFDCA).

Formulation submissions shall contain the following information:

• The Chemical Abstract Service Registry Number (CAS number) of each ingredient;

• The complete chemical name of each ingredient;

• The complete trade name of each ingredient;

• The name of the supplier(s) of each ingredient;

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• The amount of each ingredient shall be expressed in percent of composition. The notation “Trace”
is not acceptable for ingredients at low levels. All formulas must total 100 percent. Ranges of
ingredients may be acceptable based on the product type and end use; and

• If there is potential of food contact, and/or there is an applicable FDA 21 CFR reference required,
the regulatory reference shall be provided. If a regulatory reference is required it is mentioned in
the category code description of this document. For example: Lubricants with Incidental Food
Contact are required to meet 21 CFR § 178.3570 outlined in 6.9.1 of this Guideline. NSF will also
review FDA Letters of Opinion, Food Contact Notification Documentation, Threshold of
Regulation Documentation, and other Letters of Opinion from legal firms or consultants with
expertise in direct and indirect food additives.

Manufacturers of compounds containing bacterial cultures or ingredients derived from bacteria are required
to provide NSF with a taxonomic identification (identification by genus and species) of the cultures. Only
defined and characterized strains of viable microorganisms, not known to cause disease in healthy adult
humans, will be considered for Registration. A confirming analysis for Salmonella will be made on the
sample submitted to NSF during the initial review of a product submitted to NSF for Registration.

3.2.2 Label submission

Electronic product labels shall be included with each application for review. The label submitted for review
must include all content that is intended to appear on the final product label. If a product label is not available
due to product packaging, other documentation may be accepted at NSF’s discretion. Any alternate
documentation provided must meet the label requirements outlined in 3.2.3.

For products regulated under the Federal Insecticide, Fungicide, and Rodenticide Act (FIFRA), the current
EPA registered label is reviewed, in addition to the label that appears on the product.

3.2.3 Label requirements

3.2.3.1 General label requirements

For all products, labeling shall include at least the following:

• Trade name of the product;

• Name of the company marketing the product and to appear in the NSF White Book; the company
name on the application forms and all labels shall be in complete agreement;

• Registration Mark (Table 3); and

• Applicable NSF Category Code(s) shall be added after the product has been registered.

If the product is targeted for industries other than food and/or beverage processing/handling, then use in
food industries shall also be included on the label.

Registration category code should be selected based on the product type and end use of product. Multiple
end uses are permitted, at the discretion of NSF, with the following provisions:

• If a category code exists for a product-specific end use, that category code shall be used;

• Multiple category codes are subject to non-contradictory end uses supported by the selected codes;

• Lubricants may not be dual registered to H1 and H2;

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• Statements and product trade name on label shall be consistent with category code selection; and

• Products registered to multiple category codes are reviewed to the code with the most stringent
requirements.

If a formulation was previously authorized by USDA and reference is made to such authorization on the
labeling or other printed material, the statement must be specific, following this example:

NSF (insert category code) Registered, meets USDA 1998 (insert category code) Guidelines.

Unless otherwise stated in the category code description, the label is not required to include a statement of
ingredients or directions for use. However, in most cases, a description of the nature or purpose of the
product and directions for its use are beneficial to the end user. If directions for use are not provided on the
label or data sheets, they may be requested by NSF to evaluate category specific requirements.

3.2.3.2 Label requirements for pesticides and antimicrobial products

Label content for pesticides including antimicrobial products, sold or distributed within the USA and
regulated under the Federal Insecticide, Fungicide, and Rodenticide Act (FIFRA) require a preparation for
which pesticidal claims (e.g., algaecidal, fungicidal, germicidal, sanitizing, etc.) are made, to bear a label
showing the active ingredients and to be appropriately registered with the United States Environmental
Protection Agency (EPA), Registration Division, Office of Pesticide Programs, Washington, DC 20460. In
order to be applicable for use in meat and poultry plants, the label must also include directions, or reference
to use directions and precautions for such use as required by those regulations. Accordingly, any such
preparations offered for use in federally inspected meat and poultry plants must be labeled in compliance
with those requirements. This includes appropriate notification to the EPA of the use of the NSF Mark. The
NSF Mark to be used by EPA registered products is shown in Table 3.

Registered products bearing disinfectant, algaecide, fungicide, germicide, bactericide, or sanitizer function
claims that are not FIFRA registered and sold or distributed exclusively outside of the US shall include the
statement “Not Registered for use in the United States of America” on the product’s label. Variations of this
statement can be approved upon NSF review. Alternate methods of meeting this requirement for NSF
Registration shall require prior review and written authorization by NSF.

3.2.3.3 Hand care product label requirements

Registered hand care products bearing sanitizing claims that are not FDA registered, and are sold or
distributed exclusively outside the United States (US), shall include the statement “Not Registered for Use
in the United States of America” on the product label. Variations of this statement can be approved upon
NSF review. Alternate methods of meeting this requirement for NSF Registration shall require prior review
and express written authorization by NSF.

3.2.3.4 Boiler water additive label requirements

To assure safe use of boiler water additives where the steam produced may contact food products, or fruit
and vegetable washing compounds, regulations under the Federal Food, Drug, and Cosmetic Act (FFDCA)
require that labels for such products include directions for use adequate to ensure compliance with those
regulations. Where additives are prepared to custom specifications of individual customers, or where for
other reasons it is not feasible to include use directions on the container’s label, that information may be
supplied to users in such forms as control charts, technical bulletins, service reports, or other written
communications. In those cases, the supplementary information must be submitted to NSF.

3.2.3.5 Scalding and denuding chemical label requirements

Because of the possibility of residues remaining in food products as a result of using chemicals in denuding
or otherwise processing tripe, or in scalding hog or poultry carcasses, the containers’ labels for

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such preparations shall follow 9 CFR § 318.1 (d) and 381.145 (i), which require that labels or labeling of
containers of hog scalds, poultry scalds, and tripe denuding compounds bear adequate directions to ensure
use in compliance with any limitations prescribed in 21 CFR Chapter I, Subchapter A or Subchapter B, or
9 CFR Chapter 3, Subchapter A or Subchapter E.

3.2.4 Marking

3.2.4.1 NSF Mark(s) for use with Registered products

Table 3: Nonfood Compounds Registration Marks

Only for use with EPA FIFRA Only for use with H2 Category
For use on all other products.
registered products. code listed products.

The Mark must contain the applicable NSF Category Code(s) to which the products have been registered.
At the client’s discretion, the Registration number may also be included. Listing suppressed products shall
not bear the NSF Mark.

3.3 Preparation and Submission of Samples

3.3.1 Submission of samples

After initial review of the formulation is conducted, NSF may request submission of an actual product
sample. The product sample shall be submitted with the appropriate number assigned to the application,
as instructed by NSF. The quantity of sample shall be specified in the request generated by NSF. Samples
shall not be submitted with the initial application form. If samples are received without specific instruction
from NSF, they may be returned or discarded.

3.3.2 Sample size and shipment

If samples are requested, sample size shall be specified by NSF. Samples shall be shipped by suitable
means of air or surface transportation. Some corrosive and hazardous materials are classified as un-
mailable by the U.S. Postal Service and may be subject to hazardous materials (HAZMAT) shipping
regulations (including U.S. Department of Transportation Regulations 49 CFR Parts 171-178, and
Occupational Safety and Health Administration Regulations 29 CFR, Parts 1910.101-1910.120, and
1910.1000-1910.1500). Consult the carrier for proper packaging instructions. Damaged and/or leaking
samples will not be accepted for processing.

3.4 Notification by NSF of Evaluation Progress

Upon receipt of completed applications by NSF, the company will be notified that NSF has received the
materials. If the application or supporting documentation is incomplete, the company shall be informed, and
a list of required information will be attached.

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3.4.1 Product is acceptable

When a product is found to be acceptable for the proposed use, NSF will notify the company and provide
a Registration Letter. The Registration Letter shall include a description of the intended end use, Category
Code(s), product name, NSF Registration Mark, and NSF Registration Number. Registration Letters may
be supplied to federal inspectors as proof of Registration. An example of an NSF Registration Letter is
shown in Attachment A (see end of this document).

3.4.2 Product is unacceptable

If a product is found to be unacceptable for the proposed use, NSF will inform the company with an
explanation of the reason(s) for the product’s unacceptability. If the application is incomplete, the company
shall be informed, and a list of required information will be included.

3.5 Published Listing of NSF Registered Products

NSF maintains an official listing of active Registered products (www.nsfwhitebook.org), which is updated
daily. In addition, Registration Letters will be available through the NSF online listing for customers and
inspectors.

3.5.1 The Listing shall Include at least the following information for each Registered product:

• Company name;

• Product trade name; and

• Use conditions, limitations, and restrictions, as applicable.

3.5.2 Annual Verification

NSF utilizes annual verification to ensure no changes have been made to a Registered product. Not
participating in the annual verification process can result in the loss of product Registration.

3.6 Termination of Registration

NSF Registration of a proprietary substance or nonfood compound may be terminated for reasons including
but not limited to:

• Change in formulation or labeling text without prior review by NSF;

• Lack of payment of annual listing and other fees, as required;

• Misleading information provided to NSF regarding product formulation;

• Presence of Salmonella and/or other pathogenic microorganisms in bacterial/enzyme containing

products; and

• Failure to notify NSF of any transaction that results in the sale, transfer, or merger of a company,
or sale or transfer of formulation of the Registered products. Notification of such a transaction
may be made in the form of a letter from each company, or a copy of the legal document that
records the transaction accompanied by a letter of explanation. The acquiring company shall
confirm that there has been no change in the formulation of the products in question and no
change in label text other than the company name. For any product that has previous registration
with EPA, the acquiring company shall also provide a copy of an acknowledgement from the EPA
confirming the registration transfer.

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3.7 Products Not Traditionally Requiring Registration

The products referred to in this section may be acceptable for use in food and nonfood processing areas
without NSF Registration at the discretion of FSIS or other food safety inspectors. However, product
categories may be developed at the discretion of NSF to cover such products. Products that are classified
as pesticides must be registered with the US EPA and used according to label directions. All products
governed by FDA Regulations shall be used in accordance with those regulations (21 CFR, Parts 170-199).
This may include:

• Outdoor pest control substances, such as herbicides, bird control products, and other pesticides
labeled for outdoor use only;

• Pest control devices that do not contain pesticides such as sticky boards, fly paper, insect
electrocutors, light traps, bait boxes, and bait fountains;

• Office products, such as dusting aids, furniture waxes/polishes, wall/floor finishes or waxes, rug
or upholstery shampoos or cleaners, rug anti-static treatments, and window/glass cleaners;

• Cafeteria or retail food services products, such as rinse additives, tarnish removers, and hand
dishwashing soaps/detergents;

• Products associated with heating systems, such as fuel additives, firebox or flue treatments or
cleaners;

• Products used in treating inedible materials, such as hides, hair, or feathers;

• Products used in holding pens, trucks, and transporting cages, such as pesticides, disinfectants
or cleaners used in animal facilities, or chemicals used for deodorizing or dissolving animal
waste;

• Cleaning devices such as scouring pads, mops, brooms;

• Primary packaging materials covered under 9 CFR §§ 317.24 and 381.44;

• Gloves covered under FFDCA;

• Wearing apparel;

• Printing inks covered under FFDCA;

• Edible and inedible casings;

• Secondary packaging materials such as over-cartons, labels, label bands, boxes;

• Products used in sewage treatment outside the plant, such as solvents and odor control;

• Products used in cooling towers, evaporative condensers, or secondary cooling water loops;

• Products used on the exterior of buildings or immediate surrounding areas; and

• Products used for cleaning or maintenance of the exterior of vehicles.

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4 NSF General Policies

4.1 Authorization for NSF Registration

4.1.1 Notification of registration and authorization for use of the Mark

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

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

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

4.1.2 Transfer of authorization for registration and use of the Mark

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

4.1.3 Use of the Mark for products shown in the Official Listing

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

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

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

4.1.4 Trade designations

A Company shall not use the letters “NSF” in its trade designation or unique identifier (e.g., name, model
number, or other identification assigned by the Company) for a Registered or Non-Registered product,
unless prior written authorization from NSF allows otherwise.

A Company shall not have a trade designation for a Registered product that directly or indirectly states or
implies an end use application for which the product is not Registered.

NSF shall review any trade designation that references all or a portion of the designation of a Standard

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

4.1.6 Product modification

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

4.1.7 Sub-registration/rebrand/private labeling of Registered products

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

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

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

• The original Company shall private label the Product with no modifications as a “Sub-Registration”
on behalf of the private label company. A separate Listing shall be issued by NSF in the name of
the private label company, which is supported by the original Company’s Listed Product.

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

4.2 Testing

4.2.1 Conduct of testing

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

4.2.2 Test report

Upon completion of testing, NSF shall provide the test results to the Company. When a subcontract
laboratory is used, for proprietary reasons NSF reserves the right not to identify the subcontract laboratory
in the test report but shall provide this information to the Company if requested.

4.2.3 Periodic testing of Registered products

Periodic testing of Registered Products may be required by NSF to maintain Registration.

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4.2.4 Disposition of test samples

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

4.3 Confidentiality

4.3.1 Confidentiality

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

4.4 Advertising

4.4.1 Use of the Mark or claims of NSF Registration by registered companies: advertising,
packaging and literature

Use of a Mark on sales literature, technical publications, promotions, materials, packaging, catalogs,
websites and in any format including electronic means, and in advertising of Registered products is
acceptable, provided the Company complies with the following:

• The Company shall not directly or indirectly represent, advertise, imply, or claim that any of its Non-
Registered products are Registered by NSF;

• The Company shall clearly indicate in advertising, packaging, and literature that any Non-
Registered product or component that is sold in combination with a Registered product has not
been evaluated to the respective Standard or Guidelines;

• The Company shall not directly or indirectly represent, advertise, imply, or claim that any product
is registered for an end use application for which it is not registered;

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

• The Company complies with all other marketing Guidelines or instructions provided by NSF
("Guidelines"). NSF reserves the right to modify the Guidelines from time to time.

4.4.2 Use of the Mark or claims of NSF Registration by parties other than the Registered
Company: advertising and literature

Use of a Mark on sales literature, technical publications, promotions, materials, catalogs, and in advertising
of Registered Products by a party other than the Company is acceptable, provided the party complies with
the following:

 The party shall code literature to indicate version date;

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 The party shall not directly or indirectly represent, advertise, imply, or claim that any of its Non-
Registered products are registered by NSF;

 The party shall not directly or indirectly represent, advertise, imply, or claim that any product is
Registered for an end use application for which it is not Registered;

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

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

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

4.5 Investigation of Complaints

4.5.1 Complaints

NSF shall investigate complaints by any party related to Registered products, misuse of a Mark or NSF
claims or NSF’s Registration Services.

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

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

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

4.5.2 Investigation of complaints: sample selection and handling

NSF shall not, for complaint investigations:

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

• Select samples for testing that are under the control or influence of the complainant, or test samples
if NSF has reason to believe that the samples may have been altered.

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

4.6 Corrective Action and Enforcement

4.6.1 Corrective action for General Noncompliance

A Company shall be advised in writing by NSF of all items of Noncompliance. The Company shall submit
to NSF, in writing within 30 days, or the deadline as required by the standard or scheme, of the date of

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receipt of written notice of the Noncompliance, a root cause analysis, a corrective action, and a preventive
action plan (“CAPA”) for approval. Once NSF approves the CAPA, the Company shall promptly implement
the CAPA. NSF shall verify the Company’s compliance with the CAPA by means acceptable to NSF.

Note: To prevent any misunderstanding, this policy does not relieve a Company of its continuing
responsibility to use the Mark (or otherwise represent as Registered) only on products complying
with all NSF requirements. The30 days applies to the report, not to the date for corrective action.

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

• NSF may require the product to be held until the CAPA is completed, corrective action is
authorized; and

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

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

4.6.2 Use of the Mark on a Non-Registered product

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

4.6.3 Unauthorized change to a Registered product

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

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

4.6.4 Unauthorized shipment or disposal of Registered or Non-Registered products placed on

hold

For the unauthorized shipment or disposal of any Product placed on hold, Registered or Non-Registered,
NSF may take any or all of the following actions:

• Withdrawal of Registration, per 4.6.6, of the non-conforming

First Occurrence
product(s)
• Withdrawal of Registration, per 4.6.6, of the non-conforming
Second product(s)
Occurrence • Withdrawal of Registration, per 4.6.6, of all products Listed at
the location

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

4.6.5 Bribes offered to NSF

Any attempt by the Company, or its employees to offer inducement or bribes to NSF shall result in
immediate withdrawal of Registration and other action deemed appropriate by NSF, which may include
issuing a Public Notice.

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4.6.6 Withdrawal of Registration

NSF may withdraw Registration of any product, at any time, for failure to comply with any NSF
Requirements, including but not limited to termination of the Contract.
NSF shall notify the Company, in writing, of withdrawal of Registration. Upon notice by NSF (whether written
or oral) to the Company of withdrawal of Registration, the Company shall immediately stop applying the
Mark to the product. The Company shall notify its distributors and outlets that the Registration has been
withdrawn. The Company shall confirm these actions to NSF. NSF may make public notice of withdrawal
of Registration and the reason for such action.
Upon withdrawal of Registration of a product or all products, NSF may require the Company to quarantine,
dispose of, modify, or destroy the entire product(s), by means acceptable to NSF, to assure that it is not
sold, used, or represented as Registered. The Company shall provide to NSF its plan for the disposal,
modification, or destruction of the product(s) within 14 calendar days of notification of withdrawal of
Registration. NSF shall verify the action taken by the Company.
Upon withdrawal of Registration of all products, NSF may require the Company to dispose of, modify,
destroy, or surrender to NSF all Marks, marking devices, and marked materials, by means acceptable to
NSF. Additionally, the Company shall cease all digital marketing and advertising, remove all product images
displaying the NSF Mark and cease all Registration claims. The Company shall provide to NSF its plan for
the disposal, modification, destruction, or surrender of the Marks, marked materials and digital marketing
compliance within 14 calendar days after NSF notifies the Company of withdrawal of Registration. Disposal,
modification or destruction of the Marks and marked materials shall be at the Company's expense. NSF
shall verify the action taken by the Company. No credit or refunds shall be provided for Marks disposed of,
modified, destroyed, or surrendered. The Company shall also acknowledge in writing that it is not authorized
to use the Mark or otherwise represent that any of its products are Registered.

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

4.6.7 Public Notice

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

NSF may issue a press release of the notice to appropriate print and broadcast media. NSF may distribute
a written notice to those appropriate persons, agencies and entities, which may include known purchasers
and recipients of the product, appropriate federal, state, and local regulatory officials in the United States
and other countries, NSF’s Council of Public Health Consultants, the appropriate Joint Committee(s),
Registered Companies, and other individuals and organizations routinely receiving the appropriate
Registration information.

4.6.8 Reinstatement

Following withdrawal of Registered, products may not be re-Registered until NSF has reevaluated or
retested, or both, has verified that all items of Noncompliance and issues of ethics or integrity, have been
satisfactorily resolved, and has notified the Company in writing that it is authorized to use the Mark in
connection with the product. The Company shall be responsible for any fees associated with reinstatement,
and for any additional costs necessary to verify compliance with NSF Requirements.

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4.7 Appeals

4.7.1 Appeal of a decision, result or action taken by NSF

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

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

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

4.7.2 Legal action

The Company shall hold in abeyance any formal legal action against NSF until such time that all appeal
mechanisms available have been exhausted.

5 Product Specific Requirements – Proprietary Substances

5.1 General Requirements

The following are subject to exclusion, at the discretion of NSF International:

• Intentionally added heavy metals:

o Antimony
o Arsenic
o Cadmium
o Lead
o Mercury
o Selenium; and
• Other ingredients that are classified by NSF International as:
o Carcinogens
o Mutagens
o Teratogens
o Mineral Acids
o Odorous

Factors taken into consideration will be the percent by weight of the ingredient of concern, intended use of
the product, and potential risks associated with exposure.

5.2 Smoke Flavoring Agents (Category Code 1)

Natural smoke flavoring and artificial smoke flavoring do not require Registration prior to their designated
use. However, the use of such flavorings is still subject to labeling requirements and other restrictions that
apply to the use of any flavoring. Inspectors may use the manufacturer's letter of guaranty as an indication
of compliance with FDA requirements.

5.3 Marking Agents (Category Codes 2A, 2B, 2C)

Typical uses of marking agents include (1) the branding of meat and poultry carcasses and parts, (2)
tattooing official marks on livestock and live swine. Inks or crayons shall be formulated with FD&C certified
colors and other substances such as drying agents and diluents that are considered “Multiple Purpose

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GRAS (generally recognized as safe) Food Substances “as specified in 21 CFR Part 182, Subpart B. The
following substances are also acceptable for use in marking agents: water, dextrose, isopropyl alcohol,
ethyl alcohol, shellac, and acetone as specified in 21 CFR § 73.1(b).

5.4 Poultry Scald Agents (Category Code 3A)

These products are typically used in the defeathering of poultry carcasses. Products containing one or more
of the substances listed in Table 4 are acceptable. Unless a limitation is otherwise stated, the product may
be used at a level sufficient for the purpose, provided that the substance will be removed by subsequent
rinsing with potable water during dressing operations.

Table 4: Poultry Scald Agents

Substances Use instructions

Alpha-hydro-omega-hydroxy-poly (oxyethylene) poly (oxypropylene)
Not to exceed 0.05% by weight in scald
(minimum 15 moles) poly (oxyethylene) block copolymer
water.
(polyoxamer)
Dimethylpolysiloxane
Dioctyl sodium sulfosuccinate
Dipotassium phosphate Sufficient for purpose
Ethylenediamine-tetraacetic acid (sodium salts)
Lime (calcium oxide, calcium hydroxide)
Polyoxyethylene (20) sorbitan monooleate Not to exceed 0.0175% in scald water.
Potassium hydroxide
Propylene glycol
Sodium acid phosphate
Sodium acid pyrophosphate
Sodium bicarbonate
Sodium carbonate
Sufficient for purpose
Sodium dodecylbenzene sulfonate
Sodium-2-ethythexyl sulfate
Sodium hexametaphosphate
Sodium hydroxide
Sodium lauryl sulfate
Sodium phosphate (mono-, di-, tribasic)
Sodium pyrophosphate
Sodium sesquicarbonate
Sodium sulfate Sufficient for purpose
Sodium tripolyphosphate
Tetrasodium pyrophosphate

5.5 Hog Scald Agents (Category Code 3B)

These products are typically used in the dehairing of hog carcasses. Products containing one or more of
the substances listed in Table 5 are acceptable. The product may be used at a level sufficient for the
purpose, provided that the substance will be removed by subsequent rinsing with potable water during
dressing operations.

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Table 5: Hog Scald Agents

Substances

Caustic soda
Dimethylpolysiloxane
Dioctyl sodium sulfosuccinate
Disodium-calcium ethylene- diamine-tetraacetate
Disodium phosphate
Ethylenediamine-tetraacetic acid (sodium salts)
Lime (calcium oxide, calcium hydroxide)
Propylene glycol
Soap (prepared by the reaction of calcium, potassium, or sodium with rosin or fatty acids of natural fats and oils)
Sodium acid pyrophosphate
Sodium carbonate
Sodium dodecylbenzene sulfonate
Sodium gluconate
Sodium hexametaphosphate
Sodium lauryl sulfate
Sodium mono and dimethyl-napthalene sulfonate (molecular weight 245-260)
Sodium alkybenzene sulfonate (alkyl group predominantly C12 and C13 and not less than 95 percent C10 and C16)
Sodium pyrophosphate
Sodium silicates (ortho, meta and sesqui)
Sodium sulfate
Sodium tripolyphosphate
Sucrose
Triethanolamine dodecylbenzene sulfonate
Trisodium phosphate

5.6 Tripe Processing Substances (Category Code 3C)

These products are typically used in the denuding, bleaching, or neutralizing of tripe. Products containing
one or more of the substances listed in Table 6 are acceptable. The product may be used at a level sufficient
for the purpose, provided that the substance will be removed by subsequent rinsing with potable water
during dressing operations.

Table 6: Tripe processing substances

Substances
Hydrogen peroxide
Lime (calcium oxide, calcium hydroxide)
Sodium carbonate
Sodium gluconate
Sodium hydroxide
Sodium persulfate
Sodium silicates (ortho, meta and sesqui)

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5.7 Fruit and Vegetable Washing and/or Sanitizing Products (Category Codes 3D, 3DX)

5.7.1 Fruit and vegetable washing and/or sanitizing products (Category Code 3D)

These products are used for washing and/or sanitizing fruits and vegetables that are used as ingredients
of food products. Products shall be formulated and labeled in compliance with 21 CFR § 173.315, and
labels shall include information on recommended use levels and procedures for rinsing with potable water.
Products containing one or more of the substances listed in Table 7 or GRAS (21 CFR, Parts 182 or 184)
are acceptable upon review by NSF. Unless a limitation is stated, the use instructions shall state that the
“minimum amount sufficient for purpose” is to be used.

Table 7: Fruit and Vegetable Washing and/or Sanitizing Products

Substances Use instructions

A mixture of alkylene oxide adducts of alkyl alcohols and phosphate esters of
alkylene oxide adducts of alkyl alcohols consisting of: alpha-alkyl (C12-C18)-
omega-hydroxy-poly (oxyethylene) (7.5-8.5 moles) / poly (oxypropylene)
block copolymer having an average mol. wt. of 810; alpha-alkyl (C12-C18)- Not to exceed 0.2% in lye
omega-hydroxypoly (oxyethylene) (3.3-3.7 moles) polymer having an peeling solution to assist
average mol. wt. of 380, and subsequently esterified with 1.25 moles in lye peeling of fruits and
phosphoric anhydride; and alpha-alkyl (C10-C12)-omega hydroxypoly vegetables.
(oxyethylene) (11.9-12.9 moles) / poly (oxypropylene) copolymer, having an
average mol. wt. of 810, and subsequently esterified with 1.25 moles
phosphoric anhydride
Aliphatic acid mixture consisting of valeric, caproic, enanthic, caprylic, and Not to exceed 1% in lye peeling
pelargonic acids solution.
Not to exceed 10 parts per
million (ppm) in wash water.
Polyacrylamide
Contains not more than 0.2%
acrylamide monomer.
Potassium bromide Minimum sufficient for purpose
Sodium n-alkylbenzene sulfonate (alkyl group predominately C12 and C13 and Not to exceed 0.2% in
not less than 95 percent C10 to C16) wash water.
Sodium dodecylbenzene-sulfonate (alkyl group predominately C12 and not
less than 95 percent C10 to C16) Minimum sufficient for
Sodium 2 ethyl-hexyl sulfate purpose
Sodium hypochlorite
Not to exceed 0.2% in wash
Sodium mono-and dimethyl naphthalene sulfonates (mol.wt.245-260)
water.

5.7.2 Ingredients for use in fruit and vegetable washing and/or sanitizing products (Category 3DX)

Chemicals or mixtures may be reviewed for use as ingredients in fruit and vegetable washing and/or
sanitizing products. Due to the nature of some ingredients, they may not be acceptable for use in some
types of compounds. The limitations associated with the NSF Registered ingredient can be found in the
NSF Registration Letter. Formulations containing NSF Registered ingredients are not considered NSF
Registered products. A separate application is required for each final product. Formulators using NSF
Registered ingredients need only identify the trade name, NSF Registration number, and concentration in
the finished product on the application form.

3DX ingredients must meet the formulary requirements of the 3D category specified above.

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5.8 Preflushing Agents for Casings (Category Code 3E)

These products are used to clean casings prior to usage and shall consist of ingredients that are GRAS (21
CFR, Parts 182 or 184). Thorough rinsing with potable water is required before contact is made with food
products.

5.9 Refining Agents for Rendered Fats (Category Code 3F)

These products are used as refining agents to separate fatty acids and glycerol in rendered fats. Products
containing one or more of the substances shown in Table 8 or GRAS (21 CFR, Parts 182 or 184) may be
acceptable upon review by NSF. These substances shall be eliminated during the process of
manufacturing.

Table 8: Refining Agents For Rendered Fats

Substances

Acetic acid
Bicarbonate of soda
Carbon (purified charcoal)
Caustic soda (sodium hydroxide)
Diatomaceous earth; Fuller's earth
Sodium carbonate
Tannic acid

5.10 Rendering Agents (Category Code 3G)

These products are typically used to aid in rendering animal fats. Acceptable ingredients include tricalcium
phosphate or trisodium phosphate.

5.11 Release Agents (Category Code 3H)

These products are used on grills, loaf pans, cutters, boning benches, chopping boards, or other hard
surfaces in contact with meat and poultry food products to prevent food from adhering during processing.
Acceptable ingredients include edible oils, mineral oil complying with 21 CFR Section 172.878, substances
that comply with GRAS sections 182 or 184, and defoaming agents complying with 21 CFR, Section
173.340 (a)(1) or (a)(2).

5.12 Denaturants (Category Codes 4A, 4B, 4C, 4D)

Denaturants formulated and labeled according to the following regulations may be acceptable for use:
food/feed additives (21 CFR, Parts 573 or 584), certifiable color additives (21 CFR, Parts 73 or 74), GRAS
(21 CFR, Parts 182 or 184), or other substances considered acceptable by the FDA Center for Veterinary
Medicine.

5.12.1 Denaturants for meat requiring tankage (Category Code 4A)

Products under this category are typically used for denaturing carcasses, parts thereof, meat, and meat
food products (other than rendered animal fat) condemned for pathology and intended for disposal only as
tankage. The label shall identify all ingredients. Products containing crude carbolic acid, cresylic
disinfectant, or a formulation consisting of 1 part FD&C Green No. 3, 40 parts oil of citronella, 40 parts liquid
detergent, and 40 parts water, may be acceptable upon NSF review.

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5.12.2 Denaturants for meat not intended for human food (Category Code 4B)

Products under this category are typically used for denaturing carcasses, parts thereof, meat, and meat
food products intended for disposal for purposes other than human food. Products marketed as aqueous
solutions may contain chemical preservatives and/or emulsifying agents regulated under the 21 CFR, Parts
172, 182, or 184. The label shall identify all ingredients. Products containing finely powdered Charcoal,
FD&C Blue No. 1, FD&C Blue No. 2, and FD&C Green No. 3, may be acceptable upon review.

5.12.3 Denaturants for poultry requiring tankage (Category Code 4C)

Products under this category are typically used for denaturing poultry and poultry products condemned for
pathology and intended for disposal only as tankage. The label shall identify all ingredients. Products
containing crude carbolic acid, fuel oil, kerosene, used crankcase oil, or phenolic disinfectants conforming
to commercial standard CS 70-41 or CS 72-41, may be acceptable based on review by NSF.

5.12.4 Denaturants for poultry not intended for human food (Category Code 4D)

Products under this category are typically used for denaturing poultry and poultry products intended for
disposal for purposes other than human food. Products marketed as aqueous solutions may contain
chemical preservatives and/or emulsifying agents regulated under the 21 CFR, Parts 172, 182, or 184. The
label shall identify all ingredients. Products containing FD&C Blue No. 1, FD&C Blue No. 2, FD&C Green
No. 3, FD&C Red No. 3, FD&C Red No. 40, and Ultramarine Blue, may be acceptable based upon review
by NSF.

5.13 Other substances requiring a letter of authorized use (Category Codes 5A, 5B, 5C)

5.13.1 Antifoaming agents (Category Code 5A)

Products containing dimethylpolysiloxane, other substances cleared for use under 21 CFR §173.340 (a)(1),
and (a)(2), or substances considered GRAS (21 CFR, Parts 182 or 184), may be acceptable to retard foam
in soups, stews, and rendered fats and curing pickle based on the limitations specified in 21 CFR §173.340
(a)(1) and (a)(2), upon review by NSF.

5.13.2 Feet and other edible part cleaning agents (Category Code 5B)

Products containing hydrogen peroxide or other GRAS substances (21 CFR, Parts 182 or 184) may be
acceptable to clean or treat animal feet or other edible parts, upon review by NSF. Substances must be
removed from product by rinsing with potable water.

5.13.3 Miscellaneous (Category Code 5C)

This category is intended for products that do not fit into established Category Codes. The applicant shall
stipulate the specific end use and directions on the application. These products shall be used in accordance
with the conditions set forth in the NSF Registration Letter. The decision as to whether a product needs to
be reviewed and registered by NSF shall be made on a case-by-case basis, and may include consultation
with the USDA, FDA, or both. The criteria used in the evaluation of these products shall be determined
based upon its intended use.

6 Product Specific Requirements – Nonfood Compounds

6.1 General Requirements

The following are subject to exclusion, at the discretion of NSF International:

• Intentionally added heavy metals:

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o Antimony
o Arsenic
o Cadmium
o Lead
o Mercury
o Selenium; and

• Other ingredients that are classified by NSF International as:

o Carcinogens
o Mutagens
o Teratogens
o Mineral Acids
o Odorous

Factors taken into consideration will be the percent by weight of the ingredient of concern, intended use of
the products, and potential risks associated with exposure.

6.2 Cleaning Products (A Category Codes)

The following requirements apply to all cleaning products under Category Codes A1, A2, A3, A4, A5, A6,
A7, and A8, unless specifically exempted.

• All food products and packaging materials shall be removed or carefully protected prior to usage.

• When used according to manufacturer’s instructions, cleaners shall not exhibit a noticeable odor
nor leave a visible residue. Pine oil is not acceptable for use in these products. If fragrant
ingredients are present in the cleaning product, the product shall undergo odor testing performed
by NSF International’s Chemistry Laboratory.

• The use of all cleaning compounds must be followed by a potable water rinse unless specifically
exempt according to the category-specific requirements below. Labels may not carry general
directions stating rinsing is not necessary, unless the directions also state that rinsing with potable
water is required when the product is used in a food processing facility.

• Boric acid, and salts thereof, may be used in products only at concentrations up to 90 percent in
association with strong acids, strong alkalis, soaps, or synthetic detergents.

• Products containing bacterial/enzyme cultures shall undergo Salmonella analysis performed by

NSF International’s Microbiology Laboratory.

• There is not a specific list of substances that may be used in cleaning products where there is no
possibility of food contact. Most substances generally used for this purpose in industry would be
acceptable. Substances that are categorically unacceptable for such use are listed among the
substances in Part 6.1 of these Guidelines.

6.2.1 General use (Category Code A1)

These products are used for general cleaning on all surfaces, or for use with steam or mechanical cleaning
devices in all departments. They are typically neutral or mildly alkaline products consisting of any
combination of soaps, detergents, wetting agents, emulsifiers, solubilizers, and common inorganic builders.
A potable water rinse is required after use.

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6.2.2 Soak tanks and steam/mechanical cleaning (Category Code A2)

These strongly alkaline products (containing in excess of 20 percent caustic soda or other ingredients with
the equivalent causticity) may be acceptable for use in soak tanks, or with steam or mechanical cleaning
devices in any department, upon review by NSF. A potable water rinse is required after use.

6.2.3 Acid cleaners (Category Code A3)

These acidic products consisting of mineral acids, organic acids, or acidic salts may be acceptable for use
in any department for the removal of rust, corrosion, scale, or other deposits that are not readily removed
by alkaline preparations. A potable water rinse is required after use.

6.2.4 Floor and wall cleaners (Category Code A4)

These general use cleaners for floors and walls may be acceptable based on NSF review. A potable water
rinse is required after use.

6.2.5 Floor and wall cleaners for subfreezing temperatures (Category Code A5)

Glycol or alcohol-based products may be acceptable for use on floors and walls in areas with subfreezing
temperatures, upon review by NSF. A potable water rinse is not required provided that the solution and
solubilized soil are effectively removed by wiping or wet vacuuming.

6.2.6 Scouring cleaners (Category Code A6)

Products containing abrasive materials such as silica, pumice, etc. may be acceptable based upon review
by NSF. Most substances generally used for the purpose in industry would be acceptable. Substances that
are categorically unacceptable for such use are listed among the substances in Part 6.1 of these
Guidelines. All odors or abrasive residue must be removed prior to using the cleaned surface for direct food
contact. A potable water rinse is required after use.

6.2.7 Metal cleaners and polishes for nonfood contact surfaces (Category Code A7)

Water-based or solvent-based metal cleaners and polishes may be acceptable for use on nonfood contact
surfaces for removing and/or preventing corrosion, only if they are used in a manner so that all odors
associated with the compounds have dissipated before food products or packaging materials are re-
exposed in the area. A potable water rinse is not required.

6.2.8 Degreasers or carbon removers for food cooking or smoking equipment, utensils, or other
associated surfaces (Category Code A8)

These caustic products generally contain cleaning solvents with objectionable odors at levels that are
inappropriate for general-purpose use. This category allows use of those required solvents to permit their
limited use on food cooking or smoking equipment, utensils, or other associated surfaces. These products
must be used in a manner so that all odors associated with their use are dissipated before food products
or packaging materials are re-exposed in the area. A potable water rinse is required after use.

6.2.9 Ingredients for use in cleaners (Category Code AX)

Chemicals or mixtures may be reviewed for use as ingredients in cleaners. Due to the nature of some
ingredients, they may not be acceptable for use in some types of compounds. The limitations associated
with the NSF Registered ingredient can be found in the NSF Registration Letter.

Formulations containing NSF Registered ingredients are not considered NSF Registered products. A
separate application is required for each final product. Formulators using NSF Registered ingredients need

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only identify the trade name, NSF Registration number, and concentration in the finished product on the
application form.

AX ingredients must meet the formulary requirements of the A categories specified above.

6.3 Products for Laundry Use (B Category Codes)

6.3.1 Laundry products for fabrics contacting food (Category Code B1)

Products in this category may be used on laundry shrouds or other fabrics used in the plant that may contact
meat or poultry products directly or indirectly. Acceptable ingredients include soaps, synthetic detergents,
alkaline builders, or any combination thereof. Fluorescent dyes or optical brighteners may also be added if
NSF has sufficient information on them to assure their safe use. Sours consisting of acetic acid, sodium
bisulfate, or other acceptable acidic materials may be acceptable to neutralize excess alkalinity in all
laundered fabrics. Chlorine or oxygen bleaches may be acceptable to remove stains or maintain whiteness
of all fabrics. In all cases, a potable water rinse sufficient to remove all added substances from the laundered
fabric is required. If fragrant ingredients are present in the laundry product, the product shall undergo odor
testing performed by NSF International’s Chemistry Laboratory.

6.3.2 Laundry products for fabrics not contacting food (Category Code B2)

In addition to the preparations referred to above, fabric softeners or antistatic agents and starches may be
used on uniforms or other fabrics that do not come in direct contact with food products. Most substances
generally used for this purpose in industry would be acceptable. Substances that are categorically
unacceptable for such use are listed among the substances in Part 6.1 of these Guidelines. A perfume or
other odorant may be used in these laundry products.

6.3.3 Ingredients for use in laundry products (Category Code BX)

Chemicals or mixtures may be reviewed for use as ingredients in laundry products. Due to the nature of
some ingredients, they may not be acceptable for use in some types of products. The limitations associated
with the NSF Registered ingredient can be found in the NSF Registration Letter.

Formulations containing NSF Registered ingredients are not considered NSF Registered products.
A separate application is required for each final product. Formulators using NSF Registered ingredients
need only identify the trade name, NSF Registration number, and concentration in the finished product on
the application form.

BX ingredients must meet the formulary requirements of the B categories specified above.

6.4 Products Used in Inedible Product and Non-Processing Areas (C Category Codes)

This category includes products such as odor control products, air deodorants or sanitizers, cleaning or
sanitizing products containing heavy perfume, pine oil, or other similar products containing odorous
substances. Spray and wipe-type products may be acceptable for use in non-processing areas only. These
products may be acceptable in areas of food processing facilities where edible products are neither
processed nor stored in open containers. This category also covers snow and ice melting products intended
for use in non-processing areas. Products containing isomers of dichlorobenzene or other substances toxic
by inhalation may be acceptable upon review of labeling use directions requiring ventilation. If products are
designed for use on equipment that shall be returned to a processing area, effective cleaning and/or rinsing
with potable water is required.

6.4.1 General (Category Code C1)

There are no specific additional requirements for this category. Most substances generally used for the
purpose in industry would be acceptable. Substances that are categorically unacceptable for such use are

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listed among the substances in Part 6.1 of these Guidelines. Products shall be evaluated on a case-by-
case basis.

6.4.2 Toilet/dressing room (Category Code C2)

Products designed for use in toilets and dressing rooms may be acceptable based on review of ingredients
and labeling by NSF. Most substances generally used for this purpose in industry would be acceptable.
Substances that are categorically unacceptable for such use are listed among the substances in Part 6.1
of these Guidelines.

6.4.3 Paint removers (Category Code C3)

There are no specific additional requirements for this category. Products shall be evaluated on a case-by-
case basis. Most substances generally used for this purpose in industry would be acceptable. Substances
that are categorically unacceptable for such use are listed among the substances in Part 6.1 of these
Guidelines.

6.4.4 Ingredients for use in inedible product and non-processing areas (Category Code CX)

Chemicals or mixtures may be reviewed for use as ingredients in inedible product areas and non-processing
areas. Due to the nature of some ingredients, they may not be acceptable for use in some types of products.
The limitations associated with the NSF Registered ingredient can be found in the NSF Registration Letter.

Formulations containing NSF Registered ingredients are not considered NSF Registered products.
A separate application is required for each final product. Formulators using NSF Registered ingredients
need only identify the trade name, NSF Registration number, and concentration in the finished product on
the application form.

CX ingredients must meet the formulary requirements of the C categories specified above.

6.5 Antimicrobial Agents (D Category Codes)

Products sold or distributed within the US shall be registered by the EPA for use in food establishments
and adequate documentation of that registration, including registered EPA labels, shall be provided to NSF
for review. The product label will be compared to the EPA master label for consistency during the review.

6.5.1 Antimicrobial agents always requiring a rinse (Category Code D1)

The products that do not fall under the D2 Guidelines listed below may be acceptable for use on hard, non-
porous food contact surfaces, such as equipment and utensils, based on review by NSF. Most substances
generally used for this purpose in industry would be acceptable. Substances that are categorically
unacceptable for such use are listed among the substances in Part 6.1 of these Guidelines.

The use of disinfectants on hard non-porous food contact surfaces, such as equipment and utensils, must
be followed by a potable water rinse. Such solutions must be used in a manner that does not result in the
contamination of food products subsequently processed and must be consistent with the directions on the
product’s label.

6.5.2 Antimicrobial agents not requiring a rinse (Category Code D2)

Sanitizing solutions may be used on hard non-porous food contact surfaces such as equipment and utensils
without a subsequent potable water rinse. Most substances generally used for this purpose in industry
would be acceptable. Substances that are categorically unacceptable for such use are listed among the

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substances in Part 6.1 of these Guidelines. Sanitizing solutions are used under the following conditions:

• Such surfaces are thoroughly drained, and any collection of liquid removed before contact with food
products is made; and

• The sanitizing solutions are used in accordance with the label’s directions.

6.5.3 Ingredients for use in antimicrobial products (Category Code DX)

Chemicals or mixtures may be reviewed for use as ingredients in antimicrobial products. Due to the nature
of some ingredients, they may not be acceptable for use in some types of products. The limitations
associated with the NSF Registered ingredient can be found in the NSF Registration Letter.

Formulations containing NSF Registered ingredients are not considered NSF Registered products.
A separate application is required for each final product. Formulators using NSF Registered ingredients
need only identify the trade name, NSF Registration number, and concentration in the finished product on
the application form.

DX ingredients must meet the formulary requirements of the D categories specified above.

6.6 Products for Employee Hand Care (E Category Codes)

If a hand care product is making an antimicrobial claim on the label and is intended for sale or distribution
in the US, registration with the FDA is required. Skin care products intended for use to prevent or mitigate
human disease by protecting healthy uncompromised skin from exposure to toxic chemicals and/or
pathogenic bacteria and viruses, shall also be registered with the FDA. Labeling shall conform to the Drug
Facts Box requirements and must include the listing of the active and inactive ingredients, as required by
FDA OTC regulations (21 CFR 201.66).

6.6.1 Handwashing products (Category Code E1)

These products are used for employee hand washing in food processing areas. Hands must be rinsed with
potable water after the use of the product and before handling food. Most substances generally used for
the purpose in industry would be acceptable. Substances that are categorically unacceptable for such use
are listed among the substances in Part 6.1 of these Guidelines. Color additives must be approved by the
FDA for their intended use (21 CFR § 73, 74, 81 or 82). Products shall be in liquid form and may not contain
perfumes that leave a residual odor on hands after rinsing. If fragrant ingredients are present in the
handwashing product, the product shall undergo odor testing performed by NSF International.

6.6.2 Handwashing and sanitizing products (Category Code E2)

These products are single step preparations designed to combine hand washing and sanitizing. Hands
must be rinsed with potable water after the use of the product and before handling food.

A handwashing and sanitizing product must be an FDA approved drug that is listed in the Approved Drug
Products with Therapeutic Equivalence Evaluations as an antiseptic handwash, or that contains an active
antimicrobial ingredient that is listed in the FDA Safety and Effectiveness for Health Care Antiseptics;
Topical Antimicrobial Drug Products for Over-the-Counter Human Use monograph. Color additives must
be approved by the FDA for their intended use (21 CFR § 73, 74, 81 or 82). The National Drug Code
identifier (NDC#), which serves as a universal product identifier for drugs, shall be provided to NSF to show
adequate documentation of FDA OTC Registration.

Data supporting product effectiveness as a hand sanitizer shall be provided to NSF. Efficacy testing shall
consist of an in vitro standardized time-kill method, that shows at least a three-log reduction within 30
seconds. Effectiveness against at least both Salmonella enterica ATCC 10708 and Staphylococcus aureus

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ATCC 6538 is necessary. Alternative test data, methods and organisms may be reviewed on a case-by-
case basis.

If fragrant ingredients are present in the hand sanitizing product, the product shall undergo odor testing
performed by NSF International.

6.6.3 Hand sanitizing products (Category Code E3)

These products may be used to sanitize the hands of employees handling food products without a
subsequent rinse. These sanitizing solutions may be used only after thoroughly washing hands with soap
or detergent and water, followed by rinsing with potable water.

A hand sanitizing product must be an FDA-approved drug that is listed in the Approved Drug Products with
Therapeutic Equivalence Evaluations as a hand sanitizer or that contains an active antimicrobial ingredient
that is listed in the FDA Safety and Effectiveness for Health Care Antiseptics; Topical Antimicrobial Drug
Products for Over-the-Counter Human Use monograph, or that is manufactured from those solutions
described in 21 CFR 178.1010. The inactive ingredients in the formulations shall comply with 21 CFR §
178, 182, 184, or 186. For products that are not formulated in accordance with
21 CFR § 178, 182, 184 or 186, adequate documentation should be provided to ensure residual amounts
on hands will not contribute to food adulteration (21 CFR § 170.39). The National Drug Code identifier
(NDC#), which serves as a universal product identifier for drugs, shall be provided to NSF to show adequate
documentation of FDA OTC Registration.

Data supporting product effectiveness as a hand sanitizer shall be provided to NSF. Efficacy testing shall
consist of an in vitro standardized time-kill method, that shows at least a three-log reduction within 30
seconds. Effectiveness against at least both Salmonella enterica ATCC 10708 and Staphylococcus aureus
ATCC 6538 is necessary. Alternative test data, methods and organisms may be reviewed on a case by
case basis.

If fragrant ingredients are present in the hand sanitizing product, the product shall undergo odor testing
performed by NSF International.

6.6.4 Hand creams, lotions and powders – non-processing areas (Category Code E4)

These products are intended to be used by employees at the end of the workday in bathrooms, dressing
rooms, and other non-processing areas. Labeling shall state that usage is intended for restrooms, dressing
rooms, and non-processing areas only. Powdered or abrasive hand cleaners may also fall into this category.
Most substances generally used for the purpose in industry would be acceptable. Substances that are
categorically unacceptable for such use are listed among the substances in Part 6.1 of these Guidelines.

Color additives must be approved by the FDA for their intended use (21 CFR § 73, 74, 81 or 82).

If this product is intended for use as a hand sanitizing product, it must be an FDA approved drug that is
listed in the Approved Drug Products with Therapeutic Equivalence Evaluations as an antiseptic handwash,
or that contains an active antimicrobial ingredient that is listed in the FDA Safety and Effectiveness for
Health Care Antiseptics; Topical Antimicrobial Drug Products for Over-the-Counter Human Use
monograph. Color additives must be approved by the FDA for their intended use (21 CFR § 73, 74, 81 or
82). The National Drug Code identifier (NDC#), which serves as a universal product identifier for drugs,
shall be provided to NSF to show adequate documentation of FDA OTC Registration.

Data supporting product effectiveness as a hand sanitizer shall be provided to NSF. Efficacy testing shall
consist of an in vitro standardized time-kill method, that shows at least a three-log reduction within 30
seconds. Effectiveness against at least both Salmonella enterica ATCC 10708 and Staphylococcus aureus
ATCC 6538 is necessary. Alternative data, methods, and organisms may be reviewed on a case-by-case
basis.

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6.6.5 Ingredients for use in hand care products (Category Code EX)

Chemicals or mixtures may be reviewed for use as ingredients in hand care products. Due to the nature of
some ingredients, they may not be acceptable for use in some types of products. NSF review and approval
is based on the FDA approval for certain products. The limitations associated with the NSF Registered
ingredient can be found in the NSF Registration Letter.

Formulations containing NSF Registered ingredients are not considered NSF Registered products. A
separate application is required for each final product. Formulators using NSF Registered ingredients need
only identify the trade name, NSF Registration number, and concentration in the finished product on the
application form.

EX ingredients must meet the formulary requirements of the E categories specified above.

6.7 Pesticides (F Category Codes)

The following general requirements apply to all products listed under Category Codes F1, F2, F3, F4, and
F5, unless specifically exempted:

• Products, sold or distributed within the US, shall be registered by the EPA for use in food
establishments, and adequate documentation of that registration, including registered labels, shall
be provided to NSF for review;

• Granular or powdered products shall be colored a distinct blue or green to distinguish the
pesticide from edible substances unless they are in labeled dispenser containers, or do not have
the characteristics of food products (e.g., dry baits that are pressed into distinct cakes or pellets);
and

• Granular or powdered pesticides such as borax, boric acid, derris or cube root, silica aerogel, and
sodium fluoride mixed with inert ingredients such as clay, sugar, or talc, may be acceptable for
use for the control of flies, roaches, or other insects in inedible product areas or outside premises
under circumstances that absolutely prevent contact with food products.

6.7.1 Nonresidual pesticides (Category Code F1)

Contact sprays, space sprays, aerosols, and so-called "knockdown" sprays containing pesticides not having
residual killing action, may be acceptable for use. Nonresidual insecticides such as pyrethrins, pyrethrum
extract, and synthetic pyrethroids, may be acceptable for use based on review by NSF. Synergists such as
piperonyl butoxide and n-octyl bicycloheptane dicarboximide (MGK 264), each singly or in combination,
may be acceptable for use with nonresidual insecticides.

6.7.2 Residual pesticides (Category Code F2)

These products are generally restricted to inedible product areas or outside premises where exposed food
products are neither processed nor stored in open containers. They may be used in edible product areas
for crack and crevice treatment, provided applicable directions appear on the product label. Such use is
acceptable if the pesticide is applied after processing operations have ended, exposed food products and
packaging materials are removed or protected, the treated area is ventilated and cleaned thoroughly before
processing operations are resumed, and the treated cracks and crevices are sealed.

Acceptable insecticides include:

• Acephate
• Diazinon
• Baygon

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• Dichlorvos
• Chlorpyrifos
• Propetamphos
• Cyfluthrin
• Residual synthetics

6.7.3 Rodenticides (Category Code F3)

These products are typically not allowed to be placed in edible product areas until operations have ceased
for the day and all uncovered products have been removed from the area. Rodenticides such as those
listed below may be acceptable for use, based on review by NSF:

• 3-(alpha-Acetonylfurfuryl)-4-hydroxycoumarin (Fumarin)
• Brodifacoum
• Bromadiolone
• 2-Isovaleryl-l, 3-indandione (PMP, Valone)
• 2-Isovaleryl-1, 3-indandione, calcium salt
• 2-Pivalyl-l, 3-indandione (Pival)
• 2-Pivalyl-l, 3-indandione, sodium salt (Pivalyn)
• Warfarin [3-alpha-(Acetonylbenzyl)-4-hydroxycoumarin]
• Warfarin, sodium salt

6.7.4 Fumigants (Category Code F4)

Hydrocyanic acid gas, methyl bromide gas, or phosphine gas generated from aluminum phosphide may be
acceptable for use for the eradication of insects specified on the registered pesticide label. Hydrocyanic
acid gas and methyl bromide gas may also be acceptable for the eradication of rodents specified on the
registered pesticide label. Uncooked cured ham and bacon, cooked sausage, or packaged products need
not be removed during use.

6.7.5 Fumigants (Category Code F5)

Gases other than those specified under Category Code F4 are acceptable under this category. All edible
products and their packaging materials must be removed from the rooms to be fumigated. All food contact
surfaces must be rinsed with potable water before products are returned.

6.7.6 Ingredients for use in pesticides (Category Code FX)

Chemicals or mixtures may be reviewed for use as ingredients in pesticides. Due to the nature of some
ingredients, they may not be acceptable for use in some types of products. The limitations associated with
the NSF Registered ingredient can be found in the NSF Registration Letter. Formulations containing
NSF Registered ingredients are not considered NSF Registered products. A separate application is
required for each final product. Formulators using NSF Registered ingredients need only identify the trade
name, NSF Registration number, and concentration in the finished product on the application form.

FX ingredients must meet the formulary requirements of the F categories specified above.

6.8 Water Treatment Products (G Category Codes)

6.8.1 General potable water treatment products (Category Code G1)

Products shall be GRAS (21 CFR, Parts 182 or 184) for the intended use. Examples of operations requiring
potable water include cooking, fluming, and washing food.

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6.8.2 Phosphate potable water treatment products (Category Code G2)

Products shall be GRAS (21 CFR, Parts 182 or 184) for the intended use. The concentration of phosphate
in the treatment water, when prepared according to manufacturer’s instructions, shall not exceed 10 ppm
(0.001%) as phosphate ion.

6.8.3 Silicate potable water treatment products (Category Code G3)

Products shall be GRAS (21 CFR, Parts 182 or 184) for the intended use. The concentration of silicates in
the treatment water, when prepared according to manufacturer’s instructions, shall not exceed 10 ppm
(0.001%) as silicon dioxide.

6.8.4 Chlorine potable water treatment products (Category Code G4)

Products shall be GRAS (21 CFR, Parts 182 or 184) for the intended use. Chlorine used in the system may
be derived only from chlorine gas, electrolytically generated hypochlorous acid, or sodium or calcium
hypochlorite. Concentrations shall meet the following:

• The concentration of chlorine in the processing water, when prepared according to

manufacturer’s instructions, shall not exceed 5 ppm (0.0005%) as available chlorine;

• The concentration of chlorine in poultry chiller intake and carcass wash water, when prepared
according to manufacturer’s instructions, shall not exceed 50 ppm (0.005%);

• The concentration of chlorine in trimmed or reprocessed poultry water, when prepared according
to manufacturer’s instructions, shall not exceed 20 ppm (0.002%); and

• Chlorine dioxide generated by treating an aqueous solution of sodium chlorite with either chlorine
gas or a mixture of sodium hypochlorite and hydrochloric acid may be used as an antimicrobial
agent in poultry chiller water only. The additive may not exceed 3 ppm (0.0003%) residual
chlorine dioxide (21 CFR § 173.300).

6.8.5 Cooling and retort water treatment products – all food processing areas (Category Code G5)

These products are used to treat cooling and retort water in and around food processing areas. There is no
specific list of substances that may be used in retort water, washing spray, or cooling water for canned
products. Most substances generally used for this purpose in industry would be acceptable. Substances
that are categorically unacceptable for such use are listed among the substances in Part 6.1 of these
Guidelines.

6.8.6 Boiler treatment products – all food processing areas/food contact (Category Code G6)

These products are used for treating boiler and steam lines where the steam produced may contact edible
products and/or cooling systems where the treated water may not contact edible products in and around
food processing areas. Products shall consist of ingredients that are GRAS(21 CFR, Parts 182 or 184) or
substances cleared under 21 CFR § 173.310 and labeling shall include the directions for use as required
under the FFDCA. In situations where products are prepared to custom specifications of individual
customers, or it is infeasible to include an ingredient statement and use directions on the container label,
the information may be supplied to users in such forms as control charts, technical bulletins, services
reports, or other written communications. In those cases, a copy of the supplementary information shall be
supplied to NSF.

6.8.7 Boiler treatment products – all food processing areas/nonfood contact (Category Code G7)

These products are used for treating boilers, steam lines, and/or cooling systems where neither the treated
water nor the steam produced may contact edible products in and around food processing areas. No

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specific list exists of substances that may be used to treat water in boilers or steam lines that produce or
carry steam for purposes other than direct food contact, or water in cooling systems that indirectly cool food
products or substances that may be incorporated into a food product. However, examples include water or
steam used in a steam-jacketed kettle, or cooling water that passes through a jacketed kettle. Most
substances generally used for this purpose in industry would be acceptable. Substances that are
categorically unacceptable for such use are listed among the substances in Part 6.1of these Guidelines.

6.8.8 Ingredients for use in water treatment products (Category Code GX)

Chemicals or mixtures may be reviewed for use as ingredients in water treatment products. Due to the
nature of some ingredients, they may not be acceptable for use in some types of products. The limitations
associated with the NSF Registered ingredient can be found in the NSF Registration Letter.

Formulations containing NSF Registered ingredients are not considered NSF Registered products.
A separate application is required for each final product. Formulators using NSF Registered ingredients
need only identify the trade name, NSF Registration number, and concentration in the finished product on
the application form.

GX ingredients must meet the formulary requirements of the G categories specified above.

6.9 Lubricants (H Category Codes)

These products are used on food processing equipment as a protective anti-rust film, as release agents on
gaskets or seals of tank closures, and as lubricants for machine parts and equipment.

6.9.1 Lubricants with incidental food contact (Category Code H1)

Preparations permitted for use as lubricants and anti-rust agents, or as release agents on gaskets or seals
of tank closures, where there is a possibility of incidental food contact, shall be formulated in compliance
with 21 CFR § 178.3570 and other sections referenced therein. Confirmation of compliance to 178.3570 or
other applicable CFR sections for each ingredient in the formulation may expedite the review. The amount
used should be the minimum required to accomplish the required technical effect on the equipment so
treated. When a product is used as an anti-rust film, it shall be removed by washing or wiping before putting
the equipment back into service. A product registered to the H1 category cannot be dual registered to the
H2 category.

6.9.2 Lubricants with no food contact (Category Code H2)

These products are used on equipment and machine parts in locations where there is no possibility of the
lubricant or lubricated part contacting edible products. There is not a specific list of substances that may be
used. Most substances generally used for the purpose in industry would be acceptable. Substances that
are categorically unacceptable for such use are listed among the substances in Part 5.1 of these Guidelines.
These products must be labeled to clearly indicate that there is no possibility of food contact.

A product registered to the H2 category cannot be dual registered to the H1 category.

6.9.3 Soluble oils (Category Code H3)

These products are used to prevent rust on hooks, trolleys, and similar equipment. Treated equipment that
contacts edible products shall be cleaned by washing or wiping before putting the equipment back into
service.

Acceptable ingredients include edible oils, substances complying with 21 CFR § 172.860, mineral oil
complying with 21 CFR § 172.878, substances that comply with GRAS (21 CFR, Parts 182 or 184), and
defoaming agents complying with 21 CFR § 173.340 (a)(1) and (a)(2).

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Products may be composed of any of the following:

• Edible oils (corn oil, cottonseed oil, soybean oil) complying with 21 CFR § 172.860;

• Mineral oil complying with 21 CFR § 172.878;

• GRAS substances complying with 21 CFR, Parts 182 (multi-purpose only) or 184.

6.9.4 Ingredients for use in lubricants (Category Code HX-1, HX-2, HX-3)

Chemicals or mixtures may be reviewed for use as ingredients in lubricants. Due to the nature of some
ingredients, they may not be acceptable for use in some types of products. The limitations associated with
the NSF Registered ingredient can be found in the NSF Registration Letter.

Formulations containing NSF Registered ingredients are not considered NSF Registered products. A
separate application is required for each final product. Formulators using NSF Registered ingredients need
only to identify the trade name, NSF Registration number, and concentration in the finished product on the
application form.

HX-1: Ingredients for use in H1 lubricants (incidental food contact)

HX-2: Ingredients for use in H2 lubricants (nonfood contact)
HX-3: Ingredients for use in H3 lubricants (soluble oils)

HX-1 ingredients must meet the formulary requirements of the H1 category specified above.
HX-2 ingredients must meet the formulary requirements of the H2 category specified above.
HX-3 ingredients must meet the formulary requirements of the H3 category specified above.

6.10 Heat transfer fluids (HT Category Codes)

These products are used as heat transfer fluids in primary and secondary heating and cooling systems in
food processing facilities.

6.10.1 Heat transfer fluids with incidental food contact (Category Code HT1)

Preparations permitted for use as heat transfer fluids, where there is a possibility of incidental food contact
must be formulated in compliance with 21 CFR § 178.3570 and other sections referenced therein. The
amount used should be the minimum required to accomplish the required technical effect on the equipment
so treated.

6.10.2 Heat transfer fluids with no food contact (Category Code HT2)

These products are used on equipment and machine parts in locations where there is no possibility of the
heat transfer fluids or the part in contact with the heat transfer fluids contacting edible products. No specific
list exists of substances that may be used as heat transfer fluids where there is no possibility of food contact.
Substances that are categorically unacceptable for such use are listed among the substances in Part 6.1
of these Guidelines.

6.10.3 Ingredients for use in heat transfer fluids (Category Code HTX-1, HTX-2)

Chemicals or mixtures may be reviewed for use as ingredients in heat transfer fluids. Due to the nature of
some ingredients, they may not be acceptable for use in some types of products. The limitations associated
with the NSF Registered ingredient can be found in the NSF Registration Letter.

Formulations containing NSF Registered ingredients are not considered NSF Registered products.A
separate application is required for each final product. Formulators using NSF Registered ingredients need

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only to identify the trade name, NSF Registration number, and concentration in the finished product on the
application form.

HTX-1: Ingredients for use in HT1 heat transfer fluids (incidental food contact)
HTX-2: Ingredients for use in HT2 heat transfer fluids (no food contact)

HTX-1 ingredients must meet the formulary requirements of the HT1 category specified above.
HTX-2 ingredients must meet the formulary requirements of the HT2 category specified above.

6.11 Absorbents or anti-slip agents (Category Code J1)

These products are used for spot application on floors to correct a hazardous condition, and are typically
composed of clays, diatomaceous earth, other naturally occurring mineral substances, or sawdust. Sodium
chloride is not considered acceptable for this application.

The following general requirements apply to all such products:

• These compounds must be regularly removed as part of the routine floor cleaning operation;

• Product shall not promote microbial growth or harbor pests;

• Product shall not cause dusting under use conditions;

• Product shall not cause tracking or other objectionable conditions;

• Product shall not contain perfume or odorous substances.

The following requirement applies only to sawdust:

• In meat carcass holding coolers, a thin layer of clean, odorless sawdust may be acceptable for use,
provided that it is replaced weekly, or more often, if necessary

6.11.1 Ingredients for use in absorbents or anti-slip agents (Category Code JX)

Chemicals or mixtures may be reviewed for use as ingredients in absorbents or anti-slip agents. Due to the
nature of some ingredients, they may not be acceptable for use in some types of products. The limitations
associated with the NSF Registered ingredient can be found in the NSF Registration Letter.

Formulations containing NSF Registered ingredients are not considered NSF Registered products. A
separate application is required for each final product. Formulators using NSF Registered ingredients need
only to identify the trade name, NSF Registration number, and concentration in the finished product on the
application form.

JX ingredients must meet the formulary requirements of the J1 category specified above.

6.12 Specialty Cleaning Products (K Category Codes)

6.12.1 Cleaners and degreasers for use in non-processing areas (Category Code K1)

These products typically consist of hydrocarbon, chlorinated hydrocarbon, or other water immiscible
solvents, which are used to remove oil, wax, resinous materials, or other substances not removable using
acidic or alkaline cleaning agents. Most substances generally used for this purpose in industry would be
acceptable. Substances that are categorically unacceptable for such use are listed among the substances
in Part 6.1 of these Guidelines. Their use is limited to non-processing areas where there is no possibility of
solvent vapors entering a processing area. Food processing equipment or utensils treated with such

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preparations must be washed with an acceptable detergent solution, and thoroughly rinsed with potable
water before returning to a processing area.

6.12.2 Solvents for cleaning electronic instruments (Category Code K2)

These products typically consist of hydrocarbon, chlorinated hydrocarbon, or other water immiscible
solvents, for cleaning electronic instruments that will not tolerate aqueous cleaning solutions. Most
substances generally used for this purpose in industry would be acceptable. Substances that are
categorically unacceptable for such use are listed among the substances in Part 6.1 of these Guidelines.
Before using these compounds, food products and packaging materials must be removed from the area or
carefully protected. These compounds must be used in a manner so that all odors associated with the
compound are dissipated before food products or packaging materials are re-exposed in the area.

6.12.3 Adhesives or glue removers (Category Code K3)

These products typically consist of hydrocarbon, chlorinated hydrocarbon, or other water immiscible
solvents, for removing adhesive or glue from food packaging materials. Most substances generally used
for this purpose in industry would be acceptable. Substances that are categorically unacceptable for such
use are listed among the substances in Part 6.1 of these Guidelines. Before using these compounds, food
products and packaging materials must be removed from the area or carefully protected. After using these
compounds, all surfaces must be thoroughly washed with an acceptable detergent solution and rinsed with
potable water. These compounds must be used in a manner so that all odors associated with the compound
are dissipated before food products or packaging materials are re-exposed in the area.

6.12.4 Coil cleaners for use in food processing areas (Category Code K4)

These products must be used in such a manner that prevents direct or indirect contamination of edible
products. Most substances generally used for this purpose in industry would be acceptable. Substances
that are categorically unacceptable for such use are listed among the substances in Part 6.1 of these
Guidelines. Before using these compounds, food products and packaging materials must be removed from
the area or carefully protected. All odors associated with the compound must dissipate before food products
or packaging materials are re-exposed in the area.

6.12.5 Coil cleaners for use in nonfood processing areas only (Category Code K5)

These products must be used in such a manner that prevents direct or indirect contamination of edible
products. Most substances generally used for this purpose in industry would be acceptable. Substances
that are categorically unacceptable for such use are listed among the substances in Part 6.1 of these
Guidelines. This category includes products containing heavy perfume or other similar products containing
odorous substances.

6.12.6 Electronic instrument cleaners with incidental food contact (Category Code K6)

Preparations permitted for use as electronic instrument cleaners where there is a possibility of incidental
food contact must be formulated in compliance with 21 CFR, Section 178.3570 and other sections
referenced therein; ingredients may also comply with 21 CFR, Part 172 and GRAS (182 and 184). Such
compounds may be used to remove dirt, moisture, dust, flux, oxides, or other substances from the internal
components of electronic or precision equipment.

6.12.7 Ingredients for use in specialty cleaners (Category Code KX)

Chemicals or mixtures may be reviewed for use as ingredients in solvent cleaners. Due to the nature of
some ingredients, they may not be acceptable for use in some types of products. The limitations associated
with the NSF Registered ingredient can be found in the NSF Registration Letter.

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Formulations containing NSF Registered ingredients are not considered NSF Registered products.
A separate application is required for each final product. Formulators using NSF Registered ingredients
need only identify the trade name, NSF Registration number, and concentration in the finished product on
the application form.

KX ingredients must meet the formulary requirements of the K categories specified above.

6.13 Sewer and Drain Treatment Products (L Category Codes)

6.13.1 General sewer/drain cleaners (Category Code L1)

These products are used to clean sewers and drains and typically consist of strong acids or strong alkalis.
Most substances generally used for this purpose in industry would be acceptable. Substances that are
categorically unacceptable for such use are listed among the substances in Part 6.1 of these Guidelines.

6.13.2 Bacterial/enzyme drain and sewer treatments (Category Code L2)

These products are used to clean sewers and drains and contain bacteria or enzymes. Most substances
generally used for this purpose in industry would be acceptable. Substances that are categorically
unacceptable for such use are listed among the substances in Part 6.1 of these Guidelines.

6.13.2.1 Taxonomy

Manufacturers of products containing bacterial cultures shall provide to NSF a taxonomic identification
(identification by genus and species) of the cultures. Only defined and characterized strains of viable
microorganisms, that are not known to cause disease in healthy adult humans, will be considered for
Registration by NSF.

6.13.2.2 Salmonella

Analysis for Salmonella shall be performed by NSF International’s Microbiology Laboratory staff during the
initial formulation and label review of a new application. One method typically used is adapted from USP
61/62.

6.13.3 Ingredients for use in sewer and drain treatment products (Category Code LX)

Chemicals or mixtures may be reviewed for use as ingredients in sewer and drain treatment products. Due
to the nature of some ingredients, they may not be acceptable for use in some types of products. The
limitations associated with the NSF Registered ingredient can be found in the NSF Registration Letter.

Formulations containing NSF Registered ingredients are not considered NSF Registered products. A
separate application is required for each final product. Formulators using NSF Registered ingredients need
only to identify the trade name, NSF Registration number, and concentration within the finished product on
the application form.

LX ingredients must meet the formulary requirements of the L categories specified above.

6.14 Mold Release Agents (Category Code M1)

These products are used on the surface of molds for making food packaging that will contact food to prevent
the finished product from adhering to the mold. Products shall consist of ingredients that are GRAS (21
CFR Parts, 182 or 184) or substances that comply with 21 CFR 178.3860, 181.28, or any other applicable
sections in 21 CFR, and must meet any limitations that are referenced therein. The amount used on the
equipment should be the minimum required to accomplish the effect.

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6.15 Drying Agents (Category Code N1)

These products are used in dishwashers and various other products to maintain an environment of low
moisture. Products may be composed of substances complying with any of the following:

• GRAS for use in food or for the intended use (21 CFR Parts, 182, 184 or 186);

• Prior sanctioned (21 CFR § 181) for the intended use;

• Listed as an indirect food additive (21 CFR §§ 175-178) for the intended use; and

• Threshold of Regulation (21 CFR § 170.39).

6.16 Ozone Generators (Category O)

6.16.1 Ozone generators for use in food processing areas (Category Code O1)

These products are acceptable for use as ozone generating devices providing sanitation and disinfection
to hard non-porous, inanimate, pre-cleaned surfaces, in and around food processing areas. A potable water
rinse is not required following the use of these devices on previously cleaned hard surfaces, provided that
the surfaces are adequately drained before contact with food. Adequate documentation of U.S. EPA
registration of the manufacturing facility is required for registration (such as submittal of the EPA registration
number). Other documents necessary for registration include the product instruction manual and all product
labelling.

6.16.2 Miscellaneous products requiring a letter of authorized use (Category Code P1)

This category pertains to products that do not fit into other categories described in these Guidelines. NSF
formulation and label review of these products is based on the intended end use and directions. The
applicant shall stipulate the specific end use and directions on the application. These products shall be
used in accordance with the conditions set forth in the NSF Registration Letter. Ion-exchange resins
accepted under this category may be used in the treatment of process water if they are formulated and
used in compliance with 21 CFR § 173.25 of the food additives regulations.

6.16.3 Ingredients for use in miscellaneous products (Category Code PX)

Chemicals or mixtures may be reviewed for use as ingredients in miscellaneous products. Due to the nature
of some ingredients, they may not be acceptable for use in some types of products. The limitations
associated with the NSF Registered ingredient can be found in the NSF Registration Letter.

Formulations containing NSF Registered ingredients are not considered NSF Registered products. A
separate application is required for each final product. Formulators using NSF Registered ingredients need
only to identify the trade name, NSF Registration number, and concentration in the finished product on the
application form.

PX ingredients must meet the formulary requirements of the P1 category specified above.

6.17 Shell Egg Products (Q Category Codes)

These products are used to wash and destain shell eggs or may act as foam control agents in egg wash
waters. These products should consist of substances regulated for any purpose as food additives in
21 CFR, Parts 172-186. They may be used up to the maximum allowable concentration permitted by the
food additive regulations. Dyes and pigments, regulated as color additives for use in food, may also be
acceptable if they are used at levels not to exceed that specified in the color additive regulations. Shell eggs
are generally not allowed to stand or soak in water, thus immersion-type washers are not permitted by FSIS

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inspectors. References to a warm potable water rinse, with or without an EPA registered sanitizer, apply
only to eggs that are to be packaged for marketing in shell form. Shell eggs to be broken for immediate use
in the manufacture of egg products are exempt from the requirement for using warm water in rinsing and/or
sanitizing, as applicable.

6.17.1 Shell egg cleaning products (Category Code Q1)

A warm potable water spray rinse containing an EPA registered sanitizer is required after usage.

6.17.2 Shell egg destaining products (Category Code Q2)

Labeling shall state that the total time of the shell eggs in the destainer solution may not exceed 5 minutes.
Shell eggs must be rewashed, and spray rinsed with warm potable water containing an EPA registered
sanitizer. Destaining is permitted only after initial washing of the shell eggs is completed.

6.17.3 Shell egg sanitizing products – QAC (Category Code Q3)

These products shall be quaternary ammonium chloride (QAC) compounds that are incorporated in a warm
potable water spray rinse for use in sanitizing clean or freshly washed eggs. Products sold or distributed
within the US shall be registered by the EPA for use in food establishments, and adequate documentation
of that registration, including registered labels, shall be provided to NSF for review. Shell eggs that have
been sanitized with these products shall be subjected to a thorough potable water rinse only if they are
immediately broken for use in the manufacture of egg or egg containing products.

1) An aqueous solution containing n-alkyl (C12-C18) benzyldimethylammonium chloride compounds

having average molecular weights of 351 to 380. The alkyl groups consist principally of groups with 12
to 16 carbon atoms and contain no more than 1 percent each of groups with 8 and 10 carbon atoms.

Additionally, the aqueous solution may contain either ethyl alcohol or isopropyl alcohol as an optional
ingredient. The solution will provide, when ready to use, not more than 200 parts per million of the
active quaternary compound.

2) An aqueous solution containing equal amounts of n-alkyl (C12-C18) benzyldimethylammonium

chloride and n-alkyl (C12-C18) dimethyl ethylbenzylammonium chloride (having an average molecular
weight of 384). The solution will provide, when ready to use, not more than 200 parts per million of the
active quaternary compound.

3) An aqueous solution containing equal amounts of n-alkyl (C12-C18) benzyldimethylammonium

chloride and n-alkyl (C12-C14) dimethyl ethylbenzylammonium chloride (having average molecular
weights of 377 to 384), with the optional adjuvant substances tetrasodium ethylenediaminetetraacetate
and/or alpha – (p-nonylphenyl) – omega-hydroxypoly (oxyethylene) having an average poly-
(oxyethylene) content of 11 moles. Alpha-hydro-omega-hydroxypoly-(oxyethylene) poly-
(oxypropoylene) (15 to 18 mole minimum) poly-(oxyethylene) block copolymer, having a minimum
weight of 1,900 (CAS Registry No. 9003-11-6) may be used in lieu of alpha-(p-nonylphenyl)-omega-
hydroxypoly (oxyethylene) having an average poly-(oxyethylene) content of 11 moles. The solution will
provide, when ready to use, not more than 200 parts per million of active quaternary compound.

6.17.4 Shell egg sanitizing products – Chlorine (Category Code Q4)

These products shall be chlorine compounds that are incorporated in a warm potable water spray rinse for
use in sanitizing clean or freshly washed eggs. Products, sold or distributed within the US, shall be
registered by the EPA for use in food establishments and adequate documentation of that registration,
including registered labels, shall be provided to NSF for review. Shell eggs that have been sanitized with
these products may be broken for use in the manufacture of egg products without a prior potable water
rinse.

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1) An aqueous solution containing potassium, sodium, or calcium hypochlorite, with or without the
bromides of potassium, sodium, or calcium. The solution will provide not more than 200 parts per million
of available halogen determined as available chlorine.

2) An aqueous solution containing dichloroisocyanuric acid, trichloroisocyanuric acid, or the sodium

or potassium salts of these acids, with or without the bromides of potassium, sodium, or calcium. The
solution will provide not more than 100 parts per million of available halogen determined as available
chlorine.

6.17.5 Foam control products (Category Code Q5)

These products are typically used to control foam in egg washing machines. Shell eggs washed in water
containing this product type shall be immediately rinsed with warm potable water containing an EPA
registered sanitizer.

6.17.6 Shell egg sanitizing products – Iodine (Category Code Q6)

These products are iodine based and are typically incorporated in a warm potable water spray rinse for use
in sanitizing clean or freshly washed shell eggs. For freshly washed eggs, a rinse with warm potable water
is required prior to application of the compound. A subsequent rinse is not required. Products shall be
registered by the EPA for use in food establishments and adequate documentation of that registration,
including registered labels, shall be provided to NSF for review.

6.17.7 Ingredients for use in shell egg products (Category Code QX)

Chemicals or mixtures may be reviewed for use as ingredients in shell egg products. Due to the nature of
some ingredients, they may not be acceptable for use in some types of products. The limitations associated
with the NSF Registered ingredient can be found in the NSF Registration Letter.

Formulations containing NSF Registered ingredients are not considered NSF Registered products.
A separate application is required for each final product. Formulators using NSF Registered ingredients
need only to identify the trade name, NSF Registration number, and concentration in the finished product
on the application form.

QX ingredients must meet the formulary requirements of the Q categories specified above.

6.18 Coatings and Paints (R Category Codes)

6.18.1 Coatings for use on food contact surfaces used in processing, transporting or holding food
products (Category Code R1)

These coatings are typically used on food contact surfaces in food processing areas such as parts of
machinery or equipment where meat or poultry would be in repeated or continuous contact. Coatings shall
be formulated in compliance with 21 CFR §175.300.

6.18.2 Coatings for use on structural surfaces with no food contact (Category Code R2)

Coatings for use on structural surfaces such as floors, walls, and ceilings in food processing areas, where
there is no food contact, need not be formulated in strict compliance with FDA regulations. The coatings
must be applied in a manner that prevents direct or indirect contamination of edible products. Most
substances generally used for this purpose in industry would be acceptable. The outermost coating must
not contain regulated heavy metals as direct additives (with the exception of chromic oxide, which is water
insoluble). In addition, other substances that are categorically unacceptable for such use are listed among
the substances in Part 6.1 of these Guidelines.

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6.18.3 Ingredients for use in coatings (Category Code RX-1, RX-2)

Chemicals or mixtures may be reviewed for use as ingredients in coatings. Due to the nature of some
ingredients, they may not be acceptable for use in some types of products. The limitations associated with
the NSF Registered ingredient can be found in the NSF Registration Letter.

Formulations containing NSF Registered ingredients are not considered NSF Registered products.
A separate application is required for each final product. Formulators using NSF Registered ingredients
need only to identify the trade name, NSF Registration number, and concentration in the finished product
on the application form.

RX-1: Ingredients for use in R1 coatings (food contact)

RX-2: Ingredients for use in R2 coatings (no food contact)

RX-1 ingredients must meet the formulary requirements of the R1 category specified above. RX-2
ingredients must meet the formulary requirements of the R2 category specified above.

6.19 Sealants and Adhesives (S Category Codes)

This section covers such products as sealants and adhesives on food processing surfaces, where there is
a possibility of food contact. This section also covers such products as sealants and adhesives, where there
is a possibility of food contact.

6.19.1 Sealants for use on surfaces where there is possibility of food contact (Category Code S1)

Sealants for use on food contact surfaces shall be formulated in compliance with 21 CFR section 177.2600
and other sections referenced therein, or other 21 CFR sections allowing for food contact. Use must be
consistent with manufacturer’s directions and warnings. All odors associated with the compound must
dissipate before food products or packaging materials are re-exposed in the area.

6.19.2 Sealants for use on surfaces where there is no possibility of food contact (Category Code
S2)

The sealants must be applied in a manner such that there is no possibility of the sealant contacting edible
products. There is not a specific list of substances that may be used. Most substances generally used for
the purpose in industry would be acceptable. Substances that are categorically unacceptable for such use
are listed among the substances in Part 6.1 of these Guidelines. All odors associated with the compound
must dissipate before food products or packaging materials are re-exposed in the area.

6.19.3 Adhesives for use on food contact surfaces in and around food processing areas
(Category Code S3)

Adhesives for use on food contact surfaces shall be formulated in compliance with 21 CFR section 175.105
and other sections referenced therein, or other 21 CFR sections allowing for food contact. Use must be
consistent with manufacturer’s directions and warnings All odors associated with the compound must
dissipate before food products or packaging materials are re-exposed in the area.

6.19.4 Adhesives for use on surfaces where there is no possibility of food contact (Category
Code S4)

The adhesives must be applied in a manner such that there is no possibility of the adhesive contacting
edible products. There is not a specific list of substances that may be used. Most substances generally
used for the purpose in industry would be acceptable. Substances that are categorically unacceptable for

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such use are listed among the substances in Part 6.1 of these Guidelines. All odors associated with the
compound must dissipate before food products or packaging materials are re-exposed in the area.

6.19.5 Retaining compounds for use on surfaces where there is no possibility of food contact (Category
Code S5)

The compounds must be applied in a manner such that there is no possibility of the compounds contacting
edible products. There is not a specific list of substances that may be used. Most substances generally
used for the purpose in industry would be acceptable. Substances that are categorically unacceptable for
such use are listed among the substances in Part 6.1 of these Guidelines. All odors associated with the
compound must dissipate before food products or packaging materials are re-exposed in the area.

6.19.6 Thread locking compounds for use on surfaces where there is no possibility of food
contact (Category Code S6)

The compounds must be applied in a manner such that there is no possibility of the compounds contacting
edible products. There is not a specific list of substances that may be used. Most substances generally
used for the purpose in industry would be acceptable. Substances that are categorically unacceptable for
such use are listed among the substances in Part 6.1 of these Guidelines. All odors associated with the
compound must dissipate before food products or packaging materials are re-exposed in the area.

6.19.7 Construction adhesives for use on surfaces where there is no possibility of food contact
(Category Code S7)

The compounds must be applied in a manner such that there is no possibility of the compounds contacting
edible products. There is not a specific list of substances that may be used. Most substances generally
used for the purpose in industry would be acceptable. Substances that are categorically unacceptable for
such use are listed among the substances in Part 6.1 of these Guidelines. All odors associated with the
compound must dissipate before food products or packaging materials are re-exposed in the area.

6.20 Paper Towels for use in food processing areas (Category Code T1)

Dry paper towels without added cleaners shall only be used in a manner as to ensure they will have neither
direct nor indirect contact with food or potable water. There is not a specific list of substances that may be
used. Most substances generally used for the purpose in industry would be acceptable. Substances that
are categorically unacceptable for such use are listed among the substances in Part 6.1 of these Guidelines.

6.21 Metalworking Fluids (U Category Codes)

6.21.1 Surface lubricants used in the manufacture of metallic articles that contact food (Category
Code U1)

Preparations permitted for use as lubricants in the manufacture of metallic articles that contact food must
be formulated in compliance with 21 CFR 178.3910 (a) and other sections referenced therein. The amount
used should be the minimum required to accomplish the required technical effect on the surface so treated.

6.21.2 Cutting fluids with no food contact (Category Code U2)

These products are used in metal working processes within food facilities where there is no possibility of
the fluid contacting edible products. There is not a specific list of substances that may be used. Most
substances generally used for the purpose in industry would be acceptable. Substances that are
categorically unacceptable for such use are listed among the substances in Part 6.1 of these Guidelines.

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6.21.3 Ingredients for use in metalworking fluids (Category Code UX-1, UX-2)

Chemicals or mixtures may be reviewed for use as ingredients in metalworking fluids. Due to the nature of
some ingredients, they may not be acceptable for use in some types of products. The limitations associated
with the NSF Registered ingredient can be found in the NSF Registration Letter.

Formulations containing NSF Registered ingredients are not considered NSF Registered products.
A separate application is required for each final product. Formulators using NSF Registered ingredients
need only identify the trade name, NSF Registration number, and concentration in the finished product on
the application form.

UX-1: Ingredients for use in U1 surface lubricants (incidental food contact)

UX-2: Ingredients for use in U2 cutting fluids (no food contact)

UX-1 ingredients must meet the formulary requirements of the U1 category specified above.
UX-2 ingredients must meet the formulary requirements of the U2 category specified above.

6.22 Reverse Osmosis Products (W Category Codes)

6.22.1 Reverse osmosis antiscalants for use in food processing areas (Category Code W1)

Antiscalants for use in reverse osmosis systems shall be used in a manner as to ensure they will have
neither direct nor indirect contact with food or potable water. A potable water flush is required after use.
There is not a specific list of substances that may be used. Most substances generally used for the purpose
in industry would be acceptable. Substances that are categorically unacceptable for such use are listed
among the substances in Part 6.1 of these Guidelines. Acceptability under this category does not include
use at water treatment facilities.

6.22.2 Reverse osmosis membrane sanitizers and disinfectants for use in food processing areas
(Category Code W2)

These products shall be used in a manner as to ensure they will have neither direct nor indirect contact
with food or potable water. A potable water flush is required after use. There is not a specific list of
substances that may be used. Most substances generally used for the purpose in industry would be
acceptable. Substances that are categorically unacceptable for such use are listed among the substances
in Part 6.1 of these Guidelines. Acceptability under this category does not include use at water treatment
facilities.

Products sold or distributed within the US shall be registered by the EPA for use in food establishments
and adequate documentation of that registration, including registered EPA labels, shall be provided to NSF
for review. The product label will be compared to the EPA master label for consistency during the review.

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ATTACHMENT A

SAMPLE REGISTRATION LETTER

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Example: Registration Letter

Date

Company Name
Address1
Address 2
City, State Country,

RE: Product Name

Category Code: XX
NSF Registration No. XXXXXX

NSF has processed the application for Registration of Product Name to the NSF Registration Guidelines
for Proprietary Substances and Nonfood Compounds 20XX, which are available upon request by contacting
nonfood@nsf.org. The NSF Nonfood Compounds Registration Program is a continuation of the USDA
product approval and listing program, which is based on meeting regulatory requirements, including FDA
21 CFR, for appropriate use, ingredient, and labeling review.

This section of the letter will include details on the category code(s) the product is registered to,
use limitations, specific use instructions (if applicable), and any limitations for sale of the product
in the United States of America.

NSF Registration of this product is current when the Category Code and Registration Mark appear on the
NSF-approved product label, and the Registered product’s name is included in the current NSF White Book
Listing of Nonfood Compounds on the NSF website (www.nsfwhitebook.org).

NSF Listing of all Registered Nonfood Compounds by NSF International is not an endorsement of those
compounds, or of any performance or efficacy claims made by the manufacturer.

Registration status may be verified at any time via the NSF website at www.nsfwhitebook.org. Please note,
the letter date reflects the most recent product review. NSF utilizes annual verification to ensure no changes
have been made to a Registered product. Changes in the formulation or label, without prior written consent
of NSF, will void Registration, and will supersede the online listing. Please contact your NSF Account
Manager or nonfood@nsf.org if you have any questions or concerns pertaining to this letter.

Sincerely,

Nonfood Compounds Program Director

NSF Nonfood Compounds Registration and Listing Program

Company No. XXXXX

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Example: Listing Suppression Letter

Date

Company Name
Address1
Address 2
City, State Country,

RE: Product Name

Category Code: XX
NSF Registration No. XXXXXX

NSF has processed the application for Registration of Product Name to the NSF Registration Guidelines
for Proprietary Substances and Nonfood Compounds 20XX, which are available upon request by contacting
nonfood@nsf.org. The NSF Nonfood Compounds Registration Program is a continuation of the USDA
product approval and listing program, which is based on meeting regulatory requirements, including FDA
21 CFR, for appropriate use, ingredient, and labeling review.

This section of the letter will include details on the category code(s) the product is reviewed to, use
limitations, specific use instructions (if applicable), and any limitations for sale of the product in the
United States of America.

This letter is the only confirmation that the formulation complies with the NSF Guidelines. At your request,
the product will not be listed on the NSF website. The product’s registration can be verified by contacting
NSF directly. Distributors’ brands can be sub-registered without disclosing the formulation by having
distributors specify the NSF Registration Number in their applications.

NSF Listing of all Registered Nonfood Compounds by NSF International is not an endorsement of those
compounds, or of any performance or efficiency claims made by the manufacturer.

Changes in formulation or label, without the prior written consent of NSF will void Registration.

Sincerely,

Nonfood Compounds Program Director

NSF Nonfood Compounds Registration and Listing Program

Company No. XXXXX

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ATTACHMENT B

SAMPLE LABEL

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Additional label information:

• The label with the Registration Mark must be submitted to NSF for approval prior to Registration.
• The Registration Number is provided at the time of successful Registration on the Registration
Letter.
• The category code(s), in which the product is registered, should be placed in the text box of the
NSF Registration Mark at the time of successful Registration.
• Specific questions on the size, color and location of the Registration mark can be sent to the
Program at nonfood@nsf.org.
• Additional label requirements for categories 3A, 3B, 3C, 3D, 4A, 4B, 4C, 4D, C1, C2, C3, D1, D2,
E1, E4, F2, F4, G6, G9, L2, Q2 can be found within these Registration Guidelines. The Registration
Mark (Table 3) shall be applied during the label application of the packaging of the Registered
product, or when new product labels, data sheets, or other literature are printed.

Label Requirements:

• Product Name
• Company Name
• NSF Registration Mark
• Category Code(s) (shall be added after the product has been Registered)
• Category specific requirements

Mockup labels are acceptable for review, as such, must contain all the relevant label information but
may not have final artwork or formatting. (Please see examples below).

Example: Example:
Mockup Label Production Label

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Annex Z

Certification Agreement

The Company shall:

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

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

• Make arrangements for:

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

• Personnel and subcontractors (if applicable);

• Investigation of complaints; and

• Participating by observers, if applicable;

• Assure that:

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

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

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

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

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

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

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

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

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

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

 Document actions taken.

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

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

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