Tech Watch: CPSC Publishes Proposed Rule for Electronic Filing (eFiling) of the Certificates of Compliance

On 8 December 2023, the U.S. Consumer Product Safety Commission (CPSC) published in the Federal Register the supplemental notice of proposed rulemaking (SNPR) to revise the Commission's rule regarding the Certificates of Compliance – 16 CFR 1110. The proposed changes are designed to bring the Certification rule into alignment with other CPSC regulations regarding testing and certification. Additionally, the SNPR introduces a proposal for the electronic filing (eFiling) of the certificates for the CPSC-regulated products and substances that are imported to be sold as finished products to the consumers, to be filed with the U.S. Customs and Border Protection (CBP).

In 2013, the CPSC sought to revise the Certification rule – 16 CFR 1110, aiming to align it with the testing rules for children's products under 16 CFR part 1107 and the component part testing under 16 CFR part 1109, while also introducing the requirement for electronic filing (eFiling) of certificates for imported consumer products with the CBP. Building on these 2013 proposals, the current SNPR aims to further amend part 1110. This latest revision seeks to integrate terminology and concepts from the 1107 and 1109 rules, expand the definition of “importer” to better address concerns about the product certifier’s control over and knowledge of the goods, permit private labellers to test and certify products and implement eFiling for all imported, CPSC-regulated consumer products and substances that are sold as finished products to the consumers. These updates are part of a continued effort to streamline compliance processes and enhance clarity while maintaining effective oversight of product safety.

The CPSC based on experience from the eFiling Alpha Pilot (2016), the Certificate Study (2017) and the current eFiling Beta Pilot has designed the eFiling System to reduce the burden and offer importers two methods for entering certificate data: the Full Message Set and the Reference Message Set via the Product Registry. With the Full Message Set, importers submit all certificate data directly through CBP's Automated Commercial Environment (ACE) system. The Reference Message Set, on the other hand, requires importers to first enter all certificate data into the CPSC Product Registry and then submit a unique ID through ACE. The CPSC Product Registry provides a user-friendly interface for importers or their designees to input certificate data, either individually, in batches using a CSV template or through an API for instantaneous entry. This registry not only allows importers to manage and view all submitted certificates but also enables them to grant varying levels of access to third parties like brokers or testing labs.

The SNPR broadens the definition of “importer” to include any entity the CBP allows to be an importer of record. The proposed rule also defines additional terms to develop the revised definition of “importer” in the SNPR, such as “importer of record,” “consignee,” and “owner or purchaser.” These definitions are based on CBP's definitions, found in 19 CFR 101.1 and Customs Directive 3530–002A, with slight changes to reflect CPSC's purposes.

Following are key revisions to the rule:

Certificate content:

The proposed rule retains the seven statutory data elements required by the current 16 CFR 1110 rule and includes one additional requirement – attestation. However, the SNPR provides additional detail on the required data elements.

The proposed rule will require the following content for each finished product certificate:

• Identify the finished product(s) covered by the certificate. Certifiers must provide at least one of the following unique identifiers: global trade item number (GTIN), model number, registered number, serial number, stock keeping number (SKU), universal product code (UPC) or alternate identifier, along with a sufficient description to match the finished product to the certificate
• The list of all applicable CPSC rules, regulations, bans or standards, identified separately, to which the finished product is being certified
• Identify the party certifying compliance with the finished product(s), including the party's name, street address, city, state or province, country or administrative region, electronic mail (email) address and telephone number
• Identify and provide contact information (consisting, at a minimum, of the individual's name, street address, city, state or province, country or administrative region, email address and telephone number) for the individual maintaining the records
• Provide the date (month and year, at a minimum) and place (including a manufacturer name, street address, city, state or province, country or administrative region, email address and telephone number) where the finished product(s) were manufactured, produced or assembled. For manufacturing runs over a series of days, provide the initial date of manufacture (month and year, at a minimum)
• Provide the most recent date and places (including the name of each third-party conformity assessment body or other party on whose testing the certificate depends: name, street address, city, state or province, country or administrative region, email address and telephone number) where the finished product(s) were tested for compliance with the applicable CPSC rule(s), ban(s), standard(s) or regulation(s)
• Include the following attestation:
  I hereby certify that the finished product(s) covered by this certificate comply with the rules, bans, standards, and regulations stated herein, and that the information in this certificate is true and accurate to the best of my knowledge, information, and belief. I understand and acknowledge that it is a United States federal crime to knowingly and willfully make any materially false, fictitious, or fraudulent statement, representation, or omission on this certificate.

eFiling:

The finished product certifier must eFile the General Certificate of Conformity (GCC) or Children's Product Certificate (CPC) data elements required under this rule in the ACE at the time of filing the CBP entry or the time of filing the entry and entry summary, if both are filed together for all imported products, including de minimis shipments.

In the case of finished products imported as a mail shipment, the finished product certifier must enter the GCC or CPC data elements required by this rule into the CPSC's Product Registry prior to the product or substance arriving in the United States.

Recordkeeping:

Currently, under the Testing and Labeling Pertaining to Product Certification rule (16 CFR 1107), a Children's Product Certificate (CPC) and its associated documents must be kept for a period of five years. Similarly, the SNPR proposes that General Certificates of Conformity (GCC) and their supporting records should be retained for five years from the date of their creation. This duration aligns with the five-year statute of limitations for initiating legal action regarding civil fines, penalties or forfeitures for violations of consumer product safety laws. Moreover, this proposed requirement for GCC recordkeeping would be consistent with the existing retention period mandated for CPCs.

Effective date:

The SNPR proposes a 120-day effective date for the final rule once the final rule is published in the Federal Register and seeks public comment on this proposed effective date.

The deadline for public comments for the SNPR is 6 February 2024.

Source:

Supplemental Notice of Proposed Rulemaking

Enquiry:

For questions and additional information, please contact Dr Pratik Ichhaporia (pratikichhaporia@eurofinsus.com,+1-669-837-2257) or David Hong (David.Hong@cpt.eurofinscn.com).