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CPSC RIN: 3041-AC94 Publication ID: Fall 2023 
Title: Certificates of Compliance 

Section 14(a) of the Consumer Product Safety Act (CPSA), as amended by section 102 of the Consumer Product Safety Improvement Act of 2008 (CPSIA), requires that manufacturers (including importers) and private labelers of regulated products test and certify their products before importing for consumption or warehousing or before distributing.  Certificates of compliance must certify that consumer products are compliant with all applicable consumer product safety rules under the CPSA or similar rules, bans, standards, or regulations under any other Act enforced by the Consumer Product Safety Commission (CPSC). On November 18, 2008, the Commission published a direct final rule in the Federal Register (73 FR 68328) implementing sections 14(a), (b), and (g) of the CPSA, and limiting the parties who must issue certificates of compliance to the importer and, in the case of domestically produced products, the U.S. manufacturer. The rule, now codified at 16 CFR part 1110, did not place obligations on private labelers. On December 5, 2012, staff sent to the Commission for consideration a proposed rule to amend part 1110. The proposed rule would: (1) clarify certificate requirements in light of rules on testing and labeling and component part testing; (2) require that electronic certificates be filed at the time of entry for imported products; and (3) place the obligation to certify domestically produced products on the domestic manufacturer or private labeler (for products that are privately labeled as defined by the CPSA). Staff sent a revised draft proposed rule to the Commission on March 13, 2013. The Commission voted to approve publication in the Federal Register of the draft proposed rule, with changes. The comment period ended on July 29, 2013. One focus of the proposed rule was a requirement that importers file certificates electronically with Customs and Border Protection (CBP) at the time of filing the CBP entry or the time of filing the entry summary, if both are filed together. Work on the amendment of 16 CFR 1110 was put on hold while the Commission tested electronic filing of certain targeting and enforcement data (Alpha Pilot), conducted a certificate study to better understand how the presence of certificates and the data on certificates are associated with a product's compliance with CPSC regulations, and considered options for moving forward with rulemaking. On September 23, 2020, staff submitted a briefing package to the Commission, "CPSC Plan to Create an eFiling Program for Imported Consumer Products.”  Staff’s briefing package recommended a multiyear, four-phased approach to implement eFiling: (1) create and fund an eFiling program, (2) conduct an eFiling Beta Pilot, (3) continue rulemaking, and (4) dedicate ongoing resources.  On December 18, 2020, the Commission voted (4-0) to approve staff’s recommended plan.  Accordingly, as part of the eFiling project, staff will assess the 2013 NPR and comments in light of the work that has been done since 2013. In FY 2023, staff anticipates submitting a supplemental notice of proposed rulemaking by the end of the fiscal year.  In FY 2024, staff will collect data as part of an eFiling Beta Pilot.


Agency: Consumer Product Safety Commission(CPSC)  Priority: Substantive, Nonsignificant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Proposed Rule Stage 
Major: Undetermined  Unfunded Mandates: No 
CFR Citation: 16 CFR 1110   
Legal Authority: Pub. L. 110-314, sec. 3    15 U.S.C. 2063    5 U.S.C. 553   
Legal Deadline:  None
Action Date FR Cite
Staff Sends NPRM Briefing Package to Commission  12/05/2012 
Staff Sends Additional Information to Commission  03/14/2013 
Commission Decision  05/01/2013 
NPRM  05/13/2013  78 FR 28080   
NPRM Comment Period End  07/29/2013 
Notice of 09/18/2014 Workshop on Electronic Filing of Certificates of Compliance/Request for Comment  07/03/2014  79 FR 37968   
Workshop on Electronic Filing of Certificates of Compliance Scheduled  09/18/2014 
Comment Period End  10/31/2014 
Staff Sends Package to Commission  11/00/2023 
Regulatory Flexibility Analysis Required: Undetermined  Government Levels Affected: None 
Federalism: No 
Included in the Regulatory Plan: No 
International Impacts: This regulatory action will be likely to have international trade and investment effects, or otherwise be of international interest.
RIN Data Printed in the FR: No 
Agency Contact:
James Joholske
Director, Office of Import Surveillance
Consumer Product Safety Commission
4330 East West Highway,
Bethesda, MD 20814
Phone:301 504-7527