Your SlideShare is downloading. ×
  • Like
2012 Safety Academy: Testing and Certification
Upcoming SlideShare
Loading in...5
×

Thanks for flagging this SlideShare!

Oops! An error has occurred.

×

Now you can save presentations on your phone or tablet

Available for both IPhone and Android

Text the download link to your phone

Standard text messaging rates apply

2012 Safety Academy: Testing and Certification

  • 7,474 views
Published

CPSC experts and representatives of a law firm used this presentation to discuss testing and certification issues, component parts testing, and certificates of conformity.

CPSC experts and representatives of a law firm used this presentation to discuss testing and certification issues, component parts testing, and certificates of conformity.

Published in Business , Technology
  • Full Name Full Name Comment goes here.
    Are you sure you want to
    Your message goes here
    Be the first to comment
No Downloads

Views

Total Views
7,474
On SlideShare
0
From Embeds
0
Number of Embeds
6

Actions

Shares
Downloads
68
Comments
0
Likes
1

Embeds 0

No embeds

Report content

Flagged as inappropriate Flag as inappropriate
Flag as inappropriate

Select your reason for flagging this presentation as inappropriate.

Cancel
    No notes for slide
  • 09/25/12 This presentation was prepared by CPSC staff, has not been reviewed or approved by, and may not reflect the views of, the Commission.
  • 09/25/12 This presentation was prepared by CPSC staff, has not been reviewed or approved by, and may not reflect the views of, the Commission.
  • 09/25/12 This presentation was prepared by CPSC staff, has not been reviewed or approved by, and may not reflect the views of, the Commission.

Transcript

  • 1. Panel on Testing-2012• Safety Academy Mr. Randy Butturini CPSC Office of Hazard Identification & Reduction Ms. Mary House CPSC Office of General Counsel Mr. Quin Dodd Quin Dodd LLC
  • 2. U.S. Consumer Product Safety Commission The Basics of Required Consumer Product Testing and Certification Randy Butturini Mary House EXHR OGCThis presentation was prepared by CPSC staff, has not been reviewed or approved by, and may not reflect the views of, the Commission. 2
  • 3. CPSC Testing & Certification Requirements• All regulated consumer products must be tested and certified as compliant with applicable rules.• Testing regime broken into two categories: – Non-Children’s Products – Children’s Products• Only children’s products require third party testing. 3
  • 4. CPSC Testing & Certification Requirements No testing or certification is required for products that are not subject to a consumer product safety rule. 4
  • 5. What Law Governs Testing & Certification of Non-Children’s Products?Statutory Requirements:•Section 14(a)(1) of the CPSA – Requires regulated products to becertified based on a test of each product or a reasonable testingprogram.•Section 14(g) of the CPSA – Provides certificate content andavailability requirements. 5
  • 6. What Law Governs Testing & Certification of Non-Children’s Products?Regulatory Requirements:•16 CFR part 1109 – Provides for component part testing andreliance on another party’s testing or certification.•16 CFR part 1110 – Sets forth Commission’s rules on certificatecontent and availability. 6
  • 7. What Testing Requirements Exist for Non-Children’s Products?Regulated non-children’s products must be tested andcertified to meet applicable standards.Certification must be based on a test of: – each product; or – a reasonable testing program.Third Party Testing is NOT Required.Testing parties may conduct testing themselves or use anoutside testing laboratory. 7
  • 8. What Testing Requirements Exist for Non-Children’s Products?Reasonable Testing Program (RTP)• Some standards contain an RTP for their products.• General RTP for all regulated non-children’s products has not been defined by the Commission.Model of an RTP for non-children’s products:• Notice of proposed rulemaking for testing and labeling pertaining to certification at 75 FR 28336, 28362 (May 10, 2010): http://www.gpo.gov/fdsys/pkg/FR-2010-05-20/pdf/2010-11365.pdf. 8
  • 9. Example: Testing & Certification Requirements for an Adult Bicycle1. Determine whether this product is regulated by the CPSC. – http://www.cpsc.gov/businfo/regsbyproduct.html 2. List all applicable rules. – 16 CFR part 1512 9
  • 10. Example: Testing & Certification Requirements for an Adult Bicycle3. Arrange for testing (test each unit or test using a reasonable testing program).– First party test (you);– Third party test (someone else);– Third party test (testing laboratory); or– Third party test (CPSC-accepted testing laboratory).– Component part testing can be used by anyone. 10
  • 11. Example: Testing & Certification Requirements for an Adult Bicycle4. Collect test reports and other information in a certificate.5. “Enter into Commerce.” 11
  • 12. What Is a Children’s Product?Only children’s products subject to a children’s product safety ruleare required to be tested by a third party laboratory and certified.Children’s Product – designed or intended primarily for children 12years of age or younger. Consider four factors for age determination: • Statement by a manufacturer regarding intended use of a product, including labeling; • Whether product packaging, display, promotion, or advertising represents appropriate for use by children 12 and under; • Whether product recognized by consumers as intended for children 12 years and younger; and • Age Determination Guidelines for toys and play, http://www.cpsc.gov/BUSINFO/adg.pdf.Commission’s Interpretation – 16 CFR part 1200 12
  • 13. What Law Governs Testing & Certification of Children’s Products?Statutory Requirements:•Section 14(a)(2) of the CPSA – Requires children’s productssubject to a children’s product safety rule to be certified based ontesting conducted by a CPSC-accepted third party laboratory.•Section 14(i)(2)(B) of the CPSA – Requires periodic and materialchange testing.•Section 14(g) of the CPSA – Provides certificate content andavailability requirements. 13
  • 14. What Law Governs Testing & Certification of Children’s Products?Regulatory Requirements:•16 CFR part 1107 – Sets forth requirements for certification,material change, and periodic testing of regulated children’sproducts.•16 CFR part 1109 – Provides for component part testing andreliance on another party’s testing or certification.•16 CFR part 1110 – Sets forth Commission’s rules on certificatecontent and availability. 14
  • 15. What Testing Requirements Exist for Children’s Products?Children’s products are subject to three types of third partytesting under the rule: • Certification Testing; • Material Change Testing; and • Periodic Testing. 15
  • 16. What Testing Requirements Exist for Children’s Products? Certification Testing – 16 CFR § 1107.20Who needs to test?• Manufacturers, including importers, must submit samples to be tested to applicable standards by a CPSC-accepted third party laboratory listed on our website at: http://www.cpsc.gov/cgi-bin/labsearch/What gets tested?• Sufficient number of samples, or samples that are identical in all material respects to the finished product, or to component parts used in the finished product. 16
  • 17. What Testing Requirements Exist for Children’s Products? Certification Testing – 16 CFR § 1107.20When does testing need to be done?• Before importing product for consumption or warehousing or distributing in commerce.Why conduct the tests?• To provide a high degree of assurance that the samples selected and the tests conducted for certification purposes accurately demonstrate the ability of the children’s product to meet all applicable children’s product safety rules. 17
  • 18. Example: Testing & Certification Requirements for Children’s Raincoat1. Determine whether this product is regulated by the CPSC. – http://www.cpsc.gov/businfo/regsbyproduct.html 2. List all applicable rules: – 16 CFR part 1611 (vinyl plastic film) – Section 101 of the CPSIA (lead content) 18
  • 19. Example: Testing & Certification Requirements for Children’s Raincoat3. Arrange for testing by a CPSC-accepted testing laboratory.Different CPSC-accepted laboratories may be used for different tests.– http://www.cpsc.gov/cgi-bin/labsearch/– Component part testing can be used for certification testing. 19
  • 20. Example: Testing & Certification Requirements for Children’s Raincoat4. Collect test reports and other information in a CPC.5. “Enter into Commerce.” 20
  • 21. What Testing Requirements Exist for Children’s Products? Material Change Testing – 16 CFR § 1107.23What needs to be tested?•May test only the changed component part unless the changedpart could effect the entire product’s ability to comply withapplicable rules (e.g., small parts testing).•The number of samples submitted must be sufficient to providea high degree of assurance that the materially changedcomponent part or finished product complies with theapplicable children’s product safety rules.(Remember, component part testing is available for all testing.) 21
  • 22. What Testing Requirements Exist for Children’s Products? Material Change Testing – 16 CFR § 1107.23Material change testing requires third party testing of thematerially changed part or product, and reissuing the Children’sProduct Certificate.What is a material change?A material change in a product is a change: • in the product design or manufacturing process, including the sourcing of component parts, • which a manufacturer exercising due care knows, or should know, could affect the product’s ability to comply with the applicable children’s product safety rules. 22
  • 23. What Testing Requirements Exist for Children’s Products? Periodic Testing – 16 CFR § 1107.21Periodic testing must provide a high degree of assurance thatproducts manufactured since certification or the last periodictests are compliant.(Remember, component part testing is available for all testing.) 23
  • 24. What Testing Requirements Exist for Children’s Products? Periodic Testing – 16 CFR § 1107.21Maximum testing intervals:•One year;•Two years with a production testing plan; or•Three years using a testing laboratory accredited toISO/IEC 17025:2005(E).Recertification and material change testing can “reset” theperiodic testing interval. 24
  • 25. How Can I Use Component Part Testing? Component Part Testing non-children’s products children’s products 25
  • 26. How Can I Use Component Part Testing?Component Part Testing Rule – 16 CFR part 1109•Allows testing on component parts by any party.•Testing component parts of a product is voluntary.•Only finished products are required to be certified. 26
  • 27. How Can I Use Component Part Testing?Required certifiers (importers or domestic manufacturers) canrely on any combination of the following to certify a non-children’s or children’s finished product: • Component part test report(s); • Finished product test report(s); • Component part certificate(s); or • Finished product certificate(s). 27
  • 28. How Can I Use Component Part Testing?A finished product certifier relying on another party’s testing orcertification must exercise due care, which includes access torequired records (ref. section 1109(g)). 28
  • 29. What Certification Requirements Exist for Regulated Products? General Conformity Certificates (GCCs) – non-children’s products Children’s Product Certificates (CPCs) – children’s products 29
  • 30. What Certification Requirements Exist for Regulated Products?Certificates must be issued by:•Importer - products made outside the U.S.; or•Domestic manufacturer - products made in the U.S. 30
  • 31. What Certification Requirements Exist for Regulated Products?Certificates are not filed with CPSC. However, they must befurnished to CPSC or CBP upon request.Regulated products or shipments of regulated products must beaccompanied by a certificate.A copy of the certificate must also be furnished to distributorsand retailers. No requirement exists to provide certificates toconsumers.Certificates can be hard copy or electronic. 31
  • 32. What Certification Requirements Exist for Regulated Products?Certificate Content Requirements:•Identification of the product(s);•List each applicable consumer product safety regulation;•Identification of the certifying importer or domesticmanufacturer;•Contact information for the individual maintaining records oftest results;•Date(s) and place(s) where this product was manufactured;•Date(s) and place(s) when the product was tested forcompliance with each safety rule;•Identification of any third party laboratory on whose testing thecertificate depends. 32
  • 33. What Certification Requirements Exist for Regulated Products?For Examples and Additional Information on GCCs: http://www.cpsc.gov/BUSINFO/gcc.html on CPCs: http://www.cpsc.gov/businfo/cpc.html 33
  • 34. Are There Any Testing or Certification Exclusions?Small Batch Manufacturers – 14(i)(4) of the CPSA • Must Register on CPSC’s Website – www.saferproducts.gov • Exclusion From Some Third Party Testing Requirements • Must Certify ComplianceOrdinary Books and Paper-Based Materials • Do Not Require Third Party Testing • Must Certify with General Certificate of Compliance 34
  • 35. Are There Any Testing or Certification Exclusions?Metal Bicycle Components•Exempt from third party lead content testing, but must be compliant to 300ppm by weight.•Not exempt from third party testing to the bicycle standard or any otherapplicable rule.•Must Certify Compliance.ATVs • ONLY excluded from testing & certifying to the 100 ppm lead requirement. 35
  • 36. Are There Any Testing or Certification Exclusions? Exempt from Certification and Testing• Inaccessible Lead Component Parts (§ 1500.87).•Electronic Component Parts (§ 1500.88).•Materials determined not to exceed the lead content limits ofsection 101(a) of the CPSIA (§ 1500.91).•Inaccessible plastic component parts on children’s toys andchildcare articles are not required to be third party tested orcertified to meet phthalate content limits in section 108 of theCPSIA. 36
  • 37. Further Information CPSIA:http://www.cpsc.gov/about/cpsia/cpsia.html Small Business Ombudsman: http://www.cpsc.gov/businfo/smbus.html 37
  • 38. Practical Implications and Recommendations For Complying With The CPSC Testing and Certification and Component Part Testing Rules CPSC “Safety Academy” September 20, 2012 Quin Dodd, Esq. Law Offices of Quin D. Dodd, LLC quin@quindoddlaw.com
  • 39. Law Offices of Quin D. Dodd, LLCTesting and Certification Rule--Required Documents(Mandatory For Children’s Products Made After 2/08/13):1. Certificates (CPCs) (practically including test reports)2. Production/Periodic Test Plan at each manufacturing site: - Tests to be conducted and testing interval during production; - Procedure used to select “representative” samples for periodic testing and justification for number of samples selected; - How these and other factors (esp. manufacturing processes and conditions) impart a “HDOA” of continued compliance.1. Sample failure response (remedial actions undertaken)2. “Material changes” and responses thereto (probably requires a product specification—list of components, materials, etc.)3. Undue Influence policies and training docs4. If no Periodic/Production Test Plan, otherwise document HDOA5. Records must be kept for 5 years and provided (translated if necessary) to CPSC within 48 hours of request. (May want to be in local factory language to ensure understood and employed).
  • 40. Law Offices of Quin D. Dodd, LLCComponent Part Testing Rule--Required Documents(For All Products Subject to a Mandatory CPSC Standard Today;But Note the Rule is Voluntary):1. Identification of the component/product tested, including lot/batch number or other “information sufficient to identify the component parts or finished products”2. Identification of applicable CPSC standards3. Identification of test methods and sampling protocols used4. Date/date range when component/product tested5. Test reports, with test values (e.g., lead or phthalates ppm)6. Component/finished product certificate, (if supplier is certifying)7. Traceability: Identification of parties ordering tests; parties conducting tests and direct link of those tests to specific components/finished products8. Attestations (typically 3) by each supplier and IOR/DM supplier that “due care” as exercised to ensure continued compliance while component/product was in that company’s custody; and by lab that it followed correct testing/sampling procedures9. Memo or other document explaining Due Care is advisable
  • 41. Law Offices of Quin D. Dodd, LLCWhat’s Likely to Happen?• US Importers (esp. retailers) likely to require compliance with Testing and Certification Rule (CPCs for received components and/or products) by their (US and/or overseas) suppliers.• US Suppliers and overseas factories will likely then have burden of compliance (actions plus documents) with Testing and Certification and, practically speaking, Component Part Testing Rules…(“Dear Supplier: Effective February 8, 2013…”).• Default choice likely to be (should be) annual periodic testing w/”Production Testing Plan” (HDOA factors plus “some testing).• “Batch certification” “exception” to Periodic/Production Testing will likely be utilized, BUT HDOA still required.
  • 42. Law Offices of Quin D. Dodd, LLCWhat Is An IOR/DM To Do?• Categorize your products and determine which standards/testing apply.• Develop conscious, written testing protocols and supplier requirements—they can form the basis for docs required under CPSC Testing & Cert/Component Part Rules, and they are smart in any case.• Rely, wherever possible, on component testing and supplier certification of components/finished products.• Maximize all available flexibilities to reduce testing costs (e.g., materials exempt from lead/phthalates testing; alternative test methods where available, etc).
  • 43. Law Offices ofChecklist to Reduce Testing Costs: Quin D. Dodd, LLC• Are you a “small batch manufacturer”?• Are your products in fact “children’s products”?• If they are children’s products, are they exempt from toy; lead; phthalates; and small parts standards (and sharp points/edges and flammability tests)?• Are your products/components/materials exempt from lead/phthalates testing?• Are you maximizing “component” testing/certification?• Are you ordering most cost-effective testing/methods?• Do you have your own checklist to make sure all standards and testing and certification requirements are being met?
  • 44. Consumer Product Safety• CommissionMr. Dean W. Woodard U.S. CPSCDirector Office of Education, Global Outreach, and Small Business Ombudsman dwoodard@cpsc.gov business@cpsc.gov