[Federal Register Volume 87, Number 112 (Friday, June 10, 2022)]
[Notices]
[Pages 35513-35520]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2022-12477]


=======================================================================
-----------------------------------------------------------------------

CONSUMER PRODUCT SAFETY COMMISSION

[Docket No. CPSC-2022-0020]


Electronic Filing of Certain Certificate of Compliance Data: 
Announcement of PGA Message Set Test and Request for Participants

AGENCY: Consumer Product Safety Commission.

ACTION: Notice.

-----------------------------------------------------------------------

SUMMARY: The U.S. Consumer Product Safety Commission (Commission or 
CPSC), in consultation with U.S. Customs and Border Protection (CBP), 
announce their joint intent to conduct a second test (a Beta Pilot) to 
assess the electronic filing of data from a certificate of compliance 
(certificate) for regulated consumer products under CPSC's 
jurisdiction. This electronic filing will be done via the Partner 
Government Agency (PGA) Message Set, to the CBP-authorized Electronic 
Data Interchange system known as the Automated Commercial Environment 
(ACE). In this notice, CPSC seeks Beta Pilot test participants. CPSC is 
also collecting comments on burden estimates for a proposed collection 
of information related to the Beta Pilot test, as required by the 
Paperwork Reduction Act of 1995.

DATES: 
    Beta Pilot Test Participation: Electronic requests to participate 
in the Beta Pilot test program and the Beta Pilot test IT project may 
be submitted on or before July 25, 2022. However, CPSC will consider 
applications to participate until reaching the Beta Pilot test capacity 
of no more than 50 participants.\1\ Additionally, CPSC will consider 
applications to volunteer for a Beta Pilot test IT project until the 
capacity of nine participants is filled. The Beta Pilot test will run 
until terminated by announcement in the Federal Register. CPSC intends 
to run the Beta Pilot test for at least 6 months. CPSC asks that each 
Beta Pilot test participant electronically file CPSC PGA Message Set 
certificate data, as described here, for at least 6 months. 
Participants may have staggered start dates, to accommodate onboarding 
all participants.
---------------------------------------------------------------------------

    \1\ CPSC will select fewer participants than the 100 initially 
proposed by staff in the 2020 Commission-approved eFiling Plan, 
available at: https://www.cpsc.gov/s3fs-public/CPSC-Plan-to-Create-an-eFiling-Program-for-Imported-Consumer-Products.pdf. Staff has 
determined, based on research on user-experience testing, that fewer 
participants of varying importer size are sufficient to test system 
capacity and to provide information to the Commission to implement a 
permanent eFiling requirement.
---------------------------------------------------------------------------

    Paperwork Reduction Act: Submit comments on the proposed collection 
of information by August 9, 2022 using the methods described below in 
the ADDRESSES section of this preamble.

ADDRESSES: 
    Beta Pilot Test Participation: Requests to participate in the Beta 
Pilot test and technical comments on CPSC's supplemental Customs and 
Trade Automated Interface Requirements (CATAIR) guideline (which will 
be made available on CBP.gov) should be submitted through electronic 
mail to: <a href="/cdn-cgi/l/email-protection#3356555a5f5a5d54435a5f5c4773504340501d545c45"><span class="__cf_email__" data-cfemail="97f2f1fefbfef9f0e7fefbf8e3d7f4e7e4f4b9f0f8e1">[email protected]</span></a>. Requests to participate in the Beta 
Pilot test should contain the subject heading: ``Beta Pilot: 
Application to participate in PGA Message Set Test.'' If you are also 
willing to volunteer to participate in the Beta Pilot test IT 
development project, described here, please indicate this in the 
application to participate in the Beta Pilot test. Technical comments 
on

[[Page 35514]]

CPSC's supplemental CATAIR guideline should contain the subject 
heading: ``Beta Pilot CATAIR Technical Comments.''
    Paperwork Reduction Act: You may submit comments, identified by 
Docket No. CPSC-2022-0020, by any of the following methods:
    Electronic Submissions: Submit electronic comments to the Federal 
eRulemaking Portal at: https://www.regulations.gov. Follow the 
instructions for submitting comments. CPSC typically does not accept 
comments submitted by electronic mail (email), except through https://www.regulations.gov. CPSC encourages you to submit electronic comments 
by using the Federal eRulemaking Portal, as described above.
    Mail/Hand Delivery/Courier Written Submissions: Submit comments by 
mail/hand delivery/courier to: Division of the Secretariat, Consumer 
Product Safety Commission, 4330 East West Highway, Bethesda, MD 20814; 
telephone: (301) 504-7479. Alternatively, as a temporary option during 
the COVID-19 pandemic, you can email such submissions to: <a href="/cdn-cgi/l/email-protection#aac9dad9c987c5d9eac9dad9c984cdc5dc"><span class="__cf_email__" data-cfemail="0f6c7f7c6c22607c4f6c7f7c6c21686079">[email protected]</span></a>.
    Instructions: All submissions must include the agency name and 
docket number for this notice. CPSC may post all comments without 
change, including any personal identifiers, contact information, or 
other personal information provided, to: https://www.regulations.gov. 
Do not submit electronically: confidential business information, trade 
secret information, or other sensitive or protected information that 
you do not want to be available to the public. If you wish to submit 
such information, please submit it according to the instructions for 
mail/hand delivery/courier written submissions.
    Docket: For access to the docket to read background documents or 
comments received, go to: https://www.regulations.gov, and insert the 
docket number, CPSC-2022-0020, into the ``Search'' box, and follow the 
prompts. A copy of the ``Supporting Statement'' for this burden 
estimate is available at: https://www.regulations.gov under Docket No. 
CPSC-2022-0020, Supporting and Related Material.

FOR FURTHER INFORMATION CONTACT: Questions regarding the Beta Pilot 
test, participation in the test, and the proposed collection of 
information should be directed to Arthur Laciak, eFiling Program 
Specialist, Office of Import Surveillance, U.S. Consumer Product Safety 
Commission, (301) 504-7516, <a href="/cdn-cgi/l/email-protection#385d5e515451565f485154574c785b484b5b165f574e"><span class="__cf_email__" data-cfemail="c7a2a1aeabaea9a0b7aeaba8b387a4b7b4a4e9a0a8b1">[email protected]</span></a>. Questions sent by 
electronic mail should contain the subject heading: ``Beta Pilot: 
Question re PGA Message Set Test.'' For technical questions regarding 
ACE or Automated Broker Interface (ABI) transmissions, or the PGA 
message set data transmission, please contact your assigned CBP client 
representative. Interested parties without an assigned client 
representative should submit an email to Steven Zaccaro at: 
<a href="/cdn-cgi/l/email-protection#6417100112010a4a0e4a1e05070705160b240706144a000c174a030b12"><span class="__cf_email__" data-cfemail="7a090e1f0c1f14541054001b19191b08153a19180a541e1209541d150c">[email protected]</span></a>.

SUPPLEMENTARY INFORMATION:

I. Background

A. Beta Pilot Test Purpose and Goal <SUP>2</SUP>
---------------------------------------------------------------------------

    \2\ On June 1, 2022, the Commission voted 4-0 to issue this 
notice.
---------------------------------------------------------------------------

    Preventing products that are not in compliance with safety 
requirements from reaching American homes was a primary impetus for 
passage of the Consumer Product Safety Improvement Act of 2008 (CPSIA) 
and remains a high priority of the CPSC. To improve the safety of 
imported consumer products, Congress mandated in the CPSIA that CPSC 
improve the targeting of violative imported products and enforcement of 
safety requirements, including by creating a Risk Assessment 
Methodology (RAM) and allowing CPSC to collect certificate data 
electronically up to 24 hours before arrival of an imported product. In 
furtherance of this mandate, in 2016, CPSC and CBP conducted a 
successful initial PGA Message Set test (the Alpha Pilot test) \3\ to 
collect certain targeting/enforcement data from a certificate that CPSC 
collected and placed into CPSC's RAM system at the time of entry 
filing, or entry summary filing, if both entry and entry summary were 
filed together.
---------------------------------------------------------------------------

    \3\ https://www.cpsc.gov/s3fs-public/eFiling_Alpha_Pilot_Evaluation_Report-May_24_2017.pdf?uK.UhjHabKD5yjQ.1w06tudrnvuuWIra, published April 
2017.
---------------------------------------------------------------------------

    The Alpha Pilot test was a 6-month joint initiative between CPSC 
and CBP that assessed the infrastructure and processes necessary for 
electronic filing (eFiling) of data, and successfully demonstrated the 
ability of eight U.S. importers, their customs brokers, CBP, and CPSC 
to work together to gather and electronically file these data at 
import. The Alpha Pilot test was small, having eight volunteer importer 
participants and involving several consumer products classified within 
a limited set of Harmonized Tariff Schedule (HTS) codes. The purpose of 
the Alpha Pilot was to test the trade's ability to use a Product 
Registry and submit certificate data through ABI, CBP's ability to 
collect and transfer PGA Message Set data to CPSC, and CPSC's ability 
to receive the data into the RAM. Because of the limited number of 
participants and eligible HTS codes, it was not feasible for CPSC to 
create algorithms to detect noncompliant products, or to develop the 
necessary internal enforcement procedures and processes for a permanent 
program. However, the Alpha Pilot test successfully demonstrated CPSC's 
ability to collect and use certificate data at the ports for 
enforcement purposes.
    To advance the Commission's consumer safety mission, on December 
18, 2020, the Commission approved staff's recommended plan to implement 
a permanent eFiling program at CPSC. In anticipation of a rulemaking to 
implement a permanent eFiling requirement for regulated consumer 
products, CBP and CPSC will conduct a Beta Pilot test, using 
certificate data provided through a PGA Message Set. The purpose of the 
Beta Pilot test is to build upon the Alpha Pilot test, develop and test 
the IT infrastructure necessary to support a full-scale eFiling 
requirement, inform CPSC's potential rulemaking, and develop internal 
procedures to support enforcement. The Beta Pilot test also will 
advance the concept of a ``single window'' to facilitate electronic 
collection, processing, sharing, and reviewing of trade data and 
documents required by CPSC during the cargo import process, and will 
assist CPSC to target imports more accurately to facilitate the flow of 
legitimate trade and enhance targeting of noncompliant trade.
    The Beta Pilot test also will assess CPSC and importer capabilities 
for electronically filing certificate data elements via the PGA Message 
Set and incorporating the data elements into CPSC's RAM to risk score 
and interdict noncompliant products. The Beta Pilot test will include 
more participants than the Alpha Pilot test (up to 50), add two 
additional data elements, and involve more varied consumer products 
under CPSC's jurisdiction, products classified under approximately 300 
HTS codes.\4\ Compared with the Alpha Pilot test, the Beta Pilot test 
will increase the number of test participants and entry lines,

[[Page 35515]]

allowing CPSC to develop, test, and implement processes and procedures 
for an eFiling requirement for all imported, regulated consumer 
products. CPSC plans to use the results from the Beta Pilot test to 
scale up IT systems to accept data for regulated consumer products; 
refine the required infrastructure for the real-time collection and use 
of data; develop internal and external procedures to supply, use, and 
maintain certificate data; and inform rulemaking that will require and 
make permanent eFiling certificate data.
---------------------------------------------------------------------------

    \4\ The products classified under the approximately 300 HTS 
codes that participants should expect to be tested in the Beta 
Pilot, include, but are not limited to: ATVs; durable infant or 
toddler products, such as baby carriages, cribs, and safety gates; 
children's furniture, backpacks, and school supplies; bicycle 
helmets; bicycles and other electric-powered cycles; clothing 
(sleepwear, outerwear, infant articles, potentially flammable adult 
clothing articles); drywall; fireworks; children's jewelry; 
lighters; liquid nicotine; mattresses; pacifiers and rattles; rugs; 
and toys. CPSC intends to flag the approximately 300 HTS codes that 
may require filing certificate data during the Beta Pilot test.
---------------------------------------------------------------------------

    Accordingly, CPSC anticipates that Beta Pilot test participants 
will help to develop, inform, and shape the permanent eFiling 
requirement for certificate data. CPSC seeks up to 50 importers of 
consumer products to participate in the Beta Pilot test, and a subset 
of up to nine Beta Pilot test participants to advise CPSC during the 
technology development (IT) phase of the project (Beta Pilot test IT 
volunteers), before the Beta Pilot test begins.

B. Background: CPSC's eFiling Initiative

    CPSC's eFiling initiative began in or around 2013, when the 
Commission issued a notice of proposed rulemaking (NPR) to update 
certificate requirements in 16 CFR part 1110 and to implement 
electronic filing of certificates under section 14(g)(4) of the CPSA. 
78 FR 28080 (May 14, 2013). The NPR proposed that importers of 
regulated consumer products be required to file certificates 
electronically with CBP at the time of entry filing, or at the time of 
entry summary filing, if both entry and entry summary are filed 
together. 78 FR at 28089, 28108. The Commission explained in the 
preamble to the 2013 NPR that the proposal would require data from a 
certificate to be filed electronically with CBP, and then transferred 
to CPSC's systems, to assist CPSC in enforcing the certificate 
requirement, and for use in targeting to identify potentially violative 
consumer products.
    Since the 2013 NPR, CPSC staff engaged public and industry 
stakeholders regarding eFiling, including participating in work groups 
and meetings, developing and conducting an eFiling Alpha Pilot test, 
and completing a certificate study.\5\ CPSC's eFiling initiatives, to 
date, suggest strong grounds for establishing a permanent eFiling 
program at CPSC. More than 12 years after the Commission first required 
certificates at import in 2009, staff continues to see a significant 
number of certificate violations with imported products. Data show that 
the lack of a timely certificate is a strong predictor of substantive 
violations in imported consumer products. Moreover, specific data on a 
certificate are associated with noncompliance.
---------------------------------------------------------------------------

    \5\ Since 2014, CPSC staff has engaged the public on CPSC's 
eFiling initiative many times, including: a public workshop on 
electronic filing of certificates, as included in proposed rule on 
Certificates of Compliance--September 18, 2014; webinars and 
meetings with CBP's Commercial Customs Operations Advisory Committee 
(COAC) Working Group--March 12, 2015, March 26, 2015, April 9, 2015, 
and May 13, 2015; Chairman Kaye Meeting with Members of the COAC 
1USG Subcommittee-CPSC Working Group--April 28, 2015; webinar with 
the Border Interagency Executive Council (BIEC)--September 16, 2015; 
working meetings with the Trade Support Network (TSN)--September 16, 
2015 and September 23, 2016; webinars to demonstrate the eFiling 
Product Registry--October 1, 2015 and February 25, 2016; kickoff 
meeting with eFiling Alpha Pilot participants--November 18, 2015; 
adult wearing apparel webinar on Enforcement Discretion Regarding 
GCCs for Adult Wearing Apparel Exempt from Testing with eFiling 
Alpha Pilot Participants--April 13, 2016; broker feedback meeting on 
eFiling with Bureau Veritas--August 4, 2016; public meeting for 
review and feedback on the eFiling Alpha Pilot with participants--
January 26, 2017.
---------------------------------------------------------------------------

    After the Alpha Pilot test, in 2017 and 2018, CPSC staff also 
completed a Certificate of Compliance Study \6\ to assess the 
correlation between the timing and availability of a certificate, as 
well as the specific data on a certificate, with finished product 
compliance. Staff found that a shipment was five times more likely to 
have a violation if a certificate was never provided to CPSC, and three 
times more likely to have a violation if a certificate was provided, 
but not within 24 hours of CPSC's request. The Certificate Study also 
identified which certificate data elements are most valuable for import 
targeting.
---------------------------------------------------------------------------

    \6\ https://www.cpsc.gov/s3fs-public/eFiling-Certificate-Study-Evaluation-Report-FINAL.pdf?dP0Vwp55DJO.iSQIBsPqTg07umCLIcKr, 
published August 2018.
---------------------------------------------------------------------------

    Building on the Alpha Pilot test and the Certificate Study, a Beta 
Pilot test will enable CPSC to develop RAM algorithms to triage the 
enormous amount of import data received from CBP to detect more 
effectively noncompliant consumer products arriving at ports of entry. 
The ability to use data and improved technology to detect noncompliant 
products is vital to focus CPSC's limited resources on effectively 
protecting consumers from noncompliant and hazardous consumer products. 
To that end, on September 23, 2020, CPSC staff submitted a briefing 
package titled, CPSC Plan to Create an eFiling Program for Imported 
Consumer Products (2020 eFiling Plan),\7\ for Commission consideration. 
Staff explained that currently, import staff requests certificates once 
a shipment has already been stopped for physical examination; and thus, 
staff cannot use the lack of a certificate, or certificate data, for 
targeting stops. Based on 12 years of experience enforcing certificate 
requirements, testing, and study, CPSC staff concluded that an eFiling 
program is critical to the agency's ability to intercept noncompliant 
imported consumer products. Staff concluded that electronically 
collecting certificate data at the time of import can enhance 
identification of high-risk products, improve risk assessment, and 
facilitate legitimate trade.
---------------------------------------------------------------------------

    \7\ https://cpsc.gov/s3fs-public/CPSC-Plan-to-Create-an-eFiling-Program-for-Imported-Consumer-Products.pdf?BYXOLX2gJmF4NaAN1LCMmqiXRISuaRkr=, published December 
2020.
---------------------------------------------------------------------------

    Staff's 2020 eFiling Plan recommended a multiyear, four-phased 
approach: (1) create and fund an eFiling program, (2) conduct an 
eFiling Beta Pilot test, (3) initiate rulemaking, and (4) dedicate 
ongoing resources. As described in section I.A, the Alpha Pilot test 
successfully demonstrated CPSC's ability to collect data for targeting 
into the RAM at the time of entry but involved only eight participants 
and limited HTS codes. The small Alpha Pilot test did not assess a 
full-scale system capacity, develop and test algorithms to detect 
noncompliant consumer products, or develop internal enforcement 
procedures. Accordingly, staff's plan proposed a Beta Pilot test before 
the permanent rollout of an eFiling program. The Beta Pilot test would 
include approximately 300 HTS codes prioritized for import, all 
certificate fields with potential risk-targeting value, and the option 
for importers to use a Product Registry (as provided in the Alpha Pilot 
test). The Beta Pilot test would test eFiling on a larger scale, to 
allow CPSC staff to assess and develop IT infrastructure, refine 
importer data entry content and methods, develop and optimize RAM 
algorithms, and develop CPSC internal processes and procedures for use 
in enforcement programs.
    On December 18, 2020, the Commission voted 4-0 to implement staff's 
recommended eFiling program as set forth in the 2020 eFiling Plan. 
Thus, the Commission approved the Beta Pilot test described in this 
notice, as well as staff's rulemaking efforts to make the eFiling 
program permanent.

[[Page 35516]]

C. The Automated Commercial Environment

    CPSC will conduct the Beta Pilot test in coordination with CBP, 
using CBP's Automated Commercial Environment (ACE) system. ACE is CBP's 
automated electronic system through which it collects importation and 
entry data, streamlining business processes and ensuring cargo security 
and compliance with U.S. laws and regulations. CBP has developed ACE as 
the ``single window'' for the trade community to comply with the 
International Trade Data System (ITDS) requirement established by the 
SAFE Port Act of 2006. For trade filers to submit data to ACE, it 
requires the use of an electronic data interchange system (EDI). One 
such system is the Automated Broker Interface (ABI) is a software 
interface to ACE. Commercial trade participants, or their licensed 
customs brokers acting on their behalf, can file entries in ACE using 
ABI to electronically file required import data with CBP. ABI transfers 
trade-submitted data into ACE. A PGA Message Set allows the trade to 
enter agency-specific data in one location, through ABI, and for PGAs 
to receive this additional trade-related data along with entry data.

II. Beta Pilot Test: Certificate Data

    Like the Alpha Pilot test, the Beta Pilot test will allow two 
different methods of filing certificate data using the PGA Message Set: 
(1) filing a minimum of seven data elements (Full PGA Message Set), or 
(2) filing only a reference to certificate data stored in a Product 
Registry maintained by CPSC (Reference PGA Message Set). Participants 
will submit certificate data for regulated finished products, either as 
the Full PGA Message Set or the Reference PGA Message Set, in ACE at 
the time of entry filing or entry summary filing if both entry and 
entry summary are filed together. CBP will then make available to CPSC 
the PGA Message Set data and its corresponding entry data, for CPSC's 
validation, risk assessment, and admissibility determinations at entry, 
thereby facilitating compliant trade as well as sharpening CPSC focus 
on noncompliant trade. CPSC will use the data to review consumer 
product entry requirements and allow for earlier risk-based 
admissibility decisions by CPSC staff. Additionally, because it is 
electronic, the PGA Message Set may eliminate the necessity for 
submission and subsequent handling of paper documents. Piloting 
electronic filing to transition away from paper-based filing is a 
priority initiative of the PGAs to meet the stated ``single window'' 
implementation timeline.

A. PGA Message Set

    To file data electronically with CBP, participants will file 
information required for eligible consumer products in CBP's ACE 
system. The proposed PGA Message Set test will evaluate, at the 
minimum, the electronic filing of CPSC's seven certificate data 
elements listed below for regulated consumer products:
    1. Identification of the finished product (may use reference to 
GTIN \8\ data for this element);
---------------------------------------------------------------------------

    \8\ GTIN stands for Global Trade Item Number and is managed by 
Global Standards 1 (GS1).
---------------------------------------------------------------------------

    2. Each consumer product safety rule to which the finished product 
has been certified;
    3. Date when the finished product was manufactured;
    4. Place where the finished product was manufactured, produced, or 
assembled, including the identity and address of the manufacturing 
party;
    5. Date when the finished product was most recently tested for 
compliance with the consumer product safety rule cited above;
    6. Parties on whose testing a certificate depends (meaning the name 
and contact information for the entity that conducted the testing); and
    7. A check box indicating that a required certificate currently 
exists for the finished product, as required by Sections 14 and 17 of 
the CPSA.
    These seven data elements from a certificate include all of the 
data elements tested in the Alpha Pilot, as well as two additional date 
fields, manufacture date and test date, which were not tested in the 
Alpha Pilot. Staff considers all seven data elements useful to improve 
the targeting of potentially violative products. Both individually and 
considered together, these data elements allow CPSC staff to create a 
unique set of rules in the RAM that can increase or decrease risk 
scores. Including, at the minimum, all seven data elements creates the 
most robust measures by which staff can interdict noncompliant products 
and also identify the lowest-risk importers and compliant products.\9\
---------------------------------------------------------------------------

    \9\ Two data elements required on a certificate that were not 
included in the Alpha Pilot test, the certifier and contact 
information, are also not included in the Beta Pilot test. These 
fields are duplicative because the certifier will always be the 
importer, and the name of the importer and the importer's (or 
broker's) contact information are already received from CBP on an 
entry form. Similarly, the Beta Pilot test will not include the 
place where a product is tested, because this information is already 
included in the name and contact information for a laboratory, 
information that is required in field 6.
---------------------------------------------------------------------------

    CPSC is drafting a supplemental CATAIR guideline on filing 
certificate data through the PGA Message Set that describes the 
technical specifications for filing during the Beta Pilot test, as well 
as the Product Registry and Reference PGA Message Set (described in 
section II.B below). The supplemental CATAIR guideline will be made 
available before the initiation of the Beta Pilot test and will be 
posted on http://www.cbp.gov/trade/ace/catair. Technical comments on 
CPSC's supplemental CATAIR guideline should be submitted in accordance 
with the instructions in the ADDRESSES section at the beginning of this 
notice.

B. CPSC Product Registry and Reference PGA Message Set

    The Product Registry concept arose out of discussions at CPSC 
staff's 2014 eFiling workshop and CPSC successfully tested this concept 
during the 2016 Alpha Pilot test. Other agencies have existing 
databases that can be referenced during the CBP entry process without 
having to re-enter repeatedly large amounts of data into ACE. Importers 
expressed concern about added costs and time to enter data for each 
regulated finished product with their entry, and the need for accurate 
data entry. Customs brokers also expressed concern about lack of access 
to the required data elements. For example, express carriers were 
concerned about meeting entry requirements during off-hour times when 
business personnel were unavailable for consultation. Stakeholders 
expressed concern that any requirement to re-enter large amounts of 
data, or lack of access to the required data, may slow the import 
process.
    After considering stakeholder comments and concerns, CPSC included 
a Product Registry as one of two filing options in the Alpha Pilot test 
to inform the Commission whether this concept alleviates some of the 
concerns expressed at the 2014 eFiling workshop. CPSC received positive 
feedback during the Alpha Pilot test regarding the Product Registry 
reducing burden for participants. Instead of filing a Full PGA Message 
Set for certificate data in ACE with entry each time a product was 
imported, participants can pre-file information into a Product 
Registry, maintained by CPSC, before filing an entry with CBP and 
reference this certificate data each time the product was imported 
thereafter, reducing data entry time and potential errors. Similarly, 
Beta Pilot test participants will be able to use the Product Registry 
to enter certificate data and to manage

[[Page 35517]]

those data, and importers with established databases or processes can 
provide information for many products electronically in a batch upload 
into the Product Registry.
    Once certificate data are filed in the Product Registry, filers 
will only need to provide a reference, or identifier, to the data using 
the PGA Message Set during the entry process, rather than entering all 
data multiple times for repeated importations of the same product. 
Participants who choose to use the Product Registry will need to 
provide their broker only with an identifier, and they will not need to 
provide all data elements for each product being imported. Based on the 
Alpha Pilot test experience, using the Product Registry should minimize 
data entry; reduce costs and filing time; and allow firms to manage, 
update, and re-use certificate data in the registry. The additional 
testing of the Product Registry should allow importers and CPSC to test 
the capacity of the Product Registry on a larger scale, including the 
ability to batch upload larger amounts of product data, a feature not 
tested in the Alpha Pilot test, as well as the entry and maintenance of 
two date fields. As in the Alpha Pilot test, use of the Product 
Registry in the Beta Pilot test will be voluntary.

III. Beta Pilot Test Participant Eligibility, Selection Criteria, and 
Responsibilities

    This document announces CPSC's plan, in consultation with CBP, to 
conduct a Beta Pilot test for the electronic filing of certificate data 
with CBP for regulated consumer products within CPSC's jurisdiction 
that are imported into the United States. Beta Pilot test participants 
will work with CPSC and CBP to refine electronic filing of data through 
the PGA Message Set, by filing all data elements in the PGA Message 
Set, or by using the Product Registry, and filing a reference to 
certificate data through PGA Message Set. CBP and CPSC are seeking 
small, medium, and large U.S-based importers with an assortment of 
products under CPSC jurisdiction to participate in the Beta Pilot test.
    To be eligible to apply as a test participant, the applicant must:
    <bullet> Import regulated consumer products within the Commission's 
jurisdiction;
    <bullet> File consumption entries and entry summaries in ACE, or 
have a broker who files in ACE;
    <bullet> Use a software program that has completed ACE 
certification testing for the PGA Message Set;
    <bullet> Be willing to participate in the Trade Support Network 
(TSN);
    <bullet> Provide oral and written feedback on all aspects of the 
Beta Pilot test as requested by CPSC, including information on costs to 
build to the requirements and time necessary to file certificate data; 
and
    <bullet> Work with CPSC and CBP to test electronic filing of data 
using ABI to file through the Message Set, or references to certificate 
data in the Product Registry.
    Because the feedback on the Beta Pilot test will be used to inform 
a rulemaking related to eFiling certificate data, participant feedback 
will be publicly available.
    CPSC, in consultation with CBP, will select approximately 30-50 
participants based on the eligibility requirements, application date, 
the number and type of consumer products imported, how applicants would 
file certificate data (Full PGA Message Set or Reference PGA Message 
Set), and the goal of having a diverse cross section of the trade 
community participate. The number and selection of participants will be 
at the discretion of CPSC and CBP, to meet the information requirements 
of the Beta Pilot test. Additionally, CPSC and CBP seek a subset of 
Beta Pilot test participants, not to exceed nine, to advise CPSC and 
CBP earlier in the project, during the IT development portion of the 
Beta Pilot test.
    CPSC anticipates that the benefits of participation in the Beta 
Pilot test may include, but will not necessarily be limited to:
    <bullet> Opportunity to work directly with CBP and CPSC in the pre-
implementation stage of the requirement to file certificate data;
    <bullet> Ability to provide feedback and experience that will 
inform the ultimate e-Filing requirements; and
    <bullet> Ability to trouble-shoot systems and procedures.

IV. Application Process

    Any party seeking to participate in the test should email their 
company name, contact information, importer of record number(s), filer 
code, and an explanation of how they satisfy the requirements for 
participation to the address listed at the beginning of this notice on 
or before July 25, 2022. However, CPSC will consider applications to 
participate until reaching the Beta Pilot test capacity of 50 
participants. Applicants interested in advising CPSC and CBP during the 
IT development portion of the Beta Pilot test should specify their 
interest in the email. Applicants may be contacted directly for 
additional information in connection with the selection process. 
Selected Beta Pilot test participants will be notified by email. 
Selected Beta Pilot test participants may have different starting 
dates. A firm providing incomplete information, or otherwise not 
meeting the participation requirements, will be notified by email and 
given the opportunity to resubmit the application. Applicants who are 
not selected also will be notified by email.

V. Test Duration

    Upon selection into the Beta Pilot test, test participants will be 
expected to begin work promptly, when requested, to assist CBP and CPSC 
to define and refine requirements. The eFiling portion of the Beta 
Pilot test is expected to begin in October 2023, but participants will 
begin planning for participation, including data requirement 
discussions with CPSC and IT development, much earlier, in fall 2022. 
When the test begins, Beta Pilot test participants will spend the first 
several weeks of the Pilot onboarding. Once onboarding is complete for 
all test participants, the Beta Pilot test is expected to run for at 
least 6 months, and will run until terminated by announcement in the 
Federal Register.\10\ Participants advising CPSC and CBP during the IT 
development will have the opportunity to onboard and test filing via 
the Full PGA Message Set and the Product Registry and Reference PGA 
Message Set before October 2023.
---------------------------------------------------------------------------

    \10\ The duration of the Beta Pilot test could be shorter than 
the 1 year approved in the 2020 eFiling Plan. Staff determined that 
a duration of 6 months may be sufficient to complete anticipated 
test metrics. Accordingly, the Beta Pilot test will run for at least 
6 months until the test is completed via a Federal Register notice 
of termination.
---------------------------------------------------------------------------

VI. Legal Authority

A. ITDS Goals and CBP's Authority To Conduct National Customs 
Automation Program Tests

    The ITDS is an electronic data interchange system whose goals 
include eliminating redundant information requirements, efficiently 
regulating the flow of commerce, and effectively enforcing laws and 
regulations relating to international trade by establishing a single 
portal system, operated by CBP, for the collection and distribution of 
standard electronic import and export data required by participating 
federal agencies. All federal agencies that require documentation for 
clearance or licensing the importation of cargo are required to 
participate in the ITDS. The Customs Modernization provisions in the 
North American Free Trade Agreement Implementation Act provide

[[Page 35518]]

the Commissioner of CBP with authority to conduct limited test programs 
or procedures designed to evaluate planned components of the National 
Customs Automation Program (NCAP), which includes ACE. The Beta Pilot 
PGA Message Set test described in this notice is in furtherance of the 
ITDS and NCAP goals.

B. CPSC and CBP Authority To Regulate the Importation of Consumer 
Products

    Certificates are required to accompany shipments of regulated 
consumer products. Section 14(a) of the Consumer Product Safety Act 
(CPSA), as amended by section 102(b) of the Consumer Product Safety 
Improvement Act of 2008 (CPSIA), Public Law 110-314, requires 
manufacturers (including importers) and private labelers of certain 
regulated consumer products manufactured outside the United States to 
test and issue a certificate of compliance (certificate) certifying 
such products as compliant with applicable laws and regulations before 
importation.\11\ 15 U.S.C. 2063(a). Although section 14(g)(4) of the 
CPSA authorizes the Commission, in consultation with CBP, to require, 
by rule, electronic filing of certificates up to 24 hours before 
arrival of an imported consumer product, the Commission has not yet 
implemented this authority. To implement section 14(g)(4) of the CPSA, 
CPSC will conduct the Beta Pilot test and begin rulemaking to make 
permanent electronic filing of certificates at the time of entry 
filing, or at the time of entry summary filing, if both entry and entry 
summary are filed together.
---------------------------------------------------------------------------

    \11\ On November 18, 2008, pursuant to section 14(a) of the 
CPSA, the Commission promulgated a final rule on ``certificates of 
compliance'' (73 FR 68328), which is codified at 16 CFR part 1110 
(part 1110). The rule restates the statutory certificate 
requirements, limits the parties who must issue a certificate to the 
importer, for products manufactured outside the United States, and, 
in the case of domestically manufactured products, to the 
manufacturer, and allows certificates to be in hard copy or 
electronic form.
---------------------------------------------------------------------------

    In addition to its section 14 authority, the Commission has 
admissibility authority for imported consumer products and substances 
that are within the CPSC's jurisdiction under section 17 of the CPSA 
(15 U.S.C. 2066) and section 14 of the Federal Hazardous Substances Act 
(FHSA) (15 U.S.C. 1273). Unless the Commission allows a product to be 
reconditioned for importation, section 17(a) of the CPSA requires 
refusal of admission and destruction of any product offered for import 
that, among other things, is not accompanied by a certificate required 
under section 14 of the CPSA, or is a product which is in violation of 
the inspection and recordkeeping requirements of section 16.
    CPSC's authority to regulate the importation of consumer products 
is further derived from section 17(h)(1), which requires the Commission 
to ``establish and maintain a permanent product surveillance program, 
in cooperation with other appropriate Federal agencies, for the purpose 
of carrying out the Commission's responsibilities under this Act and 
the other Acts administered by the Commission and preventing the entry 
of unsafe consumer products into the commerce of the United States.'' 
15 U.S.C. 2066(h)(1). Also, under section 222 of the CPSIA, the CPSC is 
required to develop a risk assessment methodology (RAM) for the 
identification of shipments of consumer products that are intended for 
import into the United States and are likely to violate consumer 
product safety statutes and regulations. An eFiling requirement to 
enhance targeting of noncompliant consumer products is consistent with 
the federal government's movement to the ``single window.''
    Building on these authorities, CPSC works with CBP to review and 
inspect cargo and to clear compliant consumer products for importation 
into the United States. CPSC also works with CBP to enforce CPSC 
regulations and to destroy products that violate the law and cannot be 
reconditioned for importation. 15 U.S.C. 2066. CBP has the authority to 
seize and destroy products offered for importation under the Tariff 
Act, codified at 19 U.S.C. 1595a(c)(2)(A), where the importation or 
entry of such products is subject to any restriction or prohibition 
which is imposed by law relating to health, safety, or conservation and 
such products are not in compliance with the applicable rule, 
regulation, or statute. An admissibility determination may be deferred 
to allow an importer to recondition products for entry. 15 U.S.C. 
2066(c). CPSC and CBP have authority to supervise the reconditioning of 
products for entry that are still under CBP's bond. 15 U.S.C. 2066(d). 
If these products cannot be reconditioned, they must be refused 
admission and destroyed, unless the Secretary of the Treasury permits 
export in lieu of destruction. 15 U.S.C. 2066(d) & (e).
    Finally, the Commission has authority to implement requirements in 
the CPSIA and any amendments to the CPSA made by the CPSIA, including 
certificate requirements and implementing a RAM system, pursuant to 
section 3 of the CPSIA, which provides: ``[t]he Commission may issue 
regulations, as necessary, to implement this Act and the amendments 
made by this Act.'' Taken together, these authorities give CPSC a broad 
ability to monitor all consumer products within its jurisdiction at the 
ports, and to issue implementing regulations in furtherance of the 
agency's mission to protect consumers from unreasonably dangerous 
consumer products. Insights gained through this Best Pilot test will 
inform the infrastructure, processes, procedures, and rulemaking to 
implement a permanent eFiling program at CPSC.

VII. Paperwork Reduction Act

    The Beta Pilot test contains information collection requirements 
that are subject to public comment and review by the Office of 
Management and Budget (OMB) under the Paperwork Reduction Act of 1995 
(44 U.S.C. 3501-3521). In this document, pursuant to 44 U.S.C. 
3507(a)(1)(D), we set forth:
    [ssquf] a title for the collection of information;
    [ssquf] a summary of the collection of information;
    [ssquf] a brief description of the need for the information and the 
proposed use of the information;
    [ssquf] a description of the likely respondents and proposed 
frequency of response to the collection of information;
    [ssquf] an estimate of the burden that shall result from the 
collection of information; and
    [ssquf] notice that comments may be submitted to the OMB.
    Title: Beta Pilot Test for eFiling Certificates of Compliance.
    Description: During the Beta Pilot test of CBP's PGA Message Set 
abilities through ACE, up to 50 participating importers of regulated 
consumer products will electronically file the requested certificate 
data, comprised of 7 data elements, at the time of entry filing, or 
entry summary filing, if both entry and entry summary are filed 
together. Participants will have two ways to file certificate data 
during the Beta Pilot test: (1) filing certificate data in a CPSC-
maintained Product Registry, and filing a reference number in ACE to 
this data set, through ABI, each time the product is imported 
thereafter (Reference PGA Message Set), or (2) filing all certificate 
data elements directly through ABI each time the product is imported 
(Full PGA Message Set). CPSC will receive the information from CBP 
through a real-time transfer of import data, and risk score the 
information in CPSC's Risk Assessment Methodology (RAM) system, to 
assist in

[[Page 35519]]

the interdiction of noncompliant consumer products.
    As set forth in section VI.B of this preamble, the requirement to 
create and maintain certificates, including the data elements, is set 
forth in section 14 of the Consumer Product Safety Act (CPSA). Section 
14(a) of the CPSA requires manufacturers (including importers) and 
private labelers of certain regulated consumer products manufactured 
outside the United States to test and issue a certificate certifying 
such products as compliant with applicable laws and regulations before 
importation. 15 U.S.C. 2063(a). Section 14(g)(1) of the CPSA describes 
the data required on a certificate. Section 14(g)(3) requires a 
certificate to accompany the applicable product or shipment of products 
covered by the certificate, and that certifiers furnish the certificate 
to each distributor or retailer of the product. Upon request, 
certificates must also be furnished to CPSC and CBP. Section 14(g)(4) 
provides that ``[i]n consultation with the Commissioner of Customs, the 
Commission may, by rule, provide for the electronic filing of 
certificates under this section up to 24 hours before arrival of an 
imported product.'' The Beta Pilot test described in this collection of 
information is in preparation for a rulemaking to implement section 
14(g)(4) of the CPSA. 15 U.S.C. 2063(g)(4).
    Because certificates are required by statute, this analysis focuses 
on the burden for CPSC to accept, and importers to provide, certificate 
data elements electronically at the time of entry filing, and not to 
collect and maintain certificate data more generally. Importer 
requirements in the Beta Pilot test for providing certificate data 
electronically at the time of entry filing fall within the definition 
of ``collection of information,'' as defined in 44 U.S.C. 3502(3).
    Description of Respondents: Up to 50 importer participants who 
import regulated consumer products within CPSC's jurisdiction under the 
approximately 300 HTS codes included in the Beta Pilot test.
    Estimated Burden: We estimate the burden of this collection of 
information as follows:
    CPSC used information provided by Alpha Pilot test participants to 
inform the estimated burden for the Beta Pilot test. The burden from 
participating in the eFiling Beta Pilot test can be broken down into 
the burden of preparing for participation in the Pilot, the burden of 
maintaining the data elements separately, and, as compared to the Alpha 
Pilot test, the additional burden of including the dates of 
manufacturing and lab testing. Based on feedback from the Alpha Pilot 
test participants, we also assume that if we have 50 Beta Pilot test 
participants, many more participants (90%), approximately 45 
respondents, will opt to exclusively use the Product Registry and 
Reference PGA Message Set, while 5 participants will opt to exclusively 
use the Full PGA Message Set.
    For the 45 participants opting to exclusively use the Product 
Registry, we estimate that there will be approximately 8,764 burden 
hours to complete the information collection burden associated with 
Beta Pilot test participation, and maintain the data elements, 
including the dates of manufacturing and lab testing. Based on feedback 
from Alpha Pilot test participants, participant staff costs for this 
burden will be about $383,000 or approximately $44 per hour ($382,990/
8,764).

                                Table 1--Beta Pilot Test Burden Estimates Product Registry and Reference PGA Message Set
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                             Average
                                            Number of       Number of       Number of      burden per     Total  annual   Average  cost    Total annual
           Type of respondent              respondents    responses per     responses     response  (in    burden  (in    per  response     respondent
                                                           respondent                        hours)          hours)                            cost
--------------------------------------------------------------------------------------------------------------------------------------------------------
Product registry only                               (A)             (B)     C (= A x B)             (D)     E (= C x D)             (F)      G (= C x F)
--------------------------------------------------------------------------------------------------------------------------------------------------------
Pilot Participation....................              45               1              45              91           4,095          $4,929         $221,805
Gathering and Submitting Data Elements.              45               1              45              27           1,195             946           42,579
Survey.................................              45               1              45             2.2              99           34.68            1,561
Filing Entry-Line......................              45          25,000       1,125,000           0.003           3,375            0.10          117,045
                                        ----------------------------------------------------------------------------------------------------------------
    Total..............................  ..............  ..............       1,125,135  ..............           8,764  ..............          382,990
--------------------------------------------------------------------------------------------------------------------------------------------------------
Assumptions:
Appx. 10% of the 50 respondents will elect to use only the Full PGA message set.
Estimated response costs based on costs information from Alpha Pilot test participants.
Wage data for survey and filing entry-line data comes from U.S. Bureau of Labor Statistics, ``Employer Costs for Employee Compensation,'' September
  2021, Table 4, total compensation for all sales and office workers in goods-producing private industries: http://www.bls.gov/ncs/).

    For the 5 participants opting to use the Full PGA Message Set, we 
estimate 452 hours to complete the pilot and maintain the data 
elements, including the dates of manufacture and lab testing per 
product. The estimated associated participant staff costs will be about 
$21,800, or approximately $48 per hour ($21,774/452 hours).

                                                        Table 2--Beta Pilot Test Burden Estimates
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                             Average
                                            Number of       Number of       Number of      burden per     Total  annual   Average  cost    Total annual
           Type of respondent              respondents    responses per     responses     response  (in    burden  (in    per  response     respondent
                                                           respondent                        hours)          hours)                            cost
--------------------------------------------------------------------------------------------------------------------------------------------------------
Full PGA Message Set                                (A)             (B)     C (= A x B)             (D)     E (= C x D)             (F)      G (= C x F)
--------------------------------------------------------------------------------------------------------------------------------------------------------
Pilot Participation....................               5               1               5              30             150          $2,245          $11,225
Gathering and Submitting Data Elements.               5               1               5              13              66             515            2,573
Survey.................................               5               1               5             2.2              11           34.68              173
Filing Entry-Line......................               5           1,500           7,500           0.030             225            1.04            7,803
                                        ----------------------------------------------------------------------------------------------------------------
    Total..............................  ..............  ..............           7,515  ..............             452  ..............           21,774
--------------------------------------------------------------------------------------------------------------------------------------------------------
Assumptions:
Appx. 10% of the 50 respondents will elect to use the Full PGA message set.
Estimated response cost for based on cost information from the Alpha Pilot test participants.

[[Page 35520]]

 
Wage data for survey and filing entry-line data comes from U.S. Bureau of Labor Statistics, ``Employer Costs for Employee Compensation,'' September
  2021, Table 4, total compensation for all sales and office workers in goods-producing private industries: http://www.bls.gov/ncs/).

    The estimated total burden for participation in the Beta Pilot test 
is 9,217 hours, with an estimated cost of $404,800, or $44 per hour 
($404,764/9,217).

                                                   Table 3--Total Estimated Burden or Beta Pilot Test
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                             Average
                                            Number of       Number of       Number of      burden per     Total  annual   Average  cost    Total annual
           Type of respondent              respondents    responses per     responses     response  (in    burden  (in    per  response     respondent
                                                           respondent                        hours)          hours)                            cost
--------------------------------------------------------------------------------------------------------------------------------------------------------
Total Burden                                        (A)             (B)     C (= A x B)             (D)     E (= C x D)             (F)      G (= C x F)
--------------------------------------------------------------------------------------------------------------------------------------------------------
Pilot Participation....................              50               1              50              85           4,245          $4,661         $233,030
Gathering and Submitting Data Elements.              50               1              50              25           1,262             903           45,152
Survey.................................              50               1              50               2             110              35            1,734
Filing Entry-Line......................              50          22,650       1,132,500           0.003           3,600            0.11          124,848
                                        ----------------------------------------------------------------------------------------------------------------
    Total..............................  ..............  ..............       1,132,650  ..............           9,217  ..............          404,764
--------------------------------------------------------------------------------------------------------------------------------------------------------

    In compliance with the Paperwork Reduction Act of 1995 (44 U.S.C. 
3507(d)), we have submitted the information collection requirements to 
the OMB for review. Pursuant to 44 U.S.C. 3506(c)(2)(A), we request 
comment on this burden estimate and the analysis, including:
    [ssquf] whether the collection of information is necessary for the 
proper performance of the CPSC's functions, including whether the 
information will have practical utility;
    [ssquf] the accuracy of the CPSC's estimate of the burden of the 
proposed collection of information, including the validity of the 
methodology and assumptions used;
    [ssquf] ways to enhance the quality, utility, and clarity of the 
information to be collected; and
    [ssquf] ways to reduce the burden of the collection of information 
on respondents, including the use of automated collection techniques, 
when appropriate, and other forms of information technology.

VIII. Confidentiality

    All data submitted and entered into ACE is subject to the Trade 
Secrets Act (18 U.S.C. 1905) and is considered confidential, except to 
the extent as otherwise provided by law. As stated in previous notices, 
participation in this or any of the previous ACE tests is not 
confidential and upon a written Freedom of Information Act (FOIA) 
request, a name(s) of an approved participant(s) will be disclosed by 
CPSC or CBP in accordance with 5 U.S.C. 552.

Alberta E. Mills,
Secretary, Consumer Product Safety Commission.
[FR Doc. 2022-12477 Filed 6-9-22; 8:45 am]
BILLING CODE 6355-01-P


</pre><script data-cfasync="false" src="/cdn-cgi/scripts/5c5dd728/cloudflare-static/email-decode.min.js"></script></body>
</html>