PART 1109—CONDITIONS AND REQUIREMENTS FOR RELYING ON COMPONENT PART TESTING OR CERTIFICATION, OR ANOTHER PARTY'S FINISHED PRODUCT TESTING OR CERTIFICATION, TO MEET TESTING AND CERTIFICATION REQUIREMENTS Authority: Secs. 3 and 102, Pub. L. 110-314, 122 Stat. 3016; 15 U.S.C. 2063. Source: 76 FR 69580, Nov. 8, 2011, unless otherwise noted. Subpart A—General Conditions and Requirements § 1109.1 Scope. (a) This part applies to tests or certifications of the following when such testing or certification is used to support a certificate of compliance pursuant to section 14(a) of the Consumer Product Safety Act (CPSA) or to meet continued testing requirements pursuant to section 14(i) of the CPSA: (1) Component parts of consumer products; and (2) Finished products when conducted by a party that is not required to test or certify products pursuant to part 1110 of this chapter. (b) Component part manufacturers and suppliers may certify or test their component parts, but are not required to do so. Also, parties that are not required to test finished products, or to issue finished product certificates pursuant to part 1110 of this chapter, may do so voluntarily. (c) Subpart A establishes general requirements for component part testing and certification, and relying on component part testing or certification, or another party's finished product certification or testing, to support a certificate of compliance issued pursuant to section 14(a) of the Consumer Product Safety Act (CPSA) or to meet continued testing requirements pursuant to section 14(i) of the CPSA. Subpart B sets forth additional requirements for component part testing for specific consumer products, component parts, and chemicals. Subpart B is applicable only to those products or requirements expressly included in subpart B. Subpart C describes the conditions and requirements for composite testing. [76 FR 69580, Nov. 8, 2011, as amended at 80 FR 61732, Oct. 14, 2015] § 1109.2 Purpose. The purpose of this part is to set forth the conditions and requirements under which passing component part test reports, certification of component parts of consumer products, or finished product testing or certification procured or issued by another party, can be used to meet, in whole or in part, the testing and certification requirements of sections 14(a) and 14(i) of the CPSA. § 1109.3 Applicability. The provisions of this part apply to all manufacturers and importers who are required to issue finished product certifications pursuant to section 14(a) of the CPSA and part 1110 of this chapter and to procure tests to ensure continued compliance pursuant to section 14(i) of the CPSA. This part also applies to manufacturers and suppliers of component parts or finished products who are not required to test or certify consumer products pursuant to part 1110 of this chapter, but who voluntarily choose to undertake testing or certification. § 1109.4 Definitions. The following definitions apply to this part: (a) Certifier (b) Component part (c) Component part certifier (1) Component parts to be used in consumer products; or (2) Finished products. (d) CPSA (e) CPSC (f) CPSIA (g) Due care (h) Finished product certifier (i) Identical in all material respects (j) Paint (k) Testing party ( l Third party conformity assessment body (m) Traceable § 1109.5 Conditions, requirements, and effects generally. (a) Component part testing allowed. (1) Testing of the component part is required or sufficient to assess compliance, in whole or in part, of the consumer product with the applicable rule, ban, standard, or regulation. Any doubts about whether testing one or more component parts of a consumer product is sufficient to assess whether the finished product complies with applicable rules, bans, standards, and regulations should be resolved in favor of testing the finished product; and (2) The component part tested is identical in all material respects to the component parts used in the finished consumer product. To be identical in all material respects to a component part for purposes of supporting a certification of a children's product, a sample need not necessarily be of the same size, shape, or finish condition as the component part of the finished product; rather, it may consist of any quantity that is sufficient for testing purposes and be in any form that has the same content as the component part of the finished product. (b) Test Result Integrity. (1) Proper management and control of all raw materials, component parts, subassemblies, and finished products is established and maintained for any factor that could affect the finished product's compliance with all applicable rules; (2) The manufacturing process does not add or result in a prohibited level of a chemical from any source, such as the material hopper, regrind equipment, or other equipment used in the assembly of the finished product; and (3) No action or inaction subsequent to testing and before distribution in commerce has occurred that would affect compliance, including contamination or degradation. (c) Limitation. (d) Test method and sampling protocol. (1) All testing is done using required test methods, if any; (2) Required sampling protocols are followed, if any; and (3) Testing and certification follows the applicable requirements in sections 14(a) and 14(i) of the CPSA, and part 1107 of this chapter or any more specific rules, bans, standards, or regulations, used to assess compliance of the component part or finished product. (e) Timing. (f) Traceability. (g) Documentation by certifiers and testing parties. (1) Identification of the component part or the finished product tested; (2) Identification of a lot or batch number, or other information sufficient to identify the component parts or finished products to which the testing applies; (3) Identification of the applicable rules, bans, standards, and regulations for which each component part or finished product was tested; (4) Identification of the testing method(s) and sampling protocol(s) used; (5) The date or date range when the component part or finished product was tested; (6) Test reports that provide the results of each test on a component part or finished product, and the test values, if any; (7) Identification of the party that conducted each test (including testing conducted by a manufacturer, testing laboratory, or third party conformity assessment body), and an attestation by the party conducting the testing that all testing of a component part or finished product by that party was performed in compliance with applicable provisions of section 14 of the CPSA, part 1107 of this chapter, or any more specific rules, bans, standards, or regulations; (8) Component part certificate(s) or finished product certificate(s), if any; (9) Records to support traceability as defined in § 1109.4(m); and (10) An attestation by each certifier and testing party that while the component part or finished product was in its custody, it exercised due care to ensure compliance with the requirements set forth in subparagraph (b) of this section. (h) Effect of voluntary certification. (2) Any party who elects to certify compliance of a component part or a finished product with applicable rules, standards, bans, or regulations, must assume all responsibilities of a manufacturer under sections 14(a) and 14(i) of the CPSA and part 1107 of this chapter with respect to that component part or finished product's compliance to the applicable rules, standards, bans, or regulations. (i) Certification by finished product certifiers. (i) Finished product certificate(s) issued by another party; (ii) Finished product test report(s) provided by another party; (iii) Component part certificate(s); or (iv) Component part test report(s). (2) If a finished product certifier fails to exercise due care in its reliance on another party's certifications or test reports, then the Commission will not consider the finished product certifier to hold a certificate issued in accordance with section 14(a) of the CPSA. Exercising due care in this context means taking the steps that a prudent and competent person in the same line of business would take to conduct a reasonable review of another party's certification or test reports, and to address any concern over their validity, before relying on such documents to issue a finished product certificate. Due care does not permit willful ignorance. Such steps may vary according to the circumstances. (3) A finished product certifier must not rely on another party's certifications or test reports unless the finished product certifier receives the documentation under paragraph (g) of this section from the certifier or testing party. The finished product certifier may receive such documentation either in hard copy or electronically, or access the documentation through an Internet Web site. The Commission may consider a finished product certifier who does not obtain such documentation before certifying a consumer product to have failed to exercise due care. (j) Recordkeeping requirements. (1) Provided immediately by the certifier or testing party to the CPSC; and (2) Translated accurately into English by the certifier or testing party within 48 hours of a request by the CPSC or any longer period negotiated with CPSC staff. [76 FR 69580, Nov. 8, 2011, as amended at 80 FR 61732, Oct. 14, 2015] Subpart B—Conditions and Requirements for Specific Consumer Products, Component Parts, and Chemicals § 1109.11 Component part testing for paint. (a) Generally. (b) Requirement. (1) Unless using the test method ASTM F 2853-10 to test for lead in paint, all testing must be performed on dry paint that is scraped off of a substrate for testing. The substrate used need not be of the same material as the material used in the finished product or have the same shape or other characteristics as the part of the finished product to which the paint will be applied; and (2) The tested paint is identical in all material respects to that used in production of the consumer product. The paint samples to be tested must have the same composition as the paint used on the finished product. However, a larger quantity of the paint may be tested than is used on the consumer product in order to generate a sufficient sample size. The paint may be supplied to the testing laboratory for testing either in liquid form or in the form of a dried film of the paint on any suitable substrate. [76 FR 69580, Nov. 8, 2011, as amended at 80 FR 61732, Oct. 14, 2015] § 1109.12 Component part testing for lead content of children's products. A certifier may rely on component part testing of each accessible component part of a children's product for lead content, where such component part testing is performed by a third party conformity assessment body, provided that the requirements in § 1109.5 are met, and the determination of which, if any, parts are inaccessible pursuant to section 101(b)(2) of the Consumer Product Safety Improvement Act of 2008 (CPSIA) and part 1500.87 of this chapter is based on an evaluation of the finished product. § 1109.13 Component part testing for phthalates in children's toys and child care articles. A certifier may rely on component part testing of appropriate component parts of a children's toy or child care article for phthalate content provided that the requirements in § 1109.5 are met, and the determination of which, if any, parts are inaccessible pursuant to section 108(d) of the CPSIA and part 1199 of this chapter is based on an evaluation of the finished product. [80 FR 61732, Oct. 14, 2015] Subpart C—Conditions and Requirements for Composite Testing § 1109.21 Composite testing. (a) Paint. (b) Component parts. (c) How to evaluate composite testing.