Component Part Testing: Attestations

This is a question and answer document explaining the attestation requirements in the Component Part Testing rule.
May 20, 2013

The component part rule requires two attestations, 16 CFR §§1109.5(g)(7) and (10).

 

Who must make the attestation required in § 1109.5(g)(7) of the component part rule?

 

Section 1109.5(g)(7) of the component part rule requires 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.”  The “party conducting testing” means the manufacturer or the laboratory that actually performed the testing on the product samples, not the “testing party,” which is defined in the rule as a party who procures or requests that testing be conducted.  In the case of nonchildren’s products, it is possible that the testing party can also be the party who conducted the testing.

 

Test reports from laboratories accredited to ISO/IEC 17025:2005 currently fulfill the attestation requirement in § 1109.5(g)(7) with regard to the test(s) performed.

 

Must the attestation required in § 1109.5(g)(7) be in any particular format?

 

No particular format is required.  The attestation must be in writing and signed by an authorized representative of the laboratory or manufacturer that conducted testing. 

 

What information should be in the attestation required in § 1109.5(g)(7) of the component part rule?

 

Section 1109.5(g)(7) of the component part rule requires 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.”  The intent of the attestation provision is to assist parties issuing certificates and the CPSC in determining whether proper test methods and protocols were used to assess compliance of the component parts or finished products tested. 

 

The attestation should reflect the services provided by the party conducting the testing.  For example, a laboratory that only tests samples that were provided for compliance with the applicable CPSC-required test method(s), would need to attest that the lab followed the correct test method(s).  A laboratory that conducts testing and has additionally contracted with the customer to provide another service, such as selecting samples for certification, material change, or periodic testing, would need to attest to performing any additional functions pursuant to any applicable requirements in section 14 of the CPSA and 16 CFR part 1107.

 

ISO/IEC 17025:2005 Accredited Laboratories

 

Laboratories accredited to ISO/IEC 17025:2005 fulfill the attestation requirement in § 1109.5(g)(7) with regard to the test procedures followed by providing a signed test report to the testing party.  A test report that complies with sections 5.10.2 and 5.10.3 of ISO/IEC 17025:2005 includes the pertinent information for an attestation.  As long as the test report complies with ISO/IEC 17025:2005, is in writing, and is signed by an authorized person, the party receiving this information can verify who performed the testing and what test method was used. 

 

All children’s products must be tested by CPSC-accepted third party laboratories which are, by definition, accredited to ISO/IEC 17025:2005.  Accordingly, all test reports issued by a CPSC-accepted laboratory meet the attestation requirement in § 1109.5(g)(7).  For non-children’s component parts and finished products, test reports from laboratories accredited to ISO/IEC 17025:2005, regardless of whether they are CPSC-accepted, also meet the attestation requirement in § 1109.5(g)(7).

 

If an ISO/IEC 17025:2005 laboratory performs an additional service, such as sample selection, the attestation to the additional service should state that the service followed the appropriate sampling protocols, if any, in the applicable underlying rule, section 14 of the CPSA, and in 16 CFR part 1107.  This additional attestation may be included with the test report, attached to the test report, or may be a separate document.

 

All others that provide testing services

 

Attestations (meaning a written, signed statement) for testing performed by any party other than an ISO/IEC 17025:2005 laboratory should contain the information listed below.  No specific format is required.  The information could be provided with a test report or on some other documentation.  The information set forth below corresponds to sections a, b, c, e, f, i, and j of section 5.10.2 of ISO/IEC 17025:2005:

 

  • a title (e.g., “Test Report,” “Component Part Test Report,” “Attestation”);
  • the name and address of the party conducting the testing and the location where the tests were carried out, if different from the address of the party conducting the testing;
  • if the information is on a test report, unique identification of the test report (such as the serial number), and on each page an identification in order to ensure that the page is recognized as a part of the test report, and a clear identification of the end of the test report;
  • identification of the test method(s) used;
  • a description of, the condition of, and unambiguous identification of the item(s) tested;
  • the test results with, where appropriate, the units of measurement; and
  • the name(s), function(s), and signature(s) or equivalent identification of person(s) authorizing the test report.

 

If the party performed a service in addition to testing product samples, such as sample selection, the party conducting such service must attest to following the appropriate sampling protocols, if any, in the applicable underlying rule and section 14 of the CPSA.

 

Who must make the attestation required in § 1109.5(g)(10)?

 

A certifier is a party that issues a finished product or component part certificate of compliance pursuant to 16 CFR part 1110.  A testing party is a party who procures or requests that testing be conducted.  Section 1109.5(g)(10) of the component part rule requires: 

 

 

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.

 

 

Accordingly, when a manufacturer relies upon the component part rule to certify a finished product, each testing party and certifier of a component part of the product or the finished product must make the required attestation of compliance with § 1109.5(b). 

 

Must the attestation required in § 1109.5(g)(10) be in any particular format?

 

No.  For purposes of the component part rule, the CPSC requires a written statement of compliance with § 1109.5(b) that is signed by an authorized representative of the certifier or testing party making the attestation.  Attestations can be added to test reports or other documentation as the party making the attestation deems necessary and appropriate.

 

What information should be in the attestation required in § 1109.5(g)(10) of the component part rule?

 

Section 1109.5(g)(10) requires that when a manufacturer relies upon the component part rule  to certify a finished product, each testing party and certifier of a component part of the product or the finished product must make the required attestation of compliance with § 1109.5(b).  The intent of the attestation provision is to make sure that the test results remain valid for the component parts and finished products to which the test reports refer.  Thus, each attestation would state that while the component part or finished product (as applicable) was in the testing party or certifier’s custody, due care was exercised to ensure:

 

(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.

 

In addition to the actual attestation provided above and the signature of an authorized person, the following information should be on the document to identify the relevant product and the attesting party:

 

  • the name(s), function(s), and signature(s) of the person(s) making the attestation;
  • the address of the person(s) making the attestation; and
  • an identification of the lot or batch of component parts or finished products.

 

Additional information may be included on the attestation if desired by the certifier or testing party.