Pilot Participation

SUPPORTING STATEMENT FOR
eFiling Beta Pilot Test
OMB Control No.: XXXX-XXXX
COLLECTION INSTRUMENT(S): No Agency Form Number; File OMB-18
A. Justification
1.

Explain the circumstances that make the collection of information necessary. Identify any
legal or administrative requirements that necessitate the collection. Attach a copy of the
appropriate section of each statute and regulation mandating or authorizing the collection
of information.

Section 14(a) of the Consumer Product Safety Act (CPSA) 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 (COC) 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 COC. Section 14(g)(3)
requires a COC to accompany the applicable product or shipment of products covered by the
COC, and that certifiers furnish the COC to each distributor or retailer of the product. Upon
request, COCs must also be furnished to CPSC and CBP. However, 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 [COCs] 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).
CPSC’s regulation, 16 C.F.R. part 1110 (part 1110), restates the statutory COC
requirements and limits who must test and certify products. Unless otherwise stated in a
regulation, the importer must certify products manufactured outside the United States, and
manufacturers must certify products manufactured within the United States. Part 1110 also
allows electronic certificates, meaning an emailed certificate or a URL pointing to a certificate
online.

Currently, for imported consumer products, CPSC asks for COCs at the ports once a
shipment has been stopped for inspection. Importers must provide a COC within 24 hours of
request, and can provide COCs on paper, or electronically, meaning emailed or via a URL.
Because COC data is not collected before importation and maintained in a database, the
information on COCs cannot be used to target shipments containing noncompliant consumer
products. The Beta Pilot test, conducted jointly with Customs and Border Protection (CBP),
would collect COC data for up to 50 participants, for 300 Harmonized Tariff Schedule (HTS)
codes containing products within CPSC’s jurisdiction, to create and test the infrastructure,
procedures, and processes, and to operationally inform rulemaking to make the requirement
permanent. Collecting COC data at the time of entry, or entry summary, if filed together, will
allow CPSC to target shipments of noncompliant products using COC data.
Additionally, collecting COC data through CBP’s systems, such as the Automated
Commercial Environment (ACE) 1 would advance the concept of a “single window” by
facilitating the electronic collection, processing, sharing, and reviewing of trade data, and in
furtherance of more accurately targeting imports to facilitate the flow of legitimate trade and
enhanced targeting of noncompliant trade. In 2013, CPSC and CBP conducted an Alpha Pilot
test involving less than 10 importing entities. During the test, participants collaborated with CBP
and CPSC to examine the effectiveness of the “single window” capability. CPSC also created
and tested the use of a Product Registry, which successfully allowed stakeholders to file a
reference to a COC through the PGA Message Set, rather than by entering all data for each entry.
Now CPSC seeks to repeat the Alpha Pilot test with a Beta Pilot test, including more products,
more participants, and two additional data fields.
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.

1

Information to be collected
The eFiling Beta Pilot test can be thought of as two phases:
1) CPSC and Contractor Preparation
2) Importer Participation in Beta Pilot test
The first phase primarily involves CPSC and its Contractor modifying CPSC’s current
data intake infrastructure and creating a Product Registry that will allow CPSC to electronically
collect the required data elements from a COC for each regulated consumer product being
imported, as well as incorporate these data elements into CPSC’s Risk Assessment Methodology
(RAM). This likely will introduce negligible information collection burden and cost for
importers to transfer the information, because they have already collected this information as part
of their normal business operations.
The second phase requires the importers that participate in the Beta Pilot test
(participants) to modify their ABI and train staff to electronically provide the requested elements,
either all data elements from a COC (Full PGA Message Set) or a Reference PGA Message Set,
if the participant has filed COC data into CPSC’s Product Registry. Importers typically use a
broker to submit required entry and PGA Message Set data sets into ABI. Towards the end of
the beta pilot a small survey will be administered to participants.
2.

Indicate how, by whom, and for what purpose the information is to be used. Except
for a new collection, indicate the actual use the agency has made of the information
received from the current collection.
COCs are required by statute. CPSC uses the presence of a COC, as well as the

information on a COC, to verify compliance with safety regulations, including testing
requirements, for products subject to a consumer product safety rule, or other safety rules under
any other CPSC-administered Act. CPSC lists all children’s product rules that require third-

party testing and certification on CPSC’s website at: Rules Requiring Third-Party Testing and a
Children's Product Certificate | CPSC.gov. A list of non-children’s products that require
certification is available on CPSC’s website at: Rules Requiring a General Certificate of
Conformity (GCC) | CPSC.gov. Currently, CPSC requests COCs from individual importers and
manufacturers, and does not maintain COC information in a searchable database. Electronic
filing of COCs before importation, and collecting this information in a database, will allow
CPSC to use algorithms to search across COC data for imported regulated consumer products, to
speed the release of compliant products, and help target unsafe and violative consumer products
for examination at the ports.
The 7 data elements from a COC required for filing in the Beta Pilot test are:
1. Identification of the finished product (may provide a GTIN);
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. Parties on whose testing a certificate depends (name and contact information of the
testing entity); and
6. Date when the finished product was tested;
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.
All of these items are already required by statute to either appear on or in production of a COC;
no additional record keeping is associated with this information. The two additional data
elements required for the Beta Pilot test, that were not tested in the Alpha Pilot test, are the “date

when the finished product was manufactured” and the “date when the finished product was
tested.”
CPSC will also collect information from Beta Pilot test participants regarding the burden,
costs, and experiences of participation, in anticipation of making permanent the eFiling
requirement in a rulemaking. Following are the steps of the Beta Pilot test on which CPSC will
request burden information:
1.
2.
3.
4.
5.
6.
7.
8.
9.
3.

Onboarding
Internal Planning to approach the project
Internally Gathering and Organizing Electronic Product Data
Entering data into the Registry or Providing Full PGA data to broker
Coordinating with broker to prepare for project go-live
Coordinating with broker to sync ACE cargo data
Understanding CBP warning messages
Providing PGA data on an ongoing basis
Other 2
Describe whether, and to what extent, the collection of information involves the use
of automated, electronic, mechanical, or other technological collection techniques or
other forms of information technology, e.g., permitting electronic submission of
responses, and the basis for the decision for adopting this means of collection. Also
describe any consideration of using information technology to reduce burden.
Participants will provide the COC data elements electronically during the Beta Pilot test.

Importers can file COC data into a CPSC-maintained Product Registry before importation, and
receive a reference number to file in a PGA Message Set into ABI each time the product is
imported thereafter, or may opt to file all COC data directly into ABI each time the product is
imported. In preparation, participants will need to update their current ABI to transmit COCrelated data elements in a PGA Message Set (Full PGA Message Set or Reference PGA Message
Set) to CBP’s ACE system. Brokers, on behalf of their importer clients, already electronically

As this is still a pilot, CPSC will follow up with participants with additional questions to better understand
importer/broker experience, burden, and costs.

2

file data with CBP. By receiving the COC data elements electronically for imported products at
the time of Entry, CPSC will not need to request COCs from the importer or broker upon
examination of the cargo, which can result in delays if the COCs are not readily available.
Additionally, CPSC expects fewer exams at the port for compliant products (and importers) who
consistently provide the COC data.
The survey on Beta Pilot test participant experience will involve electronic and in-person
means, such as emailed questionnaires, telephone interviews with points of contacts, and
participation in public workshops.
4.

Describe efforts to identify duplication. Show specifically why any similar
information already available cannot be used or modified for use for the purposes
described in Item 2 above.
Importers are already required to maintain the COCs, with the data elements described in

Item 2 above. CPSC is not requesting duplication of the information. Instead, CPSC will be
testing electronic filing of the COC data.
5.

If the collection of information impacts small businesses or other small entities (Item
5 of OMB Form 83-I), describe any methods used to minimize burden.
Participation in the Beta Pilot test is voluntary, so smaller importers and brokers are not

required to participate. However, CPSC will encourage participation in the Beta Pilot test by
importers of all sizes, including small importers. To ease the burden on small importers, CPSC
provides two options for filing COC data, so that respondents can choose the least burdensome
method for them. The Product Registry concept was tested and used in the Alpha Pilot test to
ease burden. Participant feedback was that the Product Registry was easy to use and reduced the
burden of eFiling by reducing data entry and reducing the data filed in ABI.

6.

Describe the consequence to Federal program or policy activities if the collection is
not conducted or is conducted less frequently, as well as any technical or legal
obstacles to reducing burden.
CPSC has authority to collect COCs, upon request, from the importers of cargo within

CPSC’s jurisdiction. Section 14(g)(4) of the CPSA also allows CPSC, by rule, to require
electronic filing of COCs for imported products, up to 24 hours before importation. CPSC is in
the process of implementing this requirement. If CPSC does not conduct the Beta Pilot test,
CPSC will still request COCs from importers as needed, which can result in delays at Entry if the
COC is not readily available. Additionally, CPSC would not have the COC data before
importation, to assist in expediting release of compliant trade and to focus enhanced targeting
and enforcement on interdicting noncompliant consumer products.
7.

Explain any special circumstances that would cause an information collection to be
conducted more often than quarterly or to prepare responses in fewer than 30 days.
During the Beta Pilot test, importers will provide COC data elements for each regulated

product within CPSC’s jurisdiction imported, every time Entry is filed.
8.

If applicable, provide a copy and identify the data and page number of publication
in the Federal Register, summarize public comments received, and describe actions
taken by the agency in response to these comments. Specifically address comments
received on cost and hour burden. Also describe efforts to consult with persons
outside of the agency to on the PRA.
On June 10th, 2022 CPSC issued a 60 day notice to the Federal Register 87 FR 35513

announcing the Beta Pilot test, soliciting volunteers, and providing a burden analysis under the
Paperwork Reduction Act. CPSC received one comment in support of the Beta Pilot but now
comments on the burden estimate. On September 14th, 2022 CPSC issued a 30 day notice to the
Federal Register, 87 FR 56407.
9.

Explain any decision to provide any payment or gift to respondents, other than
remuneration of contractors or grantees.

Beta Pilot test participants will not receive gifts or payments.
10.

Describe any assurance of confidentiality provided to respondents and the basis for
the assurance in statute, regulation or agency policy.
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.
11.

Provide additional justification for any questions of a sensitive nature, such as
sexual behavior and attitudes, religious beliefs, and other matters that are
commonly considered private.
The Beta Pilot test will not include questions of a sensitive nature.

12.

Provide estimates of the hour burden of the collection of information.
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, 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

Product
Registry Only

A

B

C (=AxB)

D

E (=CxD)

F

G (=CxF)

#. of
Respondents

#. of
Responses
per
Respondent

# of
Responses

Avg. Burden
per Response
(in hours)

Total Annual
Burden (in
hours)

Avg. Cost
per
Response

Total Annual
Respondent
Cost

45

1

45

91

4,095

$4,929

$221,805

45

1

45

27

1,195

$946

$42,579

Survey

45

1

45

2.2

99

$34.68

$1,561

Filing EntryLine

45

25,000

1,125,000

0.003

3,375

$0.10

$117,045

Type of
Respondent
Pilot
Participation
Gathering and
Submitting Data
Elements

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 come 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
Full PGA Message Set

Full PGA
Message set
Only

A

B

Type of
Respondent

#. of
Respondents

#. of
Responses
per
Respondent

C (=AxB)

D

E (=CxD)

F

G (=CxF)

# of Responses

Avg. Burden per
Response (in hours)

Total
Annual
Burden
(in hours)

Avg. Cost
per Response

Total Annual
Respondent
Cost

Pilot
5
1
5
30
150
$2,245
Participation
Gathering
and
Submitting
5
1
5
13
66
$515
Data
Elements
Survey
5
1
5
2.2
11
$34.68
Filing
5
1,500
7,500
0.030
225
$1.04
Entry-Line
Total
7,515
452
Assumptions:
Appx. 10% of the 50 respondents will elect to use the Full PGA message set.
Estimated response costs are based on cost information from the Alpha Pilot test participants.
Wage data for survey and filing entry-line data come 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/).

$11,225

$2,573
$173
$7,803
$21,774

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
A

B

C (=AxB)

D

#. of
Respondents

#. of
Responses per
Respondent

# of
Responses

Avg. Burden
per Response
(in hours)

50

1

50

85

50

1

50

50

1

50

22,650

Total Burden
Type of
Respondent
Pilot
Participation
Gathering and
Submitting Data
Elements
Survey
Filing EntryLine
Total

F

G (=CxF)

Avg. Cost
per
Response

Total Annual
Respondent
Cost

4,245

$4,661

$233,030

25

1,262

$903

$45,152

50

2

110

$35

$1,734

1,132,500

0.003

3,600

$0.11

$124,848

1,132,650

13.

E (=CxD)
Total
Annual
Burden (in
hours)

9,217

$404,764

Provide an estimate of the total annual cost burden to respondents or record
keepers resulting from the collection of information. (Do not include the cost of any
hour burden shown in Items 12 and 14).
N/A

14.

Provide estimates of annualized cost to the Federal government. Also, provide a
description of the method used to estimate cost, which should include quantification
of hours, operational expenses (such as equipment, overhead, printing, and support
staff), and any other expense that would not have been incurred without this

collection of information. Agencies also may aggregate cost estimates from Items 12,
13, and 14 in a single table.
The estimated annual cost of the information collection requirements to the federal
government is approximately $3.04 Million, which includes 2,200 staff hours to manage the Beta
Pilot test, $2.55 million in contracting costs, and $300,000 in U.S. Customs and Border
Protection Automated Commercial Environment (CBP ACE) development.
This estimate is based in part on the average hourly wage rate for a mid-level salaried
GS-13-5 employee in the Washington, DC metropolitan area (effective as of January 2022) is
$58.20 (SALARY TABLE 2022-DCB (opm.gov)). This represents 68.4 percent of total
compensation (U.S. Bureau of Labor Statistics, “Employer Costs for Employee Compensation,”
March 2021, Table 2, percentage of wages and salaries for all civilian management, professional,
and related employees: https://www.bls.gov/news.release/ecec.t02.htm). Adding an additional
31.6 percent for benefits brings average annual compensation for a mid-level salaried GS-13
employee to $85.09 per hour (58.20/0.684). Assuming that approximately 2,200 hours will be
required annually, this results in an annual labor cost of $187,198 ($85.09 per hour × 2,200 hours
= $187,198) plus a contracting cost of $2.55 million per year and $300,000 in ACE development
for an annualized total of $3.04 Million.
15.

Explain the reasons for any program changes or adjustments reporting in Items 13
or 14 of the OMB Form 83-I.
Not applicable

16.

For collections of information whose results will be published, outline plans for
tabulation, and publication. Address any complex analytical techniques that will be
used. Provide the time schedule for the entire project, including beginning and
ending dates of the collection of information, completion of report, publication
dates, and other actions.

Not applicable; results will not be published.
17.

If seeking approval to not display the expiration date for OMB approval of the
information collection, explain the reasons that display would be inappropriate.
Not applicable

18.

Explain each exception to the certification statement identified in “Certification for
Paperwork Reduction Act Submission,” of OMB 83-I.
Not applicable

B. Collections of Information Employing Statistical Methods.
CPSC will not employ a statistical methodology to collect this information.