1110 Series: Recordkeeping Harmony or Agony?

I’ve been talking about some of the shortcomings of the Commission’s proposed update to our rule on certificates of compliance, Part 1110. I’ve looked at our unwillingness to present all the costs, our inability to provide clarity on certifying to bans, and our refusal to engage the public on how to handle testing exemptions. Today, my concern is with my colleagues’ break with our staff on recordkeeping for the certificates.

The 1110 rule requires manufacturers and importers to include certificates with their products attesting to the products’ tested compliance with all applicable CPSC safety standards. These can be Children’s Product Certificates or General Certificates of Conformity, depending on the product. Most CPC requirements are already covered in Parts 1107 and 1109, leaving GCCs to 1110. As proposed, this revision contains a one-size-fits-all requirement to keep GCCs for five years. On its own, this might not be a problem; we have to set a mark, and five years might be as good as three or seven. But we cannot look at this rule on its own, as my colleagues are unfortunately doing, because doing so creates unnecessary confusion.

This rule rests on the testing rules, and those rest on safety standards. These other rules frequently contain their own recordkeeping provisions. Our rule on flammability standards for mattresses, for example, requires manufacturers to test prototypes and then keep the records for as long as the product is on the market, plus three years. Those test records, then, could be discarded after four years or hang around for decades. Even within one product, the requirements that already exist vary with circumstance, and that variation exists throughout our regulatory arena.

Recognizing the differences in the standards’ requirements and my colleagues’ preferences for keeping records for longer, I proposed a compromise tying the retention requirement for GCCs to their underlying standards, defaulting to five years for any certificate based on a standard with no recordkeeping mandate. My colleagues did not agree, and insisted on a universal five-year mandate. Since CPCs all have a five-year minimum, they argued, imposing the same requirement for GCCs would “harmonize” our certificate rules.

“Harmonizing” requires that the notes be in the same key. Imposing one regulatory scheme’s parameters on another simply for the virtue of nominal similarity while ignoring their underlying differences is as unsound as “harmonizing” your children’s closets by giving them all the same size pants, no matter their ages. Yes, they’re in harmony, but someone’s going to wind up with a bad fit.

In this instance, the more valuable harmonization would have been matching the certificate’s retention time to that of the rule that creates the standard and the test on which that certificate is based. I was pleased my colleagues were at least willing to include a request for the public to comment on the recordkeeping retirement, and I hope they read those comments with open minds.

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