[Title 16 CFR ]
[Code of Federal Regulations (annual edition) - January 1, 2002 Edition]
[From the U.S. Government Printing Office]



[[Page i]]

          

                    16


          Part 1000 to End

                         Revised as of January 1, 2002

Commercial Practices





          Containing a codification of documents of general 
          applicability and future effect
          As of January 1, 2002
          With Ancillaries
          Published by
          Office of the Federal Register
          National Archives and Records
          Administration

A Special Edition of the Federal Register



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                     U.S. GOVERNMENT PRINTING OFFICE
                            WASHINGTON : 2002



  For sale by the Superintendent of Documents, U.S. Government Printing 
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                            Table of Contents



                                                                    Page
  Explanation.................................................       v

  Title 16:
          Chapter II--Consumer Product Safety Commission             3
  Finding Aids:
      Material Approved for Incorporation by Reference........     765
      Table of CFR Titles and Chapters........................     767
      Alphabetical List of Agencies Appearing in the CFR......     785
      List of CFR Sections Affected...........................     795



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

                     Cite this Code: CFR
                     To cite the regulations in 
                       this volume use title, 
                       part and section number. 
                       Thus,  16 CFR 1000.1 
                       refers to title 16, part 
                       1000, section 1.

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

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                               EXPLANATION

    The Code of Federal Regulations is a codification of the general and 
permanent rules published in the Federal Register by the Executive 
departments and agencies of the Federal Government. The Code is divided 
into 50 titles which represent broad areas subject to Federal 
regulation. Each title is divided into chapters which usually bear the 
name of the issuing agency. Each chapter is further subdivided into 
parts covering specific regulatory areas.
    Each volume of the Code is revised at least once each calendar year 
and issued on a quarterly basis approximately as follows:

Title 1 through Title 16.................................as of January 1
Title 17 through Title 27..................................as of April 1
Title 28 through Title 41...................................as of July 1
Title 42 through Title 50................................as of October 1

    The appropriate revision date is printed on the cover of each 
volume.

LEGAL STATUS

    The contents of the Federal Register are required to be judicially 
noticed (44 U.S.C. 1507). The Code of Federal Regulations is prima facie 
evidence of the text of the original documents (44 U.S.C. 1510).

HOW TO USE THE CODE OF FEDERAL REGULATIONS

    The Code of Federal Regulations is kept up to date by the individual 
issues of the Federal Register. These two publications must be used 
together to determine the latest version of any given rule.
    To determine whether a Code volume has been amended since its 
revision date (in this case, January 1, 2002), consult the ``List of CFR 
Sections Affected (LSA),'' which is issued monthly, and the ``Cumulative 
List of Parts Affected,'' which appears in the Reader Aids section of 
the daily Federal Register. These two lists will identify the Federal 
Register page number of the latest amendment of any given rule.

EFFECTIVE AND EXPIRATION DATES

    Each volume of the Code contains amendments published in the Federal 
Register since the last revision of that volume of the Code. Source 
citations for the regulations are referred to by volume number and page 
number of the Federal Register and date of publication. Publication 
dates and effective dates are usually not the same and care must be 
exercised by the user in determining the actual effective date. In 
instances where the effective date is beyond the cut-off date for the 
Code a note has been inserted to reflect the future effective date. In 
those instances where a regulation published in the Federal Register 
states a date certain for expiration, an appropriate note will be 
inserted following the text.

OMB CONTROL NUMBERS

    The Paperwork Reduction Act of 1980 (Pub. L. 96-511) requires 
Federal agencies to display an OMB control number with their information 
collection request.

[[Page vi]]

Many agencies have begun publishing numerous OMB control numbers as 
amendments to existing regulations in the CFR. These OMB numbers are 
placed as close as possible to the applicable recordkeeping or reporting 
requirements.

OBSOLETE PROVISIONS

    Provisions that become obsolete before the revision date stated on 
the cover of each volume are not carried. Code users may find the text 
of provisions in effect on a given date in the past by using the 
appropriate numerical list of sections affected. For the period before 
January 1, 1986, consult either the List of CFR Sections Affected, 1949-
1963, 1964-1972, or 1973-1985, published in seven separate volumes. For 
the period beginning January 1, 1986, a ``List of CFR Sections 
Affected'' is published at the end of each CFR volume.

INCORPORATION BY REFERENCE

    What is incorporation by reference? Incorporation by reference was 
established by statute and allows Federal agencies to meet the 
requirement to publish regulations in the Federal Register by referring 
to materials already published elsewhere. For an incorporation to be 
valid, the Director of the Federal Register must approve it. The legal 
effect of incorporation by reference is that the material is treated as 
if it were published in full in the Federal Register (5 U.S.C. 552(a)). 
This material, like any other properly issued regulation, has the force 
of law.
    What is a proper incorporation by reference? The Director of the 
Federal Register will approve an incorporation by reference only when 
the requirements of 1 CFR part 51 are met. Some of the elements on which 
approval is based are:
    (a) The incorporation will substantially reduce the volume of 
material published in the Federal Register.
    (b) The matter incorporated is in fact available to the extent 
necessary to afford fairness and uniformity in the administrative 
process.
    (c) The incorporating document is drafted and submitted for 
publication in accordance with 1 CFR part 51.
    Properly approved incorporations by reference in this volume are 
listed in the Finding Aids at the end of this volume.
    What if the material incorporated by reference cannot be found? If 
you have any problem locating or obtaining a copy of material listed in 
the Finding Aids of this volume as an approved incorporation by 
reference, please contact the agency that issued the regulation 
containing that incorporation. If, after contacting the agency, you find 
the material is not available, please notify the Director of the Federal 
Register, National Archives and Records Administration, Washington DC 
20408, or call (202) 523-4534.

CFR INDEXES AND TABULAR GUIDES

    A subject index to the Code of Federal Regulations is contained in a 
separate volume, revised annually as of January 1, entitled CFR Index 
and Finding Aids. This volume contains the Parallel Table of Statutory 
Authorities and Agency Rules (Table I). A list of CFR titles, chapters, 
and parts and an alphabetical list of agencies publishing in the CFR are 
also included in this volume.
    An index to the text of ``Title 3--The President'' is carried within 
that volume.
    The Federal Register Index is issued monthly in cumulative form. 
This index is based on a consolidation of the ``Contents'' entries in 
the daily Federal Register.
    A List of CFR Sections Affected (LSA) is published monthly, keyed to 
the revision dates of the 50 CFR titles.

[[Page vii]]


REPUBLICATION OF MATERIAL

    There are no restrictions on the republication of material appearing 
in the Code of Federal Regulations.

INQUIRIES

    For a legal interpretation or explanation of any regulation in this 
volume, contact the issuing agency. The issuing agency's name appears at 
the top of odd-numbered pages.
    For inquiries concerning CFR reference assistance, call 202-523-5227 
or write to the Director, Office of the Federal Register, National 
Archives and Records Administration, Washington, DC 20408 or e-mail 
[email protected].

SALES

    The Government Printing Office (GPO) processes all sales and 
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Customer Service call 202-512-1803.

ELECTRONIC SERVICES

    The full text of the Code of Federal Regulations, the LSA (List of 
CFR Sections Affected), The United States Government Manual, the Federal 
Register, Public Laws, Public Papers, Weekly Compilation of Presidential 
Documents and the Privacy Act Compilation are available in electronic 
format at www.access.gpo.gov/nara (``GPO Access''). For more 
information, contact Electronic Information Dissemination Services, U.S. 
Government Printing Office. Phone 202-512-1530, or 888-293-6498 (toll-
free). E-mail, [email protected].
    The Office of the Federal Register also offers a free service on the 
National Archives and Records Administration's (NARA) World Wide Web 
site for public law numbers, Federal Register finding aids, and related 
information. Connect to NARA's web site at www.nara.gov/fedreg. The NARA 
site also contains links to GPO Access.

                              Raymond A. Mosley,
                                    Director,
                          Office of the Federal Register.

January 1, 2002.



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                               THIS TITLE

    Title 16--Commercial Practices is composed of two volumes. The first 
volume contains parts 0-999 and comprises chapter I--Federal Trade 
Commission. The second volume containing part 1000 to end comprises 
chapter II--Consumer Product Safety Commission. The contents of these 
volumes represent all current regulations codified under this title of 
the CFR as of January 1, 2002.

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

[[Page 1]]



                     TITLE 16--COMMERCIAL PRACTICES




                  (This book contains part 1000 to End)

  --------------------------------------------------------------------
                                                                    Part

chapter ii--Consumer Product Safety Commission..............        1000

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             CHAPTER II--CONSUMER PRODUCT SAFETY COMMISSION




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


  Editorial Note: For documents affecting chapter II on rule review 
under the Regulatory Flexibility Act see 52 FR 5079, Feb. 19, 1987 and 
54 FR 601, Jan. 9, 1989.

                          SUBCHAPTER A--GENERAL
Part                                                                Page
1000            Commission organization and functions.......           7
1009            General statements of policy or 
                    interpretation..........................          16
1010            [Reserved]

1011            Notice of agency activities.................          21
1012            Meetings policy--Meetings between agency 
                    personnel and outside parties...........          23
1013            Government in the Sunshine Act, rules for 
                    Commission meetings.....................          27
1014            Policies and procedures implementing the 
                    Privacy Act of 1974.....................          32
1015            Procedures for disclosure or production of 
                    information under the Freedom of 
                    Information Act.........................          36
1016            Policies and procedures for information 
                    disclosure and Commission employee 
                    testimony in private litigation.........          47
1017            [Reserved]

1018            Advisory committee management...............          48
1019            Export of noncomplying, misbranded, or 
                    banned products.........................          56
1020            Small business..............................          61
1021            Environmental review........................          62
1025            Rules of practice for adjudicative 
                    proceedings.............................          68
1027            Salary offset...............................         104
1028            Protection of human subjects................         108
1030            Employee standards of conduct...............         119
1031            Commission participation and Commission 
                    employee involvement in voluntary 
                    standards activities....................         119
1033            Display of control numbers for collection of 
                    information requirements under the 
                    Paperwork Reduction Act.................         127

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1034            Enforcement of nondiscrimination on the 
                    basis of handicap in programs or 
                    activities conducted by the Consumer 
                    Product Safety Commission...............         128
1051            Procedure for petitioning for rulemaking....         133
1052            Procedural regulations for informal oral 
                    presentations in proceedings before the 
                    Consumer Product Safety Commission......         136
1061            Applications for exemption from preemption..         138
          SUBCHAPTER B--CONSUMER PRODUCT SAFETY ACT REGULATIONS
1101            Information disclosure under section 6(b) of 
                    the Consumer Product Safety Act.........         143
1105            Contributions to costs of participants in 
                    development of consumer product safety 
                    standards...............................         156
1115            Substantial product hazard reports..........         158
1116            Reports submitted pursuant to section 37 of 
                    the Consumer Product Safety Act.........         173
1117            Reporting of choking incidents involving 
                    marbles, small balls, latex balloons and 
                    other small parts.......................         181
1118            Investigations, inspections and inquiries 
                    under the Consumer Product Safety Act...         184
1145            Regulation of products subject to other acts 
                    under the Consumer Product Safety Act...         191
1201            Safety standard for architectural glazing 
                    materials...............................         193
1202            Safety standard for matchbooks..............         211
1203            Safety standard for bicycle helmets.........         215
1204            Safety standard for omnidirectional citizens 
                    band base station antennas..............         239
1205            Safety standard for walk-behind power lawn 
                    mowers..................................         253
1207            Safety standard for swimming pool slides....         267
1209            Interim safety standard for cellulose 
                    insulation..............................         282
1210            Safety standard for cigarette lighters......         309
1211            Safety standard for automatic residential 
                    garage door operators...................         322
1212            Safety standard for multi-purpose lighters..         342
1213            Safety standard for entrapment hazards in 
                    bunk beds...............................         357
1301            Ban of unstable refuse bins.................         367
1302            Ban of extremely flammable contact adhesives         371
1303            Ban of lead-containing paint and certain 
                    consumer products bearing lead-
                    containing paint........................         376
1304            Ban of consumer patching compounds 
                    containing respirable free-form asbestos         380
1305            Ban of artificial emberizing materials (ash 
                    and embers) containing respirable free-
                    form asbestos...........................         384
1306            Ban of hazardous lawn darts.................         385

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1401            Self pressurized consumer products 
                    containing chlorofluorocarbons: 
                    Requirements to provide the Commission 
                    with performance and technical data; 
                    requirements to notify consumers at 
                    point of purchase of performance and 
                    technical data..........................         387
1402            CB base station antennas, TV antennas, and 
                    supporting structures...................         389
1404            Cellulose insulation........................         393
1406            Coal and wood burning appliances--
                    notification of performance and 
                    technical data..........................         394
       SUBCHAPTER C--FEDERAL HAZARDOUS SUBSTANCES ACT REGULATIONS
1500            Hazardous substances and articles; 
                    administration and enforcement 
                    regulations.............................         403
1501            Method for identifying toys and other 
                    articles intended for use by children 
                    under 3 years of age which present 
                    choking, aspiration, or ingestion 
                    hazards because of small parts..........         499
1502            Procedures for formal evidentiary public 
                    hearing.................................         503
1505            Requirements for electrically operated toys 
                    or other electrically operated articles 
                    intended for use by children............         519
1507            Fireworks devices...........................         534
1508            Requirements for full-size baby cribs.......         536
1509            Requirements for non-full-size baby cribs...         543
1510            Requirements for rattles....................         550
1511            Requirements for pacifiers..................         551
1512            Requirements for bicycles...................         555
1513            Requirements for bunk beds..................         576
             SUBCHAPTER D--FLAMMABLE FABRICS ACT REGULATIONS
1602            Statements of policy or interpretation......         587
1605            Investigations, inspections and inquiries 
                    pursuant to the Flammable Fabrics Act...         587
1608            General rules and regulations under the 
                    Flammable Fabrics Act...................         595
1609            Text of the Flammable Fabrics Act of 1953, 
                    as amended in 1954, prior to 1967 
                    amendment and revision..................         598
1610            Standard for the flammability of clothing 
                    textiles................................         601
1611            Standard for the flammability of vinyl 
                    plastic film............................         619
1615            Standard for the flammability of children's 
                    sleepwear: Sizes 0 through 6X (FF 3-71).         630
1616            Standard for the flammability of children's 
                    sleepwear: Sizes 7 through 14 (FF 5-74).         663

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1630            Standard for the surface flammability of 
                    carpets and rugs (FF 1-70)..............         696
1631            Standard for the surface flammability of 
                    small carpets and rugs (FF 2-70)........         705
1632            Standard for the flammability of mattresses 
                    and mattress pads (FF 4-72, amended)....         715
    SUBCHAPTER E--POISON PREVENTION PACKAGING ACT OF 1970 REGULATIONS
1700            Poison prevention packaging.................         734
1701            Statements of policy and interpretation.....         751
1702            Petitions for exemptions from Poison 
                    Prevention Packaging Act requirements; 
                    petition procedures and requirements....         752
            SUBCHAPTER F--REFRIGERATOR SAFETY ACT REGULATIONS
1750            Standard for devices to permit the opening 
                    of household refrigerator doors from the 
                    inside..................................         759

[[Page 7]]



                          SUBCHAPTER A--GENERAL


PART 1000--COMMISSION ORGANIZATION AND FUNCTIONS--Table of Contents




Sec.
1000.1 The Commission.
1000.2 Laws administered.
1000.3 Hotline.
1000.4 Commission address.
1000.5 Petitions.
1000.6 Commission decisions and records.
1000.7 Advisory opinions and interpretations of regulations.
1000.8 Meetings and hearings; public notice.
1000.9 Quorum.
1000.10 The Chairman and Vice Chairman.
1000.11 Delegation of functions.
1000.12 Organizational structure.
1000.13 Directives system.
1000.14 Office of the General Counsel.
1000.15 Office of Congressional Relations.
1000.16 Office of the Secretary.
1000.17 Office of the Inspector General.
1000.18 Office of Equal Employment Opportunity and Minority Enterprise.
1000.19 Office of Executive Director.
1000.20 Office of the Budget.
1000.21 Office of Hazard Identification and Reduction.
1000.22 Office of Planning and Evaluation.
1000.23 Office of Information and Public Affairs.
1000.24 Office of Compliance.
1000.25 Office of Human Resources Management.
1000.26 Office of Information Services.
1000.27 Directorate for Epidemiology.
1000.28 Directorate for Health Sciences.
1000.29 Directorate for Economic Analysis.
1000.30 Directorate for Engineering Sciences.
1000.31 Directorate for Laboratory Sciences.
1000.32 Directorate for Administration.
1000.33 Directorate for Field Operations.

    Authority: 5 U.S.C. 552(a).

    Source: 56 FR 30496, July 3, 1991, unless otherwise noted.



Sec. 1000.1  The Commission.

    (a) The Consumer Product Safety Commission is an independent 
regulatory agency which was formed on May 14, 1973, under the provisions 
of the Consumer Product Safety Act (Pub. L. 92-573, 86 Stat. 1207, as 
amended (15 U.S.C. 2051, et seq.)). The purposes of the Commission under 
the CPSA are:
    (1) To protect the public against unreasonable risks of injury 
associated with consumer products;
    (2) To assist consumers in evaluating the comparative safety of 
consumer products;
    (3) To develop uniform safety standards for consumer products and to 
minimize conflicting State and local regulations; and
    (4) To promote research and investigation into the causes and 
prevention of product-related deaths, illnesses, and injuries.
    (b) The Commission is composed of five members appointed by the 
President, by and with the advice and consent of the Senate, for terms 
of seven years.



Sec. 1000.2  Laws administered.

    The Commission administers five acts:
    (a) The Consumer Product Safety Act (Pub. L. 92-573, 86 Stat. 1207, 
as amended (15 U.S.C. 2051, et seq.)).
    (b) The Flammable Fabrics Act (Pub. L. 90-189, 67 Stat. 111, as 
amended (15 U.S.C. 1191, et seq.)).
    (c) The Federal Hazardous Substances Act (Pub. L. 86-613, 74 Stat. 
380, as amended (15 U.S.C. 1261, et seq.)).
    (d) The Poison Prevention Packaging Act of 1970 (Pub. L. 91-601, 84 
Stat. 1670, as amended (15 U.S.C. 1471, et seq.)).
    (e) The Refrigerator Safety Act of 1956 (Pub. L. 84-930, 70 Stat. 
953, (15 U.S.C. 1211, et seq.)).



Sec. 1000.3  Hotline.

    (a) The Commission operates a toll-free telephone Hotline by which 
the public can communicate with the Commission. The number for use in 
all 50 states is 1-800-638-CPSC (1-800-638-2772).
    (b) The Commission also operates a toll-free Hotline by which 
hearing or speech-impaired persons can communicate by teletypewriter 
with the Commission. The teletypewriter number for use in all states is 
1-800-638-8270.
    (c) The Commission also makes information available to the public 
product recall information, its public calendar, and other information 
through its

[[Page 8]]

Internet gopher service at Internet address cpsc.gov. The public may 
also report product hazards or other information to the Commission at 
its electronic mail address: [email protected].
    (d) The Commission also provides a fax-on-demand service from which 
the public can request Commission documents by calling 1-301-504-0051 
from the handset of a facsimile machine.

[56 FR 30496, July 3, 1991, as amended at 59 FR 66673, Dec. 28, 1994]



Sec. 1000.4  Commission address.

    (a) The principal Offices of the Commission are at 4330 East West 
Highway, Bethesda, Maryland. All U.S. Postal Service mail communications 
with the Commission should be addressed to the Consumer Product Safety 
Commission, Washington, DC 20207-0001, unless otherwise specifically 
directed. Materials sent by private express services or by messenger 
should be addressed to the Consumer Product Safety Commission, 4330 East 
West Highway, Bethesda, Maryland 20814-4408.
    (b) The Commission has 3 Regional Centers which are located at the 
following addresses and which serve the states and territories 
indicated:
    (1) Central Regional Center, 230 South Dearborn St., room 2944, 
Chicago, Illinois 60604-1601; Alabama, Georgia, Illinois, Indiana, Iowa, 
Kansas, Kentucky, Michigan, Minnesota, Mississippi, Missouri, Nebraska, 
North Dakota, Ohio, South Dakota, Tennessee, and Wisconsin.
    (2) Eastern Regional Center, 6 World Trade Center, Vesey Street, 
room 350, New York, New York 10048-0950; Connecticut, Delaware, District 
of Columbia, Florida, Maine, Maryland, Massachusetts, New Hampshire, New 
Jersey, New York, North Carolina, Pennsylvania, Puerto Rico, Rhode 
Island, South Carolina, Vermont, Virginia, West Virginia, and Virgin 
Islands.
    (3) Western Regional Center, 600 Harrison St., room 245, San 
Francisco, California 94107-1370; Alaska, American Samoa, Arizona, 
Arkansas, California, Colorado, Guam, Hawaii, Idaho, Louisiana, Montana, 
Nevada, New Mexicao, Oklahoma, Oregon, Texas, Utah, Washington, and 
Wyoming.

[56 FR 30496, July 3, 1991; 56 FR 67174, Dec. 30, 1991, as amended at 58 
FR 64120, Dec. 6, 1993; 59 FR 66673, Dec. 28, 1994]



Sec. 1000.5  Petitions.

    Any interested person may petition the Commission to issue, amend, 
or revoke a rule or regulation by submitting a written request to the 
Secretary, Consumer Product Safety Commission, Washington, DC 20207.



Sec. 1000.6  Commission decisions and records.

    (a) Each decision of the Commission, acting in an official capacity 
as a collegial body, is recorded in Minutes of Commission meetings or as 
a separate Record of Commission Action. Copies of Minutes or of a Record 
of Commission Action may be obtained upon written request from the 
Secretary, Consumer Product Safety Commission, Washington, DC 20207, or 
may be examined in the public reading room at Commission headquarters. 
Requests should identify the subject matter of the Commission action and 
the approximate date of the Commission action, if known.
    (b) Other records in the custody of the Commission may be requested 
in writing from the Office of the Secretary pursuant to the Commission's 
Procedures for Disclosure or Production of Information under the Freedom 
of Information Act (16 CFR part 1015).



Sec. 1000.7  Advisory opinions and interpretations of regulations.

    (a) Advisory opinions. Upon written request, the General Counsel 
provides written advisory opinions interpreting the acts the Commission 
administers. Advisory opinions represent the legal opinions of the 
General Counsel and may be changed or superseded by the Commission. 
Requests for issuance of advisory opinions should be sent to the General 
Counsel, Consumer Product Safety Commission, Washington, DC 20207. 
Requests for copies of particular previously issued advisory opinions or 
a copy of an index of such opinions should be submitted to the Office of 
the Secretary, Consumer Product Safety Commission, Washington, DC 20207.

[[Page 9]]

    (b) Interpretations of regulations. Upon written request, the 
Assistant Executive Director for Compliance will issue written 
interpretations of Commission regulations pertaining to the safety 
standards and the enforcement of those standards. Interpretations of 
regulations represent the interpretations of the staff and may be 
changed or superseded by the Commission. Requests for such 
interpretations should be sent to the Assistant Executive Director for 
Compliance, Consumer Product Safety Commission, Washington, DC 20207. 
Requests for interpretations of administrative regulations (e.g., 
Freedom of Information Act regulations) should be sent to the Secretary, 
Consumer Product Safety Commission, Washington, DC 20207.

[56 FR 30496, July 3, 1991, as amended at 60 FR 26825, May 19, 1995]



Sec. 1000.8  Meetings and hearings; public notice.

    (a) The Commission may meet and exercise all its powers in any 
place.
    (b) Meetings of the Commission are held as ordered by the Commission 
and, unless otherwise ordered, are held at the principal office of the 
Commission at 4330 East West Highway, Bethesda, Maryland. Meetings of 
the Commission for the purpose of jointly conducting the formal business 
of the agency, including the rendering of official decisions, are 
generally announced in advanced and open to the public, as provided by 
the Government in the Sunshine Act (5 U.S.C. 552b) and the Commission's 
Meetings Policy (16 CFR part 1012).
    (c) The Commission may conduct any hearing or other inquiry 
necessary or appropriate to its functions anywhere in the United States. 
It will publish a notice of any proposed hearing in the Federal Register 
and will afford a reasonable opportunity for interested persons to 
present relevant testimony and data.
    (d) Notices of Commission meetings, Commission hearings, and other 
Commission activities are published in a Public Calendar, as provided in 
the Commission's Meetings Policy (16 CFR part 1012).

[56 FR 30496, July 3, 1991, as amended at 62 FR 46667, Sept. 4, 1997]



Sec. 1000.9  Quorum.

    Three members of the Commission constitute a quorum for the 
transaction of business. If there are only three members serving on the 
Commission because of vacancies, two members constitute a quorum. If 
there are only two members serving on the Commission because of 
vacancies, two members constitute a quorum, but only for six months from 
the time the number of members was reduced to two.



Sec. 1000.10  The Chairman and Vice Chairman.

    (a) The Chairman is the principal executive officer of the 
Commission and, subject to the general policies of the Commission and to 
such regulatory decisions, findings, and determinations as the 
Commission is by law authorized to make, he or she exercises all of the 
executive and administrative functions of the Commission.
    (b) The Commission annually elects a Vice Chairman to act in the 
absence or disability of the Chairman or in case of a vacancy in the 
Office of the Chairman.



Sec. 1000.11  Delegation of functions.

    Section 27(b)(9) of the Consumer Product Safety Act (15 U.S.C. 
2076(b)(9)) authorizes the Commission to delegate any of its functions 
and powers, other than the power to issue subpoenas, to any officer or 
employee of the Commission. Delegations are published in the 
Commission's Directives System.



Sec. 1000.12  Organizational structure.

    The Consumer Product Safety Commission is composed of the principal 
units listed in this section.
    (a) The following units report directly to the Chairman of the 
Commission:
    (1) Office of the General Counsel;
    (2) Office of Congressional Relations;
    (3) Office of the Secretary;
    (4) Office of the Inspector General;
    (5) Office of Equal Employment Opportunity and Minority Enterprise;
    (6) Office of the Executive Director.
    (b) The following units report directly to the Executive Director of 
the Commission:

[[Page 10]]

    (1) Office of the Budget;
    (2) Office of Hazard Identification and Reduction;
    (3) Office of Information and Public Affairs;
    (4) Office of Compliance;
    (5) Office of Planning and Evaluation;
    (6) Office of Human Resources Management;
    (7) Office of Information Services;
    (8) Directorate for Administration;
    (9) Directorate for Field Operations.
    (c) The following units report directly to the Assistant Executive 
Director for Hazard Identification and Reduction:
    (1) Directorate for Economic Analysis;
    (2) Directorate for Epidemiology;
    (3) Directorate for Health Sciences;
    (4) Directorate for Engineering Sciences;
    (5) Directorate for Laboratory Sciences.

[61 FR 1707, Jan. 23, 1996, as amended at 64 FR 66579, Nov. 29, 1999]



Sec. 1000.13  Directives system.

    The Commission maintains a Directives System which contains 
delegations of authority and descriptions of Commission programs, 
policies, and procedures. A complete set of directives is available for 
inspection in the public reading room at Commission headquarters.



Sec. 1000.14  Office of the General Counsel.

    The Office of the General Counsel provides advice and counsel to the 
Commissioners and organizational components of the Commission on matters 
of law arising from operations of the Commission. It prepares the 
Commission's legislative program and comments on relevant legislative 
proposals originating elsewhere. The Office, in conjunction with the 
Department of Justice, is responsible for the conduct of all Federal 
court litigation to which the Commission is a party. The Office also 
advises the Commission on administrative litigation matters. The Office 
provides final legal review of and makes recommendations to the 
Commission on proposed product safety standards, rules, regulations, 
petition actions, and substantial hazard actions. It also provides legal 
review of certain procurement, personnel, and administrative actions and 
drafts documents for publication in the Federal Register.



Sec. 1000.15  Office of Congressional Relations.

    The Office of Congressional Relations is the principal contact with 
the committees and members of Congress. It performs liaison duties for 
the Commission, provides information and assistance to Congress on 
matters of Commission policy, and coordinates testimony and appearances 
by Commissioners and agency personnel before Congress.



Sec. 1000.16  Office of the Secretary.

    The Office of the Secretary prepares the Commission's agenda, 
schedules and coordinates Commission business at official meetings, and 
records, issues, and stores the official records of Commission actions. 
The Office prepares and publishes the Public Calendar under the 
Commission's Meetings Policy. The Office exercises joint responsibility 
with the Office of the General Counsel for the interpretation and 
application of the Privacy Act, Freedom of Information Act, and the 
Government in the Sunshine Act, and prepares reports required by these 
acts. It issues Commission decisions, orders, rules, and other official 
documents, including Federal Register notices, for and on behalf of the 
Commission and controls the use of the Commission seal. The Secretary of 
the Commission also serves as the agency's Advisory Committee Management 
Officer, and is responsible for managing the establishment, procedures, 
and accomplishments of all advisory committees utilized by the 
Commission. The Office supervises and administers the dockets of 
adjudicative proceedings before the Commission. The Office maintains the 
records of continuing guaranties of compliance with applicable standards 
of flammability issued under the Flammable Fabrics Act (FFA) which are 
filed with the Commission in accordance with provisions of section 8(a) 
of the FFA (15 U.S.C. 1197(a)). Upon request, the Office of the 
Secretary provides appropriate forms to persons and

[[Page 11]]

firms desiring to execute continuing guaranties under the FFA. The 
Office also supervises and administers the public reading room.



Sec. 1000.17  Office of the Inspector General.

    The Office of the Inspector General is an independent office 
established under the provisions of the Inspector General Act of 1978, 5 
U.S.C. appendix, as amended by the Inspector General Act Amendments of 
1988. This Office independently initiates, conducts, supervises, and 
coordinates audits, operations reviews, and investigations of Commission 
programs, activities, and operations. Reporting only to the Chairman, 
and under his or her general supervision, the Office also makes 
recommendations to promote economy, efficiency, and effectiveness within 
the Commission's programs and operations. The Office receives and 
investigates complaints or information concerning possible violations of 
law, rules, or regulations, mismanagement, abuse of authority, and waste 
of funds. It reviews existing and proposed legislation concerning the 
economy, efficiency, and effectiveness of such legislation on Commission 
operations.



Sec. 1000.18  Office of Equal Employment Opportunity and Minority Enterprise.

    The Office of Equal Employment Opportunity and Minority Enterprise 
assures compliance with all laws and regulations relating to equal 
employment opportunity in accordance with the Equal Employment Act of 
1972, 29 CFR part 1613, and section 8(a) of the Small Business Act. The 
Office reports directly to the Chairman and provides advice to the 
Chairman and Commission staff on EEO matters and the agency Procurement 
Preference Program. The Office manages the discrimination complaint 
process, the Upward Mobility Program, the stay-in-school program, and 
other special emphasis activities having to do with affirmative action 
employment practices. The Office makes recommendations to the Chairman 
on ways to promote equal opportunity in order to enhance the 
Commission's EEO posture.



Sec. 1000.19  Office of Executive Director.

    The Executive Director with the assistance of the Deputy Executive 
Director, under the broad direction of the Chairman and in accordance 
with Commission policy, acts as the chief operating manager of the 
agency, supporting the development of the agency's budget and operating 
plan before and after Commission approval, and managing the execution of 
those plans. The Executive Director has direct line authority over the 
following directorates and offices: the Directorate for Administration, 
the Directorate for Field Operations, the Office of the Budget, the 
Office of Hazard Identification and Reduction, the Office of Information 
and Public Affairs, the Office of Compliance, the Office of Planning and 
Evaluation, the Office of Human Resources Management, and the Office of 
Information Services.

[59 FR 66673, Dec. 28, 1994, as amended at 60 FR 26825, May 19, 1995]



Sec. 1000.20  Office of the Budget.

    The Office of the Budget is responsible for overseeing the 
development of the Commission's budget. The Office, in consultation with 
other offices and directorates, prepares, for the Commission's approval, 
the annual budget requests to Congress and the Office of Management and 
Budget and the operating plans for each fiscal year. It manages the 
execution of the Commission's budget. The Office recommends to the 
Office of the Executive Director actions to enhance effectiveness of the 
Commission's programs and activities.



Sec. 1000.21  Office of Hazard Identification and Reduction.

    The Office of Hazard Identification and Reduction, under the 
direction of the Assistant Executive Director for Hazard Identification 
and Reduction, is responsible for managing the Commission's Hazard 
Identification and Analysis Program and its Hazard Assessment and 
Reduction Program. The Office reports to the Executive Director, and has 
line authority over the Directorates for Epidemiology and Health 
Sciences, Economic Analysis, Engineering Sciences, and Laboratory

[[Page 12]]

Sciences. The Office develops strategies for and implements the agency's 
operating plans for these two hazard programs. This includes the 
collection and analysis of data to identify hazards and hazard patterns, 
the implementation of the Commission's safety standards development 
projects, the coordination of voluntary standards activities and 
international liaison activities related to consumer product safety, and 
providing overall direction and evaluation of projects involving hazard 
analysis, data collection, emerging hazards, mandatory and voluntary 
standards, petitions, and labeling rules. The Office assures that 
relevant technical, environmental, economic, and social impacts of 
projects are comprehensively and objectively presented to the Commission 
for decision.

[56 FR 30496, July 3, 1991, as amended at 61 FR 1708, Jan. 23, 1996]



Sec. 1000.22  Office of Planning and Evaluation.

    The Office of Planning and Evaluation reports to the Executive 
Director and is responsible for the Commission's planning and evaluation 
activities. It develops integrated short and long range plans for 
achieving the Commission's goals and objectives. The office is 
responsible for the development and analysis of both major policy and 
operational issues. Evaluation studies are conducted to determine how 
well the Commission fulfills its mission. These studies include impact 
and process evaluations of Commission programs, projects, functions, and 
activities. Recommendations are made to the Executive Director for 
changes to improve their efficiency and effectiveness. Management 
analyses and special studies are also conducted. These cover, but are 
not limited to, internal controls, organizational performance, 
structure, and productivity measurement. Recommendations are made to the 
Executive Director for improving management efficiency and 
effectiveness. The Office also coordinates, develops, and issues 
agencywide directives and manages the Commission's information 
collection budget and obtains Office of Management and Budget clearance 
for information collections.



Sec. 1000.23  Office of Information and Public Affairs.

    The Office of Information and Public Affairs, which is managed by 
the Director of the Office, is responsible for the development, 
implementation, and evaluation of a comprehensive national information 
and public affairs program designed to promote product safety. This 
includes responsibility for developing and maintaining relations with a 
wide range of national groups such as consumer organizations; business 
groups; trade associations; state and local government entities; labor 
organizations; medical, legal, scientific and other professional 
associations; and other Federal health, safety and consumer agencies. 
The Office also is responsible for implementing the Commission's media 
relations program nationwide. The Office serves as the Commission's 
spokesperson to the national print and broadcast media, develops and 
disseminates the Commission's news releases, and organizes Commission 
news conferences.

[59 FR 66673, Dec. 28, 1994]



Sec. 1000.24  Office of Compliance.

    The Office of Compliance, which is managed by the Assistant 
Executive Director for Compliance, conducts or supervises the conduct of 
compliance and administrative enforcement activity under all 
administered acts, provides advice and guidance to regulated industries 
on complying with all administered acts and reviews proposed standards 
and rules with respect to their enforceability. The Office's 
responsibility also includes identifying and acting on safety hazards in 
consumer products already in distribution, promoting industry compliance 
with existing safety rules, and conducting litigation before an 
administrative law judge relative to administrative complaints. It 
directs the enforcement efforts of the field offices and provides 
program guidance, advice, and case guidance to field offices and 
participates in the development of standards before their promulgation 
to assure enforceability of the final product. It enforces the Consumer 
Product Safety Act requirement that firms identify and report product 
defects which could

[[Page 13]]

present possible substantial hazards, violations of consumer product 
safety rules, violations of standards relied upon by the Commission, or 
unreasonable risk of serious injury or death, and the requirement that 
firms report certain lawsuit information. It reviews consumer 
complaints, in-depth investigations, and other data to identify those 
consumer products containing such hazards or which do not comply with 
existing safety requirements. The Office negotiates and subsequently 
monitors corrective action plans designed to give public notice of 
hazards and recall defective or non-complying products subject to the 
Commission's jurisdiction, gives public warning to consumers where 
appropriate, and provides guidelines and directs the field in 
negotiating and monitoring corrective action plans designed to recall 
products which fail to comply with specific regulations. It gathers 
information on generic product hazards which may lead to subsequent 
initiation of safety standard setting procedures. The Office develops 
surveillance strategies and programs designed to assure compliance with 
Commission standards and regulations. It originates instructions to 
field offices and provides subsequent interpretations or guidance for 
field surveillance and enforcement activities.

[56 FR 30496, July 3, 1991, as amended at 60 FR 26825, May 19, 1995]



Sec. 1000.25  Office of Human Resources Management.

    The Office of Human Resources Management, which is managed by the 
Director of the Office, provides human resources management support to 
the Commission in the areas of recruitment and placement, position 
classification, training and executive development, employee and labor 
relations, employee benefits and retirement assistance, employee 
assistance programs, drug testing, leave administration, disciplinary 
and adverse actions, grievances and appeals, and performance management.

[59 FR 66673, Dec. 28, 1994]



Sec. 1000.26  Office of Information Services.

    The Office of Information Services, which is managed by the 
Assistant Executive Director for Information Services, is responsible 
for general policy, controlling and conducting managerial activities and 
operations relating to the collection, use, and dissemination of 
information by the agency. The Office manages the Commission's 
information system that supports all its program activities. The Office 
provides automated data processing and operational support for data 
collection, information retrieval, report generation, electronic mail, 
and statistical and mathematical operations of the agency. The Office 
maintains the agency's local and wide area networks and develops and 
supports other network applications. The Office develops plans for 
improving agency operations through the use of information technology. 
The Office's functional responsibilities include planning, organizing, 
and directing information resources management (including records 
management and related requirements), and the managing of the agency's 
management directives system. The Office administers the Commission's 
telecommunications services including the agency's toll-free Hotline by 
which the public reports hazardous consumer products and receives 
information about product recalls and product hazards. It also oversees 
operation of the Commission's Internet and fax-on-demand services.

[61 FR 1707, Jan. 23, 1996, as amended at 66 FR 38369, July 24, 2001]



Sec. 1000.27  Directorate for Epidemiology.

    The Directorate for Epidemiology, managed by the Associate Executive 
Director for Epidemiology, is responsible for the collection and 
analysis of data on injuries and deaths associated with consumer 
products. The Directorate has two divisions: the Data Systems Division 
and the Hazard Analysis Division. The Data Systems Division operates the 
national data collection systems which provide the data that serve as 
the basis for the Commission's estimates of the numbers of deaths and 
injuries associated with consumer

[[Page 14]]

products. These data systems include the National Electronic Injury 
Surveillance System, a nationally representative sample of hospital 
emergency departments; a death certificate file, which contains data 
obtained from death certificates on deaths associated with consumer 
products; and the Injury and Potential Injury Incident file, which 
contains information on incidents associated with consumer products, 
based on news clips, medical examiner reports, hotline reports, internet 
complaints, referrals, etc. The Hazard Analysis Division conducts 
statistical analysis of these data and conducts epidemiologic studies to 
estimate the numbers of injuries and deaths associated with various 
consumer products and to examine factors associated with these injuries 
and deaths. In addition, staff in the Hazard Analysis Division design 
special studies, design and analyze data from experiments for testing of 
consumer products, and provide statistical expertise and advice to 
Commission staff in support of regulation development. It administers 
the National Injury Information Clearinghouse.

[64 FR 66579, Nov. 29, 1999, as amended at 66 FR 38369, July 24, 2001]



Sec. 1000.28  Directorate for Health Sciences.

    The Directorate for Health Sciences is managed by the Associate 
Executive Director for Health Sciences and is responsible for reviewing 
and evaluating the human health effects and hazards related to consumer 
products and assessing exposure, uptake and metabolism, including 
information on population segments at risk. Directorate staff conducts 
health studies and research in the field of consumer product-related 
injuries. The Directorate performs risk assessments for chemical, 
physiological and physical hazards based on methods such as medical 
injury modeling, and on injury and incident data for mechanical, 
thermal, chemical and electrical hazards in consumer products. It 
provides the Commission's primary source of scientific expertise for 
implementation of the Poison Prevention Packaging Act and the Federal 
Hazardous Substances Act. The Directorate assists in the development and 
evaluation of product safety standards and test methods based on 
scientific and public health principles. It provides support to the 
Commission's regulatory development and enforcement activities. It 
manages hazard identification and analysis, and hazard assessment and 
reduction projects as assigned. The Directorate provides liaison with 
the National Toxicology Program, the Department of Health and Human 
Services (including the Food and Drug Administration, the Centers for 
Disease Control and Prevention, the National Institutes of Health), the 
Occupational Health and Safety Administration, the Environmental 
Protection Agency, other federal agencies and programs, and other 
organizations concerned with reducing the risk to consumers from 
exposure to consumer product hazards. The Directorate is responsible for 
managing and safeguarding confidential business information received 
from the Environmental Protection Agency in accordance with the 
requirements of that agency.

[64 FR 66580, Nov. 29, 1999]



Sec. 1000.29  Directorate for Economic Analysis.

    The Directorate for Economic Analysis, which is managed by the 
Associate Executive Director for Economic Analysis, is responsible for 
providing the Commission with advice and information on economic and 
environmental matters and on the economic, social and environmental 
effects of Commission actions. It analyzes the potential effects of CPSC 
actions on consumers and on industries, including effects on competitive 
structure and commercial practices. The Directorate acquires, compiles, 
and maintains economic data on movements and trends in the general 
economy and on the production, distribution, and sales of consumer 
products and their components to assist in the analysis of CPSC 
priorities, policies, actions, and rules. It plans and carries out 
economic surveys of consumers and industries. It studies the costs of 
accidents and injuries. It evaluates the economic, societal, and 
environmental impact of product safety rules and standards. It performs 
regulatory analyses and studies of costs

[[Page 15]]

and benefits of CPSC actions as required by the Consumer Product Safety 
Act, The National Environmental Policy Act, the Regulatory Flexibility 
Act and other Acts, and by policies established by the Consumer Product 
Safety Commission. The Directorate manages hazard assessment and 
reduction projects as assigned.

[56 FR 30496, July 3, 1991. Redesignated at 59 FR 66673, Dec. 28, 1994, 
and further redesignated at 64 FR 66579, Nov. 29, 1999]



Sec. 1000.30  Directorate for Engineering Sciences.

    The Directorate for Engineering Sciences, which is managed by the 
Associate Executive Director for Engineering Sciences, is responsible 
for developing technical policy for and implementing the Commission's 
engineering programs. The Directorate manages hazard assessment and 
reduction projects as assigned by the Office of Hazard Identification 
and Reduction; provides engineering technical support and product safety 
assesments for the Office of Compliance; provides engineering, 
scientific, and technical expertise to the Commission and Commission 
staff as requested; and provides engineering technical support to other 
Commission organizations, activities, and programs as needed. The 
Directorate develops and evaluates product safety standards, product 
safety tests and test methods, performance criteria, design 
specifications, and quality control standards for consumer products, 
based on engineering and scientific methods. It conducts engineering 
analysis and testing of the safety of consumer products, and evaluates 
and participates in the development of mandatory and voluntary standards 
for consumer products including engineering and human factors analyses 
in support of standards development and product compliance testing. The 
Directorate performs or monitors research for consumer products in a 
broad array of engineering disciplines including chemical, electrical, 
fire protection, human factors, and mechanical engineering. It conducts 
and coordinates engineering research, testing, and evaluation activities 
with other federal agencies, private industry, and consumer interest 
groups. The Directorate conducts human factors studies and research of 
consumer product related injuries, including evaluations of labels, 
signs and symbols, instructions, and other measures intended to address 
the human component of injury prevention. The Directorate provides 
technical supervision and direction of engineering activities including 
tests and analyses conducted in the field.

[61 FR 1708, Jan. 23, 1996. Redesignated at 64 FR 66579, Nov. 29, 1999]



Sec. 1000.31  Directorate for Laboratory Sciences.

    The Directorate for Laboratory Sciences, which is managed by the 
Associate Executive Director for Laboratory Sciences, is responsible for 
conducting engineering analyses and testing of consumer products, 
supporting the development of voluntary and mandatory standards, and 
supporting the Agency's compliance activities through product safety 
assessments. A wide variety of products are tested and evaluated to 
determine the causes of failure and the hazards presented. Product 
safety tests involve mechanical, electrical, and combustion engineering, 
as well as thermal and chemical analyses. Test protocols are developed, 
test fixtures and setups are designed and fabricated, and tests are 
conducted following the requirements and guidance of voluntary and 
mandatory standards and/or using sound engineering and scientific 
judgment. The Laboratory participates with and supports other agency 
directorates on multi-disciplinary teams in the development of voluntary 
and mandatory standards. The Laboratory coordinates and cooperates with 
other Federal agencies, private industry, and consumer interest groups 
by sharing engineering and scientific research, test, and evaluation 
expertise. Additionally, Corrective Action Plans, proposed by 
manufacturers to correct a product defect, are tested and evaluated to 
assure that the proposed changes adequately resolve the problem. 
Regulated products, such as children's products, sleepwear, and bicycle 
helmets, are routinely tested and evaluated for compliance with the 
Consumer Product Safety Act, the Federal Hazardous Substances Act, the 
Flammable Fabrics

[[Page 16]]

Act, and the Poison Prevention Packaging Act. The Directorate is 
composed of the Mechanical Engineering Division, the Electrical 
Engineering Division (which includes flammable fabrics), and the 
Chemical Division. Overall, the directorate provides engineering, 
scientific, and other technical expertise to all entities within the 
Consumer Product Safety Commission.

[65 FR 53167, Sept. 1, 2000]



Sec. 1000.32  Directorate for Administration.

    The Directorate for Administration, which is managed by the 
Associate Executive Director for Administration, is responsible for 
formulating general administrative policies supporting the Commission in 
the areas of financial management, procurement, and general 
administrative support services including property and space management, 
physical security, printing, and warehousing. The Directorate is 
responsible for the payment, accounting, and reporting of all 
expenditures within the Commission and for operating and maintaining the 
Commission's accounting system and subsidiary Management Information 
System which allocates staff work time and costs to programs and 
projects.

[61 FR 1708, Jan. 23, 1996]



Sec. 1000.33  Directorate for Field Operations.

    (a) The Directorate for Field Operations, which is managed by the 
Associate Executive Director for Field Operations, has direct line 
authority over all Commission field operations; develops, issues, 
approves, or clears proposals and instructions affecting the field 
activities; and provides a central point within the Commission from 
which Headquarters officials can obtain field support services. The 
Directorate provides direction and leadership to the Regional Center 
Directors and to all field employees and promulgates policies and 
operational guidelines which form the framework for management of 
Commission field operations. The Directorate works closely with the 
other Headquarters functional units, the Regional Centers, and other 
field offices to assure effective Headquarters-field relationships, 
proper allocation of resources to support Commission priorities in the 
field, and effective performance of field tasks. It represents the field 
and prepares field program documents. It coordinates direct contact 
procedures between Headquarter's offices and Regional Centers. The 
Directorate is also responsible for liaison with State, local, and other 
Federal agencies on product safety programs in the field.
    (b) Regional Centers are responsible for carrying out investigative, 
compliance, and consumer information and public affairs activities 
within their areas. They encourage voluntary industry compliance with 
the laws and regulations administered by the Commission, identify 
product related incidents and investigate selected injuries or deaths 
associated with consumer products, and implement wide-ranging public 
information and education programs designed to reduce consumer product 
injuries. They also provide support and maintain liaison with components 
of the Commission, other Regional Centers, and appropriate Federal, 
State, and local government offices.

[56 FR 30496, July 3, 1991. Redesignated at 59 FR 66673, Dec. 28, 1994]



PART 1009--GENERAL STATEMENTS OF POLICY OR INTERPRETATION--Table of Contents




Sec.
1009.3 Policy on imported products, importers, and foreign 
          manufacturers.
1009.8 Policy on establishing priorities for Commission action.
1009.9 Policy regarding the granting of emergency exemptions from 
          Commission regulations.



Sec. 1009.3  Policy on imported products, importers, and foreign manufacturers.

    (a) This policy states the Commission's views as to imported 
products subject to the Consumer Product Safety Act (15 U.S.C. 2051) and 
the other Acts the Commission administers: The Federal Hazardous 
Substances Act (15 U.S.C. 1261), the Flammable Fabrics Act (15 U.S.C. 
1191), the Poison Prevention Packaging Act (15 U.S.C. 1471), and the 
Refrigerator Safety Act (15 U.S.C.

[[Page 17]]

1211). Basically, the Policy states that in order to fully protect the 
American consumer from hazardous consumer products the Commission will 
seek to ensure that importers and foreign manufacturers, as well as 
domestic manufacturers, distributors, and retailers, carry out their 
obligations and responsibilities under the five Acts. The Commission 
will also seek to establish, to the maximum extent possible, uniform 
import procedures for products subject to the Acts the Commission 
administers.
    (b) The Consumer Product Safety Act recognizes the critical position 
of importers in protecting American consumers from unreasonably 
hazardous products made abroad and accordingly, under that Act, 
importers are made subject to the same responsibilities as domestic 
manufacturers. This is explicitly stated in the definition of 
``manufacturer'' as any person who manufacturers or imports a consumer 
product (Section 3(a)(4); 15 U.S.C. 2052(a)(4)).
    (c) The Federal Hazardous Substances Act (15 U.S.C. 1261 et seq.), 
the Flammable Fabrics Act (15 U.S.C. 1191 et seq.), the Poison 
Prevention Packaging Act (15 U.S.C. 1471 et seq.), which were 
transferred to the jurisdiction of the Consumer Product Safety 
Commission under its enabling act, all assign responsibilities to 
importers comparable to those of manufacturers and distributors.
    (d) Historically, foreign-made products entering the United States 
were ``cleared'' by those agencies with particular jurisdiction over 
them. Products so cleared were limited in number relative to total 
imports. The Consumer Product Safety Commission has jurisdiction over a 
far larger number of products entering the United States through over 
300 ports of entry. In addition, the total number of imports has 
dramatically increased over the years and modern technology has brought 
air transport and containerized freight for rapid handling and 
distribution of consumer and other products. For the Commission to 
effectively ``clear'' such products through ports of entry could 
seriously impede and delay the transport of consumer products and impose 
additional costs to both the consumer and the importer.
    (e) The Consumer Product Safety Act provides alternative means to 
both assure the consumer safe products and facilitate the free movement 
of consumer products in commerce. For example, it requires certification 
by manufacturers (foreign and domestic), importers and private labelers 
of products that are subject to a consumer product safety standard. Such 
certification must be based on a test of each product or upon a 
reasonable testing program. The other acts enforced by the Commission do 
not specifically require certificates; however, both the Flammable 
Fabrics Act and the Federal Hazardous Substances Act encourage 
guarantees of compliance by protecting from criminal prosecution persons 
who have in good faith received such guarantees (15 U.S.C. 1197(a); 16 
CFR 302.11; 15 U.S.C. 1264(b)).
    (f) In the interest of giving the American consumer the full measure 
of protection from hazardous products anticipated by the Congress, it is 
the Commission's policy to assure that importers and foreign 
manufacturers carry out their responsibilities under all laws 
administered by this Commission. Specifically:
    (1) Importers have responsibilities and obligations comparable to 
those of domestic manufacturers. Rules and regulations promulgated by 
the Commission will reflect these responsibilities and obligations.
    (2) In promulgating its rules and regulations, the Commission 
encourages the participation and comments of the import community, 
including importers and foreign manufacturers.
    (3) All imported products under the jurisdiction of the Consumer 
Product Safety Commission shall, to the maximum extent possible, be 
subject to uniform import procedures. The Commission recognizes the need 
to establish and implement procedures that minimize delay and expense 
involved in inspecting cargo at a port of entry. The Commission 
encourages cooperation between importers, foreign manufacturers and 
foreign governments, which increases the safety of the consumer and 
facilitates the free movement of goods between countries.
    (4) When enforcement actions are appropriate, they will be directed 
toward

[[Page 18]]

the responsible officials of any import organization and will not be 
restricted to action solely against the product.
    (5) Legal actions sought by the Commission will usually be primarily 
directed toward the owner or consignee of imported goods rather than 
against the customs broker even though his or her name may appear as the 
importer of record. However, the Commissioner believes it will not serve 
the public interest to impede the Commission's rights of investigation 
and enforcement by exempting a customs broker from the coverage of the 
law merely because of his or her title or usual form of business. It may 
be relevant that a customs broker, who does not have an ownership 
interest in the goods but who is acting as an agent for the actual owner 
or consignee, signs the entry documents as importer of record. What 
effect and possible need for inclusion this will have in a particular 
case can be judged by the Commission on a case-by-case basis.
    (6) Commission procedures on imports shall be developed in the 
context of the overall responsibilities, authorities, priorities, 
resources, and compliance philosophy of this Commission. Any existing 
procedures which have been inherited from predecessor agencies will be 
reviewed and revised, if necessary, to be consistent with the authority 
and philosophy of this Commission.
    (g) The Commission recognizes that the importer may not be the only 
person to be held responsible for protecting American Consumers from 
unreasonably hazardous products made abroad, but the importer is, at 
least, in a strategic position to guarantee the safety of imported 
products.
    (h) Whenever, in the application of this policy, it appears that 
barriers to free trade may arise, the Commission may consider exceptions 
to this policy insofar as it can be done without compromising the 
Commission's responsibilities to assure safe products to the consumer.
    (i) Whenever, in the application of this policy, it appears that 
administrative or procedural aspects of the Commission's regulations are 
unduly burdening the free flow of goods, the Commission may consider 
modifications which alleviate such burdens. However, the Commission 
cannot consider any modifications which do not assure the consumer the 
same protection from unsafe foreign goods as from unsafe domestic goods.

(Sec. 9, 15 U.S.C. 1198, 67 Stat. 114; Sec. 14, 15 U.S.C. 1273, 74 Stat. 
379; 80 Stat. 1304, 1305; Sec. 17, 15 U.S.C. 2066, 86 Stat. 1223)

[40 FR 47486, Oct. 9, 1975, as amended at 41 FR 47915, Nov. 1, 1976]



Sec. 1009.8  Policy on establishing priorities for Commission action.

    (a) This document states the Consumer Product Safety Commission's 
policy on establishing priorities for action under the five acts the 
Commission administers. The policy is issued pursuant to sections 
4(f)(2) and 4(f)(3) of the Consumer Product Safety Act, as amended, and 
in further implementation of the Commission's statement of policy dated 
September 21, 1973.
    (b) It is the general policy of the Commission that priorities for 
Commission action will be established by a majority vote of its members. 
The policy will be reflected by votes on all requests for 
appropriations, an annual operating plan, and any revisions thereof. 
Recognizing that these documents are the result of a lengthy planning 
process, during which many decisions are made that substantially 
determine the content of the final documents, the Chairman shall 
continually keep the Commission apprised of, and seek its guidance 
concerning, significant problems, policy questions and alternative 
solutions throughout the planning cycle leading to the development of 
budget requests and operating plans.
    (1) Requests for appropriations. Requests for appropriations are 
submitted concurrently to the President or the Office of Management and 
Budget and to the Congress pursuant to section 27(k)(1) of the Consumer 
Product Safety Act.
    (2) Annual operating plan. The operating plan shall be as specific 
as possible with regard to products, groups of products, or generic 
hazards to be addressed. It shall be submitted to the Commission for 
approval at least 30 days prior to the beginning of the fiscal year.

[[Page 19]]

    (c) In establishing and revising its priorities, the Commission will 
endeavor to fulfill each of its purposes as set forth in section 2(b) of 
the Consumer Product Safety Act. In so doing, it will apply the 
following general criteria:
    (1) Frequency and severity of injuries. Two major criteria in 
determining priorities are the frequency and severity of injuries 
associated with consumer products. All available data including the 
NEISS hazard index and supplementary data collection systems, such as 
fire surveys and death certificate collection, shall be used to attempt 
to identify the frequency and severity of injuries. Consideration shall 
also be given to areas known to be undercounted by NEISS and a judgment 
reached as to the probable frequency and severity of injuries in such 
areas. The judgment as to severity shall include an evaluation of the 
seriousness of the injury.
    (2) Causality of injuries. Consideration shall then be given to the 
amenability of a product hazard to injury reduction through standard 
setting, information and education, or other Commission action. This 
step involves an analysis of the extent to which the product and other 
factors such as consumer behavior are causally related to the injury 
pattern. Priority shall be assigned to products according to the extent 
of product causality involvement and the extent of injuries that can 
reasonably be expected to be reduced or eliminated through commission 
action.
    (3) Chronic illness and future injuries. Certain products, although 
not presently associated with large numbers of frequent or severe 
injuries, deserve priority attention if there is reason to believe that 
the products will in the future be associated with many such injuries. 
Although not as susceptible to measurements as other product related 
injuries and illnesses, these risks shall be evaluated on the basis of 
the best information available and given priority on the basis of the 
predicted future illnesses and injuries and the effectiveness of 
Commission action in reducing or eliminating them.
    (4) Cost and benefit of CPSC action. Consideration shall be given on 
a preliminary basis to the prospective cost of Commission action to 
consumers and producers, and to the benefits expected to accrue to 
society from the resulting reduction of injuries. Consideration of 
product cost increases will be supplemented to the extent feasible and 
necessary by assessments of effects on utility or convenience of the 
product; product sales and shifts to substitutes; and industry supply 
factors, competitive structure, or employment. While all these facets of 
potential social ``cost'' cannot be subsumed in a single, quantitative 
cost measure, they will be weighed, to the extent they are available, 
against injury reduction benefits. The benefit estimates will be based 
on (i) explicitly stated expectations as to the effectiveness of 
regulatory options (derived from criterion (2), ``causality of 
injuries''); (ii) costs of injuries and deaths based on the latest 
injury cost data and analyses available to the Commission; (iii) 
explicit estimates or assumptions as to average product lives; and (iv) 
such other factors as may be relevant in particular cases. The 
Commission recognizes that in analyzing benefits as well as costs there 
will frequently be modifying factors--e.g., criteria (5) and (6)--or 
analytical uncertainties that complicate matters and militate against 
reliance on single numerical expressions. Hence the Commission cannot 
commit itself to priorities based solely on the preliminary cost/benefit 
comparisons that will be available at the stage of priority setting, nor 
to any one form of comparison such as net benefits or cost-benefit 
ratios. Commission costs will also be considered. The Commission has a 
responsibility to insure that its resources are utilized efficiently. 
Assuming other factors to be equal, a higher priority will be assigned 
to those products which can be addressed using fewer Commission 
resources.
    (5) Unforeseen nature of the risk. Other things being equal, 
consideration should be to the degree of consumer awareness both of the 
hazard and of its consequences. Priority could then be given to 
unforeseen and unforeseeable risks arising from the ordinary use of a 
product.
    (6) Vulnerability of the population at risk. Children, the elderly, 
and the handicapped are often less able to judge or escape certain 
dangers in a

[[Page 20]]

consumer product or in the home environment. Because these consumers 
are, therefore, more vulnerable to danger in products designed for their 
special use or frequently used by them, the Commission will usually 
place a higher priority, assuming other factors are equal, on preventing 
product related injury to children, the handicapped, and senior 
citizens.
    (7) Probability of exposure to hazard. The Commission may also 
consider several other things which can help to determine the likelihood 
that a consumer would be injured by a product thought to be hazardous. 
These are the number of units of the product that are being used by 
consumers, the frequency with which such use occurs, and the likelihood 
that in the course of typical use the consumer would be exposed to the 
identified risk of injury.
    (8) Additional criteria. Additional criteria may arise that the 
staff believes warrant the Commission's attention. The Commission 
encourages the inclusion of such criteria for its consideration in 
establishing priorities. The Commission recognizes that incontrovertible 
data related to the criteria identified in this policy statement may be 
difficult to locate or develop on a timely basis. Therefore, the 
Commission may not require extensive documentation on each and every 
criterion before making a decision. In addition, the Commission 
emphasizes that the order of listing of the criteria in this policy is 
not intended to indicate either the order in which they are to be 
considered or their relative importance. The Commission will consider 
all the criteria to the extent feasible in each case, and as 
interactively or jointly as possible.

(Sec. 4, 15 U.S.C. 2053, 86 Stat. 1210; as amended by sec. 4, Pub. L. 
94-284)

[42 FR 53953, Oct. 4, 1977]



Sec. 1009.9  Policy regarding the granting of emergency exemptions from Commission regulations.

    (a) This document states the Consumer Product Safety Commission's 
policy with respect to emergency requests for exemptions for companies 
which inadvertently produce products that do not conform to Commission 
regulations issued under the five acts the Commission administers. These 
acts are the Consumer Product Safety Act, the Federal Hazardous 
Substances Act, the Flammable Fabrics Act, the Poison Prevention 
Packaging Act of 1970 and the Refrigerator Safety Act. While the 
Commission is reluctant to grant such requests, it believes that the 
public should be apprised of the manner in which it rules on exemption 
requests and therefore is publishing the policy to provide guidance to 
industry and others making such requests. The publication of the policy 
will also serve to inform the public of the criteria that the Commission 
uses in ruling upon such requests. This policy is intended to cover 
emergency requests for exemptions and, while relevant, is not intended 
to limit the discretion of CPSC staff to close or not to open cases in 
the routine enforcement of CPSC regulations.
    (b) The policy governs requests for exemption from any regulation 
under any act the Commission administers. The policy lists criteria the 
Commission considers in deciding whether to grant or deny an exemption 
request and therefore, should provide guidance to companies on the types 
of information to be submitted with requests. In addition, published 
Commission procedures regarding petitioning for amendments to 
regulations may assist companies in determining what supporting data to 
submit with a request. (See, for example, existing Commission procedures 
at 16 CFR 1110, 16 CFR 1607.14, 16 CFR 1500.82 and 16 CFR 1500.201). The 
exemption requests themselves should be filed with the Office of the 
Secretary of the Commission.
    (c) It is the general policy of the Commission that when a 
particular exemption request is made and granted, all similarly situated 
persons are accorded the same relief as the person who requested the 
exemption. Therefore, when any amendment to a Commission regulation is 
proposed or a statement of enforcement policy is issued, the document to 
the extent practicable will be phrased in objective terms so that all 
similarly situated persons will be able to determine whether their 
products would fall within the relief.

[[Page 21]]

    (d) In deciding whether to grant or deny an exemption request, the 
Commission considers the following general criteria:
    (1) The degree to which the exemption if granted would expose 
consumers to an increased risk of injury: The Commission does not 
believe it should exempt products which would present a significantly 
greater risk to consumers than complying products. Therefore, the 
Commission will not grant exemption requests in such cases.
    (2) The cost to the Commission of granting emergency requests: 
Granting emergency exemption requests will in most cases require 
drafting a proposed and a final amendment or a statement of enforcement 
policy for publication in the Federal Register. Such action may also 
require the Commission to monitor the sale or distribution of the 
products. These activities consume scarce Commission resources. In some 
instances, the costs to the Commission may exceed the benefit to be 
derived by a company and similarly situated companies. If so, the 
Commission may deny the request on this ground.
    (3) The precedential effect of exempting some products: The 
Commission recognizes that decisions to exempt some products set 
precedents in at least two ways. First, they indicate to companies that 
the CPSC will permit deviations to a given regulation. Second, they 
indicate to companies that the CPSC will permit deviations to 
regulations in general. Both precedents, if set carelessly by the CPSC, 
could result in many requests for exemption and could undermine the 
stability and integrity of the Commission's regulations.
    (e) In deciding whether to grant or deny an exemption request, the 
Commission also considers the following factors which relate 
specifically to the company making the request: (If the request is 
granted, all similarly situated companies, however, will be accorded the 
same relief).
    (1) The nature of the emergency exemption request: The Commission 
will not reward bad quality control or faulty design work by permitting 
companies to market their mistakes. Although it is difficult to detail 
specific instances, the Commission is sympathetic to companies that 
produced noncomplying products due to factors beyond their immediate 
control or despite their best efforts.
    (2) The economic loss which a company will suffer if its emergency 
request is denied: The greater the loss a company may suffer the more 
likely the Commission will favorably consider an exemption. However, the 
Commission does not believe economic loss alone should be determinative 
of an emergency exemption request.
    (3) The fairness to competitors: The Commission is reluctant to 
grant relief if it could place the company at an unfair competitive 
advantage over other companies which have successfully complied with the 
same regulation. Therefore, the Commission will afford the same relief 
to similarly situated companies, and will decline to grant a request 
where unfair competitive advantage may result.

(15 U.S.C. 1191, 1261, 1471, 2051, 2111)

[44 FR 40639, July 12, 1979]

                          PART 1010 [RESERVED]



PART 1011--NOTICE OF AGENCY ACTIVITIES--Table of Contents




Sec.
1011.1 General policy considerations; scope.
1011.2 Definitions.
1011.3 General requirements for various kinds of meetings.
1011.4 Forms of advance public notice of meetings; Public Calendar/
          Master Calendar and Federal Register.

    Authority: 5 U.S.C. 552b(g); Pub. L. 92-573, 86 Stat. 1207 (15 
U.S.C. 2051-81) as amended by Pub. L. 94-284, 90 Stat. 503, Pub. L. 95-
319, 92 Stat. 386, Pub. L. 95-631, 92 Stat. 3742; Pub. L. 90-189, 81 
Stat. 568 (15 U.S.C. 1191-1204); Pub. L. 86-613, 74 Stat. 372, as 
amended by Pub. L. 89-756, 80 Stat. 1303, and Pub. L. 91-113, 83 Stat. 
187 (15 U.S.C. 1261-74); Pub. L. 91-601, 84 Stat. 1670 (15 U.S.C. 1471-
76) and the Act of Aug. 7, 1956, 70 Stat. 953 (15 U.S.C. 1211-14).

    Source: 46 FR 38322, July 24, 1981, unless otherwise noted.



Sec. 1011.1  General policy considerations; scope.

    (a) In order for the Consumer Product Safety Commission to properly 
carry out its mandate to protect the

[[Page 22]]

public from unreasonable risks of injury associated with consumer 
products, the Commission has determined that it must involve the public 
in its activities to the fullest possible extent.
    (b) To ensure public confidence in the integrity of Commission 
decisionmaking, the Agency, to the fullest possible extent, will conduct 
its business in an open manner free from any actual or apparent 
impropriety.
    (c) This part 1011 presents general provisions concerning public 
notice for various types of Agency activities.



Sec. 1011.2  Definitions.

    As used in this part 1011, the following terms shall have the 
meanings set forth:
    (a) Agency. The entire organization which bears the title Consumer 
Product Safety Commission (CPSC).
    (b) Agency staff. Employees of the Agency other than the five 
Commissioners.
    (c) Commissioner. An individual who belongs to the collegial body 
heading the CPSC.
    (d) Commission. The Commissioners of the Consumer Product Safety 
Commission acting in an official capacity.
    (e) Commission Meeting. A meeting of the Commissioners subject to 
the Government in the Sunshine Act, 5 U.S.C. 552b. This term is more 
fully defined in the Commission's regulations under the Government in 
the Sunshine Act, 16 CFR part 1013.
    (f) Agency meeting. A meeting between Agency personnel, including 
individual Commissioners, and outside parties. This term and the term 
``outside party'' are more fully defined in the Commission's Meeting 
Policy, 16 CFR part 1012.



Sec. 1011.3  General requirements for various kinds of meetings.

    Meetings which involve Agency staff or the Commissioners, other than 
Commission meetings, are classified in the following categories and 
shall be held according to the procedures outlined within each category.
    (a) Hearings. Hearings are public inquiries held by direction of the 
Commission for the purpose of fact finding or to comply with statutory 
requirements. The Office of the Secretary is responsible for providing 
transcription services at the hearings. Where possible, notice of 
forthcoming hearings will be published in the Public Calendar and the 
Federal Register at least 30 days before the date of the hearings.
    (b) Meetings between Commissioners or Agency staff and outside 
parties. The requirements for Agency meetings between Commissioners or 
Agency staff and outside parties involving substantial interest matters 
are contained in 16 CFR part 1012.
    (c) Commission meetings. The requirements for Commission meetings 
under the Government in the Sunshine Act, 5 U.S.C. 552b are contained in 
16 CFR part 1013.
    (d) Staff meetings. As a general rule, only Agency employees attend 
staff meetings. At the discretion of the participants, Staff meetings 
may be listed on the Public Calendar and attendance by the public may be 
permitted. Recordkeeping is at the discretion of the participants.
    (e) Advisory committee meetings. Meetings of the Agency's advisory 
committees are scheduled by the Commission. Advance notice will be given 
in both the Public Calendar and the Federal Register. Advisory committee 
meetings serve as a forum for discussion of matters relevant to the 
Agency's statutory responsibilities with the objective of providing 
advice and recommendations to the Commission. The Agency's advisory 
committees are the National Advisory Committee for the Flammable Fabrics 
Act, the Product Safety Advisory Council, the Technical Advisory 
Committee on Poison Prevention Packaging and the Toxicological Advisory 
Board. The Office of the Secretary is responsible for the recordkeeping 
for such meetings. The Commission's regulation for the management of its 
advisory committees is set out in 16 CFR part 1018.



Sec. 1011.4  Forms of advance public notice of meetings; Public Calendar/Master Calendar and Federal Register.

    Advance notice of Agency activities is provided so that members of 
the public may know of and participate in these activities to the 
fullest extent

[[Page 23]]

possible. Where appropriate, the Commission uses the following types of 
notice for both Agency meetings subject to 16 CFR part 1012 and 
Commission meetings subject to 16 CFR part 1013:
    (a) Public Calendar/Master Calendar. (1) The printed Public Calendar 
and the Master Calendar maintained in the Office of the Secretary are 
the principal means by which the Agency notifies the public of its day-
to-day activities. The Public Calendar and/or Master Calendar provide 
advance notice of public hearings, Commission meetings, Agency meetings 
with outside parties involving substantial interest matters, other 
Agency meetings, selected staff meetings, advisory committee meetings, 
and other activities such as speeches and participation in panel 
discussions, regardless of the location. The Public Calendar also lists 
recent CPSC Federal Register issuances and Advisory Opinions of the 
Office of the General Counsel.
    (2) Upon request in writing to the Office of the Secretary, Consumer 
Product Safety Commission, Washington, D.C. 20207, any person or 
organization will be sent the Public Calendar on a regular basis free of 
charge. In addition, interested persons may contact the Office of the 
Secretary to obtain information from the Master Calendar which is kept 
current on a daily basis.
    (3) The Public Calendar and the Master Calendar, supplemented by 
meeting summaries, are intended to serve the requirements of section 
27(j)(8) of the Consumer Product Safety Act (15 U.S.C. 2076(j)(8)).
    (b) Federal Register. Federal Register is the publication through 
which official notifications, including formal rules and regulations of 
the Agency, are made. Because the Public Calendar and/or Master Calendar 
are the primary devices through which the Agency notifies the public of 
its routine, daily activities, the Federal Register will be utilized 
only when required by the Government in the Sunshine Act (as provided in 
16 CFR part 1013) or other applicable law, or when the Agency believes 
that the additional coverage which the Federal Register can provide is 
necessary to assist in notification to the public of important meetings.



PART 1012--MEETINGS POLICY--MEETINGS BETWEEN AGENCY PERSONNEL AND OUTSIDE PARTIES--Table of Contents




Sec.
1012.1 General policy considerations; scope.
1012.2 Definitions.
1012.3 Advance public notice of agency meetings.
1012.4 Public attendance at agency meetings.
1012.5 Recordkeeping for agency meetings.
1012.6 The news media.
1012.7 Telephone conversations.

    Authority: Pub. L. 92-573, 86 Stat. 1207 (15 U.S.C. 2051-81) as 
amended by Pub. L. 94-284, 90 Stat. 503, Pub. L. 95-319, 92 Stat. 386, 
Pub. L. 95-631, 92 Stat. 3742; Pub. L. 90-189, 81 Stat. 568 (15 U.S.C. 
1191-1204); Pub. L. 86-613, 74 Stat. 372, as amended by Pub. L. 89-756, 
80 Stat. 1303, and Pub. L. 91-113, 83 Stat. 187 (15 U.S.C. 1261-74); 
Pub. L. 91-601, 84 Stat. 1670 (15 U.S.C. 1471-76) and the Act of Aug. 7, 
1956, 70 Stat. 953 (15 U.S.C. 1211-14).

    Source: 46 FR 38323, July 24, 1981, unless otherwise noted.



Sec. 1012.1  General policy considerations; scope.

    (a) To achieve its goals of involving the public in its activities 
and conducting its business in an open manner, the Agency, whenever 
practicable, shall notify the public in advance of all meetings 
involving matters of substantial interest held or attended by its 
personnel, and shall permit the public to attend such meetings. 
Furthermore, to ensure the widest possible exposure of the details of 
such meetings, the Agency will keep records of them freely available for 
inspection by the public.
    (b) This part 1012, the Agency's Meetings Policy, sets forth 
requirements for advance public notice, public attendance, and 
recordkeeping for Agency meetings.



Sec. 1012.2  Definitions.

    (a) As used in this part 1012, the following terms have the 
respective meanings set forth in paragraphs (a)-(d) of Sec. 1011.2 of 
this subchapter: ``Agency,'' ``Agency staff,'' ``Commissioner,'' 
``Commission.''
    (b) Agency meeting. Any face-to-face encounter, other than a 
Commission meeting subject to the Government in

[[Page 24]]

the Sunshine Act, 5 U.S.C. 552b, and part 1013, in which one or more 
employees, including Commissioners, discusses with an outside party any 
subject relating to the Agency or any subject under its jurisdiction. 
The term Agency meeting does not include telephone conversations, but 
see Sec. 1012.8 which relates to telephone conversations.
    (c) Outside party. Any person not an employee, not under contract to 
do work for the Agency, or not acting in an official capacity as a 
consultant to the Consumer Product Safety Commission, such as advisory 
committee members or offeror personnel. Examples of persons falling 
within this definition are representatives from industry and consumer 
groups. Members of the news media when acting in a newsgathering 
capacity are not outside parties. (See also Sec. 1012.7.) Officers and 
employees of the Federal Government when acting in their official 
capacities (except when advocating a particular course of action on 
behalf of an outside party) are not outside parties.
    (d) Substantial interest matter. Any matter, other than that of a 
trivial nature, that pertains in whole or in part to any issue that is 
likely to be the subject of a regulatory or policy decision by the 
Commission. Pending matters, i.e., matters before the Agency in which 
the Agency is legally obligated to make a decision, automatically 
constitute substantial interest matters. Examples of pending matters 
are: Scheduled administrative hearings; matters published for public 
comments; petitions under consideration; and mandatory standard 
development activities. The following are some examples of matters that 
do not constitute substantial interest matters: Inquiries concerning the 
status of a pending matter; discussions relative to general 
interpretations of existing laws, rules, and regulations; inspection of 
nonconfidential CPSC documents by the public; negotiations for 
contractual services; and routine CPSC activities such as recruitment, 
training, meetings involving consumer deputies, or meetings with 
hospital staff and other personnel involved in the National Electronic 
Injury Surveillance System.



Sec. 1012.3  Advance public notice of agency meetings.

    (a) Commissioners and Agency employees are responsible for reporting 
meeting arrangements for Agency meetings to the Office of the Secretary 
so that they may be published in the Public Calendar or entered on the 
Master Calendar at least seven days before a meeting, except as provided 
in paragraph (d) of this section. These reports shall include the 
following information:
    (1) Probable participants and their affiliations;
    (2) Date, time and place of the meeting;
    (3) Subject of the meeting (as fully and precisely described as 
possible);
    (4) Who requested the meeting;
    (5) Whether the meeting involves matters of substantial interest;
    (6) Notice that the meeting is open or reason why the meeting or any 
portion of the meeting is closed (e.g., discussion of trade secrets); 
and
    (7) Names and telephone number of the CPSC host or CPSC contact 
person.
    (b) Once a report has been made to the Office of the Secretary, 
Agency employees subsequently desiring to attend the meeting need not 
notify the Office of the Secretary.
    (c) When there is no opportunity to give seven days advance notice 
of a meeting, Agency employees (other than the Commissioners or their 
personal staff) who desire to hold or attend such a meeting must obtain 
the approval of the General Counsel or his or her designee. Requests for 
waiver of the seven-day advance notice requirement by members of the 
staff who report to the Executive Director may only be submitted to the 
General Counsel or his or her designee in writing by the Executive 
Director or his or her designee. Personal staff of Commissioners must 
obtain the approval of their respective Commissioners. If the short 
notice is approved, the Agency employee must notify the Office of the 
Secretary in advance of the meeting to record the meeting on the Master 
Calendar. The Office of the Secretary shall publish notice of the 
meeting as an addendum to the next Public Calendar.
    (d) Exceptions. The notice requirement shall not apply to:

[[Page 25]]

    (1) Meetings with outside parties not involving substantial interest 
matters (although such meetings should be limited where the public 
interest would be served);
    (2) Meetings with outside parties held during the normal course of 
surveillance, inspection, or investigation under any of the Acts 
administered by the Commission, including informal citation hearings 
under the Federal Hazardous Substance Act or the Poison Prevention 
Packaging Act;
    (3) Meetings with outside parties concerning the settlement or 
negotiation of an individual case, including proposed remedial action, 
or meetings concerning any administrative or judicial action in which 
the outside party is a participant, party, or amicus curiae;
    (4) Routine speeches given by CPSC personnel before outside parties. 
However, for information purposes, personnel are encouraged to submit 
advance notice of these speeches to the Office of the Secretary for 
inclusion in the Public Calendar;
    (5) Meetings with other Federal personnel that are also attended by 
outside parties except where a specific matter to be discussed is also 
pending before the Commission or its staff;
    (6) Meetings with state, local or foreign government personnel 
concerning intergovernmental cooperative efforts and not the advocacy of 
a particular course of action on behalf of a constituency of the 
governmental entity;
    (7) Meetings or discussions with or at the request of either members 
of Congress and their staffs relating to legislation, appropriation or 
oversight matters, or Management and Budget personnel relating to 
legislation or appropriation matters;
    (8) Pre-proposal conferences involving confidential contracts made 
pursuant to 41 U.S.C. 252(c)(12) in connection with potential litigation 
matters.



Sec. 1012.4  Public attendance at agency meetings.

    (a) Any person may attend any meeting involving a substantial 
interest matter unless that meeting has been listed as a closed meeting. 
For meetings not involving substantial interest matters, the chairperson 
of the meeting may exercise his or her discretion to allow attendance by 
a member of the public.
    (b) When meetings between Agency employees and outside parties are 
open to the public, attendance may be limited by space. When feasible, a 
person or organization desiring to attend such a meeting should give at 
least one day advance notice to one of the employees holding or 
attending the meeting so that sufficient space can be arranged for all 
those wishing to attend.
    (c) Members of the public attending Agency meetings generally may 
observe only. The chairperson of the meeting may exercise his or her 
discretion to permit members of the public to participate as well.
    (d) The following Agency meetings are not open to the public:
    (1) Meetings, or, if possible, portions of meetings where the 
General Counsel or his or her designee has determined that proprietary 
data are to be discussed in such a manner as to imperil their 
confidentiality;
    (2) Meetings held by outside parties at which limits on attendance 
are imposed by lack of space, provided that such meetings are open to 
the news media;
    (3) Meetings with outside parties held during the normal course of 
surveillance, inspection, or investigation under any of the Acts 
administered by the Commission, including informal citation hearings 
under the Federal Hazardous Substances Act or the Poison Prevention 
Packaging Act;
    (4) Meetings with outside parties concerning the settlement or 
negotiation of an individual case, including proposed remedial action, 
or meetings concerning any administrative or judicial action in which 
the outside party is a participant, party, or amicus curiae;
    (5) Meetings with other Federal personnel that are attended by 
outside parties except where a specific matter to be discussed is also 
pending before the Commission or its staff;
    (6) Meetings with state, local or foreign government personnel 
concerning intergovernmental cooperative efforts and not the advocacy of 
a particular course of action on behalf of a constituency of the 
governmental entity;
    (7)(i) Meetings between Agency staff (other than Commissioners and 
their

[[Page 26]]

personal staff) and an outside party when the General Counsel or his or 
her designee determines that extraordinary circumstances require that 
the meeting be closed. Requests for exemption by members of the staff 
who report to the Executive Director may be submitted to the General 
Counsel or his or her designee in writing only by the Executive Director 
or his or her designee. In such a case, the reasons for closing the 
meeting or a portion of the meeting shall be stated in the Public 
Calendar notice announcing the meeting;
    (ii) Meetings between a Commissioner (or his or her personal staff) 
and an outside party when, in the opinion of the Commissioner, 
extraordinary circumstances require that the meeting be closed. In such 
a case, the reasons for closing the meeting or a portion of the meeting 
must be stated in the Public Calendar notice announcing the meeting;
    (8) Meetings or discussions with or at the request of either members 
of Congress and their staffs relating to legislation, appropriation or 
oversight matters, or Management and Budget personnel relating to 
legislation or appropriation matters; and
    (9) Pre-proposal conferences involving confidential contracts made 
pursuant to 41 U.S.C. 252(c)(12), in connection with the potential 
litigation matters.



Sec. 1012.5  Recordkeeping for agency meetings.

    (a) This section describes and establishes requirements for the two 
types of records maintained for Agency meetings, Agency meeting 
summaries and transcripts.
    (b) Agency meeting summaries. Agency meeting summaries are written 
records settling forth the issues discussed at all Agency meetings with 
outside parties involving substantial interest matters. Any Commission 
employee who holds or attends an Agency meeting involving a substantial 
interest matter must prepare a meeting summary. However, only one agency 
meeting summary is required for each meeting even if more than one CPSC 
employee holds or attends the meeting. Agency meeting summaries are 
generally available to the public in the Agency's Public Reading Room in 
the Office of the Secretary as described in paragraph (b)(2) of this 
section.
    (1) An agency meeting summary should state the essence of all 
substantive matters relevant to the Agency, especially any matter 
discussed which was not listed on the Public Calendar, and should 
describe any decisions made or conclusions reached regarding substantial 
interest matters. An agency meeting summary should also indicate the 
date of the meeting and the identity of persons who attended.
    (2) An agency meeting summary or a notice of cancellation of the 
meeting must be submitted to the Office of the Secretary within twenty 
(20) calendar days after the meeting for which the summary is required. 
The Office of the Secretary shall maintain a file of the meeting 
summaries in chronological order, which shall be available to the public 
to the extent permitted by law.
    (c) Transcripts. Transcripts are generally taken at public hearings 
and certain Agency meetings when complex subjects indicate verbatim 
records are desirable. The transcript may also include exhibits 
submitted to be part of the formal record of an Agency meeting. Copies 
of such transcripts are placed on file for public inspection in the 
Office of the Secretary.



Sec. 1012.6  The news media.

    The Agency recognizes that the news media occupy a unique position 
in informing the public of the Agency's activities. The Commission 
believes that the inherently public nature of the news media allows 
their activities to be exempt from the requirements of this part 
whenever Agency meetings are held with the news media for the purpose of 
informing them about Agency activities. Such Agency meetings are not 
exempt in the event that any representative of the news media attempts 
to influence any Agency employee on a substantial interest matter.



Sec. 1012.7  Telephone conversations.

    (a) Telephone conversations present special problems regarding 
Agency meetings. The Commission recognizes that persons outside the 
Agency have a

[[Page 27]]

legitimate right to receive information and to present their views 
regarding Agency activities. The Commission also recognizes that such 
persons may not have the financial means to travel to meet with Agency 
employees. However, because telephone conversations, by their very 
nature, are not susceptible to public attendance, or participation, 
Agency employees must take care to ensure that telephone conversations 
are not utilized to circumvent the provisions of this part.
    (b) Two basic rules apply to telephone conversations:
    (1) Any Agency employee holding a telephone conversation in which 
substantial interest matters are discussed with an outside party must 
prepare a telephone call summary of the conversation. The summary must 
meet the requirements of Sec. 1012.5(b), and must be submitted to the 
Office of the Secretary within twenty (20) calendar days of the 
conversation. The Office of the Secretary shall maintain file of 
telephone call summaries in chronological order which shall be available 
to the public to the extent permitted by law.
    (2) All Agency employees must exercise sound judgment in discussing 
substsantial interest matters during a telephone conversation. In the 
exercise of such discretion Agency employees should not hesitate to 
terminate a telephone conversation and insist that the matters being 
discussed be postponed until an Agency meeting with appropriate advance 
public notice may be scheduled, or, if the outside party is financially 
or otherwise unable to meet with the Agency employee, until the matter 
is presented to the Agency in writing.



PART 1013--GOVERNMENT IN THE SUNSHINE ACT, RULES FOR COMMISSION MEETINGS--Table of Contents




Sec.
1013.1 General policy considerations; scope.
1013.2 Definitions.
1013.3 Announcement of Commission meetings and changes after 
          announcement.
1013.4 Public attendance at Commission meetings.
1013.5 Recordkeeping requirements.
1013.6 Public availability of transcripts, recordings and minutes of 
          Commission meetings.

    Authority: 5 U.S.C. 552b(g).

    Source: 46 FR 38326, July 24, 1981, unless otherwise noted.



Sec. 1013.1  General policy considerations; scope.

    (a) In enacting the Government in the Sunshine Act, 5 U.S.C. 552b, 
the Congress stated the policy that, to the fullest practicable extent, 
the public is entitled to information regarding the decisionmaking 
processes of the Federal Government. The purpose of the Government in 
the Sunshine Act is to provide the public with such information while 
protecting both the rights of individuals and the ability of the 
Government to carry out its responsibilities. When the Commissioners of 
the Consumer Product Safety Commission hold meetings for the purpose of 
jointly conducting or disposing of Commission business they will conduct 
these meetings in accordance with the provisions of the Government in 
the Sunshine Act.
    (b) This part 1013 prescribes rules the Commission follows in 
carrying out the Government in the Sunshine Act.



Sec. 1013.2  Definitions.

    (a) As used in this part 1013, the following terms shall have the 
respective meanings set forth in paragraphs (a), (c) and (d) of 
Sec. 1011.2 of this subchapter: ``Agency,'' ``Commissioner,'' 
``Commission.''
    (b) Majority of the Commission. Three or more of the Commissioners.
    (c) Commission meeting. The joint deliberations of at least a 
majority of the Commission where such deliberations determine or result 
in the joint conduct or disposition of official Agency business. This 
term does not include meetings required or permitted by Sec. 1013.4(b) 
(to determine whether a meeting will be open or closed), meetings 
required or permitted by Sec. 1013.3(e) (to change the subject matter of 
a meeting or the determination to open or close a meeting after the 
public announcement) or meetings required or permitted by 1013.3(c) (to 
dispense with the one week advance notice of a meeting).

[[Page 28]]



Sec. 1013.3  Announcement of Commission meetings and changes after announcement.

    (a) The Secretary of the Commission is responsible for preparing and 
making public the announcements and notices relating to Commission 
meetings that are required in this part.
    (b) The Agency shall announce each Commission meeting in the Public 
Calendar or Master Calendar at least one week (seven calendar days) 
before the meeting. The Agency shall concurrently submit the 
announcement for publication in the Federal Register. The announcement 
and the Federal Register notice shall contain the following information:
    (1) The date, time, and place of the meeting;
    (2) The subject matter of the meeting;
    (3) Whether the meeting will be open or closed to the public;
    (4) The name and phone number of the official who responds to 
requests for information about the meeting.
    (c) If a majority of the Commission determines by recorded vote that 
Agency business requires calling a meeting without seven calendar days 
advance public notice, the Office of the Secretary shall announce this 
determination in the Public Calendar or Master Calendar at the earliest 
practicable time and shall concurrently transmit the announcement for 
publication in the Federal Register.
    (d) When necessary and at the direction of the Chairman, the 
Secretary shall change the time of a Commission meeting after the 
announcement in the Public Calendar or Master Calendar. Any such change 
shall be entered on the Master Calendar and such other notice shall be 
given as is practicable.
    (e) After announcement of a Commission meeting in the Public 
Calendar or Master Calendar, the Commission may change the subject 
matter of a Commission meeting or the decision to open or close a 
Commission meeting or portion thereof to the public, only if a majority 
of the Commission determines by recorded vote that Agency business so 
requires, and only if a majority of the Commission determines by 
recorded vote that no earlier announcement of the change was possible. 
The Commission shall announce the change in the Public Calendar or 
Master Calendar at the earliest practicable time before the meeting and 
shall concurrently transmit the announcement for publication in the 
Federal Register. Announcement of the change shall include the vote of 
each Commissioner upon the change. (See also Sec. 1013.4(d) for 
requirements for Commission reconsideration of a decision to open or 
close a meeting to the public.)



Sec. 1013.4  Public attendance at Commission meetings.

    (a) Attendance by the public. Every portion of every Commission 
meeting shall be open to public observation except as provided in 
paragraph (b) of this section. Notwithstanding the applicability of the 
exemptions contained in paragraph (b) of this section, a Commission 
meeting or portions thereof shall be open to public observation when the 
Commission determines that the public interest so requires. The 
Commission shall take into account in all cases the relative advantages 
and disadvantages to the public of conducting the Commission meeting in 
open session. The number of public observers shall be limited only by 
availability of space. Attendance by the public shall usually be limited 
to observation and shall not include participation except where, by 
majority vote, the Commission determines that data or views from certain 
members of the public will be permitted. To the extent their use does 
not interfere with the conduct of open meetings, cameras and sound-
recording equipment may be used at open Commission meetings. The 
Chairman or presiding Commissioner shall insure that use of such 
equipment does not disrupt the meeting.
    (b) Exemptions to the requirement of openness. The requirement in 
paragraph (a) of this section that all Commission meetings be open to 
public observation shall not apply to any Commission meeting or portion 
thereof for which the Commission has determined in accordance with the 
procedures for closing meetings set forth in paragraph (c) of this 
section, that such meeting or portion thereof is likely to:

[[Page 29]]

    (1) Disclose matters that are specifically authorized under criteria 
established by an Executive Order to be kept secret in the interest of 
national defense or foreign policy and in fact are properly classified 
pursuant to such Executive Order;
    (2) Relate solely to the internal personnel rules and practices of 
the Agency;
    (3) Disclose matters specifically exempted from disclosure by 
statute (other than 5 U.S.C. 552): Provided, That such statute (i) 
requires that the matters be withheld from the public in such a manner 
as to leave no discretion on the issue, or (ii) establishes particular 
criteria for withholding or refers to particular types of matters to be 
withheld;
    (4) Disclose trade secrets and commercial or financial information 
obtained from a person and privileged or confidential;
    (5) Involve accusing any person of a crime, or formally censuring 
any person;
    (6) Disclose information of a personal nature where disclosure would 
constitute a clearly unwarranted invasion of personal privacy;
    (7) Disclose investigatory records compiled for law enforcement 
purposes or information which if written would be contained in such 
records, but only to the extent that the production of such records or 
information would,
    (i) Interfere with enforcement proceedings,
    (ii) Deprive a person of a right to a fair trial or an impartial 
adjudication,
    (iii) Constitute an unwarranted invasion of personal privacy,
    (iv) Disclose the identity of a confidential source and, in the case 
of a record compiled by a criminal law enforcement authority in the 
course of a criminal investigation, or by an agency conducting a lawful 
national security intelligence investigation, confidential information 
furnished only by the confidential source,
    (v) Disclose investigative techniques and procedures or,
    (vi) Endanger the life or physical safety of law enforcement 
personnel;
    (8) Disclose information contained in or related to examination, 
operating or condition reports prepared by, on behalf of, or for the use 
of an agency responsible for the regulation or supervision of financial 
institutions;
    (9) Disclose information the premature disclosure of which would be 
likely to significantly frustrate implementation of a proposed Agency 
action. This provision does not apply in any instance where the Agency 
has already disclosed to the public the content or nature of its 
proposed action, or where the Agency is required by law to make such 
disclosure on its own initiative prior to taking final agency action on 
such proposal; or
    (10) Specifically concern the Agency's issuance of a subpoena, or 
the Agency's participation in a civil action or proceeding, an action in 
a foreign court or international tribunal, or an arbitration, or the 
initiation, conduct, or disposition by the Agency of a particular case 
of formal agency adjudication pursuant to the procedures in 5 U.S.C. 554 
or otherwise involving a determination on the record after opportunity 
for a hearing.
    (c) Procedure for closing Commission Meetings. The following 
procedure shall be followed in closing a Commission meeting or portion 
thereof to public observation:
    (1) A majority of the Commission must vote to close a meeting or 
portion thereof to public observation pursuant to paragraph (b) of this 
section. A separate vote of the Commission shall be taken for each 
matter with respect to which a Commission meeting is proposed to be 
closed to public observation. Each such vote may, at the discretion of 
the Commission, apply to that portion of any meeting held within the 
following thirty days in which such matter is to be discussed. The vote 
of each Commissioner participating in such vote shall be recorded and no 
proxies shall be allowed.
    (2) Any person whose interest may be directly affected if a portion 
of a Commission meeting is open may request in writing to the Office of 
the Secretary that the Commission close that portion of the meeting on 
the basis of paragraph (b) (5), (6), or (7) of this section. The 
Commission shall vote on such requests if at least one Commissioner 
desires to do so.

[[Page 30]]

    (3) Before the Commission may hold a closed meeting the General 
Counsel must certify that in his or her opinion, the meeting may 
properly be closed to the public. Such certification shall be in writing 
and shall state each relevant exemptive provision.
    (4) Within one day of a vote in accordance with paragraph (c) (1) or 
(2) of this section to close a Commission meeting or portion thereof, 
the Secretary shall make available to the public a notice setting forth:
    (i) The results of the vote reflecting the vote of each 
Commissioner;
    (ii) A full explanation of the action of the Commission closing the 
meeting or portion thereof, including reference to the specific basis 
for such closing (see paragraph (b) of this section) and an explanation, 
(without disclosing exempt information), of why the Commission concludes 
on balance, taking into account the relative advantages and 
disadvantages to the public of conducting the meeting in open or closed 
session, that the public interest would best be served by closing the 
meeting;
    (iii) A list of all non-Agency personnel expected to attend the 
meeting and their affiliations; and
    (iv) A certification by the General Counsel that in his or her 
opinion, the meeting may properly be closed to the public. If a vote to 
close a Commission meeting takes place on the same day as the meeting, 
the certification must be made available to the public before the 
meeting is convened.
    (5) The public release of the portion of the written statement 
required by paragraph (c)(4)(ii) of this section may be delayed upon a 
determination by the Commission, by recorded vote, that such a notice, 
or portion thereof, would disclose information which may be withheld in 
accordance with paragraphs (b) (1) through (10) of this section.
    (d) Reconsideration of a decision to open or close a Commission 
meeting. The Commission may, in accordance with the procedures in 
Sec. 1013.3(3) or paragraph (c)(2) of this section, reconsider its 
decision to open or close a Commission meeting when it finds that the 
public interest so requires.

[46 FR 38326, July 24, 1981, as amended at 48 FR 36566, Aug. 12, 1983]



Sec. 1013.5  Recordkeeping requirements.

    (a) Commission meetings, transcripts, recordings, or minutes.
    (1) The Agency shall maintain a complete transcript or electronic 
recording of each Commission meeting, whether open or closed, except 
that in the case of a Commission meeting or portion thereof closed to 
the public pursuant to paragraph (b)(10) of Sec. 1013.4, the Agency may 
elect to maintain a set of meeting minutes instead of a transcript or a 
recording. Minutes of such closed Commission meetings shall:
    (i) Fully and clearly describe all matters discussed, and
    (ii) Provide a full and accurate summary of any actions taken and 
the reasons therefor, including a description of each of the views 
expressed on any item and the record of any roll call vote (reflecting 
the vote of each Commissioner on the question). All documents considered 
in connection with any action shall be identified in the meeting 
minutes.
    (2) The transcript, recording or minutes of closed Commission 
meetings shall include the certification by the General Counsel or by 
his or her designee, required by Sec. 1013.4(c)(3) and a statement by 
the presiding Commissioner setting forth the date, time and place of the 
meeting and the persons present.
    (3) The transcript, recording, or minutes of any Commission meeting 
may include attachments such as Commission opinions, briefing papers, or 
other documents presented at the meeting.
    (4) The transcript and accompanying material shall be maintained by 
the Secretary for a period of at least two years after the meeting, or 
until one year after the conclusion of any Agency proceeding with 
respect to which the meeting, or portion thereof, was held, whichever 
occurs later.
    (b) Minutes of Commission Decisions. Minutes of Commission Decisions 
summarizing the issues presented to the Commission for decision and 
indicating the vote of each Commissioner document the decisions of the 
Commission, whether made at open or closed meetings or by ballot vote. 
The Commission's final Minutes of Commission Decisions, issued by the 
Office of the Secretary, constitute the official means of

[[Page 31]]

recording the decisions of the Commission and the votes of individual 
Commissioners.



Sec. 1013.6  Public availability of transcripts, recordings and minutes of Commission meetings.

    (a) Availability of transcripts, recordings or minutes. The Agency 
shall make available to the public the transcript, recording or minutes 
of Commission meetings. However, unless the Commission finds that the 
public interest requires otherwise, any portion of the transcript, 
recording or minutes of a closed Commission meeting which is determined 
to contain information which may properly be withheld from the public on 
the basis of paragraphs (b) (1) through (10) of Sec. 1013.4 need not be 
made available to the public.
    (b) Procedures for making available transcripts, recordings or 
meeting minutes. Meeting records will be made available for inspection, 
or copies will be furnished, as requested, in accordance with the 
following procedures.
    (1) Requests. Requests for inspection or copies shall be in writing 
addressed to the Secretary, Consumer Product Safety Commission, 
Washington, D.C. 20207. A request must reasonably describe the 
Commission meeting, or portion thereof, including the date and subject 
matter or any other information which may help to identify the requested 
material.
    (2) Responses to requests. The responsibility for responding to 
requests for meeting records is vested in the Secretary of the 
Commission. In any case where the Secretary or his or her designee, in 
his or her discretion, determines that a request for an identifiable 
meeting record should be initially determined by the Commission, the 
Secretary or his or her designee may certify the matter to the 
Commission for decision. In that event, the Commission decision shall be 
made within the time limits set forth in paragraph (b)(5)(iii) of this 
section and shall be final.
    (3) Time limitations on responses to requests. The Secretary or his 
or her designee shall respond to all written requests for copies of 
meeting records within ten (10) working days. The time limitations on 
responses to requests shall begin to run as of the time a request for 
records is received and date stamped by the Office of the Secretary.
    (4) Responses. Form and content. When a requested meeting record has 
been identified and is available for disclosure the requester shall 
either be informed as to where and when the records will be made 
available for inspection or be supplied with a copy. A response denying 
a written request for a meeting record of a closed Commission meeting 
shall be in writing signed by the Secretary and shall include:
    (i) A reference to the specific exemptions under the Government in 
the Sunshine Act (5 U.S.C. 552b(c)) authorizing the denial; and
    (ii) A statement that the denial may be appealed to the Commission 
pursuant to paragraph (b)(5) of this section.
    (5) Appeals to the Commissioners. (i) When the Secretary or his or 
her designee has denied a request for records in whole or in part, the 
requester may, within 30 days of its receipt, appeal the denial to the 
Commissioners of the Consumer Product Safety Commission by writing to 
the attention of the Chairman, Consumer Product Safety Commission, 
Washington, D.C. 20207.
    (ii) The Commission will act upon an appeal within 20 working days 
of its receipt. The time limitations on an appeal begin to run as of the 
time an appeal is received by the Office of the Chairman and date 
stamped.
    (iii) The Commission's action on appeal shall be in writing, signed 
by the Chairman of the Commission if the appeal is denied and shall 
identify the Commissioners who voted for a denial. A denial in whole or 
in part of a request on appeal for records of a closed meeting shall set 
forth the exemption relied on and a brief explanation (without 
disclosing exempt information) of how the exemption applies to the 
records withheld. A denial in whole or in part shall also inform the 
requester of his or her right to seek judicial review as specified in 5 
U.S.C. 552b(h).
    (6) Fees. (i) Fees shall be charged for copies of transcriptions of 
recording or minutes in accordance with the schedule contained in 
paragraph (b)(6)(iii) of this section.
    (ii) There shall be no fee charged for services rendered in 
connection with

[[Page 32]]

production or disclosure of meeting records unless the charges, 
calculated according to the schedule below, exceed the sum of $25.00. 
Where the charges are calculated to be an amount in excess of $25.00, 
the fee charged shall be the difference between $25.00 and the 
calculated charges.
    (iii) The schedule of charges for furnishing copies of meeting 
records is as follows:
    (A) Reproduction, duplication or copying of transcripts or minutes: 
10 cents per page.
    (B) Reproduction of recordings: actual cost basis.
    (C) Transcription (where meeting records are in the form of a 
recording only): actual cost basis.
    (D) Postage: actual cost basis.



PART 1014--POLICIES AND PROCEDURES IMPLEMENTING THE PRIVACY ACT OF 1974--Table of Contents




Sec.
1014.1 Purpose and scope.
1014.2 Definitions.
1014.3 Procedures for requests pertaining to individual records.
1014.4 Requirements for identification of individuals making requests.
1014.5 Disclosure of requested information to individuals.
1014.6 Request for correction or amendment to a record.
1014.7 Agency review of request for correction or amendment of a record.
1014.8 Appeal of initial denial of access, correction or amendment.
1014.9 Disclosure of record to person other than the individual to whom 
          it pertains.
1014.10 Fees.
1014.11 Penalties.
1014.12 Specific exemptions.

    Authority: Privacy Act of 1974 (5 U.S.C. 552a).

    Source: 40 FR 53381, Nov. 18, 1975, unless otherwise noted.



Sec. 1014.1  Purpose and scope.

    This part sets forth the regulations of the Consumer Product Safety 
Commission implementing the Privacy Act of 1974 (Pub. L. 93-579). The 
purpose of these regulations is to inform the public about records 
maintained by the Commission which contain personal information about 
individuals, and to inform those individuals how they may seek access to 
and correct records concerning themselves. These regulations do not 
apply to requests for information made pursuant to the Freedom of 
Information Act (except where such disclosures would constitute an 
invasion of privacy of an individual).



Sec. 1014.2  Definitions.

    As used in this part:
    (a) Individual means a person who is a citizen of the United States 
or an alien lawfully admitted for permanent residence.
    (b) Privacy Act means the Privacy Act of 1974 (Pub. L. 93-579).
    (c) Record means any item of personal information relating to an 
individual, such as educational, employment, financial or medical 
information.
    (d) Statistical record means a record in a system of records 
maintained for statistical research or reporting purposes only and not 
used in whole or in part in making any determination about an 
identifiable individual.
    (e) System of records or records systems means a group of records 
maintained by the Commission from which information may be retrieved by 
the name of an individual or some other individual identifier.
    (f) Maintain includes the collection, use, storage, and 
dissemination of information.



Sec. 1014.3  Procedures for requests pertaining to individual records.

    (a) Any individual may request the Commission to inform him or her 
whether a particular record system named by the individual contains a 
record pertaining to him or her. The request may be made by mail or in 
person during business hours (8:30 a.m. to 5 p.m.) to the Freedom of 
Information/Privacy Act Officer, Office of the Secretary, Consumer 
Product Safety Commission, 4330 East West Highway, Bethesda, Maryland 
(mailing address: Consumer Product Safety Commission, Washington, DC 
20207).
    (b) An individual who believes that the Commission maintains a 
record pertaining to him or her but who cannot determine which record 
system may contain the record, may request assistance by mail or in 
person at the Office of the Secretary during business hours.

[[Page 33]]

    (c) A Commission officer or employee or former employee who desires 
to review or obtain a copy of a personnel record pertaining to him or 
her may make a request by mail or in person at the Office of Human 
Resources Management, Room 523, 4330 East West Highway, Bethesda, 
Maryland (mailing address: Consumer Product Safety Commission, 
Washington, DC 20207).
    (d) Each individual requesting the disclosure of a record or a copy 
of a record shall furnish the following information to the extent known 
with the request to the Freedom of Information/Privacy Act Officer or to 
the Division of Personnel's Processing Unit, as applicable:
    (1) A description of the record sought;
    (2) The approximate date of the record;
    (3) The name or other description of the record system containing 
the record;
    (4) Proof as required in Sec. 1014.4 that he or she is the 
individual to whom the requested record relates; and
    (5) Any other information required by the notice describing the 
record system.
    (e) An individual personally inspecting his or her records may be 
accompanied by other persons of his or her own choosing. The individual 
shall sign a written statement authorizing disclosure of the record in 
the other person's presence.
    (f) Any individual who desires to have a record concerning himself 
or herself disclosed to or mailed to another person may authorize that 
person to act as his or her agent for that specific purpose. The 
authorization shall be in writing, signed by the individual, and shall 
be notarized. An agent requesting the review or copy of another's record 
shall submit with the request the authorization and proof of his or her 
identify as required by Sec. 1014.4(c).
    (g) The parent of any minor individual or the legal guardian of any 
individual who has been declared by a court of competent jurisdiction to 
be incompetent, due to physical or mental incapacity or age, may act on 
behalf of that individual in any matter covered by this part. A parent 
or guardian who desires to act on behalf of such individual shall 
present suitable evidence of parentage or guardianship, by birth 
certificate, certified copy of a court order, or similar documents, and 
proof of the individual's identity in a form that complies with 
Sec. 1014.4(c).
    (h) An individual may request an accounting of all disclosures made 
to other persons or agencies of his or her record, except those 
disclosures made to law enforcement agencies pursuant to section (b)(7) 
of the Privacy Act (5 U.S.C. 552a(b)(7)). A request for accounting, 
whenever made, shall be treated as a request for disclosure of records.

[40 FR 53381, Nov. 18, 1975, as amended at 53 FR 52404, Dec. 28, 1988; 
62 FR 46667, Sept. 4, 1997]



Sec. 1014.4  Requirements for identification of individuals making requests.

    The following proof of identity is required for requests for records 
made pursuant to Sec. 1014.3:
    (a) An individual seeking a record about himself or herself in 
person may establish his or her identity by the presentation of a single 
document bearing a photograph (such as a passport or driver's license) 
or by a presentation of two items of identification which do not bear a 
photograph but do bear both a name and address. An individual who cannot 
provide documentation of his or her identity may provide a written 
statement affirming his or her identity and the fact that he or she 
understands the penalties for making false statements (18 U.S.C. 1001 
and 5 U.S.C. 552a(i)(3)).
    (b) An individual seeking a record by mail shall include a statement 
signed by the individual and properly notarized, that he or she appeared 
before a notary public and submitted proof of identity acceptable to the 
notary public.
    (c) Requests made by an agent, parent, or guardian shall, in 
addition to establishing the identity of the minor or other person he or 
she represents as required by paragraphs (a) and (b), establish his or 
her agency, parentage, or guardianship by documentation.
    (d) In any case in which the Commission determines that the proof of 
identity is not adequate, it may request the

[[Page 34]]

individual to submit additional proof of identity.



Sec. 1014.5  Disclosure of requested information to individuals.

    (a) Upon submission of proof of identity, the Office of the 
Secretary or the Director of Resource Utilization, as applicable, shall 
promptly forward the request to the system manager who will promptly 
allow the individual to see and/or have a copy of the requested record 
or send a copy of the record to the individual by mail, as requested by 
the individual. If the individual asks to see the record, the record 
should be made available for review and/or copying at the location where 
the record is maintained, in the Office of the Secretary, or the 
Director of Resource Utilization, or at the nearest Area Office.
    (b) If the system manager should determine, for any reason, that the 
requested records are exempt from the right of access, a notice of 
denial shall be sent to the requester stating the reasons for denial, 
and the requester's right to appeal the denial in accordance with the 
procedures set forth in Sec. 1014.8 of these regulations.



Sec. 1014.6  Request for correction or amendment to a record.

    (a) Any individual who has reviewed a record pertaining to himself 
or herself may request the Executive Director to correct or amend all or 
any part of the record.
    (b) Each request for a correction or amendment of a record shall be 
in writing and shall contain the following information:
    (1) The name of the individual requesting the correction or 
amendment;
    (2) The name or other description of the system of records in which 
the record sought to be amended is maintained;
    (3) The location of that record in the system of records to the 
extent that it is known;
    (4) A copy of the record sought to be amended or a description of 
that record;
    (5) A statement of the material in the record that should be 
corrected or amended;
    (6) A statement of the specific wording of the correction or 
amendment sought; and
    (7) A statement of the basis for the requested correction or 
amendment including any material that the individual can furnish to 
substantiate the reasons for the amendment sought.

[40 FR 53381, Nov. 18, 1975, as amended at 42 FR 22878, May 5, 1977]



Sec. 1014.7  Agency review of request for correction or amendment of a record.

    (a) Not later than 10 working days after the receipt of the request 
for the correction or amendment of a record under Sec. 1014.6, the 
responsible Commission official shall acknowledge receipt of the request 
and inform the individual whether further information is required before 
the correction or amendment can be considered.
    (b) The responsible Commission official will promptly review the 
request and either make the requested correction or amendment or notify 
the individual of his or her refusal to do so, including in the 
notification the reasons for the refusal, and the appeal procedures 
provided by Sec. 1014.8.
    (c) The responsible Commission official will make each requested 
correction or amendment to a record if that correction or amendment will 
correct anything within the record that is not accurate, relevant, 
timely, or complete. A copy of each corrected or amended record shall be 
furnished to the individual who requested the action. If an accounting 
of disclosure has been kept, all previous recipients of the record shall 
be notified of the correction and its substance.



Sec. 1014.8  Appeal of initial denial of access, correction or amendment.

    (a) Any individual whose request for access, correction or amendment 
to a record is denied, in whole or in part, may appeal that decision 
within 30 working days to the Chairman, Consumer Product Safety 
Commission, Washington, D.C. 20207.
    (b) The appeal shall be in writing and shall:
    (1) Name the individual making the appeal;

[[Page 35]]

    (2) Identify the record to which access is sought or which is sought 
to be corrected or amended;
    (3) Name or describe the record system in which the record is 
contained;
    (4) Contain a short statement describing the correction of amendment 
sought;
    (5) State the name and location of the Commission official who 
initially denied the correction or amendment; and
    (6) State the date of the initial denial.
    (c) Not later than 30 working days after the date on which the 
appeal is received, the Chairman shall complete a review of the appeal 
and make a final decision thereon. However, for good cause shown, the 
Chairman of the Commission may extend the 30-day period. If the Chairman 
so extends the period, he or she shall promptly notify the individual 
requesting the review that the extension has been made.
    (d) If after review of an appeal request, the Chairman also refuses 
to amend the record or grant access to the record in accordance with the 
request, he or she shall send a written notice to the requester 
containing the following information:
    (1) The decision and the reasons for the decision;
    (2) The right of the requester to institute a civil action in a 
Federal District Court for judicial review of the decision; and
    (3) The right of the requester to file with the Chairman a concise 
statement setting forth the reasons for his or her disagreement with the 
denial of the correction or amendment. A copy of the statement of 
disagreement shall be filed with the record in issue, and the record in 
issue shall be so marked as to indicate that there is a disagreement. 
The system manager shall make the statement of disagreement available to 
prior recipients of the disputed record to the extent that an accounting 
of disclosures was maintained, and to any person to whom the record is 
later disclosed, together with a brief statement, if deemed appropriate, 
of the reasons for denying the requested correction or amendment.

[40 FR 53381, Nov. 18, 1975, as amended at 42 FR 22878, May 5, 1977]



Sec. 1014.9  Disclosure of record to person other than the individual to whom it pertains.

    (a) Any person or agency (other than an officer or employee of the 
Commission who has a need for individual records in the performance of 
his or her duty) seeking disclosure of personal records of another 
individual which are contained in a system of records shall submit a 
request in accordance with the Commission's Procedures for Disclosure of 
Production of Information under the Freedom of Information Act (16 CFR 
part 1015, subpart A).
    (b) The determination of whether or not the requested disclosure is 
proper will be made in accordance with the provisions of the Freedom of 
Information Act, as amended (5 U.S.C. 552) and the Commission's policies 
and procedures issued thereunder (16 CFR part 1015).

[41 FR 30324, July 23, 1976]



Sec. 1014.10  Fees.

    The Commission shall not charge an individual for the costs of 
making a search for a record, the costs of reviewing or copying a 
record, or the cost of correcting or amending a record.



Sec. 1014.11  Penalties.

    Any person who makes a false statement in connection with any 
request for a record, or an amendment thereto, under this part, is 
subject to the penalties prescribed in 18 U.S.C. 494, 495, and 1001; and 
5 U.S.C. 552a(i)(3).



Sec. 1014.12  Specific exemptions.

    (a) Injury information. (1) The Bureau of Epidemiology maintains a 
file of Accident Reports (In-Depth Investigations) which are conducted 
on a sample of product related injuries reported to the Commission by 
selected hospital emergency rooms, by consumers through the Commission's 
``Hot-Line'' telephone service and through written consumer complaints 
and by other means such as newspaper reports. The purpose of this record 
system is to compile accident statistics for analyzing the incidence and 
severity of product related injuries.
    (2) Inasmuch as the maintenance of the record system listed in 
paragraph

[[Page 36]]

(a)(1) of this section is authorized by section 5 of the Consumer 
Product Safety Act (15 U.S.C. 2054) and the data are used solely as 
statistical records, the system is exempted from the requirements of the 
Privacy Act relating to making available the accounting of disclosures, 
correction or amendment of the record and the application of these rules 
to the system of records. Specifically, the system is exempt from 5 
U.S.C. 552a(c)(3); (d) (2) and (3); (e)(1); (e)(4) (G), (H) and (I); and 
(f). However, Accident Reports made by Commission employees are 
disclosable in accordance with paragraph (a)(3) of this section.
    (3) Section 25(c) of the Consumer Product Safety Act (15 U.S.C. 
2074(c)) provides that accident or investigation reports made by an 
officer or employee of the Commission shall be made available to the 
public in a manner which will not identify any injured person or any 
person treating him or her, without the consent of the person 
identified. Consequently, an accident or investigation report which 
identifies individuals is available to the injured party or the person 
treating him or her but would not be available for disclosure to a third 
party without the consent of the injured party or person treating him or 
her.
    (4) Since accident or investigation reports are compiled only for 
statistical purposes and are not used in whole or in part in making any 
determination about an individual, they are exempted from the 
requirement to correct or amend a record as provided by subsection 
(d)(2) of the Privacy Act (5 U.S.C. 552a (d)(2)). Exceptions from this 
paragraph, insofar as they relate to amendments or additions, may be 
allowed by the Executive Director.
    (b) Inspector General Investigative Files--CPSC-6. All portions of 
this system of records which fall within 5 U.S.C. 552a(k)(2) 
(investigatory materials compiled for law enforcement purposes) and 5 
U.S.C. 552a(k)(5) (investigatory materials solely compiled for 
suitability determinations) are exempt from 5 U.S.C. 552a(c)(3) 
(mandatory accounting of disclosures); 5 U.S.C. 552a(d) (access by 
individuals to records that pertain to them); 5 U.S.C. 552a(e)(1) 
(requirement to maintain only such information as is relevant and 
necessary to accomplish an authorized agency purpose); 5 U.S.C. 
552a(e)(4)(G) (mandatory procedures to notify individuals of the 
existence of records pertaining to them); 5 U.S.C. 552a(e)(4)(H) 
(mandatory procedures to notify individuals how they can obtain access 
to and contest records pertaining to them); 5 U.S.C. 552a(e)(4)(I) 
(mandatory disclosure of records source categories); and the 
Commission's regulations in 16 CFR part 1014 which implement these 
statutory provisions.
    (c) Enforcement and Litigation Files--CPSC-7. All portions of this 
system of records that fall within 5 U.S.C. 552a(k)(2) (investigatory 
materials compiled for law enforcement purposes) are exempt from 5 
U.S.C. 552a(c)(3) (mandatory accounting of disclosures); 5 U.S.C. 
552a(d) (access by individuals to records that pertain to them); 5 
U.S.C. 552a(e)(1) (requirement to maintain only such information as is 
relevant and necessary to accomplish an authorized agency purpose); 5 
U.S.C. 552a(e)(4)(G) (mandatory procedures to notify individuals of the 
existence of records pertaining to them); 5 U.S.C. 552a(e)(4)(H) 
(mandatory procedures to notify individuals how they can obtain access 
to and contest records pertaining to them); 5 U.S.C. 552a(e)(4)(I) 
(mandatory disclosure of records source categories); and the 
Commission's regulations in 16 CFR part 1014 that implement these 
statutory provisions.

[40 FR 53381, Nov. 18, 1975, as amended at 42 FR 9161, Feb. 15, 1977; 59 
FR 32078, June 22, 1994; 62 FR 48756, Sept. 17, 1997]



PART 1015--PROCEDURES FOR DISCLOSURE OR PRODUCTION OF INFORMATION UNDER THE FREEDOM OF INFORMATION ACT--Table of Contents




        Subpart A--Production or Disclosure Under 5 U.S.C. 552(a)

Sec.
1015.1 Purpose and scope.
1015.2 Public reference facilities.
1015.3 Requests for records and copies.
1015.4 Responses to requests for records; responsibility.

[[Page 37]]

1015.5 Time limitation on responses to requests for records and requests 
          for expedited processing.
1015.6 Responses: Form and content.
1015.7 Appeals from initial denials; reconsideration by the Secretary.
1015.8 Requests received during the course of administrative hearings. 
          [Reserved]
1015.9 Fees for production of records.
1015.10 Commission report of actions to Congress.
1015.11 Disclosure of trade secrets to consultants and contractors; 
          nondisclosure to advisory committees and other government 
          agencies.
1015.12 Disclosure to Congress.

  Subpart B--Exemptions From Production and Disclosure Under 5 U.S.C. 
                                 552(b)

1015.15 Purpose and scope.
1015.16 Exemptions (5 U.S.C. 552(b)).
1015.17 Internal Commission procedure for withholding exempt records.
1015.18 Information submitted to the Commission; request for treatment 
          as exempt material.
1015.19 Decisions on requests for exemption from disclosure under 5 
          U.S.C. 552(b)(4).

 Subpart C--Disclosure of Commission Accident or Investigation Reports 
                         Under 15 U.S.C. 2074(c)

1015.20 Public availability of accident or investigation reports.

    Authority: 15 U.S.C. 2051-2084; 15 U.S.C. 1261-1278; 15 U.S.C. 1471-
1476; 15 U.S.C. 1211-1214; 15 U.S.C. 1191-1204; 5 U.S.C. 552.

    Source: 42 FR 10490, Feb. 22, 1977, unless otherwise noted.



        Subpart A--Production or Disclosure Under 5 U.S.C. 552(a)



Sec. 1015.1  Purpose and scope.

    (a) The regulations of this subpart provide information concerning 
the procedures by which Consumer Product Safety Commission records may 
be made available for inspection and the procedures for obtaining copies 
of records from the Consumer Product Safety Commission. Official records 
of the Consumer Product Safety Commission consist of all documentary 
material maintained by the Commission in any format, including an 
electronic format. These records include those maintained in connection 
with the Commission's responsibilities and functions under the Consumer 
Product Safety Act, as well as those responsibilities and functions 
transferred to the Commission under the Federal Hazardous Substances 
Act, Poison Prevention Packaging Act of 1970, Refrigerator Safety Act, 
and Flammable Fabrics Act, and those maintained under any other 
authorized activity. Official records do not, however, include objects 
or articles such as tangible exhibits, samples, models, equipment, or 
other items of valuable property; books, magazines, or other reference 
material; or documents routinely distributed by the Commission in the 
normal course of business such as copies of Federal Register notices, 
pamphlets, and laws. Official records include only existing records. 
Official records of the Commission made available under the requirements 
of the Freedom of Information Act (5 U.S.C. 552) shall be furnished to 
the public as prescribed by this part 1015. A request by an individual 
for records about himself or herself that are contained in the 
Commission's system of records under the Privacy Act (5 U.S.C. 552a) 
will be processed under the Privacy Act. A request by a third party for 
records that are contained in the Commission's system of records under 
the Privacy Act will be processed administratively under these 
regulations with respect to the time limits and appeals rights 
(Sec. Sec. 1015.5 and 1015.7), but substantively under the applicable 
provisions of first the Freedom of Information Act and then the Privacy 
Act. Documents routinely distributed to the public in the normal course 
of business will continue to be furnished to the public by employees of 
the Commission informally and without compliance with the procedures 
prescribed herein.
    (b) The Commission's policy with respect to requests for records is 
that disclosure is the rule and withholding is the exception. All 
records not exempt from disclosure will be made available. Moreover, 
records which may be exempted from disclosure will be made available as 
a matter of discretion when disclosure is not prohibited by law, or is 
not against the public interest. See, Sec. 1015.15(b). Section 6(a)(2) 
of the Consumer Product Safety Act, 15 U.S.C. 2055(a)(2), prohibits the 
disclosure of trade secrets or other matters referred to in 18 U.S.C. 
1905.

[[Page 38]]

    (c) The Attorney General's Memorandum on the 1974 Amendments to the 
Freedom of Information Act published in February, 1975 is available from 
the Superintendent of Documents and may be consulted in considering 
questions arising under the Freedom of Information Act.

[42 FR 10490, Feb. 22, 1997, as amended at 62 FR 46196, Sept. 2, 1997]



Sec. 1015.2  Public reference facilities.

    (a) The Consumer Product Safety Commission will maintain in a public 
reference room or area the materials relating to the Consumer Product 
Safety Commission that are required by 5 U.S.C. 552(a)(2) and 552(a)(5) 
to be made available for public inspection and copying. The principal 
location will be in the Office of the Secretary of the Commission. The 
address of this office is:
Office of the Secretary, Consumer Product Safety Commission, Room 502, 
4330 East West Highway, Bethesda, MD 20814.
    (b) This public reference facility will maintain and make available 
for public inspection and copying a current index of the materials 
available at that facility which are required to be indexed by 5 U.S.C. 
552(a)(2). For the purpose of providing the opportunity for greater 
public access to records of the Consumer Product Safety Commission, the 
Commission may establish additional public reference facilities. Each 
such additional reference facility will also maintain and make available 
for public inspection and copying a current index of the materials 
available at that facility which are required to be indexed by 5 U.S.C. 
552(a)(2).
    (c) The Consumer Product Safety Commission will maintain an 
``electronic reading room'' on the World-Wide Web for those records that 
are required by 5 U.S.C. 552(a)(2) to be available by ``computer 
telecommunications.''

[42 FR 10490, Feb. 22, 1997, as amended at 62 FR 46197, Sept. 2, 1997]



Sec. 1015.3  Requests for records and copies.

    (a) A request for access to records of the Commission shall be in 
writing addressed to the Secretary, Consumer Product Safety Commission, 
Washington, DC 20207. Any written request for records covered by this 
part shall be deemed to be a request for records pursuant to the Freedom 
of Information Act, whether or not the Freedom of Information Act is 
mentioned in the request. An oral request for records will not be 
considered a request for records pursuant to the Freedom of Information 
Act. Responses to oral requests for records shall be made as promptly as 
resources and time restraints permit.
    (b) A request for access to records must reasonably describe the 
records requested. Where possible, specific information regarding dates, 
title, file designations, and other information which may help identify 
the records should be supplied by the requester. If the request relates 
to a matter in pending litigation, where the Commission is a party, the 
court and its location should be identified. Where the information 
supplied by the requester is not sufficient to permit identification and 
location of the records by Commission personnel without an unreasonable 
amount of effort, the requester will be contacted and asked to supply 
the necessary information. Every reasonable effort shall be made by 
Commission personnel to assist in the identification and location of 
requested records.
    (c) If it is determined that a request would unduly burden or 
interfere with the operations of the Commission, the response shall so 
state and shall extend to the requester an opportunity to confer with 
appropriate Commission personnel in an attempt to reduce the request to 
manageable proportions by reformulation and by agreeing on an orderly 
procedure for the production of the records.
    (d) If a requested record cannot be located from the information 
supplied, or is known to have been destroyed or otherwise disposed of, 
the requester shall be so notified by the Secretary or delegate of the 
Secretary.
    (e) The Consumer Product Safety Commission uses a multitrack system 
to process requests under the Freedom of Information Act that is based 
on the amount of work and/or time involved in processing requests. 
Requests for records are processed in the order they are received within 
each track. Upon

[[Page 39]]

receipt of a request for records, the Secretary or delegate of the 
Secretary will determine which track is appropriate for the request. The 
Secretary or delegate of the Secretary may contact requesters whose 
requests do not appear to qualify for the fastest tracks and provide 
such requesters the opportunity to limit their requests so as to qualify 
for a faster track. Requesters who believe that their requests qualify 
for the fastest tracks and who wish to be notified if the Secretary or 
delegate of the Secretary disagrees may so indicate in the request and, 
where appropriate and feasible, will also be given an opportunity to 
limit their requests.

[42 FR 10490, Feb. 22, 1997, as amended at 62 FR 46197, Sept. 2, 1997]



Sec. 1015.4  Responses to requests for records; responsibility.

    The ultimate responsibility for responding to requests for records 
is vested in the Secretary of the Consumer Product Safety Commission. 
The Secretary or delegate of the Secretary may respond directly or 
forward the request to any other office of the Commission for response. 
In any case where the Secretary or delegate of the Secretary in his/her 
discretion determines that a request for an identifiable record should 
be initially determined by the Commission, the Secretary, or the 
delegate of the Secretary, may certify the matter to the Commission for 
a decision. In that event the Commission decision shall be made within 
the time limits set forth in Sec. 1015.5 and shall be final. The 
Commission response shall be in the form set forth in Sec. 1015.7(d) for 
action on appeal. If no response is made by the Commission within twenty 
working days, or any extension thereof, the requester and the Commission 
may take the action specified in Sec. 1015.7(e).

[42 FR 10490, Feb. 22, 1997, as amended at 62 FR 46197, Sept. 2, 1997]



Sec. 1015.5  Time limitation on responses to requests for records and requests for expedited processing.

    (a) The Secretary or delegate of the Secretary shall respond to all 
written requests for records within twenty (20) working days (excepting 
Saturdays, Sundays, and legal public holidays). The time limitations on 
responses to requests for records shall begin to run as of the time a 
request for records is received by the Office of the Secretary and a 
date stamp notation placed directly on the request.
    (b) The time for responding to requests for records may be extended 
by the Secretary at the initial stage or by the General Counsel of the 
Commission at the appellate stage up to an additional ten (10) working 
days under the following unusual circumstances:
    (1) The need to search for and collect the requested records from 
field facilities or other establishments that are separate from the 
Office of the Secretary.
    (2) The need to search for, collect and appropriately examine a 
voluminous amount of separate and distinct records which are demanded in 
a single request.
    (3) The need for consultation, which shall be conducted with all 
practicable speed, with another agency having a substantial interest in 
the determination of the request or among two or more components of the 
Commission having substantial subject matter interest therein.
    (c) Any extension of time must be accompanied by written notice to 
the person making the request setting forth the reason(s) for such 
extension and the time within which a response is expected to be made.
    (d) If the Secretary at the initial stage or the General Counsel at 
the appellate stage determines that an extension of time greater than 
ten (10) working days is necessary to respond to a request satisfying 
the ``unusual circumstances'' specified in paragraph (b) of this 
section, the Secretary or the General Counsel shall so notify the 
requester and give the requester the opportunity to:
    (1) Limit the scope of the request so that it may be processed 
within the time limit prescribed in paragraph (b); or
    (2) Arrange with the Secretary or the General Counsel an alternative 
time frame for processing the request or a modified request.
    (e) The Secretary or delegate of the Secretary may aggregate and 
process as a single request requests by the

[[Page 40]]

same requester, or a group of requesters acting in concert, if the 
Secretary or delegate reasonably believes that the requests actually 
constitute a single request which would otherwise satisfy the unusual 
circumstances specified in paragraph (b) of this section, and the 
requests involve clearly related matters.
    (f) The Secretary or delegate of the Secretary will provide 
expedited processing of requests in cases where the requester 
demonstrates a compelling need for such processing.
    (1) The term ``compelling need'' means:
    (i) That a failure to obtain requested records on an expedited basis 
could reasonably be expected to pose an imminent threat to the life or 
physical safety of an individual; or
    (ii) With respect to a request made by a person primarily engaged in 
disseminating information, that there is an urgency to inform the public 
concerning actual or alleged Federal Government activity.
    (2) Requesters for expedited processing must include in their 
requests a statement setting forth the basis for the claim that a 
``compelling need'' exists for the requested information, certified by 
the requester to be true and correct to the best of his or her knowledge 
and belief.
    (3) The Secretary or delegate of the Secretary will determine 
whether to grant a request for expedited processing and will notify the 
requester of such determination within ten (10) days of receipt of the 
request.
    (4) Denials of requests for expedited processing may be appealed to 
the Office of the General Counsel as set forth in Sec. 1015.7 of this 
part. The General Counsel will expeditiously determine any such appeal.
    (5) The Secretary or delegate of the Secretary will process as soon 
as practicable the documents responsive to a request for which expedited 
processing is granted.
    (g) The Secretary may be unable to comply with the time limits set 
forth in this Sec. 1015.5 when disclosure of documents responsive to a 
request under this part is subject to the requirements of section 6(b) 
of the Consumer Product Safety Act, 15 U.S.C. 2055(b), and the 
regulations implementing that section, 16 CFR part 1101. The Secretary 
or delegate of the Secretary will notify requesters whose requests will 
be delayed for this reason.

[42 FR 10490, Feb. 22, 1997, as amended at 62 FR 46197, Sept. 2, 1997]



Sec. 1015.6  Responses: Form and content.

    (a) When a requested record has been identified and is available for 
disclosure, the requester shall either be supplied with a copy or 
notified as to where and when the record will be made available for 
inspection. If a requester desires to inspect records at one of the 
regional offices of the Commission, the Secretary will ordinarily make 
the records available at the requested regional office. If the payment 
of fees is required the requester shall be advised by the Secretary in 
writing of any applicable fees under Sec. 1015.9 hereof.
    (b) A response denying a written request for a record shall be in 
writing signed by the Secretary or delegate of the Secretary and shall 
include:
    (1) The identity of each person responsible for the denial.
    (2) A reference to the specific exemption or exemptions under the 
Freedom of Information Act authorizing the withholding of the record 
with a brief explanation of how the exemption applies to the record 
withheld; and
    (3) An estimation of the volume of requested material withheld. When 
only a portion or portions of a document are withheld, the amount of 
information deleted shall be indicated on the released portion(s) of the 
record. When technically feasible, the indication of the amount of 
material withheld will appear at the place in the document where any 
deletion is made. Neither an estimation of the volume of requested 
material nor an indication of the amount of information deleted shall be 
included in a response if doing so would harm an interest protected by 
the exemption in 5 U.S.C. 552(b) pursuant to which the material is 
withheld.
    (4) A statement that the denial may be appealed to the Commissioners 
of the Consumer Product Safety Commission. Any such appeal must be made 
within 30 calendar days of receipt of the denial by the requester.

[[Page 41]]

    (c) If no response is made within twenty (20) working days or any 
extension thereof, the requester can consider his or her administrative 
remedies exhausted and seek judicial relief in a United States District 
Court as specified in 5 U.S.C. 552(a)(4)(B). When it appears that no 
response can be made to the requester within the applicable time limit, 
the Secretary or delegate of the Secretary may ask the requester to 
forego judicial relief until a response can be made. The Secretary or 
delegate of the Secretary shall inform the requester of the reason for 
the delay, of the date on which a response may be expected and of his/
her right to seek judicial review as specified in 5 U.S.C. 552(a)(4)(B).

[42 FR 10490, Feb. 22, 1997, as amended at 62 FR 46197, Sept. 2, 1997]



Sec. 1015.7  Appeals from initial denials; reconsideration by the Secretary.

    (a) When the Secretary or delegate of the Secretary has denied a 
request for records in whole or in part, the requester may, within 30 
days of its receipt, appeal the denial to the General Counsel of the 
Consumer Product Safety Commission, attention of the Secretary, 
Washington, DC 20207.
    (b) The General Counsel, or the Secretary upon reconsideration, will 
act upon an appeal within 20 working days of its receipt. The time 
limitations on an appeal begin to run as of the time an appeal is 
received by the Office of the Secretary and date stamped.
    (c) After reviewing the appeal, the Secretary will reconsider his/
her initial denial. If the Secretary upon reconsideration decides to 
release any or all of the information requested on appeal, an appeal as 
to the information released will be considered moot; and the Secretary 
will so inform the requester and submitter of the information in 
accordance with Sec. Sec. 1015.6(a) and 1015.18(b). If the Secretary 
decides to affirm the initial denial, in whole or in part, the General 
Counsel will decide the appeal within the 20-day time limit or any 
extension thereof in accordance with Sec. 1015.5.
    (d) The General Counsel shall have the authority to grant or deny 
all appeals and, as an exercise of discretion, to disclose records 
exempt from mandatory disclosure under 5 U.S.C. 552(b). In unusual or 
difficult cases the General Counsel may, in his/her discretion, refer an 
appeal to the Commissioners for determination.
    (e) The General Counsel's action on appeal shall be in writing, 
shall be signed by the General Counsel, and shall constitute final 
agency action. A denial in whole or in part of a request on appeal shall 
set forth the exemption relied upon; a brief explanation, consistent 
with the purpose of the exemption, of how the exemption applies to the 
records withheld; and the reasons for asserting it. A denial in whole or 
in part shall also inform the requester of his/her right to seek 
judicial review of the Commission's final determination in a United 
States district court, as specified in 5 U.S.C. 552(a)(4)(B).
    (f) If no response is made to the requester within 20 working days 
or any extension thereof, the requester may consider his/her 
administrative remedies exhausted and seek judicial relief in a United 
States district court. When no response can be made within the 
applicable time limit, the General Counsel shall inform the requester of 
the reason for the delay, of the date by which a response may be 
expected, and of the requester's right to seek judicial review as 
specified in 5 U.S.C. 552(a)(4)(B).
    (g) Copies of all appeals and copies of all actions on appeal shall 
be furnished to and maintained in a public file by the Secretary.

(5 U.S.C. 552(a)(6)(A); 5 U.S.C. 553; 15 U.S.C. 2076(b)(9))

[50 FR 7753, Feb. 26, 1985]



Sec. 1015.8  Requests received during the course of administrative hearings. [Reserved]



Sec. 1015.9  Fees for production of records.

    (a) The Commission will provide, at no charge, certain routine 
information. For other Commission responses to information requests, the 
Secretary shall determine and levy fees for duplication, search, review, 
and other services, in accordance with this section.
    (b) Fees shall be paid by check or money order, payable to the 
Treasury

[[Page 42]]

of the United States and sent to the Commission.
    (c) The following definitions shall apply under this section:
    (1) Direct costs means those expenditures which an agency actually 
incurs in searching for and duplicating (and in the case of commercial 
requesters, reviewing) documents to respond to a FOIA request.
    (2) Search includes all time spent looking for material that is 
responsive to a request, including page-by-page or line-by-line 
identification of material within documents.
    (3) Duplication refers to the process of making a copy of a document 
necessary to respond to a FOIA request.
    (4) Review refers to the process of examining documents located in 
response to a commercial use request to determine whether any portion of 
any document located is permitted to be withheld.
    (5) Commercial use request refers to a request that seeks 
information for a use or purpose that furthers commercial, trade, or 
profit interests.
    (6) Educational institution refers to an entity organized and 
operated exclusively for educational purposes, whose purpose is 
scholarly.
    (7) Non-commercial scientific institution refers to an entity 
organized and operated exclusively for the purpose of conducting 
scientific research, the results of which are not intended to promote 
any particular product or industry.
    (8) Representative of the news media refers to any person or 
organization which regularly publishes or disseminates news to the 
public, in print or electronically.
    (d) A commercial use request may incur charges for duplication, 
search, and review. The following requests may incur charges only for 
duplication: A request from an educational institution for records not 
sought for commercial use; a request from a non-commercial scientific 
institution for records not sought for commercial use; a request from a 
representative of the news media. Any other request may incur charges 
for duplication and search.
    (e) The following fee schedule will apply:
    (1) Copies of documents reproduced on a standard photocopying 
machine: $0.10 per page.
    (2) File searches conducted by clerical personnel: $3.00 for each 
one-quarter hour (a fraction thereof to be counted as one-quarter hour). 
Any special costs of sending records from field locations to 
headquarters for review will be included in search fees, billed at the 
clerical personnel rate.
    (3) File searches conducted by non-clerical or professional or 
managerial personnel: $4.90 for each one-quarter hour (a fraction 
thereof to be counted as one-quarter hour).
    (4) Review of records: $4.90 for each one-quarter hour (a fraction 
thereof to be counted as one-quarter hour).
    (5) Computerized records: $0.10 per page of computer printouts or, 
for central processing, $0.32 per second of central processing unit 
(CPU) time; for printer, $10.00 per 1,000 lines; and for computer 
magnetic tapes or discs, direct costs.
    (6) Postage: Direct-cost basis for mailing requested materials, if 
the requester wants special handling or if the volume or dimensions of 
the materials requires special handling.
    (7) Microfiche: $0.35 for each frame.
    (8) Other charges for materials requiring special reproducing or 
handling, such as photographs, slides, blueprints, video and audio tape 
recordings, or other unusual materials: direct-cost basis.
    (9) Any other service: An appropriate fee established by the 
Secretary, based on direct costs.
    (f) Fees shall be waived as follows:
    (1) No automatic fee waiver shall apply to commercial use requests.
    (2) The first $10.00 of duplication costs shall be waived for 
requests from educational institutions, non-commercial scientific 
institutions, and representatives of the news media.
    (3) For all other requests, the first $10.00 of duplication costs 
and the first $40 of search costs shall be waived.
    (4) The Secretary shall waive or reduce fees whenever disclosure of 
the requested information is in the public interest because it is likely 
to contribute significantly to public understanding of the operations or 
activities of the

[[Page 43]]

government and disclosure of the requested information is not primarily 
in the commercial interest of the requester.
    (5) In making a determination under paragraph (f)(4) of this 
section, the Secretary shall consider the following factors:
    (i) The subject of the request: Whether the subject of the requested 
records concerns the operations or activities of the government.
    (ii) The informative value of the information to be disclosed: 
Whether the disclosure is likely to contribute to an understanding of 
government operations or activities.
    (iii) The contribution to an understanding of the subject by the 
general public likely to result from disclosure: Whether disclosure of 
the requested information will contribute to public understanding.
    (iv) The significance of the contribution to public understanding: 
Whether the disclosure is likely to contribute significantly to public 
understanding of government operations or activities.
    (v) The existence and magnitude of a commercial interest: Whether 
the requester has a commercial interest that would be furthered by the 
requested disclosure; and, if so
    (vi) The primary interest in disclosure: Whether the magnitude of 
the identified commercial interest of the requester is sufficiently 
large, in comparison with the public interest in disclosure, that 
disclosure is primarily in the commercial interest of the requester.
    (6) Any determination made by the Secretary concerning fee waivers 
may be appealed by the requester to the Commission's General Counsel in 
the manner described at Sec. 1015.7.
    (g) Collection of fees shall be in accordance with the following:
    (1) Interest will be charged on amounts billed, starting on the 31st 
day following the day on which the requester received the bill. Interest 
will be at the rate prescribed in 31 U.S.C. 3717.
    (2) Search fees will be imposed (on requesters charged for search 
time) even if no responsive documents are located or if the search leads 
to responsive documents that are withheld under an exemption to the 
Freedom of Information Act. Such fees shall not exceed $25.00, unless 
the requester has authorized a higher amount.
    (3) Before the Commission begins processing a request or discloses 
any information, it will require advance payment if:
    (i) Charges are estimated to exceed $250.00 and the requester has no 
history of payment and cannot provide satisfactory assurance that 
payment will be made; or
    (ii) A requester failed to pay the Commission for a previous Freedom 
of Information Act request within 30 days of the billing date.
    (4) The Commission will aggregate requests, for the purposes of 
billing, whenever it reasonably believes that a requester or group of 
requesters is attempting to separate a request into more than one 
request for the purpose of evading fees.
    (5) If a requester's total bill is less than $9.00, the Commission 
will not request payment.

[52 FR 28979, Aug. 5, 1987, as amended at 62 FR 46198, Sept. 2, 1997]



Sec. 1015.10  Commission report of actions to Congress.

    On or before February 1 of each year, the Commission shall submit a 
report of its activities with regard to freedom of information requests 
during the preceding fiscal year to the Attorney General of the United 
States. This report shall include:
    (a) The number of determinations made by the Commission not to 
comply with requests for records made to the Commission under the 
provisions of this part and the reasons for each such determination.
    (b)(1) The number of appeals made by persons under such provisions, 
the result of such appeals, and the reason for the action upon each 
appeal that results in a denial of information; and
    (2) A complete list of all statutes that the Commission relies upon 
to withhold information under such provisions, a description of whether 
a court has upheld the decision of the Commission to withhold 
information under each such statute, and a concise description of the 
scope of any information withheld.

[[Page 44]]

    (c) The number of requests for records pending before the Commission 
as of September 30 of the preceding year, and the median number of days 
that such requests had been pending before the Commission as of that 
date.
    (d) The number of requests for records received by the Commission 
and the number of requests which the Commission processed.
    (e) The median number of days taken by the Commission to process 
different types of requests.
    (f) The total amount of fees collected by the Commission for 
processing requests.
    (g) The number of full-time staff of the Commission devoted to 
processing requests for records under such provisions, and the total 
amount expended by the Commission for processing such requests.

[42 FR 10490, Feb. 22, 1997, as amended at 62 FR 46198, Sept. 2, 1997]



Sec. 1015.11  Disclosure of trade secrets to consultants and contractors; nondisclosure to advisory committees and other government agencies.

    (a) In accordance with section 6(a)(2) of the CPSA, the Commission 
may disclose information which it has determined to be a trade secret 
under 5 U.S.C. 552(b)(4) to Commission consultants and contractors for 
use only in their work for the Commission. Such persons are subject to 
the same restrictions with respect to disclosure of such information as 
any Commission employee.
    (b) In accordance with section 6(a)(2) of the CPSA, the Commission 
is prohibited from disclosing information which it has determined to be 
a trade secret under 5 U.S.C. 552(b)(4) to advisory committees, except 
when required in the official conduct of their business, or to other 
Federal agencies and state and local governments.



Sec. 1015.12  Disclosure to Congress.

    (a) All records of the Commission shall be disclosed to Congress 
upon a request made by the chairman or ranking minority member of a 
committee or subcommittee of Congress acting pursuant to committee 
business and having jurisdiction over the matter about which information 
is requested.
    (b) An individual member of Congress who requests a record for his 
or her personal use or on behalf of any constituent shall be subject to 
the same rules that apply to members of the general public.

[42 FR 10490, Feb. 22, 1977, as amended at 52 FR 45632, Dec. 1, 1987; 53 
FR 3868, Feb. 10, 1988]



  Subpart B--Exemptions From Production and Disclosure Under 5 U.S.C. 
                                 552(b)



Sec. 1015.15  Purpose and scope.

    (a) The regulations of this subpart provide information concerning 
the types of records which may be withheld from production and 
disclosure by the Consumer Product Safety Commission and the internal 
Commission procedure for withholding exempt records. These regulations 
also provide information on the method whereby persons submitting 
information to the Commission may request that the information be 
considered exempt from disclosure, and information concerning the 
Commission's treatment of documents submitted with a request that they 
be treated as exempt from disclosure.
    (b) No identifiable record requested in accordance with the 
procedures contained in this part shall be withheld from disclosure 
unless it falls within one of the classes of records exempt under 5 
U.S.C 552(b). The Commission will make available, to the extent 
permitted by law, records authorized to be withheld under 5 U.S.C. 
552(b) unless the Commission determines that disclosure is contrary to 
the public interest. In this regard the Commission will not ordinarily 
release documents that provide legal advice to the Commission concerning 
pending or prospective litigation where the release of such documents 
would significantly interfere with the Commission's regulatory or 
enforcement proceedings.
    (c) Draft documents that are agency records are subject to release 
upon request in accordance with this regulation. However, in order to 
avoid any misunderstanding of the preliminary nature of a draft 
document, each draft document released will be marked to

[[Page 45]]

indicate its tentative nature. Similarly, staff briefing packages, which 
have been completed but not yet transmitted to the Commission by the 
Office of the Secretary are subject to release upon request in 
accordance with this regulation. Each briefing package or portion 
thereof released will be marked to indicate that it has not been 
transmitted to or acted upon by the Commission. In addition, briefing 
packages, or portions thereof, which the Secretary upon the advice of 
the Office of the General Counsel has determined would be released upon 
request in accordance with this regulation, will be publicly available 
in the public reference facility established under Sec. 1015.2 promptly 
after the briefing package has been transmitted to the Commissioners by 
the Office of the Secretary. Such packages will be marked to indicate 
that they have not been acted upon by the Commission.
    (d) The exceptions contained in Sec. 1015.16 are as contained in 5 
U.S.C. 552(b). These exemptions will be interpreted in accordance with 
the applicable law at the time a request for production or disclosure is 
considered.

[42 FR 10490, Feb. 22, 1977, as amended at 45 FR 22022, Apr. 3, 1980]



Sec. 1015.16  Exemptions (5 U.S.C. 552(b)).

    (a) Records specifically authorized under criteria established by an 
Executive Order to be kept secret in the interest of national defense or 
foreign policy and are in fact properly classified pursuant to such 
Executive Order.
    (b) Records related solely to the internal personnel rules and 
practices of the Commission.
    (c) Records specifically exempted from disclosure by statute (other 
than section 552b of Title 5, United States Code), provided that such 
statute either requires that the matters be withheld from the public in 
such a manner as to leave no discretion on the issue, or establishes 
particular criteria for withholding or refers to particular types of 
matters to be withheld.
    (d) Trade secrets and commercial or financial information obtained 
from a person and privileged or confidential.
    (e) Interagency or intra-agency memoranda or letters which would not 
be available by law to a party other than an agency in litigation with 
the agency.
    (f) Personnel and medical files and similar files the disclosure of 
which would consititute a clearly unwarranted invasion of personal 
privacy.
    (g) Records or information compiled for law enforcement purposes, 
but only to the extent that the production of such law enforcement 
records or information:
    (1) Could reasonably be expected to interfere with enforcement 
proceedings,
    (2) Would deprive a person of a right to a fair trial or an 
impartial adjudication,
    (3) Could reasonably be expected to constitute an unwarranted 
invasion of personal privacy,
    (4) Could reasonably be expected to disclose the identity of a 
confidential source, including a State, local, or foreign agency or 
authority or any private institution which furnished information on a 
confidential basis, and, in the case of a record or information compiled 
by criminal law enforcement authority in the course of a criminal 
investigation or by an agency conducting a lawful national security 
intelligence investigation, information furnished by a confidential 
source,
    (5) Would disclose techniques and procedures for law enforcement 
investigations or prosecutions, or would disclose guidelines for law 
enforcement investigations or prosecutions if such disclosure could 
reasonably be expected to risk circumvention of the law, or
    (6) Could reasonably be expected to endanger the life or physical 
safety of any individual.
    (h) Records contained in or related to examinations, operating, or 
condition reports prepared by, on behalf of, or for the use of an agency 
responsible for the regulation or supervision of financial institutions.
    (i) Records of geological and geophysical information and data, 
including maps, concerning wells.

[42 FR 10490, Feb. 22, 1977, as amended at 52 FR 44597, Nov. 20, 1987]

[[Page 46]]



Sec. 1015.17  Internal Commission procedure for withholding exempt records.

    Paragraphs (a) and (b) of this section describe the internal 
Commission procedure to be followed for requesting that a record exempt 
from disclosure under the inter- intra-agency memorandum exemption, 5 
U.S.C. 552(b)(5), or the investigatory file exemption, 5 U.S.C. 
552(b)(7), not be disclosed.
    (a) If a bureau or office director believes that it is against the 
public interest to disclose a Commission record prepared by his/her 
bureau or office, he/she may request in writing that the Secretary 
withhold the document. The request must specify why the release would be 
against the public interest.
    (1) If the Secretary agrees to withhold the document, the requester 
shall be notified in writing of the denial and of his/her right to 
appeal in accordance with Sec. 1015.6(b).
    (2) If the Secretary decides to release the document, the bureau or 
office director shall be notified and given two working days within 
which to appeal to the Commissioners. An appeal by a bureau or office 
director shall be in writing addressed to the Chairman. If an appeal is 
taken by a bureau or office director, the Secretary will not disclose 
the document. The Commissioner's action on appeal shall be in accordance 
with Sec. 1015.7(d).
    (b) If a Commissioner believes that it is not in the public interest 
to disclose a Commission record prepared by himself/herself or by his/
her office personnel, the Commissioner shall so inform the Secretary and 
shall specify in writing why the release would be against the public 
interest. The Secretary shall notify the requester in writing of the 
denial in accordance with Sec. 1015.6(b). Any appeal by a requester 
shall be in accordance with Sec. 1015.7 except the provisions for 
reconsideration by the Secretary is not applicable. On appeal, the 
Commissioner who withheld the document shall not participate in the 
decision.

[42 FR 10490, Feb. 22, 1977, as amended at 45 FR 22023, Apr. 3, 1980]



Sec. 1015.18  Information submitted to the Commission; request for treatment as exempt material.

    (a) A person who is submitting information to the Commission, after 
being notified by the Commission of his/her opportunity to request 
confidential treatment for information, must accompany the submission 
with a request that the information be considered exempt from disclosure 
or indicate that a request will be submitted within 10 working days of 
the submission. The failure to make a request within the prescribed time 
limit will be considered an acknowledgment that the submitter does not 
wish to claim exempt status.
    (b) A person who has previously submitted information to the 
Commission, that is now the subject of a Freedom of Information request, 
after being notified by the Commission of his/her opportunity to request 
confidential treatment for the information, must submit a request that 
the information be considered exempt from disclosure within 5 working 
days from receipt of notification. The failure to make a request within 
the prescribed time limit will be considered an acknowledgment that the 
submitter does not wish to claim exempt status.
    (c) Each request for exemption from disclosure under 5 U.S.C. 
552(b)(4) as a trade secret or privileged or confidential commercial or 
financial information must:
    (1) Specifically identify the exact portion(s) of the document 
claimed to be confidential;
    (2) State whether the information claimed to be confidential has 
ever been released in any manner to a person who was not an employee or 
in a confidential relationship with the company;
    (3) State whether the information so specified is commonly known 
within the industry or is readily ascertainable by outside persons with 
a minimum of time and effort;
    (4) State how release of the information so specified would be 
likely to cause substantial harm to the company's competitive position; 
and

[[Page 47]]

    (5) State whether the submitter is authorized to make claims of 
confidentiality on behalf of the person or organization concerned.
    (d) Material received with a request that it be considered exempt 
shall not be maintained in a public file. If, in complying with a 
request for the disclosure of records, it is determined that some or all 
of the material relative to the request has been claimed to be exempt 
from disclosure, the requester will be supplied with a list of this 
material and informed that those portions found not to be exempt will be 
made available as soon as possible.
    (e) No request for exemption from disclosure under 5 U.S.C. 
552(b)(4) should be made by any person who does not intend in good faith 
to assist the Commission in the defense of any judicial proceeding that 
might thereafter be brought to compel the disclosure of information 
which the Commission has determined to be a trade secret or privileged 
or confidential commercial or financial information.



Sec. 1015.19  Decisions on requests for exemption from disclosure under 5 U.S.C. 552(b)(4).

    (a) The Commission generally will not decide whether material 
received with a request for exemption from disclosure under 5 U.S.C. 
552(b)(4) is entitled to be withheld until a request for production or 
disclosure is made for that information. The determination will be based 
on the most authoritative judicial interpretations available at the time 
a request for disclosure or production is considered. Any reasonably 
segregable portion of a record will be disclosed to any person 
requesting such record after deletion of any portions determined to be 
exempt under 5 U.S.C. 552(b)(4). The requester will be given a brief 
description of any information found to be exempt.
    (b) If material received with a request for exemption from 
disclosure under 5 U.S.C. 552(b)(4) is found to be disclosable, in whole 
or in part, the person submitting the material will be notified in 
writing and given 10 calendar days from the receipt of the letter to 
seek judicial relief. In no event, however, will the material be 
returned to the person submitting it.



 Subpart C--Disclosure of Commission Accident or Investigation Reports 
                         Under 15 U.S.C. 2074(c)



Sec. 1015.20  Public availability of accident or investigation reports.

    (a) Accident or investigation reports made by an officer, employee, 
or agent of the Commission are available to the public under the 
procedures set forth in subpart A of this part 1015. No portion of such 
report are subject to the investigatory file exemption contained in the 
Freedom of Information Act (as restated in Sec. 1015.16) except that 
portions identifying any injured person or any person treating such 
injured person will be deleted in accordance with section 25(c)(1) of 
the CPSA. Where disclosure of an accident or investigation report is 
requested by supplying the name of the person injured or other details 
of a specific accident (other than cases where the report is requested 
by the injured person or the injured person's legal representative), the 
Commission will offer to obtain the written consent of the injured party 
or the injured party's representative to the disclosure of the report 
without deleting the party's identity. No deletion of identifying 
portions of such reports or refusal to disclose without the Commission 
having first obtained written consent shall be considered as a denial by 
the Commission of disclosure of Commission records.
    (b) Research reports, demonstration reports, and reports of other 
related activities of the Commission are available to the public under 
the procedures set forth in subpart A of this part 1015.



PART 1016--POLICIES AND PROCEDURES FOR INFORMATION DISCLOSURE AND COMMISSION EMPLOYEE TESTIMONY IN PRIVATE LITIGATION--Table of Contents




Sec.
1016.1 Purpose and policy.
1016.2 Definition.
1016.3 Disclosure and certification of information and records.
1016.4 Testimony of Commission employees in private litigation.


[[Page 48]]


    Authority: 15 U.S.C. 2051-81; 15 U.S.C. 1261-74; 15 U.S.C. 1191-
1204; 15 U.S.C. 1471-76; 15 U.S.C. 1211-14; 5 U.S.C. 552; and 5 U.S.C. 
552a.

    Source: 53 FR 6594, Mar. 2, 1988, unless otherwise noted.



Sec. 1016.1  Purpose and policy.

    (a) The Commission's policy is to make official records available to 
private litigants, to the fullest extent possible.
    (b) The Commission's policy and responsibility is to conserve the 
time of its employees for work on Commission projects and activities. 
Participation of Commission employees in private litigation, in their 
official capacities, is generally contrary to this policy and 
responsibility. In addition, such participation could impair the 
effectiveness of Commission employees as witness in litigation in which 
the Commission is directly involved.



Sec. 1016.2  Definition.

    Private litigation refers to any legal proceeding which does not 
involve the United States government, or any department or agency of the 
U.S. government, as a party.



Sec. 1016.3  Disclosure and certification of information and records.

    (a) Identifiable information and records in the Commission's 
possession will be made available to private litigants in accordance 
with the Commission's Procedures for Disclosure or Production of 
Information under the Freedom of Information Act (16 CFR part 1015), the 
Freedom of Information Act (5 U.S.C. 552), sections 6 and 25(c) of the 
Consumer Product Safety Act (15 U.S.C. 2055 and 2074(c)), and any other 
applicable statutes or regulations.
    (b) The Secretary of the Commission shall certify the authenticity 
of copies of Commission records. Requests must be in writing and must 
include the records to be certified. Requests should be sent to: 
Secretary, Consumer Product Safety Commission, Washington, DC 20207.
    (c) Any subpoena duces tecum served on a Commission employee will be 
handled by the Office of the Secretary in conjunction with the Office of 
the General Counsel. Whenever necessary to prevent the improper 
disclosure of documents, the General Counsel will take steps, in 
conjunction with the Department of Justice, to quash such subpoenas or 
seek protective orders.



Sec. 1016.4  Testimony of Commission employees in private litigation.

    (a) No Commission employee shall testify in his or her official 
capacity in any private litigation, without express authorization from 
the Commission's General Counsel. The Commission may, in its discretion, 
review a decision by the General Counsel to authorize such employee 
testimony. The General Counsel shall in such instances, where time 
permits, advise the Commission, on a no objection basis, of the 
authorization of such employee testimony.
    (b) If any Commission employee is served with a subpoena seeking 
testimony in private litigation, he or she must immediately notify the 
Office of the General Counsel. The Office of the General Counsel, in 
conjunction with the Department of Justice, will (1) take steps to quash 
the subpoena or (2) direct the employee to appear in response to the 
subpoena but refuse to testify on the ground that it is prohibited by 
this section.
    (c) If the General Counsel becomes aware of private litigation in 
which testimony by a Commission employee would be in the interests of 
the Commission, he or she may authorize such testimony, notwithstanding 
paragraph (b) of this section. The Commission may, in its discretion, 
review a decision by the General Counsel to authorize such employee 
testimony. The General Counsel shall in such instances, where time 
permits, advise the Commission, on a no objection basis, of the 
authorization of such employee testimony. Any such testimony must be 
provided in a way that minimizes the use of Commission resources as much 
as possible.

                          PART 1017 [RESERVED]



PART 1018--ADVISORY COMMITTEE MANAGEMENT--Table of Contents




                      Subpart A--General Provisions

Sec.
1018.1 Purpose.

[[Page 49]]

1018.2 Definitions.
1018.3 Policy.
1018.4 Applicability.
1018.5 Advisory Committee Management Officer.

             Subpart B--Establishment of Advisory Committees

1018.11 Charters.
1018.12 Statutory advisory committees.
1018.13 Non-statutory advisory committees.
1018.14 Non-Commission established advisory committees.
1018.15 Membership composition.
1018.16 Membership selection.
1018.17 Appointments.

               Subpart C--Operation of Advisory Committees

1018.21 Calling of meetings.
1018.22 Notice of meetings.
1018.23 Designated Commission employee.
1018.24 Agenda.
1018.25 Minutes and meeting reports.
1018.26 Advisory functions.
1018.27 Public participation.
1018.28 Records and transcripts.
1018.29 Appeals under the Freedom of Information Act.

            Subpart D--Administration of Advisory Committees

1018.31 Support services.
1018.32 Compensation and travel expenses.
1018.33 Change of status.
1018.34 Conflict of interest.
1018.35 Termination of membership.

              Subpart E--Records, Annual Reports and Audits

1018.41 Agency records on advisory committees.
1018.42 Annual report.
1018.43 Comprehensive review.

                   Subpart F--Termination and Renewal

1018.61 Statutory advisory committees.
1018.62 Non-statutory advisory committees.

    Authority: Sec. 8, Pub. L. 92-463, 86 Stat. 770 (5 U.S.C. App. I).

    Source: 41 FR 45882, Oct. 18, 1976, unless otherwise noted.



                      Subpart A--General Provisions



Sec. 1018.1  Purpose.

    This part contains the Consumer Product Safety Commission's 
regulations governing the establishment, operations and administration 
of advisory committees under its jurisdiction. These regulations are 
issued pursuant to section 8(a) of the Federal Advisory Committee Act 
(Pub. L. 92-463, 5 U.S.C. App. I), and supplement Executive Order No. 
11769 (39 FR 7125 (1974)) and Office of Management and Budget Circular 
No. A-63 (Rev.) (39 FR 12369 (1974)).



Sec. 1018.2  Definitions.

    (a) Advisory Committee Act or Act means the Federal Advisory 
Committee Act (Pub. L. 92-463, 5 U.S.C. App. I (1974)).
    (b) OMB Circular No. A-63 means Office of Management and Budget 
Circular No. A-63 (Rev.), entitled ``Advisory Committee Management'' (39 
FR 12369, April 5, 1974), as amended.
    (c) Advisory Committee means any committee, board, commission, 
council, conference, panel, task force or other similar group, or any 
subcommittee or other subgroup, thereof, which is established or used by 
the Commission in the interest of obtaining advice or recommendations 
and which is not composed wholly of full-time officers or employees of 
the Federal Government.
    (d) Statutory advisory committee means an advisory committee 
established or directed to be established by Congress.
    (e) Non-statutory advisory committee means an advisory committee 
established by the Commission, including a committee which was 
authorized, but not established by Congress.
    (f) Ad hoc advisory committee means a non-continuing, non-statutory 
advisory committee established by the Commission for the stated purpose 
of providing advice or recommendations regarding a particular problem 
which must be resolved immediately or within a limited period of time.
    (g) Non-Commission established advisory committee means an advisory 
committee established by a Federal, State, or local instrumentality 
other than the Commission, or by a private organization or group and 
utilized by the Commission for advisory services.
    (h) GSA Secretariat means the Committee Management Secretariat of 
the General Services Administration.

[[Page 50]]

    (i) Chairman means the Chairman of the Consumer Product Safety 
Commission.

[41 FR 45882, Oct. 18, 1976, as amended at 46 FR 63248, Dec. 31, 1981]



Sec. 1018.3  Policy.

    In application of this part, Commission officials shall be guided by 
the Advisory Committee Act, the statutes creating the Commission's 
advisory committees, and by the directives in Executive Order No. 11769 
and OMB Circular No. A-63. Principles to be followed include:
    (a) Limiting the number of advisory committees to those that are 
essential and terminating any committee not fulfilling its purpose;
    (b) Insuring effective use of advisory committees and their 
recommendations, while assuring that decisional authority is retained by 
the responsible Commission officers;
    (c) Providing clear goals, standards, and uniform procedures with 
respect to the establishment, operation, and administration of advisory 
committees;
    (d) Ensuring that adequate information is provided to the public 
regarding advisory committees; and
    (e) Ensuring adequate opportunities for access by the public to 
advisory committee meetings and information.



Sec. 1018.4  Applicability.

    (a) This part shall apply to all advisory committees (whether 
statutory or non-statutory) subject to the jurisdiction of the 
Commission. This part also shall apply to ad hoc advisory committees and 
non-Commission established advisory committees when they are performing 
advisory services for the Commission.
    (b) Nothing in this part shall apply to any of the following types 
of organizations:
    (1) Any local civic group whose primary function is that of 
rendering a public service with respect to a Federal program;
    (2) Any state or local government committee, council, board, 
commission, or similar group established to advise or make 
recommendations to State or local officials or agencies;
    (3) Any committee whether advisory, interagency, or intraagency 
which is composed wholly of full-time officers or employees of the 
Federal Government;
    (4) Persons or organizations having contractual relationships with 
the Commission; and
    (5) Persons or organizations developing consumer product safety 
standards under section 7 of the Consumer Product Safety Act (15 U.S.C. 
2056).
    (c) This part shall not apply to a committee or other group to the 
extent that it is specifically exempted by statute from the Federal 
Advisory Committee Act.

[41 FR 45882, Oct. 18, 1976, as amended at 46 FR 63248, Dec. 31, 1981]



Sec. 1018.5  Advisory Committee Management Officer.

    The Chairman shall designate an Advisory Committee Management 
Officer who shall:
    (a) Exercise control and supervision over the establishment, 
procedures, and accomplishments of all advisory committees established 
or utilized by the Commission;
    (b) Assemble and maintain the reports, records, and other papers of 
any such committee during its existence, and carry out, on behalf of the 
Secretary of the Commission, the provisions of section 552 of Title 5, 
United States Code (Freedom of Information Act) and the Commission's 
Procedures for Disclosure or Production of Information Under the Freedom 
of Information Act (16 CFR part 1015) with respect to such reports, 
records, and other papers; and
    (c) Perform such other functions as specified in this part.



             Subpart B--Establishment of Advisory Committees



Sec. 1018.11  Charters.

    (a) No advisory committee shall meet or take any action until its 
charter has been filed with the GSA Secretariat in accordance with the 
requirements of section 9(c) of the Federal Advisory Committee Act.
    (b) The Advisory Committee Management officer shall have 
responsibility

[[Page 51]]

for the preparation and filing of charters.

[41 FR 45882, Oct. 18, 1976, as amended at 46 FR 63249, Dec. 31, 1981]



Sec. 1018.12  Statutory advisory committees.

    The Commission has one statutory advisory committee subject to the 
Federal Advisory Committee Act. The Toxicological Advisory Board was 
established by the Commission on December 22, 1978, pursuant to section 
20 of the Federal Hazardous Substances Act, as amended (Pub. L. 95-631, 
92 Stat. 3747, 15 U.S.C. 1275).

[46 FR 63248, Dec. 31, 1981]



Sec. 1018.13  Non-statutory advisory committees.

    (a) In proposing to establish a non-statutory advisory committee, 
the Commission shall follow the procedural requirements of section 
9(a)(2) of the Advisory Committee Act and section 6(a) of OMB Circular 
No. A-63.
    (b) A non-statutory advisory committee shall not be established if 
the proposed function can be performed effectively by Commission 
personnel, by an existing advisory committee, or by another Federal 
agency.



Sec. 1018.14  Non-Commission established advisory committees.

    (a) To the extent practicable, the Commission shall utilize advisory 
committees already established by Federal, State, or local government or 
by private organizations, rather than establish a new advisory committee 
or expand the functions of an existing Commission advisory committee.
    (b) In utilizing a non-Commission established advisory committee, 
Commission officials shall follow the applicable provisions of this part 
and the requirements of the Advisory Committee Act.



Sec. 1018.15  Membership composition.

    The Toxicological Advisory Board, as specified in section 20 of the 
Federal Hazardous Substances Act, as amended (Pub. L. 95-631, 92 Stat. 
3747, 15 U.S.C. 1275), shall be composed of nine members appointed by 
the Commission. Each member of the Board shall be qualified by training 
and experience in one or more fields applicable to the duties of the 
Board, and at least three of the members of the Board shall be members 
of the American Board of Medical Toxicology. The Commission will seek a 
balanced membership, including individuals representative of consumers, 
government and industry.

[46 FR 63248, Dec. 31, 1981]



Sec. 1018.16  Membership selection.

    (a) Whenever new applicants are required for a Commission advisory 
committee, public notice will be issued in the Federal Register inviting 
individuals to submit, on or before a specified date, applications or 
nominations for membership.
    (b) An applicant for membership on an advisory committee shall 
disclose all affiliations, either paid or as a volunteer, that bear any 
relationship to the subject area of product safety or to membership on 
the advisory committee. This disclosure shall include both current 
affiliations and relevant past affiliations.
    (c) The Secretary of the Commission shall, from time to time, 
appoint a Candidate Evaluation Panel consisting of qualified, staff 
members of the Commission, including the Advisory Committee Management 
Officer.
    (d) The Candidate Evaluation Panel, using selection criteria 
established by the Commission, shall evaluate all candidates and submit 
to the Commissioners the names of those candidates it recommends for 
membership. Where possible, at least three candidates shall be 
recommended for each appointment to be made. Final selection for 
membership shall be made by the Commissioners.
    (e) The membership of each Commission Advisory Committee shall be 
fairly balanced in terms of geographic location, age, sex, and race.



Sec. 1018.17  Appointments.

    (a) The Chairman shall appoint as members to advisory committees 
those persons selected by the Commissioners.
    (b) The term of appointment to an advisory committee shall be for 
two years, unless otherwise specified by the Commission. To promote 
maximum participation, an advisory committee

[[Page 52]]

member may serve for only one consecutive full term. This subsection 
shall not be deemed to affect the term of appointment of any present 
member of an advisory committee in effect on the original effective date 
of this part, September 24, 1975.
    (c) A vacancy that occurs during the term of an appointment normally 
will be filled by the Commission from the applications or nominations on 
file. Appointment to any such vacancy will be for the unexpired portion 
of the original appointment. Appointees to such an unexpired term may be 
reappointed for a full two-year term.
    (d) Notwithstanding paragraphs (b) and (c) above, members of the 
Toxicological Advisory Board shall be appointed for terms of three 
years. Members may be reappointed for a subsequent three-year term. Any 
vacancy on the Board shall be filled in the same manner in which the 
original appointment was made. Any person appointed to fill a vacancy 
occurring before the expiration of the term for which his or her 
predecessor was appointed shall serve only for the remainder of such 
term.

[41 FR 45882, Oct. 18, 1976, as amended at 43 FR 60876, Dec. 29, 1978]



               Subpart C--Operation of Advisory Committees



Sec. 1018.21  Calling of meetings.

    Advisory committees shall, as a general rule, meet four times per 
year, except that, as provided by statute, the Toxicological Advisory 
Board shall meet not less than two times each year. No advisory 
committee shall hold a meeting without advance approval of the Chairman 
or the Commission official designated under Sec. 1018.23(a). Before 
giving such advance approval, the Chairman or Commission official shall 
notify the Commission of the date of the proposed meeting.

[41 FR 45822, Oct. 18, 1976, as amended at 43 FR 60876, Dec. 29, 1978]



Sec. 1018.22  Notice of meetings.

    (a) Meetings shall be called by written and/or oral notice to all 
members of the advisory committee.
    (b) Notice of each advisory committee meeting shall be published in 
the Federal Register as well as other means to give widespread public 
notice, at least 15 calendar days before the date of the meeting, except 
that shorter notice may be provided in emergency situations. Reasons for 
such emergency exceptions shall be made part of the meeting notice.
    (c) A meeting notice shall include:
    (1) The official designation of the committee;
    (2) The address and site of the meeting;
    (3) The time of the meeting;
    (4) The purpose of the meeting, including where appropriate, a 
summary of the agenda;
    (5) Whether, or the extent to which, the public will be permitted to 
attend or participate;
    (6) An explanation of how any person who wishes to do so may file a 
written statement with the committee before, during, or after the 
meeting; and
    (7) The procedure by which a public attendee may present an oral 
statement or question to members of the committee.



Sec. 1018.23  Designated Commission employee.

    (a) The Chairman shall designate a member of the Commission or other 
Commission officer or employee to chair or attend each meeting of each 
advisory committee.
    (b) Unless otherwise provided in the statute creating a statutory 
advisory committee, the committee normally will be chaired, on a 
rotating basis, by a member of the Commission.
    (c) No advisory committee shall conduct any meeting in the absence 
of the officer or employee designated under paragraph (a) of this 
section.
    (d) The officer or employee designated under paragraph (a) of this 
section is authorized to adjourn any advisory committee meeting whenever 
he or she determines adjournment to be in the public interest.



Sec. 1018.24  Agenda.

    Prior to each advisory committee meeting, the Advisory Committee 
Management Officer shall prepare and,

[[Page 53]]

after approval by the officer or employee designated under Sec. 1018.23 
(a), shall distribute to each committee member the agenda for that 
meeting. The agenda for a meeting shall list the matters to be discussed 
at the meeting and shall indicate whether and when any part of the 
meeting will concern matters which are exempt from public disclosure 
under the Freedom of Information Act (5 U.S.C. 552(b) or section 6(a)(2) 
of the Consumer Product Safety Act (15 U.S.C. 2045(a)(2)).



Sec. 1018.25  Minutes and meeting reports.

    (a) The Advisory Committee Management Officer shall be responsible 
for the preparation of detailed minutes of each meeting of each advisory 
committee. The minutes shall include at least the following:
    (1) The time and place of the meeting;
    (2) A list of advisory committee members and staff and Commission 
employees present at the meeting;
    (3) A complete summary of all matters discussed and conclusions 
reached;
    (4) Copies of all reports received, issued, or approved by the 
advisory committee; and
    (5) A description of public participation, including a list of 
members of the public who presented oral or written statements and an 
estimate of the number of members of the public who attended the 
meeting.
    (b) The chairman of the advisory committee shall certify the 
accuracy of the minutes.
    (c) Whenever a non-Commission established committee convenes and, at 
the request of the Commission, a portion of the session is allocated to 
the rendering of advisory services to the Commission, the Advisory 
Committee Management Officer shall attend and prepare minutes for that 
portion of the meeting in accordance with this section.
    (d) In addition to the information required by subsection (a) of 
this section, the minutes of the Toxicological Advisory Board shall 
specify the reasons for all conclusions reached and, where conclusions 
are not unanimous, the Board is encouraged to submit minority or 
dissenting opinions.

[41 FR 45882, Oct. 18, 1976, as amended at 43 FR 60876, Dec. 29, 1978]



Sec. 1018.26  Advisory functions.

    (a) Unless otherwise specifically provided by statute, advisory 
committees shall be utilized solely for advisory functions.
    (b) The Commission shall ensure that the advice and recommendations 
of advisory committees shall not be in-appropriately influenced by the 
Commission, its staff, or by any special interest, but will be the 
result of the advisory committee's independent judgment.



Sec. 1018.27  Public participation.

    (a) The Commission is committed to a policy of encouraging public 
participation in its activities and will hold all advisory committee 
meetings open to the public.
    (b) The guidelines in section 8(c) of OMB Circular A-63 shall be 
followed in providing public access to advisory committee meetings.



Sec. 1018.28  Records and transcripts.

    (a) Subject to section 552 of title 5, United States Code (Freedom 
of Information Act) and 16 CFR part 1015 (Commission's Procedures for 
Disclosure or Production of Information under the Freedom of Information 
Act), the records, reports, transcripts, minutes, appendices, working 
papers, drafts, studies, agendas or other documents which were made 
available to or prepared for or by an advisory committee shall be made 
available for public inspection and copying in the Commission's Office 
of the Secretary.
    (b) Advisory Committee documents shall be made available until the 
advisory committee ceases to exist. Disposition of the advisory 
committee documents shall be determined by the Secretary of the 
Commission at that time.



Sec. 1018.29  Appeals under the Freedom of Information Act.

    Appeals from the denial of access to advisory committee documents 
shall be considered in accordance with the

[[Page 54]]

Commission's Procedures for Disclosure or Production of Information 
under the Freedom of Information Act (16 CFR part 1015).



            Subpart D--Administration of Advisory Committees



Sec. 1018.31  Support services.

    Unless the statutory authority for a particular advisory committee 
provides otherwise, the Advisory Committee Management Officer shall be 
responsible for providing and overseeing all necessary support services 
for each advisory committee established by or reporting to the 
Commission. Support services include providing committee staff, meeting 
rooms, supplies, and funds, including funds for the publication of 
reports.



Sec. 1018.32  Compensation and travel expenses.

    (a) A single rate of compensation will be offered to members of all 
advisory committees with the exception of government employees and those 
individuals whose company or organization prohibits such payment. This 
rate shall be $100 per day for each day in attendance at the meeting and 
for each day of travel.
    (b) The Commission shall determine per diem and travel expenses for 
members, staffs, and consultants in accordance with section 7(d) of the 
Advisory Committee Act and section 11 of OMB Circular No. A-63.
    (c) Members of advisory committees, while engaged in the performance 
of their duties away from their homes or regular place of business, may 
be allowed travel expenses including per diem in lieu of expenses as 
authorized by 5 U.S.C. 5703.



Sec. 1018.33  Change of status.

    Any advisory committee member who changes his or her affiliation or 
who assumes an additional affiliation, so as to actually or potentially 
affect his or her representational capacity on an advisory committee 
(upon which the member's application was based), shall immediately 
notify, in writing, the Advisory Committee Management Officer. Such 
notification shall include all relevant information concerning the 
change in affiliation and a statement by the member expressing his or 
her opinion regarding the implications of such change. The notification 
and any other relevant information shall be evaluated by the 
Commissioners to determine the appropriateness of the member's continued 
membership on the advisory committee.



Sec. 1018.34  Conflict of interest.

    Members of the Commission's statutory advisory committees are not 
legally subject to the standards of conduct and conflict of interest 
statutes and regulations applicable to Commission employees. However, it 
is important to avoid situations in which a member of an advisory 
committee has an actual or apparent conflict of interest between the 
member's private interests (or the interests of the member's 
organization) and the member's interest in properly performing his or 
her duties as an advisory committee member. To preclude any such actual 
or apparent conflict of interest, committee members shall be subject to 
the following guidelines:
    (a) Committee members should not personally participate, either for 
themselves or on behalf of an organization, in negotiations, or the 
preparation of negotiations, for contracts with or grants from the 
Commission. Nor should committee members, either as an individual or on 
behalf of an organization, become personally involved in the performance 
of work under such a negotiated contract or grant awarded by the 
Commission. Committee members may participate in preparing bids for and 
performing work under advertised contracts where price is the single 
factor in the determination of award.
    (b) Committee members should not become personally involved in the 
preparation or submission of a proposal to develop a safety standard or 
regulation under any of the Acts administered by the Commission.
    (c) Committee members representing anyone in a professional capacity 
in a proceeding before the Commission should, pursuant to paragraph (e) 
and (f) of this section, advise the committee chairperson and the other 
members of the committee on which he or

[[Page 55]]

she serves of the representation prior to the committee's discussion 
regarding that proceeding. Where the chairperson of the committee 
determines that the representation involves a conflict or the appearance 
of a conflict of interest, the member will be asked to withdraw from the 
discussion of the proceeding. In circumstances where withdrawal from the 
committee's discussion or consideration of the matter is determined by 
the Commission to be insufficient to avoid a conflict or apparent 
conflict of interest, continued representation may be considered 
incompatible with membership on the committee.
    (d) Committee members should exercise caution to ensure that their 
public statements are not interpreted to be official policy statements 
of the Commission.
    (e) Committee members shall disclose to the committee chairperson 
and to the other members of the committee on which he or she serves, any 
special interest in a particular proceeding or matter then pending 
before the committee which in any way may affect that member's position, 
views or arguments on the particular proceeding or matter. The 
disclosure shall be made orally prior to the commencement of the 
discussion. ``Special interest'' is not intended to include a member's 
general interest in presenting a position, views, or arguments in his or 
her representational capacity.
    (f) Where the chairperson of the committee determines that the 
disclosure referred to in paragraph (e) of this section reveals a 
conflict or apparent conflict of interest with respect to a member's 
involvement in the committee's consideration or discussion of a 
particular matter, the member will be asked to withdraw from the 
discussion of the matter.
    (g) The provisions of paragraphs (a) and (b) of this section do not 
apply to state and local government officers and employees.



Sec. 1018.35  Termination of membership.

    Advisory committee membership may be terminated at any time upon a 
determination by the Commission that such action is appropriate.



              Subpart E--Records, Annual Reports and Audits



Sec. 1018.41  Agency records on advisory committees.

    (a) In accordance with section 12(a) of the Advisory Committee Act, 
the Advisory Committee Management Officer shall maintain, in the Office 
of the Secretary, records which will fully disclose the nature and 
extent of the activities of each advisory committee established or 
utilized by the Commission.
    (b) The records shall include a current financial report itemizing 
expenditures and disclosing all funds available for each advisory 
committee during the current fiscal year.
    (c) The records shall also include a complete set of the charters of 
the Commission's advisory committee and copies of the annual reports on 
advisory committees.



Sec. 1018.42  Annual report.

    (a) The Advisory Committee Management Officer shall prepare an 
annual report on the Commission's advisory committees for inclusion in 
the President's annual report to Congress as required by section 6(c) of 
the Advisory Committee Act. This report shall be prepared and submitted 
in accordance with General Services Administration guidelines (39 FR 
44814, December 27, 1974).
    (b) Results of the annual comprehensive review of advisory committee 
made under Sec. 1018.43 shall be included in the annual report.



Sec. 1018.43  Comprehensive review.

    A comprehensive review of all Commission established or utilized 
advisory committees shall be made annually in accordance with section 10 
of the GSA Circular No. A-63, as amended, and shall be submitted to the 
GSA Secretariat by November 30 of each year.

[41 FR 45882, Oct. 18, 1976, as amended at 46 FR 63249, Dec. 31, 1981]

[[Page 56]]



                   Subpart F--Termination and Renewal



Sec. 1018.61  Statutory advisory committees.

    A new charter shall be filed for each statutory advisory committee 
in accordance with section 9(c) of the Advisory Committee Act and 
Sec. 1018.11 upon the expiration of each successive two-year period 
following the date of enactment of the statute establishing or requiring 
the establishment of the committee.



Sec. 1018.62  Non-statutory advisory committees.

    (a) Each non-statutory advisory committee established by the 
Commission after the effective date of this part shall terminate not 
later than two years after its establishment unless prior to that time 
it is renewed in accordance with paragraph (c) of this section.
    (b) Each non-statutory advisory committee which is renewed by the 
Commission shall terminate not later than two years after its renewal 
unless prior to that time it is again renewed in accordance with 
paragraph (c) of this section.
    (c) Before a non-statutory advisory committee can be renewed by the 
Commission, the chairman shall inform the GSA Secretariat by letter not 
more than 60 days nor less than 30 days before the committee expires of 
the following:
    (1) His or her determination that renewal is necessary and is in the 
public interest;
    (2) The reasons for his or her determination;
    (3) The Commission's plan to attain balanced membership of the 
committee, and;
    (4) An explanation of why the committee's functions cannot be 
performed by the Commission or by another existing advisory committee.
    (d) If the GSA Secretariat concurs, the Chairman shall certify in 
writing that the renewal of the advisory committee is in the public 
interest and shall publish notice of the renewal in the Federal Register 
and shall file a new charter.

[41 FR 45882, Oct. 18, 1976, as amended at 46 FR 63249, Dec. 31, 1981]



PART 1019--EXPORT OF NONCOMPLYING, MISBRANDED, OR BANNED PRODUCTS--Table of Contents




Subpart A--Procedures for Export of Noncomplying, Misbranded, or Banned 
                                Products

Sec.
1019.1 Purpose, applicability, and exemptions.
1019.2 Definitions.
1019.3 General requirements for notifying the Commission.
1019.4 Procedures for notifying the Commission; content of the 
          notification.
1019.5 Time notification must be made to Commission; reductions of time.
1019.6 Changes to notification.
1019.7 Commission notification of foreign governments.
1019.8 Confidentiality.

 Subpart B--Statement of Policy and Interpretation Concerning Export of 
              Noncomplying, Misbranded, or Banned Products

1019.31 Purpose and scope.
1019.32 Statutory provisions.
1019.33 Statement of policy and interpretation.

    Authority: 15 U.S.C. 1196, 1202, 1263, 1264, 1273, 2067, 2068.

    Source: 61 FR 29647, June 12, 1996, unless otherwise noted.



Subpart A--Procedures for Export of Noncomplying, Misbranded, or Banned 
                                Products



Sec. 1019.1  Purpose, applicability, and exemptions.

    (a) Purpose. The regulations in this subpart A of this part 1019 
establish the procedures exporters must use to notify the Consumer 
Product Safety Commission of their intent to export from the United 
States products which are banned or fail to comply with an applicable 
safety standard, regulation, or statute. These regulations also set 
forth the procedures the Commission uses in transmitting the 
notification of export of noncomplying products to the country to which 
those products will be sent. The Consumer Product Safety

[[Page 57]]

Act Authorization Act of 1978 (Pub. L. 95-631), which became effective 
November 10, 1978, established these notification requirements and 
authorizes the Commission to issue regulations to implement them.
    (b) Applicability. These regulations apply to any person or firm 
which exports from the United States and item which is:
    (1) A consumer product that does not conform to an applicable 
consumer product safety rule issued under sections 7 and 9 of the 
Consumer Product Safety Act (15 U.S.C. 2056, 2058), or which has been 
declared to be a banned hazardous product under provisions of sections 8 
and 9 of that Act (15 U.S.C. 2057, 2058); or
    (2) A misbranded hazardous substance or a banned hazardous substance 
within the meaning of sections 2(p) and 2(q) of the Federal Hazardous 
Substances Act (15 U.S.C. 1261); or
    (3) A fabric or related material or an item of wearing apparel or 
interior furnishing made of fabric or related material which fails to 
conform with an applicable flammability standard or regulations issued 
under section 4 of the Flammable Fabrics Act (15 U.S.C. 1191, 1193).
    (c) Exemption for certain items with noncomplying labeling. The 
exporter of an item that fails to comply with a standard or regulation 
only because it is labeled in a language other than English need not 
notify the Commission prior to export if the product is labeled with the 
required information in the language of the country to which the product 
will be sent.
    (d) Exemption for samples. The exporter of an item that fails to 
comply with a standard or regulation, but which is intended for use only 
as a sample and not for resale, need not notify the Commission prior to 
export, if the item is conspicuously and labeled in English with the 
statement: ``Sample only. Not for resale.'' (The Commission encourages 
exporters to provide this label, in addition, in the language of the 
importing country, but does not require the foreign language labeling.) 
To qualify as a sample shipment under this exemption, the quantity of 
goods involved must be consistent with prevalent trade practices with 
respect to the specific product.
    (e) Exemption for items not in child-resistant packaging. The 
exporter of an item which is a ``misbranded hazardous substance'' within 
the meaning of section 2(p) of the Federal Hazardous Substances Act (15 
U.S.C. 1261(p)) only because it fails to comply with an applicable 
requirement for child-resistant packaging under the Poison Prevention 
Packaging Act of 1970 (15 U.S.C. 1471 et seq.) need not notify the 
Commission prior to export.



Sec. 1019.2  Definitions.

    As used in this subpart A of this part 1019:
    (a) Consignee means the person, partnership, corporation or entity 
in a foreign country to whom noncomplying goods are sent;
    (b) Export means to send goods outside the United States or United 
States possessions for purposes of trade, except the term does not apply 
to sending goods to United States installations located outside the 
United States or its possessions;
    (c) Exporter means the person, partnership, corporation or entity 
that initiates the export of noncomplying goods;
    (d) Noncomplying goods means any item described in Sec. 1019.1(b), 
except for those items excluded from the requirements of these 
regulations by Sec. 1019.1 (c), (d), and (e).



Sec. 1019.3  General requirements for notifying the Commission.

    Not less than 30 days before exporting any noncomplying goods 
described in Sec. 1019.1(b), the exporter must file a statement with the 
Consumer Product Safety Commission, as described in Sec. Sec. 1019.4 and 
1019.5 of this subpart A. The exporter need not notify the Commission 
about the export of items described in Sec. 1019.1 (c), (d), or (e). As 
described in Sec. 1019.5, the exporter may request the Commission to 
allow the statement to be filed between 10 and 29 days before the 
intended export, and the request may be granted for good cause.

[[Page 58]]



Sec. 1019.4  Procedures for notifying the Commission; content of the notification.

    (a) Where notification must be filed. The notification of intent to 
export shall be addressed to the Assistant Executive Director for 
Compliance, Consumer Product Safety Commission, Washington, DC 20207.
    (b) Coverage of notification. An exporter must file a separate 
notification for each country to which noncomplying goods are to be 
exported. Each notification may include a variety of noncomplying goods 
being shipped to one country. The notification may include goods 
intended to be shipped to one country in any one year, unless the 
Assistant Executive Director of Compliance directs otherwise in writing.
    (c) Form of notification. The notification of intent to export must 
be in writing and must be entitled: ``Notification of Intent to Export 
Noncomplying Goods to [indicate name of country].'' The Commission has 
no notification forms, but encourages exporters to provide the required 
information in the order listed in paragraphs (d) and (e) of this 
section.
    (d) Content of notification; required information. The notification 
of intent to export shall contain the information required by this 
subsection. If the notification covers a variety of noncomplying goods 
the exporter intends to export to one country, the information required 
below must be clearly provided for each class of goods, and may include 
an estimate of the information required in paragraphs (d) (3) and (5) of 
this section. The required information is:
    (1) Name, address and telephone number of the exporter;
    (2) Name and address of each consignee;
    (3) Quantity and description of the goods to be exported to each 
consignee, including brand or trade names or model or other identifying 
numbers;
    (4) Identification of the standards, bans, regulations and statutory 
provisions applicable to the goods being exported, and an accurate 
description of the manner in which the goods fail to comply with 
applicable requirements; and
    (5) Anticipated date of shipment and port of destination.
    (e) Optional information. In addition to the information required by 
paragraph (d) of this section, the notification of intent to export may 
contain, at the exporter's option, the following information:
    (1) Copies of any correspondence from the government of the country 
of destination of the goods indicating whether the noncomplying goods 
may be imported into that country; and
    (2) Any other safety-related information that the exporter believes 
is relevant or useful to the Commission or to the government of the 
country of intended destination.
    (f) Signature. The notification of intent to export shall be signed 
by the owner of the exporting firm if the exporter is a sole-
proprietorship, by a partner if the exporter is a partnership, or by a 
corporate officer if the exporter is a corporation.



Sec. 1019.5  Time notification must be made to Commission; reductions of time.

    (a) Time of notification. The notification of intent to export must 
be received by the Commission's Assistant Executive Director for 
Compliance at least 30 days before the noncomplying goods are to leave 
the customs territory of the United States. If the notification of 
intent to export includes more than one shipment of noncomplying goods 
to a foreign country, the Assistant Executive Director for Compliance 
must receive the notification at least 30 days before the first shipment 
of noncomplying goods is to leave the customs territory of the United 
States.
    (b) Incomplete notification. Promptly after receiving notification 
of intent to export, the Assistant Executive Director will inform the 
exporter if the notification of intent to export is incomplete and will 
described which requirements of Sec. 1019.4 are not satisfied. The 
Assistant Executive Director may inform the exporter that the 30-day 
advance notification period will not begin until the Assistant Executive 
Director receives all the required information.
    (c) Requests for reduction in 30-day notification requirement. Any 
exporter may

[[Page 59]]

request an exemption from the requirement of 30-day advance notification 
of intent to export by filing with the Commission's Assistant Executive 
Director for Compliance (Washington, DC 20207) a written request that 
the time be reduced to a time between 10 and 30 days before the intended 
export. The request for reduction in time must be received by the 
Assistant Executive Director for Compliance at least 3 working days 
before the exporter wishes the reduced time period to begin. The request 
must:
    (1) Be in writing;
    (2) Be entitled ``Request for Reduction of Time to File Notification 
of Intent to Export Noncomplying Goods to [indicate name of country]'';
    (3) Contain a specific request for the time reduction requested to a 
time between 10 and 30 days before the intended export); and
    (4) Provide reasons for the request for reduction in time.
    (d) Response to requests for reduction of time. The Assistant 
Executive Director for Compliance has the authority to approve or 
disapprove requests for reduction of time. The Assistant Executive 
Director shall indicate the amount of time before export that the 
exporter must provide the notification. If the request is not granted, 
the Assistant Executive Director shall explain the reasons in writing.



Sec. 1019.6  Changes to notification.

    If the exporter causes any change to any of the information required 
by Sec. 1019.4, or learns of any change to any of that information, at 
any time before the noncomplying goods reach the country of destination, 
the exporter must notify the Assistant Executive Director for Compliance 
within two working days after causing or learning of such change, and 
must state the reason for any such change. The Assistant Executive 
Director will promptly inform the exporter whether the 30-day advance 
notification period will be discontinued, and whether the exporter must 
take any other steps to comply with the advance notification 
requirement.



Sec. 1019.7  Commission notification of foreign governments.

    After receiving notification from the exporter, or any changes in 
notification, the Assistant Executive Director for Compliance shall 
inform on a priority basis the appropriate government agency of the 
country to which the noncomplying goods are to be sent of the 
exportation and the basis on which the goods are banned or fail to 
comply with Commission standards, regulations, or statutes, and shall 
send all information supplied by the exporter in accordance with 
Sec. 1019.4(d). The Assistant Executive Director shall also enclose any 
information supplied in accordance with Sec. 1019.4(e), but he or she 
may also state that the Commission disagrees with or takes no position 
on its content, including its relevance or accuracy. The Assistant 
Executive Director shall take whatever other action is necessary to 
provide full information to foreign countries and shall also work with 
and inform the U.S. State Department and foreign embassies and 
international organizations, as appropriate. The Assistant Executive 
Director shall also seek acknowledgment of the notification from the 
foreign government. Foreign governments intending to prohibit entry of 
goods that are the subject of a notification from the Commission should 
initiate action to prevent such entry and should notify the exporter 
directly of that intent.



Sec. 1019.8  Confidentiality.

    If the exporter believes any of the information submitted should be 
considered trade secret or confidential commercial or financial 
information, the exporter must request confidential treatment, in 
writing, at the time the information is submitted or must indicate that 
a request will be made within 10 working days. The Commission's 
regulations under the Freedom of Information Act, 16 CFR part 1015, 
govern confidential treatment of information submitted to the 
Commission.

[[Page 60]]



 Subpart B--Statement of Policy and Interpretation Concerning Export of 
              Noncomplying, Misbranded, or Banned Products



Sec. 1019.31  Purpose and scope.

    (a) This subpart B of this part 1019 states the policy of the 
Consumer Product Safety Commission and its interpretation of the 
Consumer Product Safety Act and the Federal Hazardous Substances Act 
with regard to exportation of products which have been sold, offered for 
sale, or distributed in commerce for use in the United States which:
    (1) Fail to comply with an applicable consumer product safety 
standard or banning rule issued under provisions of the Consumer Product 
Safety Act (15 U.S.C. 2051 et seq.); or
    (2) Are ``misbranded hazardous substances'' or ``banned hazardous 
substances'' as those terms are used in the Federal Hazardous Substances 
Act (15 U.S.C. 1261 et seq.).
    (b) The policy expressed in this subpart B of part 1019 does not 
apply to any of the following products:
    (1) Products which could be regulated only under provisions of the 
Consumer Product Safety Act but which are not subject to a consumer 
product safety standard or banning rule issued under that Act.
    (2) Consumer products which are subject to and fail to comply with 
an applicable standard or banning rule issued under provisions of the 
Consumer Product Safety Act but which have never been distributed in 
commerce for use in the United States. See section 18(b) of the Consumer 
Product Safety Act 15, U.S.C. 2067(b), and subpart A of this part 1019 
for requirements governing export of such products.)
    (3) Products which could be regulated under one or more sections of 
the Federal Hazardous Substances Act but which are neither ``misbranded 
hazardous substances'' nor ``banned hazardous substances'' as those 
terms are used in the Act.
    (4) Products which are ``misbranded hazardous substances'' or 
``banned hazardous substances'' as those terms are used in the Federal 
Hazardous Substances Act but which have never been sold or offered for 
sale in domestic commerce. (See sections 5(b) and 14(d) of the Federal 
Hazardous Substances Act (15 U.S.C. 1264(b) and 1273(d) and subpart A of 
this part 1019 for requirements governing export of such products.)
    (5) Products for which the Commission has granted an exemption from 
an applicable standard, ban, or labeling requirement under the CPSA, 
FHSA, or FFA, in accordance with provisions of 16 CFR 1009.9. (These 
products remain subject to the notification requirements of subpart A of 
this part 1019.)
    (6) Products which fail to comply with an applicable standard of 
flammability issued under provisions of the Flammable Fabrics Act (15 
U.S.C. 1191 et seq.). The Commission's policy regarding export of such 
products is set forth in the Commission's Memorandum Decision and Order 
In the Matter of Imperial Carpet Mills, Inc., CPSC Docket No. 80-2, July 
7, 1983, and allows export without regard to whether the products have 
been distributed in domestic commerce. (See section 15 of the Flammable 
Fabrics Act, 15 U.S.C. 1202, and subpart A of this part 1019 for 
requirements governing export of such products.)



Sec. 1019.32  Statutory provisions.

    (a) Section 18(a) of the Consumer Product Safety Act (15 U.S.C. 
2057(a)) states:
    This Act [the Consumer Product Safety Act] shall not apply to any 
consumer product if: (1) It can be shown that such product is 
manufactured, sold, or held for sale for export from the United States 
(or that such product was imported for export), unless (A) such consumer 
product is in fact distributed in commerce for use in the United States, 
or (B) the Commission determines that exportation of such product 
presents an unreasonable risk of injury to consumers within the United 
States, and (2) such consumer product when distributed in commerce, or 
any container in which it is enclosed when so distributed, bears a stamp 
or label stating that such consumer product is intended for export; 
except that this Act shall apply to any consumer product manufactured 
for sale, offered for sale, or sold for shipment to any installation of 
the United States located outside of the United States.
    (b) Section 4 of the Federal Hazardous Substances Act (15 U.S.C. 
1263) states in part:

[[Page 61]]

    The following acts and the causing thereof are hereby prohibited: 
(a) The introduction or delivery for introduction into interstate 
commerce of any misbranded hazardous substance or banned hazardous 
substance. * * * (c) The receipt in interstate commerce of any 
misbranded hazardous substance or banned hazardous substance and the 
delivery or proffered delivery thereof for pay or otherwise.
    (c) Section 5(b) of the Federal Hazardous Substances Act (15 U.S.C. 
1264(b)) provides in part:
    No person shall be subject to the penalties of this section * * * 
(3) for having violated subsection (a) or (c) of section 4 with respect 
to any hazardous substance shipped or delivered for shipment for export 
to any foreign country, in a package marked for export on the outside of 
the shipping container and labeled in accordance with the specifications 
of the foreign purchaser and in accordance with the laws of the foreign 
country, but if such hazardous substance is sold or offered for sale in 
domestic commerce, or if the Consumer Product Safety Commission 
determines that exportation of such substance presents an unreasonable 
risk of injury to persons residing within the United States, this clause 
shall not apply.



Sec. 1019.33  Statement of policy and interpretation.

    (a) In its enforcement of the Consumer Product Safety Act, the 
Commission interprets the provisions of that Act to prohibit the export 
of products which fail to comply with an applicable consumer product 
safety standard or banning rule issued under that Act if those products 
have at any time been distributed in commerce for use in the United 
States.
    (b) In its enforcement of the Federal Hazardous Substances Act, the 
Commission interprets the provisions of the Act to prohibit the export 
of products which are misbranded substances or banned hazardous 
substances as those terms are used in that Act if those products have at 
any time been sold or offered for sale in domestic commerce.



PART 1020--SMALL BUSINESS--Table of Contents




Sec.
1020.1 Why is the Commission issuing this rule?
1020.2 What is the definition of ``small business''?
1020.3 What are the qualifications and duties of the Small Business 
          Ombudsman?
1020.4 What is the Small Business Program?
1020.5 What is the Small Business Enforcement Policy?

    Authority: 5 U.S.C. 601 note.

    Source: 61 FR 52878, Oct. 9, 1996, unless otherwise noted.



Sec. 1020.1  Why is the Commission issuing this rule?

    (a) To state the Commission's policies on small businesses;
    (b) To assure that the Commission continues to treat small 
businesses fairly;
    (c) To assure that small businesses do not bear a disproportionate 
share of any burden or cost created by a Commission regulatory, 
enforcement, or other action; and
    (d) To assure that small businesses are given every opportunity to 
participate fully in the Commission's regulatory process.



Sec. 1020.2  What is the definition of ``small business''?

    As used in this part, the term small business means any entity that 
is either a small business, small organization, or small governmental 
jurisdiction, as those terms are defined at 5 U.S.C. 601(3), (4), and 
(5), respectively.



Sec. 1020.3  What are the qualifications and duties of the Small Business Ombudsman?

    (a) The Chairman will appoint a senior, full-time Commission 
employee as Small Business Ombudsman. The Ombudsman must:
    (1) Have a working knowledge of the Commission's statutes and 
regulations;
    (2) Be familiar with the industries and products that the Commission 
regulates;
    (3) Develop a working knowledge of the regulatory problems that 
small businesses experience;
    (4) Perform the Ombudsman duties in addition to, and consistently 
with, other Commission responsibilities; and
    (5) Not work in the Office of Compliance or Office of Hazard 
Identification and Reduction.
    (b) The duties of the Small Business Ombudsman will include, but not 
be limited to, the following:
    (1) Developing and implementing a program to assist small businesses 
that is consistent with Sec. 1020.4;

[[Page 62]]

    (2) Working to expedite Commission responses to small businesses and 
providing information, guidance, and technical assistance to small 
businesses;
    (3) Performing a review, at least twice a year, of the Commission's 
regulatory agenda for actions likely to have a significant impact on 
small businesses; and
    (4) Pursuing the interests of small businesses by maintaining a 
working relationship with appropriate officials in the Small Business 
Administration, in national trade associations that represent small 
businesses, and in the Commission.



Sec. 1020.4  What is the Small Business Program?

    (a) Whenever the Commission is aware of the interests of small 
businesses, it will consider those interests before taking any action 
that will likely have a significant effect on small businesses.
    (b) Small businesses may request and receive special assistance from 
the Commission, as appropriate and consistent with Commission resources. 
Examples of such assistance are:
    (1) Small businesses may contact the Small Business Ombudsman to 
obtain information about Commission statutes, regulations, or programs; 
to obtain technical assistance; to determine who in the agency has 
particular expertise that might be helpful to the small business; or to 
help expedite a small business's request.
    (2) Small businesses may request assistance from the Commission by 
using the small business extension on the Commission's hotline telephone 
system. The number is 1-800-638-2772, extension 234.
    (3) The Small Business Ombudsman will directly provide small 
businesses with the requested assistance, or will direct the small 
business to the appropriate Commission staff for help.
    (c) Whenever the Commission issues a final regulatory flexibility 
analysis for a rule, under the Regulatory Flexibility Act (5 U.S.C. 
604), the Commission will publish a compliance guide for small 
businesses. The guide will explain in easy-to-understand language what 
action a small business must take to comply with the rule.
    (d) The Commission may take other appropriate actions to assist 
small businesses, but such actions will not treat any other Commission 
constituent unfairly.



Sec. 1020.5  What is the Small Business Enforcement Policy?

    (a) When appropriate, the Commission will, subject to all applicable 
statutes and regulations and paragraph (b) of this section:
    (1) Waive or reduce civil penalties for violations of a statutory or 
regulatory requirement by a small business and/or
    (2) Consider a small business's ability to pay in determining a 
penalty assessment against that small business,
    (b) The Commission may decline to waive civil penalties or consider 
a small business's ability to pay, under paragraph (a) of this section, 
when one or more of the following circumstances applies:
    (1) The small business's violations posed serious health or safety 
threats.
    (2) The small business was subject to multiple enforcement actions 
by the Commission.
    (3) The small business's violations involved willful or criminal 
conduct.
    (4) The small business failed to correct violations within a 
reasonable time.
    (5) The small business failed to make a good faith effort to comply 
with the law.
    (6) The small business acted in any other way that would make it 
unfair or inappropriate for the Commission to provide a benefit under 
paragraph (a) of this section.



PART 1021--ENVIRONMENTAL REVIEW--Table of Contents




                           Subpart A--General

Sec.
1021.1 Purpose.
1021.2 Policy.
1021.3 Definitions.
1021.4 Overview of environmental review process for CPSC actions.
1021.5 Categories of CPSC actions.

                          Subpart B--Procedures

1021.6 Responsible official.
1021.7 Coordination of environmental review with CPSC procedures.

[[Page 63]]

1021.8 Legislative proposals.
1021.9 Public participation, notice, and comment.
1021.10 Emergencies.
1021.11 Information regarding NEPA compliance.

          Subpart C--Contents of Environmental Review Documents

1021.12 Environmental assessment.
1021.13 Finding of no significant impact.
1021.14 Environmental impact statement.

    Authority: 42 U.S.C 4321-4347; 40 CFR part 1500 et seq.

    Source: 45 FR 69434, Oct. 21, 1980, unless otherwise noted.



                           Subpart A--General



Sec. 1021.1  Purpose.

    This part contains Consumer Product Safety Commission procedures for 
review of environmental effects of Commission actions and for 
preparation of environmental impact statements (EIS) and related 
documents. These procedures supersede any Commission procedures 
previously applicable. The procedures provide for identification of 
effects of a proposed action and its alternatives on the environment; 
for assessment of the significance of these effects; for consideration 
of effects at the appropriate points in the Commission's decision-making 
process; and for preparation of environmental impact statements for 
major actions significantly affecting the environment. These procedures 
are intended to implement the Council on Environmental Quality's final 
regulations of November 29, 1978 (43 FR 55978; 40 CFR part 1500, et 
seq.) concerning agency compliance with the National Environmental 
Policy Act, as amended (NEPA) (15 U.S.C. 4321-4347 as amended by Pub. L. 
94-83, August 8, 1975).



Sec. 1021.2  Policy.

    It is the policy of the Commission to weigh and consider the effects 
upon the human environment of a proposed action and its reasonable 
alternatives. Actions will be designed to avoid or minimize adverse 
effects upon the quality of the human environment wherever practicable.



Sec. 1021.3  Definitions.

    (a) The term CPSC actions means rulemaking actions; enforcement 
actions; adjudications; legislative proposals or reports; construction, 
relocation, or renovation of CPSC facilities; decisions on petitions; 
and any other agency activity designated by the Executive Director as 
one necessitating environmental review.
    (b) The term Commission means the five Commissioners of the Consumer 
Product Safety Commission.
    (c) The term CPSC means the entire organization which bears the 
title Consumer Product Safety Commission.
    (d) The term NEPA regulations means the Council of Environmental 
Quality regulations of November 29, 1978 (43 FR 55978) for implementing 
the provisions of the National Environmental Policy Act, as amended (42 
U.S.C 4321, et. seq).
    (e) The term environmental review process refers to all activities 
associated with decisions to prepare an environmental assessment, a 
finding of no significant impact, or an environmental impact statement.
    (f) The definitions given in part 1508 of the Council's NEPA 
regulations are applicable to this part 1021 and are not repeated here.



Sec. 1021.4  Overview of environmental review process for CPSC actions.

    The environmental review process normally begins during the staff 
development of a proposed action and progresses through the following 
steps:
    (a) Environmental assessment. (Section 1508.9 of the NEPA 
regulations). The assessment is initiated along with the staff 
development of a proposal and the identification of realistic 
alternatives. The assessment shall be available to the Commission before 
the Commission votes on a proposal and its alternatives. Its purpose is 
to identify and describe foreseeable effects on the environment, if any, 
of the action and its alternatives. The assessment culminates in a 
written report. This report generally contains analyses of the same 
categories of information as would an EIS, but in a much less detailed 
fashion. (See Sec. 1021.10(a),

[[Page 64]]

below.) It contains sufficient information to form a basis for deciding 
whether effects on the environment are likely to be ``significant.'' 
(See Sec. 1508.27 of the NEPA regulations.).
    (b) Decision as to significance of effects on the environment. This 
decision is made by the Executive Director of the CPSC and is based upon 
the results of the environmental assessment as well as any other 
pertinent information. If the effects are significant, CPSC publishes in 
the Federal Register a notice of intent to prepare an environmental 
impact statement. (See Sec. 1508.22 of the NEPA regulations.) If not, a 
finding of no significant impact is prepared. (Section 1508.13 of the 
NEPA regulations.)
    (c) Finding of no significant impact. This is a written document 
which gives reasons for concluding that the effects of a proposed 
action, or its alternatives, on the environment will not be significant. 
Together with the environmental assessment, it explains the basis for 
not preparing an EIS. The finding of no significant impact is signed by 
the Executive Director. The finding of no significant impact and the 
environmental assessment accompany the proposed action throughout the 
Commission decision-making process.
    (d) Draft environmental impact statement. The content of a draft EIS 
is described in Sec. 1021.12, below. For a particular proposal, the 
breadth of issues to be discussed is determined by using the scoping 
process described in Sec. 1501.7 of the NEPA regulations. The draft EIS 
pertaining to a proposed rule is before the Commission at the time it 
considers the proposed action and is available to the public when the 
notice of proposed rulemaking is published or as soon as possible 
thereafter. In appropriate instances, the Federal Register preamble for 
a proposed rule may serve as the draft EIS. The draft EIS shall 
accompany the proposed action throughout the remainder of the Commission 
decision-making process.
    (e) Final EIS. The content of this document is described in 
Sec. 1021.12. A final EIS responds to all substantive comments on the 
draft statement. It is before the Commission when it considers a final 
action.
    (f) Supplemental statements. When CPSC makes changes in the proposed 
action that are important to environmental issues or when there is 
significant new environmental information, the Executive Director 
instructs CPSC staff to prepare supplements to either the draft or final 
EIS (See Sec. 1502.9(c) of the NEPA regulations).
    (g) Record of decision. (Sections 1505.2 and 1506.1 of the NEPA 
regulations.) At the time of a decision on a proposed action which 
involves an EIS, CPSC prepares a written record of decision explaining 
the decision and why any alternatives discussed in the EIS were 
rejected. This written record is signed by the Secretary of the 
Commission for the Commission. No action going forward on the proposal 
may be taken until the record of decision is signed and filed in the 
Office of the Secretary of the Commission.



Sec. 1021.5  Categories of CPSC actions.

    (a) There are no CPSC actions which ordinarily produce significant 
environmental effects. Therefore, there are no actions for which an 
environmental impact statement is normally required.
    (b) The following categories of CPSC actions have the potential of 
producing environmental effects and therefore, normally require 
environmental assessments but not necessarily environmental impact 
statements:
    (1) Regulatory actions dealing with health risks.
    (2) Actions requiring the destruction or disposal of large 
quantities of products or components of products.
    (3) Construction, relocation, or major renovation of CPSC 
facilities.
    (4) Recommendations or reports to Congress on proposed legislation 
that will substantially affect the scope of CPSC authority or the use of 
CPSC resources, authorize construction or razing of facilities, or 
dislocate large numbers of employees.
    (5) Enforcement actions which result in the widespread use of 
substitute products, which may present health risks.

[[Page 65]]

    (c) The following categories of CPSC actions normally have little or 
no potential for affecting the human environment; and therefore, neither 
an environmental assessment nor an environmental impact statement is 
required. (These categories are termed ``categorical exclusions'' in the 
NEPA regulations; see Sec. Sec. 1507.3(b)(2) and 1508.4):
    (1) Rules or safety standards to provide design or performance 
requirements for products, or revision, amendment, or revocation of such 
standards.
    (2) Product certification or labeling rules.
    (3) Rules requiring poison prevention packaging of products or 
exempting products from poison prevention packaging rules.
    (4) Administrative proceedings to require individual manufacturers 
to give notice of and/or to correct, repair, replace, or refund the 
purchase price of banned or hazardous products. Other administrative 
adjudications which are primarily law enforcement proceedings.
    (5) Recommendations or reports to Congress on proposed legislation 
to amend, delete or add procedural provisions to existing CPSC statutory 
authority.
    (6) Decisions on petitions for rulemaking.
    (7) Issuance of subpoenas, general orders, and special orders.
    (d) In exceptional circumstances, actions within category in 
paragraph (c) of this section (``categorical exclusions'') may produce 
effects on the human environment. Upon a determination by the Executive 
Director that a normally excluded proposed action may have such an 
effect, an environmental assessment and a finding of no significant 
impact or an environmental impact statement shall be prepared.



                          Subpart B--Procedures



Sec. 1021.6  Responsible official.

    (a) The Executive Director of the CPSC shall have the responsibility 
to ensure that the Commission's policies and procedures set forth in 
this part are carried out. He or she shall have the following specific 
powers and duties:
    (1) To ensure that CPSC environmental review is conducted in 
accordance with the NEPA regulations as well as this part 1021.
    (2) To evaluate the significance of effects of a CPSC action on the 
environment and to determine whether a finding of no significant impact 
or an EIS should be prepared.
    (3) To determine when a categorical exclusion requires environmental 
review because of exceptional circumstances indicating that the 
otherwise excluded action may produce an environmental effect.
    (4) To instruct CPSC staff to prepare supplements to either draft or 
final EIS's where there is new environmental information or when CPSC 
makes changes in a proposed action that are important to environmental 
issues.
    (5) To ensure that environmental documents are before the Commission 
at all stages of review of proposed action.
    (6) To make provisions for soliciting public comment on the 
anticipated effects on the environment of proposed CPSC actions and 
their reasonable alternatives at any stage of the environmental review 
process, whenever he or she decides that such comment will be helpful. 
The Executive Director, for example, shall have the power to require 
that provision for soliciting such comments, written or oral, be 
included in any announcement of a public hearing on proposed rulemaking 
or on the merits of a petition for rulemaking.
    (7) To call upon all resources and expertise available to CPSC to 
ensure that environmental review is accomplished through an 
interdisciplinary effort.
    (8) To delegate any of his or her powers and duties, other than 
paragraphs (a) (2) and (3) of this section, to any officer or employee 
of the CPSC.



Sec. 1021.7  Coordination of environmental review with CPSC procedures.

    (a) The Commission shall consider all relevant environmental 
documents in evaluating proposals for Commission

[[Page 66]]

action. The preparation and completion of assessments and statements 
required by this part shall be scheduled to assure that available 
environmental information is before the Commission at all appropriate 
stages of development of CPSC actions along with technical and economic 
information otherwise required. The range of alternatives discussed in 
appropriate environmental documents shall be encompassed by the range of 
alternatives considered by the Commission for an action.
    (b) An environmental assessment on a proposed rulemaking action 
requiring environmental review shall be available to the commission 
before the Commission votes on a proposed rule, and its alternatives. If 
the Executive Director determines that an EIS is needed, the draft EIS 
shall normally be before the Commission at the time it votes to publish 
a proposed rule. A final EIS shall be before the Commission when it 
considers final action on a proposed rule. Relevant environmental 
documents shall accompany the proposed rulemaking action throughout the 
Commission's decisionmaking process.
    (c) Draft EISs or findings of no significant impact together with 
environmental assessments shall be made available to the public for 
comment at the time of publication in the Federal Register of CPSC 
proposals for regulatory action requiring environmental review or 
promptly thereafter. Pursuant to Sec. 1506.10 of the NEPA regulations, 
no decision on a proposed action shall be made by the Commission until 
the later of 90 days after the Environmental Protection Agency (EPA) has 
published a notice announcing receipt of the draft EIS or 30 days after 
EPA announces receipt of the final EIS. These time periods may run 
concurrently. In addition, with regard to rulemaking for the purpose of 
protecting the public health and safety, the Commission may waive the 30 
day period and publish a decision on a final rule simultaneously with 
publication by EPA of the notice of availability.
    (d) Whenever the Commission decides to solicit offers by an outside 
person or organization to develop a proposed consumer product safety 
standard in accordance with section 7 of the Consumer Product Safety Act 
(15 U.S.C. 2056) and the Executive Director has determined that 
environmental review is needed, the Executive Director shall recommend 
to the Commission whether the ``offeror'' should perform an 
environmental assessment during development of the proposed standard. In 
making this recommendation, the Executive Director shall take into 
account the resources of the ``offeror'', including the expertise and 
money available to it. If the Commission decides that the ``offeror'' 
should perform an assessment, the agreement between the Commission and 
the offeror shall so provide. CPSC, however, shall independently 
evaluate any assessment prepared and shall take responsibility for the 
scope and content of the assessment.
    (e) CPSC adjudications are primarily law enforcement proceedings and 
therefore are not agency actions within the meaning of NEPA. (See 
Sec. 1508.18(8) of the NEPA regulations.) However, in CPSC formal 
rulemaking proceedings, all available environmental information, 
including any supplements to a draft or final EIS, shall be filed in the 
Office of the Secretary and shall be made part of the formal record of 
the proceeding.



Sec. 1021.8  Legislative proposals.

    Draft EISs on legislative proposals which may significantly affect 
the environment shall be prepared as described in Sec. 1506.8 of the 
NEPA regulations. The draft EIS, where feasible, shall accompany the 
legislative proposal or report to Congress and shall be available in 
time for Congressional hearings and deliberations. The draft EIS shall 
be forwarded to the Environmental Protection Agency in accordance with 
Sec. 1506.9 of the NEPA regulations. Comments on the legislative 
statement and CPSC's responses shall be forwarded to the appropriate 
Congressional committees.



Sec. 1021.9  Public participation, notice, and comment.

    (a) Information and comments are solicited from and provided to the 
public on anticipated environmental effects of CPSC actions as follows:

[[Page 67]]

    (1) Promptly after a decision is made to prepare a draft EIS, a 
notice of intent to prepare the draft EIS shall be published in the CPSC 
Public Calendar and in the Federal Register. The notice shall state the 
nature of the proposed action and available alternatives and shall 
describe the planned scoping process. The notice shall solicit 
information and comment by other governmental agencies and the public.
    (2) As soon as practicable after a finding of no significant impact 
is completed, a copy of the finding together with the environmental 
assessment report shall be forwarded to the Office of the Secretary of 
the Commission to be made available to the public. Any information and 
comments received from the public on the documents will be considered 
and will accompany the documents throughout the CPSC decisionmaking 
process, but comments will not ordinarily be answered individually.
    (3)(i) Upon completion of a draft EIS, a notice of its availability 
for comment should be published in the CPSC Public Calendar and in the 
Federal Register. Copies of the draft EIS shall be filed with the 
Environmental Protection Agency (EPA) in accordance with Sec. 1506.9 of 
the NEPA regulations. The length of the comment period on the draft EIS 
shall be stated in the notice of availability and on the cover of the 
draft EIS. The comment period, in accordance with Sec. 1506.10 of the 
NEPA regulations, shall be a minimum of 45 days from the date the notice 
of receipt of the draft EIS is published in the Federal Register by EPA. 
It should also be stated in the CPSC notice that comments received 
during the comment period will be addressed in the final EIS, whereas 
late comments will be considered to the extent practicable, and that all 
comments will be appended to the final EIS.
    (ii) Copies of the draft EIS shall be sent to public and private 
organizations known by CPSC to have special expertise with respect to 
the environmental effects involved, those who are known to have an 
interest in the action, and those who request an opportunity to comment. 
Also, copies shall be circulated for comment to Federal, State, and 
local agencies with jurisdiction by law and special expertise with 
respect to environmental effects involved. Part 1503 of the NEPA 
regulations shall be consulted for further details of this procedure.
    (iii) Draft EIS's shall be available to the public in the Office of 
the Secretary at Commission headquarters.
    (4) Upon completion of a final EIS, a notice of its availability in 
the Office of the Secretary, shall be published in the CPSC Public 
Calendar and if deemed appropriate, in the Federal Register. Copies of 
the final EIS shall be forwarded to EPA and one copy shall be sent to 
each entity or person who commented on the draft EIS.
    (5) A list of EIS's under preparation and of EIS's or findings of no 
significant impact and environmental assessments completed shall be 
available to the public in the Office of the Secretary, at Commission 
headquarters. The list shall be continuously updated.
    (6) In addition to publication in the CPSC Public Calendar and the 
Federal Register, notices called for by this section may also be 
publicized through press releases or local newspapers, whenever 
appropriate.



Sec. 1021.10  Emergencies.

    Where emergency circumstances make it necessary to take an action 
without observing all the provisions of these implementing procedures or 
the NEPA regulations, CPSC will consult with the Council on 
Environmental Quality about alternative arrangements.



Sec. 1021.11  Information regarding NEPA compliance.

    Interested persons may contact the Commission's Office of the 
Executive Director (301-504-0550) for information regarding CPSC NEPA 
compliance.

[45 FR 69434, Oct. 21, 1980, as amended at 62 FR 46667, Sept. 4, 1997]



          Subpart C--Contents of Environmental Review Documents



Sec. 1021.12  Environmental assessment.

    (a) An environmental assessment shall first briefly describe the 
proposed action and realistic alternative actions. Next, it shall 
identify all effects

[[Page 68]]

on the environment that can be expected to result from the proposed and 
alternative actions. After each anticipated effect is identified, it 
shall be described as fully as can be done with available data in order 
to show its magnitude and significance. Sources of information for 
assessment include CPSC staff studies and research reports, information 
gathered at hearings or meetings held to obtain the views of the public 
on the proposed action, and other information received from members of 
the public and from governmental entities.
    (b) The assessment shall identify and describe any methods or 
approaches which would avoid or minimize adverse effects on the 
environment.



Sec. 1021.13  Finding of no significant impact.

    (a) A finding of no significant impact shall cite and be attached to 
the environmental assessment upon which it is based. It shall refer to 
anticipated effects upon the environment identified in the environmental 
assessment and give the reason(s) why those effects will not be 
significant. The final paragraph of the finding shall give the reasons 
why the overall impact on the environment is not regarded as 
significant.
    (b) The signature of the Executive Director shall appear at the end 
of the finding of no significant impact.



Sec. 1021.14  Environmental impact statement.

    (a) Draft and final EIS's, unless there is a compelling reason to do 
otherwise, shall conform to the recommended format specified in 
Sec. 1502.10 of the NEPA regulations and shall contain the material 
required by Sec. Sec. 1502.11 through 1502.18 of those regulations.
    (b) It may be necessary to include in an EIS a description of 
effects which are not effects on the natural or physical environment, 
but rather are, for example, purely economic or health effects. For this 
reason, an EIS may include issues and facts that are thoroughly analyzed 
in other comprehensive CPSC documents such as hazard analyses, economic 
impact analyses, or analyses of impact on particular age groups among 
consumers. In such cases, the EIS shall not duplicate the other 
documents, but rather shall cite and summarize from them. A list of 
background documents and sources of data cited in the EIS shall appear 
at the end of every EIS.



PART 1025--RULES OF PRACTICE FOR ADJUDICATIVE PROCEEDINGS--Table of Contents




     Subpart A--Scope of Rules, Nature of Adjudicative Proceedings, 
                               Definitions

Sec.
1025.1 Scope of rules.
1025.2 Nature of adjudicative proceedings.
1025.3 Definitions.

       Subpart B--Pleadings, Form, Execution, Service of Documents

1025.11 Commencement of proceedings.
1025.12 Answer.
1025.13 Amendments and supplemental pleadings.
1025.14 Form and filing of documents.
1025.15 Time.
1025.16 Service.
1025.17 Intervention.
1025.18 Class actions.
1025.19 Joinder of proceedings.

   Subpart C--Prehearing Procedures, Motions, Interlocutory Appeals, 
                     Summary Judgments, Settlements

1025.21 Prehearing conferences.
1025.22 Prehearing briefs.
1025.23 Motions.
1025.24 Interlocutory appeals.
1025.25 Summary decisions and orders.
1025.26 Settlements.

                Subpart D--Discovery, Compulsory Process

1025.31 General provisions governing discovery.
1025.32 Written interrogatories to parties.
1025.33 Production of documents and things.
1025.34 Requests for admission.
1025.35 Depositions upon oral examination.
1025.36 Motions to compel discovery.
1025.37 Sanctions for failure to comply with discovery orders.
1025.38 Subpoenas.
1025.39 Orders requiring witnesses to testify or provide other 
          information and granting immunity.

                           Subpart E--Hearings

1025.41 General rules.
1025.42 Powers and duties of Presiding Officer.
1025.43 Evidence.
1025.44 Expert witnesses.

[[Page 69]]

1025.45 In camera materials.
1025.46 Proposed findings, conclusions and order.
1025.47 Record.
1025.48 Official docket.
1025.49 Fees.

                           Subpart F--Decision

1025.51 Initial decision.
1025.52 Adoption of initial decision.
1025.53 Appeal from initial decision.
1025.54 Review of initial decision in absence of appeal.
1025.55 Final decision on appeal or review.
1025.56 Reconsideration.
1025.57 Effective date of order.
1025.58 Reopening of proceedings.

              Subpart G--Appearances, Standards of Conduct

1025.61 Who may make appearances.
1025.62 Authority for representation.
1025.63 Written appearances.
1025.64 Attorneys.
1025.65 Persons not attorneys.
1025.66 Qualifications and standards of conduct.
1025.67 Restrictions as to former members and employees.
1025.68 Prohibited communications.

    Subpart H--Implementation of the Equal Access to Justice Act in 
              Adjudicative Proceedings With the Commission

1025.70 General provisions.
1025.71 Information required from applicant.
1025.72 Procedures for considering applications.

Appendix I to Part 1025--Suggested Form of Final Prehearing Order

    Authority: Consumer Product Safety Act (secs. 15, 20, 27 (15 U.S.C. 
2064, 2069, 2076), the Flammable Fabrics Act (sec. 5, 15 U.S.C. 1194), 
the Federal Trade Commission Act (15 U.S.C. 45)), unless otherwise 
noted.

    Source: 45 FR 29215, May 1, 1980, unless otherwise noted.



     Subpart A--Scope of Rules, Nature of Adjudicative Proceedings, 
                               Definitions



Sec. 1025.1  Scope of rules.

    The rules in this part govern procedures in adjudicative proceedings 
relating to the provisions of section 15 (c), (d), and (f) and 17(b) of 
the Consumer Product Safety Act (15 U.S.C. 2064 (c), (d), (f); 2066(b)), 
section 15 of the Federal Hazardous Substances Act (15 U.S.C. 1274), and 
sections 3 and 8(b) of the Flammable Fabrics Act (15 U.S.C. 1192, 
1197(b)), which are required by statute to be determined on the record 
after opportunity for a public hearing. These rules will also govern 
adjudicative proceedings for the assessment of civil penalties under 
section 20(a) of the Consumer Product Safety Act (15 U.S.C. 2068(a)), 
except in those instances where the matter of a civil penalty is 
presented to a United States District Court in conjunction with an 
action by the Commission for injunctive or other appropriate relief. 
These Rules may also be used for such other adjudicative proceedings as 
the Commission, by order, shall designate. A basic intent of the 
Commission in the development of these rules has been to promulgate a 
single set of procedural rules which can accommodate both simple matters 
and complex matters in adjudication. To accomplish this objective, broad 
discretion has been vested in the Presiding Officer who will hear a 
matter being adjudicated to allow him/her to alter time limitations and 
other procedural aspects of a case, as required by the complexity of the 
particular matter involved. A major concern of the Commission is that 
all matters in adjudication move forward in a timely manner, consistent 
with the Constitutional due process rights of all parties. It is 
anticipated that in any adjudicative proceedings for the assessment of 
civil penalties there will be less need for discovery since most factual 
matters will already be known by the parties. Therefore, the Presiding 
Officer should, whenever appropriate, expedite the proceedings by 
setting shorter time limitations than those time limitations generally 
applicable under these Rules. For example, the 150-day limitation for 
discovery, as provided in Sec. 1025.31(g), should be shortened, 
consistent with the extent of discovery reasonably necessary to prepare 
for the hearing.

[45 FR 29215, May 1, 1980, as amended at 47 FR 46846, Oct. 21, 1982]



Sec. 1025.2  Nature of adjudicative proceedings.

    Adjudicative proceedings shall be conducted in accordance with Title 
5, United States Code, sections 551 through 559, and these Rules. It is 
the

[[Page 70]]

policy of the Commission that adjudicative proceedings shall be 
conducted expeditiously and with due regard to the rights and interests 
of all persons affected and in locations chosen with due regard to the 
convenience of all parties. Therefore, the Presiding Officer and all 
parties shall make every effort at each stage of any proceedings to 
avoid unnecessary delay.



Sec. 1025.3  Definitions.

    As used in this part:
    (a) Application means an ex parte request by a party for an order 
that may be granted or denied without opportunity for response by any 
other party.
    (b) Commission means the Consumer Product Safety Commission or a 
quorum thereof.
    (c) Commissioner means a Commissioner of the Consumer Product Safety 
Commission.
    (d) Complaint Counsel means counsel for the Commission's staff.
    (e) Motion means a request by a party for a ruling or order that may 
be granted or denied only after opportunity for responses by all other 
parties.
    (f) Party means any named person or any intervenor in any 
proceedings governed by these Rules.
    (g) Person means any individual, partnership, corporation, 
unincorporated association, public or private organization, or a 
federal, state or municipal governmental entity.
    (h) Petition means a written request, addressed to the Commission or 
the Presiding Officer, for some affirmative action.
    (i) Presiding Officer means a person who conducts any adjudicative 
proceedings under this part, and may include an administrative law judge 
qualified under Title 5, United States Code, section 3105, but shall not 
include a Commissioner.
    (j) Respondent means any person against whom a complaint has been 
issued.
    (k) Secretary means the Secretary of the Consumer Product Safety 
Commission.
    (l) Staff means the staff of the Consumer Product Safety Commission.

Additional definitions relating to prohibited communications are in 
Sec. 1025.68.



       Subpart B--Pleadings, Form, Execution, Service of Documents



Sec. 1025.11  Commencement of proceedings.

    (a) Notice of institution of enforcement proceedings. Any 
adjudicative proceedings under this part shall be commenced by the 
issuance of a complaint, authorized by the Commission, and signed by the 
Associate Executive Director for Compliance and Enforcement.
    (b) Form and content of complaint. The complaint shall contain the 
following:
    (1) A statement of the legal authority for instituting the 
proceedings, including the specific sections of statutes, rules and 
regulations involved in each allegation.
    (2) Identification of each respondent or class of respondents.
    (3) A clear and concise statement of the charges, sufficient to 
inform each respondent with reasonable definiteness of the factual basis 
or bases of the allegations of violation or hazard. A list and summary 
of documentary evidence supporting the charges shall be attached.
    (4) A request for the relief which the staff believes is in the 
public interest.
    (c) Notice to the public. Once issued, the complaint shall be 
submitted without delay to the Federal Register for publication.



Sec. 1025.12  Answer.

    (a) Time for filing. A respondent shall have twenty (20) days after 
service of a complaint to file an answer.
    (b) Contents of answer. The answer shall contain the following:
    (1) A specific admission or denial of each allegation in the 
complaint. If a respondent is without knowledge or information 
sufficient to form a belief as to the truth of an allegation, the 
respondent shall so state. Such statement shall have the effect of a 
denial. Allegations that are not denied shall be deemed to have been 
admitted.
    (2) A concise statement of the factual or legal defenses to each 
allegation of the complaint.
    (c) Default. Failure of a respondent to file an answer within the 
time provided, unless extended, shall constitute

[[Page 71]]

a waiver of the right to appear and contest the allegations in the 
complaint, and the Presiding Officer may make such findings of fact and 
conclusions of law as are just and reasonable under the circumstances.



Sec. 1025.13  Amendments and supplemental pleadings.

    The Presiding Officer may allow appropriate amendments and 
supplemental pleadings which do not unduly broaden the issues in the 
proceedings or cause undue delay.



Sec. 1025.14  Form and filing of documents.

    (a) Filing. Except as otherwise provided in these Rules, all 
documents submitted to the Commission or the Presiding Officer shall be 
addressed to, and filed with, the Secretary. Documents may be filed in 
person or by mail and shall be deemed filed on the day of filing or 
mailing.
    (b) Caption. Every document shall contain a caption setting forth 
the name of the action, the docket number, and the title of the 
document.
    (c) Copies. An original and three (3) copies of all documents shall 
be filed. Each copy must be clear and legible.
    (d) Signature. (1) The original of each document filed shall be 
signed by a representative of record for the party or participant; or in 
the case of parties or participants not represented, by the party or 
participant; or by a partner, officer or other appropriate official of 
any corporation, partnership, or unincorporated association, who files 
an appearance on behalf of the party or participant.
    (2) By signing a document, the signer represents that the the signer 
has read it and that to the best of the signer's knowledge, information 
and belief, the statements made in it are true and that it is not filed 
for purposes of delay.
    (e) Form. (1) All documents shall be dated and shall contain the 
address and telephone number of the signer.
    (2) Documents shall be on paper approximately 8\1/2\ x 11 inches in 
size. Print shall not be less than standard elite or 12 point type. 
Pages shall be fastened in the upper left corner or along the left 
margin.
    (3) Documents that fail to comply with this section may be returned 
by the Secretary.



Sec. 1025.15  Time.

    (a) Computation. In computing any period of time prescribed or 
allowed by these rules, the day of the act, event, or default from which 
the designated period of time begins to run shall not be included. The 
last day of the period so computed shall be included, unless it is a 
Saturday, a Sunday, or a legal holiday, in which event the period runs 
until the end of the next day which is not a Saturday, a Sunday, or a 
legal holiday. When the period of time prescribed or allowed is less 
than seven (7) days, intermediate Saturdays, Sundays, and legal holidays 
shall be excluded in the computation. As used in this rule, ``legal 
holiday'' includes New Year's Day, Washington's Birthday, Memorial Day, 
Independence Day, Labor Day, Columbus Day, Veterans' Day, Thanksgiving 
Day, Christmas Day, and any other day declared as a holiday by the 
President or the Congress of the United States.
    (b) Additional time after service by mail. Whenever a party is 
required or permitted to do an act within a prescribed period after 
service of a document and the document is served by mail, three (3) days 
shall be added to the prescribed period.
    (c) Extensions. For good cause shown, the Presiding Officer may 
extend any time limit prescribed or allowed by these rules or by order 
of the Commission or the Presiding Officer, except for those sections 
governing the filing of interlocutory appeals and appeals from Initial 
Decisions and those sections expressly requiring Commission action. 
Except as otherwise provided by law, the Commission, for good cause 
shown, may extend any time limit prescribed by these rules or by order 
of the Commission or the Presiding Officer.



Sec. 1025.16  Service.

    (a) Mandatory service. Every document filed with the Secretary shall 
be served upon all parties to any proceedings, i.e., Complaint Counsel, 
respondent(s), and party intervenors, as well as the Presiding Officer. 
Every document filed with the Secretary

[[Page 72]]

shall also be served upon each participant, if the Presiding Officer or 
the Commission so directs.
    (b) Service of complaint, ruling, petition for interlocutory appeal, 
order, decision, or subpoena. A complaint, ruling, petition for 
interlocutory appeal, order, decision, or subpoena shall be served in 
one of the following ways:
    (1) By registered or certified mail. A copy of the document shall be 
addressed to the person, partnership, corporation or unincorporated 
association to be served at his/her/its residence or principal office or 
place of business and sent by registered or certified mail; or
    (2) By delivery to an individual. A copy of the document may be 
delivered to the person to be served; or to a member of the partnership 
to be served; or to the president, secretary, or other executive 
officer, or a director of the corporation or unincorporated association 
to be served; or to an agent authorized by appointment or by law to 
receive service; or
    (3) By delivery to an address. If the document cannot be served in 
person or by mail as provided in paragraph (b)(1) or (b)(2) of this 
section, a copy of the document may be left at the principal office or 
place of business of the person, partnership, corporation, 
unincorporated association, or authorized agent with an officer or a 
managing or general agent; or it may be left with a person of suitable 
age and discretion residing therein, at the residence of the person or 
of a member of the partnership or of an executive officer, director, or 
agent of the corporation or unincorporated association to be served; or
    (4) By publication in the Federal Register. A respondent that cannot 
be served by any of the methods already described in this section may be 
served by publication in the Federal Register and such other notice as 
may be directed by the Presiding Officer or the Commission, where a 
complaint has issued in a class action pursuant to Sec. 1025.18.
    (c) Service of other documents. Except as otherwise provided in 
paragraph (b) of this section, when service of a document starts the 
running of a prescribed period of time for the submission of a 
responsive document or the occurrence of an event, the document may be 
served as provided in paragraph (b) of this section or by ordinary 
first-class mail, properly addressed, postage prepaid.
    (d) Service on a representative. When a party has appeared by an 
attorney or other representative, service upon that attorney or other 
representative shall constitute service upon the party.
    (e) Certificate of service. The original of every document filed 
with the Commission and required to be served upon all parties to any 
proceedings, as well as participants if so directed by the Presiding 
Officer, shall be accompanied by a certificate of service signed by the 
party making service, stating that such service has been made upon each 
party and participant to the proceedings. Certificates of service may be 
in substantially the following form:
    I hereby certify that I have served the attached document upon all 
parties and participants of record in these proceedings by mailing, 
postage prepaid, (or by delivering in person) a copy to each on
________________________________________________________________________
________________________________________________________________________
(Signature)
For_____________________________________________________________________
    (f) Date of service. The date of service of a document shall be the 
date on which the document is deposited with the United States Postal 
Service, postage prepaid, or is delivered in person.



Sec. 1025.17  Intervention.

    (a) Participation as an intervenor. Any person who desires to 
participate as a party in any proceedings subject to these rules shall 
file a written petition for leave to intervene with the Secretary and 
shall serve a copy of the petition on each party.
    (1) A petition shall ordinarily be filed not later than the 
convening of the first prehearing conference. A petition filed after 
that time will not be granted unless the Presiding Officer determines 
that the petitioner has made a substantial showing of good cause for 
failure to file on time.
    (2) A petition shall:
    (i) Identify the specific aspect or aspects of the proceedings as to 
which the petitioner wishes to intervene,
    (ii) Set forth the interest of the petitioner in the proceedings,

[[Page 73]]

    (iii) State how the petitioner's interest may be affected by the 
results of the proceedings, and
    (iv) State any other reasons why the petitioner should be permitted 
to intervene as a party, with particular reference to the factors set 
forth in paragraph (d) of this section. Any petition relating only to 
matters outside the jurisdiction of the Commission shall be denied.
    (3) Any person whose petition for leave to intervene is granted by 
the Presiding Officer shall be known as an ``intervenor'' and as such 
shall have the full range of litigating rights afforded to any other 
party.
    (b) Participation by a person not an intervenor. Any person who 
desires to participate in the proceedings as a non-party shall file with 
the Secretary a request to participate in the proceedings and shall 
serve a copy of such request on each party to the proceedings.
    (1) A request shall ordinarily be filed not later than the 
commencement of the hearing. A petition filed after that time will not 
be granted unless the Presiding Officer determines that the person 
making the request has made a substantial showing of good cause for 
failure to file on time.
    (2) A request shall set forth the nature and extent of the person's 
alleged interest in the proceedings. Any request relating only to 
matters outside the jurisdiction of the Commission shall be denied.
    (3) Any person who files a request to participate in the proceedings 
as a non-party and whose request is granted by the Presiding Officer 
shall be known as a ``Participant'' and shall have the right to 
participate in the proceedings to the extent of making a written or oral 
statement of position, filing proposed findings of fact, conclusions of 
law and a post hearing brief with the Presiding Officer, and filing an 
appellate brief before the Commission if an appeal is taken by a party 
or review is ordered by the Commission in accordance with Sec. 1025.53 
or Sec. 1025.54, as applicable, of these rules.
    (c) Response to petition to intervene. Any party may file a response 
to a petition for leave to intervene after the petition is filed with 
the Secretary, with particular reference to the factors set forth in 
paragraph (d) of this section.
    (d) Ruling by Presiding Officer on petition. In ruling on a petition 
for leave to intervene, the Presiding Officer shall consider, in 
addition to all other relevant matters, the following factors:
    (1) The nature of the petitioner's interest, under the applicable 
statute governing the proceedings, to be made a party to the 
proceedings;
    (2) The nature and extent of the petitioner's interest in protecting 
himself/herself/itself or the public against unreasonable risks of 
injury associated with consumer products;
    (3) The nature and extent of the petitioner's property, financial or 
other substantial interest in the proceedings;
    (4) Whether the petitioner would be aggrieved by any final order 
which may be entered in the proceedings;
    (5) The extent to which the peititioner's intervention may 
reasonably be expected to assist in developing a sound record;
    (6) The extent to which the petitioner's interest will be 
represented by existing parties;
    (7) The extent to which the petitioner's intervention may broaden 
the issues or delay the proceedings; and
    (8) The extent to which the petitioner's interest can be protected 
by other available means.

If the Presiding Officer determines that a petitioner has failed to make 
a sufficient showing to be allowed to intervene as a party, the 
Presiding Officer shall view such petition to intervene as if it had 
been timely filed as a request to participate in the proceedings as a 
participant pursuant to paragraph (b) of this section.
    (e) Ruling by Presiding Officer on request. In ruling on a request 
to participate as a participant, the Presiding Officer, in the exercise 
of his/her discretion, shall be mindful of the Commission's mandate 
under its enabling legislation (see 15 U.S.C. 2051 et seq.) and its 
affirmative desire to afford interested persons, including consumers and 
consumer organizations, as well as governmental entities, an opportunity 
to participate in the agency's regulatory processes, including 
adjudicative proceedings. The Presiding Officer shall

[[Page 74]]

consider, in addition to all other relevant matters, the following 
factors:
    (1) The nature and extent of the person's alleged interest in the 
proceedings;
    (2) The possible effect of any final order which may be entered in 
the proceedings on the person's interest; and
    (3) The extent to which the person's participation can be expected 
to assist the Presiding Officer and the Commission in rendering a fair 
and equitable resolution of all matters in controversy in the 
proceedings.

The Presiding Officer may deny a request to participate if he/she 
determines that the person's participation cannot reasonably be expected 
to assist the Presiding Officer or the Commission in rendering a fair 
and equitable resolution of matters in controversy in the proceedings or 
if he/she determines that the person's participation would unduly 
broaden the issues in controversy or unduly delay the proceedings.
    (f) Designation of single representative. If the Presiding Officer 
determines that a petitioner pursuant to paragraph (a) of this section 
or a person requesting to participate pursuant to paragraph (b) of this 
section is a member of a class of prospective intervenors or 
participants, as applicable, who share an identity of interest, the 
Presiding Officer may limit such intervention or participation, as 
applicable, through designation of a single representative by the 
prospective intervenors or participants, as applicable, or, if they are 
unable to agree, by designation of the Presiding Officer.



Sec. 1025.18  Class actions.

    (a) Prerequisites to a class action. One or more members of a class 
of respondents may be proceeded against as representative parties on 
behalf of all respondents if:
    (1) The class is so numerous or geographically dispersed that 
joinder of all members is impracticable;
    (2) There are questions of fact or issues of law common to the 
class;
    (3) The defenses of the representative parties are typical of the 
defenses of the class; and
    (4) The representative parties will fairly and adequately protect 
the interests of the class.
    (b) Composition of class. A class may be composed of:
    (1) Manufacturers, distributors, or retailers, or a combination of 
them, of products which allegedly have the same defect, or
    (2) Manufacturers, distributors, or retailers, or a combination of 
them, of products which allegedly fail to conform to an applicable 
standard, regulation, or consumer product safety rule, or
    (3) Manufacturers, distributors, or retailers, or a combination of 
them, who have themselves allegedly failed to conform to an applicable 
standard, regulation, or consumer product safety rule.

When appropriate, a class may be divided into subclasses and each 
subclass shall be treated as a class.
    (c) Notice of commencement. A complaint issued under this section 
shall identify the class, the named respondents considered to be 
representative of the class, and the alleged defect or nonconformity 
common to the products manufactured, imported, distributed or sold by 
the members of the class. The complaint shall be served upon the parties 
in accordance with Sec. 1025.16.
    (d) Proper class action determination. Upon motion of Complaint 
Counsel and as soon as practicable after the commencement of any 
proceedings brought as a class action, the Presiding Officer shall 
determine by order whether the action is a proper class action. It is a 
proper class action if the prerequisites of paragraph (a) of this 
section are met and if the Presiding Officer finds that:
    (1) The prosecution of separate actions against individual members 
of the respondent class might result in (i) inconsistent or varying 
determinations with respect to individual members of the class which 
might produce incompatible or conflicting results, or (ii) 
determinations with respect to individual members of the class which 
would, as a practical matter, be dispositive of the interests of the 
other members who are not parties to the proceedings or would 
substantially impair or impede the ability of the absent members to 
protect their interests; or

[[Page 75]]

    (2) The Commission has acted on grounds generally applicable to the 
class, thereby making appropriate an order directed to the class as a 
whole.

In reaching a decision, the Presiding Officer shall consider the 
interests of members of the class in individually controlling the 
defense of separate actions, the extent and nature of any proceedings 
concerning the controversy already commenced against members of the 
class, the desirability or undesirability of concentrating the 
litigation in one adjudication, and the difficulties likely to be 
encountered in the management of a class action, as well as the benefits 
expected to result from the maintenance of a class action.
    (e) Revision of class membership. Upon motion of any party or any 
member of the class, or upon the Presiding Officer's own initiative, the 
Presiding Officer may revise the membership of the class.
    (f) Orders in conduct of class actions. In proceedings to which this 
section applies, the Presiding Officer may make appropriate orders:
    (1) Determining the course of the proceedings or prescribing 
measures to prevent undue repetition and promote the efficient 
presentation of evidence or argument;
    (2) Requiring (for the protection of the members of the class, or 
otherwise for the fair conduct of the action) that notice be given, in 
such manner as the Presiding Officer may direct, of any step in the 
action, of the extent of the proposed order, or of the opportunity for 
members to inform the Presiding Officer whether they consider the 
representation to be fair and adequate, or of the opportunity for class 
members to intervene and present defenses;
    (3) Requiring that the pleadings be amended to eliminate allegations 
concerning the representation of absent persons; or
    (4) Dealing with other procedural matters.

The orders may be combined with a prehearing order under Sec. 1025.21 of 
these rules and may be altered or amended as may be necessary.
    (g) Scope of final order. In any proceedings maintained as a class 
action, any Decision and Order of the Presiding Officer or the 
Commission under Sec. 1025.51 or Sec. 1025.55, as applicable, whether or 
not favorable to the class, shall include and describe those respondents 
whom the Presiding Officer or the Commission finds to be members of the 
class.
    (h) Notice of results. Upon the termination of any adjudication that 
has been maintained as a class action, the best notice practicable of 
the results of the adjudication shall be given to all members of the 
class in such manner as the Presiding Officer or the Commission directs.



Sec. 1025.19  Joinder of proceedings.

    Two or more matters which have been scheduled for adjudicative 
proceedings and which involve similar issues may be consolidated for the 
purpose of hearing or Commission review. A motion for consolidation may 
be filed by any party to such proceedings not later than thirty (30) 
days prior to the hearing and served upon all parties to all proceedings 
in which joinder is contemplated. The motion may include a request that 
the consolidated proceedings be maintained as a class action in 
accordance with Sec. 1025.18 of these rules. The proceedings may be 
consolidated to such extent and upon such terms as may be proper. Such 
consolidation may also be ordered upon the initiative of the Presiding 
Officer or the Commission. Single representatives may be designated by 
represented parties, intervenors, and participants with an identity of 
interests.



   Subpart C--Prehearing Procedures, Motions, Interlocutory Appeals, 
                     Summary Judgments, Settlements



Sec. 1025.21  Prehearing conferences.

    (a) When held. Except when the presiding officer determines that 
unusual circumstances would render it impractical or valueless, a 
prehearing conference shall be held in person or by conference telephone 
call within fifty (50) days after publication of the complaint in the 
Federal Register and upon ten (10) days' notice to all parties and 
participants. At the prehearing conference any or all of the following 
shall be considered:

[[Page 76]]

    (1) Petitions for leave to intervene;
    (2) Motions, including motions for consolidation of proceedings and 
for certification of class actions;
    (3) Identification, simplification and clarification of the issues;
    (4) Necessity or desirability of amending the pleadings;
    (5) Stipulations and admissions of fact and of the content and 
authenticity of documents;
    (6) Oppositions to notices of depositions;
    (7) Motions for protective orders to limit or modify discovery;
    (8) Issuance of subpoenas to compel the appearance of witnesses and 
the production of documents;
    (9) Limitation of the number of witnesses, particularly to avoid 
duplicate expert witnesses;
    (10) Matters of which official notice should be taken and matters 
which may be resolved by reliance upon the laws administered by the 
Commission or upon the Commission's substantive standards, regulations, 
and consumer product safety rules;
    (11) Disclosure of the names of witnesses and of documents or other 
physical exhibits which are intended to be introduced into evidence;
    (12) Consideration of offers of settlement;
    (13) Establishment of a schedule for the exchange of final witness 
lists, prepared testimony and documents, and for the date, time and 
place of the hearing, with due regard to the convenience of the parties; 
and
    (14) Such other matters as may aid in the efficient presentation or 
disposition of the proceedings.
    (b) Public notice. The Presiding Officer shall cause a notice of the 
first prehearing conference, including a statement of the issues, to be 
published in the Federal Register at least ten (10) days prior to the 
date scheduled for the conference.
    (c) Additional conferences. Additional prehearing conferences may be 
convened at the discretion of the Presiding Officer, upon notice to the 
parties, any participants, and to the public.
    (d) Reporting. Prehearing conferences shall be stenographically 
reported as provided in Sec. 1025.47 of these rules and shall be open to 
the public, unless otherwise ordered by the Presiding Officer or the 
Commission.
    (e) Prehearing orders. The Presiding Officer shall issue a final 
prehearing order in each case after the conclusion of the final 
prehearing conference. The final prehearing order should contain, to the 
fullest extent possible at that time, all information which is necessary 
for controlling the course of the hearing. The Presiding Officer may 
require the parties to submit a jointly proposed final prehearing order, 
such as in the format set forth in appendix I.



Sec. 1025.22  Prehearing briefs.

    Not later than ten (10) days prior to the hearing, unless otherwise 
ordered by the Presiding Officer, the parties may simultaneously serve 
and file prehearing briefs which should set forth:
    (a) A statement of the facts expected to be proved and of the 
anticipated order of proof;
    (b) A statement of the issues and the legal arguments in support of 
the party's contentions with respect to each issue; and
    (c) A table of authorities relied upon.



Sec. 1025.23  Motions.

    (a) Presentation and disposition. During the time a matter in 
adjudication is before the Presiding Officer, all motions, whether oral 
or written, except those filed under Sec. 1025.42(e), shall be addressed 
to the Presiding Officer, who shall rule upon them promptly, after 
affording an opportunity for response.
    (b) Written motions. All written motions shall state with 
particularity the order, ruling, or action desired and the reasons why 
the action should be granted. Memoranda, affidavits, or other documents 
supporting a motion shall be served and filed with the motion. All 
motions shall contain a proposed order setting forth the relief sought. 
All written motions shall be filed with the Secretary and served upon 
all parties, and all motions addressed to the Commission shall be in 
writing.
    (c) Opposition to motions. Within ten (10) days after service of any 
written motion or petition or within such

[[Page 77]]

longer or shorter time as may be designated by these Rules or by the 
Presiding Officer or the Commission, any party who opposes the granting 
of the requested order, ruling or action may file a written response to 
the motion. Failure to respond to a written motion may, in the 
discretion of the Presiding Officer, be considered as consent to the 
granting of the relief sought in the motion. Unless otherwise permitted 
by the Presiding Officer or the Commission, there shall be no reply to 
the response expressing opposition to the motion.
    (d) Rulings on motions for dismissal. When a motion to dismiss a 
complaint or a motion for other relief is granted, with the result that 
the proceedings before the Presiding Officer are terminated, the 
Presiding Officer shall issue an Initial Decision and Order in 
accordance with the provisions of Sec. 1025.51. If such a motion is 
granted as to all issues alleged in the complaint in regard to some, but 
not all, respondents or is granted as to any part of the allegations in 
regard to any or all respondents, the Presiding Officer shall enter an 
order on the record and consider the remaining issues in the Initial 
Decision. The Presiding Officer may elect to defer ruling on a motion to 
dismiss until the close of the case.



Sec. 1025.24  Interlocutory appeals.

    (a) General. Rulings of the Presiding Officer may not be appealed to 
the Commission prior to the Initial Decision, except as provided in this 
section.
    (b) Exceptions. (1) Interlocutory appeals to Commission. The 
Commission may, in its discretion, consider interlocutory appeals where 
a ruling of the Presiding Officer:
    (i) Requires the production of records claimed to be confidential;
    (ii) Requires the testimony of a supervisory official of the 
Commission other than one especially knowledgeable of the facts of the 
matter in adjudication;
    (iii) Excludes an attorney from participation in any proceedings 
pursuant to Sec. 1025.42(b);
    (iv) Denies or unduly limits a petition for intervention pursuant to 
the provisions of Sec. 1025.17.
    (2) Procedure for interlocutory appeals. Within ten (10) days of 
issuance of a ruling other than one ordering the production of records 
claimed to be confidential, any party may petition the Commission to 
consider an interlocutory appeal of a ruling in the categories 
enumerated above. The petition shall not exceed fifteen (15) pages. Any 
other party may file a response to the petition within ten (10) days of 
its service except where the order appealed from requires the production 
of records claimed to be confidential. The response shall not exceed 
fifteen (15) pages. The Commission shall decide the petition or may 
request such further briefing or oral presentation as it deems 
necessary.
    (3) If the Presiding Officer orders the production of records 
claimed to be confidential a petition for interlocutory appeal shall be 
filed within five (5) days of the entry of the order. Any opposition to 
the petition shall be filed within five (5) days of service of the 
petition. The order of the Presiding Officer shall be automatically 
stayed until five (5) days following the date of entry of the order to 
allow an affected party the opportunity to file a petition with the 
Commission for an interlocutory appeal pursuant to Sec. 1025.24(b)(2). 
If an affected party files a petition with the Commission pursuant to 
Sec. 1025.24(b)(2) within the 5-day period, the stay of the Presiding 
Officer's order is automatically extended until the Commission decides 
the petition.
    (4) Interlocutory appeals from all other rulings--(i) Grounds. 
Interlocutory appeals from all other rulings by the Presiding Officer 
may proceed only upon motion to the Presiding Officer and a 
determination by the Presiding Officer in writing that the ruling 
involves a controlling question of law or policy as to which there is 
substantial ground for differences of opinion and that an immediate 
appeal from the ruling may materially advance the ultimate termination 
of the litigation, or that subsequent review will be an inadequate 
remedy. The Presiding Officer's certification shall state the reasons 
for the determination.
    (ii) Form. If the Presiding Officer makes the determination 
described in

[[Page 78]]

paragraph (b)(4)(i) of this section, a petition for interlocutory appeal 
under this subparagraph may be filed in accordance with paragraph (b)(2) 
of this section.
    (c) Proceedings not stayed. Except as otherwise provided under this 
section, a petition for interlocutory appeal shall not stay the 
proceedings before the Presiding Officer unless the Presiding Officer or 
the Commission so orders.



Sec. 1025.25  Summary decisions and orders.

    (a) Motion. Any party may file a motion, with a supporting 
memorandum, for a Summary Decision and Order in its favor upon all or 
any of the issues in controversy. Complaint Counsel may file such a 
motion at any time after thirty (30) days following issuance of a 
complaint, and any other party may file a motion at any time after 
issuance of a complaint. Any such motion by any party shall be filed at 
least twenty (20) days before the date fixed for the adjudicative 
hearing.
    (b) Response to motion. Any other party may, within twenty (20) days 
after service of the motion, file a response with a supporting 
memorandum.
    (c) Grounds. A Summary Decision and Order shall be granted if the 
pleadings and any depositions, answers to interrogatories, admissions, 
or affidavits show that there is no genuine issue as to any material 
fact and that the moving party is entitled to a Summary Decision and 
Order as a matter of law.
    (d) Legal effect. A Summary Decision and Order upon all the issues 
being adjudicated shall constitute the Initial Decision of the Presiding 
Officer and may be appealed to the Commission in accordance with 
Sec. 1025.53 of these rules. A Summary Decision, interlocutory in 
character, may be rendered on fewer than all issues and may not be 
appealed prior to issuance of the Initial Decision.
    (e) Case not fully adjudicated on motion. A Summary Decision and 
order that does not dispose of all issues shall include a statement of 
those material facts about which there is no substantial controversy and 
of those material facts that are actually and in good faith 
controverted. The Summary Order shall direct such further proceedings as 
are appropriate.



Sec. 1025.26  Settlements.

    (a) Availability. Any party shall have the opportunity to submit an 
offer of settlement to the Presiding Officer.
    (b) Form. Offers of settlement shall be filed in camera and the form 
of a consent agreement and order, shall be signed by the respondent or 
respondent's representative, and may be signed by any other party. Each 
offer of settlement shall be accompanied by a motion to transmit the 
proposed agreement and order to the Commission. The motion shall outline 
the substantive provisions of the agreement and state reasons why it 
should be accepted by the Commission.
    (c) Contents. The proposed consent agreement and order which 
constitute the offer of settlement shall contain the following:
    (1) An admission of all jurisdictional facts;
    (2) An express waiver of further procedural steps and of all rights 
to seek judicial review or otherwise to contest the validity of the 
Commission order;
    (3) Provisions that the allegations of the complaint are resolved by 
the consent agreement and order;
    (4) A description of the alleged hazard, noncompliance, or 
violation;
    (5) If appropriate, a listing of the acts or practices from which 
the respondent shall refrain; and
    (6) If appropriate, a detailed statement of the corrective action(s) 
which the respondent shall undertake. In proceedings arising under 
Section 15 of the Consumer Product Safety Act, 15 U.S.C. 2064, this 
statement shall contain all the elements of a ``Corrective Action 
Plan,'' as outlined in the Commission's Interpretation, Policy, and 
Procedure for Substantial Product Hazards, 16 CFR part 1115.
    (d) Transmittal. The Presiding Officer may transmit to the 
Commission for decision all offers of settlement and accompanying 
memoranda that meet the requirements enumerated in paragraph (c) of this 
section. The Presiding Officer shall consider whether an offer of

[[Page 79]]

settlement is clearly frivolous, duplicative of offers previously made 
and rejected by the Commission or contrary to establish Commission 
policy. The Presiding Officer may, but need not, recommend acceptance of 
offers. Any party may object to the transmittal to the Commission of a 
proposed consent agreement by filing a response opposing the motion.
    (e) Stay of proceedings. When an offer of settlement has been agreed 
to by all parties and has been transmitted to the Commission, the 
proceedings shall be stayed until the Commission has ruled on the offer. 
When an offer of settlement has been made and transmitted to the 
Commission but has not been agreed to by all parties, the proceedings 
shall not be stayed pending Commission decision on the offer, unless 
otherwise ordered by the Presiding Officer or the Commission.
    (f) Commission ruling. The Commission shall rule upon all 
transmitted offers of settlement. If the Commission accepts the offer, 
the Commission shall issue an appropriate order, which shall become 
effective upon issuance.
    (g) Commission rejection. If the Commission rejects an offer of 
settlement, the Secretary, in writing, shall give notice of the 
Commission's decision to the parties and the Presiding Officer. If the 
proceedings have been stayed, the Presiding Officer shall promptly issue 
an order notifying the parties of the resumption of the proceedings, 
including any modifications to the schedule resulting from the stay of 
the proceedings.
    (h) Effect of rejected offer. Neither rejected offers of settlement, 
nor the fact of the proposal of offers of settlement are admissible in 
evidence.



                Subpart D--Discovery, Compulsory Process



Sec. 1025.31  General provisions governing discovery.

    (a) Applicability. The discovery rules established in this subpart 
are applicable to the discovery of information among the parties in any 
proceedings. Parties seeking information from persons not parties may do 
so by subpoena in accordance with Sec. 1025.38 of these rules.
    (b) Discovery methods. Parties may obtain discovery by one or more 
of the following methods:
    (1) Written interrogatories;
    (2) Requests for production of documents or things;
    (3) Requests for admission; or
    (4) Depositions upon oral examination.

Unless the Presiding Officer otherwise orders under paragraph (d) of 
this section, the frequency of use of these methods is not limited.
    (c) Scope of discovery. The scope of discovery is as follows:
    (1) In general. Parties may obtain discovery regarding any matter, 
not privileged, which is within the Commission's statutory authority and 
is relevant to the subject matter involved in the proceedings, whether 
it relates to the claim or defense of the party seeking discovery or to 
the claim or defense of any other party, including the existence, 
description, nature, custody, condition and location of any books, 
documents, or other tangible things and the identity and location of 
persons having knowledge of any discoverable matter. It is not ground 
for objection that the information sought will be inadmissible at the 
hearing if the information sought appears reasonably calculated to lead 
to the discovery of admissible evidence.
    (2) Privilege. Discovery may be denied or limited, or a protective 
order may be entered, to preserve the privilege of a witness, person, or 
governmental agency as governed by the Constitution, any applicable Act 
of Congress, or the principles of the common law as they may be 
interpreted by the Commission in the light of reason and experience.
    (3) Hearing preparation: materials. Subject to the provisions of 
paragraph (c)(4) of this section, a party may obtain discovery of 
documents and tangible things otherwise discoverable under paragraph 
(c)(1) of this section and prepared in anticipation of litigation or for 
hearing by or for another party or by or for that other party's 
representative (including his attorney or consultant) only upon a 
showing that the party seeking discovery has substantial need of the 
materials in the preparation of his case and that he is

[[Page 80]]

unable without unique hardship to obtain the substantial equivalent of 
the materials by other means. In ordering discovery of such materials 
when the required showing has been made, the Presiding Officer shall 
protect against disclosure of the mental impressions, conclusions, 
opinions, or legal theories of an attorney or other representative of a 
party.
    (4) Hearing preparation: experts. Discovery of facts known and 
opinions held by experts, otherwise discoverable under the provisions of 
paragraph (c)(1) of this section and acquired or developed in 
anticipation of litigation or for trial, may be obtained only as 
follows:
    (i)(A) A party may through interrogatories require any other party 
to identify each person whom the other party expects to call as an 
expert witness at trial, to state the subject matter on which the expert 
is expected to testify, to state the substance of the facts and opinions 
to which the expert is expected to testify, and to provide a summary of 
the grounds for each opinion.
    (B) Upon motion, the Presiding Officer may order further discovery 
by other means upon a showing of substantial cause and may exercise 
discretion to impose such conditions, if any, as are appropriate in the 
case.
    (ii) A party may discover facts known or opinions held by an expert 
who has been retained or specially employed by another party in 
anticipation of litigation or preparation for trial and who is not 
expected to be called as a witness at trial only upon a showing of 
exceptional circumstances under which it is impracticable for the party 
seeking discovery to obtain facts or opinions on the same subject by 
other means.
    (iii) The Presiding Officer may require as a condition of discovery 
that the party seeking discovery pay the expert a reasonable fee, but 
not more than the maximum specified in 5 U.S.C. 3109 for the time spent 
in responding to discovery.
    (d) Protective orders. Upon motion by a party and for good cause 
shown, the Presiding Officer may make any order which justice requires 
to protect a party or person from annoyance, embarrassment, competitive 
disadvantage, oppression, or undue burden or expense, including one or 
more of the following:
    (1) That the discovery shall not be had;
    (2) That the discovery may be had only on specified terms and 
conditions, including a designation of the time or place;
    (3) That the discovery shall be had only by a method of discovery 
other than that selected by the party seeking discovery;
    (4) That certain matters shall not be inquired into or that the 
scope of discovery shall be limited to certain matters;
    (5) That discovery shall be conducted with no one present except 
persons designated by the Presiding Officer;
    (6) That a trade secret or other confidential research, development, 
or commercial information shall not be disclosed or shall be disclosed 
only in a designated way or only to designated parties; and
    (7) That responses to discovery shall be placed in camera in 
accordance with Sec. 1025.45 of these rules.

If a motion for a protective order is denied in whole or in part, the 
Presiding Officer may, on such terms or conditions as are appropriate, 
order that any party provide or permit discovery.
    (e) Sequence and timing of discovery. Discovery may commence at any 
time after filing of the answer. Unless otherwise provided in these 
Rules or by order of the Presiding Officer, methods of discovery may be 
used in any sequence and the fact that a party is conducting discovery, 
whether by deposition or otherwise, shall not operate to delay any other 
party's discovery.
    (f) Supplementation of responses. A party who has responded to a 
request for discovery with a response that was complete when made is 
under a duty to supplement that response to include information later 
obtained.
    (g) Completion of discovery. All discovery shall be completed as 
soon as practical but in no case longer than one hundred fifty (150) 
days after issuance of a complaint, unless otherwise ordered by the 
Presiding Officer in exceptional circumstances and for good cause shown. 
All discovery shall be commenced by a date which affords the party from 
whom discovery is sought

[[Page 81]]

the full response period provided by these Rules.
    (h) Service and filing of discovery. All discovery requests and 
written responses, and all notices of deposition, shall be filed with 
the Secretary and served on all parties and the Presiding Officer.
    (i) Control of discovery. The use of these discovery procedures is 
subject to the control of the Presiding Officer, who may issue any just 
and appropriate order for the purpose of ensuring their timely 
completion.



Sec. 1025.32  Written interrogatories to parties.

    (a) Availability; procedures for use. Any party may serve upon any 
other party written interrogatories to be answered by the party served 
or, if the party served is a public or private corporation or a 
partnership or unincorporated association or governmental entity, by any 
officer or agent, who shall furnish such information as is available to 
the party. Interrogatories may, without leave of the Presiding Officer, 
be served upon any party after the filing of an answer.
    (b) Procedures for response. Each interrogatory shall be answered 
separately and fully in writing under oath, unless it is objected to, in 
which event the reasons for objection shall be stated in lieu of an 
answer. Each answer shall be submitted in double-spaced typewritten form 
and shall be immediately preceded by the interrogatory, in single-spaced 
typewritten form, to which the answer is responsive. The answers are to 
be signed by the person making them, and the objections signed by the 
person or representative making them. The party upon whom the 
interrogatories have been served shall serve a copy of the answers, and 
objections if any, within 30 days after service of the interrogatories. 
The Presiding Officer may allow a shorter or longer time for response. 
The party submitting the interrogatories may move for an order under 
Sec. 1025.36 of these rules with respect to any objection to, or other 
failure to answer fully, an interrogatory.
    (c) Scope of interrogatories. Interrogatories may relate to any 
matters which can be inquired into under Sec. 1025.31(c), and the 
answers may be used to any extent permitted under these rules. An 
interrogatory otherwise proper is not objectionable merely because an 
answer to the interrogatory would involve an opinion or contention which 
relates to fact or to the application of law to fact, but the Presiding 
Officer may order that such an interrogatory need not be answered until 
a later time.
    (d) Option to produce business records. Where the answer to an 
interrogatory may be derived or ascertained from the business records of 
the party upon whom the interrogatory has been served, or from an 
examination, audit, or inspection of such business records, or from a 
compilation, abstract, or summary of those records, and the burden of 
deriving the answer is substantially the same for the party serving the 
interrogatory as for the party served, it is a sufficient answer to the 
interrogatory to specify the records from which the answer may be 
derived or ascertained and to afford to the party serving the 
interrogatory reasonable opportunity to examine, audit, or inspect such 
records and to make copies, compilations, abstracts, or summaries.



Sec. 1025.33  Production of documents and things.

    (a) Scope. Any party may serve upon any other party a request:
    (1) To produce and permit the party making the request, or someone 
acting on behalf of that party, to inspect and copy any designated 
documents (including writings, drawings, graphs, charts, photographs, 
phono-records, and any other data compilation from which information can 
be obtained, translated, if necessary, by the party in possession 
through detection devices into reasonably usable form), or to inspect 
and copy, test, or sample any tangible things which constitute or 
contain matters within the scope of Sec. 1025.31(c) and which are in the 
possession, custody, or control of the party upon whom the request is 
served, or
    (2) To permit entry upon designated land or other property in the 
possession or control of the party upon whom the request is served for 
the purpose of inspection (including photographing),

[[Page 82]]

or sampling any designated object or operation within the scope of 
Sec. 1025.31(c).
    (b) Procedure for request. The request may be served at any time 
after the filing of an answer without leave of the Presiding Officer. 
The request shall set forth the items to be inspected, either by 
individual item or by category, and shall describe each item or category 
with reasonable particularity. The request shall specify a reasonable 
time, place, and manner for making the inspection and performing the 
related acts.
    (c) Procedure for response. The party upon whom the request is 
served shall respond in writing within thirty (30) days after service of 
the request. The Presiding Officer may allow a shorter or longer time 
for response. The response shall state, with respect to each item or 
category requested, that inspection and related activities will be 
permitted as requested, unless the request is objected to, in which 
event the reasons for objection shall be stated. If objection is made to 
only part of an item or category, that part shall be specified. The 
party submitting the request may move for an order under Sec. 1025.36 
with respect to any objection to or other failure to respond to the 
request or any part thereof, or to any failure to permit inspection as 
requested.
    (d) Persons not parties. This section does not preclude an 
independent action against a person not a party for production of 
documents and things.



Sec. 1025.34  Requests for admission.

    (a) Procedure for request. A party may serve upon any other party a 
written request for the admission, for the purposes of the pending 
proceedings only, of the truth of any matters within the scope of 
Sec. 1025.31(c) set forth in the request that relate to statements of 
fact or of the application of law to fact, including the genuineness of 
any documents described in the request. Copies of documents shall be 
served with the request unless they have been or are otherwise furnished 
or made available for inspection and copying. The request may, without 
leave of the Presiding Officer, be served upon any party after filing of 
the answer. Each matter about which an admission is requested shall be 
separately set forth.
    (b) Procedure for response. The matter about which an admission is 
requested will be deemed admitted unless within thirty (30) days after 
service of the request, or within such shorter or longer time as the 
Presiding Officer may allow, the party to whom the request is directed 
serves upon the party requesting the admission a written answer or 
objection addressed to the matter, signed by the party or the party's 
representative and stating the reasons for the objections. The answer 
shall specifically admit or deny the matter or set forth in detail the 
reasons why the answering party cannot truthfully admit or deny the 
matter. A denial shall fairly meet the substance of the requested 
admission. When good faith requires that a party qualify an answer or 
deny only a part of the matter to which an admission is requested, the 
party shall specify the portion that is true and qualify or deny the 
remainder. An answering party may not give lack of information or 
knowledge as a reason for failure to admit or deny a fact unless the 
party states that he/she has made reasonable inquiry and that the 
information known or readily available to him/her is insufficient to 
enable him/her to admit or deny a fact. A party who considers that a 
matter to which an admission has been requested presents a genuine issue 
for hearing may not, on that ground alone, object to the request but may 
deny the matter or set forth reasons why the party cannot admit or deny 
it. The party who has requested an admission may move to determine the 
sufficiency of any answer or objection in accordance with Sec. 1025.36 
of these Rules. If the Presiding Officer determines that an answer does 
not comply with the requirements of this section, he/she may order that 
the matter be deemed admitted or that an amended answer be served.
    (c) Effect of admission. Any matter admitted under this section is 
conclusively established unless the Presiding Officer on motion permits 
withdrawal or amendment of such admission. The Presiding Officer may 
permit withdrawal or amendment when the presentation of the merits of 
the action will be served thereby and the party who

[[Page 83]]

obtained the admission fails to satisfy the Presiding Officer that 
withdrawal or amendment will prejudice that party in maintaining an 
action or defense on the merits. Any admission made by a party under 
this section is for the purposes of the pending adjudication only and is 
not an admission by that party for any other purposes, nor may it be 
used against that party in any other proceedings.



Sec. 1025.35  Depositions upon oral examination.

    (a) When depositions may be taken. At any time after the first 
prehearing conference, upon leave of the Presiding Officer and under 
such terms and conditions as the Presiding Officer may prescribe, any 
party may take the deposition of any other party, including the agents, 
employees, consultants, or prospective witnesses of that party at a 
place convenient to the deponent. The attendance of witnesses and the 
production of documents and things at the deposition may be compelled by 
subpoena as provided in Sec. 1025.38 of these rules.
    (b) Notice of deposition--(1) Deposition of a party. A party 
desiring to take a deposition of another party to the proceedings shall, 
after obtaining leave from the Presiding Officer, serve written notice 
of the deposition on all other parties and the Presiding Officer at 
least ten (10) days before the date noticed for the deposition. The 
notice shall state:
    (i) The time and place for the taking of the deposition;
    (ii) The name and address of each person to be deposed, if known, or 
if the name is not known, a general description sufficient to identify 
him/her; and
    (iii) The subject matter of the expected testimony. If a subpoena 
duces tecum is to be served on the person to be deposed, the designation 
of the materials to be produced, as set forth in the subpoena, shall be 
attached to or included in the notice of deposition.
    (2) Deposition of a non-party. A party desiring to take a deposition 
of a person who is not a party to the proceedings shall make application 
for the issuance of a subpoena, in accordance with Sec. 1025.38 of these 
rules, to compel the attendance, testimony, and/or production of 
documents by such non-party. The paty desiring such deposition shall 
serve written notice of the deposition on all other parties to the 
proceedings, after issuance of the subpoena. The date specified in the 
subpoena for the deposition shall be at least twenty (20) days after the 
date on which the application for the subpoena is made to the Presiding 
Officer.
    (3) Opposition to notice. A person served with a notice of 
deposition may oppose, in writing, the taking of the deposition within 
five (5) days of service of the notice. The Presiding Officer shall rule 
on the notice and any opposition and may order the taking of all noticed 
depositions upon a showing of good cause. The Presiding Officer may, for 
good cause shown, enlarge or shorten the time for the taking of a 
deposition.
    (c) Persons before whom depositions may be taken. Depositions may be 
taken before any person who is authorized to administer oaths by the 
laws of the United States or of the place where the examination is held. 
No deposition shall be taken before a person who is a relative, 
employee, attorney, or representative of any party, or who is a relative 
or employee of such attorney or representative, or who is financially 
interested in the action.
    (d) Taking of deposition--(1) Examination. Each deponent shall 
testify under oath, and all testimony shall be recorded. All parties or 
their representatives may be present and participate in the examination. 
Evidence objected to shall be taken subject to any objection. Objections 
shall include the grounds relied upon. The questions and answers, 
together with all objections made, shall be recorded by the official 
reporter before whom the deposition is taken. The original or a verified 
copy of all documents and things produced for inspection during the 
examination of the deponent shall, upon a request of any party present, 
be marked for identification and made a part of the record of the 
deposition.
    (2) Motion to terminate or limit examination. At any time during the 
deposition, upon motion of any party or of the deponent, and upon a 
showing that the examination is being conducted in

[[Page 84]]

bad faith or in such manner as unreasonably to annoy, embarrass or 
oppress the deponent or party, the Presiding Officer may order the party 
conducting the examination to stop the deposition or may limit the scope 
and manner of taking the deposition as provided in Sec. 1025.31(d) of 
these rules.
    (3) Participation by parties not present. In lieu of attending a 
deposition, any party may serve written questions in a sealed envelope 
on the party conducting the deposition. That party shall transmit the 
envelope to the official reporter, who shall unseal it and read the 
questions to the deponent.
    (e) Transcription and filing of depositions--(1) Transcription. Upon 
request by any party, the testimony recorded at a deposition shall be 
transcribed. When the testimony is fully transcribed, the deposition 
shall be submitted to the deponent for examination and signature and 
shall be read to or by the deponent, unless such examination and 
signature are waived by the deponent. Any change in form or substance 
which the deponent desires to make shall be entered upon the deposition 
by the official reporter with a statement of the reasons given by the 
deponent for making them. The deposition shall then be signed by the 
deponent, unless the deponent waives signature or is ill or cannot be 
found or refuses to sign. If the deposition is not signed by the 
deponent within thirty (30) days of its submission to him/her, the 
official reporter shall sign the deposition and state on the record the 
fact of the waiver of signature or of the illness or absence of the 
deponent or of the refusal to sign, together with a statement of the 
reasons therefor. The deposition may then be used as fully as though 
signed, in accordance with paragraph (i) of this section.
    (2) Certification and filing. The official reporter shall certify on 
the deposition that it was taken under oath and that the deposition is a 
true record of the testimony given and corrections made by the deponent. 
The official reporter shall then seal the deposition in an envelope 
endorsed with the title and docket number of the action and marked 
``Deposition of [name of deponent]'' and shall promptly file the 
deposition with the Secretary. The Secretary shall notify all parties of 
the filing of the deposition and shall furnish a copy of the deposition 
to any party or to the deponent upon payment of reasonable charges.
    (f) Costs of deposition. The party who notices the deposition shall 
pay for the deposition. The party who requests transcription of the 
deposition shall pay for the transcription.
    (g) Failure to attend or to serve subpoena; expenses. If a party who 
notices a deposition fails to attend or conduct the deposition, and 
another party attends in person or by a representative pursuant to the 
notice, the Presiding Officer may order the party who gave the notice to 
pay to the attending party the reasonable expenses incurred. If a party 
who notices a deposition fails to serve a subpoena upon the deponent and 
as a result the deponent does not attend, and if another party attends 
in person or by a representative because that party expects the 
deposition to be taken, the Presiding Officer may order the party who 
gave notice to pay to the attending party the reasonable expenses 
incurred.
    (h) Deposition to preserve testimony--(1) When available. By leave 
of the Presiding Officer, a party may take the deposition of his/her own 
witness for the purpose of perpetuating the testimony of that witness. A 
party who wishes to conduct such a deposition shall obtain prior leave 
of the Presiding Officer by filing a motion. The motion shall include a 
showing of substantial reason to believe that the testimony could not be 
presented at the hearing. If the Presiding Officer is satisfied that the 
perpetuation of the testimony may prevent a failure of justice or is 
otherwise reasonably necessary, he/she shall order that the deposition 
be taken.
    (2) Procedure. Notice of a deposition to preserve testimony shall be 
served at least fifteen (15) days prior to the deposition unless the 
Presiding Officer authorizes less notice when warranted by extraordinary 
circumstances. The deposition shall be taken in accordance with the 
provisions of paragraph (d) of this section. Any deposition taken to 
preserve testimony shall be transcribed and filed in accordance with 
paragraph (e) of this section.

[[Page 85]]

    (i) Use of depositions. At the hearing or upon a petition for 
interlocutory appeal, any part or all of a deposition may be used 
against any party who was present or represented at the deposition or 
who had reasonable notice of the deposition, in accordance with any of 
the following:
    (1) Any deposition may be used by any party for the purpose of 
contradicting or impeaching the testimony of the deponent as a witness.
    (2) The deposition of anyone who at the time of the taking of the 
deposition was an officer, director, managing agent, or person otherwise 
designated to testify on behalf of a public or private corporation, 
partnership or unincorporated association or governmental entity which 
is a party to the proceedings, may be used by any adverse party for any 
purpose.
    (3) The deposition of a witness may be used by any party for any 
purpose if the Presiding Officer finds:
    (i) That the witness is dead; or
    (ii) That the witness is out of the United States, unless it appears 
that the absence of the witness was procured by the party offering the 
deposition; or
    (iii) That the witness is unable to attend or testify because of 
age, illness, infirmity, or imprisonment; or
    (iv) That the party offering the depostion has been unable to 
procure the attendance of the witness by subpoena; or
    (v) That such exceptional circumstances exist as to make it 
desirable, in the interest of justice and with due regard for the 
importance of presenting the testimony of witnesses orally during the 
hearing, to allow the deposition to be used.
    (4) If only part of a deposition is offered in evidence by a party, 
any other party may move to introduce any other part of the deposition.



Sec. 1025.36  Motions to compel discovery.

    If a party fails to respond to discovery, in whole or in part, the 
party seeking discovery may move within twenty (20) days for an order 
compelling an answer, or compelling inspection or production of 
documents, or otherwise compelling discovery. For purposes of this 
section, an evasive or incomplete response is to be treated as a failure 
to respond. When taking depositions, the discovering party shall 
continue the examination to the extent possible with respect to other 
areas of inquiry before moving to compel discovery.



Sec. 1025.37  Sanctions for failure to comply with discovery orders.

    If a party fails to obey an order to provide or permit discovery, 
the Presiding Officer may take such action as is just, including but not 
limited to the following:
    (a) Infer that the admission, testimony, document or other evidence 
would have been adverse to the party;
    (b) Order that for the purposes of the proceedings, the matters 
regarding which the order was made or any other designated facts shall 
be taken to be established in accordance with the claim of the party 
obtaining the order;
    (c) Order that the party withholding discovery not introduce into 
evidence or otherwise rely, in support of any claim or defense, upon the 
documents or other evidence withheld;
    (d) Order that the party withholding discovery not introduce into 
evidence, or otherwise use at the hearing, information obtained in 
discovery;
    (e) Order that the party withholding discovery forfeit its right to 
object to introduction and use of secondary evidence to show what the 
withheld admission, testimony, documents, or other evidence would have 
shown;
    (f) Order that a pleading, or part of a pleading, or a motion or 
other submission by the party, concerning which the order was issued, be 
stricken, or that decision on the pleadings be rendered against the 
party, or both; and
    (g) Exclude the party or representative from the proceedings, in 
accordance with Sec. 1025.42(b) of these rules.

Any such action may be taken by order at any point in the proceedings.



Sec. 1025.38  Subpoenas.

    (a) Availability. A subpoena shall be addressed to any person not a 
party for the purpose of compelling attendance, testimony, and 
production of documents at a hearing or deposition, and may be addressed 
to any party for the same purposes.

[[Page 86]]

    (b) Form. A subpoena shall identify the action with which it is 
connected; shall specify the person to whom it is addressed and the 
date, time, and place for compliance with its provisions; and shall be 
issued by order of the Commission and signed by the Secretary or by the 
Presiding Officer. A subpoena duces tecum shall specify the books, 
papers, documents, or other materials or data-compilations to be 
produced.
    (c) How obtained--(1) Content of application. An application for the 
issuance of a subpoena, stating reasons, shall be submitted in 
triplicate to the Presiding Officer. The Presiding Officer shall bring 
the application to the attention of the Commission by forwarding it or 
by communicating its contents by any other means, e.g., by telephone, to 
the Commission.
    (2) Procedure for application. The original and two copies of the 
subpoena, marked ``original,'' ``duplicate'' and ``triplicate,'' shall 
accompany the application. The Commission shall rule upon an application 
for a subpoena ex parte, by issuing the subpoena or by issuing an order 
denying the application.
    (d) Issuance of a subpoena. The Commission shall issue a subpoena by 
authorizing the Secretary or the Presiding Officer to sign and date each 
copy in the lower right-hand corner. The ``duplicate'' and 
``triplicate'' copies of the subpoena shall be transmitted to the 
applicant for service in accordance with these Rules; the ``original'' 
shall be retained by, or be forwarded to, the Secretary for retention in 
the docket of the proceedings.
    (e) Service of a subpoena. A subpoena may be served in person or by 
registered or certified mail, return receipt requested, as provided in 
Sec. 1025.16(b) of these rules. Service shall be made by delivery of the 
signed ``duplicate'' copy to the person named therein.
    (f) Return of service. A person serving a subpoena shall promptly 
execute a return of service, stating the date, time, and manner of 
service. If service is effected by mail, the signed return receipt shall 
accompany the return of service. In case of failure to make service, a 
statement of the reasons for the failure shall be made. The 
``triplicate'' copy of the subpoena, bearing or accompanied by the 
return of service, shall be returned without delay to the Secretary 
after service has been completed.
    (g) Motion to quash or limit subpoena. Within five (5) days of 
receipt of a subpoena, the person to whom it is directed may file a 
motion to quash or limit the subpoena, setting forth the reasons why the 
subpoena should be withdrawn or why it should be limited in scope. Any 
such motion shall be answered within five (5) days of service and shall 
be ruled on immediately. The order shall specify the date, if any, for 
compliance with the specifications of the subpoena.
    (h) Consequences of failure to comply. In the event of failure by a 
person to comply with a subpoena, the Presiding Officer may take any of 
the actions enumerated in Sec. 1025.37 of these rules, or may order any 
other appropriate relief to compensate for the withheld testimony, 
documents, or other materials. If in the opinion of the Presiding 
Officer such relief is insufficient, the Presiding Officer shall certify 
to the Commission a request for judicial enforcement of the subpoena.



Sec. 1025.39  Orders requiring witnesses to testify or provide other information and granting immunity.

    (a) Applicability to Flammable Fabrics Act only. This section 
applies only to proceedings arising under the Flammable Fabrics Act.
    (b) Procedure. A party who desires the issuance of an order 
requiring a witness or deponent to testify or provide other information 
upon being granted immunity from prosecution under title 18, United 
States Code, section 6002, may make a motion to that effect. The motion 
shall be made and ruled on in accordance with Sec. 1025.23 of these 
rules and shall include a showing:
    (1) That the testimony or other information sought from a witness or 
deponent, or prospective witness or deponent, may be necessary to the 
public interest; and
    (2) That such individual has refused or is likely to refuse to 
testify or provide such information on the basis of that individual's 
privilege against self-incrimination.

[[Page 87]]

    (c) Approval of the Attorney General. If the Presiding Officer 
determines that the witness' testimony appears necessary and that the 
privilege against self-incrimination may be invoked, he/she may certify 
to the Commission a request that it obtain the approval of the Attorney 
General of the United States for the issuance of an order granting 
immunity.
    (d) Issuance of order granting immunity. Upon application to and 
approval by the Attorney General of the United States, and after the 
witness has invoked the privilege against self-incrimination, the 
Presiding Officer shall issue the order granting immunity unless he/she 
determines that the privilege was improperly invoked.
    (e) Sanctions for failure to testify. Failure of a witness to 
testify after a grant of immunity or after a denial of a motion for the 
issuance of an order granting immunity shall result in the imposition of 
appropriate sanctions as provided in Sec. 1025.37 of these rules.



                           Subpart E--Hearings



Sec. 1025.41  General rules.

    (a) Public hearings. All hearings conducted pursuant to these Rules 
shall be public unless otherwise ordered by the Commission or the 
Presiding Officer.
    (b) Prompt completion. Hearings shall proceed with all reasonable 
speed and, insofar as practicable and with due regard to the convenience 
of the parties, shall continue without suspension until concluded, 
except in unusual circumstances or as otherwise provided in these Rules.
    (c) Rights of parties. Every party shall have the right of timely 
notice and all other rights essential to a fair hearing, including, but 
not limited to, the rights to present evidence, to conduct such cross-
examination as may be necessary for a full and complete disclosure of 
the facts, and to be heard by objection, motion, brief, and argument.
    (d) Rights of participants. Every participant shall have the right 
to make a written or oral statement of position and to file proposed 
findings of fact, conclusions of law, and a post hearing brief, in 
accordance with Sec. 1025.17(b) of these Rules.
    (e) Rights of witnesses. Any person compelled to testify in any 
proceedings in response to a subpoena may be accompanied, represented, 
and advised by legal counsel or other representative, and may purchase a 
transcript of his/her testimony.



Sec. 1025.42  Powers and duties of Presiding Officer.

    (a) General. A Presiding Officer shall have the duty to conduct 
full, fair, and impartial hearings, to take appropriate action to avoid 
unnecessary delay in the disposition of proceedings, and to maintain 
order. He/she shall have all powers necessary to that end, including the 
following powers:
    (1) To administer oaths and affirmations;
    (2) To compel discovery and to impose appropriate sanctions for 
failure to make discovery;
    (3) To rule upon offers of proof and receive relevant, competent, 
and probative evidence;
    (4) To regulate the course of the proceedings and the conduct of the 
parties and their representatives;
    (5) To hold conferences for simplification of the issues, settlement 
of the proceedings, or any other proper purposes;
    (6) To consider and rule, orally or in writing, upon all procedural 
and other motions appropriate in adjudicative proceedings;
    (7) To issue Summary Decisions, Initial Decisions, Recommended 
Decisions, rulings, and orders, as appropriate;
    (8) To certify questions to the Commission for its determination; 
and
    (9) To take any action authorized by these Rules or the provisions 
of title 5, United States Code, sections 551-559.
    (b) Exclusion of parties by Presiding Officer. A Presiding Officer 
shall have the authority, for good cause stated on the record, to 
exclude from participation in any proceedings any party, participant, or 
representative who violates the requirements of Sec. 1025.66 of these 
rules. Any party, participant or representative so excluded may appeal 
to the Commission in accordance with the provisions of Sec. 1025.24 of 
these rules. If the representative of a party or participant is 
excluded, the hearing may be

[[Page 88]]

suspended for a reasonable time so that the party or participant may 
obtain another representative.
    (c) Substitution of Presiding Officer. In the event of the 
substitution of a new Presiding Officer for the one originally 
designated, any motion predicated upon such substitution shall be made 
within five (5) days.
    (d) Interference. In the performance of adjudicative functions, a 
Presiding Officer shall not be responsible to or subject to the 
supervision or direction of any Commissioner or of any officer, 
employee, or agent engaged in the performance of investigative or 
prosecuting functions for the Commission. All directions by the 
Commission to a Presiding Officer concerning any adjudicative 
proceedings shall appear on and be made a part of the record.
    (e) Disqualification of Presiding Officer. (1) When a Presiding 
Officer considers himself/herself disqualified to preside in any 
adjudicative proceedings, he/she shall withdraw by notice on the record 
and shall notify the Chief Administrative Law Judge and the Secretary of 
such withdrawal.
    (2) Whenever, for good and reasonable cause, any party considers the 
Presiding Officer to be disqualified to preside, or to continue to 
preside, in any adjudicative proceedings, that party may file with the 
Secretary a motion to disqualify and remove, supported by affidavit(s) 
setting forth the alleged grounds for disqualification. A copy of the 
motion and supporting affidavit(s) shall be served by the Secretary on 
the Presiding Officer whose removal is sought. The Presiding Officer 
shall have ten (10) days to respond in writing to such motion. However, 
the motion shall not stay the proceedings unless otherwise ordered by 
the Presiding Officer or the Commission. If the Presiding Officer does 
not disqualify himself/herself, the Commission shall determine the 
validity of the grounds alleged, either directly or on the report of 
another Presiding Officer appointed to conduct a hearing for that 
purpose and, in the event of disqualification, shall take appropriate 
action by assigning another Presiding Officer or requesting loan of 
another Administrative Law Judge through the U.S. Office of Personnel 
Management.



Sec. 1025.43  Evidence.

    (a) Applicability of Federal Rules of Evidence. Unless otherwise 
provided by statute or these rules, the Federal Rules of Evidence shall 
apply to all proceedings held pursuant to these Rules. However, the 
Federal Rules of Evidence may be relaxed by the Presiding Officer if the 
ends of justice will be better served by so doing.
    (b) Burden of proof. (1) Complaint counsel shall have the burden of 
sustaining the allegations of any complaint.
    (2) Any party who is the proponent of a legal or factual proposition 
shall have the burden of sustaining that proposition.
    (c) Admissibility. All relevant and reliable evidence is admissible, 
but may be excluded by the Presiding Officer if its probative value is 
substantially outweighed by unfair prejudice or confusion of the issues, 
or by considerations of undue delay, waste of time, immateriality, or 
needless presentation of cumulative evidence.
    (d) Official notice--(1) Definition. Official notice means use by 
the Presiding Officer or the Commission of facts not appearing on the 
record and legal conclusions drawn from those facts. An officially 
noticed fact or legal conclusion must be one not subject to reasonable 
dispute in that it is either:
    (i) Generally known within the jurisdiction of the Commission or
    (ii) Capable of accurate and ready determination by resort to 
sources whose accuracy cannot reasonably be questioned.
    (2) Method of taking official notice. The Presiding Officer and/or 
the Commission may at any time take official notice upon motion of any 
party or upon its own initiative. The record shall reflect the facts and 
conclusions which have been officially noticed.
    (e) [Reserved]
    (f) Offer of proof. When an objection to proffered testimony or 
documentary evidence is sustained, the sponsoring party may make a 
specific offer, either in writing or orally, of what the party expects 
to prove by the testimony or the document. When an offer of proof is 
made, any other party may make a specific offer, either in writing or 
orally, of what the party expects to present

[[Page 89]]

to rebut or contradict the offer of proof. Written offers of proof or of 
rebuttal, adequately marked for identification, shall accompany the 
record and be available for consideration by any reviewing authority.



Sec. 1025.44  Expert witnesses.

    (a) Definition. An expert witness is one who, by reason of 
education, training, experience, or profession, has peculiar knowledge 
concerning the subject matter to which his/her testimony relates and 
from which he/she may draw inferences based upon hypothetically stated 
facts or offer opinions from facts involving scientific or technical 
knowledge.
    (b) Method of presenting testimony of expert witness. Except as may 
otherwise be ordered by the Presiding Officer, the direct testimony of 
an expert witness shall be in writing and shall be filed on the record 
and exchanged between the parties no later than ten (10) days preceding 
the commencement of the hearing. The written testimony of an expert 
witness shall be incorporated into the record and shall constitute the 
direct testimony of that witness. Upon a showing of good cause, the 
party sponsoring the expert witness may be permitted to amplify the 
written direct testimony during the hearing.
    (c) Cross-examination and redirect examination of expert witness. 
Cross-examination, redirect examination, and re-cross-examination of an 
expert witness shall proceed in due course based upon the written 
testimony and any amplifying oral testimony.
    (d) Failure to file or exchange written testimony. Failure to file 
or exchange written testimony of expert witnesses as provided in this 
section shall deprive the sponsoring party of the use of the expert 
witness and of the conclusions which that witness would have presented, 
unless the opposing parties consent or the Presiding Officer otherwise 
orders in unusual circumstances.



Sec. 1025.45  In camera materials.

    (a) Definition. In camera materials are documents, testimony, or 
other data which by order of the Presiding Officer or the Commission are 
kept confidential and excluded from the public record.
    (b) In camera treatment of documents and testimony. The Presiding 
Officer or the Commission shall have authority, when good cause is found 
on the record, to order documents or testimony offered in evidence, 
whether admitted or rejected, to be received and preserve in camera. The 
order shall specify the length of time for in camera treatment and shall 
include:
    (1) A description of the documents or testimony;
    (2) The reasons for granting in camera treatment for the specified 
length of time; and
    (3) The terms and conditions imposed by the Presiding Official, if 
any, limiting access to or use of the in camera material.
    (c) Access and disclosure to parties. (1) Commissioners and their 
staffs, Presiding Officers and their staffs, and Commission staff 
members concerned with judicial review shall have complete access to in 
camera materials. Any party to the proceedings may seek access only in 
accordance with paragraph (c)(2) of this section.
    (2) Any party desiring access to, or disclosure of, in camera 
materials for the preparation and presentation of that party's case 
shall make a motion which sets forth its justification. The Presiding 
Officer or the Commission may grant such motion for good cause shown and 
shall enter a protective order prohibiting unnecessary disclosure and 
requiring any other necessary safeguards. The Presiding Officer or the 
Commission may examine the in camera materials and excise any portions 
prior to disclosure of the materials to the moving party.
    (d) Segregation of in camera materials. In camera materials shall be 
segregated from the public record and protected from public view.
    (e) Public release of in camera materials. In camera materials 
constitute a part of the confidential records of the Commission and 
shall not be released to the public until the expiration of in camera 
treatment.
    (f) Reference to in camera materials. In the submission of proposed 
findings, conclusions, briefs, or other documents, all parties shall 
refrain from disclosing specific details of in camera materials. 
However, such refraining

[[Page 90]]

shall not preclude general references to such materials. To the extent 
that parties consider necessary the inclusion of specific details of in 
camera materials, those references shall be incorporated into separate 
proposed findings, conclusions, briefs, or other documents marked 
``Confidential, Contains In Camera Material,'' which shall be placed in 
camera and become part of the in camera record. Those documents shall be 
served only on parties accorded access to the in camera materials by 
these rules, the Presiding Officer, or the Commission.



Sec. 1025.46  Proposed findings, conclusions, and order.

    Within a reasonable time after the closing of the record and receipt 
of the transcript, all parties and participants may file, simultaneously 
unless otherwise directed by the Presiding Officer, post-hearing briefs, 
including proposed findings of fact and conclusions of law, as well as a 
proposed order. The Presiding Officer shall establish a date certain for 
the filing of the briefs, which shall not exceed fifty (50) days after 
the closing of the record except in unusual circumstances. The briefs 
shall be in writing and shall be served upon all parties. The briefs of 
all parties shall contain adequate references to the record and 
authorities relied upon. Replies shall be filed within fifteen (15) days 
of the date for the filing of briefs unless otherwise established by the 
Presiding Officer. The parties and participants may waive either or both 
submissions.



Sec. 1025.47  Record.

    (a) Reporting and transcription. Hearings shall be recorded and 
transcribed by the official reporter of the Commission under the 
supervision of the Presiding Officer. The original transcript shall be a 
part of the record of proceedings. Copies of transcripts are available 
from the reporter at a cost not to exceed the maximum rates fixed by 
contract between the Commission and the reporter. In accordance with 
Section 11 of the Federal Advisory Committee Act (Pub. L. 92-463, 5 
U.S.C. appendix I), copies of transcripts may be made by members of the 
public or by Commission personnel, when available, at the Office of the 
Secretary at reproduction costs as provided in Sec. 1025.49.
    (b) Corrections. Corrections of the official transcript may be made 
only when they involve errors affecting substance and then only in the 
manner described in this section. The Presiding Officer may order 
corrections, either on his/her own motion or on motion of any party. The 
Presiding Officer shall determine the corrections to be made and shall 
so order. Corrections shall be interlineated or otherwise inserted in 
the official transcript so as not to obliterate the original text.



Sec. 1025.48  Official docket.

    The official docket in any adjudicatory proceedings shall be 
maintained in the Office of the Secretary and be available for public 
inspection during normal business hours of the Commission.



Sec. 1025.49  Fees.

    (a) Fees for deponents and witnesses. Any person compelled to appear 
in person in response to a subpoena or notice of deposition shall be 
paid the same attendance and mileage fees as are paid witnesses in the 
courts of the United States, in accordance with title 28, United States 
Code, section 1821. The fees and mileage referred to in this paragraph 
shall be paid by the party at whose instance deponents or witnesses 
appear.
    (b) Fees for production of records. Fees charged for production or 
disclosure of records contained in the official docket shall be in 
accordance with the Commission's ``Procedures for Disclosures or 
Production of Information Under the Freedom of Information Act,'' title 
16, Code of Federal Regulations, Sec. 1015.9.



                           Subpart F--Decision



Sec. 1025.51  Initial decision.

    (a) When filed. The Presiding Officer shall endeavor to file an 
Initial Decision with the Commission within sixty (60) days after the 
closing of the record or the filing of post-hearing briefs, whichever is 
later.
    (b) Content. The Initial Decision shall be based upon a 
consideration of the

[[Page 91]]

entire record and shall be supported by reliable, probative, and 
substantial evidence. The Initial Decision shall include:
    (1) Findings and conclusions, as well as the reasons or bases for 
such findings and conclusions, upon the material questions of fact, 
material issues of law, or discretion presented on the record, and 
should, where practicable, be accompanied by specific page citations to 
the record and to legal and other materials relied upon; and
    (2) An appropriate order.
    (c) By whom made. The Initial Decision shall be made and filed by 
the Presiding Officer who presided over the hearing, unless otherwise 
ordered by the Commission.
    (d) Reopening of proceedings by Presiding Officer; termination of 
jurisdiction. (1) At any time prior to, or concomitant with, the filing 
of the Initial Decision, the Presiding Officer may reopen the 
proceedings for the reception of further evidence.
    (2) Except for the correction of clerical errors, or where the 
proceeding is reopened by an order under paragraph (d)(1) of this 
section, the jurisdiction of the Presiding Officer is terminated upon 
the filing of the Initial Decision, unless and until such time as the 
matter may be remanded to the Presiding Officer by the Commission.



Sec. 1025.52  Adoption of initial decision.

    The Initial Decision and Order shall become the Final Decision and 
Order of the Commission forty (40) days after issuance unless an appeal 
is noted and perfected or unless review is ordered by the Commission. 
Upon the expiration of the fortieth day, the Secretary shall prepare, 
sign, and enter an order adopting the Initial Decision and Order, unless 
otherwise directed by the Commission.



Sec. 1025.53  Appeal from initial decision.

    (a) Who may file notice of intention. Any party may appeal an 
Initial Decision to the Commission, provided that within ten (10) days 
after issuance of the Initial Decision such party files and serves a 
notice of intention to appeal.
    (b) Appeal brief. An appeal is perfected by filing a brief within 
forty (40) days after service of the Initial Decision. The appeal brief 
must be served upon all parties. The appeal brief shall contain, in the 
order indicated, the following:
    (1) A subject index of the matters in the brief, with page 
references, and a table of cases (alphabetically arranged), textbooks, 
statutes, and other material cited, with page references thereto;
    (2) A concise statement of the case;
    (3) A statement containing the reasons why the party believes the 
Initial Decision is incorrect;
    (4) The argument, presenting clearly the points of fact and law 
relied upon to support each reason why the Initial Decision is 
incorrect, with specific page references to the record and the legal or 
other material relied upon; and
    (5) A proposed form of order for the Commission's consideration in 
lieu of the order contained in the Initial Decision.
    (c) Answering brief. Within thirty (30) days after service of the 
appeal brief upon all parties, any party may file an answering brief 
which shall contain a subject index, with page references, and a table 
of cases (alphabetically arranged), textbooks, statutes, and other 
material cited, with page references thereto. Such brief shall present 
clearly the points of fact and law relied upon in support of the reasons 
the party has for each position urged, with specific page references to 
the record and legal or other materials relied upon.
    (d) Participant's brief. Within thirty (30) days after service of 
the appeal brief upon all parties, any participant may file a brief on 
appeal, presenting clearly the position urged.
    (e) Cross appeal. If a timely notice of appeal is filed by a party, 
any other party may file a notice of cross appeal within ten (10) days 
of the date on which the first notice of appeal was filed. Cross appeals 
shall be included in the answering brief and shall conform to the 
requirements for form, content, and filing specified in paragraph (b) of 
this section for an appeal brief. If an appeal is noticed but not 
perfected, no cross appeal shall be permitted and the notice of cross 
appeal shall be deemed void.

[[Page 92]]

    (f) Reply brief. A reply brief shall be limited to rebuttal of 
matters presented in answering briefs, including matters raised in 
cross-appeals. A reply brief shall be filed and served within fourteen 
(14) days after service of an answering brief, or on the day preceding 
the oral argument, whichever comes first.
    (g) Oral argument. The purpose of an oral argument is to emphasize 
and clarify the issues. The Commission may order oral argument upon 
request of any party or upon its own initiative. A transcript of oral 
arguments shall be prepared. A Commissioner absent from an oral argument 
may participate in the consideration of and decision on the appeal.



Sec. 1025.54  Review of initial decision in absence of appeal.

    The Commission may, by order, review a case not otherwise appealed 
by a party. Should the Commission so order, the parties shall, and 
participants may, file briefs in accordance with Sec. 1025.53, except 
that the Commission may, in its discretion, establish a different 
briefing schedule in its order. The Commission shall issue its order 
within forty (40) days after issuance of the Initial Decision. The order 
shall set forth the issues which the Commission will review and may make 
provision for the filing of briefs. If the filing of briefs is scheduled 
by the Commission, the order shall designate which party or parties 
shall file the initial brief and which party or parties may thereafter 
file an answering brief, or the order may designate the simultaneous 
filing of briefs by the parties.



Sec. 1025.55  Final decision on appeal or review.

    (a) Consideration of record. Upon appeal from or review of an 
Initial Decision, the Commission shall consider the record as a whole or 
such parts of the record as are cited or as may be necessary to resolve 
the issues presented and, in addition, shall, to the extent necessary or 
desirable, exercise all the powers which it could have exercised if it 
had made the Initial Decision.
    (b) Rendering of final decision. In rendering its decision, the 
Commission shall adopt, modify, or set aside the findings, conclusions, 
and order contained in the Initial Decision, and shall include in its 
Final Decision a statement of the reasons for its action and any 
concurring or dissenting opinions. The Commission shall issue an order 
reflecting its Final Decision.
    (c) Except as otherwise ordered by the Commission, the Commission 
shall endeavor to file its Decision within ninety (90) days after the 
filing of all briefs or after receipt of transcript of the oral 
argument, whichever is later.



Sec. 1025.56  Reconsideration.

    Within twenty (20) days after issuance of a Final Decision and Order 
by the Commission, any party may file a petition for reconsideration of 
such decision or order, setting forth the relief desired and the grounds 
in support of the petition. Any petition filed under this section must 
be confined to new questions raised by the decision or order upon which 
the petitioner had no previous opportunity to argue. Any party desiring 
to oppose such a petition shall file an opposition to the petition 
within ten (10) days after sevice of the petition. The filing of a 
petition for reconsideration shall not stay the effective date of the 
Final Decision and Order or toll the running of any statutory time 
period affecting the Decision or Order unless specifically ordered by 
the Commission.



Sec. 1025.57  Effective date of order.

    (a) Orders in proceedings arising under the Consumer Product Safety 
Act. An order of the Commission in proceedings arising under the 
Consumer Product Safety Act becomes effective upon receipt, unless 
otherwise ordered by the Commission.
    (b) Orders in proceedings arising under the Flammable Fabrics Act--
(1) Consent orders. An order in proceedings arising under the Flammable 
Fabrics Act, which has been issued following the Commission's acceptance 
of an offer of settlement in accordance with Sec. 1025.26 of these 
rules, becomes effective upon receipt of notice of Commission 
acceptance, unless otherwise ordered by the Commission.

[[Page 93]]

    (2) Litigated orders. All other orders in proceedings arising under 
the Flammable Fabrics Act become effective upon the expiration of the 
statutory period for court review specified in Section 5(c) of the 
Federal Trade Commission Act, title 15, United States Code, section 
45(c), or, if a petition for review has been filed, upon a court's 
affirmance of the Commission's order.
    (c) Consequences of failure to comply with effective order. A 
respondent against whom an order has been issued who is not in 
compliance with such order on or after the date the order becomes 
effective is in violation of such order and is subject to an immediate 
action for the civil or criminal penalties provided for in the 
applicable statute.



Sec. 1025.58  Reopening of proceedings.

    (a) General. Any proceedings may be reopened by the Commission at 
any time, either on its own initiative or upon petition of any party to 
the proceedings.
    (b) Exception. Proceedings arising under the Flammable Fabrics Act 
shall not be reopened while pending in a United States court of appeals 
on a petition for review after the transcript of the record has been 
filed, or while pending in the Supreme Court of the United States.
    (c) Commission-originated reopening--(1) Before effective date of 
order. At any time before the effective date of a Commission order, the 
Commission may, upon its own initiative and without prior notice to the 
parties, reopen any proceedings and enter a new decision or order to 
modify or set aside, in whole or in part, the decision or order 
previously issued.
    (2) After effective date of order. Whenever the Commission is of the 
opinion that changed conditions of fact or law or the public interest 
may require that a Commission decision or order be altered, modified, or 
set aside in whole or in part, the Commission shall serve upon all 
parties to the original proceedings an order to show cause, stating the 
changes the Commission proposes to make in the decision or order and the 
reasons such changes are deemed necessary. Within thirty (30) days after 
service of an order to show cause, any party to the original 
proceedings, may file a response. Any party not responding to the order 
to show cause within the time allowed shall be considered to have 
consented to the proposed changes.
    (d) Petition for reopening. Whenever any person subject to a final 
order is of the opinion that changed conditions of fact or law require 
that the decision or order be altered, modified, or set aside, or that 
the public interest so requires, that person may petition the Commission 
to reopen the proceedings. The petition shall state the changes desired 
and the reasons those changes should be made, and shall include such 
supporting evidence and argument as will, in the absence of any 
opposition, provide the basis for a Commission decision on the petition. 
The petition shall be served upon all parties to the original 
proceedings. Within thirty (30) days after service of the petition, 
Complaint Counsel shall file a response. Any other party to the original 
proceedings also may file a response within that period.
    (e) Hearings--(1) Unopposed. Where an order to show cause or 
petition to reopen is not opposed, or is opposed but the pleadings do 
not raise issues of fact to be resolved, the Commission, in its 
discretion, may decide the matter on the order to show cause or petition 
and responses, or it may serve upon the parties a notice of hearing 
containing the date when the matter will be heard. The proceedings 
normally will be limited to the filing of briefs but may include oral 
argument when deemed necessary by the Commission.
    (2) Factual issues. When the pleadings raise substantial factual 
issues, the Commission may direct such hearings as it deems appropriate. 
Upon conclusion of the hearings, and after opportunity for the parties 
to file post-hearing briefs containing proposed findings of fact and 
conclusions of law, as well as a proposed order, the Presiding Officer 
shall issue a Recommended Decision, including proposed findings and 
conclusions, and the reasons, as well as a proposed Commission order. If 
the Presiding Officer recommends that the Commission's original order be 
reopened, the proposed order shall include appropriate provisions for 
the alteration, modification or setting aside

[[Page 94]]

of the original order. The record and the Presiding Officer's 
Recommended Decision shall be certified to the Commission for final 
disposition of the matter.
    (f) Commission disposition. Where the Commission has ordered a 
hearing, upon receipt of the Presiding Officer's Recommended Decision, 
the Commission shall make a decision and issue an order based on the 
hearing record as a whole. If the Commission determines that changed 
conditions of fact or law or the public interest requires, it shall 
reopen the order previously issued; alter, modify, or set aside the 
order's provisions in whole or in part; and issue an amended order 
reflecting the alterations, modifications, or deletions. If the 
Commission determines that the original order should not be reopened, it 
shall issue an order affirming the original order. A decision stating 
the reasons for the Commission's order shall accompany the order.



              Subpart G--Appearances, Standards of Conduct



Sec. 1025.61  Who may make appearances.

    A party or participant may appear in person, or by a duly authorized 
officer, partner, regular employee, or other agent of the party or 
participant, or by counsel or other duly qualified representative, in 
accordance with Sec. 1025.65.



Sec. 1025.62  Authority for representation.

    Any individual acting in a representative capacity in any 
adjudicative proceedings may be required by the Presiding Officer or the 
Commission to show his/her authority to act in such capacity. A regular 
employee of a party who appears on behalf of the party may be required 
by the Presiding Officer or the Commission to show his/her authority to 
so appear.



Sec. 1025.63  Written appearances.

    (a) Filing. Any person who appears in any proceedings shall file a 
written notice of appearance with the Secretary or deliver a written 
notice of appearance to the Presiding Officer at the hearing, stating 
for whom the appearance is made and the name, address, and telephone 
number (including area code) of the person making the appearance and the 
date of the commencement of the appearance. The written appearance shall 
be made a part of the record.
    (b) Withdrawal. Any person who has previously appeared in any 
proceedings may withdraw his/her appearance by filing a written notice 
of withdrawal of appearance with the Secretary. The notice of withdrawal 
of appearance shall state the name, address, and telephone number 
(including area code) of the person withdrawing the appearance, for whom 
the appearance was made, and the effective date of the withdrawal of the 
appearance. Such notice of withdrawal shall be filed within five (5) 
days of the effective date of the withdrawal of the appearance.



Sec. 1025.64  Attorneys.

    Any attorney at law who is admitted to practice before any United 
States court or before the highest court of any State, the District of 
Columbia, or any territory or commonwealth of the United States, may 
practice before the Commission. An attorney's own representation that 
he/she is in good standing before any of such courts shall be sufficient 
proof thereof, unless otherwise directed by the Presiding Officer or the 
Commission.



Sec. 1025.65  Persons not attorneys.

    (a) Filing and approval of proof of qualifications. Any person who 
is not an attorney at law may be admitted to appear in any adjudicative 
proceedings as a representative of any party or participant if that 
person files proof to the satisfaction of the Presiding Officer that he/
she possesses the necessary knowledge of administrative procedures, 
technical, or other qualifications to render valuable service in the 
proceedings and is otherwise competent to advise and assist in the 
presentation of matters in the proceedings. An application by a person 
not an attorney at law for admission to appear in any proceedings shall 
be submitted in writing to the Secretary, not later than thirty (30) 
days prior to the hearing. The application shall set forth in detail the 
applicant's qualifications to appear in the proceedings.

[[Page 95]]

    (b) Exception. Any person who is not an attorney at law and whose 
application has not been approved shall not be permitted to appear in 
Commission proceedings. However, this provision shall not apply to any 
person who appears before the Commission on his/her own behalf or on 
behalf of any corporation, partnership, or unincorporated association of 
which the person is a partner or general officer.



Sec. 1025.66  Qualifications and standards of conduct.

    (a) Good faith transactions. The Commission expects all persons 
appearing in proceedings before the Commission or the Presiding Officer 
to act with integrity, with respect, and in an ethical manner. Business 
transacted before and with the Commission or the Presiding Officer shall 
be conducted in good faith.
    (b) Exclusion of parties, participants, or their representatives. To 
maintain orderly proceedings, the Commission or the Presiding Officer 
may exclude parties, participants, or their representatives for refusal 
to comply with directions, continued use of dilatory tactics, refusal to 
adhere to reasonable standards of orderly and ethical conduct, failure 
to act in good faith, or violation of the prohibition in Sec. 1025.68 
against certain ex parte communications.
    (c) Exclusions from the record. The Presiding Officer or the 
Commission may disregard and order the exclusion from the record of any 
written or oral submissions or representations which are not made in 
good faith or which are unfair, incomplete, or inaccurate.
    (d) Appeal by excluded party. An excluded party, participant, or 
representative may petition the Commission to entertain an interlocutory 
appeal in accordance with Sec. 1025.24 of these rules. If, after such 
appeal, the representative of a party or participant is excluded, the 
hearing shall, at the request of the party or participant, be suspended 
for a reasonable time so that the party or participant may obtain 
another representative.



Sec. 1025.67  Restrictions as to former members and employees.

    (a) Generally. Except as otherwise provided in paragraph (b) of this 
section, the post-employee restrictions applicable to former Commission 
members and employees, as set forth in the Commission's ``Post 
Employment Restrictions Applicable to Former Commission Officers and 
Employees'', 16 CFR part 1030, subpart L, shall govern the activities of 
former Commission members and employees in matters connected with their 
former duties and responsibilities.
    (b) Participation as witness. A former member or employee of the 
Commission may testify in any proceeding subject to these Rules 
concerning his/her participation in any Commission activity. This 
section does not constitute a waiver by the Commission of any objection 
provided by law to testimony that would disclose privileged or 
confidential material. The provisions of 18 U.S.C. 1905 prohibiting the 
disclosure of trade secrets also applies to testimony by former members 
and employees.
    (c) Procedure for requesting authorization to appear. In cases to 
which paragraph (a) of this section is applicable, a former member or 
employee of the Commission may request authorization to appear or 
participate in any proceedings or investigation by filing with the 
Secretary a written application disclosing the following information:
    (1) The nature and extent of the former member's or employee's 
participation in, knowledge of, and connection with the proceedings or 
investigation during his/her service with the Commission;
    (2) Whether the files of the proceedings or investigation came to 
his/her attention;
    (3) Whether he/she was employed in the directorate, division, or 
other organizational unit within the Commission in which the proceedings 
or investigation is or has been pending;
    (4) Whether he/she worked directly or in close association with 
Commission personnel assigned to the proceedings or investigation and, 
if so, with whom and in what capacity; and
    (5) Whether during service with the Commission, he/she was engaged 
in any matter concerning the person involved in the proceedings or 
investigation.
    (d) Denial of request to appear. The requested authorization shall 
not be given in any case:

[[Page 96]]

    (1) Where it appears that the former member or employee, during 
service with the Commission, participated personally and substantially 
in the proceedings or investigation; or
    (2) Where the Commission is not satisfied that the appearance or 
participation will not involve any actual or apparent impropriety; or
    (3) In any case which would result in a violation of title 18, 
United States Code, section 207.



Sec. 1025.68  Prohibited communications.

    (a) Applicability. This section is applicable during the period 
commencing with the date of issuance of a complaint and ending upon 
final Commission action in the matter.
    (b) Definitions--(1) Decision-maker. Those Commission personnel who 
render decisions in adjudicative proceedings under these rules, or who 
advise officials who render such decisions, including:
    (i) The Commissioners and their staffs;
    (ii) The Administrative Law Judges and their staffs;
    (iii) The General Counsel and his/her staff, unless otherwise 
designated by the General Counsel.
    (2) Ex parte communication. (i) Any written communication concerning 
a matter in adjudication which is made to a decision-maker by any person 
subject to these Rules, which is not served on all parties; or
    (ii) Any oral communication concerning a matter in adjudication 
which is made to a decision-maker by any person subject to these Rules, 
without advance notice to all parties to the proceedings and opportunity 
for them to be present.
    (c) Prohibited ex parte communications. Any oral or written ex parte 
communication relative to the merits of any proceedings under these 
Rules is a prohibited ex parte communication, except as otherwise 
provided in paragraph (d) of this section.
    (d) Permissible ex parte communications. The following 
communications shall not be prohibited under this section.
    (1) Ex parte communications authorized by statute or by these rules. 
(See, for example, Sec. 1025.38 which governs applications for the 
issuance of subpoenas.)
    (2) Any staff communication concerning judicial review or judicial 
enforcement in any matter pending before or decided by the Commission.
    (e) Procedures for handling prohibited ex parte communication--(1) 
Prohibited written ex parte communication. To the extent possible, a 
prohibited written ex parte communication received by any Commission 
employee shall be forwarded to the Secretary rather than to a decision-
maker. A prohibited written ex parte communication which reaches a 
decision-maker shall be forwarded by the decision-maker to the 
Secretary. If the circumstances in which a prohibited ex parte written 
communication was made are not apparent from the communication itself, a 
statement describing those circumstances shall be forwarded with the 
communication.
    (2) Prohibited oral ex parte communication. (i) If a prohibited oral 
ex parte communication is made to a decision-maker, he/she shall advise 
the person making the communication that the communication is prohibited 
and shall terminate the discussion; and
    (ii) In the event of a prohibited oral ex parte communication, the 
decision-maker shall forward to the Secretary a signed and dated 
statement containing such of the following information as is known to 
him/her.
    (A) The title and docket number of the proceedings;
    (B) The name and address of the person making the communication and 
his/her relationship (if any) to the parties and/or participants to the 
proceedings;
    (C) The date and time of the communication, its duration, and the 
circumstances (e.g., telephone call, personal interview, etc.) under 
which it was made;
    (D) A brief statement of the substance of the matters discussed; and
    (E) Whether the person making the communication persisted in doing 
so after being advised that the communication was prohibited.
    (3) Filing. All communications and statements forwarded to the 
Secretary under this section shall be placed in a public file which 
shall be associated with, but not made a part of, the

[[Page 97]]

record of the proceedings to which the communication or statement 
pertains.
    (4) Service on parties. The Secretary shall serve a copy of each 
communication and statement forwarded under this section on all parties 
to the proceedings. However, if the parties are numerous, or if other 
circumstances satisfy the Secretary that service of the communication or 
statement would be unduly burdensome, he/she, in lieu of service, may 
notify all parties in writing that the communication or statement has 
been made and filed and that it is available for insection and copying.
    (5) Service on maker. The Secretary shall forward to the person who 
made the prohibited ex parte communication a copy of each communication 
or statement filed under this section.
    (f) Effect of ex parte communications. No prohibited ex parte 
communication shall be considered as part of the record for decision 
unless introduced into evidence by a party to the proceedings.
    (g) Sanctions. A person subject to these Rules who make, a 
prohibited ex parte communication, or who encourages or solicits another 
to make any such communication, may be subject to any appropriate 
sanction or sanctions, including but not limited to, exclusion from the 
proceedings and an adverse ruling on the issue which is the subject of 
the prohibited communication.



    Subpart H--Implementation of the Equal Access to Justice Act in 
              Adjudicative Proceedings With the Commission

    Authority: Equal Access to Justice Act, Pub. L. 96-481, 94 Stat. 
2325, 5 U.S.C. 504 and the Administrative Procedure Act, 5 U.S.C. 551 et 
seq.

    Source: 47 FR 25513, June 14, 1982, unless otherwise noted.



Sec. 1025.70  General provisions.

    (a) Purpose of this rule. The Equal Access to Justice Act, 5 U.S.C. 
504 (called ``the EAJA'' in this subpart), provides for the award of 
attorney fees and other expenses to eligible persons who are parties to 
certain adversary adjudicative proceedings before the Commission. An 
eligible party may receive an award when it prevails over Commission 
complaint counsel, unless complaint counsel's position in the proceeding 
was substantially justified or special circumstances make an award 
unjust. This subpart describes the parties eligible for awards and the 
proceedings covered. The rules also explain how to apply for awards and 
the procedures and standards that the Commission will use to make them.
    (b) When the EAJA applies. The EAJA applies to any adversary 
adjudicative proceeding pending before the Commission at any time 
between October 1, 1981 and September 30, 1984. This includes 
proceedings commenced before October 1, 1981, if final Commission action 
has not been taken before that date, and proceedings pending on 
September 30, 1984, regardless of when they were initiated or when final 
Commission action occurs.
    (c) Proceedings covered. (1) The EAJA and this rule apply to 
adversary adjudicative proceedings conducted by the Commission. These 
are adjudications under 5 U.S.C. 554 in which the position of the 
Commission or any component of the Commission is represented by an 
attorney or other representative who enters an appearance and 
participates in the proceeding. The rules in this subpart govern 
adversary adjudicative proceedings relating to the provisions of 
sections 15 (c), (d) and (f) and 17(b) of the Consumer Product Safety 
Act (15 U.S.C. 2064 (c) (d) and (f); 2066(b)), sections 3 and 8(b) of 
the Flammable Fabrics Act (15 U.S.C. 1192, 1197(b)), and section 15 of 
the Federal Hazardous Substances Act (15 U.S.C. 1274), which are 
required by statute to be determined on the record after opportunity for 
a public hearing. These rules will also govern administrative 
adjudicative proceedings for the assessment of civil penalties under 
section 20(a) of the Consumer Product Safety Act (15 U.S.C. 2068(a)). 
See 16 CFR 1025.1.
    (2) The Commission may designate a proceeding not listed in 
paragraph (c)(1) of this section as an adversary adjudicative proceeding 
for purposes of the EAJA by so stating in an order initiating the 
proceeding or designating

[[Page 98]]

the matter for hearing. The Commission's failure to designate a 
proceeding as an adversary adjudicative proceeding shall not preclude 
the filing of an application by a party who believes the proceeding is 
covered by the EAJA. Whether the proceeding is covered will then be an 
issue for resolution in proceedings on the application.
    (3) If a proceeding includes both matters covered by the EAJA and 
matters specifically excluded from coverage, any award made will include 
only fees and expenses related to covered issues.
    (d) Eligibility of applicants. (1) To be eligible for an award of 
attorney fees and other expenses under the EAJA, the applicant must be a 
party to the adversary adjudication for which it seeks an award. The 
term ``party'' is defined in 5 U.S.C. 551(3) and 16 CFR 1025.3(f). The 
applicant must show that it meets all conditions of eligibility set out 
in this paragraph and in Sec. 1025.71.
    (2) The types of eligible applicants are:
    (i) Individuals with a net worth of not more than $1 million;
    (ii) Sole owners of unincorporated businesses who have a net worth 
of not more than $5 million including both personal and business 
interests, and not more than 500 employees;
    (iii) Charitable or other tax-exempt organizations described in 
section 501(c)(3) of the Internal Revenue Code (26 U.S.C. 501(c)(3)) 
which have not more than 500 employees;
    (iv) Any other partnership, corporation, association, or public or 
private organization with a net worth of not more than $5 million and 
which have not more than 500 employees.
    (3) For the purpose of eligibility, the net worth and number of 
employees of an applicant shall be determined as of the date the 
proceeding was initiated.
    (4) An applicant who owns an unincorporated business will be 
considered as an ``individual'' rather than as a ``sole owner of an 
unincorporated business'' if the issues on which the applicant prevails 
are related primarily to personal interests rather than to business 
interests.
    (5) The number of employees of an applicant include all persons who 
regularly perform services for remuneration for the applicant, under the 
applicant's direction and control. Part-time employees shall be included 
on a proportional basis.
    (6) The net worth and number of employees of the applicant and all 
of its affiliates shall be aggregated to determine eligibility. For this 
purpose, affiliate means (i) An individual, corporation or other entity 
that directly or indirectly controls or owns a majority of the voting 
shares or other interest of the applicant, or (ii) Any corporation or 
other entity of which the applicant directly or indirectly owns or 
controls a majority of the voting shares or other interest. However, the 
presiding officer may determine that such treatment would be unjust and 
contrary to the purposes of the EAJA in light of the actual relationship 
between the affiliated entities. In addition, the presiding officer may 
determine that financial relationships of the applicant other than those 
described in this paragraph constitute special circumstances that would 
make an award unjust.
    (7) An applicant that participates in a proceeding primarily on 
behalf of one or more other persons or entities that would be ineligible 
is not itself eligible for an award.
    (8) An applicant that represents himself/herself regardless of 
whether he is licensed to practice law may be awarded all such expenses 
and fees available to other prevailing eligible parties. See 16 CFR 
1025.61 and 1025.65 of the Commission's rules.
    (e) Standards for awards. (1) An eligible prevailing applicant may 
receive an award for fees and expenses incurred in connection with a 
proceeding, or in a significant and discrete substantive portion of the 
proceeding, unless the position of Commission complaint counsel over 
which the applicant has prevailed was substantially justified. Complaint 
counsel bear the burden of proof that an award should not be made to an 
eligible prevailing applicant. Complaint counsel may avoid the granting 
of an award by showing that its position was reasonable in law and fact.
    (2) An award will be reduced or denied if the applicant has unduly 
or unreasonably protracted the proceeding or if special circumstances 
make the award sought unjust.

[[Page 99]]

    (f) Allowable fees and expenses. (1) Awards will be based on rates 
customarily charged by persons engaged in the business of acting as 
attorneys, agents and expert witnesses, even if the services were made 
available without charge or at a reduced rate to the applicant.
    (2) No award for the fee of an attorney or agent under these rules 
may exceed $75 per hour. No award to compensate an expert witness may 
exceed the highest rate at which the Commission is authorized to pay 
expert witnesses. However, an award may also include the reasonable 
expenses of the attorney, agent, or witness as a separate item, if the 
attorney, agent or witness ordinarily charges clients separately for 
such expenses.
    (3) In determining the reasonableness of the fee sought for an 
attorney, agent or expert witness, the presiding officer shall consider 
the following:
    (i) If the attorney, agent or witness is in private practice, his or 
her customary fee for similar services, or, if an employee of the 
applicant, the fully allocated cost of the services;
    (ii) The prevailing rate for similar services in the community in 
which the attorney, agent or witness ordinarily performs services;
    (iii) The time actually spent in the representation of the 
applicant;
    (iv) The time reasonably spent in light of the difficulty or 
complexity of the issues in the proceeding; and
    (v) Such other factors as may bear on the value of the services 
provided.
    (4) The reasonable cost of any study, analysis, engineering report, 
test, project or similar matter prepared on behalf of a party may be 
awarded, to the extent that the charge for the service does not exceed 
the prevailing rate for similar services, and the study or other matter 
was necessary for preparation of the applicant's case.
    (5) Fees may be awarded to eligible applicants only for service 
performed after the issuance of a complaint and the commencement of the 
adjudicative proceeding in accordance with 16 CFR 1025.11(a).
    (g) Rulemaking on maximum rates for attorney fees. (1) If warranted 
by an increase in the cost of living or by special circumstances, the 
Commission may adopt regulations providing that attorney fees may be 
awarded at a rate higher than $75 per hour in some or all of the types 
of proceedings covered by this subpart. The Commission will conduct any 
rulemaking proceedings for this purpose under the informal rulemaking 
procedures of the Administrative Procedure Act, 5 U.S.C. 533.
    (2) Any person may file with the Commission a petition for 
rulemaking to increase the maximum rate for attorney fees, in accordance 
with the Administrative Procedure Act, 5 U.S.C. 553(e). The petition 
should identify the rate the petitioner believes the Commission should 
establish and the types of proceedings in which the rate should be used. 
The petition should also explain fully the reasons why the higher rate 
is warranted. The Commission will respond to the petition within a 
reasonable time after it is filed, by initiating a rulemaking 
proceeding, denying the petition, or taking other appropriate action.
    (h) Presiding officer. The presiding oficer in a proceeding covered 
by this regulation is a person as defined in the Commission's Rules, 16 
CFR 1025.3(i), who conducts an adversary adjudicative proceeding.



Sec. 1025.71  Information required from applicant.

    (a) Contents of application. (1) An application for an award of fees 
and expenses under the EAJA shall identify the applicant and the 
proceeding for which an award is sought. The application shall show that 
the applicant has prevailed and identify the position of complaint 
counsel in the adjudicative proceeding that the applicant alleges was 
not substantially justified. Unless the applicant is an individual, the 
application shall also state the number of employees of the applicant 
and describe briefly the type and purpose of its organization or 
business.
    (2) The application shall also include a verified statement that the 
applicant's net worth does not exceed $1 million (if an individual) or 
$5 million (for all other applicants, including their affiliates). 
However, an applicant may omit this statement if it attaches

[[Page 100]]

a copy of a ruling by the Internal Revenue Service that it qualifies as 
an organization described in section 501(c)(3) of the Internal Revenue 
Code or, in the case of a tax-exempt organization not required to obtain 
a ruling from the Internal Revenue Service on its exempt status, a 
statement that describes the basis for the applicant's belief that it 
qualifies under such section.
    (3) The application shall state the amount of fees and expenses for 
which an award is sought.
    (4) The application may also include any other matters that the 
applicant wishes the Commission to consider in determining whether and 
in what amount an award should be made.
    (5) The application shall be signed by the applicant or an 
authorized officer or attorney of the applicant. It shall also contain 
or be accompanied by a written verification under oath or under penalty 
of perjury that the information provided in the application is true and 
correct.
    (b) Net worth exhibit; confidential treatment. (1) Each applicant 
except a qualified tax-exempt organization or cooperative association 
must provide with its application a detailed exhibit showing the net 
worth of the applicant and any affiliates (as defined in 
Sec. 1025.70(d)(6) of this subpart) when the proceeding was initiated. 
The exhibit may be in any form convenient to the applicant that provides 
full disclosure of the applicant's and its affiliates' assets and 
liabilities and is sufficient to determine whether the applicant 
qualifies under the standards in this subpart. The presiding officer may 
require an applicant to file additional information to determine its 
eligibility for an award.
    (2) Ordinarily, the net worth exhibit will be included in the public 
record of the proceeding. However, an applicant that objects to public 
disclosure of information in any portion of the exhibit or to public 
disclosure of any other information submitted, and believes there are 
legal grounds for withholding it from disclosure, may move to have that 
information kept confidential and excluded from public disclosure in 
accordance with Sec. 1025.45 of the Commission rules for in camera 
materials, 16 CFR 1025.45. This motion shall describe the information 
sought to be withheld and explain, in detail, why it falls within one or 
more of the specific exemptions from mandatory disclosure under the 
Freedom of Information Act, 5 U.S.C. 552(b)(1)-(9).
    (3) Section 6(a)(2) of the Consumer Product Safety Act, 15 U.S.C. 
2055(a)(2), provides that certain information which contains or relates 
to a trade secret or other matter referred to in section 1905 of title 
18, United States Code, or subject to 5 U.S.C. 552(b)(4) shall not be 
disclosed. This prohibition is an Exemption 3 statute under the Freedom 
of Information Act, 5 U.S.C. 552(b)(3). Material submitted as part of an 
application for which in camera treatment is granted shall be available 
to other parties only in accordance with 16 CFR 1025.45(c) of the 
Commission Rules and, if applicable, section 6(a)(2) of the CPSA. If the 
presiding officer determines that the information should not be withheld 
from disclosure because it does not fall within section 6(a)(2) of the 
CPSA, he shall place the information in the public record but only after 
notifying the submitter of the information in writing of the intention 
to disclose such document at a date not less than 10 days after the date 
of receipt of notification. Otherwise, any request to inspect or copy 
the exhibit shall be disposed of in accordance with the Commission's 
established procedures under the Freedom of Information Act (see 16 CFR 
part 1015).
    (c) Documentation of fees and expenses. The application shall be 
accompanied by full documentation of the fees and expenses, including 
the cost of any study, analysis, engineering report, test, project or 
similar matter, for which an award is sought. A separate itemized 
statement shall be submitted for each professional firm or individual 
whose services are covered by the application, showing the hours spent 
in connection with the proceeding by each individual, a description of 
the specific services performed, the rate at which each fee has been 
computed, any expenses for which reimbursement is sought, the total 
amount claimed, and the total amount paid or payable by the applicant or 
by any other person or entity for the services provided. The presiding 
officer may require the applicant to provide vouchers, receipts; or

[[Page 101]]

other substantiation for any expenses claimed.
    (d) When an application may be filed. (1) An application may be 
filed whenever the applicant has prevailed in a proceeding covered by 
this subpart or in a significant and discrete substantive portion of the 
proceeding. However, an application must be filed no later than 30 days 
after the Commission's final disposition of such a proceeding.
    (2) If review or reconsideration is sought or taken of a decision as 
to which an applicant believes it has prevailed, proceedings for the 
award of fees shall be stayed pending final disposition of the 
underlying controversy.
    (3) If review or reconsideration is sought or taken of a decision as 
to which an applicant believes it has prevailed, proceedings for the 
award of fees shall be stayed pending final disposition of the 
underlying controversy.
    (4) For purposes of this subpart, final disposition means the later 
of:
    (i) The date on which an initial decision by the presiding officer 
becomes final, see 16 CFR 1025.52;
    (ii) The date on which the Commission issues a final decision (See 
16 CFR 1025.55);
    (iii) The date on which the Commission issues an order disposing of 
any petitions for reconsideration of the Commission's final order in the 
proceeding (See 16 CFR 1025.56; or
    (iv) Issuance of a final order or any other final resolution of a 
proceeding, such as a settlement or voluntary dismissal, which is not 
subject to a petition for reconsideration.
    (e) Where an application must be filed. The application for award 
and expenses must be submitted to the Office of the Secretary, Consumer 
Product Safety Commission, Washington, D.C. 20207 in accordance with the 
application requirements of this section.



Sec. 1025.72  Procedures for considering applications.

    (a) Filing and service of documents. Any application for an award or 
other pleading or document related to an application shall be filed and 
served on all parties to the proceeding in the same manner as provided 
in the Commission's Rules of Practice, 16 CFR 1025.11-1025.19.
    (b) Answer to application. (1) Within 30 days after service of an 
application for an award of fees and expenses, complaint counsel in the 
underlying administrative proceeding upon which the application is based 
may file an answer to the application. Unless complaint counsel requests 
an extension of time for filing or files a statement of intent to 
negotiate under paragraph (b)(2) of this section, failure to file an 
answer within the 30-day period may be treated as a consent to the award 
requested.
    (2) If complaint counsel and the applicant believe that the issues 
in the fee application can be settled, they may jointly file a statement 
of their intent to negotiate a settlement. The filing of this statement 
shall extend the time for filing an answer for an additional 30 days, 
and further extensions may be granted by the presiding officer upon 
request by complaint counsel and the applicant.
    (3) The answer shall explain in detail any objections to the award 
requested and identify the facts relied on in support of Commission 
counsel's position. If the answer is based on any alleged facts not 
already in the record of the proceeding, complaint counsel shall include 
with the answer either supporting affidavits or a request for further 
proceedings under paragraph (f) of this section.
    (c) Reply. Within 15 days after service of an answer, the applicant 
may file a reply. If the reply is based on any alleged facts not already 
in the record of the proceeding, the applicant shall include with the 
reply either supporting affidavits or a request for further proceedings 
under paragraph (f) of this section.
    (d) Comments by other parties. Any party to a proceeding other than 
the applicant and complaint counsel may file comments on an application 
within 30 days after it is served or on an answer within 15 days after 
it is served. A commenting party may not participate further in 
proceedings on the application unless the presiding officer determines 
that the public interest requires such participation in order to permit

[[Page 102]]

full exploration of matters raised in the comments.
    (e) Settlement. The applicant and complaint counsel may agree on a 
proposed settlement of the award before final action on the application, 
either in connection with a settlement of the underlying proceeding, or 
after the underlying proceeding has been concluded, in accordance with 
the Commission's standard settlement procedure (See 16 CFR 1115.20(b), 
1118.20, 1025.26, and 1605.3). If a prevailing party and complaint 
counsel agree on a proposed settlement of an award before an application 
has been filed, the application shall be filed with the proposed 
settlement.
    (f) Further proceedings. (1) Ordinarily, the determination of an 
award will be made on the basis of the written record. However, on 
request of either the applicant or complaint counsel, or on his or her 
own initiative, the presiding officer may order further proceedings. 
Such further proceedings shall be held only when necessary for full and 
fair resolution of the issues arising from the application, and shall be 
conducted as promptly as possible.
    (2) A request that the presiding officer order further proceedings 
under this paragraph shall specifically identify the information sought 
or the disputed issues and shall explain why the additional proceedings 
are necessary to resolve the issues.
    (g) Initial decision. The presiding officer shall endeavor to issue 
an initial decision on the application within 30 days after completion 
of proceedings on the application. The decision shall include written 
findings and conclusions on the applicant's eligibility and status as a 
prevailing party, and an explanation of the reasons for any difference 
between the amount requested and the amount awarded. The decision shall 
also include, if at issue, findings on whether the complaint counsel's 
position was substantially justified, whether the applicant unduly 
protracted the proceedings, or whether special circumstances make an 
award unjust. If the applicant has sought an award against more than one 
agency, the decision of this Commission will only address the allocable 
portion for which this Commission is responsible to the eligible 
prevailing party.
    (h) Agency review. (1) Either the applicant or complaint counsel may 
seek review of the initial decision on the fee application, or the 
Commission may decide to review the decision on its own initiative, in 
accordance with 16 CFR 1025.54, 1025.55 and 1025.56.
    (2) If neither the applicant nor Commission complaint counsel seeks 
review and the Commission does not take review on its own initiative, 
the initial decision on the application shall become a final decision of 
the Commission 30 days after it is issued.
    (3) If an appeal from or review of an initial decision under this 
subpart is taken, the Commission shall endeavor to issue a decision on 
the application within 90 days after the filing of all briefs or after 
receipt of transcripts of the oral argument, whichever is later, or 
remand the application to the presiding officer for further proceedings.
    (i) Judicial review. Judicial review of final Commission decisions 
on awards may be sought as provided in 5 U.S.C. 504(c)(2).
    (j) Payment of award. An applicant seeking payment of an award shall 
submit to the Secretary of the Commission a copy of the Commission's 
final decision granting the award, accompanied by a verified statement 
that the applicant will not seek review of the decision in the United 
States courts. (Office of the Secretary, Consumer Product Safety 
Commission, Washington, D.C. 20207.) The Commission will pay the amount 
awarded to the applicant within 60 days, unless judicial review of the 
award or of the underlying decision of the adversary adjudication has 
been sought by the applicant or any other party to the proceeding. 
Comments and accompanying material may be seen in or copies obtained 
from the Office of the Secretary, Consumer Product Safety Commission, 
Washington, D.C. 20207, during working hours Monday through Friday.

    Appendix I to Part 1025--Suggested Form of Final Prehearing Order

                              Case Caption

    A final prehearing conference was held in this matter, pursuant to 
Rule 21 of the Commission's Rules of Practice for Adjudicative

[[Page 103]]

Proceedings (16 CFR 1025.21), on the ------ day of ------------, 19--, 
at ---- o'clock, -- stm.
    Counsel appeared as follows:
    For the Commission staff:
    For the Respondent(s):
    Others:
    1. Nature of Action and Jurisdiction. This is an action for --------
------------ and the jurisdiction of the Commission is invoked under 
United States Code, Title------------, Section ------------ and under 
the Code of Federal Regulations, Title --------, Section --------. The 
jurisdiction of the Commission is (not) disputed. The question of 
jurisdiction was decided as follows:
    2. Stipulations and Statements. The following stipulation(s) and 
statement(s) were submitted, attached to, and made a part of this order:
    (a) A comprehensive written stipulation or statement of all 
uncontested facts;
    (b) A concise summary of the ultimate facts as claimed by each 
party. (Complaint Counsel must set forth the claimed facts, 
specifically; for example, if a violation is claimed, Complaint Counsel 
must assert specifically the acts of violation complained of; each 
respondent must reply with equal clarity and detail.)
    (c) Written stipulation(s) or statement(s) setting forth the 
qualifications of the expert witnesses to be called by each party;
    (d) Written list(s) of the witnesses whom each party will call, 
written list(s) of the additional witnesses whom each party may call, 
and a statement of the subject matter on which each witness will 
testify;
    (e) An agreed statement of the contested issues of fact and of law, 
or separate statements by each party of any contested issues of fact and 
law not agreed to;
    (f) A list of all depositions to be read into evidence and 
statements of any objections thereto;
    (g) A list and brief description of any charts, graphs, models, 
schematic diagrams, and similar objects that will be used in opening 
statements or closing arguments but will not be offered in evidence. If 
any other such objects are to be used by any party, those objects will 
be submitted to opposing counsel at least three days prior to the 
hearing. If there is then any objection to their use, the dispute will 
be submitted to the Presiding Officer at least one day prior to the 
hearing;
    (h) Written waivers of claims or defenses which have been abandoned 
by the parties.
    The foregoing were modified at the pretrial conference as follows:
(To be completed at the conference itself. If none, recite ``none''.)
    3. Complaint Counsel's Evidence. 3.1 The following exhibits were 
offered by Complaint Counsel, received in evidence, and marked as 
follows:
(Identification number and brief description of each exhibit)
    The authenticity of these exhibits has been stipulated.
    3.2 The following exhibits were offered by Complaint Counsel and 
marked for identification. There was reserved to the respondent(s) (and 
party intervenors) the right to object to their receipt in evidence on 
the grounds stated:
(Identification number and brief description of each exhibit. State 
briefly ground of objection, e.g., competency, relevancy, materiality)
    4. Respondent's Evidence. 4.1 The following exhibits were offered by 
the respondent(s), received in evidence, and marked as herein indicated:
(Identification number and brief description of each exhibit)
    The authenticity of these exhibits has been stipulated.
    4.2 The following exhibits were offered by the respondent(s) and 
marked for identification. There was reserved to Complaint Counsel (and 
party intervenors) the right to object to their receipt in evidence on 
the grounds stated:
(Identification number and brief description of each exhibit. State 
briefly ground of objection, e.g., competency, relevancy, materiality)
    5. Party Intervenor's Evidence. 5.1 The following exhibits were 
offered by the party intervenor(s), received in evidence, and marked as 
herein indicated:
(Identification number and brief description of each exhibit)
    The authenticity of these exhibits has been stipulated.
    5.2 The following exhibits were offered by the party intervenor(s) 
and marked for identification. There was reserved to Complaint Counsel 
and respondent(s) the right to object to their receipt in evidence on 
the grounds stated:
(Identification number and brief description of each exhibit. State 
briefly ground of objection, e.g., competency, relevancy, materiality)

    Note: If any other exhibits are to be offered by any party, such 
exhibits will be submitted to opposing counsel at least ten (10) days 
prior to hearing, and a supplemental note of evidence filed into this 
record.

    6. Additional Actions. The following additional action(s) were 
taken:
(Amendments to pleadings, agreements of the parties, disposition of 
motions, separation of issues of liability and remedy, etc., if 
necessary)
    7. Limitations and Reservations. 7.1 Each of the parties has the 
right to further supplement the list of witnesses not later than ten 
(10) days prior to commencement of the hearing by furnishing opposing 
counsel with the

[[Page 104]]

name and address of the witness and general subject matter of his/her 
testimony and by filing a supplement to this pretrial order. Thereafter, 
additional witnesses may be added only after application to the 
Presiding Officer, for good cause shown.
    7.2 Rebuttal witnesses not listed in the exhibits to this order may 
be called only if the necessity of their testimony could not reasonably 
be foreseen ten (10) days prior to trial. If it appears to counsel at 
any time before trial that such rebuttal witnesses will be called, 
notice will immediately be given to opposing counsel and the Presiding 
Officer.
    7.3 The probable length of hearing is ---- days. The hearing will 
commence on the ---- day of --------, 19--, at -- o'clock -- m. at ----
----.
    7.4 Prehearing briefs will be filed not later than 5:00 p.m. on ----
---- (Insert date not later than ten (10) days prior to the hearing.) 
All anticipated legal questions, including those relating to the 
admissibility of evidence, must be covered by prehearing briefs.
    This prehearing order has been formulated after a conference at 
which counsel for the respective parties appeared. Reasonable 
opportunity has been afforded counsel for corrections or additions prior 
to signing. It will control the course of the hearing, and it may not be 
amended except by consent of the parties and the Presiding Officer, or 
by order of the Presiding Officer to prevent manifest injustice.
________________________________________________________________________
Presiding Officer.
Dated:__________________________________________________________________
Approved as to Form and Substance
Date:___________________________________________________________________
________________________________________________________________________
Complaint Counsel.
________________________________________________________________________
Attorney for Respondent(s)
________________________________________________________________________
*Attorney for Intervenors

    *Note: Where intervenors appear pursuant to Sec. 1025.17 of these 
Rules, the prehearing order may be suitably modified; the initial page 
may be modified to reflect the intervention.



PART 1027--SALARY OFFSET--Table of Contents




Sec.
1027.1 Purpose and scope.
1027.2 Definitions.
1027.3 Applicability.
1027.4 Notice requirements before offset.
1027.5 Hearing.
1027.6 Written decision.
1027.7 Coordinating offset with another Federal agency.
1027.8 Procedures for salary offset.
1027.9 Refunds.
1027.10 Statute of limitations.
1027.11 Non-waiver of rights.
1027.12 Interest, penalties, and administrative costs.

    Authority: 5 U.S.C. 5514, E.O. 11809 (redesignated E.O. 12107), and 
5 CFR part 550, subpart K.

    Source: 55 FR 34904, Aug. 27, 1990, unless otherwise noted.



Sec. 1027.1  Purpose and scope.

    (a) This regulation provides procedures for the collection by 
administrative offset of a Federal employee's salary without his/her 
consent to satisfy certain debts owed to the Federal government. These 
regulations apply to all Federal employees who owe debts to the Consumer 
Product Safety Commission (CPSC) and to current employees of CPSC who 
owe debts to other Federal agencies. This regulation does not apply when 
the employee consents to recovery from his/her current pay account.
    (b) This regulation does not apply to debts or claims arising under:
    (1) The Internal Revenue Code of 1954, as amended, 26 U.S.C. 1 et 
seq.;
    (2) The Social Security Act, 42 U.S.C. 301 et seq.;
    (3) The tariff laws of the United States; or
    (4) Any case where a collection of a debt by salary offset is 
explicitly provided for or prohibited by another statute.
    (c) This regulation does not apply to any adjustment to pay arising 
out of an employee's selecton of coverage or a change in coverage under 
a Federal benefits program requiring periodic deductions from pay if the 
amount to be recovered was accumulated over four pay periods or less.
    (d) This regulation does not preclude the compromise, suspension, or 
termination of collection action where appropriate under the standards 
implementing the Federal Claims Collection Act, 31 U.S.C. 3711 et seq., 
and 4 CFR parts 101 through 105.
    (e) This regulation does not preclude an employee from requesting 
waiver of an overpayment under 5 U.S.C. 5584, 10 U.S.C. 2774, or 32 
U.S.C. 716, or in any way questioning the amount or validity of the debt 
by submitting a subsequent claim to the General Accounting

[[Page 105]]

Office. This regulation does not preclude an employee from requesting a 
waiver pursuant to other statutory provisions applicable to the 
particular debt being collected.
    (f) Matters not addressed in these regulations should be reviewed in 
accordance with the Federal Claims Collection Standards at 4 CFR 101.1 
et seq.



Sec. 1027.2  Definitions.

    For the purposes of this part the following definitions will apply:
    Agency means an executive agency as defined at 5 U.S.C. 105, 
including the U.S. Postal Service and the U.S. Postal Rate Commission; a 
military department as defined at 5 U.S.C. 102; an agency or court in 
the judicial branch; an agency of the legislative branch, including the 
U.S. Senate and House of Representatives; and other independent 
establishments that are entities of the Federal government.
    Certification means a written debt claim received from a creditor 
agency which requests the paying agency to offset the salary of an 
employee.
    CPSC or Commission means the Consumer Product Safety Commission.
    Creditor agency means an agency of the Federal Government to which 
the debt is owed.
    Debt means an amount owed by a Federal employee to the United States 
from sources which include loans insured or guaranteed by the United 
States and all other amounts due the United States from fees, leases, 
rents, royalties, services, sales of real or personal property, 
overpayments, penalties, damages, interests, fines, forfeitures (except 
those arising under the Uniform Code of Military Justice), and all other 
similar sources.
    Disposable pay means the amount that remains from an employee's 
Federal pay after required deductions for social security, Federal, 
State or local income tax, health insurance premiums, retirement 
contributions, life insurance premiums, Federal employment taxes, and 
any other deductions that are required to be withheld by law.
    Executive Director means the Executive Director of the Consumer 
Product Safety Commission, who is the person designated by the Chairman 
to determine whether an employee is indebted to the United States and to 
take action to collect such debts.
    Hearing official means an individual responsible for conducting a 
hearing with respect to the existence or amount of a debt claimed, or 
the repayment schedule of a debt, and who renders a decision on the 
basis of such hearing. A hearing official may not be under the 
supervision or control of the Chairman of the Commission.
    Paying agency means the agency that employs the individual who owes 
the debt and authorizes the payments of his/her current pay.
    Salary offset means an administrative offset to collect a debt 
pursuant to 5 U.S.C. 5514 by deduction(s) at one or more officially 
established pay intervals from the current pay account of an employee 
without his/her consent.



Sec. 1027.3  Applicability.

    (a) These regulations are to be followed when:
    (1) The Commission is owed a debt by an individual who is a current 
employee of the CPSC; or
    (2) The Commission is owed a debt by an individual currently 
employed by another Federal agency; or
    (3) The Commission employs an individual who owes a debt to another 
federal agency.



Sec. 1027.4  Notice requirements before offset.

    (a) Salary offset shall not be made against an employee's pay unless 
the employee is provided with written notice signed by the Executive 
Director of the debt at least 30 days before salary offset commences.
    (b) The written notice shall contain:
    (1) A statement that the debt is owed and an explanation of its 
nature and amount;
    (2) The agency's intention to collect the debt by deducting from the 
employee's current disposable pay account;
    (3) The amount, frequency, proposed beginning date, and duration of 
the intended deduction(s);
    (4) An explanation of interest, penalties, and administrative 
charges, including a statement that such charges

[[Page 106]]

will be assessed unless excused in accordance with the Federal Claims 
Collections Standards at 4 CFR 101.1 et seq.;
    (5) The employee's right to inspect, request, and receive a copy of 
government records relating to the debt;
    (6) The employee's opportunity to establish a written schedule for 
the voluntary repayment of the debt in lieu of offset;
    (7) The employee's right to an oral hearing or a determination based 
on a review of the written record (``paper hearing'') conducted by an 
impartial hearing official concerning the existence or the amount of the 
debt, or the terms of the repayment schedule;
    (8) The procedures and time period for petitioning for a hearing;
    (9) A statement that a timely filing of a petition for a hearing 
will stay the commencement of collection proceedings;
    (10) A statement that a final decision on the hearing (if requested) 
will be issued by the hearing official not later than 60 days after the 
filing of the petition requesting the hearing unless the employee 
requests and the hearing official grants a delay in the proceedings;
    (11) A statement that knowingly false or frivolous statements, 
representations, or evidence may subject the employee to appropriate 
disciplinary procedures and/or statutory penalties;
    (12) A statement of other rights and remedies available to the 
employee under statutes or regulations governing the program for which 
the collection is being made;
    (13) Unless there are contractual or statutory provisions to the 
contrary, a statement that amounts paid on or deducted for the debt 
which are later waived or found not owed to the United States will be 
promptly refunded to the employee; and
    (14) A statement that the proceedings regarding such debt are 
governed by section 5 of the Debt Collection Act of 1982 (5 U.S.C. 
5514).



Sec. 1027.5  Hearing.

    (a) Request for hearing. (1) An employee may file a petition for an 
oral or paper hearing in accordance with the instructions outlined in 
the agency's notice to offset.
    (2) A hearing may be requested by filing a written petition 
addressed to the Executive Director stating why the employee disputes 
the existence or amount of the debt or, in the case of an individual 
whose repayment schedule has been established other than by a written 
agreement, concerning the terms of the repayment schedule. The petition 
for a hearing must be received by the Executive Director not later than 
fifteen (15) calendar days after the employee's receipt of the offset 
notice, or notice of the terms of the payment schedule, unless the 
employee can show good cause for failing to meet the filing deadline.
    (b) Hearing procedures. (1) The hearing will be presided over by an 
impartial hearing official.
    (2) The hearing shall conform to procedures contained in the Federal 
Claims Collection Standards, 4 CFR 102.3(c). The burden shall be on the 
employee to demonstrate that the existence or the amount of the debt is 
in error.



Sec. 1027.6  Written decision.

    (a) The hearing official shall issue a final written opinion no 
later than 60 days after the filing of the petition.
    (b) The written opinion will include: A statement of the facts 
presented to demonstrate the nature and origin of the alleged debt; the 
hearing official's analysis, findings, and conclusions; the amount and 
validity of the debt; and the repayment schedule.



Sec. 1027.7  Coordinating offset with another Federal agency.

    (a) The CPSC as the creditor agency. (1) When the Executive Director 
determines that an employee of another agency (i.e., the paying agency) 
owes a debt to the CPSC, the Executive Director shall, as appropriate:
    (i) Certify in writing to the paying agency that the employee owes 
the debt, the amount and basis of the debt, the date on which payment 
was due, and the date the Government's right to collect the debt 
accrued, and that this part 1027 has been approved by the Office of 
Personnel Management.
    (ii) Unless the employee has consented to salary offset in writing 
or

[[Page 107]]

signed a statement acknowledging receipt of the required procedures, and 
the written consent is sent to the paying agency, the Executive Director 
must advise the paying agency of the action(s) taken under this part 
1027, and the date(s) they were taken.
    (iii) Request the paying agency to collect the debt by salary 
offset. If deductions must be made in installments, the Executive 
Director may recommend to the paying agency the amount or percentage of 
disposable pay to be collected in each installment;
    (iv) Arrange for a hearing upon the proper petitioning by the 
employee;
    (v) If the employee is in the process of separating from the Federal 
service, the CPSC must submit its debt claim to the paying agency as 
provided in this part. The paying agency must certify the total amount 
collected, give a copy of the certification to the employee, and send a 
copy of the certification and notice of the employee's separation to the 
CPSC. If the paying agency is aware that the employee is entitled to 
Civil Service Retirement and Disability Fund or other similar payments, 
it must certify to the agency responsible for making such payments that 
the debtor owes a debt, including the amount of the debt, and that the 
provisions of 5 CFR 550.1108 have been followed; and
    (vi) If the employee has already separated from federal service and 
all payments due from the paying agency have been paid, the Executive 
Director may request, unless otherwise prohibited, that money payable to 
the employee from the Civil Service Retirement and Disability Fund or 
other similar funds be collected by administrative offset.
    (2) [Reserved]
    (b) The CPSC as the paying agency. (1) Upon receipt of a properly 
certified debt claim from another agency, deductions will be scheduled 
to begin at the next established pay interval. The employee must receive 
written notice that CPSC has received a certified debt claim from the 
creditor agency, the amount of the debt, the date salary offset will 
begin, and the amount of the deduction(s). CPSC shall not review the 
merits of the creditor agency's determination of the validity or the 
amount of the certified claim.
    (2) If the employee transfers to another agency after the creditor 
agency has submitted its debt claim to CPSC and before the debt is 
collected completely, CPSC must certify the amount collected. One copy 
of the certification must be furnished to the employee. A copy must be 
furnished to the creditor agency with notice of the employee's transfer.



Sec. 1027.8  Procedures for salary offset.

    (a) Deductions to liquidate an employee's debt will be by the method 
and in the amount stated in the Executive Director's notice of intention 
to offset as provided in Sec. 1027.4. Debts will be collected in one 
lump sum where possible. If the employee is financially unable to pay in 
one lump sum, collection must be made in installments.
    (b) Debts will be collected by deduction at officially established 
pay intervals from an employee's current pay account unless alternative 
arrangements for repayment are made.
    (c) Installment deductions will be made over a period not greater 
than the anticipated period of employment. The size of installment 
deductions must bear a reasonable relationship to the size of the debt 
and the employee's ability to pay. The deduction for the pay intervals 
for any period must not exceed 15% of disposable pay unless the employee 
has agreed in writing to a deduction of a greater amount.
    (d) Unliquidated debts may be offset against any financial payment 
due to a separated employee including but not limited to final salary or 
leave payment in accordance with 31 U.S.C. 3716.



Sec. 1027.9  Refunds.

    (a) CPSC will promptly refund to an employee any amounts deducted to 
satisfy debts owed to CPSC when the debt is waived, found not owed to 
CPSC, or when directed by an administrative or judicial order.
    (b) Another creditor agency will promptly return to CPSC any amounts 
deducted by CPSC to satisfy debts owed to the creditor agency when the 
debt is waived, found not owed, or when directed by an administrative or 
judicial order.

[[Page 108]]

    (c) Unless required by law, refunds under this paragraph shall not 
bear interest.



Sec. 1027.10  Statute of limitations.

    (a) If a debt has been outstanding for more than 10 years after 
CPSC's right to collect the debt first accrued, the agency may not 
collect by salary offset unless facts material to the Government's right 
to collect were not known and could not reasonably have been known by 
the official or officials who were charged with the responsibility for 
discovery and collection of such debts.
    (b) [Reserved]



Sec. 1027.11  Non-waiver of rights.

    An employee's involuntary payment of all or any part of a debt 
collected under these regulations will not be construed as a waiver of 
any rights that the employee may have under 5 U.S.C. 5514 or any other 
provision of law.



Sec. 1027.12  Interest, penalties, and administrative costs.

    Charges may be assessed on a debt for interest, penalties, and 
administrative costs in accordance with 31 U.S.C. 3717 and the Federal 
Claims Collection Standards, 4 CFR 101.1 et seq.



PART 1028--PROTECTION OF HUMAN SUBJECTS--Table of Contents




Sec.
1028.101 To what does this policy apply?
1028.102 Definitions.
1028.103 Assuring compliance with this policy--research conducted or 
          supported by any Federal Department or Agency.
1028.104-1028.106 [Reserved]
1028.107 IRB membership.
1028.108 IRB functions and operations.
1028.109 IRB review of research.
1028.110 Expedited review procedures for certain kinds of research 
          involving no more than minimal risk, and for minor changes in 
          approved research.
1028.111 Criteria for IRB approval of research.
1028.112 Review by institution.
1028.113 Suspension or termination of IRB approval of research.
1028.114 Cooperative research.
1028.115 IRB records.
1028.116 General requirements for informed consent.
1028.117 Documentation of informed consent.
1028.118 Applications and proposals lacking definite plans for 
          involvement of human subjects.
1028.119 Research undertaken without the intention of involving human 
          subjects.
1028.120 Evaluation and disposition of applications and proposals for 
          research to be conducted or supported by a Federal Department 
          or Agency.
1028.121 [Reserved]
1028.122 Use of Federal funds.
1028.123 Early termination of research support: Evaluation of 
          applications and proposals.
1028.124 Conditions.

    Authority: 5 U.S.C. 301; 42 U.S.C. 300v-1(b).

    Source: 56 FR 28012, 28019, June 18, 1991, unless otherwise noted.



Sec. 1028.101  To what does this policy apply?

    (a) Except as provided in paragraph (b) of this section, this policy 
applies to all research involving human subjects conducted, supported or 
otherwise subject to regulation by any federal department or agency 
which takes appropriate administrative action to make the policy 
applicable to such research. This includes research conducted by federal 
civilian employees or military personnel, except that each department or 
agency head may adopt such procedural modifications as may be 
appropriate from an administrative standpoint. It also includes research 
conducted, supported, or otherwise subject to regulation by the federal 
government outside the United States.
    (1) Research that is conducted or supported by a federal department 
or agency, whether or not it is regulated as defined in 
Sec. 1028.102(e), must comply with all sections of this policy.
    (2) Research that is neither conducted nor supported by a federal 
department or agency but is subject to regulation as defined in 
Sec. 1028.102(e) must be reviewed and approved, in compliance with 
Sec. Sec. 1028.101, 1028.102, and 1028.107 through 1028.117 of this 
policy, by an institutional review board (IRB) that operates in 
accordance with the pertinent requirements of this policy.
    (b) Unless otherwise required by department or agency heads, 
research activities in which the only involvement of human subjects will 
be in one or

[[Page 109]]

more of the following categories are exempt from this policy:
    (1) Research conducted in established or commonly accepted 
educational settings, involving normal educational practices, such as 
(i) research on regular and special education instructional strategies, 
or (ii) research on the effectiveness of or the comparison among 
instructional techniques, curricula, or classroom management methods.
    (2) Research involving the use of educational tests (cognitive, 
diagnostic, aptitude, achievement), survey procedures, interview 
procedures or observation of public behavior, unless:
    (i) Information obtained is recorded in such a manner that human 
subjects can be identified, directly or through identifiers linked to 
the subjects; and
    (ii) Any disclosure of the human subjects' responses outside the 
research could reasonably place the subjects at risk of criminal or 
civil liability or be damaging to the subjects' financial standing, 
employability, or reputation.
    (3) Research involving the use of educational tests (cognitive, 
diagnostic, aptitude, achievement), survey procedures, interview 
procedures, or observation of public behavior that is not exempt under 
paragraph (b)(2) of this section, if:
    (i) The human subjects are elected or appointed public officials or 
candidates for public office; or
    (ii) Federal statute(s) require(s) without exception that the 
confidentiality of the personally identifiable information will be 
maintained throughout the research and thereafter.
    (4) Research, involving the collection or study of existing data, 
documents, records, pathological specimens, or diagnostic specimens, if 
these sources are publicly available or if the information is recorded 
by the investigator in such a manner that subjects cannot be identified, 
directly or through identifiers linked to the subjects.
    (5) Research and demonstration projects which are conducted by or 
subject to the approval of department or agency heads, and which are 
designed to study, evaluate, or otherwise examine:
    (i) Public benefit or service programs;
    (ii) Procedures for obtaining benefits or services under those 
programs;
    (iii) Possible changes in or alternatives to those programs or 
procedures; or
    (iv) Possible changes in methods or levels of payment for benefits 
or services under those programs.
    (6) Taste and food quality evaluation and consumer acceptance 
studies, (i) if wholesome foods without additives are consumed or (ii) 
if a food is consumed that contains a food ingredient at or below the 
level and for a use found to be safe, or agricultural chemical or 
environmental contaminant at or below the level found to be safe, by the 
Food and Drug Administration or approved by the Environmental Protection 
Agency or the Food Safety and Inspection Service of the U.S. Department 
of Agriculture.
    (c) Department or agency heads retain final judgment as to whether a 
particular activity is covered by this policy.
    (d) Department or agency heads may require that specific research 
activities or classes of research activities conducted, supported, or 
otherwise subject to regulation by the department or agency but not 
otherwise covered by this policy, comply with some or all of the 
requirements of this policy.
    (e) Compliance with this policy requires compliance with pertinent 
federal laws or regulations which provide additional protections for 
human subjects.
    (f) This policy does not affect any state or local laws or 
regulations which may otherwise be applicable and which provide 
additional protections for human subjects.
    (g) This policy does not affect any foreign laws or regulations 
which may otherwise be applicable and which provide additional 
protections to human subjects of research.
    (h) When research covered by this policy takes place in foreign 
countries, procedures normally followed in the foreign countries to 
protect human subjects may differ from those set forth in this policy. 
(An example is a foreign institution which complies with guidelines 
consistent with the World Medical Assembly Declaration (Declaration of 
Helsinki amended 1989)

[[Page 110]]

issued either by sovereign states or by an organization whose function 
for the protection of human research subjects is internationally 
recognized.) In these circumstances, if a department or agency head 
determines that the procedures prescribed by the institution afford 
protections that are at least equivalent to those provided in this 
policy, the department or agency head may approve the substitution of 
the foreign procedures in lieu of the procedural requirements provided 
in this policy. Except when otherwise required by statute, Executive 
Order, or the department or agency head, notices of these actions as 
they occur will be published in the Federal Register or will be 
otherwise published as provided in department or agency procedures.
    (i) Unless otherwise required by law, department or agency heads may 
waive the applicability of some or all of the provisions of this policy 
to specific research activities or classes of research activities 
otherwise covered by this policy. Except when otherwise required by 
statute or Executive Order, the department or agency head shall forward 
advance notices of these actions to the Office for Protection from 
Research Risks, Department of Health and Human Services (HHS), and shall 
also publish them in the Federal Register or in such other manner as 
provided in department or agency procedures. \1\
---------------------------------------------------------------------------

    \1\ Institutions with HHS-approved assurances on file will abide by 
provisions of title 45 CFR part 46, subparts A-D. Some of the other 
Departments and Agencies have incorporated all provisions of title 45 
CFR part 46 into their policies and procedures as well. However, the 
exemptions at 45 CFR 46.101(b) do not apply to research involving 
prisoners, fetuses, pregnant women, or human in vitro fertilization, 
subparts B and C. The exemption at 45 CFR 46.101(b)(2), for research 
involving survey or interview procedures or observation of public 
behavior, does not apply to research with children, subpart D, except 
for research involving observations of public behavior when the 
investigator(s) do not participate in the activities being observed.

[56 FR 28012, 28019, June 18, 1991; 56 FR 29756, June 28, 1991]



Sec. 1028.102  Definitions.

    (a) Department or agency head means the head of any federal 
department or agency and any other officer or employee of any department 
or agency to whom authority has been delegated.
    (b) Institution means any public or private entity or agency 
(including federal, state, and other agencies).
    (c) Legally authorized representative means an individual or 
judicial or other body authorized under applicable law to consent on 
behalf of a prospective subject to the subject's participation in the 
procedure(s) involved in the research.
    (d) Research means a systematic investigation, including research 
development, testing and evaluation, designed to develop or contribute 
to generalizable knowledge. Activities which meet this definition 
constitute research for purposes of this policy, whether or not they are 
conducted or supported under a program which is considered research for 
other purposes. For example, some demonstration and service programs may 
include research activities.
    (e) Research subject to regulation, and similar terms are intended 
to encompass those research activities for which a federal department or 
agency has specific responsibility for regulating as a research 
activity, (for example, Investigational New Drug requirements 
administered by the Food and Drug Administration). It does not include 
research activities which are incidentally regulated by a federal 
department or agency solely as part of the department's or agency's 
broader responsibility to regulate certain types of activities whether 
research or non-research in nature (for example, Wage and Hour 
requirements administered by the Department of Labor).
    (f) Human subject means a living individual about whom an 
investigator (whether professional or student) conducting research 
obtains:
    (1) Data through intervention or interaction with the individual, or
    (2) Identifiable private information.

Intervention includes both physical procedures by which data are 
gathered (for example, venipuncture) and manipulations of the subject or 
the subject's environment that are performed for research purposes. 
Interaction includes communication or interpersonal contact between 
investigator and subject.

[[Page 111]]

``Private information'' includes information about behavior that occurs 
in a context in which an individual can reasonably expect that no 
observation or recording is taking place, and information which has been 
provided for specific purposes by an individual and which the individual 
can reasonably expect will not be made public (for example, a medical 
record). Private information must be individually identifiable (i.e., 
the identity of the subject is or may readily be ascertained by the 
investigator or associated with the information) in order for obtaining 
the information to constitute research involving human subjects.
    (g) IRB means an institutional review board established in accord 
with and for the purposes expressed in this policy.
    (h) IRB approval means the determination of the IRB that the 
research has been reviewed and may be conducted at an institution within 
the constraints set forth by the IRB and by other institutional and 
federal requirements.
    (i) Minimal risk means that the probability and magnitude of harm or 
discomfort anticipated in the research are not greater in and of 
themselves than those ordinarily encountered in daily life or during the 
performance of routine physical or psychological examinations or tests.
    (j) Certification means the official notification by the institution 
to the supporting department or agency, in accordance with the 
requirements of this policy, that a research project or activity 
involving human subjects has been reviewed and approved by an IRB in 
accordance with an approved assurance.



Sec. 1028.103  Assuring compliance with this policy--research conducted or supported by any Federal Department or Agency.

    (a) Each institution engaged in research which is covered by this 
policy and which is conducted or supported by a Federal department or 
agency shall provide written assurance satisfactory to the department or 
agency head that it will comply with the requirements set forth in this 
policy. In lieu of requiring submission of an assurance, individual 
department or agency heads shall accept the existence of a current 
assurance, appropriate for the research in question, on file with the 
Office for Protection from Research Risks, HHS, and approved for 
federalwide use by that office. When the existence of an HHS-approved 
assurance is accepted in lieu of requiring submission of an assurance, 
reports (except certification) required by this policy to be made to 
department and agency heads shall also be made to the Office for 
Protection from Research Risks, HHS.
    (b) Departments and agencies will conduct or support research 
covered by this policy only if the institution has an assurance approved 
as provided in this section, and only if the institution has certified 
to the department or agency head that the research has been reviewed and 
approved by an IRB provided for in the assurance, and will be subject to 
continuing review by the IRB. Assurances applicable to federally 
supported or conducted research shall at a minimum include:
    (1) A statement of principles governing the institution in the 
discharge of its responsibilities for protecting the rights and welfare 
of human subjects of research conducted at or sponsored by the 
institution, regardless of whether the research is subject to federal 
regulation. This may include an appropriate existing code, declaration, 
or statement of ethical principles, or a statement formulated by the 
institution itself. This requirement does not preempt provisions of this 
policy applicable to department- or agency-supported or regulated 
research and need not be applicable to any research exempted or waived 
under Sec. 1028.101 (b) or (i).
    (2) Designation of one or more IRBs established in accordance with 
the requirements of this policy, and for which provisions are made for 
meeting space and sufficient staff to support the IRB's review and 
recordkeeping duties.
    (3) A list of IRB members identified by name; earned degrees; 
representative capacity; indications of experience such as board 
certifications, licenses, etc., sufficient to describe each member's 
chief anticipated contributions to IRB deliberations; and any employment 
or other relationship between

[[Page 112]]

each member and the institution; for example: full-time employee, part-
time employee, member of governing panel or board, stockholder, paid or 
unpaid consultant. Changes in IRB membership shall be reported to the 
department or agency head, unless in accord with Sec. 1028.103(a) of 
this policy, the existence of an HHS-approved assurance is accepted. In 
this case, change in IRB membership shall be reported to the Office for 
Protection from Research Risks, HHS.
    (4) Written procedures which the IRB will follow:
    (i) For conducting its initial and continuing review of research and 
for reporting its findings and actions to the investigator and the 
institution;
    (ii) For determining which projects require review more often than 
annually and which projects need verification from sources other than 
the investigators that no material changes have occurred since previous 
IRB review; and
    (iii) For ensuring prompt reporting to the IRB of proposed changes 
in a research activity, and for ensuring that such changes in approved 
research, during the period for which IRB approval has already been 
given, may not be initiated without IRB review and approval except when 
necessary to eliminate apparent immediate hazards to the subject.
    (5) Written procedures for ensuring prompt reporting to the IRB, 
appropriate institutional officials, and the department or agency head 
of (i) any unanticipated problems involving risks to subjects or others 
or any serious or continuing noncompliance with this policy or the 
requirements or determinations of the IRB and (ii) any suspension or 
termination of IRB approval.
    (c) The assurance shall be executed by an individual authorized to 
act for the institution and to assume on behalf of the institution the 
obligations imposed by this policy and shall be filed in such form and 
manner as the department or agency head prescribes.
    (d) The department or agency head will evaluate all assurances 
submitted in accordance with this policy through such officers and 
employees of the department or agency and such experts or consultants 
engaged for this purpose as the department or agency head determines to 
be appropriate. The department or agency head's evaluation will take 
into consideration the adequacy of the proposed IRB in light of the 
anticipated scope of the institution's research activities and the types 
of subject populations likely to be involved, the appropriateness of the 
proposed initial and continuing review procedures in light of the 
probable risks, and the size and complexity of the institution.
    (e) On the basis of this evaluation, the department or agency head 
may approve or disapprove the assurance, or enter into negotiations to 
develop an approvable one. The department or agency head may limit the 
period during which any particular approved assurance or class of 
approved assurances shall remain effective or otherwise condition or 
restrict approval.
    (f) Certification is required when the research is supported by a 
federal department or agency and not otherwise exempted or waived under 
Sec. 1028.101 (b) or (i). An institution with an approved assurance 
shall certify that each application or proposal for research covered by 
the assurance and by Sec. 1028.103 of this Policy has been reviewed and 
approved by the IRB. Such certification must be submitted with the 
application or proposal or by such later date as may be prescribed by 
the department or agency to which the application or proposal is 
submitted. Under no condition shall research covered by Sec. 1028.103 of 
the Policy be supported prior to receipt of the certification that the 
research has been reviewed and approved by the IRB. Institutions without 
an approved assurance covering the research shall certify within 30 days 
after receipt of a request for such a certification from the department 
or agency, that the application or proposal has been approved by the 
IRB. If the certification is not submitted within these time limits, the 
application or proposal may be returned to the institution.

(Approved by the Office of Management and Budget under control number 
9999-0020)

[56 FR 28012, 28019, June 18, 1991; 56 FR 29756, June 28, 1991]

[[Page 113]]



Sec. Sec. 1028.104-1028.106  [Reserved]



Sec. 1028.107  IRB membership.

    (a) Each IRB shall have at least five members, with varying 
backgrounds to promote complete and adequate review of research 
activities commonly conducted by the institution. The IRB shall be 
sufficiently qualified through the experience and expertise of its 
members, and the diversity of the members, including consideration of 
race, gender, and cultural backgrounds and sensitivity to such issues as 
community attitudes, to promote respect for its advice and counsel in 
safeguarding the rights and welfare of human subjects. In addition to 
possessing the professional competence necessary to review specific 
research activities, the IRB shall be able to ascertain the 
acceptability of proposed research in terms of institutional commitments 
and regulations, applicable law, and standards of professional conduct 
and practice. The IRB shall therefore include persons knowledgeable in 
these areas. If an IRB regularly reviews research that involves a 
vulnerable category of subjects, such as children, prisoners, pregnant 
women, or handicapped or mentally disabled persons, consideration shall 
be given to the inclusion of one or more individuals who are 
knowledgeable about and experienced in working with these subjects.
    (b) Every nondiscriminatory effort will be made to ensure that no 
IRB consists entirely of men or entirely of women, including the 
institution's consideration of qualified persons of both sexes, so long 
as no selection is made to the IRB on the basis of gender. No IRB may 
consist entirely of members of one profession.
    (c) Each IRB shall include at least one member whose primary 
concerns are in scientific areas and at least one member whose primary 
concerns are in nonscientific areas.
    (d) Each IRB shall include at least one member who is not otherwise 
affiliated with the institution and who is not part of the immediate 
family of a person who is affiliated with the institution.
    (e) No IRB may have a member participate in the IRB's initial or 
continuing review of any project in which the member has a conflicting 
interest, except to provide information requested by the IRB.
    (f) An IRB may, in its discretion, invite individuals with 
competence in special areas to assist in the review of issues which 
require expertise beyond or in addition to that available on the IRB. 
These individuals may not vote with the IRB.



Sec. 1028.108  IRB functions and operations.

    In order to fulfill the requirements of this policy each IRB shall:
    (a) Follow written procedures in the same detail as described in 
Sec. 1028.103(b)(4) and, to the extent required by, Sec. 1028.103(b)(5).
    (b) Except when an expedited review procedure is used (see 
Sec. 1028.110), review proposed research at convened meetings at which a 
majority of the members of the IRB are present, including at least one 
member whose primary concerns are in nonscientific areas. In order for 
the research to be approved, it shall receive the approval of a majority 
of those members present at the meeting.



Sec. 1028.109  IRB review of research.

    (a) An IRB shall review and have authority to approve, require 
modifications in (to secure approval), or disapprove all research 
activities covered by this policy.
    (b) An IRB shall require that information given to subjects as part 
of informed consent is in accordance with Sec. 1028.116. The IRB may 
require that information, in addition to that specifically mentioned in 
Sec. 1028.116, be given to the subjects when in the IRB's judgment the 
information would meaningfully add to the protection of the rights and 
welfare of subjects.
    (c) An IRB shall require documentation of informed consent or may 
waive documentation in accordance with Sec. 1028.117.
    (d) An IRB shall notify investigators and the institution in writing 
of its decision to approve or disapprove the proposed research activity, 
or of modifications required to secure IRB approval of the research 
activity. If the IRB decides to disapprove a research activity,

[[Page 114]]

it shall include in its written notification a statement of the reasons 
for its decision and give the investigator an opportunity to respond in 
person or in writing.
    (e) An IRB shall conduct continuing review of research covered by 
this policy at intervals appropriate to the degree of risk, but not less 
than once per year, and shall have authority to observe or have a third 
party observe the consent process and the research.

(Approved by the Office of Management and Budget under control number 
9999-0020)



Sec. 1028.110  Expedited review procedures for certain kinds of research involving no more than minimal risk, and for minor changes in approved research.

    (a) The Secretary, HHS, has established, and published as a Notice 
in the Federal Register, a list of categories of research that may be 
reviewed by the IRB through an expedited review procedure. The list will 
be amended, as appropriate after consultation with other departments and 
agencies, through periodic republication by the Secretary, HHS, in the 
Federal Register. A copy of the list is available from the Office for 
Protection from Research Risks, National Institutes of Health, HHS, 
Bethesda, Maryland 20892.
    (b) An IRB may use the expedited review procedure to review either 
or both of the following:
    (1) Some or all of the research appearing on the list and found by 
the reviewer(s) to involve no more than minimal risk,
    (2) Minor changes in previously approved research during the period 
(of one year or less) for which approval is authorized.

Under an expedited review procedure, the review may be carried out by 
the IRB chairperson or by one or more experienced reviewers designated 
by the chairperson from among members of the IRB. In reviewing the 
research, the reviewers may exercise all of the authorities of the IRB 
except that the reviewers may not disapprove the research. A research 
activity may be disapproved only after review in accordance with the 
non-expedited procedure set forth in Sec. 1028.108(b).
    (c) Each IRB which uses an expedited review procedure shall adopt a 
method for keeping all members advised of research proposals which have 
been approved under the procedure.
    (d) The department or agency head may restrict, suspend, terminate, 
or choose not to authorize an institution's or IRB's use of the 
expedited review procedure.



Sec. 1028.111  Criteria for IRB approval of research.

    (a) In order to approve research covered by this policy the IRB 
shall determine that all of the following requirements are satisfied:
    (1) Risks to subjects are minimized:
    (i) By using procedures which are consistent with sound research 
design and which do not unnecessarily expose subjects to risk, and
    (ii) Whenever appropriate, by using procedures already being 
performed on the subjects for diagnostic or treatment purposes.
    (2) Risks to subjects are reasonable in relation to anticipated 
benefits, if any, to subjects, and the importance of the knowledge that 
may reasonably be expected to result. In evaluating risks and benefits, 
the IRB should consider only those risks and benefits that may result 
from the research (as distinguished from risks and benefits of therapies 
subjects would receive even if not participating in the research). The 
IRB should not consider possible long-range effects of applying 
knowledge gained in the research (for example, the possible effects of 
the research on public policy) as among those research risks that fall 
within the purview of its responsibility.
    (3) Selection of subjects is equitable. In making this assessment 
the IRB should take into account the purposes of the research and the 
setting in which the research will be conducted and should be 
particularly cognizant of the special problems of research involving 
vulnerable populations, such as children, prisoners, pregnant women, 
mentally disabled persons, or economically or educationally 
disadvantaged persons.
    (4) Informed consent will be sought from each prospective subject or 
the

[[Page 115]]

subject's legally authorized representative, in accordance with, and to 
the extent required by Sec. 1028.116.
    (5) Informed consent will be appropriately documented, in accordance 
with, and to the extent required by Sec. 1028.117.
    (6) When appropriate, the research plan makes adequate provision for 
monitoring the data collected to ensure the safety of subjects.
    (7) When appropriate, there are adequate provisions to protect the 
privacy of subjects and to maintain the confidentiality of data.
    (b) When some or all of the subjects are likely to be vulnerable to 
coercion or undue influence, such as children, prisoners, pregnant 
women, mentally disabled persons, or economically or educationally 
disadvantaged persons, additional safeguards have been included in the 
study to protect the rights and welfare of these subjects.



Sec. 1028.112  Review by institution.

    Research covered by this policy that has been approved by an IRB may 
be subject to further appropriate review and approval or disapproval by 
officials of the institution. However, those officials may not approve 
the research if it has not been approved by an IRB.



Sec. 1028.113  Suspension or termination of IRB approval of research.

    An IRB shall have authority to suspend or terminate approval of 
research that is not being conducted in accordance with the IRB's 
requirements or that has been associated with unexpected serious harm to 
subjects. Any suspension or termination of approval shall include a 
statement of the reasons for the IRB's action and shall be reported 
promptly to the investigator, appropriate institutional officials, and 
the department or agency head.

(Approved by the Office of Management and Budget under control number 
9999-0020)



Sec. 1028.114  Cooperative research.

    Cooperative research projects are those projects covered by this 
policy which involve more than one institution. In the conduct of 
cooperative research projects, each institution is responsible for 
safeguarding the rights and welfare of human subjects and for complying 
with this policy. With the approval of the department or agency head, an 
institution participating in a cooperative project may enter into a 
joint review arrangement, rely upon the review of another qualified IRB, 
or make similar arrangements for avoiding duplication of effort.



Sec. 1028.115  IRB records.

    (a) An institution, or when appropriate an IRB, shall prepare and 
maintain adequate documentation of IRB activities, including the 
following:
    (1) Copies of all research proposals reviewed, scientific 
evaluations, if any, that accompany the proposals, approved sample 
consent documents, progress reports submitted by investigators, and 
reports of injuries to subjects.
    (2) Minutes of IRB meetings which shall be in sufficient detail to 
show attendance at the meetings; actions taken by the IRB; the vote on 
these actions including the number of members voting for, against, and 
abstaining; the basis for requiring changes in or disapproving research; 
and a written summary of the discussion of controverted issues and their 
resolution.
    (3) Records of continuing review activities.
    (4) Copies of all correspondence between the IRB and the 
investigators.
    (5) A list of IRB members in the same detail as described is 
Sec. 1028.103(b)(3).
    (6) Written procedures for the IRB in the same detail as described 
in Sec. Sec. 1028.103(b)(4) and 1028.103(b)(5).
    (7) Statements of significant new findings provided to subjects, as 
required by Sec. 1028.116(b)(5).
    (b) The records required by this policy shall be retained for at 
least 3 years, and records relating to research which is conducted shall 
be retained for at least 3 years after completion of the research. All 
records shall be accessible for inspection and copying by authorized 
representatives of the department or agency at reasonable times and in a 
reasonable manner.

(Approved by the Office of Management and Budget under control number 
9999-0020)

[[Page 116]]



Sec. 1028.116  General requirements for informed consent.

    Except as provided elsewhere in this policy, no investigator may 
involve a human being as a subject in research covered by this policy 
unless the investigator has obtained the legally effective informed 
consent of the subject or the subject's legally authorized 
representative. An investigator shall seek such consent only under 
circumstances that provide the prospective subject or the representative 
sufficient opportunity to consider whether or not to participate and 
that minimize the possibility of coercion or undue influence. The 
information that is given to the subject or the representative shall be 
in language understandable to the subject or the representative. No 
informed consent, whether oral or written, may include any exculpatory 
language through which the subject or the representative is made to 
waive or appear to waive any of the subject's legal rights, or releases 
or appears to release the investigator, the sponsor, the institution or 
its agents from liability for negligence.
    (a) Basic elements of informed consent. Except as provided in 
paragraph (c) or (d) of this section, in seeking informed consent the 
following information shall be provided to each subject:
    (1) A statement that the study involves research, an explanation of 
the purposes of the research and the expected duration of the subject's 
participation, a description of the procedures to be followed, and 
identification of any procedures which are experimental;
    (2) A description of any reasonably foreseeable risks or discomforts 
to the subject;
    (3) A description of any benefits to the subject or to others which 
may reasonably be expected from the research;
    (4) A disclosure of appropriate alternative procedures or courses of 
treatment, if any, that might be advantageous to the subject;
    (5) A statement describing the extent, if any, to which 
confidentiality of records identifying the subject will be maintained;
    (6) For research involving more than minimal risk, an explanation as 
to whether any compensation and an explanation as to whether any medical 
treatments are available if injury occurs and, if so, what they consist 
of, or where further information may be obtained;
    (7) An explanation of whom to contact for answers to pertinent 
questions about the research and research subjects' rights, and whom to 
contact in the event of a research-related injury to the subject; and
    (8) A statement that participation is voluntary, refusal to 
participate will involve no penalty or loss of benefits to which the 
subject is otherwise entitled, and the subject may discontinue 
participation at any time without penalty or loss of benefits to which 
the subject is otherwise entitled.
    (b) Additional elements of informed consent. When appropriate, one 
or more of the following elements of information shall also be provided 
to each subject:
    (1) A statement that the particular treatment or procedure may 
involve risks to the subject (or to the embryo or fetus, if the subject 
is or may become pregnant) which are currently unforeseeable;
    (2) Anticipated circumstances under which the subject's 
participation may be terminated by the investigator without regard to 
the subject's consent;
    (3) Any additional costs to the subject that may result from 
participation in the research;
    (4) The consequences of a subject's decision to withdraw from the 
research and procedures for orderly termination of participation by the 
subject;
    (5) A statement that significant new findings developed during the 
course of the research which may relate to the subject's willingness to 
continue participation will be provided to the subject; and
    (6) The approximate number of subjects involved in the study.
    (c) An IRB may approve a consent procedure which does not include, 
or which alters, some or all of the elements of informed consent set 
forth above, or waive the requirement to obtain informed consent 
provided the IRB finds and documents that:
    (1) The research or demonstration project is to be conducted by or 
subject

[[Page 117]]

to the approval of state or local government officials and is designed 
to study, evaluate, or otherwise examine:
    (i) Public benefit of service programs;
    (ii) Procedures for obtaining benefits or services under those 
programs;
    (iii) Possible changes in or alternatives to those programs or 
procedures; or
    (iv) Possible changes in methods or levels of payment for benefits 
or services under those programs; and
    (2) The research could not practicably be carried out without the 
waiver or alteration.
    (d) An IRB may approve a consent procedure which does not include, 
or which alters, some or all of the elements of informed consent set 
forth in this section, or waive the requirements to obtain informed 
consent provided the IRB finds and documents that:
    (1) The research involves no more than minimal risk to the subjects;
    (2) The waiver or alteration will not adversely affect the rights 
and welfare of the subjects;
    (3) The research could not practicably be carried out without the 
waiver or alteration; and
    (4) Whenever appropriate, the subjects will be provided with 
additional pertinent information after participation.
    (e) The informed consent requirements in this policy are not 
intended to preempt any applicable federal, state, or local laws which 
require additional information to be disclosed in order for informed 
consent to be legally effective.
    (f) Nothing in this policy is intended to limit the authority of a 
physician to provide emergency medical care, to the extent the physician 
is permitted to do so under applicable federal, state, or local law.

(Approved by the Office of Management and Budget under control number 
9999-0020)



Sec. 1028.117  Documentation of informed consent.

    (a) Except as provided in paragraph (c) of this section, informed 
consent shall be documented by the use of a written consent form 
approved by the IRB and signed by the subject or the subject's legally 
authorized representative. A copy shall be given to the person signing 
the form.
    (b) Except as provided in paragraph (c) of this section, the consent 
form may be either of the following:
    (1) A written consent document that embodies the elements of 
informed consent required by Sec. 1028.116. This form may be read to the 
subject or the subject's legally authorized representative, but in any 
event, the investigator shall give either the subject or the 
representative adequate opportunity to read it before it is signed; or
    (2) A short form written consent document stating that the elements 
of informed consent required by Sec. 1028.116 have been presented orally 
to the subject or the subject's legally authorized representative. When 
this method is used, there shall be a witness to the oral presentation. 
Also, the IRB shall approve a written summary of what is to be said to 
the subject or the representative. Only the short form itself is to be 
signed by the subject or the representative. However, the witness shall 
sign both the short form and a copy of the summary, and the person 
actually obtaining consent shall sign a copy of the summary. A copy of 
the summary shall be given to the subject or the representative, in 
addition to a copy of the short form.
    (c) An IRB may waive the requirement for the investigator to obtain 
a signed consent form for some or all subjects if it finds either:
    (1) That the only record linking the subject and the research would 
be the consent document and the principal risk would be potential harm 
resulting from a breach of confidentiality. Each subject will be asked 
whether the subject wants documentation linking the subject with the 
research, and the subject's wishes will govern; or
    (2) That the research presents no more than minimal risk of harm to 
subjects and involves no procedures for which written consent is 
normally required outside of the research context.
    In cases in which the documentation requirement is waived, the IRB 
may require the investigator to provide subjects with a written 
statement regarding the research.

(Approved by the Office of Management and Budget under control number 
9999-0020)

[[Page 118]]



Sec. 1028.118  Applications and proposals lacking definite plans for involvement of human subjects.

    Certain types of applications for grants, cooperative agreements, or 
contracts are submitted to departments or agencies with the knowledge 
that subjects may be involved within the period of support, but definite 
plans would not normally be set forth in the application or proposal. 
These include activities such as institutional type grants when 
selection of specific projects is the institution's responsibility; 
research training grants in which the activities involving subjects 
remain to be selected; and projects in which human subjects' involvement 
will depend upon completion of instruments, prior animal studies, or 
purification of compounds. These applications need not be reviewed by an 
IRB before an award may be made. However, except for research exempted 
or waived under Sec. 1028.101 (b) or (i), no human subjects may be 
involved in any project supported by these awards until the project has 
been reviewed and approved by the IRB, as provided in this policy, and 
certification submitted, by the institution, to the department or 
agency.



Sec. 1028.119  Research undertaken without the intention of involving human subjects.

    In the event research is undertaken without the intention of 
involving human subjects, but it is later proposed to involve human 
subjects in the research, the research shall first be reviewed and 
approved by an IRB, as provided in this policy, a certification 
submitted, by the institution, to the department or agency, and final 
approval given to the proposed change by the department or agency.



Sec. 1028.120  Evaluation and disposition of applications and proposals for research to be conducted or supported by a Federal Department or Agency.

    (a) The department or agency head will evaluate all applications and 
proposals involving human subjects submitted to the department or agency 
through such officers and employees of the department or agency and such 
experts and consultants as the department or agency head determines to 
be appropriate. This evaluation will take into consideration the risks 
to the subjects, the adequacy of protection against these risks, the 
potential benefits of the research to the subjects and others, and the 
importance of the knowledge gained or to be gained.
    (b) On the basis of this evaluation, the department or agency head 
may approve or disapprove the application or proposal, or enter into 
negotiations to develop an approvable one.



Sec. 1028.121  [Reserved]



Sec. 1028.122  Use of Federal funds.

    Federal funds administered by a department or agency may not be 
expended for research involving human subjects unless the requirements 
of this policy have been satisfied.



Sec. 1028.123  Early termination of research support: Evaluation of applications and proposals.

    (a) The department or agency head may require that department or 
agency support for any project be terminated or suspended in the manner 
prescribed in applicable program requirements, when the department or 
agency head finds an institution has materially failed to comply with 
the terms of this policy.
    (b) In making decisions about supporting or approving applications 
or proposals covered by this policy the department or agency head may 
take into account, in addition to all other eligibility requirements and 
program criteria, factors such as whether the applicant has been subject 
to a termination or suspension under paragarph (a) of this section and 
whether the applicant or the person or persons who would direct or has 
have directed the scientific and technical aspects of an activity has 
have, in the judgment of the department or agency head, materially 
failed to discharge responsibility for the protection of the rights and 
welfare of human subjects (whether or not the research was subject to 
federal regulation).

[[Page 119]]



Sec. 1028.124  Conditions.

    With respect to any research project or any class of research 
projects the department or agency head may impose additional conditions 
prior to or at the time of approval when in the judgment of the 
department or agency head additional conditions are necessary for the 
protection of human subjects.



PART 1030--EMPLOYEE STANDARDS OF CONDUCT--Table of Contents




                           Subpart A--General

Sec.
1030.101 Cross-references to employee ethical conduct standards and 
          financial disclosure regulations.

Subparts B-D [Reserved]

    Authority: 5 U.S.C. 552a, 7301; 15 U.S.C. 2053(c).

    Source: 61 FR 65458, Dec. 13, 1996, unless otherwise noted.



                           Subpart A--General



Sec. 1030.101  Cross-references to employee ethical conduct standards and financial disclosure regulations.

    Employees of the Consumer Product Safety Commission are subject to 
the Standards of Ethical Conduct, 5 CFR part 2635, which are applicable 
to all executive branch personnel; the CPSC regulations at 5 CFR part 
8101, which supplement the executive branch standards; the Office of 
Personnel Management regulations on employee conduct at 5 CFR part 735; 
and the financial disclosure regulations at 5 CFR part 2634, which are 
applicable to all executive branch personnel. In addition, the 
Commissioners of the CPSC are subject to the statutory provisions of 15 
U.S.C. 2053(c).

Subparts B-D [Reserved]



PART 1031--COMMISSION PARTICIPATION AND COMMISSION EMPLOYEE INVOLVEMENT IN VOLUNTARY STANDARDS ACTIVITIES--Table of Contents




                       Subpart A--General Policies

Sec.
1031.1 Purpose and scope.
1031.2 Background.
1031.3 Consumer Product Safety Act amendments.
1031.4 Effect of voluntary standards activities on Commission 
          activities.
1031.5 Criteria for Commission participation in voluntary standards 
          activities.
1031.6 Extent and form of Commission involvement in the development of 
          voluntary standards.
1031.7 Commission support of voluntary standards activities.
1031.8 Voluntary Standards Coordinator.

                     Subpart B--Employee Involvement

1031.9 Purpose and scope.
1031.10 Definitions.
1031.11 Procedural safeguards.
1031.12 Membership criteria.
1031.13 Participation and monitoring criteria.
1031.14 Observation criteria.
1031.15 Communication criteria.

    Authority: 15 U.S.C. 2051-2083, 15 U.S.C. 1261-1276, 15 U.S.C. 1191-
1204.

    Source: 54 FR 6652, Feb. 14, 1989, unless otherwise noted.



                       Subpart A--General Policies



Sec. 1031.1  Purpose and scope.

    (a) This part 1031 sets forth the Consumer Product Safety 
Commission's guidelines and requirements on participating in the 
activities of voluntary standards bodies. Subpart A sets forth general 
policies on Commission participation, and subpart B sets forth policies 
and guidelines on employee involvement in voluntary standards 
activities.
    (b) For purposes of both subpart A and subpart B of this part 1031, 
voluntary standards bodies are private

[[Page 120]]

sector domestic or multinational organizations or groups, or 
combinations thereof, such as, but not limited to, all non-profit 
organizations, industry associations, professional and technical 
societies, institutes, and test laboratories, that are involved in the 
planning, development, establishment, revision, review or coordination 
of voluntary standards. Voluntary standards development bodies are 
voluntary standards bodies, or their sub-groups, that are devoted to 
developing or establishing voluntary standards.



Sec. 1031.2  Background.

    (a) Congress enacted the Consumer Product Safety Act in 1972 to 
protect consumers against unreasonable risks of injury associated with 
consumer products. In order to achieve that goal, Congress established 
the Consumer Product Safety Commission as an independent regulatory 
agency and granted it broad authority to promulgate mandatory safety 
standards for consumer products as a necessary alternative to industry 
self regulation.
    (b) In 1981, the Congress amended the Consumer Product Safety Act, 
The Federal Hazardous Substances Act, and the Flammable Fabrics Act, to 
require the Commission to rely on voluntary standards rather than 
promulgate a mandatory standard when voluntary standards would eliminate 
or adequately reduce the risk of injury addressed and it is likely that 
there will be substantial compliance with the voluntary standards. (15 
U.S.C. 2056(b), 15 U.S.C. 1262(g)(2), 15 U.S.C. 1193(h)(2)). The 1981 
Amendments also require the Commission, after any notice or advance 
notice of proposed rulemaking, to provide technical and administrative 
assistance to persons or groups who propose to develop or modify an 
appropriate voluntary standard. (15 U.S.C. 2054(a)(3)). Additionally, 
the amendments encourage the Commission to provide technical and 
administrative assistance to groups developing product safety standards 
and test methods, taking into account Commission resources and 
priorities (15 U.S.C. 2054(a)(4)). Although the Commission is required 
to provide assistance to such groups, it may determine the level of 
assistance in accordance with the level of its own administrative and 
technical resources and in accordance with its assessment of the 
likelihood that the groups being assisted will successfully develop a 
voluntary standard that will preclude the need for a mandatory standard.
    (c) In 1982, the Office of Management and Budget revised Circular 
No. A-119, Federal Participation in the Development and Use of Voluntary 
Standards. The Circular establishes the policy to be followed by 
executive agencies, including the Commission, in working with voluntary 
standards bodies and in adopting and using voluntary standards. The 
Circular encourages government participation in the standards-related 
activities of voluntary standards bodies and standards-developing groups 
when such participation is in the public interest and is compatible with 
the agencies, missions, authorities, priorities, and budget resources. 
The Circular recognizes, however, that voluntary standards activities, 
if improperly conducted, can suppress free and fair competition, impede 
innovation and technical progress, exclude safer and less expensive 
products, or otherwise adversely affect trade, commerce, health, or 
safety. Thus, agencies are urged to take full account of the impact on 
the economy, applicable Federal laws, policies and national objectives, 
including, for example, laws and regulations relating to antitrust, 
national security, small business, product safety, environment, 
technological development, and conflicts of interest.



Sec. 1031.3  Consumer Product Safety Act amendments.

    The Consumer Product Safety Act, as amended, contains several 
sections pertaining to the Commission's participation in the development 
and use of voluntary standards.
    (a) Section 7(b) provides that the Commission shall rely on 
voluntary consumer product safety standards prescribing requirements 
described in subsection (a) whenever compliance with such voluntary 
standards would eliminate or adequately reduce the risk of injury 
addressed and it is likely that there will be substantial compliance 
with such voluntary standards. (15 U.S.C. 2056(b)).

[[Page 121]]

    (b) Section 5(a)(3) provides that the Commission shall, following 
publication of an advance notice of proposed rulemaking or a notice of 
proposed rulemaking for a product safety rule under any rulemaking 
authority administered by the Commission, assist public and private 
organizations or groups of manufacturers, administratively and 
technically, in the development of safety standards addressing the risk 
of injury identified in such notice. (15 U.S.C. 2054(a)(3)).
    (c) Section 5(a)(4) provides that the Commission shall, to the 
extent practicable and appropriate (taking into account the resources 
and priorities of the Commission), assist public and private 
organizations or groups of manufacturers, administratively and 
technically, in the development of product safety standards and test 
methods. (15 U.S.C. 2054(a)(4)).



Sec. 1031.4  Effect of voluntary standards activities on Commission activities.

    (a)(1) The Commission, in determining whether to begin proceedings 
to develop mandatory standards under the acts it administers, considers 
whether mandatory regulation is necessary or whether there is an 
existing voluntary standard that adequately addresses the problem and 
the extent to which that voluntary standard is complied with by the 
affected industry.
    (2) The Commission acknowledges that there are situations in which 
adequate voluntary standards, in combination with appropriate 
certification programs, may be appropriate to support a conclusion that 
a mandatory standard is not necessary. The Commission may find that a 
mandatory standard is not necessary where compliance with an existing 
voluntary standard would eliminate or adequately reduce the risk of 
injury associated with the product, contains requirements and test 
methods that have been evaluated and found acceptable by the Commission, 
and it is likely that there will be substantial and timely compliance 
with the voluntary standard. Under such circumstances, the Commission 
may agree to encourage industry compliance with the voluntary standard 
and subsequently evaluate the effectiveness of the standard in terms of 
accident and injury reduction for products produced in compliance with 
the standard.
    (3) In evaluating voluntary standards, the Commission will relate 
the requirements of the standard to the identified risks of injury and 
evaluate the requirements in terms of their effectiveness in eliminating 
or reducing the risks of injury. The evaluation of voluntary standards 
will be conducted by Commission staff members, including representatives 
of legal, economics, engineering, epidemiological, health sciences, 
human factors, other appropriate interests, and the Voluntary Standards 
Coordinator. The staff evaluation will be conducted in a manner similar 
to evaluations of standards being considered for promulgation as 
mandatory standards.
    (4) In the event that the Commission has evaluated an existing 
voluntary standard and found it to be adequate in all but a few areas, 
the Commission may defer the initiation of a mandatory rulemaking 
proceeding and request the voluntary standards organization to revise 
the standard to address the identified inadequacies expeditiously. In 
such cases, the Commission may monitor or participate in the development 
of these revisions.
    (b) In the event the Commission determines that there is no existing 
voluntary standard that will eliminate or adequately reduce a risk of 
injury the Commission may commence a proceeding for the development of a 
consumer product safety rule or a regulation in accordance with section 
9 of the Consumer Product Safety Act, 15 U.S.C. 2058, section 3(f) of 
the Federal Hazardous Substances Act, 15 U.S.C. 1262(f), or section 4(a) 
of the Flammable Fabrics Act, 15 U.S.C. 1193(g), as may be applicable. 
In commencing such a proceeding, the Commission will publish an advance 
notice of proposed rulemaking which shall, among other things, invite 
any person to submit to the Commission an existing standard or portion 
of an existing standard, or to submit a statement of intention to modify 
or develop, within a reasonable period of time, a voluntary standard to 
address the risk of injury.
    (c) The Commission will consider those provisions of a voluntary 
standard that have been reviewed, evaluated,

[[Page 122]]

and deemed to be adequate in addressing the specified risks of injury 
when initiating a mandatory consumer product safety rule or regulation 
under the Consumer Product Safety Act, the Federal Hazardous Substances 
Act, or the Flammable Fabrics Act, as may be applicable. Comments will 
be requested in the advance notice of proposed rulemaking on the 
adequacy of such voluntary standard provisions.



Sec. 1031.5  Criteria for Commission participation in voluntary standards activities.

    The Commission will consider the extent to which the following 
criteria are met in considering Commission participation in the 
development of voluntary safety standards for consumer products:
    (a) The likelihood the voluntary standard will eliminate or 
adequately reduce the risk of injury addressed and that there will be 
substantial and timely compliance with the voluntary standard.
    (b) The likelihood that the voluntary standard will be developed 
within a reasonable period of time.
    (c) Exclusion, to the maximum extent possible, from the voluntary 
standard being developed, of requirements which will create 
anticompetitive effects or promote restraint of trade.
    (d) Provisions for periodic and timely review of the standard, 
including review for anticompetitive effects, and revision or amendment 
as the need arises.
    (e) Performance-oriented and not design-restrictive requirements, to 
the maximum practical extent, in any standard developed.
    (f) Industry arrangements for achieving substantial and timely 
industry compliance with the voluntary standard once it is issued, and 
the means of ascertaining such compliance based on overall market share 
of product production.
    (g) Provisions in the standard for marking products conforming to 
the standard so that future Commission investigation can indicate the 
involvement of such products in accidents and patterns of injury.
    (h) Provisions for insuring that products identified as conforming 
to such standards will be subjected to a testing and certification 
(including self-certification) procedure, which will provide assurance 
that the products comply with the standard.
    (i) The openness to all interested parties, and the establishment of 
procedures which will provide for meaningful participation in the 
development of such standards by representatives of producers, 
suppliers, distributors, retailers, consumers, small business, public 
interests and other individuals having knowledge or expertise in the 
areas under consideration, and procedures for affording other due 
process considerations.



Sec. 1031.6  Extent and form of Commission involvement in the development of voluntary standards.

    (a) The Commission shall approve agency ``participation'', as 
defined below, in the development and support of voluntary safety 
standards for consumer products. The Executive Director shall approve 
Commission activities that are defined below as ``monitoring.'' The 
extent of Commission involvement will be dependent upon the Commission's 
interest in the particular standards development activity and the 
commission's priorities and resources.
    (b) The Commission's interest in a specific voluntary standards 
activity will be based in part on the frequency and severity of injuries 
associated with the product, the involvement of the product in 
accidents, the susceptibility of the hazard to correction through 
standards, and the overall resources and priorities of the Commission. 
Commission involvement in voluntary standards activities generally will 
also be guided by the Commission's operating plan and budget.
    (c) There are two levels of Commission involvement in voluntary 
standards activities, each of which reflects a different level of 
Commission involvement as set forth below:
    (1) Monitoring. Monitoring involves maintaining an awareness of the 
voluntary standards development process

[[Page 123]]

through oral or written inquiries, receiving and reviewing minutes of 
meetings and copies of draft standards, or attending meetings for the 
purpose of observing and commenting during the standards development 
process in accordance with subpart B of this part. For example, 
monitoring may involve responding to requests from voluntary standards 
organizations, standards development committees, trade associations and 
consumer organizations; by providing information concerning the risks of 
injury associated with particular products, NEISS data, summaries and 
analyses of in-depth investigation reports; discussing Commission goals 
and objectives with regard to voluntary standards and improved consumer 
product safety; responding to requests for information concerning 
Commission programs; and initiating contacts with voluntary standards 
organizations to discuss cooperative voluntary standards activities.
    (2) Participating. Participating involves regularly attending 
meetings of a standard development committee or group and taking an 
active part in the discussions of the committee and in developing the 
standard, in accordance with subpart B of this part. Under certain 
conditions, the Commission will contribute to the deliberations of the 
committee by expending resources to provide technical assistance (e.g., 
research, engineering support, and information and education programs) 
and administrative assistance (e.g., travel costs, hosting meetings, and 
secretarial functions) which would support the development and 
implementation of voluntary standards. Participating may also include 
Commission support of voluntary standards activities as described in 
Sec. 1031.7.
    (d) Normally, the total amount of Commission support given to a 
voluntary standards activity shall be no greater than that of all non-
Federal participants in that activity, except where it is in the public 
interest to do so.
    (e) In the event of duplication of effort by two or more groups 
(either inside or outside the Commission) in developing a voluntary 
standard for the same product or class of products, the Commission shall 
encourage the several groups to cooperate in the development of a single 
voluntary standard.



Sec. 1031.7  Commission support of voluntary standards activities.

    (a) The Commission's support of voluntary safety standards 
development activities may include any one or a combination of the 
following actions:
    (1) Providing epidemiological and health science information and 
explanations of hazards for consumer products.
    (2) Encouraging the initiation of the development of voluntary 
standards for specific consumer products.
    (3) Identifying specific risks of injury to be addressed in a 
voluntary standard.
    (4) Performing or subsidizing technical assistance, including 
research, health science data, and engineering support, in the 
development of a voluntary standard activity in which the Commission is 
participating.
    (5) Providing assistance on methods of disseminating information and 
education about the voluntary standard or its use.
    (6) Performing a staff evaluation of a voluntary standard to 
determine its adequacy and efficacy in reducing the risks of injury that 
have been identified by the Commission as being associated with the use 
of the product.
    (7) Encouraging state and local governments to reference or 
incorporate the provisions of a voluntary standard in their regulations 
or ordinances and to participate in government or industrial model code 
development activities, so as to develop uniformity and minimize 
conflicting State and local regulations.
    (8) Monitoring the number and market share of products conforming to 
a voluntary safety standard.
    (9) Providing for the involvement of agency personnel in voluntary 
standards activities as described in subpart B of this part.
    (10) Providing administrative assistance, such as hosting meetings 
and secretarial assistance.
    (11) Providing funding support for voluntary standards development, 
as permitted by the agency budget.

[[Page 124]]

    (12) Taking other actions that the Commission believes appropriate 
in a particular situation.
    (b) [Reserved]



Sec. 1031.8  Voluntary Standards Coordinator.

    (a) The Executive Director shall appoint a Voluntary Standards 
Coordinator to coordinate agency participation in voluntary standards 
bodies so that:
    (1) The most effective use is made of agency personnel and 
resources, and
    (2) The views expressed by such personnel are in the public interest 
and, at a minimum, do not conflict with the interests and established 
views of the agency.
    (b) The Voluntary Standards Coordinator is responsible for managing 
the Commission's voluntary standards program, as well as preparing and 
submitting to the Commission a semiannual summary of its voluntary 
standards activities. The summary shall set forth, among other things, 
the goals of each voluntary standard under development, the extent of 
CPSC activity (monitoring or participation; the current status of 
standards development and implementation) and, if any, recommendations 
for additional Commission action. The Voluntary Standards Coordinator 
shall also compile information on the Commission's voluntary standards 
activities for the Commission's annual report.



                     Subpart B--Employee Involvement



Sec. 1031.9  Purpose and scope.

    (a) This subpart sets forth the Consumer Product Safety Commission's 
criteria and requirements governing membership and involvement by 
Commission officials and employees in the activities of voluntary 
standards development bodies.
    (b) The Commission realizes there are advantages and benefits 
afforded by greater involvement of Commission personnel in the standards 
activities of domestic and international voluntary standards 
organizations. However, such involvement might present an appearance or 
possibility of the Commission giving preferential treatment to an 
organization or group or of the Commission losing its independence or 
impartiality. Also, such participation may present real or apparent 
conflict of interest situations.
    (c) The purpose of this subpart is to further the objectives and 
programs of the Commission and to do so in a manner that ensures that 
such membership and participation:
    (1) Is consistent with the intent of the Consumer Product Safety Act 
and the other acts administered by the Commission, as well as with 
federal policy as set forth in the current version of OMB Circular No. 
A-119, Federal Participation in the Development and Use of Voluntary 
Standards;
    (2) Is not contrary to the public interest;
    (3) Presents no real or apparent conflict of interest, and does not 
result in or create the appearance of the Commission giving preferential 
treatment to an organization or group or the Commission compromising its 
independence or impartiality; and
    (4) Takes into account Commission resources and priorities.
    (d) In general, Commission employees must obtain approval from their 
supervisor and appropriate agency management to be involved in voluntary 
standards activities. They should also strive to apprise the Voluntary 
Standards Coordinator, where practicable, as to their involvement in 
voluntary standards activities.
    (e) All Commission employees involved in voluntary standards 
activities are subject to any restrictions for avoiding conflicts of 
interest and for avoiding situations that would present an appearance of 
bias.



Sec. 1031.10  Definitions.

    For purposes of describing the level of involvement in voluntary 
standards activities for which Commission employees may be authorized, 
the following definitions apply:
    (a) Membership. Membership is the status of an employee who joins a 
voluntary standards development or advisory organization or subgroup and 
is listed as a member. It includes all oral and written communications 
which are incidental to such membership.

[[Page 125]]

    (b) Participation. Participation is the active, ongoing involvement 
of an official or employee in the development of a new or revised 
voluntary standard pertaining to a particular consumer product or to a 
group of products that is the subject of a Commission hazard project. 
These projects should be one of those that are approved by the 
Commission, either by virtue of the agency's annual budget or operating 
plan, or by other specific agency authorization or decision, and are in 
accord with subpart A. Participation includes regularly attending 
meetings of a standards development committee or group, taking an active 
part in discussions and technical debates, registering opinions and 
expending other resources in support of a voluntary standard development 
activity. It includes all oral and written communications which are part 
of the participation process.
    (c) Monitoring. Monitoring is involvement by an official or employee 
in maintaining an awareness of the voluntary standards development 
process by attendance at meetings, receiving and reviewing minutes of 
standards development meetings and copies of draft standards, and 
commenting during the standards development process. It involves all 
oral and written communications which are part of the monitoring 
process. These monitoring activities must be related to general 
voluntary standards projects set forth in the agency's annual budget or 
operating plan or otherwise approved by the agency.
    (d) Observation. Observation is the attendance by an official or 
employee at a meeting of a voluntary standards development group for the 
purpose of observing and gathering information.
    (e) Communication. Communication is the oral or written contact by 
an official or employee with a representative or committee of a 
voluntary standards organization or advisory group.



Sec. 1031.11  Procedural safeguards.

    (a) Subject to the provisions of this subpart and budgetary and time 
constraints, Commission employees may be involved in voluntary standards 
activities that will further the objectives and programs of the 
Commission, are consistent with ongoing and anticipated Commission 
regulatory programs as set forth in the agency's operating plan, and are 
in accord with the Commission's policy statement on participation in 
voluntary standards activities set forth in subpart A of this part.
    (b) Commission employees who are involved in the development of a 
voluntary standard and who later participate in an official evaluation 
of that standard for the Commission shall describe in any information, 
oral or written, presented to the Commission, the extent of their 
involvement in the development of the standard. Any evaluation or 
recommendation for Commission actions by such employee shall strive to 
be as objective as possible and be reviewed by higher-level Commission 
officials or employees prior to submission to the Commission.
    (c) Involvement of a Commission official or employee in a voluntary 
standards committee shall be predicated on an understanding by the 
voluntary standards group that participation by Commission officials and 
employees is on a non-voting basis.
    (d) In no case shall Commission employees or officials vote or 
otherwise formally indicate approval or disapproval of a voluntary 
standard during the course of a voluntary standard development process.
    (e) Commission employees and officials who are involved in the 
development of voluntary standards may not accept voluntary standards 
committee leadership positions, e.g., committee chairman or secretary. 
Subject to prior approval by the Executive Director, a Commission 
employee or official may accept other committee positions only if it 
appears to be clearly in the public interest for the employee to carry 
out the functions of that specific position.
    (f) Attendance of Commission personnel at voluntary standards 
meetings shall be noted in the public calendar and meeting summaries 
shall be submitted to the Office of the Secretary as required by the 
Commission's meetings policy, 16 CFR part 1012.



Sec. 1031.12  Membership criteria.

    (a) The Commissioners, their special assistants, and Commission 
officials and employees holding the positions listed below, may not 
become members

[[Page 126]]

of a voluntary standards group because they either have the 
responsibility for making final decisions, or advise those who make 
final decisions, on whether to rely on a voluntary standard, promulgate 
a consumer product safety standard, or to take other action to prevent 
or reduce an unreasonable risk of injury associated with a product.
    (1) The Commissioners;
    (2) The Commissioners' Special Assistants;
    (3) The General Counsel and General Counsel Staff;
    (4) The Executive Director, the Deputy Executive Director, and 
special assistants to the Executive Director;
    (5) The Associate Executive Directors and Office Directors;
    (6) The Director of the Office of Program Management and Budget and 
any Special Assistants to the Director.
    (b) All other officials and employees not covered under 
Sec. 1031.12(a) may be advisory, non-voting members of voluntary 
standards development and advisory groups with the advance approval of 
the Executive Director. In particular, the Commission's Voluntary 
Standards Coordinator may accept such membership.
    (c) Commission employees or officials who have the approval of the 
Executive Director to accept membership in a voluntary standards 
organization or group pursuant to paragraph (b) of this section shall 
apprise the General Counsel and the Voluntary Standards Coordinator 
prior to their acceptance.
    (d) Commission officials or employees who desire to become a member 
of a voluntary standards body or group in their individual capacity must 
obtain prior approval of the Commission's Ethics Counselor for an 
outside activity pursuant to the Commission's Employee Standards of 
Conduct, 16 CFR part 1030.



Sec. 1031.13  Participation and monitoring criteria.

    (a) Commission officials, other than those positions listed in 
Sec. 1031.12(a), may participate in or monitor the development of 
voluntary safety standards for consumer products, but only in their 
official capacity as employees of the Commission and if permitted to do 
so by their supervisor and any other person designated by agency 
management procedures. Such participation or monitoring shall be in 
accordance with Commission procedures.
    (b) Employees in positions listed in Sec. 1031.12(a) (4), (5), and 
(6) may, on a case-by-case basis, participate in or monitor the 
development of a voluntary standard provided that they have the specific 
advance approval of the Commission.
    (c) Except in extraordinary circumstances and when approved in 
advance by the Executive Director in accordance with the provisions of 
the Commission's meetings policy, 16 CFR part 1012, Commission personnel 
shall not become involved in meetings concerning the development of 
voluntary standards that are not open to the public for attendance and 
observation. Attendance of Commission personnel at a voluntary standard 
meeting shall be noted in the public calendar and meeting logs filed 
with the Office of the Secretary in accordance with the Commission's 
meetings policy.
    (d) Generally, Commission employees may become involved in the 
development of voluntary standards only if they are made available for 
comment by all interested parties prior to their use or adoption.
    (e) Involvement by Commission officials and employees in voluntary 
standards bodies or standards-developing groups does not, of itself, 
connote Commission agreement with, or endorsement of, decisions reached, 
approved or published by such bodies or groups.



Sec. 1031.14  Observation criteria.

    A Commission official or employee may, on occasion, attend voluntary 
standards meetings for the sole purpose of observation, with the advance 
approval of his or her supervisor and any other person designated by 
agency management procedures. Commission officials and employees shall 
notify the Voluntary Standard Coordinator, for information purposes, 
prior to observing a voluntary standards meeting.



Sec. 1031.15  Communication criteria.

    (a) Commission officials and employees, who are not in the positions 
listed in Sec. 1031.12(a), or who are not already

[[Page 127]]

authorized to communicate with a voluntary standards group or 
representative incidental to their approved membership in a voluntary 
standard organization or group or as part of their participation or 
monitoring of a voluntary standard, may:
    (1) Communicate, within the scope of their duties, with a voluntary 
standard group, representative, or other committee member, on voluntary 
standards matters which are substantive in nature, i.e., matters that 
pertain to the formulation of the technical aspects of a specific 
voluntary standard or the course of conduct for developing the standard, 
only with the specific advance approval from the person or persons to 
whom they apply to obtain approval for participation or monitoring 
pursuant to Sec. 1031.13. The approval may indicate the duration of the 
approval and any other conditions.
    (2) Communicate, within the scope of their duties, with a voluntary 
standard group, representative, or other committee member, concerning 
voluntary standards activities which are not substantive in nature.
    (b) Commission employees may communicate with voluntary standards 
organizations only in accordance with Commission procedures.
    (c) Commissioners can engage in substantive and non-substantive 
written communications with voluntary standards bodies or 
representatives, provided a disclaimer in such communications indicates 
that any substantive views expressed are only their individual views and 
are not necessarily those of the Commission. Where a previous official 
Commission vote has taken place, that vote should also be noted in any 
such communication. Copies of such communications shall thereafter be 
provided to the other Commissioners, the Office of the Secretary, and 
the Voluntary Standards Coordinator.
    (d) The Voluntary Standards Coordinator shall be furnished a copy of 
each written communication of a substantive nature and a report of each 
oral communication of a substantive nature between a Commission official 
or employee and a voluntary standards organization or representative 
which pertains to a voluntary standards activity. The information shall 
be provided to the Voluntary Standards Coordinator as soon as 
practicable after the communication has taken place.



PART 1033--DISPLAY OF CONTROL NUMBERS FOR COLLECTION OF INFORMATION REQUIREMENTS UNDER THE PAPERWORK REDUCTION ACT--Table of Contents




Sec.
1033.1 Purpose.
1033.2 Display of control numbers.

    Authority: 44 U.S.C. 3506(c)(1); 5 U.S.C. 553.



Sec. 1033.1  Purpose.

    The purpose of this part 1033 is to display all control numbers 
assigned by the Office of Management and Budget (OMB) to collection of 
information requirements contained in rules enforced by the Consumer 
Product Safety Commission. Display of OMB control numbers is required by 
provisions of the Paperwork Reduction Act at 44 U.S.C. 3507(f) and by 
regulations issued by OMB to implement that act at 5 CFR 1320.7(f)(2), 
1320.12(d), 1320.13(j), and 1320.14(e).

[48 FR 57478, Dec. 30, 1983]



Sec. 1033.2  Display of control numbers.

    The following rules enforced by the Consumer Product Safety 
Commission containing collections of information are listed with the 
control numbers assigned by the Office of Management and Budget:

------------------------------------------------------------------------
                                                              Currently
                                                               assigned
  Part or section of title 16 Code of Federal Regulations    OMB control
                                                                 No.
------------------------------------------------------------------------
Part 1019..................................................    3041-0003
Part 1204..................................................    3041-0006
Part 1509..................................................    3041-0012
Part 1508..................................................    3041-0013
Part 1632..................................................    3041-0014
Part 1210..................................................    3041-0016
Part 1630, 1631............................................    3041-0017
Sections 1500.18(a)(6), 1500.86(a)(4)......................    3041-0019
Part 1209..................................................    3041-0022
Parts 1610, 1611...........................................    3041-0024
Parts 1615, 1616...........................................    3041-0027
Part 1505..................................................    3041-0035
Part 1406..................................................    3041-0040
Part 1205..................................................    3041-0091
Part 1211..................................................    3041-0125
------------------------------------------------------------------------


(44 U.S.C. 3506(c)(1); 5 U.S.C. 553)

[62 FR 42397, Aug. 7, 1997]

[[Page 128]]



PART 1034--ENFORCEMENT OF NONDISCRIMINATION ON THE BASIS OF HANDICAP IN PROGRAMS OR ACTIVITIES CONDUCTED BY THE CONSUMER PRODUCT SAFETY COMMISSION--Table of Contents




Sec.
1034.101 Purpose.
1034.102 Application.
1034.103 Definitions.
1034.104-1034.109 [Reserved]
1034.110 Self-evaluation.
1034.111 Notice.
1034.112-1034.129 [Reserved]
1034.130 General prohibitions against discrimination.
1034.131-1034.139 [Reserved]
1034.140 Employment.
1034.141-1034.148 [Reserved]
1034.149 Program accessibility: Discrimination prohibited.
1034.150 Program accessibility: Existing facilities.
1034.151 Program accessibility: New construction and alterations.
1034.152-1034.159 [Reserved]
1034.160 Communications.
1034.161-1034.169 [Reserved]
1034.170 Compliance procedures.
1034.171-1034.999 [Reserved]

    Authority: 29 U.S.C. 794.

    Source: 51 FR 4575, 4579, Feb. 5, 1986; 52 FR 405, Jan. 6, 1987, 
unless otherwise noted.



Sec. 1034.101  Purpose.

    This part effectuates section 119 of the Rehabilitation, 
Comprehensive Services, and Developmental Disabilities Amendments of 
1978, which amended section 504 of the Rehabilitation Act of 1973 to 
prohibit discrimination on the basis of handicap in programs or 
activities conducted by Executive agencies or the United States Postal 
Service.



Sec. 1034.102  Application.

    This part applies to all programs or activities conducted by the 
agency.



Sec. 1034.103  Definitions.

    For purposes of this part, the term--
    Assistant Attorney General means the Assistant Attorney General, 
Civil Rights Division, United States Department of Justice.
    Auxiliary aids means services or devices that enable persons with 
impaired sensory, manual, or speaking skills to have an equal 
opportunity to participate in, and enjoy the benefits of, programs or 
activities conducted by the agency. For example, auxiliary aids useful 
for persons with impaired vision include readers, Brailled materials, 
audio recordings, telecommunications devices and other similar services 
and devices. Auxiliary aids useful for persons with impaired hearing 
include telephone handset amplifiers, telephones compatible with hearing 
aids, telecommunication devices for deaf persons (TDD's), interpreters, 
notetakers, written materials, and other similar services and devices.
    Complete complaint means a written statement that contains the 
complainant's name and address and describes the agency's alleged 
discriminatory action in sufficient detail to inform the agency of the 
nature and date of the alleged violation of section 504. It shall be 
signed by the complainant or by someone authorized to do so on his or 
her behalf. Complaints filed on behalf of classes or third parties shall 
describe or identify (by name, if possible) the alleged victims of 
discrimination.
    Facility means all or any portion of buildings, structures, 
equipment, roads, walks, parking lots, rolling stock or other 
conveyances, or other real or personal property.
    Handicapped person means any person who has a physical or mental 
impairment that substantially limits one or more major life activities, 
has a record of such an impairment, or is regarded as having such an 
impairment.
    As used in this definition, the phrase:
    (1) Physical or mental impairment includes--
    (i) Any physiological disorder or condition, cosmetic disfigurement, 
or anatomical loss affecting one of more of the following body systems: 
Neurological; musculoskeletal; special sense organs; respiratory, 
including speech organs; cardiovascular; reproductive; digestive; 
genitourinary; hemic and lymphatic; skin; and endocrine; or
    (ii) Any mental or psychological disorder, such as mental 
retardation, organic brain syndrome, emotional or mental illness, and 
specific learning disabilities. The term physical or mental impairment 
includes, but is not limited

[[Page 129]]

to, such diseases and conditions as orthopedic, visual, speech, and 
hearing impairments, cerebral palsy, epilepsy, muscular dystrophy, 
multiple sclerosis, cancer, heart disease, diabetes, mental retardation, 
emotional illness, and drug addition and alcholism.
    (2) Major life activities includes functions such as caring for 
one's self, performing manual tasks, walking, seeing, hearing, speaking, 
breathing, learning, and working.
    (3) Has a record of such an impairment means has a history of, or 
has been misclassified as having, a mental or physical impairment that 
substantially limits one or more major life activities.
    (4) Is regarded as having an impairment means--
    (i) Has a physical or mental impairment that does not substantially 
limit major life activities but is treated by the agency as constituting 
such a limitation;
    (ii) Has a physical or mental impairment that substantially limits 
major life activities only as a result of the attitudes of others toward 
such impairment; or
    (iii) Has none of the impairments defined in subparagraph (1) of 
this definition but is treated by the agency as having such an 
impairment.
    Qualified handicapped person means--
    (1) With respect to any agency program or activity under which a 
person is required to perform services or to achieve a level of 
accomplishment, a handicapped person who meets the essential eligibility 
requirements and who can achieve the purpose of the program or activity 
without modifications in the program or activity that the agency can 
demonstrate would result in a fundamental alteration in its nature; or
    (2) With respect to any other program or activity, a handicapped 
person who meets the essential eligibility requirements for 
participation in, or receipt of benefits from, that program or activity.
    (3) Qualified handicapped person is defined for purposes of 
employment in 29 CFR 1613.702(f), which is made applicable to this part 
by Sec. 1034.140.
    Section 504 means section 504 of the Rehabilitation Act of 1973 
(Pub. L. 93-112, 87 Stat. 394 (29 U.S.C. 794)), as amended by the 
Rehabilitation Act Amendments of 1974 (Pub. L. 93-516, 88 Stat. 1617), 
and the Rehabilitation, Comprehensive Services, and Developmental 
Disabilities Amendments of 1978 (Pub. L. 95-602, 92 Stat. 2955). As used 
in this part, section 504 applies only to programs or activities 
conducted by Executive agencies and not to federally assisted programs.

[51 FR 4575, 4579, Feb. 5, 1986; 51 FR 7543, Mar. 5, 1986]



Sec. Sec. 1034.104-1034.109  [Reserved]



Sec. 1034.110  Self-evaluation.

    (a) The agency shall, by April 9, 1987, evaluate its current 
policies and practices, and the effects thereof, that do not or may not 
meet the requirements of this part, and, to the extent modification of 
any such policies and practices is required, the agency shall proceed to 
make the necessary modifications.
    (b) The agency shall provide an opportunity to interested persons, 
including handicapped persons or organizations representing handicapped 
persons, to participate in the self-evaluation process by submitting 
comments (both oral and written).
    (c) The agency shall, until three years following the completion of 
the self-evaluation, maintain on file and make available for public 
inspections:
    (1) A description of areas examined and any problems identified, and
    (2) A description of any modifications made.



Sec. 1034.111  Notice.

    The agency shall make available to employees, applicants, 
participants, beneficiaries, and other interested persons such 
information regarding the provisions of this part and its applicability 
to the programs or activities conducted by the agency, and make such 
information available to them in such manner as the head of the agency 
finds necessary to apprise such persons of the protections against 
discrimination assured them by section 504 and this regulation.

[[Page 130]]



Sec. Sec. 1034.112-1034.129  [Reserved]



Sec. 1034.130  General prohibitions against discrimination.

    (a) No qualified handicapped person shall, on the basis of handicap, 
be excluded from participation in, be denied the benefits of, or 
otherwise be subjected to discrimination under any program or activity 
conducted by the agency.
    (b)(1) The agency, in providing any aid, benefit, or service, may 
not, directly or through contractual, licensing, or other arrangements, 
on the basis of handicap--
    (i) Deny a qualified handicapped person the opportunity to 
participate in or benefit from the aid, benefit, or service;
    (ii) Afford a qualified handicapped person an opportunity to 
participate in or benefit from the aid, benefit, or service that is not 
equal to that afforded others;
    (iii) Provide a qualified handicapped person with an aid, benefit, 
or service that is not as effective in affording equal opportunity to 
obtain the same result, to gain the same benefit, or to reach the same 
level of achievement as that provided to others;
    (iv) Provide different or separate aid, benefits, or services to 
handicapped persons or to any class of handicapped persons than is 
provided to others unless such action is necessary to provide qualified 
handicapped persons with aid, benefits, or services that are as 
effective as those provided to others;
    (v) Deny a qualified handicapped person the opportunity to 
participate as a member of planning or advisory boards; or
    (vi) Otherwise limit a qualified handicapped person in the enjoyment 
of any right, privilege, advantage, or opportunity enjoyed by others 
receiving the aid, benefit, or service.
    (2) The agency may not deny a qualified handicapped person the 
opportunity to participate in programs or activities that are not 
separate or different, despite the existence of permissibly separate or 
different programs or activities.
    (3) The agency may not, directly or through contractual or other 
arrangements, utilize criteria or methods of administration the purpose 
or effect of which would--
    (i) Subject qualified handicapped persons to discrimination on the 
basis of handicap; or
    (ii) Defeat or substantially impair accomplishment of the objectives 
of a program or activity with respect to handicapped persons.
    (4) The agency may not, in determining the site or location of a 
facility, make selections the purpose or effect of which would--
    (i) Exclude handicapped persons from, deny them the benefits of, or 
otherwise subject them to discrimination under any program or activity 
conducted by the agency; or
    (ii) Defeat or substantially impair the accomplishment of the 
objectives of a program or activity with respect to handicapped persons.
    (5) The agency, in the selection of procurement contractors, may not 
use criteria that subject qualified handicapped persons to 
discrimination on the basis of handicap.
    (c) The exclusion of nonhandicapped persons from the benefits of a 
program limited by Federal statute or Executive order to handicapped 
persons or the exclusion of a specific class of handicapped persons from 
a program limited by Federal statute or Executive order to a different 
class of handicapped persons is not prohibited by this part.
    (d) The agency shall administer programs and activities in the most 
integrated setting appropriate to the needs of qualified handicapped 
persons.



Sec. Sec. 1034.131-1034.139  [Reserved]



Sec. 1034.140  Employment.

    No qualified handicapped person shall, on the basis of handicap, be 
subjected to discrimination in employment under any program or activity 
conducted by the agency. The definitions, requirements, and procedures 
of section 501 of the Rehabilitation Act of 1973 (29 U.S.C. 791), as 
established by the Equal Employment Opportunity Commission in 29 CFR 
part 1613, shall apply to employment in federally conducted programs or 
activities.

[[Page 131]]



Sec. Sec. 1034.141-1034.148  [Reserved]



Sec. 1034.149  Program accessibility: Discrimination prohibited.

    Except as otherwise provided in Sec. 1034.150, no qualified 
handicapped person shall, because the agency's facilities are 
inaccessible to or unusable by handicapped persons, be denied the 
benefits of, be excluded from participation in, or otherwise be 
subjected to discrimination under any program or activity conducted by 
the agency.



Sec. 1034.150  Program accessibility: Existing facilities.

    (a) General. The agency shall operate each program or activity so 
that the program or activity, when viewed in its entirety, is readily 
accessible to and usable by handicapped persons. This paragraph does 
not--
    (1) Necessarily require the agency to make each of its existing 
facilities accessible to and usable by handicapped persons; or
    (2) Require the agency to take any action that it can demonstrate 
would result in a fundamental alteration in the nature of a program or 
activity or in undue financial and administrative burdens. In those 
circumstances where agency personnel believe that the proposed action 
would fundamentally alter the program or activity or would result in 
undue financial and administrative burdens, the agency has the burden of 
proving that compliance with Sec. 1034.150(a) would result in such 
alteration or burdens. The decision that compliance would result in such 
alteration or burdens must be made by the agency head or his or her 
designee after considering all agency resources available for use in the 
funding and operation of the conducted program or activity, and must be 
accompanied by a written statement of the reasons for reaching that 
conclusion. If an action would result in such an alteration or such 
burdens, the agency shall take any other action that would not result in 
such an alteration or such burdens but would nevertheless ensure that 
handicapped persons receive the benefits and services of the program or 
activity.
    (b) Methods. The agency may comply with the requirements of this 
section through such means as redesign of equipment, reassignment of 
services to accessible buildings, assignment of aides to beneficiaries, 
home visits, delivery of services at alternate accessible sites, 
alteration of existing facilities and construction of new facilities, 
use of accessible rolling stock, or any other methods that result in 
making its programs or activities readily accessible to and usable by 
handicapped persons. The agency is not required to make structural 
changes in existing facilities where other methods are effective in 
achieving compliance with this section. The agency, in making 
alterations to existing buildings, shall meet accessibility requirements 
to the extent compelled by the Architectural Barriers Act of 1968, as 
amended (42 U.S.C. 4151-4157), and any regulations implementing it. In 
choosing among available methods for meeting the requirements of this 
section, the agency shall give priority to those methods that offer 
programs and activities to qualified handicapped persons in the most 
integrated setting appropriate.
    (c) Time period for compliance. The agency shall comply with the 
obligations established under this section by June 6, 1986, except that 
where structural changes in facilities are undertaken, such changes 
shall be made by April 7, 1989, but in any event as expeditiously as 
possible.
    (d) Transition plan. In the event that structural changes to 
facilities will be undertaken to achieve program accessibility, the 
agency shall develop, by October 7, 1986, a transition plan setting 
forth the steps necessary to complete such changes. The agency shall 
provide an opportunity to interested persons, including handicapped 
persons or organizations representing handicapped persons, to 
participate in the development of the transition plan by submitting 
comments (both oral and written). A copy of the transition plan shall be 
made available for public inspection. The plan shall, at a minimum--
    (1) Identify physical obstacles in the agency's facilities that 
limit the accessibility of its programs or activities to handicapped 
persons;

[[Page 132]]

    (2) Describe in detail the methods that will be used to make the 
facilities accessible;
    (3) Specify the schedule for taking the steps necessary to achieve 
compliance with this section and, if the time period of the transition 
plan is longer than one year, identify steps that will be taken during 
each year of the transition period; and
    (4) Indicate the official responsible for implementation of the 
plan.

[51 FR 4575, 4579, Feb. 5, 1986; 51 FR 7543, Mar. 5, 1986]



Sec. 1034.151  Program accessibility: New construction and alterations.

    Each building or part of a building that is constructed or altered 
by, on behalf of, or for the use of the agency shall be designed, 
constructed, or altered so as to be readily accessible to and usable by 
handicapped persons. The definitions, requirements, and standards of the 
Architectural Barriers Act (42 U.S.C. 4151-4157), as established in 41 
CFR 101-19.600 to 101-19.607, apply to buildings covered by this 
section.



Sec. Sec. 1034.152-1034.159  [Reserved]



Sec. 1034.160  Communications.

    (a) The agency shall take appropriate steps to ensure effective 
communication with applicants, participants, personnel of other Federal 
entities, and members of the public.
    (1) The agency shall furnish appropriate auxiliary aids where 
necessary to afford a handicapped person an equal opportunity to 
participate in, and enjoy the benefits of, a program or activity 
conducted by the agency.
    (i) In determining what type of auxiliary aid is necessary, the 
agency shall give primary consideration to the requests of the 
handicapped person.
    (ii) The agency need not provide individually prescribed devices, 
readers for personal use or study, or other devices of a personal 
nature.
    (2) Where the agency communicates with applicants and beneficiaries 
by telephone, telecommunication devices for deaf persons (TDD's) or 
equally effective telecommunication systems shall be used.
    (b) The agency shall ensure that interested persons, including 
persons with impaired vision or hearing, can obtain information as to 
the existence and location of accessible services, activities, and 
facilities.
    (c) The agency shall provide signage at a primary entrance to each 
of its inaccessible facilities, directing users to a location at which 
they can obtain information about accessible facilities. The 
international symbol for accessibility shall be used at each primary 
entrance of an accessible facility.
    (d) This section does not require the agency to take any action that 
it can demonstrate would result in a fundamental alteration in the 
nature of a program or activity or in undue financial and administrative 
burdens. In those circumstances where agency personnel believe that the 
proposed action would fundamentally alter the program or activity or 
would result in undue financial and administrative burdens, the agency 
has the burden of proving that compliance with Sec. 1034.160 would 
result in such alteration or burdens. The decision that compliance would 
result in such alteration or burdens must be made by the agency head or 
his or her designee after considering all agency resources available for 
use in the funding and operation of the conducted program or activity, 
and must be accompanied by a written statement of the reasons for 
reaching that conclusion. If an action required to comply with this 
section would result in such an alteration or such burdens, the agency 
shall take any other action that would not result in such an alteration 
or such burdens but would nevertheless ensure that, to the maximum 
extent possible, handicapped persons receive the benefits and services 
of the program or activity.



Sec. Sec. 1034.161-1034.169  [Reserved]



Sec. 1034.170  Compliance procedures.

    (a) Except as provided in paragraph (b) of this section, this 
section applies to all allegations of discrimination on the basis of 
handicap in programs or activities conducted by the agency.
    (b) The agency shall process complaints alleging violations of 
section 504 with respect to employment according to the procedures 
established by the Equal Employment Opportunity

[[Page 133]]

Commission in 29 CFR part 1613 pursuant to section 501 of the 
Rehabilitation Act of 1973 (29 U.S.C. 791).
    (c) The Office of Equal Employment Opportunity and Minority 
Enterprise shall be responsible for coordinating implementation of this 
section. Complaints may be sent to the Director, Office of Equal 
Employment Opportunity and Minority Enterprise, Consumer Product Safety 
Commission, Washington, D.C. 20207.
    (d) The agency shall accept and investigate all complete complaints 
for which it has jurisdiction. All complete complaints must be filed 
within 180 days of the alleged act of discrimination. The agency may 
extend this time period for good cause.
    (e) If the agency receives a complaint over which it does not have 
jurisdiction, it shall promptly notify the complainant and shall make 
reasonable efforts to refer the complaint to the appropriate government 
entity.
    (f) The agency shall notify the Architectural and Transportation 
Barriers Compliance Board upon receipt of any complaint alleging that a 
building or facility that is subject to the Architectural Barriers Act 
of 1968, as amended (42 U.S.C. 4151-4157), or section 502 of the 
Rehabilitation Act of 1973, as amended (29 U.S.C. 792), is not readily 
accessible to and usable by handicapped persons.
    (g) Within 180 days of the receipt of a complete complaint for which 
it has jurisdiction, the agency shall notify the complainant of the 
results of the investigation in a letter containing--
    (1) Findings of fact and conclusions of law;
    (2) A description of a remedy for each violation found; and
    (3) A notice of the right to appeal.
    (h) Appeals of the findings of fact and conclusions of law or 
remedies must be filed by the complainant within 90 days of receipt from 
the agency of the letter required by Sec. 1034.170(g). The agency may 
extend this time for good cause.
    (i) Timely appeals shall be accepted and processed by the head of 
the agency.
    (j) The head of the agency shall notify the complainant of the 
results of the appeal within 60 days of the receipt of the request. If 
the head of the agency determines that additional information is needed 
from the complainant, he or she shall have 60 days from the date of 
receipt of the additional information to make his or her determination 
on the appeal.
    (k) The time limits cited in paragraphs (g) and (j) of this section 
may be extended with the permission of the Assistant Attorney General.
    (l) The agency may delegate its authority for conducting complaint 
investigations to other Federal agencies, except that the authority for 
making the final determination may not be delegated to another agency.

[51 FR 4575, 4579, Feb. 5, 1986, as amended at 51 FR 4575, Feb. 5, 1986]



Sec. Sec. 1034.171-1034.999  [Reserved]



PART 1051--PROCEDURE FOR PETITIONING FOR RULEMAKING--Table of Contents




Sec.
1051.1 Scope.
1051.2 General.
1051.3 Place of filing.
1051.4 Time of filing.
1051.5 Requirements and recommendations for petitions.
1051.6 Documents not considered petitions.
1051.7 Statement in support of or in opposition to petitions; Duty of 
          petitioners to remain apprised of developments regarding 
          petitions.
1051.8 Public hearings on petitions.
1051.9 Factors the Commission considers in granting or denying 
          petitions.
1051.10 Granting petitions.
1051.11 Denial of petitions.

    Authority: 5 U.S.C. 553(e), 5 U.S.C. 555(e).

    Source: 48 FR 57123, Dec. 28, 1983, unless otherwise noted.



Sec. 1051.1  Scope.

    (a) This part establishes procedures for the submission and 
disposition of petitions for the issuance, amendment or revocation of 
rules under the Consumer Product Safety Act (CPSA) (15 U.S.C. 2051 et 
seq.) or other statutes administered by the Consumer Product Safety 
Commission.
    (b) Persons filing petitions for rulemaking shall follow as closely 
as possible the requirements and are encouraged to follow as closely as 
possible the recommendations for filing petitions under Sec. 1051.5.

[[Page 134]]

    (c) Petitions regarding products regulated under the Federal 
Hazardous Substances Act (FHSA) (15 U.S.C. 1261 et seq.) are governed by 
existing Commission procedures at 16 CFR 1500.82. Petitions regarding 
the exemption of products regulated under the Poison Prevention 
Packaging Act of 1970 (PPPA) (15 U.S.C. 1471 et seq.) are governed by 
existing Commission procedures at 16 CFR part 1702. In addition, 
however, persons filing such petitions shall follow the requirements and 
are encouraged to follow the recommendations for filing petitions as set 
forth in Sec. 1051.5.

[48 FR 57123, Dec. 28, 1983 as amended at 64 FR 48704, Sept. 8, 1999]



Sec. 1051.2  General.

    (a) Any person may file with the Commission a petition requesting 
the Commission to begin a proceeding to issue, amend or revoke a 
regulation under any of the statutes it administers.
    (b) A petition which addresses a risk of injury associated with a 
product which could be eliminated or reduced to a sufficient extent by 
action taken under the Federal Hazardous Substances Act, the Poison 
Prevention Packaging Act of 1970, or the Flammable Fabrics Act may be 
considered by the Commission under those Acts. However, if the 
Commission finds by rule, in accordance with section 30(d) of the CPSA, 
as amended by Public Law 94-284, that it is in the public interest to 
regulate such risk of injury under the CPSA, it may do so. Upon 
determination by the Office of the General Counsel that a petition 
should be considered under one of these acts rather than the CPSA, the 
Office of the Secretary shall docket and process the petition under the 
appropriate act and inform the petitioner of this determination. Such 
docketing, however, shall not preclude the Commission from proceeding to 
regulate the product under the CPSA after making the necessary findings.



Sec. 1051.3  Place of filing.

    A petition should be mailed to: Office of the Secretary, Consumer 
Product Safety Commission, Washington, DC 20207. Persons wishing to file 
a petition in person may do so in the Office of the Secretary, at 4330 
East West Highway, Bethesda, Maryland.

[48 FR 57123, Dec. 28, 1983, as amended at 62 FR 46667, Sept. 4, 1997]



Sec. 1051.4  Time of filing.

    For purposes of computing time periods under this part, a petition 
shall be considered filed when time-date stamped by the Office of the 
Secretary. A document is time-date stamped when it is received in the 
Office of the Secretary.



Sec. 1051.5  Requirements and recommendations for petitions.

    (a) Requirements. To be considered a petition under this part, any 
request to issue, amend or revoke a rule shall meet the requirements of 
this paragraph (a). A petition shall:
    (1) Be written in the English language;
    (2) Contain the name and address of the petitioner;
    (3) Indicate the product (or products) regulated under the Consumer 
Product Safety Act or other statute the Commission administers for which 
a rule is sought or for which there is an existing rule sought to be 
modified or revoked. (If the petition regards a procedural or other rule 
not involving a specific product, the type of rule involved must be 
indicated.)
    (4) Set forth facts which establish the claim that the issuance, 
amendment, or revocation of the rule is necessary (for example, such 
facts may include personal experience; medical, engineering or injury 
data; or a research study); and
    (5) Contain an explicit request to initiate Commission rulemaking 
and set forth a brief description of the substance of the proposed rule 
or amendment or revocation thereof which it is claimed should be issued 
by the Commission. (A general request for regulatory action which does 
not reasonably specify the type of action requested shall not be 
sufficient for purposes of this subsection.)
    (b) Recommendations. The Commission encourages the submission of as 
much information as possible related to the petition. Thus, to assist 
the Commission in its evaluation of a petition, to

[[Page 135]]

the extent the information is known and available to the petitioner, the 
petitioner is encouraged to supply the following information or any 
other information relating to the petition. The petition will be 
considered by the Commission even if the petitioner is unable to supply 
the information recommended in this paragraph (b). However, as 
applicable, and to the extent possible, the petitioner is encouraged to:
    (1) Describe the specific risk(s) of injury to which the petition is 
addressed, including the degree (severity) and the nature of the risk(s) 
of injury associated with the product and possible reasons for the 
existence of the risk of injury (for example, product defect, poor 
design, faulty workmanship, or intentional or unintentional misuse);
    (2) State why a consumer product safety standard would not be 
feasible if the petition requests the issuance of a rule declaring the 
product to be a banned hazardous product; and
    (3) Supply or reference any known documentation, engineering 
studies, technical studies, reports of injuries, medical findings, legal 
analyses, economic analyses and environmental impact analyses relating 
to the petition.
    (c) Procedural recommendations. The following are procedural 
recommendations to help the Commission in its consideration of 
petitions. The Commission requests, but does not require, that a 
petition filed under this part:
    (1) Be typewritten,
    (2) Include the word ``petition'' in a heading preceding the text,
    (3) Specify what section of the statute administered by the 
Commission authorizes the requested rulemaking,
    (4) Include the telephone number of the petitioner, and
    (5) Be accompanied by at least five (5) copies of the petition.



Sec. 1051.6  Documents not considered petitions.

    (a) A document filed with the Commission which addresses a topic or 
involves a product outside the jurisdiction of the Commission will not 
be considered to be a petition. After consultation with the Office of 
the General Counsel, the Office of the Secretary, if appropriate, will 
forward to the appropriate agency documents which address products or 
topics within the jurisdiction of other agencies. The Office of the 
Secretary shall notify the sender of the document that it has been 
forwarded to the appropriate agency.
    (b) Any other documents filed with the Office of the Secretary that 
are determined by the Office of the General Counsel not to be petitions 
shall be evaluated for possible staff action. The Office of the General 
Counsel shall notify the writer of the manner in which the Commission 
staff is treating the document. If the writer has indicated an intention 
to petition the Commission, the Office of the General Counsel shall 
inform the writer of the procedure to be followed for petitioning.



Sec. 1051.7  Statement in support of or in opposition to petitions; Duty of petitioners to remain apprised of developments regarding petitions.

    (a) Any person may file a statement with the Office of the Secretary 
in support of or in opposition to a petition prior to Commission action 
on the petition. Persons submitting statements in opposition to a 
petition are encouraged to provide copies of such statements to the 
petitioner.
    (b) It is the duty of the petitioner, or any person submitting a 
statement in support of or in opposition to a petition, to keep himself 
or herself apprised of developments regarding the petition. Information 
regarding the status of petitions is available from the Office of the 
Secretary of the Commission.
    (c) The Office of the Secretary shall send to the petitioner a copy 
of the staff briefing package on his or her petition at the same time 
the package is transmitted to the Commissioners for decision.



Sec. 1051.8  Public hearings on petitions.

    (a) The Commission may hold a public hearing or may conduct such 
investigation or proceeding, including a public meeting, as it deems 
appropriate to determine whether a petition should be granted.
    (b) If the Commission decides that a public hearing on a petition, 
or any portion thereof, would contribute to its determination of whether 
to grant or

[[Page 136]]

deny the petition, it shall publish in the Federal Register a notice of 
a hearing on the petition and invite interested persons to submit their 
views through an oral or written presentation or both. The hearings 
shall be informal, nonadversary, legislative-type proceedings in 
accordance with 16 CFR part 1052.



Sec. 1051.9  Factors the Commission considers in granting or denying petitions.

    (a) The major factors the Commission considers in deciding whether 
to grant or deny a petition regarding a product include the following 
items:
    (1) Whether the product involved presents an unreasonable risk of 
injury.
    (2) Whether a rule is reasonably necessary to eliminate or reduce 
the risk of injury.
    (3) Whether failure of the Commission to initiate the rulemaking 
proceeding requested would unreasonably expose the petitioner or other 
consumers to the risk of injury which the petitioner alleges is 
presented by the product.
    (4) Whether, in the case of a petition to declare a consumer product 
a ``banned hazardous product'' under section 8 of the CPSA, the product 
is being or will be distributed in commerce and whether a feasible 
consumer product safety standard would adequately protect the public 
from the unreasonable risk of injury associated with such product.
    (b) In considering these factors, the Commission will treat as an 
important component of each one the relative priority of the risk of 
injury associated with the product about which the petition has been 
filed and the Commission's resources available for rulemaking activities 
with respect to that risk of injury. The CPSC Policy on Establishing 
Priorities for Commission Action, 16 CFR 1009.8, sets forth the criteria 
upon which Commission priorities are based.



Sec. 1051.10  Granting petitions.

    (a) The Commission shall either grant or deny a petition within a 
reasonable time after it is filed, taking into account the resources 
available for processing the petition. The Commission may also grant a 
petition in part or deny it in part. If the Commission grants a 
petition, it shall begin proceedings to issue, amend or revoke the rule 
under the appropriate provisions of the statutes under its 
administration. Beginning a proceeding means taking the first step in 
the rulemaking process (issuance of an advance notice of proposed 
rulemaking or a notice of proposed rulemaking, whichever is applicable).
    (b) Granting a petition and beginning a proceeding does not 
necessarily mean that the Commission will issue, amend or revoke the 
rule as requested in the petition. The Commission must make a final 
decision as to the issuance, amendment, or revocation of a rule on the 
basis of all available relevant information developed in the course of 
the rulemaking proceeding. Should later information indicate that the 
action is unwarranted or not necessary, the Commission may terminate the 
proceeding.



Sec. 1051.11  Denial of petitions.

    (a) If the Commission denies a petition it shall promptly notify the 
petitioner in writing of its reasons for such denial as required by the 
Administrative Procedure Act, 5 U.S.C. 555(e).
    (b) If the Commission denies a petition, the petitioner (or another 
party) can refile the petition if the party can demonstrate that new or 
changed circumstances or additional information justify reconsideration 
by the Commission.
    (c) A Commission denial of a petition shall not preclude the 
Commission from continuing to consider matters raised in the petition.



PART 1052--PROCEDURAL REGULATIONS FOR INFORMAL ORAL PRESENTATIONS IN PROCEEDINGS BEFORE THE CONSUMER PRODUCT SAFETY COMMISSION--Table of Contents




Sec.
1052.1 Scope and purpose.
1052.2 Notice of opportunity for oral presentation.
1052.3 Conduct of oral presentation.
1052.4 Presiding officer; appointment, duties, powers.


[[Page 137]]


    Authority: 15 U.S.C. 1193(d), 15 U.S.C. 2058(d)(2), 15 U.S.C. 
2076(a), and 5 U.S.C. 553(c).

    Source: 48 FR 57122, Dec. 28, 1983, unless otherwise noted.



Sec. 1052.1  Scope and purpose.

    (a) Section 9(d)(2) of the Consumer Product Safety Act, 15 U.S.C. 
2058(d)(2), and section 4(d) of the Flammable Fabrics Act, 15 U.S.C. 
1193(d), provide that certain rules under those statutes shall be 
promulgated pursuant to section 4 of the Administrative Procedure Act, 5 
U.S.C. 553, except that the Commission shall give interested persons an 
opportunity for the oral presentation of data, views or arguments in 
addition to the opportunity to make written submissions. Several 
rulemaking provisions of the statutes administered by the Commission are 
subject only to the rulemaking procedures of the Administrative 
Procedure Act. Section 4(c) of the Administrative Procedure Act provides 
that the opportunity for oral presentations may or may not be granted in 
rulemaking under that section. In addition, section 27(a) of the 
Consumer Product Safety Act, 15 U.S.C. 2076(a), authorizes informal 
proceedings that can be conducted in non-rulemaking investigatory 
situations.
    (b) This part sets forth rules of procedure for the oral 
presentation of data, views or arguments in the informal rulemaking or 
investigatory situations described in subsection (a) of this section. In 
situations where the opportunity for an oral presentation is not 
required by statute, the Commission will determine whether to provide 
the opportunity on a case-by-case basis.



Sec. 1052.2  Notice of opportunity for oral presentation.

    The Commission will publish in the Federal Register notice of 
opportunity for an oral presentation in each instance. The notice shall 
be sufficiently in advance of the oral presentation to allow interested 
persons to participate. If the oral presentation involves a proposed 
rule, the notice of opportunity may be in the notice proposing the rule 
or in a later, separate Federal Register notice.



Sec. 1052.3  Conduct of oral presentation.

    (a) The purpose of the oral presentation is to afford interested 
persons an opportunity to participate in person in the Commission's 
rulemaking or other proceedings and to help inform the Commission of 
relevant data, views and arguments.
    (b) The oral presentation, which shall be taped or transcribed, 
shall be an informal, non-adversarial legislative-type proceeding at 
which there will be no formal pleadings or adverse parties.
    (c) The proceedings for the oral presentation shall be conducted 
impartially, thoroughly, and expeditiously to allow interested persons 
an opportunity for oral presentation of data, views or arguments.



Sec. 1052.4  Presiding officer; appointment, duties, powers.

    (a) For oral presentations, the presiding officer shall either be 
the Chairman of the Commission or a presiding officer shall be appointed 
by the Chairman with the concurrence of the Commission.
    (b) The presiding officer shall chair the proceedings, shall make 
appropriate provision for testimony, comments and questions, and shall 
be responsible for the orderly conduct of the proceedings. The presiding 
officer shall have all the powers necessary or appropriate to contribute 
to the equitable and efficient conduct of the oral proceedings including 
the following:
    (1) The right to apportion the time of persons making presentations 
in an equitable manner in order to complete the presentations within the 
time period allotted for the proceedings.
    (2) The right to terminate or shorten the presentation of any party 
when, in the view of the presiding officer, such presentation is 
repetitive or is not relevant to the purpose of the proceedings.
    (3) The right to confine the presentations to the issues specified 
in the notice of oral proceeding or, where no issues are specified, to 
matters pertinent to the proposed rule or other proceeding.
    (4) The right to require a single representative to present the 
views of two or more persons or groups who have

[[Page 138]]

the same or similar interests. The presiding officer shall have the 
authority to identify groups or persons with the same or similar 
interests in the proceedings.
    (c) The presiding officer and Commission representatives shall have 
the right to question persons making an oral presentation as to their 
testimony and any other relevant matter.



PART 1061--APPLICATIONS FOR EXEMPTION FROM PREEMPTION--Table of Contents




Sec.
1061.1 Scope and purpose.
1061.2 Definitions.
1061.3 Statutory considerations.
1061.4 Threshold requirements for applications for exemption.
1061.5 Form of applications for exemption.
1061.6 Contents of applications for exemption.
1061.7 Documentation of the State or local requirement.
1061.8 Information on the heightened degree of protection afforded.
1061.9 Information about the effect on interstate commerce.
1061.10 Information on affected parties.
1061.11 Incomplete or insufficient applications.
1061.12 Commission consideration on merits.

    Authority: 15 U.S.C. 2075; 15 U.S.C. 1261n; 15 U.S.C. 1203; 15 
U.S.C. 1476.

    Source: 56 FR 3416, Jan. 30, 1991, unless otherwise noted.



Sec. 1061.1  Scope and purpose.

    (a) This part applies to the submission and consideration of 
applications by State and local governments for exemption from 
preemption by statutes, standards, and regulations of the Consumer 
Product Safety Commission.
    (b) This part implements section 26 of the Consumer Product Safety 
Act (CPSA) (15 U.S.C. 2075), section 18 of the Federal Hazardous 
Substances Act (FHSA) (15 U.S.C. 1261n), section 16 of the Flammable 
Fabrics Act (FFA) (15 U.S.C. 1203), and section 7 of the Poison 
Prevention Packaging Act (PPPA) (15 U.S.C. 1476), all as amended.



Sec. 1061.2  Definitions.

    For the purposes of this part:
    (a) Commission means the Consumer Product Safety Commission.
    (b) Commission's statutory preemption provisions and statutory 
preemption provisions means section 26 of the CPSA (15 U.S.C. 2075), 
section 18 of the FHSA (15 U.S.C. 1261n), section 16 of the FFA (15 
U.S.C. 1203) and section 7 of the PPPA (15 U.S.C. 1476).
    (c) Commission statute, standard, or regulation means a statute, 
standard, regulation, or requirement that is designated as having a 
preemptive effect by the Commission's statutory preemption provisions.
    (d) State means a State, the District of Columbia, the Commonwealth 
of Puerto Rico, the Virgin Islands, Guam, Wake Island, Midway Island, 
Kingman Reef, Johnston Island, the Canal Zone, American Samoa, or the 
Trust Territory of the Pacific Islands.
    (e) Local government means any political subdivision of a State 
having the authority to establish or continue in effect any standard, 
regulation, or requirement that has the force of law and is applicable 
to a consumer product.
    (f) State or local requirement means any statute, standard, 
regulation, ordinance, or other requirement that applies to a product 
regulated by the Commission, that is issued by a State or local 
government, and that is intended to have the force of law when in 
effect.



Sec. 1061.3  Statutory considerations.

    (a) The Commission's statutory preemption provisions provide, 
generally, that whenever consumer products are subject to certain 
Commission statutes, standards, or regulations, a State or local 
requirement applicable to the same product is preempted, i.e., 
superseded and made unenforceable, if both are designed to protect 
against the same risk of injury or illness, unless the State or local 
requirement is identical to the Commission's statutory requirement, 
standard, or regulation. A State or local requirement is not preempted 
if the product it is applicable to is for the State or local 
government's own use and the requirement provides a higher degree of 
protection than the Commission's statutory requirement, standard, or 
regulation.
    (b) The Commission's statutory preemption provisions provide, 
generally, that if a State or local government

[[Page 139]]

wants to enforce its own requirement that is preempted, the State or 
local government must seek an exemption from the Commission before any 
such enforcement. The Commission may, by regulation, exempt a State or 
local requirement from preemption if it finds that the State or local 
requirement affords a significantly higher degree of protection than the 
Commission's statute, standard, or regulation, and that it does not 
unduly burden interstate commerce. Such findings must be included in any 
exemption regulation.



Sec. 1061.4  Threshold requirements for applications for exemption.

    (a) The Commission will consider an application for preemption on 
its merits, only if the application demonstrates all of the following:
    (1) The State or local requirement has been enacted or issued in 
final form by an authorized official or instrumentality of the State or 
local government. For purposes of this section, a State or local 
requirement may be considered to have been enacted or issued in final 
form even though it is preempted by a Commission standard or regulation.
    (2) The applicant is an official or instrumentality of a State or 
local government having authority to act for, or on behalf of, that 
government in applying for an exemption from preemption for the safety 
requirement referred to in the application.
    (3) The State or local requirement is preempted under a Commission 
statutory preemption provision by a Commission statute, standard, or 
regulation. A State or local requirement is preempted if the following 
tests are met:
    (i) There is a Commission statute, standard, or regulation in effect 
that is applicable to the product covered by the State or local 
requirement.
    (ii) The Commission statute, standard, or regulation is designated 
as having a preemptive effect under a statutory preemption provision.
    (iii) The State or local requirement is designed to protect against 
the same risk of injury or illness as that addressed by the Commission 
statute, standard, or regulation.
    (iv) The State or local requirement is not identical to the 
Commission statute, standard, or regulation.
    (b) State and local governments may contact the Commission's Office 
of the General Counsel to obtain informal advice on whether a State or 
local requirement meets the threshold requirements of paragraph (a) of 
this section.



Sec. 1061.5  Form of applications for exemption.

    An application for exemption shall:
    (a) Be written in the English language.
    (b) Clearly indicate that it is an application for an exemption from 
preemption by a Commission statute, standard, or regulation.
    (c) Identify the State or local requirement that is the subject of 
the application and give the date it was enacted or issued in final 
form.
    (d) Identify the specific Commission statute, standard, or 
regulation that is believed to preempt the State or local requirement.
    (e) Contain the name and address of the person, branch, department, 
agency, or other instrumentality of the State or local government that 
should be notified of the Commission's actions concerning the 
application.
    (f) Document the applicant's authority to act for, or on behalf of, 
the State or local government in applying for an exemption from 
preemption for the particular safety requirement in question.
    (g) Be signed by an individual having authority to apply for the 
exemption from federal preemption on behalf of the applicant.
    (h) Be submitted, in five copies, to the Secretary, Consumer Product 
Safety Commission, Washington, DC 20207.



Sec. 1061.6  Contents of applications for exemption.

    Applications for exemption shall include the information specified 
in Sec. Sec. 1061.7 through 1061.10. More generally, a State or local 
government seeking an exemption should provide the Commission with the 
most complete information possible in support of the findings the 
Commission is required to make in issuing an exemption

[[Page 140]]

regulation. If any of the specified information is omitted because it is 
unavailable or not relevent, such omission should be explained in the 
application.



Sec. 1061.7  Documentation of the State or local requirement.

    An application for an exemption from preemption shall contain the 
following information:
    (a) A copy of the State or local requirement that is the subject of 
the application. Where available, the application shall also include 
copies of any legislative history or background materials used in 
issuing the requirement, including hearing reports or studies concerning 
the development or consideration of the requirement.
    (b) A written explanation of why compliance with the State or local 
requirement would not cause the product to be in violation of the 
applicable Commission statute, standard, or regulation.



Sec. 1061.8  Information on the heightened degree of protection afforded.

    An application for an exemption from preemption shall also contain 
information demonstrating that the State or local requirement provides a 
significantly higher degree of protection from the risk of injury or 
illness than the preempting Commission statute, standard, or regulation. 
More specifically, an application shall contain:
    (a) A description of the risk of injury or illness addressed by the 
State or local requirement.
    (b) A detailed explanation of the State or local requirement and its 
rationale.
    (c) An analysis of differences between the State or local 
requirement and the Commission statute, standard, or regulation.
    (d) A detailed explanation of the State or local test method and its 
rationale.
    (e) Information comparing available test results for the Commission 
statute, standard, or regulation and the State or local requirement.
    (f) Information to show hazard reduction as a result of the State or 
local requirement, including injury data and results of accident 
simulation.
    (g) Any other information that is relevant to applicant's contention 
that the State or local requirement provides a significantly higher 
degree of protection than does the Commission statute, standard, or 
regulation.
    (h) Information regarding enforcement of the State or local 
requirement and sanctions that could be imposed for noncompliance.



Sec. 1061.9  Information about the effect on interstate commerce.

    An application for exemption from preemption shall provide 
information on the effect on interstate commerce a granting of the 
requested exemption would be expected to cause, including the extent of 
the burden and the benefit to public health and safety that would be 
provided by the State or local requirement. More specifically, 
applications for exemption shall include, where available, information 
showing:
    (a) That it is technologically feasible to comply with the State or 
local requirement. Evidence of technological feasibility could take the 
form of:
    (1) Statements by affected persons indicating ability to comply with 
the State or local government requirement.
    (2) Statements indicating that other jurisdictions have established 
similar requirements that have been, or could be, met by persons 
affected by the requirement that is the subject of the application.
    (3) Information as to technological product or process modifications 
necessary to achieve compliance with the State or local requirement.
    (4) Any other information indicating the technological feasibility 
of compliance with the State or local requirement.
    (b) That it is economically feasible to comply with the State or 
local requirement, i.e., that there would not be significant adverse 
effects on the production and distribution of the regulated products. 
Evidence of economic feasibility could take the form of:
    (1) Information showing that the State or local requirement would 
not result in the unavailability (or result in a significant decline in 
the availability) of the product, either in the

[[Page 141]]

interstate market or within the geographic boundary of the State or 
local government imposing the requirement.
    (2) Statements from persons likely to be affected by the State or 
local requirement concerning the anticipated effect of the requirement 
on the availability or continued marketing of the product.
    (3) Any other information indicating the economic impact of 
compliance with the State or local requirement, such as projections of 
the anticipated effect of the State or local requirement on the sales 
and prices of the product, both in interstate commerce and within the 
geographic area of the State or local government.
    (c) The present geographic distribution of the product to which the 
State or local requirement would apply, and projections of future 
geographic distribution. Evidence of the geographic distribution could 
take the form of governmental or private information or data (including 
statements from manufacturers, distributors, or retailers of the 
product) showing advertising in the interstate market, interstate 
retailing, or interstate distribution.
    (d) The probability of other States or local governments applying 
for an exemption for a similar requirement. Evidence of the probability 
that other States or local governments would apply for an exemption 
could take the form of statements from other States or local governments 
indicating their intentions.
    (e) That specified local conditions require the State or local 
government to apply with the exemption in order to adequately protect 
the public health or safety of the State or local area.



Sec. 1061.10  Information on affected parties.

    An application for an exemption from preemption shall include a 
statement which identifies in general terms, parties potentially 
affected by the State or local requirement, especially small businesses, 
including manufacturers, distributors, retailers, consumers, and 
consumer groups.



Sec. 1061.11  Incomplete or insufficient applications.

    (a) If an application fails to meet the threshold requirements of 
Sec. 1061.4(a) of this part, the Office of General Counsel will inform 
the applicant and return the application without prejudice to its being 
resubmitted.
    (b) If an application fails to provide all the information specified 
in Sec. Sec. 1061.5 through 1061.10 of this part, and fails to fully 
explain why it has not been provided, the Office of General Counsel will 
either:
    (1) Return it to the applicant without prejudice to its being 
resubmitted,
    (2) Notify the applicant and allow it to provide the missing 
information, or
    (3) If the deficiencies are minor and the applicant concurs, forward 
it to the Commission for consideration on its merits.
    (c) If the Commission or the Commission staff believes that 
additional information is necessary or useful for a proper evaluation of 
the application, the Commission or Commission staff will promptly 
request the applicant to furnish such additional information.
    (d) If an application is not returned under paragraphs (a) or (b) of 
this section, the Commission will consider it on its merits.



Sec. 1061.12  Commission consideration on merits.

    (a) If the Commission proposes to grant an application for exemption 
it will, in accordance with 5 U.S.C. 553, publish a notice of that fact 
in the Federal Register, including a proposed exemption regulation, and 
provide an opportunity for written and oral comments on the proposed 
exemption by any interested party.
    (b) The Commission will evaluate all timely written and oral 
submissions received from interested parties, as well as any other 
available and relevant information on the proposal.
    (c) The Commission's evaluation will focus on:
    (1) Whether the State or local requirement provides a significantly 
higher degree of protection than the Commission statute or regulation 
from the risk of injury or illness that they both address.

[[Page 142]]

    (2) Whether the State or local requirement would unduly burden 
interstate commerce if the grant of the exemption from preemption allows 
it to go into effect. The Commission will evaluate these factors in 
accordance with the Commission's statutory preemption provisions and 
their legislative history.
    (3) Whether compliance with the State or local requirements would 
not cause the product to be in violation of the applicable Commission 
statute, standard, or regulation.
    (d) If, after evaluating the record, the Commission determines to 
grant an exemption, it will publish a final exemption regulation, 
including the findings required by the statutory preemption provisions, 
in the Federal Register.
    (e) If the Commission denies an application, whether or not 
published for comment, it will publish its reasons for doing so in the 
Federal Register.

[[Page 143]]



          SUBCHAPTER B--CONSUMER PRODUCT SAFETY ACT REGULATIONS



PART 1101--INFORMATION DISCLOSURE UNDER SECTION 6(b) OF THE CONSUMER PRODUCT SAFETY ACT--Table of Contents




                          Subpart A--Background

Sec.
1101.1 General background.
1101.2 Scope.

  Subpart B--Information Subject to Notice and Analysis Provisions of 
                             Section 6(b)(1)

1101.11 General application of provisions of section 6(b)(1).
1101.12 Commission must disclose information to the public.
1101.13 Public ability to ascertain readily identity of manufacturer or 
          private labeler.

  Subpart C--Procedure for Providing Notice and Opportunity to Comment 
                          Under Section 6(b)(1)

1101.21 Form of notice and opportunity to comment.
1101.22 Timing: request for time extensions.
1101.23 Providing less than 30 days notice before disclosing 
          information.
1101.24 Scope of comments Commission seeks.
1101.25 Notice of intent to disclose.
1101.26 Circumstances when the Commission does not provide notice and 
          opportunity to comment.

 Subpart D--Reasonable Steps Commission Will Take To Assure Information 
 
      It Discloses Is Accurate, and That Disclosure Is Fair in the 
 
Circumstances and Reasonably Related to Effectuating the Purposes of the 
                           Acts it Administers

1101.31 General requirements.
1101.32 Reasonable steps to assure information is accurate.
1101.33 Reasonable steps to assure information release is fair in the 
          circumstances.
1101.34 Reasonable steps to assure information release is ``reasonably 
          related to effectuating the purposes of the Acts'' the 
          Commission administers.

           Subpart E--Statutory Exceptions of Section 6(b)(4)

1101.41 Generally.
1101.42 Imminent hazard exception.
1101.43 Prohibited acts exception.
1101.44 Rulemaking proceeding exception.
1101.45 Adjudicatory proceeding exception.
1101.46 Other administrative or judicial proceeding exception.

                          Subpart F--Retraction

1101.51 Commission interpretation.
1101.52 Procedure for retraction.

 Subpart G--Information Submitted Pursuant to Section 15(b) of the CPSA

1101.61 Generally.
1101.62 Statutory exceptions to section 6(b)(5) requirements.
1101.63 Information submitted pursuant to section 15(b) of the CPSA.

         Subpart H--Delegation of Authority to Information Group

1101.71 Delegation of authority.

    Authority: Sec. 6(b) of Pub. L. 92-573, 86 Stat. 1212, as amended by 
Pub. L. No. 97-35, 95 Stat. 703-25 (15 U.S.C. 2055(b)); 5 U.S.C. 553.

    Source: 48 FR 57430, Dec. 29, 1983, unless otherwise noted.



                          Subpart A--Background



Sec. 1101.1  General background.

    (a) Basic purpose. This rule sets forth the Consumer Product Safety 
Commission's policy and procedure under sections 6(b)(1)-(5) of the 
Consumer Product Safety Act (CPSA) (15 U.S.C. 2055(b)(1)-(5)) which 
relate to public disclosure of information from which the identity of a 
manufacturer or private labeler of a product can be readily ascertained. 
In addition, these rules provide for retraction of inaccurate or 
misleading information the Commission has disclosed that reflects 
adversely on the safety of a consumer product or class of products or on 
the practices of any manufacturer, private labeler, distributor or 
retailer of consumer products as required by section 6(b)(7) of the CPSA 
(15 U.S.C. 2055(b)(7)).
    (b) Statutory requirements. Section 6(b) establishes procedures that 
the Commission must follow when it releases certain firm specific 
information

[[Page 144]]

to the public and when it retracts certain information it has released.
    (1) Generally, section 6(b)(1) requires the Commission to provide 
manufacturers or private labelers with advance notice and opportunity to 
comment on information the Commission proposes to release, if the public 
can readily ascertain the identity of the firm from the information. 
Section 6(b)(1) also requires the Commission to take reasonable steps to 
assure that the information is accurate and that disclosure is fair in 
the circumstances and reasonably related to effectuating the purposes of 
the Acts administered by the Commission. Disclosure of information may 
not occur in fewer than 30 days after notice to the manufacturer or 
private labeler unless the Commission finds the public health and safety 
requires a lesser period of notice. Exceptions to these requirements are 
established in section 6(b)(4). Additional limitations on the disclosure 
of information reported to the Commission under section 15(b) of the 
CPSA are established in section 6(b)(5).
    (2) Section 6(b)(2) requires the Commission to provide further 
notice to manufacturers or private labelers where the Commission 
proposes to disclose product-specific information the firms have claimed 
to be inaccurate.
    (3) Section 6(b)(3) authorizes manufacturers and private labelers to 
bring lawsuits against the Commission to prevent disclosure of product-
specific information after the firms have received the notice specified.
    (c) Internal clearance procedures. Section 6(b)(6) requires the 
Commission to establish internal clearance procedures for Commission 
initiated disclosures of information that reflect on the safety of a 
consumer product or class of products, even if the information is not 
product specific. This rule does not address section 6(b)(6) because the 
Commission has internal clearance procedures in its directives system. 
(Directive 1450.2 ``Clearance Procedures for Commission Staff to Use in 
Providing Information to the Public.'' April 27, 1983.



Sec. 1101.2  Scope.

    Section 6(b) and these rules apply to information concerning 
products subject to the CPSA (15 U.S.C. 2051-2085), and to the four 
other acts the Commission administers (transferred acts). These 
transferred acts are the Flammable Fabrics Act, 15 U.S.C. 1191-1204 
(FFA); the Poison Prevention Packaging Act of 1970, 15 U.S.C. 1471-1476 
(PPPA); the Federal Hazardous Substances Act, 15 U.S.C. 1261-1276 
(FHSA); and the Refrigerator Safety Act, 15 U.S.C. 1211-1214 (RSA). See 
section 6(b)(1) of the CPSA, 15 U.S.C. 2055(d)(1).



  Subpart B--Information Subject to Notice and Analysis Provisions of 
                             Section 6(b)(1)



Sec. 1101.11  General application of provisions of section 6(b)(1).

    (a) Information subject to section 6(b)(1). To be subject to the 
notice and analysis provisions of section 6(b)(1), information must meet 
all the following criteria:
    (1) The information must pertain to a specific product which is 
either designated or described in a manner which permits its identity to 
be ascertained readily by the public.
    (2) The information must be obtained, generated or received by the 
Commission as an entity or by individual members, employees, agents, 
contractors or representatives of the Commission acting in their 
official capacities.
    (3) The Commission or its members, employees, agents or 
representatives must propose to disclose the information to the public 
(see Sec. 1101.12).
    (4) The manner in which the product is designated or described in 
the information must permit the public to ascertain readily the identity 
of the manufacturer or private labeler. [See Sec. 1101.13.]
    (b) Information not subject to section 6(b)(1). The requirements of 
section 6(b)(1) do not apply to:
    (1) Information described in the exclusions contained in section 
6(b)(4) of the CPSA (see subpart E of this rule).
    (2) Information the Commission is required by law to make publicly 
available. This information includes, for example, Commission 
notifications to foreign governments regarding certain products to be 
exported, as required by section 18(b) of the CPSA, 15 U.S.C.

[[Page 145]]

2068(b); section 14(d) of the FHSA, 15 U.S.C. 1273(d); and section 15(c) 
of the FFA, 15 U.S.C. 1202(c). (See the Commission's Export Policy 
Statement, 16 CFR part 1017.)
    (3) Information required to be disclosed to the President and 
Congress pursuant to section 27(j) of the CPSA, 15 U.S.C. 2076(j).
    (4) Press releases issued by firms.
    (5) Information filed or presented in administrative proceedings or 
litigation to which the Commission is a party and which is not expressly 
subject to the section 6(b)(4) exceptions.



Sec. 1101.12  Commission must disclose information to the public.

    Public. For the purposes of section 6(b)(1), the public includes any 
person except:
    (a) Members, employees, agents, representatives and contractors of 
the Commission, in their official capacity.
    (b) State officials who are commissioned officers under section 
29(a)(2) of the CPSA, 15 U.S.C. 2078(a)(2), to the extent that the 
Commission furnishes them information necessary for them to perform 
their duties under that section. Such officials may not release to the 
public copies of such information unless the Commission has complied 
with section 6(b) or the information falls within an exception to 
section 6(b).
    (c) Members of a Commission Chronic Hazard Advisory Panel 
established under section 28 of the CPSA (15 U.S.C. 2077). However, 
disclosures of information by such a Panel are subject to section 6(b).
    (d) The persons or firms to whom the information to be disclosed 
pertains, or their legal representatives.
    (e) The persons or firms who provided the information to the 
Commission, or their legal representatives.
    (f) Other Federal agencies or state or local governments to whom 
accident and investigation reports are provided pursuant to section 
29(e) of the CPSA (15 U.S.C. 2078(e)). However, as required by that 
section, employees of Federal agencies or state or local governments may 
not release to the public copies of any accident or investigation report 
made under the CPSA by an officer, employee or agent of the Commission 
unless CPSC has complied with the applicable requirements of section 
6(b).
    (g) The Chairman or ranking minority member of a committee or 
subcommittee of Congress acting pursuant to committee business and 
having jurisdiction over the matter which is the subject of the 
information requested.



Sec. 1101.13  Public ability to ascertain readily identity of manufacturer or private labeler.

    The advance notice and analysis provisions of section 6(b)(1) apply 
only when a reasonable person receiving the information in the form in 
which it is to be disclosed and lacking specialized expertise can 
readily ascertain from the information itself the identity of the 
manufacturer or private labeler of a particular product. The Commission 
will provide the advance notice and opportunity to comment if there is a 
question whether the public could readily ascertain the identity of a 
manufacturer or private labeler.



  Subpart C--Procedure for Providing Notice and Opportunity To Comment 
                          Under Section 6(b)(1)



Sec. 1101.21  Form of notice and opportunity to comment.

    (a) Notice may be oral or written. The Commission will generally 
provide to manufacturers or private labelers written notice and 
opportunity to comment on information subject to section 6(b)(1). 
However, when the Commission makes a public health and safety finding 
pursuant to section 6(b)(1) of the CPSA, the Commission may determine 
that it is necessary to provide the notice and opportunity to comment 
orally, either in person or by telephone.
    (b) Content of notice. The Commission will provide the manufacturer 
or private labeler with:
    (1) Either the actual text of the information to be disclosed or, if 
appropriate, a summary of the information.
    (2) A general description of the manner in which the Commission will 
disclose the information, including any other relevant information the 
Commission intends to include with the disclosure. If the Commission 
advises that the form of disclosure will be by press

[[Page 146]]

release, for example, the Commission need not provide further notice to 
disclose a summary of the press release.
    (3) A request for comment with respect to the information, including 
a request for explanatory data or other relevant information for the 
Commission's consideration.
    (4) A statement that, in the absence of a specific request by a firm 
that its comments be withheld from disclosure, the Commission will 
release to the public the firm's comments (or a summary thereof prepared 
by the firm or, if the firm declines to do so, by the Commission).
    (5) A statement that a request that comments be withheld from 
disclosure will be honored.
    (6) Notice that the firm may request confidential treatment for the 
information, in accordance with section 6(a)(3) of the Consumer Product 
Safety Act, 15 U.S.C. 2055(a)(3) (see Sec. 1101.24(b)).
    (7) A statement that no further request for comment will be sought 
by the Commission if it intends to disclose the identical information in 
the same format, unless the firm specifically requests the opportunity 
to comment on subsequent information disclosures.
    (8) The name, address, and telephone number of the person to whom 
comments should be sent and the time when any comments are due (see 
Sec. 1101.22).



Sec. 1101.22  Timing: request for time extensions.

    (a) Time for comment. (1) Generally firms will receive a minimum of 
twenty (20) calendar days from the date of the letter in which the 
Commission transmits the notice to furnish comments to the Commission. 
Firms that receive requests for comments by mail will receive an 
additional three (3) days to comment to account for time in the mail.
    (2) Upon his or her own initiative or upon request, the Freedom of 
Information Officer may provide a different amount of time for comment, 
particularly for firms that receive voluminous or complex material. In 
addition, the Commission may find that the public health and safety 
requires a lesser period of notice and may require a response in a 
shorter period of time (see Sec. 1101.24).
    (b) No response submitted. (1) If the Commission has not received a 
response within the time specified and if it has received no request for 
extension of time, the Commission will analyze the information as 
provided in subpart D. If no comments are submitted the Commission will 
not give the further notice provided in section 6(b)(2).
    (2) Unless the Commission finds that the public health and safety 
requires a lesser period of notice (see Sec. 1101.23), the Commission 
will not disclose the information in fewer than 30 days after providing 
a manufacturer or private labeler notice and opportunity to comment.
    (c) Requests for time extension. (1) Requests for extension of time 
to comment on information to be disclosed must be made to the person who 
provided the Commission's notice and opportunity to comment. The request 
for time extension may be either oral or written. An oral request for a 
time extension must be promptly confirmed in writing.
    (2) Requests for extension of time must explain with specificity why 
the extension is needed and how much additional time is required.
    (3) The Commission will promptly respond to requests for extension 
of time.



Sec. 1101.23  Providing less than 30 days notice before disclosing information.

    There are two circumstances in which the Commission may disclose to 
the public information subject to section 6(b)(1) in a time less than 30 
days after providing notice to the manufacturer or private labeler.
    (a) Firm agrees to lesser period or does not object to disclosure. 
The Commission may disclose to the public information subject to section 
6(b)(1) before the 30-day period expires when, after receiving the 
Commission's notice and opportunity to comment, the firm involved agrees 
to the earlier disclosure; notifies the Commission that it has no 
comment; or notifies the Commission that it does not object to 
disclosure.
    (b) Commission finding a lesser period is required. Section 6(b)(1) 
provides that

[[Page 147]]

the Commission may find that the public health and safety requires a 
lesser period of notice than the 30 days advance notice that section 
6(b)(1) generally requires. The Commission may determine that the public 
health and safety requires less than 30 days advance notice, for 
example, to warn the public quickly because individuals may be in danger 
from a product hazard or a potential hazard, or to correct product 
safety information released by third persons, which mischaracterizes 
statements made by the Commission about the product or which attributes 
to the Commission statements about the product which the Commission did 
not make.
    (c) Notice of finding. The Commission will inform a manufacturer or 
private labeler of a product which is the subject of a public health and 
safety finding that the public health and safety requires less than 30 
days advance notice either orally or in writing, depending on the 
immediacy of the need for quick action; and the Commission will publish 
the finding in the Federal Register. Disclosure may be made concurrently 
with the filing of the Federal Register notice and need not await its 
publication. However, where applicable, before releasing information, 
the Commission will comply with the requirements of section 6(b) (1) and 
(2) by giving the firm the opportunity to comment on the information, 
either orally or in writing depending on the immediacy of the need for 
quick action, and by giving the firm advance notice before disclosing 
information claimed by a manufacturer or private labeler to be 
inaccurate (see Sec. 1101.25).



Sec. 1101.24  Scope of comments Commission seeks.

    (a) Comment in regard to the information. The section 6(b) 
opportunity to comment on information is intended to permit firms to 
furnish information and data to the Commission to assist the agency in 
its evaluation of the accuracy of the information. A firm's submission, 
therefore, must be specific and should be accompanied by documentation, 
where available, if the comments are to assist the Commission in its 
evaluation of the information. Comments of a general nature, such as 
general suggestions or allegations that a document is inaccurate or that 
the Commission has not taken reasonable steps to assure accuracy, are 
not sufficient to assist the Commission in its evaluation of the 
information or to justify a claim of inaccuracy. The weight accorded a 
firm's comments on the accuracy of information and the degree of 
scrutiny which the Commission will exercise in evaluating the 
information will depend on the specificity and completeness of the 
firm's comments and of the accompanying documentation. In general, 
specific comments which are accompanied by documentation will be given 
more weight than those which are undocumented and general in nature.
    (b) Claims of confidentiality. If the manufacturer or private 
labeler believes the information involved cannot be disclosed because of 
section 6(a)(2) of the CPSA (15 U.S.C. 2055(a)(2)), which pertains to 
trade secret or other confidential material, the firm may make claims of 
confidentiality at the time it submits its comments to the Commission 
under this section. Such claims must identify the specific information 
which the firm believes to be confidential or trade secret material and 
must state with specificity the grounds on which the firm bases it 
claims. (See Commission's Freedom of Information Act regulation, 16 CFR 
part 1015, particularly 16 CFR 1015.18.)
    (c) Requests for nondisclosure of comments. If a firm objects to 
disclosure of its comments or a portion thereof, it must notify the 
Commission at the time it submits its comments. If the firm objects to 
the disclosure of a portion of its comments, it must identify those 
portions which should be withheld.



Sec. 1101.25  Notice of intent to disclose.

    (a) Notice to manufacturer or private labeler. In accordance with 
section 6(b)(2) of the CPSA, if the Commission, after following the 
notice provisions of section 6(b)(1), determines that information 
claimed to be inaccurate by a manufacturer or private labeler in 
comments submitted under section 6(b)(1) should be disclosed because the 
Commission believes it has complied with section 6(b)(1), the Commission

[[Page 148]]

shall notify the manufacturer or private labeler that it intends to 
disclose the information not less than 10 working days after the date of 
the receipt of notification by the firm. The notice of intent to 
disclose will include an explanation of the reason for the Commission's 
decision, copies of any additional materials, such as explanatory 
statements and letters to Freedom of Information Act requesters, which 
were not previously sent to the firm.
    (b) Commission finding a lesser period is required. The Commission 
may determine that the public health and safety requires less than 10 
working days advance notice of its intent to disclose information 
claimed to be inaccurate. For example, the Commission may determine it 
is necessary to warn the public quickly because individuals may be in 
danger from a product hazard or a potential hazard, or to correct 
product safety information released by third persons, which 
mischaracterized statements made by the Commission about the product or 
which attributes to the Commission statements about the product which 
the Commission did not make.
    (c) Notice of findings. The Commission will inform a manufacturer or 
private labeler of a product which is the subject of a public health and 
safety finding that the public health and safety requires less than 10 
days advance notice either orally or in writing, depending on the 
immediacy of the need for quick action; and the Commission will publish 
the finding in the Federal Register. Firms will be notified in advance 
of the date and time, if possible, at which the Commission intends to 
disclose the information. Disclosure may be concurrently with the filing 
of the Federal Register notice and need not await its publication. The 
Federal Register notice prepared under section 6(b)(2) may be submitted 
simultaneously with or after a Federal Register notice prepared under 
section 6(b)(1) (see Sec. 1101.23(c)).



Sec. 1101.26  Circumstances when the Commission does not provide notice and opportunity to comment.

    (a) Notice to the extent practicable. Section 6(b)(1) requires that 
``to the extent practicable'' the Commission must provide manufacturers 
and private labelers notice and opportunity to comment before disclosing 
information from which the public can ascertain readily their identity.
    (b) Circumstances when notice and opportunity to comment is not 
practicable. The Commission has determined that there are various 
circumstances when notice and opportunity to comment is not practicable. 
Examples include the following:
    (1) When the Commission has taken reasonable steps to assure that 
the company to which the information pertains is out of business and has 
no identifiable successor.
    (2) When the information is disclosed in testimony in response to an 
order of the court during litigation to which the Commission is not a 
party.



 Subpart D--Reasonable Steps Commission Will Take To Assure Information 
 
      It Discloses Is Accurate, and That Disclosure Is Fair in the 
 
Circumstances and Reasonably Related to Effectuating the Purposes of the 
                           Acts it Administers



Sec. 1101.31  General requirements.

    (a) Timing of decisions. The Commission will attempt to make its 
decision on disclosure so that it can disclose information in accordance 
with section 6(b) as soon as is reasonably possible after expiration of 
the statutory thirty day moratorium on disclosure.
    (b) Inclusion of comments. In disclosing any information under this 
section, the Commission will include any comments or other information 
submitted by the manufacturer or private labeler unless the manufacturer 
or private labeler at the time it submits its section 6(b) comments 
specifically requests the Commission not to include the comments or to 
include only a designated portion of the comments and disclosure of the 
comments on such a designated portion is not necessary to assure that 
the disclosure of the information which is the subject of the comments 
is fair in the circumstances.

[[Page 149]]

    (c) Explanatory statements. Where appropriate, the Commission will 
accompany the disclosure of information subject to this subpart with an 
explanatory statement that makes the nature of the information disclosed 
clear to the public. Inclusion of an explanatory statement is in 
addition to, and not a substitute for, taking reasonable steps to assure 
the accuracy of information. To the extent it is practical the 
Commission will also accompany the disclosure with any other relevant 
information in its possession that places the released information in 
context.
    (d) Information previously disclosed. If the Commission has 
previously disclosed, in accordance with section 6(b)(1), the identical 
information it intends to disclose again in the same format, it will not 
customarily take any additional steps to assure accuracy unless the 
Commission has some reason to question its accuracy or unless the firm, 
in its comments responding to the Commission's initial section 6(b) 
notice, specifically requests the opportunity to comment on subsequent 
disclosures, or unless the Commission determines that sufficient time 
has passed to warrant seeking section 6(b) comment again. Before 
disclosing the information the Commission will again review the 
information to see if accuracy is called into question and will further 
look to whether disclosure is fair in the circumstances and reasonably 
related to effectuating the purposes of the Acts the Commission 
administers.



Sec. 1101.32  Reasonable steps to assure information is accurate.

    (a) The Commission considers that the following types of actions are 
reasonable steps to assure the accuracy of information it proposes to 
release to the public:
    (1) The Commission staff or a qualified person or entity outside the 
Commission (e.g., someone with requisite training or experience, such as 
a fire marshal, a fire investigator, an electrical engineer, or an 
attending physician) conducts an investigation or an inspection which 
yields or corroborates the product information to be disclosed; or
    (2) The Commission staff conducts a technical, scientific, or other 
evaluation which yields or corroborates the product information to be 
disclosed or the staff obtains a copy of such an evaluation conducted by 
a qualified person or entity; or
    (3) The Commission staff provides the information to be disclosed to 
the person who submitted it to the Commission for review and, if 
necessary, correction, and the submitter confirms the information as 
accurate to the best of the submitter's knowledge and belief, provided 
that:
    (i) The confirmation is made by the person injured or nearly injured 
in an incident involving the product; or
    (ii) The confirmation is made by a person who, on the basis of his 
or her own observation or experience, identifies an alleged safety-
related defect in or problem with such a product even though no incident 
or injury associated with the defect or problem may have occurred; or
    (iii) The confirmation is made by an eyewitness to an injury or 
safety-related incident involving such a product; or
    (iv) The confirmation is made by an individual with requisite 
training or experience who has investigated and/or determined the cause 
of deaths, injuries or safety-related incidents involving such a 
product. Such persons would include, for example, a fire marshal, a fire 
investigator, an electrical engineer, an ambulance attendant, or an 
attending physician; or
    (v) The confirmation is made by a parent or guardian of a child 
involved in an incident involving such a product, or by a person to whom 
a child is entrusted on a temporary basis.
    (b) The steps set forth below are the steps the Commission will take 
to analyze the accuracy of information which it proposes to release to 
the public.
    (1) The Commission will review each proposed disclosure of 
information which is susceptible of factual verification to assure that 
reasonable steps have been taken to assure accuracy in accordance with 
Sec. 1101.32(a).
    (2) As described in subpart C, the Commission will provide a 
manufacturer or private labeler with a summary or text of the 
information the

[[Page 150]]

Commission proposes to disclose and will invite comment with respect to 
that information.
    (3) If the Commission receives no comments or only general, 
undocumented comments claiming inaccuracy, the Commission will review 
the information in accordance with Sec. 1101.32(a) and release it, 
generally without further investigating its accuracy if there is nothing 
on the face of the information that calls its accuracy into question.
    (4) If a firm comments on the accuracy of the information the 
Commission proposes to disclose, the Commission will review the 
information in light of the comments. The degree of review by the 
Commission and the weight accorded a firm's comments will be directly 
related to the specificity and completeness of the firm's comments on 
accuracy and the accompanying documentation. Documented comments will be 
given more weight than undocumented comments. Specific comments will be 
given more weight than general comments. Further steps may be taken to 
determine the accuracy of the information if the Commission determines 
such action appropriate.



Sec. 1101.33  Reasonable steps to assure information release is fair in the circumstances.

    (a) The steps set forth below are the steps the Commission has 
determined are reasonable to take to assure disclosure of information to 
the public is fair in the circumstances:
    (1) The Commission will accompany information disclosed to the 
public with the manufacturer's or private labeler's comments unless the 
manufacturer or private labeler asks in its section 6(b) comments that 
its comments or a designated portion thereof not accompany the 
information.
    (2) The Commission generally will accompany the disclosure of 
information with an explanatory statement that makes the nature of the 
information disclosed clear to the public. The Commission will also take 
reasonable steps to disclose any other relevant information it its 
possession that will assure disclosure is fair in the circumstances.
    (3) The Commission will limit the form of disclosure to that which 
it considers appropriate in the circumstances. For example, the 
Commission may determine it is not appropriate to issue a nationwide 
press release in a particular situation and rather will issue a press 
release directed at certain localities, regions, or user populations.
    (4) The Commission may delay disclosure of information in some 
circumstances. For example, the Commission may elect to postpone an 
information release until an investigation, analysis or test of a 
product is complete, rather than releasing information piecemeal.
    (b) The Commission will not disclose information when it determines 
that disclosure would not be fair in the circumstances. The following 
are examples of disclosures which generally would not be fair in the 
circumstances.
    (1) Disclosure of information furnished by a firm to facilitate 
prompt remedial action or settlement of a case when the firm has a 
reasonable expectation that the information will be maintained by the 
Commission in concidence.
    (2) Disclosure of notes or minutes of meetings to discuss or 
negotiate settlement agreements and of drafts of documents prepared 
during settlement negotiations, where the firm has a reasonable 
expectation that such written materials will be maintained by the 
Commission in confidence.
    (3) Disclosure of the work-product of attorneys employed by a firm 
and information subject to an attorney/client privilege, if the 
Commission has obtained the information from the client or the attorney, 
the attorney or client advises the Commission of the confidential nature 
of the information at the time it is submitted to the Commission, and 
the information has been maintained in confidence by the client and the 
attorney.
    (4) Disclosure of a firm's comments (or a portion thereof) submitted 
under section 6(b)(1) over the firm's objection.

[[Page 151]]



Sec. 1101.34  Reasonable steps to assure information release is ``reasonably related to effectuating the purposes of the Acts'' the Commission administers.

    (a) The steps set forth below are the steps the Commission has 
determined are reasonable to take to assure that the disclosure of 
information to the public effectuates the purposes of the Acts it 
administers.
    (1) Purposes of the CPSA. The Commission will review information to 
determine whether disclosure would be reasonably related to effectuating 
one or more of the specific purposes of the CPSA, as set forth in 
sections 2(b) and 5, 15 U.S.C. 2051(b) and 2054.
    (2) Purposes of the FHSA, FFA, PPPA and RSA. The Commission will 
also review information concerning products subject to the transferred 
acts it administers and to the Commission's specific functions under 
those acts to determine whether disclosure of information would be 
reasonably related to effectuating the purposes of those acts.
    (3) Purposes of the FOIA. FOIA requests will be reviewed to 
determine whether disclosure of the information is reasonably related to 
effectuating one or more of the purposes of the acts administered by the 
Commission. In the event of a close question on this issue, the 
Commission will defer to the purposes of the FOIA. The FOIA establishes 
a general right of the public to have access to information in the 
Commission's possession, particularly information that reveals whether 
the Commission is meeting its statutory responsibilities or information 
upon which the Commission bases a decision that affects the public 
health and safety.
    (b) In reviewing proposed information disclosures, the Commission 
will consider disclosing the material on the basis of whether release of 
the information, when taken as a whole, was prepared or is maintained in 
the course of or to support an activity of the Commission designed to 
accomplish one or more of the statutory purposes.



           Subpart E--Statutory Exceptions of Section 6(b)(4)



Sec. 1101.41  Generally.

    (a) Scope. This subpart describes and interprets the exceptions to 
the requirements of section 6 (b)(1)-(b)(3) that are set forth in 
section 6(b)(4). These exceptions apply to (1) information about a 
product reasonably related to the subject matter of an imminent hazard 
action in federal court; (2) information about a product which the 
Commission has reasonable cause to believe violates the prohibited act 
section of one of the acts the Commission administers and the 
information is reasonably related to the alleged violations; (3) 
information in the course of or concerning a rulemaking proceeding; or 
(4) information in the course of or concerning an adjudicatory, 
administrative or judicial proceeding.
    (b) Application to transferred act. The Commission will apply the 
exceptions contained in section 6(b)(4) to those provisions in the 
transferred acts, comparable to the specific provisions in the CPSA to 
which section 6(b)(4) applies.



Sec. 1101.42  Imminent hazard exception.

    (a) Statutory provision. Section 6(b)(4)(A) provides that the 
requirements of section 6(b)(1) do not apply to public disclosure of 
``information about any consumer product with respect to which product 
the Commission has filed an action under section 12 (relating to 
imminently hazardous products).''
    (b) Scope of exception. This exception applies once the Commission 
has filed an action under section 12 of the CPSA (15 U.S.C. 2061), in a 
United States district court. Once the exception applies, information 
may be disclosed to the public while the proceeding is pending without 
following the requirements of section 6(b)(1) if the information 
concerns or relates to the product alleged to be imminently hazardous. 
Upon termination of the proceeding, information filed with the court or 
otherwise made public is not subject to section 6(b). Information in the 
Commission's

[[Page 152]]

possession which has not been made public is subject to section 6(b).



Sec. 1101.43  Prohibited acts exception.

    (a) Statutory provision. Section (6)(b)(4)(A) provides that the 
requirements of section 6(b)(1) do not apply to public disclosure of 
information about any consumer product which the Commission has 
reasonable cause to believe is in violation of a ``prohibited act'' 
section under any of the statutes administered by the Commission.
    (b) Scope of exception. This exception applies once the Commission 
has ``reason to believe'' there has occurred a violation of sections 
19(a) (1), (2), and (5) or (10) of the CPSA which pertains to a consumer 
product. This exception also applies once the Commission has 
``reasonable cause to believe'' there has occurred a ``prohibited act'' 
pertaining to a product regulated under the transferred acts. Once the 
exception applies, the Commission may disclose information to the public 
without following the requirements of section 6(b)(1) if the information 
concerning the product is reasonably related to the violative practice 
or condition.



Sec. 1101.44  Rulemaking proceeding exception.

    (a) Statutory provision. Section 6(b)(4)(B) provides that the 
requirements of section 6(b)(1) do not apply to public disclosure of 
information ``in the course of or concerning a rulemaking proceeding 
(which shall commence upon the publication of an advance notice of 
proposed rulemaking or a notice of proposed rulemaking) * * * under this 
Act.''
    (b) Scope of exception. This exception applies upon publication in 
the Federal Register of an advance notice of proposed rulemaking or, if 
no advance notice of proposed rulemaking is issued, upon publication in 
the Federal Register of a notice of proposed rulemaking, under any of 
the acts the Commission administers. Once the exception applies, the 
Commission may publicly disclose information in the course of the 
rulemaking proceeding which is presented during the proceeding or which 
is contained or referenced in the public record of the proceeding and or 
which concerns the proceeding without following the requirements of 
section 6(b)(1). Documentation supporting the public record is also 
excepted from section 6(b). A rulemaking proceeding includes a 
proceeding either to issue, to amend, or to revoke a rule.
    (c) The phrase ``in the course of'' refers to information disclosed 
as part of the proceeding and may, therefore, include information 
generated before the proceeding began and later presented as part of the 
proceeding. A rulemaking proceeding ends once the Commission has 
published the final rule or a notice of termination of the rulemaking in 
the Federal Register.
    (d) The phrase ``concerning'' refers to information about the 
proceeding itself both after the proceeding has begun and indefinitely 
thereafter. Therefore, the Commission may publicly disclose information 
that describes the substance, process and outcome of the proceeding. By 
issuing opinions and public statements, the Commissioners, and the 
presiding official, who act as decisionmakers, may also publicly explain 
their individual votes and any decision rendered.



Sec. 1101.45  Adjudicatory proceeding exception.

    (a) Statutory provision. Section 6(b)(4)(B) provides that the 
requirements of section 6(b)(1) do not apply to public disclosure of 
``information in the course of or concerning * * * [an] adjudicatory 
proceeding * * * under this Act.''
    (b) Scope of exception. This exception applies once the Commission 
begins an administrative adjudication under the CPSA. The Commission 
will also apply the exception to any administrative adjudicatory 
proceeding under FHSA, FAA, or PPPA. An adjudicatory proceeding begins 
with the filing of a complaint under section 15(c) or (d), 17(a)(1) or 
(3), or 20 of the CPSA (15 U.S.C. 2064(c) or (d), 2066(a)(1), or (3), or 
2069); section 15 of the FHSA (15 U.S.C. 1274); section 5(b) of the FFA, 
(15 U.S.C. 1194(b)); or section 4(c) of the PPPA (15 U.S.C. 1473(c)). An 
adjudicatory proceeding ends when the Commission issues a final order, 
16 CFR 1025.51-1025.58.

[[Page 153]]

    (c) The phrase ``in the course of'' refers to information disclosed 
as part of the adjudication, whether in documents filed or exchanged 
during discovery, or in testimony given in such proceedings, and may 
therefore, include information generated before the adjudication began.
    (d) The phrase ``concerning'' refers to information about the 
administrative adjudication itself, both once it begins and indefinitely 
thereafter. Therefore, the Commission may publicly disclose information 
that describes the substance, process and outcome of the proceeding 
including, for example, the effectiveness of any corrective action such 
as information on the number of products corrected as a result of a 
remedial action. By issuing opinions and public statements, the 
Commissioners and the presiding official, who act as decisionmakers, may 
publicly explain their individual votes and any decision rendered.

[48 FR 57430, Dec. 29, 1983, as amended at 49 FR 8428, Mar 7, 1984]



Sec. 1101.46  Other administrative or judicial proceeding exception.

    (a) Statutory provision. Section 6(b)(4)(B) provides that the 
requirements of section 6(b)(1) do not apply to public disclosure of 
``information in the course of or concerning any * * * other 
administrative or judicial proceeding under this Act.''
    (b) Scope of exception. This exception applies to an administrative 
or judicial proceeding, other than a rulemaking or administrative 
adjudicatory proceeding, under the CPSA, FHSA, FFA, or PPPA. Proceedings 
within this exception include:
    (1) A proceeding to act on a petition to start a rulemaking 
proceeding. This proceeding begins with the filing of a petition and 
ends when the petition is denied or, if granted, when the rulemaking 
proceeding begins. Information subject to the exception for petition 
proceedings is the petition itself and the supporting documentation, and 
information subsequently compiled by the staff and incorporated or 
referenced in the staff briefing papers for and recommendation to the 
Commission.
    (2) A proceeding to act on a request for exemption from a rule or 
regulation. This proceeding begins with the filing of a request for 
exemption and ends when the request is denied or, if granted, when the 
Commission takes the first step to implement the exemption, e.g., when 
an amendment to the rule or regulation is proposed.
    (3) A proceeding to issue a subpoena or general or special order. 
This proceeding begins with a staff request to the Commission to issue a 
subpoena or general or special order and ends once the request is 
granted or denied.
    (4) A proceeding to act on a motion to quash or to limit a subpoena 
or general or special order. This proceeding begins with the filing with 
the Commission of a motion to quash or to limit and ends when the motion 
is granted or denied.
    (5) Any judicial proceeding to which the Commission is a party. This 
proceeding begins when a complaint is filed and ends when a final 
decision (including appeal) is rendered with respect to the Commission.
    (6) Any administrative proceeding to which the Commission is a 
party, such as an administrative proceeding before the Merit Systems 
Protection Board or the Federal Labor Relations Authority. This 
proceeding begins and ends in accordance with the applicable regulations 
or procedures of the administrative body before which the proceeding is 
heard.
    (7) A proceeding to obtain a retraction from the Commission pursuant 
to subpart F of these rules. This proceeding begins with the filing with 
the Secretary of the Commission of a request for retraction and ends 
when the request is denied or, if granted, when the information is 
retracted.
    (c) In the course of or concerning. The phrase ``in the course of or 
concerning'' shall have the same meaning as set forth in either 
Sec. 1101.44 (c) and (d) or Sec. 1101.45 (c) and (d), whichever is 
applicable.



                          Subpart F--Retraction



Sec. 1101.51  Commission interpretation.

    (a) Statutory provisions. Section 6(b)(7) of the CPSA provides: If 
the Commission finds that, in the administration

[[Page 154]]

of this Act, it has made public disclosure of inaccurate or misleading 
information which reflects adversely upon the safety of any consumer 
product or class of consumer products, or the practices of any 
manufacturer, private labeler, distributor, or retailer of consumer 
products, it shall, in a manner equivalent to that in which such 
disclosure was made, take reasonable steps to publish a retraction of 
such inaccurate or misleading information.
    (b) Scope. Section 6(b)(7) applies to inaccurate or misleading 
information only if it is adverse--i.e., if it reflects adversely either 
on the safety of a consumer product or on the practices of a 
manufacturer, private labeler, distributor or retailer. In addition, the 
Commission will apply section 6(b)(7) to information about products, and 
about manufacturers and private labelers of products, the Commission may 
regulate under any of the statutes it administers. Section 6(b)(7) 
applies to information already disclosed by the Commission, members of 
the Commission, or the Commission employees, agents, contractors or 
representatives in their official capacities.



Sec. 1101.52  Procedure for retraction.

    (a) Initiative. The Commission may retract information under section 
6(b)(7) on the initiative of the Commission, upon the request of a 
manufacturer, private labeler, distributor, or retailer of a consumer 
product, or upon the request of any other person in accordance with the 
procedures provided in this section.
    (b) Request for retraction. Any manufacturer, private labeler, 
distributor or retailer of a consumer product or any other person may 
request a retraction if he/she believes the Commission or an individual 
member, employee, agent, contractor or representative of the Commission 
has made public disclosure of inaccurate or misleading information, 
which reflects adversely either on the safety of a product with which 
the firm deals or on the practices of the firm. The request must be in 
writing and addressed to the Secretary, CPSC. Washington, D.C. 20207.
    (c) Content of request. A request for retraction must include the 
following information to the extent it is reasonably available:
    (1) The information disclosed for which retraction is requested, the 
date on which the information was disclosed, the manner in which it was 
disclosed, who disclosed it, the type of document (e.g., letter, 
memorandum, news release) and any other relevant information the firm 
has to assist the Commission in identifying the information. A photocopy 
of the disclosure should accompany the request.
    (2) A statement of the specific aspects of the information the firm 
believes are inaccurate or misleading and reflect adversely either on 
the safety of a consumer product with which the firm deals or on the 
firm's practices.
    (3) A statement of the reasons the firm believes the information is 
inaccurate or misleading and reflects adversely either on the safety of 
a consumer product with which the firm deals or on the firm's practices.
    (4) A statement of the action the firm requests the Commission to 
take in publishing a retraction in a manner equivalent to that in which 
disclosure was made.
    (5) Any additional data or information the firm believes is 
relevant.
    (d) Commission action on request. The Commission will act 
expeditiously on any request for retraction within 30 working days 
unless the Commission determines, for good cause, that a longer time 
period is appropriate. If the Commission finds that the Commission or 
any individual member, employee, agent contractor or representative of 
the Commission has made public disclosure of inaccurate or misleading 
information that reflects adversely either on the safety of the firm's 
product or the practices of the firm, the Commission will publish a 
retraction of information in a manner equivalent to that in which the 
disclosure was made. If the Commission finds that fuller disclosure is 
necessary, it will publish a retraction in the manner it determines 
appropriate under the circumstances.
    (e) Notification to requester. The Commission will promptly notify 
the requester in writing of its decision on request for retraction. 
Notification shall

[[Page 155]]

set forth the reasons for the Commission's decision.



 Subpart G--Information Submitted Pursuant to Section 15(b) of the CPSA



Sec. 1101.61  Generally.

    (a) Generally. In addition to the requirements of section 6(b)(1), 
section 6(b)(5) of the CPSA imposes further limitations on the 
disclosure of information submitted to the Commission pursuant to 
section 15(b) of the CPSA, 15 U.S.C. 2064(b).
    (b) Criteria for disclosure. Under section 6(b)(5) the Commission 
shall not disclose to the public information which is identified as 
being submitted pursuant to section 15(b) or which is treated by the 
Commission staff as being submitted pursuant to section 15(b). Section 
6(b)(5) also applies to information voluntarily submitted after a firm's 
initial report to assist the Commission in its evaluation of the section 
15 report. However, the Commission may disclose information submitted 
pursuant to section 15(b) in accordance with section 6(b)(1)-(3) if:
    (1) The Commission has issued a complaint under section 15 (c) or 
(d) of the CPSA alleging that such product presents a substantial 
product hazard; or
    (2) In lieu of proceeding against such product under section 15 (c) 
or (d), the Commission has accepted in writing a remedial settlement 
agreement dealing with such product; or
    (3) The person who submitted the information under section 15(b) 
agrees to its public disclosure.



Sec. 1101.62  Statutory exceptions to section 6(b)(5) requirements.

    (a) Scope. The limitations established by section 6(b)(5) do not 
apply to the public disclosure of:
    (1) Information with respect to a consumer product which is the 
subject of an action brought under section 12 (see Sec. 1101.42);
    (2) Information about a consumer product which the Commission has 
reasonable cause to believe is in violation of a ``prohibited act'' 
section under any of the statutes administered by the Commission (see 
Sec. 1101.43); or
    (3) Information in the course of or concerning a judicial proceeding 
(see Sec. 1101.45).



Sec. 1101.63  Information submitted pursuant to section 15(b) of the CPSA.

    (a) Section 6(b)(5) applies only to information provided to the 
Commission by a manufacturer, distributor, or retailer which is 
identified by the manufacturer, distributor or retailer, or treated by 
the Commission staff as being submitted pursuant to section 15(b).
    (b) Section 6(b)(5)'s limitation also applies to the portions of 
staff generated documents that contain, summarize or analyze such 
information submitted pursuant to section 15(b).
    (c) Section 6(b)(5) does not apply to information independently 
obtained or prepared by the Commission staff.



         Subpart H--Delegation of Authority to Information Group



Sec. 1101.71  Delegation of authority.

    (a) Delegation. Pursuant to section 27(b)(9) of the CPSA 15 U.S.C. 
2076(b)(9) the Commission delegates to the General Counsel or his or her 
senior staff designees, the authority to render all decisions under this 
part concerning the release of information subject to section 6(b) when 
firms have furnished section 6(b) comment except as provided in 
paragraph (b). The Commission also delegates to the Secretary of the 
Commission, or his or her senior staff designee, authority to make all 
decisions under this part concerning the release of information under 
section 6(b) when firms have failed to furnish section 6(b) comment or 
have consented to disclosure except as provided in paragraph (b) of this 
section. The General Counsel shall have authority to establish an 
Information Group composed of the General Counsel and the Secretary of 
the Commission or their designees who shall be senior staff members.
    (b) Findings not deleted. The Commission does not delegate its 
authority--
    (1) To find, pursuant to section 6(b)(1) and Sec. 1101.23(b) of this 
part, that the public health and safety requires less than 30 days 
advance notice of proposed disclosures of information.

[[Page 156]]

    (2) To find, pursuant to section 6(b)(2) and Sec. 1101.25(b) of this 
part, that the public health and safety requires less than ten (10) days 
advance notice of its intent to disclose information claimed to be 
inaccurate;
    (3) To decide whether it should take reasonable steps to publish a 
retraction of information in accordance with section 6(b)(7) and 
Sec. 1101.52 of this part.
    (c) Final agency action; Commission decision. A decision of the 
General Counsel or the Secretary or their designees shall be a final 
agency decision and shall not be appealable as of right to the 
Commission. However, the General Counsel or the Secretary may in his or 
her discretion refer an issue to the Commission for decision.



PART 1105--CONTRIBUTIONS TO COSTS OF PARTICIPANTS IN DEVELOPMENT OF CONSUMER PRODUCT SAFETY STANDARDS--Table of Contents




Sec.
1105.1 Purpose.
1105.2 Factors.
1105.3 A more satisfactory standard.
1105.4 Eligibility.
1105.5 Applications.
1105.6 Criteria.
1105.7 Limits on compensation.
1105.8 Costs must be authorized and incurred.
1105.9 Itemized vouchers.
1105.10 Reasonable costs.
1105.11 Compensable costs.
1105.12 Advance contributions.
1105.13 Noncompensable costs.
1105.14 Audit and examination.

    Authority: Sec. 7(c), Pub. L. 97-35, 95 Stat. 704 (15 U.S.C. 
2056(c)).

    Source: 48 FR 57121, Dec. 28, 1983, unless otherwise noted.



Sec. 1105.1  Purpose.

    The purpose of this part is to describe the factors the Commission 
considers when determining whether or not to contribute to the cost of 
an individual, a group of individuals, a public or private organization 
or association, partnership or corporation (hereinafter ``participant'') 
who participates with the Commission in developing standards. The 
provisions of this part do not apply to and do not affect the 
Commission's ability and authority to contract with persons or groups 
outside the Commission to aid the Commission in developing proposed 
standards.



Sec. 1105.2  Factors.

    The Commission may agree to contribute to the cost of a participant 
who participates with the Commission in developing a standard in any 
case in which the Commission determines:
    (a) That a contribution is likely to result in a more satisfactory 
standard than would be developed without a contribution; and
    (b) That the participant to whom a contribution is made is 
financially responsible.



Sec. 1105.3  A more satisfactory standard.

    In considering whether a contribution is likely to result in a more 
satisfactory standard, the Commission shall consider:
    (a) The need for representation of one or more particular interests, 
expertise, or points of view in the development proceeding; and
    (b) The extent to which particular interests, points of view, or 
expertise can reasonably be expected to be represented if the Commission 
does not provide any financial contribution.



Sec. 1105.4  Eligibility.

    In order to be eligible to receive a financial contribution, a 
participant must request in advance a specific contribution with an 
explanation as to why the contribution is likely to result in a more 
satisfactory standard than would be developed without a contribution. 
The request for a contribution shall contain, to the fullest extent 
possible and appropriate, the following information:
    (a) A description of the point of view, interest and/or expertise 
that the participant intends to bring to the proceeding;
    (b) The reason(s) that representation of the participant's interest, 
point of view, or expertise can reasonably be expected to contribute 
substantially to a full and fair determination of the issues involved in 
the proceeding;
    (c) An explanation of the economic interest, if any, that the 
participant has (and individuals or groups comprising the participant 
have) in any

[[Page 157]]

Commission determination related to the proceeding;
    (d) A discussion, with supporting documentation, of the reason(s) a 
participant is unable to participate effectively in the proceeding 
without a financial contribution;
    (e) A description of the participant's employment or organization, 
as appropriate; and
    (f) A specific and itemized estimate of the costs for which the 
contribution is sought.



Sec. 1105.5  Applications.

    Applications must be submitted to the Office of the Secretary, 
Consumer Product Safety Commission, Washington, D.C. 20207, within the 
time specified by the Commission in its Federal Register notice 
beginning the development proceeding.



Sec. 1105.6  Criteria.

    The Commission may authorize a financial contribution only for 
participants who meet all of the following criteria:
    (a) The participant represents particular interest, expertise or 
point of view that can reasonably be expected to contribute 
substantially to a full and fair determination of the issues involved in 
the proceeding;
    (b) The economic interest of the participant in any Commission 
determination related to the proceeding is small in comparison to the 
participant's costs of effective participation in the proceeding. If the 
participant consists of more than one individual or group, the economic 
interest of each of the individuals or groups comprising the participant 
shall also be considered, if practicable and appropriate; and
    (c) The participant does not have sufficient financial resources 
available for effective participation in the proceeding, in the absence 
of a financial contribution.



Sec. 1105.7  Limits on compensation.

    The Commission may establish a limit on the total amount of 
financial compensation to be made to all participants in a particular 
proceeding and may establish a limit on the total amount of compensation 
to be made to any one participant in a particular proceeding.



Sec. 1105.8  Costs must be authorized and incurred.

    The Commission shall compensate participants only for costs that 
have been authorized and only for such costs actually incurred for 
participation in a proceeding.



Sec. 1105.9  Itemized vouchers.

    The participant shall be paid upon submission of an itemized voucher 
listing each item of expense. Each item of expense exceeding $15 must be 
substantiated by a copy of a receipt, invoice, or appropriate document 
evidencing the fact that the cost was incurred.



Sec. 1105.10  Reasonable costs.

    The Commission shall compensate participants only for costs that it 
determines are reasonable. As guidelines in these determinations, the 
Commission shall consider market rates and rates normally paid by the 
Commission for comparable goods and services, as appropriate.



Sec. 1105.11  Compensable costs.

    The Commission may compensate participants for any or all of the 
following costs:
    (a) Salaries for participants or employees of participants;
    (b) Fees for consultants, experts, contractural services, and 
attorneys that are incurred by participants;
    (c) Transportation costs;
    (d) Travel-related costs such as lodging, meals, tipping, telephone 
calls; and
    (e) All other reasonable costs incurred, such as document 
reproduction, postage, baby-sitting, and the like.



Sec. 1105.12  Advance contributions.

    The Commission may make its contribution in advance upon specific 
request, and the contribution may be made without regard to section 3648 
of the Revised States of the United States (31 U.S.C. 529).



Sec. 1105.13  Noncompensable costs.

    The items of cost toward which the Commission will not contribute 
include:

[[Page 158]]

    (a) Costs for the acquisition of any interest in land or buildings;
    (b) Costs for the payment of items in excess of the participant's 
actual cost; and
    (c) Costs determined not to be allowable under generally accepted 
accounting principles and practices or part 1-15, Federal Procurement 
Regulations (41 CFR part 1-15).



Sec. 1105.14  Audit and examination.

    The Commission and the Comptroller General of the United States, or 
their duly authorized representatives, shall have access for the purpose 
of audit and examination to any pertinent books, documents, papers and 
records of a participant receiving compensation under this section. The 
Commission may establish additional guidelines for accounting, 
recordkeeping, and other administrative procedures with which 
participants must comply as a condition of receiving a contribution.



PART 1115--SUBSTANTIAL PRODUCT HAZARD REPORTS--Table of Contents




                    Subpart A--General Interpretation

Sec.
1115.1 Purpose.
1115.2 Scope and finding.
1115.3 Definitions.
1115.4 Defect.
1115.5 Reporting of failures to comply with a voluntary consumer product 
          safety standard relied upon by the Commission under section 9 
          of the CPSA.
1115.6 Reporting of unreasonable risk of serious injury or death.
1115.7 Relation to other provisions.
1115.8-1115.9 [Reserved]
1115.10 Persons who must report and where to report.
1115.11 Imputed knowledge.
1115.12 Information which should be reported; evaluating substantial 
          product hazard.
1115.13 Content and form of reports; delegations of authority.
1115.14 Time computations.
1115.15 Confidentiality and disclosure of data.

                Subpart B--Remedial Actions and Sanctions

1115.20 Voluntary remedial actions.
1115.21 Compulsory remedial actions.
1115.22 Prohibited acts and sanctions.

Appendix to Part 1115--Voluntary Standards on Which the Commission Has 
          Relied Under Section 9 of the Consumer Product Safety Act

    Authority: 15 U.S.C. 2061, 2064, 2065, 2066(a), 2068, 2069, 2070, 
2071, 2073, 2076, 2079 and 2084.

    Source: 43 FR 34998, Aug. 7, 1978, unless otherwise noted.



                    Subpart A--General Interpretation



Sec. 1115.1  Purpose.

    The purpose of this part 1115 is to set forth the Consumer Product 
Safety Commission's (Commission's) interpretation of the reporting 
requirements imposed on manufacturers (including importers), 
distributors, and retailers by section 15(b) of the Consumer Product 
Safety Act, as amended (CPSA) (15 U.S.C. 2064(b)) and to indicate the 
actions and sanctions which the Commission may require or impose to 
protect the public from substantial product hazards, as that term is 
defined in section 15(a) of the CPSA.



Sec. 1115.2  Scope and finding.

    (a) Section 15(a) of the CPSA (15 U.S.C. 2064(a)) defines 
substantial product hazard as either:
    (1) A failure to comply with an applicable consumer product safety 
rule, which failure creates a substantial risk of injury to the public, 
or
    (2) A product defect which (because of the pattern of defect, the 
number of defective products distributed in commerce, the severity of 
the risk, or otherwise) creates a substantial risk of injury to the 
public.
    (b) Section 15(b) of the CPSA requires every manufacturer (including 
an importer), distributor, and retailer of a consumer product 
distributed in commerce who obtains information which reasonably 
supports the conclusion that the product fails to comply with an 
applicable consumer product safety rule, fails to comply with a 
voluntary consumer product safety standard upon which the Commission has 
relied under section 9 of the CPSA, contains a defect which could create 
a substantial product hazard described in subsection 15(a)(2) of the 
CPSA, or creates an unreasonable risk of serious injury or

[[Page 159]]

death, immediately to inform the Commission, unless the manufacturer 
(including an importer), distributor or retailer has actual knowledge 
that the Commission has been adequately informed of such failure to 
comply, defect, or risk. This provision indicates that a broad spectrum 
of safety related information should be reported under section 15(b) of 
the CPSA.
    (c) Sections 15 (c) and (d) of the CPSA, (15 U.S.C. 2064(c) and 
(d)), empower the Commission to order a manufacturer (including an 
importer), distributor, or retailer of a consumer product distributed in 
commerce that presents a substantial product hazard to give various 
forms of notice to the public of the defect or the failure to comply 
and/or to order the subject firm to elect either to repair, to replace, 
or to refund the purchase price of such product. However, information 
which should be reported under section 15(b) of the CPSA does not 
automatically indicate the presence of a substantial product hazard, 
because what must be reported under section 15(b) are failures to comply 
with consumer product safety rules or voluntary standards upon which the 
Commission has relied under section 9, defects that could create a 
substantial product hazard, and products which create an unreasonable 
risk of serious injury or death. (See Sec. 1115.12.)
    (d) The provisions of this part 1115 deal with all consumer products 
(including imports) subject to regulation under the Consumer Product 
Safety Act, as amended (15 U.S.C. 2051-2081) (CPSA), and the 
Refrigerator Safety Act (15 U.S.C. 1211-1214) (RSA). In addition, the 
Commission has found that risks of injury to the public from consumer 
products subject to regulation under the Flammable Fabrics Act (15 
U.S.C. 1191-1204) (FFA), the Federal Hazardous Substances Act (15 U.S.C. 
1261-1274) (FHSA), and the Poison Prevention Packaging Act of 1970 (15 
U.S.C. 1471-1476) (PPPA) cannot be eliminated or reduced to a sufficient 
extent in a timely fashion under those acts. Therefore, pursuant to 
section 30(d) of the CPSA (15 U.S.C. 2079(d)), manufacturers (including 
importers), distributors, and retailers of consumer products which are 
subject to regulation under provisions of the FFA, FHSA, and PPPA must 
comply with the reporting requirements of section 15(b).

[43 FR 34998, Aug. 7, 1978, as amended at 57 FR 34227, Aug. 4, 1992]



Sec. 1115.3  Definitions.

    In addition to the definitions given in section 3 of the CPSA (15 
U.S.C. 2052), the following definitions apply:
    (a) Adequately informed under section 15(b) of the CPSA means that 
the Commission staff has received the information requested under 
Sec. Sec. 1115.12 and/or 1115.13 of this part insofar as it is 
reasonably available and applicable or that the staff has informed the 
subject firm that the staff is adequately informed.
    (b) Commission meeting means the joint deliberations of at least a 
majority of the Commission where such deliberations determine or result 
in the conduct or disposition of official Commission business. This term 
is synonymous with ``Commission meeting'' as defined in the Commission's 
regulation issued under the Government in the Sunshine Act, 16 CFR part 
1012.
    (c) Noncompliance means the failure of a consumer product to comply 
with an applicable consumer product safety rule or with a voluntary 
consumer product safety standard upon which the Commission has relied 
under section 9 of the CPSA.
    (d) A person means a corporation, company, association, firm, 
partnership, society, joint stock company, or individual.
    (e) Staff means the staff of the Consumer Product Safety Commission 
unless otherwise stated.
    (f) Subject firm means any manufacturer (including an importer), 
distributor, or retailer of a consumer product.

[43 FR 34998, Aug. 7, 1978, as amended at 57 FR 34227, Aug. 4, 1992]



Sec. 1115.4  Defect.

    Section 15(b)(2) of the CPSA requires every manufacturer (including 
an importer), distributor, and retailer of a consumer product who 
obtains information which reasonably supports the conclusion that the 
product contains a

[[Page 160]]

defect which could create a substantial product hazard to inform the 
Commission of such defect. Thus, whether the information available 
reasonably suggests a defect is the first determination which a subject 
firm must make in deciding whether it has obtained information which 
must be reported to the Commission. In determining whether it has 
obtained information which reasonably supports the conclusion that its 
consumer product contains a defect, a subject firm may be guided by the 
criteria the Commission and staff use in determining whether a defect 
exists. At a minimum, defect includes the dictionary or commonly 
accepted meaning of the word. Thus, a defect is a fault, flaw, or 
irregularity that causes weakness, failure, or inadequacy in form or 
function. A defect, for example, may be the result of a manufacturing or 
production error; that is, the consumer product as manufactured is not 
in the form intended by, or fails to perform in accordance with, its 
design. In addition, the design of and the materials used in a consumer 
product may also result in a defect. Thus, a product may contain a 
defect even if the product is manufactured exactly in accordance with 
its design and specifications, if the design presents a risk of injury 
to the public. A design defect may also be present if the risk of injury 
occurs as a result of the operation or use of the product or the failure 
of the product to operate as intended. A defect can also occur in a 
product's contents, construction, finish, packaging, warnings, and/or 
instructions. With respect to instructions, a consumer product may 
contain a defect if the instructions for assembly or use could allow the 
product, otherwise safely designed and manufactured, to present a risk 
of injury. To assist subject firms in understanding the concept of 
defect as used in the CPSA, the following examples are offered:
    (a) An electric appliance presents a shock hazard because, through a 
manufacturing error, its casing can be electrically charged by full-line 
voltage. This product contains a defect as a result of manufacturing or 
production error.
    (b) Shoes labeled and marketed for long-distance running are so 
designed that they might cause or contribute to the causing of muscle or 
tendon injury if used for long-distance running. The shoes are defective 
due to the labeling and marketing.
    (c) A kite made of electrically conductive material presents a risk 
of electrocution if it is long enough to become entangled in power lines 
and be within reach from the ground. The electrically conductive 
material contributes both to the beauty of the kite and the hazard it 
presents. The kite contains a design defect.
    (d) A power tool is not accompanied by adequate instructions and 
safety warnings. Reasonably foreseeable consumer use or misuse, based in 
part on the lack of adequate instructions and safety warnings, could 
result in injury. Although there are no reports of injury, the product 
contains a defect because of the inadequate warnings and instructions.
    (e) An exhaust fan for home garages is advertised as activating when 
carbon monoxide fumes reach a dangerous level but does not exhaust when 
fumes have reached the dangerous level. Although the cause of the 
failure to exhaust is not known, the exhaust fan is defective because 
users rely on the fan to remove the fumes and the fan does not do so.

However, not all products which present a risk of injury are defective. 
For example, a knife has a sharp blade and is capable of seriously 
injuring someone. This very sharpness, how- ever, is necessary if the 
knife is to function adequately. The knife does not contain a defect 
insofar as the sharpness of its blade is concerned, despite its 
potential for causing injury, because the risk of injury is outweighed 
by the usefulness of the product which is made possible by the same 
aspect which presents the risk of injury. In determining whether the 
risk of injury associated with a product is the type of risk which will 
render the product defective, the Commission and staff will consider, as 
appropriate: The utility of the product involved; the nature of the risk 
of injury which the product presents; the necessity for the product; the 
population exposed to the product and its risk of injury; the 
Commission's own experience and expertise;

[[Page 161]]

the case law interpreting Federal and State public health and safety 
statutes; the case law in the area of products liability; and other 
factors relevant to the determination. If the information available to a 
subject firm does not reasonably support the conclusion that a defect 
exists, the subject firm need not report. However, if the information 
does reasonably support the conclusion that a defect exists, the subject 
firm must then consider whether that defect could create a substantial 
product hazard. (See Sec. 1115.12(f) for factors to be assessed in 
determining whether a substantial product hazard could exist.) If the 
subject firm determines that the defect could create a substantial 
product hazard, the subject firm must report to the Commission. Most 
defects could present a substantial product hazard if the public is 
exposed to significant numbers of defective products or if the possible 
injury is serious or is likely to occur. Since the extent of public 
exposure and/or the likelihood or seriousness of injury are ordinarily 
not known at the time a defect first manifests itself, subject firms are 
urged to report if in doubt as to whether a defect could present a 
substantial product hazard. On a case-by-case basis the Commission and 
the staff will determine whether a defect within the meaning of section 
15 of the CPSA does, in fact, exist and whether that defect presents a 
substantial product hazard. Since a consumer product may be defective 
even if it is designed, manufactured, and marketed exactly as intended 
by a subject firm, subject firms should report if in doubt as to whether 
a defect exists. Defect, as discussed in this section and as used by the 
Commission and staff, pertains only to interpreting and enforcing the 
Consumer Product Safety Act. The criteria and discussion in this section 
are not intended to apply to any other area of the law.



Sec. 1115.5  Reporting of failures to comply with a voluntary consumer product safety standard relied upon by the Commission under section 9 of the CPSA.

    (a) General provision. Under the CPSA, the Commission may rely on 
voluntary standards in lieu of developing mandatory ones. In recognition 
of the role of voluntary standards under the CPSA, section 15(b)(1) 
requires reports if a product fails to comply with a voluntary standard 
``upon which the Commission has relied under section 9'' of the CPSA. 
The Commission has relied upon a voluntary consumer product safety 
standard under section 9 of the CPSA if, since August 13, 1981 it has 
terminated a rulemaking proceeding or withdrawn an existing consumer 
product safety rule because it explicitly determined that an existing 
voluntary standard, or portion(s) thereof, is likely to result in an 
adequate reduction of the risk of injury and it is likely there will be 
substantial compliance with that voluntary standard. (See appendix to 
this part 1115 for a list of such voluntary standards.) This provision 
applies only when the Commission relies upon a voluntary standard in a 
rulemaking proceeding under section 9 of the CPSA. In evaluating whether 
or not to rely upon an existing voluntary standard, the Commission shall 
adhere to all the procedural safeguards currently required under the 
provisions of the CPSA, including publication in the Federal Register of 
the Commission's intent to rely upon a voluntary standard in order to 
provide the public with a fair opportunity to comment upon such proposed 
action.
    (b) Reporting requirement. A firm must report under this section if 
it has distributed in commerce, subsequent to the effective date of the 
Consumer Product Safety Improvement Act of 1990 (November 16, 1990), a 
product that does not conform to a voluntary standard or portion(s) of a 
voluntary standard relied upon by the Commission since August 13, 1981. 
If the Commission relied upon only a portion(s) of a voluntary standard, 
a firm must report under this section only nonconformance with the 
portion(s) of the voluntary standard relied upon by the Commission. 
Pursuant to section 7(b)(2) of the CPSA, the Commission shall monitor 
any modifications of a voluntary standard upon which it has relied and 
determine, as a matter of policy, at the time any substantive safety 
related modification is adopted, whether it shall continue to rely upon 
the former standard or whether it shall

[[Page 162]]

rely, subsequently, upon the modified standard. The Commission shall 
publish such decisions in the Federal Register. Until the Commission 
makes such a decision, subject firms need not report under this 
provision a product which complies with either the original version of 
the voluntary standard relied upon by the Commission or the new version 
of the standard. A firm must continue to evaluate whether deviations 
from other portions of a voluntary standard, or other voluntary 
standards not relied upon by the Commission, either constitute a defect 
which could create a substantial product hazard or create an 
unreasonable risk of serious injury or death.

[57 FR 34228, Aug. 4, 1992; 57 FR 39597, Sept. 1, 1992]



Sec. 1115.6  Reporting of unreasonable risk of serious injury or death.

    (a) General provision. Every manufacturer, distributor, and retailer 
of a consumer product distributed in commerce who obtains information 
which reasonably supports the conclusion that its product creates an 
unreasonable risk of serious injury or death is required to notify the 
Commission immediately. 15 U.S.C. 2064(b)(3). The requirement that 
notification occur when a responsible party ``obtains information which 
reasonably supports the conclusion that'' its product creates an 
unreasonable risk of serious injury or death is intended to require 
firms to report even when no final determination of the risk is 
possible. Firms must carefully analyze the information they obtain to 
determine whether such information ``reasonably supports'' a 
determination that the product creates an unreasonable risk of serious 
injury or death. (See Sec. 1115.12(f) for a discussion of the kinds of 
information that firms must study and evaluate to determine whether they 
have an obligation to report.) Firms that obtain information indicating 
that their products present an unreasonable risk of serious injury or 
death should not wait for such serious injury or death to actually occur 
before reporting. Such information can include reports from experts, 
test reports, product liability lawsuits or claims, consumer or customer 
complaints, quality control data, scientific or epidemiological studies, 
reports of injury, information from other firms or governmental 
entities, and other relevant information. While such information shall 
not trigger a per se reporting requirement, in its evaluation of whether 
a subject firm is required to file a report under the provisions of 
section 15 of the CPSA, the Commission shall attach considerable 
significance if such firm learns that a court or jury has determined 
that one of its products has caused a serious injury or death and a 
reasonable person could conclude based on the lawsuit and other 
information obtained by the firm that the product creates an 
unreasonable risk of serious injury or death.
    (b) Unreasonable risk. The use of the term ``unreasonable risk'' 
suggests that the risk of injury presented by a product should be 
evaluated to determine if that risk is a reasonable one. In determining 
whether a product presents an unreasonable risk, the firm should examine 
the utility of the product, or the utility of the aspect of the product 
that causes the risk, the level of exposure of consumers to the risk, 
the nature and severity of the hazard presented, and the likelihood of 
resulting serious injury or death. In its analysis, the firm should also 
evaluate the state of the manufacturing or scientific art, the 
availability of alternative designs or products, and the feasibility of 
eliminating the risk. The Commission expects firms to report if a 
reasonable person could conclude given the information available that a 
product creates an unreasonable risk of serious injury or death. In its 
evaluation of whether a subject firm is required to file a report under 
the provisions of section 15 of the CPSA the Commission shall, as a 
practical matter, attach considerable significance if such firm obtains 
information which reasonably supports the conclusion that its product 
violates a standard or ban promulgated under the FHSA, FFA, PPPA or RSA 
and the violation could result in serious injury or death.
    (c) Serious injury or death. The term ``serious injury'' is not 
defined in the CPSA. The Commission believes that the term includes not 
only the concept of ``grievous bodily injury,'' defined at

[[Page 163]]

Sec. 1115.12(d), but also any other significant injury. Injuries 
necessitating hospitalization which require actual medical or surgical 
treatment, fractures, lacerations requiring sutures, concussions, 
injuries to the eye, ear, or internal organs requiring medical 
treatment, and injuries necessitating absence from school or work of 
more than one day are examples of situations in which the Commission 
shall presume that such a serious injury has occurred. To determine 
whether an unreasonable risk of serious injury or death exists, the firm 
should evaluate chronic or long term health effects as well as immediate 
injuries.

[57 FR 34228, Aug. 4, 1992]



Sec. 1115.7  Relation to other provisions.

    The reporting requirements of section 37 of the CPSA (15 U.S.C. 
2084) are in addition to the requirement in section 15 of the CPSA. 
Section 37 requires a product manufacturer to report certain kinds of 
lawsuit information. It is intended as a supplement to, not a substitute 
for, the requirements of section 15(b) of the CPSA. Whether or not a 
firm has an obligation to provide information under section 37, it must 
consider whether it has obtained information which reasonably supports 
the conclusion that its product violates a consumer product safety rule, 
does not comply with a voluntary safety standard upon which the 
Commission has relied under section 9, contains a defect which could 
create a substantial product hazard, or creates an unreasonable risk of 
serious injury or death. If a firm has obtained such information, it 
must report under section 15(b) of the CPSA, whether or not it is 
required to report under section 37. Further, in many cases the 
Commission would expect to receive reports under section 15(b) long 
before the obligation to report under section 37 arises since firms have 
frequently obtained reportable information before settlements or 
judgments in their product liability lawsuits.

[57 FR 34229, Aug. 4, 1992]



Sec. Sec. 1115.8-1115.9  [Reserved]



Sec. 1115.10  Persons who must report and where to report.

    (a) Every manufacturer (including importer), distributor, or 
retailer of a consumer product that has been distributed in commerce who 
obtains information that such consumer product contains a defect which 
could create a substantial risk of injury to the public shall 
immediately notify the Office of Compliance, Division of Corrective 
Actions, Consumer Product Safety Commission, Washington, DC 20207 
(telephone: 301-504-0608), or such other persons as may be designated. 
Manufacturers (including importers), distributors, and retailers of 
consumer products subject to regulation by the Commission under 
provisions of the FFA, FHSA, PPPA, as well as consumer products subject 
to regulation under the CPSA and RSA, must comply with this requirement.
    (b) Every manufacturer (including importer), distributor, or 
retailer of a consumer product that has been distributed in commerce who 
obtains information that such consumer product fails to comply with an 
applicable consumer product safety standard or ban issued under the CPSA 
shall immediately notify the Commission's Office of Compliance and 
Enforcement, Division of Corrective Actions or such other persons as may 
be designated. A subject firm need not report a failure to comply with a 
standard or regulation issued under the provisions of the RSA, FFA, 
FHSA, or PPPA unless it can be reasonably concluded that the failure to 
comply results in a defect which could create a substantial product 
hazard. (See paragraph (a) of this section.)
    (c) Every manufacturer (including importer), distributor, and 
retailer of a consumer product that has been distributed in commerce who 
obtains information that such consumer product fails to comply with a 
voluntary consumer product safety standard upon which the Commission has 
relied under section 9 of the CPSA, shall immediately notify the 
Commission's Office

[[Page 164]]

of Compliance and Enforcement, Division of Corrective Actions or such 
other persons as may be designated.
    (d) Every manufacturer (including importer), distributor, and 
retailer of a consumer product that has been distributed in commerce who 
obtains information that such consumer product creates an unreasonable 
risk of serious injury or death shall immediately notify the 
Commission's Office of Compliance and Enforcement, Division of 
Corrective Actions or such other persons as may be designated. This 
obligation applies to manufacturers, distributors and retailers of 
consumer products subject to regulation by the Commission under the 
Flammable Fabrics Act, Federal Hazardous Substances Act, Poison 
Prevention Packaging Act, and Refrigerator Safety Act as well as 
products subject to regulation under the CPSA.
    (e) A distributor or retailer of a consumer product (who is neither 
a manufacturer nor an importer of that product) is subject to the 
reporting requirements of section 15(b) of the CPSA but may satisfy them 
by following the procedure detailed in Sec. 1115.13(b).
    (f) A manufacturer (including an importer), distributor, or retailer 
need not inform the Commission under section 15(b) of the CPSA if that 
person has actual knowledge that the Commission has been adequately 
informed of the defect or failure to comply. (See section 15(b) of the 
CPSA.)

[43 FR 34998, Aug. 7, 1978, as amended at 57 FR 34229, Aug. 4, 1992; 62 
FR 46667, Sept. 4, 1997]



Sec. 1115.11  Imputed knowledge.

    (a) In evaluating whether or when a subject firm should have 
reported, the Commission will deem a subject firm to have obtained 
reportable information when the information has been received by an 
official or employee who may reasonably be expected to be capable of 
appreciating the significance of the information. (See Sec. 1115.14(b).)
    (b) In evaluating whether or when a subject firm should have 
reported, the Commission will deem a subject firm to know what a 
reasonable person acting in the circumstances in which the firm finds 
itself would know. Thus, the subject firm shall be deemed to know what 
it would have known if it had exercised due care to ascertain the truth 
of complaints or other representations. This includes the knowledge a 
firm would have if it conducted a reasonably expeditious investigation 
in order to evaluate the reportability of a death or grievous bodily 
injury or other information. (See Sec. 1115.14.)



Sec. 1115.12  Information which should be reported; evaluating substantial product hazard.

    (a) General. Subject firms should not delay reporting in order to 
determine to a certainty the existence of a reportable noncompliance, 
defect or unreasonable risk. The obligation to report arises upon 
receipt of information from which one could reasonably conclude the 
existence of a reportable noncompliance, defect which could create a 
substantial product hazard, or unreasonable risk of serious injury or 
death. Thus, an obligation to report may arise when a subject firm 
received the first information regarding a potential hazard, 
noncompliance or risk. (See Sec. 1115.14(c).) A subject firm in its 
report to the Commission need not admit, or may specifically deny, that 
the information it submits reasonably supports the conclusion that its 
consumer product is noncomplying, contains a defect which could create a 
substantial product hazard within the meaning of section 15(b) of the 
CPSA, or creates an unreasonable risk of serious injury or death. After 
receiving the report, the staff may conduct further investigation and 
will preliminarily determine whether the product reported upon presents 
a substantial product hazard. This determination can be based on 
information supplied by a subject firm or from any other source. If the 
matter is adjudicated, the Commission will ultimately make the decision 
as to substantial product hazard or will seek to have a court make the 
decision as to imminent product hazard.
    (b) Failure to comply. A subject firm must report information 
indicating that a consumer product which it has distributed in commerce 
does not comply with an applicable consumer product safety standard or 
ban issued under the CPSA, or a voluntary consumer product safety 
standard upon which

[[Page 165]]

the Commission has relied under section 9 of the CPSA.
    (c) Unreasonable risk of serious injury or death. A subject firm 
must report when it obtains information indicating that a consumer 
product which it has distributed in commerce creates an unreasonable 
risk of serious injury or death.
    (d) Death or grievous bodily injury. Information indicating that a 
noncompliance or a defect in a consumer product has caused, may have 
caused, or contributed to the causing, or could cause or contribute to 
the causing of a death or grievous bodily injury (e.g., mutilation, 
amputation/dismemberment, disfigurement, loss of important bodily 
functions, debilitating internal disorders, severe burns, severe 
electrical shocks, and injuries likely to require extended 
hospitalization) must be reported, unless the subject firm has 
investigated and determined that the information is not reportable.
    (e) Other information indicating a defect or noncompliance. Even if 
there are no reports of a potential for or an actual death or grievous 
bodily injury, other information may indicate a reportable defect or 
noncompliance. In evaluating whether or when a subject firm should have 
reported, the Commission will deem a subject firm to know what a 
reasonable and prudent manufacturer (including an importer), 
distributor, or retailer would know. (See Sec. 1115.11.)
    (f) Information which should be studied and evaluated. Paragraphs 
(f)(1) through (7) of this section are examples of information which a 
subject firm should study and evaluate in order to determine whether it 
is obligated to report under section 15(b) of the CPSA. Such information 
may include information that a firm has obtained, or reasonably should 
have obtained in accordance with Sec. 1115.11, about product use, 
experience, performance, design, or manufacture outside the United 
States that is relevant to products sold or distributed in the United 
States. All information should be evaluated to determine whether it 
suggests the existence of a noncompliance, a defect, or an unreasonable 
risk of serious injury or death:
    (1) Information about engineering, quality control, or production 
data.
    (2) Information about safety-related production or design change(s).
    (3) Product liability suits and/or claims for personal injury or 
damage.
    (4) Information from an independent testing laboratory.
    (5) Complaints from a consumer or consumer group.
    (6) Information received from the Commission or other governmental 
agency.
    (7) Information received from other firms, including requests to 
return a product or for replacement or credit. This includes both 
requests made by distributors and retailers to the manufacturer and 
requests from the manufacturer that products be returned.
    (g) Evaluating substantial risk of injury. Information which should 
be or has been reported under section 15(b) of the CPSA does not 
automatically indicate the presence of a substantial product hazard. On 
a case-by-case basis the Commission and the staff will determine whether 
a defect or noncompliance exists and whether it results in a substantial 
risk of injury to the public. In deciding whether to report, subject 
firms may be guided by the following criteria the staff and the 
Commission use in determining whether a substantial product hazard 
exists:
    (1) Hazard created by defect. Section 15(a)(2) of the CPSA lists 
factors to be considered in determining whether a defect creates a 
substantial risk of injury. These factors are set forth in the 
disjunctive. Therefore, the exist- ence of any one of the factors could 
create a substantial product hazard. The Commission and the staff will 
consider some or all of the following factors, as appropriate, in 
determining the substantiality of a hazard created by a product defect:
    (i) Pattern of defect. The Commission and the staff will consider 
whether the defect arises from the design, composition, contents, 
construction, finish, packaging, warnings, or instructions of the 
product or from some other cause and will consider the conditions under 
which the defect manifests itself.
    (ii) Number of defective products distributed in commerce. Even one 
defective product can present a substantial risk of injury and provide a 
basis for a substantial product hazard determination

[[Page 166]]

under section 15 of the CPSA if the injury which might occur is serious 
and/or if the injury is likely to occur. However, a few defective 
products with no potential for causing serious injury and little 
likelihood of injuring even in a minor way will not ordinarily provide a 
proper basis for a substantial product hazard determination.
    (iii) Severity of the risk. A risk is severe if the injury which 
might occur is serious and/or if the injury is likely to occur. In 
considering the likelihood of any injury the Commission and the staff 
will consider the number of injuries reported to have occurred, the 
intended or reasonably foreseeable use or misuse of the product, and the 
population group exposed to the product (e.g., children, elderly, 
handicapped).
    (iv) Other considerations. The Commission and the staff will 
consider all other relevant factors.
    (2) Hazard presented by noncompliance. Section 15(a)(1) of the CPSA 
states that a substantial product hazard exists when a failure to comply 
with an applicable consumer product safety rule creates a substantial 
risk of injury to the public. Therefore, the Commission and staff will 
consider whether the noncompliance is likely to result in injury when 
determining whether the noncompliance creates a substantial product 
hazard. As appropriate, the Commission and staff may consider some or 
all of the factors set forth in paragraph (f)(1) of this section in 
reaching the substantial product hazard determination.

[43 FR 34998, Aug. 7, 1978, as amended at 57 FR 34229, Aug. 4, 1992; 66 
FR 54925, Oct. 31, 2001]



Sec. 1115.13  Content and form of reports; delegations of authority.

    (a) Written reports. The chief executive officer of the subject firm 
should sign any written reports to the Commission under section 15(b) of 
the CPSA unless this responsibility has been delegated by filing a 
written delegation of authority with the Commission's Office of 
Compliance and Enforcement, Division of Corrective Actions. Delegations 
of authority filed with the Commission under Sec. 1115.9 of the previous 
regulations interpreting section 15 of the CPSA will remain in effect 
until revoked by the chief executive officer of the subject firm. The 
delegation may be in the following form:

                         Delegation of Authority

    (Name of company) ------------------.
    I ---------------- hereby certify that I am Chief Executive Officer 
of the above-named company and that as such I am authorized to sign 
documents and to certify on behalf of said company the accuracy and 
completeness of information in such documents.
    Pursuant to the power vested in me, I hereby delegate all or, to the 
extent indicated below, a portion of that authority to the person listed 
below.
    This delegation is effective until revoked in writing. Authority 
delegated to:
(Name)__________________________________________________________________
(Address)_______________________________________________________________
(Title)_________________________________________________________________
    Extent of authority: ----------------------
    Signed:
(Name)__________________________________________________________________
(Address)_______________________________________________________________
(Title)_________________________________________________________________
    (b) Distributors and retailers. A distributor or retailer of a 
product (who is neither a manufacturer nor an importer of that product) 
satisfies the initial reporting requirements either by telephoning or 
writing the Office of Compliance and Enforcement, Division of Corrective 
Actions, Consumer Product Safety Commission, Washington, DC 20207, phone 
301-504-0608; by sending a letter describing the noncompliance, defect 
or risk of injury to the manufacturer (or importer) of the product and 
sending a copy of the letter to the Commission's Division of Corrective 
Actions; or by forwarding to the Commission's Division of Corrective 
Actions reportable information received from another firm. A distributor 
or retailer who receives reportable information from a manufacturer (or 
importer) shall report to the Commission unless the manufacturer (or 
importer) informs the distributor or retailer that a report has been 
made to the Commission. A report under this paragraph should contain the 
information detailed in paragraph (c) of this section insofar as it is 
known to the distributor or retailer. Unless further information is 
requested by the staff, this action will constitute a sufficient report 
insofar as the distributor or retailer is concerned.
    (c) Initial report. Immediately after a subject firm has obtained 
information

[[Page 167]]

which reasonably supports the conclusion that a product fails to comply 
with an applicable consumer product safety rule or a voluntary standard, 
contains a defecat which could create a substantial risk of serious 
injury or death, the subject firm should provide the Division of 
Corrective Actions, Office of Compliance, Consumer Product Safety 
Commission, Washington, DC 20207 (telephone: 301-504-0608), with an 
initial report containing the information listed in paragraphs (c) (1) 
through (6) of this section. This initial report may be made by any 
means, but if it is not in writing, it should be confirmed in writing 
within 48 hours of the initial report. (See Sec. 1115.14 for time 
computations.) The initial report should contain, insofar as is 
reasonably available and/or applicable:
    (1) An identification and description of the product.
    (2) The name and address of the manufacturer (or importer) or, if 
the manufacturer or importer is not known, the names and addresses of 
all known distributors and retailers of the product.
    (3) The nature and extent of the possible defect, the failure to 
comply, or the risk.
    (4) The nature and extent of the injury or risk of injury associated 
with the product.
    (5) The name and address of the person informing the Commission.
    (6) To the extent such information is then reasonably available, the 
data specified in Sec. 1115.13(d).
    (d) Full report. Subject firms which file initial reports are 
required to file full reports in accordance with this paragraph. 
Retailers and distributors may satisfy their reporting obligations in 
accordance with Sec. 1115.13(b). At any time after an initial report, 
the staff may modify the requirements detailed in this section with 
respect to any subject firm. If the staff preliminarily determines that 
there is no substantial product hazard, it may inform the firm that its 
reporting obligation has been fulfilled. However, a subject firm would 
be required to report if it later became aware of new information 
indicating a reportable defect, noncompliance, or risk, whether the new 
information related to the same or another consumer product. Unless 
modified by staff action, the following information, to the extent that 
it is reasonably available and/or applicable, constitutes a ``full 
report,'' must be submitted to the staff, and must be supplemented or 
corrected as new or different information becomes known:
    (1) The name, address, and title of the person submitting the ``full 
report'' to the Commission.
    (2) The name and address of the manufacturer (or importer) of the 
product and the addresses of the manufacturing plants for that product.
    (3) An identification and description of the product(s). Give retail 
prices, model numbers, serial numbers, and date codes. Describe any 
identifying marks and their location on the product. Provide a picture 
or a sample of the product.
    (4) A description of the nature of the defect, failure to comply, or 
risk. If technical drawings, test results, schematics, diagrams, 
blueprints, or other graphic depictions are available, attach copies.
    (5) The nature of the injury or the possible injury associated with 
the product defect, failure to comply, or risk.
    (6) The manner in which and the date when the information about the 
defect, noncompliance, or risk (e.g., complaints, reported injuries, 
quality control testing) was obtained. If any complaints related to the 
safety of the product or any allegations or reports of injuries 
associated with the product have been received, copies of such 
complaints or reports (or a summary thereof) shall be attached. Give a 
chronological account of facts or events leading to the report under 
section 15(b) of the CPSA, beginning with receipt of the first 
information which ultimately led to the report. Also included may be an 
analysis of these facts or events.
    (7) The total number of products and units involved.
    (8) The dates when products and units were manufactured, imported, 
distributed, and sold at retail.
    (9) The number of products and units in each of the following: in 
the possession of the manufacturer or importer, in the possession of 
private labelers, in the possession of distributors, in the

[[Page 168]]

possession of retailers, and in the possession of consumers.
    (10) An explanation of any changes (e.g., designs, adjustments, and 
additional parts, quality control, testing) that have been or will be 
effected to correct the defect, failure to comply, or risk and of the 
steps that have been or will be taken to prevent similar occurrences in 
the future together with the timetable for implementing such changes and 
steps.
    (11) Information that has been or will be given to purchasers, 
including consumers, about the defect, noncompliance, or risk with a 
description of how this information has been or will be communicated. 
This shall include copies or drafts of any letters, press releases, 
warning labels, or other written information that has been or will be 
given to purchasers, including consumers.
    (12) The details of and schedule for any contemplated refund, 
replacement, or repair actions, including plans for disposing of 
returned products (e.g., repair, destroy, return to foreign 
manufacturer).
    (13) A detailed explanation and description of the marketing and 
distribution of the product from the manufacturer (including importer) 
to the consumer (e.g., use of sales representatives, independent 
contractors, and/or jobbers; installation of the product, if any, and by 
whom).
    (14) Upon request, the names and addresses of all distributors, 
retailers, and purchasers, including consumers.
    (15) Such further information necessary or appropriate to the 
functions of the Commission as is requested by the staff.

[43 FR 34998, Aug. 7, 1978, as amended at 57 FR 34229, Aug. 4, 1992]



Sec. 1115.14  Time computations.

    (a) General. Weekends and holidays are excluded from the computation 
of the time periods in this part.
    (b) Imputing knowledge. In evaluating whether or when a firm should 
have reported, the Commission shall impute to the subject firm knowledge 
of product safety related information received by an official or 
employee of a subject firm capable of appreciating the significance of 
the information. Under ordinary circumstances, 5 days should be the 
maximum reasonable time for information to reach the Chief Executive 
Officer or the official or employee responsible for complying with the 
reporting requirements of section 15(b) of the CPSA. The Commission will 
impute knowledge possessed by the Chief Executive Officer or by the 
official or employee responsible for complying with the reporting 
requirements of section 15(b) of the CPSA simultaneously to the subject 
firm.
    (c) Time when obligation to report arises. The obligation to report 
under section 15(b) of the CPSA may arise upon receipt by a subject firm 
of the first information regarding a noncompliance, or a potential 
hazard presented by a product defect, or an unreasonable risk. 
Information giving rise to a reporting obligation may include, but is 
not limited to, complaints, injury reports, quality control and 
engineering data. A subject firm should not await complete or accurate 
risk estimates before reporting under section 15(b) of CPSA. However, if 
information is not clearly reportable, a subject firm may spend a 
reasonable time for investigation and evaluation. (See Sec. 1115.14(d).)
    (d) Time for investigation and evaluation. A subject firm may 
conduct a reasonably expeditious investigation in order to evaluate the 
reportability of a death or grievous bodily injury or other information. 
This investigation and evaluation should not exceed 10 days unless a 
firm can demonstrate that a longer period is reasonable. The Commission 
will deem that, at the end of 10 days, a subject firm has received and 
considered all information which would have been available to it had a 
reasonable, expeditious, and diligent investigation been undertaken.
    (e) Time to report. Immediately, that is, within 24 hours, after a 
subject firm has obtained information which reasonably supports the 
conclusion that its consumer product fails to comply with an applicable 
consumer product safety rule or voluntary consumer product safety 
standard, contains a defect which could create a substantial risk of 
injury to the public, or creates an unreasonable risk of serious injury 
or death, the firm should report. (See

[[Page 169]]

Sec. 1115.13.) If a firm elects to conduct an investigation in order to 
evaluate the existence of reportable information, the 24-hour period 
begins when the firm has information which reasonably supports the 
conclusion that its consumer product fails to comply with an applicable 
consumer product safety rule or voluntary consumer product safety 
standard upon which the Commission has relied under section 9, contains 
a defect which could create a substantial product hazard, or creates an 
unreasonable risk of serious injury or death. Thus, a firm could report 
to the Commission before the conclusion of a reasonably expeditious 
investigation and evaluation if the reportable information becomes known 
during the course of the investigation. In lieu of the investigation, 
the firm may report the information immediately.

[43 FR 34998, Aug. 7, 1978, as amended at 57 FR 34230, Aug. 4, 1992]



Sec. 1115.15  Confidentiality and disclosure of data.

    (a) General. The Commission does not routinely make reports 
available to the public until the staff has made a preliminary hazard 
determination. Copies of reports will not be available to the public in 
the Commission's public reading room, and information contained in 
reports will not ordinarily be disclosed to the public in the absence of 
a formal request.
    (b) Freedom of Information Act. Any person who submits information 
to the Commission who believes that any portion of the information is 
entitled to exemption from public disclosure under the provisions of the 
Freedom of Information Act, as amended (15 U.S.C. 552(b)), of the CPSA, 
as amended, or of another Federal statute must accompany the submission 
with a written request that the information be considered exempt from 
disclosure or indicate that a written request will be submitted within 
10 working days of the submission. The request shall (1) identify the 
portions of the information for which exemption is claimed, which may 
include the identity of the reporting firm and the fact that it is 
making a report, and (2) state the facts and reasons which support the 
claimed exemption. After the staff has made its preliminary hazard 
determination, and regardless of whether or not the staff preliminarily 
determines that a product presents a substantial product hazard, the 
Commission will no longer honor requests for exempt status for the 
identity of the reporting firm, the identity of the consumer product, 
and the nature of the reported alleged defect or noncompliance. This 
information, together with the staff's preliminary hazard determination, 
will be made available to the public in the Commission's public reading 
room. Information for which exempt status is claimed (such as alleged 
trade secrets, confidential commercial or financial information, or 
information the disclosure of which would constitute an unwarranted 
invasion of personal privacy) shall not be released to the public except 
in accordance with the applicable statute or the Commission's Freedom of 
Information Act regulations (16 CFR part 1015).
    (c) Section 6(b) of the CPSA. The Commission believes that the first 
two sentences in section 6(b)(1) of the CPSA (15 U.S.C. 2055(b)(1)) 
apply to affirmative dissemination of information by the Commission 
(such as press releases or fact sheets distributed to the public) from 
which the public may ascertain readily the identity of the product's 
manufacturer and/or private labeler. Manufacturers and private labelers 
will ordinarily be given 30 days' notice before the Commission makes 
such affirmative disseminations. However, this 30-day notice will not 
apply if the Commission finds that a lesser notice period is required in 
the interest of public health and safety.



                Subpart B--Remedial Actions and Sanctions



Sec. 1115.20  Voluntary remedial actions.

    As appropriate, the Commission will attempt to protect the public 
from substantial product hazards by seeking one or more of the following 
voluntary remedies:
    (a) Corrective action plans. A corrective action plan is a document, 
signed by a subject firm, which sets forth the remedial action which the 
firm will voluntarily undertake to protect the

[[Page 170]]

public, but which has no legally binding effect. The Commission reserves 
the right to seek broader corrective action if it becomes aware of new 
facts or if the corrective action plan does not sufficiently protect the 
public.
    (1) Corrective action plans shall include, as appropriate:
    (i) A statement of the nature of the alleged hazard associated with 
the product, including the nature of the alleged defect or noncompliance 
and type(s) of injury or potential injury presented.
    (ii) A detailed statement of the means to be employed to notify the 
public of the alleged product hazard (e.g., letter, press release, 
advertising), including an identification of the classes of persons who 
will receive such notice and a copy or copies of the notice or notices 
to be used.
    (iii) A specification of model number and/or other appropriate 
descriptions of the product.
    (iv) Any necessary instructions regarding use or handling of the 
product pending correction.
    (v) An explanation of the specific cause of the alleged substantial 
product hazard, if known.
    (vi) A statement of the corrective action which will be or has been 
taken to eliminate the alleged substantial product hazard. The firm 
should indicate whether it is repairing or replacing the product or 
refunding its purchase price. If products are to be returned to a 
subject firm, the corrective action plan should indicate their 
disposition (e.g., reworked, destroyed, returned to foreign 
manufacturer). Samples of replacement products and relevant drawings and 
test data for repairs or replacements should be available.
    (vii) A statement of the steps that will be, or have been, taken to 
reasonably prevent recurrence of the alleged substantial product hazard 
in the future.
    (viii) A statement of the action which will be undertaken to correct 
product units in the distribution chain, including a timetable and 
specific information about the number and location of such units.
    (ix) The signatures of representatives of the subject firm.
    (x) An acknowledgment by the subject firm that the Commission may 
monitor the corrective action and that the firm will furnish necessary 
information, including customer lists.
    (xi) An agreement that the Commission may publicize the terms of the 
plan to the extent necessary to inform the public of the nature and 
extent of the alleged substantial product hazard and of the actions 
being undertaken to correct the alleged hazard presented.
    (xii) Additional points of agreement, as appropriate.
    (xiii) If desired by the subject firm, the following statement or 
its equivalent: ``The submission of this corrective action plan does not 
constitute an admission by (the subject firm) that either reportable 
information or a substantial product hazard exists.''
    (xiv) An acknowledgment that the corrective action plan becomes 
effective only upon its final acceptance by the Commission.
    (2) In determining whether to recommend to the Commission acceptance 
of a corrective action plan, the staff shall consider favorably both the 
promptness of the subject firm's reporting and any remedial actions 
taken by the subject firm in the interest of public safety. The staff 
also shall consider, insofar as possible, prior involvement by the 
subject firm in corrective action plans and Commission orders if such 
involvement bears on the likelihood that the firm will comply fully with 
the terms of the corrective action plan.
    (3) Upon receipt of a corrective action plan and staff 
recommendation, the Commission may:
    (i) Approve the plan;
    (ii) Reject the plan and issue a complaint (in which case an 
administrative and/or judicial proceeding will be commenced); or
    (iii) Take any other action necessary to insure that the plan is 
adequate.
    (4) When time permits and where practicable in the interest of 
protecting the public, a summary of the plan shall be published in the 
Commission's Public Calendar. Those portions of the plan that are not 
restricted will be made available to the public in the Commission's 
public reading room as much in advance of the Commission

[[Page 171]]

meeting as practicable. Any interested person wishing to comment on the 
plan must file a Notice of Intent to Comment at least forty-eight (48) 
hours prior to the commencement of the Commission meeting during which 
the plan will be discussed. If no notices of intent are received, the 
Commission may take final action on the plan. If such notice is received 
within the time limits detailed above, the plan will, if practicable, be 
docketed for the following week's agenda. All comments must be in 
writing, and final written comments must be submitted at least forty-
eight (48) hours before that session.
    (b) Consent order agreements under section 15 of CPSA. The consent 
order agreement (agreement) is a document executed by a subject firm 
(Consenting Party) and a Commission staff representative which 
incorporates both a proposed complaint setting forth the staff's charges 
and a proposed order by which such charges are resolved.
    (1) Consent order agreements shall include, as appropriate:
    (i) An admission of all jurisdictional facts by the Consenting 
Party.
    (ii) A waiver of any rights to an administrative or judicial hearing 
and of any other procedural steps, including any rights to seek judicial 
review or otherwise challenge or contest the validity of the 
Commission's Order.
    (iii) A statement that the agreement is in settlement of the staff's 
charges.
    (iv) A statement that the Commission's Order is issued under section 
15 of the CPSA (15 U.S.C. 2064) and that a violation is a prohibited act 
within the meaning of section 19(a)(5) of the CPSA (15 U.S.C. 
2068(a)(5)) and may subject a violator to civil and/or criminal 
penalties under sections 20 and 21 of the CPSA (15 U.S.C. 2069 and 
2070).
    (v) An acknowledgment that the Commission reserves its right to seek 
sanctions for any violations of the reporting obligations of section 
15(b) of CPSA (15 U.S.C. 2064(b)) and its right to take other 
appropriate legal action.
    (vi) An acknowledgment that the agreement becomes effective only 
upon its final acceptance by the Commission and its service upon the 
Consenting Party.
    (vii) An acknowledgment that the Commission may disclose terms of 
the consent order agreement to the public.
    (viii) A listing of the acts or practices from which the Consenting 
Party will refrain.
    (ix) A statement that the Consenting Party shall perform certain 
acts and practices pursuant to the agreement.
    (x) An acknowledgment that any interested person may bring an action 
pursuant to section 24 of the CPSA (15 U.S.C. 2073) in any U.S. district 
court for the district in which the Consenting Party is found or 
transacts business to enforce the order and to obtain appropriate 
injunctive relief.
    (xi) A description of the alleged substantial product hazard.
    (xii) If desired by the Consenting Party, the following statement or 
its equivalent: ``The signing of this consent order agreement does not 
constitute an admission by (the Consenting Party) that either reportable 
information or a substantial product hazard exists.''
    (xiii) The elements of a corrective action plan as set forth in 
Sec. 1115.20(a).
    (2) At any time in the course of an investigation, the staff may 
propose to a subject firm which is being investigated that some or all 
of the allegations be resolved by a consent order agreement. 
Additionally, such a proposal may be made to the staff by a subject 
firm.
    (3) Upon receiving an executed agreement, the Commission may:
    (i) Provisionally accept it;
    (ii) Reject it and issue a complaint (in which case an 
administrative and/or judicial proceeding will be commenced); or
    (iii) Take such other action as it may deem appropriate.
    (4) If the consent order agreement is provisionally accepted, the 
Commission shall place the agreement on the public record and shall 
announce provisional acceptance of the agreement in the Commission's 
public calendar and in the Federal Register. Any interested person may 
request the Commission not to accept the agreement by filing a written 
request in the Office of the Secretary. Such written request must be 
received in the Office of the Secretary no later than the close of

[[Page 172]]

business of the fifteenth (15th) calendar day following the date of 
announcement in the Federal Register.
    (5) If the Commission does not receive any requests not to accept 
the agreement within the time period specified above, the consent order 
agreement shall be deemed finally accepted by the Commission on the 
twentieth (20th) calendar day after the date of announcement in the 
Federal Register, unless the Commission determines otherwise. However, 
if the Commission does receive a request not to accept the consent order 
agreement, then it will consider such request and vote on the 
acceptability of such agreement or the desirability of further action. 
After the consent order agreement is finally accepted, the Commission 
may then issue its complaint and order in such form as the circumstances 
may require. The order is a final order in disposition of the proceeding 
and is effective immediately upon its service upon the Consenting Party 
pursuant to the Commission's Rules of Practice for Adjudicative 
Proceedings (16 CFR part 1025). The Consenting Party shall thereafter be 
bound by and take immediate action in accordance with such final order.
    (6) If the Commission does not accept the consent order agreement on 
a final basis, it shall so notify the Consenting Party. Such 
notification constitutes withdrawal of the Commission's provisional 
acceptance unless the Commission orders otherwise. The Commission then 
may:
    (i) Issue a complaint, in which case an administrative and/or 
judicial proceeding will be commenced;
    (ii) Order further investigation; or
    (iii) Take such other action as it may deem appropriate.



Sec. 1115.21  Compulsory remedial actions.

    As appropriate, the Commission will attempt to protect the public 
from hazards presented by consumer products by seeking one or more of 
the following:
    (a) Adjudicated Commission Order. An adjudicated Commission Order 
under section 15 (c) or (d) of the CPSA may be issued after parties and 
interested persons have had an opportunity for a hearing in accordance 
with section 554 of title 5, United States Code, and with section 15(f) 
of the CPSA. This hearing is governed by the Commission's Rules of 
Practice for Adjudicative Proceedings (16 CFR part 1025).
    (b) Injunctive relief. The Commission may apply to a U.S. district 
court in accordance with the provisions of section 15(g) of the CPSA for 
a preliminary injunction to restrain the distribution in commerce of a 
product it has reason to believe presents a substantial product hazard. 
The Commission may seek enforcement of its orders issued under sections 
15 (c) and (d) of the CPSA in accordance with provisions of sections 22 
and 27(b)(7) of the CPSA (15 U.S.C. 2071 and 2076(b)(7)).
    (c) Judicial determination of imminent hazard. The Commission may 
file a complaint in a U.S. district court in accordance with the 
provisions of section 12 of the CPSA (15 U.S.C. 2061).
    (d) Orders of the Secretary of the Treasury. The Commission staff 
may inform the Secretary of the Treasury that a consumer product offered 
for importation into the customs territory of the United States fails to 
comply with an applicable consumer product safety rule and/or has a 
product defect which constitutes a substantial product hazard. The 
Commission may request the Secretary of the Treasury under section 17 of 
the CPSA (15 U.S.C. 2066) to refuse admission to any such consumer 
product.



Sec. 1115.22  Prohibited acts and sanctions.

    (a) Statements generally. Whoever knowingly and willfully falsifies, 
or conceals a material fact in a report under the CPSA and rules 
thereunder, is subject to criminal penalties under 18 U.S.C. 1001.
    (b) Timeliness and adequacy of reporting. A failure to inform the 
Commission immediately and adequately, as required by section 15(b) of 
the CPSA, is a prohibited act within section 19(a)(4) of the CPSA (15 
U.S.C. 2068(a)(4)).
    (c) Failure to make reports. The failure or refusal to make reports 
or provide information as required under the CPSA is a prohibited act 
within the meaning of section 19(a)(3) of the CPSA (15 U.S.C. 
2068(a)(3)).

[[Page 173]]

    (d) Noncomplying products. The manufacture for sale, offering for 
sale, distribution in commerce, and/or importation into the United 
States of a consumer product which is not in conformity with an 
applicable consumer product safety rule under CPSA is a prohibited act 
within the meaning of sections 19 (a)(1) and (a)(2) of the CPSA (15 
U.S.C. 2068 (a)(1) and (a)(2)).
    (e) Orders issued under section 15 (c) and/or (d). The failure to 
comply with an order issued under section 15 (c) and/or (d) of the CPSA 
is a prohibited act within the meaning of section 19(a)(5) of the CPSA 
(15 U.S.C. 2068(a)(5)).
    (f) Consequences of engaging in prohibited acts. A knowing violation 
of section 19(a) of the CPSA subjects the violator to a civil penalty in 
accordance with section 20 of the CPSA (15 U.S.C. 2069). ``Knowing,'' as 
defined in section 20(c) of the CPSA (15 U.S.C. 2069(c)), means the 
having of actual knowledge or the presumed having of knowledge deemed to 
be possessed by a reasonable person who acts in the circumstances, 
including knowledge obtainable upon the exercise of due care to 
ascertain the truth of representations. A knowing and willful violation 
of section 19(a), after the violator has received notice of 
noncompliance, subjects the violator to criminal penalties in accordance 
with section 21 of the CPSA (15 U.S.C. 2070).

 Appendix to Part 1115--Voluntary Standards on Which the Commission Has 
        Relied Under Section 9 of the Consumer Product Safety Act

    The following are the voluntary standards on which the Commission 
has relied under section 9 of the Consumer Product Safety Act:
    1. American National Standard for Power Tools--Gasoline-Powered 
Chain Saws--Safety Regulations, ANSI B175.1-1985 sections 4.9.4, 4.12, 
4.15, 7 and 8, or the current version: ANSI B175.1-1991 sections 5.9.4, 
5.12, 5.15, 8 and 9.
    2. American National Standard for Gas-Fired Room Heaters, Volume II, 
Unvented Room Heaters, ANSI Z21.11.2-1989 and addenda ANSI Z21.11.2 a 
and b- 1991), sections 1.8, 1.20.9, and 2.9.

[57 FR 34230, Aug. 4, 1992]



PART 1116--REPORTS SUBMITTED PURSUANT TO SECTION 37 OF THE CONSUMER PRODUCT SAFETY ACT--Table of Contents




Sec.
1116.1 Purpose.
1116.2 Definitions.
1116.3 Persons who must report under section 37.
1116.4 Where to report.
1116.5 When must a report be made.
1116.6 Contents of section 37 reports.
1116.7 Scope of section 37 and its relationship to section 15(b) of the 
          CPSA.
1116.8 Determination of particular model.
1116.9 Confidentiality of reports.
1116.10 Restrictions on use of reports.
1116.11 Reports of civil actions under section 37 not admissions.
1116.12 Commission response to section 37 reports.

    Authority: 15 U.S.C. 2055(e), 2084.

    Source: 57 FR 34239, Aug. 4, 1992, unless otherwise noted.



Sec. 1116.1  Purpose.

    The purpose of this part 1116 is to establish procedures for filing 
with the Consumer Product Safety Commission (``the Commission'') reports 
required by section 37 of the Consumer Product Safety Act (CPSA) (15 
U.S.C. 2084) and to set forth the Commission's interpretation of the 
provisions of section 37.



Sec. 1116.2  Definitions.

    (a) A 24-month period(s) means the 24-month period beginning on 
January 1, 1991, and each subsequent 24-month period beginning on 
January 1 of the calendar year that is two years following the beginning 
of the previous 24-month period. The first statutory two year period 
ends on December 31, 1992. The second begins on January 1, 1993 and ends 
on December 31, 1994, and so forth.
    (b) Grievous bodily injury includes, but is not limited to, any of 
the following categories of injury:
    (1) Mutilation or disfigurement. Disfigurement includes permanent 
facial disfigurement or non-facial scarring that results in permanent 
restriction of motion;
    (2) Dismemberment or amputation, including the removal of a limb or 
other appendage of the body;

[[Page 174]]

    (3) The loss of important bodily functions or debilitating internal 
disorder. These terms include:
    (i) Permanent injury to a vital organ, in any degree;
    (ii) The total loss or loss of use of any internal organ,
    (iii) Injury, temporary or permanent, to more than one internal 
organ;
    (iv) Permanent brain injury to any degree or with any residual 
disorder (e.g. epilepsy), and brain or brain stem injury including coma 
and spinal cord injuries;
    (v) Paraplegia, quadriplegia, or permanent paralysis or paresis, to 
any degree;
    (vi) Blindness or permanent loss, to any degree, of vision, hearing, 
or sense of smell, touch, or taste;
    (vii) Any back or neck injury requiring surgery, or any injury 
requiring joint replacement or any form of prosthesis, or;
    (viii) Compound fracture of any long bone, or multiple fractures 
that result in permanent or significant temporary loss of the function 
of an important part of the body;
    (4) Injuries likely to require extended hospitalization, including 
any injury requiring 30 or more consecutive days of in-patient care in 
an acute care facility, or 60 or more consecutive days of in-patient 
care in a rehabilitation facility;
    (5) Severe burns, including any third degree burn over ten percent 
of the body or more, or any second degree burn over thirty percent of 
the body or more;
    (6) Severe electric shock, including ventricular fibrillation, 
neurological damage, or thermal damage to internal tissue caused by 
electric shock.
    (7) Other grievous injuries, including any allegation of 
traumatically induced disease.

Manufacturers may wish to consult with the Commission staff to determine 
whether injuries not included in the examples above are regarded as 
grievous bodily injury.
    (c) A particular model of a consumer product is one that is 
distinctive in functional design, construction, warnings or instructions 
related to safety, function, user population, or other characteristics 
which could affect the product's safety related performance. (15 U.S.C. 
2084(e)(2))
    (1) The functional design of a product refers to those design 
features that directly affect the ability of the product to perform its 
intended use or purpose.
    (2) The construction of a product refers to its finished assembly or 
fabrication, its materials, and its components.
    (3) Warnings or instructions related to safety include statements of 
the principal hazards associated with a product, and statements of 
precautionary or affirmative measures to take during the use, handling, 
or storage of a product, to the extent that a reasonable person would 
understand such statements to be related to the safety of the product. 
Warnings or instructions may be written or graphically depicted and may 
be attached to the product or appear on the product itself, in operating 
manuals, or in other literature that accompanies or describes the 
product.
    (4) The function of a product refers to its intended use or purpose.
    (5) User population refers to the group or class of people by whom a 
product is principally used. While the manufacturer's stated intent may 
be relevant to an inquiry concerning the nature of the user population, 
the method of distribution, the availability of the product to the 
public and to specific groups, and the identity of purchasers or users 
of the product should be considered.
    (6) Other characteristics which could affect a product's safety 
related performance include safety features incorporated into the 
product to protect against foreseeable risks that might arise during the 
use, handling, or storage of a product.
    (d) The term manufacturer means any person who manufactures or 
imports a consumer product. (15 U.S.C. 2052(a)(4)).

[57 FR 34239, Aug. 4, 1992, as amended at 58 FR 16121, Mar. 25, 1993]



Sec. 1116.3  Persons who must report under section 37.

    A manufacturer of a consumer product must report if:
    (a) A particular model of the product is the subject of at least 3 
civil actions filed in Federal or State Court;
    (b) Each suit alleges the involvement of that particular model in 
death or grievous bodily injury;

[[Page 175]]

    (c) The manufacturer is--
    (1) A party to, or
    (2) Is involved in the defense of or has notice of each action prior 
to entry of a final order, and is involved in the discharge of any 
obligation owed to plaintiff under the settlement of or in satisfaction 
of the judgment after adjudication in each of the suits; and
    (d) During one of the 24-month periods defined in Sec. 1116.2(a), 
each of the three actions results in either a final settlement involving 
the manufacturer or in a court judgment in favor of the plaintiff.

For reporting purposes, a multiple plaintiff suit for death or grievous 
bodily injury is reportable if the suit involves three or more separate 
incidents of injury. The reporting obligation arises when at least three 
plaintiffs have settled their claims or when a combination of settled 
claims and adjudications favorable to plaintiffs reaches three. Multiple 
lawsuits arising from one incident involving the same product only count 
as one lawsuit for the purposes of section 37.



Sec. 1116.4  Where to report.

    Reports must be sent in writing to the Commission's Office of 
Compliance and Enforcement, Division of Corrective Actions, Washington, 
DC 20207, telephone (301) 504-0608).



Sec. 1116.5  When must a report be made.

    (a) A manufacturer must report to the Commission within 30 days 
after the final settlement or court judgment in the last of the three 
civil actions referenced in Sec. 1116.3.
    (b) If a manufacturer has filed a section 37 report within one of 
the 24-month periods defined in Sec. 1116.2(a), the manufacturer must 
also report the information required by section 37(c)(1) for any 
subsequent settlement or judgment in a civil action that alleges that 
the same particular model of the product was involved in death or 
grievous bodily injury and that takes place during the same 24-month 
period. Each such supplemental report must be filed within 30 days of 
the settlement or final judgment in the reportable civil action.



Sec. 1116.6  Contents of section 37 reports.

    (a) Required information. With respect to each of the civil actions 
that is the subject of a report under section 37, the report must 
contain the following information:
    (1) The name and address of the manufacturer of the product that was 
the subject of each civil action;
    (2) The model and model number or designation of the consumer 
product subject to each action;
    (3) A statement as to whether the civil action alleged death or 
grievous bodily injury, and, in the case of an allegation of grievous 
bodily injury, a statement of the category of such injury;
    (4) A statement as to whether the civil action resulted in a final 
settlement or a judgment in favor of the plaintiff; and
    (5) In the case of a judgment in favor of the plaintiff, the name of 
the civil action, the number assigned to the civil action, and the court 
in which the civil action was filed.
    (b) Optional information. A manufacturer furnishing a report may 
include:
    (1) A statement as to whether any judgment in favor of the plaintiff 
is under appeal or is expected to be appealed (section 15 U.S.C. 
2084(c)(2)(A));
    (2) Any other information that the manufacturer chooses to provide 
(15 U.S.C. 2084(c)(2)(B)), including the dates on which final orders 
were entered in the reported lawsuits, and, where appropriate, an 
explanation why the manufacturer has not previously filed a report under 
section 15(b) of the CPSA covering the same particular product model 
that is the subject of the section 37 report; and
    (3) A specific denial that the information it submits reasonably 
supports the conclusion that its consumer product caused a death or 
grievous bodily injury.
    (c) Statement of amount not required. A manufacturer submitting a 
section 37 report is not required by section 37 or any other provision 
of the Consumer Product Safety Act to provide a statement of any amount 
paid in final settlement of any civil action that is the subject of the 
report.

[[Page 176]]

    (d) Admission of liability not required. A manufacturer reporting to 
the Commission under section 37 need not admit that the information it 
reports supports the conclusion that its consumer product caused a death 
or grievous bodily injury.



Sec. 1116.7  Scope of section 37 and its relationship to section 15(b) of the CPSA.

    (a) According to the legislative history of the Consumer Product 
Safety Improvement Act of 1990, the purpose of section 37 is to increase 
the reporting of information to the Commission that will assist it in 
carrying out its responsibilities.
    (b) Section 37(c)(1) requires a manufacturer or importer 
(hereinafter ``manufacturer'') to include in a section 37 report a 
statement as to whether a civil action that is the subject of the report 
alleged death or grievous bodily injury. Furthermore, under section 
37(c)(2), a manufacturer may specifically deny that the information it 
submits pursuant to section 37 reasonably supports the conclusion that 
its consumer product caused a death or grievous bodily injury, and may 
also include any additional information that it chooses to provide. In 
view of the foregoing, the reporting obligation is not limited to those 
cases in which a product has been adjudicated as the cause of death or 
grievous injury or to those settled or adjudicated cases in which the 
manufacturer has satisfied itself that the product was the cause of such 
trauma. Rather, when the specific injury alleged by the plaintiff meets 
the definition of ``grievous bodily injury'' contained in Sec. 1116.2(b) 
of this part, the lawsuit falls within the scope of section 37 after 
settlement or adjudication. The manufacturer's opinion as to the 
validity of the allegation is irrelevant for reporting purposes. The 
category of injury alleged may be clear from the face of an original or 
amended complaint in a case or may reasonably be determined during pre-
complaint investigation, post-complaint discovery, or informal 
settlement negotiation. Conclusory language in a complaint that the 
plaintiff suffered grievous bodily injury without further elaboration 
raises a presumption that the injury falls within one of the statutory 
categories, but is insufficient in itself to bring the suit within the 
ambit of the statute, unless the defendant manufacturer elects to settle 
such a matter without any investigation of the underlying facts. A case 
alleging the occurrence of grievous bodily injury in which a litigated 
verdict contains express findings that the injury suffered by the 
plaintiff did not meet the statutory criteria is also not reportable. 
Should a manufacturer believe that its product is wrongly implicated in 
an action, the statute expressly incorporates the mechanism for the 
manufacturer to communicate that belief to the Commission by denying in 
the report the involvement of the product or that the injury in fact 
suffered by the plaintiff was not grievous bodily injury, despite the 
plaintiff's allegations to the contrary. In addition, the statute 
imposes stringent confidentiality requirements on the disclosure by the 
Commission or the Department of Justice of information submitted 
pursuant to sections 37(c)(1) and 37(c)(2)(A). Moreover, it specifies 
that the reporting of a civil action shall not constitute an admission 
of liability under any statute or common law or under the relevant 
provisions of the Consumer Product Safety Act. In view of these 
safeguards, the reporting of lawsuits alleging the occurrence of death 
or grievous injury should have little adverse effect on manufacturers.
    (c) Section 37 applies to judgments and ``final settlements''. 
Accordingly, the date on which a civil action is filed or the date on 
which the product that is the subject of such an action was manufactured 
is irrelevant to the obligation to report. A settlement is final upon 
the entry by a court of an order disposing of a civil action with 
respect to the manufacturer of the product that is the subject of the 
action, even through the case may continue with respect to other 
defendants.
    (d) A judgment becomes reportable upon the entry of a final order by 
the trial court disposing of the matter in favor of the plaintiff and 
from which an appeal lies. Because section 37(c)(2) specifies that a 
reporting manufacturer

[[Page 177]]

may include a statement that a judgment in favor of a plaintiff is under 
appeal or is expected to be appealed, Congress clearly intended section 
37 to apply prior to the exhaustion of or even the initiation of action 
to seek appellate remedies.
    (e) No language in section 37 limits the reporting obligation to 
those litigated cases in which the plaintiff prevails completely. 
Therefore, if a court enters a partial judgment in favor of the 
plaintiff, the judgment is reportable, unless it is unrelated to the 
product that is the subject of the suit. For example, if a 
manufacturer's product is exonerated during a suit, but liability is 
assessed against another defendant, the manufacturer need not report 
under section 37.
    (f)(1) Section 37 applies to civil actions that allege the 
involvement of a particular model of a consumer product in death or 
grievous bodily injury. Section 3(a) of the Consumer Product Safety Act 
(15 U.S.C. 2052(a)) defines a ``consumer product'' as any article, or 
component part thereof, produced or distributed for sale to a consumer 
for use in or around a permanent or temporary household or residence, a 
school, in recreation, or otherwise, or for the personal use, 
consumption, or enjoyment of a consumer in or around a permanent or 
temporary household or residence, a school, in recreation, or otherwise. 
The term ``consumer product'' does not include any article which is not 
customarily produced or distributed for sale to, or use or consumption 
by, or enjoyment of, a consumer.
    (2) Since section 37 focuses on consumer products, it is the 
responsibility of the manufacturer of a product implicated in a civil 
action to determine whether the production or distribution of the 
product satisfies the statutory criteria of section 3(a). If it does, 
the action falls within the ambit of section 37. True industrial 
products are beyond the scope of section 37. However, if a lawsuit is 
based on an allegation of injury involving a consumer product, that suit 
falls within the scope of section 37, even though the injury may have 
occurred during the use of the product in employment. By the same token, 
occupational injuries arising during the fabrication of a consumer 
product are not reportable if the entity involved in the injury is not a 
consumer product at the time the injury occurs. In determining whether a 
product meets the statutory definition, manufacturers may wish to 
consult the relevant case law and the advisory opinions issued by the 
Commission's Office of the General Counsel. The unique circumstances 
surrounding litigation involving asbestos-containing products warrant 
one exception to this analysis. The Commission, as a matter of agency 
discretion, will require manufacturers of such products to report under 
section 37 only those lawsuits that allege the occurrence of death or 
grievous bodily injury as the result of exposure to asbestos from a 
particular model of a consumer product purchased by a consumer for 
personal use. Such lawsuits would include not only injury to the 
purchaser, but also to other consumers including family, subsequent 
property owners, and visitors. The Commission may consider granting 
similar relief to manufacturers of other products that present a risk of 
chronic injury similar to that presented by asbestos. Any such request 
must contain documented evidence demonstrating that compliance with the 
reporting requirements will be unduly burdensome and will be unlikely to 
produce information that will assist the Commission in carrying out its 
obligations under the statutes it administers.
    (g) The definition of ``consumer product'' also encompasses a 
variety of products that are subject to regulation under the Federal 
Hazardous Substances Act (15 U.S.C. 1261 et seq.), the Poison Prevention 
Packaging Act (15 U.S.C. 1471 et seq.), the Flammable Fabrics Act (15 
U.S.C. 1191 et seq.), and the Refrigerator Safety Act (15 U.S.C. 1211 et 
seq.). Lawsuits involving such products are also subject to section 37, 
notwithstanding the fact that the products may be regulated or subject 
to regulation under one of the other statutes.
    (h) Relationship of Section 37 to Section 15 of the CPSA.
    (1) Section 37 plays a complementary role to the reporting 
requirements of section 15(b) of the CPSA (15 U.S.C.

[[Page 178]]

2064(b)). Section 15(b) establishes a substantial obligation for firms 
to review information as it becomes available to determine whether an 
obligation to report exists. Accordingly, the responsibility to report 
under section 15(b) may arise long before enough lawsuits involving a 
product are resolved to create the obligation to report under section 
37. The enactment of section 15(b)(3) in the Consumer Product Safety 
Improvement Act of 1990 reinforces this expectation. Under this 
amendment, manufacturers must report to the Commission when they obtain 
information that reasonably supports the conclusion that a product 
creates an unreasonable risk of serious injury or death. Previously, the 
reporting obligation for unregulated products only arose when available 
information indicated that the product in question was defective and 
created a substantial product hazard because of the pattern of the 
defect, the severity of the risk of injury, the number of products 
distributed in commerce, etc. The effect of the 1990 amendment is 
discussed in detail in the Commission's interpretative rule relating to 
the reporting of substantial product hazards at 16 CFR part 1115.
    (2) The new substantive reporting requirements of section 15(b)(3) 
support the conclusion that Congress intended section 37 to capture 
product-related accident information that has not been reported under 
section 15(b). Between the time a firm learns of an incident or problem 
involving a product that raises safety-related concerns and the time 
that a lawsuit involving that product is resolved by settlement or 
adjudication, the firm generally has numerous opportunities to evaluate 
whether a section 15 report is appropriate. Such evaluation might be 
appropriate, for example, after an analysis of product returns, the 
receipt of an insurance investigator's report, a physical examination of 
the product, the interview or deposition of an injured party or an 
eyewitness to the event that gave rise to the lawsuit, or even 
preparation of the firm's responses to plaintiff's discovery requests. 
Even if a manufacturer does not believe that a report is required prior 
to the resolution of a single lawsuit, an obligation to investigate 
whether a report is appropriate may arise if, for example, a verdict in 
favor of the plaintiff raises the issue of whether the product in 
question creates an unreasonable risk of death or serious injury.
    (3) In contrast, the application of section 37 does not involve the 
discretionary judgment and subjective analyses of hazard and causation 
associated with section 15 reports. Once the statutory criteria of three 
settled or adjudicated civil actions alleging grievous injury or death 
in a two year period are met, the obligation to report under section 37 
is automatic. For this reason, the Commission regards section 37 as a 
``safety net'' to surface product hazards that remain unreported either 
intentionally or by inadvertence. The provisions in the law limiting 
such reports to cases in which three or more lawsuits alleging grievous 
injury or death are settled or adjudicated in favor of plaintiffs during 
a two year period provide assurance that the product involved presents a 
sufficiently grave risk of injury to warrant consideration by the 
Commission. Indeed, once the obligation to report under section 37 
arises, the obligation to file a section 15 report concurrently may 
exist if the information available to the manufacturer meets the 
criteria established in section 15(b) for reporting.
    (4) Section 37 contains no specific record keeping requirements. 
However, to track and catalog lawsuits to determine whether they are 
reportable, prudent manufacturers will develop and maintain information 
systems to index and retain lawsuit data. In the absence of a prior 
section 15 report, once such systems are in place, such manufacturers 
will be in a position to perform a two-fold analysis to determine 
whether the information contained in such systems is reportable under 
either section 15(b) or 37. A manufacturer might conclude, for example, 
that the differences between products that are the subject of different 
lawsuits make them different models or that the type of injury alleged 
in one or more of the suits is not grievous bodily injury. Based on this 
analysis, the manufacturer might also conclude that the suits are thus

[[Page 179]]

not reportable under section 37. However, a reporting obligation under 
section 15 may exist in any event if the same information reasonably 
supports the conclusion that the product(s) contain a defect which could 
create a substantial product hazard or create an unreasonable risk of 
serious injury or death.



Sec. 1116.8  Determination of particular model.

    (a) The obligation rests with the manufacturer of a product to 
determine whether a reasonable basis exists to conclude that a product 
that is the subject of a settled or adjudicated lawsuit is sufficiently 
different from other similar products to be regarded as a ``particular 
model'' under section 37 because it is ``distinctive.'' To determine 
whether a product is ``distinctive'', the proper inquiry should be 
directed toward the degree to which a product differs from other 
comparable products in one or more of the characteristics enumerated in 
section 37(e)(2) and Sec. 1116.2(c) of this part. A product is 
``distinctive'' if, after an analysis of information relating to one or 
more of the statutory characteristics, a manufacturer, acting in 
accordance with the customs and practices of the trade of which it is a 
member, could reasonably conclude that the difference between that 
product and other items of the same product class manufactured or 
imported by the same manufacturer is substantial and material. 
Information relevant to the determination of whether a product is a 
``particular model'' includes:
    (1) The description of the features and uses of the products in 
question in written material such as instruction manuals, description 
brochures, marketing or promotional programs, reports of certification 
of products, specification sheets, and product drawings.
    (2) The differences or similarities between products in their 
observable physical characteristics and in components or features that 
are not readily observable and that are incorporated in those products 
for safety-related purposes;
    (3) The customs and practices of the trade of which the manufacturer 
is a member in marketing, designating, or evaluating similar products.
    (4) Information on how consumers use the products and on consumer 
need or demand for different products, such as products of different 
size. In analyzing whether products are different models, differences in 
size or calibration afford the basis for distinguishing between products 
only if those differences make the products distinctive in functional 
design or function.
    (5) The history of the manufacturer's model identification and 
marketing of the products in question;
    (6) Whether variations between products relate solely to appearance, 
ornamentation, color, or other cosmetic features; such variations are 
not ordinarily sufficient to differentiate between models.
    (7) Whether component parts used in a product are interchangeable 
with or perform substantially the same function as comparable components 
in other units; if they are, the use of such components does not afford 
a basis for distinguishing between models.
    (8) Retail price. Substantial variations in price arising directly 
from the characteristics enumerated in section 37(e)(2) for evaluating 
product models may be evidence that products are different models 
because their differences are distinctive. Price variations imposed to 
accommodate different markets or vendors are not sufficient to draw such 
a distinction.
    (9) Manufacturer's designation, model number, or private label 
designation. These factors are not controlling in identifying 
``particular models''.
    (10) Expert evaluation of the characteristics of the products in 
question, and surveys of consumer users or a manufacturer's retail 
customers.
    (b) The definition of ``consumer product'' expressly applies to 
components of consumer products. Should a component manufacturer be 
joined in a civil action against a manufacturer of a consumer product, 
the section 37 reporting requirements may apply to that manufacturer 
after a combination of three judgments or settlements involving the same 
component model during a two year period, even though the manufacturer 
of the finished product is exempt

[[Page 180]]

from such reporting because the lawsuits do not involve the same 
particular model of the finished consumer product. The same proposition 
holds true for common components used in different consumer products. If 
the manufacturer of such a component is a defendant in three suits and 
the requisite statutory criteria are met, the reporting obligations 
apply.
    (c) Section 37 expressly defines the reporting obligation in terms 
of the particular model of a product rather than the manner in which a 
product was involved in an accident. Accordingly, even if the 
characteristic of a product that caused or resulted in the deaths of 
grievous injuries alleged in three or more civil actions is the same in 
all of the suits, the requirement to report under section 37 would arise 
only if the same particular model was involved in at least three of the 
suits. However, the existence of such a pattern would strongly suggest 
that the obligation to file a report under section 15(b) (2) or (3) (15 
U.S.C. 2064(b) (2) or (3)) exists because the information reasonably 
supports the conclusion that the product contains a defect that could 
present a substantial risk of injury to the public or creates an 
unreasonable risk of serious injury or death.
    (d) Section 37 does not require that the same category of injury be 
involved in multiple lawsuits for the reporting obligation to arise. As 
long as a particular model of a consumer product is the subject of at 
least three civil actions that are settled or adjudicated in favor of 
the plaintiff in one of the statutory two year periods, the manufacturer 
must report, even though the alleged category of injury and the alleged 
causal relationship of the product to the injury in each suit may 
differ.



Sec. 1116.9  Confidentiality of reports.

    (a) Pursuant to section 6(e) of the Consumer Product Safety Act (15 
U.S.C. 2055(e)) no member of the Commission, no officer or employee of 
the Commission, and no officer or employee of the Department of Justice 
may publicly disclose information furnished to the Commission under 
section 37(c)(1) and section 37(c)(2)(A) of the Act, except that:
    (1) An authenticated copy of a section 37 report furnished to the 
Commission by or on behalf of a manufacturer may, upon written request, 
be furnished to the manufacturer or its authorized agent after payment 
of the actual or estimated cost of searching the records and furnishing 
such copies; or
    (2) Any information furnished to the Commission under section 37 
shall, upon written request of the Chairman or Ranking Minority Member 
of the Committee on Commerce, Science, and Transportation of the Senate 
or the Committee on Energy and Commerce of the House of Representatives 
or any subcommittee of such committee, be provided to the Chairman or 
Ranking Minority Member for purposes that are related to the 
jurisdiction of such committee or subcommittee.
    (b) The prohibition contained in section 6(e) (15 U.S.C. 2055(e)) 
against the disclosure of information submitted pursuant to section 37 
only applies to the specific items of information that a manufacturer is 
required to submit under section 37(c)(1) and to statements under 
section 37(c)(2)(A) relating to the possibility or existence of an 
appeal of a reported judgment adverse to a manufacturer. Section 6(e)(1) 
does not, by its terms, apply to information that the manufacturer 
voluntarily chooses to submit pursuant to section 37(c)(2)(B). Thus, 
disclosure of such information is governed by the other provisions of 
section 6 of the CPSA (15 U.S.C. 2055) and by the interpretative rules 
issued by the Commission (16 CFR parts 1101 and 1015). For example, if a 
manufacturer includes information otherwise reportable under section 15 
as part of a section 37 report, the Commission will treat the 
information reported pursuant to section 15 as ``additional 
information'' submitted pursuant to section 37(c)(2)(B). Generally, any 
issue of the public disclosure of that information will be controlled by 
the relevant provisions of section 6(b), including section 6(b)(5) 
relating to the disclosure of substantial product hazard reports, and 
section 6(a) relating to the disclosure of confidential or trade secret 
information. However, to the extent the section 15 report reiterates or 
references information reported under

[[Page 181]]

section 37, the confidentiality provisions of section 6(e) still apply 
to the reiteration or reference. In addition, interpretative regulations 
issued under section 6(b) of the Act establish that disclosure of 
certain information may be barred if the disclosure would not be fair in 
the circumstances. 16 CFR 1101.33. Accordingly, issues of releasing 
additional information submitted pursuant to section 37 will also be 
evaluated under the fairness provisions of section 6(b). Should the 
Commission receive a request for such information or contemplate 
disclosure on its own initiative, the manufacturer will be given an 
opportunity to present arguments to the Commission why the information 
should not be disclosed, including, if appropriate, why disclosure of 
the information would be unfair in the circumstances. Among the factors 
the Commission will consider in evaluating the fairness of releasing the 
information are the nature of the information, the fact that it is an 
adjunct to a Congressional protected report, and whether the information 
in question supports the conclusion that a section 37 or 15(b), CPSA, 
report should have been filed earlier.
    (c) Section 6(e) imposes no confidentiality requirements on 
information obtained by the Commission independently of a report 
pursuant to section 37. The provisions of section 6(b) govern the 
disclosure of such information.



Sec. 1116.10  Restrictions on use of reports.

    No member of the Commission, no officer or employee of the 
Commission, and no officer or employee of the Department of Justice may 
use information provided to the Commission under section 37 for any 
purpose other than to carry out the responsibilities of the Commission.



Sec. 1116.11  Reports of civil actions under section 37 not admissions.

    Pursuant to section 37(d), 15 U.S.C. 2084(d), the reporting of a 
civil action under section 37 shall not constitute an admission of--
    (a) An unreasonable risk of injury;
    (b) A defect in the consumer product which was the subject of the 
civil action;
    (c) A substantial product hazard;
    (d) An imminent hazard; or
    (e) Any other liability under any statute or any common law.



Sec. 1116.12  Commission response to section 37 reports.

    Upon receipt of a section 37 report, the Commission will evaluate 
the information contained in the report and any relevant information 
contained in its files or data bases to determine what, if any, follow-
up or remedial action by the Commission is appropriate. If the 
Commission requires additional information, it will notify the 
manufacturer in writing of the specific information to provide. In 
addition, the Commission will routinely review section 37 reports to 
determine whether the reporting manufacturers have fulfilled their 
obligations under both sections 37 and 15(b) in a timely manner. Such a 
review may also engender a request for additional information, including 
the dates on which final orders were entered in each of the lawsuits 
reported under section 37. The Commission will treat any subsequent 
submission of information by the manufacturer as a submission under 
section 37(c)(2)(B) subject to the restrictions on public disclosure 
contained in sections 6(a) and (b) of the Consumer Product Safety Act.



PART 1117--REPORTING OF CHOKING INCIDENTS INVOLVING MARBLES, SMALL BALLS, LATEX BALLOONS AND OTHER SMALL PARTS--Table of Contents




Sec.
1117.1 Purpose.
1117.2 Definitions.
1117.3 Reportable information.
1117.4 Time for filing a report.
1117.5 Information that must be reported and to whom.
1117.6 Relation to section 15(b) of the CPSA.
1117.7 Confidentiality of reports.
1117.8 Effect of reports on liability.
1117.9 Prohibited acts and sanctions.

    Authority: Section 102 of the Child Safety Protection Act (Pub. L. 
No. 103-267), section 16(b), 15 U.S.C. 2065(b) and 5 U.S.C. 553.

    Source: 60 FR 10493, Feb. 27, 1995, unless otherwise noted.

[[Page 182]]



Sec. 1117.1  Purpose.

    The purpose of this part is to set forth the Commission's 
interpretative regulations for reporting of choking incidents required 
by the Child Safety Protection Act. The statute requires that each 
manufacturer, distributor, retailer, and importer of a marble, small 
ball, or latex balloon, or a toy or a game that contains a marble, small 
ball, latex balloon, or other small part, shall report to the Commission 
any information obtained by such manufacturer, distributor, retailer, or 
importer which reasonably supports the conclusion that an incident 
occurred in which a child (regardless of age) choked on such a marble, 
small ball, or latex balloon or on a marble, small ball, latex balloon, 
or other small part contained in such toy or game and, as a result of 
that incident the child died, suffered serious injury, ceased breathing 
for any length of time, or was treated by a medical professional.



Sec. 1117.2  Definitions.

    (a) Small part means any part, component, or piece of a toy or game, 
which, when tested in accordance with the procedures in 16 CFR 1501.4(a) 
and 1501.4(b)(1), fits entirely within the cylinder shown in Figure 1 
appended to 16 CFR 1501.
    (b) Small ball means any ball that under the influence of its own 
weight, passes, in any orientation, entirely through a circular hole 
with a diameter of 1.75 inches (4.445 cm) in a rigid template .25 inches 
(6 mm.) thick. For purposes of this designation, the term ``ball'' 
includes any spherical, ovoid, or ellipsoidal object that is designed or 
intended to be thrown, hit, kicked, rolled, or bounced, and is either 
not permanently attached to another toy or article, or is attached to 
such a toy or article by means of a string, elastic cord, or similar 
tether. The term ball includes any multi-sided object formed by 
connecting planes into a generally spherical, ovoid, or ellipsoidal 
shape that is designated or intended to be used as a ball, and any 
novelty item of a generally spherical, ovoid, or ellipsoidal shape that 
is designated or intended to be used as a ball.
    (c) Choked means suffered an obstruction of the airways.
    (d) A latex balloon is a toy or decorative item consisting of a 
latex bag that is designed to be inflated by air or gas. The term does 
not include inflatable children's toys that are used in aquatic 
activities, such as rafts, water wings, life rings, etc.
    (e) A marble is a ball made of a hard material, such as glass, 
agate, marble or plastic, that is used in various children's games, 
generally as a playing piece or marker.
    (f) Serious injury includes not only the concept of ``grievous 
bodily injury'' defined in the Commission's rule for Substantial Hazard 
Reports at 16 CFR 1115.12(d), but also any other significant injury. 
Injuries necessitating hospitalization which require actual medical or 
surgical treatment and injuries necessitating absence from school or 
work of more than one day are examples of situations in which the 
Commission shall presume that such a serious injury has occurred.
    (g) Subject firm means any manufacturer, distributor, retailer or 
importer of marbles, small balls, latex balloons, or a toy or game that 
contains a marble, small ball, latex balloon, or other small part.
    (h) Toy or game includes any toy or game, including those exempt 
under 16 CFR 1501.3 from the small parts banning provisions of 16 CFR 
1500.18(a)(9).

[60 FR 10493, Feb. 27, 1995, as amended at 60 FR 41801, Aug. 14, 1995]



Sec. 1117.3  Reportable information.

    A subject firm shall report any information it obtains which 
reasonably supports the conclusion that a reportable incident occurred. 
Generally, firms should report any information provided to the company, 
orally or in writing, which states that a child choked on a marble, 
small ball, latex balloon, or on a marble, small ball, latex balloon or 
other small part contained in a toy or game and, as a result of that 
incident the child died, suffered serious injury, ceased breathing for 
any length of time, or was treated by a medical professional. Subject 
firms must not wait until they have investigated the incident or 
conclusively resolved whether the information is accurate or whether 
their product was involved in the incident. Firms shall not

[[Page 183]]

wait to determine conclusively the cause of the death, injury, cessation 
of breathing or necessity for treatment. An allegation that such a 
result followed the choking incident is sufficient to require a report.



Sec. 1117.4  Time for filing a report.

    (a) A subject firm must report within 24 hours of obtaining 
information which reasonably supports the conclusion that an incident 
occurred in which a child (regardless of age) choked on a marble, small 
ball, or latex balloon or on a marble, small ball, latex balloon, or 
other small part contained in a toy or game and, as a result of that 
incident the child died, suffered serious injury, ceased breathing for 
any length of time, or was treated by a medical professional. Section 
1117.5 of this part sets forth the information that must be reported.
    (b) The Commission will deem a subject firm to have obtained 
reportable information when the information has been received by an 
official or employee who may reasonably be expected to be capable of 
appreciating the significance of the information. Under ordinary 
circumstances, 5 days shall be the maximum reasonable time for 
information to reach such an employee, the Chief Executive Officer or 
the official or employee responsible for complying with the reporting 
requirements of section 102 of the Child Safety Protection Act.



Sec. 1117.5  Information that must be reported and to whom.

    (a) Reports shall be directed to the Division of Corrective Actions, 
Consumer Product Safety Commission, 4330 East West Highway, Bethesda, 
Maryland 20815 (Mailing Address: Washington, D.C. 20207) (Phone: 301-
504-0608, facsimile: 301-504-0359).
    (b) Subject firms must report as much of the following information 
as is known when the report is made:
    (1) The name, address, and title of the person submitting the report 
to the Commission,
    (2) The name and address of the subject firm,
    (3) The name and address of the child who choked and the person(s) 
who notified the subject firm of the choking incident,
    (4) Identification of the product involved including the date(s) of 
distribution, model or style number, a description of the product 
(including any labeling and warnings), a description of the marble, 
small ball, latex balloon or other small part involved, and pictures or 
sample if available,
    (5) A description of the choking incident and any injuries that 
resulted or medical treatment that was necessary,
    (6) Copies of any information obtained about the choking incident,
    (7) Any information about changes made to the product or its 
labeling or warnings with the intention of avoiding such choking 
incidents, including, but not limited to, the date(s) of the change and 
its implementation, and a description of the change. Copies of any 
engineering drawings or product and label samples that depict the 
change(s).
    (8) The details of any public notice or other corrective action 
planned by the firm,
    (9) Such other information as appropriate.
    (c) Retailers or distributors should supply as much of the 
information required in paragraph (b) of this section as is available to 
them but are not required to obtain information about product design 
changes or recall activities from the product manufacturer.
    (d) Within ten days of their initial report, subject firms must 
supplement their reports to supply any of the information required by 
paragraph (b) of this section that was not available at the time of the 
initial report.



Sec. 1117.6  Relation to section 15(b) of the CPSA.

    Section 15(b) of the CPSA requires subject firms to report when they 
obtain information which reasonably supports the conclusion that 
products they distributed in commerce fail to comply with an applicable 
consumer product safety rule or with a voluntary consumer product safety 
standard upon which the Commission has relied under section 9 of the 
CPSA, contain a defect which could create a substantial product hazard, 
or create an unreasonable risk of serious injury or death. The

[[Page 184]]

Commission's rules interpreting this provision are set forth at 16 CFR 
part 1115. The requirements of section 102 of the CSPA and this part are 
in addition to, but not to the exclusion of, the requirements in section 
15(b) and part 1115. To comply with section 15(b), subject firms must 
continue to evaluate safety information they obtain about their 
products. Subject firms may have an obligation to report under section 
15(b) of the CPSA whether or not they obtain information about choking 
incidents. Firms must also comply with the lawsuit-reporting provisions 
of section 37 of the CPSA, interpreted at 16 CFR part 1116.



Sec. 1117.7  Confidentiality of reports.

    The confidentiality provisions of section 6 of the CPSA, 15 U.S.C. 
2055, apply to reports submitted under this part. The Commission shall 
afford information submitted under this part the protection afforded to 
information submitted under section 15(b), in accordance with section 
6(b)(5) of the CPSA and subpart G of part 1101 of title 16 of the CFR.



Sec. 1117.8  Effect of reports on liability.

    A report by a manufacturer, distributor, retailer, or importer under 
this part shall not be interpreted, for any purpose, as an admission of 
liability or of the truth of the information contained in the report.



Sec. 1117.9  Prohibited acts and sanctions.

    (a) Whoever knowingly and willfully falsifies or conceals a material 
fact in a report submitted under this part is subject to criminal 
penalties under 18 U.S.C. 1001.
    (b) A failure to report to the Commission in a timely fashion as 
required by this part is a prohibited act under section 19(a)(3) of the 
CPSA, 15 U.S.C. 2068(a)(3).
    (c) A subject firm that knowingly fails to report is subject to 
civil penalties under section 20 of the CPSA, 15 U.S.C. 2069. Knowing 
means the having of actual knowledge or the presumed having of knowledge 
deemed to be possessed by a reasonable person who acts in the 
circumstances, including knowledge obtainable upon the exercise of due 
care to ascertain the truth of representations. Section 20(d) of the 
CPSA, 15 U.S.C. 2069(d).
    (d) Any person who knowingly and willfully violates section 19 of 
this Act after having received notice of noncompliance from the 
Commission may be subject to criminal penalties under section 21 of the 
CPSA, 15 U.S.C. 2070.



PART 1118--INVESTIGATIONS, INSPECTIONS AND INQUIRIES UNDER THE CONSUMER PRODUCT SAFETY ACT--Table of Contents




  Subpart A--Procedures for Investigations, Inspections, and Inquiries

Sec.
1118.1 Definitions, initiation of investigations, inspections, and 
          inquiries and delegations.
1118.2 Conduct and scope of inspections.
1118.3 Compulsory processes and service.
1118.4 Subpoenas.
1118.5 Investigational hearings.
1118.6 Depositions.
1118.7 Rights of witnesses at investigational hearings and of deponents 
          at depositions.
1118.8 General or special orders seeking information.
1118.9 Motions to limit or quash subpoenas and general or special orders 
          and delegation to modify terms for compliance.
1118.10 Remedies for failure to permit authorized investigations.
1118.11 Nonexclusive delegation of power.

                   Subpart B--Consent Order Agreements

1118.20 Procedures for consent order agreements.

    Authority: Sec. 16, Pub. L. 92-573, 86 Stat. 1222 (15 U.S.C. 2065); 
sec. 19, Pub. L. 92-573, 86 Stat. 1224 (15 U.S.C. 2068); sec. 27, Pub. 
L. 92-573, 86 Stat. 1227 (15 U.S.C. 2076); as amended by Pub. L. 94-284, 
90 Stat. 509.

    Source: 44 FR 34929, June 18, l979, unless otherwise noted.



  Subpart A--Procedures for Investigations, Inspections, and Inquiries



Sec. 1118.1  Definitions, initiation of investigations, inspections, and inquiries and delegations.

    (a) Definitions. For the purpose of these rules, the following 
definitions apply:
    (1) Act means the Consumer Product Safety Act (15 U.S.C. 2051, et 
seq.).

[[Page 185]]

    (2) Commission means the Consumer Product Safety Commission.
    (3) Firm means a manufacturer, private labeler, distributor, or 
retailer of a consumer product, except as otherwise provided by section 
16(b) of the Act.
    (4) Investigation is an undertaking by the Commission to obtain 
information for implementing, enforcing, or determining compliance with 
the Consumer Product Safety Act and the regulations, rules, and orders 
issued under the Act. The term investigation includes, but is not 
limited to, inspections (Sec. 1118.2), investigational hearings 
(Sec. 1118.5), and inquiries; employing subpoenas (Sec. 1118.4), 
depositions (Sec. 1118.6), and general or special orders (Sec. 1118.9).
    (5) The definition of the terms set forth in section 3 of the 
Consumer Product Safety Act (15 U.S.C. 2052) shall apply to this part 
1118.
    (b) Initiation of Investigations and Inquiries. Investigations and 
inquiries will be initiated by the Commission in any manner authorized 
by law.
    (c) Initiation of Inspections. An inspection as described in 
Sec. 1118.2 is initiated when the Commission or its delegate authorizes 
the issuance of a written notice of inspection, described in 
Sec. 1118.2(c).
    (d) Delegations of Authority. The Commission hereby delegates to the 
Associate Executive Director for Compliance and Enforcement; the 
Solicitor, the Directors of the Divisions of Enforcement; the Solicitor, 
the Directors of the Divisions of Enforcement, Product Defect 
Correction, and Regulatory Management; and the directors of area 
offices, the power to initiate inspections in the same manner as the 
Commission.



Sec. 1118.2  Conduct and scope of inspections.

    (a) After an inspection is initiated as set forth in Sec. 1118.1, an 
officer or employee duly designated by the Commission shall issue the 
notice of inspection (hereinafter: notice). Upon presenting the notice, 
along with appropriate credentials, to the person or agent in charge of 
the firm to be inspected, the Commission officer or employee is 
authorized for the purposes set forth in Sec. 1118.1(a):
    (1) To enter, at reasonable times, any factory, warehouse, or 
establishment in which consumer products are manufactured or held, in 
connection with distribution in commerce, or any conveyance being used 
to transport consumer products in connection with distribution in 
commerce; and
    (2) To inspect, at reasonable times and in a reasonable manner, any 
conveyance or those areas of the factory, warehouse, or establishment 
where consumer products are manufactured, held, or transported and which 
may relate to the safety of those products; and
    (3) To have access to and to copy all relevant records, books, 
documents, papers, packaging or labeling which:
    (i) Are required by the Commission to be established, made or 
maintained, or
    (ii) Show or relate to the production, inventory, testing, 
distribution, sale, transportation, importation, or receipt of any 
consumer product, or that are otherwise relevant to determining whether 
any person or firm has acted or is acting in compliance with the Act and 
regulations, rules and orders promulgated under the Act, and
    (4) To obtain:
    (i) Information, both oral and written, concerning the production, 
inventory, testing, distribution, sale, transportation, importation, or 
receipt of any consumer product, and the organization, business, 
conduct, practices, and management of any person or firm being inspected 
and its relation to any other person or firm;
    (ii) Samples of items, materials, substances, products, containers, 
packages and packaging, and labels and labeling, or any component at 
manufacturer's, distributor's or retailer's cost unless voluntarily 
provided; and
    (iii) Information, both oral and written, concerning any matter 
referred to in the Act and these rules.
    (b) A separate notice shall be given for each inspection, but a 
notice is not required for each entry made during the course of the same 
inspection. Each inspection shall be commenced at and completed within a 
reasonable period of time.

[[Page 186]]

    (c) The notice of inspection shall include the name and address of 
the person or firm being inspected; the name and title of the Commission 
officer or employee; the date and time of the anticipated entry; 
pertinent extracts from the statutory provisions upon which the right to 
access is based; pertinent extracts from Sec. 1118.2 of these rules 
setting forth the authority of Commission officers or employees and the 
types of information and items they are authorized to obtain; a 
statement that the inspection will be conducted and the information will 
be provided with the cooperation of the person or firm being inspected; 
a statement which sets forth the purposes of the inspection and the 
nature of the information and items to be obtained and/or copied; and a 
statement that those from whom information is requested should state in 
writing whether any of the information submitted is believed to contain 
or relate to a trade secret or other matter which should be considered 
by the Commission to be confidential in accordance with section 6(a)(2) 
of the Act (15 U.S.C. 2055(a)(2)) and whether any of the information is 
believed to be entitled to exemption from disclosure by the Commission 
under the provisions of the Freedom of Information Act (5 U.S.C. 552) 
and the Commission's regulations under that Act, 16 CFR part 1015 (42 FR 
10496, February 22, 1977) or as amended. Any statement asserting this 
claim of confidentiality must be in writing, and any request for 
exemption of the information from disclosure must be made in accordance 
with the Commission's Freedom of Information Act regulations, 16 CFR 
part 1015 (42 FR 10490, February 22, 1977) or as amended.
    (d) If upon being presented with a notice by an officer or employee 
duly designated by the Commission, the person or agent-in-charge of the 
firm being inspected refuses to allow entry or inspection, the 
Commission may then seek a search warrant or take other appropriate 
legal action. If the person refuses to provide information, to allow 
access to or the copying of records, or to supply samples as provided in 
these rules, the officer or employee of the Commission shall complete 
the investigation to the extent that voluntary cooperation is provided. 
The Commission may take such additional action, including but not 
limited to seeking an ex parte search warrant, employing the compulsory 
process provided for in these rules, and/or taking other suitable legal 
action. If the person or agent in charge refuses to accept the notice 
upon its presentation, the officer or employee may affix the notice to a 
public entrance way on the premises and this shall constitute 
presentation of the notice.



Sec. 1118.3  Compulsory processes and service.

    (a) In addition to or in lieu of authorizing the issuance of a 
notice, the Commission may elect either to seek an ex parte search 
warrant and/or use any other reasonable means authorized by law to 
initiate investigations, inspections, or inquires to obtain information 
for the purposes set forth in Sec. 1118.1(a), including but not limited 
to the following compulsory processes:
    (1) Subpoenas;
    (2) Investigational hearings;
    (3) Depositions; and
    (4) General or special orders.
    (b) Service in connection with any of the compulsory processes in 
Sec. 1118.3(a) shall be effected:
    (1) By personal service upon the person or agent in charge of the 
firm being investigated, inspected or inquired of; or
    (2) By certified mail or delivery to the last known residence or 
business address of anyone being investigated, inspected or inquired of; 
or
    (3) In the case of general or special orders where personal service, 
mailing or delivery has been unsuccessful, service may also be effected 
by publication in the Federal Register.
    (c) The date of service of any form of compulsory process shall be 
the date on which the document is received by mail, delivered in person 
or published in the Federal Register. In computing a period of time in 
which a party is required or permitted to act, the day from which the 
time begins to run shall not be included. The last day of the period 
shall be included, unless it is a Saturday, Sunday or legal holiday, in 
which event the period runs until the end of the next day that is

[[Page 187]]

not a Saturday, Sunday or legal holiday.
    (d) These rules shall be referred to in any notice of compulsory 
process served upon a person or firm.
    (e) Anyone submitting information in response to any of the 
compulsory processes referred to in Sec. 1118.3(a) should state whether 
any of the information submitted is believed to contain or relate to a 
trade secret or other matter which should be considered by the 
Commission to be confidential in accordance with section 6(a)(2) of the 
Consumer Product Safety Act (15 U.S.C. 2055(a)(2)) and whether any of 
the information is believed to be exempt from disclosure by the 
Commission under the provisions of the Freedom of Information Act (5 
U.S.C. 552) and the Commission's regulations under that Act, 16 CFR part 
1015 (42 FR 10490, February 22, 1977) or as amended. Any claim of 
confidentiality must be in writing, and any request for exemption from 
disclosure must be made in accordance with the Commission's Freedom of 
Information Act regulations, 16 CFR part 1015 (42 FR 10490, February 22, 
1977), or as amended.



Sec. 1118.4  Subpoenas.

    The Commission may issue to any person or firm a subpoena requiring 
the production of documentary evidence (subpoena duces tecum) and/or 
attendance and testimony of witnesses (subpoena ad testificandum) 
relating to any matter under investigation. Procedures regarding 
compliance with subpoenas and motions to limit or quash subpoenas are 
provided for in Sec. 1118.9.



Sec. 1118.5  Investigational hearings.

    (a) The Commission by subpoena may require any person or firm to 
provide information at an investigational hearing. These hearings shall 
be for the purpose of taking the testimony, under oath, of witnesses and 
receiving documents and other data relating to any subject under 
investigation. The hearings shall be presided over by the Commission, by 
one or more of the Commissioners, by an administrative law judge, or by 
a duly designated officer or employee, who shall be referred to as the 
presiding official. The hearings shall be stenographically reported, and 
the transcript shall be made a part of the record.
    (b) A Commissioner who participates in a hearing or other 
investigation, inspection, or inquiry shall not be disqualified solely 
by reason of that participation from subsequently participating in a 
Commission decision in the same matter.
    (c) Investigational hearings shall be closed to the public, unless 
otherwise ordered by the Commission.
    (d) The release of the record of the hearing shall be governed by 
the Freedom of Information Act (5 U.S.C. 552), the Commission's 
regulations under that Act, 16 CFR part 1015 (42 FR 10490, February 22, 
1977) or as amended and/or other applicable laws or regulations, except 
that a person required to give testimony or a deposition may, in 
accordance with Sec. 1118.7(d), obtain a copy of his or her testimony or 
deposition.



Sec. 1118.6  Depositions.

    (a) The Commission by subpoena may require testimony to be taken by 
deposition at any stage of any investigation. Depositions may be taken 
before any person who is designated by the Commission and has the power 
to administer oaths. The person before whom the deposition is taken 
shall put the deponent under oath. The testimony given shall be reduced 
to writing by the person taking the deposition or under that person's 
direction and shall then be submitted to the deponent for signature 
unless the deponent waives the right to sign the deposition. All 
depositions shall be closed to the public, unless otherwise ordered by 
the Commission. The release of the record of such depositions shall be 
governed by the Freedom of Information Act (5 U.S.C. 552), the 
Commission's regulations under that Act, 16 CFR part 1015 (42 FR 10490, 
February 22, 1977) or as amended and/or other applicable laws or 
regulations, except that the deponent may, in accordance with 
Sec. 1118.7(d), obtain a copy of his or her deposition.
    (b) Any changes which the deponent desires to make shall be entered 
on the face of the deposition and shall state the reasons for such 
changes. The deposition shall then be signed by the deponent, unless the 
deponent waives the

[[Page 188]]

right to sign, cannot be found, or is unable or refuses to sign. The 
deponent must sign the deposition within 30 days of its submission to 
him or her, or within such shorter time period as the Commission may 
designate. Whenever a deponent is required to sign in less than ten 
days, the Commission shall notify the deponent of the reasons for such 
shorter time period.

If the deponent does not sign the deposition within the prescribed time 
period, the Commission designee shall sign it and state on the record 
the fact of the waiver of the right to sign or of the illness or absence 
of the deponent, or the deponent's inability or refusal to sign, 
together with the reason if any is given. The deposition may be used in 
any administrative proceeding, as provided by these rules, or any other 
proceeding, as allowed by applicable rules.



Sec. 1118.7  Rights of witnesses at investigational hearings and of deponents at depositions.

    (a) Any person, agent, or officer of a firm, who is required to 
produce documentary evidence or give testimony as a witness at an 
investigational hearing conducted under provisions of Sec. 1118.5 or as 
a deponent at a deposition taken under provisions of Sec. 1118.6 may be 
accompanied by an attorney, or an officer or partner of the firm, who 
may act as representative for the witness or the deponent. However, a 
person who is subpoenaed to produce documentary evidence or give 
testimony at an investigational hearing or deposition cannot act as 
attorney or representative for another witness or deponent at the same 
proceeding. The term attorney refers to members of the bar of a Federal 
court or the courts of any State or Territory of the United States, the 
Commonwealth of Puerto Rico, or the District of Columbia. The witness or 
deponent and his or her attorney or representative may act as follows 
during the course of an investigational hearing or deposition:
    (1) A witness or deponent may confer, in confidence, with his or her 
attorney or representative concerning any questions asked of the witness 
or deponent. If the witness, deponent, or his or her attorney or 
representative objects to a question or any other matter relevant to the 
investigational hearing or deposition, the objection and basis for it 
shall be stated on the record. In the case of an objection based upon 
self-incrimination, the privilege must be asserted by the witness or 
deponent. If a witness at an investigational hearing refuses to answer a 
question or provide other information, the presiding official shall have 
the authority to immediately order the witness to answer the question or 
provide the information requested, except in circumstances where, in the 
discretion of the presiding official an immediate ruling would be 
unwarranted and except where a refusal is based upon the privilege 
against self-incrimination. Otherwise all objections shall be ruled upon 
by presiding official at the time the objection is made.
    (2) Objections timely made under the provisions of Sec. 1118.7(a) 
shall be noted on the record, shall be treated as continuing, and shall 
be preserved throughout the proceeding without the necessity of 
repetition during similar lines of inquiry.
    (3) Except as provided by Sec. 1118.7(a), counsel for a witness or 
deponent may not interrupt the examination of the witness or the 
deponent by making objections or statements on the record.
    (4) Upon completion of the examination, any witness at an 
investigational hearing may clarify on the record any of his or her 
answers, or, if the witness is accompanied by an attorney or 
representative, the attorney or representative may examine the witness 
on the record as to answers previously given. In addition, the witness 
or his or her attorney or representative may make a brief statement at 
the conclusion of the hearing giving his, her or the firm's position 
with regard to matters under investigation. In order to prevent abuse of 
the investigational process, the presiding official shall have the 
authority to impose reasonable limitations on the period of time allowed 
for objections, clarification of answers, and statements of position.
    (5) Upon completion of all testimony, a deponent may clarify on the 
record any of his or her answers. The attorney or representative for a 
deponent may examine that deponent on the record to clarify answers 
previously given.

[[Page 189]]

    (b) Any person, agent, or officer who is required to appear in 
person at an investigational hearing or at a deposition shall testify as 
to matters and information known and/or reasonably available to the 
person or firm involved.
    (c) Any person, agent or officer who is compelled by subpoena to 
appear in person at an investigational hearing or at a deposition shall 
receive the same fees and mileage allowances as are paid witnesses in 
the courts of the United States.
    (d) Any person, agent, or officer who is required to appear at an 
investigational hearing or at a deposition shall be entitled to retain a 
copy of any document submitted by him or her and, upon payment of 
lawfully prescribed costs, in accordance with the Commission's 
regulations under the Freedom of Information Act, shall be entitled to 
procure a copy of his or her own testimony as recorded.
    (e) The presiding official shall take all necessary action to 
regulate the course of the hearing, to avoid delay and to assure that 
reasonable standards of orderly and ethical conduct are maintained. The 
presiding official, for reasons stated on the record, shall immediately 
report to the Commission any instance in which a witness or his or her 
attorney or representative has refused to comply with the presiding 
official's directions or to adhere to reasonable standards of orderly 
and ethical conduct in the course of the hearing. The Commission shall 
take whatever action is appropriate under the circumstances.



Sec. 1118.8  General or special orders seeking information.

    The Commission may require by the issuance of general or special 
orders any person or firm to submit in writing any reports and answers 
to questions as the Commission may prescribe. The reports or answers 
shall be made under oath, and shall be filed within the time prescribed 
by the Commission. Procedures regarding compliance with general or 
special orders and motions to limit or quash such orders are provided 
for in Sec. 1118.9.



Sec. 1118.9  Motions to limit or quash subpoenas and general or special orders and delegation to modify terms for compliance.

    (a) The Commission hereby delegates to the Associate Executive 
Director for Compliance and Enforcement; the Solicitor; the Directors of 
Divisions of Enforcement, Product Defect Correction, and Regulatory 
Management; and the General Counsel the authority:
    (1) To negotiate and approve the terms of satisfactory compliance 
with subpoenas and general or special orders;
    (2) To impose conditions upon compliance with such compulsory 
processes; and
    (3) To extend the time for compliance and the time for filing 
motions to limit or quash.
    (b) The person or firm served with a subpoena or general or special 
order may file a motion to limit or quash the subpoena or order. Any 
motion to limit or quash shall set forth the reasons why the subpoena or 
order should be limited or quashed and may be accompanied by memoranda, 
affidavits, or other documents submitted in support of the motion. The 
motion must be received in the Office of the Secretary of the Commission 
within 10 calendar days of receipt of the subpoena or order unless:
    (1) The subpoena or order provides for a different time; or
    (2) The Commission, for good cause shown, grants an extension of 
time to file a motion.
    (c) Upon receipt of a motion to limit or quash, the Office of the 
Secretary shall immediately notify and transmit a copy to the 
appropriate staff member. Unless a different period of time is specified 
in the subpoena or order, the staff shall file an answer with the Office 
of the Secretary within 10 calendar days after receipt of the motion. A 
copy of the answer shall be served upon the moving party or the counsel 
of the moving party. No reply to the answer will be permitted.
    (d) All motions to limit or quash shall be ruled upon by the 
Commision. The Office of the Secretary shall serve the decision on a 
motion to limit or quash upon the moving party or the counsel for the 
moving party and shall

[[Page 190]]

furnish a copy of the decision to the appropriate staff member. The 
Commission's decision is a final decision. Motions for reconsideration 
will not be received.



Sec. 1118.10  Remedies for failure to permit authorized investigations.

    In the event a person or firm fails to comply with any investigative 
process authorized by these rules, the Commission may seek appropriate 
action within its authority under the Consumer Product Safety Act (15 
U.S.C. 2051, et seq.)



Sec. 1118.11  Nonexclusive delegation of power.

    No provision contained herein delegating any of the Commission's 
powers shall be construed as limiting the authority of the Commission to 
exercise the same powers.



                   Subpart B--Consent Order Agreements



Sec. 1118.20  Procedures for consent order agreements.

    (a) For the procedure to be followed regarding consent order 
agreements involving section 15 of the Act (15 U.S.C. 2064), refer to 
the Commission's regulations relating to substantial product hazards (16 
CFR part 1115). For all other consent order agreements under the 
Consumer Product Safety Act, the provisions set forth below are 
applicable.
    (b) The consent order agreement is a document executed by a person, 
or firm (consenting party) and a Commission staff representative which 
incorporates both a proposed complaint setting forth the staff's charges 
and a proposed order by which such charges are resolved. A consent order 
agreement shall contain the following provisions, as appropriate:
    (1) An admission of all jurisdictional facts by the consenting 
parties;
    (2) A waiver of any rights to an administrative or judicial hearing 
and of any other procedural steps including any rights to seek judicial 
review or otherwise challenge or contest the validity of the 
Commission's order;
    (3) A statement that the agreement is in settlement of the staff's 
charges and does not constitute an admission by the consenting party 
that the law has been violated;
    (4) A statement describing the alleged hazard, non-compliance or 
violation.
    (5) A statement that the Commission's order is issued under the 
provisions of the Act (15 U.S.C. 2051, et seq.); and that a violation of 
such order may subject the consenting party to appropriate legal action.
    (6) An acknowledgment that the consent order agreement only becomes 
effective upon its final acceptance by the Commission and its service 
upon the consenting party;
    (7) An acknowledgment that the Commission may disclose terms of the 
consent order agreement to the public;
    (8) A statement that the consenting party shall comply with the 
provisions of the agreement and order;
    (9) A statement that the requirements of the order are in addition 
to and not to the exclusion of other remedies under the Act.
    (c) At any time in the course of an investigation, the staff, with 
the approval of the Commission, may propose to the person or firm being 
investigated that any alleged violation be resolved by an agreement 
containing a consent order. Additionally, such a proposal may be made to 
the Commission staff by such person or firm.
    (d) Upon receiving an executed agreement, the Commission may:
    (1) Provisionally accept it;
    (2) Reject it and issue the complaint (in which case the matter will 
be scheduled for hearing in accordance with the Commission's Rules of 
Practice for Adjudicative Proceedings, 16 CFR part 1025, June 21, 1977 
or as amended) and/or
    (3) Take such other action as it may deem appropriate.
    (e) If the agreement is provisionally accepted, the Commission shall 
place the agreement on the public record and shall announce provisional 
acceptance of the agreement in the Federal Register. Any interested 
person may ask the Commission not to accept the agreement by filing a 
written request in the Office of the Secretary. Any request must be 
received in the Office of the Secretary no later than the close of

[[Page 191]]

business of the 15th calendar day following the date of announcement in 
the Federal Register.
    (f) If no requests are received, the agreement shall be deemed 
finally accepted by the Commission on the 16th calendar day after the 
date of the announcement in the Federal Register. Notice of final 
acceptance will be given and the order issued within a reasonable time.
    (g) If the Commission receives one or more requests that it not 
finally accept an agreement, it shall, within a reasonable time, either 
finally accept or reject the agreement after considering the requests. 
The Commission shall promptly issue and serve an order indicating its 
decision.
    (1) If the agreement is accepted, the Commission shall issue the 
complaint and order. The order is a final order in disposition of the 
proceeding and is effective immediately upon its service on the 
consenting party under these rules. The consenting party shall 
thereafter be bound by and take immediate action in accordance with the 
final order.
    (2) If the agreement is rejected, the order so notifying the 
consenting party shall constitute withdrawal of the Commission's 
provisional acceptance. The Commission may then issue its complaint, may 
order further investigation, or may take any action it considers 
appropriate.
    (h) An agreement that has been finally accepted may be vacated or 
modified upon petition of any party or the Commission's own initiative. 
The petition shall state the proposed changes in the agreement and the 
reasons for granting the petition. The Commission may modify or vacate 
where (1) false statements were relied upon in accepting the agreement 
or (2) there are changed conditions of fact or law. In deciding whether 
to grant a petition, the Commission shall consider the public interest. 
A petitioner, or the Commission when acting on its own initiative, shall 
serve a copy of the petition or notice of reconsideration, respectively, 
on all parties. Parties affected by the petition or notice of 
reconsideration may file a response within 10 calendar days. No replies 
shall be accepted. The Commission shall decide the petition or notice of 
reconsideration within a reasonable time and, by order, shall indicate 
its decision and its reasons.



PART 1145--REGULATION OF PRODUCTS SUBJECT TO OTHER ACTS UNDER THE CONSUMER PRODUCT SAFETY ACT--Table of Contents




Sec.
1145.1 Scope.
1145.2 Paint (and other similar surface-coating materials) containing 
          lead; toys, children's articles, and articles of furniture 
          bearing such paint (or similar surface-coating materials); 
          risk of lead poisoning.
1145.3 Extremely flammable contact adhesives; risk of burns from 
          explosive vapor ignition and flashback fire.
1145.4 Consumer patching compounds containing respirable free-form 
          asbestos; risk of cancer associated with inhalation of 
          asbestos fibers.
1145.5 Emberizing materials (embers and ash) containing respirable free-
          form asbestos; risk of cancer associated with inhalation of 
          asbestos fibers.
1145.9-1145.15 [Reserved]
1145.16 Lighters that are intended for igniting smoking materials and 
          that can be operated by children; risks of death or injury.
1145.17 Multi-purpose lighters that can be operated by children; risks 
          of death or injury.

    Authority: 15 U.S.C. 2079(d).



Sec. 1145.1  Scope.

    In this part 1145, the Commission establishes rules which provide 
that risks of injury associated with consumer products that could be 
eliminated or reduced to a sufficient extent by action under the Federal 
Hazardous Substances Act (FHSA) (15 U.S.C. 1261-1274), the Poison 
Prevention Packaging Act of 1970 (PPPA) (15 U.S.C. 1471-1476), or the 
Flammable Fabrics Act (FFA) (15 U.S.C. 1191-1204) will be regulated 
under the Consumer Product Safety Act (CPSA) (15 U.S.C. 2051-2081). 
Section 30(d) of the CPSA, as amended, provides that a risk of injury 
which is associated with a consumer product and which could be 
eliminated or reduced to a sufficient extent by action under the FHSA, 
PPPA, or the FFA may be regulated under this act only if the Commission 
by rule finds it is in

[[Page 192]]

the public interest to regulate such risk of injury under this act.

[42 FR 44192, Sept. 1, 1977]



Sec. 1145.2  Paint (and other similar surface-coating materials) containing lead; toys, children's articles, and articles of furniture bearing such paint (or 
          similar surface-coating materials); risk of lead poisoning.

    (a) The Commission finds that it is in the public interest to reduce 
the risk of lead poisoning to young children from the ingestion of paint 
and other similar surface-coating materials by action under the Consumer 
Product Safety Act rather than under the Federal Hazardous Substances 
Act because of the desirability of consolidating the public procedures 
related to such regulation with the proceeding to determine a safe level 
of lead under the Lead-Based Paint Poisoning Prevention Act (42 U.S.C. 
4801--4846), as amended by the National Consumer Health Information and 
Health Promotion Act of 1976 (Pub. L. 94-317; 90 Stat. 705-706). 
Consolidation of these proceedings facilitates greater public 
participation and a more expeditious resolution of the issues.
    (b) Paint and other similar surface-coating materials containing 
lead and toys, children's articles, and articles of furniture bearing 
such paint or other similar surface-coating materials that present a 
risk of lead poisoning to young children by ingestion shall therefore be 
regulated under the Consumer Product Safety Act. Such regulation shall 
include all directly related pending and future rulemaking, as well as 
all directly related pending and future action on petitions.

[42 FR 44192, Sept. 1, 1977]



Sec. 1145.3  Extremely flammable contact adhesives; risk of burns from explosive vapor ignition and flashback fire.

    (a) The Commission finds that it is in the public interest to 
regulate the risk of burns from explosive vapor ignition and flashback 
fire associated with certain extremely flammable contact adhesives under 
the Consumer Product Safety Act rather than under the Federal Hazardous 
Substances Act because of the desirability of avoiding possibly lengthy, 
resource consuming, and inefficient rulemaking proceedings under the 
Federal Hazardous Substances Act and because of the availability of 
civil penalties under the CPSA. The Commission also believes that the 
complexity and formality of the rulemaking proceedings under the FHSA, 
in contrast to rulemaking proceedings under the CPSA may make it 
difficult for interested persons to participate.
    (b) Extremely flammable contact adhesives and other similar liquid 
or semi-liquid products in containers over one-half pint that present a 
risk of burns from explosive vapor ignition and flashback fire shall 
therefore be regulated under the Consumer Product Safety Act. Such 
regulation shall include all directly related pending and future 
rulemaking, as well as all directly related future action on petitions. 
However, such action shall not include labeling that may be required 
under the Federal Hazardous Substances Act to address flammability 
hazards associated with other adhesives not subject to the ban.

[42 FR 63731, Dec. 19, 1977]



Sec. 1145.4  Consumer patching compounds containing respirable free-form asbestos; risk of cancer associated with inhalation of asbestos fibers.

    (a) The Commission finds that it is in the public interest to 
regulate the risk of cancer associated with inhalation of asbestos 
fibers from consumer patching compounds containing respirable free-form 
asbestos under the Consumer Product Safety Act (CPSA) rather than under 
the Federal Hazardous Substances Act (FHSA) because of the desirability 
of avoiding possibly lengthy resource-consuming, inefficient rulemaking 
proceedings under the FHSA and because of the availability of civil 
penalties under the CPSA for knowing noncompliance.
    (b) Therefore, consumer patching compounds containing respirable 
free-form asbestos are regulated under CPSA.

[42 FR 63354, Dec. 15, 1977]

[[Page 193]]



Sec. 1145.5  Emberizing materials (embers and ash) containing respirable free-form asbestos; risk of cancer associated with inhalation of asbestos fibers.

    (a) The Commission finds that it is in the public interest to 
regulate the risk of cancer associated with inhalation of asbestos 
fibers from artificial emberizing materials (embers and ash) containing 
respirable free-form asbestos under the Consumer Product Safety Act 
(CPSA) rather than under the Federal Hazardous Substances Act (FHSA) 
because of the desirability of avoiding possibly lengthy, resource-
consuming, inefficient rulemaking proceedings under the FHSA, and 
because of the availability of civil penalties under the CPSA for 
knowing noncompliance.
    (b) Therefore, artificial emberizing materials (embers and ash) 
containing respirable free-form asbestos are regulated under the CPSA.

[42 FR 63354, Dec. 15, 1977]



Sec. 1145.9-1145.15  [Reserved]



Sec. 1145.16  Lighters that are intended for igniting smoking materials and that can be operated by children; risks of death or injury.

    (a) The Commission finds that it is in the public interest to 
regulate under the Consumer Product Safety Act any risks of injury 
associated with the fact that lighters intended for igniting smoking 
materials can be operated by young children, rather than regulate such 
risks under the Federal Hazardous Substances Act or the Poison 
Prevention Packaging Act of 1970.
    (b) Therefore, if the Commission finds regulation to be necessary, 
risks of death or injury that are associated with lighters that are 
intended for igniting smoking materials, where such risks exist because 
the lighters can be operated by young children, shall be regulated under 
one or more provisions of the Consumer Product Safety Act. Other risks 
associated with such lighters, and that are based solely on the fact 
that the lighters contain a hazardous substance, shall continue to be 
regulated under the Federal Hazardous Substances Act.

[58 FR 37556, July 12, 1993]



Sec. 1145.17  Multi-purpose lighters that can be operated by children; risks of death or injury.

    (a) The Commission finds that it is in the public interest to 
regulate under the Consumer Product Safety Act any risks of injury 
associated with the fact that multi-purpose lighters can be operated by 
young children, rather than to regulate such risks under the Federal 
Hazardous Substances Act or the Poison Prevention Packaging Act of 1970.
    (b) Therefore, if the Commission finds regulation to be necessary, 
risks of death or injury that are associated with multi-purpose lighters 
because the lighters can be operated by young children shall be 
regulated under one or more provisions of the Consumer Product Safety 
Act. Other risks that are associated with such lighters, and that are 
based solely on the fact that the lighters contain a hazardous 
substance, shall continue to be regulated under the Federal Hazardous 
Substances Act.

[64 FR 71884, Dec. 22, 1999]



PART 1201--SAFETY STANDARD FOR ARCHITECTURAL GLAZING MATERIALS--Table of Contents




                         Subpart A--The Standard

Sec.
1201.1 Scope, application and findings.
1201.2 Definitions.
1201.3 General requirements.
1201.4 Test procedures.
1201.5 Certification and labeling requirements.
1201.6 Prohibited stockpiling.
1201.7 Effective date.

Figures 1-5

Subpart B [Reserved]

           Subpart C--Statements of Policy and Interpretation

1201.40 Interpretation concerning bathtub and shower doors and 
          enclosures.

    Authority: Secs. 2, 3, 7, 9, 14, 19, Pub. L. 92-573, 86 Stat. 1212-
17; (15 U.S.C. 2051, 2052, 2056, 2058, 2063, 2068).

    Source: 42 FR 1441, Jan. 6, 1977, unless otherwise noted.

[[Page 194]]



                         Subpart A--The Standard



Sec. 1201.1  Scope, application and findings.

    (a) Scope. This part 1201, a consumer product safety standard, 
prescribes the safety requirements for glazing materials used or 
intended for use in any of the following architectural products:
    (1) Storm doors or combination doors.
    (2) Doors.
    (3) Bathtub doors and enclosures.
    (4) Shower doors and enclosures.
    (5) [Reserved]
    (6) Sliding glass doors (patio-type).

It also requires that these architectural products which incorporate 
glazing materials be constructed with glazing materials that meet the 
requirements of this part. The safety requirements are designed to 
reduce or eliminate unreasonable risks of death or serious injury to 
consumers when glazing material is broken by human contact.
    (b) Application. This part 1201 shall apply to glazing materials, as 
that term is defined in Sec. 1201.2(a)(11), for use in the architectural 
products listed in paragraph (a) of this section; and to those 
architectural products listed in paragraph (a) of this section if they 
are made with, or incorporate glazing materials as that term is defined 
in Sec. 1201.2(a)(11). The standard applies to glazing materials and 
architectural products incorporating glazing materials that are produced 
or distributed for sale to or for the personal use, consumption or 
enjoyment of consumers in or around a permanent or temporary household 
or residence or in recreational, school, public, or other buildings or 
parts thereof. This part 1201 applies only to those glazing materials 
manufactured after the effective date of the standard; and to those 
architectural products identified in paragraph (a) of this section that 
are manufactured after the effective date of the standard. Thus, 
architectural products identified in paragraph (a) of this section 
manufactured after the effective date of the standard must incorporate 
glazing materials that comply with the standard. For purposes of this 
standard, fabricators are considered to be manufacturers of the 
architectural products listed in paragraph (a) of this section. 
Architectural glazing materials used in the products listed in paragraph 
(a) of this section and used in mobile homes are not subject to the 
provisions of this part 1201. While this part 1201 prescribes a test 
method to determine whether glazing materials subject to this part 1201 
standard meet the requirements of the standard, the standard itself does 
not require that a manufacturer test any glazing materials or products 
subject to the standard. All obligations of manufacturers to perform 
testing are imposed by section 14 of the Consumer Product Safety Act and 
certification regulations which will be established by a separate 
rulemaking proceeding. However, the Commission intends to use the test 
procedures set forth in this part 1201 to determine whether materials 
and products subject to the standard meet the requirements of the 
standard.
    (c) Exemptions. The following products, materials and uses are 
exempt from this part 1201:
    (1) Wired glass used in doors or other assemblies to retard the 
passage of fire, where such door or assembly is required by a federal, 
state, local, or municipal fire ordinance.
    (2) Louvers of jalousie doors;
    (3) Openings in doors through which a 3 inch diameter sphere is 
unable to pass;
    (4) Carved glass (as defined in Sec. 1201.2(a)(36)), dalle glass (as 
defined in Sec. 1201.2(a)(37)), or leaded glass (as defined in 
Sec. 1201.2(a)(14)), which is used in doors and glazed panels (as 
defined in Sec. Sec. 1201.2(a)(7) and (a)(10)) if the glazing material 
meets all of the following criteria:
    (i) The coloring, texturing, or other design qualities or components 
of the glazing material cannot be removed without destroying the 
material; and
    (ii) The primary purpose of such glazing is decorative or artistic; 
and
    (iii) The glazing material is conspicuously colored or textured so 
as to be plainly visible and plainly identifiable as aesthetic or 
decorative rather than functional (other than for the purpose of 
admitting or controlliing admission of light components or heat and 
cold); and

[[Page 195]]

    (iv) The glazing material, or assembly into which it is 
incorporated, is divided into segments by conspicuous and plainly 
visible lines.
    (5) Glazing materials used as curved glazed panels in revolving 
doors;
    (6) Commercial refrigerated cabinet glazed doors.
    (d) Findings \1\--(1) The degree and nature of the risk of injury 
the rule is designed to eliminate or reduce. The Commission finds that 
the nature of the risks of injury this standard is designed to eliminate 
or reduce are as follows:
---------------------------------------------------------------------------

    \1\ The Commission's findings apply to the architectural glazing 
standard as issued at 42 FR 1426, on January 6, 1977. Since that date, 
the Commission has revoked portions of the standard which prescribed 
requirements for ``glazed panels'' (45 FR 57383, August 28, 1980); an 
accelerated environmental durability test for plastic glazing materials 
intended for outdoor exposure (45 FR 66002, October 6, 1980); and a 
modulus of elasticity test, a hardness test, and an indoor aging test 
applicable to plastic glazing materials (47 FR 27856, June 28, 1982). 
However, the findings have not been revised and they are therefore, not 
fully applicable to the remaining requirements of the standard.
---------------------------------------------------------------------------

    (i) Lacerations, contusions, abrasions, and other injury or death 
resulting from walking or running into glazed doors or sliding glass 
doors believed to be open or glazed panels mistaken as a means of 
ingress or egress, or pushing against glazing material in doors or 
glazed panels in an attempt to open a door.
    (ii) Lacerations, contusions, abrasions, and other injury or death 
resulting from accidentally falling into or through glazed doors, 
sliding glass doors, glazed panels, bathtub doors and enclosures and 
shower doors and enclosures.
    (iii) Lacerations, contusions, abrasions, and other injury or death 
resulting from the act of installing, replacing, storing or otherwise 
manipulating glazing material in doors, sliding glass doors, glazed 
panels, bathtub doors and enclosures and shower doors and enclosures, or 
from broken glazing material in doors, sliding glass doors, glazed 
panels, bathtub doors and enclosures and shower doors and enclosures. 
The Commission estimates that 73,000 injuries associated with 
architectural glazing materials in the architectural products within the 
scope of this standard were treated in hospital emergency rooms during 
1975, and that about 2,400 of these injuries required the patients to be 
hospitalized. Extrapolating to total injuries in the United States the 
Commission further estimates that approximately 190,000 injuries were 
associated with architectural glazing products covered by this standard. 
Although injuries occur at any age, children aged 14 and under appear to 
be at particular risk of injury since as a group they represent 
approximately half the injuries while comprising less than 30 percent of 
the population. Lacerations are the most common injuries associated with 
architectural glazing materials and account for 72 percent to 93 percent 
of the injuries associated with the architectural products identified in 
paragraph (a) of this section. These lacerative injuries span a broad 
spectrum of severity and extent of body part affected. During 1975, an 
estimated 200 injuries were treated in emergency rooms for lacerations 
over 25 to 50 percent of the victims' bodies and over 7,000 persons were 
treated for lacerations to the head or face. On the basis of all injury 
information available to the Commission, it is apparent that the 
severity of the injuries associated with architectural glazing materials 
ranges from minor cuts to damage to tendons, nerves, muscles, and blood 
vessels resulting in extensive surgery. Peripheral nerve injuries result 
in varying degres of loss in sensation and motion which may never be 
restored completely. Tendon and muscle injuries may involve loss of 
movement. Some victims of architectural glazing material incidents are 
disfigured, and sustain emotional trauma as well. Severing of arteries 
and veins has led to death. One way of quantifying the extent of the 
public health problem relating to injuries associated with products is 
to estimate the total number of disability days resulting from the 
injuries. Using average days of restricted activity by age for specific 
injuries and body parts (Vital and Health Statistics, Series 10, Number 
57, National Center for Health Statistics, U.S. Department of Health, 
Education, and Welfare), it is estimated that about

[[Page 196]]

230,000 days of restricted activity resulted from injuries associated 
with architectural products which were treated in emergency rooms alone.
    (2) The approximate number of consumer products, or types or classes 
thereof, subject to the standard. The types of glazing materials 
affected by or subject to the standard are laminated glass, tempered 
glass, wired glass, organic-coated glass, annealed glass, and plastics. 
Architectural products that incorporate the aforementioned glazing 
materials that are also affected by or subject to the standard are: 
storm doors or combination doors, doors, bathtub doors, and enclosures, 
shower doors and enclosures, glazed panels and sliding glass doors 
(patio-type) (see paragraph (a) of this section). The Commission has 
estimated that 13 to 16 percent of the total market for glazing material 
incorporated in products within the scope of the standard will be 
affected by the standard. Most of the glazing subject to the standard is 
currently covered by state safety glazing legislation. To date, more 
than 30 states have enacted safety glazing legislation, but this 
legislation is neither consistent nor completely uniform among states. 
Annual markets for the architectural products which incorporate glazing 
material and that are within the scope of the standard have been 
estimated by the Commission in terms of square feet of glazed area and 
number of units. The market for glazing material incorporated in 
products within the scope of the standard was estimated to be 234.8 
million square feet in 1975. These figures are discussed in the Economic 
Impact Statement, pp. 3-7, and appendix A to the Economic Impact 
Statement, pp. 18-30, which are available for review in the Office of 
the Secretary of the Commission, Washington, D.C. 20207.
    (3) The need of the public for the architectural glazing material 
and products incorporating that glazing material subject to the 
standard, and the probable effect of the standard upon the utility, cost 
or availability of those products to meet the need of the public--(i) 
The need of the public for the architectural glazing materials and 
products incorporating that glazing material. The need of the public for 
architectural products within the scope of the standard incorporating 
glazing material is substantial since these products serve such 
functions as transmission of light, visual communication, protection 
from weather, ventilation, and indoor climate control, and since 
reasonable substitutes for these products do not exist as a group. Each 
of the types of glazing material subject to the standard has individual 
properties which meet public needs, although one type of glazing 
material is often an acceptable substitute for another.
    (ii) Probable effect of the standard upon the cost of architectural 
glazing materials and architectural products incorporating the glazing 
material to meet the need of the public for the products. The probable 
cost effects of the standard for architectural glazing materials are 
listed below.
    (A) The cost impact of the standard on consumers will be 
concentrated in those states with no present state safety glazing 
legislation. In those states, the average increase in cost per housing 
start resulting from the standard is estimated to range from $30 to $50, 
or approximately one-tenth of one percent of the price of a typical new 
house; and the cost for residential remodeling and replacement is 
expected to be in the range of $0.25 to $0.30 per household annually.
    (B) The increased cost of glazing material for nonresidential uses 
will be paid ultimately by consumers through higher prices of goods and 
services. Generally, the increased cost of glazing is not passed to 
consumers immediately, but is spread over the life of the nonresidential 
structure. Therefore, the increased cost to consumers for glazing 
material in nonresidential structures will probably rise slowly over 
time to an annual level of approximately $1.10 per household in states 
with no safety glazing legislation and $0.20 to $0.50 per household in 
the other states. In many of the states with state regulations, the 
impact of the standard on residential construction and new housing 
prices will be near zero, since most of the glazing is currently covered 
by the state glazing legislation.
    (C) The probable effect of the standard on the various glazing 
materials within the scope of the standard will

[[Page 197]]

differ. The retail price of laminated glass used in some Category II 
applications will probably increase by 10 to 15 percent per square foot. 
The incremental cost to consumers for ungraded laminated glass is 
estimated to be approximately $0.14 per household, annually. The cost to 
consumers for tempered glass, organic-coated glass, and plastics is not 
expected to increase because of the standard. Information available to 
the Commission indicates that the technology needed for producing wired 
glass which can comply with the standard is not readily available. See 
appendix A of the Economic Impact Statement, pp. 45-56, for the 
incremental cost calculation by product category and application.
    (iii) Probable effect of the standard upon the utility of 
architectural glazing materials and architectural products incorporating 
the glazing materials to meet the need of the public for the products. 
The probable effect of the standard in regard to the utility of 
architectural glazing materials and the architectural products 
incorporating glazing material should be to increase the utility of the 
products. The basic effect of the standard would be the substitution of 
certain safer glazing materials for annealed glass in certain 
architectural products. The Commission believes that such a substitution 
would increase utility for most consumers because of the usually 
increased durability of the glazing material that complies with the 
Commission's standard, and the knowledge that the product incorporating 
the glazing material is safer. There will be disutility for those 
consumers who prefer non-complying wired glass and organic-coated glass 
when these materials become unavailable for certain applications due to 
their likely inability to comply with the standard. However, the share 
of the glazing material market claimed by organic-coated and wired glass 
is small.
    (iv) Probable effect of the standard upon the availability of 
architectural glazing materials and architectural products incorporating 
the glazing materials to meet the need of the public for the products. 
The Commission finds that the proposed standard should not have impacts 
of significant magnitude on the availability of architectural products 
within the scope of the standard, since domestic production capacity 
appears to be sufficient to handle any increased demand for glazing 
material to be used in those products. In addition, an increased demand 
for raw materials necessary to manufacture glazing materials that comply 
with the standard will be small in comparison to the volume of raw 
materials currently used for glazing for the products that will be 
subject to the standard. Furthermore, no major change in demand for the 
architectural products subject to the standard incorporating glazing 
materials which would affect production is expected. The Commission 
finds that, in the absence of technological advances, certain glazing 
materials will no longer be available for particular applications. 
Unless technological advances are made, wired glass will be unavailable 
for use in the architectural products within the scope of the standard 
with the exception of fire door applications where special provisions of 
the standard apply. Similarly, organic-coated glass which has the film 
applied to annealed glass at the factory may no longer be available for 
Category II products due to an inability to pass those impact test 
provisions of the standard. The availability of glass replacement 
glazing in residential applications may be reduced, since plastic 
glazing often will be the only economical material available to 
consumers when immediate replacement is needed.
    (4) Any means of achieving the objectives of the standard while 
minimizing adverse effects on competition or disruption or dislocation 
of manufacturing and other commercial practices consistent with the 
public health and safety. The Commission has considered other means of 
achieving the objective of the standard, but has found none that it 
believes would have fewer adverse effects on competition or that would 
cause less disruption or dislocation of manufacturing and other 
commercial practices, consistent with the public health and safety. For 
the glazing industry in general, the disruptions and dislocations of 
existing manufacturing and commercial practices due to the standard are 
expected to be minor. However, it is possible that individual segments 
of

[[Page 198]]

the glazing materials industry are likely to be adversely affected by 
the standard. Specifically, there is likely to be disruption to the 
wired glass market, the organic-coated glass market and, to a lesser 
extent, to the laminated glass market. Manufacturers of wired glass will 
face a serious problem because technological improvements in the product 
will need to be made before wired glass can be used in Category I 
applications and because it probably will not be usable at all in 
Category II applications (see Sec. 1201.2(a) (3) and (4) of the 
standard), since there appears to be little prospect at this time of 
developing a wired glass product capable of withstanding the Category 
II, 400 foot pound impact test prescribed in Sec. 1201.4 of the 
standard. Laminated glass currently used for Category I applications can 
meet the 150 foot pound impact test requirements, but not all laminated 
glass currently used for Category II applications can meet the 400 foot 
pound impact test requirements. The price increase for technologically 
upgrading laminated glass will be borne by consumers. The Commission 
believes, however, that the competitive impact of the proposed changes 
would not severely weaken the position of laminated glass in the market 
place. The wired glass, organic-coated glass, and laminated glass 
markets affected by the standard are small in relation to the entire 
industry. The standard is not expected to have an appreciable impact on 
foreign or domestic competition. Increased competition is expected 
between primary glass temperers and regional temperers, with primary 
temperers taking an increased share of the original storm door, sliding 
door, bathtub enclosure and shower door markets. Sales of nonresidential 
glazing for major nonresidential buildings will remain with the primary 
glass companies. The regional temperers are expected to handle almost 
all the tempering of glazing for smaller nonresidential buildings. Thus, 
they will gain some of this market at the expense of local dealers and 
distributors. However, the distributors and dealers probably will 
operate as order takers for the smallest jobs. It is expected that 
glazing distributors and dealers will experience reduced market shares 
in both the residential and nonresidential new glazing markets. This 
will occur as a result of the transfer of business to the primary glass 
manufacturers and regional temperers, since tempered glass must be 
produced to size and it is not feasible to keep in inventory all sizes 
which might be needed.
    (5) Summary finding. The Commission finds that there are 
unreasonable risks of injury associated with architectural glazing 
materials used in the architectural products listed in paragraph (a) of 
this section. In assessing the question of whether unreasonable risks of 
injury or injury potential are associated with architectural glazing 
materials, the Commission has balanced the degree, nature and frequency 
of injury against the potential effect of the standard on the ability of 
architectural glazing materials to meet the need of the public and the 
effect of the standard on the cost, utility, and availability of 
architectural glazing materials to meet that need. The Commission finds 
that this standard, including its effective date, is reasonably 
necessary to eliminate or reduce the unreasonable risks of injury 
associated with architectural glazing materials and that promulgation of 
the standard is in the public interest.

(Sec. 9(e), Pub. L. 92-573, 86 Stat. 1215 (15 U.S.C. 2058(e)) (5 U.S.C. 
553)

[42 FR 1441, Jan. 6, 1977, as amended at 43 FR 57246 Dec. 7, 1978; 45 FR 
57389, Aug. 28, 1980; 47 FR 27856, June 28, 1982; 49 FR 7107, Feb. 27, 
1984]



Sec. 1201.2  Definitions.

    (a) As used in this part 1201:
    (1) Annealed glass means glass that has been subjected to a slow, 
controlled cooling process during manufacture to control residual 
stresses so that it can be cut or subjected to other fabrication. 
Regular polished plate, float, sheet, rolled, and some patterned surface 
glasses are examples of annealed glass.
    (2) Bathtub doors and enclosures means assemblies of panels and/or 
doors that are installed on the lip of or immediately surrounding a 
bathtub.
    (3) Category I products means any of the following architectural 
products:
    (i) Storm doors or combination doors that contain no single piece of 
glazing

[[Page 199]]

material greater than 9 square feet (0.83 square meters) in surface area 
of one side of the piece of glazing material.
    (ii) Doors that contain no single piece of glazing material greater 
than 9 square feet (0.83 square meters) in surface area of one side of 
the piece of glazing material.
    (4) Category II products means any of the following architectural 
products:
    (i) Shower doors and enclosures.
    (ii) Bathtub doors and enclosures.
    (iii) Sliding glass doors (patio type).
    (iv) Storm doors or combination doors that contain any piece of 
glazing material greater than 9 square feet (0.83 square meters) in 
surface area of one side of the piece of glazing material.
    (v) Doors that contain any piece of glazing material greater than 9 
square feet (0.83 square meters) in surface area of one side of the 
piece of glazing material.
    (5) Distributor means a person to whom a consumer product is 
delivered or sold for purposes of distribution in commerce, including 
persons cutting glazing material to size, except that such term does not 
include a manufacturer or retailer of such product.
    (6) Distribution in commerce means to sell in commerce, to introduce 
or deliver for introduction into commerce, or to hold for sale or 
distribution after introduction into commerce.
    (7) Door means an assembly that is installed in an interior or 
exterior wall; that is movable in a sliding, pivoting, hinged, or 
revolving manner of movement; and that is used by consumers to produce 
or close off an opening for use as a means of human passage.
    (8) Fabricator means any person who assembles or otherwise 
incorporates glazing materials into an architectural product listed in 
Sec. 1201.1(a). A fabricator is considered a manufacturer as defined in 
paragraph (a)(16) of this section.
    (9) Glass means a hard, brittle, amorphous substance produced by 
fusion, usually consisting of mutually dissolved silica and silicates 
that also contains sods and lime. It may be transparent, translucent, or 
opaque.
    (10) [Reserved]
    (11) Glazing material means glass, including annealed glass, organic 
coated glass, tempered glass, laminated glass, wired glass; or 
combinations thereof where these are used:
    (i) In openings through the architectural products listed in 
Sec. 1201.1(a), or
    (ii) As the architectural products themselves, e.g. unframed doors.
    (12) Jalousie door means a door (as ``door'' is defined in paragraph 
(a)(7) of this section) having an opening glazed with operable, 
overlapping louvers. Each louver is one of a series of overlapping 
pieces of glazing material designed to admit ventilation and light but 
exclude rain and is typically operated by a crank and gear mechanism.
    (13) Laminated glass means glazing material composed of two or more 
pieces of glass, each piece being either tempered glass, heat 
strengthened glass, annealed glass or wired glass, bonded to an 
intervening layer or layers of resilient plastic material.
    (14) Leaded glass means a decorative composite glazing material made 
of individual pieces of glass whose perimeter is enclosed by lengths of 
durable metal such as lead or zinc and the pieces of glass are 
completely held together and supported by such metal. Such pieces of 
glass can be clear, colored, beveled, painted, or flashed and etched.
    (15) Manufacture means to manufacture, produce or assemble.
    (16) Manufacturer means any person who manufactures, fabricates or 
imports a glazing material or architectural product listed in 
Sec. 1201.1(a) that incorporates glazing material.
    (17) Mirror means a treated, polished or smooth glazing material 
that forms images by the reflection of light.
    (18) Mobile home means a structure transportable in one or more 
sections, which is eight body feet (2.4 body meters) or more in width 
and is thirty-two body feet (9.7 body meters) or more in length, and 
which is built on a permanent chassis and designed to be used as a 
dwelling with or without a permanent foundation when connected to the 
required utilities.
    (19) Other buildings or parts thereof means buildings or parts 
thereof (other than residential, school, public, or recreational 
buildings) in which all or

[[Page 200]]

part of the building is open to the public with or without specific 
invitation. Included are buildings or parts thereof such as banks and 
recreational or retail facilities in a building and multiuse buildings 
that contain residential units.
    (20) Organic-coated glass means a glazing material consisting of a 
piece of glass, coated and bonded on one or both sides with an applied 
polymeric coating, sheeting, or film.
    (21) Patio door (See ``sliding glass doors (patio-type)'' in 
paragraph (a)(31) of this section).
    (22) Permanent label means a label that will remain permanently 
legible and visible after installation of the glazing material and that 
would be destroyed in attempts to remove it from the glazing material 
and includes (but is not limited to) sandblast, acid etch, hot-stamp, 
and destructible polyester labels.
    (23) [Reserved]
    (24) Private labeler means an owner of a brand or trademark on the 
label of a consumer product which bears a private label, and includes 
any fabricator, distributor, or installer who cuts certified and 
permanently labeled glazing materials into smaller pieces.
    (25) Public building means a building of public assembly or meeting 
including (but not limited to) a museum, place of worship, or 
restaurant.
    (26) Recreational building means a building used for recreational 
purposes including (but not limited to) a theater, stadium, gymnasium, 
amusement park building or library.
    (27) Residential building means a building, permanent or temporary, 
such as a single or multifamily residence, including (but not limited 
to) a house, apartment building, lodging home, dormitory, hotel, motel, 
hospital, sanitarium, and nursing home, used as a dwelling for one or 
more persons or families and any structure which is attached to, a part 
of, or appurtenant to such a building. Public areas of all residential 
buildings, such as lobbies and other common facilities, are included 
within the definition of ``other buildings or parts thereof'' in 
paragraph (a)(19) of this section. For purposes of this part 1201, a 
mobile home as defined in paragraph (a)(18) of this section is not 
considered to be a residential building.
    (28) Retailer means a person to whom a consumer product is delivered 
or sold for purposes of sale or distribution by such person to a 
consumer; the term retailer includes a person who cuts glazing material 
to size for consumers.
    (29) School building means a building designed primarily for the 
conduct of educational instruction and includes the classrooms, 
libraries, administrative offices, auditoriums, eating and sanitary 
facilities, stadiums, gymnasiums and all other structures associated 
with such buildings.
    (30) Shower door and enclosure means an assembly of one or more 
panels installed to form all or part of the wall and or door of a shower 
stall.
    (31) Sliding glass door (patio-type) means an assembly of one or 
more panels, at least one of which is suitably movable for use as a 
means of human ingress or egress. The term includes the nonmovable and 
movable panels of such assembly.
    (32) Storm door (or combination door) means a movable assembly, used 
in tandem with an exterior door to protect the exterior door against 
weather elements and/or to improve indoor climate control.
    (33) Tempered glass means a piece of specially heat treated or 
chemically treated glass that cannot be cut, drilled, ground, or 
polished after treatment without fracture. When fractured at any point, 
if highly tempered, the entire piece breaks into small particles.
    (34) Wired glass means a single piece of annealed glass that 
contains wire embedded in the body of the glass.
    (35) Commission means the Consumer Product Safety Commission.
    (36) Carved glass means a decoration glazing material in which a 
permanent visible design has been produced by polishing, grinding, or 
otherwise removing portions of the surface.
    (37) Dalle glass or dalle de verre (including faceted glass) means a 
decorative composite glazing material made of individual pieces of glass 
which are imbedded in a cast matrix of concrete or epoxy.
    (b) Definitions given in the Consumer Product Safety Act, and not 
repeated

[[Page 201]]

in this section, are applicable to this part.
    (c) Test methods and recommended practices published by the American 
Society for Testing and Materials (ASTM) \1\, and referred to in this 
part 1201, are hereby incorporated by reference into this part.
---------------------------------------------------------------------------

    \1\ ASTM test methods and recommended practices are approved by, 
published by, and available for purchase from the American Society for 
Testing and Materials, 1916 Race Street, Philadelphia, Pennsylvania 
19103.
---------------------------------------------------------------------------

    (d) Test methods and recommended practices published by the American 
National Standards Institute (ANSI) and referred to in this part 1201, 
are hereby incorporated by reference into this part.

(Sec. 9(e), Pub. L. 92-573, 86 Stat. 1215; (15 U.S.C. 2058(e); (5 U.S.C. 
553))

[42 FR 1441, Jan. 6, 1977, as amended at 42 FR 61860, Dec. 7, 1977; 43 
FR 50422, Oct. 30, 1978; 43 FR 57247, Dec. 7, 1978; 45 FR 57389, Aug. 
28, 1980; 47 FR 27856, June 28, 1982]



Sec. 1201.3  General requirements.

    (a) All glazing materials to which this standard applies, as 
described in Sec. 1201.1, shall meet the impact and environmental test 
requirements in Sec. 1201.4, and shall be labeled by manufacturers in 
accordance with Sec. 1201.5.
    (b) Glazing materials used in architectural products not listed in 
Sec. 1201.1(a) are not subject to this part. Any material not listed in 
the definition of ``glazing material'' in Sec. 1201.2(a)(11) is not 
subject to this part 1201.

[42 FR 1441, Jan. 6, 1977, as amended at 47 FR 27856, June 28, 1982]



Sec. 1201.4  Test procedures.

    (a) Types of tests--(1) Impact test. Specimens shall be struck as 
prescribed by paragraph (d)(1) of this section using equipment specified 
by paragraphs (b) (1) and (2) of this section. Results of the impact 
test are to be interpreted in accordance with paragraph (e)(1) of this 
section. The test specimens shall be selected in accordance with 
paragraphs (c) (1) and (2) of this section.
    (2) Accelerated environmental durability tests. Each specimen of 
glazing material subject to this part 1201 shall be tested in accordance 
with the accelerated tests referenced in table 1, ``Accelerated Tests'' 
of this section. However, tempered glass, wired glass, and annealed 
glass are not required to be subjected to the accelerated environmental 
durability tests.

                                Table 1--Accelerated Test (Applicable Paragraphs)
----------------------------------------------------------------------------------------------------------------
                                                                                                  Criteria for
     Glazing materials                Specimen             Test equipment        Exposure           passing
----------------------------------------------------------------------------------------------------------------
Laminated glass              Sec.  1201.4(c)(1) and      Sec.  1201.4(b)(3  Sec.  1201.4(d)(2  Sec.  1201.4(e)(2
                              (c)(3)(i)                   )(i)               )(i)               )(i)
Organic coated glass         Sec.  1201.4(c)(1) and      Sec.  1201.4(b)(3  Sec.  1201.4(d)(2  Sec.  1201.4(e)(2
                              (c)(3)(ii)(B)               )(ii)              )(ii)(B)           )(ii)(B)
Tempered glass               Exempt                      .................  .................  .................
Wired glass                  Exempt                      .................  .................  .................
Annealed glass               Exempt                      .................  .................  .................
----------------------------------------------------------------------------------------------------------------

    (3) Separate testing is required for different glazing materials or 
for differences within a type of glazing material that could noticeably 
affect performance in the impact or environmental durability tests. Such 
differences could include (but are not limited to): Nominal thickness or 
thicknesses, method of manufacture (in appropriate cases), types and 
amounts of additives, and composition of base materials and adhesives.
    (b) Test equipment--(1) Impact test frame and subframe. (See figures 
1, 2, 3, and 4.) (i) The impact test frame shall be constructed to 
minimize movement and deflection of its members during testing. For this 
purpose, the structural framing and bracing members shall be steel 
angles 3 inches by 5 inches by \1/4\ inch (7.7 centimeters by 12.7 
centimeters by 0.7 centimeters) or other sections and materials of equal 
or greater rigidity.
    (ii) The structural framing shall be welded or securely bolted at 
the corners and braced by one of the alternate

[[Page 202]]

methods shown in figure 1 and shall be securely bolted to the floor.
    (iii) The inner subframe (see figures 2, 3, and 4) for securing the 
test specimen on all four edges shall be reinforced at each corner. The 
material is shown as wood in figure 3, but other materials may be used: 
Provided, The test specimen will contact only the neoprene strips, which 
shall have a shore A durometer hardness of 30 to 50.
    (iv) Any reasonable means may be used to secure the subframe to the 
test frame so long as the mounting is secure and the pressure on the 
glazing in the subframe is not significantly altered when the subframe 
is removed.
    (v) Pressures on the test specimen shall be controlled, and the 
compression of the neoprene strips shall be between 10 and 15 percent of 
the original thickness of the neoprene. Securing methods such as wing 
bolts and clamps shall be uniformly spaced no greater than 18 inches (45 
centimeters) apart with no fewer than two on any edge. To limit the 
compression of the neoprene and prevent distortion of the subframe, 
metal shims of an appropriate thickness shall be used as shown in 
figures 3 and 4.
    (2) Impactor. (i) The impactor shall be a leather punching bag as 
shown in figure 5 on this section. The bag shall be filled with No. 7\1/
2\ chilled lead shot to a total weight of completed assembly as shown in 
figure 5, of 100 pounds 4 ounces (45.360.11 
kilograms). The rubber bladder shall be left in place and filled through 
a hole cut into the upper part. After filling the rubber bladder, the 
top should be either twisted around the threaded metal rod below the 
metal sleeve or pulled over the metal sleeve and tied with a cord or 
leather thong. Note that the hanging strap must be removed. The bag 
should be laced in the normal manner. The exterior of the bag shall be 
completely covered by \1/2\ inch (1.3 centimeters) wide glass filament 
reinforced pressure sensitive tape. (Figure 5.)
    (ii) Provisions shall be made for raising the impactor or to drop 
heights of up to 48 inches (1.22 meters). At its release it shall have 
been supported so that the rod going through its center was in line with 
the steel support cable in a manner designed to minimize wobble or 
oscillation after its release.
    (3) Environmental durability test equipment--(i) Boil test. Two 
containers of water shall be provided with means to maintain one at 
150 deg. 5  deg.F (66 deg. 2  deg.C) and the 
second at a slow boil at atmospheric pressure. The containers shall be 
large enough to accept a rack holding three specimens, each 12 inches 
(30 centimeters) square, of the glazing material in a vertical position. 
The rack shall be positioned so that each specimen is surrounded by at 
least one inch (2.5 centimeters) of water.
    (ii) Simulated weathering test. The equipment shall be a xenon arc 
(water-cooled) Weather-Ometer employing a lamp rated at 6500 watts and 
automatic light monitoring and control systems. Borosilicate inner and 
outer filters shall be used. An appropriate water spray cycle shall be 
used. Operating procedures shall be in accordance with ASTM G 26-70, 
``Standard Recommended Practice for Operating Light--and Water-Exposure 
Apparatus (Xenon-Arc Type) for Exposure of Nonmetallic Materials,'' 
April 13, 1970, as augmented for plastics by ASTM D 2565-70, ``Standard 
Recommended Practice for Operating Xenon-Arc Type (Water-Cooled) Light- 
and Water-Exposure Apparatus for Exposure of Plastics,'' Procedure B, 
June 12, 1970, which are incorporated by reference. Copies of both 
documents are available from the American Society for Testing and 
Materials, 1916 Race Street, Philadelphia, Pennsylvania 19103. They are 
also available for inspection at the Office of the Federal Register, 800 
North Capitol Street, NW., suite 700, Washington, DC 20001. This 
incorporation by reference was approved by the Director of the Federal 
Register. These materials are incorporated as they exist in the edition 
which has been approved by the Director of the Federal Register and 
which has been filed with the Office of the Federal Register.
    (c) Test specimens--(1) Condition of specimens. All specimens shall 
be tested as supplied by the manufacturer, following removal of any 
temporary protective masking materials. No tests

[[Page 203]]

shall be commenced before the specimens have been stored in the 
laboratory for 4 hours. Specimens shall be arranged to permit free 
circulation of air to all surfaces during this period.
    (2) Impact specimens. Impact specimens shall be of the largest size 
manufactured up to a maximum width of 34 inches (86 centimeters) and a 
maximum height of 76 inches (1.9 meters). Specimens shall be tested for 
each nominal thickness offered by the manufacturer.
    (3) Environmental durability specimens--(i) Boil test. Three pieces 
12 inches by 12 inches (30 centimeters by 30 centimeters) with nominal 
thickness identical to those submitted for the impact test shall be 
used.
    (ii) Weathering tests--(A) [Reserved]
    (B) Organic-coated glass--(1) Orientation specified. Six organic-
coated glass specimens 2 inches by 6 inches (5 centimeters by 15 
centimeters) by nominal thickness identical to those submitted for the 
impact test shall be used.
    (2) Orientation unspecified. Nine organic-coated glass specimens, 2 
inches by 6 inches (5 centimeters by 15 centimeters) by nominal 
thickness identical to those submitted for the impact test shall be used 
except that when the glazing material is symmetric across its thickness, 
six specimens may be used.
    (iii) Indoor service. Four additional samples identical to those 
submitted for the impact test.
    (d) Test procedures--(1) Impact test procedure. Each specimen shall 
be struck within 2 inches (5 centimeters) of its geometric center with 
the impactor dropped from a single height, designated according to the 
product category. Specimens for Category I shall be impacted one time 
from a drop height of 18 to 18\1/2\ inches (458 to 470 millimeters). 
Specimens for Category II shall be impacted one time from drop height of 
48 to 48\1/2\ inches (1.22 to 1.23 meters). For all specimens that are 
not symmetric from surface to surface, an equal number of specimens 
shall be impacted on each side. For glazing materials which will be 
evaluated by paragraph (e)(1)(iii) of this section, this impact test 
procedure is not required.
    (2) Environmental durability test procedures--(i) Boil test. The 
specimens shall be immersed in the 150 F (66  deg.C) water for 3 
minutes. They shall then be quickly removed and immersed in the boiling 
water and left there for 2 hours. The specimens shall then be removed, 
cooled, and dried for examination as specified in paragraph (e)(2)(i) of 
this section.
    (ii) Accelerated weathering test. The specimens shall be retained in 
the Weather-Ometer (paragraph (b)(3)(ii) of this section) for a period 
of 12001 hours, and exposed to a radiant flux of 50 
microwatts per square centimeter (12 calories per second per square 
centimeter) while monitoring at a wavelength of 340 nanometers.
    (A) [Reserved]
    (B) Organic-coated glass--(1) Orientation specified. Three specimens 
shall be mounted with the surface that is intended to be oriented 
indoors faced away from the radiation source; the other three specimens 
shall be kept in darkness at 73  deg.F (23  deg.C) for use as controls. 
Materials so tested shall be labeled according to Sec. 1201.5(c) of this 
part 1201.
    (2) Orientation unspecified. Three specimens shall be mounted with 
one of the surfaces toward the radiation; three specimens shall be 
mounted with the other surface toward the radiation, and three specimens 
shall be kept in darkness at 73  deg.F (23  deg.C) for use as controls. 
When the glazing material is symmetric across its thickness, three 
specimens shall be irradiated.
    (e) Interpretation of results--(1) Impact test. A glazing material 
may be qualified for use in both Category I and Category II products if 
it meets the impact requirements for Category II. A glazing material 
shall be judged to pass the impact test if the specimen tested meets any 
one of the criteria listed in paragraphs (e)(1) (i) through (v) of this 
section:
    (i) When breakage occurs (numerous cracks and fissures may occur) no 
opening shall develop in the test sample through which a 3 inch (76 
millimeter) diameter solid steel sphere, weighing 4 pounds 3 
oz (1.810.08 kilograms), passes when placed (not dropped) in 
the opening and permitted to remain for a period of one second. For this 
criterion, the sample after being impacted shall be placed, while

[[Page 204]]

remaining in the subframe, in a horizontal, impact side up position with 
a minimum of one foot (31 centimeters) of free space immediately beneath 
the specimen.
    (ii) When breakage occurs, what appear to be the 10 largest 
particles shall be selected within 5 minutes subsequent to the test and 
shall weigh no more than the equivalent weight of 10 square inches (64 
square centimeters) of the original specimen. For the purposes of this 
section particle means a portion of a broken test specimen which is 
determined by identifying the smallest possible perimeter around all 
points in the portion of the broken test specimen, always passing along 
cracks or exposed surfaces.
    (iii) [Reserved]
    (iv) The specimen does not remain within the subframe and no 
breakage is caused by the impactor.
    (v) The specimen does not break.
    (2) Environmental durability tests-- (i) Boil test. The glass itself 
may crack in this test, but no bubbles or other defects shall develop 
more than \1/2\ inch (12 millimeters) from the outer edge of the 
specimen or from any crack that may develop. Any specimen in which the 
glass cracks to an extent that confuses the interpretation of the 
results shall be discarded, and another specimen shall be tested in its 
stead.
    (ii) Accelerated weathering test--(A) [Reserved]
    (B) Organic-coated glass. Specimens shall be judged satisfactory if 
they pass both the adhesion test and the tensile test described below in 
paragraph (e)(ii)(B) (1) and (2) of this section.
    (1) Adhesion test (organic-coated glass only)--(i) Specimens. The 
specimens for this test are the 2 inch by 6 inch (5 centimeters by 15 
centimeters) weathered specimens and the control specimens. The 
specimens shall be conditioned just prior to the performance of the 
adhesion test at 73 deg. 6  deg.F (23 deg. 3 
deg.C) and 505 percent relative humidity for 24 hours.
    (ii) Apparatus. The test apparatus shall consist of a constant-rate-
of-extension-type (CRE) tensile tester with the moving crosshead set to 
move at 12 inches per minute (5 millimeters per second) and load range 
such that the average pull force will fall at 30 to 50 percent of full 
scale. A cutter shall be used containing new razor blades for cutting 1 
inch (25 millimeter) wide specimens of the organic coating on the glass. 
The razor blades shall be used one time only.
    (iii) Procedure. Using the razor cutter, cut a straight, 1 inch (25 
millimeter) wide strip of the organic coating in the lengthwise 
direction of the glass specimen along and within \1/4\ inch (6 
millimeters) of one edge. Peel back, cleanly and evenly, about 2 inches 
(50 millimeters) of one end of the 1 inch (25 millimeters) wide organic 
strip. Attach a strip of reinforced pressure sensitive tape to the side 
of the organic strip opposite the adhesive, to extend this free end to 
about 8 inches (200 millimeters) in length. Place the end of the glass 
panel from which the organic strip was removed in the lower clamp of the 
tensile tester and and the free end of the tape in the upper clamp. Peel 
the remainder of the organic strip from the glass mechanically and 
obtain a record of the pull force value. Determine and record the 
average pull force value for each specimen from the chart. Weathered and 
control specimens are to be tested alternately.
    (iv) Interpretation of results. The organic-coated glass adhesion 
shall be judged satisfactory if the average pull force for the weathered 
specimens is no less than 90 percent of the average pull force for the 
control specimens.
    (2) Tensile strength test (organic-coated glass only). (i) The 
specimens for this test are the same 2 inch by 6 inch (5 centimeter by 
15 centimeter) specimens used in the adhesion test.
    (ii) Apparatus. The CRE tensile tester shall be used with the moving 
crosshead set to move at 2 inches per minute (0.8 millimeter per second) 
and the load range such that the specimens will break at 30 to 60% of 
full scale. A cutter shall be used containing new razor blades for 
cutting \1/2\ inch (12 millimeter) wide specimens of the organic coating 
on the glass. The razor blades shall be used one time only.
    (iii) Procedure. Using the \1/2\ inch (12 millimeter) razor cutter, 
cut a straight strip of the organic coating in the lengthwise direction 
of the glass specimen for the full 6 inch (15 centimeter) length. 
Carefully peel this strip from

[[Page 205]]

the glass panel and test it for breaking strength in the tensile tester.
    (iv) Interpretation of results. The organic coating tensile strength 
shall be judged satisfactory if the average tensile value of the 
weathered specimens is no less than 75 percent of the average of the 
control specimens. Weathered and control specimens are to be tested 
alternately.

(Sec. 9(e) Pub. L. 92-573, 86 Stat. 1215; (15 U.S.C. 2058(e)); (5 U.S.C. 
553); sec. 9(h), Consumer Product Safety Act, as amended by the Consumer 
Product Safety Amendments of 1981 (Pub. L. 92-673, as amended by Pub. L. 
97-35, 15 U.S.C. 2057(h)) and 5 U.S.C. 553)

[42 FR 1441, Jan. 6, 1977, as amended at 43 FR 43708, Sept. 27, 1978; 43 
FR 57594, Dec. 8, 1978; 45 FR 66007, Oct. 6, 1980; 46 FR 63250, Dec. 31, 
1981; 47 FR 27857, June 28, 1982]



Sec. 1201.5  Certification and labeling requirements.

    (a) Manufacturers and private labelers of glazing materials covered 
by this part 1201 shall comply with the requirements of section 14 CPSA 
(15 U.S.C. 2063) and regulations issued under section 14.
    (b) [Reserved]
    (c) Organic-coated glass that has been tested for environmental 
exposure from one side only must bear a permanent label on the coating 
stating ``GLAZE THIS SIDE IN'' and shall bear in the central 50 percent 
of the surface area the following message in letters at least \1/4\ inch 
(7 millimeters) high: ``SEE PERMANENT LABEL FOR IMPORTANT MOUNTING 
INSTRUCTION.'' The latter message shall be attached to either side of 
the glazing by any means which shall ensure the message will remain in 
place until installation.

[42 FR 1441, Jan. 6, 1977, as amended at 45 FR 66007, Oct. 6, 1980]



Sec. 1201.6  Prohibited stockpiling.

    (a) Stockpiling. For the purposes of this section, the term 
stockpiling means manufacturing or importing the affected products 
between the date of issuance of this part in the Federal Register and 
the effective date set out below in Sec. 1201.7 at a rate significantly 
greater (prescribed in paragraph (b) of this section) than the rate at 
which the affected products were produced or imported during a base 
period (prescribed in paragraph (c)(2) of this section).
    (b) Prohibited acts. Manufacturers and importers of glazing 
materials, fabricators, and manufacturers or importers of architectural 
products specified in Sec. 1201.1(a) who incorporate glazing material 
shall not incorporate glazing materials which do not comply with the 
requirements of this part 1201 into such products between the date of 
issuance of this part in the Federal Register and the effective date set 
out in Sec. 1201.7 below at a rate greater than the rate of production 
or importation during the base period (defined in paragraph (c)(2) of 
this section) plus ten percent. For wired glass used in doors or other 
assemblies subject to this part 1201 and intended to retard the passage 
of fire, when such doors or other assemblies are required by a Federal, 
State, local or municipal fire ordinance, the rate of production during 
the base period may be increased annually by no more than 10 percent.
    (c) Definitions. As used in this section:
    (1) Rate of production (or importation) means the total number of 
affected architectural products incorporating glazing material not 
complying with this part manufactured or imported during a stated base 
period.
    (2) Base period means, at the option of the manufacturer or 
importer, any period of 180 consecutive days prior to January 6, 1977, 
said period to be selected within an interval which begins July 6, 1975.



Sec. 1201.7  Effective date.

    The effective date of this part 1201 shall be July 6, 1977 except:
    (a) For glazing materials used in doors or other assemblies subject 
to this part and intended to retard the passage of fire when such doors 
or other assemblies are required by a Federal, State, or local or 
municipal fire ordinance, the effective date shall be January 6, 1980.
    (b) Architectural glazing materials manufactured before July 6, 1977 
may be incorporated into architectural products listed in Sec. 1201.1(a) 
through July 5, 1978 if:
    (1) The architectural glazing material conforms to ANSI Standard 
Z97.1-

[[Page 206]]

1972 or 1975, ``Performance Specifications and Methods of Test for 
Safety Glazing Material Used in Buildings,'' 1972 or 1975 \2\, which is 
incorporated by reference, and
---------------------------------------------------------------------------

    \2\ Copies of ANSI Standard Z97.1-1972 or 1975 are available from 
the American National Standards Institute, 1430 Broadway, New York, New 
York 10018. They are also available for inspection at the Office of the 
Federal Register, 800 North Capitol Street, NW., suite 700, Washington, 
DC 20001. This incorporation by reference was approved by the Director 
of the Federal Register. These materials are incorporated as they exist 
in the editions which have been approved by the Director of the Federal 
Register and which have been filed with the Office of the Federal 
Register.
---------------------------------------------------------------------------

    (2) The architectural glazing material is permanently labeled to 
indicate it conforms to ANSI Z97.1-1972 or 1975 or is accompanied by a 
certificate certifying conformance to ANSI Z97.1 1972 or 1975.
    (c) Tempered glass manufactured before July 6, 1977 may be 
incorporated into architectural products listed in Sec. 1201.1(a) 
through July 5, 1981 if:
    (1) The tempered glass conforms to ANSI Z97.1-1972 or 1975; and
    (2) The tempered glass is permanently labeled to indicate it 
conforms to ANSI Z97.1-1972 or 1975 or is accompanied by a certificate 
certifying conformance to ANSI Z97.1-1972 or 1975.
    (d) Laminated glass manufactured on or after July 6, 1977 through 
December 3, 1977 may be incorporated into category II products as 
defined in Sec. 1201.2(a)(4) through July 5, 1978 if:
    (1) The laminated glass conforms to ANSI Z97.1-1972 or 1975; and
    (2) The laminated glass is permanently labeled to indicate that it 
conforms to ANSI Z97.1-1972 or 1975 or is accompanied by a certificate 
in accordance with section 14(a) of the CPSA certifying conformance to 
ANSI Z97.1-1972 or 1975.
    (e) Architectural products manufactured between July 6, 1977 and 
July 5, 1978 incorporating glazing material in accordance with paragraph 
(b) of this section, may be distributed and sold without restriction.
    (f) Architectural products manufactured between July 6, 1977 and 
July 5, 1981 incorporating tempered glass in accordance with paragraph 
(c) of this section, may be distributed and sold without restriction.
    (g) Architectural products identified in Sec. 1201.2(a)(4) 
manufactured between July 6, 1977 and July 5, 1978 incorporating 
laminated glass in accordance with Sec. 1201.7(d) may be distributed and 
sold without restriction.
    (h) Patinaed glass manufactured between July 6, 1977 and January 8, 
1979, in accordance with the Commission's stay order published in the 
Federal Register of August 9, 1977 (42 FR 40188), may be sold without 
restriction. Architectural products incorporating such glazing may also 
be sold without restriction.

[43 FR 50422, Oct. 30, 1978, as amended at 43 FR 57247, Dec. 7, 1978; 46 
FR 63250, Dec. 31, 1981]

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[GRAPHIC] [TIFF OMITTED] TC03OC91.005


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[GRAPHIC] [TIFF OMITTED] TC03OC91.006


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[GRAPHIC] [TIFF OMITTED] TC03OC91.007


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Subpart B [Reserved]



           Subpart C--Statements of Policy and Interpretation



Sec. 1201.40  Interpretation concerning bathtub and shower doors and enclosures.

    (a) Purpose and background. The purpose of this section is to 
clarify the scope of the terms ``bathtub doors and enclosures'' and 
``shower door and enclosure'' as they are used in the Standard in 
subpart A. The Standard lists the products that are subject to it 
(Sec. 1201.1(a)). This list includes bathtub doors and enclosures, a 
term defined in the Standard to mean ``assemblies of panels and/or doors 
that are installed on the lip of or immediately surrounding a bathtub'' 
(Sec. 1201.2(a)(2)). The list also includes shower doors and enclosures, 
a term defined to mean ``(assemblies) of one or more panels installed to 
form all or part of the wall and/or door of a shower stall'' 
(Sec. 1201.2(a)(30)). Since the Standard became effective on July 6, 
1977, the question has arisen whether the definitions of these products 
include glazing materials in a window that is located over a bathtub or 
within a shower stall and in the exterior wall of a building. The 
definitions of the terms ``bathtub doors and enclosures'' and ``shower 
door and enclosure'' contain no specific exemption for glazing materials 
in such windows. If read literally, the Standard could include glazing 
materials in an exterior wall window located above a bathtub because 
that window could be interpreted as being ``immediately surrounding'' 
the bathtub. Similarly, the Standard, if read literally, could include 
glazing materials in an exterior wall window because that window could 
be interpreted as forming ``all or part of the wall * * * of a shower 
stall.''
    (b) Interpretation. When the Consumer Product Safety Commission 
issued the Standard, it did not intend the standard to apply to any item 
of glazing material in a window that is located over a bathtub or within 
a shower stall and in the exterior wall of a building. The Commission 
clarifies that the Standard does not apply to such items of glazing 
material or such windows. This interpretation applies only to the term 
``bathtub doors and enclosures'' and ``shower door and enclosure'' and 
does not affect the applicability of the Standard to any other product.

[46 FR 45751, Sept. 15, 1981]



PART 1202--SAFETY STANDARD FOR MATCHBOOKS--Table of Contents




Sec.
1202.1 Scope and effective date.
1202.2 Findings.
1202.3 Definitions.
1202.4 Matchbook general requirements.
1202.5 Certification.
1202.6 Marking.
1202.7 Prohibited stockpiling.

    Authority: Secs. 2, 3, 7, 9, 14, 16, and 19. Pub. L. 92-573, 86 
Stat. 1212-17 (15 U.S.C. 2051, 2052, 2056, 2058, 2063, 2065, and 2068).

    Source: 43 FR 53709, Nov. 17, 1978, unless otherwise noted.



Sec. 1202.1  Scope and effective date.

    (a) Scope. This part 1202, a consumer product safety standard, 
prescribes the safety requirements, including labeling requirements, for 
the matchbook. This part 1202 applies to all matchbooks manufactured in 
or imported into the United States after its effective date.
    (b) Effective date. The effective date shall be May 4, 1978.



Sec. 1202.2  Findings. \1\
---------------------------------------------------------------------------

    \1\ The Commission's findings apply to the matchbook standard that 
it published on May 4, 1977 (42 FR 22656-70). On Mar. 31, 1978, the U.S. 
Court of Appeals for the First Circuit set aside portions of that 
standard (D. D. Bean & Sons, Co. v. CPSC, 574 F. 2d 643). On Nov. 17, 
1978, the Commission published a revised version of the standard which 
reflects the court's decision. However, the findings have not been 
revised and they are therefore not fully applicable to the revised 
matchbook requirements. For example, the revised standard does not 
address the unreasonable risk of injury of ``[b]urn injuries that have 
been sustained by persons from fires that have been set by the afterglow 
of extinguished bookmatches'' (Sec. 1202.2(a)(6)) because the court set 
aside the afterglow performance requirement.
---------------------------------------------------------------------------

    (a) Risk of injury. The Commission finds that unreasonable risks of 
injury from accidents are associated with matchbooks. These unreasonable 
risks,

[[Page 212]]

which this part 1202 is intended to reduce or eliminate, are:
    (1) Burn injuries, sustained by children and others, including 
mentally or physically impaired persons, who play with or otherwise 
improperly use bookmatches.
    (2) Burn injuries sustained by persons who use bookmatches that 
fragment or have delayed ignition.
    (3) Eye injuries sustained by persons who use bookmatches that 
fragment and cause particles from such matches to lodge in a person's 
eye.
    (4) Burn injuries sustained by persons who use bookmatches that, 
when struck, ignite the remaining matches in the matchbook.
    (5) Burn injuries sustained by persons from fires that have resulted 
from unexpected ignition of bookmatches with no deliberate action by the 
user.
    (6) Burn injuries that have been sustained by persons from fires 
that have been set by the afterglow of extinguished bookmatches.
    (b) Products subject to this standard. (1) The products subject to 
this standard are those kinds of manufactured ignition devices known as 
matchbooks. The matchbook consists of a group of bookmatches joined 
together and fastened within a cover. Although matchbooks are commonly 
referred to as paper matches or paper-stem matches to distinguish them 
from individual stick matches such as wooden stem matches packaged in 
boxes, all matchbooks, regardless of the materials of manufacture of the 
covers or of the bookmatches fastened within, are subject to this 
standard.
    (2) Matchbooks subject to this standard can be divided into two 
basic categories: Resale matchbooks and special reproduction matchbooks. 
Resale matchbooks can be subdivided into advertising and nonadvertising 
matchbooks. Nonadvertising matchbooks are generally sold by large chain 
stores, and constitute a small portion of the total resale matchbook 
volume. Resale matchbooks with advertising are generally given away by 
tobacco shops, drug stores, vending firms, and other mass distribution 
outlets. Special reproduction matchbooks, characterized by their 
distinctive and unique cover designs, are purchased and distributed for 
promotional purposes by hotels, restaurants, financial institutions, and 
other business enterprises, and are given free to users.
    (3) The Commission estimates that resale matchbooks accounted for 
almost 75 percent of the volume of matchbooks in 1975, or about 15 
billion matchbooks, while special reproduction matchbooks accounted for 
just over 25 percent, or about 5.5 billion matchbooks.
    (c) Effects on utility, cost, and availability. (1) The Commission 
finds that the public need for ignition devices which are small, 
portable, and can be used to provide a source of fire, is substantial 
since such products meet basic requirements for a source of fire to 
ignite tobacco products, fires, candles, or other products, and are also 
used for miscellaneous other purposes such as providing short term 
illumination. Three types of products: Matchbooks, individual stick 
matches, and lighters, predominantly supply the source of fire to meet 
these requirements.
    (i) The Commission estimates that in 1976 U.S. consumers required 
approximately 645 billion such fire sources or ``lights,'' as they are 
known, with almost 98 percent of this total required for tobacco 
products. In the aggregate, the requirements by U.S. consumers for a 
source of fire has been growing at an annual rate of approximately 3 
percent. Matchbooks, the products regulated in this standard, are 
estimated to have supplied about 65 percent of the source of lights, 
lighters accounted for about 25 percent, and individual stick matches 
(primarily wooden-stem type) accounted for the remainder.
    (ii) The Commission also finds that matchbooks fulfill a need by 
institutions and business enterprises for a particular form of specialty 
advertising that is both relatively inexpensive and effective in 
reaching a specified audience or population segment with the 
advertiser's message. Various studies of matchbooks as a form of 
advertising have found that readership can average 3 to 15 times higher 
than average readership, listenership, and viewership figures from 
competing media such as magazines, newspapers,

[[Page 213]]

radio, and television, and that readership retention of the matchbook 
advertising message was extremely high, about 45 percent. In addition, 
matchbooks tend to be considerably less expensive than other forms of 
specialty advertising, including those competing advertising items such 
as address books, key cases, litterbags, and the like, which are 
themselves relatively inexpensive.
    (2) The Commission finds that the standard will have no adverse 
effects on the utility that consumers derive from matchbooks. To the 
extent that injuries and property damage associated with the use of 
matchbooks is reduced or eliminated as a result of this standard, the 
utility of matchbooks as a source of fire will be increased.
    (3) The Commission estimates that manufacturing cost increases as a 
direct or indirect effect of this standard will be modest for the 
industry as a whole. Such increases will tend to be concentrated in one-
time costs to complete changeover to reverse friction, and in costs to 
establish and implement testing programs and certification procedures.
    (i) Because some 80-90 percent of the matchbooks produced annually 
are given free to consumers, there is not likely to be any direct cost 
impact on the consumer as a result of the standard. Some proportion of 
increased manufacturing costs will be passed on to the institutions and 
business enterprises that purchase matchbooks for promotional purposes. 
To the extent that increases in advertising and promotional costs may be 
reflected in higher prices for goods and services sold by these 
businesses, there may be indirect cost effects on consumers. If so, such 
impacts would likely be small, if not imperceptible.
    (ii) For the 12-20 percent of matchbooks that are purchases at 
retail by consumers, some proportion of any manufacturing cost increases 
may be passed on to the consumer. A resulting increase in retail prices 
for such matchbooks will be small, no more than a few cents per box of 
50 matchbooks.
    (4) The Commission finds that the standard will not have impacts of 
significant magnitude on the availability of matchbooks. Although some 
institutions and business enterprises may reduce their matchbook 
purchases or eliminate them in response to any increased price of 
matchbooks, the large number of such purchasers, and the large volume 
purchased annually, are such that curtailment of purchases by some 
businesses is likely to have very small effects on the total number of 
matchbooks available to U.S. consumers.
    (d) Alternatives. (1) The Commission has considered other means of 
achieving the objective of the standard throughout the course of its 
development. Certain other more elaborate test requirements were 
considered and were shown to have the potential for severe adverse 
effects on competition and estimated to result in disruptions and 
dislocations of manufacturing and commercial practices. Therefore, 
having considered and rejected such other means of achieving the 
objective of the standard, the Commission has found none that would 
cause less disruption or dislocation of manufacturing and other 
commercial practices, consistent with the public health and safety than 
this standard.
    (2) Because of competition from substitute products such as 
inexpensive disposable butane lighters and because of other prevailing 
business and economic conditions, the industry manufacturing matchbooks 
has been in a state of contraction in recent years. This contraction, 
marked by the exit of some firms and by plant closings or 
consolidations, is likely to continue in the future; but this will 
neither be the result of, nor significantly accelerated by, effects of 
the standard. Currently, aggressive price and service competition 
prevails among firms vying for customer accounts. It is anticipated that 
this competition for sales may increase as an indirect effect of the 
standard. To the extent that this occurs, there may be some disruption 
or dislocation of manufacturing, sales, or distribution practices in 
certain matchbook product categories and market segments. Marginal firms 
and firms producing limited product categories or for limited market 
segments may be affected to a greater degree

[[Page 214]]

than multiproduct category or multimarket firms.
    (e) Conclusion. The Commission finds that this standard, including 
its effective date, is reasonably necessary to eliminate or reduce the 
unreasonable risks of injury associated with matchbooks and that the 
issuance of the standard is in the public interest.



Sec. 1202.3  Definitions.

    In addition to the definitions given in section 3 of the Consumer 
Product Safety Act (15 U.S.C. 2052), the following definitions apply for 
the purpose of this standard:
    (a) Bookmatch means a single splint, with a matchhead attached, that 
comes from a matchbook.
    (b) Bridge means the matchhead material held in common by two or 
more splints.
    (c) Broken bridge means a bridge that has become separated.
    (d) Caddy means a package of two or more matchbooks wrapped or boxed 
together at a production plant.
    (e) Comb means a piece of wood, paper, or other suitable material 
that has been formed into splints, that remain joined at their base, and 
that are designed to have matchheads attached to their tips.
    (f) Cover means the paperboard or other suitable material that is 
wrapped around and fastened to the comb(s).
    (g) Friction means the dried chemical mixture on the matchbook cover 
used to ignite the bookmatch.
    (h) Match means a single splint with matchhead attached.
    (i) Matchbook means one or more combs with matchheads attached and a 
cover that is wrapped around and fastened to those combs.
    (j) Matchhead means the dried chemical mixture on the end of a 
splint.
    (k) Splint means the support for the matchhead or that portion 
normally held when using the bookmatch.



Sec. 1202.4  Matchbook general requirements.

    A matchbook shall meet the following general requirements:
    (a) The friction shall be located on the outside back cover near the 
bottom of the matchbook.
    (b) The cover shall remain closed without external force.
    (c) No friction material shall be located on the inside of the cover 
where possible contact with the matchheads may occur during ordinary 
use.
    (d) There shall be no bridge(s) or broken bridge(s).
    (e) No matchhead in the matchbook shall be split, chipped, cracked, 
or crumbled.
    (f) No portion of any matchhead shall be outside the matchbook cover 
when the cover is closed.
    (g) No part of a staple or other assembly device for securing the 
cover and combs shall be within or touching the friction area.
    (h) A staple used as an assembly device for securing the cover and 
combs shall be fully clinched so that the ends are flattened or turned 
into the cover.



Sec. 1202.5  Certification.

    Certification shall be in accordance with section 14(a) of the 
Consumer Product Safety Act (15 U.S.C. 2063(a)). Under this provision, 
manufacturers and private labelers of products subject to safety 
standards must certify that their products conform to the standard, 
based on either a test of each product or on a reasonable testing 
program.



Sec. 1202.6  Marking.

    (a) The manufacturer's or private labeler's name and city or a 
symbol which will identify the name and city shall appear on the 
matchbook. In addition, every private labeler must label the matchbook 
with a code which enables it to identify, if requested, the manufacturer 
of the product.
    (b) Boxes or cartons in which two or more caddies are shipped shall 
be marked ``For safety, store in a cool, dry place.''



Sec. 1202.7  Prohibited stockpiling.

    Section 9(d)(2) of the Consumer Product Safety Act (15 U.S.C. 
2058(d)(2)) authorizes the Commission to prohibit manufacturers and 
importers from stockpiling a product subject to a consumer product 
safety standard between its date of issuance and its effective date. A 
manufacturer or importer is in violation of Section 9(d)(2) and of this

[[Page 215]]

section if it fails to comply with the following:
    (a) Definitions. (1) Base period means, at the option of the 
manufacturer or importer concerned, any period of 365 consecutive days 
beginning on or after January 1, 1973, and ending on or before December 
31, 1975.
    (2) Rate of production (or importation) means the total number of 
matchbooks manufactured (or imported) during a stated time period. In 
determining whether a matchbook was manufactured during a stated time 
period, the date on which the cover and combs were assembled to form a 
matchbook shall be used. In the event that a manufacturer currently 
operates a matchbook manufacturing plant that it did not operate during 
the base period, or that it did not operate for an entire base period, 
that manufacturer shall use, as the rate of production during the base 
period for that plant, either (i) the average daily rate of production 
(including nonproduction days such as Sundays, holidays, and vacations) 
for the part of the base period he did operate that plant, multiplied by 
365 or (ii) the rate of production during the base period of his most 
nearly similar matchbook manufacturing plant.
    (b) Prohibited act. Manufacturers and importers of matchbooks, as 
these products are defined in Sec. 1202.3(i), shall not manufacture or 
import matchbooks that do not comply with the requirements of this part 
between the date that this part is issued and the date that it becomes 
effective at a rate that is greater than the rate of production or 
importation during the base period plus 15 percent of that rate.
    (c) Documentation. Manufacturers and importers shall maintain, for a 
period of six (6) months after the effective date specified in 
Sec. 1202.1(b), appropriate documentation to be able to substantiate to 
the Commission that they are in compliance with the provisions of this 
section.



PART 1203--SAFETY STANDARD FOR BICYCLE HELMETS--Table of Contents




                         Subpart A--The Standard

Sec.
1203.1 Scope, general requirements, and effective date.
1203.2 Purpose and basis.
1203.3 Referenced documents.
1203.4 Definitions.
1203.5 Construction requirements--projections.
1203.6 Labeling and instructions.
1203.7 Samples for testing.
1203.8 Conditioning environments.
1203.9 Test headforms.
1203.10 Selecting the test headform.
1203.11 Marking the impact test line.
1203.12 Test requirements.
1203.13 Test schedule.
1203.14 Peripheral vision test.
1203.15 Positional stability test (roll-off resistance).
1203.16 Dynamic strength of retention system test.
1203.17 Impact attenuation test.



                        Subpart B--Certification

1203.30 Purpose, basis, and scope.
1203.31 Applicability date.
1203.32 Definitions.
1203.33 Certification testing.
1203.34 Product certification and labeling by manufacturers (including 
          importers).



                        Subpart C--Recordkeeping

1203.40 Effective date.
1203.41 Recordkeeping requirements.



Subpart D--Requirements for Bicycle Helmets Manufactured From March 17, 
                      1995, Through March 10, 1999

1203.51 Purpose and basis.
1203.52 Scope and effective date.
1203.53 Interim safety standards.

                          Figures to Part 1203

    Authority: 15 U.S.C. 2056, 2058, and 6001-6006. Subpart B is also 
issued under 15 U.S.C. 2063. Subpart C is also issued under 15 U.S.C. 
2065.

[[Page 216]]



                         Subpart A--The Standard



Sec. 1203.1  Scope, general requirements, and effective date.

    (a) Scope. The standard in this subpart describes test methods and 
defines minimum performance criteria for all bicycle helmets, as defined 
in Sec. 1203.4(b).
    (b) General requirements.
    (1) Projections. All projections on bicycle helmets must meet the 
construction requirements of Sec. 1203.5.
    (2) Labeling and instructions. All bicycle helmets must have the 
labeling and instructions required by Sec. 1203.6.
    (3) Performance tests. All bicycle helmets must be capable of 
meeting the peripheral vision, positional stability, dynamic strength of 
retention system, and impact-attenuation tests described in 
Sec. Sec. 1203.7 through 1203.17.
    (4) Units. The values stated in International System of Units 
(``SI'') measurements are the standard. The inch-pound values stated in 
parentheses are for information only.
    (c) Effective date. The standard shall become effective March 10, 
1999 and shall apply to all bicycle helmets manufactured after that 
date. Bicycle helmets manufactured from March 17, 1995 through March 10, 
1999, inclusive, are subject to the requirements of Subpart D, rather 
than this subpart A.



Sec. 1203.2  Purpose and basis.

    The purpose and basis of this standard is to reduce the likelihood 
of serious injury and death to bicyclists resulting from impacts to the 
head, pursuant to 15 U.S.C. 6001-6006.



Sec. 1203.3  Referenced documents.

    (a) The following documents are incorporated by reference in this 
standard.
    (1) Draft ISO/DIS Standard 6220-1983--Headforms for Use in the 
Testing of Protective Helmets.\1\
---------------------------------------------------------------------------

    \1\ Although the draft ISO/DIS 6220-1983 standard was never adopted 
as an international standard, it has become a consensus national 
standard because all recent major voluntary standards used in the United 
States for testing bicycle helmets establish their headform dimensions 
by referring to the draft ISO standard.
---------------------------------------------------------------------------

    (2) SAE Recommended Practice SAE J211 OCT88, Instrumentation for 
Impact Tests.
    (b) This incorporation by reference was approved by the Director of 
the Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR Part 
51. Copies of the standards may be obtained as follows. Copies of the 
draft ISO/DIS Standard 6220-1983 are available from American National 
Standards Institute, 11 W. 42nd St., 13th Floor, New York, NY 10036. 
Copies of the SAE Recommended Practice SAE J211 OCT88, Instrumentation 
for Impact Tests, are available from Society of Automotive Engineers, 
400 Commonwealth Dr., Warrendale, PA 15096. Copies may be inspected at 
the Office of the Secretary, Consumer Product Safety Commission, 4330 
East-West Highway, Bethesda, Maryland 20814, or at the Office of the 
Federal Register, 800 N. Capitol Street NW, Room 700, Washington, DC.



Sec. 1203.4  Definitions.

    (a) Basic plane means an anatomical plane that includes the auditory 
meatuses (the external ear openings) and the inferior orbital rims (the 
bottom edges of the eye sockets). The ISO headforms are marked with a 
plane corresponding to this basic plane (see Figures 1 and 2 of this 
part).
    (b) Bicycle helmet means any headgear that either is marketed as, or 
implied through marketing or promotion to be, a device intended to 
provide protection from head injuries while riding a bicycle.\2\
---------------------------------------------------------------------------

    \2\ Helmets specifically marketed for exclusive use in a designated 
activity, such as skateboarding, rollerblading, baseball, roller hockey, 
etc., would be excluded from this definition because the specific focus 
of their marketing makes it unlikely that such helmets would be 
purchased for other than their stated use. However, a multi-purpose 
helmet--one marketed or represented as providing protection either 
during general use or in a variety of specific activities other than 
bicycling--would fall within the definition of bicycle helmet if a 
reasonable consumer could conclude, based on the helmet's marketing or 
representations, that bicycling is among the activities in which the 
helmet is intended to be used. In making this determination, the 
Commission will consider the types of specific activities, if any, for 
which the helmet is marketed, the similarity of the appearance, design, 
and construction of the helmet to other helmets marketed or recognized 
as bicycle helmets, and the presence, prominence, and clarity of any 
warnings, on the helmet or its packaging or promotional materials, 
against the use of the helmet as a bicycle helmet. A multi-purpose 
helmet marketed without specific reference to the activities in which 
the helmet is to be used will be presumed to be a bicycle helmet. The 
presence of warnings or disclaimers advising against the use of a multi-
purpose helmet during bicycling is a relevant, but not necessarily 
controlling, factor in the determination of whether a multi-purpose 
helmet is a bicycle helmet.

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

[[Page 217]]

    (c) Comfort or fit padding means resilient lining material used to 
configure the helmet for a range of different head sizes.
    (d) Coronal plane is an anatomical plane perpendicular to both the 
basic and midsagittal planes and containing the midpoint of a line 
connecting the right and left auditory meatuses. The ISO headforms are 
marked with a transverse plane corresponding to this coronal plane (see 
Figures 1 and 2 of this part).
    (e) Field of vision is the angle of peripheral vision allowed by the 
helmet when positioned on the reference headform.
    (f) Helmet positioning index (``HPI'') is the vertical distance from 
the brow of the helmet to the reference plane, when placed on a 
reference headform. This vertical distance shall be specified by the 
manufacturer for each size of each model of the manufacturer's helmets, 
for the appropriate size of headform for each helmet, as described in 
Sec. 1203.10.
    (g) Midsagittal plane is an anatomical plane perpendicular to the 
basic plane and containing the midpoint of the line connecting the 
notches of the right and left inferior orbital ridges and the midpoint 
of the line connecting the superior rims of the right and left auditory 
meatuses. The ISO headforms are marked with a longitudinal plane 
corresponding to the midsagittal plane (see Figures 1 and 2 of this 
part).
    (h) Modular elastomer programmer (``MEP'') is a cylindrical pad, 
typically consisting of a polyurethane rubber, used as a consistent 
impact medium for the systems check procedure. The MEP shall be 152 mm 
(6 in) in diameter, and 25 mm (1 in) thick and shall have a durometer of 
602 Shore A. The MEP shall be affixed to the top surface of 
a flat 6.35 mm (\1/4\ in) thick aluminum plate. See Sec. 1203.17(b)(1).
    (i) Preload ballast is a ``bean bag'' filled with lead shot that is 
placed on the helmet to secure its position on the headform. The mass of 
the preload ballast is 5 kg (11 lb).
    (j) Projection is any part of the helmet, internal or external, that 
extends beyond the faired surface.
    (k) Reference headform is a headform used as a measuring device and 
contoured in the same configuration as one of the test headforms A, E, 
J, M, and O defined in draft ISO DIS 6220-1983. The reference headform 
shall include surface markings corresponding to the basic, coronal, 
midsagittal, and reference planes (see Figures 1 and 2 of this part).
    (l) Reference plane is a plane marked on the ISO headforms at a 
specified distance above and parallel to the basic plane (see Figure 3 
of this part).
    (m) Retention system is the complete assembly that secures the 
helmet in a stable position on the wearer's head.
    (n) Shield means optional equipment for helmets that is used in 
place of goggles to protect the eyes.
    (o) Spherical impactor is an impact fixture used in the instrument 
system check of Sec. 1203.17(b)(1) to test the impact-attenuation test 
equipment for precision and accuracy. The spherical impactor shall be a 
146 mm (5.75 in) diameter aluminum sphere mounted on the ball-arm 
connector of the drop assembly. The total mass of the spherical-impactor 
drop assembly shall be 5.00.1 kg (11.00.22 lb).
    (p) Test headform is a solid model in the shape of a human head of 
sizes A, E, J, M, and O as defined in draft ISO/DIS 6220-1983. Headforms 
used for the impact-attenuation test shall be constructed of low-
resonance K-1A magnesium alloy. The test headforms shall include surface 
markings corresponding to the basic, coronal, midsagittal, and reference 
planes (see Figure 2 of this part).
    (q) Test region is the area of the helmet, on and above a specified 
impact test line, that is subject to impact testing.

[[Page 218]]



Sec. 1203.5  Construction requirements--projections.

    Any unfaired projection extending more than 7 mm (0.28 in.) from the 
helmet's outer surface shall break away or collapse when impacted with 
forces equivalent to those produced by the applicable impact-attenuation 
tests in Sec. 1203.17 of this standard. There shall be no fixture on the 
helmet's inner surface projecting more than 2 mm into the helmet 
interior.



Sec. 1203.6  Labeling and instructions.

    (a) Labeling. Each helmet shall be marked with durable labeling so 
that the following information is legible and easily visible to the 
user:
    (1) Model designation.
    (2) A warning to the user that no helmet can protect against all 
possible impacts and that serious injury or death could occur.
    (3) A warning on both the helmet and the packaging that for maximum 
protection the helmet must be fitted and attached properly to the 
wearer's head in accordance with the manufacturer's fitting 
instructions.
    (4) A warning to the user that the helmet may, after receiving an 
impact, be damaged to the point that it is no longer adequate to protect 
the head against further impacts, and that this damage may not be 
visible to the user. This label shall also state that a helmet that has 
sustained an impact should be returned to the manufacturer for 
inspection, or be destroyed and replaced.
    (5) A warning to the user that the helmet can be damaged by contact 
with common substances (for example, certain solvents [ammonia], 
cleaners [bleach], etc.), and that this damage may not be visible to the 
user. This label shall state in generic terms some recommended cleaning 
agents and procedures (for example, wipe with mild soap and water), list 
the most common substances that damage the helmet, warn against 
contacting the helmet with these substances, and refer users to the 
instruction manual for more specific care and cleaning information.
    (6) Signal word. The labels required by paragraphs (a) (2) through 
(5) of this section shall include the signal word ``WARNING'' at the 
beginning of each statement, unless two or more of the statements appear 
together on the same label. In that case, the signal word need only 
appear once, at the beginning of the warnings. The signal word 
``WARNING'' shall be in all capital letters, bold print, and a type size 
equal to or greater than the other text on the label.
    (b) Instructions. Each helmet shall have fitting and positioning 
instructions, including a graphic representation of proper positioning.



Sec. 1203.7  Samples for testing.

    (a) General. Helmets shall be tested in the condition in which they 
are offered for sale. To meet the standard, the helmets must be able to 
pass all tests, both with and without any attachments that may be 
offered by the helmet's manufacturer and with all possible combinations 
of such attachments.
    (b) Number of samples. To test conformance to this standard, eight 
samples of each helmet size for each helmet model offered for sale are 
required.



Sec. 1203.8  Conditioning environments.

    Helmets shall be conditioned to one of the following environments 
prior to testing in accordance with the test schedule at Sec. 1203.13. 
The barometric pressure in all conditioning environments shall be 75 to 
110 kPa (22.2 to 32.6 in of Hg). All test helmets shall be stabilized 
within the ambient condition for at least 4 hours prior to further 
conditioning and testing. Storage or shipment within this ambient range 
satisfies this requirement.
    (a) Ambient condition. The ambient condition of the test laboratory 
shall be within 17  deg.C to 27  deg.C (63  deg.F to 81  deg.F), and 20 
to 80% relative humidity. The ambient test helmet does not need further 
conditioning.
    (b) Low temperature. The helmet shall be kept at a temperature of -
17  deg.C to -13  deg.C (1  deg.F to 9  deg.F) for 4 to 24 hours prior 
to testing.
    (c) High temperature. The helmet shall be kept at a temperature of 
47  deg.C to 53  deg.C (117  deg.F to 127  deg.F) for 4 to 24 hours 
prior to testing.
    (d) Water immersion. The helmet shall be fully immersed ``crown'' 
down in potable water at a temperature of 17  deg.C to

[[Page 219]]

27  deg.C (63  deg.F to 81  deg.F) to a crown depth of 305 mm 
25 mm (12 in. 1 in.) for 4 to 24 hours prior to 
testing.



Sec. 1203.9  Test headforms.

    The headforms used for testing shall be selected from sizes A, E, J, 
M, and O, as defined by DRAFT ISO/DIS 6220-1983, in accordance with 
Sec. 1203.10. Headforms used for impact testing shall be rigid and be 
constructed of low-resonance K-1A magnesium alloy.



Sec. 1203.10  Selecting the test headform.

    A helmet shall be tested on the smallest of the headforms 
appropriate for the helmet sample. A headform size is appropriate for a 
helmet if all of the helmet's sizing pads are partially compressed when 
the helmet is equipped with its thickest sizing pads and positioned 
correctly on the reference headform.



Sec. 1203.11  Marking the impact test line.

    Prior to testing, the impact test line shall be determined for each 
helmet in the following manner.
    (a) Position the helmet on the appropriate headform as specified by 
the manufacturer's helmet positioning index (HPI), with the brow 
parallel to the basic plane. Place a 5-kg (11-lb) preload ballast on top 
of the helmet to set the comfort or fit padding.
    (b) Draw the impact test line on the outer surface of the helmet 
coinciding with the intersection of the surface of the helmet with the 
impact line planes defined from the reference headform as shown in:
    (1) Figure 4 of this part for helmets intended only for persons 5 
years of age and older.
    (2) Figure 5 of this part for helmets intended for persons age 1 and 
older.
    (c) The center of the impact sites shall be selected at any point on 
the helmet on or above the impact test line.



Sec. 1203.12  Test requirements.

    (a) Peripheral vision. All bicycle helmets shall allow unobstructed 
vision through a minimum of 105 deg. to the left and right sides of the 
midsagittal plane when measured in accordance with Sec. 1203.14 of this 
standard.
    (b) Positional stability. No bicycle helmet shall come off of the 
test headform when tested in accordance with Sec. 1203.15 of this 
standard.
    (c) Dynamic strength of retention system. All bicycle helmets shall 
have a retention system that will remain intact without elongating more 
than 30 mm (1.2 in.) when tested in accordance with Sec. 1203.16 of this 
standard.
    (d) Impact attenuation criteria.
    (1) General. A helmet fails the impact attenuation performance test 
of this standard if a failure under paragraph (d)(2) of this section can 
be induced under any combination of impact site, anvil type, anvil 
impact order, or conditioning environment permissible under the 
standard, either with or without any attachments, or combinations of 
attachments, that are provided with the helmet. Thus, the Commission 
will test for a ``worst case'' combination of test parameters. What 
constitutes a worst case may vary, depending on the particular helmet 
involved.
    (2) Peak acceleration. The peak acceleration of any impact shall not 
exceed 300 g when the helmet is tested in accordance with Sec. 1203.17 
of this standard.



Sec. 1203.13  Test schedule.

    (a) Helmet sample 1 of the set of eight helmets, as designated in 
Table 1203.13, shall be tested for peripheral vision in accordance with 
Sec. 1203.14 of this standard.
    (b) Helmet samples 1 through 8, as designated in Table 1203.13, 
shall be conditioned in the ambient, high temperature, low temperature, 
and water immersion environments as follows: helmets 1 and 5--ambient; 
helmets 2 and 7--high temperature; helmets 3 and 6--low temperature; and 
helmets 4 and 8--water immersion.
    (c) Testing must begin within 2 minutes after the helmet is removed 
from the conditioning environment. The helmet shall be returned to the 
conditioning environment within 3 minutes after it was removed, and 
shall remain in the conditioning environment for a minimum of 2 minutes 
before testing is resumed. If the helmet is out of the conditioning 
environment beyond 3 minutes, testing shall not resume until the helmet 
has been reconditioned for a period equal to at least 5 minutes for

[[Page 220]]

each minute the helmet was out of the conditioning environment beyond 
the first 3 minutes, or for 4 hours, (whichever reconditioning time is 
shorter) before testing is resumed.
    (d) Prior to being tested for impact attenuation, helmets 1-4 
(conditioned in ambient, high temperature, low temperature, and water 
immersion environments, respectively) shall be tested in accordance with 
the dynamic retention system strength test at Sec. 1203.16. Helmets 1-4 
shall then be tested in accordance with the impact attenuation tests on 
the flat and hemispherical anvils in accordance with the procedure at 
Sec. 1203.17. Helmet 5 (ambient-conditioned) shall be tested in 
accordance with the positional stability tests at Sec. 1203.15 prior to 
impact testing. Helmets 5-8 shall then be tested in accordance with the 
impact attenuation tests on the curbstone anvil in accordance with 
Sec. 1203.17. Table 1203.13 summarizes the test schedule.

                                          Table 1203.13--Test Schedule
----------------------------------------------------------------------------------------------------------------
                                                                 Sec.  1203.16     Sec.  1203.17 Impact tests
                                   Sec.  1203.14  Sec.  1203.15    Retention   ---------------------------------
                                     Peripheral     Positional       system                           Number of
                                       vision       stability       strength           Anvil           Impacts
----------------------------------------------------------------------------------------------------------------
Helmet 1, Ambient................             X   .............             X   X Flat............            2
                                                                                X Hemi............            2
Helmet 2, High Temperature.......  .............  .............             X   X Flat............            2
                                                                                X Hemi............            2
Helmet 3, Low Temperature........  .............  .............             X   X Flat............            2
                                                                                X Hemi............            2
Helmet 4, Water Immersion........  .............  .............             X   X Flat............            2
                                                                                X Hemi............            2
Helmet 5, Ambient................  .............             X   .............  X Curb............            1
Helmet 6, Low Temperature........  .............  .............  .............  X Curb............            1
Helmet 7, High Temperature.......  .............  .............  .............  X Curb............            1
Helmet 8, Water Immersion........  .............  .............  .............  X Curb............            1
----------------------------------------------------------------------------------------------------------------



Sec. 1203.14  Peripheral vision test.

    Position the helmet on a reference headform in accordance with the 
HPI and place a 5-kg (11-lb) preload ballast on top of the helmet to set 
the comfort or fit padding. (Note: Peripheral vision clearance may be 
determined when the helmet is positioned for marking the test lines.) 
Peripheral vision is measured horizontally from each side of the 
midsagittal plane around the point K (see Figure 6 of this part). Point 
K is located on the front surface of the reference headform at the 
intersection of the basic and midsagittal planes. The vision shall not 
be obstructed within 105 degrees from point K on each side of the 
midsagittal plane.



Sec. 1203.15  Positional stability test (roll-off resistance).

    (a) Test equipment.
    (1) Headforms. The test headforms shall comply with the dimensions 
of the full chin ISO reference headforms sizes A, E, J, M, and O.
    (2) Test fixture. The headform shall be secured in a test fixture 
with the headform's vertical axis pointing downward and 45 degrees to 
the direction of gravity (see Figure 7 of this part). The test fixture 
shall permit rotation of the headform about its vertical axis and 
include means to lock the headform in the face up and face down 
positions.
    (3) Dynamic impact apparatus. A dynamic impact apparatus shall be 
used to apply a shock load to a helmet secured to the test headform. The 
dynamic impact apparatus shall allow a 4-kg (8.8-lb) drop weight to 
slide in a guided free fall to impact a rigid stop anvil (see Figure 7 
of this part). The entire mass of the dynamic impact assembly, including 
the drop weight, shall be no more than 5 kg (11 lb).
    (4) Strap or cable. A hook and flexible strap or cable shall be used 
to connect the dynamic impact apparatus to the helmet. The strap or 
cable shall be of a material having an elongation of no more than 5 mm 
(0.20 in.) per 300 mm (11.8 in.) when loaded with a 22-kg (48.5 lb) 
weight in a free hanging position.
    (b) Test procedure.

[[Page 221]]

    (1) Orient the headform so that its face is down, and lock it in 
that orientation.
    (2) Place the helmet on the appropriate size full chin headform in 
accordance with the HPI and fasten the retention system in accordance 
with the manufacturer's instructions. Adjust the straps to remove any 
slack.
    (3) Suspend the dynamic impact system from the helmet by positioning 
the flexible strap over the helmet along the midsagittal plane and 
attaching the hook over the edge of the helmet as shown in Figure 7 of 
this part.
    (4) Raise the drop weight to a height of 0.6 m (2 ft) from the stop 
anvil and release it, so that it impacts the stop anvil.
    (5) The test shall be repeated with the headform's face pointing 
upwards, so that the helmet is pulled from front to rear.



Sec. 1203.16  Dynamic strength of retention system test.

    (a) Test equipment.
    (1) ISO headforms without the lower chin portion shall be used.
    (2) The retention system strength test equipment shall consist of a 
dynamic impact apparatus that allows a 4-kg (8.8-lb) drop weight to 
slide in a guided free fall to impact a rigid stop anvil (see Figure 8 
of this part). Two cylindrical rollers that spin freely, with a diameter 
of 12.50.5 mm (0.49 in.0.02 in.) and a center-
to-center distance of 76.01 mm (3.00.04 in.), 
shall make up a stirrup that represents the bone structure of the lower 
jaw. The entire dynamic test apparatus hangs freely on the retention 
system. The entire mass of the support assembly, including the 4-kg 
(8.8-lb) drop weight, shall be 11 kg0.5 kg (24.2 
lb1.1 lb).
    (b) Test procedure.
    (1) Place the helmet on the appropriate size headform on the test 
device according to the HPI. Fasten the strap of the retention system 
under the stirrup.
    (2) Mark the pre-test position of the retention system, with the 
entire dynamic test apparatus hanging freely on the retention system.
    (3) Raise the 4-kg (8.8-lb) drop weight to a height of 0.6 m (2 ft) 
from the stop anvil and release it, so that it impacts the stop anvil.
    (4) Record the maximum elongation of the retention system during the 
impact. A marker system or a displacement transducer, as shown in Figure 
8 of this part, are two methods of measuring the elongation.



Sec. 1203.17  Impact attenuation test.

    (a) Impact test instruments and equipment.
    (1) Measurement of impact attenuation. Impact attenuation is 
determined by measuring the acceleration of the test headform during 
impact. Acceleration is measured with a uniaxial accelerometer that is 
capable of withstanding a shock of at least 1000 g. The helmet is 
secured onto the headform and dropped in a guided free fall, using a 
monorail or guidewire test apparatus (see Figure 9 of this part), onto 
an anvil fixed to a rigid base. The center of the anvil shall be aligned 
with the center vertical axis of the accelerometer. The base shall 
consist of a solid mass of at least 135 kg (298 lb), the upper surface 
of which shall consist of a steel plate at least 12 mm (0.47 in.) thick 
and having a surface area of at least 0.10 m\2\ (1.08 ft\2\).
    (2) Accelerometer. A uniaxial accelerometer shall be mounted at the 
center of gravity of the test headform, with the sensitive axis aligned 
within 5 degrees of vertical when the test headform is in the impact 
position. The acceleration data channel and filtering shall comply with 
SAE Recommended Practice J211 OCT88, Instrumentation for Impact Tests, 
Requirements for Channel Class 1000.
    (3) Headform and drop assembly--centers of gravity. The center of 
gravity of the test headform shall be at the center of the mounting ball 
on the support assembly and within an inverted cone having its axis 
vertical and a 10-degree included angle with the vertex at the point of 
impact. The location of the center of gravity of the drop assembly 
(combined test headform and support assembly) must meet the 
specifications of Federal Motor Vehicle Safety Standard No. 218, 
Motorcycle Helmets, 49 CFR 571.218 (S7.1.8). The center of gravity of 
the drop assembly shall lie within the rectangular volume bounded by

[[Page 222]]

x=-6.4 mm (-0.25 in.), x=21.6 mm (0.85 in.), y=6.4 mm (0.25 in.), and 
y=-6.4 mm (-0.25 in.), with the origin located at the center of gravity 
of the test headform. The origin of the coordinate axes is at the center 
of the mounting ball on the support assembly. The rectangular volume has 
no boundary along the z-axis. The positive z-axis is downward. The x-y-z 
axes are mutually perpendicular and have positive or negative 
designations as shown in Figure 10 of this part. Figure 10 shows an 
overhead view of the x-y boundary of the drop assembly center of 
gravity.
    (4) Drop assembly. The combined mass of the drop assembly, which 
consists of instrumented test headform and support assembly (excluding 
the test helmet), shall be 5.00.1 kg (11.000.22 
lb).
    (5) Impact anvils. Impact tests shall be performed against the three 
different solid (i.e., without internal cavities) steel anvils described 
in this paragraph (a)(5).
    (i) Flat anvil. The flat anvil shall have a flat surface with an 
impact face having a minimum diameter of 125 mm (4.92 in.). It shall be 
at least 24 mm (0.94 in.) thick (see Figure 11 of this part).
    (ii) Hemispherical anvil. The hemispherical anvil shall have a 
hemispherical impact surface with a radius of 481 mm 
(1.890.04 in.) (see Figure 12 of this part).
    (iii) Curbstone anvil. The curbstone anvil shall have two flat faces 
making an angle of 105 degrees and meeting along a striking edge having 
a radius of 15 mm0.5 mm (0.590.02 in.). The 
height of the curbstone anvil shall not be less than 50 mm (1.97 in.), 
and the length shall not be less than 200 mm (7.87 in.) (see Figure 13 
of this part).
    (b) Test Procedure.
    (1) Instrument system check (precision and accuracy). The impact-
attenuation test instrumentation shall be checked before and after each 
series of tests (at least at the beginning and end of each test day) by 
dropping a spherical impactor onto an elastomeric test medium (MEP). The 
spherical impactor shall be a 146 mm (5.75 in.) diameter aluminum sphere 
that is mounted on the ball-arm connector of the drop assembly. The 
total mass of the spherical-impactor drop assembly shall be 
5.00.1 kg (11.00.22 lb). The MEP shall be 152 mm 
(6 in.) in diameter and 25 mm (1 in.) thick, and shall have a durometer 
of 602 Shore A. The MEP shall be affixed to the top surface 
of a flat 6.35 mm (\1/4\ in.) thick aluminum plate. The geometric center 
of the MEP pad shall be aligned with the center vertical axis of the 
accelerometer (see paragraph (a)(2) of this section). The impactor shall 
be dropped onto the MEP at an impact velocity of 5.44 m/s2%. 
(Typically, this requires a minimum drop height of 1.50 meters (4.9 ft) 
plus a height adjustment to account for friction losses.) Six impacts, 
at intervals of 7515 seconds, shall be performed at the 
beginning and end of the test series (at a minimum at the beginning and 
end of each test day). The first three of six impacts shall be 
considered warm-up drops, and their impact values shall be discarded 
from the series. The second three impacts shall be recorded. All 
recorded impacts shall fall within the range of 380 g to 425 g. In 
addition, the difference between the high and low values of the three 
recorded impacts shall not be greater than 20 g.
    (2) Impact sites. Each of helmets 1 through 4 (one helmet for each 
conditioning environment) shall impact at four different sites, with two 
impacts on the flat anvil and two impacts on the hemispherical anvil. 
The center of any impact may be anywhere on or above the test line, 
provided it is at least 120 mm (4.72 in), measured on the surface of the 
helmet, from any prior impact center. Each of helmets 5 through 8 (one 
helmet for each conditioning environment) shall impact at one site on 
the curbstone anvil. The center of the curbstone impacts may be on or 
anywhere above the test line. The curbstone anvil may be placed in any 
orientation as long as the center of the anvil is aligned with the axis 
of the accelerometer. As noted in Sec. 1203.12(d)(1), impact sites, the 
order of anvil use (flat and hemispherical), and curbstone anvil sites 
and orientation shall be chosen by the test personnel to provide the 
most severe test for the helmet. Rivets and other mechanical fasteners, 
vents, and any other helmet feature within the test region are valid 
test sites.

[[Page 223]]

    (3) Impact velocity. The helmet shall be dropped onto the flat anvil 
with an impact velocity of 6.2 m/s3% (20.34 ft/
s3%). (Typically, this requires a minimum drop height of 2 
meters (6.56 ft), plus a height adjustment to account for friction 
losses.) The helmet shall be dropped onto the hemispherical and 
curbstone anvils with an impact velocity of 4.8 m/s3% (15.75 
ft/s3%). (Typically, this requires a minimum drop height of 
1.2 meters (3.94 ft), plus a height adjustment to account for friction 
losses.) The impact velocity shall be measured during the last 40 mm 
(1.57 in) of free-fall for each test.
    (4) Helmet position. Prior to each test, the helmet shall be 
positioned on the test headform in accordance with the HPI. The helmet 
shall be secured so that it does not shift position prior to impact. The 
helmet retention system shall be secured in a manner that does not 
interfere with free-fall or impact.
    (5) Data. Record the maximum acceleration in g's during impact. See 
Subpart C, Sec. 1203.41(b).



                        Subpart B--Certification



Sec. 1203.30  Purpose, basis, and scope.

    (a) Purpose. The purpose of this subpart is to establish 
requirements that manufacturers and importers of bicycle helmets subject 
to the Safety Standard for Bicycle Helmets (subpart A of this part 1203) 
shall issue certificates of compliance in the form specified.
    (b) Basis. Section 14(a)(1) of the Consumer Product Safety Act 
(CPSA), 15 U.S.C. 2063(a)(1), requires every manufacturer (including 
importers) and private labeler of a product which is subject to a 
consumer product safety standard to issue a certificate that the product 
conforms to the applicable standard. Section 14(a)(1) further requires 
that the certificate be based either on a test of each product or on a 
``reasonable testing program.'' The Commission may, by rule, designate 
one or more of the manufacturers and private labelers as the persons who 
shall issue the required certificate. 15 U.S.C. 2063(a)(2).
    (c) Scope. The provisions of this subpart apply to all bicycle 
helmets that are subject to the requirements of the Safety Standard for 
Bicycle Helmets, subpart A of this part 1203.



Sec. 1203.31  Applicability date.

    All bicycle helmets manufactured on or after March 11, 1999, must 
meet the standard and must be certified as complying with the standard 
in accordance with this subpart B.



Sec. 1203.32  Definitions.

    The following definitions shall apply to this subpart:
    (a) Foreign manufacturer means an entity that manufactured a bicycle 
helmet outside the United States, as defined in 15 2052(a)(10) and (14).
    (b) Manufacturer means the entity that either manufactured a helmet 
in the United States or imported a helmet manufactured outside the 
United States.
    (c) Private labeler means an owner of a brand or trademark that is 
used on a bicycle helmet subject to the standard and that is not the 
brand or trademark of the manufacturer of the bicycle helmet, provided 
the owner of the brand or trademark caused, authorized, or approved its 
use.
    (d) Production lot means a quantity of bicycle helmets from which 
certain bicycle helmets are selected for testing prior to certifying the 
lot. All bicycle helmets in a lot must be essentially identical in those 
design, construction, and material features that relate to the ability 
of a bicycle helmet to comply with the standard.
    (e) Reasonable testing program means any tests which are identical 
or equivalent to, or more stringent than, the tests defined in the 
standard and which are performed on one or more bicycle helmets selected 
from the production lot to determine whether there is reasonable 
assurance that all of the bicycle helmets in that lot comply with the 
requirements of the standard.



Sec. 1203.33  Certification testing.

    (a) General. Manufacturers, as defined in Sec. 1203.32(b) to include 
importers, shall conduct a reasonable testing program to demonstrate 
that their bicycle helmets comply with the requirements of the standard.

[[Page 224]]

    (b) Reasonable testing program. This paragraph provides guidance for 
establishing a reasonable testing program.
    (1) Within the requirements set forth in this paragraph (b), 
manufacturers and importers may define their own reasonable testing 
programs. Reasonable testing programs may, at the option of 
manufacturers and importers, be conducted by an independent third party 
qualified to perform such testing programs. However, manufacturers and 
importers are responsible for ensuring compliance with all requirements 
of the standard in subpart A of this part.
    (2) As part of the reasonable testing program, the bicycle helmets 
shall be divided into production lots, and sample bicycle helmets from 
each production lot shall be tested. Whenever there is a change in 
parts, suppliers of parts, or production methods, and the change could 
affect the ability of the bicycle helmet to comply with the requirements 
of the standard, the manufacturer shall establish a new production lot 
for testing.
    (3) The Commission will test for compliance with the standard by 
using the standard's test procedures. However, a reasonable testing 
program need not be identical to the tests prescribed in the standard.
    (4) If the reasonable testing program shows that a bicycle helmet 
may not comply with one or more requirements of the standard, no bicycle 
helmet in the production lot can be certified as complying until 
sufficient actions are taken that it is reasonably likely that no 
noncomplying bicycle helmets remain in the production lot. All 
identified noncomplying helmets in the lot must be destroyed or altered 
by repair, redesign, or use of a different material or component, to the 
extent necessary to make them conform to the standard.
    (5) The sale or offering for sale of a bicycle helmet that does not 
comply with the standard is a prohibited act and a violation of section 
19(a) of the CPSA (15 U.S.C. 2068(a)), regardless of whether the bicycle 
helmet has been validly certified.



Sec. 1203.34  Product certification and labeling by manufacturers (including importers).

    (a) Form of permanent label of certification. Manufacturers, as 
defined in Sec. 1203.32(a), shall issue certificates of compliance for 
bicycle helmets manufactured after March 11, 1999, in the form of a 
durable, legible, and readily visible label meeting the requirements of 
this section. This label is the helmet's certificate of compliance, as 
that term is used in section 14 of the CPSA, 15 U.S.C. 2063.
    (b) Contents of certification label. The certification labels 
required by this section shall contain the following:
    (1) The statement ``Complies with U.S. CPSC Safety Standard for 
Bicycle Helmets for Persons Age 5 and Older'' or ``Complies with U.S. 
CPSC Safety Standard for Bicycle Helmets for Persons Age 1 and Older 
(Extended Head Coverage)'', as appropriate; this label may spell out 
``U.S. Consumer Product Safety Commission'' instead of ``U.S. CPSC'';
    (2) The name of the U.S. manufacturer or importer responsible for 
issuing the certificate or the name of a private labeler;
    (3) The address of the U.S. manufacturer or importer responsible for 
issuing the certificate or, if the name of a private labeler is on the 
label, the address of the private labeler;
    (4) The name and address of the foreign manufacturer, if the helmet 
was manufactured outside the United States;
    (5) The telephone number of the U.S. manufacturer or importer 
responsible for issuing the certificate or, if the name of a private 
labeler is on the label, the telephone number of the private labeler;
    (6) An identification of the production lot; and
    (7) The uncoded month and year the product was manufactured.
    (c) Coding. (1) The information required by paragraphs (b)(4) and 
(b)(6) of this section, and the information referred to in paragraph 
(c)(2) of this section, may be in code, provided:
    (i) The person or firm issuing the certificate maintains a written 
record of

[[Page 225]]

the meaning of each symbol used in the code, and
    (ii) The record shall be made available to the distributor, 
retailer, consumer, and Commission upon request.
    (2) A serial number may be used in place of a production lot 
identification on the helmet if it can serve as a code to identify the 
production lot. If a bicycle helmet is manufactured for sale by a 
private labeler, and if the name of the private labeler is on the 
certification label, the name of the manufacturer or importer issuing 
the certificate, and the name and address of any foreign manufacturer, 
may also be in code.
    (d) Placement of the label(s). The information required by 
paragraphs (b)(2), (b)(3), and (b)(5) of this section must be on one 
label. The other required information may be on separate labels. The 
label(s) required by this section must be affixed to the bicycle helmet. 
If the label(s) are not immediately visible to the ultimate purchaser of 
the bicycle helmet prior to purchase because of packaging or other 
marketing practices, a second label is required. That label shall state, 
as appropriate, ``Complies with U.S. CPSC Safety Standard for Bicycle 
Helmets for Persons Age 5 and Older'', or ``Complies with U.S. CPSC 
Safety Standard for Bicycle Helmets for Persons Age 1 and Older 
(Extended Head Coverage)''. The label shall be legible, readily visible, 
and placed on the main display panel of the packaging or, if the 
packaging is not visible before purchase (e.g., catalog sales), on the 
promotional material used with the sale of the bicycle helmet. This 
label may spell out ``U.S. Consumer Product Safety Commission'' instead 
of ``U.S. CPSC.''
    (e) Additional provisions for importers.
    (1) General. The importer of any bicycle helmet subject to the 
standard in subpart A of this part 1203 must issue the certificate of 
compliance required by section 14(a) of the CPSA and this section. If a 
reasonable testing program meeting the requirements of this subpart has 
been performed by or for the foreign manufacturer of the product, the 
importer may rely in good faith on such tests to support the certificate 
of compliance, provided:
    (i) The importer is a resident of the United States or has a 
resident agent in the United States,
    (ii) There are records of such tests required by Sec. 1203.41 of 
subpart C of this part, and
    (iii) Such records are available to the Commission within 48 hours 
of a request to the importer.
    (2) Responsibility of importers. Importers that rely on tests by the 
foreign manufacturer to support the certificate of compliance shall--in 
addition to complying with paragraph (e)(1) of this section--examine the 
records supplied by the manufacturer to determine that they comply with 
Sec. 1203.41 of subpart C of this part.



                        Subpart C--Recordkeeping



Sec. 1203.40  Effective date.

    This subpart is effective March 10, 1999, and applies to bicycle 
helmets manufactured after that date.



Sec. 1203.41  Recordkeeping requirements.

    (a) General. Every person issuing certificates of compliance for 
bicycle helmets subject to the standard in subpart A of this part shall 
maintain records which show that the certificates are based on a 
reasonable testing program. The records shall be maintained for a period 
of at least 3 years from the date of certification of the last bicycle 
helmet in each production lot. These records shall be available, upon 
request, to any designated officer or employee of the Commission, in 
accordance with section 16(b) of the CPSA, 15 U.S.C. 2065(b). If the 
records are not physically available during the inspection because they 
are maintained at another location, the firm must provide them to the 
staff within 48 hours.
    (b) Records of helmet tests. Complete test records shall be 
maintained. These records shall contain the following information.
    (1) An identification of the bicycle helmets tested;
    (2) An identification of the production lot;
    (3) The results of the tests, including the precise nature of any 
failures;
    (4) A description of the specific actions taken to address any 
failures;

[[Page 226]]

    (5) A detailed description of the tests, including the helmet 
positioning index (HPI) used to define the proper position of the helmet 
on the headform;
    (6) The manufacturer's name and address;
    (7) The model and size of each helmet tested;
    (8) Identifying information for each helmet tested, including the 
production lot for each helmet;
    (9) The environmental condition under which each helmet was tested, 
the duration of the helmet's conditioning, the temperatures in each 
conditioning environment, and the relative humidity and temperature of 
the laboratory;
    (10) The peripheral vision clearance;
    (11) A description of any failures to conform to any of the labeling 
and instruction requirements;
    (12) Performance impact results, stating the precise location of 
impact, type of anvil used, velocity prior to impact, and maximum 
acceleration measured in g's;
    (13) The results of the positional stability test;
    (14) The results of the dynamic strength of retention system test;
    (15) The name and location of the test laboratory;
    (16) The name of the person(s) who performed the test;
    (17) The date of the test; and
    (18) The system check results.
    (c) Format for records. The records required to be maintained by 
this section may be in any appropriate form or format that clearly 
provides the required information. Certification test results may be 
kept on paper, microfiche, computer disk, or other retrievable media. 
Where records are kept on computer disk or other retrievable media, the 
records shall be made available to the Commission on paper copies, or 
via electronic mail in the same format as paper copies, upon request.



Subpart D--Requirements For Bicycle Helmets Manufactured From March 17, 
                      1995, Through March 10, 1999



Sec. 1203.51  Purpose and basis.

    The purpose and basis of this subpart is to protect bicyclists from 
head injuries by ensuring that bicycle helmets comply with the 
requirements of appropriate existing voluntary standards, as provided in 
15 U.S.C. 6004(a).



Sec. 1203.52  Scope and effective date.

    (a) This subpart D is effective March 17, 1995, except for 
Sec. 1203.53(a)(8), which is effective March 10, 1998. This subpart D 
shall apply to bicycle helmets manufactured from March 17, 1995, through 
March 10, 1999, inclusive. Such bicycle helmets shall comply with the 
requirements of one of the standards specified in Sec. 1203.53. This 
subpart shall be considered a consumer product safety standard issued 
under the Consumer Product Safety Act.
    (b) The term ``bicycle helmet'' is defined at Sec. 1203.4(b).
    (c) These interim mandatory safety standards will not apply to 
bicycle helmets manufactured after March 10, 1999. Those helmets are 
subject to the requirements of Subparts A through C of this part 1203.



Sec. 1203.53  Interim safety standards.

    (a) Bicycle helmets must comply with one or more of the following 
standards. The standards in paragraphs (a)(1) through (a)(7) of this 
section are incorporated herein by reference:
    (1) American National Standards Institute (ANSI) standard Z90.4-
1984, Protective Headgear for Bicyclists,
    (2) ASTM standards F 1447-93 or F 1447-94, Standard Specification 
for Protective Headgear Used in Bicycling, incorporating the relevant 
provisions of ASTM F 1446-93 or ASTM F 1446-94, Standard Test Methods 
for Equipment and Procedures Used in Evaluating the Performance 
Characteristics of Protective Headgear, respectively,
    (3) Canadian Standards Association standard, Cycling Helmets--CAN/
CSA-D113.2-M89,
    (4) Snell Memorial Foundation (Snell) 1990 Standard for Protective 
Headgear for Use in Bicycling (designation B-90),
    ( 5) Snell 1990 Standard for Protective Headgear for Use in 
Bicycling, including March 9, 1994 Supplement (designation B-90S),
    (6) Snell 1994 Standard for Protective Headgear for Use in Non-
Motorized Sports (designation N-94), or

[[Page 227]]

    (7) Snell 1995 standard for Protective Headgear for Use with 
Bicycles B-95.
    (8) Subparts A through C of this part 1203.
    (b) The incorporation by reference of the standards listed in 
paragraphs (a)(1) through (a)(7) are approved by the Director of the 
Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. 
Copies of the standards may be obtained as follows. Copies of the ANSI 
Z90.4 standard are available from: American National Standards 
Institute, 11 W. 42nd Street, 13th Floor, New York, NY 10036. Copies of 
the ASTM standards are available from: ASTM, 100 Barr Harbor Drive, West 
Conshohocken, PA 19428-2959. Copies of the Canadian Standards 
Association CAN/CSA-D113.2-M89 standard are available from: CSA, 178 
Rexdale Boulevard, Rexdale (Toronto), Ontario, Canada, M9W 1R3. Copies 
of the Snell standards are available from: Snell Memorial Foundation, 
Inc., 6731-A 32nd Street, North Highlands, CA 95660. Copies may be 
inspected at the Office of the Secretary, Consumer Product Safety 
Commission, 4330 East-West Highway, Bethesda, Maryland 20814, or at the 
Office of the Federal Register, 800 N. Capitol Street NW, Room 700, 
Washington, DC.

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PART 1204--SAFETY STANDARD FOR OMNIDIRECTIONAL CITIZENS BAND BASE STATION ANTENNAS--Table of Contents




                         Subpart A--The Standard

Sec.
1204.1 Scope of the standard.
1204.2 Definitions.
1204.3 Requirements.
1204.4 Electric shock protection tests.
1204.5 Manufacturer's instructions.
1204.6 Findings.

                        Subpart B--Certification

1204.11 General.
1204.12 Definitions.
1204.13 Certificate of compliance.
1204.14 Certification tests.
1204.15 Qualification testing.
1204.16 Production testing.
1204.17 Records.

Figures 1 through 4

    Authority: Secs. 2, 3, 5, 7, 9, 14, 16, 19, 25, Pub. L. 92-573, 86 
Stat. 1207, 1208, 1211-17, 1220, as amended Pub. L. 95-319, sec. 1, 92 
Stat. 386, Pub. L. 94-284, 90 Stat. 503; 15 U.S.C. 2051, 2052, 2054, 
2056, 2058, 2063, 2065, 2068, 2074.

    Source: 47 FR 36201, Aug. 19, 1982, unless otherwise noted.



                         Subpart A--The Standard



Sec. 1204.1  Scope of the standard.

    (a) General. This subpart A of part 1204 is a consumer product 
safety standard which prescribes safety requirements for Citizens Band 
omnidirectional base station antennas. The standard is intended to 
reduce the risk of electrocution or serious injuries occurring if the 
antenna contacts an electric power line while the antenna is being put 
up or taken down. One way that this can be accomplished is to insulate 
the antenna so that if it contacts the power line, there is less of a 
likelihood that a harmful electric current will be transmitted from the 
power line through the antenna and mast and ultimately through a person 
holding the antenna mast. Another possible way to provide this 
protection is to incorporate an insulating barrier between the antenna 
and the mast or other supporting structure, so that a harmful electric 
current will not pass from the antenna to a person in contact with the 
mast. (If this alternative were chosen, the feed cable from the antenna 
would have to be insulated or otherwise protected so that it would not 
provide an electrical path to the mast or a person touching the cable.)
    (b) Description of the standard--(1) Performance tests. The standard 
describes two performance tests to determine if the means chosen by the 
manufacturer to protect against the shock hazard will provide adequate 
protection.
    (i) First, there is an Insulating Material Effectiveness Test 
(Sec. 1204.4(d) of this subpart) in which a high voltage electrode or 
test rod is brought into contact with the antenna at any point within 
the protection zone established by Sec. 1204.2(k) of this subpart to 
ensure that the insulation can withstand the voltage for 5 minutes 
without transmitting more than 5 milliamperes (mA) root-mean-square 
(rms) of electric current.
    (ii) The other test is an Antenna-Mast System Test (Sec. 1204.4(e) 
of this subpart) which is intended to determine whether the means 
provided to protect against electrocution will withstand the stress 
imposed when an antenna-mast system falls onto a power line. This test 
consists of mounting the antenna to be tested on a specified mast and 
allowing the assembled antenna and mast to fall onto a power line of 
14,500 volts rms phase to ground.
    (2) Recommended materials. (i) Since a substantial portion of the 
accidents addressed by this standard occur when the antenna is being 
taken down after it has been installed in an outdoor environment for a 
number of years, the materials selected to provide protection from shock 
should be weather resistant.
    (ii) Although other materials may also be suitable, materials 
meeting the following criteria should be reasonably weather resistant:
    (A) Material composition includes an ultraviolet stabilizer or 
screen.
    (B) Heat resistance of 212  deg.F (100  deg.C) without loss of 
elasticity (ANSI/ASTM D 746-79).
    (C) Moisture absorption of not more than 0.2 percent (ANSI/ASTM D 
570-77).
    (D) For heat shrinkable sleeving, temperature flexibility to -40 
deg.F (-40  deg.C) with no cracks (Mil Spec. MIL-I-23053C, 20 May 1976).

[[Page 240]]

    (3) Warning: Section 1204.5 of this subpart requires a statement in 
the instructions that the standard will not protect in every instance 
against electrocution caused by contact with power lines. This is 
because the standard is intended to provide protection for power line 
voltages of up to 14,500 volts. Some power lines carry more voltage than 
this. In addition, not all portions of the antenna are required to be 
insulated, and the antenna's mast is not required to be insulated. If 
the power line were to contact one of these uninsulated areas, an 
electrocution could occur. Furthermore, when the antenna was 
manufactured it may not in fact have complied with the standard, or the 
insulation may have deteriorated or been damaged since the antenna was 
manufactured. In addition, the insulation cannot withstand high voltages 
indefinitely, and, after a period of time, the current may penetrate the 
insulation. Therefore, even if a harmful amount of current is not 
transmitted immediately, the user should not attempt to remove an 
antenna that falls into electric power lines, since the insulation could 
break down while the antenna is being removed. For these reasons, 
persons handling these antennas should ensure that the antennas are kept 
away from power lines so that the antenna cannot contact the line while 
being transported, installed, or removed, even if the antenna is 
dropped. The Commission recommends that antennas be located at least 
twice the combined length of the antenna and mast from the nearest power 
line.
    (c) Scope. (1) Except as noted below, the standard applies to all 
omnidirectional CB base station antennas that are consumer products and 
are manufactured or imported on or after May 24, 1983.
    (2) The Commission may extend the effective date of the standard for 
as long as an additional 90 days for any firm which has 750 employees or 
fewer and, is not a subsidiary or division of a firm having more than 
750 employees, and which manufactures or imports products subject to the 
standard, upon written application, addressed to the Associate Executive 
Director for Compliance and Administrative litigation, Consumer Product 
Safety Commission, Washington, D.C. 20207, received not later than 
January 17, 1983. An application for extension of the effective date 
shall:
    (i) Identify the requesting firm as a manufacturer or importer of 
products subject to the standard.
    (ii) State the total number of employees of the firm, including all 
employees of any subsidiary or division, and all employees of any firm 
of which the requesting firm is a subsidiary or division.
    (iii) Request extension of the effective date to a specific date not 
later than May 27, 1983.
    (iv) Explain why the requested extension of the effective date is 
needed.
    (v) Describe all activities undertaken by the requesting firm to 
achieve compliance with the requirements of the standard.
    (vi) State that the requesting firm will market complying products 
after the extended effective date.
    (3) The Associate Executive Director for Compliance and 
Administrative Litigation will evaluate each request for extension of 
the effective date. The following criteria will be used in determining 
whether to grant an application for extension of the effective date:
    (i) Does the application demonstrate that the requesting firm cannot 
meet the general effective date,
    (ii) Does the application demonstrate that the requesting firm has 
made a good faith effort to achieve compliance with the requirements of 
the standard by the general effective date.
    (iii) Does the application demonstrate that the firm is likely to 
produce or market complying products if the requested extension is 
granted.
    (4) The Associate Executive Director will advise each requesting 
firm in writing if the requested extension is granted or denied. If the 
Associate Executive Director for Compliance and Administrative 
Litigation denies a request for extension of the effective date, the 
firm may request the Commission to reconsider the denial.
    (5) Section 3(a)(1) of the Consumer Product Safety Act (CPSA, 15 
U.S.C. 2052(a)(1) defines the term consumer product as an ``article, or 
component part thereof, produced or distributed (i)

[[Page 241]]

for sale to a consumer for use in or around a permanent or temporary 
household or residence, a school, in recreation, or otherwise, or (ii) 
for the personal use, consumption or enjoyment of a consumer in or 
around a permanent or temporary household or residence, a school, in 
recreation, or otherwise.'' The term does not include products that are 
not customarily produced or distributed for sale to, or for the use or 
consumption by, or enjoyment of, a consumer. A limited exception from 
coverage of the standard is provided by section 18(a) of the CPSA, 15 
U.S.C. 2067, for certain products intended for export and meeting the 
requirements of section 18(b) of the CPSA.
    (d) Prohibited acts. It is unlawful to manufacture for sale, offer 
for sale, distribute in commerce, or import into the United States any 
product subject to this standard that does not conform with the 
standard.

(Sec. 9(h), Pub. L. 92-573, 86 Stat. 1207, as amended, Pub. L. 95-319, 
92 Stat. 386, Pub. L. 95-631, 92 Stat. 3742, Pub. L. 96-373, 94 Stat. 
1366, Pub. L. 97-35, 95 Stat. 703, 15 U.S.C. 2058(h))

[47 FR 36201, Aug. 19, 1982, as amended at 48 FR 29683, June 28, 1983]



Sec. 1204.2  Definitions.

    In addition to the definitions given in section 3 of the Consumer 
Product Safety Act (15 U.S.C. 2052), the following definitions apply for 
the purposes of this standard.
    (a) Antenna system means a device for radiating and/or receiving 
radio waves. Where they are present, the antenna system includes active 
elements, ground plane elements, matching networks, element-connecting 
hardware, mounting hardware, feed cable, and other functional or non-
functional elements.
    (b) Antenna-mast system means the completed assembly of the antenna 
system and the mast.
    (c) Base station means a transmitter and/or receiver in a fixed 
location.
    (d) Citizens Band (CB) means the frequency band allocated for 
citizen's band radio service.
    (e) Current means the total rate at which electrical charge is 
transported through the antenna-mast system in response to the applied 
test voltage, including both capacitive and resistive components.
    (f) Electrical breakdown means a failure of the insulating material 
used with the antenna, such that in the Antenna-Mast System Test of 
Sec. 1204.4(e) of this subpart, the current flowing through the antenna-
mast system is sufficient to actuate the automatic internal cut-off of 
the high voltage source or exceeds the current that can be measured by 
the current monitoring device.
    (g) Feed cable means the electrical cable that connects the antenna 
system to the transmitter and/or receiver.
    (h) Field joint means any joint between antenna system sections or 
parts, or between the antenna system and the mast, that is not assembled 
by the antenna manufacturer.
    (i) Insulating material and insulation mean a material that has a 
very small electric conductivity.
    (j) Omnidirectional antenna means an antenna system designed or 
intended primarily to exhibit approximately equal signal transmission or 
reception capabilities in all horizontal directions simultaneously.
    (k) Protection zone means that portion of an antenna system which 
can contact the test rod during the Insulating Material Effectiveness 
Test or can contact the power line during the Antenna-Mast System Test. 
This zone consists of those elements of the antenna system extending 
from the uppermost tip of an upright antenna downward to a point that is 
12.0 inches (30.5 cm) above the top of the mast when the antenna system 
is mounted according to the manufacturer's instructions.
    (l) Voltage, phase to ground, means that voltage which exists 
between a single phase of a three phase power system and ground.



Sec. 1204.3  Requirements.

    All omnidirectional CB base station antennas are required to comply 
with the following requirements.
    (a) Field joints. Parts or accessories intended to protect a field 
joint so that it will meet any other requirement of this standard, and 
that must be put into place by the person assembling the

[[Page 242]]

antenna system, shall be integral with, or not readily removable from, 
at least one of the antenna sections or parts involved in the joint or 
shall be necessary in order to complete the joint.
    (b) Feed cable. When compliance with the requirements of this 
standard depends on the insulating or other properties of the feed 
cable, at least 50 feet of the cable shall be supplied by the 
manufacturer with the antenna system.
    (c) Electrical protection. Antenna systems shall be manufactured so 
that if all points within the protection zone of an antenna system were 
tested by the Insulating Material Effectiveness Test of Sec. 1204.4(d) 
of this subpart, and the Antenna-Mast System Test of Sec. 1204.4(e) of 
this subpart, the current measured by the current monitoring device 
connected to the mast would be no greater than 5.0 milliamperes rms and 
no electrical breakdown of the antenna system's insulating material 
would occur.



Sec. 1204.4  Electric shock protection tests.

    (a) Safety precautions. For tests involving high voltage, the 
following recommended minimum safety precautions should be followed:
    (1) At least one test operator and one test observer (preferably one 
with cardiopulmonary resusitation (CPR) training) should be present at 
every test.
    (2) The test area (outdoors or indoors) should secure against 
accidental intrusion by other persons during tests.
    (3) Test areas located indoors should be ventilated to avoid buildup 
of potentially hazardous concentrations of gaseous byproducts which may 
result from the tests.
    (4) Fire extinguishers should be easily accessible in case materials 
on the test specimen ignite.
    (5) ``High Voltage Test'' warning devices should be activated before 
start of a test.
    (6) Emergency phone numbers should be posted.
    (b) Test conditions. (1) Specimens. All specimens shall be tested as 
supplied by the manufacturer, following assembly in accordance with the 
manufacturer's instructions except as provided in paragraph (e)(2) of 
this section.
    (2) Temperature. Ambient temperature shall be in the range from 32 
deg.F (0  deg.C) to 104  deg.F (40  deg.C)
    (3) Relative humidity. Ambient relative humidity shall be in the 
range of from 10 to 90 percent.
    (4) Voltage. Voltage, phase to ground, of the power line or test 
probe shall be 14.5 kilovolts rms, 60 hertz.
    (5) Conditioning. Prior to testing, all specimens shall be exposed 
for at least 4 hours to the ambient test area environment.
    (c) Test equipment. (1) High voltage source capable of delivering at 
least 15 mA rms at 14.5 kV rms, 60 Hz. The source should have an 
automatic internal cut-off actuated by a preset current level.
    (2) Instrumentation to measure the rms voltage applied to the 
antenna system.
    (3) Current monitoring device to indicate hazardous components of 
the total rms current flowing to ground through the mast. One 
configuration of the circuitry for the current monitoring device (shown 
in Figure 1) consists of three parallel branches as follows. One branch 
consists of a resistor in series with a true-rms milliammeter with a 
maximum error of 5% of the reading in the frequency range of 50Hz to 
10MHz (the total of the resistor and the internal resistance of the 
milliammeter is to be 1000 ohms). A parallel branch consists of a 1000 
ohm resistor in series with a 0.08 microfarad capacitor. Another 
parallel branch should consist of a spark gap rated at 50 to 100 volts 
as a meter protection device. A different current monitoring device may 
be used if the measured value of the rms current corresponds to that 
indicated by the configuration described above.
    (4) For the Insulating Material Effectiveness Test:
    (i) High voltage electrode or test rod consisting of \1/4\ in. (6.4 
mm) diameter aluminum rod.
    (ii) Support jig, structure, or hanger made of insulating material 
which is capable of holding antenna system test specimens electrically 
isolated from all surrounding structures or ground.
    (5) For the Antenna-Mast System Test, a high voltage test facility, 
as

[[Page 243]]

shown in Figures 2 and 3, which includes a single power line spanning 
between two poles 95 to 105 feet (29 to 32 meters) apart, a tensioning 
device to adjust the cable sag to from 9 to 12 inches (23 to 30 cm), and 
a pivot fixture (Figure 2), for holding the base of an antenna-mast 
system, which can be moved horizontally to adjust the distance to the 
cable. The cable consists of \1/4\ in. diameter 7 by 19 galvanized steel 
aircraft cable. The low point of the cable shall be between 28 and 29 
feet (8.5 to 8.8 meters) above a horizontal plane through the pivot axis 
of the pivot fixture.
    (d) Insulating Material Effectiveness Test procedure. (1) A short 
piece of typical tubular mast shall be attached to the antenna system to 
be tested, in accordance with mounting instructions provided with the 
antenna system by the manufacturer.
    (2) If a feed cable is provided with the antenna system, it shall be 
used in the test. If no cable is provided with the antenna system, a RG-
213 cable shall be used in the test (Mil Spec. MIL-C-17/75C, 15 March 
1977). In either case, the cable shall be connected to the antenna 
system, installed parallel to the mast, and secured by taping or similar 
means at one point on the mast. The side of the bottom end of the cable 
also shall be secured to the mast.
    (3) With the antenna system properly supported and isolated from 
ground and with the current monitoring device connected to the mast, the 
test rod shall be connected to the high voltage source and brought into 
contact with the antenna system at any point within the protection zone 
(see Sec. 1204.2(k) of this subpart). For each contact point, the 
voltage shall be increased from 0 to 14.5 kV at a rate of at least 2 kV 
per second and held at 14.5 kV for 5.0 minutes. Current shall be 
monitored and the maximum recorded.
    (e) Antenna-Mast System Test procedure. (1) The antenna system to be 
tested shall be attached to a mast in accordance with mounting 
instructions provided by the manufacturer. The mast shall be assembled 
of commercially available 1\1/4\ inch outside diameter 16 gauge tubular 
steel sections, commonly sold for antenna-mast installations in 5 and 10 
feet lengths. The slip joints between the mast sections shall be secured 
(as with screws) to prohibit rotational or longitudinal movement at the 
joint. The length of the mast shall be such that when it is mounted in 
the pivot fixture of the high voltage test facility, the distance from 
the pivot to the uppermost point on the antenna system is 41.75 to 42.25 
feet (12.7 to 12.9 meters).
    (2) If a feed cable is provided with the antenna system, it shall be 
used in the test. If no cable is provided with the antenna system, a RG-
213 feed cable shall be used in the test for specification of an RG-213 
cable see (Mil. Spec. MIL-C-17/75C, 15 March 1977). In either case, the 
cable shall be connected to the antenna system, installed parallel to 
the mast, and secured by taping or similar means every two feet along 
the length of the mast. The side of the bottom end of the cable also 
shall be secured to the mast.
    (3) The antenna-mast system shall be mounted in the pivot fixture. 
The pivot fixture shall be adjusted so that the point of impact between 
the antenna and the power line takes place at any desired point within 
the antenna's protection zone. The antenna-mast system shall then be 
erected to a position of up to 5 deg. from the vertical, leaning toward 
the simulated power line (see Figure 4). The antenna-mast system shall 
then be released and allowed to fall against the power line. The test 
may be performed with different test positions such that the antenna 
system flexes after impact and slides off the power line and or so that 
it remains in contact with the power line for 5.0 minutes. Current flow 
from the antenna-mast system to ground shall be monitored and recorded 
for each test.
    (f) Interpretation of Results. An antenna shall pass the Insulating 
Material Effectiveness Test or the Antenna-Mast System Test if no 
electrical breakdown occurs and if no current reading exceeds 5 mA rms.



Sec. 1204.5  Manufacturer's instructions.

    (a) For all antennas covered under this part 1204, the following 
statement shall be included in the manufacturer's instructions, in 
addition to the material required by 16 CFR 1402.4(a)(1)(ii):

[[Page 244]]

    Under some conditions, this antenna may not prevent electrocution. 
Users should keep antenna away from any overhead wires. If antenna 
contacts a power line, any initial protection could fail at any time. IF 
ANTENNA NEARS ANY OVERHEAD WIRES, IMMEDIATELY LET GO, STAY AWAY, AND 
CALL UTILITY COMPANY.
    (b) This warning statement shall be in a separate paragraph 
immediately following the warning statement required by 16 CFR 
1402.4(a)(1)(ii)(A).
    (c) This warning statement shall be legible and conspicuous and 
shall be in type that is at least as large as the largest type used on 
the remainder of the page, with the exception of the logo and any 
identification of the manufacturer, brand, model, or similar 
designations, and that is preferably no smaller than 10 point type.



Sec. 1204.6  Findings.

    As required by section 9 (b) and (c) of the Consumer Product Safety 
Act, 15 U.S.C. 2058 (b) and (c), the Commission makes the following 
findings:
    (a) The degree and nature of the risk of injury the rule is designed 
to reduce. (1) The rule addresses the risk of injury or death caused by 
electric shock occuring when the antenna comes into contact with 
electrical power lines while the antenna is being put up or taken down.
    (2) About 175 fatalities were estimated to be associated with 
omnidirectional CB antennas in 1976. The estimated number of fatalities 
declined to about 125 in 1977 and to about 55 in 1978. Since then, the 
number of fatalities appears to have leveled off at about 45-50 each 
year. In addition to the 45-50 deaths, it is estimated that a somewhat 
greater number of injuries occur annually and that about half of them 
are serious enough to require surgery, amputation, skin grafts, etc. It 
is common for multiple deaths or injuries to occur in a single accident.
    (3) The Commission's staff has estimated that since 1979 about 20 
percent of the accidents involved antennas less than a year old, 
resulting in about 8 deaths in 1980.
    (4) Since a substantial portion of the accidents associated with 
these antennas occur when the antenna is being taken down after it has 
been installed in an outdoor environment for a number of years, the 
standard recommends that materials selected to provide protection from 
shock be weather resistant.
    (5) The standard specifies that protection shall be provided against 
voltages of 14,500 volts phase-to-ground. Voltages of this level or less 
are involved in 98 percent of the accidents and 95 percent of the total 
circuit mileage of distribution circuits.
    (b) The approximate number of consumer products, or types or classes 
thereof, subject to the rule. (1) The standard applies to 
omnidirectional CB base station antennas. The Commission estimates that 
there were approximately 5 million omnidirectional base station antennas 
in use in 1981, and at that time as many as 75,000 of these antennas 
were expected to be sold each year for the next several years.
    (2) [Reserved]
    (c)(1) The need of the public for the consumer products subject to 
the rule. Omnidirectional CB base station antennas are used in non-
mobile applications to obtain essentially uniform receiving and 
transmitting capabilities in all directions simultaneously. Although 
directional antennas can obtain greater reception and transmitting 
capabilities in one or more directions than can omnidirectionals, 
directionals are generally more expensive and must be oriented so that 
they point in the desired direction. Therefore, omnidirectional antennas 
are preferred by many base station operators, and they can also be used 
in conjunction with a directional antenna to locate another station to 
which the directional antenna can then be oriented.
    (2) CB stations are used by individuals as a communications device 
for both practical and personal enjoyment purposes. Some operators 
volunteer to monitor the commonly used and/or emergency channels for 
distress calls and summon aid where appropriate, relay messages, and aid 
local authorities and motorists in monitoring traffic conditions and 
accidents.
    (3) Although operators can fabricate their own antennas, and 
antennas made for other purposes can be adapted for CB use, for most 
operators there is

[[Page 245]]

no adequate substitute for the commercial CB base station antennas 
subject to this rule.
    (d) The probable effect of the rule upon the utility, cost, and 
availability of the product--(1) Utility. Tests performed for the 
Commission have shown that an external layer of insulation that will 
enable the antenna to comply with this standard can be provided that 
will have no significant effect on the performance of the antenna that 
cannot be compensated for by minor changes in the antenna. It is also 
likely that an insulated antenna's useful life would be somewhat longer 
than that of an uninsulated antenna. To the extent that manufacturers 
minimize the number of antenna elements in the protection zone, antennas 
should become less complex and bulky, and installation may also be 
eased. This may tend to make installation and removal of the antenna 
somewhat safer as well. If the isolation technique were used to comply 
with the standard, there should be no effect on the performance of the 
antenna.
    (2) Cost. For the simpler designs of omnidirectional CB base station 
antennas, the manufacturers' production costs will be increased by 
approximately 20 percent, or $4 per antenna. For a few models, the 
production cost increase could be as much as 50 percent. Some models of 
antennas for which cost increases could be expected to be substantially 
greater will likely be discontinued. Some manufacturers already make 
antennas that either comply with the standard or can be made to do so 
with changes that involve no significant cost increases. The average 
rise in retail prices due to the standard is expected to be from 20 
percent, or about $10 per antenna.
    (3) Availability. The 30 or more different models of omnidirectional 
CB base station antennas available to consumers in 1981 are expected to 
be reduced in number substantially, perhaps by as much as half, after 
product line changes are made to meet the standard. The difference among 
some of the models likely to be discontinued are small (often relating 
only to primarily cosmetic features that provide a certain degree of 
product differentiation but do not significantly affect performance). 
Changes in product lines may be discernible to some consumers, however, 
since different brands and models of antennas will tend to look more 
alike (i.e., without upper radials, ``hats'' or other physical 
appendages previously incorporated). The availability of replacement 
components for older antennas may also be restricted somewhat if new, 
complying components are not compatible with some older models. 
Production of complying antennas is expected to be sufficient to satisfy 
demand; no overall ``shortage'' of antennas is anticipated as a result 
of the standard. Sales will, instead, shift from relatively low levels 
for each of many models to relatively higher levels for fewer models.
    (e) Means of achieving the objective of the order while minimizing 
adverse effects on competition or disruption or dislocation of 
manufacturing and other commercial practices consistent with the public 
health and safety. (1) The standard may have significant adverse effects 
on competition among antenna producers. The additional costs associated 
with the standard, coupled with the recent history of decreasing sales, 
may cause a number of manufacturers, including one or two of the major 
producers, to abandon production of omnidirectional CB base station 
antennas. The standard is likely to impact most heavily on smaller 
manufacturers, which may have smaller and fewer capital sources from 
which to draw funds for product design and production changes and for 
product testing.
    (2) Concentration of sales among the two largest manufacturers will 
probably increase as a result of the standard. However, the shrinking 
size of the market itself may prompt some major firms to drop this 
product line. Companies currently making antennas that substantially 
comply with the standard will probably gain a significant short-run 
competitive advantage over other producers whose products do not already 
comply with the standard's basic provisions.
    (3) Compliance with the standard may be relatively more burdensome 
for the smaller firms in the producing industry. Several small firms 
which entered the market in the early- and mid-1970's have already left 
the market due

[[Page 246]]

to the overall decrease in demand for the product. Those that remain 
account for less than 10 percent of annual unit shipments. None of these 
small firms is expected to go out of business as a result of issuance of 
the standard because most also produce directional CB and other base and 
mobile communications antennas and equipment. However, the Commission 
anticipates that most of these small firms will probably discontinue 
omnidirectional CB base station antenna production, at least 
temporarily, until a supplier of complying components is found, or until 
a decision can be made about long-term prospects.
    (4) In order to minimize the adverse effects on competition and 
manufacturing and other commercial practices, the standard is a 
performance standard defined in terms of the factors the Commission 
determined to be significant for the protection of consumers. Thus, 
manufacturers have a maximum degree of flexibility in how to meet the 
standard, since the standard does not specify how the protection 
performance is to be obtained.
    (5) The Commission also considered alternative technical approaches 
to reducing or eliminating unreasonable risks of injury associated with 
omnidirectional CB base station antennas, including incorporation of 
provisions in the standard which would allow the antenna to meet its 
requirements by grounding. The Commission rejected this approach because 
of the absence of any practical means for a consumer to ensure that the 
ground system will be adequate to dissipate the large amounts of power 
involved in a powerline contact accident. Additionally, the Commission 
considered the possibility that the standard might require CB base 
station antennas to incorporate a device to sense the electromagnetic 
field of a powerline. The Commission rejected this alternative because 
of the cost involved in such an approach, and because consumers could 
install an antenna even though the presence of a powerline is indicated.
    (6) The Commission considered making the provisions of the standard 
less stringent and eliminating requirements applicable to the antenna's 
feed cable, in order to lessen the adverse impact of the standard on 
competition and manufacturing practices. However, it was determined that 
such changes to the standard would reduce the effectiveness of the 
standard and thus were not consistent with the public health and safety. 
Furthermore, these changes would not significantly reduce the adverse 
effects on competition and manufacturing practices. The elimination of 
requirements applicable to the feed cable would, with known technology, 
result in almost completely negating the benefits of the standard and is 
thus not consistent with the public health and safety.
    (7) The Commission also considered the possibility of issuing the 
requirements of the standard as a voluntary test method rather than as a 
mandatory standard. The Commission estimated that if the provisions of 
the standard were issued as a voluntary test method, the total cost of 
such a voluntary test method to consumers during the first year after 
issuance would be about 30 percent of the total cost to consumers 
expected to result from promulgation of a mandatory standard. However, 
the Commission estimated that a voluntary test method would prevent only 
about 25 percent of the deaths and injuries which may be avoided by 
issuance of a mandatory standard. The Commission declined to issue the 
provisions of the standard as a voluntary test method because it 
concluded that such an approach would not only prevent fewer deaths and 
injuries each year than a mandatory standard, but would also have a less 
favorable ratio of benefits to costs than a mandatory standard.
    (8) The Commission also considered the possibility of undertaking a 
joint effort with a trade association to inform all users of CB antennas 
of the dangers which can result from contact with overhead powerlines as 
an alternative to issuance of a mandatory standard. The Commission 
observed that this alternative would have a relatively small economic 
impact on the industry. The Commission also observed that extensive 
efforts to promote public awareness of the dangers of contacting 
overhead powerlines have been conducted in the past by the Commission, 
antenna manufacturers, and

[[Page 247]]

utility companies, and that electrocutions and serious injuries continue 
to occur during installation and removal of CB base station antennas. 
For this reason, the Commission concluded that a public information 
campaign would prevent fewer deaths and injuries than issuance of a 
mandatory standard, and rejected such a campaign as an alternative to 
issuance of the standard.
    (f) The rule, including its effective date, is reasonably necessary 
to eliminate or reduce an unreasonable risk of injury associated with 
the product. (1) The provisions of the standard constitute a related 
system of performance parameters which are needed as a group to ensure 
that the performance of new antennas will provide the degree of safety 
which the Commission has determined is reasonably necessary. Minor 
changes in the value of each parameter would not significantly reduce 
the costs of the standard, although in some cases they could 
substantially reduce the standard's effectiveness.
    (2) The Commission estimates that increased retail prices due to the 
standard will cost consumers up to about $750,000 per year. The 
Commission also estimates that the standard will prevent approximately 8 
deaths and 8 or more injuries during the first year the standard is in 
effect. Thus, if the standard saves 8 lives per year, the cost of the 
standard will be about $94,000 for each life saved. \1\
---------------------------------------------------------------------------

    \1\ The Commission believes that, in the area of consumer product 
safety, it is not generally necessary or appropriate to assign a 
specific monetary value to human life. However, several studies on the 
costs of injuries and deaths have been conducted in recent years. Value-
of-life estimates based on discounted future earnings and the 
willingness-to-pay approach range from about $200,000 to about $3 
million. The estimated costs of the CB antenna standard per life saved 
fall below or within the range suggested by these value-of-life 
estimating methodologies.
---------------------------------------------------------------------------

    (3) As to the benefits from reduced injuries, the Commission 
estimates that, if 8 injuries are prevented during the first year the 
standard is in effect, the actual costs saved by the accidents prevented 
by the standard will amount to up to $21,000 to $37,000, exclusive of 
pain, suffering, or disability. If a monetary factor for these less 
quantifiable components is included, annual injury reduction benefits 
could be about $288,000 to $1,680,000.
    (4) The effective date of the standard was selected after balancing 
the increased costs to manufacturers and consumers that are associated 
with shorter effective dates against the benefits to the public that 
would be caused by having the effective date as soon as possible.
    (5) The requirement for the cautionary statement in the instructions 
for the antenna is intended to ensure the effectiveness of the standard 
by discouraging any relaxation of present safety practices involving 
staying away from powerlines. Since instructions for this product are 
already required by 16 CFR part 1402, the additional statement should 
have little or no adverse economic impact.
    (6) After considering the costs and benefits associated with the 
standard, the Commission concludes that the standard, including its 
effective date, is reasonably necessary to eliminate or reduce an 
unreasonable risk of electric shock injury associated with 
omnidirectional CB base station antennas and that promulgation of the 
rule is in the public interest.



                        Subpart B--Certification



Sec. 1204.11  General.

    Section 14(a) of the Consumer Product Safety Act (``the act''), 15 
U.S.C. 2063(a), requires each manufacturer, private labeler, or importer 
of a product which is subject to a Consumer Product Safety Standard and 
which is distributed in commerce to issue a certificate of compliance 
with the applicable standard and to base that certificate upon a test of 
each item or upon a reasonable testing program. The purpose of this 
subpart B of part 1204 is to establish requirements that manufacturers 
and importers must follow to certify that their products comply with the 
Safety Standard for Omnidirectional CB base Station Antennas (16 CFR 
part 1204, subpart A). Private labelers of CB antennas subject to the 
standard need not issue a certificate of compliance if they have been 
furnished a certificate issued by the

[[Page 248]]

manufacturer or importer of the antennas. This subpart B describes the 
minimum features of a reasonable testing program and includes 
requirements for recordkeeping.



Sec. 1204.12  Definitions.

    In addition to the definitions set forth in section 3 of the act, 
and in Sec. 1204.2 of the standard, the following definitions shall 
apply to this subpart B of part 1204:
    (a) Private labeler means an owner of a brand or trademark which is 
used on the label of a CB antenna subject to the standard, which bears a 
private label as defined in section 3(a)(7) of the act, 15 U.S.C. 
2052(a)(7).
    (b) Production interval means a period of time determined by the 
manufacturer or importer that is appropriate for conducting a test on 
one or more samples of the CB antennas produced during that period in 
order to provide a high degree of assurance that all of the products 
manufactured during that period meet the requirements of the standard. 
An appropriate production interval may vary depending on the 
construction of the antenna, the likelihood of variations in the 
production process, and the severity of the test that is used. The time 
period for a production interval shall be short enough to provide a high 
degree of assurance that if the samples selected for testing pass the 
test, all other CB antennas produced during the period will meet the 
standard.



Sec. 1204.13  Certificate of compliance.

    (a) The manufacturer or importer of any product subject to the 
standard must issue the certificate of compliance required by section 
14(a) of the act. If the testing required by this subpart B of part 1204 
has been performed by or for the foreign manufacturer of a product, the 
importer may rely on such tests to support the certificate of compliance 
if the importer is a resident of the United States or has a resident 
agent in the U.S., and the records are maintained in the U.S. The 
importer is responsible for ensuring that the foreign manufacturer's 
records show that all testing used to support the certificate of 
compliance has been performed properly with passing or acceptable 
results and that the records provide a reasonable assurance that all 
antennas imported comply with the standard.
    (b) A certificate of compliance must accompany each product or 
otherwise be furnished to any distributor or retailer to whom the 
product is delivered by the manufacturer or importer.
    (c) The certificate shall state:
    (1) That the product ``complies with all applicable consumer product 
safety standards (16 CFR part 1204)'',
    (2) The name and address of the manufacturer or importer issuing the 
certificate, and
    (3) The date of manufacture and, if different from the address in 
paragraph (c)(2) of this section, the place of manufacture.



Sec. 1204.14  Certification tests.

    (a) General. As explained in Sec. 1204.11 of this subpart, 
certificates of compliance required by section 14(a) of the act must be 
based on either a test of each item or on a reasonable testing program.
    (b) Tests of each item. If the certificate is based on tests of each 
item, the tests may be either those prescribed by the standard or any 
other test procedure that will determine that the item tested will 
comply with the standard.
    (c) Reasonable testing programs--(1) Requirements. (i) A reasonable 
testing program for a particular model of CB antennas is one which 
demonstrates with a high degree of assurance that all the antennas of 
that model will meet all requirements of the standard. Manufacturers and 
importers shall determine the types and frequency of testing for their 
own reasonable testing programs. A reasonable testing program which does 
not test each item produced should be sufficiently stringent that any 
variations in production, etc., over the production interval would not 
cause any antenna to fail if tested according to the requirements of the 
standard.
    (ii) All reasonable testing programs shall include qualification 
tests, which must be performed on one or more samples of the CB antennas 
representative of each model produced, or to be produced, to demonstrate 
that the product is capable of passing the tests prescribed by the 
standard and shall also

[[Page 249]]

include production tests, which must be performed during appropriate 
production intervals as long as the product is being manufactured.
    (iii) Corrective action and/or additional testing must be performed 
whenever certification tests of samples of the product give results that 
do not provide a high degree of assurance that all antennas manufactured 
during the applicable production interval will pass the tests of the 
standard.
    (2) Testing by third parties. At the option of the manufacturer or 
importer, some or all of the testing of each item or of the reasonable 
testing program may be performed by a commercial testing laboratory or 
other third party. However, the manufacturer or importer is responsible 
for ensuring that all certification testing has been properly performed 
with passing or acceptable results and for maintaining all records of 
such tests in accordance with Sec. 1204.17 of this subpart.



Sec. 1204.15  Qualification testing.

    (a) Testing. Before any manufacturer or importer of CB antennas 
which are subject to the standard distributes them in commerce, one or 
more samples of each model shall be tested to determine that all such 
antennas manufactured after the effective date of the standard will 
comply with the standard. The type of tests and the manner of selecting 
samples shall be determined by the manufacturer or importer to provide a 
reasonable assurance that all antennas subject to the standard will 
comply with the standard. Any or all of the qualification testing 
required by this paragraph may be performed before the effective date of 
the standard.
    (b) Product modifications. If any changes are made to a product, 
after initial qualification testing, that could affect the ability of 
the product to meet the requirements of the standard, additional 
qualification tests must be made before the changed antennas are 
manufactured for sale or distributed in commerce.



Sec. 1204.16  Production testing.

    (a) General. Manufacturers and importers shall test antennas subject 
to the standard periodically as they are manufactured, to demonstrate 
that the antennas meet the requirements of the standard.
    (b) Types and frequency of testing. Manufacturers and importers 
shall determine the types of tests for production testing. Each 
production test shall be conducted at a production interval short enough 
to provide a high degree of assurance that, if the samples selected for 
testing pass the production tests, all other antennas produced during 
the interval will meet the standard.
    (c) Test failure--(1) Sale of antennas. If any test yields results 
which do not indicate that all antennas manufactured during the 
production interval will meet the standard, production must cease and 
the faulty manufacturing process or design must be corrected. In 
addition, products manufactured before the appropriate corrective action 
is taken may not be distributed in commerce unless they meet the 
standard. It may be necessary to modify the antennas or perform 
additional tests to ensure that only complying antennas are distributed 
in commerce. Antennas which are subject to the standard but do not 
comply with the requirements of the standard cannot be offered for sale, 
distributed in commerce, or imported in the United States.
    (2) Corrective actions. When any production test fails to provide a 
high degree of assurance that all antennas comply with the standard, 
corrective action must be taken. Corrective action may include changes 
in the manufacturing and/or assembly process, equipment adjustment, 
repair or replacement, or other action deemed appropriate by the 
manufacturer or importer to achieve passing production test results.



Sec. 1204.17  Records.

    Each manufacturer or importer of CB antennas subject to the standard 
shall maintain the following records, which shall be maintained for 3 
years after the creation of the records and shall be available to any 
designated officer or employee of the Commission in accordance with 
section 16(b) of the Consumer Product Safety Act (15 U.S.C. 2065(b)):
    (a) Records of the qualification and production testing required by 
this subpart B, including a description of

[[Page 250]]

the types of tests conducted, the dates and results of the tests, and 
the production interval selected for the performance of the production 
testing.
    (b) Records of all corrective actions taken, including the specific 
actions taken to improve the design or manufacture and to correct any 
noncomplying antenna produced during the period, the date the action was 
taken, and the test failure which necessitated the action.

(Information collection requirements contained in paragraph (a) were 
approved by the Office of Management and Budget under control number 
3041-0006)

[[Page 251]]

[GRAPHIC] [TIFF OMITTED] TC03OC91.008


[[Page 252]]


[GRAPHIC] [TIFF OMITTED] TC03OC91.009

[47 FR 36201, Aug. 19, 1982; 48 FR 57125, Dec. 28, 1983]

[[Page 253]]



PART 1205--SAFETY STANDARD FOR WALK-BEHIND POWER LAWN MOWERS--Table of Contents




                         Subpart A--The Standard

Sec.
1205.1 Scope of the standard.
1205.2 Effective date.
1205.3 Definitions.
1205.4 Walk-behind rotary power mower protective shields.
1205.5 Walk-behind rotary power mower controls.
1205.6 Warning labels for reel-type and rotary power mowers.
1205.7 Prohibited stockpiling.
1205.8 Findings.

                        Subpart B--Certification

1205.30 Purpose, scope, and application.
1205.31 Effective date.
1205.32 Definitions.
1205.33 Certification testing.
1205.34 Recordkeeping requirements.
1205.35 Product certification and labeling by manufacturers.
1205.36 Product certification and labeling by importers.

    Authority: Secs. 2, 3, 7, 9, 14, 19, Pub. L. 92-573, 86 Stat. 1207, 
1208, 1212-1217, 1220, 1224; 15 U.S.C. 2051, 2052, 2056, 2058, 2063, 
2068; sec. 1212, Pub. L. 97-35, 95 Stat. 357.

    Source: 44 FR 10024, Feb. 15, 1979, unless otherwise noted.



                         Subpart A--The Standard



Sec. 1205.1  Scope of the standard.

    (a) General. This subpart A of part 1205 is a consumer product 
safety standard which prescribes safety requirements for certain walk-
behind power lawn mowers, including labeling and performance 
requirements. The performance requirements of the standard apply to 
rotary mowers. The labeling requirements apply to both rotary and reel-
type mowers. The standard is intended to reduce the risk of injury to 
consumers caused by contact, primarily of the foot and hand, with the 
rotating blade of the mower. A detailed discussion of the risk of injury 
and of the anticipated costs, benefits, and other factors associated 
with the standard is contained in Sec. 1205.8 Findings.
    (b) Scope. (1) Except as provided in paragraph (c) of this section, 
all walk-behind rotary and reel-type power lawn mowers manufactured or 
imported on or after the effective date of the standard are subject to 
the requirements of this standard if they are ``consumer products''. 
``Walk behind power lawn mower'' is defined as a grass cutting machine 
with a minimum cutting width of 12 in (305 mm) that employs an engine or 
motor as a power source. Section 3(a)(1) of the Consumer Product Safety 
Act (``CPSA''), 15 U.S.C. 2052(a)(1), defines the term consumer product 
as an ``article, or component part thereof, produced or distributed (i) 
for sale to a consumer for use in or around a permanent or temporary 
household or residence, a school, in recreation, or otherwise, or (ii) 
for the personal use, consumption or enjoyment of a consumer in or 
around a permanent or temporary household or residence, a school, in 
recreation, or otherwise.'' The term does not include products that are 
not customarily produced or distributed for sale to, or for the use or 
consumption by, or enjoyment of, a consumer.
    (2) It is unlawful to manufacture for sale, offer for sale, 
distribute in commerce, or import into the United States any product 
subject to this standard that is not in conformity with the standard. 
The Commission is not applying the standard to rental transactions or to 
the ultimate sale of used rental mowers by rental firms.
    (c) Exclusions--(1) General. Mowers that have all three of the 
following characteristics are not covered by the standard:
    (i) A cutting width of 30 in (762 mm) or greater,
    (ii) A weight of 200 lb (90.7 kg) or more, and
    (iii) For engine-powered mowers, an engine of 8 horsepower (6 kw) or 
more.
    (2) Reel-type mowers. Reel-type power lawn mowers need not meet the 
performance requirements of the standard but they must be labeled as 
required by Sec. 1205.6.



Sec. 1205.2  Effective date.

    This standard applies to all rotary walk behind power lawn mowers 
manufactured after June 30, 1982, except Sec. 1205.6 Warning labels, 
applies to rotary and reel-type walk-behind power lawn

[[Page 254]]

mowers manufactured after December 31, 1979.

[44 FR 10024, Feb. 15, 1979, as amended 45 FR 86417, Dec. 31, 1980]



Sec. 1205.3  Definitions.

    (a) As used in this part 1205:
    (1) Blade means any rigid or semi-rigid device or means that is 
intended to cut grass during mowing operations and includes all blades 
of a multi-bladed mower.
    (2) Blade tip circle means the path described by the outermost point 
of the blade as it moves about its axis.
    (3) Crack means a visible external fissure in a solid body caused by 
tensile, compressive, or shear forces.
    (4) Cutting width means the blade tip circle diameter or, for a 
multi-bladed mower, the width, measured perpendicular to the forward 
direction, of a composite of all blade tip circles.
    (5) Deform means any visible alteration of shape or dimension of a 
body caused by stresses induced by external forces.
    (6) Engine means a power producing device which converts thermal 
energy from a fuel into mechanical energy.
    (7) Manual starting means starting the mower engine with power 
obtained from the physical efforts of the operator.
    (8) Maximum operating speed means the maximum revolutions per minute 
(rpm) obtainable by the engine or motor under the conditions of the 
particular test where the term is used. For an electrically powered 
mower, it is the speed attained when the mower is energized from a 60 Hz 
alternating current source that delivers a voltage no greater than 120 V 
and no less than 115 V at the power input to the mower, with the mower 
running. For a battery-powered mower, it is the speed attained after the 
battery has been fully charged in accordance with the mower 
manufacturer's instructions.
    (9) Motor means a power producing device that converts electrical 
energy into mechanical energy.
    (10) Normal starting means is the primary mechanism intended to be 
actuated by the operator to start a mower's engine or motor (e.g., the 
cord mechanism of a manual start engine, the switch of an electric 
motor, or a power start mechanism).
    (11) Operating control zone means the space enclosed by a cylinder 
with a radius of 15 in (381 mm) having a horizontal axis that is (1) 
perpendicular to the fore-aft centerline of the mower and (2) tangent to 
the rearmost part of the mower handle, extending 4 in (102 mm) beyond 
the outermost portion of each side of the handle (See Fig. 1).

[[Page 255]]

[GRAPHIC] [TIFF OMITTED] TC03OC91.010

    (12) Power source means an engine or motor.
    (13) Reel-type mower means a lawn mower which cuts grass by rotating 
one or more helically formed blades about a horizontal axis to provide a 
shearing action with a stationary cutter bar or bed knife.
    (14) Rotary mower means a power lawn mower in which one or more 
cutting blades rotate in essentially a horizontal plane about at least 
one vertical axis.
    (15) Separate means to cause to have any apparent relative 
displacement induced by external forces.
    (16) Shield means a part or an assembly which restricts access to a 
hazardous area. For the purposes of this part 1205, the blade housing is 
considered a shield.
    (17) Stress means a force acting across a unit area in a solid 
material in resisting separation, compacting, or sliding that tends to 
be induced by external forces.
    (18) Top of the mower's handles means the uppermost portion(s) of 
the handle that would be gripped by an operator in the normal operating 
position.
    (19) Walk-behind power lawn mower means a grass cutting machine 
either pushed or self-propelled, with a minimum cutting width of 12 in 
(305 mm) that employs an engine or a motor as a power source and is 
normally controlled by an operator walking behind the mower.
    (b) Where applicable, the definitions in section 3 of the Consumer 
Product Safety Act (15 U.S.C. 2052) apply to this part 1205.

[44 FR 10024, Feb. 15, 1979, as amended at 46 FR 54934, Nov. 5, 1981]



Sec. 1205.4  Walk-behind rotary power mower protective shields.

    (a) General requirements. Walk-behind rotary power mowers shall meet 
the following requirements:
    (1) When the foot probe of Fig. 2 is inserted under any point within 
the areas

[[Page 256]]

to be probed during the foot probe test of paragraph (b)(1) of this 
section, the shields shall prevent the foot probe from entering the path 
of the blade or causing any part of the mower to enter the path of the 
blade.
[GRAPHIC] [TIFF OMITTED] TC03OC91.011

    (2) Any shield located totally or partly within the areas to be 
probed, as defined in paragraph (b)(1)(ii) of this section, shall not 
permanently separate, crack, or deform when the shield is subjected to a 
50 lb (222 N) static tensile force, uniformly distributed over not less 
than half the length of the

[[Page 257]]

shield. The force shall be applied for at least 10 seconds in the 
direction which produces the maximum stress on the shield. While being 
tested, a shield shall be attached to the mower in the manner in which 
it is intended to be used. (This requirement does not apply to the 
housing.)
    (3) During the obstruction test of paragraph (b)(2) of this section, 
shields shall not:
    (i) Stop the mower as a result of contact with the raised obstacle,
    (ii) Enter the path of the blade, or
    (iii) Cause more than one wheel at a time to be lifted from the 
fixture surface.
    (b) Shield tests--general--(1) Foot probe test. (i) The following 
test conditions shall be observed:
    (A) The test shall be performed on a smooth level surface.
    (B) Pneumatic tires, when present, shall be inflated to the cold 
pressures recommended by the mower manufacturer.
    (C) The mower housing shall be adjusted to its highest setting 
relative to the ground.
    (D) The blade shall be adjusted to its lowest position relative to 
the blade housing.
    (E) The mower shall be secured so that the mower may not move 
horizontally but is free to move vertically.
    (ii) Areas to be probed. (A)(1) The minimum area to be probed shall 
include an area both 60 degrees to the right and 60 degrees to the left 
of the rear of the fore-aft centerline of the cutting width. For single-
blade mowers, these angles shall be measured from a point on this fore-
aft centerline which is at the center of the blade tip circle (see Fig. 
3). For multi-blade mowers, these angles shall be measured from a point 
on the fore-aft centerline of the cutting width which is one half of the 
cutting width forward of the rearmost point of the composite of all the 
blade tip circles (See Fig. 4).
[GRAPHIC] [TIFF OMITTED] TC03OC91.012

[GRAPHIC] [TIFF OMITTED] TC03OC91.013

    (2) For a mower with a swing-over handle, the areas to be probed 
shall be determined as in paragraph

[[Page 258]]

(b)(1)(ii)(A)(1) of this section from both possible rear positions. (See 
Fig. 5.)
[GRAPHIC] [TIFF OMITTED] TC03OC91.014

    (B) Where a 360 degree foot protective shield is required by 
Sec. 1205.5(a)(1)(iv)(B) or Sec. 1205.5(c), the entire periphery of the 
mower shall be probed (including any discharge chute comprising part of 
the periphery).
    (iii) Procedure. Within the areas specified in paragraph (b)(1)(ii), 
the foot probe of Fig. 2 shall be inserted under the bottom edge of the 
blade housing and shields. During each insertion, the ``sole'' of the 
probe shall be kept in contact with the supporting surface. Insertion 
shall stop when the mower housing lifts or the horizontal force used to 
insert the probe reaches 4 lb (17.8 N), whichever occurs first. As the 
foot probe is withdrawn after each insertion, the ``toe'' shall be 
pivoted upward around the ``heel'' as much as possible without lifing 
the mower.
    (2) Obstruction test. (i) The following test conditions shall be 
observed:
    (A) Pneumatic tires, when present, shall be inflated to the cold 
pressure recommended by the mower manufacturer.
    (B) The mower housing shall be at its highest setting relative to 
the ground.
    (ii) The test shall be performed on the fixture of Fig. 6, which 
consists of a level surface having (A) a 0.99 in (25 mm) deep depression 
with a 5.90 in (150 mm) radius of curvature and (B) a raised obstacle 
0.60 in (15 mm) square, each extending the full width of the fixture. 
The depression shall be lined with a material having a surface 
equivalent to a 16- to 36-grit abrasive. The depression and the obstacle 
shall be located a sufficient distance apart so that the mower contacts 
only one at a time.
[GRAPHIC] [TIFF OMITTED] TC03OC91.015


[[Page 259]]


    (iii) The test fixture may be relieved, only to the extent 
necessary, to prevent interference with any blade retaining device.
    (iv) The mower shall be pushed forward and pulled rearward 
perpendicular to and across the depression and the raised obstacle on 
the fixture. The mower shall be pulled and pushed, without lifting, with 
a horizontal force sufficient to transit the obstruction fixture at a 
speed not to exceed 2.2 ft/sec (0.7 m/sec).
    (c) Movable shields--(1) General. Movable shields must meet the 
general shield requirements of paragraph (a) of this section. In 
addition, movable shields which are in any of the areas to be probed 
defined in paragraph (b)(1)(ii) of this section and which are intended 
to be movable for the purpose of attaching auxiliary equipment, when 
deflected to their extreme open position in the manner intended by the 
manufacturer and released, shall either:
    (i) Return automatically to a position that meets the requirements 
of subpart A of this part 1205 when the attached equipment is not 
present, or
    (ii) Prevent operation of the blade(s) unless the attached equipment 
is present or the movable shield is returned to a position that meets 
the requirements of subpart A of this part 1205.
    (2) Tests. (i) Automatic return of a movable shield shall be 
determined by manually deflecting the shield to its extreme open 
position, then releasing the shield and visually observing that it 
immediately returns to the closed position.
    (ii) Prevention of operation of the blade(s) shall be determined, 
first by manually deflecting the shield to its extreme open position, 
then, following the appropriate manufacturer's instructions, completing 
the procedures necessary to operate the blade. Observe, using any safe 
method, that the blade(s) has been prevented from operating.

[44 FR 10024, Feb. 15, 1979, as amended at 45 FR 86417, 86418, Dec. 31, 
1980; 46 FR 54934, Nov. 5, 1981; 48 FR 6328, Feb. 11, 1983]



Sec. 1205.5  Walk-behind rotary power mower controls.

    (a) Blade control systems--(1) Requirements for blade control. A 
walk-behind rotary power mower shall have a blade control system that 
will perform the following functions:
    (i) Prevent the blade from operating unless the operator actuates 
the control.
    (ii) Require continuous contact with the control in order for the 
blade to continue to be driven.
    (iii) Cause the blade motion in the normal direction of travel to 
come to a complete stop within 3.0 seconds after release of the control.
    (iv) For a mower with an engine and with only manual starting 
controls, this blade control shall stop the blade without stopping the 
engine, unless:
    (A) The engine starting controls for the lawn mower are located 
within 24 inches from the top of the mower's handles, or
    (B) The mower has a protective foot shield which extends 360 degrees 
around the mower housing (see Sec. 1205.4 (b)(1)(ii)(B)). \1\
---------------------------------------------------------------------------

    \1\ Paragraphs (A) and (B) of Sec. 1205.5(a)(1)(iv), permitting 
mowers that stop the blade by stopping the engine but that do not have 
power restart, were added to the standard as directed by Sec. 1212 of 
the Omnibus Budget Reconciliation Act of 1981, Pub. L. 97-35, 95 Stat. 
357.
---------------------------------------------------------------------------

    (2) All walk-behind rotary power mowers shall have, in addition to 
any blade control required by paragraph (a)(1) of this section, another 
means which must be manually actuated before a stopped blade can be 
restarted. This additional means may be either a control which is 
separate from the control required by paragraph (a)(1) of this section, 
or may be incorporated into the control required by paragraph (a)(1) of 
this section as a double-action device requiring two distinct actions to 
restart the blade.
    (b) Blade stopping test--(1) General. Any test method that will 
determine the time between the release of the blade control and the 
complete stop of the blade motion in the normal direction of travel may 
be used.
    (2) Conditions. (i) The mower shall be operated at maximum operating 
speed

[[Page 260]]

for at least 6 minutes immediately prior to the test.
    (ii) The blade must be at maximum operating speed when the blade 
control is released.
    (c) Starting controls location. Walk-behind mowers with blades that 
begin operation when the power source starts shall have their normal 
starting means located within the operating control zone unless the 
requirements of paragraphs (a)(1)(iv) (A) or (B) of this section apply 
to the mowers.

[44 FR 10024, Feb. 15, 1979, as amended at 46 FR 54934, Nov. 5, 1978]



Sec. 1205.6  Warning label for reel-type and rotary power mowers.

    (a) General. Walk-behind power lawn mowers shall be labeled on the 
blade housing or, in the absence of a blade housing, on other blade 
shielding or on an adjacent supporting structure or assembly, with the 
warning label shown in Fig. 7. The label shall be at least 3.25 in (82.5 
mm) high and 4 in (102 mm) wide, and the lettering and symbol shall 
retain the same size relation to each other and to the label as shown in 
Fig. 7.
[GRAPHIC] [TIFF OMITTED] TC03OC91.016

    (b) Rotary mowers. Walk-behind rotary mowers shall have one label as 
shown in Fig. 7, on the blade housing. The label shall be located as 
close as possible to any discharge opening, or, if there is no discharge 
opening, in a position that is conspicuous to an operator in the normal 
operating position.
    (c) Reel-type mowers. Walk-behind power reel-type mowers shall have 
one label as shown in Fig. 7, located as close to the center of the 
cutting width of the blade as possible. However, in the absence of a 
suitable mounting surface near the center of the cutting width, the 
label shall be placed on the nearest suitable mounting surface to the 
center of the cutting width.

[44 FR 10024, Feb. 15, 1979, as amended at 45 FR 86417, Dec. 31, 1980]



Sec. 1205.7  Prohibited stockpiling.

    (a) Stockpiling. Stockpiling means manufacturing or importing a 
product

[[Page 261]]

which is the subject of a consumer product safety rule between the date 
of issuance of the rule and its effective date at a rate that is 
significantly greater than the rate at which such product was produced 
or imported during a base period prescribed by the Consumer Product 
Safety Commission.
    (b) Prohibited acts. Stockpiling of power lawn mowers that do not 
comply with this subpart A of part 1205 at a rate that exceeds by 20% 
the rate at which the product was produced or imported during the base 
period described in paragraph (c) of this section is prohibited.
    (c) Base period. The base period for power lawn mowers is, at the 
option of each manufacturer or importer, any period of 365 consecutive 
days beginning on or after September 1, 1971, and ending on or before 
August 31, 1978.



Sec. 1205.8  Findings.

    (a) General. In order to issue a rule such as part 1205, the 
Consumer Product Safety Act requires the Commission to consider and make 
appropriate findings with respect to a number of topics. These findings 
are discussed below.
    (b) The degree and nature of the risk of injury part 1205 is 
designed to eliminate or reduce. (1) The Commission estimates that there 
are approximately 77,000 injuries to consumers each year caused by 
contact with the blades of power lawn mowers. From 1977 data, the 
Commission estimates that each year there are approximately 7,300 finger 
amputations, 2,600 toe amputations, 2,400 avulsions (the tearing of 
flesh or a body part), 11,450 fractures, 51,400 lacerations, and 2,300 
contusions. Among the lacerations and avulsions, 35,800 were to hands 
and fingers and 18,000 were to toes and feet. The estimated costs caused 
by these injuries are $253 million, not counting any monetary damages 
for pain and suffering. These injuries are caused when consumers 
accidentally contact the blade, either inadvertently while in the 
vicinity of the mower, or while intentionally performing some task which 
they erroneously believe will not bring their hand or foot into the path 
of the blade.
    (2) Part 1205 is expected to eliminate or reduce the severity of 
about 60,000 blade contact injuries per year, or 77% of all such 
injuries. The Commission estimates that if all mowers had been in 
compliance with the standard in 1977, about 6,800 finger amputations, 
1,500 toe amputations, 11,000 fractures, 1,800 avulsions, 38,400 
lacerations, and several hundred contusions would not have occurred. Of 
the lacerations and avulsions, 28,300 were finger injuries and 9,400 
were toe injuries.
    (c) Consumer products subject to the rule. The products subject to 
this standard are walk-behind power mowers. Power mowers with rigid or 
semi-rigid rotary blades are subject to all the provisions of the 
standard while reel-type and rotary mowers are subject to the labeling 
requirements. Mowers that in combination have engines of 8 hp or 
greater, weigh 200 lb or more, and have a cutting width of 30 in or more 
are excluded from the standard. The Commission estimates that at least 
98% of the total annual market (by unit volume) for walk-behind mowers 
will be affected by the standard, and the Commission estimates that in 
1978 this market was 5.4 million units.
    (d) Need of the public for the products subject to the rule. The 
Commission finds that the public need for walk-behind power mowers, 
which provide a relatively quick and effective way to cut grass, is 
substantial. Riding mowers, lawn and garden tractors, hand reel mowers, 
trimmers and edgers, and sickle-bar mowers also provide grass-cutting 
services, but walk-behind power rotary mowers are by far the most 
commonly used devices for maintaining household lawns. There are no 
devices that can completely substitute for walk-behind power mowers as a 
group, since they have applications for which other products are not as 
suitable. Each type of walk-behind power mower has individual properties 
which meet public needs, although one type of walk-behind is often an 
acceptable substitute for another. The newly developed monofilament line 
mower is not included within the scope of the standard and could be a 
substitute for mowers using rigid or semi-rigid blades under some 
conditions.

[[Page 262]]

    (e) Probable effect of the rule upon the utility of the product. (1) 
The Commission finds that the probable overall effect of the standard on 
the utility of mowers should be to increase their utility. In the first 
place, consumers are likely to experience an increased sense of security 
from having a safer mower. A study of brake-clutch mowers conducted by 
the Federal Supply Service (GSA) shows that almost all users appreciated 
the safety features on brake-clutch mowers. In addition, by releasing 
the blade control and stopping the blade, the operator can then travel 
over gravel or other surfaces without fear of thrown objects or of the 
blade striking objects that might damage the mower. Brake-clutch type 
mowers would also give an increase in utility by virtue of enabling the 
operator to use the clutch to prevent stalling when the mower bogs down 
in heavy grass. On the other hand, there may be some minor adverse 
effects on utility caused by some aspects of complying mowers. For 
example, in very heavy mowing conditions, there may be some difficulty 
in engaging the blade in a blade-clutch mower. (However, mowers that are 
currently on the market that are not equipped with a blade clutch may 
have difficulty in starting the engine in heavy grass.) Complying mowers 
may require slightly more time and a few additional actions to operate. 
Since complying mowers may have more electrical and mechanical parts 
than current mowers, they may weigh more and require more maintenance 
than current mowers. No significant increase in mowing time is expected 
if a brake-clutch device is used to comply with the standard since each 
engagement of the blade would require only a few seconds. The amount of 
additional time and expense required for maintenance, if any, will be 
dependent on the design solution used. Such disutilities are expected to 
be slight and to be more than balanced by the increased sense of 
security consumers are likely to experience from having a safer mower.
    (2) During the development of the rule, questions were raised about 
whether changes in the shields necessitated by the foot probe 
requirements would adversely affect utility by causing mowers to be hard 
to push in grass or to be unable to mow close to walls. At the time of 
issuance of this rule, mowers are available that will pass a 360 deg. 
foot probe and others are available that will pass rear and side foot 
probing without any significant loss of utility caused by shielding. 
Therefore, the Commission concludes that this requirement will not 
adversely affect the utility of mowers. Mowers with swing-over handles, 
however, may be more difficult to design in this regard, since 120 deg. 
at each end of the mower are subject to the foot probe requirement. 
However, since mowers meeting this requirement have already been built 
without apparent loss of utility, the Commission concludes that 
shielding can be designed so that there should be no loss of utility 
even for mowers with swing-over handles.
    (3) As required by section 9(b) of the CPSA, the Commission, in 
considering the issues involved in issuing a power lawn mower safety 
standard, has considered and taken into account the special needs of 
elderly and handicapped persons to determine the extent to which such 
persons may be adversely affected by the rule. The Commission has 
determined that there will be no significant adverse effect on such 
persons as a result of this part 1205. In the first place, the rule can 
affect only those persons who are physically capable of using a power 
lawn mower. None of the rule's provisions will make it more difficult to 
operate a mower that complies with the standard. On the contrary, 
complying mowers should be easier to use because the need for manually 
restarting the mower will be less and because, if the mower uses a 
brake-clutch to comply with the blade control requirement, use of the 
brake-clutch can reduce the tendency of the engine to stall in heavy 
grass. Although a person's ability to hold a device such as a blade 
control for a long period of time will decline with age, the force 
required to hold the blade control can be made low enough that it will 
not be a problem during the length of time that it takes for consumers 
to mow a lawn.
    (4) After considering the possible adverse effects on mowers that 
could be caused by the standard and balancing

[[Page 263]]

them against the increase in utility that is expected, the Commission 
concludes that, for a typical consumer, the increases in utility should 
more than offset any decreases.
    (f) Probable effect of the rule upon the cost of the product. The 
Commission estimates that the retail price impact of the standard will 
be about $35 for the average walk-behind mower. Based on an average 
useful mower-life of about 8 years, the additional annual cost to the 
purchaser is expected to average about $4.40. The probable effect of the 
standard will differ on the various types of mowers within its scope. 
Percentage increases in price will vary from about a 7 percent increase 
for power-restart self-propelled mowers to about a 30 percent increase 
for gasoline-powered manual start push mowers. The costs attributable to 
individual requirements of the standard are discussed in paragraph (i) 
of this section.
    (g) Probable effect of the rule upon the availability of the 
product. (1) The Commission finds that the standard is not expected to 
have a significant impact on the availability of walk-behind rotary 
mowers, since domestic production capacity appears to be sufficient to 
handle any increased demand for safety-related components or materials. 
Although adapting some types of power mowers to the standard may be more 
costly than others, the effects of the standard on the price or utility 
of a particular category of power mowers are not expected to cause 
radical shifts in demand among types of mowers. The Commission finds 
that all types of power mowers subject to the standard will be 
available, although some, such as house-current-powered mowers, may 
increase their market shares becauses they can be brought into 
compliance with the standard at a lesser cost.
    (2) Because some manufacturers may not revise their entire product 
line before the effective date of the standard, individual mower 
manufacturers may initially have less varied lines than at present, but 
there should be no decrease in the overall types and features of mowers 
available to consumers.
    (h) Alternative methods. (1) The Commission has considered other 
means of achieving the objective of the standard. For example, 
alternatives were considered such as hand probes, ``blade harmless'' 
tests, and blade control by engine kill but allowing manual restart. 
These alternatives have been rejected by the Commission as being either 
unfeasible or not as effective as the rule which is being issued.
    (2) Similarly, the Commission has found no alternative means of 
achieving the objective of the standard that it believes would have 
fewer adverse effects on competition or that would cause less disruption 
or dislocation of manufacturing and other commercial practices, 
consistent with the public health and safety.
    (i) Unreasonable risk of injury. (1) The determination of whether a 
consumer product safety rule is reasonably necessary to reduce an 
unreasonable risk of injury involves a balancing of the degree and 
nature of risk of injury addressed by the rule against the probable 
effect of the rule on the utility, cost, or availability of the product. 
The factors of utility and availability of the products, adverse effects 
on competition, and disruption or dislocation of manufacturing and other 
commercial practices have been discussed above. The following discussion 
concerns the relationship of anticipated injury reduction and costs for 
various requirements of the standard. (See the report, Economic Impact 
of Blade Contact Requirements for Power Mowers, January 1979, for a 
detailed analysis of the possible effects of discounting and inflation 
on the computation of the quantifiable benefits associated with this 
regulation.)
    (2) The foot probe and related requirements are expected to reduce 
the number of blade contact injuries to the foot by 13,000 each year. It 
is not possible to apportion this injury reduction among the respective 
requirements. The cost of these requirements is estimated to be about 
$4.00 per mower, mostly for redesign of the shields. The shield strength 
requirement is similar to a requirement in the existing voluntary 
standard that is almost universally complied with, and should comprise 
only a small portion of the $4.00 retail cost increase compared to pre-
standard mowers that is attributable to this related group of 
requirements.

[[Page 264]]

Also, shields complying with the movable shield requirement are featured 
in some currently produced mowers.
    (3) The foot probe and related requirements should result in a cost 
increase of about $22,000,000 and undiscounted injury savings of about 
$46,000,000, exclusive of any allowance for pain and suffering.
    (4) The starting location control requirement would apply only to 
mowers with a power restart capability using engine kill to stop the 
blade. The cost for relocating the power restart switch, if necessary, 
should be very minor, and more than offset by the elimination of a 
clutch, as discussed below.
    (5) The requirement that the blade stop within 3 seconds of the 
release of the blade control is supported by (i) the requirement that 
those mowers that stop the blade by stopping the engine must have a 
power restart (to remove the motivation to disable the blade control 
because of the inconven- ience of manually starting the mower each time 
the control is released) and by (ii) the requirement for an additional 
control that must be actuated before the blade can resume operation (to 
prevent accidental starting of the blade). Together, these requirements 
are expected to reduce the number of blade contact injuries by 46,500 
per year for an undiscounted savings in injury costs of about 
$165,000,000 per year, exclusive of pain and suffering.
    (6) Virtually all mowers will be subjected to a cost increase of 
about $3 for the blade control actuating means and $1 for the second 
control required to restart the blade. (The $1 cost could be eliminated 
for power restart-engine kill mowers that do not start when the blade 
control is actuated.)
    (7) Also, most mowers would require a brake for the blade in order 
to achieve a 3 second stop time. This would add another $6.50-$8.50, 
depending on the type of mower. Mowers with power restart capability 
could stop the blade by killing the engine and thus would not need to 
provide a clutch to disconnect the engine from the blade. Mowers using 
manual restart would have to provide a clutch or other blade 
disengagement devices, which would probably be combined with the brake 
in a unitary brake-clutch mechanism.
    (8) The following are the Commission's estimates of the probable 
retail price increases associated with certain types of currently 
produced mowers that will be caused by the blade control requirements.

------------------------------------------------------------------------
                                                           Blade control
                      Type of mower                        retail price
                                                             increases
------------------------------------------------------------------------
Electric mowers (house current or battery powered)......          $15.00
Present Electric start gasoline mowers..................     13.00-19.50
Present Manual start gasoline mowers brake clutch                  32.50
 approach...............................................
Power restart approach..................................     29.00-39.50
------------------------------------------------------------------------

    (9) The weighted average retail price increase of the blade stop 
requirements is expected to be about $31 per mower for a total retail 
cost increase of $167,000,000.
    (10) The foot probe and blade stop requirements of the standard will 
obviously not completely protect the users of mowers under all 
circumstances. It is still essential for consumers to be aware of the 
hazard of blade contact and take the proper precautions to protect 
themselves. It is especially important that users not become complacent 
with the knowledge that the mower incorporates blade contact safety 
requirements. Accordingly, the Commission has determined that it is 
desirable that mowers complying with the standard bear a label warning 
of the danger of blade contact. Such a requirement would result in 
practically no effect on on the retail price of mowers since labels are 
very inexpensive and practically all currently produced mowers bear some 
type of warning label. In view of the hazard that will be associated 
with power mowers even after the effective date of the standard, and the 
low cost of the label, the Commission concludes there is an unreasonable 
risk of injury that can be addressed by the label requirements in this 
part 1205.
    (j) Conclusion. Therefore, after considering the anticipated costs 
and benefits of part 1205 and the other factors discussed above, and 
having taken into account the special needs of elderly and handicapped 
persons to determine the extent to which such persons may be adversely 
affected by the rule, the Commission finds that part 1205 (including the 
effective dates) is reasonably necessary to eliminate or reduce

[[Page 265]]

the unreasonable risk of injury associated with walk-behind power lawn 
mowers and that promulgation of the rule is in the public interest.

[44 FR 10024, Feb. 15, 1979, as amended at 45 FR 86417, Dec. 31, 1980]



                        Subpart B--Certification

    Source: 44 FR 70386, Dec. 6, 1979, unless otherwise noted.



Sec. 1205.30  Purpose, scope, and application.

    (a) Purpose. Section 14(a) of the Consumer Product Safety Act, 15 
U.S.C. 2063(a), requires every manufacturer (including importer) and 
private labeler of a product which is subject to a consumer product 
safety standard to issue a certificate that the product conforms to the 
applicable standard, and to base that certificate either on a test of 
each product or on a ``reasonable testing program.'' The purpose of this 
subpart B of part 1205 is to establish requirements that manufacturers 
and importers of walk-behind rotary power lawn mowers subject to the 
Safety Standard for Walk-Behind Power Lawn Mowers (16 CFR part 1205, 
subpart A), shall issue certificates of compliance in the form of 
specified labeling and shall keep records of the testing program on 
which the certificates are based.
    (b) Scope and application. (1) The provisions of this rule apply to 
all rotary walk-behind power lawn mowers which are subject to the 
requirements of the Safety Standard for Walk-Behind Power Lawn Mowers. 
This rule does not apply to reel-type mowers, which are subject only to 
the labeling requirements of the standard.
    (2) As authorized by section 14(a)(2) of the act, the Commission 
exempts manufacturers who manufacture or import only component parts, 
and private labelers, from the requirement to issue certificates. 
(Private labelers who are also importers must still certify.)



Sec. 1205.31  Effective date.

    Any walk-behind rotary power mower manufactured after December 31, 
1981, must meet the standard and must be certified as complying with the 
standard in accordance with this rule.



Sec. 1205.32  Definitions.

    In addition to the definitions set forth in section 3 of the act (15 
U.S.C. 2052) and in Sec. 1205.3 of the standard, the following 
definitions shall apply to this subpart B of part 1205:
    (a) Manufacturer means any person or firm that manufactures or 
imports power lawn mowers subject to this standard, and includes those 
that assemble power lawn mowers from parts manufactured by other firms.
    (b) Manufactured means the earliest point at which the mower is in 
the form in which it will be sold or offered for sale to the consumer or 
is in the form in which it will be shipped to a distributor or retailer. 
In these forms, a ``manufactured'' mower may still require partial 
assembly by the consumer or the lawn mower dealer.
    (c) Private labeler means an owner of a brand or trademark which is 
used on a power lawn mower subject to the standard and which is not the 
brand or trademark of the manufacturer of the mower, provided the owner 
of the brand or trademark has caused or authorized the mower to be so 
labeled and the brand or trademark of the manufacturer of such mower 
does not appear on the label.
    (d) Production lot means a quantity of mowers from which certain 
mowers are selected for testing prior to certifying the lot. All mowers 
in a lot must be essentially identical in those design, construction, 
and material features which relate to the ability of a mower to comply 
with the standard.
    (e) Reasonable testing program means any test or series of tests 
which are identical or equivalent to, or more stringent than, the tests 
defined in the standard and which are performed on one or more mowers of 
the production lot for the purpose of determining whether there is 
reasonable assurance that the mowers in that lot comply with the 
requirements of the standard.



Sec. 1205.33  Certification testing.

    (a) General. Manufacturers and importers shall either test each 
individual rotary walk-behind power lawn mower (or have it tested) or 
shall rely

[[Page 266]]

upon a reasonable testing program to demonstrate compliance with the 
requirements of the standard.
    (b) Reasonable testing program. (1) A reasonable testing program for 
rotary walk-behind power mowers is one that provides reasonable 
assurance that the mowers comply with the standard. Manufacturers and 
importers may define their own reasonable testing programs. Such 
reasonable testing programs may, at the option of manufacturers and 
importers, be conducted by an independent third party qualified to 
perform such testing programs.
    (2) To conduct a reasonable testing program, the mowers shall be 
divided into production lots. Sample mowers from each production lot 
shall be tested in accordance with the reasonable testing program so 
that there is a reasonable assurance that if the mowers selected for 
testing meet the standard, all mowers in the lot will meet the standard. 
Where there is a change in parts, suppliers of parts, or production 
methods that could affect the ability of the mower to comply with the 
requirements of the standard, the manufacturer should establish a new 
production lot for testing.
    (3) The Commission will test for compliance with the standard by 
using the test procedures contained in the standard. However, a 
manufacturer's reasonable testing program may include either tests 
prescribed in the standard or any other reasonable test procedures. (For 
example, in the shield strength test (Sec. 1205.4), the manufacturer 
might choose to use a force higher than the 50 lb force specified in the 
standard.)
    (4) If the reasonable testing program shows that a mower does not 
comply with one or more requirements of the standard, no mower in the 
production lot can be certified as complying until the noncomplying 
mowers in the lot have been identified and destroyed or altered by 
repair, redesign, or use of a different material or components to the 
extent necessary to make them conform to the standard. The sale or 
offering for sale of mowers that do not comply with the standard is a 
prohibited act and a violation of section 19(a)(1) of the CPSA, 
regardless of whether the mower has been validly certified.



Sec. 1205.34  Recordkeeping requirements.

    (a) General. Every person issuing certificates of compliance for 
walk-behind rotary power lawn mowers subject to the standard shall 
maintain written records which show that the certificates are based on a 
test of each mower or on a reasonable testing program. The records shall 
be maintained for a period of at least 3 years from the date of 
certification of each mower or each production lot. These records shall 
be available to any designated officer or employee of the Commission 
upon request in accordance with section 16(b) of the act (15 U.S.C. 
2065(b)).
    (b) Content of records. Records shall identify the mower tested and 
the production lot and describe the tests the mowers have been subjected 
to and the results of the tests.
    (c) Format for records. The records required to be maintained by 
this section may be in any appropriate form or format that clearly 
provides the required information.



Sec. 1205.35  Product certification and labeling by manufacturers.

    (a) Form of permanent label of certification. Manufacturers 
(including importers) shall issue certificates of compliance for walk-
behind rotary power lawn mowers manufactured after the effective date of 
the mower standard in the form of a label which can reasonably be 
expected to remain on the mower during the period the mower is capable 
of being used. Such labeling shall be deemed to be a ``certificate'' of 
compliance as that term is used in section 14 of the act. (15 U.S.C. 
2063.)
    (b) Contents of certification label. The certification labels 
required by this section shall clearly and legibly contain the following 
information:
    (1) The statement ``Meets CPSC blade safety requirements.''
    (2) An identification of the production lot.
    (3) The name of the person or firm issuing the certificate.
    (4) The location where the product was principally assembled.
    (5) The month and year the product was manufactured.
    (c) Coding. Except for the requirements of paragraphs (b)(1) and 
(b)(3) of

[[Page 267]]

this section, all of the information required by Sec. 1205.35 may be in 
code, provided the person or firm issuing the certificate maintains a 
written record of the meaning of each symbol used in the code that will 
be made available to the distributor, retailer, consumer, and the 
Commission upon request. If a mower is manufactured for sale by a 
private labeler, and if the name of the private labeler is also on the 
certification label, the name of the manufacturer or importer issuing 
the certificate may also be in such a code.
    (d) Placement of label. The label required by this section must be 
visible and legible to the ultimate purchaser of the lawn mower. For 
mowers manufactured before January 1, 1984, where the label is not 
visible to the consumer at the time of sale because of packaging or 
marketing practices, an additional label or notice, which may be 
temporary, stating ``Meets CPSC blade safety requirements'' shall also 
appear on the container, or, if the container is not so visible, the 
promotional material, used in connection with the sale of the mowers.

[44 FR 70386, Dec. 6, 1979, as amended at 49 FR 28241, July 11, 1984]



Sec. 1205.36  Product certification and labeling by importers.

    (a) General. The importer of any rotary walk-behind power lawn mower 
subject to the standard must issue the certificate of compliance 
required by section 14(a) of the Act and Sec. 1205.35 of this 
regulation. If testing of each mower, or a reasonable testing program, 
meeting the requirements of this subpart B of part 1205 has been 
performed by or for the foreign manufacturer of the product, the 
importer may rely in good faith on such tests to support the certificate 
of compliance provided the importer is a resident of the United States 
or has a resident agent in the United States and the records of such 
tests required by Sec. 1205.34 of this part are maintained in the United 
States.
    (b) Responsibility of importer. If the importer relies on tests by 
the foreign manufacturer to support the certificate of compliance, the 
importer bears the responsibility for examining the records supplied by 
the manufacturer to determine that the records of such tests appear to 
comply with Sec. 1205.34 of this part.



PART 1207--SAFETY STANDARD FOR SWIMMING POOL SLIDES--Table of Contents




Sec.
1207.1 Scope, purpose, and findings.
1207.2 Effective date.
1207.3 Definitions.
1207.4 Recommended standards for materials of manufacture.
1207.5 Design.
1207.6-1207.8 [Reserved]
1207.9 Product certification.
1207.10 Handling, storage, and marking.
1207.11 References.
1207.12 Stockpiling.

    Authority: Secs. 2, 7, 9, 14, 30, Pub. L. 92-573; 86 Stat. 1207, 
1212, 1215, 1220, 1236; (15 U.S.C. 2051, 2056, 2058, 2063, 2079).

    Source: 41 FR 2751, Jan. 19, 1976, unless otherwise noted.



Sec. 1207.1  Scope, purpose, and findings.

    (a) Scope and purpose. This part 1207 sets forth the consumer 
product safety standard issued by the Consumer Product Safety Commission 
for the manufacture and construction of slides for use in swimming 
pools. The requirements of this standard are designed to reduce or 
eliminate the unreasonable risks of death or injury associated with 
swimming pool slides. This standard also makes certain recommendations 
regarding the installation, maintenance, and intended use of swimming 
pool slides that supplement its mandatory requirements. This standard is 
applicable to all swimming pool slides manufactured after July 17, 1976. 
Paragraph (b) of this section sets forth the findings which the 
Commission is required to make by section 9(c) of the Consumer Product 
Safety Act (15 U.S.C. 2058(c)).
    (b) Findings. \1\ (1) The Commission finds that unreasonable risks 
of death

[[Page 268]]

or injury from accidents are associated with swimming pool slides. These 
risks are (i) quadriplegia and paraplegia resulting from users 
(primarily adults using the swimming pool slide for the first time) 
sliding down the slide in a head first position and striking the bottom 
of the pool, (ii) leg fractures resulting from feet first entry, (iii) 
impact of sliders with other people in the pool, and (iv) falls from the 
slide ladder.
---------------------------------------------------------------------------

    \1\ The Commission's findings apply to the swimming pool slide 
standard that it published on January 19, 1976 (42 FR 2751). On March 3, 
1978 the U.S. Court of Appeals for the Fifth Circuit set aside portions 
of that standard (Aqua Slide `N' Drive Corporation v. CPSC, 569 F.2d 831 
(5th Cir. 1978)). On December 18, 1978, the Commission published 
revisions to the standard which reflect the court's decision. However, 
the findings have not been revised and they are therefore not fully 
applicable to the revised swimming pool slide requirements. For example, 
the revised standard does not address the risk of quadriplegia and 
paraplegia (except insofar as the standard specifies a low angle of 
attack of the slider into the water) because the court set aside the 
provisions concerning installation instructions and warning signs.
---------------------------------------------------------------------------

    (2) The Commission finds that the types or classes of products that 
are subject to this standard are those swimming pool slides 
manufactured, constructed, or imported for use in connection with all 
swimming pools, whether in-ground, on-ground, or above-ground, 
regardless of the materials of manufacture or structural characteristics 
of the slides. It is estimated that 350,000 of these slides are 
currently in service and that each year the number of slides in use may 
increase by 5 to 10 percent.
    (3) The Commission finds that the public uses swimming pool slides 
in recreation at both public and private swimming pools, and it is 
estimated that 75% of these slides are located at residential pools. It 
is anticipated that public demand for the products will decline slightly 
for a time following issuance of this standard as a result of consumer 
awareness of hazards associated with the product caused by the mandatory 
signs placed on the slides and as a result of recommendations regarding 
the installation and intended use of the products. The decline in demand 
is expected to be short-term. It is anticipated that the utility of the 
slides as a recreational device will be increased to the extent that 
injury or death associated with the use of the product is eliminated or 
reduced.
    (4) The Commission also finds that manufacturing cost increases as a 
direct result of this standard and promotional cost increases as an 
indirect result of this standard are expected to be modest for the 
industry as a whole. Any resulting increase in the cost of slides to 
consumers attributable directly or indirectly to the requirements of 
this standard will be small. No adverse effect on the availability of 
the product to consumers is expected.
    (5) The Commission has considered other means of achieving the 
objective of the standard, but has found none that would have fewer 
adverse effects on competition or that would cause less disruption or 
dislocation of manufacturing and other commercial practices, consistent 
with the public health and safety.
    (6) The Commission also finds that this standard, including its 
effective date, is reasonably necessary to eliminate or reduce the 
unreasonable risks of injury associated with swimming pool slides and 
that promulgation of the standard is in the public interest.

[41 FR 2751, Jan. 19, 1976; 41 FR 9307, Mar. 4, 1976, as amended at 41 
FR 23187, June 9, 1976; 43 FR 58813, Dec. 18, 1978]



Sec. 1207.2  Effective date.

    This part 1207 shall become effective July 17, 1976. All swimming 
pool slides manufactured after that date must meet the requirements of 
this part 1207.

[41 FR 23187, June 9, 1976]



Sec. 1207.3  Definitions.

    (a) As used in this part 1207:
    (1) Aboveground pool slide ladder means a slide ladder that is not 
anchored in the ground or support deck and that can be removed from the 
slide or hinged and locked so that unauthorized or unsupervised use of 
the slide is prevented.
    (2) Abrasion hazard means a sharp or rough surface of a swimming 
pool slide that would scrape the skin upon casual contact.
    (3) Assembled product means all parts, components, and fasteners as 
defined in and assembled according to the manufacturer's assembly and 
installation instructions.

[[Page 269]]

    (4) Bracing means members providing structural support to the 
assembled, installed slide.
    (5) Casual contact means contact of any body part with the slide 
occurring by chance or nonchalant encounters.
    (6) Center of gravity means the point that represents the mean 
position of the concentrated mass of a body.
    (7) Curved slide means a slide whose runway curves out of the 
vertical plane at any point along the slide path.
    (8) Cutting hazard means a slide surface that would cut the skin 
under casual contact.
    (9) Designated waterline means the horizontal line through whichever 
of the following is applicable: (i) The midpoint of the operating range 
of the skimmers, or (ii) on pools with overflow systems, the height of 
the overflow rim.
    (10) Edge guards means shields designed to cover sharp edges on 
slides.
    (11) [Reserved]
    (12) Freestanding slide means a slide designed for aboveground pools 
that is not fastened to the pool deck or the ground. This slide may have 
attachments to the aboveground pool to prevent misalignment.
    (13) Friction means the force tending to reduce the velocity of the 
slider on the slide.
    (14) [Reserved]
    (15) Intended use means behavior on swimming pool slides as 
disclosed by the manufacturer, as specified in this part 1207, or to 
which the slide may be subjected by a reasonable user (including 
reasonably foreseeable misuse).
    (16) Ladder angle means the angle of the ladder measured from a 
plumbline.
    (17) Ladder platform means a platform built into the slide ladder.
    (18) Operational strength means the strength of the slide and/or its 
components after installation according to the manufacturer's 
instructions.
    (19) Performance test means a test to measure the functional or 
structural characteristics of the slide and may include:
    (i) Observations and measurements of the slide's functioning in the 
``intended use'' mode, installed according to the manufacturer's 
installation instructions, and/or
    (ii) Observations and measurements of the slide's response to 
dynamic and static loads.
    (20) [Reserved]
    (21) Pinching hazard means any configuration of slide components 
that would pinch or entrap the fingers or toes of a child or an adult.
    (22) Puncture hazard means any slide surface or protrusion that 
would puncture a child's skin under casual contact.
    (23) Runway means the surface on which the user slides in the 
intended use of a slide.
    (24) Runway rail means a raised edge or guard that keeps the slider 
on the runway.
    (25) Runway length means the length of the runway measured along its 
centerline.
    (26) Slide width means the width of the slide runway measured 
between the inside of the left and right runway rails.
    (27) Straight slide means a slide whose runway curves only in the 
vertical plane.
    (28) Swimming pool slide means any device used to enter a swimming 
pool by sliding down an inclined plane.
    (29) Tamperproof means that tools are required to alter or remove 
portions of the slide such as guards, treads, etc.
    (30) Trajectory means the path of a slider's center of gravity from 
start to finish.
    (31) [Reserved]
    (32) Tread contact surface means foot contact surfaces of ladder, 
step, stair, or ramp.

[41 FR 2751, Jan. 19, 1976, as amended at 43 FR 58813, Dec. 18, 1978]



Sec. 1207.4  Recommended standards for materials of manufacture.

    (a) General. The materials used in swimming pool slides should be 
compatible with man and compatible with the environment in which they 
are installed. These materials should be capable of fulfilling the 
design requirements prescribed by Sec. 1207.5.
    (b) Effects of environment. The choice of materials for swimming 
pool slides should be such that the operational strength of the entire 
slide assembly, as defined by the performance tests in

[[Page 270]]

Sec. 1207.5, should not be adversely affected by exposure to rain, snow, 
ice, sunlight, local, normal temperature extremes, local normal wind 
variations, expected local air pollution products, and the mechanical, 
electrical, and chemical environment in and around swimming pools. For 
purposes of this part 1207, ``local normal'' temperature extremes and 
wind variations are defined as the average annual record limits for the 
past 10 years at any slide installation point in the U.S.A. where such 
statistical information exists (see reference (a) in Sec. 1207.11)
    (c) Materials selection. The selection of all materials for swimming 
pool slides should be such that all surfaces and edges that may come in 
contact with the user are assembled, arranged, and/or finished 
(deburred, polished, etc.) so that they will not constitute a cutting, 
pinching, puncturing, or abrasion hazard under casual contact and 
intended use by children or adults.
    (d) Toxicity. The selection of materials used in swimming pool 
slides should be such that the assembled and installed products should 
not be toxic to man or harmful to the environment under intended use and 
reasonably foreseeable abuse or disposal. All paints and finishes used 
on swimming pool slides shall comply with 16 CFR 1303.2(b)(2) and 
1303.4(a).
    (e) Chemical compatibility. The selection of materials for swimming 
pool slides should be such that the assembled and installed product, and 
the parts, are chemically compatible with the materials and environment 
contacted under intended use and reasonably foreseeable abuse.

[41 FR 2751, Jan. 19, 1976, as amended at 43 FR 58813, Dec. 18, 1978]



Sec. 1207.5  Design.

    (a) Strength. The strength of the assembled and installed swimming 
pool slide shall be such that no structural failures of any component 
part shall cause failures of any other component part of the slide as 
described in the performance tests in paragraphs (d)(4) and (f)(9) of 
this section.
    (b) Edges. Edges of swimming pool slide runways, ladders, handrails, 
and deck anchor flanges shall be designed, finished (deburred, polished, 
etc.), or protected in such a manner as to prevent cutting human tissue 
on casual contact and intended use. If edge guards are used, they shall 
be permanently affixed to the structure in a tamper-proof fashion.
    (c) Ladders, steps, stairs, or ramps--(1) General. Swimming pool 
slide ladders, steps, stairs, or ramps shall have treads, not rungs, if 
the angle of the incline is 15 deg. or greater from a plumbline.
    (2) Angle. Swimming pool slide ladders not using rungs shall be 
designed and installed in such a manner that the user's center of 
gravity will be approximately positioned directly over each step during 
the use of the ladder. When tread design ladders are used, the minimum 
installed angle shall be not less than 15 deg. from a plumbline dropped 
from a ladder step as shown in figure A. If stairs or ramps are used to 
ascent to the top of the slide, they shall be designed in accordance 
with reference (c) of Sec. 1207.11, pages 457-463.

    (Note: To convert the English system values given in the figures to 
metric values, the following conversion factors should be used: 1 
inch=2.54 cm., 1 foot=30.48 cm., 1 square inch=6.452 sq. cm., 1 lb. 
(mass)=0.4536 kg., 1 lb. (force)=4.448 newtons, and 1 ft.-lb.=1.356 
newton-meters.)

[[Page 271]]

[GRAPHIC] [TIFF OMITTED] TC03OC91.017

    (3) Steps--(i) Dimensions. Slide ladder treads may have flat or 
curved tread surfaces and shall be designed so that they have a minimum 
tread width of 2 inches (5.08 cm) and a minimum length of 12 inches 
(30.48 cm) (reference (c) of Sec. 1207.11). The riser height of slide 
ladder treads shall be no more than 12 inches (30.5 cm) nor less than 7 
inches (17.8 cm) and shall be constant over the entire height of the 
ladder (reference (c) of Sec. 1207.11).

[[Page 272]]

[GRAPHIC] [TIFF OMITTED] TC03OC91.018

    (ii) Tread curvature. If slide ladder tread surfaces are curved, 
they shall not have a radius of curvature less than seven times the 
tread width.
    (iii) Slip resistant surfaces--(A) General. The tread surface of all 
swimming pool slide ladders shall have a slip-resistant surface that is 
either an integral part of or permanently attached to the ladder steps. 
The performance test is designed to insure that all tread slip-resistant 
surfaces shall have the ability to maintain a barefooted 50-percentile 
adult male (reference (d) of Sec. 1207.11) at an angle of repose of 
33 deg. 1 deg. without movement with a safety factor of 2.0. 
The angle of repose is the angle formed by the intersection of the 
ladder rails and the line connecting the user's feet and center of 
gravity. The tread and the foot shall be wet for this test.
    (B) Performance test. A wooden block shall be prepared in accordance 
with figure C. The contact surface area of the block shall be 8 square 
inches (51.61 square cm) to simulate the ball of the foot (reference (d) 
of Sec. 1207.11). It shall be covered with \1/4\\1/8\ inch 
(.64.32 cm) of natural or silicone rubber sponge capped with 
porous soft leather as shown in figure C.

[[Page 273]]

[GRAPHIC] [TIFF OMITTED] TC03OC91.019


The tests shall be carried out on a slide assembled and installed 
according to the manufacturer's instructions. The block shall be soaked 
in pool water for at least 3 minutes and placed at the midpoint of the 
wet step with the centroid of load of the block on the longitudinal axis 
of the step. The block shall be loaded symmetrically on its upper 
bearing surface with a weight of 3002 pounds 
(136.1.9 kg). A controlled and measured force shall be 
applied at the tangential load ring of the block tangent to the 
horizontal and increased at a rate of no more than 20 pounds (88.96 
newtons) per second. If the block does not move at the point that the 
tangential load is equal to 105 pounds (467.1 newtons), the tread 
surface passes this performance test. Other force-creating means that 
produce equal forces on the block (3002lbs, 1,334 newtons) 
may be substituted for weights if they result in substantially identical 
slip-resistance measurements.
    (iv) Fastener requirements. Ladder treads shall be attached to the 
ladder rails in such a manner that continued intended use or reasonably 
foreseeable abuse shall not cause any fastener to loosen, crack, or 
break. All attachment methods that are used to hold the ladder tread to 
the ladder rails shall be permanent and tamperproof. If fasteners are 
used for the tread-rail attachment, the number and placement of such 
fasteners shall not cause a failure of the tread under the ladder 
loading conditions specified in this paragraph (c)(3).
    (v) Aboveground pool ladders. Above-ground pool slides equipped with 
swing-up ladders shall be designed so that the ladders may be fixed in 
the up position by a tamperproof lock.
    (vi) Ladder platforms. Swimming pool slides whose height above the 
surface upon which the slide is mounted is greater than 7.5 feet (2.29 
meters) shall have a platform built into the ladder. This platform shall 
be located at least 6 feet (1.83 meters) above the deck and shall have 
minimum dimensions of 12 by 12 inches (30.48x30.48 cm.). The floor of 
the platform shall have a slip-resistant surface whose performance 
exceeds the requirements of the tests specified in paragraph 
(c)(3)(iii)(B) of this section. A minimum dimension of two times the 
riser height shall be maintained from the platform to the top of

[[Page 274]]

the slide runway. Transitional handrails shall be provided when a 
platform is used.
    (vii) Static load performance test. Ladder treads or rungs shall be 
capable of supporting a 300-pound (1,334-newton) static load in the 
center without failure or permanent deformation.
    (d) Handrails. Swimming pool slide ladders shall be equipped with 
handrails to aid the slider in safely making the transition to the 
runway. The handrails shall extend no more than 18 inches (45.72 cm) 
above the top of the slide runway platform (see figure D1).
[GRAPHIC] [TIFF OMITTED] TC03OC91.020

    (1) Size. The outside diameter of handrails shall be between 1.00 
and 1.90 inches (2.54 and 4.83 cm) (references (c) and (d) of 
Sec. 1207.11).
    (2) Extent of handrails--(i) Maximum angle ladder. If ladder 
handrails for a ladder inclined 15 degrees or less from the vertical 
extend below the slide transition area, they shall be parallel to the 
ladder rails at a perpendicular distance from them of 4 to 6 inches 
(10.16 to 15.24 cm) (see figure D2). The handrail shall begin 
3 to 5 feet (0.91 to 1.52 meters) above the pool deck. Handrails should 
not provide a means of entrapment.

[[Page 275]]

[GRAPHIC] [TIFF OMITTED] TC03OC91.021

    (ii) Extent of handrails for ladders, steps, stairs, or ramps. For 
slides not using the minimum angle ladder (15 degrees or less from the 
vertical), the perpendicular distance between the ladder handrails and 
the ladder rails below the slide transition area shall be the distance 
``l'' as shown in table 1.

                        Table 1--Variations of l
Ladders: 15<[thetas]<40...................  L=(34.09[thetas]rad-3.86)
                                             1''
                                            =(86.59[thetas]rad-
                                             9.80)2.54 cm
Stairs: 40<[thetas]<70....................  l=34''1''
                                            =86.362.54 cm
Ramps: [thetas]<70........................  l=42''1''
                                            =106.682.54 cm
 

    (3) Bracing of handrails. If handrail braces are used, they shall 
withstand intended use and reasonably foreseeable abuse.
    (4) Attachment and strength of handrails. Handrails and their 
fasteners shall withstand allowable shear, bending, and cyclical loading 
in intended use and reasonably foreseeable abuse. All fasteners for 
handrail connections shall be vibrationproof, selflocking, and 
tamperproof. Threaded fasteners shall be capable of withstanding a 1-
foot-pound (1,356-newton meter) back-off torque.
    (i) Sockets performance test. If handrail sockets are used, the 
handrail end shall be permanently fixed in the socket so that it cannot 
be pulled out or bent at the socket by a moment of 233 foot-pounds (316 
newton-meters) applied clockwise around point A in figure E. The socket 
shall not permanently deform under the maximum applied loads.

[[Page 276]]

[GRAPHIC] [TIFF OMITTED] TC03OC91.022

    (ii) Side forces. If the handrail is in a socket or attached to the 
side of the slide runway rail, the attachment methods must be capable of 
withstanding all shear and bending forces induced by a 172-foot-pound 
(233-newton-meter) moment counterclockwise around point A in figure F.
[GRAPHIC] [TIFF OMITTED] TC03OC91.023

    (iii) Performance tests--(A) Strength for climbing and falls. (1) 
Attach a pull loop to point C of the upper handrail (figure E). Point C 
is the point where a perpendicular to the axis of the handrail passes 
through point A, the socket, or other attachment point. Attach a 
stranded steel cable or wire rope to point C. All cables and ropes shall 
have at least a 1,000-pound (4,448-newton) tensile capacity. Attach a 
162-pound (73.5-kg) weight to this cable at least 4 feet (1.22 meters) 
below point C. Observe any permanent deformation or bending on the hand-
rail at point A. If none exists, the handrail passes this performance 
test.
    (2) Lift the weight one foot (30.48 cm) from its maximum static 
position and drop it. Observe any permanent deformation of the handrail 
or its attachments at point A. If each handrail will still support the 
162-pound (73.5-kg) weight for a period of 15 minutes and has not been 
bent more than 45 deg. from its original direction, it passes this 
performance test.
    (B) Transition handrail strength. Rotate the assembled slide into 
the horizontal position on its side on a loading dock or other platform. 
Move the slide into such a position that the entire

[[Page 277]]

handrail assembly overhangs the platform and level the slide. Fasten the 
slide firmly in this position and attach a 115-pound (52.2-kg) weight to 
point D, as shown in figure F, and check for any visible permanent 
deformation of the handrail at point A. If none exists, the handrails 
pass this performance test.
    (e) Lubrication. Swimming pool slides shall either be equipped with 
a method of lubrication (for example, water) or have a similar 
coefficient of friction so that the slider has a smooth, continuous 
slide. If water is used, the nozzles, piping, or hoses that deliver 
water to the runway shall be recessed or designed in such a fashion as 
not to interfere with a slider's progress down the slide or create 
tripping hazards on the slide.
    (f) Runways--(1) Curvature. Slide runway curvature between the front 
and rear support legs of the slide shall be consistent with maintaining 
the slider safely on the slide during intended use and reasonably 
foreseeable abuse.
    (2) Dynamic equilibrium. (i) Swimming pool slide runways, whether 
straight or curved, shall be designed as ``balanced curves.'' On a 
balanced curve, the test fixture discussed in paragraph (f)(2)(ii) of 
this section shall stay on a trajectory that keeps it within a distance 
of 41 percent of the runway width to the runway centerline 
at all points along the runway without contacting the runway rails.
    (ii) Performance test--(A) Direct measurement. Build a wooden pallet 
no larger than 5 by 5 inches (12.7x12.7 cm), as shown in figure G. 
Securely attach a lead rod or bar on the pallet. Size the bar so that 
the weight-to-area ratio of the assembly is 1.300.05 lbs./
sq. in. (8,960340 newtons/sq. meter) and the pallet does not 
tip over when in motion. Attach a felt pen or other suitable marking 
device to the pallet assembly as shown in figure G to mark the slide 
during descent.
    (B) Test. Lubricate the slide in accordance with the manufacturer's 
instructions. Center the pallet at the top of the slide runway and 
release. Observe the pallet's descent and note if it touches the slide's 
side rails. If it touches, check alignment and installation again. With 
water off and the slide dry, center the pallet at the top of the runway 
and release. Measure the distance from the felt pen marked line to the 
centerline of the runway. If within 41 percent of the width 
measured from the centerline along the entire path and if the pallet 
does not contact the runway rails, the slide is dynamically balanced and 
passes this performance test.
    (3) Runway side rails. Swimming pool slide runways shall have 
permanent runway side rails of at least 2 inches (5.08 cm) and height to 
prevent lateral discharge of the slider off the slide under intended use 
and reasonably foreseeable abuse.
    (4) Runway side-rail heights. Runway side-rail heights shall be 
designed as a function of the maximum slide-slope angle (as shown in 
figure H). Table 2 that follows shows side-rail height versus maximum 
slide-slope angle. If the maximum slide-slope angle is not shown in 
table 2, the next higher side-rail height must be used. Maximum slide-
slope angles shall not exceed 75 deg.. (See figure H.)

[[Page 278]]

[GRAPHIC] [TIFF OMITTED] TC03OC91.024


                                 Table 2
------------------------------------------------------------------------
                                                      Runway side-rail
          [psi]=Maximum slide-slope angle               height inches
                                                        (centimeters)
------------------------------------------------------------------------
<60...............................................              2 (5.08)
60-70.............................................              3 (7.62)
70-75.............................................         3\1/2\ (8.89)
------------------------------------------------------------------------

                                                    [GRAPHIC] [TIFF OMITTED] TC03OC91.025
                                                    
    (5) Slide geometry. Swimming pool slide runways shall have a smooth 
transition section and have geometry such that the path of the center of 
gravity of the slider is not more than 10 deg. from the 
horizontal at the center of gravity's exit off the slide and such that 
the slider's angle of attack (a), shown in figure I and defined below, 
shall be at least +15 deg. when the slider's feet leave the slide. (See 
figure I.)
    (i) Performance tests. Measurement of the 50th-percentile adult male 
(712 inches and 1625 pounds, 
180.345.08 cm and 73.52.3 kg) \1\ slider's angle 
of attack shall be made using any of the following methods or their 
equivalent:
---------------------------------------------------------------------------

    \1\ See reference (f) of Sec. 1207.11 for full discussion.
---------------------------------------------------------------------------

    (A) Motion picture cameras (36 frames per second or more).
    (B) Still cameras with strobe lights and reflectors on the head and 
hip of the slider.
    (C) Still cameras with rotating shutters and lights on the head and 
hip of the slider.
    (D) Video tape recorder.
    (ii) Measurements shall be made from the still water level as the 
horizontal. The path angle shall be determined by measuring the angle 
between a tangent to the path of the center of gravity (line X) and the 
horizontal taken through the center of gravity (line Y). At least five 
consecutive runs with the same subject shall be made in order that an 
average may be computed. \2\ Angle of attack shall be taken as the angle 
between the slider's longitudinal axis (Z) and the tangent to the path 
of his center of gravity (X). The slider's longitudinal axis shall be 
located by the vertical line that passes through his center of gravity 
when he stands erect. The slider shall wear usual swimming attire. The 
angle-of-attack measurement shall be made after the

[[Page 279]]

slider's feet have cleared the slide, the distance between the end of 
the slide and his feet being less than 8 inches (20.3 cm). The slider's 
descent must be headfirst, prone, belly-down, and with arms extended in 
front. Except when starting, the slider shall not augment the slide trip 
by forcibly reacting with the slide through the use of his hands, arms, 
feet and/or legs. The slider's starting reactions with the slide shall 
be only as strong as necessary to start him moving. If the average angle 
of attack measured and computed in the above manner is equal to or 
greater than +15 deg., the slide passes this performance test.
---------------------------------------------------------------------------

    \2\ Maximum measurement variation of 15 percent.
    [GRAPHIC] [TIFF OMITTED] TC03OC91.026
    
    (6) Runway exit lips. All runway exit lips of swimming pool slides 
shall be smoothly faired into the runway surface with a radius of 
curvature at the exit lip of the slide of at least 2\1/4\ inches (5.72 
cm) (see figure J).
[GRAPHIC] [TIFF OMITTED] TC03OC91.027

    (7) Runway exit vertical angle. The angle of the runway at exit of 
the slide () shall be -3 to -11 degrees from the horizontal as shown in 
figure J.
    (8)(i) Runway exit ramp lateral curvature and exit lip horizontal 
angle. No net lateral forces on the slider shall exist in that portion 
of the runway exit ramp beyond the forward support points of the slide. 
All slides shall be designed and constructed so that the exit lip of the 
slide is level at all points along the width of the runway at the runway 
exit lip line drawn at the point where the lip curvature shown in figure 
J is tangent to the runway. The slide shall be designed so that any side 
forces on the user induced by prior lateral curvature will be reduced to 
zero upon exit from the slide runway.
    (ii) Performance tests. Those tests described in paragraph 
(f)(2)(ii) of this section are also applicable to paragraph (f)(8) of 
this section, and the path of the test fixture must be parallel to the 
centerline of the slide at the exit lip (within 5 deg.) and not touching 
the side rails of the runway.
    (9) Strength of slide runways and supports--(i) Static loads. A 
properly assembled and installed slide runway shall be

[[Page 280]]

capable of supporting a static load of at least 350 pounds (1,557 
newtons) applied normal to the runway over an area of no more than 20 
square inches (129.03 square cm) at any point along its length or width.
    (ii) Dynamic loading. Properly assembled and installed slide runways 
shall be capable of supporting, without structural failure except as 
defined in paragraph (f)(9)(iii)(B)(3) of this section, a dynamic load 
of at least 450 foot-pounds (610.2 newton-meters) dropped on an area of 
20 square inches (129.03 square cm) at the midpoints of the upper runway 
platform and the lower runway exit ramp.
    (iii) Performance tests--(A) Static loads. Assemble and install a 
slide according to the manufacturer's instructions. Prepare a 20-square-
inch (129.03 square cm) load-bearing pallet according to figure K. Place 
the loaded pallet on the upper slide platform, positioned between the 
runway rails, until the scale on the hoist line reads between 0 and 10 
pounds (0 and 44.48 newtons). Keep the pallet in this position for 10 
minutes. Remove the loaded pallet and observe the runway for any 
significant structural failure such as permanent deformations or cracks. 
If there are none, the slide passes the test. Repeat the same test on 
the lower runway exit ramp.
[GRAPHIC] [TIFF OMITTED] TC03OC91.028

    (B) Dynamic loads. (1) Assemble and install a slide according to the 
manufacturer's instructions. Use the hardwood load pallet shown in 
figure K and set it up under dynamic load guides fabricated as shown in 
figure L, or an equivalent impact-testing machine.
[GRAPHIC] [TIFF OMITTED] TC03OC91.029

    (2) Fabricate a 45-pound (20.4-kg) billet of 4.9000.005-
inch (12.45.01 cm) steel rod as shown in figure M, or 
equivalent, and load into the pipe above the trigger slot. The length of 
the pipe from the trigger slot to the impact pallet shall be 
10.00.1 feet (3.05 meters3.05 cm).

[[Page 281]]

[GRAPHIC] [TIFF OMITTED] TC03OC91.030

    (3) Drop the billet onto the pallet and observe the slide for any 
permanent deformations or cracks. If the slide runway can still support 
a static load of 350 pounds (1,557 newtons) on the pallet without 
further crack propagation, it passes this test.
    (4) Perform the test on the entrance and exit platforms of the slide 
runway.

[41 FR 2751, Jan. 19, 1976; 41 FR 9307, Mar. 4, 1976; 41 FR 10062, Mar. 
9, 1976, as amended at 41 FR 12638, Mar. 26, 1976; 41 FR 13911, Apr. 1, 
1976]



Sec. Sec. 1207.6-1207.8  [Reserved]



Sec. 1207.9  Product certification.

    (a) Certification shall be in accordance with section 14(a)(1) of 
the Consumer Product Safety Act (15 U.S.C. 2063(a)(1)).
    (b) A certificate shall accompany the swimming pool slide (in the 
form of a permanent label on the shipping container(s) or in the form of 
a separate certificate) to all distributors and retailers to whom the 
material is delivered certifying that the slide conforms to this part 
1207. The certificate or permanent label issued under this section shall 
be based upon either a test of each product or a reasonable testing 
program, shall state the name of the manufacturer or private labeler 
issuing the certificate, and shall include the date and place of 
manufacture.
    (c) Any certificate shall be based upon the test procedures and 
requirements specified in this part 1207.



Sec. 1207.10  Handling, storage, and marking.

    (a) Marking. The manufacturer's or private labeler's identification 
shall appear on the slide and shipping container. Such identification 
shall include the identity and address of the manufacturer or private 
labeler. If a private labeler's name is used, the marking shall include 
a code mark that will permit an identification of the manufacturer.
    (b) Shipping, handling, and storage. The slide shall be designed, 
constructed, or packaged so that reasonably foreseeable shipping, 
handling, and storage will not cause defects in the slide that will 
prevent the slide from complying with the requirements of this part 
1207.



Sec. 1207.11  References.

    (a) ``Statistical Abstract of the United States 1973,'' U.S. Dept. 
of Commerce, pp. 181-185, 192.
    (b) ``Human Engineering Guide for Equipment Designers,'' Woodson and 
Conover, pp. 2-166 through 2-169 published by the University of 
California Press, 2223 Fulton St., Berkeley, California 94720.
    (c) ``Human Engineering Guide to Equipment Design,'' Van Cott and 
KinKade, published by U.S. Dept. of

[[Page 282]]

Defense, 1972, Library of Congress Card No. 72-600054, pp. 457-465.
    (d) ``The Measure of Man--Human Factors in Design,'' by Henry 
Dreyfuss, published by Watson-Guptill Publications, Inc., 1 Astor Plaza, 
New York, New York, 10036.
    (e) ``Medical Tribune'', Wed., 8/15/73, p. 21.
    (f) ``Technical Rationale in Support of A Safety Standard for 
Swimming Pool Slides,'' 5/30/75. National Swimming Pool Institute, 2000 
K Street NW., Washington, D.C. 20006.



Sec. 1207.12  Stockpiling.

    (a) Definitions. As used in this section:
    (1) Stockpiling means manufacturing or importing swimming pool 
slides between the date of promulgation of part 1207 in the Federal 
Register and its effective date at a rate greater than five percent more 
than the rate at which the slides were manufactured or imported during 
the base period.
    (2) Base period means, at the option of the manufacturer or importer 
concerned, any period of 180 consecutive days beginning on or after 
January 2, 1974, and ending on or before December 31, 1974.
    (3) Rate of production (or importation) means the total number of 
swimming pool slides manufactured (or imported) during a stated time 
period. In determining whether a slide was manufactured (or imported) 
during a stated time period, the later of the date on which the slide 
runway was manufactured (or imported) or the date on which the 
accompanying ladder and other support parts were manufactured (or 
imported) shall be used.
    (b) Prohibited acts. Manufacturers and importers of swimming pool 
slides, as these products are defined in Sec. 1207.3(a)(28) shall not 
manufacture or import slides that do not comply with the requirements of 
this part 1207 between January 19, 1976, and July 17, 1976, at a rate 
which is greater than the rate of production or importation during the 
base period plus five percent of that rate.
    (c) Manufacturers and importers shall maintain appropriate 
documentation to be able to substantiate to the Commission that they are 
in compliance with the provisions of this section.

[41 FR 2751, Jan. 19, 1976, as amended at 41 FR 15003, Apr. 9, 1976]



PART 1209--INTERIM SAFETY STANDARD FOR CELLULOSE INSULATION--Table of Contents




                         Subpart A--The Standard

Sec.
1209.1 Scope and application.
1209.2 Definitions and measurements.
1209.3 General requirements.
1209.4 Test procedures for determining settled density.
1209.5 Test procedures for corrosiveness.
1209.6 Test procedures for critical radiant flux.
1209.7 Test procedures for smoldering combustion.
1209.8 Procedure for calibration of radiation instrumentation.
1209.9 Labeling requirement.
1209.10 Certification and enforcement.
1209.11 Effective date.

Figures 1-10

                        Subpart B--Certification

1209.31 Purpose and applicability.
1209.32 Definitions.
1209.33 Reasonable testing program.
1209.34 Qualification testing.
1209.35 Product specification.
1209.36 Production testing.
1209.37 Corrective actions.
1209.38 Records.
1209.39 Certification of compliance.
1209.40 Certification responsibility, multiple parties.
1209.41 Effective date.

    Source: 44 FR 39966, July 6, 1979, unless otherwise noted.



                         Subpart A--The Standard

    Authority: Sec. 35(c)(2), Pub. L. 95-319, 92 Stat. 388-389 (15 
U.S.C. 2082).



Sec. 1209.1  Scope and application.

    (a) Scope. This part 1209, an interim consumer product safety 
standard, prescribes flame resistance and corrosiveness requirements for 
cellulose insulation that is a consumer product. These requirements are 
intended to reduce or eliminate an unreasonable risk of injury to 
consumers from flammable and corrosive cellulose insulation. The 
requirements are based upon the flame

[[Page 283]]

resistance and corrosiveness requirements of General Services 
Administration Specification HH-I-515D.
    (b) Application. This part 1209 shall apply to cellulose insulation 
that is a consumer product, that is, cellulose insulation produced or 
distributed for sale to, or for the personal use, consumption, or 
enjoyment of consumers in or around a permanent or temporary household 
or residence, a school, in recreation, or otherwise. The interim 
standard applies to cellulose insulation that is produced or distributed 
for sale to consumers for their direct installation or use, as well as 
cellulose insulation that is produced or distributed for installation by 
professionals. This part 1209 applies only to cellulose insulation 
manufactured after October 15, 1979.



Sec. 1209.2  Definitions and measurements.

    (a) As used in this part 1209, Cellulose insulation means cellulosic 
fiber, loose fill, thermal insulation that is suitable for blowing or 
pouring applications.
    (b) The definitions given in section 3 of the Consumer Product 
Safety Act are applicable to this part 1209.
    (c) For the purposes of conformance with the technical requirements 
of this standard, the figures are given in the metric system of 
measurement. The inch-pound system approximations of these figures are 
provided in parentheses for convenience and information only. For 
numerical quantities for which no specific tolerances are given, the 
tolerance shall be one half of the unit value of the last significant 
digit given in the dimension. Where numerical quantities are given 
without tolerances in both the metric and inch-pound system of 
measurements, the tolerance shall be one half of the last significant 
digit of the metric equivalent of the numerical quantity.
    (d) The specifications and dimensions in the test methods below are 
given in metric units, with the English equivalents in parentheses. For 
enforcement purposes the Commission will use metric units.



Sec. 1209.3  General requirements.

    (a) All cellulose insulation to which this interim standard applies, 
as described in Sec. 1209.1, shall be noncorrosive when tested in 
accordance with the test procedures at Sec. 1209.5 and evaluated using 
the criteria at Sec. 1209.5(c). This means that after the product is 
tested, the six metal coupons used in the test shall not have any 
perforations (excluding notches extending into the coupon 3 mm or less 
from any edge) when the coupons are observed over a 40-W appliance light 
bulb.
    (b) All cellulose insulation to which this interim standard applies, 
as described in Sec. 1209.1, shall have a critical radiant flux equal to 
or greater than 0.12 W/cm\2\ for each of the three specimens when tested 
in accordance with the test procedures at Sec. 1209.6.
    (c) All cellulose insulation to which this interim standard applies, 
as described in Sec. 1209.1, shall have no evidence of flaming 
combustion and shall also have weight loss of 15 percent or less of the 
initial weight, for each of the three specimens, when tested in 
accordance with the test procedures at Sec. 1209.7.
    (d) All containers of cellulose insulation to which this interim 
standard applies, as described in Sec. 1209.1, shall have a labeling 
statement in accordance with the labeling requirements at Sec. 1209.9.



Sec. 1209.4  Test procedures for determining settled density.

    The settled density of lose fill insulation must be determined 
before the corrosiveness test (Sec. 1209.5) and the smoldering 
combustion test (Sec. 1209.7) can be performed. This section describes 
the procedure for determining the settled density of loose fill 
insulation.
    (a) Apparatus and materials. (1) An insulation specimen container 
with a flat bottom and an inside diameter of 15.01 cm, 
straight sides [without a flared lip or spout, (Apparatus 1)]. 
The height of the beaker shall be such that the distance between the 
bottom of the cyclone and the top edge of the beaker is 8.5 
cm1.0 cm. (3.39 in.39 in).
    (2) A flat-rigid disc with a total weight of 755 g 
(2.650.18 oz) and of a suitable diameter to fit loosely into 
the specimen container. Weight may be added to the center of the disc to 
bring the total weight to the required 755 g (Apparatus 
2).

[[Page 284]]

    (3) A balance of 2 kg (4.4 lbs) capacity accurate at least to 0.2 g 
(0.007 oz) (Apparatus 3).
    (4) Blower apparatus, two units (supply and overflow) meeting the 
following specifications: (The Commission staff has found that a Breuer 
Electric Manufacturing Co., Model 98805 blower is suitable for this 
purpose, although other blowers may be suitable.) (Apparatus 
4).
    (i) Each blower apparatus shall be capable of blowing an average of 
272.2 kg (600 lbs.) of insulation per hour.
    (ii) Each blower apparatus shall have a nominal air flow of 2.1 
cm\3\/min. (75 ft\3\/min.)
    (iii) Each blower apparatus shall have a nominal motor speed of 
16,450 revolutions per minute at 115 VAC.
    (5) A shaker unit capable of shaking 4.5 kg (10 lb) of weight with a 
vertical motion of 0.5 g Root Mean Square (RMS) acceleration at an 
approximate frequency of 9 Hertz (Hz) and displacement of approximately 
1.17 cm (\15/32\\1/32\ in.) .08 cm peak to peak. 
(The Commission staff has found that a Tyler Industries, Portable Sieve 
Shaker Model Rx-24 is suitable for this purpose, although other shakers 
may be suitable.) (Apparatus 5).
    (6) Fill chamber with inside dimensions of 45.7 cm (18 in) high x 
38.1 cm (15 in) wide x 38.1 cm (15 in) deep, with covered openings that 
will allow a radiant panel tray to be slid through the chamber, (see 
Figure 1 for details) (Apparatus 6).
    (7) A cyclone receiver (see Figure 2 for complete details). 
(Apparatus 7).
    (8) Various lengths of nominally 2-inch diameter hose (see Figure 1 
for details), as follows:
    (i) A supply source hose, 274.35.1 cm (9 ft2 
in) (Apparatus 8(i)).
    (ii) A cyclone receiver hose, 182.95.1 cm (6 
ft2 in) (Apparatus 8(ii)).
    (iii) A fill chamber exit hose, 91,.45.1 cm (3 
ft2 in) (Apparatus 8(iii)).
    (iv) An overflow exhaust hose, length as needed (Apparatus 
8(iv)).
    (9) Blower Control(s) capable of operating the two blowers at 40 
volts RMS. As an example, a variac for each of the two blowers with 
sufficient rating to operate at 40 volts and 12 amperes RMS would be 
acceptable (Apparatus 9).
    (10) An insulation holding container to hold a sufficient quantity 
of insulation to fill the specimen container four times.
    (11) A garden rake, 50.8 cm (20 in) wide (Apparatus 11).
    (12) A shovel (Apparatus 12).
    (b) Conditioning. Specimens shall be conditioned to equilibrium at 
215  deg.C (69.89  deg.F) and 505 % 
relative humidity. A less than 1% change in net weight of the specimen 
in two consecutive weighings with two hours between each weighing 
constitutes equilibrium.
    (c) Test specimen preparation--(1) Insulation intended for pneumatic 
applications. If the insulation is intended for pneumatic applications, 
the test specimens shall be prepared in the following manner:
    (i) If ambient laboratory conditions are different from the 
conditioning requirements specified in (b) above, begin testing the 
specimen for settled density within 10 minutes after it has been removed 
from the conditioned area.
    (ii) Pour the conditioned insulation into the holding box (Apparatus 
10) in sufficient quantity to fill the specimen container 
(Apparatus 1 shown in Figure 1) four times. Manually break up 
any large clumps of material that might cause feeding problems.
    (2) Insulation intended for pouring applications. If the insulation 
is intended for pouring applications, the test specimens shall be 
prepared in the following manner:
    (i) If ambient laboratory conditions are different from the 
conditioning requirements specified in (b) above, begin testing 10 
minutes after it has been removed from the conditioned area.
    (ii) Pour loose fill insulation into a simulated attic space until 
full. The attic space shall be formed by two nominal 2 x 6 (243 cm) (8 
ft) long joists placed 40.6 cm (16 in) on center with 1.27 cm (\1/2\ in) 
plywood nailed to the ends and bottom. Fluff the material with a garden 
rake (Apparatus 11), applyilng a series of small amplitude 
strokes while moving the rake slowly along the joist. Repeat the 
fluffing process six times.
    (d) Procedures--(1) Procedures for insulation intended for pneumatic 
applications. If the insulation is intended for

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pneumatic applications, conduct the following procedures:
    (i) The test shall be conducted in an area conditioned to the 
requirements of Sec. 1209.4(b).
    (ii) The apparatus shall be set up as shown in Figure 1. (Apparatus 
9 and 10 are not shown in Figure 1, but are described 
at Sec. 1209.4(a)). Connect one end of the supply source hose (Apparatus 
8.i) to the intake of the supply blower (Apparatus 4). 
The other end will be used to pick up insulation from the holding 
container (Apparatus 10). Connect one end of the cyclone 
receiver hose (Apparatus 8.ii) to the outlet of the supply 
blower and the other end to the cyclone receiver (Apparatus 7). 
Connect one end of the fill chamber exit hose (Apparatus 8.iii) 
to the intake of the overflow blower (Apparatus 4) and the 
other end to the fill chamber (Apparatus 6). The fill chamber 
shall be placed on a flat and level surface. Connect one end of the 
variable length overflow exhaust hose (Apparatus 8.iv) to the 
outlet of the overflow blower. The other end should be conveniently 
placed to reduce insulation dust in the test area.
    (iii) Weigh the empty insulation specimen container and record its 
weight.
    (iv) Place the empty insulation specimen container in the fill 
chamber (Apparatus 6) centered under the cyclone receiver 
(Apparatus 7), and close the front cover.
    (v) Adjust the blower control(s) (Apparatus 9) such that 
the supply and overflow blowers will operate at a no load voltage of 40 
volts RMS.
    (vi) Turn on the blowers simultaneously and proceed to fill the 
insulation specimen container by picking up material from the holding 
container using the supply source hose.
    (vii) The container may fill unevenly, i.e. a void may tend to form 
off center in the container. If this occurs, stop the blowing process 
and rotate the container 180 degrees and continue the blowing process 
until the container just begins to overflow. If, for any reason, the 
filling process is interrupted for more than one minute or for more than 
the one time allowed to rotate the container, begin the process again.
    (viii) Gently screed the excess material using a straight edge so as 
to leave a uniform surface of the insulation flush with the top of the 
container.
    (ix) Weigh the filled and leveled container and record the weight. 
Take care not to bump or jar the container so as not to introduce any 
extraneous settling of the insulation.
    (x) Cover the container to prevent spilling and secure the container 
to the shaker. Operate the shaker for a period of 5 
minutes15 seconds.
    (xi) Remove the container from the shaker and uncover, taking care 
not to bump or jar it. Lower the disc (Apparatus 2) very slowly 
into the container until it starts to contact the insulation. At this 
point, release the disc and allow it to settle onto the insulation under 
its own weight.
    (xii) Measure the volume of the space occupied by the settled 
insulation using the bottom edge of the disc as the upper datum point. 
If the disc is not level, measure the high and low points of the bottom 
of the disc and average the readings and use this as the height 
measurement in calculating the volume (Vs). This settled 
insulation volume and insulation weight (w) shall be used to calculate 
the settled density.
    (xiii) Repeat this procedure [steps (i through xi)] using another 
specimen of the insulation until four settled densities are obtained for 
a given material. Then average these figures to arrive at a final 
settled density.
    (2) Procedures for insulation intended for pouring applications. If 
the insulation is intended for pouring applications, conduct the 
following procedures:
    (i) Weigh the empty insulation specimen container and record its 
weight.
    (ii) Using a shovel (Apparatus 12) remove insulation from 
the simulated attic space and place it into the specimen container until 
the container just begins to overflow.
    (iii) Follow steps (vi) through (xii) as specified under Procedures 
for insulation intended for pneumatic applications.
    (iv) Repeat this procedure (steps (i) through (iii)) using another 
specimen

[[Page 286]]

of the insulation until four settled densities are obtained for a given 
material. Then average these figures to arrive at a final settled 
density.
    (e) Insulation intended for pouring and pneumatic applications. If 
the insulation is intended for both pouring and pneumatic applications, 
or if it is uncertain whether the insulation will be poured or installed 
pneumatically, the insulation shall be tested for settled density using 
the test specimen preparation and test procedures at Sec. 1209.4 (c) and 
(d) for each of the applications. The larger of the two settled density 
values shall be used in performing the corrosiveness test at Sec. 1209.5 
and the smoldering combustion test at Sec. 1209.7.
    (f) Calculations. Calculate the settled density of each specimen 
using the following formula:
Settled Density in kg/m\3\=W/Vs, where
W=combined weight of the container and insulation in grams, minus the 
weight of the container in grams.
Vs=volume of insulation in liters after shaking.



Sec. 1209.5  Test procedures for corrosiveness.

    This section prescribes the procedures for determining the 
corrosiveness of cellulose insulation. Cellulose insulation shall be 
tested for corrosiveness using the measured settled density, obtained by 
following the test procedure at Sec. 1209.4, to calculate the amount of 
distilled or deionized water to add to the test specimens. Determination 
of corrosiveness shall be in accordance with the following test 
procedure:
    (a) Apparatus and materials--(1) Humidity chamber. A forced-air 
humidity chamber capable of maintaining 48.9 1.7  deg.C 
(1203  deg.F) and 97 1.5 percent relative 
humidity.
    (2) Crystallizing dishes. Six glass crystallizing dishes, 90 mm 
(3.54 in) diameter by 50 mm (1.9 in) height.
    (3) Test coupons. (i) Two aluminum coupons. 3003 bare aluminum, zero 
temper.
    (ii) Two copper coupons. ASTM B 152, type ETP, Cabra No. 110 soft 
copper.
    (iii) Two steel coupons. Low carbon, commercial quality, cold 
rolled, less than 30 carbon content, shim steel.

Each coupon shall be 50.8 by 50.8 mm (2 by 2 in) by 0.076 mm (0.003 in) 
thick metal free of tears, punctures, or crimps.
    (4) Test specimens: Six test specimens of insulation shall be used 
for one test. Each specimen shall weigh 20g (0.7 oz).
    (b) Procedure--(1) General procedures for cleaning all metal 
coupons. The metal coupons shall be cleaned by the following method:
    (i) At no time during the fabrication, cleaning or testing shall the 
metal coupons be touched by ungloved hands.
    (ii) Gloves shall be clean and in good condition.
    (iii) All chemicals used shall be of American Chemical Society 
reagent grade or better, free from oily residues and other contaminants.
    (iv) Water shall be distilled or deionized water.
    (v) Handle cleaned coupons only with clean forceps.
    (vi) In order to avoid exposing laboratory personnel to toxic fumes, 
the commission recommends that all cleaning procedures be performed in a 
fume hood.
    (vii) Clean the coupons by vapor degreasing with 1,1,1-
trichloroethane for ten minutes. Following vapor degreasing, subject the 
coupons to caustic and/or detergent washing as appropriate. Following 
caustic or detergent washing, rinse the coupons in flowing water to 
remove residues. Inspect each coupon for a water-break free surface. (A 
water-break is a break, separation, beading or retraction of the water 
film as the coupon is held vertically after wetting. As the coupons are 
cleaned, the water film should become gradually thinner at the top and 
heavier at the bottom.) Hot air dry the coupons at 105  deg.C (221 
deg.F).
    (2) Specimens of cellulose insulation submitted for testing shall be 
blown, combed, or otherwise mixed to reasonably assure homogeneity in 
the cellulose insulation test specimens.
    (3) Before presaturating each 20g (0.7 oz) test specimen, subdivide 
it into two 10g (0.35 oz) portions. The quantity of distilled or 
deionized water to be used for each 10g (0.35 oz) portion shall be 
determined using the following formula:

ml distilled water = 46 / (settled density, Kg/m \3\) x 75


[[Page 287]]



or

ml distilled water = 2.9 / (settled density, lb/ft \3\) x 75

    (4) Presaturate each 10g (0.35 oz) portion with the determined 
amount of water. Place one presaturated 10g (0.35 oz) portion into a 
crystallizing dish, tamp level using the bottom of a clean suitably 
sized glass beaker. Place a metal coupon onto the presaturated 
insulation portion and center it in a horizontal plane. Place the other 
presaturated 10g (0.35 oz) portion into the crystallizing dish on the 
metal coupon and tamp the composite specimen (metal coupon plus 
saturated insulation in the crystallizing dish) to assure an even 
distribution of this material and to assure good contact of the 
insulation with the metal. Exercise care in preparing the composite 
specimens to eliminate air pockets from forming next to the metal 
coupons.
    (5) Do not cover the crystallizing dish. (Care should be taken to 
avoid evaporation from the composite specimen while it is being prepared 
until it is placed in the humidity chamber.) If dripping occurs in the 
chamber, position a drip guard in the chamber to divert condensation to 
the chamber floor. Repeat the above for the other metal coupons. Place 
all six composite specimens into the humidity chamber. The chamber shall 
be preconditioned to 48.9 1.7  deg.C (120 3 
deg.F) and 97 1.5 percent relative humidity. The specimens 
shall remain in the chamber for 336 4 hours. (Keep the 
chamber door open a minimum of time while placing composite specimens in 
and removing them from the chamber.)
    (6) Upon completion of the test disassemble the composite specimens. 
Thoroughly wash the metal coupons under running water and lightly brush 
them using a soft nylon bristle brush or equivalent to remove loose 
corrosion products. Remove the remaining corrosion products from the 
metal coupons by cleaning them in accordance with the following 
practices: \1\
---------------------------------------------------------------------------

    \1\ These practices are the recommended practices in ``ASTM G1--
Standard Recommended Practice for Preparing, Cleaning, and Evaluating 
Corrosion Test Specimens,'' published by American Society for Testing 
and Materials, 1916 Race Street, Philadelphia, Pa. 19103.
---------------------------------------------------------------------------

    (i) Technique 1--Electrolytic Cleaning. This technique can 
be used for post-cleaning the tested copper, steel and aluminum coupons.

Description: Electrolyze the coupons as follows: Make a solution 
containing 28 ml of sulfuric acid (specific gravity 1.84), 2 ml of 
organic inhibitor, e.g. aobut 0.5 g/liter of such inhibitors as 
diorthotolyl thiourea, quinoline ethiodide, or betanaphthol quinoline 
may be used, and 970 ml of water. The solution shall be at 75  deg.C 
(167  deg.F). The anode shall be carbon or lead, and the cathode shall 
be one metal coupon. The electrolyzing shall run for 3 minutes at a 
current density of 20 A/dm\2\. Caution: If lead anodes are used, lead 
may deposit on the coupon. If the coupon is resistant to nitric acid, 
the lead may be removed by a flash dip in 1 + 1 nitric acid (plus 
water). To avoid injury in this and subsequent techniques when mixing 
acid and water, gradually pour the acid into the water with continuous 
stirring, provide cooling if necessary.
    (ii) Technique 2--Copper. This technique or Technique 
1 can be used for post-cleaning the tested copper coupons only.

Description: Make a solution containing 500 ml of hydrochloric acid 
(specific gravity 1.19), 100 ml of sulfuric acid (specific gravity 
1.84), and 400 ml of water. To avoid injury, prepare the solution by 
slowly adding the sulfuric acid to the water with continuous stirring. 
Cool, then add the hydrochloric acid slowly with continuous stirring. 
The solution shall be at room temperature. Dip the coupons in the 
solution for 1 to 3 minutes.
    (iii) Technique 3--Steel. This technique or technique 
1 can be used for post-cleaning the tested steel coupons only.

Description: Use one of the following two solutions:
    Solution 1. Add 100 ml of sulfuric acid (specific gravity 
1.84), 1.5 ml organic inhibitor, and water to make a l liter solution. 
The solution shall be 50  deg.C (120  deg.F). Dip the coupons in this 
solution.

[[Page 288]]

    Solution 2 (also referred to as Clarke's solution). Add 20 
g of antimony trioxide and 50 g of stannous chloride to 1 liter of 
hydrochloric acid (specific gravity 1.19). The solution shall be stirred 
and be used at room temperature. Dip the coupons in this solution 
stirring the solution at a rate such that deformation of the coupons 
does not occur. This dipping shall last for up to 25 minutes.
    (iv) Technique 4--Aluminum. This technique or technique 
1 can be used for post-cleaning the tested aluminum coupons 
only.

Description: Make a 1 liter solution by adding 20g of chromic acid, and 
50 ml of phosphoric acid (specific gravity 1.69), to water. The solution 
shall be 80  deg.C (176  deg.F). Dip the coupons in this solution for 5-
10 minutes. If a film remains, dip the coupons in nitric acid (specific 
gravity 1.42) for 1 minute. Repeat the chromic acid dip. Nitric acid 
alone may be used if there are no deposits.
    (7) After cleaning, examine the metal coupons over a 40-W appliance 
light bulb for perforation.
    (c) Noncorrosiveness. Noncorrosiveness shall be determined by the 
absence of any perforations (excluding notches which extend into the 
coupon 3 mm or less from any edge) on each of the six test coupons when 
the coupons are observed over a 40-W appliance light bulb.



Sec. 1209.6  Test procedures for critical radiant flux.

    This section provides the test procedure for determining the 
critical radiant flux of exposed attic floor insulation using a radiant 
heat energy source.
    (a) Apparatus and description of test procedure. Test chamber 
(Figures 3 and 4 paragraph (b) of this section). An air-gas fueled 
radiant heat energy panel or equivalent panel inclined at 30 deg. above 
and directed at a horizontally-mounted attic floor insulation specimen. 
The radiant panel generates a radiant energy flux distribution ranging 
along the approximately 100-cm length of the test specimen from a 
nominal maximum of 1.0 W/cm.\2\ to a minimum of 0.1 W/cm\2\. The test is 
initiated by open flame ignition from a pilot burner. The distance 
burned to flame-out is converted to W/cm\2\ from the flux profile graph 
(Figure 8) and reported as critical radiant flux, W/cm\2\. Section 
1209.8 provides a procedure for calibrating the radiation pyrometer used 
to standardize the thermal output of the panel.
    (b) Construction and instrumentation of the radiant panel test 
chamber. The radiant panel test chamber shall be constructed and 
instrumented as follows:
    (1) The radiant panel test chamber employed for this test shall be 
located in a draft protected area maintained at 213  deg.C 
(69.89  deg.F) and relative humidity of 5020%. 
The radiant panel test chamber, (Figures 3 and 4) shall consist of an 
enclosure 140 cm (55 in) long by 50 cm (19\1/2\ in) deep by 71 cm (28 
in) above the test specimen. The sides, ends, and top shall be of 1.3 cm 
nominal (\1/2\ in) calcium silicate board, such as Marinite I, 0.74 g/
cm\3\ (46 lb/ft\3\) nominal density, with a thermal conductivity at 177 
deg.C (350  deg.F) of 1.11 cal (g)/hr cm\2\  deg.C/cm [0.89 Btu/(hr) 
(ft\2\) ( deg.F/in)]. One side shall be provided with an approximately 
10 cm x 110 cm (4 x 44 inches) draft tight fire resistant glass window 
so that the entire length of the test specimen may be observed from 
ourside the fire test chamber. On the same side and below the 
observation window is a door which, when open, allows the specimen 
platform to be moved out for mounting or removal of test specimens. A 
draft tight, fire resistant observation window may be installed at the 
low flux end of the chamber.
    (2) The bottom of the test chamber shall consist of a sliding steel 
platform which has provisions for rigidly securing the test specimen 
holder in a fixed and level position. The free, or air access, area 
around the platform shall be in the range of 1935-3225 cm\2\ (300-500 
square in). The top of the chamber shall have an exhaust stack with 
interior dimensions of 10.2 cm (4 in) wide by 38 cm (15 in) deep by 31.8 
cm (12.5 in) high at the opposite end of the chamber from the radiant 
energy source. The radiant heat energy source shall be a panel of porous 
refractory material mounted in a cast iron frame, with a radiation 
surface of 30.5x45.7 cm nominal (12 by 18 in). The panel fuel system 
shall consist of a venturi-type aspirator or equivalent system for 
mixing gas and air at approximately atmospheric pressure, a clean dry 
air supply

[[Page 289]]

capable of providing 28.3 NTP (Normal Temperature and Pressure m\3\ per 
hr (1000 standard cubic feet per hour) at 7.6 cm (3.0 in) of water, and 
suitable instrumentation for monitoring and controlling the flow of fuel 
to the panel.
    (3) The radiant heat energy panel shall be mounted in the chamber 
300.5 deg. to the horizontal specimen plane. The horizontal 
distance from the 0 mark on the specimen fixture to the bottom edge 
(projected) of the radiating surface of the panel is 8.9 
cm0.1 (3\1/2\\1/32\ in). The panel to specimen 
vertical distance is 14.0 cm0.1 (5\1/2\\1/32\ 
in) (see Figure 5). The angle and dimensions given above are critical in 
order to obtain the required radiant flux. The radiation pyrometer for 
standardizing the thermal output of the panel shall be suitable for 
viewing a circular area 25.0 cm (10 in) in diameter at a range of about 
1.37 m (54 in). It shall be calibrated over the black body temperature 
range of 490-510  deg.C (914-950  deg.F) in accordance with the 
procedure described in Sec. 1209.8. A high impedance voltmeter with a 
suitable millivolt range shall be used to monitor the output of the 
radiation pyrometer described. The dummy holder (see Figure 6), shall be 
constructed from 14 gauge heat-resistant stainless steel (AISI Type 300 
(UNA-N08330)) or equivalent thickness 0.198 cm (0.078 in), having 
overall dimension of 114 cm (45 in) by 32 cm (12\3/4\ in) with a 
specimen opening of 20 cm (7.9 inches) by 100 cm (39.4 in). Six slots 
are cut in the flange on either side of the holder to reduce warping. 
The holder is fastened to the platform with two stud bolts at each end.
    (4) The specimen tray (see Figure 7) shall be constructed from 14 
gauge heat-resistant stainless steel (AISI Type 300 (UNA-N08330)) or 
equivalent, thickness 0.198 cm (0.078 in). The depth of the tray is 
5.00.2 cm (2\5/64\ in). The flanges of the 
specimen tray are drilled to accommodate two stud bolts at each end; the 
bottom surface of the flange is 2.10.1 cm 
(0.830.04 in) below the top edge of the specimen tray. The 
overall dimensions of the tray and the width of the flanges are not 
critical and should be chosen so that the tray essentially fills the 
open space in the sliding platform. Tray must be adequate to contain a 
specimen at least 100 cm long and 25 cm wide. It is important to note 
that the zero reference point on the dummy specimen coincides with the 
pilot burner flame impingement point (see Figure 5).
    (5) The pilot burner used to ignite the specimen shall be a propane 
venturi torch with an axially sysmmetric burner tip having a propane 
supply tube with an orifice diameter of 0.00760.0013 cm 
(0.0030.0005 in). In operation, the propane flow is adjusted 
to give a pencil flame blue inner cone length of 1.3 cm (\1/2\ in). The 
pilot burner is positioned so that the flame generated will impinge on 
the centerline of the specimen at the zero reference point and at right 
angles to the specimen length (see Figures 3 and 4). The burner shall be 
capable of being swung out of the ignition position so that the flame is 
horizontal and at least 5 cm (2 in) above the specimen plane.
    (6) Two 3.2 mm nominal (\1/8\ in) diameter stainless steel sheathed, 
grounded junction chromel alumel thermocouples are located in the 
flooring radiant panel test chamber (see Figures 3 and 4). Thermocouples 
shall be kept clean to ensure accuracy of readout. The chamber 
thermocouple is located in the longitudinal central vertical plane of 
the chamber 2.5 cm0.1 (1\1/32\ in) down from the 
top and 10.2 cm0.1 (4 in\1/32\) back from the 
inside of the exhaust stack. The exhaust stack thermocouple is centrally 
located 15.20.1 cm (6\1/32\ in) from the top. A 
temperature indicating device with a range of 100-500  deg.C (212-932 
deg.F) may be used to determine the chamber temperatures prior to a 
test.
    (7) An exhaust duct with a capacity of 28.3-85 NTP m\3\ per minute 
(1000-3000 standard cubic feet per minute) decoupled from the chamber 
stack by at least 7.6 cm (3 in) on all sides and with an effective area 
of the canopy slightly larger than the plane area of the chamber with 
the specimen platform in the out position shall be used to remove 
combustion products from the chamber. With the panel turned on and dummy 
specimen in place, there shall be no measurable difference in air flow 
through the chamber stack with the exhaust on or off.
    (8) The dummy specimen which is used in the flux profile 
determination

[[Page 290]]

shall be made of 1.90.1 cm (\3/4\\1/32\ in) 0.74 
g/cm\3\ (46 lb/ft\3\) nominal density calcium silicate board, such as 
Marinite I (see Figure 6). It is 25 cm (10 in) wide by 107 cm (42 in) 
long with 2.70.1 cm (1\1/16\\1/32\ in) diameter 
holes centered on and along the centerline at the 10, 20, 30, 40, 50, 
60, 70, 80, 90 cm locations (within 0.1 cm), measured from 
the zero reference point at the maximum flux end of the specimen. The 
total heat flux transducer used to determine the flux profile of the 
chamber in conjunction with the dummy specimen should be of the Schmidt-
Boelter type, having a range of 0-1.5 W/cm\2\ (0-1.32 Btu/ft\2\ s), and 
shall be calibrated over the operating flux level range of .10 to 1.5 W/
cm\2\ in accordance with the procedure outlined in Sec. 1209.8. The 
incoming cooling water flowing through the instrument shall be 15-25 
deg.C (59-77  deg.F). A high impedance voltmeter with a resolution of at 
least 0.01 mV shall be used to measure the output of the total heat flux 
transducer during the flux profile determination. A timer shall be used 
for measuring preheat and pilot contact time.
    (c) Safety procedures. The possibility of a gas-air fuel explosion 
in the test chamber should be recognized. Suitable safeguards consistent 
with sound engineering practice should be installed in the panel fuel 
supply system. These may include one or more of the following:
    (1) A gas feed cut-off activated when the air supply fails,
    (2) A fire sensor directed at the panel surface that stops fuel flow 
when the panel flame goes out,
    (3) A commercial gas water heater or gas-fired furnace pilot burner 
control thermostatic shut-off, which is activated when the gas supply 
fails, or other suitable and approved device.

Manual reset is considered a desirable feature of any safeguard system 
used. In view of the potential hazard from products of combustion, the 
exhaust system must be so designed and operated that the laboratory 
environment is protected from smoke and gas. The operator should be 
instructed to minimize exposure to combustion products by following 
sound safety practices, such as ensuring that the exhaust system is 
working properly and wearing appropriate clothing, including gloves.
    (d) Test specimens--(1) Specimens of insulation intended for 
pneumatic applications. (i) Insulation shall be installed into the 
specimen tray using the blower/cyclone apparatus described in 
Sec. 1209.4(a).
    (ii) Insulation shall be conditioned as described in Sec. 1209.4(b).
    (iii) Apparatus 4, 6, 7, 8, 9 and 10 shall be used as 
described in Sec. 1209.4(d)(1)(i) with the following additional 
requirements.
    (iv) The fill chamber (apparatus 6) shall be equipped with 
openings in the front and back so that a radiant panel specimen tray can 
be slid through the fill chamber.
    (v) Adjust the blower control(s) (apparatus 9) such that 
the supply and overflow blowers will operate at a no load voltage of 40 
volts RMS.
    (vi) Turn on the blowers simultaneously and proceed to fill the fill 
chamber by picking up material from the box using the supply source 
hose. Large clumps of insulation shall be broken by hand before feeding 
them into the hose. Continue filling the chamber until large amounts of 
insulation are being drawn into the overflow hose.
    (vii) Slowly slide the specimen tray through the fill chamber so 
that the low flux end of the tray is parallel with the back of the fill 
chamber filling the tray by sliding the tray forward to allow an excess 
of insulation to build up in the tray.
    (viii) Shut off the blowers and remove the specimen tray and gently 
screed the insulation so that the insulation is level across the top of 
the tray. Take care not to compact the insulation or to leave large 
voids in the material. The tray may now be inserted into the radiant 
panel.
    (2) Specimens of insulation intended for pouring applications. 
Insulation intended for pouring applications shall be poured into the 
tray until the tray is overfilled and then carefully screeded to the top 
of the the tray taking care not to compact the insulation or leave large 
voids in the surface of the material.
    (3) Specimens of insulation intended for pouring and pneumatic 
applications. If

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the insulation is intended for both pouring and pneumatic applications, 
or if it is uncertain whether the insulation will be poured or blown, 
the insulation shall be tested using the test procedures at paragraphs 
(d) (1) and (2) of this section for each of the applications. Three 
specimens shall be tested under the test procedure for each application. 
All of the specimens shall meet the criteria at Sec. 1209.3(b) for 
passing the attic floor radiant panel test.
    (e) Radiant heat energy flux profile standardization. In a 
continuing program of tests, determine the flux profile at least once a 
week. Where the time interval between tests is greater than one week, 
determine the flux profile at the start of the test series.
    (1) Mount the dummy specimen in the mounting frame and attach the 
assembly to the sliding platform. With the sliding platform out of the 
chamber, ignite the radiant panel. Allow the unit to heat for 1 hour. 
The pilot burner is off during this determination. Adjust the fuel 
mixture to give an air-rich flame. Make fuel flow settings to bring the 
panel to an apparent black body temperature as measured by the radiation 
pyrometer, of approximately 500  deg.C (932  deg.F), and bring the 
chamber to a temperature of approximately 180  deg.C (356  deg.F). When 
equilibrium has been established, move the specimen platform into the 
chamber. Allow 0.5 hour for the closed chamber to reach equilibrium.
    (2) Measure the radiant heat energy flux level at the 40 cm point 
with the total flux meter instrumentation. This is done by inserting the 
flux meter in the opening so that its detecting plane is 0.16-0.32 cm 
(\1/16\-\1/8\ inch) above and parallel to the plane of the dummy 
specimen and reading its output after 3010 seconds. If the 
level is within the limits specified, the flux profile determination is 
started. If it is not, make the necessary adjustments in the panel fuel 
flow. A suggested flux profile data log format is shown in Figure 9.
    (3) The test shall be run under chamber operating conditions which 
give a flux profile as shown in Figure 8. The radiant heat energy 
incident on the dummy specimen shall be between 0.87 and .95 W/cm\2\ 
(0.77 and .83 Btu/ft\2\ sec) at the 20 cm point, between 0.48 and 0.52 
W/cm\2\ (0.42 and 0.46 Btu/ft\2\ sec) at the 40 cm point, and between 
0.22 and 0.26 W/cm\2\ (0.19 and 0.23 Btu/ft\2\ sec) at the 60 cm point. 
Insert the flux meter in the 10 cm opening, following the procedure 
given above. Read the millivolt output at 3010 seconds and 
proceed to the 20 cm point. Repeat the 10 cm procedure. The 30 to 90 cm 
flux levels are determined in the same manner. Following the 90 cm 
measurement, make a check reading at 40 cm. If this is within the limits 
set forth, the test chamber is in calibration, and the profile 
determination is completed. If not, carefully adjust fuel flow, allow 
0.5 hour for equilibrium and repeat the procedure. Plot the radiant heat 
energy flux data as a function of distance along the specimen plane on 
rectangular coordinate graph paper. Carefully draw the best smooth curve 
through the data points. This curve will hereafter be referred to as the 
flux profile curve.
    (4) Determine the open chamber apparent black body and chamber 
temperatures that are identified with the standard flux profile by 
opening the door and moving the specimen platform out. Allow 0.5 hour 
for the chamber to reach equilibrium. Read the radiation pyrometer 
output and record the apparent black body temperature. This is the 
temperature setting that can be used in subsequent test work in lieu of 
measuring the radiant flux at 20 cm, 40 cm, and 60 cm using the dummy 
specimen. The chamber temperature also shall be determined again after 
0.5 hour and is an added check on operating conditions.
    (f) Conditioning. Test specimens shall be conditioned to equilibrium 
at 213  deg.C (69.85.4  deg.F) and a relative 
humidity of 505 percent immediately prior to testing. A less 
than 1% change in net weight of the specimen in two consecutive 
weighings with two hours between each weighing constitutes equilibrium. 
The maximum cumulative time a conditioned sample may be exposed to 
conditions different from 213  deg.C (69.85.4 
deg.F) and relative humidity of 505% before insertion in to 
the radiant panel chamber for testing is 10 minutes.
    (g) Test Procedure. (1) With the sliding platform out of the 
chamber, ignite the radiant panel. Allow the unit to heat for 1 hour. It 
is recommended that a

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sheet of inorganic millboard be used to cover the opening when the 
hinged portion of the front panel is open and the specimen platform is 
moved out of the chamber. The millboard is used to prevent heating of 
the specimen and to protect the operator. Read the panel apparent black 
body temperature and the chamber temperature. When these temperatures 
are in agreement to within 5  deg.C (9  deg.F) 
with those determined previously, during the flux profile 
standardization procedure, the chamber is ready for use.
    (2) Mount the specimen tray with insulation on the sliding platform 
and position with stud bolts (see Figure 9). Ignite the pilot burner, 
move the specimen into the chamber, and close the door. Start the timer. 
After 2 minutes 5 seconds preheat, with the pilot burner on 
and set so that the flame is horizontal and about 5 cm above the 
specimen, bring the pilot burner flame into contact with the center of 
the specimen at the 0 mark. Leave the pilot burner flame in contact with 
the specimen for 2 minutes 5 seconds, or until all flaming 
other than in the area of the pilot burner has ceased, then remove to a 
position of at least 5 cm above the specimen and leave burning until the 
test is terminated.
    (3) If the specimen does not ignite within 2 minutes following pilot 
burner flame application, the test is terminated by extinguishing the 
pilot burner flame. For specimens that do ignite, the test is continued 
until the flame goes out. When the test is completed, the door is 
opened, and the specimen platform is pulled out.
    (4) Measure the distance burned, (the point of farthest advance of 
the flame front) to the nearest 0.1 cm (.03 in). From the flux profile 
curve, convert the distance to W/cm\2\ (Btu/ft2sec) critical radiant 
heat flux at flame out. Read to two significant figures. A suggested 
data log format is shown in Figure 10.
    (5) Remove the specimen tray from the moveable platform. The 
succeeding test can begin as soon as the panel apparent black body 
temperature and chamber temperature are verified. The specimen tray 
should be at room temperature before the next specimen is inserted.



Sec. 1209.7  Test procedures for smoldering combustion.

    This section provides the test method for determining smoldering 
combustion characteristics of materials used for thermal insulation. 
This test shall be conducted on materials at the measured settled 
density as provided in Sec. 1209.4.
    (a) Apparatus. (1) The specimen holder shall be an open-top 
200.2 cm (7.87.08 in) square box, 
100.2 cm (3.94.08 in) in height, fabricated from 
a single piece of 0.610.08 mm thick (24 U.S. Standard gauge) 
stainless steel sheet with the vertical edges of the box overlapped, not 
to exeed 7 mm (.28 in) in seam width, and soldered so as to be 
watertight. A removable extension top extending 8.5 cm. 
above the top of the smolder box shall also be provided. The specimen 
holder during test use shall rest upon a pad of unfaced glass fiberboard 
or equivalent having dimensions equal to or greater than those of the 
bottom of the specimen holder. The unfaced glass fiberboard shall be 
approximately 2.5 cm (1 in) thick with a thermal conductivity of 
0.300.05 cal(g)/hr cm\2\  deg.C/cm (0.240.04 
Btu/hr ft\2\  deg.F/in) at 23.9  deg.C (75  deg.F).
    (2) Ignition source. The ignition source shall be a cigarette 
without filter tip made from natural tobacco, 852 mm 
(3.35.08 in) long with a tobacco packing density of 
0.2700.020 g/cm\3\ (16.91.25 lb/ft\3\) and a 
total weight of 1.10.1 gm (0.0390.004 oz).
    (3) Balance. A balance of 1 kg (2.2 lb) capacity, accurate at least 
to 0.1 g (0.004 oz), is required.
    (4) Test area. The test area shall be draft-protected and equipped 
with a suitable system for exhausting smoke and/or noxious gases 
produced by testing. Air velocities as measured by a hot wire anemometer 
in the vicinity of the surface of the specimen shall not exceed 0.5 m/
sec (1.64 ft/sec). The test area shall be at 213  deg.C 
(69.85.4  deg.F) and 505 percent relative 
humidity at the time the test begins.
    (b) Test procedure. (1) Specimens and cigarettes shall be 
conditioned in air at a temperature of 213  deg.C 
(69.85.4  deg.F) and a relative humidity of 505 
percent to equilibrium prior to test. A change of less than 1% in net 
weight of the specimen in two consecutive weighings

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with two hours between each weighing constitutes equilibrium. Cigarettes 
shall be removed from any packaging and exposed in a suitable manner to 
permit free movement of air around them during conditioning. Calculate 
the weight of material necessary to fill the holder (volume 4,000 
cm\3\or 0.14 ft\3\) at the settled density as determined in 
Sec. 1209.4(e). The material shall be blown, combed, or otherwise mixed 
to remove lumps and shall be loaded uniformly into each specimen holder, 
level and flush to the top of the holder. The weight of each specimen 
shall be measured to the nearest 0.2 g (0.007 oz) or less by weighing 
the holder before and after filling. If the weight of the specimen is 
less than that calculated, a removable extension top shall be placed on 
top of the holder, the necessary amount of insulation is placed inside 
the extension and the loaded holder shall be dropped from a height no 
greater than 7.6 cm. (3 in) onto a hard flat surface. This process shall 
be repeated until the calculated weight of material completely fills the 
holder. The extension top is then removed. With the specimen in the 
holder and placed on the insulated pad, a rod of 8 mm (.31 in) diameter 
with a pointed end shall be inserted vertically into the approximate 
center of the material being tested and withdrawn to form an appropriate 
cavity for the ignition source, such that the cigarette fits snugly and 
maintains uniform contact with the specimen. A well lit cigarette, 
burned not more than 8 mm (0.31 in), shall be inserted in the formed 
cavity, with the lit end upward and flush with the specimen surface. 
Burning of the cigarette and specimen shall be allowed to proceed 
undisturbed in the test area for at least 2 hours or until the 
smoldering is no longer progressing, whichever period is longer.
    (2) After completion of burning and after the holder has cooled down 
to approximately room temperature, the specimen holder with its material 
residue shall be weighed, at least to the nearest 0.1 g (0.003 oz), and 
the percent weight loss of the original specimen calculated. The weight 
of the cigarette residue is ignored in this calculation. (That is, the 
weight of the cigarette residue is not subtracted from the net weight of 
the specimen holder's contends at the conclusion of the test.)
    (3) Three specimens per sample shall be tested.



Sec. 1209.8  Procedure for calibration of radiation instrumentation.

    This procedure is used to calibrate the radiation instruments used 
in the test procedures for measuring critical radiant flux.
    (a) Radition pyrometer. Calibrate the radiation pyrometer by means 
of a conventional black body enclosure placed within a furnace and 
maintained at uniform temperatures of 490, 500, and 510  deg.C (914, 
932, and 950  deg.F). The black body enclosure may consist of a closed 
chromel metal cylinder with a small sight hole in one end. Sight the 
radiation pyrometer upon the opposite end of the cylinder where a 
thermocouple indicates the black body temperature. Place the 
thermocouple within a drilled hole and in good thermal contact with the 
black body. When the black body enclosure has reached the appropriate 
temperature equilibrium, read the output of the radiation pyrometer. 
Repeat for each temperature.
    (b) Total heat flux meter. The total flux meter shall be calibrated 
by the National Bureau of Standards, (direct request for such 
calibration services to the: Radiometric Physics Division, 534, National 
Bureau of Standards (NBS), Washington, DC 20234.), or, alternatively, 
its calibration shall be developed by transfer calibration methods with 
an NBS calibrated flux meter. This latter calibration shall make use of 
the radiant panel tester as the heat source. Measurements shall be made 
at each of the nine dummy specimen positions and the mean value of these 
results shall constitute the final calibration.
    (c) Recommendation. It is recommended that each laboratory maintain 
a dedicated calibrated reference flux meter against which one or more 
working flux meters can be compared as needed. The working flux meters 
should be calibrated according to this procedure at least once per year.



Sec. 1209.9  Labeling requirement.

    (a) Manufacturers, importers, and private labelers of cellulose 
insulation

[[Page 294]]

shall place on all containers of cellulose insulation the following 
statement:
    This product meets the amended CPSC standard for flame resistance 
and corrosiveness of cellulose insulation.

To meet this requirement manufacturers, importers, and private labelers 
may use any type of label, including one which is pressure sensitive or 
glued on, provided the label is made in such a manner that it will 
remain attached to the container for the expected time interval between 
the manufacture of the product and its installation.
    (b) This label shall appear prominently and conspicuously on the 
container in letters which are at least one-fourth inch in height. The 
labeling statement shall be printed with legible type in a color which 
contrasts with the background on which the statement is printed.



Sec. 1209.10  Certification and enforcement.

    (a) While this part 1209 prescribes test methods to determine 
whether cellulose insulation subject to this interim standard meets its 
requirements, the interim standard itself does not require that a 
manufacturer or private labeler test any cellulose insulation. However, 
section 14 of the Consumer Product Safety Act (15 U.S.C. 2063) requires 
manufacturers and private labelers of products subject to safety 
standards to certify that the product conforms to the standard based on 
either a test of each product or a reasonable testing program. 
(Elsewhere in this issue of the Federal Register, 44 FR 39983, the 
Commission has issued a certification rule that prescribes requirements 
that manufacturers and private labelers shall follow to certify that 
their cellulose insulation complies with the requirements of the amended 
standard.)
    (b) The Commission intends to use the test procedures set forth in 
this part 1209 to determine whether insulation subject to the interim 
standard meets the requirements of the interim standard.



Sec. 1209.11  Effective date.

    All cellulose insulation that is a consumer product and that is 
manufactured after October 15, 1979 shall meet the requirements of this 
standard, including the labeling requirement of Sec. 1209.9.

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                        Subpart B--Certification

    Authority: Secs. 14, 16; 86 Stat. 1220, 1222; (15 U.S.C. 2063, 
2065).



Sec. 1209.31  Purpose and applicability.

    (a) Purpose. The purpose of this subpart B of part 1209 is to 
establish requirements that manufacturers, importers, and private 
labelers must follow to certify that their products comply with the 
Amended Interim Standard for Cellulose Insulation (16 CFR part 1209, 
subpart A). This subpart B includes requirements for conducting a 
reasonable testing program, certifying with labels and separate 
certificates, and recordkeeping.
    (b) Applicability. (1) Cellulose insulation which is subject to the 
standard includes all cellulose insulation, manufactured after the 
effective date (as described in Sec. 1209.41), produced or distributed 
for sale to, or for the personal use, consumption, or enjoyment of, 
consumers in or around a permanent or temporary household or residence, 
a school, in recreation or otherwise. The standard applies to cellulose 
insulation that is produced or distributed for sale

[[Page 305]]

to consumers, for their direct installation or use, as well as cellulose 
insulation that is produced or distributed for installation by 
professionals.
    (2) The term cellulose insulation is defined in Sec. 1209.2(a) of 
the standard to mean cellulosic fiber, loose fill, thermal insulation 
that is suitable for blowing or pouring applications.



Sec. 1209.32  Definitions.

    In addition to the definitions set forth in section 3 of the act and 
in Sec. 1209.2 of the standard, the following definitions shall apply to 
this subpart:
    Private labeler means an owner of a brand or trademark which is used 
on the label of cellulose insulation subject to the standard which bears 
a private label as defined in section 3(a)(7) of the act (15 U.S.C. 
2052(a)(7)).
    Production interval means a time span determined by the 
manufacturer, private labeler, or importer to be appropriate for 
conducting a test or series of tests on samples of the cellulose 
insulation being produced to demonstrate that the product meets the 
requirements of the standard. An appropriate production interval may 
vary from test to test. The time period for a production interval shall 
be short enough to ensure that if the samples selected for testing 
comply with the standard or a portion of the standard, the insulation 
produced during the period will meet the standard or the appropriate 
portion of the standard.



Sec. 1209.33  Reasonable testing program.

    (a) General. Section 14(a) of the Consumer Product Safety Act (15 
U.S.C. 2063(a)) requires each manufacturer, importer, or private labeler 
of a product which is subject to a consumer product safety standard to 
issue a certificate of compliance with the applicable standard and to 
base that certificate upon a test of each item or upon a reasonable 
testing program. Because it is not practical to test each item subject 
to the standard, a reasonable testing program shall be used to support 
certificates of compliance for cellulose insulation.
    (b) Requirements of testing program. A reasonable testing program 
for cellulose insulation is one which demonstrates with reasonable 
certainty that insulation certified to comply with the standard will 
meet all requirements of the standard. Manufacturers, private labelers, 
and importers shall determine the types and frequency of testing for 
their own reasonable testing programs. A reasonable testing program may 
include either the tests prescribed by the standard, or any other 
reasonable test procedures. However, a reasonable testing program cannot 
consist of tests which the party issuing the certificate of compliance 
knows (or through the exercise of reasonable diligence should know) will 
pass or accept insulation which will yield failing results when 
subjected to any of the tests in the standard. All reasonable testing 
programs shall consist of four elements:
    (1) Qualification tests which must be performed on samples of the 
manufacturer's cellulose insulation to demonstrate that the product is 
capable of passing the tests prescribed by the standard.
    (2) A description of the cellulose insulation which passed the 
qualification testing. This description is known as the ``product 
specification.''
    (3) Production tests, which must be performed at appropriate 
production intervals as long as the cellulose insulation is being 
manufactured.
    (4) Corrective action, which must be taken whenever samples of the 
cellulose insulation yield unacceptable or failing test results.
    (c) Commission testing. The Commission will test for compliance with 
the standard by using the test procedures contained in the standard, and 
will base enforcement actions for violation of the standard on the 
results of such testing.
    (d) Testing by third parties. At the option of the manufacturer, 
importer, or private labeler, some or all of the testing for the 
reasonable testing program may be performed by a commercial testing 
laboratory. However, the manufacturer, importer, or private labeler is 
responsible for ensuring that all testing used to support the 
certificate of compliance has been properly performed with passing or 
acceptable results and for maintaining all records of such tests in 
accordance with Sec. 1209.38 below.

[[Page 306]]



Sec. 1209.34  Qualification testing.

    (a) Requirement. Before any manufacturer, importer, or private 
labeler begins distribution in commerce of cellulose insulation which is 
subject to the standard, samples of the insulation shall be tested for 
compliance with the standard. Manufacturers, importers, and private 
labelers shall determine the types of tests for qualification testing.
    (b) Timing, Sampling. Any or all of the qualification testing 
required by this Sec. 1209.34 may be performed before the effective date 
of the standard. Manufacturers, private labelers, or importers may 
select samples for qualification testing of a product in any manner they 
desire.



Sec. 1209.35  Product specification.

    (a) Requirement. Before any manufacturer, importer, or private 
labeler distributes in commerce cellulose insulation which is subject to 
the standard, it shall ensure that the insulation is described in a 
written product specification.
    (b) Contents of Specification. The product specification shall 
include the following information:
    (1) A description of the equipment used to manufacture the 
insulation, including the model number and names of the equipment 
manufacturers, and details of any modification made to any item of 
equipment.
    (2) A description of the cellulosic stock material used to 
manufacture the insulation, identifying the extent of impurities 
allowed.
    (3) The formulation of the fire-retardant chemicals added, including 
their chemical constituents and their form (for example, granulated, 
powdered, or liquid); the amount of fire-retardant chemicals present in 
the finished insulation, expressed as a percentage of the total weight 
of chemicals and cellulosic stock; the average weight of chemicals per 
bag; and the name and address of each chemical supplier. Where the 
chemical composition or formula of a commercially pre-mixed fire 
retardant is not known to the insulation manufacturer, the pre-mixed 
fire retardant may be described simply by the name and address of the 
supplier and its brand or trade name.
    (4) A description of the tests which were used to qualify the 
product as well as the dates of performance and results and actual 
values, where applicable, of the tests.
    (5) Any other information necessary to describe the insulation.
    (c) Distribution in Commerce. After the qualification testing 
required by Sec. 1209.34 has been completed with acceptable results and 
the product specification required by this Sec. 1209.35 has been 
recorded, the cellulose insulation may be manufactured and distributed 
in commerce, subject to the provisions of Sec. 1209.36.
    (d) New Product. Whenever a manufacturer, private labeler, or 
importer makes any change to any item of equipment, cellulosic stock 
material, or formulation of a fire-retardant chemical, or any other 
factor which is likely to affect the ability of the cellulose insulation 
to meet the standard, that change will result in a new cellulose 
insulation product, requiring the preparation of a new product 
specification. The new product must be subjected to qualification tests 
and must yield passing or acceptable results.



Sec. 1209.36  Production testing.

    (a) General. Manufacturers, private labelers, and importers shall 
test the cellulose insulation periodically as it is manufactured to 
demonstrate that the product being manufactured is substantially similar 
to the product which passed the qualification testing and to demonstrate 
that the product being manufactured meets the requirements of the 
standard.
    (b) Types and frequency of testing. Manufacturers, private labelers, 
and importers shall determine the types of tests for production testing. 
Each production test shall be conducted at a production interval short 
enough to ensure that if the samples selected for testing meet the 
standard or a portion of the standard, the insulation produced during 
the interval will also meet the standard or the appropriate portion of 
the standard.
    (c) Test failure. If any test yields failing results, production 
must cease and the faulty manufacturing process must be corrected (see 
Sec. 1209.37). In addition, the material from which the samples

[[Page 307]]

were taken may not be distributed in commerce unless the material can be 
corrected (see Sec. 1209.37) so as to yield passing results and meet the 
standard. Cellulose insulation that does not comply with the standard 
cannot be sold or offered for sale.



Sec. 1209.37  Corrective actions.

    (a) Test failure. When any test required by Sec. 1209.36 yields 
failing or unacceptable results, corrective action must be taken. 
Corrective action includes changes to the manufacturing process as well 
as reworking the insulation product itself. Corrective action may 
consist of equipment adjustment, equipment repair, equipment 
replacement, change in chemical formulation, change in chemical 
quantity, change in cellulosic stock, or other action deemed appropriate 
by the manufacturer, private labeler or importer to achieve passing or 
acceptable test results.
    (b) New product. If any corrective action required by this 
Sec. 1209.37 results in a change in the product specification and a new 
cellulose insulation product (see Sec. 1209.34(b)), the product 
specification for the new product must be recorded in accordance with 
Sec. 1209.35, and qualification tests must be performed with passing or 
acceptable results in accordance with Sec. 1209.34, before the new 
product is distributed in commerce.



Sec. 1209.38  Records.

    (a) Establishment and maintenance. Each manufacturer, importer, and 
private labeler of cellulose insulation subject to the standard shall 
establish and maintain the following records which shall be available to 
any designated officer or employee of the Commission upon request in 
accordance with section 16(b) of the act (15 U.S.C. 2965(b)):
    (1) A record of each product specification containing all 
information required by Sec. 1209.35. (This includes information 
concerning the types of qualification tests as well as the results from 
these tests.)
    (2) Records to demonstrate compliance with the requirements for 
production testing in Sec. 1209.36, including a description of the types 
of production tests conducted and the production interval selected for 
performance of each production test.
    (3) Records of all corrective actions taken in accordance with 
Sec. 1209.37, including the specific action taken, the date the action 
was taken, and the test failure which necessitated the action. Records 
of corrective action must relate the corrective action taken to the 
product specification of the insulation product which was the subject of 
that corrective action, and the product specification of any new product 
which results from any corrective action.
    (4) Records indicating exactly which insulation material is covered 
by each certificate of compliance issued.
    (b) Retention. (1) Product specification. The records of each 
product specification shall be retained for as long as the cellulose 
insulation covered by that specification is manufactured and for a 
period of two (2) years thereafter.
    (2) Other records. Records of production testing, corrective actions 
taken, and certificates issued shall be maintained for a period of two 
(2) years.
    (c) Confidentiality. Requests for confidentiality of records 
provided to the Commission will be handled in accordance with section 
6(a)(2) of the CPSA (15 U.S.C. 2055(a)(2)), the Freedom of Information 
Act as amended (5 U.S.C. 552), and the Commission's regulations under 
that act (16 CFR part 1015, February 22, 1977).



Sec. 1209.39  Certification of compliance.

    (a)(1) Responsibilities of manufacturer for insulation sold in bags. 
Manufacturers of cellulose insulation subject to the standard which is 
sold in bags or other containers shall certify compliance with the 
standard by marking each bag or container with the following 
information:
    (i) The statement ``This product meets the amended CPSC standard for 
flame resistance and corrosiveness of cellulose insulation.'' (This 
statement is the same statement provided in Sec. 1209.9 of the standard; 
it need not appear twice on the bag or container.)
    (ii) The name of the manufacturer, private labeler, or importer 
issuing the certificate of compliance. See paragraphs (b) and (c), 
below.
    (iii) The date of manufacture by day, month, and year.

[[Page 308]]

    (iv) The place of manufacture, by city, state, and zip code, or in 
the case of products manufactured outside the United States, by city and 
country.

The information required by this Sec. 1209.39(a) may appear anywhere on 
the bag or container. The information required need not appear at the 
same place on the bag or container. The information shall be permanent 
until the bag or container is opened and used. The information shall be 
conspicuous and must appear in letters and figures at least \1/4\ inch 
in height. The date and place of manufacture may be in code, provided 
the person or firm issuing the certificate maintains a written record of 
the meaning of the code that can be made available to consumers, persons 
in the chain of distribution, and the Commission upon request.
    (2) Insulation not sold in bags or containers. The manufacturer of 
cellulose insulation subject to the standard which is not sold in bags 
or other containers shall certify compliance with the standard by 
accompanying each shipment or delivery of the product, with a document 
such as an invoice, bill, statement, or separate document, which states 
the following: ``This product meets the amended CPSC standard for flame 
resistance and corrosiveness of cellulose insulation. This material was 
manufactured on (insert day, month, and year of manufacture) at (insert 
city, state, and zip code, or in the case of insulation manufactured 
outside the United States, city and country).'' The certificate of 
compliance must also contain the name of the manufacturer, private 
labeler, or importer issuing the certificate. See paragraphs (b) and 
(c), below. The certificate of compliance must appear in letters and 
figures which are conspicuous and legible. The date and place of 
manufacture may be in code, provided the person or firm issuing the 
certificate maintains a written record of the meaning of the code that 
can be made available to consumers, persons in the chain of 
distribution, and the Commission upon request.
    (b) Responsibilities of private labelers. A private labeler who 
distributes a product subject to the standard which is manufactured by 
another person or firm but which is sold under the private labeler's 
name, brand, or trademark must issue the certificate of compliance 
required by section 14 of the Consumer Product Safety Act and this 
section. If the testing required by this subpart has been performed by 
or for the manufacturer of the product, the private labeler may rely on 
any such tests to support the certificate of compliance if the records 
of such tests are maintained in accordance with Sec. 1209.38, above. The 
private labeler is responsible for ensuring that all testing used to 
support the certificate of compliance has been performed properly with 
passing or acceptable results, and that all records of such tests are 
accurate and complete.
    (c) Responsibilities of importers. The importer of any product 
subject to the standard must issue the certificate of compliance 
required by section 14(a) of the act and this Sec. 1209.39. If the 
testing required by this subpart B of part 1209 has been performed by or 
for the foreign manufacturer of the product, the importer may rely on 
any such tests to support the certificate of compliance if the importer 
is a resident of the U.S. or has a resident agent in the U.S. and the 
records are maintained in the U.S. in accordance with Sec. 1209.38 
above. The importer is responsible for ensuring that all testing used to 
support the certificate of compliance has been performed properly with 
passing or acceptable results, and that all records of such tests are 
accurate and complete.



Sec. 1209.40  Certification responsibility, multiple parties.

    If there is more than one party (i.e., manufacturer, private 
labeler, or importer) otherwise subject to the requirements of this 
subpart B of part 1209 for certain cellulose insulation, only the party 
closest to the consumer in the distribution chain is required to issue a 
certificate.



Sec. 1209.41  Effective date.

    The requirements of this subpart B of part 1209 shall become 
effective on October 16, 1979. Any cellulose insulation manufactured 
after October 15, 1979 must be certified as complying with the standard. 
Cellulose insulation

[[Page 309]]

which is sold in bags or other containers is ``manufactured'' when the 
insulation is packaged in the bag or other container in which it will be 
sold. Insulation which is not sold in bags or containers is 
``manufactured'' when the insulation leaves the manufacturing site to be 
sold.



PART 1210--SAFETY STANDARD FOR CIGARETTE LIGHTERS--Table of Contents




              Subpart A--Requirements for Child Resistance

Sec.
1210.1 Scope, application, and effective date.
1210.2 Definitions.
1210.3 Requirements for cigarette lighters.
1210.4 Test protocol.
1210.5 Findings.

                  Subpart B--Certification Requirements

1210.11 General.
1210.12 Certificate of compliance.
1210.13 Certification tests.
1210.14 Qualification testing.
1210.15 Specifications.
1210.16 Production testing.
1210.17 Recordkeeping and reporting.
1210.18 Refusal of importation.

                         Subpart C--Stockpiling

1210.20 Stockpiling.

    Source: 58 FR 37584, July 12, 1993, unless otherwise noted.



              Subpart A--Requirements for Child Resistance

    Authority: 15 U.S.C. 2056, 2058, 2079(d).



Sec. 1210.1  Scope, application, and effective date.

    This part 1210, a consumer product safety standard, prescribes 
requirements for disposable and novelty lighters. These requirements are 
intended to make the lighters subject to the standard's provisions 
resistant to successful operation by children younger than 5 years of 
age. This standard applies to all disposable and novelty lighters, as 
defined in Sec. 1210.2, that are manufactured or imported after July 12, 
1994.



Sec. 1210.2  Definitions.

    As used in this part 1210:
    (a) Cigarette lighter. See lighter.
    (b) Disposable lighter--means a lighter that either is:
    (1) Not refillable with fuel or
    (2)(i) Its fuel is butane, isobutane, propane, or other liquified 
hydrocarbon, or a mixture containing any of these, whose vapor pressure 
at 75  deg.F (24  deg.C) exceeds a gage pressure of 15 psi (103 kPa), 
and
    (ii) It has a Customs Valuation or ex-factory price under $2.00, as 
adjusted every 5 years, to the nearest $0.25, in accordance with the 
percentage changes in the monthly Wholesale Price Index from June 1993.
    (c) Lighter, also referred to as cigarette lighter, means a flame-
producing product commonly used by consumers to ignite cigarettes, 
cigars, and pipes, although they may be used to ignite other materials. 
This term does not include matches or any other lighting device intended 
primarily for igniting materials other than smoking materials, such as 
fuel for fireplaces or for charcoal or gas-fired grills. When used in 
this part 1210, the term lighter includes only the disposable and 
novelty lighters to which this regulation applies.
    (d) Novelty lighter means a lighter that has entertaining audio or 
visual effects, or that depicts (logos, decals, art work, etc.) or 
resembles in physical form or function articles commonly recognized as 
appealing to or intended for use by children under 5 years of age. This 
includes, but is not limited to, lighters that depict or resemble 
cartoon characters, toys, guns, watches, musical instruments, vehicles, 
toy animals, food or beverages, or that play musical notes or have 
flashing lights or other entertaining features. A novelty lighter may 
operate on any fuel, including butane or liquid fuel.
    (e) Successful operation means one signal of any duration from a 
surrogate lighter within either of the two 5-minute test periods 
specified in Sec. 1210.4(f).
    (f) Surrogate lighter means a device that: approximates the 
appearance, size, shape, and weight of, and is identical in all other 
factors that affect child resistance (including operation and the 
force(s) required for operation),

[[Page 310]]

within reasonable manufacturing tolerances, to, a lighter intended for 
use by consumers; has no fuel; does not produce a flame; and produces an 
audible or visual signal that will be clearly discernible when the 
surrogate lighter is activated in each manner that would normally 
produce a flame in a production lighter. (This definition does not 
require a lighter to be modified with electronics or the like to produce 
a signal. Manufacturers may use a lighter without fuel as a surrogate 
lighter if a distinct signal such as a ``click'' can be heard clearly 
when the mechanism is operated in each manner that would produce a flame 
in a production lighter and if a flame cannot be produced in a 
production lighter without the signal. But see Sec. 1210.4(f)(1).)
    (g) Model means one or more cigarette lighters from the same 
manufacturer or importer that do not differ in design or other 
characteristics in any manner that may affect child-resistance. Lighter 
characteristics that may affect child-resistance include, but are not 
limited to, size, shape, case material, and ignition mechanism 
(including child-resistant features).



Sec. 1210.3  Requirements for cigarette lighters.

    (a) A lighter subject to this part 1210 shall be resistant to 
successful operation by at least 85 percent of the child-test panel when 
tested in the manner prescribed by Sec. 1210.4.
    (b) The mechanism or system of a lighter subject to this part 1210 
that makes the product resist successful operation by children must:
    (1) Reset itself automatically after each operation of the ignition 
mechanism of the lighter,
    (2) Not impair safe operation of the lighter when used in a normal 
and convenient manner,
    (3) Be effective for the reasonably expected life of the lighter, 
and
    (4) Not be easily overriden or deactivated.



Sec. 1210.4  Test protocol.

    (a) Child test panel. (1) The test to determine if a lighter is 
resistant to successful operation by children uses a panel of children 
to test a surrogate lighter representing the production lighter intended 
for use. Written informed consent shall be obtained from a parent or 
legal guardian of a child before the child participates in the test.
    (2) The test shall be conducted using at least one, but no more than 
two, 100-child test panels in accordance with the provisions of 
Sec. 1210.4(f).
    (3) The children for the test panel shall live within the United 
States.
    (4) The age and sex distribution of each 100-child panel shall be:
    (i) 30 +or- 2 children (20 +or- 1 males; 10 +or- 1 females) 42 
through 44 months old;
    (ii) 40 +or- 2 children (26 +or- 1 males; 14 +or- 1 females) 45 
through 48 months old;
    (iii) 30 +or- 2 children (20 +or- 1 males; 10 +or- 1 females) 49 
through 51 months old.

    Note: To calculate a child's age in months:
    1. Subtract the child's birth date from the test date.

 
                                                Month     Day      Year
 
Test Date                                            8        3       94
Birth Date                                           6       23       90
                                              --------------------------
Difference                                           2      -20        4
 

    2. Multiply the difference in years by 12 months.
    4 years x 12 months = 48 months.
    3. Add the difference in months.
    48 months + 2 months = 50 months.
    4. If the difference in days is greater than 15 (e.g. 16, 17), add 1 
month.
    If the difference in days is less than -15 (e.g., -16, -17) subtract 
1 month.
    50 months - 1 month = 49 months.
    If the difference in days is between -15 and 15 (e.g., -15, -14, ... 
14, 15), do not add or subtract 1 month.

    (5) No child with a permanent or temporary illness, injury, or 
handicap that would interfere with the child's ability to operate the 
surrogate lighter shall be selected for participation.
    (6) Two children at a time shall participate in testing of surrogate 
lighters. Extra children whose results will not be counted in the test 
may be used if necessary to provide the required partner for test 
subjects, if the extra children are within the required age range and a 
parent or guardian of each such child has signed a consent form.
    (7) No child shall participate in more than one test panel or test 
more than

[[Page 311]]

one surrogate lighter. No child shall participate in both child-
resistant package testing and surrogate lighter testing on the same day.
    (b) Test sites, environment, and adult testers. (1) Surrogate 
lighters shall be tested within the United States at 5 or more test 
sites throughout the geographical area for each 100-child panel if the 
sites are the customary nursery schools or day care centers of the 
participating children. No more than 20 children shall be tested at each 
site. In the alternative, surrogate lighters may be tested within the 
United States at one or more central locations, provided the 
participating children are drawn from a variety of locations within the 
geographical area.
    (2) Testing of surrogate lighters shall be conducted in a room that 
is familiar to the children on the test panel (for example, a room the 
children frequent at their customary nursery school or day care center). 
If the testing is conducted in a room that initially is unfamiliar to 
the children (for example, a room at a central location), the tester 
shall allow at least 5 minutes for the children to become accustomed to 
the new environment before starting the test. The area in which the 
testing is conducted shall be well-lighted and isolated from 
distractions. The children shall be allowed freedom of movement to work 
with their surrogate lighters, as long as the tester can watch both 
children at the same time. Two children at a time shall participate in 
testing of surrogate lighters. The children shall be seated side by side 
in chairs approximately 6 inches apart, across a table from the tester. 
The table shall be normal table height for the children, so that they 
can sit up at the table with their legs underneath and so that their 
arms will be at a comfortable height when on top of the table. The 
children's chairs shall be ``child-size.''
    (3) Each tester shall be at least 18 years old. Five or 6 adult 
testers shall be used for each 100-child test panel. Each tester shall 
test an approximately equal number of children from a 100-child test 
panel (20 +or- 2 children each for 5 testers and 17 +or- 2 children each 
for 6 testers).

    Note: When a test is initiated with five testers and one tester 
drops out, a sixth tester may be added to complete the testing. When a 
test is initiated with six testers and one tester drops out, the test 
shall be completed using the five remaining testers. When a tester drops 
out, the requirement for each tester to test an approximately equal 
number of children does not apply to that tester. When testing is 
initiated with five testers, no tester shall test more than 19 children 
until it is certain that the test can be completed with five testers.

    (c) Surrogate lighters. (1) Six surrogate lighters shall be used for 
each 100-child panel. The six lighters shall represent the range of 
forces required for operation of lighters intended for use. All 
surrogate lighters shall be the same color. The surrogate lighters shall 
be labeled with sequential numbers beginning with the number one. The 
same six surrogate lighters shall be used for the entire 100-child 
panel. The surrogate lighters may be used in more than one 100-child 
panel test. The surrogate lighters shall not be damaged or jarred during 
storage or transportation. The surrogate lighters shall not be exposed 
to extreme heat or cold. The surrogate lighters shall be tested at room 
temperature. No surrogate lighter shall be left unattended.
    (2) Each surrogate lighter shall be tested by an approximately equal 
number of children in a 100-child test panel (17 +or- 2 children).

    Note: If a surrogate lighter is permanently damaged, testing shall 
continue with the remaining lighters. When a lighter is dropped out, the 
requirement that each lighter be tested by an approximately equal number 
of children does not apply to that lighter.

    (3) Before each 100-child panel is tested, each surrogate lighter 
shall be examined to verify that it approximates the appearance, size, 
shape, and weight of a production lighter intended for use.
    (4) Before and after each 100-child panel is tested, force 
measurements shall be taken on all operating components that could 
affect child resistance to verify that they are within reasonable 
operating tolerances for a production lighter intended for use.
    (5) Before and after testing surrogate lighters with each child, 
each surrogate lighter shall be operated outside the presence of any 
child participating in the test to verify that the lighters

[[Page 312]]

produce a signal. If the surrogate lighter will not produce a signal 
before the test, it shall be repaired before it is used in testing. If 
the surrogate lighter does not produce a signal when it is operated 
after the test, the results for the preceding test with that lighter 
shall be eliminated. The lighter shall be repaired and tested with 
another eligible child (as one of a pair of children) to complete the 
test panel.
    (d) Encouragement. (1) Prior to the test, the tester shall talk to 
the children in a normal and friendly tone to make them feel at ease and 
to gain their confidence.
    (2) The tester shall tell the children that he or she needs their 
help for a special job. The children shall not be promised a reward of 
any kind for participating, and shall not be told that the test is a 
game or contest or that it is fun.
    (3) The tester shall not discourage a child from attempting to 
operate the surrogate lighter at any time unless a child is in danger of 
hurting himself or another child. The tester shall not discuss the 
dangers of lighters or matches with the children to be tested prior to 
the end of the 10-minute test.
    (4) Whenever a child has stopped attempting to operate the surrogate 
lighter for a period of approximately one minute, the tester shall 
encourage the child to try by saying ``keep trying for just a little 
longer.''
    (5) Whenever a child says that his or her parent, grandparent, 
guardian, etc., said never to touch lighters, say ``that's right -- 
never touch a real lighter -- but your [parent, etc.] said it was OK for 
you to try to make a noise with this special lighter because it can't 
hurt you.''
    (6) The children in a pair being tested may encourage each other to 
operate the surrogate lighter and may tell or show each other how to 
operate it. (This interaction is not considered to be disruption as 
described in paragraph (e)(2) below.) However, neither child shall be 
allowed to operate the other child's lighter. If one child takes the 
other child's surrogate lighter, that surrogate lighter shall be 
immediately returned to the proper child. If this occurs, the tester 
shall say ``No. He(she) has to try to do it himself(herself).''
    (e) Children who refuse to participate. (1) If a child becomes upset 
or afraid, and cannot be reassured before the test starts, select 
another eligible child for participation in that pair.
    (2) If a child disrupts the participation of another child for more 
than one minute during the test, the test shall be stopped and both 
children eliminated from the results. An explanation shall be recorded 
on the data collection record. These two children should be replaced 
with other eligible children to complete the test panel.
    (3) If a child is not disruptive but refuses to attempt to operate 
the surrogate lighter throughout the entire test period, that child 
shall be eliminated from the test results and an explanation shall be 
recorded on the data collection record. The child shall be replaced with 
another eligible child (as one of a pair of children) to complete the 
test panel.
    (f) Test procedure. (1) To begin the test, the tester shall say ``I 
have a special lighter that will not make a flame. It makes a noise like 
this.'' Except where doing so would block the child's view of a visual 
signal, the adult tester shall place a 8\1/2\ by 11 inch sheet of 
cardboard or other rigid opaque material upright on the table in front 
of the surrogate lighter, so that the surrogate lighter cannot be seen 
by the child, and shall operate the surrogate lighter once to produce 
its signal. The tester shall say ``Your parents [or other guardian, if 
applicable] said it is OK for you to try to make that noise with your 
lighter.'' The tester shall place a surrogate lighter in each child's 
hand and say ``now you try to make a noise with your lighter. Keep 
trying until I tell you to stop.''
    (2) The adult tester shall observe the children for 5 minutes to 
determine if either or both of the children can successfully operate the 
surrogate lighter by producing one signal of any duration. If a child 
achieves a spark without defeating the child-resistant feature, say 
``that's a spark -- it won't hurt you -- try to make the noise with your 
lighter.'' If any child successfully operates the surrogate lighter 
during this period, the surrogate lighter shall be taken from that child 
and the child shall not be asked to try to operate the

[[Page 313]]

lighter again. The tester shall ask the successful child to remain until 
the other child is finished.
    (3) If either or both of the children are unable to successfully 
operate the surrogate lighter during the 5-minute period specified in 
Sec. 1210.4(f)(2), the adult tester shall demonstrate the operation of 
the surrogate lighter. To conduct the demonstration, secure the 
children's full attention by saying ``Okay, give me your lighters now.'' 
Take the lighters and place them on the table in front of you out of the 
children's reach. Then say, ``I'll show you how to make the noise with 
your lighters. First I'll show you with (child's name)'s lighter and 
then I'll show you with (child's name)'s lighter.'' Pick up the first 
child's lighter. Hold the lighter approximately two feet in front of the 
children at their eye level. Hold the lighter in a vertical position in 
one hand with the child-resistant feature exposed (not covered by 
fingers, thumb, etc.) Orient the child-resistant mechanism on the 
lighter toward the children. (This may require a change in your 
orientation to the children such as sitting sideways in the chair to 
allow a normal hand position for holding the lighter while assuring that 
both children have a clear view of the mechanism. You may also need to 
reposition your chair so your hand is centered between the children.) 
Say ``now watch the lighter.'' Look at each child to verify that they 
are looking at the lighter. Operate the lighter one time in a normal 
manner according to the manufacturer's instructions. Do not exaggerate 
operating movements. Do not verbally describe the lighter's operation. 
Place the first child's lighter back on the table in front of you and 
pick up the second child's lighter. Say, ``Okay, now watch this 
lighter.'' Repeat the demonstration as described above using the second 
child's lighter.

    Note: Testers shall be trained to conduct the demonstration in a 
uniform manner, including the words spoken to the children, the way the 
lighter is held and operated, and how the tester's hand and body is 
oriented to the children. All testers must be able to operate the 
surrogate lighters using only appropriate operating movements in 
accordance with the manufacturer's instructions. If any of these 
requirements are not met during the demonstration for any pair of 
children, the results for that pair of children shall be eliminated from 
the test. Another pair of eligible children shall be used to complete 
the test panel.

    (4) Each child who fails to successfully operate the surrogate 
lighter in the first 5 minutes is then given another 5 minutes in which 
to attempt the successful operation of the surrogate lighter. After the 
demonstrations give their original lighters back to the children by 
placing a lighter in each child's hand. Say ``Okay, now you try to make 
the noise with your lighters - keep trying until I tell you to stop.'' 
If any child successfully operates the surrogate lighter during this 
period, the surrogate lighter shall be taken from that child and the 
child shall not be asked to try to operate the lighter again. The tester 
shall ask the successful child to remain until the other child is 
finished.
    (5) At the end of the second 5-minute test period, take the 
surrogate lighter from any child who has not successfully operated it.
    (6) After the test is over, ask the children to stand next to you. 
Look at the children's faces and say: ``These are special lighters that 
don't make fire. Real lighters can burn you. Will you both promise me 
that you'll never try to work a real lighter?'' Wait for an affirmative 
response from each child; then thank the children for helping.
    (7) Escort the children out of the room used for testing.
    (8) After a child has participated in the testing of a surrogate 
lighter, and on the same day, provide written notice of that fact to the 
child's parent or guardian. This notification may be in the form of a 
letter provided to the school to be given to the parents or guardian of 
each child. The notification shall state that the child participated, 
shall ask the parent or guardian to warn the child not to play with 
lighters, and shall remind the parent or guardian to keep all lighters 
and matches, whether child resistant or not, out of the reach of 
children. For children who operated the surrogate lighter, the 
notification shall state that the child was able to operate the child-
resistant lighter. For children who do not defeat the child-resistant 
feature, the notification shall state

[[Page 314]]

that, although the child did not defeat the child-resistant feature, the 
child may be able to do so in the future.
    (g) Data collection and recording. Except for recording the times 
required for the children to activate the signal, recording of data 
should be avoided while the children are trying to operate the lighters, 
so that the tester's full attention is on the children during the test 
period. If actual testing is videotaped, the camera shall be stationary 
and shall be operated remotely in order to avoid distracting the 
children. Any photographs shall be taken after actual testing and shall 
simulate actual test procedure(s) (for example, the demonstration). The 
following data shall be collected and recorded for each child in the 
100-child test panel:
    (1) Sex (male or female).
    (2) Date of birth (month, day, year).
    (3) Age (in months, to the nearest month, as specified in 
Sec. 1210.4(a)(4)).
    (4) The number of the lighter tested by that child.
    (5) Date of participation in the test (month, day, year).
    (6) Location where the test was given (city, state, country, and the 
name of the site or an unique number or letter code that identifies the 
test site).
    (7) The name of the tester who conducted the test.
    (8) The elapsed time (to the nearest second) at which the child 
achieved any operation of the surrogate signal in the first 5-minute 
test period.
    (9) The elapsed time (to the nearest second) at which the child 
achieved any operation of the surrogate signal in the second 5-minute 
test period.
    (10) For a single pair of children from each 100-child test panel, 
photograph(s) or video tape to show how the lighter was held in the 
tester's hand, and the orientation of the tester's body and hand to the 
children, during the demonstration.
    (h) Evaluation of test results and acceptance criterion. To 
determine whether a surrogate lighter resists operation by at least 85 
percent of the children, sequential panels of 100 children each, up to a 
maximum of 2 panels, shall be tested as prescribed below.
    (1) If no more than 10 children in the first 100-child test panel 
successfully operated the surrogate lighter, the lighter represented by 
the surrogate lighter shall be considered to be resistant to successful 
operation by at least 85 percent of the child test panel, and no further 
testing is conducted. If 11 through 18 children in the first 100-child 
test panel successfully operate the surrogate lighter, the test results 
are inconclusive, and the surrogate lighter shall be tested with a 
second 100-child test panel in accordance with this Sec. 1210.4. If 19 
or more of the children in the first 100-child test panel successfully 
operated the surrogate lighter, the lighter represented by the surrogate 
shall be considered not resistant to successful operation by at least 85 
percent of the child test panel, and no further testing is conducted.
    (2) If additional testing of the surrogate lighter is required by 
Sec. 1210.4(h)(1), conduct the test specified by this Sec. 1210.4 using 
a second 100-child test panel and record the results. If a total of no 
more than 30 of the children in the combined first and second 100-child 
test panels successfully operated the surrogate lighter, the lighter 
represented by the surrogate lighter shall be considered resistant to 
successful operation by at least 85 percent of the child test panel, and 
no further testing is performed. If a total of 31 or more children in 
the combined first and second 100-child test panels successfully operate 
the surrogate lighter, the lighter represented by the surrogate lighter 
shall be considered not resistant to successful operation by 85 percent 
of the child test panel, and no further testing is conducted.

          Table 1--Evaluation of Test Results--Sec.  1210.4(e)
------------------------------------------------------------------------
          Cumulative              Successful Lighter Operations
 Test     Number of    -------------------------------------------------
panel      Children         Pass         Continue            Fail
------------------------------------------------------------------------
1      100              0-10         11-18            19 or more
1      200              11-30        --               31 or more
------------------------------------------------------------------------



Sec. 1210.5  Findings.

    Section 9(f) of the Consumer Product Safety Act, 15 U.S.C. 2058(f), 
requires the Commission to make findings concerning the following topics 
and to include the findings in the rule.

[[Page 315]]

    (a) The degree and nature of the risk of injury the rule is designed 
to eliminate or reduce. The standard is designed to reduce the risk of 
death and injury from accidental fires started by children playing with 
lighters. From 1988 to 1990, an estimated 160 deaths per year resulted 
from such fires. About 150 of these deaths, plus nearly 1,100 injuries 
and nearly $70 million in property damage, resulted from fires started 
by children under the age of 5. Fire-related injuries include thermal 
burns -- many of high severity -- as well as anoxia and other, less 
serious injuries. The annual cost of such fires to the public is 
estimated at about $385 million (in 1990 dollars). Fires started by 
young children (under age 5) are those which the standard would be most 
effective at reducing.
    (b) The approximate number of consumer products, or types or classes 
thereof, subject to the rule. The standard covers certain flame-
producing devices, commonly known as lighters, which are primarily 
intended for use in lighting cigarettes and other smoking materials. 
Lighters may be gas- or liquid-fueled, mechanical or electric, and of 
various physical configurations. Over 600 million lighters are sold 
annually to consumers in the U.S.; over 100 million are estimated to be 
in use at any given time. Over 95 percent of all lighters sold are 
pocket-sized disposable butane models; of the remaining 5 percent, most 
are pocket refillable butane models. A small proportion of refillables 
is comprised of pocket liquid-fuel models; still smaller proportions are 
represented by table lighters and by ``novelty'' lighters, that is, 
those having the physical appearance of other specific objects. 
Approximately 600 million pocket butane disposables (nonrefillable), 15-
20 million pocket butane refillables, 5-10 million pocket liquid-fuel 
refillables, and 1-3 million novelty and other lighters were sold to 
consumers in 1991. The standard covers disposable lighters, including 
inexpensive butane refillables, and novelty lighters. Roughly 30 million 
households have at least one lighter; ownership of more than one lighter 
is typical, especially among smoking households.
    (c) The need of the public for the consumer products subject to the 
rule, and the probable effect of the rule on the utility, cost, or 
availability of such products to meet such need. Consumers use lighters 
primarily to light smoking materials. Most other lighting needs that 
could be filled by matches may also be filled by lighters. Disposable 
butane lighters are, chiefly by virtue of their low price and 
convenience, the closest available substitutes for matches. Although 
matches are found in far more households, lighters have steadily 
replaced matches since the 1960's as the primary light source among 
American consumers. The standard generally requires that lighters not be 
operable by most children under 52 months of age. This would likely be 
achieved by modifying products to incorporate additional-action 
switches, levers, or buttons, thereby increasing the difficulty of 
product activation. Depending on the method of compliance chosen by 
manufacturers, there could be some adverse effect on the utility of 
lighters. This may occur to the extent that operation of the products by 
adult users is made more difficult by the incorporation of child-
resistant features. This may lead some consumers to switch to matches, 
at least temporarily, which could reduce the expected level of safety 
provided by the standard. In addition, some ``novelty'' lighters will 
probably be discontinued, due to the technical difficulty of 
incorporating child-resistant features or designs. Some loss of utility 
derived from those products by collectors or other users may result, 
though many novelty models will probably remain on the market. The cost 
of producing lighters subject to the standard is expected to increase 
due to manufacturers' and importers' expenditures in the areas of 
research and development, product redesign, tooling and assembly process 
changes, certification and testing, and other administrative activities. 
Total per-unit production costs for the various lighter types may 
increase by 10-40 percent, with an average of less than 20 percent. Cost 
increases will likely be passed on to consumers in the form of higher 
retail prices. Disposable lighters may increase in price by 10-40 cents 
per

[[Page 316]]

unit; prices of other lighters may increase by as much as $1-3. The 
estimated average per-unit price increase for all lighters subject to 
the standard is about 20 cents. The total annual cost of the standard to 
consumers is estimated at about $90 million. The estimated cost of the 
standard per life saved is well under $1 million after considering the 
benefits of reduced injuries and property damage; this is well below the 
consensus of estimates of the statistical value of life. A wide range of 
lighter types and models will continue to be available to consumers. As 
noted above, some models of novelty lighters -- all of which account for 
less than 1 percent of lighters sold -- will likely be discontinued; 
this should not have a significant impact on the overall availability of 
lighters to consumers.
    (d) Any means of achieving the objective of the order while 
minimizing adverse effects on competition or disruption or dislocation 
of manufacturing and other commercial practices consistent with the 
public health and safety. The Commission considered the potential 
effects on competition and business practices of various aspects of the 
standard, and, as noted below, incorporated some burden-reducing 
elements into the proposal. The Commission also encouraged and 
participated in the development of a draft voluntary standard addressing 
the risk of child-play fires. A draft voluntary safety standard was 
developed by members of an ASTM task group (now a subcommittee) to 
address much of the risk addressed by the proposed CPSC rule. This draft 
voluntary standard contained performance requirements similar, but not 
identical, to those in the CPSC proposal. Development work on the 
voluntary standard ceased in 1991; industry representatives requested 
that the Commission issue the draft ASTM provisions in a mandatory rule. 
One possible alternative to this mandatory standard would be for the 
Commission to rely on voluntary conformance to this draft standard to 
provide safety to consumers. The expected level of conformance to a 
voluntary standard is uncertain, however; although some of the largest 
firms may market some child-resistant lighters that conform to these 
requirements, most firms (possibly including some of the largest) 
probably would not. Even under generous assumptions about the level of 
voluntary conformance, net benefits to consumers would be substantially 
lower under this alternative than under the standard. Thus, the 
Commission finds that reliance on voluntary conformance to the draft 
ASTM standard would not adequately reduce the unreasonable risk 
associated with lighters.
    (e) The rule (including its effective date) is reasonably necessary 
to eliminate or reduce an unreasonable risk. The Commission's hazard 
data and regulatory analysis demonstrate that lighters covered by the 
standard pose an unreasonable risk of death and injury to consumers. The 
Commission considered a number of alternatives to address this risk, and 
believes that the standard strikes the most reasonable balance between 
risk reduction benefits and potential costs. Further, the amount of time 
before the standard becomes effective will provide manufacturers and 
importers of most products adequate time to design, produce, and market 
safer lighters. Thus, the Commission finds that the standard and its 
effective date are reasonably necessary to reduce the risk of fire-
related death and injury associated with young children playing with 
lighters.
    (f) The benefits expected from the rule bear a reasonable 
relationship to its costs. The standard will substantially reduce the 
number of fire-related deaths, injuries, and property damage associated 
with young children playing with lighters. The cost of these accidents, 
which is estimated to be about $385 million annually, will also be 
greatly reduced. Estimated annual benefits of the standard are $205-$270 
million; estimated annual costs to the public are about $90 million. 
Expected annual net benefits would therefore be $115-$180 million. Thus, 
the Commission finds that a reasonable relationship exists between 
potential benefits and potential costs of the standard.
    (g) The rule imposes the least burdensome requirement which prevents 
or adequately reduces the risk of injury for which the rule is being 
promulgated. (1) In the final rule, the Commission incorporated a number 
of changes from the proposed rule in order to minimize

[[Page 317]]

the potential burden of the rule on industry and consumers. The 
Commission also considered and rejected several alternatives during the 
development of the standard to reduce the potential burden on industry 
(especially small importers) and on consumers. These alternatives 
involve different performance and test requirements and different 
definitions determining the scope of coverage among products. Other 
alternatives generally would be more burdensome to industry and would 
have higher costs to consumers. Some less burdensome alternatives would 
have lower risk-reduction benefits to consumers; none has been 
identified that would have higher expected net benefits than the 
standard.
    (2) The scope of this mandatory standard is limited to disposable 
lighters and novelty lighters; it does not apply to ``luxury'' lighters 
(including most higher priced refillable butane and liquid-fuel models). 
This is similar but not identical to the scope of a draft voluntary 
industry standard developed in response to the Commission's advance 
notice of proposed rulemaking of March 3, 1988 (53 FR 6833). This 
exclusion significantly reduces the potential cost of the standard 
without significantly affecting potential benefits.
    (3) The Commission narrowed the scope of the final rule with respect 
to novelty lighters, and considered limiting the scope further to 
exclude all nondisposable novelty lighters. Though further limiting the 
scope would ease the potential burden of the standard on manufacturers 
and importers slightly, inherently less safe non-child-resistant 
lighters that are considered to be especially appealing to children 
would remain on the market, thereby reducing the potential safety 
benefits to the public. The Commission finds that it would not be in the 
public interest to exclude novelty lighters.
    (4) The Commission considered the potential effect of alternate 
performance requirements during the development of the standard. A less 
stringent acceptance criterion of 80 percent (rather than the standard's 
85 percent) might slightly reduce costs to industry and consumers. The 
safety benefits of this alternative, however, would likely be reduced 
disproportionately to the potential reduction in costs. A higher (90 
percent) acceptance criterion was also considered. This higher 
performance level is not commercially or technically feasible for many 
firms, however; the Commission believes that this more stringent 
alternative would have substantial adverse effects on manufacturing and 
competition, and would increase costs disproportionate to benefits. The 
Commission believes that the requirement that complying lighters not be 
operable by at least 85 percent of children in prescribed tests strikes 
a reasonable balance between improved safety for a substantial majority 
of young children and other potential fire victims and the potential for 
adverse competitive effects and manufacturing disruption.
    (5) The Commission believes that the standard should become 
effective as soon as reasonably possible. The standard will become 
effective 12 months from its date of publication in the Federal 
Register. The Commission also considered an effective date of 6 months 
after the date of issuance of the final rule. While most lighters sold 
in the U.S. could probably be made child resistant within 6 months, some 
disruptive effects on the supply of some imported lighters would result; 
this could have a temporary adverse impact on the competitive positions 
of some U.S. importers. The 12-month period in the standard would tend 
to minimize this potential effect, and would allow more time for firms 
to design, produce, and import complying lighters. The Commission 
estimates that there would be no significant adverse impact on the 
overall supply of lighters for the U.S. market.
    (h) The promulgation of the rule is in the public interest. As 
required by the CPSA and the Regulatory Flexibility Act, the Commission 
considered the potential benefits and costs of the standard and various 
alternatives. While certain alternatives to the final rule are estimated 
to have net benefits to consumers, the adopted rule maximizes these net 
benefits. Thus, the Commission finds that the standard, if promulgated 
on a final basis, would be in the public interest.

[[Page 318]]



                  Subpart B--Certification Requirements

    Authority: 15 U.S.C. 2063, 2065(b), 2066(g), 2076(e), 2079(d).



Sec. 1210.11  General.

    Section 14(a) of the Consumer Product Safety Act (CPSA), 15 U.S.C. 
1263(a), requires every manufacturer, private labeler, or importer of a 
product that is subject to a consumer product safety standard and that 
is distributed in commerce to issue a certificate that such product 
conforms to the applicable standard and to base that certificate upon a 
test of each item or upon a reasonable testing program. The purpose of 
this subpart B of part 1210 is to establish requirements that 
manufacturers, importers, and private labelers must follow to certify 
that their products comply with the Safety Standard for Cigarette 
Lighters. This subpart B describes the minimum features of a reasonable 
testing program and includes requirements for labeling, recordkeeping, 
and reporting pursuant to sections 14, 16(b), 17(g), and 27(e) of the 
CPSA, 15 U.S.C. 2063, 2065(b), 2066(g), and 2076(e).



Sec. 1210.12  Certificate of compliance.

    (a) General requirements--(1) Manufacturers (including importers). 
Manufacturers of any lighter subject to the standard must issue the 
certificate of compliance required by section 14(a) of the CPSA and this 
subpart B, based on a reasonable testing program or a test of each 
product, as required by Sec. Sec. 1210.13-1210.14 and 1210.16. 
Manufacturers must also label each lighter subject to the standard as 
required by paragraph (c) of this section and keep the records and make 
the reports required by Sec. Sec. 1210.15 and 1210.17. For purposes of 
this requirement, an importer of lighters shall be considered the 
``manufacturer.''
    (2) Private labelers. Because private labelers necessarily obtain 
their products from a manufacturer or importer that is already required 
to issue the certificate, private labelers are not required to issue a 
certificate. However, private labelers must ensure that the lighters are 
labeled in accordance with paragraph (c) of this section and that any 
certificate of compliance that is supplied with each shipping unit of 
lighters in accordance with paragraph (b) of this section is supplied to 
any distributor or retailer who receives the product from the private 
labeler.
    (3) Testing on behalf of importers. If the required testing has been 
performed by or for a foreign manufacturer of a product, an importer may 
rely on such tests to support the certificate of compliance, provided 
that the importer is a resident of the United States or has a resident 
agent in the United States, the records are in English, and the records 
and the surrogate lighters tested are kept in the United States and can 
be provided to the Commission within 48 hours (Sec. 1210.17(a)) or, in 
the case of production records, can be provided to the Commission within 
7 calendar days in accordance with Sec. 1210.17(a)(3). The importer is 
responsible for ensuring that the foreign manufacturer's records show 
that all testing used to support the certificate of compliance has been 
performed properly (Sec. Sec. 1210.14-1210.16), the records provide a 
reasonable assurance that all lighters imported comply with the standard 
(Sec. 1210.13(b)(1)), the records exist in English (Sec. 1210.17(a)), 
(4) the importer knows where the required records and lighters are 
located and that records required to be located in the United States are 
located there, arrangements have been made so that any records required 
to be kept in the United States will be provided to the Commission 
within 48 hours of a request and any records not kept in the United 
States will be provided to the Commission within 7 calendar days 
(Sec. 1210.17(a)), and the information required by Sec. 1210.17(b) to be 
provided to the Commission's Division of Regulatory Management has been 
provided.
    (b) Certificate of compliance. A certificate of compliance must 
accompany each shipping unit of the product (for example, a case), or 
otherwise be furnished to any distributor or retailer to whom the 
product is sold or delivered by the manufacturer, private labeler, or 
importer. The certificate shall state:
    (1) That the product ``complies with the Consumer Product Safety 
Standard for Cigarette Lighters (16 CFR 1210),''

[[Page 319]]

    (2) The name and address of the manufacturer or importer issuing the 
certificate or of the private labeler, and
    (3) The date(s) of manufacture and, if different from the address in 
paragraph (b)(2) of this section, the address of the place of 
manufacture.
    (c) Labeling. The manufacturer or importer must label each lighter 
with the following information, which may be in code.
    (1) An identification of the period of time, not to exceed 31 days, 
during which the lighter was manufactured.
    (2) An identification of the manufacturer of the lighter, unless the 
lighter bears a private label. If the lighter bears a private label, it 
shall bear a code mark or other label which will permit the seller of 
the lighter to identify the manufacturer to the purchaser upon request.

[58 FR 37584, July 12, 1993, as amended at 59 FR 67621, Dec. 30, 1994]



Sec. 1210.13  Certification tests.

    (a) General. As explained in Sec. 1210.11 of this subpart, 
certificates of compliance required by section 14(a) of the CPSA must be 
based on a reasonable testing program.
    (b) Reasonable testing programs--(1) Requirements. (i) A reasonable 
testing program for lighters is one that demonstrates with a high degree 
of assurance that all lighters manufactured for sale or distributed in 
commerce will meet the requirements of the standard, including the 
requirements of Sec. 1210.3. Manufacturers and importers shall determine 
the types and frequency of testing for their own reasonable testing 
programs. A reasonable testing program should be sufficiently stringent 
that it will detect any variations in production or performance during 
the production interval that would cause any lighters to fail to meet 
the requirements of the standard.
    (ii) All reasonable testing programs shall include qualification 
tests, which must be performed on surrogates of each model of lighter 
produced, or to be produced, to demonstrate that the product is capable 
of passing the tests prescribed by the standard (see Sec. 1210.14), and 
production tests, which must be performed during appropriate production 
intervals as long as the product is being manufactured (see 
Sec. 1210.16).
    (iii) Corrective action and/or additional testing must be performed 
whenever certification tests of samples of the product give results that 
do not provide a high degree of assurance that all lighters manufactured 
during the applicable production interval will pass the tests of the 
standard.
    (2) Testing by third parties. At the option of the manufacturer or 
importer, some or all of the testing of each lighter or lighter 
surrogate may be performed by a commercial testing laboratory or other 
third party. However, the manufacturer or importer must ensure that all 
certification testing has been properly performed with passing results 
and that all records of such tests are maintained in accordance with 
Sec. 1210.17 of this subpart.



Sec. 1210.14  Qualification testing.

    (a) Testing. Before any manufacturer or importer of lighters 
distributes lighters in commerce in the United States, surrogate 
lighters of each model shall be tested in accordance with Sec. 1210.4, 
above, to ensure that all such lighters comply with the standard. 
However, if a manufacturer has tested one model of lighter, and then 
wishes to distribute another model of lighter that differs from the 
first model only by differences that would not have an adverse effect on 
child resistance, the second model need not be tested in accordance with 
Sec. 1210.4.
    (b) Product modifications. If any changes are made to a product 
after initial qualification testing that could adversely affect the 
ability of the product to meet the requirements of the standard, 
additional qualification tests must be made on surrogates for the 
changed product before the changed lighters are distributed in commerce.
    (c) Requalification. If a manufacturer or importer chooses to 
requalify a lighter design after it has been in production, this may be 
done by following the testing procedures at Sec. 1210.4.



Sec. 1210.15  Specifications.

    (a) Requirement. Before any lighters that are subject to the 
standard are distributed in commerce, the manufacturer or importer shall 
ensure that the

[[Page 320]]

surrogate lighters used for qualification testing under Sec. 1210.14 are 
described in a written product specification. (Section 1210.4(c) 
requires that six surrogate lighters be used for testing each 100-child 
panel.)
    (b) Contents of specification. The product specification shall 
include the following information:
    (1) A complete description of the lighter, including size, shape, 
weight, fuel, fuel capacity, ignition mechanism, and child-resistant 
features.
    (2) A detailed description of all dimensions, force requirements, or 
other features that could affect the child-resistance of the lighter, 
including the manufacturer's tolerances for each such dimension or force 
requirement.
    (3) Any further information, including, but not limited to, model 
names or numbers, necessary to adequately describe the lighters and any 
child-resistant features.



Sec. 1210.16  Production testing.

    (a) General. Manufacturers and importers shall test samples of 
lighters subject to the standard as they are manufactured, to 
demonstrate that the lighters meet the specifications, required under 
Sec. 1210.15, of the surrogate that has been shown by qualification 
testing to meet the requirements of the standard.
    (b) Types and frequency of testing. Manufacturers, private labelers, 
and importers shall determine the types of tests for production testing. 
Each production test shall be conducted at a production interval short 
enough to provide a high degree of assurance that, if the samples 
selected for testing pass the production tests, all other lighters 
produced during the interval will meet the standard.
    (c) Test failure--(1) Sale of lighters. If any test yields results 
which indicate that any lighters manufactured during the production 
interval may not meet the standard, production and distribution in 
commerce of lighters that may not comply with the standard must cease 
until it is determined that the lighters meet the standard or until 
corrective action is taken. (It may be necessary to modify the lighters 
or perform additional tests to ensure that only complying lighters are 
distributed in commerce. Lighters from other production intervals having 
test results showing that lighters from that interval comply with the 
standard could be produced and distributed unless there was some reason 
to believe that they might not comply with the standard.)
    (2) Corrective actions. When any production test fails to provide a 
high degree of assurance that all lighters comply with the standard, 
corrective action must be taken. Corrective action may include changes 
in the manufacturing process, the assembly process, the equipment used 
to manufacture the product, or the product's materials or design. The 
corrective action must provide a high degree of assurance that all 
lighters produced after the corrective action will comply with the 
standard. If the corrective action changes the product from the 
surrogate used for qualification testing in a manner that could 
adversely affect its child resistance, the lighter must undergo new 
qualification tests in accordance with Sec. 1210.14, above.



Sec. 1210.17  Recordkeeping and reporting.

    (a) Records. Every manufacturer and importer of lighters subject to 
the standard shall maintain the following records in English on paper, 
microfiche, or similar media and make such records available to any 
designated officer or employee of the Commission in accordance with 
section 16(b) of the Consumer Product Safety Act, 15 U.S.C. 2065(b). 
Such records must also be kept in the United States and provided to the 
Commission within 48 hours of receipt of a request from any employee of 
the Commission, except as provided in paragraph (b)(3) of this section. 
Legible copies of original records may be used to comply with these 
requirements.
    (1) Records of qualification testing, including a description of the 
tests, photograph(s) or a video tape for a single pair of children from 
each 100-child test panel to show how the lighter was held in the 
tester's hand, and the orientation of the tester's body and hand to the 
children, during the demonstration, the dates of the tests, the data 
required by Sec. 1210.4(d), the actual surrogate lighters tested, and 
the results of

[[Page 321]]

the tests, including video tape records, if any. These records shall be 
kept until 3 years after the production of the particular model to which 
such tests relate has ceased. If requalification tests are undertaken in 
accordance with Sec. 1210.14(c), the original qualification test results 
may be discarded 3 years after the requalification testing, and the 
requalification test results and surrogates, and the other information 
required in this subsection for qualifications tests, shall be kept in 
lieu thereof.
    (2) Records of procedures used for production testing required by 
this subpart B, including a description of the types of tests conducted 
(in sufficient detail that they may be replicated), the production 
interval selected, the sampling scheme, and the pass/reject criterion. 
These records shall be kept until 3 years after production of the 
lighter has ceased.
    (3) Records of production testing, including the test results, the 
date and location of testing, and records of corrective actions taken, 
which in turn includes the specific actions taken to improve the design 
or manufacture or to correct any noncomplying lighter, the date the 
actions were taken, the test result or failure that triggered the 
actions, and the additional actions taken to ensure that the corrective 
action had the intended effect. These records shall be kept for 3 years 
following the date of testing. Records of production testing results may 
be kept on paper, microfiche, computer tape, or other retrievable media. 
Where records are kept on computer tape or other retrievable media, 
however, the records shall be made available to the Commission on paper 
copies upon request. A manufacturer or importer of a lighter that is not 
manufactured in the United States may maintain the production records 
required by paragraph (a)(3) of this section outside the United States, 
but shall make such records available to the Commission in the United 
States within 1 week of a request from a Commission employee for access 
to those records under section 16(b) of the CPSA, 15 U.S.C. 2065(b).
    (4) Records of specifications required under Sec. 1210.15 shall be 
kept until 3 years after production of each lighter model has ceased.
    (b) Reporting. At least 30 days before it first imports or 
distributes in commerce any model of lighter subject to the standard, 
every manufacturer and importer must provide a written report to the 
Division of Regulatory Management, Consumer Product Safety Commission, 
Washington, D.C. 20207. Such report shall include:
    (1) The name, address, and principal place of business of the 
manufacturer or importer,
    (2) A detailed description of the lighter model and the child-
resistant feature(s) used in that model,
    (3) A description of the qualification testing, including a 
description of the surrogate lighters tested, the specification of the 
surrogate lighter required by Sec. 1210.15, a summary of the results of 
all such tests, the dates the tests were performed, the location(s) of 
such tests, and the identity of the organization that conducted the 
tests,
    (4) An identification of the place or places that the lighters were 
or will be manufactured,
    (5) The location(s) where the records required to be maintained by 
paragraph (a) of this section are kept, and
    (6) A prototype or production unit of that lighter model.
    (c) Confidentiality. Persons who believe that any information 
required to be submitted or made available to the Commission is trade 
secret or otherwise confidential shall request that the information be 
considered exempt from disclosure by the Commission, in accordance with 
16 CFR 1015.18. Requests for confidentiality of records provided to the 
Commission will be handled in accordance with section 6(a)(2) of the 
CPSA, 15 U.S.C. 2055(a)(2), the Freedom of Information Act as amended, 5 
U.S.C. 552, and the Commission's regulations under that act, 16 CFR part 
1015.



Sec. 1210.18  Refusal of Importation.

    (a) For noncompliance with reporting and recordkeeping requirements. 
The Commission has determined that compliance with the recordkeeping and 
reporting requirements of this subpart is

[[Page 322]]

necessary to ensure that lighters comply with this part 1210. Therefore, 
pursuant to section 17(g) of the CPSA, 15 U.S.C. 2066(g), the Commission 
may refuse to permit importation of any lighters with respect to which 
the manufacturer or importer has not complied with the recordkeeping and 
reporting requirements of this subpart. Since the records are required 
to demonstrate that production lighters comply with the specifications 
for the surrogate, the Commission may refuse importation of lighters if 
production lighters do not comply with the specifications required by 
this subpart or if any other recordkeeping or reporting requirement in 
this part is violated.
    (b) For noncompliance with this standard and for lack of a 
certification certificate. As provided in section 17(a) of the CPSA, 15 
U.S.C. 2066(a), products subject to this standard shall be refused 
admission into the customs territory of the United States if, among 
other reasons, the product fails to comply with this standard or is not 
accompanied by the certificate required by this standard.



                         Subpart C--Stockpiling

    Authority: 15 U.S.C. 2058(g)(2), 2079(d).



Sec. 1210.20  Stockpiling.

    (a) Definition. Stockpiling means to manufacture or import a product 
that is subject to a consumer product safety rule between the date of 
issuance of the rule and its effective date at a rate which is 
significantly greater than the rate at which such product was produced 
or imported during a base period.
    (b) Base Period. For purposes of this rule, base period means, at 
the option of the manufacturer or importer, any 1-year period during the 
5-year period prior to July 12, 1993.
    (c) Prohibited act. Manufacturers and importers of disposable and 
novelty cigarette lighters shall not manufacture or import lighters that 
do not comply with the requirements of this part between July 12, 1993 
and July 12, 1994, at a rate that is greater than the rate of production 
or importation during the base period plus 20 per cent of that rate.



PART 1211--SAFETY STANDARD FOR AUTOMATIC RESIDENTIAL GARAGE DOOR OPERATORS--Table of Contents




                         Subpart A--The Standard

Sec.
1211.1 Effective date.
1211.2 Definition.
1211.3 Units of measurement.
1211.4 General requirements for protection against risk of injury.
1211.5 General testing parameters.
1211.6 General entrapment protection requirements.
1211.7 Inherent entrapment protection requirements.
1211.8 Secondary entrapment protection requirements.
1211.9 Additional entrapment protection requirements.
1211.10 Requirements for all entrapment protection devices.
1211.11 Requirements for photoelectric sensors.
1211.12 Requirements for edge sensors.
1211.13 Inherent force activated secondary door sensors.
1211.14 Instruction manual.
1211.15 Field-installed labels.
1211.16 UL marking requirement.
1211.17 Statutory labeling requirement.

                        Subpart B--Certification

1211.20 Purpose, scope, and application.
1211.21 Effective date.
1211.22 Definitions.
1211.23 Certification testing.
1211.24 Product certification and labeling by manufacturers.
1211.25 Product certification and labeling by importers.

                        Subpart C--Recordkeeping

1211.30 Effective date.
1211.31 Recordkeeping requirements.

    Authority: Sec. 203 of Pub. L. 101-608, 104 Stat. 3110; 15 U.S.C. 
2063 and 2065.



                         Subpart A--The Standard

    Source: 57 FR 60455, Dec. 21, 1992, unless otherwise noted.



Sec. 1211.1  Effective date.

    This standard applies to all residential garage door operators 
manufactured on or after January 1, 1993 for sale in the United States.

[[Page 323]]



Sec. 1211.2  Definition.

    As used in this part 1211: Residential garage door operator means a 
vehicular door operator which:
    (a) Serves a residential building of one to four single family 
units;
    (b) Is rated 600 volts or less; and
    (c) Is intended to be employed in ordinary locations in accordance 
with the National Electrical Code, NFPA 70, 1999 edition. This 
incorporation by reference was approved by the Director of the Federal 
Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. Copies 
may be obtained from the National Fire Protection Association, 1 
Batterymarch Park, Quincy, Mass. 02269-9101, tel. 1-800-344-3555. Copies 
may be inspected at the Consumer Product Safety Commission, Office of 
the Secretary, 4330 East West Highway, Bethesda, Maryland or at the 
Office of the Federal Register, 800 North Capitol Street, NW., suite 
700, Washington, DC.

[57 FR 60455, Dec. 21, 1992, as amended at 62 FR 46667, Sept. 4, 1997; 
65 FR 70657, Nov. 27, 2000]



Sec. 1211.3  Units of measurement.

    If a value for measurement is followed by a value in other units, in 
parentheses, the second value may be only approximate. The first stated 
value is the requirement.

[57 FR 60455, Dec. 21, 1992, as amended at 65 FR 70657, Nov. 27, 2000]



Sec. 1211.4  General requirements for protection against risk of injury.

    (a) If an automatically reset protective device is employed, 
automatic restarting of a motor shall not result in a risk of injury to 
persons.
    (b) A residential garage door operator is considered to comply with 
the requirement in paragraph (a) of this section if some means is 
provided to prevent the motor from restarting when the protector closes.
    (c) An electronic or solid-state circuit that performs a back-up, 
limiting, or other function intended to reduce the risk of fire, 
electric shock, or injury to persons, including entrapment protection 
circuits, shall comply with the requirements in the Standard for Safety 
for Tests for Safety-Related Controls Employing Solid-State Devices, UL 
991, second edition, dated June 23, 1995, including environmental and 
stress tests appropriate to the intended usage of the end-product. This 
incorporation by reference was approved by the Director of the Federal 
Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. Copies 
may be obtained from Global Engineering Documents, 15 Inverness Way 
East, Englewood, CO 80112, Telephone (800) 854-7179 or Global 
Engineering Documents, 7730 Carondelet Ave., Suite 470, Clayton, MO 
63105, Telephone (800) 854-7179. Copies may be inspected at the Consumer 
Product Safety Commission, Office of the Secretary, 4330 East West 
Highway, Bethesda, Maryland or at the Office of the Federal Register, 
800 North Capitol Street, NW, suite 700, Washington, DC.

[57 FR 60455, Dec. 21, 1992, as amended at 62 FR 46667, Sept. 4, 1997; 
65 FR 70657, Nov. 27, 2000]



Sec. 1211.5  General testing parameters.

    (a) The following test parameters are to be used in the 
investigation of the circuit covered by Sec. 1211.4(c) for compliance 
with the Standard for Safety for Tests for Safety-Related Controls 
Employing Solid-State Devices, UL 991, second edition, dated June 23, 
1995, as incorporated by reference in paragraph (b)(3) of this section:
    (1) With regard to electrical supervision of critical components, an 
operator being inoperative with respect to downward movement of the door 
meets the criteria for trouble indication.
    (2) A field strength of 3 volts per meter is to be used for the 
Radiated EMI Test.
    (3) The Composite Operational and Cycling Test is to be used for 14 
days at temperature extremes of minus 35  deg.Celsius (minus 31  deg.F) 
and 70  deg.C (158  deg.F).
    (4) Exposure Class H5 is to be used for the Humidity Test.
    (5) A vibration level of 5g is to be used for the Vibration Test.
    (6) When a Computational Investigation is conducted, 
[lgr]p shall not be greater than 6 failures/10\6\ hours for 
the entire system. For external secondary entrapment protection devices 
that are sold separately, [lgr]p shall not be greater than 0 
failures/10\6\ hours. For internal

[[Page 324]]

secondary entrapment protection devices whether or not they are sold 
separately, [lgr]p shall not be greater than 0 failures/10\6\ 
hours. The operational test is conducted for 14 days. An external 
secondary entrapment protection device that is sold separately, and that 
has a [lgr]p greater than 0 failures/10\6\ hours meets the 
intent of the requirement when for the combination of the operator and 
the specified external secondary entrapment protection device 
[lgr]p does not exceed 6 failures/10\6\ hours. See 
Sec. 1211.15(i) and (k).
    (7) When the Demonstrated Method Test is conducted, the multiplier 
is to be based on the continuous usage level, and a minimum of 24 units 
for a minimum of 24 hours per unit are to be tested.
    (8) The Endurance test is to be conducted concurrently with the 
Operational test. The control shall perform its intended function while 
being conditioned for fourteen days in an ambient air temperature of 60 
deg.C (140  deg.F), or 10  deg.C (18  deg.F) greater than the operating 
temperature of the control, whichever is higher. During the test, the 
control is to be operated in a manner representing the opening and 
closing of the door at a rate of one open-close operation per minute.
    (9) For the Electrical Fast Transient Burst Test, test level 3 is to 
be used for residential garage door operators.
    (b) In the evaluation of entrapment protection circuits used in 
residential garage door operators, the critical condition flow chart 
shown in figure 1 shall be used:
    (1) To conduct a failure-mode and effect analysis (FMEA);
    (2) In investigating the performance during the Environmental Stress 
Tests; and
    (3) During the Power Cycling Safety for Tests in accordance with the 
Standard for Safety for Tests for Safety-Related Controls Employing 
Solid-State Devices, UL 991, second edition, dated June 23, 1995. This 
incorporation by reference was approved by the Director of the Federal 
Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. Copies 
may be obtained from Global Engineering Documents, 15 Inverness Way 
East, Englewood, CO 80112, Telephone (800) 854-7179 or Global 
Engineering Documents, 7730 Carondelet Ave., Suite 470, Clayton, MO 
63105, Telephone (800) 854-7179. Copies may be inspected at the Consumer 
Product Safety Commission, Office of the Secretary, 4330 East West 
Highway, Bethesda, Maryland or at the Office of the Federal Register, 
800 North Capitol Street, NW., suite 700, Washington, DC.

[57 FR 60455, Dec. 21, 1992, as amended at 62 FR 46667, Sept. 4, 1997; 
65 FR 70657, Nov. 27, 2000]



Sec. 1211.6  General entrapment protection requirements.

    (a) A residential garage door operator system shall be provided with 
primary inherent entrapment protection that complies with the 
requirements as specified in Sec. 1211.7.
    (b) In addition to the primary inherent entrapment protection as 
required by paragraph (a) of this section, a residential garage door 
operator shall comply with one of the following:
    (1) Shall be constructed to:
    (i) Require constant pressure on a control to lower the door,
    (ii) Reverse direction and open the door to the upmost position when 
constant pressure on a control is removed prior to operator reaching its 
lower limit, and
    (iii) Limit a portable transmitter, when supplied, to function only 
to cause the operator to open the door;
    (2) Shall be provided with a means for connection of an external 
secondary entrapment protection device as described in Sec. Sec. 1211.8, 
1211.10, and 1211.11; or
    (3) Shall be provided with an inherent secondary entrapment 
protection device as described in Sec. Sec. 1211.8, 1211.10, and 
1211.12.
    (c) A mechanical switch or a relay used in an entrapment protection 
circuit of an operator shall withstand 100,000 cycles of operation 
controlling a load no less severe (voltage, current, power factor, 
inrush and similar ratings) than it controls in the operator, and shall 
function normally upon completion of the test.
    (d) In the event malfunction of a switch or relay (open or short) 
described in paragraph (c) of this section results in loss of any 
entrapment protection required by Sec. Sec. 1211.7(a), 1211.7(f),

[[Page 325]]

or 1211.8(a), the door operator shall become inoperative at the end of 
the opening or closing operation, the door operator shall move the door 
to, and stay within, 1 foot (305 mm) of the uppermost position.

[57 FR 60455, Dec. 21, 1992, as amended at 65 FR 70657, Nov. 27, 2000]



Sec. 1211.7  Inherent entrapment protection requirements.

    (a) Other than the first 1 foot (305mm) of travel as measured over 
the path of the moving door, both with and without any external 
entrapment protection device functional, the operator of a downward 
moving residential garage door shall initiate reversal of the door 
within 2 seconds of contact with the obstruction as specified in 
paragraph (b) of this section. After reversing the door, the operator 
shall return the door to, and stop at, the full upmost position, unless 
an inherent entrapment circuit senses a second obstruction or a control 
is actuated to stop the door during the upward travel. Compliance shall 
be determined in accordance with paragraphs (b) through (i) of this 
section.
    (b) A solid object is to be placed on the floor of the test 
installation and at various heights under the edge of the door and 
located in line with the driving point of the operator. When tested on 
the floor, the object shall be 1 inch (25.4 mm) high. In the test 
installation, the bottom edge of the door under the driving force of the 
operator is to be against the floor when the door is fully closed. For 
operators other than those attached to the door, the solid object is to 
be located at points at the center, and within 1 foot of each end of the 
door.
    (c) An operator is to be tested for compliance with paragraph (a) of 
this section for 50 open-and-close cycles of operation while the 
operator is connected to the type of residential garage door with which 
it is intended to be used or with the doors specified in paragragh (e) 
of this section. For an operator having a force adjustment on the 
operator, the force is to be adjusted to the maximum setting or at the 
setting that represents the most severe operating condition. Any 
accessories having an effect on the intended operation of entrapment 
protection functions that are intended for use with the operator, are to 
be attached and the test is to be repeated for one additional cycle.
    (d) For an operator that is to be adjusted (limit and force) 
according to instructions supplied with the operator, the operator is to 
be tested for 10 additional obstruction cycles using the solid object 
described in paragraph (b) of this section at the maximum setting or at 
the setting that represents the most severe operating condition.
    (e) For an operator that is intended to be used with more than one 
type of door, one sample of the operator is to be tested on a sectional 
door with a curved track and one sample is to be tested on a one-piece 
door with jamb hardware and no track. For an operator that is not 
intended for use on either or both types of doors, a one-piece door with 
track hardware or a one-piece door with pivot hardware shall be used for 
the tests. For an operator that is intended for use with a specifically 
dedicated door or doors, a representative door or doors shall be used 
for the tests. See the marking requirements at Sec. 1211.16.
    (f) An operator, using an inherent entrapment protection system that 
monitors the actual position of the door, shall initiate reversal of the 
door and shall return the door to, and stop the door at, the full upmost 
position in the event the inherent door operating ``profile'' of the 
door differs from the originally set parameters. The entrapment 
protection system shall monitor the position of the door at increments 
not greater than 1 inch (25.4 mm). The door operator is not required to 
return the door to, and stop the door at, the full upmost position when 
an inherent entrapment circuit senses an obstruction or a control is 
actuated to stop the door during the upward travel.
    (g) An operator, using an inherent entrapment protection system that 
does not monitor the actual position of the door, shall initiate 
reversal of the door and shall return the door to and stop the door at 
the full upmost position, when the lower limiting device is not actuated 
in 30 seconds or less following the initiation of the close cycle.

[[Page 326]]

The door operator is not required to return the door to and stop at the 
full upmost position when an inherent entrapment circuit senses an 
obstruction or a control is actuated to stop the door during the upward 
travel. When the door is stopped manually during its descent, the 30 
seconds shall be measured from the resumption of the close cycle.
    (h) To determine compliance with paragraph (f) or (g) of this 
section, an operator is to be subjected to 10 open-and-close cycles of 
operation while connected to the door or doors specified in paragraphs 
(c) and (e) of this section. The cycles are not required to be 
consecutive. Motor cooling-off periods during the test meet the intent 
of the requirement. The means supplied to comply with the requirement in 
paragraph (a) of this section and Sec. 1211.8(a) are to be defeated 
during the test. An obstructing object is to be used so that the door is 
not capable of activating a lower limiting device.
    (i) During the closing cycle, the system providing compliance with 
Sec. Sec. 1211.7(a) and 1211.7(f) or 1211.7(a) and 1211.7(g) shall 
function regardless of a short- or open-circuit anywhere in any low-
voltage external wiring, any external entrapment devices, or any other 
external component.

[65 FR 70657, Nov. 27, 2000]



Sec. 1211.8  Secondary entrapment protection requirements.

    (a) A secondary entrapment protection device supplied with, or as an 
accessory to, an operator shall consist of:
    (1) An external photoelectric sensor that when activated results in 
an operator that is closing a door to reverse direction of the door and 
the sensor prevents an operator from closing an open door,
    (2) An external edge sensor installed on the edge of the door that, 
when activated results in an operator that is closing a door to reverse 
direction of the door and the sensor prevents an operator from closing 
an open door,
    (3) An inherent door sensor independent of the system used to comply 
with Sec. 1211.7 that, when activated, results in an operator that is 
closing a door to reverse direction of the door and the sensor prevents 
an operator from closing an open door, or
    (4) Any other external or internal device that provides entrapment 
protection equivalent to paragraphs (a)(1), (a)(2), or (a)(3) of this 
section.
    (b) With respect to paragraph (a) of this section, the operator 
shall monitor for the presence and correct operation of the device, 
including the wiring to it, at least once during each close cycle. In 
the event the device is not present or a fault condition occurs which 
precludes the sensing of an obstruction, including an open or short 
circuit in the wiring that connects an external entrapment protection 
device to the operator and device's supply source, the operator shall be 
constructed such that:
    (1) A closing door shall open and an open door shall not close more 
than 1 foot (305 mm) below the upmost position, or
    (2) The operator shall function as required by Sec. 1211.6(b)(1).
    (c) An external entrapment protection device shall comply with the 
applicable requirements in Sec. Sec. 1211.10, 1211.11 and 1211.12.
    (d) An inherent secondary entrapment protection device shall comply 
with the applicable requirements in Sec. 1211.13. Software used in an 
inherent entrapment protection device shall comply with the Standard for 
Safety for Software in Programmable Components, UL 1998, Second Edition, 
May 29, 1998. This incorporation by reference was approved by the 
Director of the Federal Register in accordance with 5 U.S.C. 552(a) and 
1 CFR part 51. Copies may be obtained from Global Engineering Documents, 
15 Inverness Way East, Englewood, CO 80112, Telephone (800) 854-7179 or 
Global Engineering Documents, 7730 Carondelet Ave., Suite 470, Clayton, 
MO 63105, Telephone (800) 854-7179. Copies may be inspected at the 
Consumer Product Safety Commission, Office of the Secretary, 4330 East 
West Highway, Bethesda, Maryland or at the Office of the Federal 
Register, 800 North Capitol Street, N.W. suite 700, Washington, D.C.

[65 FR 70658, Nov. 27, 2000]



Sec. 1211.9  Additional entrapment protection requirements.

    (a) A means to manually detach the door operator from the door shall 
be

[[Page 327]]

supplied. The gripping surface (handle) shall be colored red and shall 
be easily distinguishable from the rest of the operator. It shall be 
capable of being adjusted to a height of 6 feet (1.8 m) above the garage 
floor when the operator is installed according to the instructions 
specified in Sec. 1211.14(a)(2). The means shall be constructed so that 
a hand firmly gripping it and applying a maximum of 50 pounds (223 N) of 
force shall detach the operator with the door obstructed in the down 
position. The obstructing object, as described in Sec. 1211.7(b), is to 
be located in several different positions. A marking with instructions 
for detaching the operator shall be provided as required by 
Sec. 1211.15(i).
    (b) A means to manually detach the door operator from the door is 
not required for a door operator that is not directly attached to the 
door and that controls movement of the door so that:
    (1) The door is capable of being moved open from any position other 
than the last (closing) 2 inches (50.8 mm) of travel, and
    (2) The door is capable of being moved to the 2-inch point from any 
position between closed and the 2-inch point.
    (c) Actuation of a control that initiates movement of a door shall 
stop and may reverse the door on the down cycle. On the up cycle, 
actuation of a control shall stop the door but not reverse it.
    (d) An operator shall be constructed so that adjustment of limit, 
force or other user controls and connection of external entrapment 
protection devices can be accomplished without exposing normally 
enclosed live parts or wiring.

[57 FR 60455, Dec. 21, 1992, as amended at 65 FR 70658, Nov. 27, 2000]



Sec. 1211.10  Requirements for all entrapment protection devices.

    (a) General requirements. (1) An external entrapment protection 
device shall perform its intended function when tested in accordance 
with paragraphs (a) (2) through (4) of this section.
    (2) The device is to be installed in the intended manner and its 
terminals connected to circuits of the door operator as indicated by the 
installation instructions.
    (3) The device is to be installed and tested at minimum and maximum 
heights and widths representative of recommended ranges specified in the 
installation instructions. For doors, if not specified, devices are to 
be tested on a minimum 7 foot (2.1 m) wide door and maximum 20 foot (6.1 
m) wide door.
    (4) If powered by a separate source of power, the power-input supply 
terminals are to be connected to supply circuits of rated voltage and 
frequency.
    (5) An external entrapment protection device requiring alignment, 
such as a photoelectric sensor, shall be provided with a means, such as 
a visual indicator, to show proper alignment and operation of the 
device.
    (b) Current protection test. (1) There shall be no damage to the 
entrapment protection circuitry if low voltage field-wiring terminals or 
leads are shortened or miswired to adjacent terminals.
    (2) To determine compliance with paragraph (b)(1) of this section, 
an external entrapment protection device is to be connected to a door 
operator or other source of power in the intended manner, after which 
all connections to low voltage terminals or leads are to be reversed as 
pairs, reversed individually, or connected to any low voltage lead or 
adjacent terminal.
    (c) Splash test. (1) An external entrapment protection device 
intended to be installed inside a garage 3 feet or less above the floor 
shall withstand a water exposure as described in paragraph (c)(2) of 
this section without resulting in a risk of electric shock and shall 
function as intended. After exposure, the external surface of the device 
may be dried before determining its functionality.
    (2) External entrapment protection devices are to be indirectly 
sprayed using a hose having the free end fitted with a nozzle as 
illustrated in figure 2 and connected to a water supply capable of 
maintaining a flow rate of 5 gallons (19 liters) per minute as measured 
at the outlet orifice of the nozzle. The water from the hose is to be 
played, from all sides and at any angle against the floor under the 
device in such a manner most likely to cause water to splash the 
enclosure of electric components. However, the nozzle is not to be

[[Page 328]]

brought closer than 10 feet (3.05 m) horizontally to the device. The 
water is to be sprayed for 1 minute.
[GRAPHIC] [TIFF OMITTED] TC03OC91.042

    (d) Ultraviolet light exposure test. A polymeric material used as a 
functional part of a device that is exposed to outdoor weather 
conditions shall comply with the Ultraviolet Light Exposure Test 
described in the Standard for Safety for Polymeric Materials--Use in 
Electrical Equipment Evaluations, UL 746C, 4th ed., dated December 27, 
1995. This incorporation by reference was approved by the Director of 
the Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 
51. Copies may be obtained from Global Engineering Documents, 15 
Inverness Way East, Englewood, CO 80112, Telephone (800) 854-7179 or 
Global Engineering Documents, 7730 Carondelet Ave., Suite 470, Clayton, 
MO 63105, Telephone (800) 854-7179. Copies may be inspected at the 
Consumer Product Safety Commission, Office of the Secretary, 4330 East 
West Highway, Bethesda, Maryland or at the Office of the Federal 
Register, 800 North Capitol Street, NW., suite 700, Washington, D.C.
    (e) Resistance to impact test. (1) An external entrapment protection 
device employing a polymeric or elastomeric material as a functional 
part shall be subjected to the impact test specified in paragraph (e)(2) 
of this section. As a result of the test:
    (i) There shall be no cracking or breaking of the part, and
    (ii) The part shall operate as intended or, if dislodged after the 
test, is capable of being restored to its original condition.

[[Page 329]]

    (2) Samples of the external entrapment protection device are to be 
subjected to the Impact Test described in the Standard for Polymeric 
Materials--Use in Electrical Equipment Evaluations, UL 746C, 4th ed., 
dated December 27, 1995, as incorporated by reference in paragraph (d) 
of this section. The external entrapment protection device is to be 
subjected to 5 foot-pound (6.8 J) impacts. Three samples are to be 
tested, each sample being subjected to three impacts at different 
points.
    (3) Each of three additional samples of a device exposed to outdoor 
weather when the door is the closed position are to be cooled to a 
temperature of minus 31.03.6  deg.F (minus 
35.02.0  deg.C) and maintained at this temperature for 3 
hours. Three samples of a device employed inside the garage are to be 
cooled to a temperature of 32.0  deg.F (0.0  deg.C) and maintained at 
this temperature for 3 hours. While the sample is still cold, the 
samples are to be subjected to the impact test described in paragraph 
(e)(1) of this section.

[57 FR 60455, Dec. 21, 1992, as amended at 62 FR 46667, Sept. 4, 1997; 
65 FR 70659, Nov. 27, 2000]



Sec. 1211.11  Requirements for photoelectric sensors.

    (a) Normal operation test. (1) When installed as described in 
Sec. 1211.10(a) (1)-(4), a photoelectric sensor shall sense an 
obstruction as described in paragraph (a)(2) of this section that is to 
be placed on the floor at three points over the width of the door 
opening, at distances of 1 foot (305 mm) from each end and the midpoint.
    (2) The obstruction noted in paragraph (a)(1) of this section shall 
consist of a white vertical surface 6 inches (152 mm) high by 12 inches 
(305 mm) long. The obstruction is to be centered under the door 
perpendicular to the plane of the door when in the closed position. See 
figure 3.

[[Page 330]]

[GRAPHIC] [TIFF OMITTED] TC03OC91.043

    (b) Sensitivity test. (1) When installed as described in 
Sec. 1211.10(a)(1)-(4), a photoelectric sensor shall sense the presence 
of a moving object when tested according to paragraph (b)(2) of this 
section.

[[Page 331]]

    (2) The moving object is to consist of a 1\7/8\ inch (47.6 mm) 
diameter cylindrical rod, 34\1/2\ inches (876 mm) long, with the axis 
point being 34 inches (864 mm) from the end. The axis point is to be 
fixed at a point centered directly above the beam of the photoelectric 
sensor 36 inches (914 mm) above the floor. The photoelectric sensor is 
to be mounted at the highest position as recommended by the 
manufacturer. The rod is to be swung as a pendulum through the 
photoelectric sensor's beam from a position 45 degrees from the plane of 
the door when in the closed position. See figure 4.
    (3) The test described in paragraph (b)(2) of this section is to be 
conducted at three points over the width of the door opening, at 
distances of 1 foot (305 mm) from each end and the midpoint.
    (c) Ambient light test. (1) A photoelectric sensor shall operate as 
specified in Sec. 1211.8 (a) and (b) when subjected to ambient light 
impinging at an angle of 15 to 20 degrees from the axis of the beam when 
tested according to paragraph (c)(2) and, if appropriate, paragraph 
(c)(3) of this section.
    (2) To determine compliance with paragraph (c)(1) of this section, a 
500 watt, 3600K Photo Floodlamp, type DXC RFL-2, is to be energized from 
a 120-volt, 60-hertz source.

[[Page 332]]

[GRAPHIC] [TIFF OMITTED] TC03OC91.044


The lamp is to be positioned 5 feet from the front of the receiver and 
aimed directly at the sensor at an angle of 15 to 20 degrees from the 
axis of the beam. See figure 5.

[[Page 333]]

    (3) If the photoelectric sensor uses a reflector, this test is to be 
repeated with the lamp aimed at the reflector.



Sec. 1211.12  Requirements for edge sensors.

    (a) Normal operation test. (1) When installed on a representative 
door edge, an edge sensor shall actuate upon the application of a 15 
pounds (66.7 N) or less force in the direction of the application. For 
an edge sensor intended to be used on a sectional door, the force is to 
be applied by the longitudinal edge of a 1\7/8\ inch (47.6 mm) diameter 
cylinder placed across the switch so that the axis is perpendicular to 
the plane of the door. For an edge sensor intended to be used on a one 
piece door, the force is to be applied so that the axis is at an angle 
30 degrees from the direction perpendicular to the plane of the door. 
See figure 6.
    (2) With respect to the test of paragraph (a)(1) of this section, 
the test is to be repeated at various representative points of the edge 
sensor across the width of the door.
    (3) Exception: The edge sensor need not be sensitive to actuation 
two inches (50.4 mm) or less from each end of the intended width of the 
door opening.
    (b) Endurance test. An edge sensor system and associated components 
shall withstand 30,000 cycles of mechanical operation without failure. 
For this test, the edge sensor is to be cycled by the repetitive 
application of the force as described in paragraph (a)(1) of this 
section. The force is to be applied to the same location for the entire 
test. For an edge sensor system employing integral electric contact 
strips, this test shall be conducted with the contacts connected to a 
load no less severe than it controls in the operator. For the last 50 
cycles of operation, the sensor shall function as intended when 
connected to an operator.
    (c) Elastomeric material conditioning test. (1) An elastomeric 
material used as a functional part of an edge sensor shall function as 
intended when subjected to:
    (i) Accelerated Aging Test of Gaskets, stated in paragraph (c)(3) of 
this section, and
    (ii) Puncture Resistance Test, stated in paragraph (d) of this 
section.
    (2) An elastomeric material used for a functional part that is 
exposed to outdoor weather conditions when the door is in the closed 
position shall have physical properties as specified in table 1 after 
being conditioned in accordance with the Ultraviolet Light Exposure Test 
described in the Standard for Safety for Polymeric Materials--Use in 
Electrical Equipment Evaluations, UL 746C, 4th ed., dated December 27, 
1995. This incorporation by reference was approved by the Director of 
the Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 
51. Copies may be obtained from Global Engineering Documents, 15 
Inverness Way East, Englewood, CO 80112, Telephone (800) 854-7179 or 
Global Engineering Documents, 7730 Carondelet Ave., Suite 470, Clayton, 
MO 63105, Telephone (800) 854-7179.

[[Page 334]]

[GRAPHIC] [TIFF OMITTED] TC03OC91.045


Copies may be inspected at the Consumer Product Safety Commission, 
Office of the Secretary, 4330 East West Highway, Bethesda, Maryland or 
at the Office of the Federal Register, 800 North Capitol Street NW., 
suite 700, Washington, DC.
    (3) Rubber compounds forming gaskets that are depended upon for 
protection from rain shall have physical properties as specified in 
table 1, before and after conditioning for 168 hours in an air-
circulating oven at 70  deg.C (158  deg.F).
    (d) Puncture resistance test. (1) After being subjected to the test 
described in paragraph (d)(2) of this section, an elastomeric material 
that is a functional part of an edge sensor shall:

[[Page 335]]

    (i) Not be damaged in a manner that would adversely affect the 
intended operation of the edge sensor, and
    (ii) Maintain enclosure integrity if it serves to reduce the 
likelihood of contamination of electrical contacts.
    (2) A sample of the edge sensor is to be installed in the intended 
manner on a representative door edge. The probe described in figure 7 is 
to be applied with a 20 pound-force (89N) to any point on the sensor 
that is 3 inches or less above the floor is to be applied in the 
direction specified in the Edge Sensor Normal Operation Test, figure 6. 
The test is to be repeated on three locations on each surface of the 
sensor being tested.
[GRAPHIC] [TIFF OMITTED] TC03OC91.046

[57 FR 60455, Dec. 21, 1992, as amended at 62 FR 46667, Sept. 4, 1997; 
65 FR 70659, Nov. 27, 2000]



Sec. 1211.13  Inherent force activated secondary door sensors.

    (a) Normal operation test. (1) A force activated door sensor of a 
door system installed according to the installation instructions shall 
actuate when the door applies a 15 pound (66.7 N) or less force in the 
down or closing direction and when the door applies a 25 pound (111.2 N) 
or less force in the up or opening direction. For a force activated door 
sensor intended to be used in an operator intended for use only on a 
sectional door, the force is to be applied by the door against the 
longitudinal edge of a 1\7/8\ (47.6 mm) diameter cylinder placed across 
the door so that the axis is perpendicular to the plane of the door. See 
Figure 6 of this part. The weight of the door is to be equal to the 
maximum weight rating of the operator.
    (2) The test described in paragraph (a)(1) of this section is to be 
repeated and measurements made at various representative points across 
the width and height of the door. For this test, a

[[Page 336]]

door sensor system and associated components shall withstand a total of 
9 cycles of mechanical operation without failure with the force applied 
as follows:
    (i) At the center at points one, three, and five feet from the 
floor,
    (ii) Within 1 foot of the end of the door, at points one, three, and 
five feet from the floor,
    (iii) Within 1 foot of the other end of the door at points one, 
three, and five feet from the floor.
    (3) The cycles are not required to be consecutive. Continuous 
operation of the motor without cooling is not required.
    (b) Adjustment of door weight. (1) With the door at the point and at 
the weight determined by the tests of paragraphs (a)(2) and (b)(2) of 
this section to be the most severe, the door sensor and associated 
components shall withstand 50 cycles of operation without failure.
    (2) At the point determined by the test in paragraphs (a)(1) and 
(a)(2) of this section to be the most severe, weight is to be added to 
the door in 5.0 pound (2.26 Kg) increments and the test repeated until a 
total of 15.0 pounds (66.72 N) has been added to the door. Before 
performing each test cycle, the door is to be cycled 2 times to update 
the profile. Similarly, starting from normal weight plus 15.0 pounds, 
the test is to be repeated by subtracting weight in 5.0 pound increments 
until a total of 15.0 pounds has been subtracted from the door.

[65 FR 70659, Nov. 27, 2000]



Sec. 1211.14  Instruction manual.

    (a) General. (1) A residential garage door operator shall be 
provided with an instruction manual. The instruction manual shall give 
complete instructions for the installation, operation, and user 
maintenance of the operator.
    (2) Instructions that clearly detail installation and adjustment 
procedures required to effect proper operation of the safety means 
provided shall be provided with each door operator.
    (3) A residential garage door or door operator shall be provided 
with complete and specific instructions for the correct adjustment of 
the control mechanism and the need for periodic checking and, if needed, 
adjustment of the control mechanism so as to maintain satisfactory 
operation of the door.
    (4) The instruction manual shall include the important instructions 
specified in paragraphs (b)(1) and (2) of this section. All required 
text shall be legible and contrast with the background. Upper case 
letters of required text shall be no less than \5/64\ inch (2.0 mm) high 
and lower case letters shall be no less than \1/16\ inch (1.6 mm) high. 
Heading such as ``Important Installation Instructions,'' ``Important 
Safety Instructions,'' ``Save These Instructions'' and the words 
``Warning--To reduce the risk of severe injury or death to persons:'' 
shall be in letters no less than \3/16\ inch (4.8 mm) high.
    (5) The instructions listed in paragraphs 1211.13(b)(1) and (2) 
shall be in the exact words specified or shall be in equally definitive 
terminology to those specified. No substitutes shall be used for the 
word ``Warning.'' The items may be numbered. The first and last items 
specified in paragraph (b)(2) of this section shall be first and last 
respectively. Other important and precautionary items considered 
appropriate by the manufacturer may be inserted.
    (6) The instructions listed in paragraph (b)(1) of this section 
shall be located immediately prior to the installation instructions. The 
instructions listed in paragraph (b)(2) of this section shall be located 
immediately prior to user operation and maintenance instructions. In 
each case, the instructions shall be separate in format from other 
detailed instructions related to installation, operation and maintenance 
of the operator. All instructions, except installation instructions, 
shall be a permanent part of the manual(s).
    (b) Specific required instructions. (1) The Installation 
Instructions shall include the following instructions:

                   Important Installation Instructions

    Warning--To reduce the risk of severe injury or death:
    1. Read and follow all Installation Instructions.
    2. Install only a properly balanced garage door. An improperly 
balanced door could cause severe injury. Have a qualified service person 
make repairs to cables, spring assemblies and other hardware before 
installing opener.

[[Page 337]]

    3. Remove all ropes and remove or make inoperative all locks 
connected to the garage door before installing opener.
    4. Where possible, install door opener 7 feet or more above the 
floor. For products requiring an emergency release, mount the emergency 
release 6 feet above the floor.
    5. Do not connect opener to source of power until instructed to do 
so.
    6. Locate control button: (a) within sight of door, (b) at a minimum 
height of 5 feet so small children cannot reach it, and (c) away from 
all moving parts of the door.
    7. Install Entrapment Warning Label next to the control button in a 
prominent location. Install the Emergency Release Marking. Attach the 
marking on or next to the emergency release.
    8. After installing opener, the door must reverse when it contacts a 
1\1/2\ inch high object (or a 2 by 4 board laid flat) on the floor.
    (2) The User Instructions shall include the following instructions:

                      Important Safety Instructions

    Warning--To reduce the risk of severe injury or death:
    1. Read and Follow all Instructions.
    2. Never let children operate, or play with door controls. Keep the 
remote control away from children.
    3. Always keep the moving door in sight and away from people and 
objects until it is completely closed. No One Should Cross the Path of 
the Moving Door.
    4. Test door opener monthly. The garage door MUST reverse on contact 
with a 1\1/2\ inch object (or a 2 by 4 board laid flat) on the floor. 
After adjusting either the force or the limit of travel, retest the door 
opener. Failure to adjust the opener properly may cause severe injury or 
death.
    5. For products requiring an emergency release, if possible, use the 
emergency release only when the door is closed. Use caution when using 
this release with the door open. Weak or broken springs may allow the 
door to fall rapidly, causing injury or death.
    6. Keep Garage Doors Properly Balanced. See owner's manual. An 
improperly balanced door could cause severe injury or death. Have a 
qualified service person make repairs to cables, spring assemblies and 
other hardware.
    7. Save These Instructions.

[57 FR 60455, Dec. 21, 1992. Redesignated and amended at 65 FR 70659, 
Nov. 27, 2000]



Sec. 1211.15  Field-installed labels.

    (a) A residential garage door operator shall be provided with labels 
for field installation and constructed as specified in paragraphs (c) 
through (i) of this section. The labels shall be acceptable for 
permanent installation. The instruction manual shall specify where the 
labels are to be located.
    (b) If labels secured by adhesive are used, the instruction shall 
specify that an additional mechanical means shall be used to secure the 
labels to surfaces to which the adhesive will not adhere.
    (c) A residential garage door operator shall be provided with a 
cautionary label intended for permanent installation to identify the 
possible risk of entrapment. The instruction manual shall direct that 
the label be affixed near the wall-mounted control button.
    (d) The label required in accordance with paragraph (c) of this 
section shall be in a vertical layout with three panels:
    (1) A signal word panel,
    (2) A pictorial panel, and
    (3) A message panel, with adjacent panels delineated from each other 
by a horizontal black line. The entire label shall be surrounded by a 
black border and shall measure at least 5 inches (127 mm) wide by 6\1/4\ 
inches (159 mm) long overall.
    (e) The signal word panel as specified in paragraph (d) of this 
section shall contain the word ``WARNING,'' in uppercase letters, 
preceded by a safety alert symbol consisting of an orange exclamation 
mark on a black solid equilateral triangle background with the point of 
the triangle oriented upward. The word ``WARNING'' and the safety alert 
symbol shall be centered on one line and shall be in black letters at 
least \7/16\ inch (11.1 mm) high on an orange background.
    (f) The pictorial panel as specified in paragraph (d) of this 
section shall be positioned between the signal word panel and the 
message panel. The pictorial shall be black on a white background and 
shall clearly depict a child running toward or under a garage door. A 
red prohibition symbol (slash, oriented from the upper left to the lower 
right, through a circle) shall be superimposed over, and totally 
surround, the pictorial. The pictorial shall have an overall diameter of 
1-7\1/8\ inch (47.6 mm) minimum.
    (g) The message panel as specified in paragraph (d) of this section 
shall include the following text or an equivalent wording:

[[Page 338]]

    (1) Possible Risk and Consequence Statement--``There is a risk of a 
child becoming trapped under an automatic garage door resulting in 
severe injury or death.''
    (2) Avoidance Statements--
    (i) ``Do not allow children to walk or run under a closing door.''
    (ii) ``Do not allow children to operate door operator controls.''
    (iii) ``Always keep a closing door within sight.''
    (iv) ``In the event a person is trapped under the door, push the 
control button or use the emergency release.'' For products not having 
an emergency release use instead ``In the event a person is trapped 
under the door, push the control button.''
    (3) Instructions--
    (i) ``Test Door Operator Monthly: Use a 1\1/2\ inch thick object 
placed on the floor under the closing door. In the event the door does 
not reverse upon contact, adjust, repair, or replace the operator.''
    (ii) Additional instructions on not removing or painting over the 
label, mounting the label adjacent to the wall control, and mounting the 
wall control out of children's reach shall be provided. These additional 
instruction shall be in less prominent lettering than those in paragraph 
(g)(3)(i) of this section.
    (h) The lettering of the message panel described in paragraph (g) of 
this section shall be black on a white background and shall be sans 
serif letters in combinations of upper case and lower case letters. The 
upper case letters of the Possible Risk and Consequence Statements and 
Avoidance Statements shall be \1/8\ inch (3.18 mm) high minimum. The 
lettering of the Possible Risk and Consequence Statement shall be in 
italics, underlined, bold, or the like, and shall be double spaced from 
the Avoidance Statements. All other instructions shall be in letters 
less prominent than the Possible Risk and Consequence Statements and 
shall be separated with at least a single space between individual 
instructions.
    (i) Except for door operators complying with Sec. 1211.9(b), a 
residential garage door operator shall be provided with a cautionary 
marking attached to or adjacent at all times to the means provided to 
detach the operator from the garage door. The marking shall include the 
following statement or the equivalent: ``If the door becomes obstructed, 
detach door from operator as follows: (The method to detach the operator 
shall be shown on the marking.)''

[57 FR 60455, Dec. 21, 1992. Redesignated and amended at 65 FR 70659, 
Nov. 27, 2000]



Sec. 1211.16  UL marking requirements.

    (a) Unless specifically excepted, marking required in this standard 
shall be permanent. Ink-printed and stenciled markings, decalcomania 
labels, and pressure sensitive labels are among the types of marking 
that are considered acceptable if they are acceptably applied and are of 
good quality.
    (b) Except as provided below, a garage door operator shall be 
plainly marked, at a location where the marking will be readily visible-
-after installation, in the case of a permanently connected appliance--
with:
    (1) The manufacturer's name, trademark, or other descriptive marking 
by which the organization responsible for the product may be identified-
-hereinafter referred to as the manufacturer's name;
    (2) The catalog number or the equivalent;
    (3) The voltage, frequency, and input in amperes or watts; and
    (4) The date or other dating period of manufacture not exceeding any 
three consecutive months.
    (c) The ampere rating shall be included unless the full-load power 
factor is 80 percent or more, or, for a cord-connected operator, unless 
the rating is 50 watts or less. The number of phases shall be indicated 
if an operator is for use on a polyphase circuit. The date code 
repetition cycle shall not be less than 20 years.
    (d) Exception No. 1: The manufacturer's identification may be in a 
traceable code if the operator is identified by the brand or trademark 
owned by a private labeler.
    (e) Exception No. 2: The date of manufacture may be abbreviated or 
in an established or otherwise accepted code.
    (f) If a manufacturer produces or assembles operators at more than 
one factory, each finished operator shall

[[Page 339]]

have a distinctive marking, which may be in code, to identify it as the 
product of a particular factory.
    (g) The carton and the instruction manual for an operator shall be 
marked with the word ``WARNING'' and the following or the equivalent: 
``To reduce the risk of injury to persons--Use this operator only with 
(a) ------ door(s).''
    (h) A residential garage door operator shall be marked with the word 
``WARNING'' and the following or equivalent, ``Risk of entrapment. After 
adjusting either the force or limits of travel adjustments, insure that 
the door reverses on a 1\1/2\ inch (or a 2 by 4 board laid flat) high 
obstruction on the floor.''
    (i) A separately supplied accessory, including external entrapment 
protection device, intended for installation with an appliance or 
appliances shall be marked with the manufacturer's name and catalog or 
model number and the type of appliance or appliances with which it is 
intended to be used--such as a residential garage door operator. 
Additionally, installation instructions, accompanying specifications 
sheet, or packaging of the accessory shall identify the appliance or 
appliances with which it is intended to be used by specifying the 
manufacturer's name and catalog or model number or by any other positive 
means to serve the identification purpose.
    (j) An appliance provided with terminals or connectors for 
connection of a separately supplied accessory, such as an external 
entrapment protection device, shall be marked to identify the accessory 
intended to be connected to the terminals or connectors. The accessory 
identification shall be by manufacturer's name and catalog or model 
number or other means to allow for the identification of accessories 
intended for use with the appliance.
    (k) With reference to paragraph (k) of this section, instructions 
for installing a separately supplied accessory shall be provided. A 
statement shall be included in the instructions warning the user that 
the appliance must be disconnected from the source of supply before 
attempting the installation of the accessory.

[57 FR 60455, Dec. 21, 1992. Redesignated at 65 FR 70659, Nov. 27, 2000]



Sec. 1211.17  Statutory labeling requirement.

    (a) A manufacturer selling or offering for sale in the United States 
an automatic residential garage door operator manufactured on or after 
January 1, 1991, shall clearly identify on any container of the system 
and on the system the month or week and year the system was manufactured 
and its conformance with the requirements of this part.
    (b) The display of the UL logo or listing mark, and compliance with 
the date marking requirements of UL-325 now stated in Sec. 1211.5 of 
this subpart, on both the container and the system, shall satisfy the 
requirements of this subpart.

[57 FR 60455, Dec. 21, 1992. Redesignated at 65 FR 70659, Nov. 27, 2000]



                        Subpart B--Certification

    Source: 57 FR 60468, Dec. 21, 1992, unless otherwise noted.



Sec. 1211.20  Purpose, scope, and application.

    (a) Purpose. Section 14(a) of the Consumer Product Safety Act, 15 
U.S.C. 2063(a), requires every manufacturer (including importers) and 
private labeler of a product which is subject to a consumer product 
safety standard to issue a certificate that the product conforms to the 
applicable standard, and to base that certificate either on a test of 
each product or on a ``reasonable testing program.'' The purpose of this 
subpart is to establish requirements that manufacturers and importers of 
automatic residential garage door operators subject to the Safety 
Standard for Automatic Residential Garage Door Operators (16 CFR part 
1211, subpart A), shall issue certificates of compliance in the form 
specified.
    (b) Scope and application. The provisions of this subpart apply to 
all residential garage door operators which are subject to the 
requirements of the

[[Page 340]]

Safety Standard for Automatic Residential Garage Door Operators that 
take effect on January 1, 1993 or later.



Sec. 1211.21  Effective date.

    Under the Consumer Product Safety Act, automatic residential garage 
door operators must certify that they comply with requirements of 
subpart A of this part. This certification requirement is currently in 
effect. The specific labeling requirement of the certification rule in 
this subpart will become effective for any automatic residential garage 
door operator manufactured on or after January 21, 1993.



Sec. 1211.22  Definitions.

    The following definitions shall apply to this subpart:
    (a) Private labeler means an owner of a brand or trademark which is 
used on an operator subject to the standard and which is not the brand 
or trademark of the manufacturer of the operator, provided the owner of 
the brand or trademark caused or authorized the operator to be so 
labeled and the brand or trademark of the manufacturer of such operator 
does not appear on the label.
    (b) Production lot means a quantity of garage door operators from 
which certain operators are selected for testing prior to certifying the 
lot. All garage door operators in a lot must be essentially identical in 
those design, construction, and material features which relate to the 
ability of an operator to comply with the standard.
    (c) Reasonable testing program means any test or series of tests 
which are identical or equivalent to, or more stringent than, the tests 
defined in the standard and which are performed on one or more garage 
door operators of the production lot for the purpose of determining 
whether there is reasonable assurance that the operators in that lot 
comply with the requirements of the standard.



Sec. 1211.23  Certification testing.

    (a) General. Manufacturers and importers shall either test each 
individual garage door operator (or have it tested) or shall rely upon a 
reasonable testing program to demonstrate compliance with the 
requirements of the standard.
    (b) Reasonable testing program. This paragraph provides guidance for 
establishing a reasonable testing program.
    (1) A reasonable testing program for automatic residential garage 
door operators is one that provides reasonable assurance that the 
operators comply with the standard. Manufacturers and importers may 
define their own testing programs. Such reasonable testing programs may, 
at the option of manufacturers and importers, be conducted by an 
independent third party qualified to perform such testing programs.
    (2) To conduct a reasonable testing program, the garage door 
operators should be divided into production lots. Sample operators from 
each production lot should be tested in accordance with the reasonable 
testing program so that there is a reasonable assurance that if the 
operators selected for testing meet the standard, all operators in the 
lot will meet the standard. Where there is a change in parts, suppliers 
of parts, or production methods that could affect the ability of the 
operator to comply with the requirements of the standard, the 
manufacturer should establish a new production lot for testing.
    (3) The Commission will test for compliance with the standard by 
using the test procedures contained in the standard. However, a 
manufacturer's reasonable testing program may include either tests 
prescribed in the standard or any other reasonable test procedures.
    (4) If the reasonable testing program shows that an operator does 
not comply with one or more requirements of the standard, no operator in 
the production lot can be certified as complying until all non-complying 
operators in the lot have been identified and destroyed or altered by 
repair, redesign, or use of a different material or components to the 
extent necessary to make them conform to the standard. The sale or 
offering for sale of garage door operators that do not comply with the 
standard is a prohibited act and a violation of section 19(a) of the 
CPSA (15 U.S.C. 2068(a)), regardless of whether the operator has been 
validly certified.

[[Page 341]]



Sec. 1211.24  Product certification and labeling by manufacturers.

    (a) Form of permanent label of certification. Manufacturers 
(including importers) shall issue certificates of compliance for 
automatic residential garage door operators manufactured after the 
effective date of the standard in the form of a permanent label which 
can reasonable be expected to remain on the operator during the entire 
period the operator is capable of being used. Such labeling shall be 
deemed to be a ``certificate'' of compliance as that term is used in 
section 14 of the CPSA, 15 U.S.C. 2063.
    (b) Exception for UL listed operators. The certification labeling 
requirement of paragraph (a) of this section shall be satisfied by 
display of the Underwriters Laboratories, Inc. (UL) logo or listing 
mark, and compliance with the date marking requirements of UL Standard 
for Safety 325, on both the operator system and its container. Operators 
displaying the UL logo or listing mark and complying with the UL 
standard are exempt from the requirements of paragraphs (c) and (d) of 
this section.
    (c) Contents of certification label. The certification labels 
required by this section shall clearly and legibly contain the following 
information:
    (1) The statement ``Meets CPSC -------- (insert 1993 or later date 
of applicable standard) garage door operator entrapment protection 
requirements.''
    (2) An identification of the production lot.
    (d) Placement of the label. The label required by this section must 
be affixed to the operator. If the label is not immediately visible to 
the ultimate purchaser of the garage door operator prior to purchase 
because of packaging or other marketing practices, a second label that 
states: ``Meets CPSC -------- (insert 1993 or later date of applicable 
standard) garage door operator entrapment protection requirements,'' 
along with the month or week and year of manufacture must appear on the 
container or, if the container is not visible, on the promotional 
material used with the sale of the operator.



Sec. 1211.25  Product certification and labeling by importers.

    (a) General. The importer of any automatic residential garage door 
operator subject to the standard in subpart A of this part must issue 
the certificate of compliance required by section 14(a) of the CPSA and 
Sec. 1211.24 of this subpart. If testing of each operator, or a 
reasonable testing program, meeting the requirements of this subpart has 
been performed by or for the foreign manufacturer of the product, the 
importer may rely in good faith on such tests to support the certificate 
of compliance provided the importer is a resident of the United States 
or has a resident agent in the United States and the records of such 
tests required by Sec. 1211.31 of subpart C of this part are maintained 
in the United States.
    (b) Responsibility of importer. If the importer relies on tests by 
the foreign manufacturer to support the certificate of compliance, the 
importer bears the responsibility for examining the records supplied by 
the manufacturer to determine that the records of such tests appear to 
comply with Sec. 1211.31 of subpart C of this part.



                        Subpart C--Recordkeeping

    Source: 57 FR 60468, Dec. 21, 1992, unless otherwise noted.



Sec. 1211.30  Effective date.

    The recordkeeping requirements in this subpart shall become 
effective on January 21, 1993, and shall apply to automatic residential 
garage door operators manufactured on or after that date.



Sec. 1211.31  Recordkeeping requirements.

    (a) General. Every person issuing certificates of compliance for 
automatic residential garage door operators subject to the standard set 
forth in subpart A of this part shall maintain written records which 
show that the certificates are based on a test of each operator or on a 
reasonable testing program. The records shall be maintained for a period 
of at least three years from the date of certification of each operator 
or the last operator in each production lot. These records shall be

[[Page 342]]

available to any designated officer or employee of the Commission upon 
request in accordance with section 16(b) of the CPSA, 15 U.S.C. 2065(b).
    (b) Content of records. Records shall identify the operators tested 
and the production lot and describe the tests the operators were 
subjected to in sufficient detail so the tests may be replicated. 
Records shall also provide the results of the tests including the 
precise nature of any failures, and specific actions taken to address 
any failures.
    (c) Format for records. The records required to be maintained by 
this section may be in any appropriate form or format that clearly 
provides the required information.



PART 1212--Safety Standard for Multi-Purpose Lighters--Table of Contents




              Subpart A--Requirements for Child-Resistance

Sec.
1212.1 Scope, application, and effective date.
1212.2 Definitions.
1212.3 Requirements for multi-purpose lighters.
1212.4 Test protocol.
1212.5 Findings.

                  Subpart B--Certification Requirements

1212.11 General.
1212.12 Certificate of compliance.
1212.13 Certification tests.
1212.14 Qualification testing.
1212.15 Specifications.
1212.16 Production testing.
1212.17 Recordkeeping and reporting.
1212.18 Refusal of importation.

                         Subpart C-- Stockpiling

1212.20 Stockpiling.

Appendix A to Part 1212--Findings Under the Consumer Product Safety Act

    Source: 64 FR 71872, Dec. 22, 1999, unless otherwise noted.



              Subpart A--Requirements for Child-Resistance

    Authority: 15 U.S.C. 2056, 2058, 2079(d).



Sec. 1212.1  Scope, application, and effective date.

    This part 1212, a consumer product safety standard, prescribes 
requirements for multi-purpose lighters. These requirements are intended 
to make the multi-purpose lighters subject to the standard's provisions 
resistant to successful operation by children younger than 5 years of 
age. This standard applies to all multi-purpose lighters, as defined in 
Sec. 1212.2, that are manufactured in the United States, or imported, on 
or after December 22, 2000.



Sec. 1212.2  Definitions.

    As used in this part 1212:
    (a)(1) Multi-purpose lighter, (also known as grill lighter, 
fireplace lighter, utility lighter, micro-torch, or gas match, etc.) 
means: A hand-held, flame-producing product that operates on fuel, 
incorporates an ignition mechanism, and is used by consumers to ignite 
items such as candles, fuel for fireplaces, charcoal or gas-fired 
grills, camp fires, camp stoves, lanterns, fuel-fired appliances or 
devices, or pilot lights, or for uses such as soldering or brazing. Some 
multi-purpose lighters have a feature that allows for hands-free 
operation.
    (2) The following products are not multi-purpose lighters:
    (i) Devices intended primarily for igniting cigarettes, cigars, and 
pipes, whether or not such devices are subject to the requirements of 
the Safety Standard for Cigarette Lighters (16 CFR part 1210).
    (ii) Devices containing more than 10 oz. of fuel.
    (iii) Matches.
    (b) Successful operation means one signal of any duration from a 
surrogate multi-purpose lighter within either of the two 5-minute test 
periods specified in Sec. 1212.4(f).
    (c)(1) Surrogate multi-purpose lighter means a device that
    (i) Approximates the appearance, size, shape, and weight of, and is 
identical in all other factors that affect child resistance (including 
operation and the force(s) required for operation), within reasonable 
manufacturing tolerances, to, a multi-purpose lighter intended for use 
by consumers,
    (ii) Has no fuel,
    (iii) Does not produce a flame, and
    (iv) produces an audible, or audible and visual, signal that will be 
clearly discernible when the surrogate multi-

[[Page 343]]

purpose lighter is activated in each manner that would produce a flame 
in a fueled production multi-purpose lighter.
    (2) This definition does not require a multi-purpose lighter to be 
modified with electronics or the like to produce a signal. Manufacturers 
may use a multi-purpose lighter without fuel as a surrogate multi-
purpose lighter if a distinct audible signal, such as a ``click,'' can 
be heard clearly when the mechanism is operated in each manner that 
would produce a flame in a production lighter and if a flame cannot be 
produced in a production multi-purpose lighter without the signal. But 
see Sec. 1212.4(f)(1).
    (d) Child-resistant mechanism means the mechanism of a multi-purpose 
lighter that makes the lighter resist successful operation by young 
children, as specified in Sec. 1212.3.
    (e) Model means one or more multi-purpose lighters from the same 
manufacturer or importer that do not differ in design or other 
characteristics in any manner that may affect child resistance. Lighter 
characteristics that may affect child resistance include, but are not 
limited to, size, shape, case material, and ignition mechanism 
(including child-resistant features).



Sec. 1212.3  Requirements for multi-purpose lighters.

    (a) A multi-purpose lighter subject to this part 1212 shall be 
resistant to successful operation by at least 85% of the child-test 
panel when tested in the manner prescribed by Sec. 1212.4.
    (b) The child-resistant mechanism of a multi-purpose lighter subject 
to this part 1212 must:
    (1) Operate safely when used in a normal and convenient manner,
    (2) Comply with this Sec. 1212.3 for the reasonably expected life of 
the lighter,
    (3) Not be easy to deactivate or prevent from complying with this 
Sec. 1212.3.
    (4) Except as provided in paragraph (b)(5) of this section, 
automatically reset when or before the user lets go of the lighter.
    (5) The child-resistant mechanism of a multi-purpose lighter subject 
to this part 1212 that allows hands-free operation must:
    (i) Require operation of an additional feature (e.g., lock, switch, 
etc.) after a flame is achieved before hands-free operation can occur;
    (ii) Have a manual mechanism for turning off the flame when the 
hands-free function is used; and either
    (iii) Automatically reset when or before the user lets go of the 
lighter when the hands-free function is not used; or
    (iv) Automatically reset when or before the user lets go of the 
lighter after turning off the flame when the hands-free feature is used.



Sec. 1212.4  Test protocol.

    (a) Child test panel. (1) The test to determine if a multi-purpose 
lighter is resistant to successful operation by children uses a panel of 
children to test a surrogate multi-purpose lighter representing the 
production multi-purpose lighter. Written informed consent shall be 
obtained from a parent or legal guardian of a child before the child 
participates in the test.
    (2) The test shall be conducted using at least one, but no more than 
two, 100-child test panels in accordance with the provisions of 
Sec. 1212.4(f).
    (3) The children for the test panel shall live within the United 
States.
    (4) The age and sex distribution of each 100-child panel shall be:
    (i) 302 children (201 males; 101 
females) 42 through 44 months old;
    (ii) 402 children (261 males; 
141 females) 45 through 48 months old;
    (iii) 302 children (201 males; 
101 females) 49 through 51 months old.

    Note to paragraph (a)(4): To calculate a child's age in months: 
Subtract the child's birth date from the test date. The following 
calculation shows how to determine the age of the child at the time of 
the test. Both dates are expressed numerically as Month-Day-Year.
    Example: Test Date (e.g., 8/3/94) minus Birth Date--(e.g., 6/23/90). 
Subtract the number for the year of birth from the number for the year 
of the test (i.e., 94 minus 90 = 4). Multiply the difference in years by 
12 months (i.e., 4 years x 12 months = 48 months). Subtract the number 
for the month of the birth date from the number of the month of the test 
date (i.e., 8 minus 6 = 2 months). Add the difference in months obtained 
above to the number of months represented by the difference in years 
described above (48 months + 2 months = 50 months). If the difference in 
days is greater than 15 (e.g., 16, 17 . . .), add

[[Page 344]]

1 month. If the difference in days is less than -15 (e.g., -16, -17), 
subtract 1 month (e.g., 50 months-1 month = 49 months). If the 
difference in days is between -15 and 15 (e.g., -15, -14, . . . 14, 15), 
do not add or subtract a month.

    (5) No child with a permanent or temporary illness, injury, or 
handicap that would interfere with the child's ability to operate the 
surrogate multi-purpose lighter shall participate.
    (6) Two children at a time shall participate in testing of surrogate 
multi-purpose lighters. Extra children whose results will not be counted 
in the test may be used if necessary to provide the required partner for 
test subjects, if the extra children are within the required age range 
and a parent or guardian of each such child has signed a consent form.
    (7) No child shall participate in more than one test panel or test 
more than one surrogate multi-purpose lighter. No child shall 
participate in both surrogate multi-purpose lighter testing and either 
surrogate cigarette lighter testing or child-resistant package testing 
on the same day.
    (b) Test sites, environment, and adult testers. (1) Surrogate multi-
purpose lighters shall be tested within the United States at 5 or more 
test sites throughout the geographical area for each 100-child panel if 
the sites are the customary nursery schools or day care centers of the 
participating children. No more than 20 children shall be tested at each 
site. In the alternative, surrogate multi-purpose lighters may be tested 
within the United States at one or more central locations, provided the 
participating children are drawn from a variety of geographical 
locations.
    (2) Testing of surrogate multi-purpose lighters shall be conducted 
in a room that is familiar to the children on the test panel (for 
example, a room the children frequent at their customary nursery school 
or day care center). If the testing is conducted in a room that 
initially is unfamiliar to the children (for example, a room at a 
central location), the tester shall allow at least 5 minutes for the 
children to become accustomed to the new environment before starting the 
test. The area in which the testing is conducted shall be well-lighted 
and isolated from distractions. The children shall be allowed freedom of 
movement to work with their surrogate multi-purpose lighters, as long as 
the tester can watch both children at the same time. Two children at a 
time shall participate in testing of surrogate multi-purpose lighters. 
The children shall be seated side by side in chairs approximately 6 
inches apart, across a table from the tester. The table shall be normal 
table height for the children, so that they can sit up at the table with 
their legs underneath and so that their arms will be at a comfortable 
height when on top of the table. The children's chairs shall be ``child 
size.''
    (3) Each tester shall be at least 18 years old. Five or 6 adult 
testers shall be used for each 100-child test panel. Each tester shall 
test an approximately equal number of children from the 100-child test 
panel (202 children each for 5 testers and 172 
children each for 6 testers).

    Note: When a test is initiated with five testers and one tester 
drops out, a sixth tester may be added to complete the testing. When a 
test is initiated with six testers and one tester drops out, the test 
shall be completed using the five remaining testers. When a tester drops 
out, the requirement for each tester to test an approximately equal 
number of children does not apply to that tester. When testing is 
initiated with five testers, no tester shall test more than 19 children 
until it is certain that the test can be completed with five testers.

    (c) Surrogate multi-purpose lighters. (1) Six surrogate multi-
purpose lighters shall be used for each 100-child panel. The six multi-
purpose lighters shall represent the range of forces required for 
operation of multi-purpose lighters intended for use. All of these 
surrogate multi-purpose lighters shall have the same visual appearance, 
including color. The surrogate multi-purpose lighters shall be labeled 
with sequential numbers beginning with the number one. The same six 
surrogate multi-purpose lighters shall be used for the entire 100-child 
panel. The surrogate multi-purpose lighters may be used in more than one 
100-child panel test. The surrogate multi-purpose lighters shall not be 
damaged or jarred during storage or transportation. The surrogate

[[Page 345]]

multi-purpose lighters shall not be exposed to extreme heat or cold. The 
surrogate multi-purpose lighters shall be tested at room temperature. No 
surrogate multi-purpose lighter shall be left unattended.
    (2) Each surrogate multi-purpose lighter shall be tested by an 
approximately equal number of children in a 100-child test panel 
(172 children).

    Note: If a surrogate multi-purpose lighter is permanently damaged, 
testing shall continue with the remaining multi-purpose lighters. When a 
multi-purpose lighter is dropped out, the requirement that each multi-
purpose lighter be tested by an approximately equal number of children 
does not apply to that lighter.

    (3) Before each 100-child panel is tested, each surrogate multi-
purpose lighter shall be examined to verify that it approximates the 
appearance, size, shape, and weight of a production multi-purpose 
lighter intended for use.
    (4) Before and after each 100-child panel is tested, force 
measurements shall be taken on all operating components that could 
affect child resistance to verify that they are within reasonable 
operating tolerances for the corresponding production multi-purpose 
lighter.
    (5) Before and after testing surrogate multi-purpose lighters with 
each child, each surrogate multi-purpose lighter shall be operated 
outside the presence of any child participating in the test to verify 
that it produces a signal. If the surrogate multi-purpose lighter will 
not produce a signal before the test, it shall be repaired before it is 
used in testing. If the surrogate multi-purpose lighter does not produce 
a signal when it is operated after the test, the results for the 
preceding test with that multi-purpose lighter shall be eliminated. An 
explanation shall be recorded on the data collection record. The multi-
purpose lighter shall be repaired and tested with another eligible child 
(as one of a pair of children) to complete the test panel.
    (d) Encouragement. (1) Prior to the test, the tester shall talk to 
the children in a normal and friendly tone to make them feel at ease and 
to gain their confidence.
    (2) The tester shall tell the children that he or she needs their 
help for a special job. The children shall not be promised a reward of 
any kind for participating, and shall not be told that the test is a 
game or contest or that it is fun.
    (3) The tester shall not discourage a child from attempting to 
operate the surrogate multi-purpose lighter at any time (either verbally 
or with body language such as facial expressions), unless a child is in 
danger of hurting himself or another child. The tester shall not discuss 
the dangers of multi-purpose lighters or matches with the children to be 
tested prior to the end of the 10-minute test.
    (4) Whenever a child has stopped attempting to operate the surrogate 
multi-purpose lighter for a period of approximately one minute, the 
tester shall encourage the child to try by saying ``keep trying for just 
a little longer.''
    (5) Whenever a child says that his or her parent, grandparent, 
guardian, etc., said never to touch lighters, say ``that's right--never 
touch a real lighter--but your [parent, etc.] said it was OK for you to 
try to make a noise with this special lighter because it can't hurt 
you.''
    (6) The children in a pair being tested may encourage each other to 
operate the surrogate multi-purpose lighter and may tell or show each 
other how to operate it. (This interaction is not considered to be 
disruption as described in paragraph (e)(2) of this section.) However, 
neither child shall be allowed to touch or operate the other child's 
multi-purpose lighter. If one child takes the other child's surrogate 
multi-purpose lighter, that surrogate lighter shall be immediately 
returned to the proper child. If this occurs, the tester shall say ``No. 
He (she) has to try to do it himself (herself).''
    (e) Children who refuse to participate. (1) If a child becomes upset 
or afraid, and cannot be reassured before the test starts, select 
another eligible child for participation in that pair.
    (2) If a child disrupts the participation of another child for more 
than 1 minute during the test, the test shall be stopped and both 
children eliminated from the results. An explanation shall be recorded 
on the data collection record. These two children should be

[[Page 346]]

replaced with other eligible children to complete the test panel.
    (3) If a child is not disruptive but refuses to attempt to operate 
the surrogate multi-purpose lighter throughout the entire test period, 
that child shall be eliminated from the test results and an explanation 
shall be recorded on the data collection record. The child shall be 
replaced with another eligible child (as one of a pair of children) to 
complete the test panel.
    (f) Test procedure. (1) To begin the test, the tester shall say ``I 
have a special lighter that will not make a flame. It makes a noise like 
this.'' Except where doing so would block the child's view of a visual 
signal, the adult tester shall place a 8\1/2\ by 11 inch sheet of 
cardboard or other rigid opaque material upright on the table in front 
of the surrogate multi-purpose lighter, so that the surrogate multi-
purpose lighter cannot be seen by the child, and shall operate the 
surrogate multi-purpose lighter once to produce its signal. The tester 
shall say ``Your parents said it is OK for you to try to make that noise 
with your lighter.'' The tester shall place a surrogate multi-purpose 
lighter in each child's hand and say ``now you try to make a noise with 
your lighter. Keep trying until I tell you to stop.''

    Note: For multi-purpose lighters with an ``off/on'' switch, the 
surrogate lighter shall be given to the child with the switch in the 
``on,'' or unlocked, position.

    (2) The adult tester shall observe the children for 5 minutes to 
determine if either or both of the children can successfully operate the 
surrogate multi-purpose lighter by producing one signal of any duration. 
If a child achieves a spark without defeating the child-resistant 
feature, say ``that's a spark--it won't hurt you--try to make a noise 
with your lighter.'' If any child successfully operates the surrogate 
multi-purpose lighter during this first 5-minute period, the lighter 
shall be taken from that child and the child shall not be asked to try 
to operate the lighter again. The tester shall ask the successful child 
to remain until the other child is finished.
    (3) If either or both of the children are unable to successfully 
operate the surrogate multi-purpose lighter during the 5-minute period 
specified in Sec. 1212.4(f) (3), the adult tester shall demonstrate the 
operation of the surrogate multi-purpose lighter. To conduct the 
demonstration, secure the children's full attention by saying ``Okay, 
give me your lighter(s) now.'' Take the surrogate multi-purpose lighters 
and place them on the table in front of you out of the children's reach. 
Then say, ``I'll show you how to make the noise with your lighters. 
First I'll show you with (child's name) lighter and then I'll show you 
with (child's name) lighter.'' Pick up the first child's surrogate 
multi-purpose lighter. Hold the lighter approximately 2 feet in front of 
the children at their eye level. Hold the surrogate multi-purpose 
lighter in a comfortable operating position in one hand so both children 
can see the operation of the child-resistant mechanism and the ignition 
mechanism during each demonstration. Say ``now watch the lighter.'' Look 
at each child to verify that they are both looking at the lighter. 
Operate the multi-purpose lighter one time in a normal manner according 
to the manufacturer's instructions. Do not exaggerate operating 
movements. Do not verbally describe the lighter's operation. Place the 
first child's lighter back on the table in front of you and pick up the 
second child's lighter. Say, ``Okay, now watch this lighter.'' Repeat 
the demonstration as described above using the second child's multi-
purpose lighter.

    Note to paragraph (f)(3): The demonstration is conducted with each 
child's lighter, even if one child has successfully operated the 
lighter. Testers shall conduct the demonstration in a uniform manner, 
including the words spoken to the children, the way the multi-purpose 
lighter is held and operated, and how the tester's hand and body is 
oriented to the children. All testers must be able to operate the 
surrogate multi-purpose lighters using only appropriate operating 
movements in accordance with the manufacturer's instructions. If any of 
these requirements are not met during the demonstration for any pair of 
children, the results for that pair of children shall be eliminated from 
the test. Another pair of eligible children shall be used to complete 
the test panel.

    (4) Each child who fails to successfully operate the surrogate 
multi-purpose lighter in the first 5 minutes is then given another 5 
minutes in which

[[Page 347]]

to attempt to complete the successful operation of the surrogate multi-
purpose lighter. After the demonstrations, give the same surrogate 
multi-purpose lighter back to each child who did not successfully 
operate the surrogate multi-purpose lighter in the first 5 minutes by 
placing the multi-purpose lighter in the child's hand. Say ``Okay, now 
you try to make the noise with your lighter(s)--keep trying until I tell 
you to stop.'' If any child successfully operates the surrogate multi-
purpose lighter during this period, the surrogate multi-purpose lighter 
shall be taken from that child and the child shall not be asked to try 
to operate the lighter again. If the other child has not yet 
successfully operated the surrogate multi-purpose lighter, the tester 
shall ask the successful child to remain until the other child is 
finished.

    Note: Multi-purpose lighters with an on/off switch shall have the 
switch returned to the position the child left it at the end of the 
first 5-minute test period before returning the lighter to the child.

    (5) At the end of the second 5-minute test period, take the 
surrogate multi-purpose lighter from any child who has not successfully 
operated it.
    (6) After the test is over, ask the children to stand next to you. 
Look at the children's faces and say: ``These are special lighters that 
don't make fire. Real lighters can burn you. Will you both promise me 
that if you find a real lighter you won't touch it and that you'll tell 
a grownup right away?'' Wait for an affirmative response from each 
child; then thank the children for helping.
    (7) Escort the children out of the room used for testing.
    (8) After a child has participated in the testing of a surrogate 
multi-purpose lighter, and on the same day, provide written notice of 
that fact to the child's parent or guardian. This notification may be in 
the form of a letter provided to the school to be given to a parent or 
guardian of each child. The notification shall state that the child 
participated, shall ask the parent or guardian to warn the child not to 
play with lighters or matches, and shall remind the parent or guardian 
to keep all lighters and matches, whether child-resistant or not, out of 
the reach of children. For children who operated the surrogate multi-
purpose lighter, the notification shall state that the child was able to 
operate the child-resistant multi-purpose lighter. For children who do 
not defeat the child-resistant feature, the notification shall state 
that, although the child did not defeat the child-resistant feature, the 
child may be able to do so in the future.
    (g) Data collection and recording. Except for recording the times 
required for the children to activate the signal, recording of data 
should be avoided while the children are trying to operate the multi-
purpose lighters, so that the tester's full attention is on the children 
during the test period. If actual testing is videotaped, the camera 
shall be stationary and shall be operated remotely in order to avoid 
distracting the children. Any photographs shall be taken after actual 
testing and shall simulate actual test procedure(s) (for example, the 
demonstration). The following data shall be collected and recorded for 
each child in the 100-child test panel:
    (1) Sex (male or female).
    (2) Date of birth (month, day, year).
    (3) Age (in months, to the nearest month).
    (4) The number of the multi-purpose lighter tested by that child.
    (5) Date of participation in the test (month, day, year).
    (6) Location where the test was given (city, state, and the name of 
the site).
    (7) The name of the tester who conducted the test.
    (8) The elapsed time at which the child achieved any operation of 
the surrogate signal in the first 5-minute test period.
    (9) The elapsed time at which the child achieved any operation of 
the surrogate signal in the second 5-minute test period.
    (10) For a single pair of children from each 100-child test panel, 
photograph(s) or video tape to show how the multi-purpose lighter was 
held in the tester's hand, and the orientation of the tester's body and 
hand to the children, during the demonstration.
    (h) Evaluation of test results and acceptance criterion. To 
determine whether a surrogate multi-purpose lighter resists operation by 
at least 85% of the

[[Page 348]]

children, sequential panels of 100 children each, up to a maximum of 2 
panels, shall be tested as prescribed below.
    (1) If no more than 10 children in the first 100-child test panel 
successfully operated the surrogate multi-purpose lighter, the multi-
purpose lighter represented by the surrogate multi-purpose lighter shall 
be considered to be resistant to successful operation by at least 85% of 
the child test panel, and no further testing is conducted. If 11 through 
18 children in the first 100-child test panel successfully operate the 
surrogate multi-purpose lighter, the test results are inconclusive, and 
the surrogate multi-purpose lighter shall be tested with a second 100-
child test panel in accordance with this Sec. 1212.4. If 19 or more of 
the children in the first 100-child test panel successfully operated the 
surrogate multi-purpose lighter, the lighter represented by the 
surrogate shall be considered not resistant to successful operation by 
at least 85% of the child test panel, and no further testing is 
conducted. (2)(i) If additional testing of the surrogate multi-purpose 
lighter is required by paragraph (h)(1) of this section, conduct the 
test specified by this Sec. 1212.4 using a second 100-child test panel 
and record the results. If a total of no more than 30 of the children in 
the combined first and second 100-child test panels successfully 
operated the surrogate multi-purpose lighter, the multi-purpose lighter 
represented by the surrogate multi-purpose lighter shall be considered 
resistant to successful operation by at least 85% of the child test 
panel, and no further testing is performed. If a total of 31 or more 
children in the combined first and second 100-child test panels 
successfully operate the surrogate multi-purpose lighter, the multi-
purpose lighter represented by the surrogate shall be considered not 
resistant to successful operation by 85% of the child test panel, and no 
further testing is conducted.
    (ii) Thus, for the first panel of 100 children, the surrogate passes 
if there are 0-10 successful operations by the children; the surrogate 
fails if there are 19 or greater successful operations; and testing is 
continued if there are 11-18 successes. If testing is continued with a 
second panel of children, the surrogate passes if the combined total of 
the successful operations of the two panels is 30 or less, and it fails 
if there are 31 or more.



Sec. 1212.5  Findings.

    (a) Before issuing a final rule, the Consumer Product Safety Act 
(CPSA), 15 U.S.C. 2058(f)(1), requires the Commission to consider and 
make appropriate findings for inclusion in the rule with respect to:
    (1) The degree and nature of the risk of injury the rule is designed 
to eliminate or reduce;
    (2) The approximate number of consumer products, or types or classes 
thereof, subject to such rule;
    (3) The need of the public for the consumer products subject to such 
rule, and the probable effect of such rule, upon the utility, cost, or 
availability of such products to meet such need; and
    (4) Any means of achieving the objective of the order while 
minimizing adverse effects on competition or disruption or dislocation 
of manufacturing and other commercial practices consistent with the 
public health and safety
    (b) The CPSA, 15 U.S.C. 2058(f)(3), also requires the Commission to 
make the following findings before it promulgates a rule, and to include 
such findings in the rule:
    (1) That the rule (including its effective date) is reasonably 
necessary to eliminate or reduce an unreasonable risk of injury 
associated with such product;
    (2) That the promulgation of the rule is in the public interest;
    (3) That the benefits expected from the rule bear a reasonable 
relationship to its costs; and
    (4) That the rule imposes the least burdensome requirement that 
prevents or adequately reduces the risk of injury for which the rule is 
being promulgated.
    (c) The required findings are included as appendix A to this part 
1212.



                  Subpart B--Certification Requirements

    Authority: 15 U.S.C. 2063, 2065(b), 2066(g), 2076(e), 2079(d).

[[Page 349]]



Sec. 1212.11  General.

    Section 14(a) of the Consumer Product Safety Act (CPSA), 15 U.S.C. 
2063(a), requires every manufacturer, private labeler, or importer of a 
product that is subject to a consumer product safety standard and that 
is distributed in commerce to issue a certificate that such product 
conforms to the applicable standard and to base that certificate upon a 
test of each item or upon a reasonable testing program. The purpose of 
this subpart B of part 1212 is to establish requirements that 
manufacturers, importers, and private labelers must follow to certify 
that their products comply with the Safety Standard for Multi-purpose 
lighters. This Subpart B describes the minimum features of a reasonable 
testing program and includes requirements for labeling, recordkeeping, 
and reporting pursuant to sections 14, 16(b), 17(g), and 27(e) of the 
CPSA, 15 U.S.C. 2063, 2065(b), 2066(g), and 2076(e).



Sec. 1212.12  Certificate of compliance.

    (a) General requirements. (1) Manufacturers (including importers). 
Manufacturers of any multi-purpose lighter subject to the standard must 
issue the certificate of compliance required by section 14(a) of the 
CPSA, 15 U.S.C. 2063(a), and this subpart B, based on a reasonable 
testing program or a test of each product, as required by 
Sec. Sec. 1212.13, 1212.14, and 1212.16. Manufacturers must also label 
each multi-purpose lighter subject to the standard as required by 
paragraph (c) of this section and keep the records and make the reports 
required by Sec. Sec. 1212.15 and 1212.17. For purposes of this 
requirement, an importer of multi-purpose lighters shall be considered 
the ``manufacturer.''
    (2) Private labelers. Because private labelers necessarily obtain 
their products from a manufacturer or importer that is already required 
to issue the certificate, private labelers are not required to issue a 
certificate. However, private labelers must ensure that the multi-
purpose lighters are labeled in accordance with paragraph (c) of this 
section and that any certificate of compliance that is supplied with 
each shipping unit of multi-purpose lighters in accordance with 
paragraph (b) of this section is supplied to any distributor or retailer 
who receives the product from the private labeler.
    (3) Testing on behalf of importers. (i) If the required testing has 
been performed by or for a foreign manufacturer of a product, an 
importer may rely on such tests to support the certificate of 
compliance, provided that:
    (A) The importer is a resident of the United States or has a 
resident agent in the United States and
    (B) The records are in English and the records and the surrogate 
multi-purpose lighters tested are kept in the United States and can be 
provided to the Commission within 48 hours (Sec. 1212.17(a)) or, in the 
case of production records, can be provided to the Commission within 7 
calendar days in accordance with Sec. 1212.17(a)(3).
    (ii) The importer is responsible for ensuring that:
    (A) The foreign manufacturer's records show that all testing used to 
support the certificate of compliance has been performed properly 
(Sec. Sec. 1212.14-1212.16),
    (B) The records provide a reasonable assurance that all multi-
purpose lighters imported comply with the standard (Sec. 1212.13(b)(1)),
    (C) The records exist in English (Sec. 1212.17(a)),
    (D) The importer knows where the required records and multi-purpose 
lighters are located and that records required to be located in the 
United States are located there,
    (E) Arrangements have been made so that any records required to be 
kept in the United States will be provided to the Commission within 48 
hours of a request and any records not kept in the United States will be 
provided to the Commission within 7 calendar days (Sec. 1212.17(a)), and
    (F) The information required by Sec. 1212.17(b) to be provided to 
the Commission's Office of Compliance has been provided.
    (b) Certificate of compliance. A certificate of compliance must 
accompany each shipping unit of the product (for example, a case), or 
otherwise be furnished to any distributor or retailer to whom the 
product is sold or delivered by the manufacturer, private labeler, or 
importer. The certificate shall state:

[[Page 350]]

    (1) That the product ``complies with the Consumer Product Safety 
Standard for Multi-purpose lighters (16 CFR part 1212)'',
    (2) The name and address of the manufacturer or importer issuing the 
certificate or of the private labeler, and
    (3) The date(s) of manufacture and, if different from the address in 
paragraph (b)(2) of this section, the address of the place of 
manufacture.
    (c) Labeling. The manufacturer or importer must label each multi-
purpose lighter with the following information, which may be in code.
    (1) An identification of the period of time, not to exceed 31 days, 
during which the multi-purpose lighter was manufactured.
    (2) An identification of the manufacturer of the multi-purpose 
lighter, unless the multi-purpose lighter bears a private label. If the 
multi-purpose lighter bears a private label, it shall bear a code mark 
or other label that will permit the seller of the multi-purpose lighter 
to identify the manufacturer to the purchaser upon request.



Sec. 1212.13  Certification tests.

    (a) General. As explained in Sec. 1212.11 of this subpart, 
certificates of compliance required by section 14(a) of the CPSA, 15 
U.S.C. 2063(a), must be based on a reasonable testing program.
    (b) Reasonable testing programs.--(1) Requirements. (i) A reasonable 
testing program for multi-purpose lighters is one that demonstrates with 
a high degree of assurance that all multi-purpose lighters manufactured 
for sale or distributed in commerce will meet the requirements of the 
standard, including the requirements of Sec. 1212.3. Manufacturers and 
importers shall determine the types and frequency of testing for their 
own reasonable testing programs. A reasonable testing program should be 
sufficiently stringent that it will detect any variations in production 
or performance during the production interval that would cause any 
multi-purpose lighters to fail to meet the requirements of the standard.
    (ii) All reasonable testing programs shall include:
    (A) Qualification tests, which must be performed on surrogates of 
each model of multi-purpose lighter produced, or to be produced, to 
demonstrate that the product is capable of passing the tests prescribed 
by the standard (see Sec. 1212.14) and
    (B) Production tests, which must be performed during appropriate 
production intervals as long as the product is being manufactured (see 
Sec. 1212.16).
    (iii) Corrective action and/or additional testing must be performed 
whenever certification tests of samples of the product give results that 
do not provide a high degree of assurance that all multi-purpose 
lighters manufactured during the applicable production interval will 
pass the tests of the standard.
    (2) Testing by third parties. At the option of the manufacturer or 
importer, some or all of the testing of each multi-purpose lighter or 
multi-purpose lighter surrogate may be performed by a commercial testing 
laboratory or other third party. However, the manufacturer or importer 
must ensure that all certification testing has been properly performed 
with passing results and that all records of such tests are maintained 
in accordance with Sec. 1212.17 of this subpart.



Sec. 1212.14  Qualification testing.

    (a) Testing. Before any manufacturer or importer of multi-purpose 
lighters distributes multi-purpose lighters in commerce in the United 
States, surrogate multi-purpose lighters of each model shall be tested 
in accordance with Sec. 1212.4 to ensure that all such multi-purpose 
lighters comply with the standard. However, if a manufacturer has tested 
one model of multi-purpose lighter, and then wishes to distribute 
another model of multi-purpose lighter that differs from the first model 
only by differences that would not have an adverse effect on child 
resistance, the second model need not be tested in accordance with 
Sec. 1212.4.
    (b) Product modifications. If any changes are made to a product 
after initial qualification testing that could adversely affect the 
ability of the product to meet the requirements of the standard, 
additional qualification tests must be made on surrogates for the 
changed product before the changed multi-purpose lighters are 
distributed in commerce.

[[Page 351]]

    (c) Requalification. If a manufacturer or importer chooses to 
requalify a multi-purpose lighter design after it has been in 
production, this may be done by following the testing procedures at 
Sec. 1212.4.



Sec. 1212.15  Specifications.

    (a) Requirement. Before any multi-purpose lighters that are subject 
to the standard are distributed in commerce, the manufacturer or 
importer shall ensure that the surrogate multi-purpose lighters used for 
qualification testing under Sec. 1212.14 are described in a written 
product specification. (Section 1212.4(c) requires that six surrogate 
multi-purpose lighters be used for testing each 100-child panel.)
    (b) Contents of specification. The product specification shall 
include the following information:
    (1) A complete description of the multi-purpose lighter, including 
size, shape, weight, fuel, fuel capacity, ignition mechanism, and child-
resistant features.
    (2) A detailed description of all dimensions, force requirements, or 
other features that could affect the child-resistance of the multi-
purpose lighter, including the manufacturer's tolerances for each such 
dimension or force requirement.
    (3) Any further information, including, but not limited to, model 
names or numbers, necessary to adequately describe the multi-purpose 
lighters and any child-resistant features.



Sec. 1212.16  Production testing.

    (a) General. Manufacturers and importers shall test samples of 
multi-purpose lighters subject to the standard as they are manufactured, 
to demonstrate that the multi-purpose lighters meet the specifications, 
required under Sec. 1212.15, of the surrogate that has been shown by 
qualification testing to meet the requirements of the standard.
    (b) Types and frequency of testing. Manufacturers, private labelers, 
and importers shall determine the types of tests for production testing. 
Each production test shall be conducted at a production interval short 
enough to provide a high degree of assurance that, if the samples 
selected for testing pass the production tests, all other multi-purpose 
lighters produced during the interval will meet the standard.
    (c) Test failure. (1) Sale of multi-purpose lighters. If any test 
yields results which indicate that any multi-purpose lighters 
manufactured during the production interval may not meet the standard, 
production and distribution in commerce of multi-purpose lighters that 
may not comply with the standard must cease until it is determined that 
the lighters meet the standard or until corrective action is taken. (It 
may be necessary to modify the multi-purpose lighters or perform 
additional tests to ensure that only complying multi-purpose lighters 
are distributed in commerce. Multi-purpose lighters from other 
production intervals having test results showing that multi-purpose 
lighters from that interval comply with the standard could be produced 
and distributed unless there was some reason to believe that they might 
not comply with the standard.)
    (2) Corrective actions. When any production test fails to provide a 
high degree of assurance that all multi-purpose lighters comply with the 
standard, corrective action must be taken. Corrective action may include 
changes in the manufacturing process, the assembly process, the 
equipment used to manufacture the product, or the product's materials or 
design. The corrective action must provide a high degree of assurance 
that all multi-purpose lighters produced after the corrective action 
will comply with the standard. If the corrective action changes the 
product from the surrogate used for qualification testing in a manner 
that could adversely affect its child-resistance, the multi-purpose 
lighter must undergo new qualification tests in accordance with 
Sec. 1212.14.



Sec. 1212.17  Recordkeeping and reporting.

    (a) Every manufacturer and importer of lighters subject to the 
standard shall maintain the following records in English on paper, 
microfiche, or similar media and make such records available to any 
designated officer or employee of the Commission in accordance with 
section 16(b) of the Consumer Product Safety Act, 15 U.S.C. 2065(b). 
Such records must also be kept in the

[[Page 352]]

United States and provided to the Commission within 48 hours of receipt 
of a request from any employee of the Commission, except as provided in 
paragraph (a)(3) of this section. Legible copies of original records may 
be used to comply with these requirements.
    (1) Records of qualification testing, including a description of the 
tests, photograph(s) or a video tape for a single pair of children from 
each 100-child test panel to show how the lighter was held in the 
tester's hand, and the orientation of the tester's body and hand to the 
children, during the demonstration, the dates of the tests, the data 
required by Sec. 1212.4(d), the actual surrogate lighters tested, and 
the results of the tests, including video tape records, if any. These 
records shall be kept for a period of 3 years after the production of 
the particular model to which such tests relate has ceased. If 
requalification tests are undertaken in accordance with Sec. 1212.14(c), 
the original qualification test results may be discarded 3 years after 
the requalification testing, and the requalification test results and 
surrogates, and the other information required in this subsection for 
qualifications tests, shall be kept in lieu thereof.
    (2) Records of procedures used for production testing required by 
this subpart B, including a description of the types of tests conducted 
(in sufficient detail that they may be replicated), the production 
interval selected, the sampling scheme, and the pass/reject criterion. 
These records shall be kept for a period of 3 years after production of 
the lighter has ceased.
    (3) Records of production testing, including the test results, the 
date and location of testing, and records of corrective actions taken, 
which in turn includes the specific actions taken to improve the design 
or manufacture or to correct any noncomplying lighter, the date the 
actions were taken, the test result or failure that triggered the 
actions, and the additional actions taken to ensure that the corrective 
action had the intended effect. These records shall be kept for a period 
of 3 years following the date of testing. Records of production testing 
results may be kept on paper, microfiche, computer tape, or other 
retrievable media. Where records are kept on computer tape or other 
retrievable media, however, the records shall be made available to the 
Commission on paper copies upon request. A manufacturer or importer of a 
lighter that is not manufactured in the United States may maintain the 
production records required by this paragraph (a)(3) outside the United 
States, but shall make such records available to the Commission in the 
United States within 1 week of a request from a Commission employee for 
access to those records under section 16(b) of the CPSA, 15 U.S.C. 
2065(b).
    (4) Records of specifications required under Sec. 1212.15 shall be 
kept for 3 years after production of each lighter model has ceased.
    (b) Reporting. At least 30 days before it first imports or 
distributes in commerce any model of lighter subject to the standard, 
every manufacturer and importer must provide a written report to the 
Office of Compliance, Consumer Product Safety Commission, 4330 East-West 
Highway, Room 610, Bethesda, Maryland 20814-4408. Such report shall 
include:
    (1) The name, address, and principal place of business of the 
manufacturer or importer,
    (2) A detailed description of the lighter model and the child-
resistant feature(s) used in that model,
    (3) A description of the qualification testing, including a 
description of the surrogate lighters tested (including a description of 
the point in the operation at which the surrogate will signal operation-
-e.g., the distance by which a trigger must be moved), the specification 
of the surrogate lighter required by Sec. 1212.15, a summary of the 
results of all such tests, the dates the tests were performed, the 
location(s) of such tests, and the identity of the organization that 
conducted the tests,
    (4) An identification of the place or places that the lighters were 
or will be manufactured,
    (5) The location(s) where the records required to be maintained by 
paragraph (a) of this section are kept, and
    (6) A prototype or production unit of that lighter model.
    (c) Confidentiality. Persons who believe that any information 
required to

[[Page 353]]

be submitted or made available to the Commission is trade secret or 
otherwise confidential shall request that the information be considered 
exempt from disclosure by the Commission, in accordance with 16 CFR 
1015.18. Requests for confidentiality of records provided to the 
Commission will be handled in accordance with section 6(a)(2) of the 
CPSA, 15 U.S.C. 2055(a)(2), the Freedom of Information Act as amended, 5 
U.S.C. 552, and the Commission's regulations under that act, 16 CFR part 
1015.



Sec. 1212.18  Refusal of importation.

    (a) For noncompliance with reporting and recordkeeping requirements. 
The Commission has determined that compliance with the recordkeeping and 
reporting requirements of this subpart is necessary to ensure that 
lighters comply with this part 1212. Therefore, pursuant to section 
17(g) of the CPSA, 15 U.S.C. 2066(g), the Commission may refuse to 
permit importation of any lighters with respect to which the 
manufacturer or importer has not complied with the recordkeeping and 
reporting requirements of this subpart. Since the records are required 
to demonstrate that production lighters comply with the specifications 
for the surrogate, the Commission may refuse importation of lighters if 
production lighters do not comply with the specifications required by 
this subpart, or if any other recordkeeping or reporting requirement in 
this part is violated.
    (b) For noncompliance with this standard or for lack of a 
certification certificate. As provided in section 17(a) of the CPSA, 15 
U.S.C. 2066(a), products subject to this standard shall be refused 
admission into the customs territory of the United States if, among 
other reasons, the product either fails to comply with this standard or 
is not accompanied by the certificate required by this standard.



                         Subpart C--Stockpiling

    Authority: 15 U.S.C. 2058(g)(2), 2065(b), 2079(d)



Sec. 1212.20  Stockpiling.

    (a) Definition. ``Stockpiling'' means to manufacture or import a 
product that is subject to a consumer product safety rule between the 
date of issuance of the rule and its effective date at a rate which is 
significantly greater than the rate at which such product was produced 
or imported during a base period.
    (b) Base period. For purposes of this rule, ``base period'' means 
the 1-year period ending December 21, 1999.
    (c) Prohibited act. Manufacturers and importers of multi-purpose 
lighters shall not manufacture or import such lighters that do not 
comply with the requirements of this part between December 22, 1999 and 
December 22, 2000, at a rate that is greater than the rate of production 
or importation during the base period plus 20 per cent of that rate.
    (d) Reporting and recordkeeping requirements. All firms and persons 
who make or import multi-purpose lighters, after the date of publication 
of this rule, that do not meet the requirements of this standard, shall 
supply the Commission's Office of Compliance with:
    (1) Supporting information to establish the number of multi-purpose 
lighters made or imported during the base period. This information shall 
be submitted by January 21, 2000.
    (2) Supporting information to establish the number of lighters made 
or imported during the year following publication of the final rule. 
This information shall be submitted within 10 days of the end of each 
calendar month, for lighters shipped within that month.
    (3) Supporting information shall be sufficient to identify the 
manufacturer or importer, the party to which the lighters were sold, the 
destination of the lighters, and shall include copies of relevant 
invoices and importation documents.

 Appendix A to Part 1212--Findings Under the Consumer Product Safety Act

    Section 9(f) of the Consumer Product Safety Act (15 U.S.C. 2058(f)) 
requires the Commission to make findings concerning the following topics 
and to include the findings in the rule. Because the findings are 
required to be published in the rule, they reflect the information that 
was available to the Consumer Product Safety Commission (``CPSC''

[[Page 354]]

or ``Commission'') when the standard was issued on December 22, 1999.
    A. The degree and nature of the risk of injury the rule is designed 
to eliminate or reduce. The standard is designed to reduce the risk of 
death and injury from accidental fires started by children playing with 
multi-purpose lighters. The Commission has identified 196 fires that 
occurred from 1995 through 1998 that were started by children under age 
5 playing with multi-purpose lighters. These fires resulted in a total 
of 35 deaths and 81 injuries. Fire-related injuries include thermal 
burns--many of high severity--as well as anoxia and other, less serious 
injuries. The societal costs of these fires is estimated to include $175 
million in deaths, $13.7 million in injuries, and over $5 million in 
property damage. Because these data are from known fires rather than 
national estimates, the extent of the total problem may be greater. 
Fires started by children under age 5 are those which the standard would 
most effectively reduce.
    B. The approximate number of consumer products, or types or classes 
thereof, subject to the rule. The standard covers certain flame-
producing devices, commonly known as multi-purpose lighters, that are 
defined in Sec. 1212.2(a) of 16 CFR part 1212. This definition includes 
products that are referred to as micro-torches. Multi-purpose lighters 
may use any fuel and may be refillable or nonrefillable. Approximately 
21 million multi-purpose lighters are expected to be sold to consumers 
in the U.S. during 1999. Multi-purpose lighters manufactured in the 
United States, or imported, on or after December 22, 2000 will be 
required to meet child-resistance requirements. The following products 
are not multi-purpose lighters: devices intended primarily for igniting 
cigarettes, cigars, and pipes, whether or not such devices are subject 
to the requirements of the Safety Standard for Cigarette Lighters (16 
CFR part 1210); devices that contain more than 10 oz. of fuel; and 
matches.
    C. The need of the public for the consumer products subject to the 
rule, and the probable effect of the rule on the utility, cost, or 
availability of such products to meet such need. Consumers use multi-
purpose lighters primarily to ignite items such as candles, fuel for 
fireplaces, charcoal or gas-fired grills, camp fires, camp stoves, 
lanterns, or fuel-fired appliances or devices or their pilot lights.
    1. There will be several types of costs associated with the rule. 
Manufacturers would have to devote some resources to the development or 
modification of technology to produce child-resistant multi-purpose 
lighters. Before being marketed, the lighters must be tested and 
certified to the new standard. It is also possible that manufacturing 
child-resistant lighters may require more labor or material than non-
child-resistant lighters.
    2. Manufacturers will have to modify their existing multi-purpose 
lighters to comply with the rule. In general, costs that manufacturers 
would incur in developing, producing, and selling new complying lighters 
include the following:
     [sbull]Research and development toward finding the most promising 
approaches to improving child resistance, including building prototypes 
and surrogate lighters for preliminary child panel testing;
     [sbull]Retooling and other production equipment changes required to 
produce more child-resistant multi-purpose lighters, beyond normal 
periodic changes made to the plant and equipment;
     [sbull]Labor and material costs of the additional assembly steps, 
or modification of assembly steps, in the manufacturing process;
     [sbull]The additional labeling, recordkeeping, certification, 
testing, and reporting that will be required for each new model;
     [sbull]Various administrative costs of compliance, such as legal 
support and executive time spent at related meetings and activities; and
     [sbull]Lost revenue if sales are adversely affected.
    3. Industry sources have not been able to provide firm estimates of 
these costs. One major manufacturer has introduced a child-resistant 
multi-purpose lighter. However, because that company did not previously 
manufacture a non-child-resistant lighter, it was unable to estimate the 
incremental cost of developing and manufacturing child-resistant multi-
purpose lighters.
    4. Assuming that there are 20 manufacturers and that each invests an 
average of $2 million to develop and market complying lighters, the 
total industry cost for research development, retooling, and compliance 
testing would be approximately $40 million. If amortized over a period 
of 10 years, and assuming a modest 1% sales growth each year, the 
average of these costs would be about $0.23 per unit. For a manufacturer 
with a large market share (i.e., selling several million units or more a 
year) the cost per unit of the development costs could be lower than the 
estimated $0.23 per unit, even at the high end of the estimates. On the 
other hand, for manufacturers with a small market share, the per-unit 
development costs would be greater. Some manufacturers with small market 
shares may even drop out of the market (at least temporarily) or delay 
entering the market.
    5. In addition to the research, development, retooling, and testing 
costs, material and labor costs are likely to increase. For example, 
additional labor will be required to add the child-resistant mechanism 
to the lighter during assembly. Additional materials may also be needed 
to produce the child-resistant mechanism. While CPSC was

[[Page 355]]

unable to obtain reliable estimates, some industry sources indicated 
that they believed that these costs would be relatively low, probably 
less than $0.25 per unit.
    6. Multi-purpose lighters will also be required to have a label that 
identifies the manufacturer and the approximate date of manufacture. 
However, virtually all products are already labeled in some way. Since 
the requirement in the rule allows substantial flexibility to the 
manufacturer in terms of things such as color, size, and location, this 
requirement is not expected to increase the costs significantly.
    7. Certification and testing costs include costs of producing 
surrogate lighters; conducting child panel tests; and issuing and 
maintaining records for each model. The largest component of these costs 
is believed to be building surrogates and conducting child panel tests, 
which, based on CPSC experience, may cost about $25,000 per lighter 
model. Administrative expenses associated with the compliance and 
related activities are difficult to quantify, since many such activities 
associated with the rule would probably be carried out anyway and the 
marginal impact of the recommended rule is probably slight.
    8. Multi-purpose lighters are sold in countries other than the 
United States. Some manufacturers may develop lighters that meet the 
requirements of the rule for distribution in the United States, but 
continue to distribute the current, non-child-resistant models in other 
countries. Thus, some manufacturers may incur the incremental costs 
associated with producing multiple lines of similar products. These 
costs could include extra administrative costs required to maintain 
different lines and the incremental costs of producing different lines 
of similar products, such as using different molds or different assembly 
steps. These costs would, however, be mitigated if similar or identical 
standards were adopted by other countries. In total, the rule will 
likely increase the cost of manufacturing multi-purpose lighters by 
about $0.48 per unit.
    9. At the present time, one manufacturer has about 80-90% of the 
market for multi-purpose lighters. The other manufacturers, importers, 
and private labelers divide up the remaining 10-20% of the market. Thus, 
there is already a very high degree of concentration in the market. Even 
so, at least two manufacturers have already entered the market with 
models that are believed to meet the requirements of the rule and at 
least one other firm is believed to be actively developing a child-
resistant lighter. Therefore, the rule is not expected to have any 
significant impact on competition. Moreover, other firms are expected to 
enter the market for multi-purpose lighters, and thereby increase 
competition, as the market expands. Firms that market child-resistant 
multi-purpose lighters before the standard's effective date may gain an 
initial competitive advantage. However, any differential impact is 
likely to be slight and short-lived. Other manufacturers can be expected 
to have child-resistant multi-purpose lighters developed and ready to 
market before or soon after the rule goes into effect.
    D. Impact on consumers. Aside from increased safety, the rule is 
likely to affect consumers in two ways. First, the increased cost for 
producing the child-resistant models will likely result in higher retail 
prices for multi-purpose lighters. Second, the utility derived from 
child-resistant lighters may be decreased if complying lighters are less 
easy to operate.
    1. Assuming a 100% markup over the incremental cost to manufacturers 
(estimated at $0.48/unit), the rule may be expected to increase the 
retail price of multi-purpose lighters by $0.96 per unit. The per-unit 
price increase for micro-torches and other high-end multi-purpose 
lighters may be higher due to the smaller numbers of such lighters 
produced.
    2. The utility that consumers receive from multi-purpose lighters 
may be reduced if the rule makes the lighters more difficult to operate. 
This could result in some consumers switching to substitute products, 
such as matches. However, as with child-resistant cigarette lighters, 
the increased difficulty of operating child-resistant multi-purpose 
lighters is expected to be slight. Moreover, even if some consumers do 
switch to other products, the risk of fire is not expected to increase 
significantly. Most cigarette lighters (one possible substitute) must 
already meet the same child-resistant standard as those applicable to 
multi-purpose lighters. Although consumers that switch to matches may 
increase the risk of child-play fires somewhat, matches seem to be 
inherently more child resistant than are non-child-resistant multi-
purpose lighters. Previously, the CPSC determined that non-child-
resistant cigarette lighters were 1.4 times as likely as matches to be 
involved in child-play fires and 3.9 times as likely to be involved in a 
child-play death. Thus, even if some consumers did switch to using 
matches, the risk of child-play fires would still likely be less than if 
they continued to use non-child-resistant multi-purpose lighters.
    3. The total societal costs of fires known to have been started 
during 1995 through 1998 by children under age 5 playing with multi-
purpose lighters was approximately $194.2 million, or $48.6 million per 
year. This is probably an underestimate, since it only includes the 
cases of which CPSC is aware. During the same period, an estimated 20 
million multi-purpose lighters were available for use each year. The 
societal costs of the fires started by young children attempting to 
operate multi-purpose lighters is, therefore, about

[[Page 356]]

$2.43 per lighter ($48.6 million / 20 million lighters) per year. The 
rule is expected to reduce this cost by 75 to 84%. Therefore, the 
expected societal benefit of the rule in terms of reduced fires, deaths, 
injuries, and property damage is expected to be at least $1.82 per 
complying lighter sold.
    4. As discussed above, the rule may increase the cost of 
manufacturing multi-purpose lighters by $0.48 and may increase the 
retail prices by as much as $0.96. Therefore, assuming that sales of 
multi-purpose lighters remain the same, the net benefit (benefits minus 
costs) of the rule to consumers is expected to be at least $0.86 per 
unit ($1.82--$0.96). Based on annual sales of approximately 20 million 
units per year, the rule would result in an annual net benefit to 
consumers at least $17.2 million (20 million x $0.86) annually.
    5. The actual level of benefits observed could be higher if some 
multi-purpose lighters are stored with the on/off switch in the ``on'' 
position. If a significant number of consumers commonly store multi-
purpose lighters with the switch on, the effective level of child 
resistance of multi-purpose lighters currently in use may be lower than 
indicated by CPSC's baseline testing. This would increase the 
effectiveness of the rule and the value of the net benefits.
    E. Any means of achieving the objective of the order while 
minimizing adverse effects on competition or disruption or dislocation 
of manufacturing and other commercial practices consistent with the 
public health and safety. 1. The performance requirements of this part 
1212 are based on the Commission's Safety Standard for Cigarette 
Lighters, 16 CFR part 1210. In developing that standard, the Commission 
considered the potential effects on competition and business practices 
of various aspects of the standard, and incorporated some burden-
reducing elements into the standard.
    2. One possible alternative to this mandatory standard would be for 
the Commission to rely on voluntary conformance to the requirements of 
the standard to provide safety to consumers. The expected level of 
conformance to a voluntary standard is uncertain, however. Although some 
of the largest firms may market some child-resistant multi-purpose 
lighters that conform to these requirements, most firms (possibly 
including some of the largest) probably would not. Even under generous 
assumptions about the level of voluntary conformance, net benefits to 
consumers would be substantially lower under this alternative than under 
the standard. Thus, the Commission finds that reliance on voluntary 
conformance to the provisions of this part 1212 would not adequately 
reduce the unreasonable risk associated with multi-purpose lighters.
    F. The rule (including its effective date) is reasonably necessary 
to eliminate or reduce an unreasonable risk of injury. The Commission's 
hazard data and regulatory analysis demonstrate that multi-purpose 
lighters covered by the standard pose an unreasonable risk of death and 
injury to consumers. The Commission considered a number of alternatives 
to address this risk, and believes that the standard strikes the most 
reasonable balance between risk reduction benefits and potential costs. 
Further, the amount of time before the standard becomes effective (one 
year after publication of the final rule) will provide manufacturers and 
importers of most products adequate time to design, produce, and market 
safer multi-purpose lighters. Thus, the Commission finds that the 
standard and its effective date are reasonably necessary to reduce the 
risk of fire-related death and injury associated with young children 
playing with multi-purpose lighters.
    G. The benefits expected from the rule bear a reasonable 
relationship to its costs. The standard will substantially reduce the 
number of fire-related deaths, injuries, and property damage associated 
with young children playing with multi-purpose lighters. The cost of 
these accidents, which is estimated to be greater than $48.6 million 
annually, will also be greatly reduced. The rule is expected to reduce 
this societal cost by 75-84%, or by greater than $36.5 million. The 
estimated annual costs to the public are expected to be less than $20 
million. Therefore, substantial net benefits will accrue to consumers. 
Thus, the Commission finds that a reasonable relationship exists between 
the expected benefits and the expected costs of the standard.
    H. The rule imposes the least burdensome requirement which prevents 
or adequately reduces the risk of injury for which the rule is being 
promulgated. 1. The Commission incorporated a number of features from 
the cigarette lighter standard, 16 CFR part 1210, in order to minimize 
the potential burden of the rule on industry and consumers. The 
Commission also considered alternatives involving different performance 
and test requirements and different definitions determining the scope of 
coverage among products. Alternatives that would be more burdensome to 
industry would have higher costs to consumers. Less burdensome 
alternatives would have lowered the risk-reduction benefits to 
consumers. No alternative has been identified that would result in a 
higher level of net benefits to consumers.
    2. A less stringent acceptance criterion of 80% (rather than the 
standard's 85%) might slightly reduce costs to industry and consumers. 
The safety benefits of this alternative, however, would likely be 
reduced disproportionately to the potential reduction in costs. A higher 
(90%) acceptance criterion was also considered. This higher performance 
level may not be commercially or technically feasible for many firms, 
however. The Commission believes that this more stringent alternative 
would have substantial

[[Page 357]]

adverse effects on manufacturing and competition, and would increase 
costs disproportionate to benefits. The Commission believes that the 
requirement that complying multi-purpose lighters not be operable by at 
least 85% of children in prescribed tests strikes a reasonable balance 
between improved safety for a substantial majority of young children and 
other potential fire victims and the potential for adverse competitive 
effects and manufacturing disruption.
    3. The standard becomes effective 12 months after it is issued 
December 22, 2000. The Commission also considered an effective date of 6 
months after the date of issuance of the final rule. Although most 
multi-purpose lighters sold in the U.S. could probably be made child-
resistant within 6 months, the supply of some imported multi-purpose 
lighters would be disrupted. The 12-month period in the standard would 
minimize this potential effect, and would allow more time for firms to 
design, produce, and import complying multi-purpose lighters. The 
Commission estimates that there would be no significant adverse impact 
on the overall supply of multi-purpose lighters for the U.S. market. A 
longer effective date was deemed unsuitable because it would unduly 
delay the lifesaving benefits of the standard and would penalize firms 
that have already begun to develop child-resistant multi-purpose 
lighters.
    I. The promulgation of the rule is in the public interest. As 
required by the CPSA and the Regulatory Flexibility Act, the Commission 
considered the potential benefits and costs of the standard and various 
alternatives. The standard provides substantial net benefits to society. 
Although certain alternatives to the final rule were estimated to also 
have net benefits to consumers, they would decrease the level of safety. 
Therefore, the Commission finds that the standard is in the public 
interest.



PART 1213--SAFETY STANDARD FOR ENTRAPMENT HAZARDS IN BUNK BEDS--Table of Contents




Sec.
1213.1 Scope, application, and effective date.
1213.2 Definitions.
1213.3 Requirements.
1213.4 Test methods.
1213.5 Marking and labeling.
1213.6 Instructions.
1213.7 Findings.

Figures 1-4
Appendix to Part 1213--Findings Under the Consumer Product Safety Act

    Authority: 15 U.S.C. 2056, 2058.

    Source: 64 FR 71899, Dec. 22, 1999, unless otherwise noted.



Sec. 1213.1  Scope, application, and effective date.

    (a) Scope, basis, and purpose. This part 1213, a consumer product 
safety standard, prescribes requirements for bunk beds to reduce or 
eliminate the risk that children will die or be injured from being 
trapped between the upper bunk and the wall, in openings below 
guardrails, or in other structures in the bed.
    (b) Application and effective date. The standard in this part 
applies to all bunk beds, except those manufactured only for 
institutional use, that are manufactured in the United States, or 
imported, on or after June 19, 2000. (Facilities intended for use by 
children under age 6 are not considered to be institutions.) Bunk beds 
intended for use by children are subject to the requirements in 16 CFR 
1500.18(a)(18) and 16 CFR part 1513, and not to this part 1213. However, 
those regulations are substantively identical to the requirements in 
this part 1213.



Sec. 1213.2  Definitions.

    As used in this part 1213:
    Bed. See Bunk bed.
    Bed end structure means an upright unit at the head and foot of the 
bed to which the side rails attach.
    Bunk bed means a bed in which the underside of any foundation is 
over 30 inches (760 mm) from the floor.
    Foundation means the base or support on which a mattress rests.
    Guardrail means a rail or guard on a side of the upper bunk to 
prevent a sleeping occupant from falling or rolling out.



Sec. 1213.3  Requirements.

    (a) Guardrails. (1) Any bunk bed shall provide at least two 
guardrails, at least one on each side of the bed, for each bed having 
the underside of its foundation more than 30 inches (760 mm) from the 
floor.
    (2) One guardrail shall be continuous between each of the bed's end 
structures. ``Continuous'' means that any gap between the guardrail and 
end structure shall not exceed 0.22 inches (5.6 mm) (so as to not cause 
a finger entrapment hazard for a child).
    (3) The other guardrail may terminate before reaching the bed's end

[[Page 358]]

structures, providing there is no more than 15 inches (380 mm) between 
either end of the guardrail and the nearest bed end structures.
    (4) For bunk beds designed to have a ladder attached to one side of 
the bed, the continuous guardrail shall be on the other side of the bed.
    (5) Guardrails shall be attached so that they cannot be removed 
without either intentionally releasing a fastening device or applying 
forces sequentially in different directions.
    (6) The upper edge of the guardrails shall be no less than 5 inches 
(130 mm) above the top surface of the mattress when a mattress of the 
maximum thickness specified by the bed manufacturer's instructions is on 
the bed. This requirement does not prohibit a wall-side guardrail that 
terminates in a quarter-circle bend and attaches to the side rail of the 
upper bunk foundation.
    (7) With no mattress on the bed, there shall be no openings in the 
structure between the lower edge of the uppermost member of the 
guardrail and the underside of the upper bunk's foundation that would 
permit passage of the wedge block shown in Figure 1 of this part when 
tested in accordance with the procedure at Sec. 1213.4(a).
    (b) Bed end structures. (1) The upper edge of the upper bunk end 
structures shall be at least 5 inches (130 mm) above the top surface of 
the mattress for at least 50 percent of the distance between the two 
posts at the head and foot of the upper bunk when a mattress and 
foundation of the maximum thickness specified by the manufacturer's 
instructions is on the bed.
    (2) With no mattress on the bed, there shall be no openings in the 
end structures above the foundation of the upper bunk that will permit 
the free passage of the wedge block shown in Figure 1 when tested in 
accordance with the procedure at Sec. 1213.4(b).
    (3) When tested in accordance with Sec. 1213.4(c), there shall be no 
openings in the end structures between the underside of the foundation 
of the upper bunk and upper side of the foundation of the lower bunk 
that will permit the free passage of the wedge block shown in Figure 1, 
unless the openings are also large enough to permit the free passage of 
a 9-inch (230-mm) diameter rigid sphere.
    (4) All portions of the boundary of any opening required by 
Sec. Sec. 1213.4(c)(1) and (2) to be probed by the wedge block of Figure 
1, and that permits free passage of a 9-inch diameter sphere, must 
conform to the neck entrapment requirements of Sec. 1213.4(c)(3).



Sec. 1213.4  Test methods.

    (a) Guardrails (see Sec. 1213.3(a)(6)). With no mattress on the bed, 
place the wedge block shown in Figure 1, tapered side first, into each 
opening in the bed structure below the lower edge of the uppermost 
member of the guardrail and above the underside of the upper bunk's 
foundation. Orient the block so that it is most likely to pass through 
the opening (e.g., the major axis of the block parallel to the major 
axis of the opening) (``most adverse orientation''). Then gradually 
apply a 33-lbf (147-N) force in a direction perpendicular to the plane 
of the large end of the block. Sustain the force for 1 minute.
    (b) Upper bunk end structure (see Sec. 1213.3(b)(2)). Without a 
mattress or foundation on the upper bunk, place the wedge block shown in 
Figure 1 into each opening, tapered side first, and in the most adverse 
orientation. Determine if the wedge block can pass freely through the 
opening.
    (c) Lower bunk end structure (see Sec. 1213.3(b)(3)). (1) Without a 
mattress or foundation on the lower bunk, place the wedge block shown in 
Figure 1, tapered side first, into each opening in the lower bunk end 
structure in the most adverse orientation. Determine whether the wedge 
block can pass freely through the opening. If the wedge block passes 
freely through the opening, determine whether a 9-inch (230-mm) diameter 
rigid sphere can pass freely through the opening.
    (2) With the manufacturer's recommended maximum thickness mattress 
and foundation in place, repeat the test in paragraph (c)(1) of this 
section.
    (3) All portions of the boundary of any opening that is required to 
be probed by the wedge block of Figure 1 by paragraphs (c)(1) and (c)(2) 
of this section, and that permits free passage

[[Page 359]]

of a 9-inch diameter sphere, must satisfy the requirements of paragraphs 
(c)(3)(i) and (c)(3)(ii) of this section addressing neck entrapment.
    (i) Insert the ``A'' section of the test template shown in Figure 2 
of this part into the portion of the boundary of the opening to be 
tested, with the plane of the template in the plane of the opening and 
with the centerline of the top of the template (as shown in Figure 2) 
aligned parallel to the centerline of the opening, until motion is 
stopped by contact between the test template and the boundaries of the 
opening (see Figure 3 of this part). By visual inspection, determine if 
there is simultaneous contact between the boundary of the opening and 
both sides of the ``A'' section of the template. If simultaneous contact 
occurs, mark the contact points on the boundary of the opening and 
conduct the additional test described in paragraph (c)(3)(ii) of this 
section.
    (ii) To check the potential for neck entrapment, place the neck 
portion of the ``B'' section of the template into the opening, with its 
plane perpendicular to both the plane of the opening and the centerline 
of the opening (see Figure 4 of this part). If the neck portion of the 
``B'' section of the template completely enters the opening (passes 0.75 
inch or more beyond the points previously contacted by the ``A'' section 
of the template), the opening is considered to present a neck entrapment 
hazard and fails the test, unless its lower boundary slopes downward at 
45 deg. or more for the whole distance from the narrowest part of the 
opening the neck can reach to the part of the opening that will freely 
pass a 9-inch diameter sphere.



Sec. 1213.5  Marking and labeling.

    (a) There shall be a permanent label or marking on each bed stating 
the name and address (city, state, and zip code) of the manufacturer, 
distributor, or retailer; the model number; and the month and year of 
manufacture.
    (b) The following warning label shall be permanently attached to the 
inside of an upper bunk bed end structure in a location that cannot be 
covered by the bedding but that may be covered by the placement of a 
pillow.
[GRAPHIC] [TIFF OMITTED] TR22DE99.001



Sec. 1213.6  Instructions.

    Instructions shall accompany each bunk bed set, and shall include 
the following information.
    (a) Size of mattress and foundation. The length and width of the 
intended

[[Page 360]]

mattress and foundation shall be clearly stated, either numerically or 
in conventional terms such as twin size, twin extra-long, etc. In 
addition, the maximum thickness of the mattress and foundation required 
for compliance with Sec. 1213.3(a)(5) and (b)(1) shall be stated.
    (b) Safety warnings. The instructions shall provide the following 
safety warnings:
    (1) Do not allow children under 6 years of age to use the upper 
bunk.
    (2) Use guardrails on both sides of the upper bunk.
    (3) Prohibit horseplay on or under beds.
    (4) Prohibit more than one person on upper bunk.
    (5) Use ladder for entering or leaving upper bunk.
    (6) If the bunk bed will be placed next to a wall, the guardrail 
that runs the full length of the bed should be placed against the wall 
to prevent entrapment between the bed and the wall. (This applies only 
to bunk beds without two full-length guardrails.)



Sec. 1213.7  Findings.

    The Consumer Product Safety Act requires that the Commission, in 
order to issue a standard, make the following findings and include them 
in the rule. 15 U.S.C. 2058(f)(3). These findings are contained in the 
appendix to this part 1213.
    (a) The rule in this part (including its effective date of June 19, 
2000 is reasonably necessary to eliminate or reduce an unreasonable risk 
of injury associated with the product.
    [These findings are contained in the appendix to this part 1213.]
    (b) Promulgation of the rule is in the public interest.
    (c) Where a voluntary standard has been adopted and implemented by 
the affected industry, that compliance with such voluntary standard is 
not likelyto result in the elimination or adequate reduction of the risk 
of injury; or it is unlikely that there will be substantial compliance 
with such voluntary standard.
    (d) The benefits expected from the rule bear a reasonable 
relationship to its costs.
    (e) The rule imposes the least burdensome requirement that prevents 
or adequately reduces the risk of injury for which the rule is being 
promulgated.

[[Page 361]]

            Figure 1 to Part 1213--Wedge Block for Tests in 
                     Sec. 1213.4(a), (b), and (c)
    [GRAPHIC] [TIFF OMITTED] TR22DE99.007
    

[[Page 362]]


        Figure 2 to Part 1213--Test Template for Neck Entrapment
      [GRAPHIC] [TIFF OMITTED] TR22DE99.003
      

[[Page 363]]


       Figure 3 to Part 1213--Motion of Test Template Arrested by 
      Simultaneous Contact With Both Sides of ``A'' Section and 
                         Boundaries of Opening
    [GRAPHIC] [TIFF OMITTED] TR22DE99.004
    

[[Page 364]]


        Figure 4 to Part 1213--Neck Portion of ``B'' Section of 
                Template Enters Completely Into Opening
    [GRAPHIC] [TIFF OMITTED] TR22DE99.005
    
  Appendix to Part 1213--Findings Under the Consumer Product Safety Act

    The Consumer Product Safety Act requires that the Commission, in 
order to issue a standard, make the following findings and include them 
in the rule. 15 U.S.C. 2058(f)(3). Because of this, the facts and 
determinations in these findings apply as of the date the rule was 
issued, December 22, 1999.
    A. The rule in this part (including its effective date of June 19, 
2000) is reasonably necessary to eliminate or reduce an unreasonable 
risk of injury associated with the product.
    1. For a recent 9.6-year period, the CPSC received reports of 57 
deaths of children under age 15 who died when they were trapped between 
the upper bunk of a bunk bed and the wall or when they were trapped in 
openings in the bed's structure. Over 96% of those who died in 
entrapment incidents were age 3 or younger. On average, averting these 
deaths is expected to produce a benefit to society with a present value 
of about $175 to $350 for each bed that otherwise would not have 
complied with one or more of the rule's requirements.
    2. This increased safety will be achieved in two ways. First, all 
bunk beds will be required to have a guardrail on both sides of the bed. 
If the bed is placed against a wall, the guardrail on that side is 
expected to prevent a child from being entrapped between the bed and the 
wall. The guardrail on the wall side of the bed must extend continuously 
from one end to the other. Second, the end structures of the bed must be 
constructed so that, if an opening in the end structure is large enough 
so a child can slip his or her body through it, it must be large enough 
that the child's head also can pass through.
    3. For the reasons discussed in paragraph D. of this Appendix, the 
benefits of the changes to bunk beds caused by this rule will

[[Page 365]]

have a reasonable relationship to the changes' costs. The rule addresses 
a risk of death, and applies primarily to a vulnerable population, 
children under age 3. The life-saving features required by the rule are 
cost-effective and can be implemented without adversely affecting the 
performance and availability of the product. The effective date provides 
enough time so that production of bunk beds that do not already comply 
with the standard can easily be changed so that the beds comply. 
Accordingly, the Commission finds that the rule (including its effective 
date) is reasonably necessary to eliminate or reduce an unreasonable 
risk of injury associated with the product.
    B. Promulgation of the rule is in the public interest. For the 
reasons given in paragraph A. of this Appendix, the Commission finds 
that promulgation of the rule is in the public interest.
    C. Where a voluntary standard has been adopted and implemented by 
the affected industry, that compliance with such voluntary standard is 
not likely to result in the elimination or adequate reduction of the 
risk of injury; or it is unlikely that there will be substantial 
compliance with such voluntary standard.
    1. Adequacy of the voluntary standard. i. In this instance, there is 
a voluntary standard addressing the risk of entrapment in bunk beds. 
However, the rule goes beyond the provisions of the voluntary standard. 
First, it eliminates the voluntary standard's option to have an opening 
of up to 15 inches at each end of the wall-side guardrail. Second, it 
requires more of the lower bunk end structures to have entrapment 
protection. The voluntary standard protects against entrapment only 
within the 9-inch space immediately above the upper surface of the lower 
bunk's mattress. The mandatory standard extends this area of protection 
upward to the level of the underside of the upper bunk foundation. Both 
of these provisions, which are in the rule but not in the voluntary 
standard, address fatalities and, as noted in paragraph D of this 
Appendix, have benefits that bear a reasonable relationship to their 
costs.
    ii. Therefore, the Commission finds that compliance with the 
voluntary standard is not likely to result in the elimination or 
adequate reduction of the risk of entrapment injury or death.
    2. Substantial compliance. i. Neither the CPSA nor the FHSA define 
``substantial compliance.'' The March 3, 1999 Notice of Proposed 
Rulemaking summarized an interpretation of ``substantial compliance'' 
that the Office of General Counsel provided to the Commission. 64 Fed. 
Reg. 10245, 10248-49 (March 3, 1999). The Commission specifically 
invited public comment on that interpretation from ``all persons who 
would be affected by such an interpretation.'' Id. at 10249. The 
Commission received more than 20 comments on the interpretation.
    ii. Having now considered all the evidence that the staff has 
presented, the comments from the public, and the legal advice from the 
Office of General Counsel, the Commission concludes that there is not 
``substantial compliance'' with the ASTM voluntary standard for bunk 
beds within the meaning of the Consumer Product Safety Act and the 
Federal Hazardous Substances Act. See, e.g., 15 U.S.C. 
2058(f)(3)(D)(ii); 15 U.S.C. 1262(i)(2)(A)(ii). However, the Commission 
does not adopt a general interpretation of ``substantial compliance'' 
focusing on whether the level of compliance with a voluntary standard 
could be improved under a mandatory standard. Rather, the grounds for 
the Commission's decision focus on the specific facts of this rulemaking 
and are stated below.
    iii. The legislative history regarding the meaning of ``substantial 
compliance'' indicates that the Commission should consider whether 
compliance is sufficient to eliminate or adequately reduce the risk of 
injury in a timely fashion and that, generally, compliance should be 
measured in terms of the number of complying products, rather than the 
number of manufacturers who are in compliance. E.g., Senate Report No. 
97-102, p. 14 (May 15, 1981); House Report No. 97-158, p. 11 (June 19, 
1981); H. Conf. Rep. No. 97-208, 97th Cong., 1st Sess. 871, reprinted in 
1981 U.S. Code Cong. & Admin. News 1010, 1233.
    iv. Given this Congressional guidance, the Commission believes it 
appropriate to examine the number of conforming products as the starting 
point for analysis. However, the Commission does not believe that there 
is any single percentage of conforming products that can be used in all 
cases to define ``substantial compliance.'' Instead, the percentage must 
be viewed in the context of the hazard the product presents. Thus, the 
Commission must examine what constitutes substantial compliance with a 
voluntary standard in light of its obligation to safeguard the American 
consumer.
    v. There are certain factors the agency considers before it 
initiates regulatory action, such as the severity of the potential 
injury, whether there is a vulnerable population at risk, and the risk 
of injury. See 16 CFR 1009.8. These and other factors also appropriately 
inform the Commission's decision regarding whether a certain level of 
conformance with a voluntary standard is substantial. In the light of 
these factors, industry's compliance rate with the voluntary standard 
for bunk beds is not substantial.
    vi. In this case, the Commission deals with the most severe risk--
death--to one of the most vulnerable segments of our population--infants 
and young children. While

[[Page 366]]

the risk of death is not high, it exists whenever a young child is in a 
residence with a nonconforming bunk bed.
    vii. Additionally, some products, such as hairdryers without shock 
protection devices, require some intervening action (dropping the hair 
dryer into water) to create the hazard. By contrast, deaths in bunk beds 
occur during the intended use of the product--a child rolling over in 
bed or climbing in or out of it--without any intervening action.
    viii. The Commission must also consider that bunk beds have a very 
long product life, frequently being passed on to several families before 
being discarded. Thus, a number of children may be exposed to a bed 
during its useful life. Every noncomplying bed that poses an entrapment 
hazard presents the potential risk of death to any young child in the 
house. It is a risk that is hard for a parent to protect against, as 
children find their way onto these beds even if they are not put to 
sleep in them.
    ix. Bunk beds are products that can be made relatively easily by 
very small companies, or even by a single individual. The Office of 
Compliance believes smaller entities will always present a compliance 
problem, because new manufacturers can enter the marketplace relatively 
easily and need little expertise to make a wooden bunk bed. The evidence 
seems to support the view that there will always be an irreducible 
number of new, smaller bunk bed manufacturers who will not follow the 
voluntary standard.
    x. What constitutes substantial compliance is also a function of 
what point in time the issue is examined. In 1989, the Commission denied 
a petition for a mandatory bunk bed rule. At that time, industry was 
predicting that by April of 1989, 90% of all beds being manufactured 
would comply with the voluntary guidelines. But that was in the context 
of years of steadily increasing conformance and the hope that 
conformance would continue to grow and that deaths and near-misses would 
begin to decline. But the conformance level never grew beyond the 
projection for 1989 and deaths and near-misses have not dropped.
    xi. Even with the existing compliance rate, the Commission is 
contemplating the prospect of perhaps 50,000 nonconforming beds a year 
(or more) entering the marketplace, with many beds remaining in use for 
perhaps 20 years or longer. Under these circumstances, a 10% rate of 
noncompliance is too high.
    xii. It is now clear that the bunk bed voluntary standard has not 
achieved an adequate reduction of the unreasonable risk of death to 
infants and children in a timely fashion, and it is unlikely to do so. 
Accordingly, the Commission finds that substantial compliance with the 
voluntary standard for bunk beds is unlikely.
    xiii. Products that present some or all of the following factors 
might not be held to as strict a substantial compliance analysis. Those 
which:

--Rarely or never cause death;
--Cause only less severe injuries;
--Do not cause deaths or injuries principally to a vulnerable segment of 
the population;
--Are not intended for children and which have no special attraction for 
children;
--Have a relatively short life span;
--Are made by a few stable manufacturers or which can only be made by 
specialized manufacturers needing a significant manufacturing investment 
to produce the product;
--Are covered by a voluntary standard which continues to capture an 
increasing amount of noncomplying products; or
--Require some additional intervening action to be hazardous.

    xiv. And, in analyzing some other product, there could be other 
factors that would have to be taken into consideration in determining 
what level of compliance is adequate to protect the public. The 
tolerance for nonconformance levels has to bear some relationship to the 
magnitude and manageability of the hazard addressed.
    xv. The Commission emphasizes that its decision is not based on the 
argument that a mandatory rule provides more powerful enforcement tools. 
If this were sufficient rationale, mandatory rules could always displace 
voluntary standards, and this clearly was not Congress's intent. But, 
with a mandatory standard, the necessity of complying with a mandatory 
federal regulation will be understandable to small manufacturers. State 
and local governments will have no doubt about their ability to help us 
in our efforts to locate these manufacturers.
    D. The benefits expected from the rule bear a reasonable 
relationship to its costs.
    1. Bunk beds that do not comply with ASTM's requirements for 
guardrails. The cost of providing a second guardrail for bunk beds that 
do not have one is expected to be from $15-40 per otherwise noncomplying 
bed. If, as expected, the standard prevents virtually all of the deaths 
it addresses, the present value of the benefits of this modification are 
estimated to be from $175-350 per otherwise noncomplying bed. Thus, the 
benefit of this provision is about 4-23 times its cost.
    2. Bunk beds that comply with ASTM's requirements for guardrails. 
The voluntary standard allows up to a 15-inch gap in the coverage of the 
guardrail on the wall side of the upper bunk. Additional entrapment 
deaths are addressed by requiring that the wall-side guardrail be 
continuous from one end of the bed to the other. The estimated present 
value of the benefits of this requirement is $2.40 to $3.50 per 
otherwise noncomplying bed. The Commission estimates that

[[Page 367]]

the materials cost to extend one guardrail an additional 30 inches (760 
mm) will be less than the present value of the benefits of making the 
change. Further, the costs of any design changes can be amortized over 
the number the bunk beds manufactured after the design change is made. 
Thus, the costs of any design change will be nominal.
    3. Lower bunk end structures. The Commission is aware of a death, 
involving entrapment in the end structures of the lower bunk, occurring 
in a scenario not currently addressed by the voluntary standard. This 
death would be addressed by extending the voluntary standard's lower 
bunk end structures entrapment provisions from 9 inches above the lower 
bunk's sleeping surface to the bottom of the upper bunk and by also 
including a test for neck entrapment in this area. The Commission 
expects the costs of this requirement to be design-related only, and 
small. Indeed, for some bunk beds, materials costs may decrease since 
less material may be required to comply with these requirements than is 
currently being used. Again, the design costs for these modifications to 
the end structures can be amortized over the subsequent production run 
of the bed.
    4. Effect on market. The small additional costs from any wall-side 
guardrails and end-structure modifications are not expected to affect 
the market for bunk beds, either alone or added to the costs of 
compliance to ASTM's provisions.
    5. Conclusion. The Commission has no reason to conclude that any of 
the standard's requirements will have costs that exceed the 
requirement's expected benefits. Further, the total effect of the rule 
is that the benefits of the rule will exceed its costs by about 4-23 
times. Accordingly, the Commission concludes that the benefits expected 
from the rule bear a reasonable relationship to its costs.
    E. The rule imposes the least burdensome requirement that prevents 
or adequately reduces the risk of injury for which the rule is being 
promulgated. 1. The Commission considered relying on the voluntary 
standard, either alone or combined with a third-party certification 
program. However, the Commission concluded that a mandatory program will 
be more effective in reducing these deaths, each of which is caused by 
an unreasonable risk of entrapment. Accordingly, these alternatives 
would not prevent or adequately reduce the risk of injury for which the 
rule is being promulgated.
    2. The Commission also considered a suggestion that bunk beds that 
conformed to the voluntary standard be so labeled. Consumers could then 
compare conforming and nonconforming beds at the point of purchase and 
make their purchase decisions with this safety information in mind. 
This, however, would not necessarily reduce injuries, because consumers 
likely would not know there is a voluntary standard and thus would not 
see any risk in purchasing a bed that was not labeled as conforming to 
the standard.
    3. For the reasons stated in this Appendix, no alternatives to a 
mandatory rule have been suggested that would adequately reduce the 
deaths caused by entrapment of children in bunk beds. Accordingly, the 
Commission finds that this rule imposes the least burdensome requirement 
that prevents or adequately reduces the risk of injury for which the 
rule is being promulgated.



PART 1301--BAN OF UNSTABLE REFUSE BINS--Table of Contents




Sec.
1301.1 Scope and application.
1301.2 Purpose.
1301.3 Findings.
1301.4 Definitions.
1301.5 Banning criteria.
1301.6 Test conditions.
1301.7 Test procedures.
1301.8 Effective date.

    Authority: Secs. 8, 9, 86 Stat. 1215-1217, as amended, 90 Stat. 506; 
15 U.S.C. 2057, 2058.

    Source: 42 FR 30300, June 13, 1977, unless otherwise noted.



Sec. 1301.1  Scope and application.

    (a) In this part 1301 the Consumer Product Safety Commission 
(Commission) declares that certain unstable refuse bins are banned 
hazardous products under sections 8 and 9 of the Consumer Product Safety 
Act (CPSA) (15 U.S.C. 2057 and 2058).
    (b) This ban applies to those refuse bins of metal construction that 
are being distributed in commerce on or after the effective date of this 
rule, which do not meet the criteria of Sec. 1301.5 and which are 
produced or distributed for sale to, or for the personal use, 
consumption or enjoyment of consumers, in or around a permanent or 
temporary household or residence, a school, in recreation or otherwise. 
The Commission has found that (1) these refuse bins are being, or will 
be distributed in commerce; (2) they present an unreasonable risk of 
injury; and (3) no feasible consumer product safety standard under the 
CPSA would adequately protect the public from the unreasonable risk of 
injury associated

[[Page 368]]

with these products. The ban is applicable to those refuse bins having 
an internal volume one cubic yard or greater by actual measurement, 
which will tip over when subjected to either of the forces described in 
Sec. 1301.7 and which are in commerce or being distributed in commerce 
on or after the effective date of the ban.
    (c) When such refuse bins are the subject of rental or lease 
transactions between owners of refuse bins or between refuse collection 
agencies and persons who make such refuse bins available for use by the 
public, such transactions are considered to be distributions in commerce 
and therefore come within the scope of this ban. Refuse collection 
agencies or owners of refuse bins who rent or lease refuse bins to 
persons who make them available for use by consumers are considered to 
be distributors; the persons to whom refuse bins are rented or leased 
are not considered to be distributors.
    (d) On or after the effective date of this rule it shall be unlawful 
to manufacture for sale, offer for sale, or distribute in commerce, the 
unstable refuse bins described in this rule.
    (e) This rule, effective November 13, 1981, is partially revoked and 
therefore does not apply to front-loading, straight-sided refuse bins 
without trunnion bars having an internal volume capacity of 1, 1\1/2\, 
or 2 cubic yards, of the following external dimensions:

----------------------------------------------------------------------------------------------------------------
                                                                                        Height \1\
                                                                                   --------------------
                        Internal volume                          Length     Width     High               Weight
                                                                (inches)  (inches)    side    Low side    (lbs)
                                                                                    (inches)  (inches)
----------------------------------------------------------------------------------------------------------------
1 cubic yard..................................................     70-72     21-23     29-31     29-31   313-347
1\1/2\ cubic yards............................................     70-72     29-31     33-36     29-32   346-382
2 cubic yards.................................................     70-72     32-35     39-43     31-36   409-453
----------------------------------------------------------------------------------------------------------------
\1\ Does not include height of wheels.


(Sec. 9(h), Pub. L. 97-35, Pub. L. 92-573, 86 Stat. 1215, 15 U.S.C. 
2058(h))

[42 FR 30300, June 13, 1977, as amended at 46 FR 55925, Nov. 13, 1981]



Sec. 1301.2  Purpose.

    The purpose of this rule is to ban those refuse bins which come 
under the scope of this ban because they present an unreasonable risk of 
injury due to tip-over that can result in serious injury or death from 
crushing.



Sec. 1301.3  Findings.

    (a) Risk of injury. The Commission has studied 19 in-depth 
investigation reports of accidents associated with tip-over of unstable 
refuse bins. The 19 accidents, which involved 21 victims, resulted in 13 
deaths. Of the 21 victims, 20 were children 10 years of age and under. 
Additionally, Commission records show three death certificates for 
victims, under 5 years of age, who were killed by refuse bins tipping 
over. Therefore, the Commission finds that unreasonable risks of injury 
or death from crushing due to tip-over are associated with certain 
unstable refuse bins having an internal volume one cubic yard or 
greater, which unreasonable risk this banning rule is designed to 
eliminate or reduce.
    (b) Products subject to this ban. (1) The Commission finds that the 
types of products subject to this ban are those manufactured metal 
receptacles known in the solid waste collection trade as containers, 
refuse bins, buckets, boxes or hoppers, with actual internal volumes of 
one cubic yard or greater, used for the storage and transportation of 
solid waste. They are fabricated in numerous sizes and configurations 
for use with rear, side, front, hoist and roll-off loaded trash 
collection trucks and are used by private firms and public agencies.
    (2) Although unstable refuse bins subject to this ban may be in 
various forms and shapes, the Commission's in-depth investigations into 
accidents associated with metal refuse containers indicate that most 
accidents have occurred with slant-sided metal refuse bins which are 
used by rear and side-loaded trucks. Therefore, the Commission bases its 
economic analysis of the potential impact of the ban upon the population 
of these bins. Certain refuse bins such as front loaded, roll-off, box 
and other types of large or broad based bins, because of their 
configuration, bulk and weight are likely to be inherently stable and 
are therefore not included in the population of potentially unstable 
bins studied in this economic analysis.

[[Page 369]]

    (3) The Commission estimates that there may be approximately 
638,000-716,000 slant-sided, metal refuse bins with an internal volume 
one cubic yard or greater, which may be unstable. The population of 
potentially unstable bins owned by some 10,000-15,000 private solid 
waste collection firms in all parts of the United States and its 
territories is estimated to be 359,000-371,000. These figures are 
discussed in the Commission's Economic Impact Statement of April 22, 
1977, which is available for review from the Commission's Office of the 
Secretary, Washington, D.C. 20207.
    (c) Need of the public for the product and effects on utility, cost, 
and availability. (1) The public need for refuse bins is substantial 
since these products are used for the containment of solid waste and 
thus contribute to public hygiene. The U.S. Environmental Protection 
Agency estimates that 135,000,000 tons of solid waste were collected in 
1976 from residential, commercial and industrial sources. Approximately 
101,250,000 tons (75%) were collected by private firms and the remainder 
by public agencies.
    (2) The Commission finds that the ban will not affect the utility 
that consumers derive from the general use of refuse bins. The interest 
of the public is in continuity, availability and price of solid waste 
collection. The ban could result in a shift from bins which are subject 
to the ban to other types of storage containers. Such a shift would not 
affect solid waste collection and would entail a small price increase 
for individual consumers. To the extent that injuries and deaths 
associated with the use of unstable bins are reduced or eliminated as a 
result of the ban, the public utility derived from the use of the 
product will be increased.
    (3)(i) The Commission finds that, based on its analysis of 
industrial estimates, newly produced complying refuse bins will cost 
approximately 1-10% more than currently produced noncomplying bins and 
that existing inventories of unstable bins can be modified (depending 
upon size) for about $45-$75 each. This modification cost estimate 
includes the cost of material, shop labor, retrieval and return to 
service, and the substitution of one bin for another for on-site 
service.
    (ii) The Commission estimates that the ban will not result in any 
significant price increases for the delivery of solid waste collection 
service to the general public because of the competitive structure of 
the solid waste collection industry.
    (4) The Commission finds that the ban will have no effect on the 
availability of solid waste collection service to the general public. 
Solid waste collection haulers who use products subject to this ban can 
modify these refuse bins so that these products can continue to be used 
for solid waste collection.
    (d) Alternatives. (1) The Commission has considered other means of 
achieving the objective of this ban, but has found none that it believes 
would have fewer adverse effects on competition or that would cause less 
disruption or dislocation of manufacturing, servicing or other 
commercial practices consistent with public health and safety. The 
Commission estimates that this ban may, because of capital and testing 
costs and maintenance capacity limitations, have an adverse effect on 
individual firms within some markets.
    (2) The Commission estimates that the ban will not have an adverse 
effect on the competitive structure of the solid waste collection 
industry. The competitive nature of solid waste collection firms is 
fostered because of low starting costs, particularly if a firm is owner-
operated. The rate of entry and exit into and out of the industry for 
small operators tends to be high relative to larger firms in the 
industry. The ban will most likely not increase the degree of market 
concentration among the larger firms nor affect the rate of entry into 
or exit out of the industry by relatively smaller firms.
    (3) Table 3 of the Economic Impact Statement indicates that about 85 
percent of the private sector trash haulers are those with a fleet size 
of about 10 trucks and have annual revenues under $1 million. These 
might be classified as small business firms. All firms in the trash 
hauling business would have two possible problems associated with the 
ban: cost and time to retrofit, and access to capital for retrofitting. 
The problem of raising capital to retrofit should not be a burden to 
small firms

[[Page 370]]

unless they are denied credit for factors not associated with this ban. 
The revised effective date from 9 to 12 months will extend both the time 
to retrofit and the time to search for capital sources, if necessary. We 
conclude that the small firms in the trash hauling industry will not 
experience undue hardship relative to their larger competitors.
    (e) Conclusion. (1) The Commission finds that this rule is 
reasonably necessary to eliminate or reduce the unreasonable risks of 
injury associated with refuse bins, as they are defined in Sec. 1301.4, 
and which fail to meet the criteria specified in Sec. 1301.5
    (2) Based on all of the above findings, the Commission finds that 
the issuance of this rule is in the public interest.
    (3) The Commission is aware of the fact that refuse bins are used 
for many years before being discarded. Estimates of their useful life 
range from 10 to 15 years. Although other products which may be 
hazardous may also have a long life in the hands of individual 
consumers, a substantial number of unstable refuse bins remain in 
commerce because they are rented or leased and are constantly available 
for use by large numbers of consumers. The combination of the long life 
of refuse bins plus the fact that unstable refuse bins could remain in 
commerce and be available for use by many people, persuaded the 
Commission to make this finding that no feasible consumer product safety 
standard under the CPSA could adequately protect the public from the 
unreasonable risk of injury associated with those unstable refuse bins 
coming under the coverage of this ban.



Sec. 1301.4  Definitions.

    (a) The definitions in section 3 of the Consumer Product Safety Act 
(15 U.S.C. 2052) apply to this part 1301.
    (b) Refuse bin means a metal receptacle having an internal volume 
one cubic yard or greater, by actual measurement, which temporarily 
receives and holds refuse for ultimate disposal either by unloading into 
the body or loading hopper of a refuse collection vehicle or by other 
means.
    (c) Internal volume means the actual volumetric capacity of the 
container. This may not necessarily correspond to the nominal size 
rating used by industry.
    (d) Tip over means that during the application of either test force 
described in Sec. 1301.7(a), the refuse bin begins to rotate forward 
about its forwardmost ground supports.



Sec. 1301.5  Banning criteria.

    (a) Any refuse bin of metal construction produced or distributed, 
for sale to, or for the personal use, consumption or enjoyment of 
consumers, in or around a permanent or temporary household or residence, 
a school, in recreation or otherwise, which is in commerce or being 
distributed in commerce on or after the effective date of this ban and 
which has an actual internal volume one cubic yard or greater and tips 
over when tested under the conditions of Sec. 1301.6 and using the 
procedures described in Sec. 1301.7, is a banned hazardous product.
    (b) The Commission considers a refuse bin to tip over when it begins 
to rotate forward about its forwardmost ground supports.



Sec. 1301.6  Test conditions.

    (a) The refuse bin shall be empty and have its lids or covers in a 
position which would most adversely affect the stability of the bin when 
tested.
    (b) The refuse bin shall be tested on a hard, flat surface. During 
testing, the bin shall not be tilted from level in such a way as to 
increase its stability.
    (c) Those refuse bins equipped with casters or wheels shall have the 
casters or wheels positioned in a position which would most adversely 
affect the stability of the bin and shall be chocked to prevent 
movement.
    (d) The stability of the refuse bin shall be tested without 
dependence upon non-permanent attachments or restraints such as chains 
or guys.
    (e) For purposes of enforcement, bins will be tested by the 
Commission in that position which most adversely affects their 
stability.



Sec. 1301.7  Test procedures.

    (a) The refuse bin shall be tested by applying forces as described 
in paragraphs (a) (1) and (2) of this section one after the other.

[[Page 371]]

    (1) A horizontal force of 70 pounds (311 N) shall be applied at a 
point and in a direction most likely to cause tipping, and
    (2) A vertically downward force of 191 pounds (850 N) shall be 
applied to a point most likely to cause tipping. (See Figure 1.)
[GRAPHIC] [TIFF OMITTED] TC03OC91.047

    (b) These forces shall be applied separately and the bin shall not 
tip over under the application of either action cited above in paragraph 
(a)(1) or (a)(2).



Sec. 1301.8  Effective date.

    The effective date of this ban shall be June 13, 1978.



PART 1302--BAN OF EXTREMELY FLAMMABLE CONTACT ADHESIVES--Table of Contents




Sec.
1302.1 Scope and application.
1302.2 Purpose.
1302.3 Definitions.
1302.4 Banned hazardous products.
1302.5 Findings.
1302.6 Effective date.

    Authority: Secs. 8, 9; 86 Stat. 1215-1217 as amended; 90 Stat. 506; 
(15 U.S.C. 2057, 2058).

    Source: 42 FR 63731, Dec. 19, 1977, unless otherwise noted.



Sec. 1302.1  Scope and application.

    (a) In this part 1302 the Consumer Product Safety Commission 
(Commission) declares extremely flammable contact adhesives and similar 
liquid or semiliquid consumer products to be banned hazardous products 
under sections 8 and 9 of the Consumer Product Safety Act (CPSA) (15 
U.S.C. 2057 and 2058). This ban applies to those extremely flammable 
contact adhesives and similar liquid or semiliquid consumer products, as 
defined in Sec. 1302.3(b), which are in commerce or are being 
distributed in commerce on or after the effective date of this 
regulation, and which are consumer products (as defined in section 3(a) 
of the Act (15 U.S.C. 2052) customarily produced or distributed for sale 
to, or for the personal use, consumption or enjoyment of consumers in or 
around a permanent or temporary household or residence, a school, in 
recreation or otherwise.
    (b) An extremely flammable contact adhesive as defined in 
Sec. 1302.3(b) is a banned hazardous product if the manufacturer, 
distributor, or retailer customarily produces or distributes the product 
for sale to, or use by consumers, or if the manufacturer, distributor, 
or retailer fosters or facilitates the product's sale to, or use by, 
consumers. For example, contact adhesives available in retail stores, 
such as lumber yards or hardware stores, for sale to consumers would be 
included in the scope of the ban even though such

[[Page 372]]

outlets may sell such products primarily to industrial or professional 
users. The manufacturer who markets an extremely flammable contact 
adhesive which would be subject to the ban if sold to consumers has the 
responsibility for determining the distribution and use patterns of its 
product and for taking all reasonable steps to ensure that the product 
is not made available for sale to consumers. The test of whether a 
contact adhesive is banned shall be whether the product, under any 
customary or reasonably foreseeable condition of distribution, or sale, 
is made available for purchase by consumers.
    (c) Contact adhesives that are labeled as, marketed, and sold solely 
for industrial or professional use are not within the scope of this ban. 
However, merely labeling a contact adhesive for industrial or 
professional use only would not exclude such products from this ban. In 
addition, packaging a contact adhesive in a large size container would 
not in itself exclude the product from this ban.
    (d) The Commission has found that the contact adhesives covered by 
this ban are being, or will be distributed in commerce; and present an 
unreasonable risk of injury; and that no feasible consumer product 
safety standard under the CPSA would adequately protect the public from 
the unreasonable risk of injury associated with these products.



Sec. 1302.2  Purpose.

    The purpose of this rule is to ban extremely flammable contact 
adhesives which have been found to present an unreasonable risk of 
injury to consumers of burns resulting from explosive and flashback 
fire.



Sec. 1302.3  Definitions.

    (a) The definitions in section 3 of the Consumer Product Safety Act 
(15 U.S.C. 2052) apply to this part 1302.
    (b) The term extremely flammable contact adhesive and similar liquid 
or semiliquid consumer products means consumer products that have each 
of the following product characteristics:
    (1) Show a flash point at or below 20 degrees Farenheit as 
determined by the Tagliabue open-cup test method prescribed by 16 CFR 
1500.43; and
    (2) Are intended to be applied to two surfaces to be bonded together 
and allowed to dry partially until there is little residual tack, and 
adhere to themselves instantaneously when the coated surfaces are joined 
under low or moderate pressure; and
    (3) Are composed of a high percentage (70-90 percent by weight) of 
solvents and a low percentage of solids (10-30 percent by weight); and
    (4) Are substances that are non-aerosols and are free-flowing, 
having a wet viscosity within the range of 300-6,000 centipoise at 70 
degrees Fahrenheit when measured by an RVF Brookfield viscometer; and
    (5) Are packaged in containers of more than one-half pint.
    (c) The term flash point means the lowest temperature corrected to a 
pressure of 101.3 RPa (1013 millibars) of a substance at which 
application of an ignition source causes the vapor above the substance 
to ignite under specified conditions of test. A blue light (blue halo) 
or other colored light which sometimes surrounds the test flame should 
not be confused with the true ignition of the vapors (flash point).
    (d) Initial introduction into commerce occurs when the manufacturer 
ships a product covered by this regulation from a facility of the 
manufacturer to a distributor, retailer, or consumer.



Sec. 1302.4  Banned hazardous products.

    Any extremely flammable contact adhesive and similar liquid or 
semiliquid consumer product as defined in Sec. 1302.3 (b), which has 
been manufactured or initially introduced into commerce after January 
17, 1978, is a banned hazardous product. In addition, any other 
extremely flammable contact adhesive and similar liquid or semiliquid 
consumer product, as defined in Sec. 1302.3(b), no matter when 
manufactured or initially introduced into commerce, is a banned 
hazardous product after June 13, 1978.



Sec. 1302.5  Findings.

    (a) The degree and nature of the risk of injury. The Commission 
finds that the risk of injury which this regulation is designed to 
eliminate or reduce is the

[[Page 373]]

risk of injury of burns from explosive vapor ignition and flashback fire 
associated with extremely flammable contact adhesives as defined in this 
rule.
    (1) Degree of the risk of injury presented by extremely flammable 
contact adhesives. (i) In October 1976, the Commission's staff prepared 
a report entitled Hazard Analysis on Contact Adhesive Fires. According 
to the Hazard Analysis, three factors that measure burn severity are 
percent of body burned, days hospitalized, and whether clothing ignition 
occurs. Injury data sources summarized in the Hazard Analysis reveal 
that contact adhesive fires often result in a high percent of body 
burned, result in many days hospitalized, and usually involve clothing 
ignition burns.
    (ii) The American Burn Association (ABA) participated in a special 
survey with the Commission to obtain an estimate of the incidence and 
severity of burns associated with the use of contact adhesive cements. 
In January 1976, the President of the ABA sent a letter to the 1,300 ABA 
members asking the members to record any thermal injuries or deaths that 
have occurred between January 1975 and March 1976 associated with 
contact adhesives. In November 1976, the Chairman of the ABA Committee 
on Burn Prevention submitted a statement to the Commission estimating 
that between 45 and 125 contact adhesive related injuries are treated 
annually in hospital emergency rooms. Although ABA members reported an 
annual rate of 20 severe burn injuries for the January 1975 to March 
1976 period, the actual rate of severe burn injuries may be higher, 
since only approximately 400 hospitals, less than 10 percent of the 
country's short-term hospitals, are represented in ABA membership. The 
results of the ABA survey, as reported by the ABA Chairman, showed that 
the injuries treated by members resulted in an average hospitalization 
of 42 days, almost double the length of stay for all burn victims in 
special facilities for burns. According to the ABA Chairman, when a burn 
victim experiences such a lengthy stay, it is an indication of very 
severe injury and predicts a lengthy period of recuperation and 
potentially permanent physical and psychological consequences.
    (iii) The Hazard Analysis prepared by the Commission's staff also 
contains a summary of the results of the ABA survey. According to the 
Commission's staff, the ABA survey revealed 33 incidents with sufficient 
details for analysis. Nine of the victims died from their burns and 21 
were hospitalized. The average body area burned was 40 percent. In 
addition, the victims' clothing ignited on all except three of the 33 
victims.
    (iv) The Hazard Analysis also contains a summary of contact adhesive 
related fires in the National Fire Protection Association's (NFPA) Fire 
Incident Data Organization (FIDO), a computerized file of fire 
experience that includes data collected from 1971 to 1975. The NFPA 
files contained reports of 38 fires from 1971 to 1975, seven of which 
occurred in residences. These seven fires resulted in injuries to 
fifteen persons and deaths to three persons.
    (v) In addition to the above injury information, the Hazard Analysis 
also indicates that the Commission has received three death certificates 
specifying the involvement of an adhesive.
    (vi) According to the hazard analysis, after cases from the various 
data sources were verified as being mutually exclusive, at least 130 
persons have been injured in contact adhesive fires since 1970. Fifteen 
of these persons subsequently died from the injuries they sustained in 
these accidents.
    (vii) Technical analysis of extremely flammable contact adhesives by 
the Commission's staff indicates that the degree of the hazard 
associated with these products is such that as little as one pint of 
extremely flammable contact adhesive may produce a substantial explosion 
hazard.
    (2) Nature of the risk of injury presented by flammable contact 
adhesives. (i) Technical analysis of these substances by the 
Commission's staff indicates that extremely flammable contact adhesives 
have a low flash point (20  deg.F or below), a rapid evaporation rate 
(as a result of a high percentage of solvents, 70-90 percent by weight), 
a low percentage of solids, 10-30 percent by weight, and a low wet-
viscosity (300-6,000

[[Page 374]]

centipoise when measured by an RVF Brookfield viscometer).
    (ii) Flash point, viscosity, low solid to high solvent ratio, 
evaporation rate, size of the application area, and rate of application 
are factors which determine the potential for creating an ignitable 
vapor situation. The rapid rate of evaporation of extremely volatile, 
low flash point solvents from extremely flammable contact adhesives is 
capable of creating a highly explosive atmosphere. The flammable nature 
of these contact adhesives is such that the vaporized solvents from 
these products can be ignited by a sparking electric motor or an 
overlooked pilot light in an area remote from the site of use. Analysis 
of actual injury reports by the Commission's staff reveals that 
extremely flammable contact adhesives have, in fact, been ignited by 
many ignition sources including oven and stove pilot lights, water 
heater and furnace pilot lights, electric space heaters (without any 
visible flame), sparks from a refrigerator motor and a wall receptacle, 
and friction. Analysis of available injury reports has shown that these 
ignition sources are frequently located in areas of the house remote 
from the room in which the contact adhesive is being used.
    (iii) The possibility of ignition from a source in another room or 
another part of the house may well be overlooked by the public, in spite 
of warnings on the label of the product. Ignition of the vapors may 
result in a sudden, flash back fire from the source of vapor ignition to 
the container of adhesive with little or no warning to the consumer and 
with the potential for serious or fatal injury to the user or 
bystanders. The injury information available to the Commission shows 
that the vast majority of accidents occur while the product is being 
used for its intended purpose. The potential for serious injury, 
therefore, appears to be present during normal use of the product.
    (iv) Although the Commission has in the past required the extremely 
flammable contact adhesives now subject to this ban to bear minimum 
cautionary labeling for the hazard caused by the extreme flammability of 
the mixture, the Commission finds that this cautionary labeling is 
inadequate to protect the public. An analysis prepared by the Commission 
staff of the available injury data indicates that in spite of the 
cautionary labeling, accidents have continued to occur, inflicting 
serious injuries in much the same manner as those accidents that 
occurred prior to the issuance of the 1970 labeling regulation. The 
cautionary labeling presently required could be revised to include more 
explicit and graphic warnings. However, as a result of the degree and 
nature of the risk of injury presented by the product, this labeling 
would also provide inadequate protection to the public. The degree and 
nature of the risk of injury is such that a bystander or visitor could 
present an ignition source resulting in an accident. Since the bystander 
or visitor would not normally have an opportunity to read the warning 
label on the product, additional labeling would not benefit these 
potential victims. The possibility of ignition from a source in another 
room or another part of the house may well be overlooked by the public, 
in spite of warnings on the label of the product.
    (b) Products subject to this ban. (1) The products banned by this 
rule are listed in Sec. 1302.1.
    (2) The Commission finds that the types of products subject to this 
ban are those contact adhesives that are extremely flammable and are 
packaged in containers of more than one-half pint. The average annual 
consumption of all types of contact adhesives in the United States is 
estimated at approximately 25 million gallons. Of this, it is estimated 
that 4-5 million gallons are sold in containers of 1 gallon or less, the 
sizes consumers generally buy. Professional users are estimated to 
purchase about half of the contact adhesives in this size range with 
most purchases probably of gallon containers. Therefore, consumers 
probably purchase 2-2.5 million gallon of all contact adhesives, most of 
which is estimated to be in quart containers, and a smaller amount in 
containers of one pint or less.
    (3) In early 1976, contact adhesive sales were estimated as 80 
percent extremely flammable, 10 percent chlorinated-solvent based, and 
10 percent water-based. Since that time, a

[[Page 375]]

flammable petroleum solvent based contact adhesive has been developed 
and there has been a trend away from extremely flammable to flammable 
and nonflammable for consumer use. Although this trend is evident, 
reliable estimates of current market shares are not available. A rough 
estimate would be that perhaps 50 percent of contact adhesives in 
container sizes of more than one-half pint to 1 gallon are extremely 
flammable.
    (c) Need of the public for the products and effects of the rule on 
their utility, cost, and availability.
    (1) The need for contact adhesives. Contact adhesives are used 
primarily for bonding plastic laminates to counter and table tops, for 
applying tile board to walls, and for applying some types of flooring. 
Other uses include bonding metals, wood, leather, linoleum, tiles, 
rubber and plastics. Contact adhesives may also be used in furniture 
construction and repairs. There are contact adhesives available other 
than the extremely flammable type and other alternatives to contact 
adhesives that consumers can use.
    (2) Probable effects of the ban on the utility of contact adhesives. 
Of the three general types of contact adhesive other than extremely 
flammable contact adhesives, flammable and non-flammable (chlorinated) 
contact adhesives have about the same general performance 
characteristics as extremely flammable contact adhesives. Therefore, 
because these two products are available to the public, the Commission 
believes the ban will have little impact on the utility of contact 
adhesives. In terms of performance characteristics, there is little 
difference between flammable and extremely flammable contact adhesives. 
Although the extremely flammable product requires approximately 10 
minutes of drying time before the item can be bonded, the flammable 
product requires about 20 minutes. This difference in time is not likely 
to be significant for most consumers who do ordinary home improvement or 
repair work. The performance characteristics of non-flammable 
chlorinated based contact adhesives are similar to those of the 
extremely flammable type for most applications. Non-flammable 
chlorinated based contact adhesives may be unacceptable for applications 
involving leather. Water based contact adhesives may not be as 
satisfactory, in terms of performance characteristics, as the other 
contact adhesives. The drying time for water-based contact adhesives 
varies with humidity. Although manufacturers of water-based neoprene 
contact adhesives claim that their products will dry in 30 minutes, for 
most of the country a drying time from one to four hours is probably 
more realistic. It is possible that the adhesive will never dry in some 
areas of the country with very high humidity. The time needed for the 
adhesive to adhere after joining (open time) will also vary with the 
humidity. Water-based acrylic contact adhesives are similar to neoprene 
type adhesives in terms of the effect of humidity on drying time. The 
neoprene and acrylic based adhesives are not completely satisfactory for 
binding some substances with non-porous surfaces, such as metals. In 
addition, the water in these adhesives might have an adverse effect on 
leather. Neoprene water-based adhesives may become unstable if frozen 
and thawed several times. This may occur during shipping or storage in 
some areas of the country during deaths associated with the extreme 
winter. To the extent that injuries and flammable contact adhesives are 
reduced or eliminated as a result of the ban, the utility of contact 
adhesives will be increased.
    (3) Probable effects of the ban upon the cost of contact adhesives. 
For gallon containers, the Commission estimates that the contact 
adhesives available as substitutes for the extremely flammable type may 
cost in the range of $1-$6 more than the extremely flammable type. 
Although a gallon of extremely flammable contact adhesive may cost 
$7.50-$10.50, a gallon of flammable contact adhesive may cost from $8-
$11, a gallon of nonflammable chlorinated base contact adhesive may cost 
from $12-$15, a gallon of water-based neoprene contact adhesive may cost 
from $11-$16, and a gallon of water-based acrylic contact adhesive may 
cost from $10-$15.
    (4) Probable effect of the ban on the availability of contact 
adhesives to meet the need of the public. The Commission

[[Page 376]]

estimates that the ban will not have any effect on the availability or 
use of contact adhesives. Manufacturers are most likely to switch 
production to flammable petroleum-based and to 1,1,1,-trichloroethane 
(1,1,1,-TCE) based or water-based contact adhesives.
    (d) Alternatives. (1) The Commission has considered other means of 
achieving the objective of this rule, such as labeling, but has found 
none that would achieve the objective of this ban, consistent with the 
public health and safety.
    (2) The Commission believes that any adverse effects of the ban 
should be minimal and would be expected to be confined to some shift in 
distribution patterns to accommodate professional users, including 
methods of distinguishing between professional users and consumers.
    (3) The Commission finds that competition should not be 
significantly affected by this rule.
    (e) Conclusion. The Commission finds that this rule, including its 
effective date, is reasonably necessary to eliminate or reduce the 
unreasonable risk of injury of burns from explosive vapor ignition and 
flashback fire that is associated with the banned products described in 
Sec. 1302.3(b). The Commission also finds that issuance of the rule is 
in the public interest. The Commission also finds that no feasible 
consumer product safety standard under the act would adequately protect 
the public from the unreasonable risk of injury associated with the 
product.



Sec. 1302.6  Effective date.

    This rule becomes effective January 18, 1978.



PART 1303--BAN OF LEAD-CONTAINING PAINT AND CERTAIN CONSUMER PRODUCTS BEARING LEAD-CONTAINING PAINT--Table of Contents




Sec.
1303.1 Scope and application.
1303.2 Definitions.
1303.3 Exemptions.
1303.4 Banned hazardous products.
1303.5 Findings.

    Authority: Secs. 8, 9, 86 Stat. 1215-1217, as amended 90 Stat. 506; 
15 U.S.C. 2057, 2058.

    Source: 42 FR 44199, Sept. 1, 1977, unless otherwise noted.



Sec. 1303.1  Scope and application.

    (a) In this part 1303, the Consumer Product Safety Commission 
declares that paint and similar surface-coating materials for consumer 
use that contain lead or lead compounds and in which the lead content 
(calculated as lead metal) is in excess of 0.06 percent of the weight of 
the total nonvolatile content of the paint or the weight of the dried 
paint film (which paint and similar surface-coating materials are 
referred to hereafter as ``lead-containing paint'') are banned hazardous 
products under sections 8 and 9 of the Consumer Product Safety Act 
(CPSA), 15 U.S.C. 2057, 2058. (See parts 1145.1 and 1145.2 for the 
Commission's finding under section 30(d) of the Consumer Product Safety 
Act (CPSA) that it is in the public interest to regulate lead-containing 
paint and certain consumer products bearing such paint under the CPSA.) 
The following consumer products are also declared to be banned hazardous 
products:
    (1) Toys and other articles intended for use by children that bear 
``lead-containing paint''.
    (2) Furniture articles for consumer use that bear ``lead-containing 
paint''.
    (b) This ban applies to the products in the categories described in 
paragraph (a) of this section that are manufactured after February 27, 
1978, and which are ``consumer products'' as that term is defined in 
section 3(a)(1) of the Consumer Product Safety Act. Accordingly, those 
of the products described above that are customarily produced or 
distributed for sale to or for use, consumption, or enjoyment of 
consumers in or around a household, in schools, in recreation, or 
otherwise are covered by the regulation. Paints and coatings for motor 
vehicles and boats are not included within the scope of the ban because 
they are outside the statutory definition of ``consumer product''. In 
addition to those products which are sold directly to consumers, the ban 
applies to products which are used or enjoyed by consumers after sale, 
such as paints used in residences, schools, hospitals, parks, 
playgrounds, and public

[[Page 377]]

buildings or other areas where consumers will have direct access to the 
painted surface.
    (c) The Commission has issued the ban because it has found (1) that 
there is an unreasonable risk of lead poisoning in children associated 
with lead content of over 0.06 percent in paints and coatings to which 
children have access and (2) that no feasible consumer product safety 
standard under the CPSA would adequately protect the public from this 
risk.



Sec. 1303.2  Definitions.

    (a) The definitions in section 3 of the Consumer Product Safety Act 
(15 U.S.C. 2052) shall apply to this part 1303.
    (b) For purposes of this part:
    (1) Paint and other similar surface-coating materials means a fluid, 
semi-fluid, or other material, with or without a suspension of finely 
divided coloring matter, which changes to a solid film when a thin layer 
is applied to a metal, wood, stone, paper, leather, cloth, plastic, or 
other surface. This term does not include printing inks or those 
materials which actually become a part of the substrate, such as the 
pigment in a plastic article, or those materials which are actually 
bonded to the substrate, such as by electroplating or ceramic glazing.
    (2) Lead-containing paint means paint or other similar surface 
coating materials containing lead or lead compounds and in which the 
lead content (calculated as lead metal) is in excess of 0.06 percent by 
weight of the total nonvolatile content of the paint or the weight of 
the dried paint film.
    (3) Toys and other articles intended for use by children means those 
toys and other articles which are intended to be entrusted to or for use 
by children. This would not include all articles to which children might 
have access simply because they are present in a household.
    (4) Furniture article means those movable articles: (i) Used to 
support people or things; (ii) other functional or decorative furniture 
articles, including, but not limited to, products such as beds, 
bookcases, chairs, chests, tables, dressers, desks, pianos, console 
televisions, and sofas. The term ``furniture article'' does not include 
appliances, such as ranges, refrigerators, dishwashers, clothes washers 
and dryers, air conditioners, humidifiers, and dehumidifiers; fixtures 
such as bathroom fixtures, built-in cabinets, chandeliers, windows, and 
doors; or household items such as window shades, venetian blinds, or 
wall hangings and draperies.



Sec. 1303.3  Exemptions.

    (a) The categories of products listed in paragraph (b) of this 
section are exempted from the scope of the ban established by this part 
1303, provided:
    (1) That these products bear on the main panel of their label, in 
addition to any labeling that may be otherwise required, the signal word 
``Warning'' (unless some other signal word is required) and the 
following statement: ``Contains Lead. Dried Film of This Paint May Be 
Harmful If Eaten or Chewed.''
    (2)(i) That these products also bear on their label the following 
additional statement or its practical equivalent:
    Do not apply on toys and other children's articles, furniture, or 
interior surfaces of any dwelling or facility which may be occupied or 
used by children.
    Do not apply on exterior surfaces of dwelling units, such as window 
sills, porches, stairs, or railings, to which children may be commonly 
exposed.
    Keep out of reach of children.
    (ii) If the statement required by the preceding paragraph (a)(2)(i) 
is placed on a label panel other than the main panel, the label 
statement required to be on the main panel by paragraph (a)(1) of this 
section shall contain the following additional statement: ``See other 
cautions on -- (insert `side' or `back', as appropriate) panel.''
    (3) That the placement, conspicuousness, and contrast of the label 
statements required by this section (a) comply with the requirements of 
the Federal Hazardous Substances Act at 16 CFR 1500.121.
    (b) The following products are exempt from the scope of the ban 
established by this part 1303, provided they comply with the 
requirements of paragraph (a) of this section:
    (1) Agricultural and industrial equipment refinish coatings.

[[Page 378]]

    (2) Industrial (and commercial) building and equipment maintenance 
coatings, including traffic and safety marking coatings.
    (3) Graphic art coatings (i.e., products marketed solely for 
application on billboards, road signs, and similar uses and for 
identification marking in industrial buildings).
    (4) Touchup coatings for agricultural equipment, lawn and garden 
equipment, and appliances.
    (5) Catalyzed coatings marketed solely for use on radio-controlled 
model powered aircraft.
    (c) The following products are exempt from the scope of the ban 
established by part 1303 (no cautionary labeling is required):
    (1) Mirrors which are part of furniture articles to the extent that 
they bear lead-containing backing paint.
    (2) Artists' paints and related materials.
    (3) Metal furniture articles (but not metal children's furniture) 
bearing factory-applied (lead) coatings.

[42 FR 44199, Sept. 1, 1977, as amended at 43 FR 8515, Mar. 2, 1978]



Sec. 1303.4  Banned hazardous products.

    The following consumer products, manufactured after February 27, 
1978, unless exempted by Sec. 1303.3, are banned hazardous products (see 
definitions in Sec. 1303.2):
    (a) Paint and other similar surface-coating materials which are 
``lead-containing paint.''
    (b) Toys and other articles intended for use by children that bear 
``lead-containing paint.''
    (c) Furniture articles that bear ``lead-containing paint.''



Sec. 1303.5  Findings.

    (a) The degree and nature of the risk of injury. (1) The Commission 
finds that the risk of injury which this regulation is designed to 
eliminate or reduce is lead poisoning in children. The adverse effects 
of this poisoning in children can cause a range of disorders such as 
hyperactivity, slowed learning ability, withdrawal, blindness, and even 
death. The final Environmental Impact Statement on Lead in Paint which 
is on file with the President's Council on Environmental Quality (and 
available for inspection in the Office of the Secretary) contains in 
appendix A a detailed discussion of the health effects of lead in paint. 
These effects will only be summarized here.
    (2) Lead is a cumulative toxic heavy metal which, in humans, exerts 
its effects on the renal, hematopoietic, and nervous systems. Newer 
concepts indicate that there are three stages to childhood lead 
poisoning. The adverse health effects in the first stage are not 
clinically present but metabolic changes can be observed. During the 
second stage or symptomatic stage such symptoms as loss of appetite, 
vomiting, apathy, drowsiness, and inability to coordinate voluntary 
muscle movements occur. The after effects of this stage include seizure 
disorders as well as various behavioral and functional disorders which 
are often included under the heading of minimal brain dysfunction. 
Studies suggest that this syndrome may include hyperactivity, impulsive 
behavior, prolonged reaction time, perceptual disorders and slowed 
learning ability. The adverse health effects of the third stage may be 
permanent and can include blindness, mental retardation, behavior 
disorders, and death.
    (3) The Commission notes that children with pica are of special 
concern with regard to lead poisoning. Pica, the repetitive ingestion of 
nonfood substances, occurs in 50 percent of children between the ages of 
one and three, and studies indicate that at this age lead is absorbed 
more rapidly than lead is absorbed in adults. Pica for paint is believed 
to be episodic and can occur 2 to 3 times a week.
    (4) The Commission also notes that there are no reports of injuries 
caused by lead paint poisoning in the Commission's National Electronic 
Injury Surveillance System (NEISS) data, which reflect hospital 
emergency room treatment. Lead paint poisonings result from a chronic 
hazard rather than from an acute hazard of the type generally treated in 
emergency rooms; and NEISS reporting, therefore, does not reflect this 
type of chronic hazard or injuries.
    (5) Former U.S. Surgeon-General Jesse L. Steinfeld, however, 
estimated in 1971 that 400,000 pre-school American

[[Page 379]]

children have elevated body lead burdens. The National Bureau of 
Standards in 1972 estimated that 600,000 young children have unduly high 
lead blood content.
    (b) Products subject to this ban. (1) The products banned by this 
rule are listed in Sec. 1303.4.
    (2) The term paint comprises a variety of coating materials such as 
interior and exterior household paints, varnishes, lacquers, stains, 
enamels, primers, and similar coatings formulated for use on various 
surfaces. Based on 1976 data, the Commission estimates that over 400 
million gallons of paint a year valued at approximately $2.5 billion 
could potentially be subject to this rule.
    (3) All products commonly known as toys and other articles intended 
for the use of children are subject to this rule. The categories of 
products within this classification are numerous and include items and 
equipment for play, amusement, education, physical fitness, and care of 
children. Retail sales in 1976 of products considered to be toys or 
other articles intended for use of children are estimated at around $4 
billion.
    (4) For the purposes of this rule, furniture articles are certain 
movable articles used to support people or things or other functional or 
decorative furniture articles such as couches, beds, tables, chairs, 
chests, and the like. Appliances and similar equipment, household 
fixtures, and certain other household items such as window shades, 
blinds, wall hangings, and the like are not included within the 
definition of furniture. The regulation applies to furniture for use in 
households, schools, in recreation, or otherwise. In 1972, the value of 
shipments of items of furniture such as those named above was as 
follows: wood household furniture $2,716 million; metal household 
furniture $859 million; wood television and radio cabinets $293 million; 
and $190 million for other household furniture made of plastic, reed and 
rattan. (Not included in the above are some $2 billion worth of 
upholstered furniture and $300 million in convertible sofas, chair beds 
and studio couches.)
    (c) Need of the public for the products and effects of the rule on 
their utility, cost, and availability. (1) The public need for paints of 
various types and for furniture and other articles is substantial and 
well established. The Commission finds that the need of the public for 
paint containing more than 0.06 percent lead or for the affected 
products that are coated with materials containing more than 0.06 
percent lead is limited. The Commission has determined that there are 
products containing more than the 0.06 percent level of lead which meet 
a public need and for which substitutes are either not available or are 
not sufficiently effective and to which access by children to the 
coatings or the surfaces to which they are applied is unlikely. 
Accordingly, these products have been specifically exempted from the 
scope of the regulation in Sec. 1303.3.
    (2) The Commission finds that the effects of this rule on the cost, 
utility, and availability of paints and painted articles will be small. 
The Commission notes that over 95 percent of latex-based and nearly 70 
percent of oil-based paints have lead levels at or below the level set 
by part 1303.
    (i) Costs. The Commission estimates that the added costs to the 
consumer for paints affected by this rule will not exceed 5 to 10 cents 
per gallon. Costs to consumers for furniture and for toys and other 
articles intended for the use of children are not expected to increase 
as the result of compliance with the regulation.
    (ii) Utility. The Commission finds that for water-based or latex 
paints and coatings subject to this rule, reducing the amount of 
allowable lead to 0.06 percent will not have adverse effects on their 
utility. For certain solvent-thinned coatings, however, lead driers will 
have to be replaced by non-lead driers such as zirconium to comply with 
the 0.06 percent level (Driers are not used in latex paints). An impact 
on the paint industry may result because current nonlead driers may not 
dry satisfactorily in low temperatures or high humidity conditions, and 
so the painting industry in some areas at certain times of the year may 
suffer a reduction of effective painting time.
    (iii) Availability. Substitutes at comparable prices are available 
for paints and for products banned by this rule.

[[Page 380]]

The Commission believes that the reduction of lead to a level of 0.06 
percent will not affect the availabilty of water-based or latex paints. 
Sales of such coatings currently exceed sales of solvent-based coatings, 
and because of the drying problem mentioned above, the trend toward 
increased use of water-based paints may be accelerated somewhat by the 
effects of the ban.
    (d) Alternatives. (1) The Commission has considered other means of 
achieving the objective of this rule, but has found none that would 
cause less disruption or dislocation of manufacturing and other 
commercial practices, consistent with public health and safety.
    (2) The Commission estimates that this ban may, because of testing 
costs and the necessity for improved housekeeping practices in the 
manufacture of paint and similar surface-coating materials to prevent 
lead contaimination, have some relatively minor adverse effect on 
individual firms within some markets.
    (3) The Commission, however, finds that competition will not be 
adversely affected by this rule. Although costs of reformulation and 
testing may be relatively higher for small manufacturers than large 
manufacturers, these costs are not so onerous as to lead to greater 
concentration in the industry. The period of time before the effective 
date is sufficient to minimize problems of compliance with the rule.
    (4) The reduction of the permissible level of lead in paint will 
affect paint manufacturers, raw materials suppliers, professional and 
non-professional painters, and manufacturers of furniture and children's 
articles. For those producers of paint which are already subject to the 
regulations under the Federal Hazardous Substances Act (FHSA), the 
impact of this CPSA ban will involve only a change to non-lead driers 
since lead pigments are precluded from practical use under the 0.5 
percent lead restriction now in effect under the FHSA (16 CFR 
1500.17(a)(6)). The manufacturers of some painted furniture who were not 
affected by the 0.5 percent limit under the FHSA may now be, if they use 
lead pigments or driers. Producers of children's articles who were 
subject to the 0.5 percent FHSA limit will have to ensure that the paint 
they use conforms to the 0.06 percent level.
    (e) Conclusion. The Commission finds that this rule, including its 
effective date, is reasonably necessary to eliminate or reduce the 
unreasonable risk of lead poisoning of young children that is associated 
with the banned products which are described in Sec. 1303.4 and that 
promulgation of the rule is in the public interest.



PART 1304--BAN OF CONSUMER PATCHING COMPOUNDS CONTAINING RESPIRABLE FREE-FORM ASBESTOS--Table of Contents




Sec.
1304.1 Scope and application.
1304.2 Purpose.
1304.3 Definitions.
1304.4 Consumer patching compounds as banned hazardous products.
1304.5 Findings.

    Authority: Secs. 8, 9, 86 Stat. 1215-1217, as amended 90 Stat. 506, 
15 U.S.C. 2057, 2058.

    Source: 42 FR 63362, Dec. 15, 1977, unless otherwise noted.



Sec. 1304.1  Scope and application.

    (a) In this part 1304 the Consumer Product Safety Commission 
declares that consumer patching compounds containing intentionally-added 
respirable freeform asbestos in such a manner that the asbestos fibers 
can become airborne under reasonably foreseeable conditions of use, are 
banned hazardous products under sections 8 and 9 of the Consumer Product 
Safety Act (CPSA) (15 U.S.C. 2057 and 2058). This ban applies to 
patching compounds which are (1) used to cover, seal or mask cracks, 
joints, holes and similar openings in the trim, walls, ceiling, etc. of 
building interiors, which after drying are sanded to a smooth finish and 
(2) are produced and distributed for sale to or for the personal use, 
consumption or enjoyment of a consumer in or around a permanent or 
temporary household or residence, a school, in recreation or otherwise.
    (b) The Commission has found that (1) these patching compounds are 
being or will be distributed in commerce; (2) that they present an 
unreasonable risk

[[Page 381]]

of injury; and (3) that no feasible consumer product safety standard 
under the CPSA would adequately protect the public from the unreasonable 
risk of injury associated with these products. This rule applies to the 
banned hazardous products defined in Sec. 1304.3 and described further 
in Sec. 1304.4.
    (c) Only consumer products are subject to this regulation. Patching 
compounds which are consumer products include those which a consumer can 
purchase. Merely labeling a patching compound for industrial use would 
not exclude such articles from the ban. If the sale or use of the 
product by consumers is facilitated, it is subject to the ban. Patching 
compounds which are labeled as, marketed, and sold solely for industrial 
use in non-consumer environments are not subject to the ban. In addition 
to those products which can be sold directly to consumers, the ban 
applies to patching compounds containing respirable free-form asbestos 
which are used in residences, schools, hospitals, public buildings or 
other areas where consumers have customary access.



Sec. 1304.2  Purpose.

    The purpose of this rule is to ban consumer patching compounds 
containing intentionally added respirable, free-form asbestos. These 
products present an unreasonable risk of injury due to inhalation of 
fibers which increase the risk of developing cancer, including lung 
cancer and mesothelioma, diseases which have been demonstrated to be 
caused by exposure to asbestos fibers.



Sec. 1304.3  Definitions.

    (a) The definitions in section 3 of the Consumer Product Safety Act 
(15 U.S.C. 2052) apply to this part 1304.
    (b) Asbestos means a group of mineral fibers composed of hydrated 
silicates, oxygen, hydrogen, and other elements such as sodium, iron, 
magnesium, and calcium in diverse combinations and are: Amosite, 
chrysotile, crocidolite, anthophyllite asbestos, actinolite asbestos, 
and tremolite asbestos.
    (c) Free-form asbestos is that which is not bound, or otherwise 
``locked-in'' to a product by resins or other bonding agents, or which 
can readily become airborne with any reasonably foreseeable use.
    (d) Patching compounds are mixtures of talc, pigments, clays, 
casein, ground marble, mica or other similar materials and a binding 
material such as asbestos which are sold in a dry form ready to be mixed 
with water, or such combinations in ready-mix paste form.
    (e) Consumer patching compounds are those that are customarily 
produced or distributed for sale to or for the personal use, consumption 
or enjoyment of consumers in or around a permanent or temporary 
household or residence, a school, in recreation or otherwise. The 
Commission considers that patching compounds for application in these 
consumer environments are either distributed for sale to or are for the 
personal use or enjoyment of consumers.
    (f) Intentionally-added asbestos is asbestos which is (1) added 
deliberately as an ingredient intended to impart specific 
characteristics; or, (2) contained in the final product as the result of 
knowingly using a raw material containing asbestos. Whenever a 
manufacturer finds out that the finished product contains asbestos, the 
manufacturer will be considered as knowingly using a raw material 
containing asbestos, unless the manufacturer takes steps to reduce the 
asbestos to the maximum extent feasible.
    (g) Initial introduction into commerce occurs when the manufacturer 
ships a product covered by this regulation from a facility of the 
manufacturer to a distributor, retailer, or user.



Sec. 1304.4  Consumer patching compounds as banned hazardous products.

    On the basis that airborne asbestos fibers present the hazards of 
cancer, including lung cancer and mesothelioma to the public, consumer 
patching compounds containing intentionally-added, respirable free-form 
asbestos, which have been manufactured or initially introduced into 
commerce after January 16, 1978, are banned hazardous products. In 
addition, all other consumer patching compounds containing 
intentionally-added, respirable free-form asbestos, no matter when 
manufactured or initially introduced into commerce,

[[Page 382]]

are banned hazardous products after June 11, 1978.



Sec. 1304.5  Findings.

    (a) The degree and nature of the risk of injury. The Commission 
finds that the risk of injury which this regulation is designed to 
eliminate or reduce is from cancer, including lung cancer and 
mesothelioma. In assessing the degree and nature of the risk of injury 
to consumers, the Commission has reviewed experimental data and human 
experience information. The Commission noted that in the scientific 
literature, there is general agreement that there is no known threshold 
level below which exposure to respirable free-form asbestos would be 
considered safe. Further, on the basis of such scientific opinion, it 
appears to the Commission that children are particularly vulnerable to 
carcinogens because of their longer potential lifetime and their rapid 
rate of growth. In areas of the country where asbestos may not be 
prevalent in the environment, the major risk of exposure for children 
and others may occur in the household. In areas of the country where 
more asbestos fibers are present in the environment, the public is 
exposed to additional risks from the presence of asbestos fibers in 
households and other consumer environments. The Commission concluded on 
the basis of these factors that consumer patching compounds containing 
respirable free-form asbestos present an unreasonable risk of injury to 
the public. In addition, a risk assessment was made. For purposes of 
this assessment, the Commission considered the use of patching compounds 
by the consumer, for six hours a day four times a year, to be a high yet 
reasonably foreseeable exposure. The increased risk of death from 
respiratory cancer induced by this exposure is estimated at between 10 
and 2,000 per million. For five years of exposure at these levels, the 
risk increases geometrically and is estimated at between 1,000 and 
12,000 per million. The lower estimate of 10 per million is closer to 
the actual risk for a one-year exposure. Nevertheless, in view of the 
seriousness of the injury and the cumulative effects of asbestos 
exposure, even this minimum figure represents an unacceptable risk. The 
Commission believes that reducing exposure to respirable free-form 
asbestos in the home represents a substantial decrease in risk to 
consumers, since, for many people, the major exposure to inhalable 
asbestos is in the home.
    (b) Products subject to the ban. Consumer patching compounds as 
defined in Sec. 1034.3 (d), (e), (f) includes such products as drywall 
spackling compounds and tape joint compounds (commonly known as ``joint 
cement'' or ``tape joint mud''). The Commission estimates annual 
shipments of patching compounds subject to the ban at approximately 30-
50 million ``units,'' or individual packages, of various sizes from 0.5 
to 25 pounds (dry) or 0.5 to 5 gallons (wet). The Commission believes 
that about half the patching compounds sold in 1977, and intended for 
sale to or use or enjoyment by consumers, were formulated with asbestos. 
Many others containing significant levels of asbestos contamination will 
also be affected by the ban.
    (c) Need of the public for the products and effects of the rule on 
their utility, cost and availability. Patching compounds, though used 
primarily by commercial construction workers, are also used by 
consumers, and are used for the patching and sealing of cracks and 
joints in and around the household and in other consumer environments 
either by consumers or professional applicators. The compounds are used 
to cover areas on gypsum drywall which might otherwise be aesthetically 
undesirable or which might lead to structural damage, energy loss or 
lower property value. The asbestos in these compounds acts as a 
structural reinforcing agent which helps to reduce cracking and 
shrinkage of the compound over time, and which renders the compound more 
pliable or ``workable'' upon application.
    (1) Utility. The elimination of asbestos from these products may 
result in the increased use or new development of substitutes which have 
similar properties to those of asbestos, or which impart similar 
qualities to the product. In current reformulations, asbestos is 
replaced by a combination of substances, of which the most common is 
attapulgite, a fibrous clay. Some non-

[[Page 383]]

asbestos formulations are reportedly not as effective as those 
containing asbestos in controlling shrinkage and cracking over time. The 
workability of some compounds may be diminished as well. This may 
adversely affect the utility derived from the product by consumers, and 
by professional contractors until such time as improved formulations are 
developed and available to end-users.
    (2) Cost. Asbestos-free patching compound formulations may require 
more time to use. This would tend to increase the direct labor costs of 
residential and other construction and renovation. The expected increase 
is between 10 and 25 percent. The Commission estimates that the annual 
labor cost of drywall finishing in these consumer environments is on the 
order of $1 billion. The use of nonasbestos patching compound 
formulations in all applications may increase this cost by $50-$125 
million, assuming that roughly half the current labor costs (i.e., that 
portion now associated with the use of asbestos formulations) are 
affected by the 10-25 percent increase. The burden of this cost is 
expected to fall directly on owners of existing homes who may engage in 
some renovation, and on purchasers of newly-renovated or newly-
constructed homes. These increased costs are expected to diminish over 
time as formulations improve and as applicators become more accustomed 
to using nonasbestos formulations. The use of asbestos substitutes may 
also lead to cost increases in the manufacture of patching compounds. 
The Commission estimates this cost, which may vary widely from firm to 
firm, at an average of 5-15 percent. This is made up primarily of 
increased costs of raw materials and of formulation research and 
development. It is expected that the price of many patching compounds 
may rise as a result. Producers, distributors, and retailers of patching 
compounds may also have to incur costs associated with the disposal of 
products in inventory. The Commission estimates that the wholesale value 
of manufacturers' and distributors' inventories at the time the ban 
becomes effective will be approximately $15 million. These costs may be 
reflected in the prices charged for asbestos-free patching compound 
formulations, and in the prices of other drywall and paint products. It 
appears that, because of competitive pressure from asbestos-containing 
compounds, producers of asbestos-free formulations have not yet passed 
on to purchasers their increased costs. If the increased production 
costs of asbestos-free formulations can be passed on completely as a 
result of the ban, the total annual price effect for the year following 
the issuance of the ban may be $10-$60 million. The magnitude of this 
effect may be reduced significantly in successive years following the 
issuance of the ban as producers' development costs are amortized, as 
raw materials become more widely available, and as price competition is 
strengthened because of market pressure and economies of sale associated 
with production.
    (3) Availability. The supply of asbestos substitutes, particularly 
attapulgite clay and relatively uncontaminated talc, for use in the 
manufacture of patching compounds may be insufficient to meet the short-
run demand which is expected to be stimulated by the promulgation of the 
ban. Further, many small producers probably lack the technical 
capability to reformulate their products, and may be forced to cease 
production, at least until formulations of satisfactory cost and 
performance are developed. This may affect some professional 
contractors. In the short run, consumers may be indirectly affected by 
delays in drywall finishing and building completion.
    (d) Any means of achieving the objective of the ban while minimizing 
adverse effects on competition or disruption or dislocation of 
manufacturing and other commercial practices consistent with the public 
health and safety. The adverse effects of the ban on patching compounds 
containing asbestos is reduced by limiting the ban to intentionally 
added asbestos. Other alternatives such as limiting the scope of the ban 
only to products purchased and used by consumers or to issuing a ban 
with a later effective date, were considered by the Commission. However, 
none was found that would cause less disruption or dislocation of 
manufacturing and other commercial practices, consistent with public 
health and safety.

[[Page 384]]



PART 1305--BAN OF ARTIFICIAL EMBERIZING MATERIALS (ASH AND EMBERS) CONTAINING RESPIRABLE FREE-FORM ASBESTOS--Table of Contents




Sec.
1305.1 Scope and application.
1305.2 Purpose.
1305.3 Definitions.
1305.4 Artificial fireplace ash and embers as banned hazardous products.
1305.5 Findings.

    Authority: Secs. 8, 9, 30(d), Pub. L. 92-573, as amended, Pub. L. 
94-284; 86 Stat. 1215-17, as amended, 90 Stat. 506 (15 U.S.C. 2057, 
2058).

    Source: 42 FR 63364, Dec. 15, 1977, unless otherwise noted.



Sec. 1305.1  Scope and application.

    In this part 1305 the Consumer Product Safety Commission declares 
that artificial emberizing materials (ash and embers) containing 
respirable free-form asbestos generally packaged in an emberizing kit 
for use in fireplaces, and designed for use in such a manner that the 
asbestos fibers can become airborne under reasonably foreseeable 
conditions of use are banned hazardous products under sections 8 and 9 
of the Consumer Product Safety Act (CPSA) (15 U.S.C. 2057 and 2058). 
This ban applies to artificial emberizing materials available in 
separate kits or with artificial fireplace logs for use in fireplaces 
and sprinkled or coated by consumers on the artificial logs to simulate 
live embers and ashes and give a glowing appearance when subjected to 
high temperatures. Bags of material containing asbestos that are sold 
separately to be sprinkled on and under artificial logs to simulate 
burning and glowing ashes also come within the scope of this ban.



Sec. 1305.2  Purpose.

    The purpose of this rule is to ban artificial emberizing materials 
containing respirable free-form asbestos. These products present an 
unreasonable risk of injury due to inhalation of fibers which increase 
the risk of developing cancers such as lung cancer and mesothelioma, 
diseases which have been demonstrated to be caused by exposure to 
asbestos fibers.



Sec. 1305.3  Definitions.

    (a) The definitions in section 3 of the Consumer Product Safety Act 
(15 U.S.C. 2052) apply to this part 1305.
    (b) Asbestos means a group of mineral fibers composed of hydrated 
silicates, oxygen, hydrogen and other elements such as sodium, iron, 
magnesium and calcium in diverse combinations and are: Amosite, 
chrysotile, crocidolite, anthophyllite asbestos, actinolite asbestos, 
and tremolite asbestos.
    (c) Free-form asbestos is that which is not bound, woven, or 
otherwise ``locked-in'' to a product by resins or other bonding agents, 
or those from which fibers can readily become airborne with any 
reasonably foreseeable use.
    (d) Emberizing materials means an asbestos-containing material 
generally packed in an ``emberizing'' kit to be placed under artificial 
logs in gas-burning fireplace systems or in artificial fireplaces for 
decorative purposes. The product is also glued to artificial logs, 
either at a factory or by a consumer using an emberizing kit. (Synthetic 
logs manufactured of cellulostic products which are consumed by flames 
are not included in this definition. Electric artificial logs and 
artificial ash beds used in electric fireplaces, which do not contain 
respirable free-form asbestos are not included in this definition.)



Sec. 1305.4  Artificial fireplace ash and embers as banned hazardous products.

    On the basis that airborne asbestos fibers present the hazards of 
cancer such as lung cancer and mesothelioma to the public, artificial 
fireplace ash and embers containings respirable free-form asbestos are 
banned hazardous products.



Sec. 1305.5  Findings.

    (a) The degree and nature of the risk of injury. The Commission 
finds that the risk of injury which this regulation is designed to 
eliminate or reduce is from cancer, including lung cancer and 
mesothelioma. Measurements are not available of the amounts of asbestos 
in the air from asbestos-containing

[[Page 385]]

emberizing materials in homes. However, it appears that the amount of 
airborne asbestos in such homes would increase when air currents in the 
home are created by downdrafts from a fireplace chimney or other 
activities that stir air in any room. Since emberizing materials may 
contain up to 50 percent asbestos, which if not permanently bound into 
artificial fireplace logs would be in respirable form, the risk 
associated with emberizing materials is considerable, especially since 
it continues to exist 24 hours a day.
    (b) Products subject to the ban. Artificial emberizing materials are 
decorative simulated ashes or embers, used in certain gas-buring 
fireplace systems, which glow to give the appearance of real burning 
embers. The material is sprinkled on or glued to gas logs, or sprinkled 
on fireplace floors.
    (c) Need of the public for the products and effects of the rule on 
their utility, cost, and availability. Artificial fireplace emberizing 
material serves a strictly decorative purpose and does not materially 
affect the actual performance of the fireplace gas system in terms of 
its ability to provide heat. A certain degree of aesthetic desirability 
exists, however, since the product ``system'' itself (the gas log, 
ashes, and embers) is intended to simulate burning wooden logs. Gas logs 
may be sold with artificial emberizing material attached at the factory 
(the log commonly referred to as being ``frosted''), or with the 
``embers'' in a separate kit, often mixed with simulated ``ashes.'' 
Virtually all gas logs are either frosted or packaged with an emberizing 
kit; however, the majority of gas logs produced in 1977 were packaged 
with non-asbestos-containing emberizing kits. The Commission estimates 
annual sales of artificial gas logs at approximately 100,000 units. Some 
25,000-30,000 of these would be subject to the ban. Approximately 
100,000 gas logs frosted or treated by consumers with asbestos are 
estimated to be in existence. The Commission believes that the majority 
of gas logs are sold with emberizing kits; this gives the consumer a 
choice as to whether or not to use the artificial embers and ashes.
    (1) Utility. Manufacturers of artificial gas log emberizing material 
are currently using four substitutes for asbestos in their products: 
vermiculite, rock wool, mica, and a synthetic fiber. None of the four is 
claimed to be as aesthetically effective as asbestos. Thus, the utility 
derived by consumers from some gas-burning fireplace systems may be 
adversely affected.
    (2) Cost. No effect on the overall price level of gas logs is 
anticipated as a result of the ban. The average price of emberizing kits 
may rise somewhat; the Commission estimates the total price effect of 
the ban on consumers at under $25,000.
    (3) Availability. The Commission believes that all producers of 
artificial emberizing material will have eliminated asbestos from their 
products by the time the ban becomes effective. No significant impact on 
the availability of asbestos substitutes to producers nor on the 
availability of gas logs or emberizing kits to retail dealers and 
consumers is expected as a result of the ban.
    (d) Any means of achieving the objective of the ban while minimizing 
adverse effects on competition or disruption or dislocation of 
manufacturing and other commercial practices consistent with the public 
health and safety. The Commission believes that there will be minimal 
disruption to the market for artificial emberizing materials as a 
consequence of the ban and that no further reduction in adverse effects 
is feasible.



PART 1306--BAN OF HAZARDOUS LAWN DARTS--Table of Contents




Sec.
1306.1 Scope and application.
1306.2 Purpose.
1306.3 Banned hazardous products.
1306.4 Findings.
1306.5 Effective date.

    Authority: 15 U.S.C. 2058-2060.

    Source: 53 FR 46839, Nov. 18, 1988, unless otherwise noted.



Sec. 1306.1  Scope and application.

    (a) In this part 1306, the Commission declares lawn darts, described 
in Sec. 1306.3, to be banned hazardous products.
    (b) Lawn darts and similar products that are articles intended for 
use by children are not covered by this ban,

[[Page 386]]

but are banned under the Federal Hazardous Substances Act at 16 CFR 
1500.18(a)(4).



Sec. 1306.2  Purpose.

    The purpose of this rule is to prohibit the sale of lawn darts, 
which have been found to present an unreasonable risk of skull puncture 
injuries to children.



Sec. 1306.3  Banned hazardous products.

    Any lawn dart is a banned hazardous product.



Sec. 1306.4  Findings.

    (a) The Commission has found that lawn darts are being distributed 
in commerce and present an unreasonable risk of injury.
    (b) The degree and nature of the risk of injury. (1) The risk that 
the Commission intends to address in this proceeding is that of puncture 
of the skulls of children caused by lawn darts being used by children. 
The potential for these devices to cause these types of injuries is not 
necessarily obvious to parents or other adults who might buy these items 
or allow their children to play with them, much less to the children 
themselves. This is because the tips do not appear sharp enough to 
present an obvious danger of puncture. The combined factors of weight, 
the narrow elongated shaft, the speed that the dart is traveling at the 
time of impact, and the thickness of the child's skull at the point of 
impact present the risk. The Commission has concluded that all lawn 
darts have the potential for skull puncture during reasonably 
foreseeable use or misuse.
    (2) Because all lawn darts are being banned, the elimination of lawn 
darts that can cause skull puncture injuries will also eliminate the 
punctures of other parts of the body, as well as the lacerations, 
fractures, and other injuries that have been associated with lawn darts 
in the past. The Commission's staff estimates that about 670 injuries 
from lawn darts are treated in U.S. hospital emergency rooms per year. 
About 40 percent of these are puncture wounds. Approximately 57 percent 
of the injuries involved the head, face, eye, or ear. Approximately 4 
percent of the injured victims were hospitalized (on the average, 
approximately 25 per year), including all of the injuries reported as 
fractures. Over 75 percent of the victims were under age 15; about 50 
percent of the victims were under age 10. In addition, Commission 
records dating back to 1970 show that at least three children have been 
killed by injuries associated with lawn darts. These children were 4, 7, 
and 13 years old. In the 25 lawn dart injury reports for which 
information about the user of the lawn darts was available, the reports 
indicated that children were playing with the lawn darts, despite the 
ban and exemption which were developed to keep the product out of the 
hands of children.
    (c) Products subject to this ban. (1) Lawn darts are devices with 
elongated tips that are intended to be used outdoors and that are 
designed so that when they are thrown into the air they will contact the 
ground tip first. Often, lawn darts are used in a game where the darts 
are thrown at a target or other feature on the ground. The types of lawn 
darts that have generally been available in the past and that have 
demonstrated their ability to cause skull puncture injuries typically 
have a metal or weighted plastic body, on the front of which is an 
elongated metal shaft about \1/4\ inch in diameter. These darts have a 
shaft on the rear of the body containing plastic fins. These darts are 
about a foot in length and weigh about one quarter to one half pound. 
These darts are intended to stick in the ground when thrown. Prior to 
this rule, annual sales of these lawn darts were estimated at 1-1.5 
million units.
    (2) The definition for lawn darts in this rule is not intended to 
include arrows or horseshoes, nor is it intended to apply to indoor dart 
games that use a vertically-placed target, such as ``English darts'' or 
``American darts.''
    (d) The need of the public for lawn darts, and the effects of the 
rule on their utility, cost, and availability. The need of the public 
for lawn darts is for recreational enjoyment. Substitute recreational 
enjoyment can be obtained from other products. Lawn darts will not be 
available through commercial channels after the effective date of the 
ban.

[[Page 387]]

    (e) Alternatives. (1) The Commission considered various labeling 
requirements and limitations on the marketing of lawn darts that would 
be intended to discourage the marketing of the product to children and 
the use of the product by children. The Commission concluded, however, 
that these types of requirements would not preclude substantial use of 
the product by children and would not reduce adequately the risk of 
injury addressed by this rule.
    (2) The Commission also considered the possibility of performance 
requirements for lawn darts to determine which lawn darts present an 
unreasonable risk of injury of skull penetration to children, but such 
requirements were determined not to be feasible.
    (f) Conclusion. The Commission finds:
    (1) That this rule, including its effective date, is reasonably 
necessary to eliminate or adequately reduce the unreasonable risk of 
skull puncture wounds to children associated with lawn darts and will 
also eliminate or reduce the other injuries, including puncture wounds, 
that have been associated with this product.
    (2) That issuance of the rule is in the public interest.
    (3) That no feasible consumer product safety standard would 
adequately protect the public from the unreasonable risk associated with 
lawn darts.
    (4) That the benefits expected from this rule bear a reasonable 
relationship to its costs.
    (5) That the rule imposes the least burdensome requirement which 
prevents or adequately reduces the risk of injury for which the rule is 
being promulgated.



Sec. 1306.5  Effective date.

    This rule is effective December 19, 1988 and applies to all lawn 
darts in the chain of distribution on or after that date.



   PART 1401--SELF PRESSURIZED CONSUMER PRODUCTS CONTAINING 

CHLOROFLUOROCARBONS: REQUIREMENTS TO PROVIDE THE COMMISSION WITH 

PERFORMANCE AND TECHNICAL DATA;  
REQUIREMENTS TO NOTIFY CONSUMERS AT POINT OF PURCHASE OF 

PERFORMANCE AND TECHNICAL DATA--Table of Contents




Sec.
1401.1 Scope.
1401.2 Purpose.
1401.3 Definitions.
1401.4 [Reserved]
1401.5 Providing performance and technical data to purchasers by 
          labeling.
1401.6 Effective date.

    Authority: Secs. 2(b), 27(e), Pub. L. 92-573, 86 Stat. 1208, 1228 
(15 U.S.C. 2051(b), 2076(e)).

    Source: 42 FR 42783, Aug. 24, 1977, unless otherwise noted.



Sec. 1401.1  Scope.

    This part 1401 establishes requirements under section 27(e) of the 
Consumer Product Safety Act (15 U.S.C. 2076(e)) for marketers and 
importers of self-pressurized consumer products that contain 
chlorofluorocarbons as propellants to provide notification of certain 
performance and technical data to prospective purchasers of such 
products at the time of original purchase and to the first purchaser of 
such products for purposes other than resale. The notification shall 
consist of a label on the product stating that it contains a 
chlorofluorocarbon that may harm the public health and environment by 
reducing the ozone in the upper atmosphere. Also, manufacturers and 
importers must provide the commission with reports identifying which of 
the self-pressurized consumer products sold by them contain 
chlorofluorocarbon propellants.



Sec. 1401.2  Purpose.

    Chlorofluorocarbons are used as propellants in self-pressurized 
containers of a variety of products subject to the

[[Page 388]]

Commission's jurisdiction. Scientific research has indicated that 
chlorofluorocarbons may pose a risk of depletion of ozone in the 
stratosphere. The stratospheric ozone shield is of great importance in 
protecting life on earth from shortwave ultra-violet rays of the sun. 
Ozone depletion allows more of these rays to reach the earth, and the 
consequences include a possibility of a significant increase in human 
skin cancer and other effects of unknown magnitude on man, animals, and 
plants. Chlorofluorocarbon release may also cause climatic change, both 
by reducing stratospheric ozone and by increasing infrared absorption in 
the atmosphere. The Commission believes that the requirements of this 
part 1401 will enable consumers to make a conscious choice of whether to 
use products that contain chlorofluorocarbon propellants. The Commission 
also believes that these requirements are necessary in order to carry 
out the purposes of the Consumer Product Safety Act of (a) helping to 
protect the public against unreasonable risks of injury associated with 
consumer products and (b) assisting consumers in evaluating the 
comparative safety of consumer products.



Sec. 1401.3  Definitions.

    For the purposes of this part 1401:
    (a) Chlorofluorocarbon means any fully halogenated 
chlorofluoroalkane.
    (b) Finished product means a product which has been completely 
manufactured, packaged, and labeled.
    (c) Initially introduced into interstate commerce means the first 
shipment of the product into interstate commerce by the firm marketing 
the product. There must be both physical movement in interstate commerce 
and passage of title to the product. Thus, mere shipment of a product 
across state lines from a contract filler to the marketer of the product 
would not constitute initial introduction into interstate commerce. All 
products initially introduced into interstate commerce before the 
effective date may continue to be distributed and sold even though they 
do not bear the warning statement.
    (d) Manufacturer means any person who manufactures or imports a 
consumer product. The term includes both a person who manufactures the 
product at the direction of another (such as a contract filler of 
aerosol products) and the person at whose direction the product is 
manufactured (such as the marketer of the brand).
    (e) Propellent means a liquefied or compressed gas in a container, 
where a purpose of the liquefied or compressed gas is to expel material 
from the container. The material to be expelled may be the propellant 
itself and/or a material different from the propellent.
    (f) The definitions given in section 3 of the Consumer Product 
Safety Act (15 U.S.C. 2052) shall, where applicable, apply to this part 
1401.



Sec. 1401.4  [Reserved]



Sec. 1401.5  Providing performance and technical data to purchasers by labeling.

    (a) Manufacturers of self-pressurized consumer products containing a 
chlorofluorocarbon propellant shall provide performance and technical 
data concerning such products that they import or initially introduce 
into interstate commerce after February 19, 1978, to prospective 
purchasers at the time of original purchase and to the first purchaser 
for purposes other than resale. The data shall consist of the following 
identification and warning statement: ``WARNING--Contains a 
chlorofluorocarbon that may harm the public health and environment by 
reducing ozone in the upper atmosphere.''
    (b) The identification and warning statement required by paragraph 
(a) of this section shall be in addition to any other required labeling 
and shall be sufficiently prominent and conspicuous as to be likely to 
be read and understood by ordinary individuals under normal conditions 
of purchase. This identification and warning statement shall appear on 
the immediate container of the product and also on any outside container 
or wrapper in which the product is normally offered for sale at retail. 
The identification and warning statement may appear on a firmly affixed 
tag, tape, card, or sticker or similar overlabeling attached to the 
package.

[42 FR 42783, Aug. 24, 1977; 42 FR 46285, Sept. 15, 1977]

[[Page 389]]



Sec. 1401.6  Effective date.

    This part becomes effective February 20, 1978.



PART 1402--CB BASE STATION ANTENNAS, TV ANTENNAS, AND SUPPORTING STRUCTURES--Table of Contents




Sec.
1402.1 Scope.
1402.2 Background.
1402.3 Definitions.
1402.4 Requirements to provide performance and technical data by 
          labeling and instructions.

Appendix I to Part 1402--Recommended Outline for Instruction Booklet on 
          ``How To Safely Install Your CB Base Station Antenna''

    Authority: 15 U.S.C. 2051, 2076.

    Source: 43 FR 28392, June 29, 1978, unless otherwise noted.



Sec. 1402.1  Scope.

    (a) This part 1402 requires manufacturers (including importers) of 
Citizens Band (CB) base station antennas, outdoor television (TV) 
antennas, and their supporting structures to provide notification of 
ways to avoid the hazard of electrocution which exists when these 
products are allowed to come near powerlines while the antennas are 
being put up or taken down. The notification must be provided to (1) 
prospective purchasers of such products at the time of original purchase 
and (2) the first purchaser of such products for purposes other than 
resale. The notification consists of instructions to accompany the 
products, warning labels on the products, and warning statements on the 
packaging or parts container. Samples of the instructions, labels, and 
warning statements must also be provided to the Consumer Product Safety 
Commission.
    (b) This part 1402 applies to any of the following that are 
``consumer products'' as defined in section 3 of the Consumer Product 
Safety Act (15 U.S.C. 2052) and that are manufactured or imported, or 
packaged or sold by the manufacturer or importer, after September 26, 
1978.
    (1) Antennas designed or intended to be used as outdoor CB base 
station antennas (referred to in this rule as ``CB base station 
antennas'').
    (2) Antennas designed or intended to be used as outdoor TV receiving 
antennas (referred to in this rule as ``TV antennas'').
    (3) Antenna supporting structures, which are elements over 5 feet in 
length that are intended to support these types of antennas at a higher 
elevation. These structures include towers, tripods, and masts. Devices 
which merely secure the antenna in place are not included.

[43 FR 28392, June 29, 1978, as amended at 43 FR 47722, Oct. 17, 1978]



Sec. 1402.2  Background.

    As a result of numerous electrocutions which have occurred when 
consumers contacted powerlines with CB base station and outside TV 
antennas while putting these antennas up or taking them down, the 
Consumer Product Safety Commission has determined that it is necessary 
to require that warnings and instructions be furnished with these 
antennas and their supporting structures so that consumers can be made 
aware of the hazards involved and of safe ways to put up and take down 
these antennas. The Commission anticipates that this regulation will 
help protect the public against the unreasonable risk of injury 
associated with CB base station antennas, outside TV antennas, and 
supporting structures due to contact with overhead powerlines.



Sec. 1402.3  Definitions.

    (a) The definitions in section 3 of the Consumer Product Safety Act 
(15 U.S.C. 2052) apply to this part 1402.
    (b) Antenna supporting structures, CB base station antennas, and TV 
antennas are defined in Sec. 1402.1(b)(1) through (3).



Sec. 1402.4  Requirements to provide performance and technical data by labeling and instructions.

    (a) Notice to purchasers. Manufacturers of CB base station antennas, 
TV antennas, and antenna supporting structures shall give notification 
of performance and technical data related to performance and safety to 
prospective purchasers of such products at the time of original purchase 
and to the first purchaser of such product for purposes

[[Page 390]]

other than resale, in the manner set forth below.
    (1) Antennas. CB base station antennas and TV antennas shall be 
provided with the following:
[GRAPHIC] [TIFF OMITTED] TC03OC91.048

    (i) Label. (A) The antenna shall bear the label shown in fig. 1 so 
that the label will be conspicuous to the installer during installation.
    (B) If pipe or tubular nontelescoping masts are a suitable 
supporting structure for the antenna, a separate label as shown in fig. 
1 shall accompany the antenna. The label shall be suitable for mounting 
by the consumer on such a mast.
    (C) The label in figure 1 shall be made and attached in such a 
manner that it will be legible for an average expected life of at least 
3 years.
    (D) The word ``product'' may be substituted for ``antenna'' in the 
label of fig. 1.
    (E)(1) The colors in figure 1 shall conform to ANSI Standard Z53.1-
1971, ``Safety Color Code for Marking Physical Hazards,'' published in 
1971 by the American National Standards Institute, which is incorporated 
by reference. Copies of this document are available from the American 
National Standards Institute, 1430 Broadway, New York, New York 10018. 
This standard is also available for inspection at the Office of the 
Federal Register, 800 North Capitol Street, NW., suite 700, Washington, 
DC. This incorporation by reference was approved by the Director of the 
Federal Register. These materials are incorporated as they exist in the 
edition which has been approved by the Director of the Federal Register 
and which has been filed with the Office of the Federal Register. 
Alternatively, the colors ``red'' and ``yellow'' in figure 1 may conform 
to Color Tolerance Charts, published by the Department of 
Transportation. Copies of the Color Tolerance Charts are available from 
the Office of Hazardous Materials, Department of Transportation, 
Washington, DC 20590. These materials are also available for inspection 
at the Office of the Federal Register, 800 North Capitol Street, NW., 
suite 700, Washington, DC.
    (2) Color limit values shall be determined by ASTM D 1535-68, 
``Specifying Color by the Munsell System,'' published in 1968 by the 
American Society for Testing and Materials. Copies of ASTM D 1535-68 are 
available from the American Society for Testing and Materials, 1916 Race 
Street, Philadelphia, Pennsylvania 19103. These materials are also 
available for inspection at the Office of the Federal Register, 800 
North Capitol Street, NW., suite 700, Washington, DC. This incorporation 
by reference was approved by the Director of the Federal Register. These 
materials are incorporated as they exist in the edition which has been 
approved by the Director of the Federal Register and which has been 
filed with the Office of the Federal Register. Alternatively, color 
limit values for red or yellow may be determined by the Department of 
Transportation Color Tolerance Charts, which display the desired color 
within the tolerance limits.
    (ii) Instructions. CB base station antennas and TV antennas shall be 
accompanied by instructions that include the following:
    (A) The following warning statement, placed on the first page of the 
document(s) containing the instructions and at the beginning of the body 
of the instructions: ``WARNING: INSTALLATION OF THIS PRODUCT NEAR

[[Page 391]]

POWERLINES IS DANGEROUS. FOR YOUR SAFETY, FOLLOW THE INSTALLATION 
DIRECTIONS''. This statement shall be legible and conspicuous and shall 
be in type that is at least as large as the largest type used on the 
remainder of the page, with the exception of the logo and any 
identification of the manufacturer, brand, model, or similar 
designations, and that is preferably no smaller than 10 point type.
    (B) The information set forth below, which shall be in a part of the 
instructions that is conspicuously identified as containing information 
concerning the risk of electrocution caused by contact with powerlines. 
No particular wording is required for this information, but it shall be 
in legible English and readily understandable to a user with a sixth 
grade reading ability (other languages may be included as appropriate).
    (1) An explanation of the risk of electrocution caused by contacting 
powerlines while putting up or taking down the antenna.
    (2) An identification of the generally available types and sizes of 
antenna supporting structures that are suitable for use with the 
antenna. If a generally available type or size of supporting structure 
is not identified as suitable, an explanation of why it is not suitable 
shall be included.
    (3) If pipe or tubular non-telescoping masts are a suitable 
supporting structure for the antenna, the instructions shall contain the 
following in relation to installation of the antenna on such masts:
    (i) How to select and measure the installation site.
    (ii) An explanation (pictorial where appropriate) of methods that 
can be used to reduce the possibility of contact with powerlines when 
putting up and taking down the antenna mast.
    (iii) Instructions for properly attaching the separate label that is 
required to accompany the antenna by paragraph (a)(1)(i)(B) of this 
section.
    (iv) A statement that if the supporting structure to be used with 
the antenna does not have a label of the type provided by the 
manufacturer, the provided label should be attached to the base of the 
supporting structure by the installer.
    (2) Antenna supporting structures. Antenna supporting structures, 
except pipe or tubular nontelescoping mast sections less than 11 ft. 
(335 cm.) in length that are not individually packaged or otherwise 
contained in a package intended for distribution to the consumer, shall 
comply with the following requirements:
    (i) Label. (A) Antenna supporting structures shall bear the label 
shown in fig. 1, which shall be legible for an average expected life of 
at least 3 years. The label shall be attached so that it is conspicuous 
during installation and is 3 to 5 ft. (91 to 152 cm.) from the base of 
the supporting structure.
    (B) The word ``product'' may be substituted for ``antenna'' in the 
label, as may ``tower'', ``tripod'', or other term, if it accurately 
describes the supporting structure.
    (ii) Instructions. Antenna supporting structures shall be 
accompanied by instructions that include the following:
    (A) The following warning statement, placed on the first page of the 
document(s) containing the instructions and at the beginning of the body 
of the instructions: ``WARNING: INSTALLATION OF THIS PRODUCT NEAR 
POWERLINES IS DANGEROUS. FOR YOUR SAFETY, FOLLOW THE INSTALLATION 
DIRECTIONS.'' This statement shall be legible and conspicuous and shall 
be in type that is at least as large as the largest type used on the 
remainder of the page, with the exception of the logo and any 
identification of the manufacturer, brand, model, and similar 
designations, and that is preferably no smaller than 10 point type.
    (B) The information set forth below, which shall be in a part of the 
instructions that is conspicuously identified as containing information 
concerning the risk of electrocution caused by contact with powerlines. 
No particular wording is required for this information, but it shall be 
in legible English and understandable to a user with a sixth grade 
reading ability (other languages may be included as appropriate).
    (1) An explanation of the risk of electrocution caused by contacting

[[Page 392]]

powerlines while putting up or taking down the supporting structure.
    (2) How to select and measure the installation site.
    (3) An explanation (pictorial where appropriate) of methods that can 
be used to reduce the possibility of contact with powerlines when 
putting up and taking down the supporting structure.
    (3) Packaging. (i) The following warning statement shall legibly and 
conspicuously appear on either the packaging or the parts container of 
any CB base station antenna, TV antenna, or antenna supporting 
structure: ``Warning: Installation of this product near powerlines is 
dangerous. For your safety, follow the enclosed installation 
directions.''
    (b) Data provided to the Commission. (1) Manufacturers of CB base 
station antennas, TV antennas, and antenna supporting structures shall 
provide to the Commission samples of all the labels, warning statements, 
and instructions which will be used to satisfy the requirements of 
paragraph (a) of this section. These samples shall be provided to the 
Assistant Executive Director for Compliance, Consumer Product Safety 
Commission, 4330 East West Highway, Bethesda, Md. 20207, by October 27, 
1978, or, in the event of a subsequent change in the warning statements 
or instructions or if a new product is introduced, within 30 days after 
the change or introduction.
    (2) Manufacturers need not submit a separate sample for each model 
of antenna or supporting structure where different models use the same 
label and warning statement and where the portion of the instructions 
required by this part is the same for the different models (even though 
the remainder of the instructions may be different for each model). 
Changes in instructions which do not affect the portions of the 
instructions required by this part do not require the submission of 
additional samples.
    (3) The reporting requirement contained in this section has been 
approved by the U.S. General Accounting Office under No. B-180232 
(R0555).

[43 FR 28392, June 29, 1978, as amended at 43 FR 47722, Oct. 17, 1978; 
46 FR 63250, Dec. 31, 1981; 62 FR 46667, Sept. 4, 1997]

Appendix I to Part 1402--Recommended Outline for Instruction Booklet on 
         ``How To Safely Install Your CB Base Station Antenna''

    I. Required Warning Label Statement.
    II. Statement of Hazard.
    III. General Safety Instructions:
    A. Seek professional assistance.
    B. Select your site with safety in mind.
    C. Call your electric power company.
    D. Plan your procedure.
    E. What to do if the assembly starts to drop.
    F. What to do if the assembly contacts powerlines.
    G. What to do in case of electric shock.
    IV. Site Selection (How to select and measure the installation 
site):
    A. Distance from powerlines.
    B. FCC height limitations.
    C. Alternate locations:
    1. Roof.
    2. Chimney.
    3. Side of house.
    4. Free standing.
    V. Types and Sizes of Support Structures and Mountings:
    A. Tripod:
    1. Where it can be used.
    2. Limitations.
    3. Suitable mounting methods.
    B. Tubular Mast:
    1. Non-telescopic:
    a. Where it can be used.
    b. Limitations.
    c. Suitable mounting methods.
    2. Telescopic: *
---------------------------------------------------------------------------

    * Detailed instructions for installing these supports would come 
with the product.
---------------------------------------------------------------------------

    a. Where it can be used.
    b. Limitations.
    c. Suitable mounting methods.
    C. Tower:*
    1. Where it can be used.
    2. Limitations.
    3. Suitable mounting methods.
    VI. Installation Instructions:
    A. General Instructions:
    1. Materials.
    2. Assembly.
    3. How to walk-up a tubular mast:
    a. Height limitations.
    b. Tying off.
    c. Raising the mast with an X-frame.
    d. Raising the mast without an X-frame.
    4. Guy Wires.
    B. How to Install a Tripod:
    1. Preparation.
    2. Erecting the assembly.
    3. Securing the assembly.
    C. How to Install a Non-telescopic Tubular Mast:
    1. Roof Mount:

[[Page 393]]

    a. Preparation.
    b. Erecting the assembly.
    c. Securing the assembly.
    2. Chimney Mount:
    a. Preparation.
    b. Erecting the assembly.
    c. Securing the assembly.
    3. Side of House Mount:
    a. Preparation.
    b. Erecting the assembly.
    c. Securing the assembly.
    4. Free Standing Mount:
    a. Preparation.
    b. Erecting the assembly.
    c. Securing the assembly.
    VII. Grounding Your Antenna:
    D. How to Install a Telescopic Mast:*
    1. Preparation.
    2. Erecting the assembly.
    3. Securing the assembly.
    E. How to Install a Tower:*
    1. Preparation.
    2. Erecting the assembly.
    3. Securing the assembly.
    VIII. Instructions for Attaching Label to Antenna and Supporting 
Structure.



PART 1404--CELLULOSE INSULATION--Table of Contents




Sec.
1404.1 Scope, application, and effective date.
1404.2 Background.
1404.3 Definitions.
1404.4 Requirements to provide performance and technical data by 
          labeling--Notice to purchasers.

    Authority: Secs. 2, 27, 35, Pub. L. 92-573, Pub. L. 95-319; 86 Stat. 
1207, 1228; 92 Stat. 386 (15 U.S.C. 2051, 2076, 2082).

    Source: 44 FR 40001, July 6, 1979, unless otherwise noted.



Sec. 1404.1  Scope, application, and effective date.

    (a) Scope. This part 1404 establishes a requirement for 
manufacturers, including importers, of cellulose insulation to notify 
(1) prospective purchasers of such products at the time of original 
purchase and (2) the first purchasers of such products for purposes 
other than resale (installers and consumers) of ways to avoid the fire 
hazard that exists where cellulose insulation is installed too close to 
the sides or over the top of a recessed electrical light fixture or 
where cellulose insulation is installed too close to the exhaust flues 
from heat-producing devices or apparatus such as furnaces, water 
heaters, and space heaters. The notification consists of a warning label 
on the containers of cellulose insulation.
    (b) Application and effective date. This rule applies to cellulose 
insulation that is for sale to consumers for installation in households 
or residences, as well as insulation that is produced or distributed for 
installation by professionals in households or residences. Cellulose 
insulation that is labeled as, marketed, and sold solely for 
nonresidential installation is not included within the scope of this 
proceeding. The rule applies to all products manufactured after October 
15, 1979.



Sec. 1404.2  Background.

    Based on available fire incident information, engineering analysis 
of the probable fire scenarios, and laboratory tests, the Consumer 
Product Safety Commission has determined that fires can occur where 
cellulose insulation is improperly installed too close to the sides or 
over the top of recessed electrical light fixtures, or installed too 
close to the exhaust flues from heat producing devices or apparatus such 
as furnaces, water heaters, and space heaters. These fires may result in 
serious injuries or deaths. Presently available information indicates 
that fires may occur where cellulose insulation is improperly installed 
even though the cellulose insulation complies with the Commission's 
amended interim standard for cellulose insulation (16 CFR part 1209) 
based on GSA Specification HH-I-515D. The Commission has determined that 
it is necessary to require labeling to inform persons installing 
cellulose insulation and consumers in whose homes the insulation is 
installed of the fire hazard associated with improperly installed 
cellulose insulation and the method of properly installing the 
insulation to prevent this hazard. The Commission anticipates that this 
regulation will accomplish the purpose of helping protect the public 
against the unreasonable risk of injury associated with improperly 
installed cellulose insulation.



Sec. 1404.3  Definitions.

    The definitions in section 3 of the Consumer Product Safety Act (15 
U.S.C. 2052) apply to this part 1404.

[[Page 394]]

    Cellulose insulation is cellulosic fiber, loose fill, thermal 
insulation that is suitable for blowing or pouring applications.
    Manufacturer means any person who manufactures or imports a consumer 
product. The term includes both a person who manufactures the product at 
the direction of another (such as a packager) and the person at whose 
direction the product is manufactured (such as the marketer of the 
brand).



Sec. 1404.4  Requirements to provide performance and technical data by labeling--Notice to purchasers.

    (a) Manufacturers of cellulose insulation shall give notification of 
performance and technical data related to performance and safety (1) to 
prospective purchasers at the time of original purchase and (2) to the 
first purchaser of such products for purposes other than resale in the 
following manner. Manufacturers of cellulose insulation shall label all 
containers of cellulose insulation with the following statement, using 
capital letters as indicated:

                                 Caution

    Potential Fire Hazard: Keep cellulose insulation at least three 
inches away from the sides of recessed light fixtures. Do not place 
insulation over such fixtures so as to entrap heat.
    Also keep this insulation away from exhaust flues of furnaces, water 
heaters, space heaters, or other heat-producing devices.
    To be sure that insulation is kept away from light fixtures and 
flues, use a barrier to permanently maintain clearance around these 
areas. Check with local building or fire officials for guidance on 
installation and barrier requirements.
    Request to Installer: Remove this label and give it to the consumer 
at completion of job.
    Manufacturers of cellulose insulation may substitute the phrase ``TO 
HELP AVOID FIRE'' for the phrase ``POTENTIAL FIRE HAZARD'' in the label 
described above. Manufacturers may also delete the word ``cellulose from 
the first sentence of the label and may delete the word ``this'' from 
the third sentence of the label. The remainder of the label statement 
shall appear exactly as described above.
    (b) The labeling statement required by Sec. 1404.4(a) shall appear 
prominently and conspicuously on the container. The word ``CAUTION'' 
shall appear in capital letters at least one-fourth inch in height. The 
words ``POTENTIAL FIRE HAZARD'' and ``REQUEST TO INSTALLER'' shall 
appear in capital letters at least three-sixteenths inch in height. The 
remainder of the statement shall appear in capital letters at least 
three-sixteenths inch in height, with lower case letters in 
corresponding proportion but at least one-eighth inch in height. The 
labeling statement shall be enclosed within a rectangle formed with 
lines at least one-sixteenth inch in width. The labeling statement shall 
be printed with legible type in a color which contrasts with the 
background on which the statement is printed.
    (c) To meet this requirement, manufacturers may use any type of 
label, including one which is pressure sensitive or glued-on, provided 
the label is made in such a manner that it will remain attached to the 
container for the expected time interval between the manufacture of the 
product and its installation.

[44 FR 40001, July 6, 1979, as amended at 49 FR 21701, May 23, 1984]



PART 1406--COAL AND WOOD BURNING APPLIANCES--NOTIFICATION OF PERFORMANCE AND TECHNICAL DATA--Table of Contents




Sec.
1406.1 Scope, purpose, and effective date.
1406.2 Background.
1406.3 Definitions.
1406.4 Requirements to provide performance and technical notice to 
          prospective purchasers and purchasers.
1406.5 Performance and technical data to be furnished to the Commission.

    Authority: 15 U.S.C. 2051, 2076.



Sec. 1406.1  Scope, purpose, and effective date.

    (a) Scope. This part 1406 requires manufacturers, including 
importers, of coal and wood burning appliances, as defined in 
Sec. 1406.3(a), to provide consumers with a specified notification 
concerning the installation, operation, and maintenance of the 
appliances. The notification is intended to provide consumers with 
technical and performance information related to the safety of the 
appliances. This part 1406 also requires these manufacturers to provide 
to the

[[Page 395]]

Commission a copy of the notification to consumers and a statement of 
the reasons supporting the manufacturer's conclusion that certain 
clearance distances contained in the notification are appropriate for 
preventing fires.
    (b) Purpose. This regulation is intended to reduce the unreasonable 
risk of injury from fire associated with inadequate information provided 
with coal and wood burning appliances. This rule does not replace any 
voluntary standards applicable to these appliances or any state or local 
requirements applicable to the installation, use, or maintenance of such 
appliances that are not inconsistent with this rule. Thus, for example, 
a local code could require the actual installation of appliances at 
different distances from combustibles than those specified on the label 
required by this rule, and voluntary standards or local codes could 
require labeling or instructions in addition to those required by this 
rule. The fact that a product complies with this regulation is not 
intended to be a substitute for the performance tests and other criteria 
established by listing organizations whose approval is required to meet 
some state or local requirements applicable to these appliances.
    (c) Effective date. (1) Except as provided in paragraphs (c)(2) and 
(c)(3) of this section, manufacturers, including importers, of coal and 
wood burning appliances as defined in Sec. 1406.3(a) must comply with 
this regulation with respect to stoves that are manufactured or imported 
after October 17, 1983, or that are first introduced into United States 
commerce after May 16, 1984, regardless of the date of manufacture. For 
the purposes of this rule, an appliance is manufactured when no further 
assembly of the appliance is required (i) before shipment by the 
manufacturer or (ii), if the product is not so shipped, before delivery 
to the first purchaser. A product manufactured in the United States 
(U.S.) is first introduced into U.S. commerce when it is shipped by the 
manufacturer or delivered to the next purchaser, whichever comes first. 
A product manufactured outside the U.S. is first introduced into U.S. 
commerce when it is first brought within a U.S. port of entry.
    (2) The requirements of Sec. 1406.4(c) apply to sales catalogs and 
point of sale literature provided by manufacturers after May 16, 1984.
    (3) Section 1406.5 is effective December 6, 1983.

(Information collection requirements contained in paragraph (a) were 
approved by the Office of Management and Budget under control number 
3041-0040)

[48 FR 21914, May 16, 1983; 48 FR 26761, June 10, 1983, as amended at 48 
FR 50706, Nov. 3, 1983; 48 FR 52889, Nov. 23, 1983]



Sec. 1406.2  Background.

    (a) Fire data analyzed by the Consumer Product Safety Commission 
disclose a number of incidents involving coal and wood burning 
appliances. Many of these cases involve improper installation of the 
appliances, especially where they are installed with insufficient 
clearances to adjacent combustibles such as walls, ceilings, floors, 
draperies, carpets, or furnishings. Another common installation problem 
involves the use of improper types of chimneys or chimney connectors and 
insufficient clearances between these devices and combustibles. Other 
incidents involve improper operation of the appliance, such as by 
overfiring it or using flammable liquids to start the fire. Still other 
incidents occur when appliances are improperly maintained and develop 
mechanical defects or excessive deposits of flammable creosote.
    (b) After considering the available data on the causes of fires in 
these appliances, the Commission concludes that there is an unreasonable 
risk of injury associated with appliances that are sold without 
notifying consumers of the information they need to prevent many of 
these occurrences. Accordingly, the Commission has determined that 
disclosure of the information required by Sec. 1406.4 is necessary to 
help the Commission in carrying out the purposes of the Consumer Product 
Safety Act of (1) helping to protect the public against unreasonable 
risks of injury associated with consumer products and (2) assisting 
consumers in evaluating the comparative safety of consumer products.
    (c) The Commission has also determined that in carrying out these 
purposes of the act, it is necessary for

[[Page 396]]

manufacturers to provide to the Commission a copy of the information 
provided to consumers and a statement of the reasons why some of the 
information was selected, in accordance with Sec. 1406.5.

[48 FR 21914, May 16, 1983, as amended at 48 FR 50706, Nov. 3, 1983]



Sec. 1406.3  Definitions.

    For the purposes of this rule:
    (a) Coal and wood burning appliances means fireplace stoves, room 
heater/fireplace stove combinations, cookstoves and ranges, and radiant 
and circulating heaters. It does not include central heating units, 
masonry fireplaces and chimneys, fireplace inserts, or factory built 
fireplaces (zero clearance fireplaces).
    (b) Central heating units include boilers, furnaces, and furnace 
add-ons. These appliances are designed to be connected to hot water 
distribution or ductwork systems for heating several rooms. The furnace 
add-on converts an existing gas, oil, or electric heating system to one 
capable of using solid fuel as well as its original fuel.
    (c) A chimney is a vertical or nearly vertical enclosure containing 
one or more passageways called flue passages for conveying combustion 
wastes to the outside atmosphere.
    (d) A chimney connector is the stovepipe which connects the 
appliance flue with the chimney flue.
    (e) Cookstoves and ranges are chimney connected solid fuel burning 
appliances that are used primarily for cooking. In addition to the 
firechamber, there may be one or more ovens or warmer compartments and 
several removable cooking space pothole lids. The intensity of the fire 
is controlled by damper and draft regulators.
    (f) A factory built fireplace is a firechamber and chimney assembly 
consisting entirely of factory made parts. It is designed for component 
assembly without requiring field construction. These ``zero clearance'' 
units are fabricated for safe installation against combustible surfaces 
and for burning fireplace fuel.
    (g) Fireplace inserts are heating units that fit into a fireplace 
and connect to the fireplace flue. These units function like radiant and 
circulating heaters.
    (h) A fireplace stove is a freestanding, chimney-connected 
firechamber which is constantly open to view. It is designed to burn 
regular fireplace fuel and function as a decorative fireplace.
    (i) A masonry chimney is a chimney field-constucted of solid masonry 
units, brick, stones, or reinforced concrete.
    (j) A masonry fireplace is an open firechamber built into a 
structure along with a chimney and hearth. It is constructed of solid 
masonry units such as bricks, stones, or reinforced concrete.
    (k) Radiant and circulating heaters have firechambers which may be 
airtight \1\ or non-airtight and are available in a number of sizes, 
shapes, and designs. The firechamber is closed in use, but there may be 
a window of specially formulated glass for viewing the fire. Drafts and 
dampers are used to control the burning process. There may be a 
secondary combustion chamber, baffles, a thermostat, a blower, or other 
components which function to improve combustion efficiency or to control 
heat output. The primary function of these appliances is as space 
heaters. However, some have lift-off cooking pothole lids, and the top 
surface of most can be used for cooking. The fuel may be wood, coal, or 
both. Radiant heaters transmit heat primarily by direct radiation. 
Circulating heaters have an outer jacket surrounding the fire chamber. 
Air enters from the bottom, is warmed by passing over the fire chamber, 
and exits at the top. Movement is by natural convection or forced air 
circulation.
---------------------------------------------------------------------------

    \1\ An airtight stove is defined as ``A stove in which a large fire 
can be suffocated by shutting the air inlets, resulting ultimately in a 
large mass of unburned fuel remaining in the stove.'' Jay W. Shelton, 
Wood Heat Safety, Garden Way Publishing, Charlotte, Vermont (1979), p. 
160.
---------------------------------------------------------------------------

    (l) A ``room heater/fireplace stove combination'' is a freestanding, 
chimney-connected fire chamber with doors. It is designed to be used to 
burn fireplace fuels with the firechamber either open or closed to view. 
This appliance functions as a decorative fireplace when the doors are 
open and as a non-

[[Page 397]]

---------------------------------------------------------------------------
airtight heater when the doors are closed.

[48 FR 21914, May 16, 1983]



Sec. 1406.4  Requirements to provide performance and technical notice to prospective purchasers and purchasers.

    Manufacturers, including importers, of coal and wood burning 
appliances as defined in Sec. 1406.3 shall give notification of 
performance and technical data related to performance and safety to 
prospective purchasers at the time of original purchase and to the first 
purchaser of such products for purposes other than resale, in the manner 
set forth below:
    (a) Written notice on appliance. (1) The appliance shall bear a 
legible notice containing the following performance and technical data.
    (i) Appropriate minimum clearances from unprotected combustibles to 
avoid the occurrence of fire.\2\ The clearances shall include:
---------------------------------------------------------------------------

    \2\ Appropriate distances are to be determined by the manufacturer. 
The Commission expects that test procedures utilized by a nationally 
recognized testing organization would be suitable for determining 
appropriate distances.
---------------------------------------------------------------------------

    (A) Distance from the back and sides of the appliance, and the 
chimney connector, to walls, stated in diagrammatic form.
    (B) Distance to be maintained between the chimney connector and 
ceilings, in either diagrammatic or written form.
    (ii) Type and dimensions of floor protection, if necessary to 
protect combustible floors.
    (iii) Proper type(s) of chimney and chimney connector to be used 
with the appliance. This information should include the proper 
designations so that the chimney and chimney connector are of suitable 
design and construction to withstand the temperature of the flue gases 
and other probable environmental stresses and so that the inside 
dimensions are suitable to adequately vent the products of combustion. 
See Figs. 1 and 2 for examples of an acceptable designation for a 
chimney and chimney connector.
    (iv) Identification of parts or precautions required for passing a 
chimney through combustible walls or ceilings or for passing a chimney 
connector through combustible walls. The following statement is an 
example of one that complies with this requirement:
    Special methods are required when passing through a wall or ceiling. 
See instructions or building codes.
    (v) A statement not to overfire the appliance, and a description of 
at least 1 condition which signals overfiring.
    (vi) A statement of how often the chimney and chimney connector 
should be inspected and that it should be cleaned when necessary.
    (vii) Information explaining that the appliance should be installed 
and used only in accordance with the manufacturer's directions and local 
building codes.
    (viii) A direction to contact local building or fire officials about 
restrictions and installation inspection requirements.
    (ix) A statement that furnishings and combustible materials should 
be kept a considerable distance from the appliance or a statement to 
keep furnishings and other combustibles far away.
    (x) The types of fuel suitable for use in the appliance.
    (xi) The name and address of the manufacturer, importer or private 
labeler to which the owner can write for a copy of the manufacturer's 
directions or for additional information, and a sufficient 
identification of the appliance model so that the appropriate 
information can be supplied.
    (2) No specific wording is required on the written notice, but the 
information shall be printed in legible English in clear and readily 
understandable language. Examples of acceptable labels are given in 
Figs. 1 and 2, appendix I.
    (3) The written notice shall be placed in a location that is 
conspicuous before the appliance is installed. In addition, the written 
information required by paragraphs (a)(1)(v), (a)(1)(vi), (a)(1)(ix), 
and (a)(1)(x) of this section shall be readily visible during normal use 
of the appliance. A label on the back of the stove would not be 
considered ``readily visible'' during normal use if the stove is 
suitable for installation with its

[[Page 398]]

back within a few feet of the wall. Locations within compartments or 
behind doors or panels may be readily visible during normal use if the 
location is readily visible when the door or panel is opened or removed 
and the door or panel must be opened or removed, or the compartments 
used, as part of the normal operating procedures for the appliance. An 
example of a notice format where the information required to be readily 
visible during normal use is separated from the remainder of the notice 
is given in Fig. 1, appendix I. The Commission recommends the use of 
this 2 label format in order to provide more consumer awareness of the 
operation and maintenance information after the appliance is installed, 
since this information would be on a simpler label that would not have 
installation information competing for the consumer's attention.
    (4) The written notice shall be provided so that it will remain 
legible for the maximum expected useful life of the appliance in normal 
operation.
    (b) Directions. All appliances covered by this rule shall be 
accompanied by directions that include the following technical and 
performance information:
    (1) The following notice shall be placed on the first page of the 
document(s) containing the directions and at the beginning of the 
directions:
    SAFETY NOTICE: IF THIS ------ IS NOT PROPERLY INSTALLED, A HOUSE 
FIRE MAY RESULT. FOR YOUR SAFETY, FOLLOW THE INSTALLATION DIRECTIONS. 
CONTACT LOCAL BUILDING OR FIRE OFFICIALS ABOUT RESTRICTIONS AND 
INSTALLATION INSPECTION REQUIREMENTS IN YOUR AREA.

This statement shall be conspicuous and in type that is at least as 
large as the largest type used on the remainder of the page, with the 
exception of the logo and any identification of the manufacturer, brand, 
model, and similar designations. At the manufacturer's option, other 
information may be added to this notice.
    (2) Step by step installation directions shall be provided, 
including all necessary information regarding parts and materials. This 
information shall include an explanation of the consequences which could 
result from failure to install the appliance properly. These directions 
shall include a direction to refer to the chimney and chimney connector 
manufacturers' instructions and local building codes for installation 
through combustible walls or ceilings.
    (3) These directions shall also include a clearly identified section 
containing complete use directions, including what types of fuel(s) can 
be used and how to fire the unit to avoid fire hazards, and a clearly 
identified section containing complete maintenance directions, including 
how and when to clean the chimney and chimney connector. A statement 
that flammable liquids should not be used with the appliance shall also 
be included where applicable. These sections shall contain a description 
of the consequences that could result from failure to use or maintain 
the appliance properly.
    (4) The directions required by paragraphs (b)(2) and (b)(3) of this 
section shall include all the information required by paragraph (a)(1) 
of this section and shall be in legible English in readily 
understandable language. A recommended outline for the directions is 
given in appendix II.
    (c) Catalogs and point of sale literature. Literature for the 
appliance that is intended to induce an immediate order or sale (such as 
catalogs and point of sale literature) and that is provided by the 
manufacturer, shall legibly and conspicuously include the information 
required by paragraph (a)(1)(viii) of this section and shall state the 
appropriate minimum clearances, to avoid the occurrence of fire, from 
the back and sides of the appliance to walls.

    Note: General advertising would not be subject to this requirement.

 Appendix I to Sec. 1406.4--Recommended Format and Wording for Written 
                                 Notice

    The following are examples of formats and suggested wording for the 
written notice required by Sec. 1406.4(a). Information to be supplied by 
the manufacturer is indicated by under

[[Page 399]]

lined blank spaces or by asterisks. The Commission recommends the ``two 
label'' format shown in Fig. 1.
[GRAPHIC] [TIFF OMITTED] TC03OC91.049


[[Page 400]]


[GRAPHIC] [TIFF OMITTED] TC03OC91.050

     Appendix II to Sec. 1406.4--Recommended Outline for Directions

    The following is a recommended outline for the directions required 
by Sec. 1406.4(b). This outline is a guide and should not be considered 
as including all of the information that may be necessary for the proper 
installation, use, and maintenance of the appliance since the necessary 
information may vary from product to product.
    ``HOW TO INSTALL, USE, AND MAINTAIN YOUR ------''

                          I. Safety Precautions

    A. The Safety Notice required by this rule.
    [sbull] ``SAFETY NOTICE: IF THIS ------ IS NOT PROPERLY INSTALLED, A 
HOUSE FIRE MAY RESULT. FOR YOUR SAFETY, FOLLOW THE INSTALLATION 
DIRECTIONS. CONTACT LOCAL BUILDING OFFICIALS ABOUT RESTRICTIONS AND 
INSTALLATION INSPECTION REQUIREMENTS IN YOUR AREA.''
    B. Statements of other important safety messages, including:
    [sbull] ``Creosote may build up in the chimney connector and chimney 
and cause a house fire. Inspect the chimney connector and chimney at 
least twice monthly and clean if necessary.''
    [sbull] ``Overfiring the appliance may cause a house fire. If a unit 
or chimney connector glows, you are overfiring.''
    [sbull] ``Never use gasoline or other flammable liquids to start or 
`freshen up' a fire.''
    [sbull] ``Dispose of ashes in a metal container.''

                      II. Installation Instructions

    A. The parts and materials required, including:
    [sbull] The size and type of chimney to which the appliance is to be 
connected.
    [sbull] The size and thickness or gage of metal of the chimney 
connector.
    [sbull] The thimble or type of connection through a combustible wall 
or ceiling.
    B. The step-by-step directions for installing the appliance and its 
accessories, chimney connector, and chimney. The directions would 
include:
    [sbull] Clearances from the appliance and chimney connector to 
combustibles,
    [sbull] Methods to safely join the chimney connector to the chimney 
and how to pass these parts through a combustible wall or to pass the 
chimney through a ceiling.

[[Page 401]]

    [sbull] The joining of two or more parts to constitute a safe 
assembly such as attaching and securing the chimney connector to the 
appliance and to each adjoining section, and,
    [sbull] Where required, the parts or materials to be used for the 
floor protector (hearth). The minimum areas to be covered and their 
relation to the appliance should be stated.

                          III. Use Instructions

    A. Recommendations about building and maintaining a fire, warnings 
against overfiring, and condition(s) that signal(s) overfiring.
    B. Caution against the use and storage of flammable liquids, as 
follows: ``Do not use gasoline, gasoline-type lantern fuel, kerosene, 
charcoal lighter fluid, or similar liquids to start or `freshen up' a 
fire in this appliance. Keep these flammable liquids well away from this 
appliance while it is in use.''
    C. Explanation about the use or nonuse of grates, irons and or other 
methods of supporting the fuel.
    D. How to use manual or thermostatic controls.
    E. Explanation about the use of any electrical assemblies including 
care and routing of power supply cord.
    F. Caution about disposing of ashes, as follows:

                            Disposal of Ashes

    Ashes should be placed in a metal container with a tight fitting 
lid. The closed container of ashes should be placed on a noncombustible 
floor or on the ground, away from all combustible materials, pending 
final disposal. The ashes should be retained in the closed container 
until all cinders have thoroughly cooled.
    G. Keep furnishings and other combustible materials away from 
appliance.

                      IV. Maintenance Instructions

    A. How to inspect and maintain the appliance, chimney, and chimney 
connector.
    B. Explanation about the formation and removal of creosote buildup 
in the chimney connector and chimney as follows:

                 Creosote Formation and Need for Removal

    When wood is burned slowly, it produces tar and other vapors, which 
combine with moisture to form creosote. Creosote vapors condense in the 
relatively cool chimney flue, and creosote residue accumulates on the 
flue lining. When ignited, this creosote make an extremely hot fire.
    The chimney connector and chimney should be inspected at least twice 
monthly during the heating season to determine if creosote buildup has 
occurred.
    If creosote has accumulated, it should be removed to reduce the 
chance of a chimney fire.
    C. Explain how to remove creosote.

                              V. References

    A. The name and address of the manufacturer or private labeler from 
which the owner can obtain additional information if needed. Include 
other sources of information as appropriate.
    B. The manufacturer's or private labeler's catalog designations, 
model numbers or the equivalent for the appliance and related parts.

[48 FR 21914, May 16, 1983, as amended at 48 FR 28230, June 21, 1983]



Sec. 1406.5  Performance and technical data to be furnished to the Commission.

    Manufacturers, including importers, of coal and wood burning 
appliances as defined in Sec. 1406.3(a) shall provide to the Commission 
the following performance and technical data related to performance and 
safety.
    (a) Written notice. Manufacturers shall provide to the Commission 
copies of the written notice required by Sec. 1406.4(a). If the written 
notice is provided to purchasers in a way, such as by casting or 
stamping the notice into the stove, that makes it impractical to furnish 
a sample of the actual notice to the Commission, the manufacturer will 
provide an actual-size copy of the notice and a description of the 
forming process.
    (b) Directions. Manufacturers shall provide to the Commission a copy 
of the directions required by Sec. 1406.4(b).
    (c) Rationale. Manufacturers shall provide to the Commission a 
statement of how the distances to combustibles required to be stated by 
Sec. 1406.4(a)(1) were determined. In addition, the maufacturer will 
state the type of appliance, its fuel, size, and weight, and the 
material of which it is constructed, unless this information is included 
in the directions submitted under paragraph (b) of this section.
    (d) General. (1) The information required to be submitted under 
paragraphs (a) through (c) of this section shall be submitted for each 
distinct design or model of appliance manufactured. An appliance will be 
considered to be a distinct design or model if it differs from other 
appliances of the same manufacturer by functional differences such as 
performance, weight,

[[Page 402]]

size, or capacity. Differences in cosmetic or other nonfunctional 
features do not require the submission of additional information.
    (2) The written notice, directions, and rationale shall be provided 
to the Assistant Executive Director for Compliance, Consumer Product 
Safety Commission, Washington, DC 20207, by December 6, 1983. If there 
is a subsequent change in the component materials or design features of 
a model for which this information was previously submitted that could 
cause the model to require different clearances from combustibles or a 
different type of chimney, or if a new product is introduced into United 
States commerce, the required information shall be submitted within 30 
days after the change or introduction.

(Approved by Office of Management and Budget under control number 3041-
0040)

[48 FR 50706, Nov. 3, 1983, as amended at 62 FR 46667, Sept. 4, 1997]

[[Page 403]]



       SUBCHAPTER C--FEDERAL HAZARDOUS SUBSTANCES ACT REGULATIONS



PART 1500--HAZARDOUS SUBSTANCES AND ARTICLES; ADMINISTRATION AND ENFORCEMENT REGULATIONS--Table of Contents




Sec.
1500.1 Scope of subchapter.
1500.2 Authority.
1500.3 Definitions.
1500.4 Human experience with hazardous substances.
1500.5 Hazardous mixtures.
1500.12 Products declared to be hazardous substances under section 3(a) 
          of the act.
1500.13 Listing of ``strong sensitizer'' substances.
1500.14 Products requiring special labeling under section 3(b) of the 
          act.
1500.15 Labeling of fire extinguishers.
1500.17 Banned hazardous substances.
1500.18 Banned toys and other banned articles intended for use by 
          children.
1500.19 Misbranded toys and other articles intended for use by children.
1500.40 Method of testing toxic substances.
1500.41 Method of testing primary irritant substances.
1500.42 Test for eye irritants.
1500.43 Method of test for flashpoint of volatile flammable materials by 
          Tagliabue open-cup apparatus.
1500.43a Method of test for flashpoint of volatile flammable materials.
1500.44 Method for determining extremely flammable and flammable solids.
1500.45 Method for determining extremely flammable and flammable 
          contents of self-pressurized containers.
1500.46 Method for determining flashpoint of extremely flammable 
          contents of self-pressurized containers.
1500.47 Method for determining the sound pressure level produced by toy 
          caps.
1500.48 Technical requirements for determining a sharp point in toys and 
          other articles intended for use by children under 8 years of 
          age.
1500.49 Technical requirements for determining a sharp metal or glass 
          edge in toys and other articles intended for use by children 
          under 8 years of age.
1500.50 Test methods for simulating use and abuse of toys and other 
          articles intended for use by children.
1500.51 Test methods for simulating use and abuse of toys and other 
          articles intended for use by children 18 months of age or 
          less.
1500.52 Test methods for simulating use and abuse of toys and other 
          articles intended for use by children over 18 but not over 36 
          months of age.
1500.53 Test methods for simulating use and abuse of toys and other 
          articles intended for use by children over 36 but not over 96 
          months of age.
1500.81 Exemptions for food, drugs, cosmetics, and fuels.
1500.82 Exemption from full labeling and other requirements.
1500.83 Exemptions for small packages, minor hazards, and special 
          circumstances.
1500.85 Exemptions from classification as banned hazardous substances.
1500.86 Exemptions from classification as a banned toy or other banned 
          article for use by children.
1500.121 Labeling requirements; prominence, placement, and 
          conspicuousness.
1500.122 Deceptive use of disclaimers.
1500.123 Condensation of label information.
1500.125 Labeling requirements for accompanying literature.
1500.126 Substances determined to be ``special hazards.''
1500.127 Substances with multiple hazards.
1500.128 Label comment.
1500.129 Substances named in the Federal Caustic Poison Act.
1500.130 Self-pressurized containers: labeling.
1500.133 Extremely flammable contact adhesives; labeling.
1500.134 Policy on first aid labeling for saline emesis.
1500.135 Summary of guidelines for determining chronic toxicity.
1500.210 Responsibility.
1500.211 Guaranty.
1500.212 Definition of guaranty; suggested forms.
1500.213 Presentation of views under section 7 of the act.
1500.214 Examinations and investigations; samples.
1500.230 Guidance for lead (Pb) in consumer products.
1500.231 Guidance for hazardous liquid chemicals in children's products.

                                 Imports

1500.265 Imports; definitions.
1500.266 Notice of sampling.
1500.267 Payment for samples.
1500.268 Hearing.
1500.269 Application for authorization.
1500.270 Granting of authorization.
1500.271 Bonds.
1500.272 Costs chargeable in connection with relabeling and 
          reconditioning inadmissible imports.


[[Page 404]]


    Authority: 15 U.S.C. 1261-1278.

    Source: 38 FR 27012, Sept. 27, 1973, unless otherwise noted.



Sec. 1500.1  Scope of subchapter.

    Set forth in this subchapter C are the regulations of the Consumer 
Product Safety Commission issued pursuant to and for the implementation 
of the Federal Hazardous Substances Act as amended (see 
Sec. 1500.3(a)(1)).



Sec. 1500.2  Authority.

    Authority under the Federal Hazardous Substances Act is vested in 
the Consumer Product Safety Commission by section 30(a) of the Consumer 
Product Safety Act (15 U.S.C. 2079(a)).



Sec. 1500.3  Definitions.

    (a) Certain terms used in this part. As used in this part:
    (1) Act means the Federal Hazardous Substances Act (Pub. L. 86-613, 
74 Stat. 372-81 (15 U.S.C. 1261-74)) as amended by:
    (i) The Child Protection Act of 1966 (Pub. L. 89-756, 80 Stat. 1303-
05).
    (ii) The Child Protection and Toy Safety Act of 1969 (Pub. L. 91-
113, 83 Stat. 187-90).
    (iii) The Poison Prevention Packaging Act of 1970 (Pub. L. 91-601, 
84 Stat. 1670-74).
    (2) Commission means the Consumer Product Safety Commission 
established May 14, 1973, pursuant to provisions of the Consumer Product 
Safety Act (Pub. L. 92-573, 86 Stat. 1207-33 (15 U.S.C. 2051-81)).
    (b) Statutory definitions. Except for the definitions given in 
section 2 (c) and (d) of the act, which are obsolete, the definitions 
set forth in section 2 of the act are applicable to this part and are 
repeated for convenience as follows (some of these statutory definitions 
are interpreted, supplemented, or provided with alternatives in 
paragraph (c) of this section):
    (1) Territory means any territory or possession of the United 
States, including the District of Columbia and the Commonwealth of 
Puerto Rico but excluding the Canal Zone.
    (2) Interstate commerce means (i) commerce between any State or 
territory and any place outside thereof and (ii) commerce within the 
District of Columbia or within any territory not organized with a 
legislative body.
    (3) Person includes an individual, partnership, corporation, and 
association.
    (4)(i) Hazardous substance means:
    (A) Any substance or mixture of substances which is toxic, 
corrosive, an irritant, a strong sensitizer, flammable or combustible, 
or generates pressure through decomposition, heat, or other means, if 
such substance or mixture of substances may cause substantial personal 
injury or substantial illness during or as a proximate result of any 
customary or reasonably foreseeable handling or use, including 
reasonably foreseeable ingestion by children.
    (B) Any substance which the Commission by regulation finds, pursuant 
to the provisions of section 3(a) of the act, meet the requirements of 
section 2(f)(1)(A) of the act (restated in (A) above).
    (C) Any radioactive substance if, with respect to such substance as 
used in a particular class of article or as packaged, the Commission 
determines by regulation that the substance is sufficiently hazardous to 
require labeling in accordance with the act in order to protect the 
public health.
    (D) Any toy or other article intended for use by children which the 
Commission by regulation determines, in accordance with section 3(e) of 
the act, presents an electrical, mechanical, or thermal hazard.
    (ii) Hazardous substance shall not apply to pesticides subject to 
the Federal Insecticide, Fungicide, and Rodenticide Act, to foods, 
drugs, and cosmetics subject to the Federal Food, Drug, and Cosmetic 
Act, nor to substances intended for use as fuels when stored in 
containers and used in the heating, cooking, or refrigeration system of 
a house. ``Hazardous substance'' shall apply, however, to any article 
which is not itself a pesticide within the meaning of the Federal 
Insecticide, Fungicide, and Rodenticide Act but which is a hazardous 
substance within the meaning of section 2(f)(1) of the Federal Hazardous 
Substances Act (restated in paragraph (b)(4)(i) of this section) by 
reason of bearing or containing such a pesticide.

[[Page 405]]

    (iii) Hazardous substance shall not include any source material, 
special nuclear material, or byproduct material as defined in the Atomic 
Energy Act of 1954, as amended, and regulations issued pursuant thereto 
by the Atomic Energy Commission.
    (5) Toxic shall apply to any substance (other than a radioactive 
substance) which has the capacity to produce personal injury or illness 
to man through ingestion, inhalation, or absorption through any body 
surface.
    (6)(i) Highly toxic means any substance which falls within any of 
the following categories:
    (A) Produces death within 14 days in half or more than half of a 
group of 10 or more laboratory white rats each weighing between 200 and 
300 grams, at a single dose of 50 milligrams or less per kilogram of 
body weight, when orally administered; or
    (B) Produces death within 14 days in half or more than half of a 
group of 10 or more laboratory white rats each weighing between 200 and 
300 grams, when inhaled continuously for a period of 1 hour or less at 
an atmospheric concentration of 200 parts per million by volume or less 
of gas or vapor or 2 milligrams per liter by volume or less of mist or 
dust, provided such concentration is likely to be encountered by man 
when the substance is used in any reasonably foreseeable manner; or
    (C) Produces death within 14 days in half or more than half of a 
group of 10 or more rabbits tested in a dosage of 200 milligrams or less 
per kilogram of body weight, when administered by continuous contact 
with the bare skin for 24 hours or less.
    (ii) If the Commission finds that available data on human experience 
with any substance indicate results different from those obtained on 
animals in the dosages and concentrations specified in paragraph 
(b)(6)(i) of this section, the human data shall take precedence.
    (7) Corrosive means any substance which in contact with living 
tissue will cause destruction of tissue by chemical action, but shall 
not refer to action on inanimate surfaces.
    (8) Irritant means any substance not corrosive within the meaning of 
section 2(i) of the act (restated in paragraph (b)(7) of this section) 
which on immediate, prolonged, or repeated contact with normal living 
tissue will induce a local inflammatory reaction.
    (9) Strong sensitizer means a substance which will cause on normal 
living tissue through an allergic or photodynamic process a 
hypersensitivity which becomes evident on reapplication of the same 
substance and which is designated as such by the Commission. Before 
designating any substance as a strong sensitizer, the Commission, upon 
consideration of the frequency of occurrence and severity of the 
reaction, shall find that the substance has a significant potential for 
causing hypersensitivity.
    (10) The terms extremely flammable, flammable, and combustible as 
they apply to any substances, liquid, solid, or the contents of any 
self-pressurized container, are defined by regulations issued by the 
Commission and published at Sec. 1500.3(c)(6).
    (11) Radioactive substance means a substance which emits ionizing 
radiation.
    (12) Label means a display of written, printed, or graphic matter 
upon the immediate container of any substance or, in the cases of an 
article which is unpackaged or is not packaged in an immediate container 
intended or suitable for delivery to the ultimate consumer, a display of 
such matter directly upon the article involved or upon a tag or other 
suitable material affixed thereto. A requirement made by or under 
authority of the act that any word, statement, or other information 
appear on the label shall not be considered to be complied with unless 
such word, statement, or other information also appears (i) on the 
outside container or wrapper, if any there be, unless it is easily 
legible through the outside container or wrapper and (ii) on all 
accompanying literature where there are directions for use, written or 
otherwise.
    (13) Immediate container does not include package liners.
    (14) Misbranded hazardous substance means a hazardous substance 
(including a toy, or other article intended for use by children, which 
is a hazardous substance, or which bears or contains a hazardous 
substance in such manner as

[[Page 406]]

to be susceptible of access by a child to whom such toy or other article 
is entrusted) intended, or packaged in a form suitable, for use in the 
household or by children, if the packaging or labeling of such substance 
is in violation of an applicable regulation issued pursuant to section 3 
or 4 of the Poison Prevention Packaging Act of 1970 or if such 
substance, except as otherwise provided by or pursuant to section 3 of 
the act (Federal Hazardous Substances Act), fails to bear a label:
    (i) Which states conspicuously:
    (A) The name and place of business of the manufacturer, packer, 
distributor, or seller;
    (B) The common or usual name or the chemical name (if there be no 
common or usual name) of the hazardous substance or of each component 
which contributes substantially to its hazard, unless the Commission by 
regulation permits or requires the use of a recognized generic name;
    (C) The signal word ``DANGER'' on substances which are extremely 
flammable, corrosive, or highly toxic;
    (D) The signal word ``WARNING'' or ``CAUTION'' on all other 
hazardous substances;
    (E) An affirmative statement of the principal hazard or hazards, 
such as ``Flammable,'' ``Combustible,'' ``Vapor Harmful,'' ``Causes 
Burns,'' ``Absorbed Through Skin,'' or similar wording descriptive of 
the hazard;
    (F) Precautionary measures describing the action to be followed or 
avoided, except when modified by regulation of the Commission pursuant 
to section 3 of the act;
    (G) Instruction, when necessary or appropriate, for first-aid 
treatment;
    (H) The word Poison for any hazardous substance which is defined as 
``highly toxic'' by section 2(h) of the act (restated in paragraph 
(b)(6) of this section);
    (I) Instructions for handling and storage of packages which require 
special care in handling or storage; and
    (J) The statement (1) ``Keep out of the reach of children'' or its 
practical equivalent, or, (2) if the article is intended for use by 
children and is not a banned hazardous substance, adequate directions 
for the protection of children from the hazard; and
    (ii) On which any statements required under section 2(p)(1) of the 
act (restated in paragraph (b)(14)(i) of this section) are located 
prominently and are in the English language in conspicuous and legible 
type in contrast by typography, layout, or color with other printed 
matter on the label.
    Misbranded hazardous substance also means a household substance as 
defined in section 2(2)(D) of the Poison Prevention Packaging Act of 
1970 if it is a substance described in section 2(f)(1) of the Federal 
Hazardous Substances Act (restated in paragraph (b)(4)(i)(A) of this 
section) and its packaging or labeling is in violation of an applicable 
regulation issued pursuant to section 3 or 4 of the Poison Prevention 
Packaging Act of 1970.
    (15)(i) Banned hazardous substance means:
    (A) Any toy, or other article intended for use by children, which is 
a hazardous substance, or which bears or contains a hazardous substance 
in such manner as to be susceptible of access by a child to whom such 
toy or other article is entrusted; or
    (B) Any hazardous substance intended, or packaged in a form 
suitable, for use in the household, which the Commission by regulation 
classifies as a ``banned hazardous substance'' on the basis of a finding 
that, notwithstanding such cautionary labeling as is or may be required 
under the act for that substance, the degree or nature of the hazard 
involved in the presence or use of such substance in households is such 
that the objective of the protection of the public health and safety can 
be adequately served only by keeping such substance, when so intended or 
packaged, out of the channels of interstate commerce; Provided, That the 
Commission by regulation (1) shall exempt from section 2(q)(1)(A) of the 
act (restated in paragraph (b)(15)(i)(A) of this section) articles, such 
as chemistry sets, which by reason of their functional purpose require 
the inclusion of the hazardous substance involved, or necessarily 
present an electrical, mechanical, or thermal hazard, and which bear 
labeling giving adequate directions and warnings for safe

[[Page 407]]

use and are intended for use by children who have attained sufficient 
maturity, and may reasonably be expected, to read and heed such 
directions and warnings, and (2) shall exempt from section 2(q)(1)(A) of 
the act (restated in paragraph (b)(15)(i)(A) of this section), and 
provide for the labeling of, common fireworks (including toy paper caps, 
cone fountains, cylinder fountains, whistles without report, and 
sparklers) to the extent that the Commission determines that such 
articles can be adequately labeled to protect the purchasers and users 
thereof.
    (ii) Proceedings for the issuance, amendment, or repeal of 
regulations pursuant to section 2(q)(1)(B) of the act (restated in 
paragraph (b)(15)(i)(B) of this section) shall be governed by the 
provisions of section 701 (e), (f), and (g) of the Federal Food, Drug, 
and Cosmetic Act: Provided, That if the Commission finds that the 
distribution for household use of the hazardous substance involved 
presents an imminent hazard to the public health, the Commission may by 
order published in the Federal Register give notice of such finding, and 
thereupon such substance when intended or offered for household use, or 
when so packaged as to be suitable for such use, shall be deemed to be a 
``banned hazardous substance'' pending the completion of proceedings 
relating to the issuance of such regulations.
    (16) ``Electrical hazard''--an article may be determined to present 
an electrical hazard if, in normal use or when subjected to reasonably 
foreseeable damage or abuse, its design or manufacture may cause 
personal injury or illness by electric shock.
    (17) ``Mechanical hazard''--an article may be determined to present 
a mechanical hazard if, in normal use or when subjected to reasonably 
foreseeable damage or abuse, its design or manufacture presents an 
unreasonable risk of personal injury or illness:
    (i) From fracture, fragmentation, or disassembly of the article;
    (ii) From propulsion of the article (or any part or accessory 
thereof);
    (iii) From points or other protrusions, surfaces, edges, openings, 
or closures;
    (iv) From moving parts;
    (v) From lack or insufficiency of controls to reduce or stop motion;
    (vi) As a result of self-adhering characteristics of the article;
    (vii) Because the article (or any part or accessory thereof) may be 
aspirated or ingested;
    (viii) Because of instability; or
    (ix) Because of any other aspect of the article's design or 
manufacture.
    (18) ``Thermal hazard''--an article may be determined to present a 
thermal hazard if, in normal use or when subjected to reasonably 
foreseeable damage or abuse, its design or manufacture presents an 
unreasonable risk of personal injury or illness because of heat as from 
heated parts, substances, or surfaces.
    (c) Certain statutory definitions interpreted, supplemented, or 
provided with alternatives. The following items interpret, supplement, 
or provide alternatives to definitions set forth in section 2 of the act 
(and restated in paragraph (b) of this section):
    (1) To provide flexibility as to the number of animals tested, the 
following is an alternative to the definition of ``highly toxic'' in 
section 2(h) of the act (and paragraph (b)(6) of this section); Highly 
toxic means:
    (i) A substance determined by the Commission to be highly toxic on 
the basis of human experience; and/or
    (ii) A substance that produces death within 14 days in half or more 
than half of a group of:
    (A) White rats (each weighing between 200 and 300 grams) when a 
single dose of 50 milligrams or less per kilogram of body weight is 
administered orally;
    (B) White rats (each weighing between 200 and 300 grams) when a 
concentration of 200 parts per million by volume or less of gas or 
vapor, or 2 milligrams per liter by volume or less of mist or dust, is 
inhaled continuously for 1 hour or less, if such concentration is likely 
to be encountered by man when the substance is used in any reasonably 
foreseeable manner; and/or
    (C) Rabbits (each weighing between 2.3 and 3.0 kilograms) when a 
dosage of 200 milligrams or less per kilogram of body weight is 
administered by continuous contact with the bare skin for 24

[[Page 408]]

hours or less by the method described in Sec. 1500.40.

The number of animals tested shall be sufficient to give a statistically 
significant result and shall be in conformity with good pharmacological 
practices.
    (2) To give specificity to the definition of ``toxic'' in section 
2(g) of the act (and restated in paragraph (b)(5) of this section), the 
following supplements that definition. The following categories are not 
intended to be inclusive.
    (i) Acute toxicity. Toxic means any substance that produces death 
within 14 days in half or more than half of a group of:
    (A) White rats (each weighing between 200 and 300 grams) when a 
single dose of from 50 milligrams to 5 grams per kilogram of body weight 
is administered orally. Substances falling in the toxicity range between 
500 milligrams and 5 grams per kilogram of body weight will be 
considered for exemption from some or all of the labeling requirements 
of the act, under Sec. 1500.82, upon a showing that such labeling is not 
needed because of the physical form of the substances (solid, a thick 
plastic, emulsion, etc.), the size or closure of the container, human 
experience with the article, or any other relevant factors;
    (B) White rats (each weighing between 200 and 300 grams) when an 
atmospheric concentration of more than 200 parts per million but not 
more than 20,000 parts per million by volume of gas or vapor, or more 
than 2 but not more than 200 milligrams per liter by volume of mist or 
dust, is inhaled continuously for 1 hour or less, if such concentration 
is likely to be encountered by man when the substance is used in any 
reasonably foreseeable manner: and/or
    (C) Rabbits (each weighing between 2.3 and 3.0 kilograms) when a 
dosage of more than 200 milligrams but not more than 2 grams per 
kilogram of body weight is administered by continuous contact with the 
bare skin for 24 hours by the method described in Sec. 1500.40.

The number of animals tested shall be sufficient to give a statistically 
significant result and shall be in conformity with good pharmacological 
practices. ``Toxic'' also applies to any substance that is ``toxic'' 
(but not ``highly toxic'') on the basis of human experience.
    (ii) Chronic toxicity. A substance is toxic because it presents a 
chronic hazard if it falls into one of the following categories. (For 
additional information see the chronic toxicity guidelines at 16 CFR 
1500.135.)
    (A) For Carcinogens. A substance is toxic if it is or contains a 
known or probable human carcinogen.
    (B) For Neurotoxicological Toxicants. A substance is toxic if it is 
or contains a known or probable human neurotoxin.
    (C) For Developmental or Reproductive Toxicants. A substance is 
toxic if it is or contains a known or probable human developmental or 
reproductive toxicant.
    (3) The definition of corrosive in section 2(i) of the act (restated 
in paragraph (b)(7) of this section) is interpreted to also mean the 
following: Corrosive means a substance that causes visible destruction 
or irreversible alterations in the tissue at the site of contact. A test 
for a corrosive substance is whether, by human experience, such tissue 
destruction occurs at the site of application. A substance would be 
considered corrosive to the skin if, when tested on the intact skin of 
the albino rabbit by the technique described in Sec. 1500.41, the 
structure of the tissue at the site of contact is destroyed or changed 
irreversibly in 24 hours or less. Other appropriate tests should be 
applied when contact of the substance with other than skin tissue is 
being considered.
    (4) The definition of irritant in section 2(j) of the act (restated 
in paragraph (b)(8) of this section) is supplemented by the following: 
Irritant includes ``primary irritant to the skin'' as well as substances 
irritant to the eye or to mucous membranes. Primary irritant means a 
substance that is not corrosive and that human experience data indicate 
is a primary irritant and/or means a substance that results in an 
empirical score of five or more when tested by the method described in 
Sec. 1500.41. Eye irritant means a substance that human experience data 
indicate is an irritant to the eye and/or means a substance for which a 
positive test is obtained when tested by the method described in 
Sec. 1500.42.

[[Page 409]]

    (5) The definition of strong sensitizer in section 2(k) of the 
Federal Hazardous Substances Act (restated in 16 CFR 1500.3(b)(9)) is 
supplemented by the following definitions:
    (i) Sensitizer. A sensitizer is a substance that will induce an 
immunologically-mediated (allergic) response, including allergic 
photosensitivity. This allergic reaction will become evident upon 
reexposure to the same substance. Occasionally, a sensitizer will induce 
and elicit an allergic response on first exposure by virtue of active 
sensitization.
    (ii) Strong. In determining that a substance is a ``strong'' 
sensitizer, the Commission shall consider the available data for a 
number of factors. These factors should include any or all of the 
following (if available): Quantitative or qualitative risk assessment, 
frequency of occurrence and range of severity of reactions in healthy or 
susceptible populations, the result of experimental assays in animals or 
humans (considering dose-response factors), with human data taking 
precedence over animal data, other data on potency or bioavailability of 
sensitizers, data on reactions to a cross-reacting substance or to a 
chemical that metabolizes or degrades to form the same or a cross-
reacting substance, the threshold of human sensitivity, epidemiological 
studies, case histories, occupational studies, and other appropriate in 
vivo and in vitro test studies.
    (iii) Severity of reaction. The minimal severity of reaction for the 
purpose of designating a material as a ``strong sensitizer'' is a 
clinically important allergic reaction. For example, strong sensitizers 
may produce substantial illness, including any or all of the following: 
physical discomfort, distress, hardship, and functional or structural 
impairment. These may, but not necessarily, require medical treatment or 
produce loss of functional activities.
    (iv) Significant potential for causing hypersensitivity. 
``Significant potential for causing hypersensitivity'' is a relative 
determination that must be made separately for each substance. It may be 
based upon the chemical or functional properties of the substance, 
documented medical evidence of allergic reactions obtained from 
epidemiological surveys or individual case reports, controlled in vitro 
or in vivo experimental assays, or susceptibility profiles in normal or 
allergic subjects.
    (v) Normal living tissue. The allergic hypersensitivity reaction 
occurs in normal living tissues, including the skin and other organ 
systems, such as the respiratory or gastrointestinal tract, either 
singularly or in combination, following sensitization by contact, 
ingestion, or inhalation.
    (6) The Consumer Product Safety Commission, by the regulations 
published in this section, defines the terms extremely flammable, 
flammable, and combustible, appearing in section 2(1) of the Federal 
Hazardous Substances Act, as follows:
    (i) The term extremely flammable shall apply to any substance which 
has a flashpoint at or below 20  deg.F (-6.7  deg.C) as determined by 
the test method described at Sec. 1500.43a, except that, any mixture 
having one component or more with a flashpoint higher than 20  deg.F (-
6.7  deg.C) which comprises at least 99 percent of the total volume of 
the mixture is not considered to be an extremely flammable substance.
    (ii) The term flammable shall apply to any substance having a 
flashpoint above 20  deg.F (-6.7  deg.C) and below 100  deg.F (37.8 
deg.C), as determined by the method described at Sec. 1500.43a, except 
that:
    (A) Any mixture having one component or more with a flashpoint at or 
above 100  deg.F (37.8  deg.C) which comprises at least 99 percent of 
the total volume of the mixture is not considered to be a flammable 
substance; and
    (B) Any mixture containing 24 percent or less of water miscible 
alcohols, by volume, in aqueous solution is not considered to be 
flammable if the mixture does not present a significant flammability 
hazard when used by consumers.
    (iii) The term combustible shall apply to any substance having a 
flashpoint at or above 100  deg.F (37.8  deg.C) to and including 150 
deg.F (65.6  deg.C) as determined by the test method described at 
Sec. 1500.43a, except that:
    (A) Any mixture having one component or more with a flashpoint 
higher than 150  deg.F (65.6  deg.C) which comprises at least 99 percent 
of the total volume of

[[Page 410]]

the mixture is not considered to be a combustible hazardous substance; 
and
    (B) Any mixture containing 24 percent or less of water miscible 
alcohols, by volume, in aqueous solution is not considered to be 
combustible if the mixture does not present a significant flammability 
hazard when used by consumers.
    (iv) To determine flashpoint temperatures for purposes of enforcing 
and administering requirements of the Federal Hazardous Substances Act 
applicable to ``extremely flammable,'' ``flammable,'' and 
``combustible'' hazardous substances, the Commission will follow the 
procedures set forth in Sec. 1500.43a. However, the Commission will 
allow manufacturers and labelers of substances and products subject to 
those requirements to rely on properly conducted tests using the 
Tagliabue open-cup method which was in effect prior to the issuance of 
Sec. 1500.43a (as published at 38 FR 27012, September 27, 1973, and set 
forth below), and the defintions of the terms ``extremely flammable,'' 
``flammable,'' and ``combustible'' in this section before its amendment 
(as published at 38 FR 27012, September 27, 1983, and amended 38 FR 
30105, November 1, 1973, set forth in the note following this section) 
if all of the following conditions are met:
    (A) The substance or product was subject to and complied with the 
requirements of the Federal Hazardous Substances Act for ``extremely 
flammable,'' ``flammable,'' or ``combustible'' hazardous substances 
before the effective date of Sec. 1500.43a; and
    (B) No change has been made to the formulation or labeling of such 
substance or product after the effective date of Sec. 1500.43a, 
prescribing a closed-cup test apparatus and procedure.
    (v) Extremely flammable solid means a solid substance that ignites 
and burns at an ambient temperature of 80  deg.F or less when subjected 
to friction, percussion, or electrical spark.
    (vi) Flammable solid means a solid substance that, when tested by 
the method described in Sec. 1500.44, ignites and burns with a self-
sustained flame at a rate greater than one-tenth of an inch per second 
along its major axis.
    (vii) Extremely flammable contents of self-pressurized container 
means contents of a self-pressurized container that, when tested by the 
method described in Sec. 1500.45, a flashback (a flame extending back to 
the dispenser) is obtained at any degree of valve opening and the 
flashpoint, when tested by the method described in Sec. 1500.43a is less 
than 20  deg.F (-6.7  deg.C).
    (viii) Flammable contents of self-pressurized container means 
contents of a self-pressurized container that, when tested by the method 
described in Sec. 1500.45, a flame projection exceeding 18 inches is 
obtained at full valve opening, or flashback (a flame extending back to 
the dispenser) is obtained at any degree of valve opening.
    (7) The definition of hazardous substance in section 2(f)(1)(A) of 
the act (restated in paragraph (b)(4)(i)(A) of this section) is 
supplemented by the following definitions or interpretations or terms 
used therein:
    (i) A substance or mixture of substances that ``generates pressure 
through decomposition, heat, or other means'' is a hazardous substance:
    (A) If it explodes when subjected to an electrical spark, 
percussion, or the flame of a burning paraffin candle for 5 seconds or 
less.
    (B) If it expels the closure of its container, or bursts its 
container, when held at or below 130  deg.F. for 2 days or less.
    (C) If it erupts from its opened container at a temperature of 130 
deg.F. or less after having been held in the closed container at 130 
deg.F. for 2 days.
    (D) If it comprises the contents of a self-pressurized container.
    (ii) Substantial personal injury or illness means any injury or 
illness of a significant nature. It need not be severe or serious. What 
is excluded by the word ``substantial'' is a wholly insignificant or 
negligible injury or illness.
    (iii) Proximate result means a result that follows in the course of 
events without an unforeseeable, intervening, independent cause.
    (iv) Reasonably foreseeable handling or use includes the reasonably 
foreseeable accidental handling or use, not only by the purchaser or 
intended user of the product, but by all others in a household, 
especially children.

[[Page 411]]

    (8) The definition of ``radioactive substance'' in section 2(m) of 
the act (restated in paragraph (b)(11) of this section) is supplemented 
by the following: Radioactive substance means a substance which, because 
of nuclear instability, emits electromagnetic and/or particulate 
radiation capable of producing ions in its passage through matter. 
Source materials, special nuclear material, and byproduct materials 
described in section 2(f)(3) of the act are exempt.
    (9) In the definition of ``label'' in section 2(n) of the act 
(restated in paragraph (b)(12) of this section), a provision stipulates 
that words, statements, or other information required to be on the label 
must also appear on all accompanying literature where there are 
directions for use, written or otherwise. To make this provision more 
specific, ``accompanying literature'' is interpreted to mean any 
placard, pamphlet, booklet, book, sign, or other written, printed, or 
graphic matter or visual device that provides directions for use, 
written or otherwise, and that is used in connection with the display, 
sale, demonstration, or merchandising of a hazardous substance intended 
for or packaged in a form suitable for use in the household or by 
children.
    (10) The definition of ``misbranded hazardous substance'' in section 
2(p) of this act (restated in paragraph (b)(14) of this section) is 
supplemented by the following definitions or interpretations of terms 
used therein:
    (i) Hazardous substances intended, or packaged in a form suitable, 
for use in the household means any hazardous substance, whether or not 
packaged, that under any customary or reasonably foreseeable condition 
of purchase, storage, or use may be brought into or around a house, 
apartment, or other place where people dwell, or in or around any 
related building or shed including, but not limited to, a garage, 
carport, barn, or storage shed. The term includes articles, such as 
polishes or cleaners, designed primarily for professional use but which 
are available in retail stores, such as hobby shops, for nonprofessional 
use. Also included are items, such as antifreeze and radiator cleaners, 
that although principally for car use may be stored in or around 
dwelling places. The term does not include industrial supplies that 
might be taken into a home by a serviceman. An article labeled as, and 
marketed solely for, industrial use does not become subject to this act 
because of the possibility that an industrial worker may take a supply 
for his own use. Size of unit or container is not the only index of 
whether the article is suitable for use in or around the household; the 
test shall be whether under any reasonably foreseeable condition of 
purchase, storage, or use the article may be found in or around a 
dwelling.
    (ii) Conspicuously in section 2(p)(1) of the act and prominently and 
conspicuous in section 2(p)(2) of the act mean that, under customary 
conditions of purchase, storage, and use, the required information shall 
be visible, noticeable, and in clear and legible English. Some factors 
affecting a warning's prominence and conspicuousness are: Location, size 
of type, and contrast of printing against background. Also bearing on 
the effectiveness of a warning might be the effect of the package 
contents if spilled on the label.

    Note: The definitions of extremely flammable, flammable, and 
combustible hazardous substances set forth above in paragraphs (b)(10) 
and (c)(6) are effective August 10, 1987. The definitions remaining in 
effect until August 10, 1987, as published at 38 FR 27012, Sept. 27, 
1973, and amended at 38 FR 30105, Nov. 1, 1973, are set forth below. 
Manufacturers and labelers of products subject to the Federal Hazardous 
Substances Act may continue to use these definitions for labeling of 
those products under the conditions set forth in Sec. 1500.3(c)(6)(iv), 
as amended.
    (b)(10) Extremely flammable shall apply to any substance which has a 
flashpoint at or below 20  deg.F. as determined by the Tagliabue Open 
Cup Tester; flammable shall apply to any substance which has a 
flashpoint of above 20  deg.F., to and including 80  deg.F., as 
determined by the Tagliabue Open Cup Tester; and combustible shall apply 
to any substance which has a flashpoint above 80  deg.F. to and 
including 150  deg.F., as determined by the Tagliabue Open Cup Tester; 
except that the flammability or combustibility of solids and of the 
contents of self-pressurized containers shall be determined by methods 
found by the Commission to be generally applicable to such materials or 
containers, respectively, and established by regulations issued by the

[[Page 412]]

Commission, which regulations shall also define the terms flammable, 
combustible, and extremely flammable in accord with such methods.

                                * * * * *

    (c)(6)(i) Extremely flammable means any substance that has a 
flashpoint at or below 20  deg.F. as determined by the method described 
in Sec. 1500.43.
    (ii) Flammable means any substance that has a flashpoint of above 20 
 deg.F., to and including 80  deg.F., as determined by the method 
described in Sec. 1500.43.

[38 FR 27012, Sept. 27, 1973, as amended at 38 FR 30105, Nov. 1, 1973; 
49 FR 22465, May 30, 1984; 51 FR 28536, Aug. 8, 1986; 51 FR 29096, Aug. 
14, 1986; 51 FR 30209, Aug. 25, 1986; 57 FR 46669, Oct. 9, 1992]



Sec. 1500.4  Human experience with hazardous substances.

    (a) Reliable data on human experience with any substance should be 
taken into account in determining whether an article is a ``hazardous 
substance'' within the meaning of the act. When such data give reliable 
results different from results with animal data, the human experience 
takes precedence.
    (b) Experience may show that an article is more or less toxic, 
irritant, or corrosive to man than to test animals. It may show other 
factors that are important in determining the degree of hazard to humans 
represented by the substance. For example, experience shows that 
radiator antifreeze is likely to be stored in the household or garage 
and likely to be ingested in significant quantities by some persons. It 
also shows that a particular substance in liquid form is more likely to 
be ingested than the same substance in a paste or a solid and that an 
aerosol is more likely to get into the eyes and the nasal passages than 
a liquid.



Sec. 1500.5  Hazardous mixtures.

    For a mixture of substances, the determination of whether the 
mixture is a ``hazardous substance'' as defined by section 2(f) of the 
act (repeated in Sec. 1500.3(b)(4)) should be based on the physical, 
chemical, and pharmacological characteristics of the mixture. A mixture 
of substances may therefore be less hazardous or more hazardous than its 
components because of synergistic or antagonistic reactions. It may not 
be possible to reach a fully satisfactory decision concerning the toxic, 
irritant, corrosive, flammable, sensitizing, or pressure-generating 
properties of a substance from what is known about its components or 
ingredients. The mixture itself should be tested.



Sec. 1500.12  Products declared to be hazardous substances under section 3(a) of the act.

    (a) The Commission finds that the following articles are hazardous 
substances within the meaning of the act because they are capable of 
causing substantial personal injury or substantial illness during or as 
a proximate result of any customary or reasonably foreseeable handling 
or use:
    (1) Charcoal briquettes and other forms of charcoal in containers 
for retail sale and intended for cooking or heating.
    (2) [Reserved]
    (b) [Reserved]



Sec. 1500.13  Listing of ``strong sensitizer'' substances.

    On the basis of frequency of occurrence and severity of reaction 
information, the Commission finds that the following substances have a 
significant potential for causing hypersensitivity and therefore meet 
the definition for ``strong sensitizer'' in section 2(k) of the act 
(repeated in Sec. 1500.3(b)(9)):
    (a) Paraphenylenediamine and products containing it.
    (b) Powdered orris root and products containing it.
    (c) Epoxy resins systems containing in any concentration 
ethylenediamine, diethylenetriamine, and diglycidyl ethers of molecular 
weight of less than 200.
    (d) Formaldehyde and products containing 1 percent or more of 
formaldehyde.
    (e) Oil of bergamot and products containing 2 percent or more of oil 
of bergamot.



Sec. 1500.14  Products requiring special labeling under section 3(b) of the act.

    (a) Human experience, as reported in the scientific literature and 
to the Poison Control Centers and the National

[[Page 413]]

Clearing House for Poison Control Centers, and opinions of informed 
medical experts establish that the following substances are hazardous:
    (1) Diethylene glycol and mixtures containing 10 percent or more by 
weight of diethylene glycol.
    (2) Ethylene glycol and mixtures containing 10 percent or more by 
weight of ethylene glycol.
    (3) Products containing 5 percent or more by weight of benzene (also 
known as benzol) and products containing 10 percent or more by weight of 
toluene (also known as toluol), xylene (also known as xylol), or 
petroleum distillates such as kerosine, mineral seal oil, naphtha, 
gasoline, mineral spirits, stoddard solvent, and related petroleum 
distillates.
    (4) Methyl alcohol (methanol) and mixtures containing 4 percent or 
more by weight of methyl alcohol (methanol).
    (5) Turpentine (including gum turpentine, gum spirits of turpentine, 
steam-distilled wood turpentine, sulfate wood turpentine, and 
destructively distilled wood turpentine) and mixtures containing 10 
percent or more by weight of such turpentine.
    (b) The Commission finds that the following substances present 
special hazards and that, for these substances, the labeling required by 
section 2(p)(1) of the act is not adequate for the protection of the 
public health. Under section 3(b) of the act, the following specific 
label statements are deemed necessary to supplement the labeling 
required by section 2(p)(1) of the act:
    (1) Diethylene glycol. Because diethylene glycol and mixtures 
containing 10 percent or more by weight of diethylene glycol are 
commonly marketed, stored, and used in a manner increasing the 
possibility of accidental ingestion, such products shall be labeled with 
the signal word ``warning'' and the statement ``Harmful if swallowed.''
    (2) Ethylene glycol. Because ethylene glycol and mixtures containing 
10 percent or more by weight of ethylene glycol are commonly marketed, 
stored, and used in a manner increasing the possibility of accidental 
ingestion, such products shall be labeled with the signal word 
``warning'' and the statement ``Harmful or fatal if swallowed.''
    (3) Benzene, toluene, xylene, petroleum distillates. (i) Because 
inhalation of the vapors of products containing 5 percent or more by 
weight of benzene may cause blood dyscrasias, such products shall be 
labeled with the signal word ``danger,'' the statement of hazard ``Vapor 
harmful,'' the word ``poison,'' and the skull and crossbones symbol. If 
the product contains 10 percent or more by weight of benzene, it shall 
bear the additional statement of hazard ``Harmful or fatal if 
swallowed'' and the additional statement ``Call physician immediately.''
    (ii) Because products containing 10 percent or more by weight of 
toluene, xylene, or any of the other substances listed in paragraph 
(a)(3) of this section may be aspirated into the lungs, with resulting 
chemical pneumonitis, pneumonia, and pulmonary edema, such products 
shall be labeled with the signal word ``danger,'' the statement or 
hazard ``Harmful or fatal if swallowed,'' and the statement ``Call 
physician immediately.''
    (iii) Because inhalation of the vapor of products containing 10 
percent or more by weight of toluene or xylene may cause systemic 
injury, such products shall bear the statement of hazard ``Vapor 
harmful'' in addition to the statements prescribed in paragraph 
(b)(3)(ii) of this section.
    (4) Methyl alcohol (methanol). Because death and blindness can 
result from the ingestion of methyl alcohol, the label for this 
substance and for mixtures containing 4 percent or more by weight of 
this substance shall include the signal word ``danger,'' the additional 
word ``poison,'' and the skull and crossbones symbol. The statement of 
hazard shall include ``Vapor harmful'' and ``May be fatal or cause 
blindness if swallowed.'' The label shall also bear the statement 
``Cannot be made nonpoisonous.''
    (5) Turpentine. Because turpentine (including gum turpentine, gum 
spirits of turpentine, steam-distilled wood turpentine, sulfate wood 
turpentine, and

[[Page 414]]

destructively distilled wood turpentine) and products containing 10 
percent or more by weight of such turpentine, in addition to oral 
toxicity resulting in systemic poisoning, may be aspirated into the 
lungs with resulting chemical pneumonitis, pneumonia, and pulmonary 
edema, such products shall be labeled with the signal word ``danger'' 
and the statement of hazard ``Harmful or fatal if swallowed.''
    (6) Charcoal. Charcoal briquettes and other forms of charcoal in 
containers for retail sale and intended for cooking or heating.
    (i)(A) Because inhalation of the carbon monoxide produced by burning 
charcoal indoors or in confined areas may cause serious injury or death, 
containers of such products packaged before November 3, 1997, shall bear 
the following borderlined statement:

   ------------------------------------------------------------------
         WARNING: Do Not Use for Indoor Heating or Cooking Unless 
      Ventilation Is Provided for Exhausting Fumes to Outside. 
      Toxic Fumes May Accumulate and Cause Death

   ------------------------------------------------------------------
    (B) For bags of charcoal packaged before November 3, 1997, the 
statement specified in paragraph (b)(6)(i) of this section shall appear 
within a heavy borderline in a color sharply contrasting to that of the 
background, on both front and back panels in the upper 25 percent of the 
panels of the bag at least 2 inches below the seam, and at least 1 inch 
above any reading material or design elements in type size as follows: 
The signal word ``WARNING'' shall appear in capital letters at least 
three-eighths inch in height; the remaining text of the warning 
statement shall be printed in letters at least three-sixteenths inch in 
height.
    (ii)(A) Because inhalation of the carbon monoxide produced by 
burning charcoal indoors or in confined areas can cause serious injury 
or death, containers of such products packaged on or after November 3, 
1997, shall bear the following borderlined label.
[GRAPHIC] [TIFF OMITTED] TR03MY96.051

    (B) Except as provided in paragraph (b)(6)(ii)(C) of this section, 
the following requirements apply to bags of charcoal subject to 
paragraph (b)(6)(ii)(A) of this section. The label specified in 
paragraph (b)(6)(ii)(A) of this section shall appear within a heavy 
borderline, in a color sharply contrasting to that of the background, on 
both the front and back panels in the upper 25 percent of the panels of 
the bag, and with the outer edge of the borderline at least 2.54 cm (1 
inch) below the seam and at least 2.54 cm (1 inch) above any other 
reading material or design elements. The signal word ``WARNING'' shall 
be in bold capital letters in at least 7.14 mm (\9/32\ inch) type. The 
remaining text of the warning statement shall be in at least 4.763 mm 
(\3/16\ inch) type. The phrase ``CARBON MONOXIDE HAZARD'' shall be in 
bold. This phrase and the word

[[Page 415]]

``NEVER'' shall be in all capital letters. The lettering shall have a 
strokewidth-to-height ratio of 1:6 to 1:8. The label shall be at least 
50.8 mm (2 inches) high and 147.5 mm (5\13/16\ inches) wide. The label's 
lettering, spacing between the bottom of the letters of one line and the 
top of the letter of the next line, and pictogram shall have the size 
relation to each other and to the remainder of the label shown in 
paragraph (b)(6)(ii)(A) of this section.
    (C) For bags of charcoal subject to paragraph (b)(6)(ii)(A) of this 
section that are 6 inches or less wide, the minimum label height may be 
reduced to 38 mm (1.5 inches) and the minimum width may be reduced to 
139.7 mm (5.5 inches). The signal word ``WARNING'' shall be in capital 
letters in at least 6.32 mm (0.249 inch) type. The remaining text of the 
warning shall be in at least 4.23 mm (0.166 inch) type. All other 
requirements of paragraphs 6(b)(ii) (A) and (B) of this section shall 
apply to these bags.
    (7) Fireworks devices. Because of the special hazards presented by 
fireworks devices if not used in a certain manner, the following listed 
fireworks devices shall be labeled as indicated:
    (i) Fountains.

                          Warning (or Caution)

FLAMMABLE (or EMITS SHOWERS OF SPARKS, if more descriptive).
Use only under [close] adult supervision. (Use of the word close is 
optional.)
For outdoor use only.
Place on level surface.
Light fuse and get away.
    (ii) California candles.

              Warning (or Caution) Emits Showers of Sparks

Use only under [close] adult supervision. (Use of the word close is 
optional.)
For outdoor use only.
Hold in hand at bottom of tube.
Point away from body so that neither end points toward body.
    (iii) Spike and handle cylindrical fountains.
    (A) Spike fountains.

              Warning (or Caution) Emits Showers of Sparks

Use only under [close] adult supervision. (Use of the word close is 
optional.)
For outdoor use only.
Stick firmly in ground in an upright position.
Do not hold in hand.
Light fuse and get away.
    (B) Handle fountains.

              Warning (or Caution) Emits Showers of Sparks

Use only under [close] adult supervision. (Use of the word close is 
optional.)
For outdoor use only.
Hold in hand--point away from body.
Light fuse.
    (iv) Roman Candles.

                Warning (or Caution) Shoots Flaming Balls

Use only under [close] adult supervision. (Use of the word close is 
optional.)
For outdoor use only.
Stick butt end in ground.
Do not hold in hand.
Light fuse and get away.
    (v) Rockets with sticks.

                     Warning (or Caution) Flammable

Use only under [close] adult supervision. (Use of the word close is 
optional.)
For outdoor use only.
Place in wooden trough or iron pipe at 75 deg. angle, pointing away from 
people or flammable material.
Do not hold in hand.
Light fuse and get away.
    (vi) Wheels.

  Warning (or Caution) Flammable (or Emits Showers of Sparks, if More 
                              Descriptive)

Use only under [close] adult supervision. (Use of the word close is 
optional.)
For outdoor use only.
Attach securely by means of a nail through the hole (or place on hard 
flat surface, for ground spinners).
Light fuse and get away.
    (vii) Illuminating torches.

  Warning (or Caution) Flammable (or Emits Showers of Sparks, if More 
                              Descriptive)

Use only under [close] adult supervision. (Use of the word close is 
optional.)
For outdoor use only.
Hold in hand--point away from body, clothing, or other flammable 
material (or place upright on level ground. Do not hold in hand, if more 
descriptive).
Light fuse (or light fuse and get away, if more descriptive).
    (viii) Sparklers.
    On the front and back panels:

                     Warning (or Caution) Flammable

    On the side, front, back, top, or bottom panel.

[[Page 416]]

                                 Caution

Use only under [close] adult supervision. (Use of the word close is 
optional.)
For outdoor use only.
Do not touch glowing wire (or do not touch hot plastic, wood, etc., if 
more descriptive).
Hold in hand with arm extended away from body.
Keep burning end or sparks away from wearing apparel or other flammable 
material.
    (ix) Mines and shells.

 Warning (or Caution) Emits Showers of Sparks (or Shoots Flaming Balls, 
                          if More Descriptive)

Use only under [close] adult supervision. (Use of the word close is 
optional.)
For outdoor use only.
Place on hard smooth surface (or place upright on level ground, if more 
descriptive).
Do not hold in hand.
Light fuse and get away.
    (x) Whistles without report.

                     Warning (or Caution) Flammable

SHOOTS WHISTLE IN AIR (if applicable)
Use only under [close] adult supervision. (Use of the word close is 
optional.)
For outdoor use only.
Do not hold in hand.
Light fuse and get away.
    (xi) Toy smoke devices and flitter devices.

  Warning (or Caution) Flammable (or Emits Showers of Sparks, if More 
                              Descriptive)

Use only under [close] adult supervision. (Use of the word close is 
optional.)
For outdoor use only.
Do not hold in hand.
Light fuse and get away.
    (xii) Helicopter-type rockets.

  Warning (or Caution) Flammable (or Emits Showers of Sparks, if More 
                              Descriptive)

Use only under [close] adult supervision. (Use of the word close is 
optional.)
For outdoor use only.
Place on hard, open surface.
Light fuse and get away.
    (xiii) Party poppers.

                     Warning (or Caution) Flammable

Use only under [close] adult supervision. (Use of the word close is 
optional.)
Do not point either end toward face or other person.
Hold in hand--jerk string.
    (xiv) Missile-type rockets.

  Warning (or Caution) Flammable (or Emits Showers of Sparks, if More 
                              Descriptive)

Use only under [close] adult supervision. (Use of the word close is 
optional.)
For outdoor use only.
Place on hard, open surface.
Light fuse and get away.
    (xv) Labeling--General. Any fireworks device not required to have a 
specific label as indicated above shall carry a warning label indicating 
to the user where and how the item is to be used and necessary safety 
precautions to be observed. All labels required under this section shall 
comply with the requirements of Sec. 1500.121 of these regulations. (See 
also Sec. 1500.17(a) (3), (8) and (9); Sec. 1500.83(a)(27); 
Sec. 1500.85(a)(2); and part 1507).
    (8) Art materials.

    Note: The Labeling of Hazardous Art Materials Act (``LHAMA''), 15 
U.S.C. 1277 (Pub. L. 100-695, enacted November 18, 1988) provides that, 
as of November 18, 1990, ``the requirements for the labeling of art 
materials set forth in the version of the standard of the American 
Society for Testing and Materials [``ASTM''] designated D-4236 that is 
in effect on [November 18, 1988] * * * shall be deemed to be a 
regulation issued by the Commission under section 3(b)'' of the Federal 
Hazardous Substances Act, 15 U.S.C. 1262(b). For the convenience of 
interested persons, the Commission is including the requirements of ASTM 
D-4236 in paragraph (b)(8)(i) of this section, along with other 
requirements (stated in paragraph (b)(8)(ii) of this section) made 
applicable to art materials by the LHAMA. The substance of the 
requirements specified in LHAMA became effective on November 18, 1990, 
as mandated by Congress.

    (i) ASTM D-4236--(A) Scope.--(1) This section describes a procedure 
for developing precautionary labels for art materials and provides 
hazard and precautionary statements based upon knowledge that exists in 
the scientific and medical communities. This section concerns those 
chronic health hazards known to be associated with a product or product 
component(s), when the component(s) is present in a physical form, 
volume, or concentration that in the opinion of a toxicologist (see 
paragraph (b)(8)(i)(B)(11) of this section) has the potential to produce 
a chronic adverse health effect(s).
    (2) This section applies exclusively to art materials packaged in 
sizes intended for individual users of any age or those participating in 
a small group.
    (3) Labeling determinations shall consider reasonably foreseeable 
use or misuse.

[[Page 417]]

    (4) Manufacturers or repackagers may wish to have compliance 
certified by a certifying organization. Guidelines for a certifying 
organization are given in paragraph (b)(8)(i)(H) of this section.
    (B) Descriptions of Terms Specific to This Standard. (1) Art 
material or art material product--any raw or processed material, or 
manufactured product, marketed or represented by the producer or 
repackager as intended for and suitable for users as defined herein.
    (2) Users--artists or crafts people of any age who create, or 
recreate in a limited number, largely by hand, works which may or may 
not have a practical use, but in which aesthetic considerations are 
paramount.
    (3) Chronic adverse health effect(s)--a persistent toxic effect(s) 
that develops over time from a single, prolonged, or repeated exposure 
to a substance. This effect may result from exposure(s) to a substance 
that can, in humans, cause sterility, birth defects, harm to a 
developing fetus or to a nursing infant, cancer, allergenic 
sensitization, damage to the nervous system, or a persistent adverse 
effect to any other organ system.
    (4) chronic health hazard(s) (hereafter referred to as ``chronic 
hazard'')--a health risk to humans, resultant from exposure to a 
substance that may cause a chronic adverse health effect.
    (5) Analytical laboratory--a laboratory having personnel and 
apparatus capable of performing quantitative or qualitative analyses of 
art materials, which may yield information that is used by a 
toxicologist for evaluation of potentially hazardous materials.
    (6) Label--a display of written, printed, or graphic matter upon the 
immediate container of any art material product. When the product is 
unpackaged, or is not packaged in an immediate container intended or 
suitable for delivery to users, the label can be a display of such 
matter directly upon the article involved or upon a tag or other 
suitable labeling device attached to the art material.
    (7) Producer--the person or entity who manufactures, processes, or 
imports an art material.
    (8) Repackager--the person or entity who obtains materials from 
producers and without making changes in such materials puts them in 
containers intended for sale as art materials to users.
    (9) Sensitizer--a substance known to cause, through an allergic 
process, a chronic adverse health effect which becomes evident in a 
significant number of people on re-exposure to the same substance.
    (10) Toxic--applies to any substance that is likely to produce 
personal injury or illness to humans through ingestion, inhalation, or 
skin contact.
    (11) Toxicologist--an individual who through education, training, 
and experience has expertise in the field of toxicology, as it relates 
to human exposure, and is either a toxicologist or physician certified 
by a nationally recognized certification board.
    (12) Bioavailability--the extent that a substance can be absorbed in 
a biologically active form.
    (C) Requirements. (1) The producer or repackager of art materials 
shall submit art material product formulation(s) or reformulation(s) to 
a toxicologist for review, such review to be in accordance with 
paragraph (b)(8)(l)(D) of this section. The toxicologist shall be 
required to keep product formulation(s) confidential.
    (2) Unless otherwise agreed in writing by the producer or 
repackager, no one other than the toxicologists shall have access to the 
formulation(s); except that the toxicologists shall furnish a patient's 
physician, on a confidential basis, the information necessary to 
diagnose or treat cases of exposure or accidental ingestion.
    (3) The producer or repackager, upon advice given by a toxicologist 
in accordance with paragraph (b)(8)(i)(D) of this section and based upon 
generally accepted, well-established evidence that a component 
substance(s) is known to cause chronic adverse health effects adopt 
precautionary labeling in accordance with paragraph (b)(8)(i)(E) of this 
section.
    (4) Labeling shall conform to any labeling practices prescribed by 
federal and state statutes or regulations and shall not diminish the 
effect of required acute toxicity warnings.
    (5) The producer or repackager shall supply a poison exposure 
management

[[Page 418]]

information source the generic formulation information required for 
dissemination to poison control centers or shall provide a 24-hour cost-
free telephone number to poison control centers.
    (6) The producer or repackager shall have a toxicologist review as 
necessary, but at least every 5 years, art material product 
formulation(s) and associated label(s) based upon the then-current, 
generally accepted, well-established scientific knowledge.
    (7) Statement of Conformance--``Conforms to ASTM Practice D-4236,'' 
or ``Conforms to ASTM D-4236,'' or ``Conforms to the health requirements 
of ASTM D-4236.'' This statement may be combined with other conformance 
statements. The conformance statement should appear whenever practical 
on the product; however, it shall also be acceptable to place the 
statement on one or more of the following:
    (i) The individual product package,
    (ii) a display or sign at the point of purchase,
    (iii) separate explanatory literature available on requirements at 
the point of purchase,
    (iv) a response to a formal request for bid or proposal.
    (D) Determination of Labeling. (1) An art material is considered to 
have the potential for producing chronic adverse health effects if any 
customary or reasonably foreseeable use can result in a chronic hazard.
    (2) In making the determination, a toxicologist(s) shall take into 
account the following:
    (i) Current chemical composition of the art material, supplied by an 
analytical laboratory or by an industrial chemist on behalf of a 
manufacturer or repackager.
    (ii) Current generally accepted, well-established scientific 
knowledge of the chronic toxic potential of each component and the total 
formulation.
    (iii) Specific physical and chemical form of the art material 
product, bioavailability, concentration, and the amount of each 
potentially chronic toxic component found in the formulation.
    (iv) Reasonably foreseeable uses of the art material product as 
determined by consultation with users and other individuals who are 
experienced in use of the material(s), such as teachers, or by market 
studies, unless such use information has previously been determined with 
respect to the specific art material(s) under review.
    (v) Potential for known synergism and antagonism of the various 
components of the formulation.
    (vi) Potentially chronic adverse health effects of decomposition or 
combustion products, if known, from any reasonably foreseeable use of 
the hazardous art material product.
    (vii) Opinions of various regulatory agencies and scientific bodies, 
including the International Agency for Research on Cancer and the 
National Cancer Institute, on the potential for chronic adverse health 
effects of the various components of the formulation.
    (3) Based upon the conclusion reached in conformance with review 
determinations set forth herein, the toxicologist(s) shall recommend 
precautionary labeling consistent with paragraph (b)(8)(i)(E) of this 
section.
    (E) Labeling Practices--(1) Signal Word. (i) When a signal word for 
an acute hazard(s) is mandated and a chronic hazard(s) exists, the 
signal word shall be that for the acute hazard.
    (ii) When only a chronic hazard(s) exists, the signal word WARNING 
shall be used.
    (iii) The signal word shall be prominently visible and set in bold 
capitals in a size equal to or greater than the statement of potential 
chronic hazards.
    (2) List of Potentially Chronic Hazards--Potentially chronic 
hazards, as determined under the procedures of paragraph (b)(8)(i)(D) of 
this section, shall be stated substantially in accordance with the 
statements listed in paragraph (b)(8)(i)(F) of this section. Potentially 
chronic hazards noted shall be those that are clinically significant and 
that might be expected with any reasonably foreseeable use of the art 
material. The hazards should be grouped in the order of relative 
descending severity.
    (3) Name of Chronically Hazardous Component(s)--All components and 
known decomposition products of the formulation with a potential for 
chronic hazards, as determined under the procedures of paragraph 
(b)(8)(i)(D) of

[[Page 419]]

this section, shall be listed prominently. Generically equivalent names 
may be used.
    (4) Safe Handling Instructions--Appropriate precautionary statements 
as to work practices, personal protection, and ventilation requirements 
shall be used substantially conforming with those listed in paragraph 
(b)(8)(i)(G) of this section.
    (5) List of Sensitizing Components--To protect users from known 
sensitizers found within art materials, each label shall contain a list 
of those sensitizers present in sufficient amounts to contribute 
significantly to a known skin or respiratory sensitization.
    (6) Combined Statement--If an art material contains more than one 
component capable of causing a chronic adverse health effect, or if a 
single chemical can cause several different chronic adverse health 
effects, the potential effects may be combined into one statement.
    (7) Information Sources--The precautionary label shall contain a 
statement identifying a source for additional health information 
substantially in conformance with one of the phrases listed below:
    (i) For more health information--(24 hour cost-free U.S. telephone 
number),
    (ii) Contact a physician for more health information, or
    (iii) Call your local poison control center for more health 
information.
    (8) Labeling Content, Product Size--Any art material product in a 
container larger in size than one fluid ounce (30 ml) (if the product is 
sold by volume) or one ounce net weight (28 g) (if the product is sold 
by weight) shall have full precautionary labeling, as described in 
paragraph (b)(8)(i) (E) of this section. Any art material product in a 
container equal to or smaller than one fluid ounce or one ounce net 
weight shall have a label that includes a signal word in conformance 
with paragraph (b)(8)(i)(E)(1) of this section and a list of potentially 
harmful or sensitizing components in conformance with paragraphs 
(b)(8)(i)(E) (3) and (5) of this section.
    (9) The information described in paragraph (b)(8)(i)(E) of this 
section must appear on:
    (i) The outside container or wrapper, if any, unless it is easily 
legible through the outside container or wrapper and
    (ii) All accompanying literature where there are directions for use, 
written or otherwise. Where a product that requires warning labels under 
paragraphs (b)(8)(i) (D) and (E) of this section is packed within a 
point-of-sale package that obscures the warning statement(s), the point-
of-sale package shall carry the signal word conforming to paragraph 
(b)(8)(i)(E)(1) and the following wording: ``Contains: (list hazardous 
product(s)) that may be harmful if misused. Read cautions on individual 
containers carefully. Keep out of the reach of children.''
    (10) Statements required under paragraphs (b)(8)(i) (D) and (E) of 
this section must be in the English language and located prominently in 
conspicuous and legible type in contrast by topography, layout, or color 
with other printed matter on the label.
    (11) Supplemental Information--Where appropriate, more detailed 
information that relates to chronic hazard(s), such as physical 
properties, decomposition products, detailed safety instructions, or 
disposal recommendations, shall be included in supplemental documents, 
such as Material Safety Data Sheets, technical brochures, technical data 
sheets etc.
    (F) chronic Hazard Statements
MAY CAUSE STERILITY.
CONTACT MAY CAUSE PERMANENT EYE DAMAGE.
MAY BE HARMFUL BY BREATHING VAPORS/DUSTS.
MAY BE HARMFUL IF SWALLOWED.
MAY BE HARMFUL BY SKIN CONTACT.
MAY PRODUCE BIRTH DEFECTS IN THE DEVELOPING FETUS.
MAY BE EXCRETED IN HUMAN MILK.
MAY CAUSE HARM TO THE NURSING INFANT.
CANCER AGENT! EXPOSURE MAY PRODUCE CANCER.
CANCER AGENT BASED ON TESTS WITH LABORATORY ANIMALS.
POSSIBLE CANCER AGENT BASED ON TESTS WITH LABORATORY ANIMALS.

[[Page 420]]

MAY PRODUCE ALLERGIC REACTION BY INGESTION/INHALATION/SKIN CONTACT.
MAY PRODUCE NUMBNESS OR WEAKNESS IN THE EXTREMITIES.
EXPOSURE MAY CAUSE (SPECIFY THE ORGAN(S)) DAMAGE.
HEATING/COMBUSTION MAY CAUSE HAZARDOUS DECOMPOSITION PRODUCTS.
    (G) Precautionary Statements
Keep out of reach of children.
When using do not eat, drink, or smoke.
Wash hands immediately after use.
Avoid inhalation/ingestion/skin contact.
Avoid fumes from combustion.
Keep container tightly closed when not in use.
Store in well-ventilated area.
Wear protective clothing (specify type).
Wear protective goggles/face shield.
Wear NIOSH-certified mask for dusts/mists/fumes.
Wear NIOSH-certified respirator with an appropriate cartridge for 
    (specify).
Wear NIOSH-certified supplied-air respirator.
Use window exhaust fan to remove vapors and ensure adequate cross 
    ventilation. (Specify explosion-proof if necessary.)
Do not heat above (specify temperature) without adequate ventilation.
Use (specify type) local exhausting hood.
Do not use/mix with (specify material).
    (ii) The following shall apply with respect to the standard for art 
materials set forth in Sec. 1500.14(b)(8)(i).
    (A) The term art material or art material product shall mean any 
substance marketed or represented by the producer or repackager as 
suitable for use in any phase of the creation of any work of visual or 
graphic art of any medium. The term does not include economic poisons 
subject to the Federal Insecticide, Fungicide, and Rodenticide Act or 
drugs, devices, or cosmetics subject to the Federal Food, Drug, and 
Cosmetics Act.
    (B) The standard referred to in paragraph (b)(8)(i) of this section 
applies to art materials intended for users of any age.
    (C) Each producer or repackager of art materials shall describe in 
writing the criteria used to determine whether an art material has the 
potential for producing chronic adverse health effects. Each producer or 
repackager shall submit, to the Commission's Division of Regulatory 
Management, Consumer Product Safety Commission, Washington, DC 20207, 
the written description of the criteria described above and a list of 
art materials that require hazard warning labels under this section. 
Upon request of the Commission, a producer or repackager shall submit to 
the Commission product formulations.
    (D) All art materials that require chronic hazard labeling pursuant 
to this section must include on the label the name and United States 
address of the producer or repackager of the art materials, an 
appropriate United States telephone number that can be contacted for 
more information on the hazards requiring warning labels under this 
section, and a statement that such art materials are inappropriate for 
use by children.
    (E) If an art material producer or repackager becomes newly aware of 
any significant information regarding the hazards of an art material or 
ways to protect against the hazard, this new information must be 
incorporated into the labels of such art materials that are manufactured 
after 12 months from the date of discovery. If a producer or repackager 
reformulates an art material, the new formulation must be evaluated and 
labeled in accordance with the standard set forth Sec. 1500.14(b)(8)(i).
    (F) In determining whether an art material has the potential for 
producing chronic adverse health effects, including carcinogenicity and 
potential carcinogenicity, the toxicologist to whom the substance is 
referred under the standard described above shall take into account 
opinions of various regulatory agencies and scientific bodies, including 
the U.S. Consumer Product Safety Commission (CPSC), the U.S. 
Environmental Protection Agency (EPA), and the International Agency for 
Research on Cancer (IARC).
    (iii) Pursuant to the LHAMA, the Commission has issued guidelines 
which, where possible, specify criteria

[[Page 421]]

for determining when any customary or reasonably foreseeable use of an 
art material can result in a chronic hazard. These guidelines include 
criteria for determining when art materials may produce chronic adverse 
effects in children and adults, criteria for determining which 
substances contained in art materials have the potential for producing 
chronic adverse effects and what those effects are, criteria for 
determining the bioavailability of chronically hazardous substances 
contained in art materials when the products are used in a customary or 
reasonably foreseeable manner, and criteria for determining acceptable 
daily intake levels for chronically hazardous substances contained in 
art materials. Because these guidelines apply to hazardous substances in 
general as well as to hazardous substances in art materials, the 
guidelines are set forth in Sec. 1500.135 and a definition of ``chronic 
toxicity'' is provided in Sec. 1500.3(c)(2)(ii) as part of 
supplementation of the term ``toxic'' in section 2(q) of the FHSA.
    (iv) Policies and interpretations.
    (A) For purposes of enforcement policy, the Commission will not 
consider as sufficient grounds for bringing an enforcement action under 
the Labeling of Hazardous Art Materials Act (``LHAMA'') the failure of 
the following types of products to meet the requirements of 
Sec. 1500.14(b)(8) (i) through (iii).
    (1) Products whose intended general use is not to create art (e.g., 
common wood pencils, and single colored pens, markers, and chalk), 
unless the particular product is specifically packaged, promoted, or 
marketed in a manner that would lead a reasonable person to conclude 
that it is intended for use as an art material. Factors the Commission 
would consider in making this determination are how an item is packaged 
(e.g., packages of multiple colored pencils, chalks, or markers unless 
promoted for non-art materials uses are likely to be art materials), how 
it is marketed and promoted (e.g., pencils and pens intended 
specifically for sketching and drawing are likely to be art materials), 
and where it is sold (e.g., products sold in an art supply store are 
likely to be art materials). The products described in this paragraph do 
not meet the statutory definition of ``art material.''
    (2) Tools, implements, and furniture used in the creation of a work 
of art such as brushes, chisels, easels, picture frames, drafting tables 
and chairs, canvas stretchers, potter's wheels, hammers, air pumps for 
air brushes, kilns, and molds.
    (3) Surface materials upon which an art material is applied, such as 
coloring books and canvas, unless, as a result of processing or 
handling, the consumer is likely to be exposed to a chemical in or on 
the surface material in a manner which makes that chemical susceptible 
to being ingested, absorbed, or inhaled.
    (4) The following materials whether used as a surface or applied to 
one, unless, as a result of processing or handling, the consumer is 
likely to be exposed to a chemical in or on the surface material in a 
manner which makes that chemical susceptible to being ingested, 
absorbed, or inhaled: paper, cloth, plastics, films, yarn, threads, 
rubber, sand, wood, stone, tile, masonry, and metal.
    (B) For purposes of LHAMA enforcement policy, the Commission will 
enforce against materials including, but not limited to, paints, 
crayons, colored pencils, glues, adhesives, and putties, if such 
materials are sold as part of an art, craft, model, or hobby kit. The 
Commission will enforce the LHAMA requirements against paints or other 
materials sold separately which are intended to decorate art, craft, 
model, and hobby items. Adhesives, glues, and putties intended for 
general repair or construction uses are not subject to LHAMA. However, 
the Commission will enforce the LHAMA requirements against adhesives, 
glues, and putties sold separately (not part of a kit) if they are 
intended for art and craft and model construction uses. This paragraph 
(b)(8)(iv)(B) applies to products introduced into interstate commerce on 
or after August 14, 1995.
    (C) Commission regulations at Sec. 1500.14(b)(8)(i)(C)(7) require 
that a statement of conformance appear with art materials that have been 
reviewed in accordance with the Commission standard. The Commission 
interprets this provision to require a conformance

[[Page 422]]

statement regardless of the presence of any chronic hazard warnings.
    (D) Nothing in this enforcement statement should be deemed to alter 
any of the requirements of the Federal Hazardous Substances Act 
(``FHSA''), such as, but not limited to, the requirement that any 
hazardous substance intended or packaged in a form suitable for 
household use must be labeled in accordance with section 2(p) of the 
FHSA.

     Appendix A to Sec. 1500.14(b)(8)--Guidelines for a Certifying 
                      Organization (Not Mandatory)

    (a) The term ``certifying organization,'' as used in this paragraph, 
refers to an organization or an institute that, after assuring that all 
provisions are met, certifies that an art material does conform to the 
labeling requirements of this practice.
    (b) The certifying body may be funded by member manufacturers, but 
should include users or their representatives, as well as manufacturers' 
chemists, on its technical and certifying committees.
    (c) Representative samples of art materials, labeled as conforming 
to this section and bought at retail, should be analyzed at random and 
from time to time by an analytical laboratory to ensure they are the 
same as the formulation used by the toxicologist(s) for determining 
labeling requirements.
    (d) The methods used by the toxicologist(s) in review and 
determination of the need and content of precautionary labeling for 
potentially chronic adverse health effects should be periodically 
reviewed by an advisory board composed of not less than three or more 
than five toxicologists, at least one of whom is certified in toxicology 
by a nationally recognized certification board.
    (e) In cases where there is disagreement by participating producers 
or participating users, with the determination of the toxicologist(s), 
there should be a method whereby the toxicologist's decision can be 
presented to the advisory board of toxicologists for arbitration.

[38 FR 27012, Sept. 27, 1973, as amended at 41 FR 22934, June 8, 1976; 
48 FR 16, Jan. 3, 1983; 53 FR 3018, Feb. 3, 1988; 57 FR 46669, Oct. 9, 
1992; 60 FR 8193, Feb. 27, 1995; 61 FR 19829, May 3, 1996; 61 FR 33175, 
June 26, 1996]



Sec. 1500.15  Labeling of fire extinguishers.

    When a substance or mixture of substances labeled for use in or as a 
fire extinguisher produces substances that are toxic within the meaning 
of Sec. 1500.3(c) (1) and (2) when used according to label directions to 
extinguish a fire, the containers for such substances shall bear the 
following labeling:
    (a) When substances are produced that meet the definition of highly 
toxic in Sec. 1500.3(c)(1), the signal word ``Danger'' and the statement 
of hazard ``Poisonous gases formed when used to extinguish flame or on 
contact with heat'' are required labeling.
    (b) When substances are produced that meet the definition of toxic 
in Sec. 1500.3(c)(2), the signal word ``Caution'' or ``Warning'' and the 
statement of hazard ``Dangerous gas formed when used to extinguish flame 
or on contact with heat'' are required labeling.
    (c) Regardless of whether paragraph (a) or (b) of this section 
applies, any substance or mixture of substances labeled for use as a 
fire extinguisher that, if applied to an electrical fire, would subject 
the user to the likelihood of electrical shock shall be conspicuously 
labeled ``Caution: Do not use on electrical wires.''
    (d) The statements specified in paragraphs (a), (b), and (c) of this 
section shall be in addition to any other that may be required under the 
act. All such substances or mixtures of substances shall also bear the 
additional statements ``Use in an enclosed place may be fatal'' and ``Do 
not enter area until well ventilated and all odor of chemical has 
disappeared.''



Sec. 1500.17  Banned hazardous substances.

    (a) Under the authority of section 2(q)(1)(B) of the act, the 
Commission declares as banned hazardous substances the following 
articles because they possess such a degree or nature of hazard that 
adequate cautionary labeling cannot be written and the public health and 
safety can be served only by keeping such articles out of interstate 
commerce:
    (1) Mixtures that are intended primarily for application to interior 
masonry walls, floors, etc., as a water repellant treatment and that are 
``extremely flammable'' within the meaning of section 2(1) of the act 
(repeated in Sec. 1500.3(b)(10)).
    (2) Carbon tetrachloride and mixtures containing it (including 
carbon tetrachloride and mixtures containing it

[[Page 423]]

used in fire extinguishers), excluding unavoidable manufacturing 
residues of carbon tetrachloride in other chemicals that under 
reasonably foreseeable conditions of use do not result in an atmospheric 
concentration of carbon tetrachloride greater than 10 parts per million.
    (3) Fireworks devices intended to produce audible effects (including 
but not limited to cherry bombs, M-80 salutes, silver salutes, and other 
large firecrackers, aerial bombs, and other fireworks designed to 
produce audible effects, and including kits and components intended to 
produce such fireworks) if the audible effect is produced by a charge of 
more than 2 grains of pyrotechnic composition; except that this 
provision shall not apply to such fireworks devices if all of the 
following conditions are met:
    (i) Such fireworks devices are distributed to farmers, ranchers, or 
growers through a wildlife management program administered by the U.S. 
Department of the Interior (or by equivalent State or local government 
agencies); and
    (ii) Such distribution is in response to a written application 
describing the wildlife management problem that requires use of such 
devices, is of a quantity no greater than required to control the 
problem described, and is where other means of control are unavailable 
or inadequate. (See also Sec. 1500.14(b)(7); Sec. 1500.17(a) (8) and 
(9); Sec. 1500.83(a)(27); Sec. 1500.85(a)(2); and part 1507).
    (4) Liquid drain cleaners containing 10 percent or more by weight of 
sodium and/or potassium hydroxide; except that this subparagraph shall 
not apply to such liquid drain cleaners if packaged in accordance with a 
standard for special packaging of such articles promulgated under the 
Poison Prevention Packaging Act of 1970 (Pub. L. 91-601, 84 Stat. 1670-
74 (15 U.S.C. 1471-76)).
    (5) Products containing soluble cyanide salts, excluding unavoidable 
manufacturing residues of cyanide salts in other chemicals that under 
reasonable and foreseeable conditions of use will not result in a 
concentration of cyanide greater than 25 parts per million.
    (6)(i) Any paint or other similar surface-coating material intended, 
or packaged in a form suitable, for use in or around the household that:
    (A) Is shipped in interstate commerce after December 31, 1973, and 
contains lead compounds of which the lead content (calculated as the 
metal) is in excess of 0.06 percent of the total weight of the contained 
solids or dried paint film; or
    (B) Is shipped in interstate commerce after December 31, 1972, and 
contains lead compounds of which the lead content (calculated as the 
metal) is in excess of 0.5 percent of the total weight of the contained 
solids or dried paint film.
    (C) [Reserved]
    (D) The provisions of paragraph (a)(6)(i) of this section do not 
apply to artists' paints and related materials.
    (ii) Any toy or other article intended for use by children that:
    (A) Is shipped in interstate commerce after December 31, 1973, and 
bears any paint or other similar surface-coating material containing 
lead compounds of which the lead content (calculated as the metal) is in 
excess of 0.06 percent of the total weight of the contained solids or 
dried paint film; or
    (B) Is shipped in interstate commerce after December 31, 1972, and 
bears any paint or other similar surface-coating material containing 
lead compounds of which the lead content (calculated as the metal) is in 
excess of 0.5 percent of the total weight of the contained solids or 
dried paint film.
    (iii) Since the Commission has issued comprehensive regulations for 
lead-containing paint and certain consumer products bearing such paint 
at the 0.06 percent level under the Consumer Product Safety Act (see 16 
CFR part 1303), paragraphs (i) and (ii) of Sec. 1500.17(a)(6) are 
revoked as to the subject products manufactured after February 27, 1978.

    Note: The effective date of paragraphs (a)(6)(i)(A) and 
(a)(6)(ii)(A) was stayed by an order published in the Federal Register 
of August 10, 1972 (37 FR 16078).

    (7) General-use garments containing asbestos (other than garments 
having a bona fide application for personal protection against thermal 
injury and so constructed that the asbestos fibers will not become 
airborne under reasonably foreseeable conditions of use).

[[Page 424]]

    (8) Firecrackers designed to produce audible effects, if the audible 
effect is produced by a charge of more than 50 milligrams (.772 grains) 
of pyrotechnic composition (not including firecrackers included as 
components of a rocket), aerial bombs, and devices that may be confused 
with candy or other foods, such as ``dragon eggs,'' and ``cracker 
balls'' (also known as ``ball-type caps''), and including kits and 
components intended to produce such fireworks except such devices which 
meet all of the following conditions:
    (i) The fireworks devices are distributed to farmers, ranchers, or 
growers through a wildlife management program administered by the U.S. 
Department of Interior (or by equivalent State or local governmental 
agencies); and
    (ii) Such distribution is in response to a written application 
describing the wildlife management problem that requires use of such 
devices, is of a quantity no greater than required to control the 
problem described, and is where other means of control is unavailable or 
inadequate. (See also Sec. 1500.17(a) (3) and (9)).
    (9) All fireworks devices, other than firecrackers, including kits 
and components intended to produce such fireworks, not otherwise banned 
under the act, that do not comply with the applicable requirements of 
part 1507 of this chapter, except fireworks devices which meet all the 
following conditions:
    (i) The fireworks devices are distributed to farmers, ranchers, or 
growers through a wildlife management program administered by the U.S. 
Department of the Interior (or by equivalent State or local government 
agencies); and
    (ii) Such distribution is in response to a written application 
describing the wildlife management problem that requires use of such 
devices, is of a quantity no greater than required to control the 
problem described, and is where other means of control is unavailable or 
inadequate. (See also Sec. 1500.17(a) (3) and (8)).
    (10) Self-pressurized products intended or suitable for household 
use that contain vinyl chloride monomer as an ingredient or in the 
propellant manufactured or imported on or after October 7, 1974. (See 
also Sec. 1500.17(a) (3) and (8)).
    (11)(i) Reloadable tube aerial shell fireworks devices that use 
shells larger than 1.75 inches in outer diameter and that are imported 
on or after October 8, 1991.
    (ii) Findings. (A) General. In order to issue a rule under section 
2(q)(1) of the Federal Hazardous Substances Act (``FHSA''), 15 U.S.C. 
1261(q)(1), classifying a substance or article as a banned hazardous 
substance, the FHSA requires the Commission to make certain findings and 
to include these findings in the regulation. These findings are 
discussed below.
    (B) Voluntary standard. Although a voluntary standard relating to 
the risk of injury associated with reloadable tube aerial shells has 
been adopted, it has not been implemented. Thus, the Commission is not 
required to make findings covering the likelihood that the voluntary 
standard would result in elimination or adequate reduction of the risk 
of injury or that there would be substantial compliance with the 
voluntary standard.
    (C) Relationship of benefits to costs. The Commission estimates that 
the removal of large reloadable shells from the market is likely to 
virtually eliminate the number of associated injuries, with only a 
slight offsetting increase in the number of injuries due to the use of 
substitute Class C fireworks products available to consumers. The 
estimated net benefits range from essentially zero to close to $1 
million annually. The annual costs of a ban are estimated to be very 
low. Included are potential costs to foreign manufacturers and U.S. 
importers from sales losses, production changes, and inventory 
retrofitting, and slightly reduced market choices for consumers who 
purchase aerial display fireworks. Costs to each of these sectors are 
estimated to be slight, and are reduced to the extent that alternative 
products are perceived as adequate substitutes for large reloadable 
shells. Thus, the Commission finds that the benefits expected from the 
regulation bear a reasonable relationship to its costs.

[[Page 425]]

    (D) Least burdensome requirement. The Commission considered several 
alternatives to the ban. These included: Design or performance criteria; 
additional or alternative labeling; inclusion of some reloadable shells 
1.75 inches or smaller in the ban; and no action in reliance on the 
voluntary standard. The Commission determined that a ban of reloadable 
shells larger than 1.75 inches in outer diameter is the least burdensome 
alternative that would prevent or adequately reduce the risk of injury.
    (1) Regarding design or performance criteria, the Commission 
considered requirements similar to those stated in the voluntary 
standard of the American Fireworks Standards Laboratory (``AFSL''). 
However, such criteria may increase the cost of the product and would 
not address all factors involved in the incidents. Further, concerns 
exist about the feasibility of criteria and quality control.
    (2) Regarding additional or alternative labeling, the users' 
perception and experience concerning the amount of time available to get 
away may lead them to disregard an inconsistent warning. There are no 
data to suggest that a significant number, if any, incidents would be 
avoided if large reloadable shells carried more detailed labels or 
instructions than they currently do. It cannot be concluded that 
potential benefits would be greater than zero.
    (3) The Commission considered including reloadable shells that are 
1.75 inches or less in outer diameter and have the ``equivalent 
explosive power'' of larger shells. A kinetic energy level of 70 joules 
was considered to evaluate explosive power. However, any potential 
benefits are uncertain since the Commission concluded that a clear 
relation between kinetic energy and injury potential could not be 
established. Also, costs could be slightly higher.
    (4) The Commission also considered imposing no mandatory 
requirements on large reloadable shells and relying instead on the AFSL 
voluntary standard. However, it is uncertain whether any net benefits to 
consumers would result from this alternative, since the level of injury 
reduction could be near zero if, as is probable, some firms chose not to 
conform with some or all of the AFSL standard.
    (12)(i) Large multiple-tube devices. Multiple-tube mine and shell 
fireworks devices that first enter commerce or are imported on or after 
March 26, 1997, that have any tube measuring 1.5 inches (3.8 cm) or more 
in inner diameter, and that have a minimum tip angle less than 60 
degrees when tested in accordance with the procedure of Sec. 1507.12 of 
this part.
    (ii) Findings--(A) General. In order to issue a rule under the 
section 2(q)(1) of the FHSA, 15 U.S.C. 1261(q)(1), classifying a 
substance or article as a banned hazardous substance, the FHSA requires 
the Commission to make certain findings and to include these in the 
regulation. These findings are discussed in paragraphs (a)(12)(ii) (B) 
through (D) of this section.
    (B) Voluntary standard. (1) One alternative to the tip-angle 
requirement that the Commission considered is to take no mandatory 
action, and to depend on a voluntary standard. The American Fireworks 
Safety Laboratory (AFSL) has a standard for mines and shells intended to 
address the potential tip-over hazard associated with multiple-tube 
fireworks devices. AFSL's Voluntary Standard for Mines and Shells--
Single or Multiple Shot requires that large multiple-tube devices not 
tip over (except as the result of the last shot) when shot on a 2-inch 
thick medium-density foam pad. The Commission cannot conclude that 
AFSL's existing voluntary standard adequately reduces the risk of injury 
from large devices that tip over while functioning. The Commission's 
tests using polyurethane foam did not find sufficient agreement between 
performance on foam and on grass. No other data are available to show 
that this dynamic test is reliable.
    (2) In addition, even if the AFSL standard is effective, the 
Commission does not believe that compliance with the standard will be 
adequate. AFSL reports that it has been testing in accordance with its 
standard since January 1994. However, the results of CPSC's compliance 
testing indicate that multiple-tube devices still tip over while 
functioning. In fiscal year

[[Page 426]]

1994, all 24 imported devices the Commission tested, and 1 of 8 domestic 
devices, tipped over while functioning. In fiscal year 1995, 22 of 27 
imported devices and 1 of 5 domestic devices tipped over during 
Commission testing. The Commission finds that there is unlikely to be 
substantial compliance with the voluntary standard applicable to 
multiple-tube devices.
    (C) Relationship of benefits to costs. The Commission estimates that 
the 60-degree tip-angle standard will eliminate the unreasonable tip-
over risk posed by these devices. This will provide benefits of saving 
one life about every 3 years, and preventing an unknown number of 
nonfatal injuries. The annual cost of modifying affected devices is 
estimated to be between $1.5 million and $2.7 million. The Commission 
finds that the benefits from the regulation bear a reasonable 
relationship to its costs.
    (D) Least burdensome requirement. The Commission considered the 
following alternatives: a ban of all multiple-tube devices with inner 
tube diameters 1.5 inches or greater; a dynamic performance standard; 
additional labeling requirements; and relying on the voluntary standard. 
Although a ban of all large multiple-tube devices would address the risk 
of injury, it would be more burdensome than the tip-angle standard. The 
Commission was unable to develop a satisfactory dynamic standard that 
would reduce the risk of injury. Neither additional labeling 
requirements nor reliance on the voluntary standard would adequately 
reduce the risk of injury. Thus, the Commission finds that a standard 
requiring large multiple-tube devices to have a minimum tip angle 
greater than 60 degrees is the least burdensome requirement that would 
prevent or adequately reduce the risk of injury.

(Secs. 2(f)(1), (A), (B), (g), (q)(1)(B), 3(a), 74 Stat. 372, 374, as 
amended 80 Stat. 1304-05, 83 Stat. 187-189, 90 Stat. 503 (15 U.S.C. 
1261, 1262); sec. 701 (e), (f), (g), 52 Stat. 1055-56, as amended 70 
Stat. 919, 72 Stat. 948 (21 U.S.C. 371 (e), (f), (g)), sec. 30(a), 86 
Stat. 1231 (15 U.S.C. 2079(a)))

[38 FR 27012, Sept. 27, 1973, as amended at 38 FR 27514, Oct. 4, 1973; 
38 FR 31520, Nov. 15, 1973; 39 FR 30114, Aug. 21, 1974; 39 FR 42903, 
Dec. 9, 1974; 41 FR 22935, June 8, 1976; 42 FR 44202, Sept. 1, 1977; 43 
FR 12310, Mar. 24, 1978; 48 FR 16, Jan. 3, 1983; 56 FR 37837, Aug. 9, 
1991; 61 FR 13095, Mar. 26, 1996; 61 FR 18245, Apr. 25, 1996]



Sec. 1500.18  Banned toys and other banned articles intended for use by children.

    (a) Toys and other articles presenting mechanical hazards. Under the 
authority of sections 2(f)(1)(D) and 24 of the act and pursuant to the 
provisions of section 3(e) of the act, the Commission has determined 
that the following types of toys or other articles intended for use by 
children present a mechanical hazard within the meaning of section 2(s) 
of the act because in normal use, or when subjected to reasonably 
foreseeable damage or abuse, the design or manufacture presents an 
unreasonable risk of personal injury or illness:
    (1) Any toy rattle containing, either internally or externally, 
rigid wires, sharp protrusions, or loose small objects that have the 
potential for causing lacerations, puncture wound injury, aspiration, 
ingestion, or other injury. (But see Sec. 1500.86(a)(1)).
    (2) Any toy having noisemaking components or attachments capable of 
being dislodged by the operating features of the toy or capable of being 
deliberately removed by a child, which toy has the potential for causing 
laceration, puncture wound injury, aspiration, ingestion, or other 
injury.
    (3) Any doll, stuffed animal, or other similar toy having internal 
or external components that have the potential for

[[Page 427]]

causing laceration, puncture wound injury, or other similar injury. (But 
see Sec. 1500.86(a)(2)); (See also Sec. Sec. 1500.48 and 1500.49).
    (4) Lawn darts and other similar sharp-pointed toys usually intended 
for outdoor use and having the potential for causing puncture wound 
injury.
    (5) Caps (paper or plastic) intended for use with toy guns and toy 
guns not intended for use with caps if such caps when so used or such 
toy guns produce impulse-type sound at a peak pressure level at or above 
138 decibels, referred to 0.0002 dyne per square centimeter, when 
measured in an anechoic chamber at a distance of 25 centimeters (or the 
distance at which the sound source ordinarily would be from the ear of 
the child using it if such distance is less than 25 centimeters) in any 
direction from the source of the sound. This paragraph is an interim 
regulation pending further investigation to determine whether prevention 
of damage to the hearing of children requires revision hereof.
    (6) Any article known as a ``baby-bouncer,'' ``walker-jumper,'' or 
``baby-walker'' and any other similar article (referred to in this 
paragraph as ``article(s)'') which is intended to support very young 
children while sitting walking, bouncing, jumping, and/or reclining, and 
which because of its design has any exposed parts capable of causing 
amputation, crushing, lacerations, fractures, hematomas, bruises, or 
other injuries to fingers, toes, or other parts of the anatomy of young 
children. Included among, but not limited to, the design features of 
such articles which classify the articles as banned hazardous substances 
are:
    (i) The areas about the point on each side of the article where the 
frame components are joined together to form an ``X'' shape capable of 
producing a scissoring, shearing, or pinching effect.
    (ii) Other areas where two or more parts are joined in such a manner 
as to permit a rotational movement capable of exerting a scissoring, 
shearing, or pinching effect.
    (iii) Exposed coil springs which may expand sufficiently to allow an 
infant's finger, toe, or any other part of the anatomy to be inserted, 
in whole or in part, and injured by being caught between the coils of 
the spring or between the spring and another part of the article.
    (iv) Holes in plates or tubes which provide the possibility of 
insertion, in whole or in part, of a finger, toe, or any part of the 
anatomy that could then be injured by the movement of another part of 
the article.
    (v) Design and construction that permits accidental collapse while 
in use. (But see Sec. 1500.86(a)(4)).
    (7) Toys usually known as clacker balls and consisting of two balls 
of plastic or another material connected by a length of line or cord or 
similar connector (referred to as ``cord'' in Sec. 1500.86(a)(5)), 
intended to be operated in a rhythmic manner by an upward and downward 
motion of the hand so that the two balls will meet forcefully at the top 
and bottom of two semicircles thus causing a ``clacking'' sound, which 
toys present a mechanical hazard because their design or manufacture 
presents an unreasonable risk of personal injury from fracture, 
fragmentations, or disassembly of the toy and from propulsion of the toy 
or its part(s). (But see Sec. 1500.86(a)(5).) This does not include 
products that are constructed so that the connecting members consist of 
plastic rods integrally molded to the balls and are mounted on a pivot 
so that movement of the balls is essentially limited to a single plane.
    (8) Any pacifier that does not meet the requirements of 16 CFR part 
1511 and that is introduced into interstate commerce after February 26, 
1978.
    (9) Any toy or other article intended for use by children under 3 
years of age which presents a choking, aspiration, or ingestion hazard 
because of small parts as determined by part 1501 of this chapter and 
which is introduced into interstate commerce after January 1, 1980. For 
purposes of this regulation, introduction into interstate commerce is 
defined as follows: A toy or children's article manufactured outside the 
United States is introduced into interstate commerce when it is first 
brought within a U.S. port of entry. A toy or children's article 
manufactured in the United States is introduced into interstate commerce 
(1) at the time of its first interstate sale, or (2) at the

[[Page 428]]

time of its first intrastate sale if one or more of its components and/
or raw materials were received interstate, whichever occurs earlier. 
Part 1501 defines the term ``toy or other article intended for use by 
children under 3,'' as used in this regulation, and exempts certain 
products from banning under this regulation.
    (10)-(11) [Reserved]
    (12) Any bicycle as defined in Sec. 1512.2(a) of this chapter 
(except a bicycle that is a ``track bicycle'' or a ``one-of-a-kind 
bicycle'' as defined in Sec. 1512.2 (d) and (e) of this chapter) that is 
introduced into interstate commerce on or after May 11, 1976, and that 
does not comply with the requirements of part 1512 of this chapter, 
except for Sec. Sec. 1512.5(c)(3), 1512.9(a), 1512.18(e) and 1512.18(f) 
which become effective November 13, 1976.
    (13) Any full-size baby crib (as defined in Sec. 1508.1(a) of this 
chapter) that is introduced into interstate commerce on or after 
February 1, 1974, and that does not comply with the requirements of 
Sec. Sec. 1508.2 through 1508.10 of this chapter; and any full size baby 
crib (as defined in Sec. 1508.1(a) of this chapter) that is manufactured 
on or after April 27, 1983, and that does not comply with 
Sec. Sec. 1508.2 through 1508.11 of this chapter.
    (14) Any non-full-size baby crib (as defined in Sec. 1509.2 of this 
chapter) that is introduced into interstate commerce after August 9, 
1976, and that does not comply with the requirements of Sec. Sec. 1509.3 
through 1509.12 of this chapter; and any non-full size baby crib (as 
defined in Sec. 1509.2 of this chapter) that is manufactured on or after 
April 27, 1983, and that does not comply with Sec. Sec. 1509.3 through 
1509.13 of this chapter.
    (15) Any rattle (as defined in Sec. 1510.2 of this chapter) that is 
introduced into interstate commerce on or after August 21, 1978, and 
that does not comply with the requirements of part 1510 of this chapter. 
For purposes of the regulation, introduction into interstate commerce is 
defined as follows: A rattle manufactured outside the United States is 
introduced into interstate commerce when it is first brought within a 
U.S. port of entry. A rattle manufactured in the United States is 
introduced into interstate commerce (a) at the time of its first 
interstate sale, or (b) at the time of its first intrastate sale if one 
or more of its components and/or raw materials were received interstate.
    (16)(i) Any article known as an ``infant cushion'' or ``infant 
pillow,'' and any other similar article, which has all of the following 
characteristics:
    (A) Has a flexible fabric covering. The term fabric includes those 
materials covered by the definition of ``fabric'' in section 2(f) of the 
Flammable Fabrics Act, 15 U.S.C. 1191(f).
    (B) Is loosely filled with a granular material, including but not 
limited to, polystyrene beads or pellets.
    (C) Is easily flattened.
    (D) Is capable of conforming to the body or face of an infant.
    (E) Is intended or promoted for use by children under one year of 
age.
    (ii) Findings--(A) General. In order to issue a rule under section 
2(q)(1) of the Federal Hazardous Substance Act (FHSA), 15 U.S.C. 
1261(q)(1), classifying a substance or article as a banned hazardous 
substance, the FHSA requires the Commission to make certain findings and 
to include these findings in the regulation. These findings are 
discussed in paragraphs (a)(16)(ii) (B) through (D) of this section.
    (B) Voluntary standard. No findings concerning compliance with or 
adequacy of a voluntary standard are necessary since no voluntary 
standard addressing infant cushions has been adopted or implemented.
    (C) Relationship of benefits to costs. The Commission estimates that 
the removal of infant cushions from the market will result in total 
annual benefits of approximately five million dollars. The potential 
costs to businesses are expected to be offset by production of other 
products, and the potential costs to consumers are likely to be offset 
by the availability of substitutes for a comparable price.
    (D) Least burdensome requirement. The Commission considered labeling 
and a design or performance standard as alternatives to the ban. The 
Commission does not believe that any form of labeling would have a 
significant effect in preventing the hazard associated with infant 
cushions. The Commission also concluded that no feasible standard exists 
that would address the hazard.

[[Page 429]]

Thus, the Commission determined that a ban of infant cushions is the 
least burdensome alternative that would prevent or adequately reduce the 
risk of injury.
    (17) Any ball intended for children under three years of age that, 
under the influence of its own weight, passes, in any orientation, 
entirely through a circular hole with a diameter of 1.75 inches (44.4 
mm.) in a rigid template \1/4\ inches (6 mm.) thick. In testing to 
evaluate compliance with this paragraph, the diameter of opening in the 
Commission's test template shall be no greater than 1.75 inches (44.4 
mm.).
    (i) For the purposes of this paragraph, the term ``ball'' includes 
any spherical, ovoid, or ellipsoidal object that is designed or intended 
to be thrown, hit, kicked, rolled, dropped, or bounced. The term 
``ball'' includes any spherical, ovoid, or ellipsoidal object that is 
attached to a toy or article by means of a string, elastic cord, or 
similar tether. The term ``ball'' also includes any multi-sided object 
formed by connecting planes into a generally spherical, ovoid, or 
ellipsoidal shape that is designated or intended to be used as a ball, 
and any novelty item of a generally spherical, ovoid, or ellipsoidal 
shape that is designated or intended to be used as a ball.
    (ii) The term ``ball'' does not include dice, or balls permanently 
enclosed inside pinball machines, mazes, or similar outer containers. A 
ball is permanently enclosed if, when tested in accordance with 16 CFR 
1500.52, the ball is not removed from the outer container.
    (iii) In determining whether such a ball is intended for use by 
children under three years of age, the criteria specified in 16 CFR 
1501.2(b) and the enforcement procedure established by 16 CFR 1501.5 
shall apply.
    (18)(i) Any bunk bed (as defined in Sec. 1513.2(c) of this chapter) 
that does not comply with the requirements of part 1513 of this chapter.
    (ii) Findings. In order to issue a rule under Section 3(e) of the 
Federal Hazardous Substances Act (FHSA), 15 U.S.C. 1262(e), classifying 
a toy or other article intended for use by children as a hazardous 
substance on the basis that it presents a mechanical hazard (as defined 
in Section 2(s) of the FHSA), the FHSA requires the Commission to make 
the following findings and to include these findings in the regulation: 
Bunk beds present a mechanical hazard; Where a voluntary standard has 
been adopted and implemented by the affected industry, that compliance 
with such voluntary standard is not likely to result in the elimination 
or adequate reduction of the risk of injury, or it is unlikely that 
there will be substantial compliance with such voluntary standard; The 
benefits expected from the rule bear a reasonable relationship to its 
costs; and The rule imposes the least burdensome requirement that 
prevents or adequately reduces the risk of injury for which the rule is 
being promulgated. These findings are made in the Appendix to Part 1513.
    (19)(i) Dive sticks, and other similar articles, that are used in 
swimming pools or other water environments for such activities as 
underwater retrieval games or swimming instruction, and which, when 
placed in the water, submerge and rest at the bottom of the pool. This 
includes products that are pre-weighted to sink to the bottom and 
products that are designed to allow the user to adjust the weight. Dive 
sticks and similar articles that come to rest underwater at an angle 
greater than 45 degrees from vertical when measured under the test at 
Sec. 1500.86(a)(7) and dive sticks and similar articles that maintain a 
compressive force of less than 5-lbf under the test at 
Sec. 1500.86(a)(8) are exempt from this banning rule. Articles that have 
a continuous circular shape, such as dive rings and dive disks are also 
exempt.
    (ii)(A) Findings. In order for the Commission to issue a rule under 
section 2(q)(1) of the FHSA classifying a substance or article as a 
banned hazardous substance, the Commission must make certain findings 
and include these findings in the regulation. 15 U.S.C. 1262(i)(2). 
These findings are discussed in paragraphs (a)(18)(ii)(B) through (D) of 
this section.
    (B) Voluntary standard. No findings concerning compliance with and 
adequacy of a voluntary standard are necessary because no relevant 
voluntary standard addressing the risk of injury

[[Page 430]]

posed by dive sticks has been adopted and implemented.
    (C) Relationship of benefits to costs. The Commission estimates the 
potential benefits of removing hazardous dive sticks from the market to 
be 2 to 4 cents per dive stick. With the availability of substitutes and 
the expected low cost of modifying dive sticks to conform to the rule, 
the Commission anticipates that necessary changes will be minimal. The 
Commission estimates that the costs of the rule will be no more than 2 
to 4 cents per dive stick. Thus, the Commission finds that there is a 
reasonable relationship between the expected benefits of the rule and 
its costs.
    (D) Least burdensome requirement. The Commission considered pursuing 
voluntary recalls, following a voluntary standard, requiring labeling or 
changing the scope of the rule. A banning rule would be more effective 
than case-by-case recalls because the impalement hazard affects all dive 
sticks, not a specific brand or model. Awaiting recalls would allow 
these hazardous items on the market until the Commission obtained 
recalls. No applicable voluntary standard exists, and compliance may be 
low if one did. Although labeling could help reduce the risk of injuries 
from dive sticks, it would be less effective than a banning rule. It may 
be difficult for a label to convey the necessary information at the time 
of use. Modifying the scope so that the rule would only apply to pre-
weighted dive sticks would continue to permit hazardous items because 
the unweighted dive sticks can easily be weighted to stand vertically at 
the bottom of the water. Thus, the Commission finds that a ban of dive 
sticks with the hazardous characteristics it has identified is the least 
burdensome alternative that would adequately reduce the risk of injury.
    (b) Electrically operated toys and other electrical operated 
children's articles presenting electrical, thermal, and/or certain 
mechanical hazards. Under the authority of section 2(f)(1)(D) of the act 
and pursuant to provisions of section 3(e) of the act, the Commission 
has determined that the following types of electrically operated toys or 
other electrically operated articles intended for use by children 
present electrical, thermal, and/or certain mechanical hazards within 
the meaning of section 2 (r), (s), and/or (t) of the act because in 
normal use or when subjected to reasonably foreseeable damage or abuse, 
the design or manufacture may cause personal injury or illness by 
electric shock and/or presents an unreasonable risk of personal injury 
or illness because of heat as from heated parts, substances, or 
surfaces, or because of certain mechanical hazards.
    (1) Any electrically operated toy or other electrically operated 
article intended for use by children (as defined in Sec. 1505.1(a)(1)) 
that is introduced into interstate commerce and which does not comply 
with the requirements of part 1505 of this chapter.

    Note: Paragraph (b)(1) was originally promulgated as 21 CFR 
191.9a(b)(1) with an effective date of September 3, 1973 (38 FR 6138).

    (2) [Reserved]
    (c) Toys and other articles (not electrically operated) presenting 
electric hazards. Under the authority of section 2(f)(1)(D) of the act 
and pursuant to provisions of section 3(e) of the act, the Commission 
has determined that the following types of toys or other articles 
intended for use by children (not electrically operated) present an 
electrical hazard within the meaning of section 2(r) of the act.
    (1) Any kite 10 inches or greater in any dimension constructed of 
aluminized polyester film or any kite having a tail or other component 
consisting of a piece of aluminized polyester film 10 inches or greater 
in any dimension presents an electrical hazard and is a banned hazardous 
substance because its design (specifically its size and electrical 
conductivity) presents a risk of personal injury from electric shock due 
to its ability to conduct electricity and to become entangled in or 
otherwise contact high voltage electric power lines.

[[Page 431]]

    (2) [Reserved]

(15 U.S.C. 1261 (f)(1)(D), (g)(1)(A), (r); 15 U.S.C. 1262(e)(1); 15 
U.S.C. 2079(a))

[38 FR 27012, Sept. 27, 1973, as amended at 38 FR 30105, Nov. 1, 1973; 
38 FR 32132, Nov. 21, 1973; 41 FR 4144, Jan. 28, 1976; 41 FR 6240, Feb. 
12, 1976; 42 FR 36823, July 18, 1977; 42 FR 61594, Dec. 6, 1977; 43 FR 
22005, May 23, 1978; 44 FR 34903, June 15, 1979; 44 FR 55819, Sept. 28, 
1979; 48 FR 16, Jan. 3, 1983; 48 FR 57268, Dec. 29, 1983; 53 FR 46839, 
Nov. 18, 1988; 57 FR 27915, June 23, 1992; 59 FR 9076, Feb. 25, 1994; 60 
FR 10752, Feb. 27, 1995; 64 FR 71907, Dec. 22, 1999; 66 FR 13650, Mar. 
7, 2001]



Sec. 1500.19  Misbranded toys and other articles intended for use by children.

    (a) Definitions. For the purposes of this section, the following 
definitions shall apply.
    (1) Ball means a spherical, ovoid, or ellipsoidal object that is 
designed or intended to be thrown, hit, kicked, rolled, dropped, or 
bounced. The term ``ball'' includes any spherical, ovoid, or ellipsoidal 
object that is attached to a toy or article by means of a string, 
elastic cord, or similar tether. The term ``ball'' also includes any 
multi-sided object formed by connecting planes into a generally, 
spherical, ovoid, or ellipsoidal shape that is designated or intended to 
be used as a ball, and any novelty item of a generally spherical, ovoid, 
or ellipsoidal shape that is designated or intended to be used as a 
ball. The term ``ball'' does not include dice, or balls permanently 
enclosed inside pinball machines, mazes, or similar outer containers. A 
ball is permanently enclosed if, when tested in accordance with 16 CFR 
1500.53, it is not removed from the outer container.
    (2) Small ball means a ball that, under the influence of its own 
weight, passes, in any orientation, entirely through a circular hole 
with a diameter of 1.75 inches (44.4 mm.) in a rigid template \1/4\ 
inches (6 mm.) thick. In testing to evaluate compliance with this 
regulation, the diameter of opening in the Commission's test template 
shall be no greater than 1.75 inches (44.4 mm.).
    (3) Latex balloon means a toy or decorative item consisting of a 
latex bag that is designed to be inflated by air or gas. The term does 
not include inflatable children's toys that are used in aquatic 
activities such as rafts, water wings, swim rings, or other similar 
items.
    (4) Marble means a ball made of a hard material, such as glass, 
agate, marble or plastic, that is used in various children's games, 
generally as a playing piece or marker. The term ``marble'' does not 
include a marble permanently enclosed in a toy or game. A marble is 
permanently enclosed if, when tested in accordance with 16 CFR 1500.53, 
it is not removed from the toy or game.
    (5) Small part means any object which, when tested in accordance 
with the procedures contained in 16 CFR 1501.4(a) and 1501.4(b)(1), fits 
entirely within the cylinder shown in Figure 1 appended to 16 CFR part 
1501. The use and abuse testing provisions of 16 CFR 1500.51 through 
1500.53 and 1501.4(b)(2) do not apply to this definition.
    (6) Package or packaging refers to the immediate package in which a 
product subject to labeling under section 24 of the act is sold, as well 
as to any outer container or wrapping for that package.
    (7) Descriptive material means any discrete piece of written 
material separate from the label of the package that contains an 
instruction (whether written or otherwise) for the use of a product 
subject to these labeling requirements, any depiction of the product, 
and any written material that specifically describes any function, use, 
warnings, user population, design or material specification, or other 
characteristic of the product. A catalog or other marketing material or 
advertisement that depicts other products in addition to the product it 
accompanies is not ``descriptive material'' unless it contains 
additional information, such as instructions for use of the product it 
accompanies or lists of accessories exclusively for use with that 
product, that are designed to focus the purchaser's attention on the 
product. Descriptive material ``accompanies'' a product subject to the 
labeling requirements when it is packaged with the product or when it is 
intended to be distributed with the product at the time of sale or 
delivery to the purchaser. ``Descriptive material'' does not include 
statements that appear on

[[Page 432]]

the package of a product subject to the labeling requirements. 
``Descriptive material'' does not include material intended solely for 
use by children if the package it accompanies contains a separate 
package insert prominently identified as a warning for parents that 
contains the required precautionary statements.
    (8) Bin and container for retail display mean containers in which 
multiple unpackaged and unlabeled items are held for direct selection by 
and sale to consumers.
    (b) Misbranded toys and children's articles. Pursuant to sections 
2(p) and 24 of the FHSA, the following articles are misbranded hazardous 
substances if their packaging, any descriptive material that accompanies 
them, and, if unpackaged and unlabeled, any bin in which they are held 
for sale, any container in which they are held for retail display, or 
any vending machine from which they are dispensed, fails to bear the 
labeling statements required in paragraphs (b) (1) through (4) and 
paragraph (f)(3) of this section, or if such labeling statements fail to 
comply with the prominence and conspicuousness requirements of paragraph 
(d) of this section.
    (1) With the exception of books and other articles made of paper, 
writing materials such as crayons, chalk, pencils, and pens, modeling 
clay and similar products, fingerpaints, watercolors, and other paint 
sets, and any other article identified in 16 CFR 1501.3 (other than 
balloons), any article that is a toy or game intended for use by 
children who are at least three years old but less than six years of age 
shall bear or contain the following cautionary statement if the toy or 
game includes a small part:
[GRAPHIC] [TIFF OMITTED] TR27FE95.001

    (2) Any latex balloon, or toy or game that contains a latex balloon, 
shall bear the following cautionary statement:
[GRAPHIC] [TIFF OMITTED] TR27FE95.002

    (3)(i) Any small ball intended for children three years of age or 
older shall bear the following cautionary statement:

[[Page 433]]

[GRAPHIC] [TIFF OMITTED] TR27FE95.003

    (ii) Any toy or game intended for children who are at least three 
years old but less than eight years of age that contains a small ball 
shall bear the following cautionary statement:
[GRAPHIC] [TIFF OMITTED] TR27FE95.004

    (4)(i) Any marble intended for children three years of age or older 
shall bear the following cautionary statement:
[GRAPHIC] [TIFF OMITTED] TR27FE95.005

    (ii) Any toy or game intended for children who are at least three 
years old but less than eight years of age that contains a marble shall 
bear the following cautionary statement:
[GRAPHIC] [TIFF OMITTED] TR27FE95.006

    (c) Age of intended user. In determining the ages of the children 
for which any toy or article subject to this

[[Page 434]]

section is intended, the following factors are relevant: the 
manufacturer's stated intent (such as the age stated on a label) if it 
is reasonable; the advertising, marketing, and promotion of the article; 
and whether the article is commonly recognized as being intended for 
children in this age group. In enforcing this provision, the Commission 
will follow the procedures set forth in 16 CFR 1501.5.
    (d) Prominence and conspicuousness of labeling statements. The 
requirements of 16 CFR 1500.121 relating to the prominence and 
conspicuousness of precautionary labeling statements for hazardous 
substances shall apply to any labeling statement required under 
Sec. 1500.19(b) and (f), with the following clarifications and 
modifications.
    (1) All labeling statements required by Sec. 1500.19(b) and (f) 
shall be in the English language. The statements required by paragraph 
(b) need not appear in the format and layout depicted in paragraph (b). 
The statements required by 16 CFR 1500.19(b) and (f) shall be blocked 
together within a square or rectangular area, with or without a border. 
This means that the statements must appear on at least two lines. The 
statements shall be separated from all other graphic material by a space 
no smaller than the minimum allowable height of the type size for other 
cautionary material (e.g., the phrase ``Not for children under 3 
yrs.''). If not separated by that distance, the labeling statements must 
be surrounded by a border line. Label design, the use of vignettes, or 
the proximity of other labeling or lettering shall not obscure or render 
inconspicuous any labeling statement required under Sec. 1500.19(b) and 
(f). This means that such statements shall appear on a solid background, 
which need not differ from the background color or any other color on 
the package label.
    (2) The words ``WARNING'' or ``SAFETY WARNING'' required by section 
24 of the FHSA shall be regarded as signal words.
    (3) The statement ``CHOKING HAZARD'' shall be regarded as a 
statement of the principal hazard associated with the products subject 
to this section.
    (4) All other remaining statements required by this section shall be 
regarded as ``other cautionary material'' as that term is defined in 16 
CFR 1500.121(a)(2)(viii).
    (5) The principal display panel for a bin, container for retail 
display, or vending machine shall be the side or surface designed to be 
most prominently displayed, shown, or presented to, or examined by, 
prospective purchasers. In the case of bins or containers for retail 
display, the cautionary material may be placed on a display card of a 
reasonable size in relationship to the surface area of the bin or 
container. The area of the display card shall constitute the area of the 
principal display panel. In the case of vending machines that contain a 
display card, the cautionary label may be placed either on the display 
card, on the coinage indicator decal, or on the glass or clear plastic 
of the machine. If there is no display card inside a vending machine, 
the size of the principal display panel will be calculated in accordance 
with 16 CFR 1500.121(c) based on the size of the front of the container 
from which items are dispensed, exclusive of the area of metal 
attachments, coin inserts, bases, etc. Any other side or surface of such 
a bin, container for retail sale, or vending machine that bears 
information, such as price or product description, for examination by 
purchasers shall be deemed to be a principal display panel, excluding 
any side or surface with information that only identifies the company 
that owns or operates a vending machine.
    (6) All of the labeling statements required by this section, 
including those classified as ``other cautionary material,'' must appear 
on the principal display panel of the product, except as provided for by 
Sec. 1500.19(f). Any signal word shall appear on the same line and in 
close proximity to the triangle required by section 24 of the act. 
Multiple messages should be provided with sufficient space between them, 
when feasible, to prevent them from visually blending together.
    (7) All labeling statements required by this section shall comply 
with the following type size requirements. 16 CFR 1500.121(c)(1) 
explains how to compute the area of the principal display panel and 
letter height.

[[Page 435]]



Area sq. in.......................      0-2     +2-5    +5-10    +10-15    +15-30    +30-100    +100-400    +400
Type Size.........................  .......  .......  .......  ........  ........  .........  ..........  ......
Sig. Wd...........................      \3/      \1/      \3/  \7/64\''   \1/8\''   \5/32\''     \1/4\''     \1/
                                      64\''    16\''    32\''                                               2\''
St. Haz...........................      \3/      \3/      \1/  \3/32\''  \3/32\''   \7/64\''    \5/32\''     \1/
                                      64\''    64\''    16\''                                               4\''
Oth. Mat..........................      \1/      \3/      \1/  \1/16\''  \5/64\''   \3/32\''    \7/64\''     \5/
                                      32\''    64\''    16\''                                              32\''
 

    (8) Labeling required by this section that appears on a bin, 
container for retail display, or vending machine shall be in reasonable 
proximity to any pricing or product information contained on the 
principal display panel, or, if such information is not present, in 
close proximity to the article that is subject to the labeling 
requirements.
    (9) Descriptive material that accompanies a product subject to the 
labeling requirements, including accompanying material subject to the 
alternative allowed by Sec. 1500.19(f), shall comply with the 
requirements of 16 CFR 1500.121(c)(6) relating to literature containing 
instructions for use which accompanies a hazardous substance. If the 
descriptive material contains instructions for use, the required 
precautionary labeling shall be in reasonable proximity to such 
instructions or directions and shall be placed together within the same 
general area (see 16 CFR 1500.121(c)(6)).
    (10) In the case of any alternative labeling statement permitted 
under Sec. 1500.19(e), the requirements of 16 CFR 1500.121(b)(3) and 
1500.121(c)(2)(iii) shall apply to statements or indicators on the 
principal display panel directing attention to the complete cautionary 
labeling that appears on another display panel.
    (11) Any triangle required by this section shall be an equilateral 
triangle. The height of such a triangle shall be equal to or exceed the 
height of the letters of the signal word ``WARNING''. The height of the 
exclamation point inside the triangle shall be at least half the height 
of the triangle, and the exclamation point shall be centered vertically 
in the triangle. The triangle shall be separated from the signal word by 
a distance at least equal to the space occupied by the first letter of 
the signal word. In all other respects, triangles with exclamation 
points shall conform generally to the provisions of 16 CFR 1500.121 
relating to signal words.
    (e) Combination of labeling statements. The labels of products that 
contain more than one item subject to the requirements of this section 
may combine information relating to each of the respective hazards, if 
the resulting condensed statement contains all of the information 
necessary to describe the hazard presented by each article. However, in 
the case of a product that contains a balloon and another item subject 
to the labeling requirements, only the signal word and statement of 
hazard may be combined.
    (f) Alternative labeling statements for small packages. Any 
cautionary statement required by section 1500.19(b) may be displayed on 
a display panel of the package of a product subject to the labeling 
requirement other than the principal display panel only if:
    (1) The package has a principal display panel of 15 square inches or 
less,
    (2) The full labeling statement required by paragraph (b) of this 
section is displayed in three or more languages on another display panel 
of the package of the product, and
    (3)(i) In the case of a toy or game subject to Sec. 1500.19(b)(1), a 
small ball subject to Sec. 1500.19(b)(3), a marble subject to 
Sec. 1500.19(b)(4), or a toy or game containing such a ball or marble, 
the principal display panel of the package bears the statement:
[GRAPHIC] [TIFF OMITTED] TR27FE95.007


[[Page 436]]



and bears an arrow or other indicator pointing toward or directing the 
purchaser's attention to the display panel on the package where the full 
labeling statement appears, or
    (ii) In the case of a balloon subject to Sec. 1500.19(b)(2) or a toy 
or game containing such a balloon, the principal display panel bears the 
statement:
[GRAPHIC] [TIFF OMITTED] TR27FE95.008


and bears an arrow or other indicator pointing toward or directing the 
purchaser's attention to the display panel on the package where the full 
labeling statement appears.
    (g) Alternative for products manufactured outside the United States. 
In the case of a product subject to the labeling requirements of 
Sec. 1500.19(b) which is manufactured outside the United States and is 
shipped directly from the manufacturer to the consumer by United States 
mail or other delivery service in an immediate package that contains 
descriptive material, the descriptive material inside the immediate 
package of the product need not bear the required labeling statement 
only if the shipping container of the product contains other 
accompanying material that bears the required statements displayed in a 
prominent and conspicuous manner. Products shipped from abroad to a U.S. 
affiliate for shipment to consumers are included within the scope of 
this exception.
    (h) Preemption. Section 101(e) of the Child Safety Protection Act of 
1994 prohibits any state or political subdivision of a state from 
enacting or enforcing any requirement relating to cautionary labeling 
addressing small parts hazards or choking hazards associated with any 
toy, game, marble, small ball, or balloon intended or suitable for use 
by children unless the state or local requirement is identical to a 
requirement established by section 24 of the FHSA or by 16 CFR 1500.19. 
Section 101(e) allows a state or political subdivision of a state to 
enforce a non-identical requirement relating to cautionary labeling 
warning of small parts hazards or choking hazards associated with any 
toy subject to the provisions of section 24 of FHSA until January 1, 
1995, if the non-identical requirement was in effect on October 2, 1993.

[60 FR 10752, Feb. 27, 1995, as amended at 60 FR 41802, Aug. 14, 1995]



Sec. 1500.40  Method of testing toxic substances.

    The method of testing the toxic substances referred to in 
Sec. 1500.3(c) (1)(ii)(C) and (2)(iii) is as follows:
    (a) Acute dermal toxicity (single exposure). In the acute exposures, 
the agent is held in contact with the skin by means of a sleeve for 
periods varying up to 24 hours. The sleeve, made of rubber dam or other 
impervious material, is so constructed that the ends are reinforced with 
additional strips and should fit snugly around the trunk of the animal. 
The ends of the sleeve are tucked, permitting the central portion to 
``balloon'' and furnish a reservoir for the dose. The reservoir must 
have sufficient capacity to contain the dose without pressure. In the 
following table are given the dimensions of sleeves and the approximate 
body surface exposed to the test substance. The sleeves may vary in size 
to accommodate smaller or larger subjects. In the testing of unctuous 
materials that adhere readily to the skin, mesh wire screen may be 
employed instead of the sleeve. The screen is padded and raised 
approximately 2 centimeters from the exposed skin. In the case of dry 
powder preparations, the skin and substance are moistened with 
physiological saline prior to exposure. The sleeve or screen is then 
slipped over the gauze that holds the dose applied to the skin. In the 
case of finely divided powders, the measured dose is evenly distributed 
on cotton gauze which is then secured to the area of exposure.

[[Page 437]]



                                                  Dimensions of Sleeves for Acute Dermal Toxicity Test
                                                                 [Test animal--Rabbits]
--------------------------------------------------------------------------------------------------------------------------------------------------------
                          Measurements in centimeters                                                                                Average percentage
--------------------------------------------------------------------------------    Range of weight of    Average area of exposure      of total body
                       Diameter at ends                         Overall length       animals (grams)        (square centimeters)           surface
--------------------------------------------------------------------------------------------------------------------------------------------------------
 7.0                                                                       12.5              2,500-3,500                       240                  10.7
--------------------------------------------------------------------------------------------------------------------------------------------------------

    (b) Preparation of test animal. The animals are prepared by clipping 
the skin of the trunk free of hair. Approximately one-half of the 
animals are further prepared by making epidermal abrasions every 2 or 3 
centimeters longitudinally over the area of exposure. The abrasions are 
sufficiently deep to penetrate the stratum corneum (horny layer of the 
epidermis) but not to distrub the derma; that is, not to obtain 
bleeding.
    (c) Procedures for testing. The sleeve is slipped onto the animal 
which is then placed in a comfortable but immobilized position in a 
multiple animal holder. Selected doses of liquids and solutions are 
introduced under the sleeve. If there is slight leakage from the sleeve, 
which may occur during the first few hours of exposure, it is collected 
and reapplied. Dosage levels are adjusted in subsequent exposures (if 
necessary) to enable a calculation of a dose that would be fatal to 50 
percent of the animals. This can be determined from mortality ratios 
obtained at various doses employed. At the end of 24 hours the sleeves 
or screens are removed, the volume of unabsorbed material (if any) is 
measured, and the skin reactions are noted. The subjects are cleaned by 
thorough wiping, observed for gross symptoms of poisoning, and then 
observed for 2 weeks.



Sec. 1500.41  Method of testing primary irritant substances.

    Primary irritation to the skin is measured by a patch-test technique 
on the abraded and intact skin of the albino rabbit, clipped free of 
hair. A minimum of six subjects are used in abraded and intact skin 
tests. Introduce under a square patch, such as surgical gauze measuring 
1 inch by 1 inch and two single layers thick, 0.5 milliliter (in the 
case of liquids) or 0.5 gram (in the case of solids and semisolids) of 
the test substance. Dissolve solids in an appropriate solvent and apply 
the solution as for liquids. The animals are immobilized with patches 
secured in place by adhesive tape. The entire trunk of the animal is 
then wrapped with an impervious material, such as rubberized cloth, for 
the 24-hour period of exposure. This material aids in maintaining the 
test patches in position and retards the evaporation of volatile 
substances. After 24 hours of exposure, the patches are removed and the 
resulting reactions are evaluated on the basis of the designated values 
in the following table:

------------------------------------------------------------------------
                        Skin reaction                          Value \1\
------------------------------------------------------------------------
Erythema and eschar formation:
  No erythema................................................          0
  Very slight erythema (barely perceptible)..................          1
  Well-defined erythema......................................          2
  Moderate to severe erythema................................          3
  Severe erythema (beet redness) to slight eschar formations           4
   (injuries in depth).......................................
Edema formation:
  No edema...................................................          0
  Very slight edema (barely perceptible).....................          1
  Slight edema (edges of area well defined by definite                 2
   raising)..................................................
  Moderate edema (raised approximately 1 millimeter).........          3
  Severe edema (raised more than 1 millimeter and extending            4
   beyond the area of exposure)..............................
------------------------------------------------------------------------
\1\ The ``value'' recorded for each reading is the average value of the
  six or more animals subject to the test.


Readings are again made at the end of a total of 72 hours (48 hours 
after the first reading). An equal number of exposures are made on areas 
of skin that have been previously abraded. The abrasions are minor 
incisions through the stratum corneum, but not sufficiently deep to 
disturb the derma or to produce bleeding. Evaluate the reactions of the 
abraded skin at 24 hours and 72 hours, as described in this paragraph. 
Add the values for erythema and eschar formation at 24 hours and at 72 
hours for intact skin to the values on abraded skin at 24 hours and at 
72 hours (four values). Similarly, add the values for edema formation at 
24 hours

[[Page 438]]

and at 72 hours for intact and abraded skin (four values). The total of 
the eight values is divided by four to give the primary irritation 
score; for example:

------------------------------------------------------------------------
                                                    Exposure
                  Skin reaction                       time    Evaluation
                                                    (hours)      value
------------------------------------------------------------------------
Erythema and eschar formation:
  Intact skin....................................         24           2
   Do............................................         72           1
  Abraded skin...................................         24           3
   Do............................................         72           2
                                                  ----------------------
     Subtotal....................................  .........           8
                                                  ======================
Edema formation:
  Intact skin....................................         24           0
   Do............................................         72           1
  Abraded skin...................................         24           1
   Do............................................         72           2
                                                  ----------------------
     Subtotal....................................  .........           4
                                                  ======================
     Total.......................................  .........          12
------------------------------------------------------------------------


Thus, the primary irritation score is 12/4=3.



Sec. 1500.42  Test for eye irritants.

    (a)(1) Six albino rabbits are used for each test substance. Animal 
facilities for such procedures shall be so designed and maintained as to 
exclude sawdust, wood chips, or other extraneous materials that might 
produce eye irritation. Both eyes of each animal in the test group shall 
be examined before testing, and only those animals without eye defects 
or irritation shall be used. The animal is held firmly but gently until 
quiet. The test material is placed in one eye of each animal by gently 
pulling the lower lid away from the eyeball to form a cup into which the 
test substance is dropped. The lids are then gently held together for 
one second and the animal is released. The other eye, remaining 
untreated, serves as a control. For testing liquids, 0.1 milliliter is 
used. For solids or pastes, 100 milligrams of the test substance is 
used, except that for substances in flake, granule, powder, or other 
particulate form the amount that has a volume of 0.1 milliliter (after 
compacting as much as possible without crushing or altering the 
individual particles, such as by tapping the measuring container) shall 
be used whenever this volume weighs less than 100 milligrams. In such a 
case, the weight of the 0.1 milliliter test dose should be recorded. The 
eyes are not washed following instillation of test material except as 
noted below.
    (2) The eyes are examined and the grade of ocular reaction is 
recorded at 24, 48, and 72 hours. Reading of reactions is facilitated by 
use of a binocular loupe, hand slit-lamp, or other expert means. After 
the recording of observations at 24 hours, any or all eyes may be 
further examined after applying fluorescein. For this optional test, one 
drop of fluorescein sodium ophthalmic solution U.S.P. or equivalent is 
dropped directly on the cornea. After flushing out the excess 
fluorescein with sodium chloride solution U.S.P. or equivalent, injured 
areas of the cornea appear yellow; this is best visualized in a darkened 
room under ultraviolet illumination. Any or all eyes may be washed with 
sodium chloride solution U.S.P. or equivalent after the 24-hour reading.
    (b)(1) An animal shall be considered as exhibiting a positive 
reaction if the test substance produces at any of the readings 
ulceration of the cornea (other than a fine stippling), or opacity of 
the cornea (other than a slight dulling of the normal luster), or 
inflammation of the iris (other than a slight deepening of the folds (or 
rugae) or a slight circumcorneal injection of the blood vessels), or if 
such substance produces in the conjunctivae (excluding the cornea and 
iris) an obvious swelling with partial eversion of the lids or a diffuse 
crimson-red with individual vessels not easily discernible.
    (2) The test shall be considered positive if four or more of the 
animals in the test group exhibit a positive reaction. If only one 
animal exhibits a positive reaction, the test shall be regarded as 
negative. If two or three animals a positive reaction, the test is 
repeated using a different group of six animals. The second test shall 
be considered positive if three or more of the animals exhibit a 
positive reaction. If only one or two animals in the second test exhibit 
a positive reaction, the test shall be repeated with a different group 
of six animals. Should a third test be needed, the substance will be 
regarded as an irritant if any animal exhibits a positive response.

[[Page 439]]

    (c) To assist testing laboratories and other interested persons in 
interpreting the results obtained when a substance is tested in 
accordance with the method described in paragraph (a) of this section, 
an ``Illustrated Guide for Grading Eye Irritation by Hazardous 
Substances'' will be sold by the Superintendent of Documents, U.S. 
Government Printing Office, Washington, D.C. 20402. \1\ The guide will 
contain color plates depicting responses of varying intensity to 
specific test solutions. The grade of response and the substance used to 
produce the response will be indicated.
---------------------------------------------------------------------------

    \1\ The Illustrated Guide is out of print and, as of January 1, 
1981, no longer available. However, information about the test method, 
and black and white photocopies may be obtained by writing to the 
Directorate for Epidemiology and Health Sciences, CPSC, Washington, D.C. 
20207, (301) 504-0957.

[38 FR 27012, Sept. 27, 1973; 38 FR 30105, Nov. 1, 1973; 62 FR 46667, 
Sept. 4, 1997]



Sec. 1500.43  Method of test for flashpoint of volatile flammable materials by Tagliabue open-cup apparatus.

                                  Scope

    1. (a) This method describes a test procedure for the determination 
of open-cup flashpoints of volatile flammable materials having 
flashpoints below 175  deg.F.
    (b) This method, when applied to paints and resin solutions which 
tend to skin over or which are very viscous, gives less reproducible 
results than when applied to solvents.

                            Outline of Method

    2. The sample is placed in the cup of a Tag Open Tester, and heated 
at a slow but constant rate. A small test flame is passed at a uniform 
rate across the cup at specified intervals. The flashpoint is taken as 
the lowest temperature at which application of the test flame causes the 
vapor at the surface of the liquid to flash, that is, ignite but not 
continue to burn.

                                Apparatus

    3. The Tag open-cup tester is illustrated in Fig. 1. It consists of 
the following parts, which must conform to the dimensions shown, and 
have the additional characteristics as noted:
[GRAPHIC] [TIFF OMITTED] TC03OC91.051

    (a) Copper bath, preferably equipped with a constant level overflow 
so placed as to maintain the bath liquid level \1/8\-inch below the rim 
of the glass cup.
    (b) Thermometer holder. Support firmly with ringstand and clamp.
    (c) Thermometer. For flashpoints above 40  deg.F., use the ASTM Tag 
Closed Tester Thermometer, range of +20 to +230  deg.F., in 1  deg.F. 
divisions, and conforming to thermometer 9F. of ASTM Standard E 1. For 
flashpoints from 20  deg.F. to 40  deg.F., use ASTM Tag Closed Tester, 
Low Range, Thermometer 57F. For flashpoints below 20  deg.F., use ASTM 
Thermometer 33F. The original Tag Open-Cup (Paper Scale) Thermometer 
will be a permissible alternate until January 1, 1962. It is calibrated 
to -20  deg.F.
    (d) Glass test cup. Glass test cup (Fig. 2), of molded clear glass, 
annealed, heat-resistant, and free from surface defects.

[[Page 440]]

[GRAPHIC] [TIFF OMITTED] TC03OC91.052

    (e) Leveling device. Leveling device or guide, for proper adjustment 
of the liquid level in the cup (Fig. 3). This shall be made of No. 18-
gage polished aluminum, with a projection for adjusting the liquid level 
when the sample is added to exactly \1/8\-inch below the level of the 
edge or rim of the cup.
[GRAPHIC] [TIFF OMITTED] TC03OC91.053

    (f) ``Micro,'' or small gas burner of suitable dimensions for 
heating the bath. A screw clamp may be used to help regulate the gas. A 
small electric heater may be used.
    (g) Ignition taper, which is a small straight, blow-pipe type gas 
burner. The test flame torch prescribed in the method of test for flash 
and fire points by Cleveland Open Cup (ASTM designation: D 92) is 
satisfactory.
    (h) Alternative methods for maintaining the ignition taper in a 
fixed horizontal plane above the liquid may be used, as follows:
    (1) Guide wire, \3/32\-inch in diameter and 3\1/2\ inches in length, 
with a right-angle bend \1/2\-inch from each end. This wire is placed 
snugly in holes drilled in the rim of the bath, so that the guide wire 
is \5/8\-inch from the center of the cup and resting on the rim of the 
cup.
    (2) Swivel-type taper holder, such as is used in ASTM METHOD D 92. 
The height and position of the taper are fixed by adjusting the holder 
on a suitable ringstand support adjacent to the flash cup.
    (i) Draft shield, consisting of two rectangular sheets of 
noncombustible material, 24 inches x 28 inches, are fastened together 
along the 28-inch side, preferably by hinges. A triangular sheet, 24 
inches x 24 inches x 34 inches is fastened by hinges to one of the 
lateral sheets (to form a top when shield is open). The interior of the 
draft shield shall be painted a flat black.

                                Procedure

    4. (a) Place the tester on a solid table free of vibration, in a 
location free of perceptible draft, and in a dim light.
    (b) Run water, brine, or water-glycol solution into the bath to a 
predetermined level, which will fill the bath to \1/8\-inch below the 
top when the cup is in place. An overflow is permissible for water-level 
control.
    (c) Firmly support the thermometer vertically halfway between the 
center and edge of the cup on a diameter at right angles to the guide 
wire, or on a diameter passing through the center of the cup and the 
pivot of the taper. Place so that the bottom of the bulb is \1/4\-inch 
from the inner bottom surface of the cup. If the old Tagliabue 
thermometer is used, immerse to well cover the mercury bulb, but not the 
wide body of the thermometer.
    (d) Fill the glass cup with the sample liquid to a depth just \1/8\-
inch below the edge, as determined by the leveling device.
    (e) Place the guide wire or swivel device in position, and set the 
draft shield around the tester so that the sides from right angles with 
each other and the tester is well toward the back of the shield.
    (f) If a guide wire is used, the taper, when passed, should rest 
lightly on the wire, with the end of the jet burner just clear of the 
edge of the guide wire. If the swivel-type holder is used, the 
horizontal and vertical positions to the jet are so adjusted that the 
jet passes on the circumference of a circle, having a radius of at least 
6 inches, across the center of the cup at right angles to the diameter 
passing through the thermometer, and in a plane \1/8\-inch above the 
upper edge of the cup. The taper should be kept in the ``off'' position, 
at one end or the other of the swing, except when the flame is applied.
    (g) Light the ignition flame and adjust it to form a flame of 
spherical form matching in size the \5/52\-inch sphere on the apparatus.
    (h) Adjust heater source under bath so that the temperature of the 
sample increases at a rate of 20.5  deg.F. per minute. With 
viscous materials this rate of heating cannot always be obtained.

                              Initial Test

    5. Determine an approximate flashpoint by passing the taper flame 
across the sample at

[[Page 441]]

intervals of 2  deg.F. Each pass must be in one direction only. The time 
required to pass the ignition flame across the surface of the sample 
should be 1 second. Remove bubbles from the surface of the sample liquid 
before starting a determination. Meticulous attention to all details 
relating to the taper, size of taper flame, and rate of passing the 
taper is necessary for good results. When determining the flashpoint of 
viscous liquids and those liquids that tend to form a film of polymer, 
etc., on the surface, the surface film should be disturbed mechanically 
each time before the taper flame is passed.

                             Recorded Tests

    6. Repeat the procedure by cooling a fresh portion of the sample, 
the glass cup, the bath solution, and the thermometer at least 20 
deg.F. below the approximate flashpoint. Resume heating, and pass the 
taper flame across the sample at two intervals of 2  deg.F. until the 
flashpoint occurs.

                             Reporting Data

    7. The average of not less than three recorded tests, other than the 
initial test, shall be used in determining the flashpoint and 
flammability of the substance.

                             Standardization

    8. (a) Make determinations in triplicate on the flashpoint of 
standard paraxylene and of standard isopropyl alcohol which meet the 
following specifications:
    (i) Specifications for p-xylene, flashpoint check grade. p-xylene 
shall conform to the following requirements;

Specific gravity: 15.56  deg.C./15.56  deg.C., 0.860 minimum, 0.866 
maximum
Boiling range: 2  deg.C. maximum from start to dry point when tested in 
accordance with the method of test for distillation of industrial 
aromatic hydrocarbons (ASTM designation: D 850), or the method of test 
for distillation range of lacquer solvents and diluents (ASTM) 
designation D 1078). The range shall include the boilng point of pure P-
xylene, which is 138.35  deg.C. (281.03  deg.F.).
Purity: 95 percent minimum, calculated in accordance with the method of 
test for determination of purity from freezing points of high-purity 
compounds (ASTM designation: D 1016), from the experimentally determined 
freezing point, measured by the method of test for measurement of 
freezing points of high-purity compounds for evaluation of purity (ASTM 
designation: D 1015).

    (ii) Specifications for ispropanol, flash point check grade. 
Isopropanol shall conform to the following requirements:

Specific gravity: 0.8175 to 0.8185 at 20  deg.C./20  deg.C. as 
determined by means of a calibrated pycnometer.
Distillation range: Shall entirely distill within a 1.0  deg.C. range 
which shall include the temperature 80.4  deg.C. as determined by ASTM 
method D 1078.

Average these values for each compound. If the difference between the 
values for these two compounds is less than 15  deg.F. (8.5  deg.C.) or 
more than 27  deg.F. (16  deg.C.), repeat the determinations or obtain 
fresh standards.
    (b) Calculate a correction factor as follows:

X = 92 - A
Y = 71 - B

Correction = (X + Y) / 2.

Where:

A=Observed flash of p- xylene, and
B=Observed flash of isopropyl alcohol.

Apply this correction of all determinations.
Half units in correction shall be discarded.

                                Precision

    9. (a) For hydrocarbon solvents having flashpoints between 60 
deg.F. and 110  deg.F., repeatability is 2  deg.F. and the 
reproducibility is 5  deg.F.
    (b) If results from two tests differ by more than 10  deg.F., they 
shall be considered uncertain and should be checked. This calibration 
procedure provided in this method will cancel out the effect of 
barometric pressure if calibration and tests are run at the same 
pressure. Data supporting the precision are given appendix III of the 
1956 Report of Committee D-1 on Paint, Varnish, Lacquers and Related 
Products, Proceedings, Am. Soc. Testing Mats., Vol. 56 (1956).
    Note: The test apparatus and procedure described in Sec. 1500.43 may 
be used by manufacturers and labelers of products subject to the Federal 
Hazardous Substances Act to determine flashpoint temperatures of those 
products under the conditions set forth in Sec. 1500.3(c)(6)(iv), as 
amended.

[51 FR 28537, Aug. 8, 1986]



Sec. 1500.43a  Method of test for flashpoint of volatile flammable materials.

    (a) Scope. (1) This method describes the test procedure which the 
Commission will use for the determination of the flashpoint of volatile 
flammable materials, using a Setaflash \1\ low-range closed tester, or 
an apparatus producing equivalent results. The method described in this 
section is essentially a Setaflash equilibrium procedure which closely 
parallels the test method designated ASTM D 3828-81, ``Standard Test 
Methods for Flash Point by

[[Page 442]]

Setaflash Closed Tester,'' published by the American Society for Testing 
and Materials (ASTM), 1916 Race Street, Philadelphia, Pennsylvania 
19103. Manufacturers and labelers of products subject to labeling and 
other requirements under the Federal Hazardous Substances Act may use 
other apparatus and/or test methods which produce equivalent results.
---------------------------------------------------------------------------

    \1\ Setaflash is a registered trademark of Stanhope-Seta Limited, 
Surrey, England.
---------------------------------------------------------------------------

    (2) At the option of the user, the procedures described in this 
section may be used to determine the actual flashpoint temperature of a 
sample or to determine whether a product will or will not flash at a 
specified temperature (flash/no flash).
    (3) If the substance to be tested has a viscosity greater than 150 
Stokes at 77  deg.F (25  deg.C), see paragraph (n) of this section for 
modifications to the testing procedure.
    (4) If the Commission has reason to believe on the basis of reliable 
experience or other relevant information or data that the flammability 
hazard of a substance is greater or less than its flammability 
classification based on flashpoint temperature determined in accordance 
with this Sec. 1500.43a and that the substance should be reclassified, 
the Commission will initiate a rulemaking proceeding for 
reclassification of the substance. Product manufacturers and labelers 
may use reliable experience or other relevant information or data in 
addition to the flashpoint temperature of a substance as a basis for 
compliance with any applicable requirements of the Federal Hazardous 
Substances Act in the absence of a rule issued by the Commission to 
reclassify the substance.
    (b) Summary of test methods. (1) Method A--Flash/No Flash Test. A 
specified volume of sample is introduced by a syringe into the cup of 
the apparatus that is set and maintained at the specified temperature. 
After a specific time a test flame is applied and an observation made as 
to whether or not a flash occurred. Test procedures are set forth in 
detail in Sec. 1500.43a(i).
    (2) Method B--Finite (or Actual) Flashpoint. (i) A specified voume 
of sample is introduced into the cup of the apparatus that is maintained 
at the expected flashpoint. After a specified time a test flame is 
applied and the observation made whether or not a flash occurred.
    (ii) The specimen is removed from the cup, the cup cleaned, and the 
cup temperature adjusted 5  deg.C (9  deg.F), lower or higher depending 
on whether or not a flash occurred previously. A fresh specimen is 
introduced and tested. This procedure is repeated until the flashpoint 
is established within 5  deg.C (9  deg.F).
    (iii) The procedure is then repeated at 1  deg.C (2  deg.F) 
intervals until the flashpoint is determined to the nearest 1  deg.C (2 
deg.F).
    (iv) If improved accuracy is desired the procedure is repeated at 
0.5  deg.C (1  deg.F). Test procedures are set forth in detail at 
Sec. 1500.43a(j).
    (3) The test procedures will be modified, where necessary, to ensure 
that the results obtained reflect the hazard of the substance under 
reasonably foreseeable conditions of use. Thus, for example, the 
material, if a mixture, will normally be tested as it comes from the 
container, and/or after a period of evaporation. The period of 
evaporation for a material which is a mixture will normally be the time 
required for the mixture to evaporate in an open beaker under ambient 
conditions to 90 percent of its original volume, or a period of four 
hours, whichever occurs first. However, this period of evaporation will 
be changed if the results obtained do not represent the hazard of the 
substance under reasonably foreseeable conditions of use.
    (c) Definition of flashpoint. The lowest temperature of the sample, 
corrected to a barometric pressure of 101.3 kPa (760 mm Hg), at which 
application of a test flame causes the vapor of the sample to ignite 
under specified conditions of test. The sample is deemed to have flashed 
when a large flame appears and instantaneously propagates itself over 
the surface of the sample. Occasionally, particularly near actual 
flashpoint, the application of the test flame will cause a halo or an 
enlarged flame; this is not a flash and should be ignored.
    (d) Test apparatus. The test apparatus is an equilibrium closed-cup 
tester with a range up to 100  deg.C (212  deg.F). The essential 
dimensions and requirements are shown in figure 1 and table 3, and

[[Page 443]]

are described in Sec. 1500.43a(m). Closed-cup flashpoint testers and 
accessories meeting these requirements are available from commercial 
suppliers and distributors of laboratory equipment.
    (e) Safety precautions. The operator must exercise and take 
appropriate safety precautions during the initial application of the 
test flame to the sample. Samples containing low-flash material may give 
an abnormally strong flash when the test flame is first applied.
    (f) Preparation of samples. (1) Erroneously high flashpoints may be 
obtained if precautions are not taken to avoid the loss of volatile 
material. In preliminary tests of materials taken directly from the 
container, do not open containers unnecessarily and make a transfer 
unless the sample temperature is at least 10  deg.C (18  deg.F) below 
the expected flashpoint. Do not use samples in leaky containers for this 
test.
    (2) Do not store samples in plastic (polyethylene, polypropylene, 
etc.) bottles since volatile material may diffuse through the walls of 
the bottle.
    (3) A 2-ml specimen is required for each test. If possible, obtain 
at least a 50-ml sample from the bulk test site and store in a clean, 
tightly closed container.
    (g) Preparation of apparatus. (1) Place the tester on a level, 
stable surface. Unless tests are made in a draft-free area, surround the 
tester on three sides with a shield for protection. Do not rely on tests 
made in a laboratory draft hood or near ventilators.
    (2) Read the manufacturer's instructions on the care and servicing 
of the instrument and for correct operation of its controls.
    (h) Calibration and standardization. (1) Before initial use 
determine and plot the relationship between the temperature control dial 
and the thermometer readings at each major (numbered) dial division as 
follows:
    Turn the temperature control knob \2\ fully counterclockwise (``O'' 
reading). Advance the temperature control knob clockwise until the 
indicator light is illuminated.\3\ Advance the knob clockwise to the 
next numbered line. After the thermometer mercury column ceases to 
advance, record the dial reading and the temperature. Advance the knob 
clockwise to the next numbered line. After the thermometer mercury 
column ceases to advance, read the dial reading and the temperature. 
Repeat this procedure through the full range of the instrument. Plot the 
dial readings versus the respective temperatures.
---------------------------------------------------------------------------

    \2\ If the instrument has two temperature control knobs, set the 
fine control (center, small knob) at its mid-position and allow it to 
remain there throughout the calibration. The calibration is determined 
by adjusting the coarse control (large, outer knob) only.
    \3\ When using the tester, it will be found that the indicator light 
may not illuminate and the temperature may not rise until a temperature 
control dial setting between one and two is reached.
---------------------------------------------------------------------------

    (2) Standardize the instrument using a sample of material meeting 
the specifications in table 1. If the average of two determinations 
falls within the acceptable limits the instrument is assumed to be 
operating properly. If the average of the two determinations does not 
fall within this range, check the manufacturer's operating and 
maintenance instructions and determine that they are being followed. In 
particular, be sure that the cup lid assembly makes a vapor-tight seal 
with the cup, the shutter provides a light-tight seal, and that adequate 
heat transfer paste surrounds the thermometer bulb and the immersed 
portion of the barrel.
    (i) Test Method A--for determining Flash/No Flash.
    (1) Determine the target flashpoint as follows:
    (i) Target flashpoint,  deg.C=Sc--0.25 (101.3--A)
    (ii) Target flashpoint,  deg.C=Sc--0.03 (760-B)
    (iii) Target flashpoint,  deg.F=Sf--0.06 (760-B)

where:
Sc=specification, or uncorrected target, flashpoint,  deg.C,
Sf=specification, or uncorrected target, flashpoint,  deg.F,
B=ambient barometric pressure, mm Hg,\4\ and

[[Page 444]]

A=ambient barometer pressure, kPa.\4\

    \4\ The barometric pressure used in this calculation must be the 
ambient pressure for the laboratory at the time of test. Many aneroid 
barometers, such as those used at weather stations and airports, are 
precorrected to give sea-level readings; these must not be used.
---------------------------------------------------------------------------

    (2) Inspect the inside of the sample cup, lid, and shutter mechanism 
for cleaniness and freedom from contamination. Use an absorbent paper 
tissue to wipe clean, if necessary. Put cover in place and lock 
securely. The filing orifice may be convenienty cleaned with a pipe 
cleaner.
    (3) Set the instrument at the target temperature.
    (i) For target temperature below ambient. The instrument power 
switch is to be in the off position. Fill the refigerant-charged cooling 
block with a suitable material.\5\ Raise the lid and shutter assembly, 
and position the base of the block in the sample cup, being careful not 
to injure or mar the cup. When the thermometer reads approximately 6 to 
10  deg.C (10 to 20  deg.F) below the target temperature, remove the 
cooling block and quickly dry the cup with a paper tissue to remove any 
moisture. Immediately close the lid and shutter assembly and secure. 
Prepare to introduce the sample using the syringe, both of which have 
been precooled to a temperature 5 to 10  deg.C (10 to 20  deg.F) below 
the target temperature.
---------------------------------------------------------------------------

    \5\ If the target or specification temperature is not less than 5 
deg.C (40  deg.F) crushed ice and water may be used as charging 
(cooling) fluid. If below 5  deg.C (40  deg.F), a suitable charging 
(cooling) fluid is solid carbon dioxide (dry ice) and acetone. If the 
refrigerant charged cooling module is unavailable, refer to the 
manufacturer's instruction manual for alternative methods of cooling.
---------------------------------------------------------------------------

    (A) Caution: Do not cool the sample block below --38  deg.C, the 
freezing point of mercury.
    (B) Caution: Acetone is extremely flammable. Keep away from heat, 
sparks, and flames and keep container closed when not actually pouring 
acetone. Use only in a well-ventilated area. Avoid inhalation and 
contact with the eyes or skin. Use cloth or leather gloves, goggles or 
safety shield, and keep dry ice in a canvas bag, especially when 
cracking.
    (ii) For target temperature above ambient. Switch the instrument on 
and turn the coarse temperature control knob fully clockwise (full on) 
causing the indicator light to illuminate.\6\ When the thermometer 
indicates a temperature about 3  deg.C (5  deg.F) below the target (or 
specification) temperature, reduce the heat input to the sample cup by 
turning the coarse temperature control knob counter-clockwise to the 
desired control point (see Sec. 1500.43a(i)(1)). When the indicator 
light slowly cycles on and off read the temperature on the thermometer. 
If necessary, adjust the fine (center) temperature control knob to 
obtain the desired test (target) temperature. When the test temperature 
is reached and the indicator lamp slowly cycles on and off, prepare to 
introduce the sample.
---------------------------------------------------------------------------

    \6\ The target temperature may be attained by originally turning the 
coarse temperature control knob to the proper setting (see 
Sec. 1500.43a(h)(1) for the temperature desired rather than the maximum 
setting (full on). The elapsed time to reach the temperature will be 
greater, except for maximum temperature. However, less attention will be 
required during the intervening period.
---------------------------------------------------------------------------

    (4) Charge the syringe with a 2-ml specimen of the sample \7\ to be 
tested; transfer the syringe to the filling orifice, taking care not to 
lose any sample; discharge the test specimen into the cup by fully 
depressing the syringe plunger, remove the syringe.
---------------------------------------------------------------------------

    \7\ For target or expected temperatures below ambient, both syringe 
and sample must be precooled to cup temperature (see 
Sec. 1500.43a(i)(3)(i)) before the specimen is taken.
---------------------------------------------------------------------------

    (5)(i) Set the timer \8\ by rotating its knob clockwise to its stop. 
Open the gas control valve and light the pilot and test flames. Adjust 
the test flame with the pinch valve to conform to the size of the 4-mm 
(5/32-in.) gage.
---------------------------------------------------------------------------

    \8\ For target temperatures below ambient, do not set the timer. 
Adjust the test flame and allow the temperature to rise under ambient 
conditions until the target temperature is reached. Immediately apply 
the test flame as detailed.
---------------------------------------------------------------------------

    (ii) After the time signal indicates the specimen is at test 
temperature \8\, apply the test flame by slowly and uniformly opening 
the shutter and closing it completely over a period of approximately 
2\1/2\ s.\9\ Watch closely for a flash at the cup openings.
---------------------------------------------------------------------------

    \9\ Never apply the test flame to the specimen more than once. Fresh 
portions of the sample must be used for each test.

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

[[Page 445]]

    (iii) The sample is deemed to have flashed when a large flame 
appears and instantaneously propagates itself over the surface of the 
sample (see Sec. 1500.43a(c)).
    (6) Record the test results as ``flash'' or ``no flash'' and the 
test temperature.
    (7) Turn off the pilot and test flames using the gas control valve. 
Remove the sample and clean the instrument. It may be necessary to allow 
the cup temperature to decline to a safe level before cleaning.
    (j) Test Method B--for determining Finite or Actual Flashpoint. (1) 
Inspect the inside of the sample cup, lid, and shutter mechanism for 
cleanliness and freedom from contamination. Use an absorbent paper 
tissue to wipe clean, if necessary. Put cover in place and lock 
securely. The filling orifice may be conveniently cleaned with a pipe 
cleaner.
    (2) For expected flashpoints below ambient. (i) The instrument power 
switch is to be in off position. Fill the refrigerant-charged cooling 
block with a suitable material.\5\ Raise the lid and shutter assembly, 
and position the base of the block in the sample cup, being careful not 
to injure or mar the cup. When the thermometer reaches a temperature 5 
to 10  deg.C (10 to 20  deg.F) below the expected flashpoint, remove the 
cooling block and quickly dry the cup with a paper tissue to remove any 
moisture. Immediately close the lid and shutter assembly and secure. 
Prepare to introduce the sample using the syringe, both of which have 
been precooled to a temperature 5 to 10  deg.C (10 to 20  deg.F) below 
the expected temperature (See Sec. 1500.43a(j)(5)).
    (ii) Caution: Do not cool the sample block below -38  deg.C, the 
freezing point of mercury.
    (3) For tests where the expected flashpoint is above ambient. Turn 
the coarse temperature control knob fully clockwise (full on) causing 
the indicator light to illuminate. When the thermometer reaches a 
temperature 3  deg.C (5  deg.F) below the estimated flashpoint, turn the 
coarse temperature knob counter-clockwise to the dial reading 
representing the estimated flashpoint temperature as shown on the 
calibration curve (See Sec. 1500.43a(h)(1)). When the indicator light 
slowly cycles on and off, read the temperature on the thermometer. If 
necessary, adjust the fine temperature control knob to obtain the exact 
desired temperature.
    (4)(i) Charge the syringe \7\ with a 2 ml specimen of the sample \7\ 
to be tested; transfer the syringe to the filling orifice, taking care 
not to lose any sample; discharge the test specimen into the cup by 
fully depressing the syringe plunger; remove the syringe.
    (ii) Set the timer \10\ by rotating its knob clockwise to its stop. 
Open the gas control valve and ignite the pilot and test flames. Adjust 
the test flame with the pinch valve to conform to the size of the 4-mm 
(\5/32\-in.) gage.
    (iii) After the audible time signal indicates the specimen is at 
test temperature,\10\ apply the test flame by slowly and uniformly 
opening the shutter and then closing it completely over a period of 
approximately 2\1/2\ s. Watch closely for a flash at the cup opening.
---------------------------------------------------------------------------

    \10\ For expected flashpoint below ambient, do not set the timing 
device. Adjust the test flame. Allow the temperature to rise under 
ambient conditions until the temperature reaches 5  deg.C (9  deg.F) 
below the expected flashpoint. Immediately apply the test flame.
---------------------------------------------------------------------------

    (iv) The sample is deemed to have flashed only if a large flame 
appears and instantaneously propagates itself over the surface of the 
sample. (See Sec. 1500.43a(c).)
    (v) Turn off the pilot and test flames using the gas control valve. 
When the cup temperature declines to a safe level, remove the sample and 
clean the instrument.
    (5)(i) If a flash was observed in Sec. 1500.43a(j)(4)(iii) repeat 
the procedure given in Sec. 1500.43a(j)(2) or (3), and in 
Sec. 1500.43a(j)(4), testing a new specimen at a temperature 5  deg.C (9 
 deg.F) below that at which the flash was observed.
    (ii) If necessary, repeat the procedure in Sec. 1500.43a(j)(5)(i), 
lowering the temperature 5  deg.C (9  deg.F) each time, until no flash 
is observed.\9\
    (iii) Proceed to Sec. 1500.43a(j)(7).
    (6)(i) If no flash was observed in Sec. 1500.43a(j)(4)(iii) repeat 
the procedure given in Sec. 1500.43a(j)(2) or (3), and in 
Sec. 1500.43a(j)(4), testing a fresh specimen at a temperature 5  deg.C 
(9  deg.F) above that

[[Page 446]]

at which the specimen was tested in Sec. 1500.43a(j)(4)(iii).
    (ii) If necessary repeat the procedure in Sec. 1500.43a(j)(6)(i), 
above, raising the temperature 5  deg.C (9  deg.F) each time until a 
flash is observed.\9\
    (7) Having established a flash within two temperatures 5  deg.C (9 
deg.F) apart, repeat the procedure at 1  deg.C (2  deg.F) intervals from 
the lower of the two temperatures until a flash is observed.\9\ Record 
the temperature of the test when this flash occurs as the flashpoint, 
allowing for any known thermometer correction. Record the barometric 
pressure.\4\
    (8) The flashpoint determined in Sec. 1500.43a(j)(7) will be to the 
nearest 1  deg.C (2  deg.F). If improved accuracy is desired (that is, 
to the nearest 0.5  deg.C (1  deg.F)), test a fresh specimen at a 
temperature 0.5  deg.C (1  deg.F) below that at which the flash was 
observed in Sec. 1500.43a(j)(7). If no flash is observed, the 
temperature recorded in Sec. 1500.43a(j)(7), is the flashpoint to the 
nearest 0.5  deg.C (1  deg.F). If a flash is observed at the lower 
temperature, record this latter temperature as the flashpoint.
    (9) Turn off the pilot and test flames using the gas control valve. 
When the cup temperature declines to a safe level, remove the sample and 
clean the instrument.
    (k) Calculations. If it is desired to correct the observed finite 
flashpoint for the effect of barometric pressure, proceed as follows: 
Observe and record the ambient barometric pressure\4\ at the time of the 
test. If the pressure differs from 101.3 kPa (760 mm Hg), correct the 
flashpoint as follows:
    (1) Corrected flashpoint (  deg.C)=C+0.25 (101.3-A)
    (2) Corrected flashpoint (  deg.F)=F+0.06 (760-B)
    (3) Corrected flashpoint (  deg.C)=C+0.03 (760-B)
Where: F=Observed flashpoint,  deg.F,
C=observed flashpoint,  deg.C,
B=ambient barometric pressure, mm Hg; and
A=ambient barometric pressure, kPa.
    (l) Precision. The precision of the method as determined by 
statistical examination of interlaboratory results is as follows:
    (1) Repeatability. The difference between two test results obtained 
by the same operator with the same apparatus under constant operating 
conditions on identical test material, would, in the long run, in the 
normal and correct operation of the test method, exceed the values shown 
in table 2 only in 1 case in 20.
    (2) Reproducibility. The difference between two single and 
independent results obtained by different operators working in different 
laboratories on identical test material, would, in the long run, in the 
normal and correct operation of the test method, exceed the values shown 
in table 2 only in 1 case in 20.
    (m) Flash Test Apparatus. (1)(i) Unit consisting of an aluminum 
alloy or nonrusting metal block of suitable conductivity with a 
cylindrical depression, or sample cup, over which is fitted a cover. A 
thermometer is embedded in the block.
    (ii) The cover is fitted with an opening slide and a device capable 
of inserting an ignition flame (diameter 40.5 mm) into the 
well when the slide device shall intersect the plane of the underside of 
the cover. The cover is also provided with an orifice extending into the 
sample well for insertion of the test sample and also a suitable 
clamping device for securing the cover tightly to the metal block. The 
three openings in the cover shall be within the diameter of the sample 
well. When the slide is in the open position, the two openings in the 
slide shall coincide exactly with the two corresponding openings in the 
cover.
    (iii) Electrical heaters are attached to the bottom of the cup in a 
manner that provides efficient transfer of heat. An electronic heat 
control is required to hold the equilibrium temperature, in a draft-free 
area, within 0.1  deg.C (0.2  deg.F) for the low-temperature tester. A 
visual indicator lamp shows when energy is or is not being applied. 
Energy may be supplied from 120 or 240 V, 50 or 60 Hz main service.
    (2)(i) Test flame and pilot flame-regulatable test flame, for 
dipping into the sample cup to try for flash, and a pilot flame, to 
maintain the test flame, are required. These flames may be fueled by 
piped gas service. A gage ring 4mm (5/32 in.) in diameter, engraved on 
the lid near the test flame, is required to ensure uniformity in the 
size of the test flame.

[[Page 447]]

    (ii) Caution: Never recharge the self-contained gas tank at elevated 
temperature, or with the pilot or test flames lighted, nor in the 
vicinity of other flames.
    (iii) Audible Signal is required. The audiable signal is given after 
1 min in the case of the low-temperature tester.
    (iv) Syringe. 2ml capacity, equipped with a needle suitable for use 
with the apparatus, adjusted to deliver 2.000.05 ml.
    (3) Essential dimensions of the test apparatus are set forth in 
table 3.
    (n) Testing high-viscosity liquids. (1) High-viscosity materials may 
be added to the cup by the following procedure:
    (i) Back load a 5 or 10-ml syringe with the sample to be tested and 
extrude 2 ml into the cup. Spread the specimen as evenly as possible 
over the bottom of the cup.
    (ii) If the sample cannot be loaded into a syringe and extruded, 
other means of adding the sample to the cup may be used such as a spoon. 
Add approximately 2 ml of material to the spoon and then push the 
material from the spoon into the cup.
    (iii) If the test specimen does not close the sampling port in the 
cup, seal the cup externally by suitable means.
    (2) Using the appropriate procedure, either Method A in 
Sec. 1500.43a(i) or Method B in Sec. 1500.43a(j), determine the 
flashpoint of the specimen which has been added to the tester in 
accordance with Sec. 1500.43a(n)(i), except that the time specified is 
increased from 1 to 5 minutes for samples at or above ambient 
temperature.

                     Table 1--Calibration of Tester
Material..................................  p-xyleneA (Caution).B
Specific gravity. 15.6/15.6 C (60/60 F)...  0.850 to 0.866.
Boiling range.............................  2 C maximum including 138.35
                                             C (281.03 F).
Freezing point............................  11.23 C (52.2 F) minimum.
Flashpoint C (acceptable range)...........  25.60.5 (781 []).
 
A Available as Flash Point Check Fluid (p-xylene) from Special Products
  Div., Phillips Petroleum Co., Drawer `O,' Borger, Texas 79007.
B Caution: Handle xylene with care. Avoid inhalation; use only in a well-
  ventilated area. Avoid prolonged or repeated contact with skin. Keep
  away from flames and heat, except as necessary for the actual flash
  point determination.


               Table 2--Repeatability and Reproducibility
------------------------------------------------------------------------
                                        Repeatability,
          Temperature, C ( F)               C ( F)      Reproducibility,
                                                             C ( F)
------------------------------------------------------------------------
20(68)................................       0.5(0.9)           1.4(2.6)
70(158)...............................       0.5(0.9)           2.9(5.3)
93(200)...............................       1.3(2.3)           4.9(8.8)
150(300)..............................       2.0(3.6)          7.5(13.5)
200(400)..............................       2.6(4.7)          9.9(17.9)
260(500)..............................       3.3(5.9)         12.4(22.3)
------------------------------------------------------------------------


       Table 3--Essential Dimensions of Flash Test Apparatus A, B
                       Sample Block
Block diameter............................................     61.5-62.5
Sample well diameter......................................   49.40-49.70
Sample well depth.........................................    9.70-10.00
Top of block to center of thermometer hole................   16.00-17.00
Diameter of thermometer hole (approx.)....................        7.0004
                           Cover
Large opening length......................................   12.42-12.47
Large opening width.......................................   10.13-10.18
Small opening length......................................     5.05-5.10
Small opening width.......................................     7.60-7.65
Distance between extreme edges of small openings..........   48.37-48.32
Filling orifice diameter..................................     4.00-4.50
Bore or filler tube.......................................     1.80-1.85
Maximum distance of filler tube from base of well with              0.75
 cover closed (max.)......................................
                           Slide
Large opening length......................................   12.42-12.47
Large opening width.......................................   10.13-10.18
Small opening length......................................     5.05-5.10
Small opening width.......................................     7.60-7.65
Near edge of large opening to end of slide................   12.80-12.85
Extremes of large and small openings......................   30.40-30.45
                            Jet
Length of jet.............................................   18.30-18.40
External diameter at end of jet...........................     2.20-2.60
Bore of jet...............................................     1.60-1.65
Height of jet center above top surface of cover...........   11.00-11.20
Jet pivot to center of block with cover closed............   12.68-12.72
 
A The O-seal or gasket which provides a seal when the cover is shut,
  should be made of a heat-resistant material capable of withstanding
  temperatures up to 150 C for the low-range apparatus.
B When in position, the thermometer bulb should be surrounded with heat-
  conducting thermoplastic compound, such as a paste comprised of zinc
  oxide and mineral oil.


[[Page 448]]

[GRAPHIC] [TIFF OMITTED] TC03OC91.054
[51 FR 28539, Aug. 8, 1986]



Sec. 1500.44  Method for determining extremely flammable and flammable solids.

    (a) Preparation of samples--(1) Granules, powders, and pastes. Pack 
the sample into a flat, rectangular metal boat with inner dimensions 6 
inches long x 1 inch wide x one-fourth inch deep.
    (2) Rigid and pliable solids. Measure the dimensions of the sample 
and support it by means of metal ringstands, clamps, rings, or other 
suitable devices as needed, so that the major axis is oriented 
horizontally and the maximum surface is freely exposed to the 
atmosphere.
    (b) Procedure. Place the prepared sample in a draft-free area that 
can be ventilated and cleared after each test. The temperature of the 
sample at the time of testing shall be between 68  deg.F.

[[Page 449]]

and 86  deg.F. Hold a burning paraffin candle whose diameter is at least 
1 inch, so that the flame is in contact with the surface of the sample 
at the end of the major axis for 5 seconds or until the sample ignites, 
whichever is less. Remove the candle. By means of a stopwatch, determine 
the time of combustion with self-sustained flame. Do not exceed 60 
seconds. Extinguish flame with a CO2 or similar 
nondestructive type extinguisher. Measure the dimensions of the burnt 
area and calculate the rate of burning along the major axis of the 
sample.



Sec. 1500.45  Method for determining extremely flammable and flammable contents of self-pressurized containers.

    (a) Equipment required. The test equipment consists of a base 8 
inches wide, 2 feet long, marked in 6-inch intervals. A rule 2 feet long 
and marked in inches is supported horizontally on the side of the base 
and about 6 inches above it. A paraffin candle 1 inch or more in 
diameter, and of such height that the top third of the flame is at the 
height of the horizontal rule, is placed at the zero point in the base.
    (b) Procedure. The test is conducted in a draft-free area that can 
be ventilated and cleared after each test. Place the self-pressurized 
container at a distance of 6 inches from the flame source. Spray for 
periods of 15 seconds to 20 seconds (one observer noting the extension 
of the flame and the other operating the container) through the top 
third of the flame and at a right angle to the flame. The height of the 
flame should be approximately 2 inches. Take three readings for each 
test, and average. As a precaution do not spray large quantities in a 
small, confined space. Free space of previously discharged material.



Sec. 1500.46  Method for determining flashpoint of extremely flammable contents of self-pressurized containers.

    Use the apparatus described in Sec. 1500.43a. Use some means such as 
dry ice in an open container to chill the pressurized container. Chill 
the container, the flash cup, and the bath solution of the apparatus 
(brine or glycol may be used) to a temperature of about 25  deg.F below 
zero. Puncture the chilled container to exhaust the propellant. Transfer 
the chilled formulation to the test apparatus and test in accordance 
with the method described in Sec. 1500.43a.

[51 FR 28544, Aug. 8, 1986]



Sec. 1500.47  Method for determining the sound pressure level produced by toy caps.

    (a) Equipment required. The equipment for the test includes a 
microphone, a preamplifier (if required), and an oscilloscope.
    (1) The microphone-preamplifier system shall have a free-field 
response uniform to within 2 decibels from 50 hertz to 70 
kilohertz or beyond and a dynamic range covering the interval 70 to 160 
decibels relative to 20 micronewtons per square meters. Depending on the 
model, the microphone shall be used at normal or at grazing incidence, 
whichever gives the most uniform free-field response. The microphone 
shall be calibrated both before and after the test of a model of cap. 
The calibration shall be accurate to within 1 decibel. If 
the calibration is of the pressure type or of the piston-phone plus 
electrostatic actuator type, it shall be corrected to free-field 
conditions in accordance with the manufacturer's instructions.
    (2) The oscilloscope shall be the storage type or one equipped with 
a camera. It shall have a response uniform to within 1 
decibel from 50 hertz to 250 kilohertz or higher. It shall be calibrated 
to within 1 decibel against an external voltage source 
periodically during the tests.
    (b) Procedure. (1) Use the type pistol that would ordinarily be used 
with the caps being tested. Place the pistol and testing equipment so 
that neither the pistol nor the microphone is closer than 1 meter from 
any wall, floor, ceiling, or other large obstruction. Locate the pistol 
and the microphone in the same horizontal plane with a distance of 25 
centimeters between the diaphragm of the microphone and the position of 
the explosive. Measure the peak sound pressure level at each of the six 
designated orientations of the pistol with respect to the measuring 
microphone. The 0 deg. orientation corresponds to the muzzle of the 
pistol

[[Page 450]]

pointing at the microphone. The 90 deg., 180 deg., and 270 deg. 
orientations are measured in a clockwise direction when looking down on 
the pistol with its barrel horizontal, as illustrated by the following 
figure:
[GRAPHIC] [TIFF OMITTED] TC03OC91.055

    (2) The hammer and trigger orientations are obtained by rotating the 
pistol about the axis of the barrel, when the pistol is in the 90 deg. 
or 270 deg. orientation, so that the hammer and the trigger are each 
respectively closest to and in the same horizontal plane with the 
microphone.
    (3) Fire 10 shots at each of the six orientations, obtaining 
readings on the oscilloscope of the maximum peak voltage for each shot. 
Average the results of the 10 firings for each of the six orientations.
    (4) Using the orientation that yields the highest average value, 
convert the value to sound pressure levels in decibels relative to 20 
micronewtons per square meter using the response to the calibrated 
measuring microphone.



Sec. 1500.48  Technical requirements for determining a sharp point in toys and other articles intended for use by children under 8 years of age.

    (a) Objective. The sharp point test prescribed by paragraph (d) of 
this section will be used by the Commission in making a preliminary 
determination that points on toys and other articles intended for use by 
children under 8 years of age, and such points exposed in normal use or 
as a result of reasonably foreseeable damage or abuse of such toys and 
articles, present a potential risk of injury by puncture or laceration 
under section 2(s) of the Federal Hazardous Substances Act (15 U.S.C. 
1261(s)). The Commission will further evaluate points that are 
identified as presenting a potential risk of puncture or laceration 
injury to determine the need for individual product regulatory action.
    (b) Scope--(1) General. The sharp point test of paragraph (d) of 
this section is applicable to toys or other articles that are introduced 
into interstate commerce on or after December 22, 1978. The sharp point 
test shall be applied to any accessible portion of the test sample 
before and after subjecting the test sample to the use and abuse tests 
of Sec. Sec. 1500.51, 1500.52, and 1500.53 (excluding the bite test-
paragraph (c) of each section).
    (2) Exemptions. (i) Toys and other children's articles that are the 
subject of any of the following regulations are exempt from this 
Sec. 1500.48: The regulations for bicycles, non-full-size baby cribs, 
and full-size baby cribs (parts 1508, 1509, and 1512, of this chapter).
    (ii) Toys that by reason of their functional purpose necessarily 
present the hazard of sharp points and that do not have any 
nonfunctional sharp points are exempt from this Sec. 1500.48: Provided, 
Each toy is identified by a conspicuous, legible, and visible label at 
the time of any sale, as having functional sharp points. An example of 
such toys is a toy sewing machine with a needle.
    (iii) Articles, besides toys, intended for use by children that by 
reason of their functional purpose necessarily present the hazard of 
sharp points and that do not have any nonfunctional sharp points are 
exempt from this Sec. 1500.48. An example of such articles is a ball-
point pen.
    (c) Accessibility--(1) General. Any point that is accessible either 
before or after these tests of Sec. Sec. 1500.51, 1500.52, and 1500.53 
(excluding the bite test--paragraph (c) of each section) are performed 
shall be subject to the sharp point test of paragraph (d) of this 
section.
    (2) Accessible points. (i) An accessible point for a toy or article 
intended for children 3 years of age or less is one that can be 
contacted by any portion forward of the collar of the accessibility 
probe designated as probe A in figure 2 of this section.
    (ii) An accessible point for a toy or article intended for children 
over 3 years up to 8 years of age is one that

[[Page 451]]

can be contacted by any portion forward of the collar of the 
accessibility probe designated as probe B in figure 2 of this section.
    (iii) An accessible point for a toy or article intended for children 
of ages spanning both age groups is one that can be contacted by any 
portion forward of the collar of either probe A or B, as shown in figure 
2 of this section.
    (3) Insertion depth for accessibility. (i) For any hole, recess, or 
opening having a minor dimension (The minor dimension of an opening is 
the diameter of the largest sphere that will pass through the opening.) 
smaller than the collar diameter of the appropriate probe, the total 
insertion depth for accessibility shall be up to the collar on the 
appropriate probe. Each probe joint may be rotated up to 90 degrees to 
simulate knuckle movement.
    (ii) For any hole, recess, or opening having a minor dimension 
larger than the collar diameter of probe A but less than 7.36 inches 
(186.9 millimeters), when probe A is used, or a minor dimension larger 
than the collar diameter of probe B but less than 9.00 inches (228.6 
millimeters), when probe B is used, the total insertion depth for 
accessibility shall be determined by inserting the appropriate probe 
with the extension shown in figure 2 in any direction up to two and one-
quarter times the minor dimension of the probe, recess, or opening, 
measured from any point in the plane of the opening. Each probe joint 
may be rotated up to 90 degrees to simulate knuckle movement.
    (iii) For any hole, recess, or opening having a minor dimension of 
7.36 inches (186.9 millimeters) or larger when probe A is used, or a 
minor di-mension of 9.00 inches (228.6 millimeters), or larger when 
probe B is used, the total insertion depth for accessibility is 
unrestricted unless other holes, recesses, or openings within the 
original hole, recess, or opening are encountered with dimensions 
specified in paragraph (c)(3) (i) or (ii) of this section. In such 
instances, the appropriate paragraphs (c)(3) (i) or (ii) of this section 
shall be followed. If both probes are to be used, a minor dimen-sion 
that is 7.36 inches (186.9 millimeters or larger shall determine 
unrestricted access.
    (4) Inaccessible points. Points shall be considered inaccessible 
without testing with a probe if they lie adjacent to a surface of the 
test sample and any gap between the point and the adjacent surface does 
not exceed 0.020 inch (0.50 millimeter) either before or after the tests 
of Sec. Sec. 1500.51, 1500.52, and 1500.53 (excluding the bite test--
paragraph (c) of each section) are performed.
    (d) Sharp point test method--(1) Principle of operation. The 
principle of operation of the sharp point tester shown in figure 1 of 
this section is as follows (Detailed engineering drawings for a 
suggested sharp point tester are available from the Commission's Office 
of the Secretary.): A rectangular opening measuring 0.040 inch (1.02 
millimeters) wide by 0.045 inch (1.15 millimeters) long in the end of 
the slotted cap establishes two reference dimensions. Depth of 
penetration of the point being tested determines sharpness. If the point 
being tested can contact a sensing head that is recessed a distance of 
0.015 inch (0.38 millimeter) below the end cap and can move the sensing 
head a further 0.005 inch (0.12 millimeter) against a 0.5-pound (2.2-
newton) force of a return spring, the point shall be identified as 
sharp. A sharp point tester of the general configuration shown in figure 
1 of this section or one yielding equivalent results shall identify a 
sharp point. In conducting tests to determine the presence of sharp 
points, the Commission will use the sharp point tester shown in figure 1 
of this section and the accessibility probes designated as A or B in 
figure 2 of this section.
    (2) Procedure. (i) The sample to be tested shall be held in such a 
manner that it does not move during the test.
    (ii) Part of the test sample may need to be removed to allow the 
sharp point testing device to test a point that is accessible by the 
criteria of paragraph (c) of this section. Such dismantling of the test 
sample could affect the rigidity of the point in question. The sharp 
point test shall be performed with the point supported so that its 
stiffness approximates but is not greater than the point stiffness in 
the assembled sample.
    (iii) Using the general configuration shown in figure 1 of this 
section, the adjustment and operation of the sharp

[[Page 452]]

point tester is as follows: Hold the sharp point tester and loosen the 
lock ring by rotating it so that it moves towards the indicator lamp 
assembly a sufficient distance to expose the calibration reference marks 
on the barrel. Rotate the gaging can clockwise until the indicator lamp 
lights. Rotate the cap counterclockwise until an equivalent of five 
divisions (the distance between the short lines on the cap) have passed 
the calibration reference mark. Lock the gaging cap in this position by 
rotating the lock ring until it fits firmly against the cap. Insert the 
point into the gaging slot in all directions in which it was accessible 
by the criteria of paragraph (c) of this section, and apply a force of 
1.00 pound (4.45 newtons). A glowing light identifies the point as 
sharp.
    (iv) The test instruments used by the Commission in its tests for 
compliance with this regulation shall have gaging slot opening 
dimensions no greater than 0.040 inch by 0.045 inch and shall have the 
sensing head recessed a depth of no less than 0.015 inch. The force 
applied by the Commission when inserting a point into the gaging slot 
shall be no more than 1.00 pound.
    (e) For the purpose of conformance with the technical requirements 
prescribed by this Sec. 1500.48, the English figures shall be used. The 
metric approximations are provided in parentheses for convenience and 
information only.

[[Page 453]]

[GRAPHIC] [TIFF OMITTED] TC03OC91.056



Sec. 1500.49  Technical requirements for determining a sharp metal or glass edge in toys and other articles intended for use by children under 8 years of age.

    (a) Objective. The sharp edge test method prescribed by paragraph 
(d) of this section will be used by the Commission in making a 
preliminary determination that metal or glass edges on toys and other 
articles intended for use by children under 8 years of age, and such 
edges exposed in normal use or as a result of reasonably forseeable 
damage or abuse of such toys and articles, present a potential risk of 
injury by

[[Page 454]]

laceration or avulsion under section 2(s) of the Federal Hazardous 
Substances Act (15 U.S.C. 1261(s)). The Commission will further evaluate 
toys and other articles with edges that are identified as presenting a 
potential risk of laceration or avulsion injury to determine the need 
for individual product regulation.
    (b) Scope--(1) General. The sharp edge test of paragraph (d) of this 
section is applicable to toys or other articles containing metal or 
glass edges that are introduced into interstate commerce after March 26, 
1979. Such articles manufactured outside the United States are 
introduced into interstate commerce when first brought within as U.S. 
port of entry. Such articles manufactured in the United States are 
introduced into interstate commerce (a) at the time of first interstate 
sale, or (b) at the time of first intrastate sale if one or more 
components and/or raw materials were received interstate, whichever 
occurs earlier.
    (2) Exemptions. (i) Toys and other children's articles that are the 
subject of any of the following regulations are exempt from this 
Sec. 1500.49: The regulations for bicycles, non-full-size baby cribs, 
and full-size baby cribs (parts 1508, 1509, and 1512 of this chapter).
    (ii) Toys that by reason of their functional purpose necessarily 
present the hazard of sharp metal or glass edges and that do not have 
any nonfunctional sharp metal or glass edges are exempt from this 
section: Provided, the toy is identified by a conspicuous, legible, and 
visible label at the time of any sale, as having functional sharp metal 
or glass edges. Examples of these are a pair of toy scissors and toy 
tool kits.
    (iii) Articles, besides toys, intended for use by children that by 
reason of their functional purpose necessarily present the hazard of 
sharp metal or glass edges and that do not have any non-functional sharp 
metal or glass edges are exempt from this section. Examples of these are 
children's ice skates and children's cutlery.
    (3) Definitions--(i) Glass. For the purpose of this regulation the 
Commission defines glass as a hard, brittle, amorphous substance 
produced by fusion, usually consisting of mutually dissolved silica and 
silicates that also contain soda and lime.
    (ii) Metal. For the purpose of this regulation the Commission 
intends the word metal to include both elemental metals and metal 
alloys.
    (c) Accessibility--(1) General. Any metal or glass edge that is 
accessible either before or after the test of Sec. Sec. 1500.51, 
1500.52, and 1500.53 (excluding the bite test--paragraph (c) of each 
section) are performed shall be subject to the sharp edge test of 
paragraph (d) of this section. Toys reasonably intended to be assembled 
by an adult and not intended to be taken apart by a child shall be 
tested only in the assembled state if the shelf package and the assembly 
instructions prominently indicate that the article is to be assembled 
only by an adult.
    (2) Accessible edges. (i) An accessible metal or glass edge for a 
toy or article intended for children 3 years of age or less is one that 
can be contacted by any portion forward of the collar of the 
accessibility probe designated as probe A in Figure 2 of this section.
    (ii) An accessible edge for a toy or article intended for children 
over 3 years and up to 8 years of age is one that can be contacted by 
any portion forward of the collar of the accessibility probe designated 
as Probe B in Figure 2 of this section.
    (iii) An accessible edge for a toy or article intended for children 
of ages spanning both age groups is one that can be contacted by any 
portion forward of the collar of either Probe A or Probe B, as shown in 
Figure 2 of this section.
    (3) Insertion depth. (i) For any hole, recess, or opening having a 
minor dimension (the minor dimension of an opening is the diameter of 
the largest sphere that will pass through the opening), smaller than the 
collar diameter of the appropriate probe, the total insertion depth for 
accessibility shall be up to the collar on the appropriate probe. Each 
probe joint may be rotated up to 90 degrees to simulate knuckle 
movement.
    (ii) For any hole, recess, or opening having a minor dimension 
larger than the collar diameter of Probe A, but less than 7.36 inches 
(186.9 millimeters),

[[Page 455]]

when Probe A is used, or a minor dimension larger than the collar 
diameter of Probe B, but less than 9.00 inches (228.6 millimeters), when 
Probe B is used, the total insertion depth for accessibility shall be 
determined by inserting the appropriate probe with the extension, shown 
in Figure 2, in any direction up to 2\1/4\ times the minor dimension of 
the hole, recess, or opening, measured from any point in the plane of 
the opening. Each probe joint may be rotated up to 90 degrees to 
simulate knuckle movement.
    (iii) For any hole, recess, or opening having a minor dimension of 
7.36 inches (186.9 millimeters) or larger when Probe A is used, or a 
minor dimension of 9.00 inches (228.6 millimeters) or larger when Probe 
B is used, the total insertion depth for accessibility is unrestricted 
unless other holes, recesses, or openings within the original hole, 
recess, or opening are encountered with dimensions specified in 
paragraph (c)(3) (i) or (ii) of this section. In such instances, the 
appropriate paragraphs (c)(3) (i) or (ii) of this section shall be 
followed. If both probes are to be used, a minor dimension that is 7.36 
inches (186.9 millimeters or larger shall determine unrestricted access.
    (4) Inaccessible edges. Metal or glass edges shall be considered 
inaccessible without testing with a probe if they lie adjacent to a 
surface of the test sample, and any gap between the edge and the 
adjacent surface does not exceed 0.020 inch (0.50 millimeter) both 
before and after the tests of Sec. Sec. 1500.51, 1500.52, and 1500.53 
(excluding the bite test--paragraph (c) of each section) are performed. 
For example, in a lap joint in which a metal edge is overlapped by a 
parallel surface, any burr or feather-edge on the side closest to the 
protecting parallel surface is considered inaccessible if the gap 
between the edge and the parallel surface is no greater than 0.020 inch 
(0.50 millimeter). As an additional example, when sheet metal has a 
hemmed edge a portion of the sheet adjacent to the edge is folded back 
upon itself, approximately 180 degrees, so that it is roughly parallel 
to the main sheet. Any burrs or feathering on the inside edge, the side 
closest to the protecting parallel surface of the main sheet, will be 
considered inaccessible if the gap between the inside edge and the 
parallel surface does not exceed 0.020 inch (0.50 millimeter).
    (d) Sharp edge test method--(1) Principle of operation. The test 
shall be performed with a sharp edge tester which contains a cylindrical 
mandrel capable of rotation at a constant velocity. (Engineering 
drawings for a suitable portable sharp edge test instrument are 
available from the Commission's Office of the Secretary.) The full 
circumference of the mandrel shall be wrapped with a single layer of 
polytetrafluoroethylene (TFE) tape as specified in paragraph (e)(3) of 
this section. The mandrel shall be applied to the edge to be tested with 
a normal force of 1.35 pounds (6.00 Newtons) such that the edge contacts 
the approximate center of the width of the tape as shown in Figure 1 of 
this section. The mandrel shall be rotated through one complete 
revolution while maintaining the force against the edge constant. Linear 
motion of the mandrel along the line of the edge shall be prevented. The 
edge shall be identified as sharp if it completely cuts through the tape 
for a length of not less than \1/2\ inch (13 millimeters) at any force 
up to 1.35 pounds (6.00 Newtons).
    (2) Procedure. (i) The edge of the sample to be tested shall be held 
in such a manner that it does not move during the test. If the full 
mandrel force of 1.35 pounds (6.00 Newtons) causes the edge to bend, a 
reduced mandrel force may be used.
    (ii) Part of the test sample may need to be removed to allow the 
sharp edge testing device to test an edge that is accessible by the 
criteria of paragraph (c) of this section. Such dismantling of the test 
sample could affect the rigidity of the edge in question. The sharp edge 
test shall be performed with the edge supported so that its stiffness 
approximates but is not greater than the edge stiffness in the assembled 
sample.
    (iii) Conduct of a sharp edge test is as follows: Wrap one layer of 
polytetrafluoroethylene (TFE) tape, described in paragraph (e)(3) of 
this section, around the full circumference of the mandrel in an 
unstretched state. The ends of

[[Page 456]]

the tape shall be either butted or overlapped not more than 0.10 inch 
(2.5 millimeters). Apply the mandrel, at the approximate center of the 
tape, to the edge of the test sample with a force of 1.35 pounds (6.00 
Newtons) measured in a direction at right angles to the mandrel axis. 
The mandrel shall be placed so that its axis is at 90 degrees 
5 degrees to the line of a straight test edge or 90 degrees 
5 degrees to a tangent at the point of contact with a curved 
test edge. The point of contact between the test edge and the mandrel 
shall be in the approximate center of the width of the tape. The axis of 
the mandrel may be positioned anywhere in a plane which is at right 
angles to either the line of a straight test edge or to a tangent at the 
point of contact with a curved test edge. The operator should seek the 
orientation most likely to cause the edge to cut the tape. Maintain the 
force against the edge and rotate the mandrel through one complete 
revolution while preventing any linear motion of the mandrel along the 
edge. Release the mandrel from the edge and remove the tape without 
enlarging any cut or causing any score to become a cut. A cut in the 
tape with a length of not less than \1/2\ inch (13 millimeters) 
identifies an edge as sharp. (The test instruments used by the 
Commission in its test for compliance with the regulation will be 
calibrated to insure that the force with which the mandrel is applied to 
a test edge does not exceed 1.35 pounds.)
    (e) Specifications for sharp edge test equipment. The following 
specifications shall apply to the equipment to be used in the sharp edge 
test described in paragraph (d) of this section:
    (1) The rotation of the mandrel shall produce a constant tangential 
velocity of 1.000.08 inch per second (25.42.0 
millimeters per second) during the center 75 percent of its rotation and 
shall have a smooth start and stop.
    (2) The mandrel shall be made of steel. The test surface of the 
mandrel shall be free of scratches, nicks, or burrs and shall have a 
surface roughness no greater than 16 microinches (0.40 micron). The test 
surface shall have a hardness no less than 40 as measured on the 
Rockwell ``C'' scale, as determined pursuant to ASTM E 18-74 entitled 
``Standard Test Methods for Rockwell Hardness and Rockwell Superficial 
Hardness of Metallic Materials,'' published July 1974 and which is 
incorporated by reference in this regulation. (Copies are available from 
American Society for Testing and Materials, 1916 Race Street, 
Philadelphia, Pa. 19103.) The diameter of the mandrel shall be 
0.3750.005 inch (9.350.12 millimeters). The 
mandrel shall be of suitable length to carry out the test.
    (3) The tape shall be pressure-sensitive polytetrafluoroethylene 
(TFE) high temperature electrical insulation tape as described in 
Military Specification MIL-I-23594B (1971) which is incorporated by 
reference in this regulation. (Copies are available from Naval 
Publications and Forms Center, 5801 Tabor Ave., Philadelphia, Pa. 
19120.) The thickness of the polytetrafluoroethylene backing shall be 
between 0.0026 inch (0.066 millimeter) and 0.0035 inch (0.089 
millimeter).\1\ The adhesive shall be pressure-sensitive silicone 
polymer with a nominal thickness of 0.003 inch (.08 millimeter). The 
width of the tape shall not be less than \1/4\ inch (6 millimeters). 
While conducting sharp edge tests the temperature of the tape shall be 
maintained between 70  deg.F (21.1  deg.C) and 80  deg.F (26.6  deg.C).
---------------------------------------------------------------------------

    \1\ The tape that the Commission will use for the sharp edge test is 
CHR type ``T'' manufactured by The Connecticut Hard Rubber Co., New and 
East Streets, New Haven, Conn. 06509.
---------------------------------------------------------------------------

    (f) For the purpose of conformance with the technical requirements 
prescribed by this Sec. 1500.49, the English figures shall be used. The 
metric approximations are provided in parentheses for convenience and 
information only.

[[Page 457]]

[GRAPHIC] [TIFF OMITTED] TC03OC91.057


[[Page 458]]


[GRAPHIC] [TIFF OMITTED] TC03OC91.058


(Secs. 2(s), 10(a), 74 Stat. 378 (15 U.S.C. 1261, 1269))

[43 FR 12645, Mar. 24, 1978, as amended at 43 FR 21324, May 17, 1978]



Sec. 1500.50  Test methods for simulating use and abuse of toys and other articles intended for use by children.

    (a) Objective. The objective of Sec. Sec. 1500.51, 1500.52, and 
1500.53 is to describe specific test methods for simulating normal use 
of toys and other articles intended for use by children as well as the 
reasonably foreseeable damage or abuse to which the articles may be 
subjected. The test methods are for use in exposing potential hazards 
that would result from the normal use or the reasonably foreseeable 
damage or abuse of such articles intended for children.
    (b) Application--general. (1)(i) The test methods described in 
Sec. Sec. 1500.51, 1500.52 and 1500.53 are to be used in determining 
what is normal use and reasonably foreseeable damage or abuse when 
specifically referenced under Sec. 1500.18. Other banning regulations 
may also reference these use and abuse toy test procedures.
    (ii) The test methods described in Sec. Sec. 1500.51, 1500.52, and 
1500.53 have been established for articles intended for the specified 
age groups of children: 18 months of age or less, over 18 months but not 
over 36 months of age, and over 36 months but not over 96 months of age. 
If an article is marked, labeled,

[[Page 459]]

advertised, or otherwise intended for children of ages spanning more 
than one of these age groups, the article will be subjected to the tests 
providing the most stringent requirements. If an article is not age-
labeled in a clear and conspicuous manner or, based on such factors as 
marketing practices and the customary patterns of usage of a product by 
children, is inappropriately age-labeled, and is intended or appropriate 
for children 96 months of age or less, it will also be subjected to the 
most stringent test requirements.
    (2) For purposes of compliance with the test methods prescribed in 
Sec. Sec. 1500.51, 1500.52, and 1500.53, the English system shall be 
used. The metric approximations are provided in parentheses for 
convenience and information only.
    (3) Each of the test methods described in Sec. Sec. 1500.51, 
1500.52, and 1500.53 shall be applied to a previously untested sample 
except the tension test which shall be conducted with the test sample 
used in the torque test.
    (4) Prior to testing, each sample shall be subjected to a 
temperature of 73 deg.3  deg.F. (23 deg.2 
deg.C.) as a relative humidity of 20-70 percent for a period of at least 
4 hours. The toy testing shall commence within five minutes after the 
toy has been removed from the preconditioning atmosphere.
    (5) Toys reasonably intended to be assembled by an adult and not 
intended to be taken apart by a child shall be tested only in the 
assembled state if the shelf package and the assembly instructions 
prominently indicate that the article is to be assembled only by an 
adult.
    (6) Toys intended to be repeatedly assembled and taken apart shall 
have the individual pieces as well as the completed article subjected to 
these test procedures.
    (7) In situations where a test procedure may be applied in more than 
one way to a toy test component, the point (or direction) of force (or 
torque) application which results in the most severe conditions shall be 
used.
    (c) Definitions. As used in this section and in Sec. Sec. 1500.51, 
1500.52, and 1500.53:
    (1) Toy means any toy, game, or other article designed, labeled, 
advertised, or otherwise intended for use by children.
    (2) Mouth toy means any toy reasonably intended to be placed into or 
in contact with a child's mouth.

[40 FR 1483, Jan. 7, 1975; 40 FR 16191, Apr. 10, 1975]



Sec. 1500.51  Test methods for simulating use and abuse of toys and other articles intended for use by children 18 months of age or less.

    (a) Application. The test methods described in this section shall be 
used to simulate the normal and reasonably foreseeable use, damage, or 
abuse of toys and other articles intended for use by children 18 months 
of age or less in conjunction with Sec. 1500.18.
    (b) Impact test--(1) Application. Except as provided in paragraph 
(b)(4) of this section, toys having a weight of less than 3.0 pounds 
0.01 pound (1.4 kilograms) shall be subject to this test.
    (2) Impact medium. The impact medium shall consist of a \1/8\-inch 
(0.3-centimeter) nominal thickness of type IV vinyl-composition tile, 
composition 1--asbestos free, as specified by paragraphs 1.2 and 3.1.4 
of Interim Amendment-1(YD), dated November 14, 1979, to the Federal 
Specification entitled Tile, Floor: Asphalt, Rubber, Vinyl, Vinyl-
Asbestos, SS-T-312B, dated October 10, 1974,\1\ over at least a 2.5-inch 
(6.4-centimeter) thickness of concrete. The impact area shall be at 
least 3 square feet (0.3 square meter). The Commission recognizes that 
this specified impact medium is the equivalent of, and will yield the 
same impact test results as, a surface covered with vinyl-asbestos tile 
meeting the requirements of Federal Specification SS-T-312A.
---------------------------------------------------------------------------

    \1\ These documents may be ordered from the General Services 
Administration, Specifications Unit, Room 6654, 7th and D Streets, S.W., 
Washington, DC 20407. The price of the specification and amendment is 
$1.00.
---------------------------------------------------------------------------

    (3) Testing procedure. Except as provided in paragraphs (b)(4) (i) 
and (ii) of this section, the toy shall be dropped 10 times from a 
height of 4.5 feet 0.5 inch (1.37 meters) onto the impact 
medium described in paragraph (b)(2) of this section. The toy shall be 
dropped in random orientation. After each drop,

[[Page 460]]

the test sample shall be allowed to come to rest and shall be examined 
and evaluated before continuing.
    (4) Large and bulky toys. (i) A toy that has a projected base area 
of 400 or more square inches (2,560 or more square centimeters), shall 
be tested for impact in accordance with paragraph (b)(4)(iii) of this 
section. The base area for toys with permanently attached legs shall be 
measured by calculating the area enclosed by straight lines connecting 
the outermost edge of each leg of the perimeter.
    (ii) A toy that has a volume of more than 3 cubic feet (0.085 cubic 
meter), calculated by the major dimensions without regard to minor 
appendages, shall be tested for impact in accordance with paragraph 
(b)(4)(iii) of this section.
    (iii) The toys described in paragraph (b)(4)(i) and (ii) of this 
section shall be tested for impact by tipping them over three times by 
pushing the samples slowly past their centers of balance onto the impact 
medium described in paragraph (b)(2) of this section.
    (c) Bite test--(1) Application. A toy (or component or any 
accessible portion thereof) that has an external dimension of 1.25 
inches 0.05 inch (3.18 centimeters) or less and a design 
configuration that would permit a child to insert a portion into the 
mouth in any orientation up to a biting thickness of 1.25 inches 
0.05 inch (3.18 centimeters), for a penetration of at least 
0.25 inch (0.635 centimeter), shall be subject to this test.
    (2) Test equipment--(i) Contact mechanism. The contact mechanism 
shall be two metal strips or plates each measuring 0.25 inch 
0.002 inch (0.635 centimeter) high and each having a contact 
edge radius of 0.020 inch 0.002 inch (0.05 centimeter), for 
at least a 150-degree cross-sectional arc. A suggested contact mechanism 
appears in figure 1 of this section.
    (ii) Loading device. The loading device shall be a scale or force 
gauge having an accuracy of 0.5 pound (225 
grams).
    (3) Testing procedure. The test article shall be placed in the 
contact mechanism in any reasonable position for a penetration of 0.25 
to 0.5 inch (0.64 to 1.27 centimeters), which position utilizes less 
than 180 degrees of the arc of the contact mechanism, and a test load 
increasing to 25 pounds 0.5 pound (11.35 kilograms) shall be 
evenly applied within 5 seconds. This load shall be maintained for an 
additional 10 seconds.
    (d) Flexure test--(1) Application. This test shall be applied to 
each component of a toy containing metal wire(s), or other metal 
material(s), for stiffening or for retention of form if the component 
can be bent through a 60-degree arc by a maximum force of 10 pounds 
0.5 pound (4.55 kilograms), applied perpendicularly to the 
major axis of the component at a point 2 inches (5 centimeters) from the 
intersection of the component with the main body of the toy or at the 
end of the component if the component is less than 2 inches 
0.05 inch (5 centimeters) long.
    (2) Testing procedure. The toy shall be secured in a vise equipped 
with vise shields that are fabricated from 13-gauge cold-rolled steel or 
other similar material and that have a 0.375-inch (0.95-centimeter) 
inside radius. The component shall then be bent through a 60-degree arc 
by a force applied at a point on the component 2 inches 0.05 
inch (5 centimeters) from the intersection of the component with the 
main body of the toy or applied at the end of the component if the 
component is less than 2 inches (5 centimeters) long. The component 
shall then be bent in the reverse direction through a 120-degree arc. 
This process shall be repeated for 30 cycles at a rate of one cycle per 
two seconds with a 60-second rest period occurring after each 10 cycles. 
Two 120-degree arc bends shall constitute one cycle.
    (e) Torque test--(1) Application--(i) General. A toy with a 
projection, part, or assembly that a child can grasp with at least the 
thumb and forefinger or the teeth shall be subject to this test.
    (ii) Toys with rotating components. Projections, parts, or 
assemblies that are rigidly mounted on an accessible rod or shaft 
designed to rotate along with the projections, parts, or assemblies 
shall be tested with the rod or shaft clamped to prevent rotation.
    (2) Test equipment--(i) Loading device. The loading device shall be 
a torque gauge, torque wrench, or other appropriate device having an 
accuracy of 0.2

[[Page 461]]

inch-pound (0.23 kilogram-centimeter).
    (ii) Clamp. The clamp shall be capable of holding the test component 
firmly and transmitting a torsional force.
    (3) Testing procedure. With the toy rigidly fastened in any 
reasonable test position, the clamp is fastened to the test object or 
component. A torque of 2 inch-pounds 0.2 inch-pound (2.30 
kilogram-centimeters) shall be applied evenly within a period of 5 
seconds in a clockwise direction until a rotation of 180 degrees from 
the original position has been attained or 2 inch-pounds (2.30 kilogram-
centimeters) exceeded. The torque or maximum rotation shall be 
maintained for an additional 10 seconds. The torque shall then be 
removed and the test component permitted to return to a relaxed 
condition. This procedure shall then be repeated in a counterclockwise 
direction.
    (f) Tension test--(1) Application--(i) General. Any projection of a 
toy that the child can grasp with at least the thumb and forefinger or 
the teeth shall be subject to this test. This test is to be conducted on 
the same toy that has been subjected to the torque test described in 
paragraph (e) of this section.
    (ii) Stuffed toys and beanbags. A stuffed toy or beanbag constructed 
of pliable materials having seams (such as fabrics) shall have the seams 
subjected to 10 pounds 0.5 pound (4.55 kilograms) of force 
applied in any direction.
    (2) Test equipment--(i) Clamps. One clamp capable of applying a 
tension load to the test component is required. A second clamp suitable 
for applying a tension load perpendicularly to the major axis of the 
test component is also required.
    (ii) Loading device. The loading device is to be a self-indicating 
gauge or other appropriate means having an accuracy of 0.5 
pound (225 grams).
    (3) Testing procedure. With the test sample fastened in a convenient 
position, an appropriate clamp shall be attached to the test object or 
component. A 10-pound 0.5 pound (4.55-kilogram) direct force 
shall be evenly applied, within a period of 5 seconds, parallel to the 
major axis of the test component and maintained for an additional 10 
seconds. The tension clamp shall then be removed and a second clamp 
appropriate for pulling at 90 degrees shall be attached to the test 
object or component. A 10-pound 0.5 pound (4.55-kilogram) 
tensile force shall be evenly applied, within a period of 5 seconds, 
perpendicularly to the major axis of the test component and maintained 
for an additional 10 seconds.
    (g) Compression test--(1) Application. Any area on the surface of a 
toy that is accessible to a child and inaccessible to flat-surface 
contact during the impact test shall be subject to this test.
    (2) Test apparatus. The loading device shall be a rigid metal disc 
1.125 inches 0.015 inch (2.86 centimeters) in diameter and 
0.375 inch (0.95 centimeter) in thickness. The perimeter of the disc 
shall be rounded to a radius of \1/32\ inch (0.08 centimeter) to 
eliminate irregular edges. The disc shall be attached to an appropriate 
compression scale having an accuracy of 0.5 pound 
(225 grams).
    (3) Testing procedure. The disc shall be positioned so that the 
contact surface is parallel to the surface under test. A direct force of 
20 pounds 0.5 pound (9.1 kilograms) shall be evenly applied 
within 5 seconds through the disc. This load shall be maintained for an 
additional 10 seconds. During the test the toy is to rest on a flat, 
hard surface in any convenient position.

[[Page 462]]

[GRAPHIC] [TIFF OMITTED] TC03OC91.059

[40 FR 1484, Jan. 7, 1975; 40 FR 6210, Feb. 10, 1975; 40 FR 16192, Apr. 
10, 1975; 40 FR 17746, Apr. 22, 1975; as amended at 55 FR 52040, Dec. 
19, 1990; 56 FR 9, Jan. 2, 1991; 56 FR 558, Jan. 7, 1991]



Sec. 1500.52  Test methods for simulating use and abuse of toys and other articles intended for use by children over 18 but not over 36 months of age.

    (a) Application. The test methods described in this section, shall 
be used to simulate the normal and reasonably foreseeable use, damage, 
or abuse of toys and other articles intended for use by children over 18 
but not over 36 months of age in conjunction with Sec. 1500.18.
    (b) Impact test--(1) Application. Except as provided in paragraph 
(b)(4) of this section, toys having a weight of less than 4.0 pounds 
0.01 pound (1.8 kilograms) shall be subject to this test.

[[Page 463]]

    (2) Impact medium. The impact medium shall consist of a \1/8\-inch 
(0.3-centimeter) nominal thickness of type IV vinyl-composition tile, 
composition 1--asbestos free, as specified by paragraphs 1.2 and 3.1.4 
of Interim Amendment-1(YD), dated November 14, 1979, to the Federal 
Specification entitled Tile, Floor: Asphalt, Rubber, Vinyl, Vinyl-
Asbestos, SS-T-312B, dated October 10, 1974,\1\ over at least a 2.5-inch 
(6.4-centimeter) thickness of concrete. The impact area shall be at 
least 3 square feet (0.3 square meter). The Commission recognizes that 
this specified impact medium is the equivalent of, and will yield the 
same impact test results as, a surface covered with vinyl-asbestos tile 
meeting the requirements of Federal Specification SS-T-312A.
---------------------------------------------------------------------------

    \1\ See footnote 1 to Sec. 1500.51.
---------------------------------------------------------------------------

    (3) Testing procedure. Except as provided in paragraph (b)(4) (i) 
and (ii) of this section, the toy shall be dropped four times from a 
height of 3 feet 0.5 inch (0.92 meter) onto the impact 
medium described in paragraph (b)(2) of this section. The toy shall be 
dropped in random orientation. After each drop, the test sample shall be 
allowed to come to rest and shall be examined and evaluated before 
continuing.
    (4) Large and bulky toys. (i) A toy that has a projected base area 
of 400 or more square inches (2,560 or more square centimeters) shall be 
tested for impact in accordance with paragraph (b)(4)(iii) of this 
section. The base area for toys with permanently attached legs shall be 
measured by calculating the area enclosed by straight lines connecting 
the outermost edge of each leg of the perimeter.
    (ii) A toy that has a volume of more than 3 cubic feet (0.085 cubic 
meter), calculated by the major dimensions without regard to minor 
appendages, shall be tested for impact in accordance with paragraph 
(b)(4)(iii) of this section.
    (iii) The toys described in paragraph (b)(4) (i) and (ii) of this 
section shall be tested for impact by tipping them over three times by 
pushing the samples slowly past their centers of balance onto the impact 
medium described in paragraph (b)(2) of this section.
    (c) Bite test--(1) Application. A toy (or component or any 
accessible portion thereof) that has an external dimension of 1.25 
inches 0.05 inch (3.18 centimeters) or less and a design 
configuration that would permit a child to insert a portion into the 
mouth in any orientation up to a biting thickness of 1.25 inches 
0.05 inches (3.18 centimeters), for a penetration of at 
least 0.25 inch (0.635 centimeter), shall be subject to this test.
    (2) Test equipment--(i) Contact mechanism. The contact mechanism 
shall be two metal strips or plates each measuring 0.25 inch 
0.002 inch (0.635 centimeter) high and each having a contact 
edge radius of 0.020 inch 0.002 inch (0.05 centimeter) for 
at least a 150-degree cross-sectional arc. A suggested contact mechanism 
appears in figure 1 of Sec. 1500.51.
    (ii) Loading device. The loading device shall be a scale or force 
gauge having an accuracy of 0.5 pound (225 
grams).
    (3) Testing procedure. The test article shall be placed in the 
contact mechanism in any reasonable position for a penetration of 0.25 
to 0.5 inch (0.64 to 1.27 centimeters), which position utilizes less 
than 180 degrees of the arc of the contact mechanism, and a test load 
increasing to 50 pounds 0.5 pound (22.74 kilograms) shall be 
evenly applied within 5 seconds. This load shall be maintained for an 
additional 10 seconds.
    (d) Flexure test--(1) Application. This test shall be applied to 
each component of a toy containing metal wire(s), or other metal 
material(s), for stiffening or for retention of form if the component 
can be bent through a 60-degree arc by a maximum force of 15 pounds 
0.5 pound (6.80 kilograms) applied perpendicularly to the 
major axis of the component at a point 2 inches 0.05 inch (5 
centimeters) from the intersection of the component with the main body 
of the toy or at the end of the component if the component is less than 
2 inches 0.05 inch (5 centimeters) long.
    (2) Testing procedure. The toy shall be secured in a vise equipped 
with vise shields that are fabricated from 13-gauge cold-rolled steel or 
other similar material and that have a 0.375-inch (0.95-centimeter) 
inside radius. The

[[Page 464]]

component shall then be bent through a 60-degree arc by a force applied 
at a point on the component 2 inches 0.05 inch (5 
centimeters) from the intersection of the component with the main body 
of the toy or applied at the end of the component if the component is 
less than 2 inches (5 centimeters) long. The component shall then be 
bent in the reverse direction through a 120-degree arc. This process 
shall be repeated for 30 cycles at a rate of one cycle per two seconds 
with a 60-second rest period occurring after each 10 cycles. Two 120-
degree arc bends shall constitute one cycle.
    (e) Torque test--(1) Application--(i) General. A toy with a 
projection, part, or assembly that a child can grasp with at least the 
thumb and forefinger or the teeth shall be subject to this test.
    (ii) Toys with rotating components. Projections, parts, or 
assemblies that are rigidly mounted on an accessible rod or shaft 
designed to rotate along with the projections, parts, or assemblies 
shall be tested with the rod or shaft clamped to prevent rotation.
    (2) Test equipment--(i) Loading device. The loading device shall be 
a torque gauge, torque wrench, or other appropriate device having an 
accuracy of 0.2 inch-pound (0.23 kilogram-
centimeter).
    (ii) Clamp. The clamp shall be capable of holding the test component 
firmly and transmitting a torsional force.
    (3) Testing procedure. With the toy rigidly fastened in any 
reasonable test position, the clamp is fastened to the test object or 
component. A torque of 3 inch-pounds 0.2 inch-pound (3.46 
kilogram-centimeters) shall be applied evenly within a period of 5 
seconds in a clockwise direction until a rotation of 180 degrees from 
the original position has been attained or 3 inch-pounds 0.2 
inch-pound (3.46 kilogram-centimeters) exceeded. The torque or maximum 
rotation shall be maintained for an additional 10 seconds. The torque 
shall then be removed and the test component permitted to return to a 
relaxed condition. This procedure shall then be repeated in a 
counterclockwise direction.
    (f) Tension test--(1) Application--(i) General. Any projection of a 
toy that the child can grasp with at least the thumb and forefinger or 
the teeth shall be subject to this test. This test is to be conducted on 
the same toy that has been subjected to the torque test described in 
paragraph (e) of this section.
    (ii) Stuffed toys and beanbags. A stuffed toy or beanbag constructed 
of pliable materials having seams (such as fabrics) shall have the seams 
subjected to 15 pounds 0.5 pound (6.80 kilograms) of force 
applied in any direction.
    (2) Test equipment--(i) Clamps. One clamp capable of applying a 
tension load to the test component is required. A second clamp suitable 
for applying a tension load perpendicularly to the major axis of the 
test component is also required.
    (ii) Loading device. The loading device is to be a self-indicating 
gauge or other appropriate means having an accuracy of 0.5 
pound (255 grams).
    (3) Testing procedure. With the test sample fastened in a convenient 
position, an appropriate clamp shall be attached to the test object or 
component. A 15-pound 0.5 pound (6.80-kilogram) direct force 
shall be evenly applied, within a period of 5 seconds, parallel to the 
major axis of the test component and maintained for an additional 10 
seconds. The tension clamp shall then be removed and a second clamp 
appropriate for pulling at 90 degrees shall be attached to the test 
object or component. A 15-pound 0.5 pound (6.80-kilogram) 
tensile force shall be evenly applied, within a period of 5 seconds, 
perpendicularly to the major axis of the test component and maintained 
for an additional 10 seconds.
    (g) Compression test--(1) Application. Any area on the surface of a 
toy that is accessible to a child and inaccessible to flat-surface 
contact during the impact test shall be subject to this test.
    (2) Test apparatus. The loading device shall be a rigid metal disc 
1.125 inches 0.015 inch (2.86 centimeters) in diameter and 
0.375 inch (0.95 centimeter) in thickness. The perimeter of the disc 
shall be rounded to a radius of \1/32\ inch (0.08 centimeter) to 
eliminate irregular edges. The disc shall be attached to an appropriate 
compression scale having an accurancy of 0.5 pound 
(225 grams).
    (3) Testing procedure. The disc shall be positioned so that the 
contact surface

[[Page 465]]

is parallel to the surface under test. A direct force of 25 pounds 
0.5 pound (11.4 kilograms) shall be evenly applied within 5 
seconds through the disc. This load shall be maintained for an 
additional 10 seconds. During the test the toy is to rest on a flat, 
hard surface in any convenient position.

[40 FR 1485, Jan. 7, 1975; 40 FR 6210, Feb. 10, 1975; 40 FR 16192, Apr. 
10, 1975; as amended at 56 FR 10, Jan. 2, 1991]



Sec. 1500.53  Test methods for simulating use and abuse of toys and other articles intended for use by children over 36 but not over 96 months of age.

    (a) Application. The test methods described in this section shall be 
used to simulate the normal and reasonably foreseeable use, damage, or 
abuse of toys and other articles intended for use by children over 36 
but not over 96 months of age in conjunction with Sec. 1500.18.
    (b) Impact test--(1) Application. Except as provided in paragraph 
(b)(4) of this section, toys having a weight of less than 10.0 pounds 
0.01 pound (4.6 kilograms) shall be subject to this test.
    (2) Impact medium. The impact medium shall consist of a \1/8\-inch 
(0.3-centimeter) nominal thickness of type IV vinyl-composition tile, 
composition 1--asbestos free, as specified by paragraphs 1.2 and 3.1.4 
of Interim Amendment-1(YD), dated November 14, 1979, to the Federal 
Specification entitled Tile, Floor: Asphalt, Rubber, Vinyl, Vinyl-
Asbestos, SS-T-312B, dated October 10, 1974,\1\ over at least a 2.5-inch 
(6.4-centimeter) thickness of concrete. The impact area shall be at 
least 3 square feet (0.3 square meter). The Commission recognizes that 
this specified impact medium is the equivalent of, and will yield the 
same impact test results as, a surface covered with vinyl-asbestos tile 
meeting the requirements of Federal Specification SS-T-312A.
    (3) Testing procedure. except as provided in paragraph (b)(4) (i) 
and (ii) of this section, the toy shall be dropped four times from a 
height of 3 feet 0.5 inch (0.92 meter) onto the impact 
medium described in paragraph (b)(2) of this section. The toy shall be 
dropped in random orientation. After each drop, the test sample shall be 
allowed to come to rest and shall be examined and evaluated before 
continuing.
    (4) Large and bulky toys. (i) A toy that has a projected base area 
of 400 or more square inches (2,560 or more square centimeters) shall be 
tested for impact in accordance with paragraph (b)(4)(iii) of this 
subsection. The base area for toys having permanently attached legs 
shall be measured by calculating the area enclosed by straight lines 
connecting the outermost edge of each leg of the perimeter.
    (ii) A toy that has a volume of more than 3 cubic feet (0.085 cubic 
meter), calculated by the major dimensions without regard to minor 
appendages, shall be tested for impact in accordance with paragraph 
(b)(4)(iii) of this section.
    (iii) The toys described in paragraph (b)(4) (i) and (ii) of this 
section shall be tested for impact by tipping them over three times by 
pushing the samples slowly past their centers of balance onto the impact 
medium described in paragraph (b)(2) of this section.
    (c) Bite test--(1) Application. A toy (or component) that is a mouth 
toy shall be subject to this test.
    (2) Test equipment--(i) Contact mechanism. The contact mechanism 
shall be two metal strips or plates each measuring 0.25 inch 
0.002 inch (0.635 centimeter) high and each having a contact 
edge radius of 0.020 inch 0.002 inch (0.5 centimeter) for at 
least a 150-degree cross-sectional arc. A suggested contact mechanism 
appears in figure 1 of Sec. 1500.51.
    (ii) Loading device. The loading device shall be a scale or force 
gauge having an accuracy of 0.5 pound (225 
grams).
    (3) Testing procedure. The test article shall be placed in the 
contact mechanism in any reasonable position for a penetration of 0.25 
to 0.5 inch (0.64 to 1.27 centimeters), which position utilizes less 
than 180 degrees of the arc of the contract mechanism, and a test load 
increasing to 100 pounds 0.5 pound (45.50 kilograms) shall 
be evenly applied within 5 seconds. This load shall be maintained for an 
additional 10 seconds.
    (d) Flexure test--(1) Application. This test shall be applied to 
each component of a toy containing metal wire(s), or

[[Page 466]]

other metal material(s), for stiffening or for retention of form if the 
component can be bent through a 60-degree arc by a maximum force of 15 
pounds 0.5 pound (6.80 kilograms) applied perpendicularly to 
the major axis of the component at a point 2 inches 0.05 
inch (5 centimeters) from the intersection of the component with the 
main body of the toy or at the end of the component if the component is 
less than 2 inches 0.05 inch (5 centimeters) long.
    (2) Testing procedure. The toy shall be secured in a vise equipped 
with vise shields that are fabricated from 13-gauge cold-rolled steel or 
other similar material and that have a 0.375-inch (0.95-centimeter) 
inside radius. The component shall then be bent through a 60-degree arc 
by a force applied at a point on the component 2 inches (5 centimeters) 
from the intersection of the component with the main body of the toy or 
applied at the end of the component if the component is less than 2 
inches (5 centimeters) long. The component shall then be bent in the 
reverse direction through a 120-degree arc. This process shall be 
repeated for 30 cycles at a rate of one cycle per two seconds with a 60-
second rest period occurring after each 10 cycles. Two 120-degree arc 
bends shall constitute one cycle.
    (e) Torque test--(1) Application--(i) General. A toy with a 
projection, part, or assembly that a child can grasp with at least the 
thumb and forefinger or the teeth shall be subject to this test.
    (ii) Toys with rotating components. Projections, parts, or 
assemblies that are rigidly mounted on an accessible rod or shaft 
designed to rotate along with the projections, parts, or assemblies 
shall be tested with the rod or shaft clamped to prevent rotation.
    (2) Test equipment--(i) Loading device. The loading device shall be 
a torque gauge, torque wrench, or other appropriate device having an 
accuracy of 0.2 inch-pound (0.23 kilogram-
centimeter).
    (ii) Clamp. The clamp shall be capable of holding the test component 
firmly and transmitting a torsional force.
    (3) Testing procedure. With the toy rigidly fastened in any 
reasonable test position, the clamp is fastened to the test object or 
component. A torque of 4 inch-pounds 0.2 inch-pound (4.60 
kilogram-centimeters) shall be applied evenly within a period of 5 
seconds in a clockwise direction until a rotation of 180 degrees from 
the original position has been attained or 4 inch-pounds 0.2 
inch-pound (4.60 kilogram-centimeters) exceeded. The torque or maximum 
rotation shall be maintained for an additional 10 seconds. The torque 
shall then be removed and the test component permitted to return to a 
relaxed condition. This procedure shall then be repeated in a 
counterclockwise direction.
    (f) Tension test--(1) Application--(i) General. Any projection of a 
toy that the child can grasp with at least the thumb and forefinger or 
the teeth shall be subject to this test. This test is to be conducted on 
the same toy that has been subjected to the torque test described in 
paragraph (e) of this section.
    (ii) Stuffed toys and beanbags. A stuffed toy or beanbag constructed 
of pliable materials having seams (such as fabrics) shall have the seams 
subjected to 15 pounds 0.5 pound (6.80 kilograms) of force 
applied in any direction.
    (2) Test equipment--(i) Clamps. One clamp capable of applying a 
tension load to the test component is required. A second clamp suitable 
for applying a tension load perpendicularly to the major axis of the 
test component is also required.
    (ii) Loading device. The loading device is to be a self-indicating 
gauge or other appropriate means having an accuracy of 0.5 
pound (225 grams).
    (3) Testing procedure. With the test sample fastened in a convenient 
position, and appropriate clamp shall be attached to the test object or 
component. A 15-pound 0.5 pound (6.80-kilogram) direct force 
shall be evenly applied, within a period of 5 seconds, parallel to the 
major axis of the test component and maintained for an additional 10 
seconds. The tension clamp shall then be removed and a second clamp 
appropriate for pulling at 90 degrees shall be attached to the test 
object or component. A 15-pound 0.5 pound (6.80-kilogram) 
tensile force shall be evenly applied, within a period of 5 seconds, 
perpendicularly to the major axis of the

[[Page 467]]

test component and maintained for an additional 10 seconds.
    (g) Compression test--(1) Application. Any area on the surface of a 
toy that is accessible to a child and inaccessible to flat-surface 
contact during the impact test shall be subject to this test.
    (2) Test apparatus. The loading device shall be a rigid metal disc 
1.125 inches 0.015 inch (2.86 centimeters) in diameter and 
0.375 inch (0.95 centimeter) in thickness. The perimeter of the disc 
shall be rounded to a radius of \1/32\ inch (0.08 centimeter) to 
eliminate irregular edges. The disc shall be attached to an appropriate 
compression scale having an accuracy of 0.5 pound 
(225 grams).
    (3) Testing procedure. The disc shall be positioned so that the 
contact surface is parallel to the surface under test. A direct force of 
30 pounds 0.5 pound (13.6 kilograms) shall be evenly applied 
within 5 seconds through the disc. This load shall be maintained for an 
additional 10 seconds. During the test the toy is to rest on a flat, 
hard surface in any convenient position.

[40 FR 1486, Jan. 7, 1975; 40 FR 16192, Apr. 10, 1975, as amended at 56 
FR 10, Jan. 2, 1991]



Sec. 1500.81  Exemptions for food, drugs, cosmetics, and fuels.

    (a) Food, drugs, and cosmetics. Substances subject to the Federal 
Food, Drug, and Cosmetic Act are exempted by section 2(f)(2) of the act; 
but where a food, drug, or cosmetic offers a substantial risk of injury 
or illness from any handling or use that is customary or usual it may be 
regarded as misbranded under the Federal Food, Drug, and Cosmetic Act 
because its label fails to reveal material facts with respect to 
consequences that may result from use of the article (21 U.S.C. 321(n)) 
when its label fails to bear information to alert the householder to 
this hazard.
    (b) Fuels. A substance intended to be used as a fuel is exempt from 
the requirements of the act when in containers that are intended to be 
or are installed as part of the heating, cooling, or refrigeration 
system of a house. A portable container used for delivery or temporary 
or additional storage, and containing a substance that is a hazardous 
substance as defined in section 2(f) of the act, is not exempt from the 
labeling prescribed in section 2(p) of the act, even though it contains 
a fuel to be used in the heating, cooking, or refrigeration system of a 
house.



Sec. 1500.82  Exemption from full labeling and other requirements.

    (a) Any person who believes a particular hazardous substance 
intended or packaged in a form suitable for use in the household or by 
children should be exempted from full label compliance otherwise 
applicable under the act, because of the size of the package or because 
of the minor hazard presented by the substance, or for other good and 
sufficient reason, may submit to the Commission a request for exemption 
under section 3(c) of the act, presenting facts in support of the view 
that full compliance is impracticable or is not necessary for the 
protection of the public health. The Commission shall determine on the 
basis of the facts submitted and all other available information whether 
the requested exemption is consistent with adequate protection of the 
public health and safety. If the Commission so finds, it shall detail 
the exemption granted and the reasons therefor by an appropriate order 
published in the Federal Register.
    (b) The Commission may on its own initiative determine on the basis 
of facts available to it that a particular hazardous substance intended 
or packaged in a form suitable for use in the household or by children 
should be exempted from full labeling compliance otherwise applicable 
under the act because of the size of the package or because of the minor 
hazard presented by the substance or for other good and sufficient 
reason. If the Commission so finds, it shall detail the exemption 
granted and the reasons therefor by an appropriate order in the Federal 
Register.
    (c) Any person who believes a particular article should be exempted 
from being classified as a ``banned hazardous substance'' as defined by 
section 2(q)(1)(A) of the act (repeated in Sec. 1500.3(b)(15)(i)(A)), 
because its functional purpose requires inclusion of a hazardous 
substance, it bears labeling giving adequate directions and warnings for 
safe use, and it is intended for use by children who have attained 
sufficient maturity, and may reasonably

[[Page 468]]

be expected, to read and heed such directions and warnings, may submit 
to the Commission a request for exemption under section 2(q)(1)(B)(i) of 
the act (repeated in proviso (1) under Sec. 1500.3(b)(15(i)), presenting 
facts in support of his contention. The commission shall determine on 
the basis of the facts submitted, and all other available information, 
whether the requested exemption is consistent with the purposes of the 
act. If the Commission so finds, it shall detail the exemption granted 
and the reasons therefor by an appropriate order in the Federal 
Register.
    (d) On its own initiative, the Commission may determine on the basis 
of available facts that a particular banned hazardous substance should 
be exempted from section 2(q)(1)(A) of the act (repeated in 
Sec. 1500.3(b)(15)(i)(A)), because its functional purpose requires 
inclusion of a hazardous substance, it bears labeling giving adequate 
directions and warnings for safe use, and it is intended for use by 
children who have obtained sufficient maturity, and may reasonably be 
expected, to read and heed such directions and warnings. If the 
Commission so finds, it shall detail the exemption granted and the 
reasons therefor by an appropriate order in the Federal Register.



Sec. 1500.83  Exemptions for small packages, minor hazards, and special circumstances.

    (a) The following exemptions are granted for the labeling of 
hazardous substances under the provisions of Sec. 1500.82:
    (1) When the sole hazard from a substance in a self-pressurized 
container is that it generates pressure or when the sole hazard from a 
substance is that it is flammable or extremely flammable, the name of 
the component which contributes the hazards need not be stated.
    (2) Common matches, including book matches, wooden matches, and so-
called ``safety'' matches are exempt from the labeling requirements of 
section 2(p)(1) of the act (repeated in Sec. 1500.3(b)(14)(i)) insofar 
as they apply to the product being considered hazardous because of being 
``flammable'' or ``extremely flammable'' as defined in 
Sec. 1500.3(c)(6)(iii) and (iv).
    (3) Paper items such as newspapers, wrapping papers, toilet and 
cleansing tissues, and paper writing supplies are exempt from the 
labeling requirements of section 2(p)(1) of the act (repeated in 
Sec. 1500.3(b)(14)(i)) insofar as they apply to the products being 
considered hazardous because of being ``flammable'' or ``extremely 
flammable'' as defined in Sec. 1500.3(c)(6)(iii) and (iv).
    (4) Thread, string, twine, rope, cord, and similar materials are 
exempt from the labeling requirements of section 2(p)(1) of the act 
(repeated in Sec. 1500.3(b)(14)(i)) insofar as they apply to the 
products being considered hazardous because of being ``flammable'' or 
``extremely flammable'' as defined in Sec. 1500.3(c)(6) (iii) and (iv).
    (5) Laboratory chemicals intended only for research or 
investigational and other laboratory uses (except those in home 
chemistry sets) are exempt from the requirements of placement provided 
in Sec. 1500.121 if all information required by that section and the act 
appears with the required prominence on the label panel adjacent to the 
main panel.
    (6) [Reserved]
    (7) Rigid or semirigid ballpoint ink cartridges are exempt from the 
labeling requirements of section 2(p)(1) of the act (repeated in 
Sec. 1500.3(b)(14)(i)), insofar as such requirements would be necessary 
because the ink contained therein is a ``toxic'' substance as defined in 
Sec. 1500.3(c)(2)(i), if:
    (i) The ballpoint ink cartridge is of such construction that the ink 
will, under any reasonably foreseeable conditions of manipulation or 
use, emerge only from the ballpoint end;
    (ii) When tested by the method described in Sec. 1500.3(c)(2)(i), 
the ink does not have an LD-50 single oral dose of less than 500 
milligrams per kilogram of body weight of the test animal; and
    (iii) The cartridge does not have a capacity of more than 2 grams of 
ink.
    (8) Containers of paste shoe waxes, paste auto waxes, and paste 
furniture and floor waxes containing toluene (also known as toluol), 
xylene (also known as xylol), petroleum distillates, and/or turpentine 
in the concentrations described in Sec. 1500.14(a)(3) and (5) are exempt 
from the labeling requirements of Sec. 1500.14(b)(3)(ii) and (5) if the

[[Page 469]]

visicosity of such products is sufficiently high so that they will not 
flow from their opened containers when inverted for 5 minutes at a 
temperature of 80  deg.F., and are exempt from bearing a flammability 
warning statement if the flammability of such waxes is due solely to the 
presence of solvents that have flashpoints above 80  deg.F. when tested 
by the method described in Sec. 1500.43.
    (9) Porous-tip ink-marking devices are exempt from the labeling 
requirements of section 2(p)(1) of the act (repeated in 
Sec. 1500.3(b)(14)(i)) and from the labeling requirements of 
Sec. 1500.14(b)(1), (2), and (3)(ii) and (iii) insofar as such 
requirements would be necessary because the ink contained therein is a 
toxic substance as defined in Sec. 1500.3(c)(2)(i), and/or because the 
ink contains 10 percent or more by weight of toluene (also known as 
toluol), xylene (also known as xylol), or petroleum distillates as 
defined in Sec. 1500.14(a)(3), and/or because the ink contains 10 
percent or more by weight of ethylene glycol; provided that:
    (i) The porous-tip ink-marking devices are of such construction 
that:
    (A) The ink is held within the device by an absorbent material so 
that no free liquid is within the device; and
    (B) Under any reasonably foreseeable conditions of manipulation and 
use, including reasonably foreseeable abuse by children, the ink will 
emerge only through the porous writing nib of the device; and
    (ii)(A) The device has a capacity of not more than 10 grams of ink 
and the ink, when tested by methods described in Sec. 1500.3(c)(2)(i), 
has an LD-50 single oral dose of not less than 2.5 grams per kilogram of 
body weight of the test animal; or
    (B) The device has a capacity of not more than 12 grams of ink and 
the ink, when tested by methods described in Sec. 1500.3(c)(2)(i), has 
an LD-50 single oral dose of not less than 3.0 grams per kilogram of 
body weight of the test animal.
    (10) Viscous nitrocellulose-base adhesives containing more than 4 
percent methyl alcohol by weight are exempt from the label statement 
``Cannot be be made nonpoisonous'' required by Sec. 1500.14(b)(4) if:
    (i) The total amount of methyl alcohol by weight in the product does 
not exceed 15 percent; and
    (ii) The contents of any container does not exceed 2 fluid ounces.
    (11) Packages containing polishing or cleaning products which 
consist of a carrier of solid particulate or fibrous composition and 
which contain toluene (also known as toluol), xylene (also known as 
xylol), or petroleum distillates in the concentrations described in 
Sec. 1500.14(a) (1) and (2) are exempt from the labeling requirements of 
Sec. 1500.14(b)(3)(ii) if such toluene, xylene, or petroleum distillate 
is fully absorbed by the solid, semisolid, or fibrous carrier and cannot 
be expressed therefrom with any reasonably foreseeable conditions of 
manipulation.
    (12) Containers of dry ink intended to be used as a liquid ink after 
the addition of water are exempt from the labeling requirements of 
section 2(p)(1) of the act (repeated in Sec. 1500.3(b)(14)(i)) and from 
the labeling requirements of Sec. 1500.14(b) (1) and (2) insofar as such 
requirements would be necessary because the dried ink contained therein 
is a toxic substance as defined in Sec. 1500.3(c)(2)(i) and/or because 
the ink contains 10 percent or more of ethylene glycol as defined in 
Sec. 1500.14(a)(2); provided that:
    (i) When tested by the method described in Sec. 1500.3(c)(2)(i), the 
dry ink concentrate does not have an LD-50 (lethal dose, median; lethal 
for 50 percent or more of test group) single oral dose of less than 1 
gram per kilogram of body weight of the test animal.
    (ii) The dry ink concentrate enclosed in a single container does not 
weigh more than 75 milligrams.
    (iii) The dry ink concentrate does not contain over 15 percent by 
weight of ethylene glycol.
    (13) Containers of liquid and semisolid substances such as viscous-
type paints, varnishes, lacquers, roof coatings, rubber vulcanizing 
preparations, floor covering adhesives, glazing compounds, and other 
viscous products containing toluene (also known as toluol), xylene (also 
known as xylol), or petroleum distillates in concentrations described in 
Sec. 1500.14(a)(3) are exempt from the labeling requirements of

[[Page 470]]

Sec. 1500.14(b)(3)(ii) insofar as that subdivision applies to such 
toluene, xylene, or petroleum distillates, provided that the viscosity 
of the substance or of any liquid that may separate or be present in the 
container is not less than 100 Saybolt universal seconds at 100  deg.F.
    (14) Customer-owned portable containers that are filled by retail 
vendors with gasoline, kerosene (kerosine), or other petroleum 
distillates are exempt from the provision of section 2(p)(1)(A) of the 
act (which requires that the name and place of business of the 
manufacturer, distributor, packer, or seller appear on the label of such 
containers) provided that all the other label statements required by 
section 2(p)(1) of the act and Sec. 1500.14(b)(3) appear on the labels 
of containers of the substances named in this subparagraph.
    (15) Cellulose sponges are exempt from the labeling requirements of 
section 2(p)(1) of the act and Sec. 1500.14(b)(1) insofar as such 
requirements would be necessary because they contain 10 percent or more 
of diethylene glycol as defined in Sec. 1500.14(a)(1), provided that:
    (i) The cellulose sponge does not contain over 15 percent by weight 
of diethylene glycol; and
    (ii) The diethylene glycol content is completely held by the 
absorbent cellulose material so that no free liquid is within the sponge 
as marketed.
    (16) Containers of substances which include salt (sodium chloride) 
as a component are exempt from the labeling requirements of section 
2(p)(1) of the act (repeated in Sec. 1500.3(b)(14)(i)) insofar as such 
requirements would be necessary because the salt contained therein is 
present in a quantity sufficient to render the article ``toxic'' as 
defined in Sec. 1500.3(3)(2)(i), provided that the labels of such 
containers bear a conspicuous statement that the product contains salt.
    (17) The labeling of substances containing 10 percent or more of 
ferrous oxalate is exempt from the requirement of Sec. 1500.129(f) that 
it bear the word ``poison'' which would be required for such 
concentration of a salt of oxalic acid.
    (18) Packages containing articles intended as single-use spot 
removers, and which consist of a cotton pad or other absorbent material 
saturated with a mixture of drycleaning solvents, are exempt from the 
labeling requirements of section 2(p)(1) of the act (repeated in 
Sec. 1500.3(b)(14)(i)) insofar as they apply to the ``flammable'' hazard 
as defined in Sec. 1500.3(c)(6)(iv), provided that:
    (i) The article is packaged in a sealed foil envelope;
    (ii) The total amount of solvent in each package does not exceed 4.5 
milliliters; and
    (iii) The article will ignite only when in contact with an open 
flame, and when so ignited, the article burns with a sooty flame.
    (19) Packages containing articles intended as single-use spot 
removers, and which consist of a cotton pad or other absorbent material 
containing methyl alcohol, are exempt from the labeling requirements of 
Sec. 1500.14(b)(4), if:
    (i) The total amount of cleaning solvent in each package does not 
exceed 4.5 milliliters of which not more than 25 percent is methyl 
alcohol; and
    (ii) The liquid is completely held by the absorbent materials so 
that no free liquid is within the packages marketed.
    (20) Cigarette lighters containing petroleum distillate fuel are 
exempt from the labeling requirements of section 2(p)(1) of the act 
(repeated in Sec. 1500.3(b)(14)(i)) and Sec. 1500.14(b)(3) insofar as 
such requirements would be necessary because the petroleum distillate 
contained therein is flammable and because the substance is named in 
Sec. 1500.14(a)(3) as requiring special labeling, provided that:
    (i) Such lighters contain not more than 10 cubic centimeters of fuel 
at the time of sale; and
    (ii) Such fuel is contained in a sealed compartment that cannot be 
opened without the deliberate removal of the flush-set, screw-type 
refill plug of the lighter.
    (21) Containers of dry granular fertilizers and dry granular plant 
foods are exempt from the labeling requirements of section 2(p)(1) of 
the act (repeated in Sec. 1500.3(b)(14)(i)) insofar as such requirements 
would be necessary because the fertilizer or plant food contained 
therein is a toxic substance as defined in Sec. 1500.3(c)(2)(i), 
provided that:
    (i) When tested by the method described in Sec. 1500.3(c)(2)(i), the 
product

[[Page 471]]

has a single dose LD-50 of not less than 3.0 grams per kilogram of body 
weight of the test animal;
    (ii) The label of any such exempt dry granular fertilizers discloses 
the identity of each of the hazardous ingredients;
    (iii) The label bears the name and address of the manufacturer, 
packer, distributor, or seller; and
    (iv) The label bears the statement ``Keep out of the reach of 
children'' or its practical equivalent.
    (22) Small plastic capsules containing a paste composed of powdered 
metal solder mixed with a liquid flux are exempt from the requirements 
of section 2(p)(1) of the act (repeated in Sec. 1500.3(b)(14)(i)), if:
    (i) The capsule holds not more than one-half milliliter of the 
solder mixture;
    (ii) The capsule is sold only as a component of a kit; and
    (iii) Adequate caution statements appear on the carton of the kit 
and on any accompanying labeling which bears directions for use.
    (23) Chemistry sets and other science education sets intended 
primarily for use by juveniles, and replacement containers of chemicals 
for such sets, are exempt from the requirements of section 2(p)(1) of 
the act (repeated in Sec. 1500.3(b)(14)(i)), if:
    (i) The immediate container of each chemical that is hazardous as 
defined in the act and regulations thereunder bears on its main panel 
the name of such chemical, the appropriate signal word for that 
chemical, and the additional statement ``Read back panel before using'' 
(or ``Read side panel before using,'' if appropriate) and bears on the 
back (or side) panel of the immediate container the remainder of the 
appropriate cautionary statement for the specific chemical in the 
container;
    (ii) The experiment manual or other instruction book or booklet 
accompanying such set bears on the front page thereof, as a preface to 
any written matter in it (or on the cover, if any there be), the 
following caution statement within the borders of a rectangle and in the 
type size specified in Sec. 1500.121:

   ------------------------------------------------------------------
         WARNING--This set contains chemicals that may be harmful 
      if misused. Read cautions on individual containers 
      carefully. Not to be used by children except under adult 
      supervision

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

; and
    (iii) The outer carton of such set bears on the main display panel 
within the borders of a rectangle, and in the type size specified in 
Sec. 1500.121, the caution statement specified in paragraph (a)(23)(ii) 
of this section.
    (24) Fire extinguishers containing fire extinguishing agents which 
are stored under pressure or which develop pressure under normal 
conditions of use are exempt from the labeling requirements of section 
2(p)(1) of the act (repeated in Sec. 1500.3(b)(14)(i)) insofar as such 
requirements apply to the pressure hazard as defined in 
Sec. 1500.3(c)(7)(i), provided that:
    (i) If the container is under pressure both during storage and under 
conditions of use, it shall be designed to withstand a pressure of at 
least 6 times the charging pressure at 70  deg.F., except that carbon 
dioxide extinguishers shall be constructed and tested in accordance with 
applicable Interstate Commerce Commission specifications; or
    (ii) If the container is under pressure only during conditions of 
use, it shall be designed to withstand a pressure of not less than 5 
times the maximum pressure developed under closed nozzle conditions at 
70  deg.F. or 1\1/2\ times the maximum pressure developed under closed 
nozzle conditions at 120  deg.F., whichever is greater.
    (25) Cleaning and spot removing kits intended for use in cleaning 
carpets, furniture, and other household objects; kits intended for use 
in coating, painting, antiquing, and similarly processing furniture, 
furnishings, equipment, sidings, and various other surfaces; and kits 
intended for use in photographic color processing are exempt from the 
requirements of section 2(p)(1) of the act (repeated in 
Sec. 1500.3(b)(14)(i)) and from the requirements of Sec. 1500.14, 
provided that:
    (i) The immediate container of each hazardous substance in the kit 
is fully labeled and in conformance with the requirements of the act and 
regulations thereunder; and

[[Page 472]]

    (ii) The carton of the kit bears on the main display panel (or 
panels) within a borderline, and in the type size specified in 
Sec. 1500.121, the caution statement ``(Insert proper signal word as 
specified in paragraph (a)(25)(iii) of this section). This kit contains 
the following chemicals that may be harmful if misused: (List hazardous 
chemical components by name.) Read cautions on individual containers 
carefully. Keep out of the reach of children.''
    (iii) If either the word ``POISON'' or ``DANGER'' is required on the 
container of any component of the kit, the same word shall be required 
to appear as part of the caution statement on the kit carton. If both 
``POISON'' and ``DANGER'' are required in the labeling of any component 
or components in the kit, the word ``POISON'' shall be used. In all 
other cases the word ``WARNING'' or ``CAUTION'' shall be used.
    (26) Packages containing articles intended as single-use spot 
removers and containing methyl alcohol are exempt from the labeling 
specified in Sec. 1500.14(b)(4), if:
    (i) The total amount of cleaning solvent in each unit does not 
exceed 1 milliliter, of which not more than 40 percent is methyl 
alcohol;
    (ii) The liquid is contained in a sealed glass ampoule enclosed in a 
plastic container with a firmly attached absorbent wick at one end 
through which the liquid from the crushed ampoule must pass, under the 
contemplated conditions of use; and
    (iii) The labeling of each package of the cleaner bears the 
statement ``WARNING--Keep out of the reach of children,'' or its 
practical equivalent, and the name and place of business of the 
manufacturer, packer, distributor, or seller.
    (27) Packaged fireworks assortments intended for retail distribution 
are exempt from section 2(p)(1) of the act (repeated in 
Sec. 1500.3(b)(14)(i)), if:
    (i) The package contains only fireworks devices suitable for use by 
the public and designed primarily to produce visible effects by 
combustion, except that small devices designed to produce audible 
effects may also be included if the audible effect is produced by a 
charge of not more than 2 grains of pyrotechnic composition;
    (ii) Each individual article in the assortment is fully labeled and 
in conformance with the requirements of the act and regulations 
thereunder; and
    (iii) The outer package bears on the main display panel (or panels), 
within the borders of a rectangle and in the type size specified in 
Sec. 1500.121, the caution statement ``WARNING--This assortment contains 
items that may be hazardous if misused and should be used only under 
adult supervision. IMPORTANT--Read cautions on individual items 
carefully.'' (See also Sec. 1500.14(b)(7); Sec. 1500.17(a) (3), (8) and 
(9); Sec. 1500.85(a)(2); and part 1507).
    (28) Packages containing felt pads impregnated with ethylene glycol 
are exempt from the labeling requirements of Sec. 1500.14(b)(1), if:
    (i) The total amount of ethylene glycol in each pad does not exceed 
1 gram; and
    (ii) The liquid is held by the felt pad so that no free ethylene 
glycol is within the package.
    (29) Cigarette lighters containing butane and/or isobutane fuel are 
exempt from the labeling requirements of section 2(p)(1) of the act 
(repeated in Sec. 1500.3(b)(14)(i)) insofar as such requirements would 
otherwise be necessary because the fuel therein is extremely flammable 
and under pressure, provided that:
    (i) The lighters contain not more than 12 grams of fuel at the time 
of sale; and
    (ii) The fuel reservoir is designed to withstand a pressure of at 
least 1\1/2\ times the maximum pressure which will be developed in the 
container at 120  deg.F.
    (30) The outer retail containers of solder kits each consisting of a 
small tube of flux partially surrounded by a winding of wire-type 
cadmium-free silver solder are exempt from the labeling requirements of 
section 2(p)(1) of the act (repeated in Sec. 1500.3(b)(14)(i)), if:
    (i) The metal solder contains no cadmium and is not otherwise 
hazardous under the provisions of the act;
    (ii) The tube of flux in the kit is fully labeled and in conformance 
with the act and regulations thereunder, and any accompanying literature 
that

[[Page 473]]

bears directions for use also bears all the information required by 
section 2(p) of the act; and
    (iii) The main panel of the outer container bears in type size 
specified in Sec. 1500.121 the following: (A) The signal word; (B) a 
statement of principal hazard or hazards; (C) the statement ``Keep out 
of the reach of children,'' or its practical equivalent; and (D) 
instructions to read other cautionary instructions on the tube of flux 
within.
    (31) Visual novelty devices consisting of sealed units, each of 
which unit is a steel and glass cell containing perchloroethylene (among 
other things), are exempt from the requirements of Sec. 1500.121(a) that 
would otherwise require a portion of the warning statement to appear on 
the glass face of the device, provided that:
    (i) The device contains not more than 105 milliliters of 
perchloroethylene and contains no other component that contributes 
substantially to the hazard; and
    (ii) The following cautionary statement appears on the device (other 
than on the bottom) in the type size specified in Sec. 1500.121 (c) and 
(d):

           Caution--If Broken, Resultant Vapors May Be Harmful

    Contains perchloroethylene. Do not expose to extreme heat. If broken 
indoors, open windows and doors until all odor of chemical is gone.
    Keep out of the reach of children.

A practical equivalent may be substituted for the statement ``Keep out 
of the reach of children.''
    (32) Hollow plastic toys containing mineral oil are exempt from the 
labeling specified in Sec. 1500.14(b)(3)(ii), if:
    (i) The article contains no other ingredient that would cause it to 
possess the aspiration hazard specified in Sec. 1500.14(b)(3)(ii);
    (ii) The article contains not more than 6 fluid ounces of mineral 
oil;
    (iii) The mineral oil has a viscosity of at least 70 Saybolt 
universal seconds at 100  deg.F.;
    (iv) The mineral oil meets the specifications in the N.F. for light 
liquid petrolatum; and
    (v) The container bears the statement ``CAUTION--Contains light 
liquid petrolatum N.F. Discard if broken or leak develops.''
    (33) Containers of mineral oil having a capacity of not more than 1 
fluid ounce and intended for use in producing a smoke effect for toy 
trains are exempt from the labeling specified in Sec. 1500.14(b)(3), if:
    (i) The mineral oil meets the specifications in the N.F. for light 
liquid petrolatum;
    (ii) The mineral oil has a viscosity of at least 130 Saybolt 
universal seconds at 100  deg.F.;
    (iii) The article contains no other ingredient that contributes to 
the hazard; and
    (iv) The label declares the presence light liquid petrolatum and the 
name and place of business of the manufacturer, packer, distributor, or 
seller.
    (34) Viscous products containing more than 4 percent by weight of 
methyl alcohol, such as adhesives, asphalt-base roof and tank coatings, 
and similar products, are exempt from bearing the special labeling 
required by Sec. 1500.14(b)(4), if:
    (i) The product contains not more than 15 percent by weight of 
methyl alcohol;
    (ii) The methyl alcohol does not separate from the other ingredients 
upon standing or through any foreseeable use or manipulation;
    (iii) The viscosity of the product is not less than 7,000 
centipoises at 77  deg.F., unless the product is packaged in a 
pressurized container and is dispensed as a liquid unsuitable for 
drinking; and
    (iv) The labeling bears the statement ``Contains methyl alcohol. Use 
only in well-ventilated area. Keep out of the reach of children.''
    (35) Individual blasting caps are exempt from bearing the statement 
``Keep out of the reach of children,'' or its practical equivalent, if:
    (i) Each cap bears conspicuously in the largest type size 
practicable the statement ``DANGEROUS--BLASTING CAPS--EXPLOSIVE''; and
    (ii) The outer carton and any accompanying printed matter bear 
appropriate, complete cautionary labeling.
    (36) Individual toy rocket propellant devices and separate delay 
train and/or recovery system activation devices intended for use with 
premanufactured model rocket engines are exempt from bearing the full 
labeling required by

[[Page 474]]

section 2(p)(1) of the act (repeated in Sec. 1500.3(b)(14)(i)) insofar 
as such requirements would be necessary because the articles are 
flammable or generate pressure, provided that:
    (i) The devices are designed and constructed in accordance with the 
specifications in Sec. 1500.85(a) (8) or (9):
    (ii) Each individual device or retail package of devices bears the 
following:
    (A) The statement ``WARNING--FLAMMABLE: Read instructions before 
use'';
    (B) The common or usual name of the article;
    (C) A statement of the type of engine and use classification;
    (D) Instructions for safe disposal; and
    (E) Name and place of business of manufacturer or distributor; and
    (iii) Each individual rocket engine or retail package of rocket 
engines distributed to users is accompanied by an instruction sheet 
bearing complete cautionary labeling and instructions for safe use and 
handling of the individual rocket engines.
    (37) Glues with a cyanoacrylate base in packages containing 3 grams 
or less are exempt from the requirement of Sec. 1500.121(d) that 
labeling which is permitted to appear elsewhere than on the main label 
panel must be in type size no smaller than 6 point type, provided that:
    (i) The main panel of the immediate container bears both the proper 
signal word and a statement of the principal hazard or hazards 
associated with this product, as provided by Sec. 1500.121 (a) and (c);
    (ii) The main panel of the immediate container also bears an 
instruction to read carefully additional warnings elsewhere on the label 
and on any outer package, accompanying leaflet, and display card. The 
instruction to read additional warnings must comply with the size, 
placement, conspicuousness, and contrast requirements of Sec. 1500.121; 
and
    (iii) The remainder of the cautionary labeling required by the act 
that is not on the main label panel must appear elsewhere on the label 
in legible type and must appear on any outer package, accompanying 
leaflet, and display card. If there is no outer package, accompanying 
leaflet, or display card, then the remainder of the required cautionary 
labeling must be displayed on a tag or other suitable material that is 
securely affixed to the article so that the labeling will remain 
attached throughout the conditions of merchandising and distribution to 
the ultimate consumer. That labeling which must appear on any outer 
package, accompanying leaflet, tag, or other suitable material must 
comply with the size, placement, contrast, and conspicuousness 
requirements of Sec. 1500.121(d).
    (38) Rigid or semi-rigid writing instruments and ink cartridges 
having a writing point and an ink reservoir are exempt from the labeling 
requirements of section 2(p)(1) of the act (repeated in 
Sec. 1500.3(b)(14)(i) of the regulations) and of regulations issued 
under section 3(b) of the act (Sec. 1500.14(b)(1, 2)) insofar as such 
requirements would be necessary because the ink contained therein is a 
``toxic'' substance as defined in Sec. 1500.3(c)(2)(i) and/or because 
the ink contains 10 percent or more by weight ethylene glycol or 
diethylene glycol, if all the following conditions are met:
    (i) The writing instrument or cartridge is of such construction that 
the ink will, under any reasonably foreseeable condition of manipulation 
and use, emerge only from the writing tip.
    (ii) When tested by the method described in Sec. 1500.3(c)(2)(i), 
the ink does not have an LD-50 single oral dose of less than 2.5 grams 
per kilogram of body weight of the test animal.
    (iii) If the ink contains ethylene glycol or diethylene glycol, the 
amount of such substance, either singly or in combination, does not 
exceed 1 gram per writing instrument or cartridge.
    (iv) The amount of ink in the writing instrument or cartridge does 
not exceed 3 grams.

[38 FR 27012, Sept. 27, 1973; 42 FR 33026, June 29, 1977, as amended at 
43 FR 32745, July 28, 1978; 43 FR 47176, Oct. 13, 1978; 44 FR 42678, 
July 20, 1979; 46 FR 11513, Feb. 9, 1981; 48 FR 16, Jan. 3, 1983]



Sec. 1500.85  Exemptions from classification as banned hazardous substances.

    (a) The term banned hazardous substances as used in section 
2(q)(1)(A) of the act shall not apply to the following articles provided 
that these articles

[[Page 475]]

bear labeling giving adequate directions and warnings for safe use:
    (1) Chemistry sets and other science education sets intended 
primarily for juveniles, and replacement components for such sets, when 
labeled in accordance with Sec. 1500.83(a)(23).
    (2) Firecrackers designed to produce audible effects, if the audible 
effect is produced by a charge of not more than 50 milligrams (.772 
grains) of pyrotechnic composition. (See also Sec. 1500.14(b)(7); 
Sec. 1500.17(a) (3), (8) and (9); and part 1507).
    (3) [Reserved]
    (4) Educational materials such as art materials, preserved 
biological specimens, laboratory chemicals, and other articles intended 
and used for educational purposes.
    (5) Liquid fuels containing more than 4 percent by weight of methyl 
alcohol that are intended and used for operation of miniature engines 
for model airplanes, boats, cars, etc.
    (6) Novelties consisting of a mixture of polyvinyl acetate, U.S. 
Certified Colors, and not more than 25 percent by weight of acetone, and 
intended for blowing plastic balloons.
    (7) Games containing, as the sole hazardous component, a self-
pressurized container of soap solution or similar foam-generating 
mixture provided that the foam-generating component has no hazards other 
than being in a self-pressurized container.
    (8) Model rocket propellant devices designed for use in light-
weight, recoverable, and reflyable model rockets, provided such devices:
    (i) Are designed to be ignited by electrical means.
    (ii) Contain no more than 62.5 grams (2.2 ounces) of propellant 
material and produce less than 80 newton-seconds (17.92 pound seconds) 
of total impulse with thrust duration not less than 0.050 second.
    (iii) Are constructed such that all the chemical ingredients are 
preloaded into a cylindrical paper or similarly constructed nonmetallic 
tube that will not fragment into sharp, hard pieces.
    (iv) Are designed so that they will not burst under normal 
conditions of use, are incapable of spontaneous ignition, and do not 
contain any type of explosive or pyrotechnic warhead other than a small 
parachute or recovery-system activation charge.
    (9) Separate delay train and/or recovery system activation devices 
intended for use with premanufactured model rocket engines wherein all 
of the chemical ingredients are preloaded so the user does not handle 
any chemical ingredient and are so designed that the main casing or 
container does not rupture during operation.
    (10) Solid fuel pellets intended for use in miniature jet engines 
for propelling model jet airplanes, speed boats, racing cars, and 
similar models, provided such solid fuel pellets:
    (i) Weigh not more than 11.5 grams each.
    (ii) Are coated with a protective resinous film.
    (iii) Contain not more than 35 percent potassium dichromate.
    (iv) Produce a maximum thrust of not more than 7\1/2\ ounces when 
used as directed.
    (v) Burn not longer than 12 seconds each when used as directed.
    (11) Fuses intended for igniting fuel pellets exempt under 
subparagraph (10) of this paragraph.
    (12) Kits intended for construction of model rockets and jet 
propelled model airplanes requiring the use of difluorodichloromethane 
as a propellant, provided the outer carton bears on the main panel in 
conspicuous type size the statement ``WARNING--Carefully read 
instructions and cautions before use.''
    (13) Flammable wire materials intended for electro-mechanical 
actuation and release devices for model kits described in paragraph (12) 
of this section, provided each wire does not exceed 15 milligrams in 
weight.
    (b) [Reserved]

[38 FR 27012, Sept. 27, 1973, as amended at 41 FR 22935, June 8, 1976; 
42 FR 43391, Aug. 29, 1977; 48 FR 16, Jan. 3, 1983]



Sec. 1500.86  Exemptions from classification as a banned toy or other banned article for use by children.

    (a) The term banned hazardous substance as used in section 
2(q)(1)(A) of the act (repeated in Sec. 1500.3(b)(15)(i)(A)) of the act 
shall not apply to the following articles:

[[Page 476]]

    (1) Toy rattles described in Sec. 1500.18(a)(1) in which the rigid 
wires, sharp protrusions, or loose small objects are internal and 
provided that such rattles are constructed so that they will not break 
or deform to expose or release the contents either in normal use or when 
subjected to reasonably foreseeable damage or abuse.
    (2) Dolls and stuffed animals and other similar toys described in 
Sec. 1500.18(a)(3) in which the components that have the potential for 
causing laceration, puncture wound injury, or other similar injury are 
internal, provided such dolls, stuffed animals, and other similar toys 
are constructed so that they will not break or deform to expose such 
components either in normal use or when subjected to reasonably 
foreseeable damage or abuse.
    (3) [Reserved]
    (4) Any article known as a ``baby-bouncer,'' ``walker-jumper,'' or 
``baby-walker'' and any other similar article (referred to in this 
paragraph as ``article(s)'') described in Sec. 1500.18(a)(6) provided:
    (i) The frames are designed and constructed in a manner to prevent 
injury from any scissoring, shearing, or pinching when the members of 
the frame or other components rotate about a common axis or fastening 
point or otherwise move relative to one another; and
    (ii) Any coil springs which expand when the article is subjected to 
a force that will extend the spring to its maximum distance so that a 
space between successive coils is greater than one-eighth inch (0.125 
inch) are covered or otherwise designed to prevent injuries; and
    (iii) All holes larger than one-eighth inch (0.125 inch) in diameter 
and slots, cracks, or hinged components in any portion of the article 
through which a child could insert, in whole or in part a finger, toe, 
or any other part of the anatomy are guarded or otherwise designed to 
prevent injuries; and
    (iv) The articles are designed and constructed to prevent accidental 
collapse while in use; and
    (v) The articles are designed and constructed in a manner that 
eliminates from any portion of the article the possibility of presenting 
a mechanical hazard through pinching, bruising, lacerating, crushing, 
breaking, amputating, or otherwise injuring portions of the human body 
when in normal use or when subjected to reasonably foreseeable damage or 
abuse; and
    (vi) Any article which is introduced into interstate commerce after 
the effective date of this subparagraph is labeled:
    (A) With a conspicuous statement of the name and address of the 
manufacturer, packer, distributor, or seller; and
    (B) With a code mark on the article itself and on the package 
containing the article or on the shipping container, in addition to the 
invoice(s) or shipping document(s), which code mark will permit future 
identification by the manufacturer of any given model (the manufacturer 
shall change the model number whenever the article undergoes a 
significant structural or design modification); and
    (vii) The manufacturer or importer of the article shall make, keep, 
and maintain for 3 years records of sale, distribution, and results of 
inspections and tests conducted in accordance with this subparagraph and 
shall make such records available at all reasonable hours upon request 
by any officer or employee of the Consumer Product Safety Commission and 
shall permit such officer or employee to inspect and copy such records, 
to make such stock inventories as he deems necessary, and to otherwise 
check the correctness of such records.
    (5) Clacker balls described in Sec. 1500.18(a)(7) that have been 
designed, manufactured, assembled, labeled, and tested in accordance 
with the following requirements, and when tested at the point of 
production or while in interstate commerce or while held for sale after 
shipment in interstate commerce do not exceed the failure rate 
requirements of the table in paragraph (a)(5)(vi) of this section:
    (i) The toy shall be so designed and fabricated that:
    (A) Each ball: Weighs less than 50 grams; will not shatter, crack, 
or chip; is free of cracks, flash (ridges due to imperfect molding), and 
crazing (tiny surface cracks); and is free of rough or sharp edges 
around any hole where the cord enters or over any surface with

[[Page 477]]

which the cord may make contact. Each ball is free of internal voids 
(holes, cavities, or air bubbles) if the balls are made of materials 
other than those materials (such as ABS (acrylonitrile butadiene 
styrene), nylon, and high-impact polystyrene) that are injection-molded 
and possess high-impact characteristics.
    (B) The cord: Is of high tensile strength, synthetic fibers that are 
braided or woven, having a breaking strength in excess of 445 Newtons 
(100 pounds); is free of fraying or any other defect that might tend to 
reduce its strength in use; is not molded in balls made of casting 
resins which tend to wick up or run up on the outside of the cord; and 
is affixed to a ball at the center of the horizontal plane of the ball 
when it is suspended by the cord. Clacker balls where the mass of each 
ball is less than 12 grams (0.42 oz.) and the distance between the 
center of the pivot and the center of the ball cannot exceed 180 mm (7.1 
inches) may have a minimum cord breaking strength of less than 445 
Newtons (100 pounds), as computed by the following formula:
    Adjusted Cord Breaking Strength in Newtons=0.1382(mb) 
(Rp), where mb=mass of a single ball in grams and
    Rp=pivot length in mm.
    (C) When the cord is attached to the ball by means of a knot, the 
end beneath the knot is chemically fused or otherwise treated to prevent 
the knot from slipping out or untying in use.
    (ii) The toy shall be tested at the time of production:
    (A) By using the sampling procedure described in the table in 
subdivision (vi) of this subparagraph to determine the number of units 
to be tested.
    (B) By subjecting each ball tested to 10 drops of a 2.25 kg (5-
pound) steel impact rod or weight (57-mm (2\1/4\-inch) diameter with a 
flat head) dropped 1220 mm (48 inches) in a vented steel or aluminum 
tube (60-mm (2\3/8\-inch) inside diameter) when the ball is placed on a 
steel or cast iron mount. Clacker balls where the mass of each ball is 
less than 12 grams (0.42 oz.) and the distance between the center of the 
pivot and the center of the ball cannot exceed 180 mm (7.1 inches) may 
be tested by dropping the impact weight from a height of less than 1220 
mm (48 in.), where the height is computed as follows:
    Adjusted drop height in mm=179x10-5(mb) 
(Rp2), where mb=mass of a single ball in grams and
    Rp=pivot length in mm.

Any ball showing any chipping, cracking, or shattering shall be counted 
as a failure within the meaning of the third column of the table in 
paragraph (a)(5)(vi) of this section.
    (C) By inspecting each ball tested for smoothness of finish on any 
surface of the ball which may come in contact with the cord during use. 
A cotton swab shall be rubbed vigorously over each such surface or area 
of the ball; if any cotton fibers are removed, the ball shall be counted 
as a failure within the meaning of the fourth column of the table in 
subdivision (vi) of this paragraph. The toy shall also be checked to 
ascertain that there is no visibly perceptible ``wicking up'' or 
``running up'' of the casting resins on the outside of the cord in the 
vicinity where the ball is attached.
    (D) By fully assembling the toy and testing the cord in such a 
manner as to test both the strength of the cord and the adequacy with 
which the cord is attached to the ball and any holding device such as a 
tab or ring included in the assembly. The fully assembled article shall 
be vertically suspended by one ball and a 445-Newton (100-pound) test 
applied to the bottom ball. Clacker balls where the mass of each ball is 
less than 12 grams (0.42 oz.) and the distance between the center of the 
pivot and the center of the ball cannot exceed 180 mm (7.1 inches) may 
be tested with a force of under 445 Newtons (100 pounds). The test force 
for these clacker balls shall be the same as the cord breaking strength 
calculated in Sec. 1500.86(a)(5)(i)(B). Any breaking, fraying, or 
unraveling of the cord or any sign of slipping, loosening, or 
unfastening shall be counted as a failure within the meaning of the 
fourth column of the table in paragraph (a)(5)(vi) of this section.
    (E) By additionally subjecting any ring or other holding device to a 
222-Newton (50-pound) test load applied to both cords; the holding 
device is to be securely fixed horizontally in a suitable clamp in such 
a manner as to support 50 percent of the area of such holding device and 
the balls are suspended

[[Page 478]]

freely. Clacker balls where the mass of each ball is less than 12 grams 
(0.42 oz.) and the distance between the center of the pivot and the 
center of the ball cannot exceed 180 mm (7.1 inches) may have their 
holding device tested with a force of less than 222 Newtons (50 pounds). 
The holding device test force for these clacker balls shall be half of 
the cord breaking strength calculated in Sec. 1500.86(a)(5)(i)(B). Any 
breaking, cracking, or crazing of the ring or other holding device shall 
be counted as a failure within the meaning of the fourth column of the 
table in paragraph (a)(5)(vi) of this section.
    (F) By cutting each ball tested in half and then cutting each half 
perpendicularly to the first cut into three or more pieces of 
approximately equal thickness. Each portion is to be inspected before 
and after cutting, and any ball showing any flash, crack, crazing, or 
internal voids on such inspection is to be counted as a failure within 
the meaning of the fourth column of the table in paragraph (a)(5)(vi) of 
this section. Balls that are injection-molded and possess high-impact 
characteristics (such as injection-molded balls made of ABS, nylon, or 
high-impact polystyrene) though exempt from the requirements that there 
be no internal voids, must be tested to determine the presence of any 
flash, crack or grazing. A transparent ball shall be subjected to the 
same requirements except that it may be visually inspected without 
cutting.
    (iii) The toy shall be fully assembled for use at time of sale, 
including the proper attachments of balls, cords, knots, loops, or other 
holding devices.
    (iv) The toy shall be labeled:
    (A) With a conspicuous statement of the name and address of the 
manufacturer, packer, distributor, or seller.
    (B) To bear on the toy itself and/or the package containing the toy 
and/or the shipping container, in addition to the invoice(s) and 
shipping document(s), a code or mark in a form and manner that will 
permit future identification of any given batch, lot, or shipment by the 
manufacturer.
    (C) To bear a conspicuous warning statement on the main panel of the 
retail container and display carton and on any accompanying literature: 
That if cracks develop in a ball or if the cord becomes frayed or loose 
or unfastened, use of the toy should be discontinued; and if a ring or 
loop or other holding device is present, the statement ``In use, the 
ring or loop must be placed around the middle finger and the two cords 
positioned over the forefinger and held securely between the thumb and 
forefinger,'' or words to that effect which will provide adequate 
instructions and warnings to prevent the holding device from 
accidentally slipping out of the hand. Such statements shall be printed 
in sharply contrasting color within a borderline and in letters at least 
6 mm (\1/4\ inch) high on the main panel of the container and at least 3 
mm (\1/8\) high on all accompanying literature.
    (v) The manufacturer of the toy shall make, keep, and maintain for 3 
years records of sale, distribution, and results of inspections and 
tests conducted in accordance with this subparagraph and shall make such 
records available upon request at all reasonable hours by any officer or 
employee of the Consumer Product Safety Commission, and shall permit 
such officer or employee to inspect and copy such records and to make 
such inventories of stock as he deems necessary and otherwise to check 
the correctness of such records.
    (vi) The lot size, sample size, and failure rate for testing clacker 
balls are as follows:

----------------------------------------------------------------------------------------------------------------
                                                                                              Failure rate
    Number of units in batch,                                Failure rate constituting   constituting rejection
   shipment, delivery, lot, or       Number of units in     rejection when testing per    when testing per Sec.
          retail stock                  random sample       Sec.  1500.86(a)(5)(ii)(B)   1500.86(a)(5)(ii) (C),
                                                                                            (D), (E), and (F)
----------------------------------------------------------------------------------------------------------------
50 or less......................                         8                          1                          1
51 to 90........................                        13                          1                          1
91 to 150.......................                        20                          1                          1
151 to 280......................                        32                          1                          2
281 to 500......................                        50                          1                          2
501 to 1,200....................                        80                          2                          4
1,201 to 3,200..................                       125                          2                          6
3,201 to 10,000.................                       200                          3                         10

[[Page 479]]

 
10,001 to 35,000................                       315                          4                         16
35,001 to 150,000...............                       500                          6                         25
150,001 to 500,000..............                       800                          8                         40
500,001 and over................                     1,250                         11                         62
----------------------------------------------------------------------------------------------------------------

    (vii) Applicability of the exemption provided by this paragraph 
shall be determined through use of the table in paragraph (a)(5)(vi) of 
this section. A random sample of the number of articles as specified in 
the second column of the table shall be selected according to the number 
of articles in a particular batch, shipment, delivery, lot, or retail 
stock per the first column. A failure rate as shown in either the third 
or fourth column shall indicate that the entire batch, shipment, 
delivery, lot, or retail stock has failed and thus is not exempted under 
this paragraph from classification as a banned hazardous substance.
    (6) Caps (paper or plastic) described in Sec. 1500.18(a)(5), 
provided:
    (i) Such articles do not produce peak sound pressure levels greater 
than 158 decibels when tested in accordance with Sec. 1500.47, and 
provided any such articles producing peak sound pressure levels greater 
than 138 decibels but not greater than 158 decibels when tested in 
accordance with Sec. 1500.47 shall bear the following statement on the 
carton and in the accompanying literature in accordance with 
Sec. 1500.121: ``WARNING--Do not fire closer than 1 foot to the ear. Do 
not use indoors.''
    (ii) Any person who elects to distribute toy caps in accordance with 
paragraph (a)(6)(i) of this section shall promptly notify the Consumer 
Product Safety Commission, Bureau of Compliance, Washington, D.C. 20207, 
of their intention and shall conduct or participate in a program to 
develop caps that produce a sound pressure level of not more than 138 
decibels when tested in accordance with Sec. 1500.47.
    (iii) Any person who elects to distribute caps in accordance with 
paragraph (a)(6)(i) of this section shall, after notification of his 
intentions to the Commission in accordance with paragraph (a)(6)(ii) of 
this section, submit to the Consumer Product Safety Commission, Bureau 
of Compliance, Washington, DC 20207, a progress report not less 
frequently than once every 3 months concerning the status of his program 
to develop caps that produce a sound level of not more than 138 decibels 
when tested in accordance with Sec. 1500.47.
    (7) Dive sticks and similar articles described in 
Sec. 1500.18(a)(18) that come to rest at the bottom of a container of 
water in a position in which the long axis of the article is greater 
than 45 degrees from vertical when measured in accordance with the 
following test method:
    (i) Test equipment.
    (A) A container that is filled with tap water to a depth at least 3 
inches [76 mm] greater than the longest dimension of the dive stick. The 
container shall:
    (1) Be sufficiently wide to allow the dive stick to lie along the 
bottom with its long axis in a horizontal position,
    (2) Have clear side walls to permit observation of the dive stick 
under water, and
    (3) Be placed on a level surface and have a flat bottom.
    (B) A protractor or other suitable angle measurement device that has 
an indicator for 45 degrees from vertical.
    (ii) Testing procedure
    (A) If the dive stick is sold such that the consumer is required to 
attach an additional component(s) to the dive stick, then the product 
shall be tested both with and without the attachment(s).
    (B) From just above the water surface, drop the dive stick into the 
container.
    (C) Let the dive stick sink and come to rest at the bottom of the 
container. If the dive stick is designed so that the weight can be 
adjusted by adding water or other substance, adjust the weight so that 
the dive stick sinks and comes

[[Page 480]]

to rest with its long axis positioned as close to vertical as possible.
    (D) Align the angle measurement device alongside the dive stick 
underwater and wait for the dive stick to come to rest if there is any 
water disturbance. Determine whether the long axis of the dive stick is 
greater than or less than 45 degrees from vertical.
    (8) Dive sticks and similar articles described in 
Sec. 1500.18(a)(18) in which the maximum force measured in the following 
test method is less than 5-lbf [22N]. The test shall be conducted in the 
ambient environment of the laboratory and not under water.
    (i) Test equipment.
    (A) A compression rig that has a force gauge or equivalent device 
that is calibrated for force measurements within a minimum range of 0 to 
5 lbf [0-22 N] and with an accuracy of 0.1 lbf 
[0.44 N] or better. The test rig shall have a system to 
guide this force application in the vertical direction and shall have a 
means to adjust the rate of load application.
    (B) Compression disk--the loading device that is attached to the 
force gauge shall be a rigid metal disk with a minimum diameter of 1.125 
inches [29 mm].
    (C) Vise or other clamping device.
    (ii) Testing procedure
    (A) Position the bottom of the dive stick in the clamping device so 
that the longest axis of the dive stick is vertical. The bottom end of 
the dive stick is the end that sinks to the bottom of a pool of water. 
Secure the bottom of the dive stick in the clamp such that the clamping 
mechanism covers no more than the bottom \1/2\ inch [13 mm] of the dive 
stick.
    (B) Apply a downward force at a rate of 0.05 in/sec 
(0.01 in/sec) [1.3 mm.sec 0.3 mm/sec] at the top 
of the dive stick with the compression disk positioned so that the plane 
of the disk contact surface is perpendicular to the long axis of the 
dive stick.
    (C) Apply the load for a period of 40 seconds or until the maximum 
recorded force exceeds 5-lbf [22 N].
    (D) Record the maximum force that was measured during the test.
    (b) [Reserved]

[38 FR 27012, Sept. 27, 1973, as amended at 53 FR 46839, Nov. 18, 1988; 
59 FR 9076, 9077, Feb. 25, 1994; 66 FR 13651, Mar. 7, 2001]



Sec. 1500.121  Labeling requirements; prominence, placement, and conspicuousness.

    (a)(1) Background and scope. Section 2(p)(1) of the Federal 
Hazardous Substances Act (FHSA) or ``the Act''), 15 U.S.C. 1261(p)(1), 
requires that hazardous substances bear certain cautionary statements on 
their labels. These statements include: signal words; affirmative 
statements of the principal hazard(s) associated with a hazardous 
substance; the common or usual name, or chemical name, of the hazardous 
substance; the name and place of business of the manufacturer, packer, 
distributor, or seller; statements of precautionary measures to follow; 
instructions, when appropriate, for special handling and storage; the 
statement ``Keep Out of the Reach of Children'' or its practical 
equivalent; and, when appropriate, first-aid instructions. Section 
2(p)(2) of the Act specifies that all such statements shall be located 
prominently on the label of such a substance and shall appear in 
conspicuous and legible type in contrast by typography, layout, or color 
with other printed matter on the label. This regulation contains the 
Commission's interpretations and policies for the type size and 
placement of cautionary material on the labels of hazardous substances 
and contains other criteria for such cautionary statements that are 
acceptable to the Commission as satisfying section 2(p)(2) of the Act. 
Labels that do not comply with this regulation may be considered 
misbranded.
    (2) Definitions. For the purposes of this section:
    (i) Container means the immediate package from which a hazardous 
substance may be dispensed and also any article, package or wrapping, 
such as a tube or cone used for a firework or a wet cell battery casing 
containing sulfuric acid, which is necessary for the substance to 
function during actual use.
    (ii) Cautionary material, cautionary labeling, and cautionary 
labeling required

[[Page 481]]

by the Act mean all items of labeling information required by sections 
2(p)(1) of the FHSA (repeated in 16 CFR 1500.3(b)(14)(i) or by the 
regulations which require additional labeling under section 3(b) of the 
Act.
    (iii) Display panel means any surface of the immediate container, 
and of any outer container or wrapping, which bears labeling.
    (iv) Principal display panel means the portion(s) of the surface of 
the immediate container, and of any outer container or wrapping, which 
bear(s) the labeling designed to be most prominently displayed, shown, 
presented, or examined under conditions of retail sale. (See paragraph 
(c)(1) of this section.)
    (v) Type size means the actual height of the printed image of each 
upper case or capital letter as it appears on the label of a hazardous 
substance. (See paragraph (c)(2) of this section.)
    (vi) Signal word means the appropriate word ``DANGER,'' ``WARNING,'' 
or ``CAUTION,'' as required by sections 2(p)(1) (C) or (D) of the Act.
    (vii) Statement of principal hazard(s) means that wording 
descriptive of the principal or primary hazard(s) associated with a 
hazardous substance required by section 2(p)(1)(E) of the Act. Some 
examples of such statements are ``HARMFUL OR FATAL IF SWALLOWED,'' 
``VAPOR HARMFUL,'' ``FLAMMABLE,'' and ``SKIN AND EYE IRRITANT.''
    (viii) Other cautionary material means all labeling statements, 
other than ``signal words'' or ``statement(s) of principal hazard(s),'' 
required by the Act or by regulations issued under the Act.
    (b) Prominent label placement. To satisfy the requirement of the Act 
that cautionary labeling statements shall appear ``prominently'' on the 
label of a hazardous substance, all such statements shall be placed on 
the label as follows:
    (1) Horizontal placement of labeling statements. Except for the name 
and place of business of the manufacturer, packer, distributor, or 
seller, all cautionary material required by the Act shall appear in 
lines that are generally parallel to any base on which the package rests 
as it is designed to be displayed for sale or, on display panels other 
than the principal display panel, in lines generally parallel to all 
other labeling on that panel. This requirement does not apply to 
labeling on collapsible tubes, cylindrical containers with a narrow 
diameter, or F-type containers where both the ``front'' and ``back'' of 
the container are principal display panels. (See paragraph (e) of this 
section.)
    (2) Principal display panel labeling. (i) All items of cautionary 
labeling required by the Act may appear on the principal display panel 
on the immediate container and, if appropriate, on any other container 
or wrapper. See paragraph (b)(4) of this section for requirements and 
exceptions for labeling outer containers and wrappings.
    (ii) The signal word, the statement of principal hazard(s), and, if 
appropriate, instructions to read carefully any cautionary material that 
may be placed elsewhere on the label shall be blocked together within a 
square or rectangular area, with or without a border, on the principal 
display panel on the immediate container and, where required by 
paragraph (b)(4) of this section, on any outer container or wrapping. 
All cautionary statements placed on the principal display panel shall be 
separated on all sides from other printed or graphic matter, with the 
exception of the declaration of net contents required under the Fair 
Packaging and Labeling Act, 15 U.S.C. 1453(a) (2) and (3), by a border 
line or by a space no smaller than the minimum allowable height of the 
type size for cautionary material required by the Act (exclusive of 
signal words and statements of hazard) on the principal display panel.
    (iii) Depending on the design of the package or the configuration of 
the label, or both, a package may have more than one principal display 
panel. If so, each principal display panel must bear, at a minimum, the 
signal word, statement of principal hazard or hazards, and, if 
appropriate, instructions to read carefully any cautionary material that 
may be placed elsewhere on the label.
    (A) Where the principal display panel of the immediate container 
consists of a lid, cap, or other item which may be

[[Page 482]]

separated from the immediate container and discarded, the container 
shall be deemed to have a second principal display panel elsewhere on 
the immediate container which must bear, at a minimum, the signal word, 
statement of principal hazard(s), and instructions, if appropriate, to 
read any cautionary material which may be placed elsewhere on the label.
    (3) Prominent label placement--other display panel labeling. All 
items of cautionary labeling required by the Act which do not appear on 
the principal display panel shall be placed together on a display panel 
elsewhere on the container. The name and place of business of the 
manufacturer, packer, distributor, or seller may appear separately on 
any display panel. Where cautionary material appears on a display panel 
other than the principal display panel, the principal display panel 
shall bear the statement ``Read carefully other cautions on the ------ 
panel,'' or its practical equivalent. [A description of the location of 
the other panel is to be inserted in the blank space.]
    (4) Outer container or wrappings. All cautionary labeling appearing 
on the immediate container of a hazardous substance shall also appear on 
any outer container or wrapping used in the retail display of the 
substance, in the same manner as required for the immediate container. 
Those cautionary labeling statements appearing on the immediate 
container which are clearly legible through any outer container or 
wrapper used in retail display need not appear on the outer container or 
wrapping itself. (See section 2(n)(1) of the Act.)
    (5) Placement of the word ``Poison'' and the skull and crossbones 
symbol. The word ``poison'' and, when appropriate, the skull and 
crossbones symbol shall appear on the label of a hazardous substance as 
follows:
    (i) If a hazardous substance is ``highly toxic,'' as defined in 
Sec. 1500.3(c)(i) and section 2(h)(1) of the FHSA, the label must bear 
the word ``poison'' in accordance with section 2(p)(1)(H) of the Act, in 
addition to the signal word ``DANGER,'' and must also bear the skull and 
crossbones symbol. Some products, under Sec. 1500.14(b) of the 
regulations, may, in addition to any required signal word, be required 
to bear the word ``poison'' and the skull and crossbones symbol because 
of the special hazard associated with their ingredients. In both 
instances, the word ``poison'' and the skull and crossbones symbol need 
not appear on the principal display panel on the container, unless all 
other cautionary labeling required by the Act appears on the principal 
display panel. The word ``poison'' and the skull and crossbones symbol, 
when required, must appear either together with other cautionary 
labeling on a display panel other than the principal display panel or 
together with the signal word and statement(s) of principal hazard on 
the principal display panel.
    (ii) Where, pursuant to a regulation issued under section 3(b) of 
the Act, the label of a hazardous substance requires the word ``poison'' 
instead of a signal word, the word, ``POISON'' shall appear in capital 
letters on the principal display panel, together with the statement(s) 
of the principal hazard. Certain substances for which the word 
``poison'' is required instead of any signal word are listed in 
Sec. 1500.129.
    (c) Conspicuousness--type size and style. To satisfy the requirement 
that cautionary labeling statements under the Act be conspicuous and 
legible, such statements shall conform to the following requirements:
    (1) Area of principal display panel. The area of the principal 
display panel is the area of the side or surface of the immediate 
container, or of the side or surface of any outer container or wrapping, 
that bears the labeling designed to be most prominently displayed, 
shown, presented, or examined under conditions of retail sale. This area 
is not limited to the portion of the surface covered with labeling; 
rather, it includes the entire surface. Flanges at the tops and bottoms 
of cans, conical shoulders of cans, handles, and shoulders and necks of 
bottles and jars are excluded in measuring the area. For the purposes of 
determining the proper type size for cautionary labeling, the area of 
the principal display panel (or other panel bearing cautionary labeling, 
under paragraph (c)(2)(ii) of this section) is to be computed as 
follows:

[[Page 483]]

    (i) In the case of a rectangular package, where one entire side is 
the principal display panel, the product of the height times the width 
of that side shall be the area of the principal display panel.
    (ii) In the case of a cylindrical or nearly cylindrical container or 
tube on which the principal display panel appears on the side, the area 
of the principal display panel shall be 40 percent of the product of the 
height of the container times its circumference.
    (iii) In the case of any other shape of container, the area of the 
principal display panel shall be 40 percent of the total surface of the 
container, excluding those areas, such as flanges at tops and bottoms, 
specified in paragraph (c)(1) above. However, if such a container 
presents an obvious principal display panel (such as an oval or hour-
glass shaped area on the side of a container for dishwashing detergent), 
the area to be measured shall be the entire area of the obvious 
principal display panel.
    (2) Type-size requirements. (i) The term type size refers to the 
height of the actual printed image of each upper case or capital letter 
as it appears on the label. The size of cautionary labeling shall be 
reasonably related to the type size of any other printing appearing on 
the same panel, but in any case must meet the minimum size requirements 
in table 1.
    (ii) When an item of labeling is required to be in a specified type 
size, all upper case, or capital, letters must be at least equal in 
height to the required type size, and all other letters must be the same 
style as the upper case or capital letters. Unless otherwise specified 
in the regulations (examples appear at Sec. Sec. 1500.14(b)(6), 1512.19, 
1508.9, and part 1505), the type size of all cautionary statements 
appearing on any display panel shall comply with the specifications in 
table 1 when the area of the display panel is measured by the method in 
paragraph (c)(1) above:

                                                     Table I
Area of principal display panel in square inches.............    0-2  *........................................  .....  ......  .......  ........  ........  .....
  Signal word **.............................................    \3/  \1/16\   \3/32\    \7/64\     \1/8\    \5/
                                                                 64\                                         32\
  Statement of hazard........................................    \3/  \3/64\   \1/16\    \3/32\    \3/32\    \7/
                                                                 64\                                         64\
  Other cautionary material ***..............................    \1/  \3/64\   \1/16\    \1/16\    \5/64\    \3/
                                                                 32\                                         32\
 
 means ``greater than.''
* minimum height of printed image of capital or upper case letters.
** including the word ``poison'' when required instead of a signal word by Section 3(b) of the Act (Sec.
  1500.129).
*** size of lettering for other cautionary material is based on the area of the display panel on which such
  cautionary material appears.

    (iii) If all of the required cautionary labeling does not appear on 
the principal display panel, the statement to ``Read carefully other 
cautions on the ------ panel,'' or its practical equivalent, must appear 
in, as a minimum, the same type size as that required in table 1 for the 
other cautionary material which appears elsewhere on the label of a 
hazardous substance. The size of the cautionary labeling that does not 
appear on the principal display panel is determined by the area of the 
panel on which it does appear.
    (3) Type style--proportion. The ratio of the height of a capital or 
uppercase letter to its width shall be such that the height of the 
letter is no more than 3 times its width.
    (4) Signal word and statements of hazard--capital letters. The 
signal word, the word ``poison'' if required instead of a signal word 
(see Sec. 1500.129), and the statement of principal hazard or hazards 
shall be in capital letters.
    (5) Multiple statement of hazard--type size and style. All 
statements of principal hazard or hazards on a label shall appear in the 
same size and style of type, and shall appear in the same color or have 
the same degree of boldness.
    (6) Accompanying literature containing directions for use. Where 
literature accompanying the package of a hazardous substance has 
directions for use, written or otherwise, section 2(n) of the Act 
requires the literature to bear cautionary labeling.

[[Page 484]]

    (i) All such cautionary labeling shall be in reasonable proximity to 
any direction for use and shall be placed together within the same 
general area.
    (ii) The type size of such cautionary labeling shall be reasonably 
related to the type size of any other printed matter in the accompanying 
literature and must be in conspicuous and legible type by typography, 
layout, or color with other printed matter on the label. The signal word 
and statement of principal hazard or hazards shall appear in capital 
letters.
    (d) Conspicuousness--contrast. To satisfy the requirement that 
cautionary labeling statements appear in conspicuous and legible type 
which is in contrast by typography, layout, or color with the other 
printed matter on the label, such statements shall conform to the 
following requirements:
    (1) Color. Where color is the primary method used to achieve 
appropriate contrast, the color of any cautionary labeling statement 
shall be in sharp contrast with the color of the background upon which 
such a statement appears. Examples of combinations of colors which may 
not satisfy the requirement for sharp contrast are: black letters on a 
dark blue or dark green background, dark red letters on a light red 
background, light red letters on a reflective silver background, and 
white letters on a light gray or tan background.
    (2) Interference with conspicuousness--labeling design, vignettes, 
or other printed material. For cautionary information appearing on 
panels other than the principal display panel, the label design, the use 
of vignettes, or the proximity of other labeling or lettering shall not 
be such that any cautionary labeling statement is obscured or rendered 
inconspicuous.
    (e) Collapsible metal tubes. Collapsible metal tubes containing 
hazardous substances shall be labeled so that all cautionary labeling 
required by the Act appears as close to the dispensing end of the 
container as possible. The placement and conspicuousness of these 
statements shall conform to the provisions of paragraphs (b), (c), and 
(d) of this section.
    (f) Unpackaged hazardous substances. Where practicable, unpackaged 
hazardous substances intended, or distributed in a form suitable, for 
use in or around a household or by children shall be labeled so that all 
items of information required by the Act appear upon the article itself. 
In instances where this is impracticable (for example, because of the 
size or nature of the article), the required cautionary labeling must be 
displayed by means of a tag or other suitable material that is no less 
than five square inches in area and is securely affixed to the article 
so that the labeling will remain attached throughout conditions of 
merchandising and distribution to the ultimate consumer. The placement 
and conspicuousness of all cautionary labeling appearing on such a tag 
or material, or on an unpackaged article, shall conform to the 
provisions of paragraphs (b), (c), and (d) of this section. For the 
purposes of determining the proper type size to use on a tag or other 
material, the area of one side of the tag or other material shall be the 
area of the principal display panel.
    (g) Exemptions. All requirements of the Act are satisfied by 
compliance with this Sec. 1500.121. However, exemptions can be granted 
under section 3(c) of the Act and Sec. 1500.83, or under the provisions 
of another statute should this section be incorporated in regulations 
under another statute. Section 1500.82 contains the requirements for 
exemption requests under the Federal Hazardous Substances Act.
    (h) Effective date. The provisions of this rule apply to hazardous 
substances bearing labels printed after December 30, 1985. Labels 
printed prior to the effective date of this rule may be applied until 
not later than December 28, 1987. This rule applies to all hazardous 
substances to which labels are applied after December 28, 1987.

[49 FR 50383, Dec. 28, 1984]



Sec. 1500.122  Deceptive use of disclaimers.

    A hazardous substance shall not be deemed to have met the 
requirements of section 2(p) (1) and (2) of the act (repeated in 
Sec. 1500.3(b)(14) (i) and (ii)) if there appears in or on the label (or 
in any accompanying literature; words, statements, designs, or other 
graphic material that in any manner negates

[[Page 485]]

or disclaims any of the label statements required by the act; for 
example, the statement ``Harmless'' or ``Safe around pets'' on a toxic 
or irritant substance.



Sec. 1500.123  Condensation of label information.

    Whenever the statement of the principal hazard or hazards itself 
provides the precautionary measures to be followed or avoided, a clear 
statement of the principal hazard will satisfy the requirements of 
section 2(p)(1) (E) and (F) of the act (repeated in 
Sec. 1500.3(b)(14)(i) (E) and (F)). When the statement of precautionary 
measures in effect provides instruction for first-aid treatment, the 
statement of the precautionary measures will satisfy the requirements of 
section 2(p)(1) (F) and (G) of the act (repeated in 
Sec. 1500.3(b)(14)(i) (F) and (G)).



Sec. 1500.125  Labeling requirements for accompanying literature.

    When any accompanying literature includes or bears any directions 
for use (by printed word, picture, design, or combination thereof), such 
placard, pamphlet, booklet, book, sign, or other graphic or visual 
device shall bear all the information required by section 2(p) of the 
act (repeated in Sec. 1500.3(b)(14)).



Sec. 1500.126  Substances determined to be ``special hazards.''

    Whenever the Commission determines that for a particular hazardous 
substance intended or packaged in a form suitable for use in the 
household or by children, the requirements of section 2(p) of the act 
(repeated in Sec. 1500.3(b)(14)) are not adequate for the protection of 
the public health and safety because of some special hazard, the 
Commission, by an appropriate order in the Federal Register, shall 
specify such reasonable variations or additional label requirements that 
it finds are necessary for the protection of the public health and 
safety. Such order shall specify a date that is not less than 90 days 
after the order is published (unless emergency conditions stated in the 
order specify an earlier date) after which any such hazardous substance 
intended, or packaged in a form suitable, for use in the household or by 
children that fails to bear a label in accordance with such order shall 
be deemed to be a misbranded hazardous substance.



Sec. 1500.127  Substances with multiple hazards.

    (a) Any article that presents more than one type of hazard (for 
example, if the article is both toxic and flammable) must be labeled 
with: An affirmative statement of each such hazard; the precautionary 
measures describing the action to be followed or avoided for each such 
hazard; instructions, when necessary or appropriate, for first-aid 
treatment of persons suffering from the ill effects that may result from 
each such hazard; instructions for handling and storage of articles that 
require special care in handling and storage because of more than one 
type of hazard presented by the article; and the common or usual name 
(or the chemical name if there is no common or usual name) for each 
hazardous component present in the article.
    (b) Label information referring to the possibility of one hazard may 
be combined with parallel information concerning any additional hazards 
presented by the article if the resulting condensed statement contains 
all of the information needed for dealing with each type of hazard 
presented by the article.

[38 FR 27012, Sept. 27, 1973; 38 FR 30105, Nov. 1, 1973]



Sec. 1500.128  Label comment.

    The Commission will offer informal comment on any proposed label and 
accompanying literature involving a hazardous substance if furnished 
with:
    (a) Complete labeling or proposed labeling, which may be in draft 
form.
    (b) Complete quantitative formula.
    (c) Adequate clinical pharmacological, toxicological, physical, and 
chemical data applicable to the possible hazard of the substance.
    (d) Any other information available that would facilitate 
preparation of a suitable label, such as complaints of injuries 
resulting from the product's use or other evidence that would furnish 
human-experience data.

[[Page 486]]



Sec. 1500.129  Substances named in the Federal Caustic Poison Act.

    The Commission finds that for those substances covered by the 
Federal Caustic Poison Act (44 Stat. 1406), the requirements of section 
2(p)(1) of the Federal Hazardous Substances Act (repeated in 
Sec. 1500.3(b)(14)(i)) are not adequate for the protection of the public 
health. Labeling for those substances, in the concentrations listed in 
the Federal Caustic Poison Act, were required to bear the signal word 
``poison.'' The Commission concludes that the lack of the designation 
``poison'' would indicate to the consumer a lesser hazard and that such 
would not be in the interest of the public health. Under the authority 
granted in section 3(b) of the act, the Commission therefore finds that 
for the following substances, and at the following concentrations, the 
word ``poison'' is necessary instead of any signal word:
    (a) Hydrochloric acid and any preparation containing free or 
chemically unneutralized hydrochloric acid (HCl) in a concentration of 
10 percent or more.
    (b) Sulfuric acid and any preparation containing free or chemically 
unneutralized sulfuric acid (H2 SO4) in a 
concentration of 10 percent or more.
    (c) Nitric acid or any preparation containing free or chemically 
unneutralized nitric acid (HNO3) in a concentration of 5 
percent or more.
    (d) Carbolic acid (C6 H5 OH), also known as 
phenol, and any preparation containing carbolic acid in a concentration 
of 5 percent or more.
    (e) Oxalic acid and any preparation containing free or chemically 
unneutralized oxalic acid (H2 C2 O4) in 
a concentration of 10 percent or more.
    (f) Any salt of oxalic acid and any preparation containing any such 
salt in a concentration of 10 percent or more.
    (g) Acetic acid or any preparation containing free or chemically 
unneutralized acetic acid (HC2 H2 O2) 
in a concentration of 20 percent or more.
    (h) Hypochlorous acid, either free or combined, and any preparation 
containing the same in a concentration that will yield 10 percent or 
more by weight of available chlorine.
    (i) Potassium hydroxide and any preparation containing free or 
chemically unneutralized potassium hydroxide (KOH), including caustic 
potash and vienna paste (vienna caustic), in a concentration of 10 
percent or more.
    (j) Sodium hydroxide and any preparation containing free or 
chemically unneutralized sodium hydroxide (NaOH), including caustic soda 
and lye in a concentration of 10 percent or more.
    (k) Silver nitrate, sometimes known as lunar caustic, and any 
preparation containing silver nitrate (AgNO3) in a 
concentration of 5 percent or more.
    (l) Ammonia water and any preparation containing free or chemically 
uncombined ammonia (NH3), including ammonium hydroxide and 
``hartshorn,'' in a concentration of 5 percent or more.



Sec. 1500.130  Self-pressurized containers: labeling.

    (a) Self-pressurized containers that fail to bear a warning 
statement adequate for the protection of the public health and safety 
may be misbranded under the act, except as otherwise provided pursuant 
to section 3 of the act.
    (b) The following warning statement will be considered as meeting 
the requirements of section 2(p)(1) of the act (repeated in 
Sec. 1500.3(b)(14)(i)) if the only hazard associated with an article is 
that the contents are under pressure:

                    warning--contents under pressure

    Do not puncture or incinerate container. Do not expose to heat or 
store at temperatures above 120  deg.F. Keep out of the reach of 
children.

The word ``CAUTION'' may be substituted for the word ``WARNING''. A 
practical equivalent may be substituted for the statement ``Keep out of 
the reach of children.''
    (c) That portion of the warning statement set forth in paragraph (b) 
of this section in capital letters should be printed on the main (front) 
panel of the container in capital letters of the type size specified in 
Sec. 1500.121(c). The balance of the cautionary statements may appear 
together on another panel if the front panel also bears a statement such 
as ``Read carefully other cautions on ---------- panel.''

[[Page 487]]

    (d) If an article has additional hazards, such as skin or eye 
irritancy, toxicity, or flammability, appropriate additional front and 
rear panel precautionary labeling is required.



Sec. 1500.133  Extremely flammable contact adhesives; labeling.

    (a) Extremely flammable contact adhesives, also known as contact 
bonding cements, when distributed in containers intended or suitable for 
household use may be misbranded under the act if the containers fail to 
bear a warning statement adequate for the protection of the public 
health and safety.
    (b) The following warning statement is considered as the minimum 
cautionary labeling adequate to meet the requirements of section 2(p)(1) 
of the act (repeated in Sec. 1500.3(b)(14)(i)) with respect to 
containers of more than one-half pint of contact adhesive and similar 
liquid or semiliquid articles having a flashpoint at or below 20  deg.F. 
as determined by the method in Sec. 1500.43, when the only hazard 
foreseeable is that caused by the extreme flammability of the mixture:

                                 Danger

                           Extremely Flammable

                       Vapors May Cause Flash Fire

    Vapors may ignite explosively.
    Prevent buildup of vapors--open all windows and doors--use only with 
cross-ventilation.
    Keep away from heat, sparks, and open flame.
    Do not smoke, extinguish all flames and pilot lights, and turn off 
stoves, heaters, electric motors, and other sources of ignition during 
use and until all vapors are gone.
    Close container after use.
    Keep out of the reach of children.
    (c) The words that are in capital letters in the warning statement 
set forth in paragraph (b) of this section should be printed on the main 
(front) panel or panels of the container in capital letters of the type 
size specified in Sec. 1500.121(c). The balance of the cautionary 
information may appear together on another panel provided the front 
panel bears a statement such as ``Read carefully other cautions on ----
-- panel,'' the blank being filled in with the identification of the 
specific label panel bearing the balance of the cautionary labeling. It 
is recommended that a borderline be used in conjunction with the 
cautionary labeling.
    (d) If an article has additional hazards, or contains ingredients 
listed in Sec. 1500.14 as requiring special labeling, appropriate 
additional front and rear panel precautionary labeling is required.
    (e) Since the Commission has issued a regulation banning under the 
Consumer Product Safety Act extremely flammable contact adhesives 
covered by this labeling regulation (sec. 16 CFR part 1302), paragraphs 
(a), (b), (c) and (d) of this section are revoked as to the subject 
products after June 13, 1978.

[38 FR 27012, Sept. 27, 1973, as amended at 42 FR 63742, Dec. 19, 1977]



Sec. 1500.134  Policy on first aid labeling for saline emesis.

    (a) This section states the Consumer Product Safety Commission's 
policy concerning first aid instructions for the use of a salt solution 
to induce vomiting (saline emesis) in the event of ingestion of 
hazardous substances.
    (b) In many cases where hazardous substances are ingested, the 
recommended first aid instructions for inducing vomiting have contained 
a statement that this should be accomplished by drinking a solution of 
salt (sodium chloride) in warm water. At one time, this direction was 
considered medically acceptable. However, the Commission has obtained 
information showing that the instruction to perform saline emesis is no 
longer appropriate. This is because the use of salt to induce vomiting 
can cause severe hypernatremia (salt poisoning) with potentially toxic 
effects, particularly in children 5 years old or younger, the age group 
most often involved in accidental poisonings. In view of the 
availability of safer and more effective emetics such as ipecac syrup, 
the Commission no longer recommends a direction to perform saline emesis 
as a first aid direction for inducing vomiting.
    (c) The Commission believes that, for products for which directions 
for saline emesis have been given in the past, ipecac syrup, U.S.P., is 
the most appropriate emetic, unless a particular contraindication exists 
in connection with any particular hazardous substance.

[[Page 488]]

    (d) The Commission wishes to emphasize that this policy does not 
require that any specific first aid instruction or wording be used. 
Where appropriate, the label may include directions (1) that the victim 
immediately contact a doctor or poison control center and/or (2) that 
vomiting be induced using methods other than salt. It is, of course, the 
manufacturer's responsibility to insure that the label provides enough 
information in addition to first aid instructions to fulfill all other 
labeling required by statute or regulation.

(Sec. 30(a), 86 Stat. 1231 (15 U.S.C. 2079(a)))

[43 FR 33704, Aug. 1, 1978]



Sec. 1500.135  Summary of guidelines for determining chronic toxicity.

    A substance may be toxic due to a risk of a chronic hazard. (A 
regulatory definition of ``toxic'' that pertains to chronic toxicity may 
be found at 16 CFR 1500.3(c)(2).) The following discussions are intended 
to help clarify the complex issues involved in assessing risk from 
substances that may potentially cause chronic hazards and, where 
possible, to describe conditions under which substances should be 
considered toxic due to a risk of the specified chronic hazards. The 
guidelines are not intended to be a static classification system, but 
should be considered along with available data and with expert judgment. 
They are not mandatory. Rather, the guidelines are intended as an aid to 
manufacturers in determining whether a product subject to the FHSA 
presents a chronic hazard. All default assumptions contained in the 
guidelines on hazard and risk determination are subject to replacement 
when alternatives which are supported by appropriate data become 
available. The following are brief summaries of more extensive 
discussions contained in the guidelines. Thus, the guidelines should be 
consulted in conjunction with these summaries. Copies of the guidelines 
may be obtained from the Office of Compliance and Enforcement, Consumer 
Product Safety Commission, Washington, DC 20207. (In addition to the 
chronic hazards discussed below, issues relating to the chronic hazard 
of sensitization are discussed in 16 CFR 1500.3(c)(5).)
    (a) Carcinogenicity. Substances are toxic by reason of their 
potential carcinogenicity in humans when they are known or probable 
human carcinogenic substances as defined below. Substances that are 
possible human carcinogenic substances or for which there is no evidence 
of carcinogenic effect under the following categories lack sufficient 
evidence to be considered toxic by virtue of their potential 
carcinogenicity.
    (1) Known Human carcinogenic Substances (``sufficient evidence'' in 
humans). Substances are toxic by reason of their carcinogenicity when 
they meet the ``sufficient evidence'' criteria of carcinogenicity from 
studies in humans, which require that a causal relationship between 
exposure to an agent and cancer be established. This category is similar 
to the Environmental Protection Agency's (EPA) Group A, the 
International Agency for Research on Cancer's (IARC) Group 1, or the 
American National Standards Institute's (ANSI) Category 1. A causal 
relationship is established if one or more epidemiological 
investigations that meet the following criteria show an association 
between cancer and exposure to the agent.
    (i) No identified bias that can account for the observed association 
has been found on evaluation of the evidence.
    (ii) All possible confounding factors which could account for the 
observed association can be ruled out with reasonable confidence.
    (iii) Based on statistical analysis, the association has been shown 
unlikely to be due to chance.
    (2) Probable Human Carcinogenic Substances. Substances are also 
toxic by reason of their probable carcinogenicity when they meet the 
``limited evidence'' criteria of carcinogenicity in humans or the 
``sufficient evidence'' criteria of carcinogenicity in animals described 
below. This category is similar to EPA's Group B, IARC's Group 2, or 
ANSI's Categories 2 and 3. Evidence derived from animal studies that has 
been shown not to be relevant to humans is not included. For example, 
such evidence would result when there

[[Page 489]]

was an identified mechanism of action for a chemical that causes cancer 
in animals that has been shown not to apply to the human situation. It 
is reasonable, for practical purposes, to regard an agent for which 
there is ``sufficient'' evidence of carcinogenicity in animals as if it 
presented a carcinogenic risk to humans.
    (i) ``Limited evidence'' of carcinogenicity in humans. The evidence 
is considered limited for establishing a causal relationship between 
exposure to the agent and cancer when a causal interpretation is 
credible, but chance, bias, or other confounding factors could not be 
ruled out with reasonable confidence.
    (ii) ``Sufficient evidence'' of carcinogenicity in animals. 
Sufficient evidence of carcinogenicity requires that the substance has 
been tested in well-designed and -conducted studies (e.g., as conducted 
by National Toxicology Program (NTP), or consistent with the Office of 
Science Technology Assessment and Policy (OSTP) guidelines) and has been 
found to elicit a statistically significant (p <0.05) exposure-related 
increase in the incidence of malignant tumors, combined malignant and 
benign tumors, or benign tumors if there is an indication of the ability 
of such benign tumors to progress to malignancy:
    (A) In one or both sexes of multiple species, strains, or sites of 
independent origin; or experiments using different routes of 
administration or dose levels; or
    (B) To an unusual degree in a single experiment (one species/strain/
sex) with regard to unusual tumor type, unusual tumor site, or early age 
at onset of the tumor.

The presence of positive effects in short-term tests, dose-response 
effects data, or structure-activity relationship are considered 
additional evidence.
    (3) Possible Human Carcinogenic Substance (``limited evidence'' 
animal carcinogen). In the absence of ``sufficient'' or ``limited'' 
human data, agents with ``limited'' evidence of carcinogenicity from 
animal studies fall into this category. Such substances, and those that 
do not fall into any other group, are not considered ``toxic.'' This 
does not imply that the substances are or are not carcinogens, only that 
the evidence is too uncertain to provide for a determination. This 
category is similar to EPA's Group C, IARC's Group 3, or ANSI's category 
4.
    (b) Neurotoxicity. Substances are toxic by reason of their potential 
neurotoxicity in humans when they meet the ``sufficient evidence'' or 
``limited evidence'' criteria of neurotoxicity in humans, or when they 
meet the ``sufficient evidence'' criteria of neurotoxicity in animals.
    (1) Known Neurotoxic Substances (``sufficient evidence in humans''). 
Substances are toxic by reason of their neurotoxicity and are considered 
``known neurotoxic substances'' when they meet the ``sufficient 
evidence'' criteria of neurotoxicity derived from studies in humans 
which require that a causal association between exposure to an agent and 
neurotoxicity be established with a reasonable degree of certainty. 
Substances in this category meet the definition of ``neurotoxic'' as 
stated above. ``Sufficient evidence,'' derived from human studies, for a 
causal association between exposure to a chemical and neurotoxicity is 
considered to exist if the studies meet the following criteria.
    (i) A consistent pattern of neurological dysfunction is observed.
    (ii) The adverse effects/lesions account for the neurobehavioral 
dysfunction with reasonable certainty.
    (iii) All identifiable bias and confounding factors are reasonably 
discounted after consideration.
    (iv) The association has been shown unlikely to be due to chance, 
based on statistical analysis.
    (2) Probable Neurotoxic Substances. Substances are also toxic by 
reason of their probable neurotoxicity when they meet the ``limited 
evidence'' criteria of neurotoxicity in humans, or the ``sufficient 
evidence'' criteria derived from animal studies. Evidence derived from 
animal studies that has been shown not to be relevant to humans is not 
included. Such evidence would result, for example, when there was an 
identified mechanism of action for a chemical that causes neurotoxicity 
in animals that has been shown not to apply to the human situation.

[[Page 490]]

    (i) ``Limited evidence'' of neurotoxicity in humans. The evidence 
derived from human studies is considered limited for neurotoxicity when 
the evidence is less than convincing, i.e., one of the criteria of 
``sufficient evidence'' of neurotoxicity for establishing a causal 
association between exposure to the agent and neurotoxicity is not met, 
leaving some uncertainties in establishing a causal association.
    (ii) ``Sufficient evidence'' of neurotoxicity in animals. Sufficient 
evidence of neurotoxicity derived from animal studies for a causal 
association between exposure to a chemical and neurotoxicity requires 
that:
    (A) The substance has been tested in well-designed and -conducted 
studies (e.g., NTP's neurobehavioral battery, or conforming to EPA's 
neurotoxicity test guidelines); and
    (B) The substance has been found to elicit a statistically 
significant (p <0.05) increase in any neurotoxic effect in one or both 
sexes of multiple species, strains, or experiments using different 
routes of administration and dose-levels.
    (3) Possible Neurotoxic Substances. ``Possible neurotoxic 
substances'' are the substances which meet the ``limited evidence'' 
criteria of neurotoxicity evidence derived from animal studies in the 
absence of human data, or in the presence of inadequate human data, or 
data which do not fall into any other group. Substances in this category 
are not considered ``toxic.''
    (c) Developmental and Reproductive Toxicity--(1)  Definitions of 
``Sufficient'' and ``Limited'' Evidence. The following definitions apply 
to all categories stated below.
    (i) ``Sufficient evidence'' from human studies for a causal 
association between human exposure and the subsequent occurrence of 
developmental or reproductive toxicity is considered to exist if the 
studies meet the following criteria:
    (A) No identified bias that can account for the observed association 
has been found on evaluation of the evidence.
    (B) All possible confounding factors which could account for the 
observed association can be ruled out with reasonable confidence.
    (C) Based on statistical analysis, the association has been shown 
unlikely to be due to chance.
    (ii) ``Limited evidence'' from human studies exists when the human 
epidemiology meets all but one of the criteria for ``sufficient 
evidence''; i.e., the statistical evidence is borderline as opposed to 
clear-cut, there is a source of bias, or there are confounding factors 
that have not been and cannot be accounted for.
    (iii) ``Sufficient evidence'' from animal studies exists when
    (A) Obtained from a good quality animal study; and
    (B) The substance has been found to elicit a statistically 
significant (p<0.05) treatment-related increase in multiple endpoints in 
a single species/strain, or in the incidence of a single endpoint at 
multiple dose levels or with multiple routes of administration in a 
single species/strain, or increase in the incidence of a single endpoint 
in multiple species/strains/ experiments.
    (iv) ``Limited evidence'' from animal studies exists when:
    (A) Obtained from a good quality study and there is a statistically 
significant (p<0.05) treatment-related increase in the incidence of a 
single endpoint in a single species/strain/experiment at a single dose 
level administered through only one route and such evidence otherwise 
does not meet the criteria for ``sufficient evidence''; or
    (B) The evidence is derived from studies which can be interpreted to 
show positive effects but have some qualitative or quantitative 
limitations with respect to experimental procedures (e.g., doses, 
exposure, follow-up, number of animals/group, reporting of the data, 
etc.) which would prevent classification of the evidence in the group of 
``sufficient evidence.''
    (2) Developmental Toxicants. Substances are toxic by reason of their 
potential developmental or reproductive toxicity when they meet the 
``sufficient evidence'' or ``limited evidence'' criteria of 
developmental or reproductive toxicity in humans, or when they meet the 
``sufficient evidence'' criteria of developmental or reproductive 
toxicity in animals. The Food and Drug Administration (FDA) and the 
European Economic Community (EEC) have

[[Page 491]]

developed categories for teratogens but not other developmental 
toxicants. The teratogen guidelines limit the information only to 
structural birth defects and do not include other hazards of 
developmental toxicity such as embryonal death, fetal death, or 
functional deficiencies which are also important in assessing the 
overall toxicity of a substance when administered during pregnancy. 
Recently, EPA has proposed a system for classifying developmental 
toxicity. The Occupational Safety and Health Administration (OSHA) has 
not yet developed any classification for developmental toxicity. The 
commission has established the following categories for determination of 
developmental toxicity according to the available evidence.
    (i) Known Human Developmental Toxicant (``sufficient evidence in 
humans''). A substance is considered a ``known human developmental 
toxicant'' if there is ``sufficient'' human evidence to establish a 
causal association between human exposure and the subsequent occurrence 
of developmental toxicity manifested by death of the conceptus (embryo 
or fetus), or structural or functional birth defects. This category 
(Human Developmental Toxicant) is comparable to category 1 of the EEC 
and categories D and X of FDA, except that these guidelines are limited 
to teratogens. This category is also comparable to the category 
``definitive evidence for human developmental toxicity'' proposed by 
EPA.
    (ii) Probable Human Developmental Toxicant. A substance is 
considered a ``probable human developmental toxicant'' if there is 
``limited'' human evidence or ``sufficient'' animal evidence to 
establish a causal association between human exposure and subsequent 
occurrence of developmental toxicity. This group (Probable Human 
Developmental Toxicant) is comparable to the category ``adequate 
evidence for human developmental toxicity'' proposed by EPA. This 
category is also comparable to category 2 of the EEC and category A1 of 
FDA, except that these guidelines are limited to teratogens.
    (iii) Possible Human Developmental Toxicant. A substance is 
considered a ``possible human developmental toxicant'' if there is 
``limited'' animal evidence, in the absence of human data, or in the 
presence of inadequate human data, or which does not fall into any other 
group, to establish a causal association between human exposure and 
subsequent occurrence of developmental toxicity. EEC, FDA, and EPA have 
not developed a category comparable to this group. The Commission 
believes that data from well planned animal studies are important to 
consider even though they may provide only limited evidence of 
developmental toxicity.
    (3) Male Reproductive Toxicants. Male reproductive toxicants can be 
grouped into the following different categories based on evidence 
obtained from human or animal studies.
    (i) Known Human Male Reproductive Toxicant. A substance is 
considered a ``known human male reproductive toxicant'' if there is 
``sufficient'' human evidence to establish a causal association between 
human exposure and the adverse effects on male reproductive main 
endpoints which are mating ability, fertility, and prenatal and 
postnatal development of the conceptus. This category is comparable to 
the one termed ``Known Positive'' in the EPA guidelines on male 
reproductive risk assessment.
    (ii) Probable Human Male Reproductive Toxicant. A substance is 
considered a ``probable human male reproductive toxicant'' if there is 
``limited'' human evidence or ``sufficient'' animal evidence to 
establish a causal association between human exposure and the adverse 
effects on male reproductive main endpoints. This category is comparable 
to the one termed ``Probable Positive'' in the EPA guidelines on male 
reproductive risk assessment. However, the EPA category is based only on 
sufficient animal evidence. CPSC believes that limited human evidence is 
also sufficient for a chemical to be placed in this category.
    (iii) Possible Human Male Reproductive Toxicant. A substance is 
considered a ``possible human male reproductive toxicant'' if there is 
limited animal evidence, in the absence of human data, or in the 
presence of inadequate human data, or which does not fall into any other 
group, to establish a causal

[[Page 492]]

association between human exposure and adverse effects on male 
reproductive main endpoints. This category is comparable to the one 
termed ``Possible Positive A'' in the EPA guidelines on male 
reproductive risk assessment. EPA proposes to use either limited human 
or limited animal evidence data to classify a toxicant as a ``Possible 
Positive A'' toxicant. As described above, CPSC would elevate limited 
human evidence to the category ``Probable Human Male Reproductive 
Toxicant.''
    (4) Female Reproductive Toxicants. Female reproductive toxicants can 
be grouped into the following different categories based on evidence 
obtained from human or animal studies. EPA has proposed guidelines for 
assessing female reproductive risk but has not yet proposed a specific 
system for categorization of female reproductive toxicants.
    (i) Known Human Female Reproductive Toxicant. A substance is 
considered a ``known human female reproductive toxicant'' if there is 
``sufficient'' human evidence to establish a causal association between 
human exposure and adverse effects on female reproductive function such 
as mating ability, fertility, and prenatal and postnatal development of 
the conceptus.
    (ii) Probable Human Female Reproductive Toxicant. A substance is 
considered a ``probable human female reproductive toxicant'' if there is 
``limited'' human evidence or ``sufficient'' animal evidence to 
establish a causal association between human exposure and adverse 
effects on female reproductive function.
    (iii) Possible Human Female Reproductive Toxicant. A substance is 
considered a ``possible human female reproductive toxicant'' if there is 
``limited'' animal evidence, in the absence of human data, or in the 
presence of inadequate human data, or which does not fall into any other 
group, to establish a causal association between human exposure and 
adverse effects on female reproductive function.
    (d) Other Subjects Related to the Determination that a Substance is 
Toxic. Under the FHSA, for a toxic substance to be considered hazardous, 
it must not only have the potential to be hazardous but there must also 
be the potential that persons are exposed to the substance, that the 
substance can enter the body, and that there is a significant risk of an 
adverse health effect associated with the customary handling and use of 
the substance. Under these guidelines, existence of an adverse health 
effect means that such exposure is above the ``acceptable daily intake'' 
(``ADI''). The ADI is based on the risks posed by the substance, and 
whether they are acceptable under the FHSA. This section addresses those 
issues by providing guidelines concerning assessment of exposure, 
assessment of bioavailability, determination of acceptable risks and the 
ADI to children and adults, and assessment of risk.
    (1) Assessment of Exposure. An exposure assessment may comprise a 
single exposure scenario or a distribution of exposures. Reasonably 
foreseeable use, as well as accidental exposure, should be taken into 
consideration when designing exposure studies. The following guidelines 
should be used in the assessment of exposure.
    (i) Inhalation. Inhalation studies to assess exposure should be 
reliable studies using direct monitoring of populations, predictions of 
exposure through modeling, or surrogate data.
    (A) Direct Monitoring. Populations to be monitored should be 
selected randomly to be representative of the general population, unless 
the exposure of a particular subset population is the desired goal of 
the assessment. The monitoring technique should be appropriate for the 
health effect of interest.
    (B) Modeling. Predictions of exposure to a chemical using 
mathematical models can be based on physical and chemical principles, 
such as mass balance principles. Mass balance models should consider the 
source strength of the product of interest, housing characteristics, and 
ambient conditions likely to be encountered by the studied population.
    (C) Surrogate Data. Surrogate data should only be used when data 
concerning the chemical of interest are sparse or unavailable and when 
there is a reasonable assurance that the surrogate data will accurately 
represent the chemical of interest.

[[Page 493]]

    (ii) Oral Ingestion. Oral ingestion studies may involve direct 
monitoring of sources of chemicals as well as laboratory simulations. 
The estimation of exposure from ingestion of chemicals present in 
consumer products is predicted based upon estimates of use of the 
product and absorption of the chemical from the gastrointestinal tract. 
The following criteria should be established for laboratory simulations 
to estimate exposure:
    (A) A simulant or range of simulants should be carefully selected to 
mimic the possible range of conditions which occur in humans, such as 
full and empty stomachs, or various saliva compositions at different 
times of the day.
    (B) The mechanical action to which a product is submitted must be 
chosen to represent some range of realistic conditions to which a human 
may subject the product.
    (iii) Dermal Exposure. (A) Dermal exposure involves estimating the 
amount of substance contacting the skin. This may involve experiments 
measuring the amount of material leached from a product contacting a 
liquid layer which interfaces with the skin, or the amount of substance 
which migrates from a product (in solid or liquid form) which is in 
contact with the skin.
    (B) Parameters to be considered include: Surface area of the skin 
contacted, duration of contact, frequency of contact, and thickness of a 
liquid interfacial layer.
    (2) Assessment of Bioavailability. (i) The need to consider 
bioavailability in estimating the risk from use of a product containing 
a toxic substance only arises when it is anticipated that the absorption 
characteristics of a substance to which there is human exposure will 
differ from those characteristics for the substance tested in the 
studies used to define the dose-response relationship.
    (ii) In determining the need to assess bioavailability, the factors 
to be examined include:
    (A) The physical or chemical form of the substance,
    (B) The route of exposure (inhalation, ingestion, or through the 
skin),
    (C) The presence of other constituents in the product which 
interfere with or alter absorption of the toxic substance, and
    (D) Dose.
    (3) Assessment of Risk. This section on quantitative risk assessment 
applies to estimates of risk for substances that are toxic by reason of 
their carcinogenicity.
    (i) Generally, the study leading to the highest risk should be used 
in the risk assessment; however, other factors may influence the choice 
of study.
    (ii) Risk should be based on the maximum likelihood estimate from a 
multistage model (such as Global83 or later version) unless the maximum 
likelihood estimate is not linear at low dose, in which case the 95% 
upper confidence limit on risk should be used.
    (iii) For systemic carcinogens, if estimates of human risk are made 
based on animal data, a factor derived from dividing the assumed human 
weight (70 kg) by the average animal weight during the study and taking 
that to the \1/3\ power should be used. There is the possibility that 
this factor may be changed, using the \1/4\ power instead of the \1/3\ 
power, as part of a unified Federal regulatory approach. If such an 
approach is adopted, it will apply here.
    (iv) When dose is expressed as parts per million, and the carcinogen 
acts at the site of contact, humans and animals exposed to the same 
amount for the same proportion of lifetime should be assumed to be 
equally sensitive.
    (v) If no experimental study having the same route of exposure as 
that anticipated for human use of a substance is available, a study by 
another route of exposure may be used. Pharmacokinetic methods may be 
used if sufficient data are available.
    (vi) When exposure scenarios are different from those used in the 
underlying study upon which estimates of risk are based, proportionality 
should be applied. If pharmacokinetic methods are used to adjust for 
risks at high versus low exposure levels, level-time measures should not 
be combined without taking the non-linearity into account.
    (4) Acceptable Risks--(i) ADI for Carcinogens. The maximum 
acceptable daily intake (``ADI'') is that exposure of a toxic (by virtue 
of its carcinogenicity) substance that is estimated

[[Page 494]]

to lead to a lifetime excess risk of one in a million. Exposure refers 
to the anticipated exposure from normal lifetime use of the product, 
including use as a child as well as use as an adult.
    (ii) ADI for Neurotoxicological and Developmental/Reproductive 
Agents. Due to the difficulties in using a numerical risk assessment 
method to determine risk for neurotoxicological or developmental/
reproductive toxicants, the Commission is using a safety factor 
approach, as explained below.
    (A) Human Data. If the hazard is ascertained from human data, a 
safety factor of ten will be applied to the lowest No Observed Effect 
Level (``NOEL'') seen among the relevant studies. If no NOEL can be 
determined, a safety factor of 100 will be applied to the Lowest 
Observed Effect Level (``LOEL''). Both the NOEL and LOEL are defined in 
terms of daily dose level.
    (B) Animal Data. If the hazard is ascertained from animal data, a 
safety factor of one hundred will be applied to the lowest NOEL. If no 
NOEL can be determined, a safety factor of one thousand will be applied 
to the lowest LOEL. Both the NOEL and LOEL are defined in terms of daily 
dose level.

[57 FR 46665, Oct. 9, 1992]



Sec. 1500.210  Responsibility.

    The provisions of these regulations (16 CFR subchapter C of chapter 
II) with respect to the doing of any act shall be applicable also to the 
causing of such act to be done.



Sec. 1500.211  Guaranty.

    In the case of the giving of a guaranty or undertaking referred to 
in section 5(b)(2) of the act, each person signing such guaranty or 
undertaking, or causing it to be signed, shall be considered to have 
given it. Each person causing a guaranty or undertaking to be false is 
chargeable with violations of section 4(d) of the act.



Sec. 1500.212  Definition of guaranty; suggested forms.

    (a) A guaranty or undertaking referred to in section 5(b)(2) of the 
act may be:
    (1) Limited to a specific shipment or other delivery of an article, 
in which case it may be a part of or attached to the invoice or bill of 
sale covering such shipment of delivery; or
    (2) General and continuing, in which case, in its application to any 
shipment or other delivery of an article, it shall be considered to have 
been given at the date such article was shipped or delivered, or caused 
to be shipped or delivered, by the person who gives the guaranty of 
undertaking.
    (b) The following are suggested forms of guaranty or undertaking 
referred to in section 5(b)(2) of the act.
    (1) Limited form for use on invoice or bill of sale.
(Name of person giving the guaranty or undertaking)
hereby guarantees that no article listed herein is misbranded within the 
meaning of the Federal Hazardous Substances Act.
(Signature and post-office address of person giving the guaranty or 
          undertaking)
    (2) General and continuing forms.

The article comprising each shipment or other delivery hereafter made by 
----------

(Name of person giving the guaranty or undertaking)
to, or on the order of --------------------
(Name and post-office address of person to whom the guaranty or 
undertaking is given)

is hereby guaranteed, as of the date of such shipment or delivery, to 
be, on such date, not misbranded within the meaning of the Federal 
Hazardous Substances Act.
(Signature and post-office address of person giving the guaranty or 
undertaking)

    (c) The application of a guaranty or undertaking referred to in 
section 5(b)(2) of the act to any shipment or other delivery of an 
article shall expire when such article, after shipment or delivery by 
the person who gave such guaranty or undertaking, becomes misbranded 
within the meaning of the act.



Sec. 1500.213  Presentation of views under section 7 of the act.

    (a) Presentation of views under section 7 of the act shall be 
private and informal. The views presented shall be confined to matters 
relevant to the contemplated proceeding. Such views may be presented by 
letter or in person by the person to whom the notice was given, or by 
his representative. In case such person holds a guaranty or undertaking 
referred to in section 5(b)(2) of the act applicable to the article on 
which such notice was based, such

[[Page 495]]

guaranty or undertaking, or a verified copy thereof, shall be made a 
part of such presentation of views.
    (b) Upon request, reasonably made, by the person to whom a notice 
appointing a time and place for the presentation of views under section 
7 of the act has been given, or by his representative, such time or 
place, or both such time and place, may be changed if the request states 
reasonable grounds therefor. Such request shall be addressed to the 
office of the Consumer Product Safety Commission that issued the notice.



Sec. 1500.214  Examinations and investigations; samples.

    When any officer or employee of the Commission collects a sample of 
a hazardous substance for analysis under the act, the sample shall be 
designated as an official sample if records or other evidence is 
obtained by him or any other officer or employee of the Commission 
indicating that the shipment or other lot of the article from which such 
sample was collected was introduced or delivered for introduction into 
interstate commerce, or was in or was received in interstate commerce, 
or was manufactured within a Territory not organized with a legislative 
body. Only samples so designated by an officer or employee of the 
Commission shall be considered to be official samples:
    (a) For the purpose of determining whether or not a sample is 
collected for analysis, the term ``analysis'' includes examinations and 
tests.
    (b) The owner of a hazardous substance of which an official sample 
is collected is the person who owns the shipment or other lot of the 
article from which the sample is collected.



Sec. 1500.230  Guidance for lead (Pb) in consumer products.

    (a) Summary. (1) The U.S. Consumer Product Safety Commission issues 
this guidance to manufacturers, importers, distributors, and retailers 
to protect children from hazardous exposure to lead in consumer 
products.\1\ The Commission identifies the major factors that it 
considers when evaluating products that contain lead, and informs the 
public of its experience with products that have exposed children to 
potentially hazardous amounts of lead.
---------------------------------------------------------------------------

    \1\ This guidance is not a rule. It is intended to highlight certain 
obligations under the Federal Hazardous Substances Act. Companies should 
read that Act and the accompanying regulations in this part for more 
detailed information.
---------------------------------------------------------------------------

    (2) To reduce the risk of hazardous exposure to lead, the Commission 
requests manufacturers to eliminate the use of lead that may be 
accessible to children from products used in or around households, 
schools, or in recreation. The Commission also recommends that, before 
purchasing products for resale, importers, distributors, and retailers 
obtain assurances from manufacturers that those products do not contain 
lead that may be accessible to children.
    (b) Hazard. Young children are most commonly exposed to lead in 
consumer products from the direct mouthing of objects, or from handling 
such objects and subsequent hand-to-mouth activity. The specific type 
and frequency of behavior that a child exposed to a product will exhibit 
depends on the age of the child and the characteristics and pattern of 
use of the product. The adverse health effects of lead poisoning in 
children are well-documented and may have long-lasting or permanent 
consequences. These effects include neurological damage, delayed mental 
and physical development, attention and learning deficiencies, and 
hearing problems. Because lead accumulates in the body, even exposures 
to small amounts of lead can contribute to the overall level of lead in 
the blood and to the subsequent risk of adverse health effects. 
Therefore, any unnecessary exposure of children to lead should be 
avoided. The scientific community generally recognizes a level of 10 
micrograms of lead per deciliter of blood as a threshold level of 
concern with respect to lead poisoning. To avoid exceeding that level, 
young children should not chronically ingest more than 15 micrograms of 
lead per day from consumer products.
    (c) Guidance. (1) Under the Federal Hazardous Substances Act (FHSA), 
15 U.S.C. 1261(f)(1), household products

[[Page 496]]

that expose children to hazardous quantities of lead under reasonably 
foreseeable conditions of handling or use are ``hazardous substances.'' 
A household product that is not intended for children but which creates 
such a risk of injury because it contains lead requires precautionary 
labeling under the Act. 15 U.S.C. 1261(p). A toy or other article 
intended for use by children which contains a hazardous amount of lead 
that is accessible for children to ingest is a banned hazardous 
substance. 15 U.S.C. 1261(q)(1)(B). In evaluating the potential hazard 
associated with products that contain lead, the Commission staff 
considers these major factors on a case-by-case basis: the total amount 
of lead contained in a product, the bioavailability of the lead, the 
accessibility of the lead to children, the age and foreseeable behavior 
of the children exposed to the product, the foreseeable duration of the 
exposure, and the marketing, patterns of use, and life cycle of the 
product.
    (2) Paint and similar surface coatings containing lead have 
historically been the most commonly-recognized sources of lead poisoning 
among the products within the Commission's jurisdiction. The Commission 
has, by regulation, banned paint and other similar surface coatings that 
contain more than 0.06% lead (``lead-containing paint''), toys and other 
articles intended for use by children that bear lead-containing paint, 
and furniture articles for consumer use that bear lead-containing paint. 
16 CFR Part 1303. In recent years, however, the Commission staff has 
identified a number of disparate products--some intended for use by 
children and others simply used in or around the household or in 
recreation--that presented a risk of lead poisoning from sources other 
than paint. These products included vinyl miniblinds, crayons, figurines 
used as game pieces, and children's jewelry.
    (3) In several of these cases, the staff's determination that the 
products presented a risk of lead poisoning resulted in recalls or in 
the replacement of those products with substitutes, in addition to an 
agreement to discontinue the use of lead in future production. The 
Commission believes that, had the manufacturers of these lead-containing 
products acted with prudence and foresight before introducing the 
products into commerce, they would not have used lead at all. This in 
turn would have eliminated both the risk to young children and the costs 
and other consequences associated with the corrective actions.
    (4) The Commission urges manufacturers to eliminate lead in consumer 
products to avoid similar occurrences in the future. However, to avoid 
the possibility of a Commission enforcement action, a manufacturer who 
believes it necessary to use lead in a consumer product should perform 
the requisite analysis before distribution to determine whether the 
exposure to lead causes the product to be a ``hazardous substance.'' If 
the product is a hazardous substance and is also a children's product, 
it is banned. If it is a hazardous household substance but is not 
intended for use by children, it requires precautionary labeling. This 
same type of analysis also should be performed on materials substituted 
for lead.
    (5) The Commission also notes that, under the FHSA, any firm that 
purchases a product for resale is responsible for determining whether 
that product contains lead and, if so, whether it is a ``hazardous 
substance.'' The Commission, therefore, recommends that, prior to the 
acquisition or distribution of such products, importers, distributors, 
and retailers obtain information and data, such as analyses of chemical 
composition or accessibility, relevant to this determination from 
manufacturers, or have such evaluations conducted themselves.

[63 FR 70649, Dec. 22, 1998]



Sec. 1500.231  Guidance for hazardous liquid chemicals in children's products.

    (a) Summary. The U.S. Consumer Product Safety Commission issues this 
guidance to manufacturers, importers, distributors, and retailers to 
protect children from exposure to hazardous chemicals found in liquid-
filled children's products, such as rolling balls, bubble watches, 
necklaces, pens, paperweights, keychains, liquid timers, and

[[Page 497]]

mazes.\1\ The Commission identifies the major factors that it considers 
when evaluating liquid-filled children's products that contain hazardous 
chemicals, and informs the public of its experience with exposure to 
these hazardous chemicals to children. To reduce the risk of exposure to 
hazardous chemicals, such as mercury, ethylene glycol, diethylene 
glycol, methanol, methylene chloride, petroleum distillates, toluene, 
xylene, and related chemicals, the Commission requests manufacturers to 
eliminate the use of such chemicals in children's products. The 
Commission also recommends that, before purchasing products for resale, 
importers, distributors, and retailers obtain assurances from 
manufacturers that liquid-filled children's products do not contain 
hazardous liquid chemicals.
---------------------------------------------------------------------------

    \1\ This guidance is not a rule. It is intended to highlight certain 
obligations under the Federal Hazardous Substances Act. Companies should 
read that Act and the accompanying regulations in this part for more 
detailed information.
---------------------------------------------------------------------------

    (b) Hazard. During reasonably foreseeable handling or use of liquid-
filled children's products, hazardous chemicals may become accessible to 
young children in a manner that places children at risk. Young children 
are exposed to the chemicals from directly mouthing them or from 
handling such objects and subsequent hand-to-mouth or hand-to-eye 
activity. The specific type and frequency of behavior that a child 
exposed to a product will exhibit depends on the age of the child and 
the characteristics and pattern of use of the product. The adverse 
health effects of these chemicals to children include chemical poisoning 
from ingestion of the chemicals, pneumonia from aspiration of the 
chemicals into the lungs, and skin and eye irritation from exposure to 
the chemicals. The chemicals may also be combustible.
    (c) Guidance. (1) Under the Federal Hazardous Substances Act (FHSA), 
products that are toxic or irritants and that may cause substantial 
injury or illness under reasonably foreseeable conditions of handling or 
use, including reasonably foreseeable ingestion by children, are 
``hazardous substances.'' 15 U.S.C. 1261(f)(1). A product that is not 
intended for children, but that creates a risk of substantial injury or 
illness because it contains hazardous chemicals, requires precautionary 
labeling under the Act. 15 U.S.C. 1261(p). A toy or other article 
intended for use by children that contains an accessible and harmful 
amount of a hazardous chemical is banned. 15 U.S.C. 1261(q)(1)(A). In 
evaluating the potential hazard associated with children's products that 
contain hazardous chemicals, the Commission's staff considers certain 
factors on a case-by-case basis, including: the total amount of the 
hazardous chemical in a product, the accessibility of the hazardous 
chemicals to children, the risk presented by that accessibility, the age 
and foreseeable behavior of the children exposed to the product, and the 
marketing, patterns of use, and life cycle of the product.
    (2) The Commission's staff has identified a number of liquid-filled 
children's products, such as rolling balls, bubble watches, necklaces, 
pens, paperweights, maze toys, liquid timers, and keychains, that 
contain hazardous chemicals. In several of these cases, the staff 
determined that these products violated the FHSA because they presented 
a risk of chemical poisoning and/or chemical pneumonia from aspiration. 
This determination resulted in recalls or in the replacement of those 
products with substitutes, as well as in agreements with the 
manufacturers to discontinue the use of hazardous chemicals in liquid-
filled children's products in future production. The Commission believes 
that these hazardous substances pose a risk to young children and, 
consequently, manufacturers should not have included them in the product 
design or manufacturing process.
    (3) Therefore, the Commission considers the use of hazardous 
chemicals in children's products such as those described above to be 
ill-advised and encourages manufacturers to avoid using them in such 
products. Further, the Commission recommends that, before purchasing 
such products for resale, importers, distributors, and retailers obtain 
assurances from the manufacturers that liquid-filled children's

[[Page 498]]

products do not contain hazardous liquid chemicals.

[63 FR 70648, Dec. 22, 1998]

                                 Imports



Sec. 1500.265  Imports; definitions.

    For the purposes of the regulations prescribed under section 14 of 
the act:
    (a) The term owner or consignee means the person who has the rights 
of a consignee under the provisions of the Tariff Act of 1930 (secs. 
483, 484, 485, 46 Stat. 721 as amended; 19 U.S.C. 1483, 1484, 1485).
    (b) The term area office director means the director of the area 
office of the Consumer Product Safety Commission having jurisdiction 
over the port of entry through which a hazardous substance is imported 
or offered for import, or such officer of the area office as he may 
designate to act in his behalf in administering and enforcing the 
provisions of section 14 of the act.



Sec. 1500.266  Notice of sampling.

    When a sample of a hazardous substance offered for import has been 
requested by the director of the area office, the collector of customs 
having jurisdiction over the hazardous substance shall give to the owner 
or consignee prompt notice of delivery of, or intention to deliver, such 
sample. Upon receipt of the notice, the owner or consignee shall hold 
such hazardous substance and not distribute it until further notice from 
the area office director or the collector of customs of the results of 
examination of the sample.



Sec. 1500.267  Payment for samples.

    The Consumer Product Safety Commission will pay for all import 
samples that are found to be in compliance with the requirements of the 
act. Billing for reimbursement should be made by the owner or consignee 
to the Commission area office headquarters in the territory of which the 
shipment was offered for import. Payment for samples will not be made if 
the hazardous substance is found to be in violation of the act, even 
though subsequently brought into compliance under the terms of an 
authorization to bring the article into compliance.



Sec. 1500.268  Hearing.

    (a) If it appears that the hazardous substance may be subject to 
refusal of admission, the area office director shall give the owner or 
consignee a written notice to that effect, stating the reasons therefor. 
The notice shall specify a place and a period of time during which the 
owner or consignee shall have an opportunity to introduce testimony. 
Upon timely request, giving reasonable grounds therefor, such time and 
place may be changed. Such testimony shall be confined to matters 
relevant to the admissibility of the hazardous substance, and may be 
introduced orally or in writing.
    (b) If such owner or consignee submits or indicates his intention to 
submit an application for authorization to relabel or perform other 
action to bring the hazardous substance into compliance with the act, 
such testimony shall include evidence in support of such application. If 
such application is not submitted at or prior to the hearing, the area 
office director shall specify a time limit, reasonable in the light of 
the circumstances, for filing such application.



Sec. 1500.269  Application for authorization.

    Application for authorization to relabel or perform other action to 
bring the hazardous substance into compliance with the act may be filed 
only by the owner or consignee and shall:
    (a) Contain detailed proposals for bringing the article into 
compliance with the act.
    (b) Specify the time and place where such operations will be carried 
out and the approximate time for their completion.



Sec. 1500.270  Granting of authorization.

    (a) When authorization contemplated by Sec. 1500.269 is granted, the 
area office director shall notify the applicant in writing, specifying:
    (1) The procedure to be followed:
    (2) That the operations are to be carried out under the supervision 
of an officer of the Consumer Product Safety Commission or the Bureau of 
Customs, as the case may be;

[[Page 499]]

    (3) A time limit, reasonable in the light of the circumstances, for 
completion of the operations; and
    (4) Such other conditions as are necessary to maintain adequate 
supervision and control over the article.
    (b) Upon receipt of a written request for extension of time to 
complete such operations, containing reasonable grounds therefor, the 
area office director may grant such additional time as he deems 
necessary.
    (c) An authorization may be amended upon a showing of reasonable 
grounds therefor and the filing of an amended application for 
authorization with the area office director.
    (d) If ownership of a hazardous substance covered by an 
authorization changes before the operations specified in the 
authorization have been completed, the original owner will be held 
responsible, unless the new owner has executed a bond and obtained a new 
authorization. Any authorization granted under this section shall 
supersede and nullify any previously granted authorization with respect 
to the article.



Sec. 1500.271  Bonds.

    (a) The bonds required under section 14(b) of the act may be 
executed by the owner or consignee on the appropriate form of a customs 
single-entry or term bond, containing a condition for the redelivery of 
the merchandise or any part thereof upon demand of the collector of 
customs and containing a provision for the performance of conditions as 
may legally be imposed for the relabeling or other action necessary to 
bring the hazardous substance into compliance with the act in such 
manner as is prescribed for such bond in the customs regulations in 
force on the date of request for authorization. The bond shall be filed 
with the collector of customs.
    (b) The collector of customs may cancel the liability for liquidated 
damages incurred under the above-mentioned provisions of such a bond, if 
he receives an application for relief therefrom, upon the payment of a 
lesser amount or upon such other terms and conditions as shall be deemed 
appropriate under the law and in view of the circumstances, but the 
collector shall not act under this regulation in any case unless the 
area office director is in full agreement with the action.



Sec. 1500.272  Costs chargeable in connection with relabeling and reconditioning inadmissible imports.

    The cost of supervising the relabeling or other action necessary in 
connection with an import of a hazardous substance that fails to comply 
with the act shall be paid by the owner or consignee who files an 
application requesting such action and executes a bond, pursuant to 
section 14(b) of the act. The cost of such supervision shall include, 
but not be restricted to, the following:
    (a) Travel expenses of the supervising officer.
    (b) Per diem in lieu of subsistence of the supervising officer when 
away from his home station as provided by law.
    (c) Services of the supervising officer, to be calculated at the 
rate of a GS 11, step 1 employee, except that such services performed by 
a customs officer and subject to the provisions of the Act of February 
13, 1911, as amended (sec. 5, 36 Stat. 901 as amended; 19 U.S.C. 267), 
shall be calculated as provided in that Act.
    (d) Services of the analyst, to be calculated at the rate of a GS 
12, step 1 employee (which shall include the use of the chemical 
laboratories and equipment of the Consumer Product Safety Commission).
    (e) The minimum charge for services of supervising officers and of 
analysts shall be not less than the charge for 1 hour, and time after 
the first hour shall be computed in multiples of 1 hour, disregarding 
fractional parts less than one-half hour.

[38 FR 27012, Sept. 27, 1973, as amended at 57 FR 28605, June 26, 1992]



  PART 1501--METHOD FOR IDENTIFYING TOYS AND OTHER ARTICLES INTENDED FOR USE BY CHILDREN UNDER 3 YEARS OF AGE WHICH PRESENT CHOKING, ASPIRATION, OR INGESTION 
HAZARDS BECAUSE OF SMALL PARTS--Table of Contents




Sec.
1501.1 Purpose.

[[Page 500]]

1501.2 Scope.
1501.3 Exemptions.
1501.4 Size requirements and test procedure.
1501.5 Enforcement procedure.

    Authority: Secs. 2(f)(1)(D), (q)(1)(A), (s), 3(e)(1), and 10; 74 
Stat. 372, 374, 375 as amended; 80 Stat. 1304-05, 83 Stat. 187-89 (15 
U.S.C. 1261, 1262, 1269).

    Source: 44 FR 34903, June 15, 1979, unless otherwise noted.



Sec. 1501.1  Purpose.

    Section 1500.18(a)(9) of this chapter classifies as a banned 
hazardous substance any toy or other article intended for use by 
children under 3 years of age that presents a choking, aspiration, or 
ingestion hazard because of small parts. This part 1501 describes 
certain articles that are subject to Sec. 1500.18(a)(9); lists certain 
articles that are specifically exempted; and provides a test method for 
determining whether an article is hazardous to children under 3 because 
it, or one of its components that can be detached or broken off during 
normal or reasonable foreseeable use, is too small.



Sec. 1501.2  Scope.

    (a) This regulation (Sec. 1500.18(a)(9) and the criteria described 
in Sec. 1501.4 below) applies to all toys and other articles intended 
for use by children under 3 years (36 months) of age that are introduced 
into interstate commerce after the effective date. Such articles 
include, but are not to limited to: squeeze toys; teethers; crib 
exercisers; crib gyms; crib mobiles; other toys or articles intended to 
be affixed to a crib, stroller, playpen, or baby carriage; pull and push 
toys; pounding toys; blocks and stacking sets; bathtub, wading pool and 
sand toys; rocking, spring, and stick horses and other figures; chime 
and musical balls and carousels; jacks-in-the-box; stuffed, plush, and 
flocked animals and other figures; preschool toys, games and puzzles 
intended for use by children under 3; riding toys intended for use by 
children under 3; infant and juvenile furniture articles which are 
intended for use by children under 3 such as cribs, playpens, baby 
bouncers and walkers, strollers and carriages; dolls which are intended 
for use by children under 3 such as baby dolls, rag dolls, and bean bag 
dolls; toy cars, trucks, and other vehicles intended for use by children 
under 3. In addition, such articles include any other toys or articles 
which are intended, marketed or labeled to be entrusted to or used by 
children under 3 years of age.
    (b) In determining which toys and other articles are intended for 
use by children under 3 years (36 months) of age, for purposes of this 
regulation, the following factors are relevant: the manufacturer's 
stated intent (such as on a label) if it is a reasonable one; the 
advertising, promotion, and marketing of the article; and whether the 
article is commonly recognized as being intended for children under 3.
    (c) This regulation does not apply to toys or articles which are 
solely intended for use by children 3 years of age or older. In 
addition, it does not apply to all articles to which children under 3 
years of age might have access simply because of presence in a 
household. Certain articles which are specifically exempted from this 
regulation are listed in Sec. 1501.3 below.



Sec. 1501.3  Exemptions.

    The following articles are exempt from this regulation 
(Sec. Sec. 1500.18(a)(9) and 1501.4 below):
    (a) Balloons;
    (b) Books and other articles made of paper;
    (c) Writing materials such as crayons, chalk, pencils, and pens;
    (d) Children's clothing and accessories, such as shoe lace holders 
and buttons;
    (e) Grooming, feeding, and hygiene products, such as diaper pins and 
clips, barrettes, toothbrushes, drinking glasses, dishes and eating 
utensils;
    (f) Phonograph records;
    (g) Modeling clay and similar products;
    (h) Fingerpaints, watercolors, and other paint sets;
    (i) Rattles (as defined at 16 CFR 1510.2); and
    (j) Pacifiers (as defined at 16 CFR 1511.2(a)).



Sec. 1501.4  Size requirements and test procedure.

    (a) No toy or other children's article subject to Sec. 1500.18(a)(9) 
and to this part

[[Page 501]]

1501 shall be small enough to fit entirely within a cylinder with the 
dimensions shown in Figure 1, when tested in accordance with the 
procedure in paragraph (b) of this section. In testing to ensure 
compliance with this regulation, the dimensions of the Commission's test 
cylinder will be no greater than those shown in Figure 1. (In addition, 
for compliance purposes, the English dimensions shall be used. The 
metric approximations are included only for convenience.)
    (b)(1) Place the article, without compressing it, into the cylinder. 
If the article fits entirely within the cylinder, in any orientation, it 
fails to comply with the test procedure. (Test any detached components 
of the article the same way.)
    (2) If the article does not fit entirely within the cylinder, 
subject it to the appropriate ``use and abuse'' tests of 16 CFR 1500.51 
and 1500.52 (excluding the bite tests of Sec. Sec. 1500.51(c) and 
1500.52(c)). Any components or pieces (excluding paper, fabric, yarn, 
fuzz, elastic, and string) which have become detached from the article 
as a result of the use and abuse testing shall be placed into the 
cylinder, one at a time. If any such components or pieces fit entirely 
within the cylinder, in any orientation and without being compressed, 
the article fails to comply with the test procedure.

[[Page 502]]

[GRAPHIC] [TIFF OMITTED] TC03OC91.060



Sec. 1501.5  Enforcement procedure.

    The Commission will enforce this regulation, unless it determines 
that an emergency situation exists, only in accordance with Chapter 2, 
Guide 2.05--Letter of Advice/Notices of Noncompliance of the CPSC 
Enforcement Policy

[[Page 503]]

and Procedural Guides, issued in January 1990 and available from the 
Office of the Secretary, Consumer Product Safety Commission, Washington, 
DC 20207. Under the procedure described in this chapter, firms must be 
informed by letter that they or their products may be the subject of 
enforcement action and must be provided ten days within which to submit 
evidence and arguments that the products are not violative or are not 
covered by the regulation, prior to the initiation of enforcement action 
by the Commission or by its delegated staff member. The function of 
approving such enforcement actions is currently delegated by the 
Commission to the Assistant Executive Director for Compliance and 
Enforcement (copies of the existing delegation documents are also 
available from the CPSC's Office of the Secretary).

[56 FR 46986, Sept. 17, 1991]



PART 1502--PROCEDURES FOR FORMAL EVIDENTIARY PUBLIC HEARING--Table of Contents




                      Subpart A--General Provisions

Sec.
1502.1 Scope.
1502.2 Computation of time periods.
1502.3 Confidential information.
1502.4 Office of the Secretary.

                  Subpart B--Initiation of Proceedings

1502.5 Initiation of a hearing involving the issuance, amendment, or 
          revocation of a regulation.
1502.6 Filing objections and requests for a hearing on a regulation.
1502.7 Notice of filing of objections.
1502.8 Ruling on objections and requests for hearing.
1502.9 Modification or revocation of regulation or order.
1502.10 Denial of hearing in whole or in part.
1502.11 Judicial review after waiver of hearing on a regulation.
1502.12 Request for alternative form of hearing.
1502.13 Notice of hearing; stay of action.
1502.14 Effective date of a regulation when no objections are filed.

                 Subpart C--Appearance and Participation

1502.15 Appearance.
1502.16 Notice of participation.
1502.17 Advice on public participation in hearings.

                      Subpart D--Presiding Officer

1502.18 Presiding officer.
1502.19 Commencement of functions.
1502.20 Authority of presiding officer.
1502.21 Disqualification of presiding officer.
1502.22 Unavailability of presiding officer.

                      Subpart E--Hearing Procedures

1502.23 Filing and service of submissions.
1502.24 Petition to participate in forma pauperis.
1502.25 Disclosure of data and information to be relied on by the 
          participants.
1502.26 Purpose; oral and written testimony; burden of proof.
1502.27 Participation of nonparties.
1502.28 Conduct at oral hearings or conferences.
1502.29 Time and place of prehearing conference.
1502.30 Prehearing conference procedure.
1502.31 Summary decisions.
1502.32 Receipt of evidence.
1502.33 Official notice.
1502.34 Briefs and arguments.
1502.35 Interlocutory appeal from ruling of presiding officer.
1502.36 Official transcript.
1502.37 Motions.

                    Subpart F--Administrative Record

1502.38 Administrative record of a hearing.
1502.39 Examination of record.

                  Subpart G--Initial and Final Decision

1502.40 Initial decision.
1502.41 Appeal from or review of initial decision.
1502.42 Decision by Commission on appeal or review of initial decision.
1502.43 Reconsideration and stay of Commission's action.

                       Subpart H--Judicial Review

1502.44 Review by the courts.
1502.45 Copies of petitions for judicial review.

    Authority: 15 U.S.C. 1261(q)(1)(B), 1262(a), 1262(e), 1269(a); 15 
U.S.C. 1474(a); 21 U.S.C. 371(e)-(g).

    Source: 56 FR 9278, Mar. 6, 1991, unless otherwise noted.



                      Subpart A--General Provisions



Sec. 1502.1  Scope.

    The procedures in this part apply when--

[[Page 504]]

    (a) A person has a right to an opportunity for a hearing under 
sections 2(q)(1)(B) or 3(a) of the Federal Hazardous Substances Act 
(``FHSA'') and 701(e) of the Federal Food, Drug, and Cosmetic Act 
(``FDCA'') (15 U.S.C. 1261(q)(1)(B) and 1262(a), and 21 U.S.C. 371(e));
    (b) The Commission elects to hold a hearing under section 3(e)(1) of 
the FHSA or section 5 of the Poison Prevention Packaging Act (``PPPA'') 
and section 701(e) of the FDCA (15 U.S.C. 1262(e)(1) and 1474(a), and 21 
U.S.C. 371(e)); or
    (c) The Commission concludes that it is in the public interest to 
hold a formal evidentiary public hearing on any matter before it in such 
a proceeding.



Sec. 1502.2  Computation of time periods.

    Whenever a time period for taking action is specified by these 
procedures, by the presiding officer, or by the Commission, Saturdays, 
Sundays, and Federal holidays are included in computing time. However, 
if the last day for taking such action falls on a Saturday, Sunday, or 
Federal holiday, the action shall be timely if taken on or before the 
next Federal Government business day.



Sec. 1502.3  Confidential information.

    Whenever any participant desires or is required to submit 
information in any proceeding under this part 1502, and the participant 
believes that such information consists of trade secret or other 
confidential business or financial information that should not be 
disclosed publicly, the participant may, instead of submitting such 
information, file a motion for a protective order containing a general 
description of the information desired to be withheld, together with a 
detailed argument supporting the claim that the information should be 
held in confidence.



Sec. 1502.4  Office of the Secretary.

    (a) The mailing address of the Commission's Office of the Secretary 
is:
Office of the Secretary, Consumer Product Safety Commission, Washington, 
DC 20207.
    (b) The address for delivery to the Office of the Secretary is:
Office of the Secretary, Room 502, 4330 East West Highway, Bethesda, 
Maryland 20816.
    (c) The telephone number of the Office of the Secretary is (301)504-
0800.

[56 FR 9278, Mar. 6, 1991, as amended at 62 FR 46667, Sept. 4, 1997]



                  Subpart B--Initiation of Proceedings



Sec. 1502.5  Initiation of a hearing involving the issuance, amendment, or revocation of a regulation.

    (a) The Federal Register notice promulgating the final regulation 
will describe how to submit objections and requests for hearing.
    (b) On or before the 30th day after the date of publication of a 
final regulation in the Federal Register, a person may file written 
objections, with or without a request for a hearing, with the 
Commission. The 30-day period may not be extended, except that 
additional information supporting an objection may be received after 30 
days upon a showing of inadvertent omission or for other good cause 
shown, if consideration of the additional information will not delay 
review of the objection and request for hearing.



Sec. 1502.6  Filing objections and requests for a hearing on a regulation.

    (a) Objections and requests for a hearing under Sec. 1502.5(a) must 
be filed with the Office of the Secretary and will be accepted for 
filing if they meet the following conditions:
    (1) They are submitted within the time specified in Sec. 1502.5(b).
    (2) Each objection is separately numbered.
    (3) Each objection specifies with particularity the provision(s) of 
the regulation to which that objection is directed.
    (4) Each objection on which a hearing is requested specifically 
requests a hearing. Failure to request a hearing on an objection 
constitutes a waiver of the right to a hearing on that objection.
    (5) Each objection for which a hearing is requested includes a 
detailed description of the basis for the objection and the factual 
information or analysis in support thereof. Failure to include a 
description and analysis for an objection constitutes a waiver of the 
right

[[Page 505]]

to a hearing on that objection. The description and analysis may be used 
only for the purpose of determining whether a hearing has been justified 
under Sec. 1502.8, and do not limit the evidence that may be presented 
if a hearing is granted.
    (i) A copy of any report, article, survey, or other written document 
relied upon must be submitted, unless the document is--
    (A) A CPSC document that is routinely publicly available; or
    (B) A recognized medical or scientific textbook or journal in the 
public domain.
    (ii) A summary of the non-documentary testimony to be presented by 
any witnesses relied upon must be submitted.
    (b) If an objection or request for a public hearing fails to meet 
the requirements of this section the Office of the General Counsel shall 
notify the Office of the Secretary of the deficiency. The Office of the 
Secretary shall return it with a copy of the applicable regulations, 
indicating those provisions not complied with. A deficient objection or 
request for a hearing may be supplemented and subsequently filed if 
submitted within the 30-day time period specified in Sec. 1502.5(b).
    (c) If another person objects to a regulation issued in response to 
a petition, the petitioner may submit a written reply to the Office of 
the Secretary on or before the 15th day after the last day for filing 
objections.



Sec. 1502.7  Notice of filing of objections.

    As soon as practicable after the expiration of the time for filing 
objections to and requests for hearing on agency action involving the 
issuance, amendment, or revocation of a regulation under the FHSA or the 
PPPA and section 701(e) of the Federal Food, Drug, and Cosmetic Act, the 
Commission shall publish a notice in the Federal Register specifying 
those parts of the regulation that have been stayed by the filing of 
proper objections and, if no objections have been filed, stating that 
fact. The notice does not constitute a determination that a hearing is 
justified on any objections or requests for hearing that have been 
filed. When to do so will cause no undue delay, the notice required by 
this section may be combined with the notices described in 
Sec. Sec. 1502.10 and 1502.13.



Sec. 1502.8  Ruling on objections and requests for hearing.

    (a) As soon as practicable, the Commission will review all 
objections and requests for hearing filed under Sec. 1502.6 and 
determine--
    (1) Whether the regulation should be modified or revoked under 
Sec. 1502.9; and
    (2) Whether a hearing has been justified.
    (b) A request for a hearing will be granted if the material 
submitted shows the following:
    (1) There is a genuine and substantial issue of fact for resolution 
at a hearing. A hearing will not be granted on issues of policy or law.
    (2) The factual issue can be resolved by available and specifically 
identified reliable evidence. A hearing will not be granted on the basis 
of mere allegations or denials or general descriptions of positions and 
contentions.
    (3) The data and information submitted, if established at a hearing, 
would be adequate to justify resolution of the factual issue in the way 
sought by the person. A hearing will be denied if the Commission 
concludes that the data and information submitted, even though accurate, 
are insufficient to justify the factual determination urged.
    (4) Resolution of the factual issue in the way sought by the person 
is adequate to justify the action requested. A hearing will not be 
granted on factual issues that are not determinative with respect to the 
action requested, e.g., if the Commission concludes that the 
Commission's action would be the same even if the factual issue were 
resolved in the way sought, or if a request is made that a final 
regulation include a provision not reasonably encompassed by the 
proposal.
    (5) The action requested is not inconsistent with any provision in 
the FHSA or any regulation in 16 CFR subchapter C explaining or 
particularizing the requirements of the FHSA.
    (6) The requirements in other applicable regulations, and in the 
notice promulgating the final regulation or

[[Page 506]]

the notice of opportunity for hearing are met.
    (c) In making the determinations specified in paragraph (a) of this 
section, the Commission may issue an appropriate order on the 
determinations without further notice or opportunity for comment from 
interested parties. However, the Commission, at its option, may use the 
procedure specified in 16 CFR part 1052 or any other applicable public 
procedure available to it.
    (d) If it is uncertain whether a hearing has been justified under 
the principles in paragraph (b) of this section, and the Commission 
concludes that summary decision against the person requesting a hearing 
should be considered, the Commission may serve upon the person by 
registered mail a proposed order denying a hearing. The person has 30 
days after receipt of the proposed order to demonstrate that the 
submission justifies a hearing.



Sec. 1502.9  Modification or revocation of regulation or order.

    If, upon review of an objection or request for hearing, the 
Commission determines that the regulation should be modified or revoked, 
the Commission will promptly take such action by notice in the Federal 
Register. Further objections to or requests for hearing on the 
modification or revocation may be submitted under Sec. Sec. 1502.5 and 
1502.6, but no further issue may be taken with other provisions in the 
regulation. Objections and requests for hearing that are not affected by 
the modification or revocation will remain on file and be acted upon in 
due course.



Sec. 1502.10  Denial of hearing in whole or in part.

    (a) If the Commission determines upon review of the objections or 
requests for hearing that a hearing is not justified, in whole or in 
part, a notice of the determination will be published in the Federal 
Register.
    (b) The notice will state whether the hearing is denied in whole or 
in part. If the hearing is denied in part, the notice will be combined 
with the notice of hearing required by Sec. 1502.13, and will specify 
the objections and requests for hearing that have been granted and 
denied.
    (c) Any denial will be explained. A denial based on an analysis of 
the information submitted to justify a hearing will explain the 
inadequacy of the information.
    (d) The notice will confirm, modify, or stay the effective date of 
the regulation involved.
    (e) The record of the administrative proceeding relating to denial 
in whole or in part of a public hearing on an objection or request for 
hearing consists of the following:
    (1) The entire rulemaking record;
    (2) The objections and requests for hearing filed by the Office of 
the Secretary; and
    (3) The notice denying a formal evidentiary public hearing.
    (f) The record specified in paragraph (e) of this section is the 
exclusive record for the Commission's decision on the complete or 
partial denial of a hearing. The record of the proceeding will be closed 
as of the date of the Commission's decision denying a hearing, unless 
another date is specified. A person who requested and was denied a 
hearing may submit a petition for reconsideration or a petition for stay 
of the Commission's action. A person who wishes to rely upon information 
or views not included in the administrative record shall submit them to 
the Commission with a petition to modify the final regulation.
    (g) Denial of a request for a hearing in whole or in part is final 
agency action reviewable in the courts, under the statutory provisions 
governing the matter involved, as of the date of publication of the 
denial in the Federal Register.
    (1) Before requesting a court for a stay of the Commission's action 
pending judicial review, a person shall first submit a petition to the 
Commission for a stay of action.
    (2) The time for filing a petition for judicial review of a denial 
of a hearing on an objection or issue begins on the date the denial is 
published in the Federal Register. The failure to file a petition for 
judicial review within the period established in the statutory provision 
governing the matter involved constitutes a waiver of the right to 
judicial review of the objection or issue,

[[Page 507]]

regardless whether a hearing has been granted on other objections and 
issues.



Sec. 1502.11  Judicial review after waiver of hearing on a regulation.

    (a) A person with a right to submit objections and a request for 
hearing under Sec. 1502.5(a) may submit objections and waive the right 
to a hearing. The waiver may be either an explicit statement, or a 
failure to request a hearing, as provided in Sec. 1502.6(a)(4).
    (b) If a person waives the right to a hearing, the Commission will 
rule upon the person's objections under Sec. Sec. 1502.8 through 
1502.10. As a matter of discretion, the Commission may also order a 
hearing on the matter.
    (c) If the Commission rules adversely on a person's objection, the 
person may petition for judicial review in a U.S. court of appeals under 
the appropriate statute.
    (1) The record for judicial review is the record designated in 
Sec. 1502.10(e).
    (2) The time for filing a petition for judicial review begins on the 
date of publication of the Commission's ruling on the objections in the 
Federal Register.



Sec. 1502.12  Request for alternative form of hearing.

    (a) A person with a right to request a formal hearing may waive that 
right and request a hearing before the Commission under 16 CFR part 
1052.
    (b) The request--
    (1) May be on the person's own initiative or at the suggestion of 
the Commission;
    (2) Must be submitted by the person in the form of a petition before 
publication of a notice of hearing under Sec. 1502.13 or a denial of 
hearing under Sec. 1502.10; and
    (3) Must be--
    (i) In lieu of a request for a formal hearing under Sec. 1502.5; or,
    (ii) If submitted with or after a request for formal hearing, 
accompanied by a waiver of the right to a formal hearing, conditioned on 
the request for the alternative form of hearing. Upon acceptance by the 
Commission, the waiver becomes binding and may be withdrawn only by 
waiving any right to any form of hearing, unless the Commission 
determines otherwise.
    (c) When more than one person requests and justifies a formal 
hearing under these procedures, an alternative form of hearing may be 
used only if all the persons concur and waive their right to request a 
formal hearing.
    (d) The Commission will determine whether an alternative form of 
hearing should be used after considering the requests submitted and the 
appropriateness of the alternative hearing for the issues raised in the 
objections. The Commission's determination is binding unless, for good 
cause, the Commission subsequently determines otherwise.
    (e) If the Commission determines that an alternative form of hearing 
will be used, the Commission will publish a notice in the Federal 
Register setting forth the following information:
    (1) A description of the regulation that is the subject of the 
hearing.
    (2) A statement specifying any part of the regulation that has been 
stayed by operation of law or in the Commission's discretion.
    (3) The time, date, and place of the hearing, or a statement that 
such information will be contained in a later notice.
    (4) The parties to the hearing.
    (5) The issues at the hearing. The statement of issues determines 
the scope of the hearing.



Sec. 1502.13  Notice of hearing; stay of action.

    (a) If the Commission determines upon review of the objections and 
requests for hearing that a hearing is justified on any issue, the 
Commission will publish a notice setting forth the following:
    (1) A description of the regulation that is the subject of the 
hearing.
    (2) A statement specifying any part of the regulation or order that 
has been stayed by operation of law or in the Commission's discretion.
    (3) The parties to the hearing.
    (4) The issues of fact on which a hearing has been justified.
    (5) A statement of any objections or requests for hearing for which 
a hearing has not been justified, which are subject to Sec. 1502.10.

[[Page 508]]

    (6) The presiding officer, or a statement that the presiding officer 
will be designated in a later notice.
    (7) The time within which notices of participation should be filed 
under Sec. 1502.16.
    (8) The date, time, and place of the prehearing conference, or a 
statement that the date, time, and place will be announced in a later 
notice. The prehearing conference may not commence until after the time 
expires for filing the notice of participation required by 
Sec. 1502.16(a).
    (9) The time within which participants should submit written 
information and views under Sec. 1502.25(b). Additional copies of 
material already submitted under Sec. 1502.25 need not be included with 
any later submissions.
    (10) The contents of the portions of the administrative record 
relevant to the issues at the hearing. Except for trade secrets or other 
confidential information, the disclosure of which is prohibited by 
statute, the portions listed will be placed on public display in the 
Office of the Secretary before the notice is published.
    (b) The statement of the issues determines the scope of the hearing 
and the matters on which evidence may be introduced. The issues may be 
revised by the presiding officer. A participant may obtain interlocutory 
review by the Commission of a decision by the presiding officer to 
revise the issues to include an issue on which the Commission has not 
granted a hearing or to eliminate an issue on which a hearing has been 
granted.
    (c) A hearing is deemed to begin on the date of publication of the 
notice of hearing.



Sec. 1502.14  Effective date of a regulation when no objections are filed.

    (a) If no objections are filed and no hearing is requested on a 
regulation under Sec. 1502.5, the regulation is effective on the date 
specified in the regulation as promulgated.
    (b) The Commission shall publish a confirmation of the effective 
date of the regulation. The Federal Register document confirming the 
effective date of the regulation may extend the time for compliance with 
the regulation.



                 Subpart C--Appearance and Participation



Sec. 1502.15  Appearance.

    (a) A person who has filed a notice of participation under 
Sec. 1502.16 may appear in person or by counsel or other representative 
in any hearing and, subject to Sec. 1502.27, may be heard concerning all 
relevant issues.
    (b) The presiding officer may strike a person's appearance for 
violation of the requirements regarding conduct in Sec. 1502.28.



Sec. 1502.16  Notice of participation.

    (a) Within 30 days after publication of the notice of hearing under 
Sec. 1502.13, a person desiring to participate in a hearing is to file 
with the Office of the Secretary a notice of participation in the 
following form:

(Date)
    Office of the Secretary, Consumer Product Safety Commission, Room 
502, 4330 East West Highway, Bethesda, MD. Mailing address: Office of 
the Secretary, Consumer Product Safety Commission, Washington, DC 20207.

                         Notice of Participation

(Title of Regulation)
Docket No.______________________________________________________________
Please enter the participation of:
(Name)__________________________________________________________________
(Street address)________________________________________________________
(City, State, and Zip Code)_____________________________________________
________________________________________________________________________
(Telephone number)______________________________________________________
Service on the above will be accepted by:
(Name)__________________________________________________________________
(City, State, and Zip Code)_____________________________________________
________________________________________________________________________
(Telephone number)______________________________________________________
    The following statements are made as part of this notice of 
participation:
    A. Specific interests. (A statement of the specific interest of the 
person in the proceeding, including the specific issues of fact 
concerning which the person desires to be heard. This part need not be 
completed by a party to the proceeding.)
    B. Commitment to participate. (A statement that the person will 
present documentary evidence or testimony at the hearing and will comply 
with the requirements of Sec. 1502.25 of these procedures.)
(Signed)________________________________________________________________

    (b) Any amendment to a notice of participation should be filed with 
the Office of the Secretary and served on all participants.

[[Page 509]]

    (c) No person may participate in a hearing who has not filed a 
written notice of participation or whose participation has been stricken 
under paragraph (e) of this section.
    (d) The presiding officer may permit the late filing of a notice of 
participation upon a showing of good cause.
    (e) The presiding officer may strike the participation of a person 
for nonparticipation in the hearing or for failure to comply with any 
requirement of this subpart, e.g., disclosure of information as required 
by Sec. 1502.25 or the prehearing order issued under Sec. 1502.30. Any 
person whose participation is stricken may petition the Commission for 
interlocutory review of that decision.

[56 FR 9278, Mar. 6, 1991, as amended at 62 FR 46667, Sept. 4, 1997]



Sec. 1502.17  Advice on public participation in hearings.

    (a) All inquiries from the public about scheduling, location, and 
general procedures should be addressed to the Office of the Secretary, 
Consumer Product Safety Commission, Washington, DC 20207, or telephone 
(301) 504-0800.
    (b) Requests by hearing participants for changes in the schedule of 
a hearing or for filing documents, briefs, or other pleadings should be 
made in writing directly to the presiding officer.
    (c) Under no circumstances will the Office of the General Counsel of 
CPSC directly provide advice about a hearing to any person who is 
participating or may participate in the hearing. In every hearing, 
certain attorneys in the office are designated to represent the staff. 
Other members of the office, ordinarily including the General Counsel, 
are designated to advise the Commission on a final decision in the 
matter. It is not compatible with these functions, nor would it be 
professionally responsible, for the attorneys in the Office of the 
General Counsel also to advise other participants in a hearing, or for 
any attorney who may be called on to advise the Commission to respond to 
inquiries from other participants in the hearing; such participants may 
be urging views contrary to those of the staff involved or to what may 
ultimately be the final conclusions of the Commission. Accordingly, 
members of the Office of the General Counsel, other than the attorneys 
responsible for representing the staff, will not answer questions about 
the hearing from any participant or potential participant.
    (d) Participants in a hearing may communicate with the attorneys 
responsible for representing the staff, in the same way that they may 
communicate with counsel for any other party in interest about the 
presentation of matters at the hearing. It would be inappropriate to bar 
discussion of such matters as stipulations of fact, joint presentation 
of witnesses, or possible settlement of hearing issues. Members of the 
public, including participants at hearings, are advised, however, that 
all such communications, including those by telephone, will be recorded 
in memoranda that can be filed with the Office of the Secretary.
    (e) Separation of functions and ex parte communications will be 
handled as follows.
    (1) An interested person may meet or correspond with any CPSC 
representative concerning a matter prior to publication of a notice 
announcing a formal evidentiary public hearing on the matter. The 
provisions of 16 CFR part 1012 apply to such meetings.
    (2) Upon publication of a notice announcing a formal evidentiary 
public hearing, the following rules concerning separation of functions 
apply:
    (i) The CPSC staff members responsible for preparing evidence and 
participating in the hearing in the matter are, as a party to the 
hearing, responsible for all investigative functions and for 
presentation of the position of the staff at the hearing and in any 
pleading or oral argument before the Commission. These representatives 
of the staff may not participate or advise in any decision except as 
witnesses or counsel in public proceedings. Except as provided herein, 
there shall be no other communication between representatives of the 
staff and representatives of the various Commissioners' offices 
concerning the matter prior to the decision of the Commission. The 
Commission may, however, designate other representatives of the staff to 
advise the Commission. The designation will be in writing and filed with 
the Office

[[Page 510]]

of the Secretary no later than the time specified in paragraph (f)(2) of 
this section for the application of separation of functions. All 
employees of the CPSC other than representatives of the involved staff 
(except for those specifically designated otherwise) may be called upon 
to advise and participate with the offices of the Commissioners in their 
functions relating to the hearing and the final decision.
    (ii) The General Counsel of CPSC shall designate members of the 
Office of the General Counsel to advise and participate with the staff 
in its functions in the hearing and shall designate other members of the 
Office of the General Counsel to advise the offices of the Commissioners 
in their functions related to the hearing and the final decision. The 
members of the Office of the General Counsel designated to advise the 
staff may not participate or advise in any decision of the Commission 
except as counsel in public proceedings. The designation shall be in the 
form of a memorandum filed with the Office of the Secretary and made a 
part of the administrative record in the proceeding. There may be no 
other communication between those members of the Office of the General 
Counsel designated to advise the offices of the Commissioners and any 
other person in the Office of the General Counsel or in the involved 
staff with respect to the matter prior to the decision of the 
Commission. The General Counsel may assign different attorneys to advise 
either the staff or the offices of the Commissioners at any stage of the 
proceedings. The General Counsel will ordinarily advise and participate 
with the offices of the Commissioners in their functions relating to the 
hearing and the final decision.
    (iii) The Commissioners are responsible for the agency review and 
final decision of the matter, with the advice and participation of 
anyone in CPSC other than representatives of the responsible staff and 
those members of the Office of the General Counsel designated to assist 
in the staff functions in the hearing.
    (iv) Between the date that separation of functions applies and the 
date of the Commission's decision on the matter, communication 
concerning the matter involved in the hearing will be restricted as 
follows:
    (A) No person outside CPSC may have an ex parte communication with 
the presiding officer or any person representing the offices of the 
Commissioners concerning the matter in the hearing. Neither the 
presiding officer nor any person representing the offices of the 
Commissioners may have any ex parte communications with a person outside 
CPSC concerning the matter in the hearing. All communications are to be 
public communications, as witness or counsel under the applicable 
procedures.
    (B) A participant in the hearing may submit a written communication 
concerning a proposal for settlement to the presiding officer with a 
request that it be transmitted to the Commission. These communications 
are to be in the form of pleadings, served on all other participants, 
and filed with the Office of the Secretary like any other pleading.
    (C) A written communication contrary to this section must be 
immediately served on all other participants and filed with the Office 
of the Secretary by the presiding officer at the hearing, or by the 
Commissioner, depending on who received the communication. An oral 
communication contrary to this section must be immediately recorded in a 
written memorandum and similarly served on all other participants and 
filed with the Office of the Secretary. A person, including a 
representative of a participant in the hearing, who is involved in an 
oral communication contrary to this section, must, if possible, be made 
available for cross-examination during the hearing with respect to the 
substance of that conversation. Rebuttal testimony pertinent to a 
written or oral communication contrary to this section will be 
permitted. Cross-examination and rebuttal testimony will be transcribed 
and filed with the Office of the Secretary.
    (D) The making of a communication contrary to this section may, 
consistent with the interests of justice and the policy of the 
underlying statute,

[[Page 511]]

result in a decision adverse to the person knowingly making or causing 
the making of such a communication.

[56 FR 9278, Mar. 6, 1991, as amended at 62 FR 46667, Sept. 4, 1997]



                      Subpart D--Presiding Officer



Sec. 1502.18  Presiding officer.

    The presiding officer in a hearing will be an administrative law 
judge qualified under 5 U.S.C. 3105.



Sec. 1502.19  Commencement of functions.

    The functions of the presiding officer begin upon designation and 
end upon the filing of the initial decision.



Sec. 1502.20  Authority of presiding officer.

    The presiding officer has all powers necessary to conduct a fair, 
expeditious, and orderly hearing, including the power to--
    (a) Specify and change the date, time, and place of oral hearings 
and conferences;
    (b) Establish the procedures for use in developing evidentiary 
facts, including the procedures in Sec. 1502.30(b) and to rule on the 
need for oral testimony and cross-examination under Sec. 1502.26(b);
    (c) Prepare statements of the areas of factual disagreement among 
the participants;
    (d) Hold conferences to settle, simplify, or determine the issues in 
a hearing or to consider other matters that may expedite the hearing;
    (e) Administer oaths and affirmations;
    (f) Control the course of the hearing and the conduct of the 
participants;
    (g) Examine witnesses and strike or limit their testimony if they 
fail to respond fully to proper questions;
    (h) Admit, exclude, or limit evidence;
    (i) Set the time for filing pleadings;
    (j) Rule on motions and other procedural matters;
    (k) Rule on motions for summary decision under Sec. 1502.31;
    (l) Conduct the hearing in stages if the number of parties is large 
or the issues are numerous and complex;
    (m) Waive, suspend, or modify any procedure in this subpart if the 
presiding officer determines that no party will be prejudiced, the ends 
of justice will be served, and the action is in accordance with law;
    (n) Strike the participation of any person under Sec. 1502.16(e) or 
exclude any person from the hearing under Sec. 1502.28, or take other 
reasonable disciplinary action; and
    (o) Take any other action required for the fair, expeditious, and 
orderly conduct of the hearing.



Sec. 1502.21  Disqualification of presiding officer.

    (a) A participant may request the presiding officer to disqualify 
himself/herself and withdraw from the proceeding. The ruling on any such 
request may be appealed in accordance with Sec. 1502.35(b).
    (b) A presiding officer who is aware of grounds for 
disqualification, whether or not raised by a participant, shall withdraw 
from the proceeding.



Sec. 1502.22  Unavailability of presiding officer.

    (a) If the presiding officer is unable to act for any reason, the 
Commission will assign the powers and duties to another presiding 
officer. The substitution will not affect the hearing, except as the new 
presiding officer may order.
    (b) Any motion based on the substitution must be made within 10 
days.



                      Subpart E--Hearing Procedures



Sec. 1502.23  Filing and service of submissions.

    (a) Submissions, including pleadings in a hearing, are to be filed 
with the Office of the Secretary. Two copies shall be filed. To 
determine compliance with filing deadlines in a hearing, a submission is 
considered filed on the day of filing with or mailing to the Office of 
the Secretary. When this part allows a response to a submission and 
prescribes a period of time for the filing of the response, an 
additional 3 days are allowed for the filing of the response if the 
submission is served by mail.
    (b) The person making a submission shall serve copies of it on the 
other participants.
    (c) Service is accomplished by mailing a submission to the address 
shown

[[Page 512]]

in the notice of participation or by personal delivery.
    (d) All submissions are to be accompanied by a certificate of 
service or by a statement that service is not required, stating the 
reason therefor.
    (e) No written submission or other portion of the administrative 
record may be held in confidence, except as provided in Sec. 1502.3.



Sec. 1502.24  Petition to participate in forma pauperis.

    (a) A participant who believes that compliance with the filing and 
service requirements of this section constitutes an unreasonable 
financial burden may submit to the Commission a petition to participate 
in forma pauperis.
    (b) The petition will be captioned: ``Request to Participate In 
Forma Pauperis, Docket No. ------.'' Filing and service requirements for 
the petition are described in paragraph (c) of this section, whether or 
not the petition is granted; The petition must demonstrate that either:
    (1) The participant is indigent and a strong public interest 
justifies participation, or
    (2) The participant's participation is in the public interest 
because it can be considered of primary benefit to the general public.
    (c) The Commission may grant or deny the petition. If the petition 
is granted, the participant need file only one copy of each submission 
with the Office of the Secretary. The Office of the Secretary will make 
sufficient additional copies for the administrative record, and serve a 
copy on each other participant.



Sec. 1502.25  Disclosure of data and information to be relied on by the participants.

    (a) Before the notice of hearing is published under Sec. 1502.13, 
the Assistant General Counsel for Regulatory Affairs shall submit the 
following to the Office of the Secretary:
    (1) The relevant portions of the administrative record of the 
proceeding. Portions of the administrative record not relevant to the 
issues in the hearing are not required to be submitted.
    (2) All other documentary data and information relied upon.
    (3) A narrative position statement on the factual issues in the 
notice of hearing and the type of supporting evidence the Assistant 
General Counsel intends to introduce.
    (b) Within 60 days of the publication of the notice of hearing or, 
if no participant will be prejudiced, within another period of time set 
by the presiding officer, each participant shall submit to the Office of 
the Secretary all data and information specified in paragraph (a) (2) 
and (3) of this section and any objections that the administrative 
record filed under paragraph (a)(1) of this section is incomplete, and 
any documents in the participants' files containing factual information, 
whether favorable or unfavorable to the regulation issued by the 
Commission, which relates to the issues involved in the hearing.
    (c) Submissions required by paragraphs (a) and (b) of this section 
may be supplemented later in the proceeding, with the approval of the 
presiding officer, upon a showing that the material in the supplement 
was not reasonably known or available when the submission was made, that 
the relevance of the material contained in the supplement could not 
reasonably have been foreseen, or that admission of the material in the 
supplement is necessary for a fair determination of the issues involved 
in the hearing.
    (d) A participant's failure to comply substantially and in good 
faith with this section constitutes a waiver of the right to participate 
further in the hearing; failure of a party to comply constitutes a 
waiver of the right to a hearing.
    (e) Participants may reference each other's submissions. To reduce 
duplicative submissions, participants are encouraged to exchange and 
consolidate lists of documentary evidence. If a particular document is 
bulky or in limited supply and cannot reasonably be reproduced, and it 
constitutes relevant evidence, the presiding officer may authorize 
submission of a reduced number of copies.
    (f) The presiding officer will rule on questions relating to this 
section.

[[Page 513]]



Sec. 1502.26  Purpose; oral and written testimony; burden of proof.

    (a) The objective of a formal evidentiary hearing is the fair 
determination of relevant facts consistent with the right of all 
interested persons to participate and the public interest in promptly 
settling controversial matters affecting the public health and welfare.
    (b) Accordingly, the evidence at a hearing is to be developed to the 
maximum extent through written submissions, including written direct 
testimony, which may be in narrative or in question-and-answer form.
    (1) Direct testimony will be submitted in writing, except on a 
showing that written direct testimony is insufficient for a full and 
true disclosure of relevant facts and that the participant will be 
prejudiced if unable to present oral direct testimony. If the proceeding 
involves particular issues, each party may determine whether, and the 
extent to which, each wishes to present direct testimony orally or in 
writing.
    (2) Oral cross-examination of witnesses will be permitted if it 
appears that alternative means of developing the evidence are 
insufficient for a full and true disclosure of the facts and that the 
party requesting oral cross-examination will be prejudiced by denial of 
the request or that oral cross-examination is the most effective and 
efficient means to clarify the matters at issue.
    (3) Witnesses shall give testimony under oath.
    (c) A participant who proposes to substitute a new provision for a 
provision objected to has the burden of proof in relation to the new 
provision.



Sec. 1502.27  Participation of nonparties.

    (a) A nonparty participant may--
    (1) Attend all conferences (including the prehearing conference), 
oral proceedings, and arguments;
    (2) Submit written testimony and documentary evidence for inclusion 
in the record;
    (3) File written objections, briefs, and other pleadings; and
    (4) Present oral argument.
    (b) A nonparty participant may not--
    (1) Submit written interrogatories; or
    (2) Conduct cross-examination.
    (c) A person whose petition is the subject of the hearing has the 
same right as a party.
    (d) A nonparty participant will be permitted additional rights if 
the presiding officer concludes that the participant's interests would 
not be adequately protected otherwise or that broader participation is 
required for a full and true disclosure of the facts, but the rights of 
a nonparty participant may not exceed the rights of a party.



Sec. 1502.28  Conduct at oral hearings or conferences.

    All participants in a hearing will conduct themselves with dignity 
and observe judicial standards of practice and ethics. They may not 
indulge in personal attacks, unseemly wrangling, or intemperate 
accusations or characterizations. Representatives of parties shall, to 
the extent possible, restrain clients from improprieties in connection 
with any proceeding. Disrespectful, disorderly, or contumacious language 
or conduct, refusal to comply with directions, use of dilatory tactics, 
or refusal to adhere to reasonable standards of orderly and ethical 
conduct during any hearing shall constitute grounds for immediate 
exclusion from the proceeding by the presiding officer.



Sec. 1502.29  Time and place of prehearing conference.

    A prehearing conference will commence at the date, time, and place 
announced in the notice of hearing, or in a later notice, or as 
specified by the presiding officer in a notice modifying a prior notice. 
At the prehearing conference, insofar as practicable at that time, the 
presiding officer will establish the methods and procedures to be used 
in developing the evidence, determine reasonable time periods for the 
conduct of the hearing, and designate the times and places for the 
production of witnesses for direct and cross-examination, if leave to 
conduct oral examination is granted on any issue.



Sec. 1502.30  Prehearing conference procedure.

    (a) Participants in a hearing are to appear at the prehearing 
conference

[[Page 514]]

prepared to discuss and resolve all matters specified in paragraph (b) 
of this section.
    (1) To expedite the hearing, participants are encouraged to prepare 
in advance for the prehearing conference. Participants should cooperate 
with each other, and should request information and begin preparation of 
testimony at the earliest possible time. Failure of a participant to 
appear at the prehearing conference or to raise matters that reasonably 
could be anticipated and resolved at that time will not delay the 
progress of the hearing and constitutes a waiver of the rights of the 
participant regarding such matters as objections to the agreements 
reached, actions taken, or rulings issued by the presiding officer at or 
as a result of the prehearing conference and may be grounds for striking 
the participation under Sec. 1502.16.
    (2) Participants shall bring to the prehearing conference the 
following specific information, which will be filed with the Office of 
the Secretary under Sec. 1502.23:
    (i) Any additional information desired to supplement the submission 
filed under Sec. 1502.25; the supplement may be filed if approved under 
Sec. 1502.25.
    (ii) A list of all witnesses whose testimony will be offered, orally 
or in writing, at the hearing, with a full curriculum vitae for each. 
Additional witnesses may be identified later, with the approval of the 
presiding officer, on a showing that the witness was not reasonably 
available at the time of the prehearing conference, that the relevance 
of the witness's views could not reasonably have been foreseen at that 
time, or for other good cause shown, as where a previously identified 
witness is unforeseeably unable to testify.
    (iii) All prior written statements, including articles and any 
written statement signed or adopted, or a recording or transcription of 
an oral statement made, by persons identified as witnesses if--
    (A) The statement is available without making a request to the 
witness;
    (B) The statement relates to the subject matter of the witness's 
testimony; and
    (C) The statement either was made before the time the person agreed 
to become a witness or has been made publicly available by the person.
    (b) The presiding officer will conduct a prehearing conference for 
the following purposes:
    (1) To determine the areas of factual disagreement to be considered 
at the hearing. The presiding officer may hold conferences off the 
record in an effort to reach agreement on disputed factual questions, 
subject to the ex parte limitations in Sec. 1502.17(f).
    (2) To identify the most appropriate techniques for developing 
evidence on issues in controversy and the manner and sequence in which 
they will be used, including, where oral examination is to be conducted, 
the sequence in which witnesses will be produced for, and the time and 
place of, oral examination. The presiding officer may consider, but is 
not limited to, the following techniques.
    (i) Submission of narrative statements of position on factual issues 
in controversy.
    (ii) Submission of evidence or identification of previously 
submitted evidence to support such statements, such as affidavits, 
verified statements of fact, data, studies, and reports.
    (iii) Exchange of written interrogatories directed to particular 
witnesses.
    (iv) Written requests for the production of additional 
documentation, data, or other relevant information.
    (v) Submission of written questions to be asked by the presiding 
officer of a specific witness.
    (vi) Identification of facts for which oral examination and/or 
cross-examination is appropriate.
    (3) To group participants with substantially like interests for 
presenting evidence, making motions and objections, including motions 
for summary decision, filing briefs, and presenting oral argument.
    (4) To hear and rule on objections to admitting information 
submitted under Sec. 1502.25 into evidence.
    (5) To obtain stipulations and admissions of facts.
    (6) To take other action that may expedite the hearing.
    (c) The presiding officer shall issue, orally or in writing, a 
prehearing order

[[Page 515]]

reciting the actions taken at the prehearing conference and setting 
forth the schedule for the hearing. The order will control the 
subsequent course of the hearing unless modified by the presiding 
officer for good cause.



Sec. 1502.31  Summary decisions.

    (a) After the hearing commences, a participant may move, with or 
without supporting affidavits, for a summary decision on any issue in 
the hearing. Any other participant may, within 10 days after service of 
the motion, which time may be extended for an additional 10 days for 
good cause, serve opposing affidavits or countermove for summary 
decision. The presiding officer may set the matter for argument and call 
for the submission of briefs.
    (b) The presiding officer will grant the motion if the objections, 
requests for hearing, other pleadings, affidavits, and other material 
filed in connection with the hearing, or matters officially noticed, 
show that there is no genuine issue as to any material fact and that a 
participant is entitled to summary decision.
    (c) Affidavits should set forth facts that would be admissible in 
evidence and show affirmatively that the affiant is competent to testify 
to the matters stated. When a properly supported motion for summary 
decision is made, a participant opposing the motion may not rest upon 
mere allegations or denials or general descriptions of positions and 
contentions; affidavits or other responses must set forth specific facts 
showing that there is a genuine issue of fact for the hearing.
    (d) Should it appear from the affidavits of a participant opposing 
the motion that for sound reasons stated, facts essential to justify the 
opposition cannot be presented by affidavit, the presiding officer may 
deny the motion for summary decision, allow additional time to permit 
affidavits or additional evidence to be obtained, or issue other just 
order.
    (e) If on motion under this section a summary decision is not 
rendered upon the whole case or for all the relief asked, and 
evidentiary facts need to be developed, the presiding officer will issue 
an order specifying the facts that appear without substantial 
controversy and directing further evidentiary proceedings. The facts so 
specified will be deemed established.
    (f) A participant submitting or opposing a motion for summary 
decision may obtain interlocutory review by the Commission of a summary 
decision of the presiding officer.



Sec. 1502.32  Receipt of evidence.

    (a) A hearing consists of the development of evidence and the 
resolution of factual issues as set forth in this subpart and in the 
prehearing order.
    (b) All orders, transcripts, written statements of position, written 
direct testimony, written interrogatories and responses, and any other 
written material submitted in the proceeding comprise the administrative 
record of the hearing, and will be promptly placed on public display in 
the Office of the Secretary, except as ordered by the presiding officer.
    (c) Written evidence, identified as such, is admissible unless a 
participant objects and the presiding officer excludes it on objection 
of a participant or on the presiding officer's own initiative.
    (1) The presiding officer may exclude written evidence as 
inadmissible only if--
    (i) The evidence is irrelevant, immaterial, unreliable, or 
repetitive;
    (ii) Exclusion of part or all of the written evidence of a 
participant is necessary to enforce the requirements of this subpart; or
    (iii) The evidence was not submitted as required by Sec. 1502.25.
    (2) Items of written evidence are to be submitted as separate 
documents, sequentially numbered, except that a voluminous document may 
be submitted in the form of a cross-reference to the documents filed 
under Sec. 1502.25.
    (3) Written evidence excluded by the presiding officer as 
inadmissible remains a part of the administrative record, as an offer of 
proof, for judicial review.
    (d) Testimony, whether on direct or on cross-examination, is 
admissible as evidence unless a participant objects and the presiding 
officer excludes it.
    (1) The presiding officer may exclude oral evidence as inadmissible 
only if--

[[Page 516]]

    (i) The evidence is irrelevant, immaterial, unreliable, or 
repetitive; or
    (ii) Exclusion of part or all of the evidence is necessary to 
enforce the requirements of these procedures.
    (2) If oral evidence is excluded as inadmissible, the participant 
may take written exception to the ruling in a brief to the Commission, 
without taking oral exception at the hearing. Upon review, the 
Commission may reopen the hearing to permit the evidence to be admitted 
if the Commission determines that its exclusion was erroneous and 
prejudicial.
    (e) The presiding officer may schedule conferences as needed to 
monitor the progress of the hearing, narrow and simplify the issues, and 
consider and rule on motions, requests, and other matters concerning the 
development of the evidence.
    (f) The presiding officer will conduct such proceedings as are 
necessary for the taking of oral testimony, for the oral examination of 
witnesses by the presiding officer on the basis of written questions 
previously submitted by the parties, and for the conduct of cross-
examination of witnesses by the parties. The presiding officer shall 
exclude irrelevant or repetitious written questions and limit oral 
cross-examination to prevent irrelevant or repetitious examination.
    (g) The presiding officer shall order the proceedings closed for the 
taking of oral testimony relating only to trade secrets and privileged 
or confidential commercial or financial information. Participation in 
closed proceedings will be limited to the witness, the witness's 
counsel, and Federal Government employees.



Sec. 1502.33  Official notice.

    (a) Official notice may be taken of such matters as might be 
judicially noticed by the courts of the United States or of any other 
matter peculiarly within the general knowledge of CPSC as an expert 
agency.
    (b) If official notice is taken of a material fact not appearing in 
the evidence of record, a participant, on timely request, will be 
afforded an opportunity to show the contrary.



Sec. 1502.34  Briefs and arguments.

    (a) Promptly after the taking of evidence is completed, the 
presiding officer will announce a schedule for the filing of briefs. 
Briefs are to be filed ordinarily within 45 days of the close of the 
hearing. Briefs must include a statement of position on each issue, with 
specific and complete citations to the evidence and points of law relied 
on. Briefs must contain proposed findings of fact and conclusions of 
law.
    (b) The presiding officer may, as a matter of discretion, permit 
oral argument after the briefs are filed.
    (c) Briefs and oral argument shall refrain from disclosing specific 
details of written and oral testimony and documents relating to trade 
secrets and privileged or confidential commercial or financial 
information, except as specifically authorized in a protective order 
issued by the presiding officer.



Sec. 1502.35  Interlocutory appeal from ruling of presiding officer.

    (a) Except as provided in paragraph (b) of this section and in 
Sec. Sec. 1502.13(b), 1502.16(e), 1502.31(f), and 1502.37(d) authorizing 
interlocutory appeals, rulings of the presiding officer may not be 
appealed to the Commission before the Commission's consideration of the 
entire record of the hearing.
    (b) A ruling of the presiding officer is subject to interlocutory 
appeal to the Commission if the presiding officer certifies on the 
record or in writing that immediate review is necessary to prevent 
exceptional delay, expense, or prejudice to any participant or 
substantial harm to the public interest.
    (c) When an interlocutory appeal is made to the Commission, a 
participant may file a brief with the Commission only if such is 
specifically authorized by the presiding officer or the Commission, and, 
if such authorization is granted, within the period the Commission 
directs. If a participant is authorized to file a brief, any other 
participant may file a brief in opposition, within the period the 
Commission directs. If no briefs are authorized, the appeal will be 
presented as an oral argument to the Commission. The oral argument will 
be transcribed. If briefs are authorized, oral argument will be

[[Page 517]]

heard only at the discretion of the Commission.



Sec. 1502.36  Official transcript.

    (a) The presiding officer will arrange for a verbatim stenographic 
transcript of oral testimony and for necessary copies of the transcript.
    (b) One copy of the transcript will be placed on public display in 
the Office of the Secretary upon receipt.
    (c) Copies of the transcript may be obtained by application to the 
official reporter and payment of costs thereof.
    (d) Witnesses, participants, and counsel have 30 days from the time 
the transcript becomes available to propose corrections in the 
transcript of oral testimony. Corrections are permitted only for 
transcription errors. The presiding officer shall promptly order 
justified corrections.



Sec. 1502.37  Motions.

    (a) Except for a motion made in the course of an oral hearing before 
the presiding officer, a motion on any matter relating to the proceeding 
shall be filed under Sec. 1502.23 and must include a draft order.
    (b) A response may be filed within 10 days of service of a motion. 
The time may be shortened or extended by the presiding officer for good 
cause shown.
    (c) The moving party has no right to reply, except as permitted by 
the presiding officer.
    (d) The presiding officer shall rule upon the motion and may certify 
that ruling to the Commission for interlocutory review.



                    Subpart F--Administrative Record



Sec. 1502.38  Administrative record of a hearing.

    (a) The record of a hearing consists of--
    (1) The regulation or notice of opportunity for hearing that gave 
rise to the hearing;
    (2) All objections and requests for hearing filed with the Office of 
the Secretary under Sec. Sec. 1502.5 and 1502.6;
    (3) The notice of hearing published under Sec. 1502.13;
    (4) All notices of participation filed under Sec. 1502.16;
    (5) All Federal Register notices pertinent to the proceeding;
    (6) All submissions filed under Sec. 1502.24, e.g., the submissions 
required by Sec. 1502.25, all other documentary evidence and written 
testimony, pleadings, statements of position, briefs, and other similar 
documents;
    (7) The transcript, written order, and all other documents relating 
to the prehearing conference, prepared under Sec. 1502.30;
    (8) All documents relating to any motion for summary decision under 
Sec. 1502.31;
    (9) All documents of which official notice is taken under 
Sec. 1502.33;
    (10) All pleadings filed under Sec. 1502.34;
    (11) All documents relating to any interlocutory appeal under 
Sec. 1502.35;
    (12) All transcripts prepared under Sec. 1502.36; and
    (13) Any other document relating to the hearing and filed with the 
Office of the Secretary by the presiding officer or any participant.
    (b) The record of the administrative proceeding is closed--
    (1) With respect to the taking of evidence, when specified by the 
presiding officer; and
    (2) With respect to pleadings, at the time specified in 
Sec. 1502.34(a) for the filing of briefs.
    (c) The presiding officer may reopen the record to receive further 
evidence at any time before the filing of the initial decision.



Sec. 1502.39  Examination of record.

    Except as provided in Sec. 1502.3, documents in the record will be 
publicly available. Documents available for examination or copying will 
be placed on public display in the Office of the Secretary promptly upon 
receipt in that office.



                  Subpart G--Initial and Final Decision



Sec. 1502.40  Initial decision.

    (a) The presiding officer shall prepare and file an initial decision 
as soon as practicable after the filing of briefs and oral argument.
    (b) The initial decision shall contain--

[[Page 518]]

    (1) Findings of fact based upon relevant, material, and reliable 
evidence of record;
    (2) Conclusions of law;
    (3) A discussion of the reasons for the findings and conclusions, 
including a discussion of the significant contentions made by any 
participant;
    (4) Citations to the record supporting the findings and conclusions;
    (5) An appropriate regulation supported by substantial evidence of 
record and based upon the findings of fact and conclusions of law 
(unless the initial decision is to not issue a regulation);
    (6) An effective date for the regulation (if any), together with an 
explanation of why the effective date is appropriate; and
    (7) The periods of time for filing exceptions to the initial 
decision with the Office of the Secretary and for filing replies to such 
exceptions, in accordance with Sec. 1502.41(a)-(c).
    (c) The initial decision must refrain from disclosing specific 
details of trade secrets and privileged or confidential commercial or 
financial information, except as specifically authorized in a protective 
order issued by the presiding officer.
    (d) The initial decision is to be filed with the Office of the 
Secretary and served upon all participants. Once the initial decision is 
filed with the Office of the Secretary, the presiding officer has no 
further jurisdiction over the matter, and any motions or requests filed 
with the Office of the Secretary will be decided by the Commission.
    (e) The initial decision becomes the final decision of the 
Commission by operation of law unless a participant files exceptions 
with the Office of the Secretary under Sec. 1502.41(a) or the Commission 
files a notice of review under Sec. 1502.41(f).
    (f) Notice that an initial decision has become the decision of the 
Commission without appeal to or review by the Commission will be 
published in the Federal Register. The Commission also may publish the 
decision when it is of widespread interest.



Sec. 1502.41  Appeal from or review of initial decision.

    (a) A participant may appeal an initial decision to the Commission 
by filing exceptions with the Office of the Secretary, and serving them 
on the other participants within the period specified in the initial 
decision. The period for appeal to the Commission may not exceed 30 
days, unless extended by the Commission under paragraph (d) of this 
section.
    (b) Exceptions must specifically identify alleged errors in the 
findings of fact or conclusions of law in the initial decision, and 
provide supporting citations to the record. Oral argument before the 
Commission may be requested in the exceptions.
    (c) Any reply to the exceptions shall be filed and served within the 
period specified in the initial decision. The period may not exceed 30 
days after the end of the period (including any extensions) for filing 
exceptions, unless extended by the Commission under paragraph (d) of 
this section.
    (d) The Commission may extend the time for filing exceptions or 
replies to exceptions for good cause shown.
    (e) If the Commission decides to hear oral argument, the 
participants will be informed of the date, time, and place of the 
argument, the amount of time allotted to each participant, and the 
issues to be addressed.
    (f) Within 10 days following the expiration of the time for filing 
exceptions (including any extensions), the Commission may file with the 
Office of the Secretary, and serve on the participants, a notice of the 
Commission's determination to review the initial decision. The 
Commission may invite the participants to file briefs or present oral 
argument on the matter. The time for filing briefs or presenting oral 
argument will be specified in that or a later notice.



Sec. 1502.42  Decision by Commission on appeal or review of initial decision.

    (a) On appeal from or review of the initial decision, the Commission 
has all the powers given to the presiding officer with respect to the 
initial decision. On the Commission's own initiative or on motion, the 
Commission

[[Page 519]]

may remand the matter to the presiding officer for any further action 
necessary for a proper decision.
    (b) The scope of the issues at the public hearing is the same as the 
scope of the issues on appeal at the public hearing unless the 
Commission specifies otherwise.
    (c) As soon as possible after the filing of briefs and the 
presentation of any oral argument, the Commission will issue a final 
decision in the proceeding, which meets the requirements established in 
Sec. 1502.40 (b) and (c).
    (d) The Commission may adopt the initial decision as the final 
decision.
    (e) Notice of the Commission's decision will be published in the 
Federal Register. The Commission may also publish the decision when it 
is of widespread interest.



Sec. 1502.43  Reconsideration and stay of Commission's action.

    Following notice or publication of the final decision, a participant 
may petition the Commission for reconsideration of any part or all of 
the decision or may petition for a stay of the decision.



                       Subpart H--Judicial Review



Sec. 1502.44  Review by the courts.

    (a) The Commission's final decision constitutes final agency action 
from which a participant may petition for judicial review under the 
statutes governing the matter involved. Before requesting an order from 
a court for a stay of the Commission's action pending judicial review, a 
participant shall first submit a petition for a stay of action under 
Sec. 1502.43.
    (b) Under 28 U.S.C. 2112(a), CPSC will request consolidation of all 
petitions related to a particular matter.



Sec. 1502.45  Copies of petitions for judicial review.

    The General Counsel of CPSC has been designated by the Commission as 
the officer on whom copies of petitions for judicial review are to be 
served. This officer is responsible for filing the record on which the 
final decision is based. The record of the proceeding is certified by 
the Secretary of the Commission.



PART 1505--REQUIREMENTS FOR ELECTRICALLY OPERATED TOYS OR OTHER ELECTRICALLY OPERATED ARTICLES INTENDED FOR USE BY CHILDREN--Table of Contents




                         Subpart A--Regulations

Sec.
1505.1 Definitions.
1505.2 Scope of part.
1505.3 Labeling.
1505.4 Manufacturing requirements.
1505.5 Electrical design and construction.
1505.6 Performance.
1505.7 Maximum acceptable surface temperatures.
1505.8 Maximum acceptable material temperatures.

                 Subpart B--Policies and Interpretations

1505.50 Stalled motor testing.
1505.51 Hot surfaces.

    Authority: 15 U.S.C. 1261-1262, 2079.

    Source: 38 FR 27032, Sept. 27, 1973, unless otherwise noted.



                         Subpart A--Regulations



Sec. 1505.1  Definitions.

    (a) The following definitions apply to this part 1505:
    (1) The term ``electrically operated toy or other electrically 
operated article intended for use by children'' means any toy, game, or 
other article designed, labeled, advertised, or otherwise intended for 
use by children which is intended to be powered by electrical current 
from nominal 120 volt (110-125 v.) branch circuits. Such articles are 
referred to in this part in various contexts as ``toy'' or 
``electrically operated toy.'' If the package (including packing 
materials) of the toy or other article is intended to be used with the 
product, it is considered to be part of the toy or other article. This 
definition does not include components which are powered by circuits of 
30 volts r.m.s. (42.4 volts peak) or less, articles designed primarily 
for use by adults which may be used incidentally by children, or video 
games.
    (2) The term video games means video game hardware systems, which 
are games that both produce a dynamic video image, either on a viewing 
screen that is part of the video game or,

[[Page 520]]

through connecting cables, on a television set, and have some way to 
control the movement of at least some portion of the video image.

[38 FR 27032, Sept. 27, 1973, as amended at 58 FR 40335, July 28, 1993]



Sec. 1505.2  Scope of part.

    This part sets forth the requirements whereby electrically operated 
toys and other electrically operated articles intended for use by 
children (as defined in Sec. 1505.1(a)(1)) are not banned toys or banned 
articles under Sec. 1500.18(b)(1) of this chapter.



Sec. 1505.3  Labeling.

    (a) General. Electrically operated toys, and the instruction sheets 
and outer packaging thereof, shall be labeled in accordance with the 
requirements of this section and any other applicable requirements of 
the Federal Hazardous Substances Act and regulations promulgated 
thereunder. All labeling shall be prominently and conspicuously 
displayed under customary conditions of purchase, storage, and use. All 
required information shall be readily visible, noticeable, clear, and, 
except where coding is permitted, shall be in legible English (other 
languages may also be included as appropriate). Such factors governing 
labeling as location, type size, and contrast against background may be 
based on necessary condensations to provide a reasonable display.
    (b) Specific items. (1) The toy shall be marked in accordance with 
the provisions of paragraph (d) of this section to indicate:
    (i) The electrical ratings required by paragraph (c) of this 
section.
    (ii) Any precautionary statements required by paragraph (e) of this 
section.
    (iii) The date (month and year) of manufacture (or appropriate 
codes). As an alternative to putting this information on the toy itself, 
it may be included in the instructions provided with the toy (see 
paragraph (b)(3) of this section).
    (2) The shelf pack or package of the toy shall be labeled in 
accordance with the provisions of paragraph (d) of this section to 
indicate:
    (i) The date (month and year) of manufacture (or appropriate codes).
    (ii) The electrical ratings required by paragraph (c) of this 
section.
    (iii) Any precautionary statements required by paragraph (e) of this 
section.
    (3) Each toy shall be provided with adequate instructions that are 
easily understood by children of those ages for which the toy is 
intended. The instructions shall describe the applicable installation, 
assembly, use, cleaning, maintenance (including lubrication), and other 
functions as appropriate. Applicable precautions shall be included as 
well as the information required by paragraphs (b) (1) and (2) of this 
section, except that the date of manufacture information described in 
paragraph (b)(1)(iii) of this section need not be included in the 
instructions provided with the toy if it is placed on the toy itself. 
The instructions shall also contain a statement addressed to parents 
recommending that the toy be periodically examined for potential hazards 
and that any potentially hazardous parts be repaired or replaced.
    (4) If a toy is produced or assembled at more than one 
establishment, the toy and its shelf pack or package shall have a 
distinctive mark (which may be in code) identifying the toy as the 
product of a particular establishment.
    (c) Rating. (1) A toy shall be marked to indicate its rating in 
volts and also in amperes and/or watts.
    (2) If a toy utilizes a single motor as its only electric energy 
consuming component, the electrical rating may be marked on a motor 
nameplate and need not be marked elsewhere on the toy if the nameplate 
is readily visible after the motor has been installed in the toy.
    (3) A toy shall be rated for alternating current only, direct 
current only, or both alternating and direct current.
    (4) The alternating current rating shall include the frequency or 
frequency range requirement, if necessary because of a special 
component.
    (d) Markings. (1) The markings required on the toy by paragraph (b) 
of this section shall be of a permanent nature, such as paint-stenciled, 
die-stamped, molded, or indelibly stamped. The markings shall not be 
permanently obliterable by spillage of any material

[[Page 521]]

intended for use with the toy and shall not be readily removable by 
cleaning with ordinary household cleaning substances. All markings on 
the toy and labeling of the shelf pack or package required by paragraph 
(b) of this section shall contrast sharply with the background (whether 
by color, projection, or indentation) and shall be readily visible and 
legible. Such markings and labeling shall appear in lettering of a 
height not less than that specified in paragraph (d)(2) of this section, 
except that those words shown in capital letters in paragraph (e) of 
this section shall appear in capital lettering of a height not less than 
twice that specified in paragraph (d)(2) of this section.
    (2) Minimum lettering heights shall be as follows:

        Surface Area Display Marking, Minimum Height of Lettering
------------------------------------------------------------------------
                        Square inches                            Inches
------------------------------------------------------------------------
Under 5......................................................     \1/16\
5 or more and under 25.......................................      \1/8\
25 or more and under 100.....................................     \3/16\
100 or more and under 400....................................      \1/4\
400 or more..................................................      \1/2\
------------------------------------------------------------------------

    (e) Precautionary statements--(1) General. Electrically operated 
toys shall bear the statement: ``CAUTION--ELECTRIC TOY.'' The 
instruction booklet or sheet accompanying such toys shall bear on the 
front page thereof (in the type size specified in Sec. 1500.121), as a 
preface to any written matter contained therein, and the shelf pack or 
package of such toys shall bear in the upper right hand quarter of the 
principal display panel, the statement: ``CAUTION--ELECTRIC TOY: Not 
recommended for children under ---- years of age. As with all electric 
products, precautions should be observed during handling and use to 
prevent electric shock.'' The blank in the preceding statement shall be 
filled in by the manufacturer, but in no instance shall the manufacturer 
indicate that the article is recommended for children under 8 years of 
age if it contains a heating element. In the case of other electrically 
operated products which may not be considered to be ``toys'' but are 
intended for use by children, the term ``ELECTRICALLY OPERATED PRODUCT'' 
may be substituted for the term ``ELECTRIC TOY.''
    (2) Thermal hazards. (i) Toys having Type C or Type D surfaces 
(described in Sec. 1505.6(g)(2)) which reach temperatures greater than 
those shown in paragraph (e)(2)(ii) of this section shall be defined as 
hot and shall be marked where readily noticeable when the hot surface is 
in view with the statement: ``HOT--Do Not Touch.'' When the marking is 
on other than the hot surface, the word ``HOT'' shall be followed by 
appropriate descriptive words such as ``Molten Material,'' ``Sole 
Plate,'' or ``Heating Element,'' and the statement ``Do Not Touch.'' An 
alternative statement for a surface intended to be handheld as a 
functional part of the toy shall be ``HOT -------- Handle Carefully,'' 
the blank being filled in by the manufacturer with a description of the 
potential hazard such as ``Curler'' or ``Cooking Surface.''
    (ii) Surfaces requiring precautionary statements of thermal hazards 
are those exceeding the following temperatures when measured by the test 
described in Sec. 1505.6(g)(4):

------------------------------------------------------------------------
                                     Thermal           Temperature
  Surface type (see Sec.  1505.6     inertia   -------------------------
             (g)(2))                 type \1\    Degrees C.   Degrees F.
------------------------------------------------------------------------
C................................            1           65          149
C................................            2           75          167
C................................            3           85          185
C................................            4           95          203
D................................            1           55          131
D................................            2           70          158
D................................            3           80          176
D................................            4           90          194
------------------------------------------------------------------------
\1\ Thermal inertia types are defined in terms of lambda as follows:
Type 1: Greater than 0.0045 (e.g., most metals).
Type 2: More than 0.0005 but not more than 0.0045 (e.g., glass).
Type 3: More than 0.0001 but not more than 0.0005 (e.g., most plastics).
Type 4: 0.0001 or less (e.g., future polymeric materials).
The thermal inertia of a material can be obtained by multiplying the
  thermal conductivity (cal./em./sec./degrees C.) by the density (gm./
  cm.\3\) by the specific heat (cal./gm./degrees C.)

    (3) Lamp hazards--(i) Replaceable incandescent lamps. A toy with one 
or more replaceable incandescent lamps, having a potential difference of 
more than 30 volts r.m.s. (42.4 volts peak) between any of its 
electrodes or lampholder contacts and any other part or ground, shall be 
marked inside the lamp compartment where readily noticeable during lamp 
replacement with the statement: ``WARNING--Do not

[[Page 522]]

use light bulbs larger than ---- watts'', the blank being filled in by 
the manufacturer with a number specifying the wattage rating of the 
lamp. Such toys shall bear the statement: ``WARNING--Shock Hazard. Pull 
plug before changing light bulb'' on the outside of the lamp compartment 
where it will be readily noticed before gaining access to the lamp 
compartment.
    (ii) Nonreplacement incandescent lamps. A toy which utilizes one or 
more nonreplaceable incandescent lamps (other than pilot or indicator 
lamps) shall be marked where clearly visible with the statement: 
``SEALED UNIT--Do not attempt to change light bulb'' or equivalent.
    (4) Water. If not suitable for immersion in water, a toy cooking 
appliance (such as a corn popper, skillet, or candy-maker) or other 
article which may conceivably be immersed in water shall be marked with 
the statement: ``DANGER--To prevent electric shock, do not immerse in 
water; wipe clean with damp cloth'' or equivalent.

[38 FR 27032, Sept. 27, 1973, as amended at 42 FR 34280, July 5, 1977; 
42 FR 43392, Aug. 29, 1977]



Sec. 1505.4  Manufacturing requirements.

    (a) General. (1) Only materials safe and suitable for the particular 
use for which the electrically operated toy is intended shall be 
employed.
    (2) Toys shall be produced in accordance with detailed material 
specifications, production specifications, and quality assurance 
programs. Quality assurance programs shall be established and maintained 
by each manufacturer to assure compliance with all requirements of this 
part.
    (3) The manufacturer or importer shall keep and maintain for 3 years 
after production or importation of each lot of toys (i) the material and 
production specifications and the description of the quality assurance 
program required by paragraph (a)(2) of this section, (ii) the results 
of all inspections and tests conducted, and (iii) records of sale and 
distribution. These records shall be made available upon request at 
reasonable times to any officer or employee of the Consumer Product 
Safety Commission. The manufacturer or importer shall permit such 
officer or employee to inspect and copy such records, to make such 
inventories of stock as he deems necessary, and to otherwise verify the 
accuracy of such records.
    (4) Toys shall be constructed and finished with a high degree of 
uniformity and as fine a grade of workmanship as is practicable in a 
well-equipped manufacturing establishment. Each component of a toy shall 
comply with the requirements set forth in this part.
    (b) [Reserved]
    (c) Protective coatings. Iron and steel parts shall be suitably 
protected against corrosion if the lack of a protective coating would 
likely produce a hazardous condition in normal use or when the toy is 
subjected to reasonably foreseeable damage or abuse.
    (d) Mechanical assembly--(1) General. A toy shall be designed and 
constructed to have the strength and rigidity necessary to withstand 
reasonably foreseeable damage and abuse without producing or increasing 
a shock, fire, or other accident hazard. An increase in hazards may be 
due to total or partial structural collapse of the toy resulting in a 
reduction of critical spacings, loosening or displacement of one or more 
components, or other serious defects.
    (2) Mounting. Each switch, lampholder, motor, automatic control, 
transformer, and similar component shall be securely mounted and shall 
be prevented from turning, unless the turning of such component is part 
of the design of the toy and produces no additional hazard such as 
reduced spacings below acceptable levels or stress on the connection. 
Friction between tight-fitting surfaces shall not be considered 
sufficient for preventing the turning of components. The proper use of a 
suitable lockwasher or a keyed and notched insert plus a suitable 
lockwasher for single-hole mountings shall be acceptable. Each toy shall 
be designed and constructed so that vibrations occurring during normal 
operation and after reasonably foreseeable damage or abuse will not 
affect it adversely. Brush caps shall be tightly threaded or otherwise 
designed to prevent loosening.

[[Page 523]]

    (3) Structural integrity. Heating elements shall be supported in a 
substantial and reliable manner and shall be structurally prevented from 
making contacts inside or outside of the toy which may produce shock 
hazards. The current-carrying component(s) of the heating element shall 
be enclosed, and the enclosure shall be designed or insulated to prevent 
the development of a shock or fire hazard that may result from element 
failure. A toy operating with a gas or liquid under pressure, such as an 
electrically operated steam engine, shall be tested with respect to its 
explosion hazard and shall be provided with a pressure relief device 
that will discharge in the safest possible direction; that is, avoiding 
direct human contact and avoiding the wetting of electrical contacts.
    (e) Insulating material. (1) Material to be used for mounting 
uninsulated live electrical elements shall be generally accepted as 
suitable for the specific application, particularly with regard to 
electrical insulation (voltage breakdown) and good aging characteristics 
(no significant change in insulating characteristics over the expected 
lifetime of the toy).
    (2) Material used to insulate a heating element from neighboring 
parts shall be suitable for the purpose. If plain asbestos in a glass 
braid is used to so insulate the heating element, it shall be tightly 
packed and totally enclosed by the braid, and the overall thickness, 
including the braid, shall not be less than one-sixteenth inch. Hard 
fiber may be used for electrically insulating bushings, washers, 
separators, and barriers, but is not sufficient as the sole support of 
uninsulated live metal parts.
    (f) Enclosures--(1) General. Each toy shall have an enclosure 
constructed of protective material suitable for the particular 
application, for the express purpose of housing all electrical parts 
that may present a fire, shock, or other accident hazard under any 
conditions of normal use or reasonably foreseeable damage or abuse. 
Enclosures shall meet the performance requirements prescribed by 
Sec. 1505.6(b).
    (2) Accessibility. An enclosure containing a wire, splice, brush 
cap, connection, electrical component, or uninsulated live part or parts 
at a potential of more than 30 volts r.m.s. (42.4 volts peak) to any 
other part or to ground:
    (i) Shall be sealed by welding, riveting, adhesive bonding, and/or 
by special screws or other fasteners not removable with a common 
household tool (screwdriver, pliers, or other similar household tool) 
used as intended; and
    (ii) Shall have no opening permitting entry of a 0.010-inch-diameter 
music wire that could contact a live part. Cross-notch-head screws, 
spring clips, bent tabs, and similar fasteners shall not be considered 
suitable sealing devices for enclosures since they are easy to remove 
with common household tools. Bent tabs shall be acceptable if, due to 
metal thickness or other factors, they successfully resist forceful 
attempts to dislodge them with ordinary tools.
    (3) Nonapplication. The requirements of this paragraph are not 
applicable to an insulating husk enclosure or equivalent that covers the 
electrodes of a replaceable incandescent lamp and its lampholder 
contacts. The primary function of an enclosure containing a lamp shall 
be to protect it from breakage during normal use or reasonably 
foreseeable damage or abuse.
    (g) Spacings. The distance, through air or across the surface of an 
insulator, between uninsulated live metal parts and a metallic enclosure 
and between uninsulated live metal parts and all other metal parts shall 
be suitable for the specific application as determined by the dielectric 
strength requirements prescribed by Sec. 1505.6(e)(2). Electrical 
insulating linings on barriers shall be held securely in place.
    (h) Special safety features--(1) Moving parts. If the normal use of 
a toy involves accident hazards, suitable protection shall be provided 
for the reduction of such hazards to an acceptable minimum. For example, 
rotors, pulleys, belting, gearing, and other moving parts shall be 
enclosed or guarded to prevent accidental contact during normal use or 
when subjected to reasonably foreseeable damage or abuse. Such enclosure 
or guard shall not contain openings that permit entrance of a \1/4\-
inch-diameter rod and present a hazardous condition.

[[Page 524]]

    (2) Switch marking. Any toy having one or more moving parts which 
perform an inherent function of the toy and which may cause personal 
injury shall have a switch that can deenergize the toy by a simple 
movement to a plainly marked ``OFF'' position. Momentary contact 
switches which are normally in the ``OFF'' position need not be so 
marked.
    (3) Electrically operated sewing machines. Electrically operated toy 
sewing machines shall be designed and constructed to eliminate the 
possibility of a child's finger(s) being pierced by a needle. For the 
purpose of this paragraph, a clearance of not more than five thirty-
seconds of an inch below the point of the needle when in its uppermost 
position or below the presser foot, if provided, shall be considered 
satisfactory.
    (4) Pressure relief valves. A pressurized enclosure shall have an 
automatic pressure relief device and shall be capable of withstanding 
hydrostatic pressure equal to at least five times the relief pressure.
    (5) Containers for heated materials. Containers intended for holding 
molten compounds and hot liquids shall be designed and constructed to 
minimize accidental spillage. A pot or pan having a lip and one or more 
properly located pouring spouts and an adequately thermally insulated 
handle may provide satisfactory protection. Containers intended solely 
for baking need not be designed and constructed to minimize accidental 
spillage. Containers shall be of such material and construction t+at 
they will not deform or melt when subjected to the maximum operating 
temperature occurring during normal use or after reasonably foreseeable 
damage or abuse.
    (6) Water. Electrically operated toys (such as toy irons) shall not 
be designed or manufactured to be used with water except for toy steam 
engines or other devices in which the electrical components are separate 
from the water reservoir and are completely contained in a sealed 
chamber. Toys requiring occasional or repeated cleaning with a wet cloth 
shall be constructed to prevent seepage of water into any electrically 
active area that may produce a hazardous condition.



Sec. 1505.5  Electrical design and construction.

    (a) Switches. (1) Switches and other control devices of electrically 
operated toys shall be suitable for the application and shall have a 
rating not less than that of the load they control (see 
Sec. 1505.6(e)(5)(ii) regarding electrical switch overload). A switch 
that controls a replaceable incandescent lamp, electrode, or lampholder 
contact which is at a potential of more than 30 volts r.m.s. (42.4 volts 
peak) to any other part or to ground shall open both sides of the 
circuit and shall have a marked ``OFF'' position. A switch that may 
reasonably be expected to be subjected to temperatures higher than 50 
deg.C. (122  deg.F.) shall be constructed of materials which are 
suitable for use at such temperatures.
    (2) Switches shall be located and protected so that they are not 
subject to mechanical damage that would produce a hazard in normal use 
or from reasonably foreseeable damage or abuse (see Sec. 1505.6(b)).
    (b) Lamps. (1) A replaceable incandescent lamp having a voltage of 
more than 30 volts r.m.s. (42.4 volts peak) between any of its 
electrodes or lampholder contacts and any other part or ground shall be 
in an enclosure that has at least one door or cover permitting access to 
the lamp. Such door(s) or cover(s) of the enclosure shall be so designed 
and constructed that they cannot be opened manually or with a flat 
bladed screwdriver or pliers.
    (2) With all access doors and covers closed, the lamp enclosure 
shall have no opening that will permit entry of a straight rod 6 inches 
long and one-fourth inch in diameter if such entry would present an 
electrical hazard. The lamp shall be located no less than one-half inch 
from any \1/4\-inch-diameter opening in the enclosure.
    (3) A toy having one or more lampholders shall be designed and 
constructed so that no live parts other than the contacts of the 
lampholders are exposed to contact by persons removing or replacing 
lamps. The shells of all lampholders for incandescent lamps shall be at 
the same potential.
    (4) If the potential between the contacts of a lampholder for a 
replaceable

[[Page 525]]

incandescent lamp and any other part or ground is greater than 30 volts 
r.m.s. (42.4 volts peak), the contacts shall be located in an insulating 
husk or equivalent.
    (c) Transformers. Transformers that are integral parts of toys shall 
be of the 2-coil insulated type.
    (d) Automatic controls. Automatic controls for temperature 
regulations shall have the necessary capacity and reliability for their 
particular application.
    (e) Power supply connections (cords and plugs). (1) A toy shall be 
provided with a suitable means for attachement to the power supply 
circuit.
    (2) A toy requiring a power cord shall have a flexible cord that is 
permanently attached to the toy.
    (3) The perimeter of the face of the attachment-plug cap shall be 
not less than five-sixteenths of an inch from any point on either blade 
of the plug.
    (4) The body of the attachment-plug cap shall decrease in cross 
section from the face but shall have an expansion of the body, after a 
suitable distance from the face, sufficient to provide an effective 
finger grip.
    (5) A flexible electrical power cord provided on a toy shall be type 
SP-2 (as defined in the ``National Electrical Code,'' Chapter 4, article 
400, pages 230-241 (1978) \1\, or its equivalent, or a heavier general-
use type, and shall be not less than 5 feet nor more than 10 feet in 
length when measured as the overall length of the attached cord outside 
the enclosure of the toy, including fittings, up to the face of the 
attachment-plug cap. However, hand-held educational or hobby-type 
products intended for heating such as woodburning tools, shall use one 
of the type cords designated below, in accordance with the weight of the 
product without the cord:
---------------------------------------------------------------------------

    \1\ NFPA No. 70-1978, 1978 edition of National Electrical Code, 
Article 400, ``Flexible Cords and Cables,'' pages 70-230 through 70-240, 
published by the National Fire Protection Association, which is 
incorporated by reference. Copies of this document are available from 
the National Fire Protection Administration, 60 Batterymarch Park, 
Quincy, Massachusetts 02269. This document is also available for 
inspection at the Office of the Federal Register, 800 North Capitol 
Street, NW., suite 700, Washington, DC. This incorporation by reference 
was approved by the Director of the Federal Register. These materials 
are incorporated as they exist in the edition which has been approved by 
the Director of the Federal Register and which has been filed with the 
Office of the Federal Register.
---------------------------------------------------------------------------

            Weight of appliance (without cord) and cord type

    \1/2\ lb. (0.227 kg) and lighter: SP-1, SPT-1, HPD. Heavier than \1/
2\ lb. (0.227 kg): SP-2, SPT-2, SV, SVO, SVT, SVTO, HPD, HPN, SJ, SJO, 
SJT, SJTO.
    (6) A flexible cord and plug shall have a current-carrying capacity 
of not less than the ampere rating of the toy, and the conductor of the 
cord shall have a cross sectional area no less than No. 18 AWG (American 
wire gauge).
    (7) Cords on toys which are intended to come in direct contact with 
water or other liquids during use shall be of a jacketed type. Cords on 
toys with which water or other liquids are to be indirectly used (such 
as for cooling a mold) shall be plastic covered.
    (8) Transformers in which the primary coil connects directly to the 
branch circuit outlet shall not be subject to the requirements of 
paragraphs (e) (2), (4), and (5) of this section.
    (f) Bushings. (1) At the point where a power supply cord passes 
through an opening in a wall, barrier, or the overall enclosure of a 
toy, a suitable and substantial bushing, insulating bushing, or 
equivalent shall be reliably secured in place and shall have smooth 
surfaces and well-rounded edges against which the cord may bear.
    (2) If a cord hole is in wood, porcelain, phenolic composition, or 
other suitable insulating material, the surface of the hole is 
acceptable without a bushing if the edges of the hole are smooth and 
well-rounded. Where a separate insulating bushing is required, a bushing 
made of ceramic material or a suitable molded composition is acceptable 
if its edges are smooth and well-rounded.
    (3) In no instance shall a separate bushing of wood, rubber, or any 
of the hot-molded shellac-and-tar compositions be considered acceptable.
    (g) Wiring. (1) The internal wiring of a toy shall consist of 
suitable insulated conductors having adequate mechanical strength, 
dielectric properties, and electrical capacity for the particular 
application.

[[Page 526]]

    (2) Wireways shall be smooth and entirely free of sharp edges, 
burrs, fins, and moving parts that may abrade conductor insulation. Each 
splice and connection shall be mechanically secure, shall provide 
adequate and reliable electrical contact, and shall be provided with 
insulation at least equivalent to that of the wire involved unless 
adequate spacing between the splice and all other metal parts is 
permanently assured.
    (3) A wire connector for making a splice in a toy shall be a type 
that is applied by a tool and for which the application force of the 
tool is independent of the force applied by the operator.
    (4) Soldered connections shall be made mechanically secure before 
soldering.
    (5) Current-carrying parts shall be made of silver, copper, a copper 
alloy, or other electrically conductive material suitable for the 
particular application.
    (h) Strain relief. (1) A means of strain relief shall be provided to 
prevent mechanical stress on a flexible cord from being transmitted to 
terminals, splices, or interior wiring.
    (2) If suitable auxiliary insulation is provided under a clamp for 
mechanical protection, clamps of any material are acceptable for use on 
Type SP-2 (as defined in the ``National Electrical Code,'' chapter 4, 
article 400, pages 184-194 (1971) \2\) or equivalent rubber-insulated 
cord. For heavier types of thermoplastic-insulated cord, clamps may be 
without auxiliary insulation unless the clamp may damage the cord 
insulation.
---------------------------------------------------------------------------

    \2\ NFPA No. 70-1971, 1971 edition of National Electrical Code, 
Article 400, ``Flexible Cords and Cables,'' pages 70-184 through 70-194, 
published by the National Fire Protection Association, which is 
incorporated by reference. Copies of this document are available from 
the National Fire Protection Association, 60 Batterymarch Park, Quincy, 
Massachusetts 02269. This document is also available for inspection at 
the Office of the Federal Register, 800 North Capitol Street, NW., suite 
700, Washington, DC. This incorporation by reference was approved by the 
Director of the Federal Register. These materials are incorporated as 
they exist in the edition which has been approved by the Director of the 
Federal Register and which has been filed with the Office of the Federal 
Register.
---------------------------------------------------------------------------

    (3) A flexible cord shall be prevented from being pushed into the 
toy through the cord-entry hole if such displacement would result in a 
hazardous condition.
    (4) A knot in the cord shall not be considered an acceptable means 
of strain relief, but a knot associated with a loop around a smooth, 
fixed structural component shall be considered acceptable.
    (i) Additional requirements. Except for the electrodes of a 
replaceable incandescent lamp and its lampholder contacts, a potential 
of more than 30 volts r.m.s. (42.4 volts peak) shall not exist between 
any exposed live part in a toy and any other part or ground.

(Sec. 30(a), 86 Stat. 1231 (15 U.S.C. 2079(a)))

[38 FR 27032, Sept. 27, 1973, as amended at 43 FR 45552, Oct. 3, 1978; 
46 FR 63251, Dec. 31, 1981]



Sec. 1505.6  Performance.

    (a) General. Electrically operated toys and components thereof shall 
be tested by the appropriate methods described in this section and shall 
pass the tests in such a manner as to provide the necessary assurance 
that normal use and reasonably foreseeable damage or abuse will not 
produce a hazard or a potentially hazardous condition. The toy shall be 
capable of passing all applicable tests with any door, cover, handle, 
operable part, or accessory placed in any normal position. A toy shall 
not present a fire, casualty, or shock hazard when operated continuously 
for 6 hours under conditions of normal use and reasonably foreseeable 
damage or abuse, including the most hazardous position in which the toy 
can be left.
    (b) Enclosures. For the purposes of this section, the term enclosure 
means any surface or surrounding structure which prevents access to a 
real or potential hazard. An enclosure shall withstand impact, 
compression, and pressure tests (see paragraphs (b)(1), (2), and (3) of 
this section) without developing any openings above those specified, 
reduction of electrical spacings below those specified, or other fire, 
casualty, or shock hazards, including the loosening or displacement of

[[Page 527]]

components but excluding breakage of a lamp. After completion of each 
test, the toy shall comply with the requirements of the dielectric 
strength test described in paragraph (e)(2) of this section and, upon 
visual examination, shall not evidence the development of any hazards. 
Rupture of a fuse shall be considered a test failure.
    (1) Impact test. A toy weighing 10 pounds or less shall be dropped 
four times from a height of 3 feet onto a 2\1/2\ inch thick concrete 
slab covered with 0.125 inch nominal thickness vinyl title. The impact 
area shall be at least 3 square feet. The test shall be conducted while 
the toy is energized and operating and with all dead metal of the toy 
that may be energized connected together electrically and grounded 
through a 3-ampere plug fuse. The toy shall be dropped in random 
orientation. After each drop the test sample shall be allowed to come to 
rest and examined and evaluated before continuing.
    (2) Compression test. Any area on the surface of the enclosure that 
is accessible to a child and inaccessible to flat-surface contact during 
the impact test shall be subjected to a direct force of 20 pounds for 1 
minute. The force shall be applied over a period of 5 seconds through 
the axis of a \1/2\-inch-diameter metal rod having a flat end with the 
edge rounded to a radius of one thirty-seconds of an inch to eliminate 
sharp edges. The axis of the rod shall be perpendicular to the surface 
being tested. During the test the toy shall rest on a flat, hard surface 
in any test-convenient position.
    (3) Pressure test. If any portion of the top of a toy has a flat 
surface measuring 24 square inches or more and a minor dimension of at 
least 3 inches, that surface shall be subjected to a direct vertical 
pressure increasing to 50 pounds over a period of 5 seconds and 
maintained for 1 minute. The force shall be applied through a steel ball 
2 inches in diameter. During the test the toy shall be in an upright 
position on a flat, horizontal solid surface.
    (c) Handles and knobs--(1) General. For the purposes of tests in 
this paragraph, the parts of a lifting handle on a toy that are within 
seven-sixteenths of an inch of the surface to which the handle is 
attached, or the parts of a lifting knob that are within one-fourth inch 
of the surface to which the knob is attached, are considered to be for 
support purposes, and the remainder of the handle or knob is considered 
to be generally functional in nature. A handle or knob shall withstand 
crushing and lifting tests (see paragraphs (c)(2) and (3) of this 
section) without fracture of the handle or knob, development of an 
opening that may pinch the hand, or breakage of the means used to fasten 
the handle or knob in place.
    (2) Crushing test. The functional portion of a handle or knob shall 
be subjected to a crushign force increasing to 20 pounds over a period 
of 5 seconds and maintained for 1 minute. The force shall be applied 
through two flat and parallel hardwood blocks, each at least 2\1/2\ 
inches thick and each having dimensions slightly exceeding those of the 
handle or knob being tested. The crushing force between the blocks shall 
be exerted in any direction perpendicular to the major axis of the 
handle or knob.
    (3) Lifting test. The support portion of a handle or knob shall be 
subjected to a force equal to four times the weight of the object it is 
intended to support. The direction of the lifting force shall be as 
intended by the design of the toy and shall be applied through a \1/2\-
inch-wide strap through or around a handle or by fingers or the 
equivalent on a knob. The force shall be applied over a period of 5 
seconds through the center of gravity of the toy and maintained for 1 
minute.
    (d) Stability. A toy shall not overturn while resting in an upright 
position on a flat surface inclined 15 deg. from horizontal. No spillage 
of molten material or hot liquids from containers shall occur while the 
toy is operating in this position under normal conditions of use. During 
this test, casters, if any, shall be in the position most likely to 
result in tipping, but shall not be artificially held in one position to 
prevent a natural rotation to another position.
    (e) Electrical--(1) Power input. The actual current flow in a toy 
without a heating element shall not exceed 110 percent of the rated 
value, and shall not exceed 5.5 amperes, at rated voltage. The power 
input to a toy with a

[[Page 528]]

heating element shall not exceed 105 percent of the rated value at rated 
voltage. The power input rating of a toy employing one or more 
incandescent lamps as the only power-consuming components shall be 
considered to be the total rated wattage of such lamps. The rated 
voltage shall be considered to be the mean value of a marked voltage 
range.
    (2) Dielectric strength. (i) A toy shall be capable of withstanding 
without breakdown for 1 minute a 60-cycle-per-second (60 Hertz) 
essentially sinusoidal potential of 1,000 volts applied between live 
parts and any dead metal parts.
    (ii) If a toy employs a low-voltage secondary winding (either in the 
form of a conventional transformer or as an insulated coil of a motor), 
the toy shall also be capable of withstanding without breakdown for 1 
minute a sinusoidal test potential applied between the high-voltage and 
low-voltage windings. The test potential shall be applied at the rated 
frequency of the toy and shall have a value of 1,000 volts plus twice 
the rated voltage of the high-voltage winding. The test potential shall 
be supplied from a suitable capacity-testing transformer, the output 
voltage of which can be regulated. The waveform of the test voltage 
shall approximate a sine wave as closely as possible.
    (iii) The applied test potential shall be increased rapidly and 
uniformly from zero until the required test value is reached and shall 
be held at that value for 1 minute. Unless otherwise specified, the toy 
shall be at the maximum operating temperature reached in normal use 
prior to conducting the tests.
    (iv) The dielectric strength requirements of this subparagraph may 
also be determined by subjecting the toy to a 60-cycle-per-second (60 
Hertz) essentially sinusoidal potential of 1,200 volts for 1 second. If 
the dielectric strength is determined by this method, the toy need not 
be in a heated condition.
    (3) Leakage current and repeated dielectric withstand tests. (i) 
Both before and after being conditioned, a toy intended to operate from 
a source exceeding 42.4 volts peak shall:
    (A) Not have a leakage current exceeding 0.5 milliampere, except 
that during the interval beginning 5 seconds and terminating 10 minutes 
after the toy is first energized, the leakage current of toys with 
heating elements other than lamps shall not exceed 2.5 milliamperes; and
    (B) Comply with the requirements of a repeated dielectric withstand 
test both with and without preheating.
    (ii) All accessible parts of a toy shall be tested for leakage 
current. If an insulating material is used for the enclosure or part of 
the enclosure, the leakage current shall be measured using a metal foil 
with an area not exceeding 10 by 20 centimeters in contact with 
accessible surfaces of such insulating material. Where the accessible 
surface of insulating material is less than 10 by 20 centimeters, the 
metal foil shall be the same size as the surface. The metal foil shall 
be so applied that it will not affect the temperature of the toy. The 
accessible parts shall be tested individually, collectively, and from 
one part to another.
    (iii) Following the initial leakage current test, the toy shall be 
cooled down or heated up to 32  deg.C. (90  deg.F.). The toy shall then 
be conditioned for 48 hours in air at a temperature of 32 deg. 
2  deg.C. (89.6 deg. 3.6  deg.F.) and with a 
relative humidity of 90-95 percent. The specified relative humidity 
shall be maintained inside a closed compartment in which a saturated 
solution of potassium sulphate is kept in a suitable container. Leakage 
current measurements shall be made, as specified in paragraph (e)(3)(ii) 
of this section and before the toy is energized, while the toy is in the 
humidity compartment.
    (iv) With the connections intended for the source of supply 
connected thereto and then connected to the ungrounded side of a power 
supply circuit having a voltage equal to 110 percent of the rated 
voltage of the toy, the leakage current through a noninductive 1,500-ohm 
resistor connected between the gounded side of the supply circuit and 
each dead metal part (accessible and inaccessible) shall, when stable, 
be measured in accordance with the test provisions established in ANSI 
Standard C 101.1-1971, ``American National Standard for Leakage Current 
for Appliances,'' approved November 17,

[[Page 529]]

1970, which is incorporated by reference. Copies of this document are 
available from American National Standards Institute, 1430 Broadway, New 
York, New York 10018. This document is also available for inspection at 
the Office of the Federal Register, 800 North Capitol Street, NW., suite 
700, Washington, DC. This incorporation by reference was approved by the 
Director of the Federal Register. These materials are incorporated as 
they exist in the edition which has been approved by the Director of the 
Federal Register and which has been filed with the Office of the Federal 
Register.
    (v) For a toy whose outer enclosure consists wholly or partly of 
insulating material, the term dead metal part means metal foil tightly 
wrapped around the exterior of the enclosure in a manner that covers, 
but does not enter into, any enclosure openings.
    (4) Motor operation. (i) A motor provided as part of a toy shall be 
capable of driving its maximum normal load in the toy without 
introducing any potentially hazardous condition. The performance of the 
toy shall be considered unacceptable if, during the test, temperatures 
in excess of those specified in Sec. 1505.7 for Type D surfaces are 
attained on any accessible surface. The performance of the toy shall 
also be considered unacceptable if the rise in temperature during the 
test causes melting, scorching, embrittlement, or other evidence of 
thermal damage to the insulating material used to prevent exposure of 
live metal parts.
    (ii) A motor-operated toy shall be tested with the motor stalled if 
the construction of the toy is such that any person can touch moving 
parts associated with the motor from outside the toy. The performance of 
the toy shall be considered unacceptable if, during the test, 
temperatures higher than those specified in Sec. 1505.8 are attained or 
if temperatures higher than those specified for Type C surfaces in 
Sec. 1505.7 are attained on any accessible surface of the motor. (See 
also Sec. 1505.50.)
    (5) Overload--(i) Motor. A motor-control switch that is a part of a 
toy shall be horsepower-rated to cover the load or shall be capable of 
performing acceptably when subjected to an overload test consisting of 
50 cycles of operation by making and breaking the stalled-rotor current 
of the toy at maximum rated voltage. There shall be no electrical or 
mechanical failure nor any visible burning or pitting of the switch 
contacts as a result of this test.
    (ii) Switch. To determine if a motor-control switch is capable of 
performing acceptably when subjected to overload conditions, the toy 
shall be connected to a grounded supply circuit of rated frequency and 
maximum rated voltage with the rotor of the motor locked into position. 
During the test, exposed dead metal parts of the toy shall be connected 
to ground through a 3-ampere plug fuse such that any single pole, 
current-rupturing device will be located in the ungrounded conductor of 
the supply circuit. If the toy is intended for use on direct current, or 
on direct current as well as alternating current, the exposed dead metal 
parts of the toy shall be so connected as to be positive with respect to 
a single pole, current-rupturing device. The switch shall be operated at 
a rate of not more than 10 cycles per minute. The performance of the toy 
shall be considered unacceptable if the fuse in the grounding connection 
is blown during the test.
    (f) Hydrokinetic--(1) General. Electrically operated toy steam 
engines shall be capable of performing acceptably when subjected to the 
tests described in this paragraph.
    (2) Preliminary test. The ultimate strength of the boiler assembly 
shall first be determined by applying a hydrostatic pressure to the 
boiler with all openings blocked (the pressure-relief valve, steam 
exhausts, and any whistle or other accessory shall be removed and the 
resulting openings sealed); however, a water or other type of gage shall 
be left in place. The hydrostatic pressure shall be applied slowly and 
the ultimate value which is attained shall be recorded.
    (3) Pressure-relief test. A pressure gage shall be connected to the 
boiler assembly which shall then be operated normally. The pressure at 
which the pressure-relief valve functions shall be noted while the 
engine is shut off (if a shutoff valve is provided) and with the 
whistle, if any, turned off. The test

[[Page 530]]

shall be discontinued and shall be considered a failure if the observed 
pressure exceeds one-fifth the value attained in the preliminary test 
described in paragraph (f)(2) of this section.
    (4) Operating pressure test. If the boiler is still intact and no 
failure has occurred, the pressure-relief valve shall then be rendered 
inoperable and all other valves (such as a whistle and exhaust from the 
assembly) shall be tightly closed. Operations shall be continued until 
the pressure becomes constant. This test shall be discontinued and shall 
be considered a failure if the observed pressure exceeds one-third the 
value attained in the preliminary test described in paragraph (f)(2) of 
this section. During this test, all valves, gaskets, joints, and similar 
components shall be sufficiently tightened to prevent leakage. Rupture 
of the boiler or of any other fittings supplied with the engine shall be 
considered a failure.
    (5) Hydrostatic test. If there has been no failure, two previous 
untested toys shall withstand for 1 minute a hydrostatic pressure of 5 
times the pressure at which the safety valve operated or 3 times the 
constant pressure observed with the pressure-relief valve inoperable, 
whichever is greater. During this test, all openings shall be blocked 
(the pressure-relief valve, steam exhaust from the assembly, and any 
whistle or other outlet); however, a water or other type of gage shall 
remain in place. Rupture of the boiler or of a gage shall be considered 
a failure.
    (g) Thermal--(1) General. The normal operation of a toy includes 
performance in normal use and after being subjected to reasonably 
foreseeable damage or abuse likely to produce the highest temperatures 
or, in the case of motor-operated toys, the load that most closely 
approximates the severest conditions of normal use or reasonably 
foreseeable damage or abuse.
    (2) Classification. Parts or surfaces of a toy are classified 
according to their use or function as follows (for the purposes of 
paragraph (g)(2) (v), (vi), and (vii) of this section, accessibility 
shall be defined as the ability to reach a heated surface with a \1/4\-
inch-diameter rod 3 inches long as described in Sec. 1505.51(a)):
    (i) Type A. A part or surface of a toy (such as a handle) likely to 
be grasped by the hand or fingers for the purpose of carrying the toy or 
lifting a separable lid.
    (ii) Type B. A part or surface of a toy that is (a) part of a 
handle, knob, or similar component, as in Type A (described in paragraph 
(g)(2)(i) of this section), but which is not normally grasped or 
contacted by the hand or fingers for carrying (including parts of a 
handle within \7/16\ inch of the surface to which the handle is attached 
and parts of a finger knob within \1/4\ inch of the surface to which the 
knob is attached, if the remainder of the knob is large enough to be 
grasped), or (b) a handle, knob, or part that may be touched but which 
need not be grasped for carrying the toy or lifting a lid, door, or 
cover (e.g., support part of a handle or knob).
    (iii) Type C. A part or surface of a toy that can be touched by 
casual contact or that can be touched without employing the aid of a 
common household tool (screwdriver, pliers, or other similar household 
tool) and that is either (a) a surface that performs an intended heating 
function (e.g., the soleplate of a flat-iron, a cooking surface, or a 
heating element surface), or (b) a material heated by the element and 
intended to be used as the product of the toy, excluding pans, dishes, 
or other containers used to hold the material to be cooked or baked if a 
common utensil or other device is supplied with the toy and specific 
instructions are established for using such a device to remove the 
container from the heated area. (See also Sec. 1505.51(b))
    (iv) Type C marked. A Type C surface which has been marked with a 
precautionary statement of thermal hazards in accordance with 
Sec. 1505.3(e)(2). (See also Sec. 1505.51(b))
    (v) Type D. An accessible part or surface of a toy other than Types 
A, B, C or E (see paragraph (g)(2) (i), (ii), (iii) and (vii) of this 
paragraph).
    (vi) Type D marked. A Type D surface which has been marked with a 
precautionary statement of thermal hazards in accordance with 
Sec. 1505.3(e)(2).

[[Page 531]]

    (vii) Type E. A heated surface in an oven or other article that is 
inaccessible or protected by an electrical-thermal safety interlock. 
Such interlocks shall prohibit the operation of a heating device 
whenever such surfaces are accessible and shall not allow accessibility 
to such surfaces until the temperatures of those surfaces have been 
reduced to levels below those established for Type D surfaces (paragraph 
(g)(2)(v) of this section).
    (3) Requirements. When tested under the conditions described in 
paragraph (g)(4) of this section, a toy shall not attain a temperature 
at any point sufficiently high to constitute a fire hazard or to 
adversely affect any materials employed and shall not show a maximum 
temperature higher than those established by Sec. Sec. 1505.7 and 
1505.8. These maximum surface temperature requirements are not 
applicable to educational-or hobby-type products such as lead-casting 
sets and wood-burning tools which are appropriately labeled on the shelf 
pack or package as being intended only for children over 12 years of age 
provided that the maximum surface temperature of any such toy does not 
exceed that reasonably required to accomplish the intended technical 
effect. Such toys shall be provided with specific instructions and the 
warning statements required by and in accordance with Sec. 1505.3 (d) 
and (e), and shall be appropriately identified as educational or hobby-
type products.
    (4) Test conditions--(i) General. Tests shall be conducted while the 
toy is connected to a circuit of 60-cycle-per-second (60 Hertz) current 
using the materials supplied with the toy or using materials otherwise 
intended to be used with the toy. Following such tests, the toy shall be 
energized for a 6-hour period to determine that no hazardous conditions 
would result from unattended use of the toy.
    (ii) Temperature. Normally, tests shall be performed at an ambient 
(room) temperature of 25  deg.C. (77  deg.F.); however, a test may be 
conducted at any ambient temperature within the range of 21 deg. to 30 
deg.C. (69.8 deg. to 86  deg.F.).
    (iii) Voltage. The toy shall be tested at the voltage indicated in 
the manufacturer's rating or at 120 volts, whichever is greater.
    (5) Temperature measurements--(i) General. Temperatures shall be 
measured by means of instruments utilizing thermocouples of No. 30 AWG 
(American Wire Gage) wire (either copper and constantan or iron and 
constantan) and potentiometer-type instruments that are accurate and are 
calibrated in accordance with current good laboratory practices. The 
thermocouple wire shall conform with the requirements for ``special'' 
thermocouples as listed in the table of limits of error of thermocouples 
(Table VIII) in ANSI Standard C 96.1-1964, ``American Standard for 
Temperature Measurement Thermocouples,'' approved June 9, 1964, which is 
incorporated by reference. Copies of this document are available from 
American National Standards Institute, 1430 Broadway, New York, New York 
10018. This standard is also available for inspection at the Office of 
the Federal Register, 800 North Capitol Street, NW., suite 700, 
Washington, DC. This incorporation by reference was approved by the 
Director of the Office of the Federal Register. These materials are 
incorporated as they exist in the edition which has been approved by the 
Director of the Federal Register and which has been filed with the 
Office of the Federal Register.
    (ii) Test procedures. The thermocouple junction and adjacent 
thermocouple lead wire shall be securely held in good thermal contact 
with the surface of the material whose temperature is being measured. In 
most cases, good thermal contact will result from securely taping or 
cementing the thermocouple in place. If a metal surface is involved, 
brazing or soldering the thermocouple to the metal may be necessary. The 
surface temperatures of a toy shall be measured with the toy operating 
in any unattended condition (e.g., with and without opening and closing 
doors or covers) for a sufficient period of time to allow temperatures 
to become constant, or, in the case of a toy with a thermostatically 
controlled heating element, for a sufficient period of time to determine 
the maximum surface temperature attained. A temperature shall be 
considered to be constant when three successive readings taken at 15-
minute intervals indicate no change.

[[Page 532]]

    (iii) Heating devices. Toy ovens, casting toys, popcorn and candy 
makers, and other toys requiring the insertion of any materials or 
substances shall be additionally tested by feeding crumpled strips of 
newspaper and tissue paper into or onto the toy in place of the intended 
materials or substances. The test strips shall be conditioned for at 
least 48 hours in air at a temperature of 25 deg. 4  deg.C. 
(77 deg. 7  deg.F.) and a relative humidity of 50 percent 
5 percent. The test strips shall be 2 inches wide by 8 
inches long before crumpling. The crumpled paper shall occupy not more 
than 25 percent of the accessible volume. The performance of the toy 
shall be considered unacceptable if flaming occurs within a 60-minute 
period following the attainment of normal operating temperatures. If a 
light bulb is used for heating purposes, the test shall be conducted 
using the largest wattage bulb that can be easily inserted into the 
socket.
    (h) Strain-relief test. (1) The strain-relief means provided on the 
flexible power cord of a toy shall be capable of withstanding a direct 
pull of 35 pounds applied to the cord for 2 minutes without displacement 
of the strain-relief unit or a deformation of the anchoring surface that 
would produce a stress which would result in a potentially hazardous 
condition. A 35-pound weight shall be attached to the cord and supported 
by the toy in such a manner that the strain-relief means is stressed 
from any angle that the construction of the toy permits. The test shall 
be conducted with the electrical connection within the toy disconnected.
    (2) The initial 2-minute test shall be conducted with the force 
vector parallel to the longitudinal axis of the cord and perpendicular 
to the anchoring surface of the strain-relief unit. Each test at other 
angles of stress shall be conducted for periods of 1 minute. The strain-
relief means is not acceptable if, at the point of disconnection of the 
cord, there is any movement of the cord to indicate that stress would 
have resulted on the conections.
    (3) Except for toys weighing more than 10 pounds, the strain-relief 
unit and its support base shall be designed and constructed in such a 
manner that no indication of stress would result which would produce a 
hazard when the cord is held firmly in place 3 feet from the strain-
relief unit and the toy is dropped the 3 feet at any angle.

[38 FR 27032, Sept. 27, 1973; 38 FR 30105, Nov. 1, 1973, as amended at 
43 FR 26428 June 20, 1978; 46 FR 63251, Dec. 31, 1981; 51 FR 34199, 
Sept. 26, 1986]



Sec. 1505.7  Maximum acceptable surface temperatures.

    The maximum acceptable surface temperatures for electrically 
operated toys shall be as follows:

------------------------------------------------------------------------
                                          Thermal       Temperatures
  Surface type (as described--in Sec.     inertia  ---------------------
             1505.6 (g)(2))               type \1\      C.         F.
------------------------------------------------------------------------
A......................................          1         50        122
A......................................          2         55        131
A......................................          3         60        140
B......................................          1         55        131
B......................................          2         65        149
B......................................          3         75        167
C (unmarked)...........................          1         65        149
C (unmarked)...........................          2         75        167
C (unmarked)...........................          3         85        185
C (unmarked)...........................          4         95        203
C marked...............................          1         70        158
C marked...............................          2         90        194
C marked...............................          3        110        230
C marked...............................          4        130        266
D (unmarked)...........................          1         55        131
D (unmarked)...........................          2         70        158
D (unmarked)...........................          3         80        176
D (unmarked)...........................          4         90        194
D marked...............................          1         60        140
D marked...............................          2         75        167
D marked...............................          3        100        212
D marked...............................          4        125        257
E......................................      (\2\)      (\3\)      (\3\)
------------------------------------------------------------------------
\1\ Thermal inertia types are defined in terms of lambda as follows:
Type 1: Greater than 0.0045 (e.g., most metals).
Type 2: More than 0.0005 but not more than 0.0045 (e.g., glass).
Type 3: More than 0.0001 but not more than 0.0005 (e.g., most plastics).
Type 4: 0.0001 or less (e.g., future polymeric materials).
The thermal inertia of a material can be obtained by multiplying the
  thermal conductivity (cal./cm./sec./degrees C.) by the density (gm./
  cm.\3\) by the specific heat (cal./gm./degrees C.).
\2\ All types.
\3\ No limit.



Sec. 1505.8  Maximum acceptable material temperatures.

    The maximum acceptable material temperatures for electrically 
operated toys shall be as follows (Classes 105, 130, A, and B are from 
``Motors and Generators,'' Standard MG-1-1967 \1\ published by the 
National Electrical Manufacturers Association):
---------------------------------------------------------------------------

    \1\ Copies may be obtained from: National Electrical Manufacturers 
Association, 155 East 44th Street, New York, NY 10017.

[[Page 533]]



------------------------------------------------------------------------
                   Material                      Degrees C.   Degrees F.
------------------------------------------------------------------------
Capacitors....................................        (\1\)        (\1\)
Class 105 insulation on windings or relays,
 solenoids, etc.:
  Thermocouple method \2\.....................           90          194
  Resistance method...........................          110          230
Class 130 insulation system...................          110          230
Insulation:
  Varnished-cloth insulation..................           85          185
  Fiber used as electrical insulation.........           90          194
------------------------------------------------------------------------


----------------------------------------------------------------------------------------------------------------
                                                                       Class A    Class B    Class A    Class B
----------------------------------------------------------------------------------------------------------------
Insulation on coil windings of a.c. motors (not including universal
 motors) and on vibrator coils:
  In open motors and on vibrator coils--thermocouple or resistance          100        120        212        248
   method \2\.......................................................
  In totally enclosed motors--thermocouple or resistance method \2\.        105        125        221        257
Insulation on coil windings of d.c. motors and of universal motors:
  In open motors:
    Thermocouple method \2\.........................................         90        110        194        230
    Resistance method...............................................        100        120        212        248
  In totally enclosed motors:
    Thermocouple method \2\.........................................         95        115        203        239
    Resistance method...............................................        105        125        221        257
Phenolic composition \3\............................................  .........        150        302  .........
Rubber- or thermoplastic-insulated wires and cords \3\..............  .........         60        140  .........
Sealing compound....................................................  .........      (\4\)      (\5\)  .........
Supporting surface while the toy is operating normally..............  .........         90        194  .........
Wood and other similar combustible material.........................  .........         90        194  .........
----------------------------------------------------------------------------------------------------------------
\1\ If the capacitor has no marked temperature limit, the maximum acceptable temperature will be assumed to be
  65 C. (149 F.) for an electrolytic type and 90 C. (194 F.) for other than an electrolytic type.
\2\ The temperature indicated refers to the hottest spot on the outside surface of the coil measured by the
  thermocouple method.
\3\ The limitations on rubber- and thermoplastic-insulated wires and cords and on phenolic composition do not
  apply if the insulation or the phenolic has been investigated and found to have special heat-resistant
  properties, or if the insulation meets the thermal requirements.
\4\ 40 less than melting point.
\5\ 104 less than melting point.



                 Subpart B--Policies and Interpretations



Sec. 1505.50  Stalled motor testing.

    (a) Sec. 1505.6(e)(4)(ii) requires that a motor-operated toy be 
tested with the motor stalled if the construction of the toy is such 
that any person can touch moving parts associated with the motor from 
outside the toy. The performance of the toy shall be considered 
unacceptable if, during the test, temperatures higher than those 
specified in Sec. 1505.8 are attained or if temperatures higher than 
those specified for Type C surfaces in Sec. 1505.7 are attained on any 
accessible surface of the motor.
    (b) To determine if a moving part associated with the motor can be 
touched from outside the toy, the Commission staff will use a \1/4\-inch 
diameter rod, as referenced in Sec. 1505.4(h)(1). If the rod, when 
inserted into openings in the toy, can touch any moving part associated 
with the motor, the toy will be tested with the motor stalled.
    (c) The requirement that temperatures higher than those specified in 
Sec. 1505.8 not be attained applies to those internal components which 
are described in Sec. 1505.8. Additionally, temperatures of accessible 
surfaces shall not exceed those specified for Type C surfaces in 
Sec. 1505.7.

(Secs. 2(q)(1)(A), 2(r), 3(e), 10(a), 74 Stat. 372, 378, 80 Stat. 1303-
1304, 83 Stat. 187-189 (15 U.S.C. 1261, 1262, 1269); sec. 30(a), 86 
Stat. 1231 (15 U.S.C. 2079(a)))

[43 FR 26428, June 20, 1978]



Sec. 1505.51  Hot surfaces.

    (a) Test probe. Section 1505.6(g)(2) defines accessibility, for 
certain paragraphs, as the ability to reach a heated surface with a \1/
4\-inch-diameter rod 3 inches long. To test for accessibility using this 
test probe, it shall be inserted no more than 3 inches into any opening 
in the toy. Unless the probe contacts a surface within 3 inches of the 
plane of the toy's opening, that surface is not accessible.

[[Page 534]]

    (b) Accessibility of Type C and C-marked surfaces. Under 
Sec. 1505.6(g)(2) (iii) and (iv), touching by casual contact or without 
employing the aid of a common household tool shall be determined by use 
of the accessibility test probe described in Sec. Sec. 1505.6(g)(2) and 
1505.51(a).

[51 FR 34199, Sept. 26, 1986]



PART 1507--FIREWORKS DEVICES--Table of Contents




Sec.
1507.1 Scope.
1507.2 Prohibited chemicals.
1507.3 Fuses.
1507.4 Bases.
1507.5 Pyrotechnic leakage.
1507.6 Burnout and blowout.
1507.7 Handles and spikes.
1507.8 Wheel devices.
1507.9 Toy smoke devices and flitter devices.
1507.10 Rockets with sticks.
1507.11 Party poppers.
1507.12 Multiple-tube fireworks devices.

    Authority: 15 U.S.C. 1261-1262, 2079(d); 21 U.S.C. 371(e).

    Source: 41 FR 22935, June 8, 1976, unless otherwise noted.

    Cross Reference: See also 1500.14(b)(7); 1500.17(a) (3), (8) and 
(9); 1500.83(a)(27) and 1500.85(a)(2).



Sec. 1507.1  Scope.

    This part 1507 prescribes requirements for those fireworks devices 
(other than firecrackers) not otherwise banned under the act. Any 
fireworks device (other than firecrackers) which fails to conform to 
applicable requirements is a banned hazardous substance and is 
prohibited from the channels of interstate commerce. Any fireworks 
device not otherwise banned under the act shall not be a banned 
hazardous substance by virtue of the fact that there are no applicable 
requirements prescribed herein.



Sec. 1507.2  Prohibited chemicals.

    Fireworks devices shall not contain any of the following chemicals:
    (a) Arsenic sulfide, arsenates, or arsenites.
    (b) Boron.
    (c) Chlorates, except:
    (1) In colored smoke mixtures in which an equal or greater amount of 
sodium bicarbonate is included.
    (2) In caps and party poppers.
    (3) In those small items (such as ground spinners) wherein the total 
powder content does not exceed 4 grams of which not greater than 15 
percent (or 600 milligrams) is potassium, sodium, or barium chlorate.
    (d) Gallates or gallic acid.
    (e) Magnesium (magnesium/aluminum alloys, called magnalium, are 
permitted).
    (f) Mercury salts.
    (g) Phosphorus (red or white). Except that red phosphorus is 
permissible in caps and party poppers.
    (h) Picrates or picric acid.
    (i) Thiocyanates.
    (j) Titanium, except in particle size greater than 100-mesh.
    (k) Zirconium.



Sec. 1507.3  Fuses.

    (a) Fireworks devices that require a fuse shall:
    (1) Utilize only a fuse that has been treated or coated in such 
manner as to reduce the possibility of side ignition. Devices such as 
ground spinners that require a restricted orifice for proper thrust and 
contain less than 6 grams of pyrotechnic composition are exempted from 
Sec. 1507.3(a)(1).
    (2) Utilize only a fuse which will burn at least 3 seconds but not 
more than 9 seconds before ignition of the device.
    (b) The fuse shall be securely attached so that it will support 
either the weight of the fireworks device plus 8 ounces of dead weight 
or double the weight of the device, whether is less, without separation 
from the fireworks device.

[41 FR 22935, June 8, 1976, as amended at 61 FR 67200, Dec. 20, 1996; 61 
FR 67200, Dec. 20, 1996]



Sec. 1507.4  Bases.

    The base or bottom of fireworks devices that are operated in a 
standing upright position shall have the minimum horizontal dimensions 
or the diameter of the base equal to at least one-third of the height of 
the device including any base or cap affixed thereto.

[[Page 535]]



Sec. 1507.5  Pyrotechnic leakage.

    The pyrotechnic chamber in fireworks devices shall be sealed in a 
manner that prevents leakage of the pyrotechnic composition during 
shipping, handling, and normal operation.



Sec. 1507.6  Burnout and blowout.

    The pyrotechnic chamber in fireworks devices shall be constructed in 
a manner to allow functioning in a normal manner without burnout or 
blowout.



Sec. 1507.7  Handles and spikes.

    (a) Fireworks devices which are intended to be hand-held and are so 
labeled shall incorporate a handle at least 4 inches in length (see 
Sec. 1500.14(b)(7)). Handles shall remain firmly attached during 
transportation, handling and full operation of the device, or shall 
consist of an integral section of the device at least four inches below 
the pyrotechnic chamber.
    (b) Spikes provided with fireworks devices shall protrude at least 2 
inches from the base of the device and shall have a blunt tip not less 
than \1/8\-inch in diameter of \1/8\-inch square.



Sec. 1507.8  Wheel devices.

    Drivers in fireworks devices commonly known as ``wheels'' shall be 
securely attached to the device so that they will not come loose in 
transportation, handling, and normal operation. Wheel devices intended 
to operate in a fixed location shall be designed in such a manner that 
the axle remains attached to the device during normal operation.



Sec. 1507.9  Toy smoke devices and flitter devices.

    (a) Toy smoke devices shall be so constructed that they will neither 
burst nor produce external flame (excluding the fuse and firstfire upon 
ignition) during normal operation.
    (b) Toy smoke devices and flitter devices shall not be of such color 
and configuration so as to be confused with banned fireworks such as M-
80 salutes, silver salutes, or cherry bombs.
    (c) Toy smoke devices shall not incorporate plastic as an exterior 
material if the pyrotechnic composition comes in direct contact with the 
plastic.



Sec. 1507.10  Rockets with sticks.

    Rockets with sticks (including skyrockets and bottle rockets) shall 
utilize a straight and rigid stick to provide a direct and stable 
flight. Such sticks shall remain straight and rigid and attached to the 
driver so as to prevent the stick from being damaged or detached during 
transportation, handling, and normal operation.



Sec. 1507.11  Party poppers.

    Party poppers (also known by other names such as ``Champagne Party 
Poppers,'' and ``Party Surprise Poppers,'') shall not contain more than 
0.25 grains of pyrotechnic composition. Such devices may contain soft 
paper or cloth inserts provided any such inserts do not ignite during 
normal operation.



Sec. 1507.12  Multiple-tube fireworks devices.

    (a) Application. Multiple-tube mine and shell fireworks devices with 
any tube measuring 1.5 inches (3.8 cm) or more in inside diameter and 
subject to Sec. 1500.17(a)(12) of this part shall not tip over when 
subjected to the tip-angle test described in this section.
    (b) Testing procedure. The device shall be placed on a smooth 
surface that can be inclined at 60 degrees from the horizontal, as shown 
in Figure 1 of this section. The height and width of the inclined plane 
(not including the portion of the plane below the mechanical stop) shall 
be at least 1 inch (2.54 cm) greater than the largest dimension of the 
base of the device to be tested. The test shall be conducted on a 
smooth, hard surface that is horizontal as measured by a spirit level or 
equivalent instrument. The mechanical stop on the inclined plane shall 
be 1/16 inches (1.6 mm) in height and perpendicular to the inclined 
plane. The stop shall be positioned parallel to the bottom edge of the 
inclined plane and so that no portion of the device to be tested or its 
base touches the horizontal surface. The device shall not tip over when 
the plane is inclined at 60-degrees from the horizontal. The procedure 
shall be repeated for each edge of the device.

[[Page 536]]

                        Figure 1 to Sec. 1507.12
[GRAPHIC] [TIFF OMITTED] TR26MR96.011


[61 FR 13096, Mar. 26, 1996]



PART 1508--REQUIREMENTS FOR FULL-SIZE BABY CRIBS--Table of Contents




Sec.
1508.1 Definitions.
1508.2 Scope of part.
1508.3 Dimensions.
1508.4 Spacing of crib components.
1508.5 Component spacing test method for Sec. 1508.4(b).
1508.6 Hardware.
1508.7 Construction and finishing.
1508.8 Assembly instructions.
1508.9 Identifying marks, warning statement, and compliance declaration.
1508.10 Recordkeeping.
1508.11 Requirements for cutouts.

Figures 1-3

    Authority: Secs. 2(f)(1)(D), (q)(1)(A), (s), 3(e)(1), 74 Stat. 372, 
374, 375, as amended, 80 Stat. 1304-05, 83 Stat. 187-89 (15 U.S.C. 1261, 
1262).

    Source: 38 FR 32129, Nov. 21, 1973, unless otherwise noted.



Sec. 1508.1  Definitions.

    For the purposes of this part:
    (a) Full-size baby crib means a bed (1) that is designed to provide 
sleeping accommodations for an infant, (2) that is intended for use in 
the home, and (3) that is within a range of 5.1 centimeters 
(2 inches) of the interior length or width dimensions 
specified for full-size baby cribs in Sec. 1508.3.



Sec. 1508.2  Scope of part.

    This part sets forth the requirements whereby full-size baby cribs 
(as defined in Sec. 1508.1(a)) are not banned articles under 
Sec. 1500.18(a)(13) of this chapter.



Sec. 1508.3  Dimensions.

    Full-size baby cribs shall have dimensions as follows:
    (a) Interior. The interior dimensions shall be 711.6 
centimeters (28\5/8\ inches) wide as measured between the 
innermost surfaces of the crib sides and 1331.6 centimeters 
(52\3/8\\5/8\ inches) long as measured between the innermost

[[Page 537]]

surfaces of the crib end panels, slats, rods, or spindles. Both 
measurements are to be made at the level of the mattress support spring 
in each of its adjustable positions and no more than 5 centimeters (2 
inches) from the crib corner posts or from the first spindle to the 
corresponding point of the first spindle at the other end of the crib. 
If a crib has contoured or decorative spindles, in either or both of the 
sides or ends, the measurement shall be determined from the largest 
diameter of the first turned spindle within a range of 10 centimeters (4 
inches) above the mattress support spring in each of its adjustable 
positions, to a corresponding point on the first spindle or innermost 
surface of the opposite side of the crib.
    (b) Rail height. The rail height dimensions shall be as follows:
    (1) The height of the rail and end panel as measured from the top of 
the rail or panel in its lowest position to the top of the mattress 
support in its highest position shall be at least 22.8 centimeters (9 
inches).
    (2) The height of the rail and end panel as measured from the top of 
the rail or panel in its highest position to the top of the mattress 
support in its lowest position shall be at least 66 centimeters (26 
inches).

[38 FR 32129, Nov. 21, 1973; 38 FR 33593 Dec. 6, 1973]



Sec. 1508.4  Spacing of crib components.

    (a) The distance between components (such as slats, spindles, crib 
rods, and corner posts) shall not be greater than 6 centimeters (2\3/8\ 
inches) at any point. Measurement of distance between contoured or 
irregular slats or spindles shall be done by a 6-centimeter wide by 10-
centimeter high by 10-centimeter long (2\3/8\-inch wide by 4-inch high 
by 4-inch long) rectangular block which shall not pass through the 
space.
    (b) The distance between such components shall not exceed 6.3 
centimeters (2\1/2\ inches) when a 9-kilogram (20-pound) direct force is 
applied in accordance with the test method in Sec. 1508.5. For contoured 
or irregular slats or spindles, the spacing shall not permit passage of 
a 6.3-centimeter wide by 8.2-centimeter high by 8.2-centimeter long 
(2\1/2\-inch wide by 3\1/4\-inch high by 3\1/4\-inch long) rectangular 
block above and below the loading wedge when a 9-kilogram (20-pound) 
direct force is applied in accordance with said test method.



Sec. 1508.5  Component spacing test method for Sec. 1508.4(b).

    (a) Construct a right triangular prism-shaped wedge from a rigid 
material (steel, wood, aluminum, or equivalent) as shown in figure 1.
    (b) Place the wedge midway between two vertical components and 
midway between the top and bottom horizontal rails. Attach a dial push-
pull gauge (Chatillon model DPP-50, or equivalent spring scale) to the 
eyebolt and exert a 9-kilogram (20-pound) direct pull on the wedge. The 
test may be performed by suspending a 9-kilogram (20-pound) weight from 
the eyebolt with the crib component placed in a horizontal position.



Sec. 1508.6  Hardware.

    (a) A crib shall be designed and constructed in a manner that 
eliminates from any hardware accessible to a child within the crib the 
possibility of the hardware's presenting a mechanical hazard through 
pinching, bruising, lacerating, crushing, breaking, amputating, or 
otherwise injuring portions of the human body when the crib is in normal 
use or when subjected to reasonably foreseeable damage or abuse.
    (b) Locking or latching devices used to secure dropside rails shall 
require a minimum force of 4.5 kilograms (10 pounds) to activate the 
release mechanism or shall consist of a double-action device requiring 
two distinct actions to release.
    (c) Wood screws shall not be used in the assembly of stationary 
sides, dropside rails, folding rails, or stabilizing bars to crib ends 
or other components that must be removed by the consumer in the normal 
disassembly of a crib.



Sec. 1508.7  Construction and finishing.

    (a) All wood surfaces shall be smooth and free from splinters.
    (b) All wood parts shall be free from splits, cracks, or other 
defects which might lead to structural failure.
    (c) Crib end panels and sides or any attachment thereto shall have 
no horizontal bar, ledge, projection, or other

[[Page 538]]

surface accessible to a child inside the crib capable of being used as a 
toehold located less than 51 centimeters (20 inches) above the mattress 
support in its lowest position when the side rail is in its highest 
position, except the lower horizontal bar of the crib rail may have a 
vertical dimension that extends no higher than 7.6 centimeters (3 
inches) above the mattress support in its lowest position. In no case 
will any gap between the top surface of the mattress support and the 
bottom of the lower horizontal rail be permitted. For the purposes of 
this paragraph, any ledge or projection with a depth dimension greater 
than 1 centimeter (\3/8\ inch) shall constitute a toehold.



Sec. 1508.8  Assembly instructions.

    (a) Cribs, when shipped other than completely assembled, shall be 
accompanied by detailed instructions that include an assembly drawing, a 
list and description of all parts and tools required for assembly, and a 
full-size diagram of the required bolts and other fasteners.
    (b) The instructions shall:
    (1) Be so written that an unskilled layman can correctly assemble 
the crib without making errors that would result in improper and unsafe 
assembly.
    (2) Include cautionary statements concerning the secure tightening 
and maintaining of bolts and other fasteners.
    (3) Contain a cautionary statement that when a child's height 
reaches 90 centimeters (35 inches), the child should be placed in a 
youth or regular bed.
    (c) The warning relative to mattress size for full-size cribs in 
Sec. 1508.9(c) shall be included in the instructions.



Sec. 1508.9  Identifying marks, warning statement, and compliance declaration.

    (a) All cribs and retail cartons thereof shall be suitably marked 
and labeled in accordance with this section.
    (b) A crib shall be clearly marked to indicate:
    (1) The name and place of business (city and State) of the 
manufacturer, importer, distributor, and/or seller; and
    (2) A model number, stock number, catalog number, item number, or 
other symbol expressed numerically, in code or otherwise, such that only 
articles of identical construction, composition, and dimensions shall 
bear identical markings.
    (c) The following warning shall appear on the retail carton and on 
the inside of the head end panel or on the top surface of the mattress 
support in a type size of at least one-fourth inch:
    ``CAUTION: Any mattress used in this crib must be at least 27\1/4\ 
inches by 51\5/8\ inches with a thickness not exceeding 6 inches,'' or 
``CAUTION: Any mattress used in this crib must be at least 69 
centimeters by 131 centimeters with a thickness not exceeding 15 
centimeters.''

The marking shall appear in block letters, shall contrast sharply with 
the background (by color, projection, and/or indentation), and shall be 
clearly visible and legible. The dimensions of the mattress shall be 
taken from seam to seam or edge to edge where appropriate.
    (d) Markings on a crib shall be of a permanent nature such as paint-
stenciled, die-stamped, molded, or indelibly stamped directly thereon or 
permanently affixed, fastened, or attached thereto by means of a tag, 
token, or other suitable medium. The markings shall not be readily 
removable or subject to obliteration during normal use of the article or 
when the article is subjected to reasonably foreseeable damage or abuse.
    (e) The retail carton of a crib shall clearly indicate:
    (1) The name and place of business (mailing address including ZIP 
code) of the manufacturer, importer, distributor, and/or seller; and
    (2) The model number, stock number, catalog number, item number, or 
other symbol described in paragraph (b)(2) of this section.
    (f) Each crib and its retail carton shall bear a conspicuous label 
stating that the crib conforms to applicable regulations promulgated by 
the Consumer Product Safety Commission. The label need not be 
permanently attached to the crib, nor is any particular wording required 
for the statement. The label on the crib must be conspicuous under 
normal conditions of retail display. Any full-size baby crib introduced 
into interstate commerce on or after February 1, 1974,

[[Page 539]]

through January 31, 1976, must bear this label.

[38 FR 32129, Nov. 21, 1973, as amended at 38 FR 35454, Dec. 28, 1973]



Sec. 1508.10  Recordkeeping.

    A manufacturer or importer of cribs shall keep and maintain for 3 
years after production or importation of each lot, or other suitable 
identifying unit, records of sale, distribution, and results of all 
inspections and tests conducted in accordance with this part 1508. These 
records shall be made available upon request, at reasonable times to any 
officer, employee, or agent action on behalf of the Consumer Product 
Safety Commission. The manufacturer or importer shall permit such 
officer, employee, or agent to inspect and copy such records, to make 
such inventories of stock as he deems necessary, and to otherwise verify 
the accuracy of such records.



Sec. 1508.11  Requirements for cutouts.

    Full-size baby cribs shall comply with the following test 
requirements:
    (a) Place the neck of the headform probe shown in Figure 2 into any 
cutout (partially-bounded opening) located along the upper edges of an 
end or side panel. The axis of the neck shall be horizontal and at right 
angles to the plane of the panel at the point of contact. The head 
portion of the probe shall be on the outer side of the panel. With the 
neck resting on the panel at any point within the cutout area (for 
compliance purposes, the Commission may test at all points that could 
result in a failure), and the front of the probe pointing downwards, 
draw the head of the probe towards the panel until surface ``A'' makes 
contact with the outer side of the panel (see Figure 3).
    (b)(1) Press down on the neck to cause the head to swing upwards 
through the cutout in the panel. The probe shall not be rotated about 
the major axis of the neck during this procedure. The arc through which 
the head is swung shall be in a vertical plane and shall terminate when 
the major axis of the neck attains an upright position or is prevented 
from attaining an upright position by an obstruction. During the test, 
contact shall be maintained between surface ``A'' (or at least one of 
edges ``AB''), the neck of the headform probe and the panel. If, during 
the swing to the upright position, an edge or surface other than surface 
``D'' is contacted, sideways motion of the headform shall not be 
restrained, but the arc through which the headform is swung shall remain 
vertical
    (2) If a cutout is V-shaped (the side boundaries or the tangents to 
the side boundaries are nowhere parallel), an additional test shall be 
performed on the cutout. Upon completion of the swing to the upright 
position, rock the headform sideways parallel to the plane of the panel 
while maintaining contact between surface ``A'' or an edge ``AB'' and 
the panel. This will result in the probe sliding toward the bottom of 
the cutout. The maximum angle through which the headform is rocked shall 
be determined by contact with the panel by a surface or edge other than 
``A'' or ``AB'' or until one of the surfaces ``B'' is in a vertical 
plane.
    (c) During the test described in paragraph (b) of this section, no 
portion of the panel shall contact:
    (1) Simultaneously, more than one of surfaces ``B'', ``C'' or edges 
``BC,'' ``CC,'' or ``CD,'' in any combination if they are on opposing 
sides of the headform.
    (2) Any of surfaces ``D''.

    Note: Edges are identified by the letter designations for surfaces 
that lie on either side of the edge.

[47 FR 47541, Oct. 27, 1982]

[[Page 540]]

                         Crib Slat Loading Wedge
      [GRAPHIC] [TIFF OMITTED] TC03OC91.061
      
(Secs. 2(f)(1)(D), (q)(1)(A), (s), 3(e)(1), 74 Stat. 372, 374, 375, as 
amended, 80 Stat. 1304-05, 83 Stat. 187-89 (15 U.S.C. 1261, 1262); Pub. 
L. 92-573, sec. 30(a), 86 Stat. 1231 (15 U.S.C. 2079(a)))
[38 FR 32129, Nov. 21, 1973, as amended at 45 FR 37419, June 3, 1980]

[[Page 541]]

[GRAPHIC] [TIFF OMITTED] TC03OC91.062


[47 FR 47544, Oct. 27, 1982]

[[Page 542]]

[GRAPHIC] [TIFF OMITTED] TC03OC91.063


[[Page 543]]



[47 FR 47544, Oct. 27, 1982]



PART 1509--REQUIREMENTS FOR NON-FULL-SIZE BABY CRIBS--Table of Contents




Sec.
1509.1 Scope of part 1509.
1509.2 Definitions.
1509.3 Crib-side height.
1509.4 Spacing of unit components.
1509.5 Component-spacing test apparatus.
1509.6 Component-spacing test method.
1509.7 Hardware.
1509.8 Construction and finishing.
1509.9 Mattresses.
1509.10 Assembly instructions.
1509.11 Identifying marks, caution statement, and compliance 
          declaration.
1509.12 Recordkeeping.
1509.13 Requirement for cutouts.

Figures 1-3

    Authority: Secs. 2 (f)(1)(D), (q)(1)(A), (s), 3(e)(1), 10(a), 74 
Stat. 372, 374, 375, 378, as amended, 80 Stat. 1304-05, 83 Stat. 187-89 
(15 U.S.C. 1261, 1262, 1269).

    Source: 41 FR 6240, Feb. 12, 1976, unless otherwise noted.



Sec. 1509.1  Scope of part 1509.

    This part 1509 sets forth the requirements whereby non-full-size 
baby cribs, as defined in Sec. 1509.2, are not banned articles under 
Sec. 1500.18(a)(14) of this chapter. For purposes of compliance with 
this part, the metric figures shall be used. The English approximations 
are provided in parentheses for convenience and information only, and do 
not specify complying dimensions.



Sec. 1509.2  Definitions.

    For the purposes of this part 1509:
    (a) Crib or baby crib means a bed designed to provide sleeping 
accommodations for an infant.
    (b)(1) Non-full-size baby crib means a crib that (i) is intended for 
use in or around the home, for travel and other purposes and (ii) has an 
interior length dimension either greater than 139.7 centimeters (55 
inches) or smaller than 126.3 centimeters (49\3/4\ inches), or, an 
interior width dimension either greater than 77.7 centimeters (30\5/8\ 
inches) or smaller than 64.3 centimeters (25\3/8\ inches), or both. 
Mesh/net/screen cribs, nonrigidly constructed baby cribs, cradles (both 
rocker and pendulum types), car beds, baby baskets and bassinets (also 
known as junior cribs) are not subject to the provisions of 
Sec. 1500.18(a)(14) of this chapter and this part 1509.
    (2) Non-full-size baby crib includes, but is not limited to, the 
following:
    (i) Portable crib. A non-full-size baby crib designed so that it may 
be folded or collapsed, without disassembly, to occupy a volume 
substantially less than the volume it occupies when it is used.
    (ii) Crib-pen. A non-full-size baby crib the legs of which may be 
removed or adjusted to provide a play pen or play yard for a child.
    (iii) Specialty crib. An unconventionally shaped (circular, 
hexagonal, etc.) non-full-size baby crib incorporating a special 
mattress or other unconventional components.
    (iv) Undersize crib. A non-full-size baby crib with an interior 
length dimension smaller than 126.3 centimeters (49\3/4\ inches), or an 
interior width dimension smaller than 64.3 centimeters (25\3/8\ inches), 
or both.
    (v) Oversize crib. A non-full-size baby crib with an interior length 
dimension greater than 139.7 centimeters (55 inches), or an interior 
width dimension greater than 77.7 centimeters (30\5/8\ inches), or both.



Sec. 1509.3  Crib-side height.

    (a) With the mattress support in its highest adjustable position and 
the crib side in its lowest adjustable position, the vertical distance 
from the upper surface of the mattress support to the upper surface of 
the crib side and/or end panel shall not be less than 12.7 centimeters 
(5 inches).
    (b) With the mattress support in its lowest adjustable position and 
the crib side in its highest adjustable position, the vertical distance 
from the upper surface of the mattress support to the upper surface of 
the crib side and/or end panel shall not be less than 55.9 centimeters 
(22 inches).



Sec. 1509.4  Spacing of unit components.

    (a) Uniformly spaced components. The distance between adjacent, 
uniformly spaced components (such as slats, spindles, and/or corner 
posts) shall not be greater than 6 centimeters (2\3/8\ inches). The 
distance between any such adjacent components shall not exceed 6.3

[[Page 544]]

centimeters (2\1/2\ inches) at any point when subjected to the test 
procedure specified in Sec. 1509.6.
    (b) Nonuniformly spaced components. (1) The distance between 
adjacent nonuniformly spaced components (such as slats, spindles, and/or 
corner posts) shall preclude passage of block A, specified in 
Sec. 1509.5(b), when inserted in any orientation (nonuniformly spaced 
components referes to irregularly shaped crib slats whether parallel to 
each other or not).
    (2) The spacing between any such adjacent components shall preclude 
passage of block B, specified in Sec. 1509.5(c), when inserted in any 
orientation immediately above and below the loading wedge specified in 
Sec. 1509.5(a) while the components are being subjected to the test 
procedure specified in Sec. 1509.6.



Sec. 1509.5  Component-spacing test apparatus.

    (a) Loading wedge. The loading wedge shall be a right triangular 
prism constructed of a smooth, rigid material conforming to measurements 
shown in Figure 1.
    (b) Block A. Block A shall be a rectangular block, constructed of a 
smooth, rigid material, measuring 6 centimeters wide by 10 centimeters 
high by 10 centimeters long (2\3/8\ inches wide by 4 inches high by 4 
inches long).
    (c) Block B. Block B shall be a rectangular block, constructed of a 
smooth, rigid material, measuring 6.3 centimeters wide by 8.2 
centimeters high by 8.2 centimeters long (2\1/2\ inches wide by 3\1/4\ 
inches high by 3\1/4\ inches long).



Sec. 1509.6  Component-spacing test method.

    The apex of the wedge (see Sec. 1509.5(a)) shall be placed midway 
between two vertical components and midway between the uppermost and 
lowermost horizontal surfaces of the crib side. A 9-kilogram (20-pound) 
tensile force shall be applied to the wedge perpendicular to the plane 
of the crib side.



Sec. 1509.7  Hardware.

    (a) The hardware in a non-full-size baby crib shall be designed and 
constructed to eliminate pinching, bruising, lacerating, crushing, 
amputating and/or other potentials for injury when the crib is in normal 
use or when subjected to reasonably foreseeable damage or abuse.
    (b) Non-full-size baby cribs shall incorporate locking or latching 
devices for dropsides or folding sides or end panels. These devices 
shall require either a minimum force of 4.5 kilograms (10 pounds) for 
activation or at least two distinct actions to release them.
    (c) Woodscrews shall not be used in the assembly of any components 
that must be removed by the consumer in the normal disassembly of a non-
full-size baby crib.



Sec. 1509.8  Construction and finishing.

    (a) All wood surfaces of non-full-size baby cribs shall be smooth 
and free from splinters.
    (b) All wood parts of non-full-size baby cribs shall be free from 
splits, cracks, or other defects that might lead to structural failure.
    (c) Ends and sides of non-full-size baby cribs shall have no 
horizontal bar, ledge, projections, or other surface accessible to the 
child inside the crib that could be used as a toehold (any ledge or 
projection with a depth dimension greater than 1 centimeter (\3/8\ inch) 
located less than 40.6 centimeters (16 inches) above the mattress 
support in its lowest adjustable position when the crib side is in its 
highest adjustable position).



Sec. 1509.9  Mattresses.

    (a) Mattress thickness. (1) A mattress supplied with a non-full-size 
crib shall, in a noncompressed state, have a thickness that will provide 
a minimum effective crib-side height dimension of at least 50.8 
centimeters (20 inches) as measured from the upper surface of the crib 
side and/or end panel. For this measurement, the crib side shall be in 
its highest adjustable position and the mattress support in its lowest 
adjustable position.
    (2) A mattress supplied with a non-full-size crib shall, in a 
noncompressed state, have a thickness that will provide a minimum 
effective crib-side height dimension of at least 7.6 centimeters (3 
inches) as measured from the upper surface of the mattress to the upper 
surface of the crib side and/or end panel. For this measurement, the

[[Page 545]]

crib side shall be in its lowest adjustable position and the mattress 
support in its highest adjustable position.
    (b) Mattress dimensions. The dimensions of a mattress supplied with 
a non-full-size baby crib shall be such that the mattress, when inserted 
in the center of the crib, in a noncompressed state at any of the 
adjustable positions of the mattress support, shall not leave a gap of 
more than 1.3 centimeters (\1/2\ inch) at any point between the 
perimeter of the mattress and the perimeter of the crib. When the 
mattress is placed against the perimeter of the crib the resulting gap 
shall not exceed 2.6 centimeters (1 inch).



Sec. 1509.10  Assembly instructions.

    Unassembled non-full-size baby cribs shall be accompanied by 
detailed instructions that shall:
    (a) Include an assembly drawing;
    (b) Include a list and description of all parts and tools required 
for assembly;
    (c) Include a full-size diagram of the required bolts and other 
fasteners;
    (d) Be so written that an unskilled person can assemble the crib 
without making errors that would result in improper and unsafe assembly;
    (e) Include cautionary statements concerning the secure tightening 
and maintaining of bolts and other fasteners;
    (f) Contain a cautionary statement that when a child's height 
reaches 35 inches, the child should be placed in a youth bed; and
    (g) Contain a warning relative to mattress size for the non-full-
size baby crib that specifies the dimensions of any mattress to be used 
with the crib as determined under Sec. 1509.9.



Sec. 1509.11  Identifying marks, caution statement, and compliance declaration.

    (a) Non-full-size baby cribs shall be clearly marked to indicate:
    (1) The name and place of business (city and state) of the 
manufacturer, importer, distributor, and/or seller; and
    (2) A model number, stock number, catalog number item number, or 
other symbol expressed numerically, in code or otherwise, such that only 
cribs of identical construction, composition, and dimensions shall bear 
identical markings.
    (b) The following caution statement shall appear on an inside 
surface of a non-full-size baby crib in a type size of at least \1/8\ 
inch:
    (1) For rectangular cribs:
    CAUTION: Any mattress used in this crib must be at least -- inches 
long by -- inches wide and not more than -- inches thick.

The blanks are to be filled with dimensions complying with 
Sec. 1509.9(a) and (b).
    (2) For nonrectangular cribs:
    CAUTION: Check proper fit of mattress. Should be not more than --
inches thick. The maximum gap between mattress and inside of crib border 
(or edge) should be no more than 1 inch.

The blank is to be filled in with a dimension complying with 
Sec. 1509.9(a).
    (3) The dimensions to be inserted in the blanks in the caution 
statements in paragraphs (b) (1) and (2) of this section shall be 
determined by the manufacturer according to the provisions of 
Sec. 1509.9. The markings shall appear in block letters, shall contrast 
sharply with the background (by color, projection, and/or indentation), 
and shall be clearly visible and legible.
    (c) Except for markings required under paragraphs (d) and (e) of 
this section, markings on non-full-size baby cribs shall be of a 
permanent nature such as paint-stenciled, die-stamped, molded, or 
indelibly stamped directly thereon or permanently affixed, fastened, or 
attached thereto by means of a tag, token, or other suitable medium. The 
markings shall not be readily removable or subject to obliteration 
during normal use of the article or when the article is subjected to 
reasonably foreseeable damage or abuse.
    (d) The retail cartons of non-full-size baby cribs shall clearly 
indicate:
    (1) The name and place of business (mailing address including ZIP 
code) of the manufacturer, importer, distributor, and/or seller; and
    (2) The model number, stock number, catalog number, item number, or 
other symbol described in paragraph (a)(2) of this section.
    (e) All non-full-size baby cribs and their retail cartons shall bear 
a conspicuous label stating that the article conforms to applicable 
regulations promulgated by the Consumer Product Safety Commission. The 
label need not

[[Page 546]]

be permanently attached to the article and carton nor is any particular 
wording required for the statement. The label on the article must be 
conspicuous under normal conditions of retail display. All non-full-size 
baby cribs and their retail cartons introduced into interstate commerce 
for a period of 2 years after the effective date of this part 1509 must 
bear such label.



Sec. 1509.12  Recordkeeping.

    The manufacturer or importer shall keep and maintain for 3 years 
after production or importation of each lot or other identifying unit of 
non-full-size baby cribs, records of sale and distribution. These 
records shall be made available upon request at reasonable times to any 
officer, employee, or agent acting on behalf of the Consumer Product 
Safety Commission. The manufacturer or importer shall permit such 
officer, employee, or agent to inspect and copy such records, to make 
such inventories of stock as he or she deems necessary, and to otherwise 
verify the accuracy of such records.



Sec. 1509.13  Requirements for cutouts.

    Non-full-size baby cribs shall comply with the following test 
requirements:
    (a) Place the neck of the headform probe shown in Figure 2 into any 
cutout (partially-bounded opening) located along the upper edges of an 
end or side panel. The axis of the neck shall be horizontal and at right 
angles to the plane of the panel at the point of contact. The head 
portion of the probe shall be on the outer side of the panel. With the 
neck resting on the panel at any point within the cutout area (for 
compliance purposes, the Commission may test at all points that could 
result in a failure), and the front of the probe pointing downwards, 
draw the head of the probe towards the panel until surface ``A'' makes 
contact with the outer side of the panel (see Figure 3).
    (b)(1) Press down on the neck to cause the head to swing upwards 
through the cutout in the panel. The probe shall not be rotated about 
the major axis of the neck during this procedure. The arc through which 
the head is swung shall be in a vertical plane and shall terminate when 
the major axis of the neck attains an upright position or is prevented 
from attaining an upright position by an obstruction. During the test, 
contact shall be maintained between surface ``A'' (or at least one of 
edges ``AB''), the neck of the headform probe and the panel. If, during 
the swing to the upright position, an edge or surface other than surface 
``D'' is contacted, sideways motion of the headform shall not be 
restrained, but the arc through which the headform is swung shall remain 
vertical
    (2) If a cutout is V-shaped (the side boundaries or the tangents to 
the side boundaries are nowhere parallel), an additional test shall be 
performed on the cutout. Upon completion of the swing to the upright 
position, rock the headform sideways parallel to the plane of the panel 
while maintaining contact between surface ``A'' or an edge ``AB'' and 
the panel. This will result in the probe sliding toward the bottom of 
the cutout. The maximum angle through which the headform is rocked shall 
be determined by contact with the panel by a surface or edge other than 
``A'' or ``AB'' or until one of the surfaces ``B'' is in a vertical 
plane.
    (c) During the test described in paragraph (b) of this section, no 
portion of the panel shall contact:
    (1) Simultaneously, more than one of surfaces ``B'', ``C'' or edges 
``BC,'' ``CC,'' or ``CD,'' in any combination if they are on opposing 
sides of the headform.
    (2) Any of surfaces ``D''.

    Note: Edges are identified by the letter designations for surfaces 
that lie on either side of the edge.

[[Page 547]]

[GRAPHIC] [TIFF OMITTED] TC03OC91.064


[47 FR 47541, Oct. 27, 1982]

[[Page 548]]

[GRAPHIC] [TIFF OMITTED] TC03OC91.065


[47 FR 47544, Oct. 27, 1982]

[[Page 549]]

[GRAPHIC] [TIFF OMITTED] TC03OC91.066


[[Page 550]]



[47 FR 47544, Oct. 27, 1982]



PART 1510--REQUIREMENTS FOR RATTLES--Table of Contents




Sec.
1510.1 Scope and purpose of part 1510.
1510.2 Definition.
1510.3 Requirements.
1510.4 Test procedure.

    Authority: Secs. 2(f)(1)(D), (q)(1)(A), (s), 3(e)(1), 64 Stat. 372, 
374, 375, as amended 80 Stat. 1304-05, 83 Stat. 187-89 (15 U.S.C. 1261, 
1262); sec. 30(a), 86 Stat. 1231 (15 U.S.C. 2079(a)).

    Source: 43 FR 22002, May 23, 1978, unless otherwise noted.



Sec. 1510.1  Scope and purpose of part 1510.

    This part 1510 sets forth the requirement whereby rattles (as 
defined in Sec. 1510.2) are not banned articles under 
Sec. 1500.18(a)(15) of this chapter. The purpose of these requirements 
is to ensure that certain infant rattles which may cause choking and/or 
suffocation because their design or construction permits them to enter 
into an infant's mouth and become lodged in the throat are eliminated 
from interstate commerce.



Sec. 1510.2  Definition.

    For the purposes of this part 1510, a rattle is an infant's toy, 
intended to be hand held, usually containing pellets or other small 
objects and which produces sounds when shaken. Examples of products 
which may have similar noisemaking characteristics but which are 
excluded from the scope of this definition are: dolls, stuffed animals, 
crib exercisers, crib mobiles, pull toys, shoe lace holders, bells which 
are not part of the noisemaking component of a rattle, plastic keys or 
other figures on loops or chains which produce sound by striking 
together, games, puzzles and musical instruments such as tambourines, 
castanets, and maracas.



Sec. 1510.3  Requirements.

    No portion of a rattle, when tested in accordance with the procedure 
of Sec. 1510.4 below, shall be capable of entering and penetrating to 
the full depth of a cavity in a test fixture with dimensions shown in 
figure 1. (In determining these dimensions for compliance purposes, the 
English measurements shall be used. Metric equivalents are included for 
convenience.) Rattles shall meet this requirement both before and after 
performing the use and abuse tests of Sec. 1500.51 of this chapter 
(excluding the bite and flexure tests of paragraphs (c) and (d)).



Sec. 1510.4  Test procedure.

    Place the test fixture shown in Figure 1 on a horizontal plane 
surface. Under its own weight and in a non-compressed state apply any 
portion of the test sample in the most adverse orientation to the 
opening in the test fixture. Repeat this procedure after performing the 
use and abuse tests of Sec. 1500.51 (excluding the bite and flexure 
tests of paragraphs (c) and (d) of this section). In testing to ensure 
compliance with this regulation, the measurements of the opening of the 
Commission's test fixture will be no greater than those shown in Figure 
1 and the depth of the fixture used will be no less than that shown in 
Figure 1.

[[Page 551]]

[GRAPHIC] [TIFF OMITTED] TC03OC91.067



PART 1511--REQUIREMENTS FOR PACIFIERS--Table of Contents




Sec.
1511.1 Scope of part 1511.
1511.2 Definitions.
1511.3 Guard or shield requirements.
1511.4 Protrusions.
1511.5 Structural integrity tests.
1511.6 Ribbons, strings, cords, or other attachments.
1511.7 Labeling.
1511.8 Metric references.

Figures 1-2

    Authority: Secs. 2(f)(1)(D), (q)(1)(A), (s), 3(e)(1), 74 Stat. 372, 
374, 375, as amended 80 Stat. 1304-05, 83 Stat. 187-89; 15 U.S.C. 1261, 
1262.

    Source: 42 FR 33279, June 30, 1977, unless otherwise noted.



Sec. 1511.1  Scope of part 1511.

    This part 1511 sets forth the requirements whereby pacifiers (as 
defined in Sec. 1511.2(a)) are not banned articles under 
Sec. 1500.18(a)(8) of this chapter.



Sec. 1511.2  Definitions.

    (a) A pacifier is an article consisting of a nipple that is intended 
for a young child to suck upon, but is not designed to facilitate a 
baby's obtaining fluid, and usually includes a guard or shield and a 
handle or ring.
    (b) Guard or shield means the structure located at the base of the 
nipple used to prevent the pacifier from being completely drawn into the 
child's mouth.
    (c) Handle or ring means the structure usually located adjacent to 
the guard or shield used for holding or grasping the pacifier. A hinged 
handle or ring is one that is free to pivot about an axis parallel to 
the plane of the guard or shield.



Sec. 1511.3  Guard or shield requirements.

    (a) Performance requirements. Place the pacifier in the opening of 
the fixture illustrated in Figure 1(a) of this part so that the nipple 
of the pacifier is centered in the opening and protrudes through the 
back of the fixture as shown in Figure 1(b). For pacifiers with

[[Page 552]]

non-circular guards or shields, align the major axis of the guard or 
shield with the major axis of the opening in the fixture. Apply a 
tensile force to the pacifier nipple in the direction shown. The force 
shall be applied gradually attaining but not exceeding 2.0 pounds (8.9 
newtons) within a period of 5 seconds and maintained at 2.0 pounds for 
an additional 10 seconds. Any pacifier which can be completely drawn 
through an opening with dimensions no greater than those of Figure 1(a) 
by such a force shall fail the test in this part.
    (b) Ventilation holes. The pacifier guard or shield shall contain at 
least two holes symmetrically located and each being at least 0.20 
inches (5 millimeters) in minor dimension. The edge of any hole shall be 
no closer than 0.20 inches (5 millimeters) to the perimeter of the 
pacifier guard or shield.



Sec. 1511.4  Protrusions.

    (a) Protrusions limitation. No protrusion from the face of the guard 
or shield opposite from the nipple shall exceed 0.63 inches (16mm) when 
measured in accordance with the procedure specified in paragraph (b) of 
this section.
    (b) Protrusion test. Secure the pacifier by clamping the nipple with 
its axis horizontal. For pacifiers with hinged handles or rings the 
orientation of the hinge axis shall be horizontal. A plane surface shall 
be applied to any protrusion from the guard or shield with a force 
gradually attaining but not exceeding 2.0 pounds (8.9 newtons) applied 
in a direction along the axis of the nipple. The normal of the plane 
surface shall be maintained parallel to the axis of the nipple. Any 
protrusion shall be allowed to flex or rotate about its hinge as the 
plane surfact is applied to it. Measure the distance from the plane 
surface to the guard or shield at the base of the nipple.



Sec. 1511.5  Structural integrity tests.

    (a) Nipple. Hold the pacifier by the shield or guard, grasp the 
nipple end of the pacifier and gradually apply a tensile force to the 
pacifier nipple in any possible direction. The force shall be applied 
gradually, attaining but not exceeding 10.0 pounds (44.5 newtons) within 
a period of 5 seconds and maintained at 10.0 pounds for an additional 10 
seconds.
    (b) Handle or ring. Hold the pacifier by the shield or guard or base 
of the nipple, and push or pull on the handle or ring in any possible 
direction. The force shall be applied gradually attaining but not 
exceeding 10.0 pounds (44.5 newtons) within a period of 5 seconds and 
maintained at 10.0 pounds for an additional 10 seconds.
    (c) Heat cycle deterioration. After the testing prescribed in 
paragraphs (a) and (b) of this section, all pacifiers shall be subject 
to the following: submerge the pacifier in boiling water for 5 minutes 
and then remove the pacifier and allow it to cool for 5 minutes in room 
temperature air, 60 deg. to 80  deg.F. (16 deg. to 27  deg.C). After the 
cooling period, resubmerge the pacifier in the boiling water for 5 
minutes. The process shall be repeated for a total of 6 boiling/cooling 
cycles. After the sixth cycle, the pacifier shall again be subjected to 
the structural tests in paragraphs (a) and (b) of this section and 
section 1511.3.
    (d) Small parts. Any components or fragments which are released as a 
result of the tests specified in paragraphs (a), (b) and (c) of this 
section shall be placed in the truncated cylinder shown in Figure 2, 
such that the component or fragment is in the lowest position in the 
cylinder. If the uppermost edge of the component or fragment is below 
the plane of the top of the cylinder, the pacifier shall fail the test 
in this section.



Sec. 1511.6  Ribbons, strings, cords, or other attachments.

    A pacifier shall not be sold or distributed with any ribbon, string, 
cord, chain, twine, leather, yarn or similar attachments.



Sec. 1511.7  Labeling.

    (a) As required by paragraphs (b) and (c) of this section, pacifiers 
shall be labeled with the statement: ``Warning--Do Not Tie Pacifier 
Around Child's Neck as it Presents a Strangulation Danger.''
    (b) The labeling statement required by paragraph (a) of this section 
shall appear legibly and conspicuously on

[[Page 553]]

any retail display carton containing two or more pacifiers.
    (c) Each individually packaged pacifier shall bear the labeling 
statement required in paragraph (a) of this section on the package 
legibly and conspicuously.



Sec. 1511.8  Metric references.

    For purposes of compliance with the test procedure prescribed by 
this Sec. 500.46, the English figures shall be used. The metric 
approximations are provided in parentheses for convenience and 
information only.

[[Page 554]]

[GRAPHIC] [TIFF OMITTED] TC03OC91.068


[[Page 555]]


[GRAPHIC] [TIFF OMITTED] TC03OC91.069



PART 1512--REQUIREMENTS FOR BICYCLES--Table of Contents




                         Subpart A--Regulations

Sec.
1512.1 Scope.
1512.2 Definitions.
1512.3 Requirements in general.
1512.4 Mechanical requirements.
1512.5 Requirements for braking system.
1512.6 Requirements for steering system.
1512.7 Requirements for pedals.
1512.8 Requirements for drive chain.
1512.9 Requirements for protective guards.
1512.10 Requirements for tires.
1512.11 Requirements for wheels.
1512.12 Requirements for wheel hubs.
1512.13 Requirements for front fork.
1512.14 Requirements for fork and frame assembly.
1512.15 Requirements for seat.
1512.16 Requirements for reflectors.
1512.17 Other requirements.
1512.18 Tests and test procedures.
1512.19 Instructions and labeling.
1512.20 Separability.

Subpart B--Policies and Interpretations [Reserved]

Figures 1-8
Tables 1-4


[[Page 556]]


    Authority: Secs. 2(f)(1)(D), (q)(1)(A), (s), 3(e)(1), 74 Stat. 372, 
374, 375, as amended, 80 Stat. 1304-05, 83 Stat. 187-89 (15 U.S.C. 1261, 
1262).

    Source: 43 FR 60034, Dec. 22, 1978, unless otherwise noted.



                         Subpart A--Regulations



Sec. 1512.1  Scope.

    This part sets forth the requirements for a bicycle as defined in 
Sec. 1512.2(a) (except a bicycle that is a ``track bicycle'' or a ``one-
of-a-kind bicycle'' as defined in Sec. 1512.2 (d) and (e)) which is not 
a banned article under Sec. 1500.18(a)(12) of this chapter.



Sec. 1512.2  Definitions.

    For the purposes of this part:
    (a) Bicycle means a two-wheeled vehicle having a rear drive wheel 
that is solely human-powered.
    (b) Sidewalk bicycle means a bicycle with a seat height of no more 
than 635 mm (25.0 in); the seat height is measured with the seat 
adjusted to its highest position.
    (c) Seat height means the dimension from the point on the seat 
surface intersected by the seat post center line (or the center of the 
seating area if no seat post exists) and the ground plane, as measured 
with the wheels aligned and in a plane normal to the ground plane.
    (d) Track bicycle means a bicycle designed and intended for sale as 
a competitive machine having tubular tires, single crank-to-wheel ratio, 
and no free-wheeling feature between the rear wheel and the crank.
    (e) One-of-a-kind bicycle means a bicycle that is uniquely 
constructed to the order of an individual consumer other than by 
assembly of stock or production parts.
    (f) Normal riding position means that the rider is seated on the 
bicycle with both feet on the pedals and both hands on the handlegrips 
(and in a position that allows operation of handbrake levers if so 
equipped); the seat and handlebars may be adjusted to positions judged 
by the rider to be comfortable.



Sec. 1512.3  Requirements in general.

    Any bicycle subject to the regulations in this part shall meet the 
requirements of this part in the condition to which it is offered for 
sale to consumers; any bicycle offered for sale to consumers in 
disassembled or partially assembled condition shall meet these 
requirements after assembly according to the manufacturer's 
instructions. For the purpose of compliance with this part, where the 
metric and English units are not equal due to the conversion process the 
less stringent requirement will prevail.



Sec. 1512.4  Mechanical requirements.

    (a) Assembly. Bicycles shall be manufactured such that mechanical 
skills required of the consumer for assembly shall not exceed those 
possessed by an adult of normal intelligence and ability.
    (b) Sharp edges. There shall be no unfinished sheared metal edges or 
other sharp parts on bicycles that are, or may be, exposed to hands or 
legs; sheared metal edges that are not rolled shall be finished so as to 
remove any feathering of edges, or any burrs of spurs caused during the 
shearing process.
    (c) Integrity. There shall be no visible fracture of the frame or of 
any steering, wheel, pedal, crank, or brake system component resulting 
from testing in accordance with: The handbrake loading and performance 
test, Sec. 1512.18(d); the foot brake force and performance test, 
Sec. 1512.18(e); and the road test, Sec. 1512.18(p) (or the sidewalk 
bicycle proof test, Sec. 1512.18(q)).
    (d) Attachment hardware. All screws, bolts, or nuts used to attach 
or secure components shall not fracture, loosen, or otherwise fail their 
intended function during the tests required in this part. All threaded 
hardware shall be of sufficient quality to allow adjustments and 
maintenance. Recommended quality thread form is specified in Handbook 
H28, ``Screw Thread Standards for Federal Service,'' \1\ issued by the 
National Bureau of Standards, Department of Commerce; recommended 
mechanical properties are specified in ISO Recommendation R898, 
``Mechanical Properties of Fasteners,'' and in ISO

[[Page 557]]

Recommendations 68, 262, and 263, ``General Purpose Screw Threads.'' \2\
---------------------------------------------------------------------------

    \1\ Copies may be obtained from: Superintendent of Documents, U.S. 
Government Printing Office, Washington, D.C. 20402.
    \2\ Copies may be obtained from: American National Standards 
Institute, 1430 Broadway, New York, New York 10018.
---------------------------------------------------------------------------

    (e)-(f) [Reserved]
    (g) Excluded area. There shall be no protrusions located within the 
area bounded by (1) a line 89 mm (3\1/2\ in) to the rear of and parallel 
to the handlebar stem; (2) a line tangent to the front tip of the seat 
and intersecting the seat mast at the top rear stay; (3) the top surface 
of the top tube; and (4) a line connecting the front of the seat (when 
adjusted to its highest position) to the junction where the handlebar is 
attached to the handlebar stem. The top tube on a female bicycle model 
shall be the seat mast and the down tube or tubes that are nearest the 
rider in the normal riding position. Control cables no greater than 6.4 
mm (\1/4\ in) in diameter and cable clamps made from material not 
thicker than 4.8 mm (\3/16\ in) may be attached to the top tube.
    (h) [Reserved]
    (i) Control cable ends. Ends of all control cables shall be provided 
with protective caps or otherwise treated to prevent unraveling. 
Protective caps shall be tested in accordance with the protective cap 
and end-mounted devices test, Sec. 1512.18(c), and shall withstand a 
pull of 8.9 N (2.0 lbf).
    (j) Control cable abrasion. Control cables shall not abrade over 
fixed parts and shall enter and exit cable sheaths in a direction in 
line with the sheath entrance and exit so as to prevent abrading.



Sec. 1512.5  Requirements for braking system.

    (a) Braking system. Bicycles shall be equipped with front- and rear-
wheel brakes or rear-wheel brakes only.
    (b) Handbrakes. Handbrakes shall be tested at least ten times by 
applying a force sufficient to cause the handlever to contact the 
handlebar, or a maximum of 445 N (100 lbf), in accordance with the 
loading test, Sec. 1512.18(d)(2), and shall be rocked back and forth 
with the weight of a 68.1 kg (150 lb) rider on the seat with the same 
handbrake force applied in accordance with the rocking test, 
Sec. 1512.18(d)(2)(iii); there shall be no visible fractures, failures, 
movement of clamps, or misalignment of brake components.
    (1) Stopping distance. A bicycle equipped with only handbrakes shall 
be tested for stopping distance by a rider of at least 68.1 kg (150 lb) 
weight in accordance with the performance test, Sec. 1512.18(d)(2) (v) 
and (vi), and shall have a stopping distance of no greater than 4.57 m 
(15 ft) from the actual test speed as determined by the equivalent 
ground speed specified in Sec. 1512.18(d)(2)(vi).
    (2) Hand lever access. Hand lever mechanisms shall be located on the 
handlebars in a position that is readily accessible to the rider when in 
a normal riding position.
    (3) Grip dimension. The grip dimension (maximum outside dimension 
between the brake hand lever and the handlebars in the plane containing 
the centerlines of the handgrip and the hand brake lever) shall not 
exceed 89 mm (3\1/2\ in) at any point between the pivot point of the 
lever and lever midpoint; the grip dimension for sidewalk bicycles shall 
not exceed 76 mm (3 in). The grip dimension may increase toward the open 
end of the lever but shall not increase by more than 12.7 mm (\1/2\ in) 
except for the last 12.7 mm (\1/2\ in) of the lever. (See figure 5 of 
this part 1512.)
    (4) Attachment. Brake assemblies shall be securely attached to the 
frame by means of fasteners with locking devices such as a lock washer, 
locknut, or equivalent and shall not loosen during the rocking test, 
Sec. 1512.18(d)- (2)(iii). The cable anchor bolt shall not cut any of 
the cable strands.
    (5) Operating force. A force of less than 44.5 N (10 lbf) shall 
cause the brake pads to contact the braking surface of the wheel when 
applied to the handlever at a point 25 mm (1.0 in) from the open end of 
the handlever.
    (6) Pad and pad holders. Caliper brake pad shall be replaceable and 
adjustable to engage the braking surface without contacting the tire or 
spokes and the pad holders shall be securely attached to the caliper 
assembly. The brake pad material shall be retained in its holder without 
movement when the bicycle is loaded with a rider of at least 68.1 kg 
(150 lb) weight and is rocked forward

[[Page 558]]

and backward as specified in the rocking test, Sec. 1512.18(d)(2)(iii).
    (7) [Reserved]
    (8) Hand lever location. The rear brake shall be actuated by a 
control located on the right handlebar and the front brake shall be 
actuated by a control located on the left handlebar. The left-hand/
right-hand locations may be reversed in accordance with an individual 
customer order. If a single hand lever is used to actuate both front and 
rear brakes, it shall meet all applicable requirements for hand levers 
and shall be located on either the right or left handlebar in accordance 
with the customer's preference.
    (9) Hand lever extensions. Bicycles equipped with hand lever 
extensions shall be tested with the extension levers in place and the 
hand lever extensions shall also be considered to be hand levers.
    (c) Footbrakes. All footbrakes shall be tested in accordance with 
the force test, Sec. 1512.18(e)(2), and the measured braking force shall 
not be less than 178 N (40 lbf) for an applied pedal force of 310 N (70 
lbf).
    (1) Stopping distance. Bicycles equipped with footbrakes (except 
sidewalk bicycles) shall be tested in accordance with the performance 
test, Sec. 1512.18(e)(3), by a rider of at least 68.1 kg (150 lb) weight 
and shall have a stopping distance of no greater than 4.57 m (15 ft) 
from an actual test speed of at least 16 km/h (10 mph). If the bicycle 
has a footbrake only and the equivalent groundspeed of the bicycle is in 
excess of 24 km/h (15 mph) (in its highest gear ratio at a pedal crank 
rate of 60 revolutions per minute), \3\ the stopping distance shall be 
4.57 m (15 ft) from an actual test speed of 24 km/h (15 mph) or greater.
---------------------------------------------------------------------------

    \3\ This is proportional to a gear development greater than 6.67 m 
(21.9 ft) in the bicycle's highest gear ratio. Gear development is the 
distance the bicycle travels in meters, in one crank revolution.
---------------------------------------------------------------------------

    (2) Operating force. Footbrakes shall be actuated by a force applied 
to the pedal in a direction opposite to that of the drive force, except 
where brakes are separate from the drive pedals and the applied force is 
in the same direction as the drive force.
    (3) Crank differential. The differential between the drive and brake 
positions of the crank shall be not more than 60 deg. with the crank 
held against each position under a torque of no less than 13.6 N-m (10 
ft-lb).
    (4) Independent operation. The brake mechanism shall function 
independently of any drive-gear positions or adjustments.
    (d) Footbrakes and handbrakes in combination. Bicycles equipped with 
footbrakes and handbrakes shall meet all the requirements for footbrakes 
in Sec. 1512.5(c), including the tests specified. In addition, if the 
equivalent ground speed of the bicycle is 24 km/h (15 mph) or greater 
(in its highest gear ratio at a pedal crank rate of 60 revolutions per 
minute), \3\ the actual test speed specified in Sec. 1512.18(e)(3) shall 
be increased to 24 km/h (15 mph) and both braking systems may be 
actuated to achieve the required stopping distance of 4.57 m (15 ft).
    (e) Sidewalk bicycles. (1) Sidewalk bicycles shall not have 
handbrakes only.
    (2) Sidewalk bicycles with a seat height of 560 mm (22 in) or 
greater (with seat height adjusted to its lowest position) shall be 
equipped with a footbrake meeting all the footbrake requirements of 
Sec. 1512.5(c), including the specified tests except that the braking 
force transmitted to the rear wheel shall be in accordance with the 
sidewalk bicycle footbrake force tests, Sec. 1512.18(f).
    (3) Sidewalk bicycles with a seat height less than 560 mm (22 in) 
(with seat height adjusted to its lowest position) and not equipped with 
a brake shall not have a freewheel feature. Such sidewalk bicycles 
equipped with a footbrake shall be tested for brake force in accordance 
with the sidewalk bicycle footbrake force test, Sec. 1512.18(f). Such 
sidewalk bicycles not equipped with brakes shall be identified with a 
permanent label clearly visible from a distance of 3.1 m (10 ft) in 
daylight conditions and promotional display material and shipping 
cartons shall prominently display the words ``No Brakes.''

[[Page 559]]



Sec. 1512.6  Requirements for steering system.

    (a) Handlebar stem insertion mark. The handlebar stem shall contain 
a permanent ring or mark which clearly indicates the minimum insertion 
depth of the handlebar stem into the fork assembly. The insertion mark 
shall not affect the structural integrity of the stem and shall not be 
less than 2\1/2\ times the stem diameter from the lowest point of the 
stem. The stem strength shall be maintained for at least a length of one 
shaft diameter below the mark.
    (b) Handlebar stem strength. The handlebar stem shall be tested for 
strength in accordance with the handlebar stem test, Sec. 1512.18(g), 
and shall withstand a force of 2000 N (450 lbf) for bicycles and 1000 N 
(225 lbf) for sidewalk bicycles.
    (c) Handlebar. Handlebars shall allow comfortable and safe control 
of the bicycle. Handlebar ends shall be symmetrically located with 
respect to the longitudinal axis of the bicycle and no more than 406 mm 
(16 in) above the seat surface when the seat is in its lowest position 
and the handlebar ends are in their highest position.
    (d) Handlebar ends. The ends of the handlebars shall be capped or 
otherwise covered. Handgrips, end plugs, control shifters, or other end-
mounted devices shall be secure against a removal force of no less than 
66.8 N (15 lbf) in accordance with the protective cap and end-mounted 
devices test, Sec. 1512.18(c).
    (e) Handlebar and clamps. The handlebar and clamps shall be tested 
in accordance with the handlebar test, Sec. 1512.18(h). Directions for 
assembly of the bicycle required in the instruction manual by 
Sec. 1512.19(a)(2) shall include an explicit warning about the danger of 
damaging the stem-to-fork assembly and the risk of injury to the rider 
that can result from overtightening the stem bolt or other clamping 
device. The directions for assembly shall also contain a simple, clear, 
and precise statement of the procedure to be followed to avoid damaging 
the stem-to-fork assembly when tightening the stem bolt or other 
clamping device.



Sec. 1512.7  Requirements for pedals.

    (a) Construction. Pedals shall have right-hand/left-hand symmetry. 
The tread surface shall be present on both top and bottom surfaces of 
the pedal except that if the pedal has a definite preferred position, 
the tread surface need only be on the surface presented to the rider's 
foot.
    (b) Toe clips. Pedals intended to be used only with toe clips shall 
have toe clips securely attached to them and need not have tread 
surfaces. Pedals designed for optional use of toe clips shall have tread 
surfaces.
    (c) Pedal reflectors. Pedals for bicycles other than sidewalk 
bicycles shall have reflectors in accordance with Sec. 1512.16(e). 
Pedals for sidewalk bicycles are not required to have reflectors.



Sec. 1512.8  Requirements for drive chain.

    The drive chain shall operate over the sprockets without catching or 
binding. The tensile stength of the drive chain shall be no less than 
8010 N (1,800 lbf) or 6230 N (1,400 lbf) for sidewalk bicycles.



Sec. 1512.9  Requirements for protective guards.

    (a) Chain guard. Bicycles having a single front sprocket and a 
single rear sprocket shall have a chain guard that shall cover the top 
strand of the chain and at least 90 deg. of the perimeter where the 
drive chain contacts the drive sprocket as shown in figure 7. The chain 
guard shall extend rearward to a point at least 8 cm (3.2 in.) forward 
of the centerline of the rear axle. The minimum width of the top area of 
the chain guard shall be twice the width of the chain in that portion 
forward of the rear wheel rim. The rear part of the top area may be 
tapered. The minimum width at the rear of the guard shall be one-half 
the chain width. Such chain guard shall prevent a rod of 9.4 mm (\3/8\ 
in.) diameter and 76 mm (3.0 in.) length from entrapment between the 
upper junction of the chain and the sprocket when introduced from the 
chain side of the bicycle in any direction within 45 deg. from a line 
normal to the sprocket.
    (b) Derailleur guard. Derailleurs shall be guarded to prevent the 
drive chain from interfering with or stopping the rotation of the wheel 
through improper adjustments or damage.

[[Page 560]]



Sec. 1512.10  Requirements for tires.

    The manufacturer's recommended inflation pressure shall be molded 
into or onto the sidewall of the tire in lettering no less than 3.2 mm 
(\1/8\ in.) in height. The statement of recommended inflation pressure 
shall be in the English language utilizing Arabic numerals. (The 
following language is suggested to indicate recommended inflation 
pressure: ``Inflate to -- PSI.'') After inflation to 110 percent of the 
recommended inflation pressure, the tire shall remain intact on the rim, 
including while being tested under a load of 2,000 N (450 lbf) in 
accordance with the rim test, Sec. 1512.18(j). Tubular sew-up tires, 
nonpneumatic tires, and nonmolded wired-on tires are exempt from this 
section.



Sec. 1512.11  Requirements for wheels.

    (a) Spokes. There shall be no missing spokes.
    (b) Alignment. The wheel assembly shall be aligned such that no less 
than 1.6 mm (\1/16\ in.) clearance exists between the tire and fork or 
any frame member when the wheel is rotated to any position.
    (c) Rims. Rims shall retain the spokes and tire when side-loaded 
with 2000 N (450 lbf) and tested in accordance with the rim test, 
Sec. 1512.18(j). Sidewalk bicycles need not meet this requirement.



Sec. 1512.12  Requirements for wheel hubs.

    All bicycles (other than sidewalk bicycles) shall meet the following 
requirements:
    (a) Locking devices. Wheels shall be secured to the bicycle frame 
with a positive lock device. Locking devices on threaded axles shall be 
tightened to the manufacturer's specifications.
    (1) Rear wheels. There shall be no relative motion between the axle 
and the frame when a force of 1,780 N (400 lbf) is applied symmetrically 
to the axle for a period of 30 seconds in the direction of wheel 
removal.
    (2) Front wheels. Locking devices, except quick-release devices, 
shall withstand application of a torque in the direction of removal of 
17 N-m (12.5 ft-lb).
    (b) Quick-release devices. Lever-operated quick-release devices 
shall be adjustable to allow setting the lever position for tightness. 
Quick-release levers shall be clearly visible to the rider and shall 
indicate whether the levers are in a locked or unlocked position. Quick-
release clamp action shall emboss the frame or fork when locked.
    (c) Front hubs. Front hubs not equipped with lever-operated quick-
release devices shall have a positive retention feature that shall be 
tested in accordance with the front hub retention test, 
Sec. 1512.18(j)(3), to assure that when the locking devices are released 
the wheel will not separate from the fork.



Sec. 1512.13  Requirements for front fork.

    The front fork shall be tested for strength by application of at 
least 39.5 J (350 in-lb) of energy in accordance with the fork test, 
Sec. 1512.18(k)(1), without visible evidence of fracture. Sidewalk 
bicycles need not meet this requirement.



Sec. 1512.14  Requirements for fork and frame assembly.

    The fork and frame assembly shall be tested for strength by 
application of a load of 890 N (200 lbf) or at least 39.5 J (350 in-lb) 
of energy, whichever results in the greater force, in accordance with 
the frame test, Sec. 1512.18(k)(2), without visible evidence of fracture 
or frame deformation that significantly limits the steering angle over 
which the wheel can be turned. Sidewalk bicycles are exempt from this 
section.



Sec. 1512.15  Requirements for seat.

    (a) Seat limitation. No part of the seat, seat supports, or 
accessories attached to the seat shall be more than 125 mm (5.0 in.) 
above the top of the seat surface at the point where the seat surface is 
intersected by the seat post axis.
    (b) Seat post. The seat post shall contain a permanent mark or ring 
that clearly indicates the minimum insertion depth (maximum seat-height 
adjustment); the mark shall not affect the structural integrity of the 
seat post. This mark shall be located no less than two seat-post 
diameters from the lowest point on the post shaft, and the post strength 
shall be maintained for at least a length of one shaft diameter below 
the mark.

[[Page 561]]

    (c) Adjustment clamps. The seat adjustment clamps shall be capable 
of securing the seat in any position to which it can be adjusted and 
preventing movement of the seat in any direction under normal conditions 
of use. Following the road test, Sec. 1512.18(p) (or the sidewalk 
bicycle proof test, Sec. 1512.18(q), as applicable), the seat clamps 
shall be tested in accordance with the seat adjustment clamps and load 
test, Sec. 1512.18(l).



Sec. 1512.16  Requirements for reflectors.

    Bicycles shall be equipped with reflective devices to permit 
recognition and identification under illumination from motor vehicle 
headlamps. The use of reflector combinations off the center plane of the 
bicycle (defined in Sec. 1512.18(m)(2)) is acceptable if each reflector 
meets the requirements of this section and of Sec. 1512.18 (m) and (n) 
and the combination of reflectors has a clear field of view of 
10 deg. vertically and 50 deg. horizontally. 
Sidewalk bicycles are not required to have reflectors.
    (a) Front, rear, and pedal reflectors. There shall be an essentially 
colorless front-facing reflector, essentially colorless or amber pedal 
reflectors, and a red rear-facing reflector.
    (b) Side reflectors. There shall be retroreflective tire sidewalls 
or, alternatively, reflectors mounted on the spokes of each wheel, or, 
for non-caliper rim brake bicycles, retroreflective wheel rims. The 
center of spoke-mounted reflectors shall be within 76 mm (3.0 in.) of 
the inside of the rim. Side reflective devices shall be visible on each 
side of the wheel.
    (c) Front reflector. The reflector or mount shall not contact the 
ground plane when the bicycle is resting on that plane in any 
orientation. The optical axis of the reflector shall be directed forward 
within 5 deg. of the horizontal-vertical alignment of the bicycle when 
the wheels are tracking in a straight line, as defined in 
Sec. 1512.18(m)(2). The reflectors and/or mounts shall incorporate a 
distinct, preferred assembly method that shall insure that the reflector 
meets the optical requirements of this paragraph (c) when the reflector 
is attached to the bicycle. The front reflector shall be tested in 
accordance with the reflector mount and alignment test, Sec. 1512.18(m).
    (d) Rear reflector. The reflector or mount shall not contact the 
ground plane when the bicycle is resting on that plane in any 
orientation. The reflector shall be mounted such that it is to the rear 
of the seat mast with the top of the reflector at least 76 mm (3.0 in) 
below the point on the seat surface that is intersected by the line of 
the seat post. The optical axis of the reflector shall be directed 
rearward within 5 deg. of the horizontal-vertical alignment of the 
bicycle when the wheels are traveling in a straight line, as defined in 
Sec. 1512.18(m)(2). The reflectors and/or mounts shall incorporate a 
distinct, preferred assembly method that shall insure that the reflector 
meets the optical requirements of this paragraph (d) when the reflector 
is attached to the bicycle. The rear reflector shall be tested in 
accordance with the reflector mount and alignment test, Sec. 1512.18(m).
    (e) Pedal reflectors. Each pedal shall have reflectors located on 
the front and rear surfaces of the pedal. The reflector elements may be 
either integral with the construction of the pedal or mechanically 
attached, but shall be sufficiently recessed from the edge of the pedal, 
or of the reflector housing, to prevent contact of the reflector element 
with a flat surface placed in contact with the edge of the pedal.
    (f) Side reflectors. Reflectors affixed to the wheel spokes shall be 
mounted either flat on the spokes or within the spoke cage such that the 
angle between the optical axis and the normal to the plane of the wheel 
shall not exceed the angle of the spokes with the plane of the wheel. 
The reflectors shall not interfere with any wheel adjustments. The side-
mounted reflector devices shall be essentially colorless or amber on the 
front wheel and essentially colorless or red on the rear wheel.
    (g) Reflector tests. The pedal, front-mount, rear-mount, and side-
mount reflectors shall be tested in accordance with the reflector test, 
Sec. 1512.18(n), to assure the reflectance values over the angles given 
in tables 1 and 2.
    (h) Retroreflective tire sidewalls. When retroreflective tire 
sidewalls are used in lieu of spoke-mounted reflectors, the

[[Page 562]]

reflecting material shall meet the following requirements:
    (1) The retroreflective material shall form a continuous circle on 
the sidewall.
    (2) The retroreflective material shall adhere to the tire such that 
after the tire has been subjected to a temperature of 50 deg. 
3  deg.C (122 deg. 5.4  deg.F) for 30 minutes, 
the retroreflective material cannot be peeled or scraped away without 
removal of tire material.
    (3) The retroreflective material shall be as resistant to abrasion 
as is the adjacent sidewall material so that when retroreflective 
material is removed from the inflated tire by abrasion with a wet, steel 
bristle brush, tire material will be removed along with the 
retroreflective material.
    (4) The retroreflective material shall be tested for performance in 
accordance with the retroreflective tire test, Sec. 1512.18(o), to 
assure the reflectance properties over the angles given in table 3. When 
a portion of the retroreflective material is selected (and the remainder 
is masked as specified in Sec. 1512.18(o)(2)(i)), the selected portion 
shall not contact the ground plane when the assembled bicycle is resting 
on that plane in any orientation.
    (i) Retroreflective rims. When retroreflective rims are used in lieu 
of spoke-mounted reflectors or retroreflective tire sidewalls, the 
reflecting material shall meet the following requirements:
    (1) The retroreflective material shall form a continuous circle on 
the rim.
    (2) If the retroreflective material is applied to the rim in the 
form of a self-adhesive tape, the following requirement must be met: Use 
a sharp knife, razor blade, or similar instrument to carefully release 
an end of the tape material sufficient to be grasped between the thumb 
and finger. Grasp the freed tape end and gradually pull in a direction 
90 deg. to the plane of the rim. The tape material must break before 
additional separation (peeling) from the rim is observed.
    (3) After the retroreflective material is abraded in accordance with 
the abrasion test for retroreflective rims at Sec. 1512.18(r), the rim 
must then be tested for performance in accordance with the 
retroreflective tire and rim test at Sec. 1512.18(o), to assure the 
reflectance properties over the angles given in table 3.

[43 FR 60034, Dec. 22, 1978, as amended at 45 FR 82627, 82628, Dec. 16, 
1980]



Sec. 1512.17  Other requirements.

    (a) Road test. Bicycles, other than sidewalk bicycles, shall be 
ridden at least 6.4 km (4.0 mi.) by a rider weighing at least 68.1kg 
(150 lb.) and travel five times over a 30.5 m (100 ft.) cleated course 
in accordance with the road test, Sec. 1512.18(p), and shall exhibit 
stable handling, turning, and steering characteristics without 
difficulty of operation. There shall be no system or component failure 
of the structure, brakes, or tires, and there shall be no loosening or 
misalignment of the seat, handlebars, controls, or reflectors during or 
resulting from this test.
    (b) Sidewalk bicycle proof test. Sidewalk bicycles shall be dropped 
a distance of at least 300 mm (1.0 ft.) three times onto a paved surface 
with weights attached in accordance with the sidewalk bicycle proof 
test, Sec. 1512.18(q). There shall be no fracture of wheels, frame, 
seat, handlebars, or fork during or resulting from this test.
    (c) Ground clearance. With the pedal horizontal and the pedal crank 
in its lowest position and any training wheels removed, it shall be 
possible to tilt the bicycle at least 25 deg. from the vertical without 
the pedal or any other part (other than tires) contacting the ground 
plane.
    (d) Toe clearance. Bicycles not equipped with positive foot-
retaining devices (such as toe clips) shall have at least 89 mm (3\1/2\ 
in) clearance between the pedal and the front tire or fender (when 
turned to any position). The clearance shall be measured forward and 
parallel to the longitudinal axis of the bicycle from the center of 
either pedal to the arc swept by the tire or fender, whichever results 
in the least clearance. (See figure 6 of this part 1512.)



Sec. 1512.18  Tests and test procedures.

    (a) Sharp edge test. [Reserved]
    (b) [Reserved]
    (c) Protective cap and end-mounted devices test. (Ref. 
Sec. 1512.4(i), Sec. 1512.6(d).)

[[Page 563]]

Any device suitable for exerting a removal force of at least 67 N (15 
lbf) for protective caps and 8.9 N (2.0 lbf) for end caps at any point 
and in any direction may be used. All protective caps and end-mounted 
handlebar devices shall be tested to determine that they cannot be 
removed by application of the specified forces.
    (d) Handbrake loading and performance test: (Ref. Sec. 1512.5(b)).
    (1) Apparatus. A spring scale or other suitable device for measuring 
the specified forces on the handbrake levers and a dry, clean, level, 
paved surface of adequate length.
    (2) Procedure. The loading test, Sec. 1512.18(d)(2)(i), and the 
rocking test, Sec. 1512.18(d)(2)(iii), shall be performed before the 
performance test, Sec. 1512.18(d)(2)(v), is performed and no adjustments 
shall be made between these tests.
    (i) Loading test procedure. The hand levers shall be actuated with a 
force applied at a point no more than 25 mm (1.0 in) from the open end 
of the lever. If the hand lever contacts the handlebar (bottoms) before 
a force of 445 N (100 lbf) is reached, the loading may be stopped at 
that point, otherwise the loading shall be increased to at least 445 N 
(100 lbf). \4\ Application of the loading force shall be repeated for a 
total of 10 times and all brake components shall be inspected.
---------------------------------------------------------------------------

    \4\ For hand lever extensions, the loading shall be continued until 
a force of 445 N (100 lbf) is reached or the hand lever extension is in 
the same plane as the upper surface of the handlebars or the extension 
lever contacts the handlebars.
---------------------------------------------------------------------------

    (ii) Loading test criteria. There shall be no visible fractures, 
failures, misalignments, and clearances not in compliance with 
applicable parts of Sec. 1512.5.
    (iii) Rocking test procedure. A weight of at least 68.1 kg (150 lb) 
shall be placed on the seat; the force required for the hand levers to 
contact the handlebars or 445 N (100 lbf), as determined in 
Sec. 1512.18(d)(2), shall be applied to the hand levers; \4\ and the 
bicycle shall be rocked forward and backward over a dry, clean, level, 
paved surface at least six times and for a distance of at least 76 mm (3 
in) in each direction.
    (iv) Rocking test criteria. There shall be no loosening of the brake 
pads, pad holders, or cable and hand-lever securing devices or any other 
functional brake component.
    (v) Performance test procedure. The following test conditions, 
unless otherwise specified in this part 1512, shall be followed:
    (A) The bicycle shall be ridden over a dry, clean, smooth paved test 
course free from protruding aggregate. The test course shall provide a 
coefficient of friction of less then 1.0 and shall have a slope of less 
than 1 percent.
    (B) The wind velocity shall be less than 11 km/h (7 mph).
    (C) Only the brake system under test shall be actuated.
    (D) The bicycle shall attain the specified ground speed while the 
rider is in the normal riding position.
    (E) The rider shall remain in the normal riding position throughout 
the test.
    (F) The bicycle must be moving in a straight line at the start of 
brake application.
    (G) Corrections for velocity at the initiation of braking may be 
made. The corrected braking distance shall be computed as follow:

Sc = (Vs / Vm)\2\Sm

where:
Sc = Corrected braking distance,
Vs = Specified test velocity.
Vm = Measured test velocity,
Sm = Measured braking distance.


The test run is invalid if at the commencement of the test, the measured 
test speed of the bicycle is not less than nor greater than the test 
speed required by this part 1512 by 1.5 km/h (0.9 mph).
    (H) Four test runs are required. The stopping distance shall be 
determined by averaging the results of the four test runs.
    (I) The stopping distances specified are based on a rider weight of 
at least 68.1 kg (150 lb) and a maximum rider and weight combination of 
91 kg (200 lb). Greater stopping distances are allowable for heavier 
riders and test equipment weights at the rate of 0.30 m per 4.5 kg (1.0 
ft per 10 lb).
    (J) A test run is invalid if front-wheel lockup occurs.
    (vi) Performance test criteria. The stopping force applied to the 
hand lever at

[[Page 564]]

a point no closer than 25 mm (1.0 in) from the open end shall not exceed 
178 N (40 lbf). Bicycles with an equivalent ground speed in excess of 24 
km/h (15 mph) (in its highest gear ratio at a pedal crank rate of 60 
revolutions per minute) \3\ shall stop from an actual test speed of 24 
km/h (15 mph) or greater within a distance of 4.57 m (15 ft); when the 
equivalent ground speed is less than 24 km/h (15 mph) under the same 
conditions, the bicycle shall stop from an actual test speed of 16 km/h 
(10 mph) or greater within a distance of 4.57 m (15 ft).
---------------------------------------------------------------------------

    \3\ See footnote 3 to Sec. 1512.5.
---------------------------------------------------------------------------

    (e) Footbrake force and performance test. (Ref. Sec. 1512.5(c) (1) 
and (2)):
    (1) Apparatus. Suitable devices for exerting and measuring the 
required forces and a dry, clean, level, paved surface of adequate 
length.
    (2) Force test. The braking force shall be measured as the wheel is 
rotated in a direction of forward motion, and the braking force is 
measured in a direction tangential to the tire during a steady pull 
after the wheel completes one-half revolution but before the wheel 
completes one revolution. The brake shall be capable of producing a 
linearly proportional brake force for a gradually applied pedal force 
from 89 N to 310 N (20 to 70 lbf) and shall not be less than 178 N (40 
lbf) for an applied pedal force of 310 N (70 lbf). All data points must 
fall within plus or minus 20 percent of the brake force, based on the 
measured brake load using the least square method of obtaining the best 
straight line curve.
    (3) Performance test. The procedure of Sec. 1512.18(d)(2)(v) shall 
be followed to test the footbrake performance. The stopping distance 
shall be less than 4.57 m (15 ft) from an actual test speed of 16 km/h 
(10 mph). In addition, if the equivalent ground speed of the bicycle is 
in excess of 24 km/h (15 mph) (in its highest gear ratio at a pedal 
crank rate of 60 revolutions per minute), \3\ the stopping distance 
shall be 4.57 m (15 ft) from an actual test speed of 24 km/h (15 mph) or 
greater.

    Note: No allowance shall be made for rider weight. See 
Sec. 1512.5(d) for additional requirements for bicycles with both 
handbrakes and footbrakes.

    (f) Sidewalk bicycle footbrake force test. For sidewalk bicycles, 
the footbrake force test is the same as for bicycles except; the brake 
force transmitted to the rear wheel shall continually increase as the 
pedal force is increased from 44.5 N to 225 N (10 to 50 lbf). The ratio 
of applied pedal force to braking force shall not be greater than two-
to-one.
    (g) Handlebar stem test. (Ref. Sec. 1512.6(b)):
    (1) Procedure. The handlebar stem shall be tested for strength by 
applying a force of 2000 N (450 lbf), in a forward direction, for 
bicycles, or 1000 N (225 lbf) for sidewalk bicycles, at a point in line 
with the handlbar attachment point and at an angle of 45 deg. from the 
stem centerline (See fig. 2).
    (2) Criteria. No visible fractures shall result from this test.
    (h) Handlebar test. (Ref. Sec. 1512.6(e)):
    (1) Stem-to-fork clamp test--(i) Procedure. The handlebar and 
handlebar stem shall be assembled to the bicycle in accordance with the 
manufacturer's instructions. The handlebar-fork assembly shall be 
subjected to a torque applied about the axis of the stem, and shall then 
be disassembled and examined for signs of structural damage including 
cracking, splitting, stripping of threads, bearing damage, and bulging 
of the stem and fork structures. The handlebar and handlebar stem 
components shall be inspected for visible signs of galling, gouging, and 
scoring not due to normal assembly and disassembly operations.
    (ii) Criteria. There shall be no visible movement between the stem 
and fork when a torque of 47+3, -0 N-m (35+2, -0 ft=lb) for bicycles and 
20+3, -0 N-m (15+2, -0 ft=lb) for sidewalk bicycles is applied to the 
handlebar about the stem-to-fork axis. There shall be no visible signs 
of damage to the stem-to-fork assembly or any component part thereof.
    (2) Handlebar strength and clamp test--(i) Procedure. The stem shall 
be in place on the bicycle or in an equivalent test fixture and secured 
according to manufacturer's instructions. A load shall be applied 
equally to each handlebar end in a direction to cause the greatest 
torque about the handlebar-to-stem

[[Page 565]]

clamp; deflection shall be measured along the line of applied force.
    (ii) Criteria. The handlebars shall support a force of no less than 
445 N (100 lbf) or absorb no less than 22.6 J (200 in-lb) of energy 
through a maximum deflection of no more than 76 mm (3.0 in.); the 
handlebar clamp shall prevent rotational movement of the handlebars 
relative to the clamp, and there shall be no visible fractures.
    (i) Pedal slip test. [Reserved]
    (j) Rim test. (Ref. Sec. Sec. 1512.10 and 1512.11(c)):
    (1) Procedure. Only one wheel need be tested if the front and rear 
wheel are of identical construction. The wheel to be tested shall be 
removed from the bicycle and be supported circumferentially around the 
tire sidewall. A load of 2000 N (450 lbf) shall be applied to the axle 
and normal to the plane of the wheel for at least 30 seconds. If the 
wheel hub is offset, the load shall be applied in the direction of the 
offset.
    (2) Criteria. The wheel and tire assembly shall be inspected for 
compliance with the requirements of Sec. 1512.11(a) and shall be 
remounted on the bicycle according to the manufacturer's instructions 
and shall turn freely without roughness and shall comply with the 
requirement of Sec. 1512.11(b).
    (3) Front hub retention test. (Ref. Sec. 1512.12(c)).
    (i) Procedures. Front hub locking devices shall be released. When 
threaded nuts and axles are used, the nuts shall be open at least 
360 deg. from a finger tight condition. A separation force of at least 
111 N (25 lb) shall be applied to the hub on a line along the slots in 
the fork ends.
    (ii) Criteria. The front hub shall not separate from the fork; 
fenders, mudguards, struts, and brakes shall not be allowed to restrain 
the separation.
    (k) Fork and frame test. (Ref. Sec. Sec. 1512.13 and 1512.14):
    (1) Fork test--(i) Procedure. With the fork stem supported in a 76 
mm (3.0 in) vee block and secured by the method illustrated in figure 1 
of this part 1512, a load shall be applied at the axle attachment in a 
direction perpendicular to the centerline of the stem and against the 
direction of the rake. Load and deflection readings shall be recorded 
and plotted at the point of loading. The load shall be increased until a 
deflection of 64 mm (2\1/2\ in) is reached.
    (ii) Criteria. Energy of at least 39.5 J (350 in-lb) shall be 
absorbed with a deflection in the direction of the force of no more than 
64 mm (2\1/2\ in.).
    (2) Fork and frame assembly test--(i) Procedure. The fork, or one 
identical to that tested in accordance with the fork test, 
Sec. 1512.18(k)(1), shall be replaced on the bicycle in accordance with 
the manufacturer's instructions; and a load of 890 N (200 lbf), or an 
energy of at least 39.5 J (350 in-lb), whichever results in the greater 
force, shall be applied to the fork at the axle attachment point against 
the direction of the rake in line with the rear wheel axle. The test 
load shall be counteracted by a force applied at the location of the 
rear axle during this test.
    (ii) Criteria. There shall be no visible evidence of fracture and no 
deformation of frame that significantly limits the steering angle over 
which the front wheel can be turned.
    (l) Seat adjustment clamps and load test. (Ref. Sec. 1512.15(c)).
    (1) Procedure. A force of at least 668 N (150 lbf) shall be applied 
vertically downward (334 N (75 lbf) for sidewalk bicycles) to a point 
within 25 mm (1.0 in.) from either the front or rear of the seat, 
whichever produces the greatest torque on the seat clamp. After removal 
of this force, a force of 222 N (50 lbf) shall then be applied 
horizontally (111 N (25 lbf) for sidewalk bicycles) to a point within 25 
mm (1.0 in.) from either the front or rear of the seat, whichever 
produces the greatest torque on the clamp.
    (2) Criteria. No movement of the seat with respect to the seat post, 
or of the seat post with respect to the bicycle frame, shall have 
resulted from application of the forces specified.
    (m) Reflector mount and alignment test. (Ref. Sec. 1512.16 (c) and 
(d)):
    (1) Procedure. A force of 89 N (20 lbf) shall be applied to the 
reflector mount in at least three directions selected as most likely to 
affect its alignment. At least one of those directions shall be selected 
to represent a force that would be expected in lifting the bicycle by 
grasping the reflector.

[[Page 566]]

    (2) Criteria. (i) During test: The optical axis of the reflector 
shall remain parallel within 15 deg. to the line or intersection of the 
ground plane and the center plane of the bicycle defined as a plane 
containing both wheels and the centerlines of the down tube and seat 
mast.
    (ii) Post test: The optical axis of the reflector shall remain 
parallel within 5 deg. to the line or intersection of the ground plane 
and the center plane of the bicycle defined as a plane containing both 
wheels and the centerlines of the down tube and seat mast.
    (n) Reflector test. (Ref. Sec. 1512.16(g)):
    (1) Conditioning. The following conditioning in the order given 
shall be performed prior to testing for performance.
    (i) Warpage conditioning. The reflector shall be held in a preheated 
oven for at least one hour at 50 deg. 5  deg.C 
(1225.4  deg.F). A pedal reflector may be conditioned 
integrally with its pedal.
    (ii) Mechanical impact conditioning. The reflector shall be mounted 
faceup in a manner similar to the way in which it is mounted on the 
bicycle. A 13 mm (\1/2\ in.) diameter polished steel ball shall be 
dropped normal to the center of the face of the reflector from a height 
of 0.76 m (30 in.). The ball may be guided by a tube with holes, but not 
restricted in free fall. Pedal reflectors are exempt from this impact 
conditioning.
    (iii) Moisture conditioning. The reflector shall be submerged in tap 
water in a suitable container. The container shall be pressurized in 
17.2 kN/m2 (2.5 psi) (equivalent to 1.7 m (5\3/4\ ft.)) of 
water for 15 minutes and then released.
    (2) Reflector performance test. (i) Arrangements for the reflector 
performance test shall be as shown in figure 3 and the distance D 
between the light source and the reflector shall be 30.5 m (100 ft.). 
The source of illumination shall be a lamp with a 51 mm (2.0 in.) 
effective diameter and a filament operating at 2,85610 
percent color temperature. The observation point shall be colocated (as 
close as practicable) with the source of illumination. The reflector 
shall be mounted with the center of the reflector at the center of 
rotation and at the same horizontal level as the source of illumination. 
Photometric measurements shall be made at the observation angles and 
entrance angles given in tables 1 and 2.
    (ii) The observation angle is the angle formed by a line from the 
point of observation to the center of the reflector with a second line 
from the center of the reflector to the source of illumination. The 
entrance angle is the angle between the optical axis of the reflector 
and a line from the center of the reflector to the source of 
illumination. The entrance angle shall be designated left, right, up, 
and down in accordance with the position of the source of illumination 
with respect to the axis of the reflector as viewed from behind the 
reflector when the plane of the observation angle is vertical and the 
receiver is above the source.
    (iii) Photometric measurements shall be made either visually or 
photoelectrically. With either method, the light reflected to the 
observation point shall be determined. Also, the illumination on the 
reflector from the source shall be measured.
    (iv) For visual measurements a comparison lamp, emitting light 
similar in spectral quality to the reflector, shall be located adjacent 
to the reflector (at an angle not to exceed \1/2\ deg.) and arranged so 
that the candlepower can be varied from 0.01 to 0.25 to make the 
intensity duplicate that of the reflector under test. The candlepower of 
the source of the illumination of the reflector under test shall be 
known or determined for this test. Means shall be provided to change the 
intensity of the source of illumination without changing the filament 
color temperature. The comparison lamp shall be designed to avoid 
reflection from the source of illumination back in the direction of the 
observer. It shall be of such size and so diffused that when viewed by 
the observer (through a 2\1/2\x reducing monocular), the candlepower can 
be readily compared and adjusted to that of the reflector. The observer 
shall have at least 10 minutes of dark adaption before making 
observations. For photoelectric measurements, the opening to the 
photocell shall not be more than \1/2\ inch vertical by 1 inch 
horizontal.
    (v) Reflectors that mount on the bicycle in a fixed rotational 
position

[[Page 567]]

with respect to the bicycle, or the bicycle component on which they are 
mounted (such as pedals or spokes), shall be tested with a single 
orientation. Reflectors that do not mount on the bicycle in a fixed 
rotational position with respect to the bicycle shall be rotated about 
their axis through 360 deg. to find the minimum candlepower per 
footcandle for each test point. If the measurement falls below the 
minimum requirement at any test point, the reflector shall be rotated 
5 deg. about its axis from the angle where the minimum 
occurs, and the maximum candlepower per footcandle within this angle 
shall be the measured value.
    (vi) Should uncolored reflections from the front surface interfere 
with photometric readings at any test point the lowest reading and 
location within 1 deg. above, below, right, and left of the test point 
shall meet the minimum requirement for the test point.
    (vii) A recommended coordinate system for definition of color is the 
``Internationale de l'Eclairage (CIE 1931)'' system in the IES Lighting 
Handbook, \5\ fifth edition, 1972. In the coordinate system and when 
illuminated by the source defined in table 4 of this part 1512, a 
reflector will be considered to be red if its color falls within the 
region bounded by the red spectrum locus and the lines y0.980--x and 
y0.335; a reflector will be considered to be amber if its color falls 
within the region bounded by the yellow spectrum locus and the lines 
y0.382, y0.790-0.667x, and y x--0.120.
---------------------------------------------------------------------------

    \5\ Copies may be obtained from Illuminating Engineering Society, 35 
East 47th Street, New York, N.Y. 10017.
---------------------------------------------------------------------------

    (o) Reflective tire and rim test (Ref. Sec. 1512.16(h) and (i)):
    (1) Apparatus. Arrangements for the reflective intensity measurement 
shall be as shown in figure 3 of this part 1512. A light projector 
(having a maximum effective lens diameter of D/500, where D is the 
distance from the source to the retroreflective surface being measured) 
capable of projecting light of uniform intensity shall be used to 
illuminate the sample. The light falling on the sample shall have a 
color temperature of 2856 deg.K+10% (equivalent to a tungsten filament 
lamp operated at a color temperature of 2856 deg.K+10% having 
approximately the relative energy distribution given in table 4 of this 
part 1512). The light reflected from the test surface shall be measured 
with a photoelectric receiver, the response of which has been corrected 
for the spectral sensitivity of the average photopic human eye. The 
dimensions of the active area of the receiver shall be such that no 
point on the perimeter of the receiver is more than D/100 from its 
center (where d is the distance from the receiver to the retroreflective 
surface). Wheels used for the measurement of retroreflective tires or 
rims shall have all exposed metallic surfaces, including spokes, masked 
in flat black so that when measured these surfaces indicate no 
appreciable reflectance. The tire shall be mounted and fully inflated. 
Distances shall be measured from the plane of the wheel and the center 
of the hub. For the tests, the distance D between the projector and the 
center of the wheel and distance d between the center of the wheel and 
the receiver shall each be at least 15 m (50 ft.).
    (2) Procedure--(i) Masking. The reflecting strip to be tested shall 
be within two concentric circles, the larger of which is no more than 
0.02 m (0.79 in.) greater in radius than the smaller. While additional 
reflecting material is permitted outside such boundaries, such 
additional material shall not be counted in determining the average 
width of the reflecting strip and shall be masked off with opaque, matte 
black tape in testing the reflecting material.
    (ii) Orientation. Every position of the reflecting strip on the rim 
or the mounted and fully inflated tire to be tested shall be oriented so 
that the normal to this portion is within 40 deg. of parallel to the 
axis of rotation of the wheel.
    (iii) Measurement. Measure the distance d from the receiver to the 
center of the wheel and the minimum distance r from the axis of rotation 
of the wheel to the unmasked portion of the reflective strip. Measure 
the illumination incident on the reflective strip at uniform intervals 
of no more than 45 deg. around the wheel, with the receiver

[[Page 568]]

oriented in the direction of the incident radiation. The average of such 
readings will be the mean illumination of the sample E. If any one of 
such readings differs by more than 10 percent from the mean 
illumination, then a more uniform source must be obtained. Measure the 
illumination of the receiver due to reflection from the retroreflective 
surface for each entrance angle and each observation angle given in 
table 3 of this part 1512. The entrance angle and the observation angle 
shall be in the same plane. A negative entrance angle (figure 3 of this 
part 1512) is specified when the entrance angle is small because the 
location of the receiver with respect to the direction of illumination 
becomes important for distinguishing between ordinary mirror-like 
reflection and retroreflection. The illumination incident on the test 
surface and the receiver shall be measured in the same units on a linear 
scale. Compute the ratio A for each combination of entrance angle and 
observation angle listed in table 3 as follows:

A = [(Er / Es)(d\2\ / r)]
Where:
A = Ratio in meters,
Er = Illumination incident upon the receiver,
Es = Illumination incident upon a plane perpendicular to the 
incident ray at the specimen position (see instructions above in this 
paragraph (o)(2)(iii) for averaging), measured in the same units as 
Er,
d = The distance in meters from the receiver to the center of the wheel,
r = The minimum radius in meters of the boundary circles of the 
retroreflective strip.


The minimum value of A shall be that listed in table 3 of this part 1512 
for each combination of entrance angle and observation angle. The plane 
containing the entrance angle and the plane containing the observation 
angle shall coincide. In table 3, a positive entrance angle corresponds 
to the case in which the line of sight to the receiver lies between the 
line of incidence and the optic axis of the reflector, and a negative 
entrance angle corresponds to the case in which the line of incidence 
lies between the line of sight of the receiver and optic axis of the 
reflector.
    (iv) Criteria. The ratio A as defined in Sec. 1511.18(o)(2)(iii) 
shall not be less than:

A = [4(cos\2\ / 1 + (o / 0.225)3/2]


where A is ratio in meters, is the entrance angle, and o is the 
observation angle in degrees. The criterion applies only for entrance 
angles from 0 deg. to 40 deg. and observation angles from 0.2 deg. to 
1.5 deg., and performance is not specified beyond this range. The values 
of A in table 3 are obtained from the above formula by rounding up to 
two significant figures. Except in cases in which the performance of the 
reflector is seriously questionable, a reflector with A at least the 
value given in table 3 at each of the six combinations of entrance and 
observation angles will be considered to satisfy this criteria.

    (p) Road test. (Ref. Sec. Sec. 1512.15(c) and 1512.17(a)):
    (1) Procedure. The bicycle shall be ridden at least 6.4 km (4.0 mi.) 
by a rider weighing at least 68.1 kg (150 lb.) with the tires inflated 
to maximum recommended pressure. Travel shall include riding the bicycle 
five times over a 30 m (100 ft.) course of wooden cleats fastened to a 
paved surface. The cleats shall be a full 25 mm (1.0 in.) high by 51 mm 
(2.0 in.) wide lumber with a 12 mm by 12 mm (\1/2\ in. by \1/2\ in.) 
chamfer of 45 deg. on the corners contacting the tires. The cleats shall 
be spaced every 1.8 m (6.0 ft.) over the 30 m (100 ft.) course. The 
bicycle shall be ridden over the cleated course at a speed of at least 
24 km/hr (15 mph) with the rider firmly seated.
    (2) Criteria. The bicycle shall exhibit stable handling, turning, 
and steering characteristics without difficulty of operation. There 
shall be no system or component failure of the structure, brakes, or 
tires and there shall be no loosening or misalignment of the seat, 
handlebars, controls, or reflectors.
    (q) Sidewalk bicycle proof test. (Ref. Sec. Sec. 1512.15(c) and 
1512.17(b)):
    (1) Procedure. The bicycle shall be loaded with weights of 13.6 kg 
(30 lb.) on the seat surface and 4.5 kg (10 lb.) attached to the end of 
each handle grip for a total load of 22.7 kg (50 lb.). The bicycle shall 
be lifted a distance of 0.3 m (1.0 ft.) and dropped (while maintaining 
an upright position) three times onto a paved surface. Following this 
and with weight removed, it shall be allowed to fall in any 
configuration

[[Page 569]]

and attitude from an upright position to the paved surface three times 
on each side.
    (r) Abrasion test for retroreflective rims. (Ref. Sec. 1512.16(i)):
    (1) This test consists of a steel wire cup brush rotating at a 
constant velocity of 60 rpm that is applied at a force of 2 N (0.45 lbf) 
to the retroreflective material on one side of a bicycle wheel rim. The 
rim is rotated about the axle at a linear velocity of 0.23 m/sec (9 in./
sec). The test is complete when the wheel has completed 1000 
revolutions.
    (2) Apparatus. Figure 8 of this part 1512 illustrates the following 
test fixture arrangement that is suitable to perform this abrasion test:
    (i) Test fixture. The test fixture contains a clamp to hold the axle 
of a bicycle wheel so that the wheel can rotate freely about the axle. 
The axis of rotation is capable of being inclined from the vertical to 
bring that portion of the side of the wheel rim containing the 
retroreflective material into a horizontal plane as it passes beneath 
the abrading brush. A drive mechanism to rotate the bicycle wheel 
contains a means to adjust the rotational velocity to obtain the 
specified linear velocity measured at a point on the wheel rim on the 
axis of the abrading brush.
    (ii) Abrader. The abrader is a cup brush meeting the specification 
in paragraph (r)(3)(v) of this section. It is mounted in a chuck 
attached to a motor that rotates about a vertical axis at the specified 
rotational velocity. A means is provided to apply the rotating cup brush 
at the specified force against the retroreflective material on the 
bicycle wheel rim. The axis of the abrading brush is positioned on the 
mid point in the width of the retroreflective material. The force is 
produced by deadweights applied to a pan on the axis of the 
counterbalanced motor/brush assembly.
    (3) Specifications. (i) The linear velocity of the reflective band 
on wheel rim shall be 0.23 m/sec (9 in./sec) measured at a point on the 
axis of the abrading brush.
    (ii) The rotational velocity of the abrading brush shall be 60 rpm.
    (iii) The force normal to the plane of the retroreflective material 
at which the abrading brush is to be applied shall be 2 N (0.45 lbf).
    (iv) The bicycle wheel shall make 1000 complete revolutions per 
test.
    (v) The abrader shall be a cup brush having bristles that are 0.005 
in. (approx. 0.13mm) diameter low carbon steel wire; an outside diameter 
of 0.5 inch (aprox. .13mm); a wire bristle length of 0.25 inch (approx. 
6.4mm); and a cup diameter of 0.405 inch (approx. 10.29mm). \6\
---------------------------------------------------------------------------

    \6\ For compliance testing the Commission will use a brush meeting 
this description distributed by Dremel Manufacturing Company, Racine, 
Wisconsin as Dremel Part No. 442. This brush is manufactured by Weiler 
Brush Company as No. 26074, MC-10 Wire.
---------------------------------------------------------------------------

    (vi) The abrasion test shall be conducted at an ambient temperature 
of between 16  deg.C (60  deg.F) and 27  deg.C (80  deg.F).
    (4) Procedure. (i) The retroreflective bicycle rim to be tested 
shall be an unused sample free from grit, grime and grease. Prior to 
beginning the test, remove, according to instructions supplied with the 
bicycle, any protective coating or material used to prevent damage in 
shipping.
    (ii) Test the wheel in a suitable test fixture, according to the 
specifications in paragraph (r)(3) of this section.
    (iii) Clamp the wheel by its axle in the test fixture and align the 
axis of rotation so that the portion of the reflective material below 
the axis of the abrading brush is horizontal.
    (iv) Shape the cup brush by hand to the specified 0.5 (approx. 13mm) 
diameter. Any stray wire bristles projecting more than 1/32 in. (approx. 
1 mm) beyond the tip of the bulk of the bristles should be clipped off. 
Adjust the position of the brush so that its axis is centered over the 
mid-point in the width of the retroreflective material.
    (v) Adjust the rotational velocity of the bicycle wheel to obtain a 
linear velocity of 0.23 m/sec (9 in./sec) measured at the mid-point in 
the width of the retroreflective material. Adjust the force to obtain a 
force normal to the surface under the brush of 2 N (0.45 lbf).
    (vi) Apply the abrading brush to the retroreflective material on the 
wheel

[[Page 570]]

rim, and continue the test for 1000 complete revolutions of the bicycle 
wheel.

[43 FR 60034, Dec. 22, 1978, as amended at 45 FR 82628, Dec. 16, 1980; 
46 FR 3204, Jan. 14, 1981]



Sec. 1512.19  Instructions and labeling.

    A bicycle shall have an instruction manual attached to its frame or 
included with the packaged unit.
    (a) The instruction manual shall include at least the following:
    (1) Operations and safety instructions describing operation of the 
brakes and gears, cautions concerning wet weather and night-time 
operation, and a guide for safe on-and-off road operation.
    (2) Assembly instructions for accomplishing complete and proper 
assembly.
    (3) Maintenance instructions for proper maintenance of brakes, 
control cables, bearing adjustments, wheel adjustments, lubrication, 
reflectors, tires and handlebar and seat adjustments; should the 
manufacturer determine that such maintenance is beyond the capability of 
the consumer, specifics regarding locations where such maintenance 
service can be obtained shall be included.
    (b) A bicycle less than fully assembled and fully adjusted shall 
have clearly displayed on any promotional display material and on the 
outside surface of the shipping carton the following: (1) A list of 
tools necessary to properly accomplish assembly and adjustment, (2) a 
drawing illustrating the minimum leg-length dimension of a rider and a 
method of measurement of this dimension.
    (c) The minimum leg-length dimension shall be readily understandable 
and shall be based on allowing no less than one inch of clearance 
between (1) the top tube of the bicycle and the ground plane and (2) the 
crotch measurement of the rider. A girl's style frame shall be specified 
in the same way using a corresponding boys' model as a basis.
    (d) [Reserved]
    (e) Every bicycle subject to the requirements of this part 1512 
shall bear a marking or label that is securely affixed on or to the 
frame of the bicycle in such a manner that the marking or label cannot 
be removed without being defaced or destroyed. The marking or label 
shall identify the name of the manufacturer or private labeler and shall 
also bear some form of marking from which the manufacturer can identify 
the month and year of manufacture or from which the private labeler can 
identify the manufacturer and the month and year of manufacture. For 
purposes of this paragraph, the term manufacture means the completion by 
the manufacturer of a bicycle of those construction or assembly 
operations that are performed by the manufacturer before the bicycle is 
shipped from the manufacturer's place of production for sale to 
distributors, retailers, or consumers.

[43 FR 60034, Dec. 22, 1978, as amended at 60 FR 62990, Dec. 8, 1995]



Sec. 1512.20  Separability.

    If any section or portion thereof of this part 1512 or its 
application to any person or circumstance is held invalid, the remainder 
of the section(s) and its (their) application to other persons or 
circumstances is not thereby affected.

Subpart B--Policies and Interpretations [Reserved]

[[Page 571]]

[GRAPHIC] [TIFF OMITTED] TC03OC91.070


[[Page 572]]


[GRAPHIC] [TIFF OMITTED] TC03OC91.071


[[Page 573]]


[GRAPHIC] [TIFF OMITTED] TC03OC91.072


[[Page 574]]


[GRAPHIC] [TIFF OMITTED] TC03OC91.073


[[Page 575]]


[GRAPHIC] [TIFF OMITTED] TC03OC91.074


[[Page 576]]



     Table 1--Minimum Candlepower per Incident Foot-Candle for Clear
                              Reflector \1\
------------------------------------------------------------------------
                                    Front, rear, and   Pedal reflectors;
                                    side reflectors;   entrance angle in
                                   entrance angle in        degrees
                                        degrees       ------------------
        Observation angle        ---------------------
                                                  20          10     20
                                    0    10 up/ left/    0    up/  left/
                                          down  right        down  right
------------------------------------------------------------------------
0.2.............................  27.0   18.0    9.0   7.5   6.0    3.0
0.3.............................  .....  .....  .....  6.0   4.8    2.4
1.5.............................    .28    .20    .12   .28   .20    .12
------------------------------------------------------------------------
\1\ Amber values shall be \5/8\ x clear values. Red values shall be \1/
  4\ clear values.


     Table 2--Minimum Candlepower per Incident Foot-Candle for Clear
                              Reflector \1\
------------------------------------------------------------------------
                                                   Front, rear, and side
                                                   reflectors; entrance
                                                     angle in degrees
                Observation angle                -----------------------
                                                    30      40      50
                                                   left/   left/   left/
                                                   right   right   right
------------------------------------------------------------------------
0.2.............................................   8.0     7.0     6.0
1.5.............................................    .12     .12     .12
------------------------------------------------------------------------
\1\ Amber values shall be \5/8\ x clear values. Red values shall be \1/
  4\ x clear values.


  Table 3--Minimum Acceptable Values for the Quantity A Defined in the
               Retroreflective Tire and Rim Test Procedure
------------------------------------------------------------------------
                                             Minimum acceptable value of
                                  Entrance                A
  Observation angle (degrees)      angle   -----------------------------
                                 (degrees)      Meters          Feet
------------------------------------------------------------------------
0.2............................         -4          2.2            7.25
 .2............................         20          1.9            6.27
 .2............................         40          1.3            4.29
1.5............................         -4           .22            .73
1.5............................         20           .19            .63
1.5............................         40           .13            .43
------------------------------------------------------------------------


[43 FR 60034, Dec. 22, 1978, as amended at 45 FR 82631, Dec. 16, 1980; 
46 FR 3204, Jan. 14, 1981]

            Table 4--Relative Energy Distribution of Sources
------------------------------------------------------------------------
                                                                Relative
                   Wave length (nanometers)                      energy
------------------------------------------------------------------------
380..........................................................       9.79
390..........................................................      12.09
400..........................................................      14.71
410..........................................................      17.68
420..........................................................      21.00
430..........................................................      24.67
440..........................................................      28.70
450..........................................................      33.09
460..........................................................      37.82
470..........................................................      42.87
480..........................................................      48.25
490..........................................................      53.91
500..........................................................      59.86
510..........................................................      66.06
520..........................................................      72.50
530..........................................................      79.13
540..........................................................      85.95
550..........................................................      92.91
560..........................................................     100.00
570..........................................................     107.18
580..........................................................     114.44
590..........................................................     121.73
600..........................................................     129.04
610..........................................................     136.34
620..........................................................     143.62
630..........................................................     150.83
640..........................................................     157.98
650..........................................................     165.03
660..........................................................     171.96
670..........................................................     178.77
680..........................................................     185.43
690..........................................................     191.93
700..........................................................     198.26
710..........................................................     204.41
720..........................................................     210.36
730..........................................................     216.12
740..........................................................     221.66
750..........................................................     227.00
760..........................................................     232.11
------------------------------------------------------------------------



PART 1513--REQUIREMENTS FOR BUNK BEDS--Table of Contents




Sec.
1513.1 Scope, application, and effective date.
1513.2 Definitions.
1513.3 Requirements.
1513.4 Test methods.
1513.5 Marking and labeling.
1513.6 Instructions.

Figures 1-4
Appendix to Part 1513--Findings Under the Federal Hazardous 
          Substances Act

    Authority: 15 U.S.C. 1261(f)(1)(D), 1261(s), 1262(e)(1), 1262(f)-
(i).

    Source: 64 FR 71907, Dec. 22, 1999, unless otherwise noted.



Sec. 1513.1  Scope, application, and effective date.

    (a) Scope, basis, and purpose. This part 1513 prescribes 
requirements for bunk beds to reduce or eliminate the risk that children 
will die or be injured from being trapped between the upper bunk and the 
wall or in openings below guardrails or in other structures in the bed. 
Bunk beds meeting these requirements are exempted from 16 CFR 
1500.18(a)(18).
    (b) Application and effective date. This part applies to all bunk 
beds, except those manufactured only for institutional use, that are 
manufactured in

[[Page 577]]

the United States, or imported, on or after June 19, 2000. (Facilities 
intended for use by children under age 6 are not considered to be 
institutions.) Bunk beds, as described in this section, that are not 
intended for use by children are subject to the requirements in 16 CFR 
part 1213, and not to 16 CFR 1500.18(a)(18). However, the provisions of 
16 CFR 1213 are substantively identical to the requirements in this part 
1513.



Sec. 1513.2  Definitions.

    As used in this part 1513:
     Bed. See Bunk bed.
     Bed end structure means an upright unit at the head and foot of the 
bed to which the side rails attach.
     Bunk bed means a bed in which the underside of any foundation is 
over 30 inches (760 mm) from the floor.
     Foundation means the base or support on which a mattress rests.
     Guardrail means a rail or guard on a side of the upper bunk to 
prevent a sleeping occupant from falling or rolling out.



Sec. 1513.3  Requirements.

    (a) Guardrails. (1) Any bunk bed shall provide at least two 
guardrails, at least one on each side of the bed, for each bed having 
the underside of its foundation more than 30 inches (760 mm) from the 
floor.
    (2) One guardrail shall be continuous between each of the bed's end 
structures. ``Continuous'' means that any gap between the guardrail and 
end structure shall not exceed 0.22 inches (5.6 mm) (so as to not cause 
a finger entrapment hazard for a child).
    (3) The other guardrail may terminate before reaching the bed's end 
structures, providing there is no more than 15 inches (380 mm) between 
either end of the guardrail and the nearest bed end structure.
    (4) For bunk beds designed to have a ladder attached to one side of 
the bed, the continuous guardrail shall be on the other side of the bed.
    (5) Guardrails shall be attached so that they cannot be removed 
without either intentionally releasing a fastening device or applying 
forces sequentially in different directions.
    (6) The upper edge of the guardrails shall be no less than 5 inches 
(130 mm) above the top surface of the mattress when a mattress of the 
maximum thickness specified by the manufacturer's instructions is on the 
bed. This requirement does not prohibit a wall-side guardrail that 
terminates in a quarter-circle bend and attaches to the side rail of the 
upper bunk foundation.
    (7) With no mattress on the bed, there shall be no openings in the 
structure between the lower edge of the uppermost member of the 
guardrail and the underside of the upper bunk's foundation that would 
permit passage of the wedge block shown in Figure 1 of this part when 
tested in accordance with the procedure at Sec. 1513.4(a).
    (b) Bed end structures. (1) The upper edge of the upper bunk end 
structures shall be at least 5 inches (130 mm) above the top surface of 
the mattress for at least 50 percent of the distance between the two 
posts at the head and foot of the upper bunk when a mattress and 
foundation of the maximum thickness specified by the manufacturer's 
instructions is on the bed.
    (2) With no mattress on the bed, there shall be no openings in the 
rigid end structures above the foundation of the upper bunk that will 
permit the free passage of the wedge block shown in Figure 1 when tested 
in accordance with the procedure at Sec. 1513.4(b).
    (3) When tested in accordance with Sec. 1513.4(c), there shall be no 
openings in the end structures between the underside of the foundation 
of the upper bunk and upper side of the foundation of the lower bunk 
that will permit the free passage of the wedge block shown in Figure 1, 
unless the openings are also large enough to permit the free passage of 
a 9-inch (230-mm) diameter rigid sphere.
    (4) All portions of the boundary of any opening required by 
Sec. Sec. 1513.4(c)(1) and (2) to be probed by the wedge block of Figure 
1, and that permits free passage of a 9-inch diameter sphere, must 
conform to the neck entrapment requirements of Sec. 1513.4(c)(3).



Sec. 1513.4  Test methods.

    (a) Guardrails (see Sec. 1513.3(a)(6)). With no mattress on the bed, 
place the wedge block shown in Figure 1, tapered

[[Page 578]]

side first, into each opening in the rigid bed structure below the lower 
edge of the uppermost member of the guardrail and above the underside of 
the upper bunk's foundation. Orient the block so that it is most likely 
to pass through the opening (e.g., the major axis of the block parallel 
to the major axis of the opening) (``most adverse orientation''). Then, 
gradually apply a 33-lbf (147-N) force in a direction perpendicular to 
the plane of the large end of the block. Sustain the force for 1 minute.
    (b) Upper bunk end structure (see Sec. 1513.3(b)(2)). Without a 
mattress or foundation on the upper bunk, place the wedge block shown in 
Figure 1 into any opening, tapered side first, and in the most adverse 
orientation. Determine if the wedge block can pass freely through the 
opening.
    (c) Lower bunk end structure (see Sec. 1513.3(b)(3)). (1) Without a 
mattress or foundation on the lower bunk, place the wedge block shown in 
Figure 1, tapered side first, into each opening in the lower bunk end 
structure in the most adverse orientation. Determine whether the wedge 
block can pass freely through the opening. If the wedge block passes 
freely through the opening, determine whether a 9-inch (230-mm) diameter 
rigid sphere can pass freely through the opening.
    (2) With the manufacturer's recommended maximum thickness mattress 
and foundation in place, repeat the test in paragraph (c)(1) of this 
section.
    (3) All portions of the boundary of any opening that is required to 
be probed by the wedge block of Figure 1 by paragraphs (c)(1) and (c)(2) 
of this section, and that permits free passage of a 9-inch diameter 
sphere, must satisfy the requirements of paragraphs (c)(3)(i) and 
(c)(3)(ii) of this section addressing neck entrapment:
    (i) Insert the ``A'' section of the test template shown in Figure 2 
of this part into the portion of the boundary to be tested, with the 
plane of the template in the plane of the opening and with the 
centerline of the top of the template (as shown in Figure 2) aligned 
parallel to the centerline of the opening, until motion is stopped by 
contact between the test template and the boundaries of the opening (see 
Figure 3 of this part). By visual inspection, determine if there is 
simultaneous contact between the boundary of the opening and both sides 
of the ``A'' section of the template. If simultaneous contact occurs, 
mark the contact points on the boundary of the opening and conduct the 
additional test described in paragraph (c)(3)(ii) of this section.
    (ii) To check the potential for neck entrapment, place the neck 
portion of the ``B'' section of the template into the opening, with its 
plane perpendicular to both the plane of the opening and the centerline 
of the opening (see Figure 4 of this part). If the neck portion of the 
``B'' section of the template can completely enter the opening (passes 
0.75 inch or more beyond the points previously contacted by the ``A'' 
section of the template), the opening is considered to present a neck 
entrapment hazard and fails the test, unless its lower boundary slopes 
downward at 45'' or more for the whole distance from the narrowest part 
of the opening the neck can reach to the part of the opening that will 
freely pass a 9-inch diameter sphere.



Sec. 1513.5  Marking and labeling.

    (a) There shall be a permanent label or marking on each bed stating 
the name and address (city, state, and zip code) of the manufacturer, 
distributor, or retailer; the model number; and the month and year of 
manufacture.
    (b) The following warning label shall be permanently attached to the 
inside of an upper bunk bed end structure in a location that cannot be 
covered by the bedding but that may be covered by the placement of a 
pillow.

[[Page 579]]

[GRAPHIC] [TIFF OMITTED] TR22DE99.006



Sec. 1513.6  Instructions

    Instructions shall accompany each bunk bed set, and shall include 
the following information.
    (a) Size of mattress and foundation. The length and width of the 
intended mattress and foundation shall be clearly stated, either 
numerically or in conventional terms such as twin size, twin extra-long, 
etc. In addition, the maximum thickness of the mattress and foundation 
required for compliance with Sec. 1513.3 (a)(5) and (b)(1) of this part 
shall be stated.
    (b) Safety warnings. The instructions shall provide the following 
safety warnings:
    (1) Do not allow children under 6 years of age to use the upper 
bunk.
    (2) Use guardrails on both sides of the upper bunk.
    (3) Prohibit horseplay on or under beds.
    (4) Prohibit more than one person on upper bunk.
    (5) Use ladder for entering or leaving upper bunk.
    (6) If the bunk bed will be placed next to a wall, the guardrail 
that runs the full length of the bed should be placed against the wall 
to prevent entrapment between the bed and the wall. (This applies only 
to bunk beds without two full-length guardrails.)

[[Page 580]]

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[[Page 581]]


[GRAPHIC] [TIFF OMITTED] TR22DE99.008


[[Page 582]]


[GRAPHIC] [TIFF OMITTED] TR22DE99.009


[[Page 583]]


[GRAPHIC] [TIFF OMITTED] TR22DE99.010

 Appendix to Part 1513--Findings Under the Federal Hazardous Substances 
                                   Act

    The Federal Hazardous Substances Act (FHSA) requires that the 
Commission, in order to issue part 1513, make the following findings and 
include them in the rule. 15 U.S.C. 1261(s), 1262(i). Because of this, 
the facts and determinations in these findings apply as of the date the 
rule was issued, December 22, 1999.
    A. Bunk beds present a mechanical hazard. Section 2(s) of the FHSA 
states that an ``article may be determined to present a mechanical 
hazard if, in normal use or when subjected to reasonably foreseeable 
damage or abuse, its design or manufacture presents an unreasonable risk 
of personal injury or illness * * * (3 from * * * surfaces, edges, 
openings, or closures * * * , or (9) because of any other aspect of the 
articles design or manufacture.'' 15 U.S.C. 1261(s).
    2. For a recent 9.6-year period, the CPSC received reports of 57 
deaths of children under age 15 who died when they were trapped between 
the upper bunk of a bunk bed and the wall or when they were trapped in 
openings in the bed's structure. Over 96% of those who died in 
entrapment incidents were age 3 or younger. On average, averting these 
deaths is expected to produce a benefit to society with a present value 
of about $175 to $350 for each bed that otherwise would not have 
complied with one or more of the rule's requirements.
    3. This increased safety will be achieved in three main ways. First, 
all bunk beds will be required to have a guardrail on both sides of the 
bed. If the bed is placed against a wall, the guardrail on that side is 
expected to prevent a child from being entrapped between the bed and the 
wall. The guardrail on the wall side of the bed must extend continuously 
from one end to the other. Second, the end structures of the bed must be 
constructed so that, if an opening in the end structure is large enough 
so a child can slip his or her body through it, it must be large enough 
that the child's head also can pass

[[Page 584]]

through. Third, this area must also be constructed so that a child 
cannot insert his or her head into an opening and move to another part 
of the opening where the head cannot be pulled out and the neck can 
become entrapped.
    4. For the reasons discussed in paragraph C of this Appendix, the 
benefits of the changes to bunk beds caused by this rule will have a 
reasonable relationship to the changes' costs. The rule addresses a risk 
of death, and applies primarily to a vulnerable population, children 
under age 3. The life-saving features required by the rule are cost-
effective and can be implemented without adversely affecting the 
performance and availability of the product. The effective date provides 
enough time so that production of bunk beds that do not already comply 
with the standard can easily be changed so that the beds comply. 
Accordingly, the Commission finds that there is an unreasonable risk of 
entrapment injury associated with bunk beds that do not comply with part 
1513.
    B. Where a voluntary standard has been adopted and implemented by 
the affected industry, that compliance with such voluntary standard is 
not likely to result in the elimination or adequate reduction of the 
risk of injury, or it is unlikely that there will be substantial 
compliance with such voluntary standard.
    1. Adequacy of the voluntary standard. In this instance, there is a 
voluntary standard addressing the risk of entrapment in bunk beds. 
However, the rule goes beyond the provisions of the voluntary standard. 
First, it eliminates the voluntary standard's option to have an opening 
of up to 15 inches at each end of the wall-side guardrail. Second, it 
requires more of the lower bunk end structures to have entrapment 
protection. The voluntary standard protects against entrapment only 
within the 9-inch space immediately above the upper surface of the lower 
bunk's mattress. The mandatory standard extends this area of protection 
upward to the level of the underside of the upper bunk foundation. Both 
of these provisions, which are in the rule but not in the voluntary 
standard, address fatalities and, as noted in this paragraph (a)(18), 
have benefits that bear a reasonable relationship to their costs.
    Therefore, the Commission finds that compliance with the voluntary 
standard is not likely to result in the elimination or adequate 
reduction of the risk of entrapment injury or death.
    2. Substantial compliance. i. The FHSA does not define ``substantial 
compliance.'' The March 3, 1999 Notice of Proposed Rulemaking summarized 
an interpretation of ``substantial compliance'' that the Office of 
General Counsel provided to the Commission. 64 FR 10245, 10248-49 (March 
3, 1999). The Commission specifically invited public comment on that 
interpretation from ``all persons who would be affected by such an 
interpretation.'' Id. at 10249. The Commission received more than 20 
comments on the interpretation.
    ii. Having now considered all the evidence that the staff has 
presented, the comments from the public, and the legal advice from the 
Office of General Counsel, the Commission concludes that there is not 
``substantial compliance'' with the ASTM voluntary standard for bunk 
beds within the meaning of the Consumer Product Safety Act and the 
Federal Hazardous Substances Act. See, e.g., 15 U.S.C. 
2058(f)(3)(D)(ii); 15 U.S.C. 1262(i)(2)(A)(ii). However, the Commission 
does not adopt a general interpretation of ``substantial compliance'' 
focusing on whether the level of compliance with a voluntary standard 
could be improved under a mandatory standard. Rather, the grounds for 
the Commission's decision focus on the specific facts of this rulemaking 
and are stated below.
    iii. The legislative history regarding the meaning of ``substantial 
compliance'' indicates that the Commission should consider whether 
compliance is sufficient to eliminate or adequately reduce the risk of 
injury in a timely fashion and that, generally, compliance should be 
measured in terms of the number of complying products, rather than the 
number of manufacturers who are in compliance. E.g., Senate Report No. 
97-102, p. 14 (May 15, 1981); House Report No. 97-158, p. 11 (June 19, 
1981); H. Conf. Rep. No. 97-208, 97th Cong., 1st Sess. 871, reprinted in 
1981 U.S. Code Cong. & Admin. News 1010, 1233.
    iv. Given this Congressional guidance, the Commission believes it 
appropriate to examine the number of conforming products as the starting 
point for analysis. However, the Commission does not believe that there 
is any single percentage of conforming products that can be used in all 
cases to define ``substantial compliance.'' Instead, the percentage must 
be viewed in the context of the hazard the product presents. Thus, the 
Commission must examine what constitutes substantial compliance with a 
voluntary standard in light of its obligation to safeguard the American 
consumer.
    v. There are certain factors the agency considers before it 
initiates regulatory action, such as the severity of the potential 
injury, whether there is a vulnerable population at risk, and the risk 
of injury. See 16 CFR 1009.8. These and other factors also appropriately 
inform the Commission's decision regarding whether a certain level of 
conformance with a voluntary standard is substantial. In the light of 
these factors, industry's compliance rate with the voluntary standard 
for bunk beds is not substantial.
    vi. In this case, the Commission deals with the most severe risk--
death--to one of the most vulnerable segments of our population--infants 
and young children. While

[[Page 585]]

the risk of death is not high, it exists whenever a young child is in a 
residence with a nonconforming bunk bed.
    vii. Additionally, some products, such as hairdryers without shock 
protection devices, require some intervening action (dropping the hair 
dryer into water) to create the hazard. By contrast, deaths in bunk beds 
occur during the intended use of the product--a child rolling over in 
bed or climbing in or out of it--without any intervening action.
    viii. The Commission must also consider that bunk beds have a very 
long product life, frequently being passed on to several families before 
being discarded. Thus, a number of children may be exposed to a bed 
during its useful life. Every noncomplying bed that poses an entrapment 
hazard presents the potential risk of death to any young child in the 
house. It is a risk that is hard for a parent to protect against, as 
children find their way onto these beds even if they are not put to 
sleep in them.
    ix. Bunk beds are products that can be made relatively easily by 
very small companies, or even by a single individual. The Office of 
Compliance believes smaller entities will always present a compliance 
problem, because new manufacturers can enter the marketplace relatively 
easily and need little expertise to make a wooden bunk bed. The evidence 
seems to support the view that there will always be an irreducible 
number of new, smaller bunk bed manufacturers who will not follow the 
voluntary standard.
    x. What constitutes substantial compliance is also a function of 
what point in time the issue is examined. In 1989, the Commission denied 
a petition for a mandatory bunk bed rule. At that time, industry was 
predicting that by April of 1989, 90% of all beds being manufactured 
would comply with the voluntary guidelines. But that was in the context 
of years of steadily increasing conformance and the hope that 
conformance would continue to grow and that deaths and near-misses would 
begin to decline. But the conformance level never grew beyond the 
projection for 1989 and deaths and near-misses have not dropped.
    xi. Even with the existing compliance rate, the Commission is 
contemplating the prospect of perhaps 50,000 nonconforming beds a year 
(or more) entering the marketplace, with many beds remaining in use for 
perhaps 20 years or longer. Under these circumstances, a 10% rate of 
noncompliance is too high.
    xii. It is now clear that the bunk bed voluntary standard has not 
achieved an adequate reduction of the unreasonable risk of death to 
infants and children in a timely fashion, and it is unlikely to do so. 
Accordingly, the Commission finds that substantial compliance with the 
voluntary standard for bunk beds is unlikely.

    xiii. Products that present some or all of the following factors 
might not be held to as strict a substantial compliance analysis. Those 
which:
--Rarely or never cause death;
--Cause only less severe injuries;
--Do not cause deaths or injuries principally to a vulnerable segment of 
the population;
--Are not intended for children and which have no special attraction for 
children;
--Have a relatively short life span;
--Are made by a few stable manufacturers or which can only be made by 
specialized manufacturers needing a significant manufacturing investment 
to produce the product;
--Are covered by a voluntary standard which continues to capture an 
increasing amount of noncomplying products; or
--Require some additional intervening action to be hazardous.

    xiv. And, in analyzing some other product, there could be other 
factors that would have to be taken into consideration in determining 
what level of compliance is adequate to protect the public. The 
tolerance for nonconformance levels has to bear some relationship to the 
magnitude and manageability of the hazard addressed.
    xv. The Commission emphasizes that its decision is not based on the 
argument that a mandatory rule provides more powerful enforcement tools. 
If this were sufficient rationale, mandatory rules could always displace 
voluntary standards, and this clearly was not Congress's intent. But, 
with a mandatory standard, the necessity of complying with a mandatory 
federal regulation will be understandable to small manufacturers. State 
and local governments will have no doubt about their ability to help us 
in our efforts to locate these manufacturers.
    C. The benefits expected from the rule bear a reasonable 
relationship to its costs.
    1. Bunk beds that do not comply with ASTM's requirements for 
guardrails. The cost of providing a second guardrail for bunk beds that 
do not have one is expected to be from $15-40 per otherwise noncomplying 
bed. If, as expected, the standard prevents virtually all of the deaths 
it addresses, the present value of the benefits of this modification are 
estimated to be from $175-350 per otherwise noncomplying bed. Thus, the 
benefit of this provision is about 4-23 times its cost.
    2. Bunk beds that comply with ASTM's requirements for guardrails. 
The voluntary standard allows up to a 15-inch gap in the coverage of the 
guardrail on the wall side of the upper bunk. Additional entrapment 
deaths are addressed by requiring that the wall-side guardrail be 
continuous from one end of the bed to the other. The estimated present 
value of the benefits of this requirement will be $2.40 to $3.50 per 
otherwise noncomplying bed. The Commission estimates

[[Page 586]]

that the materials cost to extend one guardrail an additional 30 inches 
(760 mm) will be less than the present value of the benefits of making 
the change. Further, the costs of any design changes can be amortized 
over the number of bunk beds produced after the design change is made. 
Thus, any design costs are nominal.
    3. Lower bunk end structures. The Commission is aware of a death, 
involving entrapment in the end structures of the lower bunk, occurring 
in a scenario not currently addressed by the voluntary standard. This 
death is addressed by extending the upper limit of the voluntary 
standard's lower bunk end structures entrapment provisions from 9 inches 
above the lower bunk's sleeping surface to the bottom of the upper bunk 
and by also including a test for neck entrapment in this area. The 
Commission expects the costs of this requirement to be design-related 
only, and small. Indeed, for some bunk beds, material costs may decrease 
since less material may be required to comply with these requirements 
than are currently being used. Again, the design costs for these 
modifications to the end structures can be amortized over the subsequent 
production run of the bed.
    4. Effect on market. The small additional costs from any wall-side 
guardrail and end-structure modifications are not expected to affect the 
market for bunk beds, either alone or added to the costs of compliance 
to ASTM's provisions.
    5. Conclusion. The Commission has no reason to conclude that any of 
the standard's requirements have costs that exceed the requirement's 
expected benefits. Further, the total effect of the rule is that the 
benefits of the rule will exceed its costs by about 4-23 times. 
Accordingly, the Commission concludes that the benefits expected from 
the rule will bear a reasonable relationship to its costs.
    D. The rule imposes the least burdensome requirement that prevents 
or adequately reduces the risk of injury for which the rule is being 
promulgated. 1. The Commission considered relying on the voluntary 
standard, either alone or combined with a third-party certification 
program. However, the Commission concludes that a mandatory program will 
be more effective in reducing these deaths, each of which is caused by 
an unreasonable risk of entrapment. Accordingly, these alternatives 
would not prevent or adequately reduce the risk of injury for which the 
rule is being promulgated.
    2. The Commission also considered a suggestion that bunk beds that 
conformed to the voluntary standard be so labeled. Consumers could then 
compare conforming and nonconforming beds at the point of purchase and 
make their purchase decisions with this safety information in mind. 
This, however, would not necessarily reduce injuries, because consumers 
likely would not know there is a voluntary standard and thus would not 
see any risk in purchasing a bed that was not labeled as conforming to 
the standard.

[[Page 587]]



             SUBCHAPTER D--FLAMMABLE FABRICS ACT REGULATIONS



PART 1602--STATEMENTS OF POLICY OR INTERPRETATION--Table of Contents






Sec. 1602.1  Enforcement policy.

    (a) On May 14, 1973, the responsibilities of the Federal Trade 
Commission for enforcement of the Flammable Fabrics Act, as amended (15 
U.S.C. 1191-1204), were transferred to the Consumer Product Safety 
Commission pursuant to section 30(b) of the Consumer Product Safety Act 
(Pub. L. 92-573), 86 Stat. 1231 (15 U.S.C. 2079(b)).
    (b) The Consumer Product Safety Commission intends to discharge its 
responsibilities under the Flammable Fabrics Act vigorously, 
expeditiously, and without compromise in order to protect the public 
from the hazards to life, health, and property caused by dangerously 
flammable products.
    (c) The Consumer Product Safety Commission has determined that its 
enforcement policy for the Flammable Fabrics Act, will be to have 
available for use in each case the full range of enforcement procedures 
under that act without qualification or modification. Accordingly, 
notice is given that the Consumer Product Safety Commission hereby 
institutes an enforcement policy of using in each case arising under the 
Flammable Fabrics Act any and all appropriate enforcement procedures 
available under that act.
    (d) In order to effectuate this policy, the above stated policy has 
been adopted and substituted for any conflicting determinations and 
policies of the Federal Trade Commission. The following determinations 
and policies of the Federal Trade Commission insofar as they apply to 
this Commission are terminated and set aside pursuant to section 
30(e)(2) of the Consumer Product Safety Act (86 Stat. 1232 (15 U.S.C. 
2079(e)(2))):
    (1) The Federal Trade Commission's ``Flammable Fabrics Enforcement 
Policy'' published as a notice in the Federal Register of November 10, 
1971 (36 FR 21544), as amended by a notice published April 25, 1973 (38 
FR 10184), which was corrected May 8, 1973 (38 FR 11492).
    (2) Any Federal Trade Commission policy or directive modifying or 
interpreting said Enforcement Policy, as amended.
    (e) All other rules, regulations, orders, and determinations of the 
Federal Trade Commission under the Flammable Fabrics Act will continue 
in effect until modified, terminated, superseded, set aside, or repealed 
by the Consumer Product Safety Commission, by any court of competent 
jurisdiction, or by operation of law.

(Sec. 1, et seq., 81 Stat. 568-74 (15 U.S.C. 1191-1204, note under 
1191))

[40 FR 59884, Dec. 30, 1975]



PART 1605--INVESTIGATIONS, INSPECTIONS AND INQUIRIES PURSUANT TO THE FLAMMABLE FABRICS ACT--Table of Contents




   Subpart A--Procedures for Investigations, Inspections and Inquiries

Sec.
1605.1 Purposes, delegation, finding and how initiated.
1605.2 Conduct and scope of inspections.
1605.3 Compulsory processes and the service thereof.
1605.4 Orders for access.
1605.5 Subpoenas.
1605.6 Investigational hearings.
1605.7 Depositions.
1605.8 Rights of witnesses at investigational hearings and of deponents 
          at depositions.
1605.9 Written interrogatories.
1605.10 General or special orders seeking information.
1605.11 Remedies for failure to permit authorized investigations.
1605.12 Nonexclusive delegation of power.

                   Subpart B--Consent Order Agreements

1605.13 Procedures for Consent Order Agreements.

    Authority: Sec. 5, 67 Stat. 112, as amended (15 U.S.C. 1194); sec. 
6, 38 Stat. 721, as amended (15 U.S.C. 46); sec. 9, 38 Stat. 722, as 
amended (15 U.S.C. 49); sec. 10, 38 Stat.723, as amended (15 U.S.C. 50); 
sec. 16, Pub. L. 92-573, 86 Stat. 1222 (15 U.S.C. 2065); sec. 27, Pub. 
L. 92-573, 86 Stat. 1227 (15 U.S.C. 2076); sec. 30(b), Pub. L. 92-573, 
86 Stat. 1231 (15 U.S.C. 2079(b)); sec. 30(d), as amended, Pub. L. 94-
284, 90 Stat. 510, (15 U.S.C. 2079(d)).

    Source: 42 FR 61023, Nov. 30, 1977, unless otherwise noted.

[[Page 588]]



  Subpart A--Procedures for Investi- gations, Inspections and Inquiries



Sec. 1605.1  Purposes, delegation, finding and how initiated.

    (a) An investigation under these rules is an undertaking by the 
Commission to obtain information for the purposes of enforcing or 
determining compliance with the Flammable Fabrics Act (15 U.S.C. 1191 et 
seq.) (``FFA''); the regulations, rules, standards, and orders 
promulgated thereunder; and those sections of the Federal Trade 
Commission Act (15 U.S.C. 41 et seq.) (``FTCA'') which are relevant to 
the enforcement and administration of the Flammable Fabrics Act. The 
term investigation includes, but is not limited to inspections 
(Sec. 1605.2); investigational hearings (Sec. 1605.6); and inquiries, 
employing orders of access (Sec. 1605.4), subpoenas (Sec. 1605.5), 
depositions (Sec. 1605.7), written interrogatories (Sec. 1605.9), and 
general or special orders (Sec. 1605.10).
    (b) An inspection as described in Sec. 1605.2 is initiated when the 
Commission or its delegee authorizes the issuance of a written notice of 
inspection (hereinafter notice), described in Sec. 1605.2(c). 
Investigations and inquiries will be initiated by the Commission in such 
manner as it deems proper.
    (c) The Commission hereby delegates to the Associate Executive 
Director for Compliance and Enforcement, the Director of the Enforcement 
Division, the Solicitor, and the Directors of Area Offices, the power to 
initiate inspections in the same manner as the Commission.
    (d) Finding. The Commission found on November 3, 1977 pursuant to 
section 30(d) of the Consumer Product Safety Act, as amended (``CPSA'') 
(15 U.S.C. 2079(d)) that the risk of injury associated with products 
regulated under the Flammable Fabrics Act cannot be eliminated or 
reduced to a sufficient extent by the issuance of procedures for 
investigations, inspections and inquiries under the Flammable Fabrics 
Act and the Federal Trade Commission Act (15 U.S.C. 41 et seq.). This 
finding is made to eliminate any confusion and uncertainty that may 
exist concerning the scope of the Commission's statutory authority under 
the Flammable Fabrics Act and Federal Trade Commission Act to conduct 
inspections and collect samples. The Commission is supplementing the 
authority granted to it under the FFA and FTCA with its powers under the 
CPSA while retaining the procedural safeguards and requirements of all 
of these acts. Accordingly, the Commission issues these rules pursuant 
to sections 16 and 27 of the CPSA (15 U.S.C. 2065 and 2076) and makes 
them applicable to products regulating under the FFA.



Sec. 1605.2  Conduct and scope of inspections.

    (a) After an inspection is initiated as set forth in Sec. 1605.1, an 
officer or employee duly designated by the Commission shall issue the 
notice. Upon presenting such notice, along with appropriate credentials, 
to the person, or agent-in-charge of the sole proprietorship, 
partnership, or corporation to be inspected, the Commission officer or 
employee may seek, for the purposes set forth in Sec. 1605.1 (a):
    (1) To enter, at reasonable times, any factory, warehouse, or 
establishment in which a product, fabric, or related material is 
manufactured, processed, packaged, tested or to which it is delivered or 
in which it is held in connection with its importation, introduction, 
distribution, transportation, receipt, and/or sale in commerce;
    (2) To enter any conveyance being used to transport, deliver, or 
hold any such product, fabric, or related material in connection with 
its importation, introduction, distribution, transportation, receipt, 
and/or sale in commerce;
    (3) To inspect at all reasonable times, in a reasonable manner, and 
within reasonable limits, any factory, warehouse, establishment, or 
conveyance described in paragraph (a) (1) and (2) of this section and 
all appropriate records, reports, books, documents and papers including, 
but not limited to, those relating to production, inventory, testing, 
distribution, sale, transportation, importation, or receipt of any 
product, fabric, or related material and all pertinent equipment, 
materials, substances, products, fabrics, related materials, containers, 
packages and

[[Page 589]]

packaging, and labels, and labeling therein:
    (4) To have access to and copy at all reasonable times: (i) All 
records, reports, books, documents, papers, or labeling required by the 
Commission to be established, made, or maintained; (ii) all documents 
showing or relating to the production inventory, testing, distribution, 
sale, transportation, importation, or receipt of any product, fabric, or 
related material; and (iii) all other appropriate records, reports, 
books, documents, papers, packages and packaging, and labels and 
labeling;
    (5) To obtain: (i) Information, both oral and written, concerning 
the production, inventory, testing, distribution, sale, transportation, 
importation or receipt of any product, fabric or related material and 
the organization, business, conduct, practices, and management of any 
person, sole proprietorship, partnership, or corporation being inspected 
and its relation to any other person, sole proprietorship, partnership, 
or corporation; (ii) samples of items, materials, substances, products, 
fabrics, related materials, containers, packages and packaging, labels 
and labeling, and have the same analyzed, tested, or examined; and (iii) 
information, both oral and written, concerning any matter referred to in 
these rules.
    (b) A separate notice shall be given for each inspection, but a 
notice shall not be required for each entry made during the course of 
the same inspection. Each such inspection shall be commenced at a 
reasonable time and be completed within a reasonable time.
    (c) The notice of inspection shall include: the name and address of 
the person, sole proprietorship, partnership, or corporation being 
inspected; the name and title of the inspector; the date and time of the 
anticipated entry; pertinent extracts from the statutory provisions upon 
which the right to access is based; pertinent extracts from the 
statutory provisions upon which the penalties for refusal of access are 
based; pertinent extracts from Sec. 1605.2 of these rules setting forth 
the authority of inspectors and the types of information and items they 
are authorized to obtain; a statement which sets forth the purposes of 
the inspection and the nature of the information and items to be 
obtained and/or copied; and a statement that those from whom information 
is requested should state whether any of the information submitted is 
believed to contain or relate to a trade secret or other matter which 
should be considered by the Commission to be confidential in accordance 
with section 4(c) of the Flammable Fabrics Act (15 U.S.C. 1193(c)) and 
whether any of the information is believed to be entitled to exemption 
from disclosure by the Commission under the provisions of the Freedom of 
Information Act (5 U.S.C. 552) or section 6(f) of the Federal Trade 
Commission Act (15 U.S.C. 46(f)). Any statement asserting this claim of 
confidentiality must be in writing, and any request for exemption of the 
information from disclosure must be made in accordance with the 
Commission's Freedom of Information Act regulations, 16 CFR part 1015, 
42 FR 10490, February 22, 1977 or as amended.
    (d) If upon being presented with a notice, the person, or agent-in-
charge of the sole proprietorship, partnership, or corporation being 
inspected fails to allow access to documentary evidence for the purpose 
of inspecting and making copies of such evidence, the inspector shall 
notify that individual that he or she may be in violation of the law and 
subject to the penalties therein and immediately thereafter refer such 
individual to the appropriate provisions of the notice which set forth 
such penalties. If the individual still refuses to comply, in whole or 
in part, with the authorized request for access, the inspector shall 
leave the premises; and the Commission shall take such action as it 
deems appropriate. If the person in charge refuses to accept the notice 
upon its presentation, the inspector shall affix the notice to a public 
entrance way on the premises.



Sec. 1605.3  Compulsory processes and the service thereof.

    (a) In addition to or in lieu of authorizing the issuance of a 
notice, the Commission may elect to use any of the following means to 
initiate investigations, inspections, or inquiries to obtain information 
for the purposes set forth in Sec. 1605.1(a):
    (1) Orders for Access;
    (2) Subpoenas;

[[Page 590]]

    (3) Investigational Hearings;
    (4) Depositions;
    (5) Written Interrogatories; and
    (6) General or special Orders.
    (b) Service of notice in connection with any of the compulsory 
processes enumerated in Sec. 1605.3(a) shall be effected as follows:
    (1) By personal service upon the person, or agent-in-charge of the 
sole proprietorship, partnership, or corporation being investigated, 
inspected, or inquired of; or
    (2) By mail (registered or certified) or delivery to the last known 
residence or business address of anyone being investigated, inspected, 
or inquired of.
    (c) The date of service of any form of compulsory process shall be 
the date on which the document is mailed, or delivered in person, 
whichever is applicable. Whenever a party is required or permitted to do 
an act within a prescribed period after service of a document and the 
document is served by mail, three (3) days shall be added to the 
prescribed period.
    (d) These rules shall be referred to in any form of compulsory 
process served upon a person, sole proprietorship, partnership, or 
corporation.
    (e) Anyone submitting information in response to any of the 
compulsory processes referred to in Sec. 1605.4(a) hereof should state 
whether any of the information submitted is believed to contain or 
relate to a trade secret or other matter which should be considered by 
the Commission to be confidential in accordance with section 4(c) of the 
Flammable Fabrics Act (15 U.S.C. 1193(c)) and whether any of the 
information is believed to be entitled to exemption from disclosure by 
the Commission under the provisions of the Freedom of Information Act 
(15 U.S.C. 552) or section 6(f) of the Federal Trade Commission Act (15 
U.S.C. 46(f)). Any statement asserting this claim of confidentiality 
must be in writing, and any request for exemption of the information 
from disclosure must be made in accordance with the Commission's Freedom 
of Information Act regulations, 16 CFR part 1015, 42 FR 10490, February 
22, 1977 or as amended.



Sec. 1605.4  Orders for access.

    (a) In the event an inspection pursuant to Sec. 1605.2 herein is 
refused, in whole or in part, or prior to any such inspection, the 
Commission may issue an order requiring any person, sole proprietorship, 
partnership, or corporation to allow access to a duly-designated officer 
or employee of the Commission for the purpose of conducting an 
inspection. Such order will be issued by the Commission upon the 
demonstration by the staff of a justifiable need to gain access. 
Inspections conducted after service of an order for access shall be 
conducted in accordance with the procedures provided in Sec. 1605.2.
    (b) After issuance of an order for access, the staff may, upon 
request of the recipient of the order, agree to modify the order to 
limit its scope, impose conditions or extend the time for compliance. If 
an agreement cannot be voluntarily reached, the recipient of the order 
may file a motion to limit or quash the order. Any such motion shall set 
forth the reasons why the order should be limited or quashed; and may be 
accompanied by memoranda, affidavits, or other documents submitted in 
support of the motion. Unless a different period of time for filing a 
motion is specified in the order, the motion must be received in the 
Office of the Secretary of the Commission within ten calendar days after 
the order is mailed or delivered in person to such person, sole 
proprietorship, partnership, or corporation unless the Commission, upon 
a showing of good cause, grants an extension of time within which to 
file a motion to limit or quash an order of access.
    (c) Upon receipt of a motion to limit or quash the order for access, 
the Office of the Secretary shall immediately notify and trasmit a copy 
of the motion to Associate Executive Director for Compliance and 
Enforcement or the General Counsel, as appropriate. Unless a different 
period of time is specified in the order, the Associate Executive 
Director for Compliance and Enforcement or General Counsel shall file an 
answer with the Office of the Secretary within ten calendar days after 
receipt of a copy of the motion. A copy of the answer shall be served 
upon the moving party or the counsel of the moving

[[Page 591]]

party. No reply to the answer will be permitted.
    (d) All motions to limit or quash shall be ruled upon by the 
Commission. The Office of the Secretary shall serve the decision on the 
motion to limit or quash the order of access upon the moving party or 
the counsel of the moving party and shall furnish a copy of the decision 
to the Associate Executive Director for Compliance and Enforcement or 
the General Counsel, as appropriate. The decision on the motion to limit 
or quash shall be the final decision on the matter. Motions for 
reconsideration will not be received.



Sec. 1605.5  Subpoenas.

    (a) The Commission may issue to any person, sole proprietorship, 
partnership, or corporation a subpoena requiring the production of 
documentary evidence (subpoena duces tecum) and/or the attendance and 
testimony of witnesses (subpoena ad testificandum) relating to any 
matter under investigation. The Commission hereby delegates to the 
Associate Executive Director for Compliance and Enforcement, the 
Director of the Enforcement Division, the Solicitor, or the General 
Counsel, depending upon which officer is involved with the subpoena, the 
power to negotiate and approve the terms of satisfactory compliance with 
such subpoena.
    (b) The person, sole proprietorship, partnership, or corporation 
upon whom a subpoena is served may file a motion to limit or quash the 
subpoena. Any such motion shall set forth the reasons why the subpoena 
should be quashed or limited and may be accompanied by memoranda, 
affidavits, or other documents submitted in support of the motion. 
Unless a different period of time for filing a motion is specified in 
the subpoena, the motion must be received in the Office of the Secretary 
of the Commission within ten calendar days after the subpoena is mailed 
or delivered to such person, sole proprietorship, partnership, or 
corporation unless the Commission, upon a showing of good cause, grants 
an extension of time within which to file a motion to limit or quash a 
subpoena.
    (c) Upon receipt of any such motion, the Office of the Secretary 
shall immediately notify and transmit a copy of the motion to the 
Associate Executive Director for Compliance and Enforcement or the 
General Counsel, as appropriate. Unless a different period of time is 
specified in the subpoena, the Associate Executive Director for 
Compliance and Enforcement or the General Counsel shall file an answer 
with the Office of the Secretary within ten calendar days after receipt 
of a copy of the motion. A copy of the answer shall be served upon the 
moving party or the counsel of the moving party. No reply to the answer 
will be permitted.
    (d) All motions to limit or quash a subpoena shall be ruled upon by 
the Commission. The Office of the Secretary shall serve the decision on 
the motion to limit or quash the subpoena upon the moving party or the 
counsel of the moving party and shall furnish a copy of the decision to 
the Associate Executive Director for Compliance and Enforcement or the 
General Counsel, as appropriate. The decision on the motion to limit or 
quash shall be the final decision on the matter. Motions for 
reconsideration will not be received.



Sec. 1605.6  Investigational hearings.

    (a) The Commission may order, and by subpoena, may compel any 
person, sole proprietorship, partnership, or corporation to provide 
information at an investigational hearing. Such hearings shall be for 
the purpose of taking the testimony, under oath, of witnesses and 
receiving documents and other data relating to any subject under 
investigation. Such hearings shall be presided over by the commission, 
by one or more of its members, an Administrative Law Judge, hearing 
examiner, attorney-examiner or by a duly designated officer or employee. 
The hearings shall be stenographically reported, and a transcript 
thereof shall be made a part of the record.
    (b) A Commissioner who participates in such a hearing or other 
investigation, inspection, or inquiry shall not be disqualified by 
reason of such participation from subsequently sharing in a Commission 
decision in the matter.
    (c) All investigational hearings shall be closed to the public, 
unless otherwise ordered by the Commission.

[[Page 592]]

    (d) The release of the record of such hearing shall be governed by 
the Commission's regulations under the Freedom of Information Act, 5 
U.S.C. 552, and/or other applicable laws or regulations.



Sec. 1605.7  Depositions.

    (a) The Commission may order and, by subpoena, may compel testimony 
to be taken by deposition at any stage of any investigation. Such 
depositions may be taken before any person designated by the Commission 
who has the power to administer oaths. The testimony given shall be 
reduced to writing by the person taking the deposition or under such 
person's direction and shall then be submitted to the deponent for 
signature unless the deponent waives the right to sign the deposition. 
All depositions shall be closed to the public, unless otherwise ordered 
by the Commission. The release of the record of such depositions shall 
be governed by the Commission's regulations under the Freedom of 
Information Act, 5 U.S.C. 552, and/or other applicable laws or 
regulations.
    (b) Any changes in form or substance which the deponent desires to 
make shall state the reasons for such changes. The deposition shall then 
be signed by the deponent, unless the deponent waives the right to sign, 
cannot be found, or is unable or refuses to sign. If the deposition is 
not signed by the deponent within 30 days of its submission to the 
deponent, or such shorter time as the Commission may designate, the 
Commission designee shall sign it and state on the record the fact of 
the waiver of the right to sign or of the illness or absence of the 
deponent, or the fact of the deponent's inability or refusal to sign 
together with the reason, if any, given therefor. The deposition 
referred to herein may be used in any investigation or any 
administrative or judical adjudicative proceeding.



Sec. 1605.8  Rights of witnesses at investigational hearings and of deponents at depositions.

    (a) Any person, or agent or officer of a sole proprietorship, 
partnership, or corporation who is required to produce documentary 
evidence or give testimony as a witness at an investigational hearing 
conducted under provisions of Sec. 1605.6 or as a deponent at a 
deposition taken in accordance with provisions of Sec. 1605.7 may be 
accompanied by an attorney or an official or employee of the person, 
sole proprietorship, parnership, or corporation, who may act as counsel 
for the witness or the deponent. However, a person who is subpoenaed to 
produce documentary evidence or give testimony at an investigational 
hearing or deposition cannot act as counsel for another witness or 
deponent at the same proceeding. The term attorney refers to members of 
the bar of a Federal Court or the courts of any State or Territory of 
the United States, the Commonwealth of Puerto Rico, or the District of 
Columbia. The witness or deponent and his or her counsel may act as 
follows during the course of an investigational hearing or deposition:
    (1) A witness or deponent may confer, in confidence, with his or her 
counsel concerning any questions asked of the witness or deponent. If 
the witness or deponent or counsel objects to a question, the objection 
and basis thereof shall be stated on the record. In the case of an 
objection based upon the privilege against self incrimination, the 
privilege must be asserted by the witness or deponent. If a witness at 
an investigationl hearing refuses to answer a question or provide other 
information, the presiding officer shall have the authority to 
immediately order the witness or deponent to answer the question or 
provide the information requested, except in circumstances where an 
immediate ruling would be unwarranted and except where such refusal is 
based upon the privilege against self incrimination, which shall be 
handled in accordance with the procedure set forth in 18 U.S.C. 6002 and 
6004. Otherwise, all objections shall be ruled upon by the presiding 
officer at the time the objection is made.
    (2) Objections timely made under the provisions of Sec. 1605.8(a) 
shall be noted on the record, shall be treated as continuing, and shall 
be preserved throughout the course of the proceeding without the 
necessity of repetition during similar lines of inquiry.

[[Page 593]]

    (3) Except as provided by this Sec. 1605.8(a), counsel for a witness 
or a deponent may not interrupt the examination of the witness or the 
deponent by making objections or statements on the record.
    (4) Upon completion of the examination of a witness or a deponent, 
the witness or deponent may clarify on the record any of his or her 
answers.
    (b) Any such person, agent, or officer who is required to appear in 
person at an investigational hearing or at a deposition shall testify as 
to matters and information known and/or reasonably available to the 
person, sole proprietorship, parnership, or corporation involved.
    (c) Any such person, agent, or officer who is compelled by subpoena 
to appear in person at an investigational hearing or at a deposition 
shall receive the same fees and mileage allowances as are paid witnesses 
in the courts of the United States.
    (d) Any such person, agent, or officer who is required to appear in 
person at an investigational hearing or at a deposition shall be 
entitled to retain a copy of any document submitted by him or her and, 
upon payment of lawfully prescribed costs, shall be entitled to procure 
a copy of his or her own testimony as recorded.
    (e) The Commission designee who presides at an investigational 
hearing or before whom a deposition is taken shall take all necessary 
action to regulate the course of the hearing or the deposition, to avoid 
delay and to assure that reasonable standards of orderly and ethical 
conduct are maintained. Such designee shall, for reasons stated on the 
record, immediately report to the Commission any instance in which 
counsel for a witness or a deponent has refused to comply with the 
designee's directions, or to adhere to reasonable standards of orderly 
and ethical conduct in the course of the hearing or the deposition. The 
Commission shall thereupon take such action as the circumstances 
warrant.



Sec. 1605.9  Written interrogatories.

    (a) The Commission may order any person, sole proprietorship, 
partnership, or corporation being investigated to answer written 
interrogatories. Such interrogatories shall be answered by the 
individual or by any agent or officer of the sole proprietorship, 
partnership, or corporation who shall furnish information on behalf of 
the sole proprietorship, partnership, or corporation. The information 
provided shall be that which is known or reasonably available to the 
person or organization involved and shall be submitted after reasonable 
inquiry to obtain the information requested.
    (b) Each interrogatory shall be answered separately and fully in 
writing, under oath, unless it is objected to, in which event the reason 
for the objection shall be stated in lieu of an answer. The answers 
shall be signed by the individual or the officer or agent making them. 
The person, sole proprietorship, parnership, or corporation upon whom 
the interrogatories have been served shall furnish the Commission a copy 
of the answers and objections, if any, within 30 days after service of 
the interrogatories or within such shorter time as the commission may 
designate. Interrogatories submitted hereunder are continuing in 
character so as to require the person, sole proprietorship, partnership, 
or corporation answering to file supplementary answers upon obtaining 
further or different information.



Sec. 1605.10  General or special orders seeking information.

    The Commission may require by the issuance of general or special 
orders, any person, sole proprietorship, partnership, or corporation to 
file with the Commission in such form as the Commission may prescribe 
annual and/or special reports or answers in writing to specific 
questions which furnish to the Commission such information as it may 
require as to its organization, business, conduct, practices, 
management, and relation to any person, sole proprietorship, 
partnership, or corporation. Such reports and answers shall be made 
under oath, or otherwise, as the Commission may prescribe and shall be 
filed with the Commission within such time as the Commission may 
prescribe, unless additional time may be granted in any case by the 
Commission.

[[Page 594]]



Sec. 1605.11  Remedies for failure to permit authorized investigations.

    In the event of failure to comply with any investigative process 
authorized by these rules, the Commission may seek appropriate action 
pursuant to the authority conferred by the Federal Trade Commission Act, 
including actions for enforcement, forfeitures, penalities, or criminal 
sanctions.



Sec. 1605.12  Nonexclusive delegation of power.

    No provision contained herein delegating any of the Commission's 
powers shall be construed as limiting the actual authority of the 
Commission to exercise the same powers.



                   Subpart B--Consent Order Agreements



Sec. 1605.13  Procedures for Consent Order Agreements.

    (a) The Consent Order Agreement is a document executed by a person, 
sole proprietorship, partnership, or corporation (Consenting Party) and 
a Commission staff representative which incorporates both a proposed 
complaint setting forth the staff's charges and a proposed order by 
which such charges are resolved. A consent order agreement shall contain 
the following provisions, as appropriate:
    (1) An admission of all jurisdictional facts by the consenting 
parties;
    (2) A waiver of any rights to an administrative or judicial hearing 
and of any other procedural steps including any rights to seek judicial 
review or otherwise challenge or contest the validity of the 
Commission's order;
    (3) A statement that the agreement is in settlement of the staff's 
charges and does not constitute an admission by the Consenting Party 
that the law has been violated;
    (4) A statement that the Commission's order is issued under the 
provisions of the Federal Trade Commission Act (15 U.S.C. 41 et seq.), 
the Flammable Fabrics Act (15 U.S.C. 1191 et seq.), and the Consumer 
Product Safety Act (15 U.S.C. 2051 et seq.) and that a violation of such 
an order subjects the Consenting Party to civil penalties under the 
provisions of the Federal Trade Commission Act;
    (5) An acknowledgement that the consent order agreement only becomes 
effective upon its final acceptance by the Commission and its service 
upon the Consenting Party;
    (6) An acknowledgement that the Commission may disclose terms of the 
consent order agreement to the public;
    (7) A statement that the Consulting Party shall cease and desist 
from certain acts and practices;
    (8) A statement that the Consenting Party shall perform certain acts 
and practices pursuant to the consent order agreement;
    (9) An acknowledgement that the requirements of the order are in 
addition to, and not to the exclusion of, other remedies such as 
criminal penalties which may be pursued under section 7 of the Flammable 
Fabrics Act.
    (b) At any time in the course of an investigation, the staff, with 
the approval of the Commission may propose to the person, sole 
proprietorship, partnership, or corporation being investigated, that any 
alleged violation be resolved by an agreement containing a consent 
order. Additionally, such a proposal may be made to the Commission staff 
by such person, sole proprietorship, partnership, or corporation.
    (c) Upon receiving an executed agreement, the Commission may: (1) 
Provisionally accept it; (2) reject it and issue its complaint (in which 
case the matter will be scheduled for hearing in accordance with the 
Commission's Rules of Practice for Adjudicative Proceedings (16 CFR part 
1025, June 21, 1977, or as later revised)); or (3) take such other 
action as it may deem appropriate.
    (d) If the agreement is provisionally accepted, the Commission shall 
place the agreement on the public record and shall announce provisional 
acceptance of the agreement in the Federal Register. Any interested 
person may ask the Commission not to accept the agreement by filing a 
request in the office of the Secretary. Such request must be received in 
the Office of the Secretary no later than the close of business of the 
fifteenth calendar day following the date the announcement is published 
in the Federal Register.
    (e) Unless the Commission orders otherwise, the agreement shall be

[[Page 595]]

deemed finally accepted by the Commission on the 20th calendar day after 
the date of announcement in the Federal Register. The Commission shall 
then issue its complaint and order in such form as the circumstances, 
may require. The order is a final order in disposition of the proceeding 
and is effective immediately upon its service upon the Consenting Party 
pursuant to these rules. The Consenting Party shall thereafter be bound 
by and take immediate action in accordance with such final order.
    (f) If the Commission does not accept the agreement on a final 
basis, it shall so notify the Consenting Party. Such notification 
constitutes withdrawal of the Commission's provisional acceptance unless 
the Commission orders otherwise. The Commission may then issue its 
complaint, may order further investigation, or may take such other 
action it considers appropriate.



PART 1608--GENERAL RULES AND REGULATIONS UNDER THE FLAMMABLE FABRICS ACT--Table of Contents




Sec.
1608.0 Scope.
1608.1 Terms defined.
1608.2 Form of separate guaranty.
1608.3 Continuing guaranties.
1608.4 Guaranties furnished by non-residents of the U.S. no bar to 
          prosecution.
1608.5 Salvage operations of common carriers and others.
1608.6 Reference to guaranty by Government prohibited.

    Authority: Sec. 5, 67 Stat. 112, as amended, 81 Stat. 570, 15 U.S.C. 
1194.

    Source: 40 FR 59887, Dec. 30, 1975, unless otherwise noted.



Sec. 1608.0  Scope.

    The rules and regulations in this part are applicable to all 
standards issued under the Flammable Fabrics Act.



Sec. 1608.1  Terms defined.

    As used in the rules and regulations in this subchapter D, unless 
the context otherwise specifically requires:
    (a) The term act means the Flammable Fabrics Act, sec. 1 et seq., 67 
Stat. 111-115, as amended, 68 Stat. 770, 81 Stat. 568-74 (15 U.S.C. 
1191-1204, note under 1191).
    (b) The terms rule, rules, regulations, and rules and regulations, 
mean the rules and regulations prescribed by the Commission pursuant to 
section 5(c) of the act.
    (c) The term United States means, the several States, the District 
of Columbia, the Commonwealth of Puerto Rico and the Territories and 
Possessions of the United States.
    (d) The terms marketing or handling means the transactions referred 
to in section 3 of the act.
    (e) The definition of terms contained in section 2 of the act shall 
be applicable also to such terms when used in rules promulgated under 
the act.



Sec. 1608.2  Form of separate guaranty.

    The forms which follow are suggested forms of separate guaranties 
under section 8 of the act for use by guarantors residing in the United 
States. Representations contained in these suggested forms of separate 
guaranties with respect to reasonable and representative tests may be 
based upon a guaranty received and relied upon in good faith by the 
guarantor, tests performed by or for a guarantor, or class tests, where 
permitted under these rules. Where the forms are used as part of an 
invoice or other paper relating to the marketing or handling of 
products, fabrics, or related materials subject to the act, wording may 
be varied to limit the guaranty to specific items in such invoice or 
other paper. The name, address of the guarantor, and date on the invoice 
or other paper will suffice to meet the signature, address, and date 
requirements indicated on the forms.
    (a) General form.
    The undersigned hereby guarantees that reasonable and representative 
tests, made in accordance with procedures prescribed and applicable 
standards or regulations issued, amended, or continued in effect under 
the Flammable Fabrics Act, as amended, show that the product, fabric, or 
related material covered and identified by, and in the form delivered 
under this document conforms to the applicable standard or regulation 
issued, amended, or continued in effect.
Date:___________________________________________________________________
Name____________________________________________________________________
Address_________________________________________________________________
    (b) Form for guaranty based on guaranty.
    Based upon a guaranty received, the undersigned hereby guarantees 
that reasonable

[[Page 596]]

and representative tests, made in accordance with procedures prescribed 
pursuant to the Flammable Fabrics Act, as amended, show that the 
product, fabric, or related material covered and identified by, and in 
the form delivered under this document conforms to the applicable 
standard or regulation issued, amended, or continued in effect.
Date:___________________________________________________________________
Name____________________________________________________________________
Address_________________________________________________________________

(Sec. 5 of the Act, 67 Stat. 112, as amended by 81 Stat. 570, 15 U.S.C. 
sec. 1194; sec. 8 of the Act, 67 Stat. 114, as amended by 81 Stat. 572, 
15 U.S.C. sec. 1197)



Sec. 1608.3  Continuing guaranties.

    (a) Any person residing in the United States may file with the 
Office of the Secretary of the Consumer Product Safety Commission a 
continuing guaranty under section 8 of the act applicable to any 
product, fabric, or related material marketed or handled by such person. 
When filed with the Commission, a continuing guaranty shall be fully 
executed in duplicate and execution of each copy shall be acknowledged 
before a notary public. Forms for use in preparing continuing guaranties 
to be filed with the Commission will be supplied by the the Office of 
the Secretary of the Commission upon request. To remain in effect, such 
guaranties must be renewed every 3 years and at such other times as any 
change occurs in the legal business status of the person filing the 
guaranty. It is therefore required that any person who has filed a 
continuing guaranty with the Commission shall promptly advise the 
Commission in writing of any change in the legal status of the guarantor 
or in the address of the guarantor's principal office and place of 
business. Representations contained in the prescribed form of continuing 
guaranty with respect to reasonable and representative tests may be 
based upon (1) a guaranty received and relied upon in good faith by the 
guarantor, (2) tests performed by or for a guarantor, or (3) class 
tests, where permitted under these rules.
    (b) The following is the prescribed form of continuing guaranty for 
filing with the Commission:

  Continuing Guaranty Under the Flammable Fabrics Act for Filing With 
                   Consumer Products Safety Commission

    The undersigned, ------------------, a -------------------- 
(Corporation, partnership, proprietorship) residing in the United States 
and having principal office and place of business at ------------------
---- (Street and number) ------------, (City) --------------------------
, (State or territory, ZIP code) and being engaged in the marketing or 
handling of products, fabrics, or related materials subject to the 
Flammable Fabrics Act, as amended, and regulations thereunder,
    Hereby guarantee(s) that with regard to all the products, fabrics, 
or related materials
[described as follows:__________________________________________________

----------------------------------------------]
(If guaranty is limited to certain products, fabrics, or related 
materials, list the general categories here. If guaranty is not so 
limited, leave these lines blank.)
hereafter marketed or handled by the undersigned, and for which 
flammability standards have been issued, amended, or continued in effect 
under the Flammable Fabrics Act, as amended, reasonable and 
representative tests as prescribed by the Consumer Product Safety 
Commission have been performed, which shows that the products, fabrics, 
or related materials conform to such of the above-mentioned flammability 
standards as are applicable thereto.
    Dated, signed, and executed this -- day of ------, 19--, at --------
---------------- (City), -------------------------- (State or Territory)

(Impression of corporate seal, if         (Name under which business is
 corporation.)                             conducted.)
                                         -------------------------------
(If firm is a partnership list partners   (Signature of proprietor,
 below.)                                   partner, or authorized
                                           official of corporation.)
-----------------------------------------
 

State of --------------------, ss:
County of ----------------
    On this -- day of ------, 19--, before me personally appeared the 
said ------------, (Signer of guaranty) proprietor, partner (strike 
nonapplicable words) -------------------------- (If corporation, give 
title of signing official) of ------------, (Firm name) to me personally 
known, and acknowledged the execution of the foregoing instrument on 
behalf of the firm, for the uses and purposes therein stated.

(Impression of notary seal required       Notary Public in and for
 here.)                                    County of ------------ State
                                           of --------------. My
                                           commission expires
                                           ------------
 


[[Page 597]]

    (c) Any person who has a continuing guaranty on file with the 
Commission may, during the effective period of the guaranty, give notice 
of such fact by setting forth on the invoice or other paper covering the 
marketing or handling of the product, fabric, or related material 
guaranteed the following:
    Continuing guaranty under the Flammable Fabrics Act filed with the 
Consumer Product Safety Commission.

Provided, however, That such statement may not be used where the 
guaranty is limited and the invoice or other paper covers any product, 
fabric, or related material, subject to a flammability standard under 
the act, which is not covered by the guaranty because of its limited 
nature.
    (d) Any person who falsely represents that he has a continuing 
guaranty on file with the Commission when such is not a fact, or who 
falsely represents that a limited continuing guaranty he does have on 
file with the Commission covers any product, fabric, or related material 
when such is not the case, shall be deemed to have furnished a false 
guaranty under section 8(b) of the act.
    (e) Any seller residing in the United States may give a continuing 
guaranty under section 8 of the act to a buyer applicable to any 
product, fabric, or related material sold or to be sold to said buyer by 
seller. All such continuing guaranties shall be fully executed in 
duplicate and execution of each copy shall be acknowledged before a 
notary public. To remain in effect, such guaranties must be renewed 
every 3 years and at such other times as any change occurs in the legal 
business status of the person giving the guaranty. Representations 
contained in the prescribed form of continuing guaranty from seller to 
buyer with respect to reasonable and representative tests may be based 
upon: (1) A guaranty received and relied upon in good faith by the 
guarantor, (2) tests performed by or for a guarantor, or (3) class 
tests, where permitted under these rules.
    (f) The following is the prescribed form of continuing guaranty from 
seller to buyer:

Continuing Guaranty From Seller to Buyer Under the Flammable Fabrics Act

 The undersigned,_______________________________________________________
a_______________________________________________________________________
    (Corporation, partnership, proprietorship) residing in the United 
States and having its principal office and place of business at --------
----, --------------------------, (Street and number) ------------ 
(City), ---------------------------- (State or Territory and ZIP code), 
and being engaged in the marketing or handling of products, fabrics, or 
related materials subject to the Flammable Fabrics Act, as amended, and 
Regulations thereunder,
    Hereby guarantee(s) to ---------------- (Name and address), buyer, 
that with regard to all the products, fabrics, or related materials 
[described as follows: ---------------------------- (If guaranty is 
limited to certain products, fabrics, or related materials, list the 
general categories here. If guaranty is not so limited, leave these 
lines blank.) hereafter sold or to be sold to buyer by the undersigned, 
and for which flammability standards have been issued, amended, or 
continued in effect under the Flammable Fabrics Act, as amended, 
reasonable and representative tests as prescribed by the Consumer 
Product Safety Commission have been performed show that the products, 
fabrics, or related materials, at the time of their shipment or delivery 
by the undersigned, conform to such of the above-mentioned flammability 
standards as are applicable thereto.
    Dated, signed, and executed this ------ day of -------- 19----, at 
--------------------, (City) -------------------- (State or Territory).

(Impression of corporate seal, if         (Name under which business is
 corporation.)                             conducted.)
                                         -------------------------------
(If firm is a partnership list partners   (Signature of proprietor,
 below.)                                   partner, or authorized
                                           official of corporation.)
-----------------------------------------
 

State of --------------------, ss:
County of --------------------,
    On this ------ day of ------------, 19----, before me personally 
appeared the said -------------------- (Signer of guaranty), proprietor, 
partner (Strike non-applicable words) ---------------------------- (If 
corporation, give title of signing official) of ------------------------
-------- (Firm name), to me personally known, and acknowledged the 
execution of the foregoing instrument on behalf of the firm, for the 
uses and purposes therein stated.

[[Page 598]]



(Impression of notary seal required       Notary Public in and for
 here.)                                    County of ------------, State
                                           of --------------. My
                                           commission expires
                                           ------------
 


(Sec. 5 of the Act, 67 Stat. 112, as amended by 81 Stat. 570, 15 U.S.C. 
1194: section 8 of the Act 67 Stat. 114, as amended by 81 Stat. 572, 15 
U.S.C. 1197)

[40 FR 59887, Dec. 30, 1975, as amended at 52 FR 48810, Dec. 28, 1987]



Sec. 1608.4  Guaranties furnished by nonresidents of the U.S. no bar to prosecution.

    A guaranty furnished under section 8 of the act by a person who is 
not a resident of the United States may not be relied upon as a bar to 
prosecution under section 7 of the act for a violation of section 3 of 
the act.



Sec. 1608.5  Salvage operations of common carriers and others.

    For the purposes of this act the ordinary course of business of 
common carriers, contract carriers or freight forwarders, as referred to 
in section 11 of the act, shall not include the marketing or handling of 
products, fabrics, or related materials subject to the act in the course 
of performance of salvage or lien realizing operations.



Sec. 1608.6  Reference to guaranty by Government prohibited.

    No representation nor suggestion shall be made in advertising or 
otherwise marketing or handling products, fabrics or related materials 
subject to the act that the act, the Government, or any branch thereof, 
guarantees, in any manner that such product, fabric, or related material 
conforms to a flammability standard in effect under the act.



PART 1609--TEXT OF THE FLAMMABLE FABRICS ACT OF 1953, AS AMENDED IN 1954, PRIOR TO 1967 AMENDMENT AND REVISION--Table of Contents






Sec. 1609.1  Text of the Flammable Fabrics Act of 1953, as amended in 1954.

    The following is the text of the Flammable Fabrics Act of 1953, ch. 
164, 67 Stat. 111, as amended, ch. 833, 68 Stat. 770 (1954):

                                 An Act

To prohibit the introduction or movement in interstate commerce of 
articles of wearing apparel and fabrics which are so highly flammable as 
to be dangerous when worn by individuals, and for other purposes.
    Be it enacted by the Senate and House of Representatives of the 
United States of America in Congress assembled,

                               Short Title

    Section 1. This Act may be cited as the ``Flammable Fabrics Act.''

                               Definitions

    Sec. 2. As used in this Act--
    (a) The term person means an individual, partnership, corporation, 
association, or any other form of business enterprise.
    (b) The term commerce means commerce among the several States or 
with foreign nations, or in any Territory of the United States or in the 
District of Columbia, or between any such Territory and another, or 
between any such Territory and any State or foreign nation, or between 
the District of Columbia and any State or Territory or foreign nation.
    (c) The term Territory includes the insular possessions of the 
United States and also any Territory of the United States.
    (d) The term article of wearing apparel means any costume or article 
of clothing worn or intended to be worn by individuals except hats, 
gloves, and footwear: Provided, however, That such hats do not 
constitute or form part of a covering for the neck, face, or shoulders 
when worn by individuals: Provided further, That such gloves are not 
more than fourteen inches in length and are not affixed to or do not 
form an integral part of another garment: And provided further, That 
such footwear does not consist of hosiery in whole or in part and is not 
affixed to or does not form an integral part of another garment.
    (e) The term fabric means any material (other than fiber, filament, 
or yarn) woven, knitted, felted, or otherwise produced from or in 
combination with any natural or synthetic fiber, film, or substitute 
therefor which is intended or sold for use in wearing apparel except 
that interlining fabrics when intended or sold for use in wearing 
apparel shall not be subject to this Act.
    (f) The term interlining means any fabric which is intended for 
incorporation into an article of wearing apparel as a layer between an 
outer shell and an inner lining.
    (g) The term Commission means the Federal Trade Commission.
    (h) The term Federal Trade Commission Act means the Act of Congress 
entitled ``An Act

[[Page 599]]

to create a Federal Trade Commission, to define its powers and duties, 
and for other purposes,'' approved September 26, 1914, as amended.

                         Prohibited Transactions

    Sec. 3. (a) The manufacture for sale, the sale, or the offering for 
sale, in commerce, or the importation into the United States, or the 
introduction, delivery for introduction, transportation or causing to be 
transported in commerce or for the purpose of sale or delivery after 
sale in commerce, of any article of wearing apparel which under the 
provisions of section 4 of this Act is so highly flammable as to be 
dangerous when worn by individuals, shall be unlawful and shall be an 
unfair method of competition and an unfair and deceptive act or practice 
in commerce under the Federal Trade Commission Act.
    (b) The sale or the offering for sale, in commerce, or the 
importation into the United States, or the introduction, delivery for 
introduction, transportation or causing to be transported in commerce or 
for the purpose of sale or delivery after sale in commerce, of any 
fabric which under the provisions of section 4 of this Act is so highly 
flammable as to be dangerous when worn by individuals, shall be unlawful 
and shall be an unfair method of competition and an unfair and deceptive 
act or practice in commerce under the Federal Trade Commission Act.
    (c) The manufacture for sale, the sale, or the offering for sale, of 
any article of wearing apparel made of fabric which under section 4 is 
so highly flammable as to be dangerous when worn by individuals and 
which has been shipped or received in commerce shall be unlawful and 
shall be an unfair method of competition and an unfair and deceptive act 
or practice in commerce under the Federal Trade Commission Act.

                        Standard of Flammability

    Sec. 4. (a) Any fabric or article of wearing apparel shall be deemed 
so highly flammable within the meaning of section 3 of this Act as to be 
dangerous when worn by individuals if such fabrics or any uncovered or 
exposed part of such article of wearing apparel exhibits rapid and 
intense burning when tested under the conditions and in the manner 
prescribed in the Commercial Standard promulgated by the Secretary of 
Commerce effective January 30, 1953, and identified as ``Flammability of 
Clothing Textiles, Commercial Standard 191-53,'' or exhibits a rate of 
burning in excess of that specified in paragraph 3.11 of the Commercial 
Standard promulgated by the Secretary of Commerce effective May 22, 
1953, and identified as ``General Purpose Vinyl Plastic Film, Commercial 
Standard 192-53.'' For the purposes of this Act, such Commercial 
Standard 191-53 shall apply with respect to the hats, gloves, and 
footwear covered by section 2(d) of this Act, notwithstanding any 
exception contained in such Commercial Standard with respect to hats, 
gloves, and footwear.
    (b) If at any time the Secretary of Commerce finds that the 
Commercial Standards referred to in subsection (a) of this section are 
inadequate for the protection of the public interest, he shall submit to 
the Congress a report setting forth his findings together with such 
proposals for legislation as he deems appropriate.
    (c) Notwithstanding the provisions of paragraph 3.1 Commercial 
Standard 191-53, textiles free from nap, pile, tufting, flock or other 
type of raised fiber surface when tested as described in said standard 
shall be classified as class 1, normal flammability, when the time of 
flame spread is three and one-half seconds or more, and as class 3, 
rapid and intense burning when the time of flame spread is less than 
three and one-half seconds. [Approved August 23, 1954.]

                     Administration and Enforcement

    Sec. 5. (a) Except as otherwise specifically provided herein, 
sections 3, 5, 6, and 8(b) of this Act shall be enforced by the 
Commission under rules, regulations and procedures provided for in the 
Federal Trade Commission Act.
    (b) The Commission is authorized and directed to prevent any person 
from violating the provisions of section 3 of this Act in the same 
manner, by the same means and with the same jurisdiction, powers and 
duties as though all applicable terms and provisions of the Federal 
Trade Commission Act were incorporated into and made a part of this Act; 
and any such person violating any provision of section 3 of this Act 
shall be subject to the penalties and entitled to the privileges and 
immunities provided in said Federal Trade Commission Act as though the 
applicable terms and provisions of the said Federal Trade Commission Act 
were incorporated into and made a part of this Act.
    (c) The Commission is authorized and directed to prescribe such 
rules and regulations as may be necessary and proper for purposes of 
administration and enforcement of this Act.
    (d) The Commission is authorized to--
    (1) cause inspections, analyses, tests, and examinations to be made 
of any article of wearing apparel or fabric which it has reason to 
believe falls within the prohibitions of this Act; and
    (2) cooperate on matters related to the purposes of this Act with 
any department or agency of the Government; with any State, Territory, 
or possession or with the District of Columbia; or with any department, 
agency, or political subdivision thereof; or with any person.

[[Page 600]]

                 Injunction and Condemnation Proceedings

    Sec. 6. (a) Whenever the Commission has reason to believe that any 
person is violating or is about to violate section 3 of this Act, and 
that it would be in the public interest to enjoin such violation until 
complaint under the Federal Trade Commission Act is issued and dismissed 
by the Commission or until order to cease and desist made thereon by the 
Commission has become final within the meaning of the Federal Trade 
Commission Act or is set aside by the court on review, the Commission 
may bring suit in the district court of the United States or in the 
United States court of any Territory for the district or Territory in 
which such person resides or transacts business, to enjoin such 
violation and upon proper showing a temporary injunction or restraining 
order shall be granted without bond.
    (b) Whenever the Commission has reason to believe that any article 
of wearing apparel has been manufactured or introduced into commerce or 
any fabric has been introduced in commerce in violation of section 3 of 
this Act, it may institute proceedings by process of libel for the 
seizure and confiscation of such article of wearing apparel or fabric in 
any district court of the United States within the jurisdiction of which 
such article of wearing apparel or fabric is found. Proceedings in cases 
instituted under the authority of this section shall conform as nearly 
as may be to proceedings in rem in admiralty, except that on demand of 
either party and in the discretion of the court, any issue of fact shall 
be tried by jury. Whenever such proceedings involving identical articles 
of wearing apparel or fabrics are pending in two or more jurisdictions, 
they may be consolidated for trial by order of any such court upon 
application seasonably made by any party in interest upon notice to all 
other parties in interest. Any court granting an order of consolidation 
shall cause prompt notification thereof to be given to other courts 
having jurisdiction in the cases covered thereby and the clerks of such 
other courts shall transmit all pertinent records and papers to the 
court designated for the trial of such consolidated proceedings.
    (c) In any such action the court upon application seasonably made 
before trial shall by order allow any party in interest, his attorney or 
agent, to obtain a representative sample of the article of wearing 
apparel or fabric seized.
    (d) If such articles of wearing apparel or fabrics are condemned by 
the court they shall be disposed of by destruction, by delivery to the 
owner or claimant thereof upon payment of court costs and fees and 
storage and other proper expenses and upon execution of good and 
sufficient bond to the effect that such articles of wearing apparel or 
fabrics will not be disposed of for wearing apparel purposes until 
properly and adequately treated or processed so as to render them lawful 
for introduction into commerce, or by sale upon execution of good and 
sufficient bond to the effect that such articles of wearing apparel or 
fabrics will not be disposed of for wearing apparel purposes until 
properly and adequately treated or processed so as to render them lawful 
for introduction into commerce. If such products are disposed of by sale 
the proceeds, less costs and charges, shall be paid into the Treasury of 
the United States.

                                Penalties

    Sec. 7. Any person who willfully violates section 3 or 8(b) of this 
Act shall be guilty of a misdemeanor, and upon conviction thereof shall 
be fined not more than $5,000 or be imprisoned not more than one year or 
both in the discretion of the court: Provided, That nothing herein shall 
limit other provisions of this Act.

                                Guaranty

    Sec. 8. (a) No person shall be subject to prosecution under section 
7 of this Act for a violation of section 3 of this Act if such person 
(1) establishes a guaranty received in good faith signed by and 
containing the name and address of the person by whom the wearing 
apparel or fabric guaranteed was manufactured or from whom it was 
received, to the effect that reasonable and representative tests made 
under the procedures provided in section 4 of this Act show that the 
fabric covered by the guaranty, or used in the wearing apparel covered 
by the guaranty, is not, under the provisions of section 4 of this Act, 
so highly flammable as to be dangerous when worn by individuals, and (2) 
has not, by further processing, affected the flammability of the fabric 
or wearing apparel covered by the guaranty which he received. Such 
guaranty shall be either (1) a separate guaranty specifically 
designating the wearing apparel or fabric guaranteed, in which case it 
may be on the invoice or other paper relating to such wearing apparel or 
fabric; or (2) a continuing guaranty filed with the Commission 
applicable to any wearing apparel or fabric handled by a guarantor, in 
such form as the Commission by rules or regulations may prescribe.
    (b) It shall be unlawful for any person to furnish, with respect to 
any wearing apparel or fabric, a false guaranty (except a person relying 
upon a guaranty to the same effect received in good faith signed by and 
containing the name and address of the person by whom the wearing 
apparel or fabric guaranteed was manufactured or from whom it was 
received) with reason to believe the wearing apparel or fabric falsely 
guaranteed may be introduced, sold, or transported in commerce, and any 
person who violates the

[[Page 601]]

provisions of this subsection is guilty of an unfair method of 
competition, and an unfair or deceptive act or practice, in commerce 
within the meaning of the Federal Trade Commission Act.

                    Shipments From Foreign Countries

    Sec. 9. Any person who has exported or who has attempted to export 
from any foreign country into the United States any wearing apparel or 
fabric which, under the provisions of section 4, is so highly flammable 
as to be dangerous when worn by individuals may thenceforth be 
prohibited by the Commission from participating in the exportation from 
any foreign country into the United States of any wearing apparel or 
fabric except upon filing bond with the Secretary of the Treasury in a 
sum double the value of said products and any duty thereon, conditioned 
upon compliance with the provisions of this Act.

                     Interpretation and Separability

    Sec. 10. The provisions of this Act shall be held to be in addition 
to, and not in substitution for or limitation of, the provisions of any 
other law. If any provision of this Act or the application thereof to 
any person or circumstances is held invalid the remainder of the Act and 
the application of such provisions to any other person or circumstances 
shall not be affected thereby.

                               Exclusions

    Sec. 11. The provisions of this Act shall not apply (a) to any 
common carrier, contract carrier, or freight forwarder with respect to 
an article of wearing apparel or fabric shipped or delivered for 
shipment into commerce in the ordinary course of its business; or (b) to 
any converter, processor, or finisher in performing a contract or 
commission service for the account of a person subject to the provisions 
of this Act: Provided, That said converter, processor, or finisher does 
not cause any article of wearing apparel or fabric to become subject to 
this Act contrary to the terms of the contract or commission service; or 
(c) to any article of wearing apparel or fabric shipped or delivered for 
shipment into commerce for the purpose of finishing or processing to 
render such article or fabric not so highly flammable, under the 
provisions of section 4 of this Act, as to be dangerous when worn by 
individuals.

                             Effective Date

    Sec. 12. This Act shall take effect one year after the date of its 
passage.

                Authorization of Necessary Appropriations

    Sec. 13. There is hereby authorized to be appropriated such sums as 
may be necessary to carry out the provisions of this Act.

[40 FR 59889, Dec. 30, 1975]



PART 1610--STANDARD FOR THE FLAMMABILITY OF CLOTHING TEXTILES--Table of Contents




                         Subpart A--The Standard

Sec.
1610.1 Purpose.
1610.2 Scope.
1610.3 Requirements.
1610.4 Methods of test.
1610.5 Notes.

                    Subpart B--Rules and Regulations

1610.31 Terms defined.
1610.32 General requirements.
1610.33 Test procedures for textile fabrics and film.
1610.34 Only uncovered or exposed parts of wearing apparel to be tested.
1610.35 Procedures for testing special types of textile fabrics under 
          the standard.
1610.36 Applications of act to particular types of products.
1610.37 Reasonable and representative tests to support guaranties.
1610.38 Maintenance of records by those furnishing guaranties.
1610.39 Shipments under 11(c) of the act.
1610.40 Use of alternate apparatus, procedures, or criteria for tests 
          for guaranty purposes.



                 Subpart C--Interpretations and Policies

1610.61 Clarification of flammability standard for clothing textiles (CS 
          191-53).
1610.62 Reasonable and representative testing to assure compliance with 
          the standard for the clothing textiles.

    Source: 40 FR 59891, Dec. 30, 1975, unless otherwise noted.

    Codification Note: Part 1610 is a codification of the previously 
unpublished standard for flammability of clothing textiles, Commercial 
Standard 191-53, issued by the Department of Commerce, effective on 
January 30, 1953. This flammability standard became mandatory through 
section 4(a) of the Flammable Fabrics Act, as amended in 1954, and 
remains in effect due to the savings clause (section 11) of Pub. L. 90-
189. 16 CFR part 1609

[[Page 602]]

contains the text of the Flammable Fabrics Act of 1953, as amended in 
1954.

    Authority: 16 U.S.C. 1191-1204, unless otherwise noted.



                         Subpart A--The Standard

    Authority: Sec. 5, Pub. L. 83-88, 67 Stat. 112, as amended, 68 Stat. 
770 (15 U.S.C. 1193); sec. 11, Pub. L. 90-189, 81 Stat. 568.

    Note: All fabrics of natural or regenerated cellulose, as well as 
certain types of finished and unfinished fabrics made from other natural 
or synthetic fibers, are combustible. Some combustible fabrics, when 
used for clothing, are potentially dangerous to the wearer because of 
the speed and intensity of flame with which those fabrics burn and their 
ease of ignition, and because of the design of the garment. Two of these 
factors, the ease of ignition and the speed of flame spread, can be 
measured with the instrument described herein.

    It is suggested that measurement of these two factors, together with 
visual observation of flame intensity, will permit the separation of 
various fabrics into three classes of flammability, thus assisting in a 
judgment of fabric suitability for clothing.



Sec. 1610.1  Purpose.

    The purpose of this standard is to reduce danger of injury and loss 
of life by providing, on a national basis, standard methods of testing 
and rating the flammability of textiles and textile products for 
clothing use, thereby discouraging the use of any dangerously flammable 
clothing textiles.



Sec. 1610.2  Scope.

    (a) The standard provides methods of testing the flammability of 
clothing and textiles intended to be used for clothing, \1\,a,b 
establishes three classes of flammability, sets forth the requirements 
which textiles shall meet to be so classified, and warns against the use 
of those textiles which have burning characteristics unsuitable for 
clothing.
---------------------------------------------------------------------------

    \1\ Hereinafter, ``clothing and textiles intended to be used for 
clothing'' shall be referred to as ``textiles.''
    \a\ All the numbered footnotes are from the original printing by the 
Department of Commerce. All the lettered footnotes are new.
    \b\ Refer to sections 2 and 4 of the Flammable Fabrics Act of 1953, 
as amended in 1954, set out at 16 CFR part 1609, for the scope of the 
Standard.
---------------------------------------------------------------------------

    (b) Specific exceptions-- This standard shall not apply to:
    (1) Hats, gloves, and footwear. \c\
---------------------------------------------------------------------------

    \c\ Refer to sections 2(d) and 4 of the Flammable Fabrics Act of 
1953, as amended in 1954, set out at 16 CFR part 1609 for exceptions to 
this exception.
---------------------------------------------------------------------------

    (2) Interlining fabrics. \2\
---------------------------------------------------------------------------

    \2\ Interlining fabrics are not considered dangerously flammable 
when used as interlinings. When used for other purposes they should be 
tested and rated the same as any other fabrics.
---------------------------------------------------------------------------



Sec. 1610.3  Requirements.

    (a)(1) Normal flammability, Class 1. This class shall include 
textiles which meet the minimum requirements set forth in paragraph 
(a)(1)(i) or paragraph (a)(1)(ii) of this section. Textiles meeting 
these requirements are generally accepted by the trade as having no 
unusual burning characteristics.
    (i) Textile without nap, pile, tufting, flock, or other type of 
raised-fiber surface. Such textiles in their original state and/or after 
being dry-cleaned and washed as described in Sec. Sec. 1610.4(d) and 
1610.4(e), when tested as described in Sec. 1610.4 shall be classified 
as Class 1, normal flammability, when the time of flame spread is 4 
seconds \d\ or more.
---------------------------------------------------------------------------

    \d\ On August 23, 1954, the Flammable Fabrics Act was amended, 
changing the test for the time of flame spread for plain-surfaced 
fabrics, provided in paragraphs 3.1.1.1 (now Sec. 1610.3(a)(1)(i)) and 
3.1.3.1 (now Sec. 1610.3(a)(3)(i)), by reducing the burning time from 4 
to 3\1/2\ seconds. For the purpose of the administration of that act, 
therefore, the 3\1/2\ second burning time for plain-surface fabrics is 
applicable.
---------------------------------------------------------------------------

    (ii) Napped, pile, tufted, flocked, or other textiles having a 
raised-fiber surface. Such textiles in their original state and/or after 
being dry-cleaned and washed as described in Sec. Sec. 1610.4(d) and 
1610.4(e), when tested as described in Sec. 1610.4, shall be classified 
as Class 1, normal flammability, when the time of flame spread is more 
than 7 seconds, or when they burn with a rapid surface flash (from 0 to 
7 seconds), provided the intensity of the flame is so low as not to 
ignite or fuse the base fabric.
    (2) Intermediate flammability, Class 2. This class shall include 
textiles which meet the minimum requirements set

[[Page 603]]

forth in paragraph (a)(2)(i) of this section. Textiles meeting these 
requirements are recognized by the trade as having flammability 
characteristics between normal and rapid and intense burning.
    (i) Napped, pile, tufted, flocked, or other textiles having a 
raised-fiber surface. Such textiles in their original state and/or after 
being dry-cleaned and washed as described in Sec. Sec. 1610.4(d) and 
1610.4(e), when tested as described in Sec. 1610.4, shall be classified 
as Class 2, intermediate flammability, when the time of flame spread is 
from 4 to 7 seconds, both inclusive, and the base fabric ignites or 
fuses.
    (3) Rapid and intense burning, Class 3. This class shall include 
textiles which have burning characteristics as described in paragraphs 
(a)(3)(i) and (a)(3)(ii) of this section. Such textiles are considered 
dangerously flammable and recognized by the trade as being unsuitable 
for clothing because of their rapid and intense burning.
    (i) Textiles free from nap, pile, tufting, flock, or other type of 
raised-fiber surface. Such textiles in their original state and/or after 
being dry-cleaned and washed as described in Sec. Sec. 1610.4(d) and 
1610.4(e), when tested as described in Sec. 1610.4, shall be classified 
as Class 3, rapid and intense burning, when the time of flame spread is 
less than 4 seconds. \e\
---------------------------------------------------------------------------

    \e\ See footnote d.
---------------------------------------------------------------------------

    (ii) Napped, pile, tufted, flocked, or other textiles having a 
raised-fiber surface. Such textiles in their original state and/or after 
being dry-cleaned and washed as described in Sec. Sec. 1610.4(d) and 
1610.4(e) when tested as described in Sec. 1610.4 shall be classified as 
Class 3, rapid and intense burning, when the time of flame spread is 
less than 4 seconds and when the intensity of flame is such as to ignite 
or fuse the base fabric.



Sec. 1610.4  Methods of test.

    (a)(1) Number and size of specimens required. Five specimens, each 
measuring 2 by 6 inches, are required for each test.
    (2) For textiles without a raised-fiber surface the long dimension 
shall be that in which they burn most rapidly, and the more rapidly 
burning surface shall be tested. To establish the long dimension and the 
surface, preliminary tests are made as described in paragraph (g) of 
this section, with specimens cut in different directions.
    (3) For textiles having a raised-fiber surface, the direction of the 
lay of the surface fibers shall be parallel with the long dimension of 
the specimens. For this type of textiles with varying depths of pile, 
tufting, etc., the specimens are taken from that part and tested on that 
surface which has the fastest rate of burning.
    (4) If the specimens in the preliminary test, when tested as 
described in paragraph (g) of this section, do not ignite or are very 
slow burning, or should have a fire-retarding finish, a swatch large 
enough to provide the specimens required for the test, with allowance 
for shrinkage in dry cleaning and washing, is subjected to the dry 
cleaning and washing procedures described in paragraphs (d) and (e) of 
this section. The specimens for the flammability test are then taken 
from it.
    (5) The specimens required for testing, each 2 by 6 inches, are 
marked out on the back (or under side) of each sample with the long 
dimension in the direction in which burning is most rapid, as 
established in the preliminary trials. The end of the specimen toward 
which and on the face of which burning is most rapid is identified by 
attaching a staple to it. The specimens are then cut out.
[GRAPHIC] [TIFF OMITTED] TC03OC91.075

    (b) Flammability tester. The flammability tester consists of a 
draft-proof ventilated chamber enclosing a standardized ignition medium, 
sample rack, and automatic timing device.
    (1) Draft-proof chamber with vented top (A, fig. 2). This metal 
chamber prevents air circulation around the specimen rack and flame, but 
permits free ventilation for rapid oxidation. The chamber is 14\1/2\ 
inches wide, 8\1/2\ inches deep,

[[Page 604]]

and 14 inches high. There are 12 half-inch holes equidistant along the 
rear of the top closure. A ventilating strip is provided at the base of 
the sliding glass door in the front of the apparatus.
    (2) Specimen rack (B, fig. 2). The specimen rack provides supports 
for the frames in which the specimens are mounted. The angle of 
inclination is 45 deg.. Two guide pins projecting downward from the 
center of the base of the rack travel in slots provided in the floor of 
the chamber so that adjustment can be made for the thickness of the 
specimen in relation to the flame front. A stop is provided in the base 
of the chamber to assist in adjusting the position of the rack.
    (3) Specimen holder (C, fig. 2). The specimen holder consists of two 
\1/16\ inch matched metal plates with clamps mounted along the sides, 
between which the specimen is fixed. The plates are slotted and loosely 
pinned for alignment. The two plates of the holder cover all but 1\1/2\ 
inches of the width of the specimen for its full length. The specimen 
holder is supported in the draft-proof chamber on the rack at an angle 
of 45 deg.. Five specimen holders are provided.
    (4) Indicating finger (D, fig. 2). The forepart of this finger 
touches the specimen when the rack is adjusted. By means of this finger 
the thickness of the specimen is compensated for in the throw of the gas 
nozzle.

[[Page 605]]

[GRAPHIC] [TIFF OMITTED] TC03OC91.076

    (5) Control knobs (not shown). There are two of these knobs which 
hold the rack in test position. The knobs can be reached under the stage 
of the cabinet and permit forward and backward movements of the rack 
when loosened.
    (6) Ignition medium (E, fig. 2). The ignition medium consists of a 
spring-motor-driven gas jet formed around a 26-gage hypodermic needle. A 
trigger located in the front of the apparatus serves to wind the spring-
motor when the machine is placed in operation. The gas jet is protected 
by a copper shield.
    (7) Stop cord (F, fig. 2). This cord, stretched from the spool (P, 
fig. 2) through suitable thread guides provided on the specimen frame 
and chamber walls, permits the lacing of the cord in the proper position 
exactly 5 inches from the point where the center of the ignition flame 
impinges on the

[[Page 606]]

test specimen. The stop cord consists of a No. 50 mercerized sewing 
thread and measures the rise and spread of the flame from the test 
specimen.
    (8) Pulley or eye (G5, fig. 2). The pulley or eye is the 
support and guide for the stop cord. \g\
---------------------------------------------------------------------------

    g Other guides are specifically identified as the skyhook 
(G\1\), the L-shaped guides (G2, G3) and a pigtail 
guide (G6).See Sec. 1610.61(c)(1) for a clarification of the 
stop cord position.
---------------------------------------------------------------------------

    (9) Stop weight (H, fig. 2). The weight, attached by means of a clip 
to the stop cord, in dropping actuates the stop motion.
    (10) Slide door control (I, fig. 2). This knob moves the catch 
mechanism used to hold the sliding door in an open position for 
insertion of test specimen racks.
    (11) Slide door (J, fig. 2). A glass door in its normal position 
slides in the grooves at the front of the cabinet.
    (12) Fuel-control valve (K, fig. 2). This valve consists of a 
sensitive control device for regulating the fuel supply at the tank. The 
valve ends in a \1/2\-inch male connection for attachment to the 
standard butane tank of 2 pounds capacity.
    (13) Flow meter (L, fig. 2). A flow meter is used to bring the fuel 
supply to test level by means of the control valve. The flow meter 
consists of a U-shaped glass tube cut into the gas line in a manner to 
register the gas pressure delivered to the microburner. Attached to the 
case wall behind the flow meter is a movable metal plate with two 
parallel horizontal lines properly spaced for the desired flame length. 
When the pressure is off, the plate is so regulated that the liquid 
level in both sides of the U-shaped tube meets the lower line. When the 
test is made the pressure is so adjusted that the higher liquid level in 
the U-shaped tube meets the upper line.
    (14) Butane, c.p., container \4\ (M, fig. 2). This fuel supply is a 
No. 4 cylinder of c.p. butane.
---------------------------------------------------------------------------

    \4\ Butane, c.p. No. 4 cylinders containing 2 pounds of butane may 
be obtained from, among others, the Matheson Co., Inc., East Rutherford, 
N.J.
---------------------------------------------------------------------------

    (15) Stopwatch and timing mechanism (N, fig. 2). This watch, by 
means of special attachments, is actuated to a start by connection with 
the gas jet (E, fig. 2). A driving mechanism on rear of cabinet (S, fig. 
2) moves the gas jet to its most forward position and automatically 
starts the timing at the moment of flame impact. The falling weight (H, 
fig. 2), when caused to move by severance of cord (F, fig. 2), stops the 
watch. Timing is read directly.
    (16) Starting lever (O, fig. 2). This lever is operated from left to 
right in one stroke and is released to operate the gas jet.
    (17) Cord supply (P, fig. 2). This supply, consisting of a spool of 
No. 50 mercerized cotton sewing thread, is fastened to the side of the 
chamber and can be withdrawn by releasing the thumbscrew holding same in 
position.
    (18) Cord loop (G4, fig. 2). At a point behind the stop 
cord (F, fig. 2), on the rear panel, there is installed another loop to 
draw the cord away from directly over the flame.
    (19) Draft ventilator strip (Q, fig. 2). A draft ventilator strip is 
placed across the front opening, sealing the space between the sliding 
door when in lowered position and the base on which the grid rack is 
attached.
    (c) Brushing device.\h\ (1) This device consists of a baseboard over 
which a smaller carriage is drawn. This carriage runs on parallel tracks 
attached to the edges of the upper surface of the baseboard. The brush 
is hinged with pin hinges at the rear edge of the baseboard and rests on 
the carriage vertically with a pressure of 150 grams.
---------------------------------------------------------------------------

    \h\ See Sec. 1610.61(c)(2) for a clarification of the brushing 
technique for fabric with raised-fiber surfaces.

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

[[Page 607]]

[GRAPHIC] [TIFF OMITTED] TC03OC91.077

    Figure 3--Brushing device. i
    (2) The brush consists of two rows of stiff nylon bristles mounted 
with the tufts in a staggered position. The bristles are 0.016 inch in 
diameter and 0.75 inch in length. There are 20 bristles per tuft and 4 
tufts per inch. A clamp is attached to the forward edge of the movable 
carriage to permit holding the specimen on the carriage during the 
brushing operation.
    (3) After the specimen has been put in place on the carriage and 
fastened by means of the clamp, the brush is raised, the carriage pushed 
to the rear, and the brush lowered to the face of the specimen. The 
carriage is then drawn forward by hand at a uniform rate.
    (d) Dry cleaning. A swatch from each sample, as mentioned in 
paragraph (a)(4) of this section, shall be subjected to the following 
dry-cleaning procedure.
    (1) Apparatus. The apparatus is a cylinder, preferably of metal, 
approximately 13 inches high and about 8\3/4\ inches in diameter 
(capacity 3 gallons). The cylinder is mounted in a vertical position on 
an axis which is inclined 50 deg. to the axis of the cylinder, and is 
rotated about this axis at a speed of 45 to 50 revolutions per minute. 
i
---------------------------------------------------------------------------

    \i\ See footnote h; this picture is a reproduction of the figure 
published in the original standard, and does not truly represent the 
Commission's interpretation of the proper position of the specimen 
during the brushing procedure (Sec. 1610.01(c)(2)). Specifically, the 
specimen in the picture appears to be below the level of the upper half 
of the specimen holder while the clarification requires the specimen to 
be placed above this level. Also Sec. 1610.61(c)(1) allows for the use 
of L-shaped guides.
---------------------------------------------------------------------------

    (2) Cleaning procedure. The apparatus is filled approximately one-
third with perchlorethylene to which is added 270 ml of dry-cleaning 
soap. \6\ The swatches and sufficient suitable worsted cloth, \7\ in 
pieces of approximately 12 by 12 inches, to make a total dry load of 1 
pound are placed in the apparatus. It is operated for 25 minutes. The 
solution is poured out, the apparatus refilled to approximately one-
third with fresh perchlorethylene without soap, and the apparatus is 
operated for an additional

[[Page 608]]

5 minutes. This last operation is repeated three times. The swatches are 
then removed and the excess solvent removed from the swatches by any 
convenient means, such as rolling them between two layers of turkish 
toweling or between two layers of absorbent paper. They are then 
permitted to dry at room temperature.
---------------------------------------------------------------------------

    \6\ The soap shall be made by dissolving 56 grams of caustic potash 
(KOH) in 100 ml of water. The potassium hydroxide solution shall be 
poured slowly, with constant stirring, into a mixture of 340 grams of 
oleic acid, 400 ml of Stoddard solvent (Commercial Standard CS3-40 
grade), and 100 ml of tertiary butyl alcohol or an equal quantity of 
butyl cellosolve.
    \7\ A suitable worsted test fabric known as Moth Test cloth may be 
obtained from Test-fabrics, Inc., 55 Van Dam St., New York 13, N.Y.
---------------------------------------------------------------------------

    (e) Washing procedure. The swatches, after being subjected to the 
dry-cleaning procedure (paragraph (d) of this section), shall then be 
immersed and worked gently for 5 minutes in a bath of soft water in 
which 0.5-percent neutral chip soap has been dissolved. The volume of 
the bath shall be 30 times the weight of the swatches and the 
temperature shall be between 95 deg. and 100  deg.F. The swatches shall 
then be rinsed twice in water at 80  deg.F., extracted, and dried. The 
individual specimens, each 2 by 6 inches, are then cut out as described 
in paragraph (a)(5) of this section and tested as described in 
paragraphs (f) and (g) of this section.
    (f) Brushing and drying specimens. Each specimen having a raised-
fiber surface, in its original condition or after dry cleaning and 
washing, is placed on the brushing device carriage (paragraph (c) of 
this section) and drawn under the brush once against the lay of the 
raised-fiber surface (see fig. 4). Other specimens do not require 
brushing. All specimens are clamped individually in the specimen holders 
of the flammability tester (paragraph (b)(3) of this section), with the 
staple on top and the stapled end at the closed end of the holder. They 
are then dried in a horizontal position in an oven for 30 minutes at 221 
 deg.F (105  deg.C), removed from the oven, and placed over anhydrous 
calcium chloride in a desiccator until cool, but for not less than 15 
minutes.
[GRAPHIC] [TIFF OMITTED] TC03OC91.078

    Figure 4--Lay of nap
    (g) Procedure for testing flammability. (1) Adjust the position of 
the rack of the flammability tester (paragraph (b)(2) of this section) 
with a holder and trial specimen (not a prepared specimen) in position, 
so that the tip of the indicator finger touches the face of the 
specimen.
    (2) Open the control valve in the fuel supply. Allow approximately 5 
minutes for the air to be drawn from the fuel line, ignite the gas and 
adjust the flame to a length of \5/8\ inch, measured from its tip to the 
opening in the gas nozzle.
    (3) Remove the mounted specimen from the desiccator and place it in 
a position on the rack in the chamber of the apparatus.
    (4) See that the stop cord (No. 50 cotton sewing thread) is strung 
through the guides in the upper plate of the specimen holder across the 
top of the specimen, and through the guides at the rear of the chamber 
over the guide ring, and that the weight is hooked in place close to and 
just below the guide ring. Set the stop watch at zero. Close the door of 
the apparatus. Conduct the test in a draft-free room with the apparatus 
at room temperature.
    (5) Bring the starting lever over to the extreme right and release 
it. This starts the timing mechanism and applies the flame to the 
specimen for a period of 1 second. This should be done within 45 seconds 
of the time the specimen was removed from the desiccator. Timing is 
automatic, starting upon application of the flame and ending when the 
weight is released by the burning of the stop cord.

[[Page 609]]

    (6) Record the time of flame spread (reading of stop watch) of each 
specimen and note whether the base of each specimen having a raised-
fiber surface is ignited or fused to a point where the damage is 
apparent from the bottom of the specimen.
    (7) Results--(i) Time of flame spread. The time of flame spread of 
the textile is taken as an average time for 5 specimens. Results of 
tests of specimens before and after dry cleaning and washing shall be 
recorded and reported separately. If the time of flame spread is less 
than 4 seconds \8\ or if the specimens do not burn, test 5 additional 
specimens. The time of flame spread is then taken to be the average time 
for the 10 specimens or for as many of them as burn.
---------------------------------------------------------------------------

    \8\ In the Flammable Fabrics Act, Congress adopted CS 191-53 as the 
Commercial Standard to be applied under the law.
    On August 23, 1954, the Flammable Fabrics Act was amended, changing 
the test for the time of flame spread for plain-surfaced fabrics, 
provided in paragraphs 3.1.1.1 and 3.1.3.1 [codified as 
Sec. Sec. 1610.3(a)(1)(i) and 1610.3(a)(3)(i)], by reducing the burning 
time from 4 to 3\1/2\ seconds.
    For the purposes of the administration of that act, therefore, the 
3\1/2\-second burning time for plain-surfaced fabrics is applicable.
---------------------------------------------------------------------------

    (ii) Base fabric ignition or fusing. Base fabric ignition or fusing 
of textiles having raised-fiber surfaces shall be reported when the base 
fabric of more than 1 of the 5 (or 2 of the 10) specimens tested ignites 
or fuses. \j\
---------------------------------------------------------------------------

    \j\ See Sec. 1610.61(c)(3) for a clarification of the criterion for 
classification of Class 3.
---------------------------------------------------------------------------

    (8) Reporting results. The reported result shall be the flammability 
before or after dry cleaning and washing, whichever is the lower; and, 
based on this result, the textile shall be placed in the proper 
classification as given in Sec. 1610.3.

[40 FR 59891, Dec. 30, 1975, as amended at 59 FR 33194, June 28, 1994]



Sec. 1610.5  Notes.

    The methods of test and classifications outlined herein agree with 
all essential requirements of the Standard Test Method for Flammability 
of Clothing Textiles, of the American Association of Textile Chemists 
and Colorists.



                    Subpart B--Rules and Regulations

    Authority: Sec. 5, 15 U.S.C. 1194.

    Note: An interpretation, with respect to Ornamental Veils or 
Veilings, issued by the Federal Trade Commission at 32 FR 11850, Aug. 
17, 1967, provides as follows:

    Ornamental millinery veils or veilings when used as a part of, in 
conjunction with, or as a hat, are not to be considered such a 
``covering for the neck, face, or shoulders'' as would, under the first 
proviso of section 2(d) of the Flammable Fabrics Act, cause the hat to 
be included within the definition of the term ``article of wearing 
apparel'' where such ornamental millinery veils or veilings do not 
extend more than nine (9) inches from the tip of the crown of the hat to 
which they are attached and do not extend more than two (2) inches 
beyond the edge of the brim of the hat.

    Where hats are composed entirely of ornamental millinery veils or 
veilings such hats will not be considered as subject to the Flammable 
Fabrics Act if the veils or veilings from which they are manufactured 
were not more than nine (9) inches in width and do not extend more than 
nine (9) inches from the tip of the crown of the completed hat.



Sec. 1610.31  Terms defined.

    As used in this part, unless the context otherwise specifically 
requires:
    (a) The term act means the ``Flammable Fabrics Act'' (approved June 
30, 1953, Pub. Law 88, 83d Congress, 1st sess., 15 U.S.C. 1191; 67 Stat. 
111) as amended, 68 Stat. 770, August 23, 1954.
    (b) The terms rule, rules, regulations, and rules and regulations, 
mean the rules and regulations prescribed by the Commission pursuant to 
section 5(c) of the act.
    (c) The term United States means, the several States, the District 
of Columbia, the Commonwealth of Puerto Rico and the Territories, and 
Possessions of the United States.
    (d) The terms marketing or handling means the transactions referred 
to in section 3 of the Flammable Fabrics Act, as amended in 1967.
    (e) The terms uncovered or exposed part of an article of wearing 
apparel as used in section 4(a) of the act, mean that part of such 
article of apparel which might during normal wear be open to flame or 
other means of ignition.


[[Page 610]]


    Note: The outer surface of an undergarment is considered to be an 
uncovered or exposed part of an article of wearing apparel, and thus 
subject to the act.

    (f) The term textile fabric means any coated or uncoated material 
subject to the act, except film and fabrics having a nitro-cellulose 
fiber, finish, or coating, which is woven, knitted, felted or otherwise 
produced from any natural or manmade fiber, or substitute therefor, or 
combination thereof, of two inches or more in width, and which is in a 
form or condition ready for use in wearing apparel.
    (g) The term plain surface textile fabric means any textile fabric 
which does not have an intentionally raised fiber or yarn surface such 
as a pile, nap, or tuft, but shall include those fabrics having fancy 
woven, knitted or flock printed surfaces.
    (h) The term raised surface textile fabric means any textile fabric 
which has an intentionally raised fiber or yarn surface such as a pile, 
nap, or tufting.
    (i) The term film means any nonrigid, unsupported plastic, rubber or 
other synthetic or natural film or sheeting, subject to the Act, or any 
combination thereof, including transparent, translucent, and opaque 
material, whether plain, embossed, molded, or otherwise surface treated, 
which is in a form or condition ready for use in wearing apparel, and 
shall include film or sheeting exceeding 10 mils in thickness.
    (j) The term test means the application of the relevant test method 
prescribed in the procedures provided under section 4(a) of the Act.
    (k) [Reserved]
    (l) The term finish type means a particular finish, but does not 
include such variables as changes in color, pattern, print, or design, 
or minor variations in the amount or type of ingredients in the finish 
formulation. Examples of finish types would be starch finishes, resin 
finishes or parchmentized finishes.
    (m) The definition of terms contained in section 2 of the Act shall 
be applicable also to such terms when used in rules promulgated under 
the act.

[40 FR 59891, Dec. 30, 1975, as amended at 49 FR 48683, Dec. 14, 1984]



Sec. 1610.32  General requirements.

    (a) No article of wearing apparel or fabric subject to the act and 
regulations shall be marketed or handled if such article or fabric, when 
tested according to the procedures prescribed in section 4(a) of the 
act, is so highly flammable as to be dangerous when worn by individuals.
    (b) The provisions of Sec. 1610.4(g)(7) of the Standard for the 
Flammability of Clothing Textiles, relating to results of testing, shall 
be applied to tests of fabrics and articles of wearing apparel subject 
to the Standard. To compute the average time of flame spread for each 
set of five specimens, at least two of the specimens must ignite and 
burn the stop cord for the specimen. However, if fewer than two 
specimens of any given set of five ignite and burn the entire length of 
the specimen, test results shall be interpreted according to the 
provisions of paragraphs (b)(1) through (b)(4) of this section.
    (1) If no specimen ignites and burns the stop cord, the results of 
that test shall be regarded as Class 1 (passing).
    (2) If only one of five specimens of a plain surface fabric ignites 
and burns the stop cord with a time of 3.5 seconds or more, the results 
of that test shall be regarded as Class 1 (passing).
    (3) If only one of five specimens of a raised-fiber surface fabric 
ignites and burns in less than 4 seconds, but the base does not ignite 
or fuse, the results of that test shall be regarded as Class 1 
(passing). If only one of five specimens of a raised-fiber surface 
fabric ignites or burns in more than 4 seconds, regardless of whether 
the base fabric ignites or fuses, the results of that test shall be 
regarded as Class 1 (passing).
    (4) If only one specimen ignites and burns the stop cord in less 
than 3.5 seconds for plain-surface fabrics or less than 4.0 seconds for 
raised-fiber surface fabrics where the base fabric ignites or fuses, 
test another set of five specimens. See Sec. 1610.4(g)(7). Compute the 
average time of flame spread for all 10 specimens. If two or more of the 
specimens ignite and burn the stop cord, average the results from all 
specimens which ignited and burned the stop cord. See 
Sec. Sec. 1610.3(a)(3) and 1610.4(g)(7). If only one of the ten 
specimens ignites

[[Page 611]]

and burns the stop cord, the test is inconclusive. The Commission will 
take no enforcement action on the basis of that test. The Commission may 
conduct additional testing of the fabric or article of wearing apparel, 
but the results of any inconclusive test shall not be averaged with 
results obtained from any other test.

[50 FR 7761, Feb. 26, 1985; 50 FR 11848, Mar. 26, 1985]



Sec. 1610.33  Test procedures for textile fabrics and film.

    (a)(1) All textile fabrics (except those with a nitro-cellulose 
fiber, finish or coating) intended or sold for use in wearing apparel, 
and all such fabrics contained in articles of wearing apparel, shall be 
subject to the requirements of the act, and shall be deemed to be so 
highly flammable as to be dangerous when worn by individuals if such 
fabrics or any uncovered or exposed part of such articles of wearing 
apparel exhibits rapid and intense burning when tested under the 
conditions and in the manner prescribed in subpart A of this part, and 
identified as ``Flammability of Clothing Textiles, Commercial Standard 
191-53''.
    (2) Notwithstanding the provisions of paragraph (a)(1) of this 
section, coated fabrics, except those with a nitro-cellulose coating, 
may be tested under the procedures outlined in part 1611, the 
flammability standard incorporated in the Commercial Standard 
promulgated by the Secretary of Commerce effective May 22, 1953, and 
identified as ``General Purpose Vinyl Plastic Film, Commercial Standard 
192-53'', and if such coated fabrics do not exhibit a rate of burning in 
excess of that specified in Sec. 1611.3 they shall not be deemed to be 
so highly flammable as to be dangerous when worn by individuals.
    (b) All film, and textile fabrics with a nitro-cellulose fiber, 
finish or coating intended or sold for use in wearing apparel, and all 
film and such textile fabrics referred to in this rule which are 
contained in articles of wearing apparel, shall be subject to the 
requirements of the act, and shall be deemed to be so highly flammable 
as to be dangerous when worn by individuals if such film or such textile 
fabrics or any uncovered or exposed part of such articles of wearing 
apparel exhibit a rate of burning in excess of that specified in part 
1611, the flammability standard incorporated in the Commercial Standard 
promulgated by the Secretary of Commerce effective May 22, 1953, and 
identified as ``General Purpose Vinyl Plastic Film, Commercial Standard 
192-53.''



Sec. 1610.34  Only uncovered or exposed parts of wearing apparel to be tested.

    In determining whether an article of wearing apparel is so highly 
flammable as to be dangerous when worn by individuals, only the 
uncovered or exposed part of such article of wearing apparel shall be 
tested according to the applicable procedures set forth in section 4(a) 
of the act.

    Note: If the outer layer of plastic film or plastic-coated fabric of 
a multilayer fabric separates readily from the other layers, the outer 
layer shall be tested under part 1611--Standard for the Flammability of 
Vinyl Plastic Film. If the outer layer adheres to all or a portion of 
one or more layers of the underlaying fabric, the multi-layered fabric 
may be tested under either part 1610--Standard for the Flammability of 
Clothing Textiles or part 1611. However, if the conditioning procedures 
required by Sec. 1610.4(f) of the Standard for the Flammability of 
Clothing Textiles would damage or alter the physical characteristics of 
the film or coating, the uncovered or exposed layer shall be tested in 
accordance with part 1611.
    Plastic film or plastic-coated fabric used, or intended for use as 
the outer layer of disposable diapers is exempt from the requirements of 
the standard, provided that a sample taken from a full thickness of the 
assembled article passes the test in the standard (part 1610 or part 
1611) otherwise applicable to the outer fabric or film when the flame is 
applied to the exposed or uncovered surface. See Sec. Sec. 1610.36(f) 
and 1610.11(f).

[50 FR 7761, Feb. 26, 1985]



Sec. 1610.35  Procedures for testing special types of textile fabrics under the standard.

    (a) Fabric not customarily washed or dry cleaned. (1) Except as 
provided in paragraph (a)(2) of this section, any textile fabric or 
article of wearing apparel which, in its normal and customary use as 
wearing apparel would not be dry cleaned or washed, need not be dry 
cleaned or washed as prescribed in Sec. Sec. 1610.4(d) and 1610.4(e) 
when tested

[[Page 612]]

under the standard if such fabric or article of wearing apparel, when 
marketed or handled, is marked in a clear and legible manner with the 
statement: ``Fabric may be dangerously flammable if dry cleaned or 
washed.'' An example of the type of fabric referred to in this paragraph 
is bridal illusion.
    (2) Section 1610.4(a)(4), which requires that certain samples shall 
be dry cleaned or washed before testing, shall not apply to disposable 
fabrics and garments. Additionally, such disposable fabrics and garments 
shall not be subject to the labeling requirements set forth in 
paragraph(a)(1) of this section.
    (b) A coated fabric need not, upon test under the procedures 
outlined in subpart A of part 1610, be dry cleaned as set forth in 
Sec. 1610.4(d).
    (c) In determining whether a textile fabric having a raised-fiber 
surface, which surface is to be used in the covered or unexposed parts 
of articles of wearing apparel, is so highly flammable as to be 
dangerous when worn by individuals, only the opposite surface or surface 
intended to be exposed need be tested under the applicable procedures 
set forth in section 4(a) of the act, providing an invoice or other 
paper covering the marketing or handling of such fabric is given which 
clearly designates that the raised-fiber surface is to be used only in 
the covered or unexposed parts of articles of wearing apparel.
    (d) A textile fabric which is less than six inches in width need 
only, upon test under the procedures outlined in subpart A of part 1610, 
be tested in a lengthwise direction.

[40 FR 59891, Dec. 30, 1975, as amended at 50 FR 51671, Dec. 19, 1985]



Sec. 1610.36  Applications of act to particular types of products.

    (a) Fabrics intended or sold for processing into interlinings or 
other covered or unexposed parts of articles of wearing apparel shall 
not be subject to the provisions of section 3 of the act: Provided, That 
an invoice or other paper covering the marketing or handling of such 
fabrics is given which specifically designates their intended end use: 
And provided further, That with respect to fabrics which under the 
provisions of section 4 of the act, as amended, are so highly flammable 
as to be dangerous when worn by individuals, any person marketing or 
handling such fabrics maintains records which show the acquisition, 
disposition and intended end use of such fabrics, and any person 
manufacturing articles of wearing apparel containing such fabrics 
maintains records which show the acquisition, and use and disposition of 
such fabrics. Any person who fails to maintain such records or to 
furnish such invoice or other paper shall be deemed to have engaged in 
the marketing or handling of such products for purposes subject to the 
requirements of the act and such person and the products shall be 
subject to the provisions of sections 3, 6, 7, and 9 of the act.
    (b) Fabrics intended or sold for use in those hats, gloves, and 
footwear which are excluded under the definition of articles of wearing 
apparel in section 2(d) of the act shall not be subject to the 
provisions of section 3 of the act: Provided, That an invoice or other 
paper covering the marketing or handling of such fabrics is given which 
specifically designates their intended use in such products: And 
provided further, That with respect to fabrics which under the 
provisions of section 4 of the act, as amended, are so highly flammable 
as to be dangerous when worn by individuals, any person marketing or 
handling such fabrics maintains records which show the acquisition, 
disposition, and intended end use of such fabrics, and any person 
manufacturing hats, gloves, or footwear containing such fabrics 
maintains records which show the acquisition, end use and disposition of 
such fabrics. Any person who fails to maintain such records or to 
furnish such invoice or other paper shall be deemed to have engaged in 
the marketing or handling of such products for purposes subject to the 
requirements of the Act and such person and the products shall be 
subject to the provisions of sections 3, 6, 7, and 9 of the act.
    (c) Except as provided in paragraph (d) of this section, 
handkerchiefs not exceeding a finished size of twenty-four (24) inches 
on any side or not exceeding five hundred seventy-six (576) square 
inches in area are not deemed ``articles of wearing apparel'' as that 
term is used in the act.

[[Page 613]]

    (d) Handkerchiefs or other articles affixed to, incorporated in, or 
sold as a part of articles of wearing apparel as decoration, trimming, 
or for any other purpose, are considered an integral part of such 
articles of wearing apparel, and the articles of wearing apparel and all 
parts thereof are subject to the provisions of the act. Handkerchiefs or 
other articles intended or sold to be affixed to, incorporated in or 
sold as a part of articles of wearing apparel as aforesaid constitute 
``fabric'' as that term is defined in section 2(e) of the act and are 
subject to the provisions of the act which such handkerchiefs or other 
articles constitute textile fabrics as the term ``textile fabric'' is 
defined in Sec. 1610.31(f).
    (e) Where an article of wearing apparel has a raised-fiber surface 
which is intended for use as a covered or unexposed part of the article 
of wearing apparel but the article of wearing apparel is, because of its 
design and construction, capable of being worn with the raised-fiber 
surface exposed, such raised-fiber surface shall be considered to be an 
uncovered or exposed part of the article of wearing apparel. Examples of 
the type of products referred to in this paragraph are athletic shirts 
or so-called ``sweat shirts'' with a raised-fiber inner side.
    (f) Multilayer fabric and wearing apparel with a film or coating on 
the uncovered or exposed surface. Plastic film or plastic-coated fabric 
used, or intended for use, as the outer layer of disposable diapers is 
exempt from the requirements of the standard, provided that a full 
thickness of the assembled article passes the test in the standard 
otherwise applicable to the outer fabric or film when the flame is 
applied to the exposed or uncovered surface.

    Note: An interpretation to Sec. 302.0(c) issued by the Federal Trade 
Commission, 30 FR 16106, Dec. 28, 1965, provides as follows:
    ``Sec. 1610.36(c) does not exclude products from the act on the sole 
basis of the size, description or designation of such product.
    ``If, because of construction, design, color, type of fabric, or any 
other factor, a piece of cloth of a finished type or any other product 
of a finished type appears to be likely to be used as a covering for the 
head, neck, face, shoulders, or any part thereof, or otherwise appears 
likely to be used as an article of clothing, garment, or costume, such 
product is not a handkerchief and constitutes an article of wearing 
apparel as defined in and subject to the provisions of the Flammable 
Fabrics Act, irrespective of its size, or its description or designation 
as a handkerchief or any other term.''

(Secs. 4, 5, 67 Stat. 112, 113, as amended, 68 Stat. 770, 81 Stat. 571, 
90 Stat. 515 (15 U.S.C. 1193, 1194); sec. 30(b), 86 Stat. 1207 (15 
U.S.C. 2079(b))

[40 FR 59891, Dec. 30, 1975, as amended at 50 FR 7762, Feb. 26, 1985]



Sec. 1610.37  Reasonable and representative tests to support guaranties.

    (a) Purpose. The purpose of this Sec. 1610.37 is to establish 
requirements for reasonable and representative tests to support initial 
guaranties of products, fabrics, and related materials which are subject 
to the Standard for the Flammability of Clothing Textiles (the Standard, 
16 CFR part 1610).
    (b) Statutory provisions. (1) Section 8(a) of the Flammable Fabrics 
Act (FFA, 15 U.S.C. 1197(a)) provides that no person shall be subject to 
criminal prosecution under section 7 of the FFA (15 U.S.C. 1196) for a 
violation of section 3 of the FFA (15 U.S.C. 1192) if such person 
establishes a guaranty received in good faith to the effect that the 
product, fabric, or related material complies with the applicable 
flammability standard. A guaranty does not provide the holder any 
defense to an administrative action for an order to cease and desist 
from violation of the applicable standard, the FFA, and the Federal 
Trade Commission Act (15 U.S.C. 45), nor to any civil action for 
injunction or seizure brought under section 6 of the FFA (15 U.S.C. 
1195).
    (2) Section 8 of the FFA provides for two types of guaranties:
    (i) An initial guaranty based on ``reasonable and representative 
tests'' made in accordance with the applicable standard issued under the 
FFA; and
    (ii) A guaranty based on a previous guaranty, received in good 
faith, to the effect that reasonable and representative tests show 
conformance with the applicable standard.
    (c) Requirements. (1) Each person or firm issuing an initial 
guaranty of a product, fabric, or related material subject to the 
Standard shall devise

[[Page 614]]

and implement a program of reasonable and representative tests to 
support such a guaranty.
    (2) The term program of reasonable and representative tests as used 
in this Sec. 1610.37 means at least one test with results demonstrating 
conformance with the Standard for the product, fabric or related 
material which is the subject of an initial guaranty. The program of 
reasonable and representative tests required by this Sec. 1610.37 may 
include tests performed before the effective date of this section, and 
may include tests performed by persons or fims other than the one 
issuing the initial guaranty. The number of tests and the frequency of 
testing shall be left to the discretion of the person or firm issuing 
the initial guaranty.
    (3) In the case of an initial guaranty of a fabric or related 
material, a program of reasonable and representative tests may consist 
of one or more tests of the particular fabric or related material which 
is the subject of the guaranty, or of a fabric or related material of 
the same ``class'' of fabrics or related materials as the one which is 
the subject of the guaranty. For purposes of this Sec. 1610.37, the term 
class means a category of fabrics or related materials having general 
constructional or finished characteristics, sometimes in association 
with a particular fiber, and covered by a class or type description 
generally recognized in the trade.
    (d) Exemptions. Experience gained from years of testing in 
accordance with the Standard demonstrates that certain fabrics 
consistently yield acceptable results when tested in accordance with the 
Standard. Therefore, persons and firms issuing an initial guaranty of 
any of the following types of fabrics, or of products made entirely from 
one or more of these fabrics, are exempt from any requirement for 
testing to support guaranties of those fabrics:
    (1) Plain surface fabrics, regardless of fiber content, weighing 2.6 
ounces per square yard or more; and
    (2) All fabrics, both plain surface and raised-fiber surface, 
regardless of weight, made entirely from any of the following fibers or 
entirely from combination of the following fibers: acrylic, modacrylic, 
nylon, olefin, polyester, wool.

(Sec. 5, Pub.L. 90-189, 81 Stat. 569, 15 U.S.C. 1194; sec. 30, Pub.L. 
92-573, 86 Stat. 1231, 15 U.S.C. 2079)

[49 FR 48689, Dec. 14, 1984; 50 FR 11847, Mar. 26, 1985]



Sec. 1610.38  Maintenance of records by those furnishing guaranties.

    (a) Any person or firm issuing an initial guaranty of a product, 
fabric, or related material which is subject to the Standard for the 
Flammability of Clothing Textiles (the Standard, 16 CFR part 1610) shall 
keep and maintain a record of the test or tests relied upon to support 
that guaranty. The records to be maintained shall show:
    (1) The style or range number, fiber composition, construction and 
finish type of each textile fabric or related material covered by an 
initial guaranty; or the identification, fiber composition, construction 
and finish type of each textile fabric (including those with a 
nitrocellulose fiber, finish or coating), and of each related material, 
used or contained in a product of wearing apparel covered by an initial 
guaranty.
    (2) The results of the actual test or tests made of the textile 
fabric or related material covered by an initial guaranty; or of any 
fabric or related material used in the product of wearing apparel 
covered by an initial guaranty.
    (3) When the person or firm issuing an initial guaranty has 
conducted the test or tests relied upon to support that guaranty, that 
person or firm shall also include with the information required by 
paragraphs (a) (1) and (2) of this section, a sample of each fabric or 
related material which has been tested.
    (b) Persons furnishing guaranties based upon class tests shall 
maintain records showing:
    (1) Identification of the class test.
    (2) Fiber composition, construction and finish type of the fabrics, 
or the fabrics used or contained in articles of wearing apparel so 
guaranteed.
    (3) A swatch of each class of fabrics guaranteed.
    (c) Persons furnishing guaranties based upon guaranties received by 
them shall maintain records showing:

[[Page 615]]

    (1) The guaranty received and identification of the fabrics or 
fabrics contained in articles of wearing apparel guaranteed in turn by 
them.
    (d) The records referred to in this section shall be preserved for a 
period of 3 years from the date the tests were performed, or in the case 
of paragraph (c) of this section the guaranties were furnished.
    (e) Any person furnishing a guaranty under section 8(a) of the act 
who neglects or refuses to maintain and preserve the records prescribed 
in this section shall be deemed to have furnished a false guaranty under 
the provisions of section 8(b) of the act.

(Sec. 5, Pub.L. 90-189, 81 Stat. 569, 15 U.S.C. 1194; sec. 30, Pub.L. 
92-573, 86 Stat. 1231, 15 U.S.C. 2079)

[40 FR 59891, Dec. 30, 1975, as amended at 49 FR 48690, Dec. 14, 1984]



Sec. 1610.39  Shipments under section 11(c) of the act.

    (a) The invoice or other paper relating to the shipment or delivery 
for shipment in commerce of articles of wearing apparel or textile 
fabrics for the purpose of finishing or processing to render them not so 
highly flammable as to be dangerous when worn by individuals, shall 
contain a statement disclosing such purpose.
    (b) An article of wearing apparel or textile fabric shall not be 
deemed to fall within the provisions of section 11(c) of the act as 
being shipped or delivered for shipment in commerce for the purpose of 
finishing or processing to render such article of wearing apparel or 
textile fabric not so highly flammable under section 4 of the act, as to 
be dangerous when worn by individuals, unless the shipment or delivery 
for shipment in commerce of such article of wearing apparel or textile 
fabric is made direct to person engaged in the business of processing or 
finishing textile products for the prearranged purpose of having such 
article of apparel or textile fabric processed or finished to render it 
not so highly flammable under section 4 of the act, as to be dangerous 
when worn by individuals, and any person shipping or delivering for 
shipment the article of wearing apparel or fabric in commerce for such 
purpose maintains records which establish (1) that the textile fabric or 
article of wearing apparel has been shipped for appropriate flammability 
treatment, and (2) that such treatment has been completed, as well as 
records to show the disposition of such textile fabric or article of 
wearing apparel subsequent to the completion of such treatment.
    (c) The importation of textile fabrics or articles of wearing 
apparel may be considered as incidental to a transaction involving 
shipment or delivery for shipment for the purpose of rendering such 
textile fabrics or articles of wearing apparel not so highly flammable 
under the provisions of section 4 of the act, as to be dangerous when 
worn by individuals, if:
    (1) The importer maintains records which establish (i) that the 
imported textile fabrics or articles of wearing apparel have been 
shipped for appropriate flammability treatment, and (ii) that such 
treatment has been completed, as well as records to show the disposition 
of such textile fabrics or articles of wearing apparel subsequent to the 
completion of such treatment.
    (2) The importer, at the time of importation, executes and furnishes 
to the Bureau of Customs an affidavit stating:
    These fabrics (or articles of wearing apparel) are dangerously 
flammable under the provisions of section 4 of the Flammable Fabrics 
Act, and will not be sold or used in their present condition but will be 
processed or finished by the undersigned or by a duly authorized agent 
so as to render them not so highly flammable under the provisions of 
section 4 of the Flammable Fabrics Act, as to be dangerously flammable 
when worn by individuals. The importer agrees to maintain the records 
required by 16 CFR 1610.39(c)(1).
    (3) The importer, if requested to do so by the Bureau of Customs, 
furnishes an adequate specific-performance bond conditioned upon the 
complete discharge of the obligations assumed in paragraphs (c) (1) and 
(2) of this section.

    Note: The purpose of section 11(c) is only to permit articles of 
wearing apparel or textile fabrics which are dangerously flammable to be 
shipped or delivered for shipment in commerce for the purpose of 
treatment or processing to render them not dangerously flammable. 
Section 11(c) does not in any other respect limit the force and effect 
of

[[Page 616]]

sections 3, 6, 7, and 9 of the act. In particular, section 11(c) does 
not authorize the sale or offering for sale of any article of wearing 
apparel or textile fabric which is in fact dangerously flammable at the 
time of sale or offering for sale, even though the seller intends to 
ship the article for treatment prior to delivery to the purchaser or has 
already done so. Moreover, under section 3 of the act a person is liable 
for a subsequent sale or offering for sale if, despite the purported 
completion of treatment to render it not dangerously flammable, the 
article in fact remains dangerously flammable.



Sec. 1610.40  Use of alternate apparatus, procedures, or criteria for tests for guaranty purposes.

    (a) Section 8(a) of the Flammable Fabrics Act (FFA, 15 U.S.C. 
1197(a)) provides that no person shall be subject to criminal 
prosecution under section 7 of the FFA (15 U.S.C. 1196) for a violation 
of section 3 of the FFA (15 U.S.C. 1192) if that person establishes a 
guaranty received in good faith which meets all requirements set forth 
in section 8 the FFA. One of those requirements is that the guaranty 
must be based upon ``reasonable and representative tests'' in accordance 
with the applicable standard.
    (b) The Standard for the Flammability of Clothing Textiles (the 
Standard) prescribes apparatus and procedures for testing fabrics and 
garments subject to its provisions. See 16 CFR 1610.4. The Standard 
prescribes criteria for classifying the flammability of fabrics and 
garments subject to its provisions as ``Normal flammability, Class 1,'' 
``Intermediate flammability, Class 2,'' and ``rapid and intense burning, 
Class 3.'' See 16 CFR 1610.3. Sections 3 and 4 of the Flammable Fabrics 
Act, as enacted in 1953 and amended in 1954, prohibits the manufacture 
for sale, importation into the United States, or introduction in 
commerce of any fabric or article of wearing apparel subject to the 
Standard which exhibits ``rapid and intense burning'' when tested in 
accordance with the Standard. See 16 CFR part 1609.
    (c) The Commission recognizes that for purposes of supporting 
guaranties, ``reasonable and representative tests'' could be either the 
test in the Standard, or alternate tests which utilize apparatus or 
procedures other than those in the Standard. This Sec. 1610.40 sets 
forth conditions under which the Commission will allow use of alternate 
tests with apparatus or procedures other than those in the Standard to 
serve as the basis for guaranties.
    (d)(1) Persons and firms issuing guaranties that fabrics or garments 
subject to the Standard meet its requirements may base those guaranties 
on any alternate test utilizing apparatus or procedures other than those 
in the Standard, if such alternate test is as stringent as, or more 
stringent than, the test in the Standard. The Commission considers an 
alternate test to be ``as stringent as, or more stringent than'' the 
test in the Standard if, when testing identical specimens, the alternate 
test yields failing results as often as, or more often than, the test in 
the Standard. Any person using such an alternate test must have data or 
information to demonstrate that the alternate test is as stringent as, 
or more stringent than, the test in the Standard.
    (2) The data or information required by this paragraph (d) of this 
section to demonstrate equivalent or greater stringency of any alternate 
test using apparatus or procedures other than those in the Standard must 
be in the possession of the person or firm desiring to use such 
alternate test before the alternate test may be used to support 
guaranties of items subject to the Standard.
    (3) The data or information required by paragraph (d) of this 
section to demonstrate equivalent or greater stringency of any alternate 
test using apparatus or procedures other than those in the Standard must 
be retained for as long as that alternate test is used to support 
guaranties of items subject to the Standard, and for one year 
thereafter.
    (e) Specific approval from the Commission in advance of the use of 
any alternate test using apparatus or procedures other than those in the 
standard is not required. The Commission will not approve or disapprove 
any specific alternate test utilizing apparatus or procedures other than 
those in the Standard.
    (f) Use of any alternate test to support guaranties of items subject 
to the

[[Page 617]]

Standard without the information required by this section may result in 
violation of section 8(b)), of the FFA (15 U.S.C. 1197(b)), which 
prohibits the furnishing of a false guaranty.
    (g) The commission will test fabrics and garments subject to the 
Standard for compliance with the Standard using the apparatus and 
procedures set forth in the Standard. The Commission will consider any 
failing results from compliance testing as evidence that:
    (1) The manufacture for sale, importation into the United States, or 
introduction in commerce of the fabric or garment which yielded failing 
results was in violation of the Standard and of section 3 of the FFA; 
and
    (2) The person or firm using the alternate test as the basis for a 
guaranty has furnished a false guaranty, in violation of section 8(b) of 
the FFA.

(Reporting requirements contained in paragraph (d) were approved by 
Office of Management and Budget under control number 3041-0024)

[48 FR 21315, May 12, 1983]



                 Subpart C--Interpretations and Policies



Sec. 1610.61  Clarification of flammability standard for clothing textiles (CS 191-53).

    (a) Background. (1) The Flammable Fabrics Act, which became 
effective July 1, 1954 (Pub. L. 83-88, 67 Stat. 111-15), adopted 
Commercial Standard 191-53 as a mandatory flammability standard to be 
applied under that act (CS 191-53 had been a voluntary commercial 
standard, entitled ``Commercial Standard 191-53, Flammability of 
Clothing Textiles,'' which became effective January 30, 1953).
    (2) On August 23, 1954, the Flammable Fabrics Act was amended (68 
Stat. 770) to reduce the burning time for flame spread as provided in CS 
191-53.
    (3) As amended and revised December 14, 1967 by Public Law 90-189 
(81 Stat. 568-74), the Flammable Fabrics Act no longer specifically 
referred to CS 191-53; however, Public Law 90-189 contained a ``savings 
clause'' (section 11), which continued the applicability of any standard 
effective under the act theretofore until superseded or modified. No 
such change occurred thereafter to CS 191-53 which, accordingly, 
continues to be a mandatory flammability standard under the act.
    (b) Need for clarification. It has been brought to the attention of 
the Consumer Product Safety Commission that lack of clarity in CS 191-53 
regarding (1) the positioning of the stop cord, (2) the technique for 
brushing fabrics with raised-fiber surface, and (3) the criterion for 
failure of a fabric with a raised-fiber surface results in variations in 
the way tests are conducted or results are interpreted under the 
standard, thereby making both compliance with and enforcement of the 
standard under the Flammable Fabrics Act needlessly contentious.
    (c) Clarifying interpretations. To alleviate this situation, the 
Consumer Product Safety Commission adopts the following interpretations 
on these subjects for CS 191-53:
    (1) Stop cord. The stop cord shall be three-eighths of an inch above 
and parallel to the lower surface of the top plate of the specimen 
holder. This condition can be achieved easily and reproducibly with the 
use of L-shaped guides and an additional thread guide popularly referred 
to as a ``sky hook.'' The essential condition, however, is the uniform 
height of three-eighths of an inch for the stop cord and not the number, 
placement, or design of the thread guides.
    (2) Brushing. Brushing of a specimen shall be performed with the 
specimen mounted in a specimen holder. The purpose of the metal plate or 
``template'' on the carriage of the brushing device is to support the 
specimen during the brushing operation. Accordingly, such template 
should be one-eighth of an inch thick.
    (3) Criterion for failure. In the case of those fabrics having a 
raised-fiber surface for which a flame spread time of less than 4 
+seconds occurs and is the result of surface burning (sometimes referred 
to as ``surface flash''), the additional finding of base fabric ignition 
or fusion that is required to establish a failure shall have to be 
associated with the propagating surface flame and not the igniting 
flame.

(Sec. 1, et seq., 67 Stat. 111-15, as amended, 68 Stat. 770, 81 Stat. 
568-74 (15 U.S.C. 1191-1204, note under 1191))

[[Page 618]]



Sec. 1610.62  Reasonable and representative testing to assure compliance with the standard for the clothing textiles.

    (a) Background. (1) The CPSC administers the Flammable Fabrics Act 
(FFA), 15 U.S.C. 1191-1204. Under the FFA, among other things, the 
Commission enforces the Flammability Standard for Clothing Textiles (the 
``general wearing apparel standard''), 16 CFR Part 1610. That standard 
establishes requirements for the flammability of clothing and textiles 
intended to be used for clothing (hereinafter ``textiles'').
    (2) The general wearing apparel standard applies both to fabrics and 
finished garments. The standard provides methods of testing the 
flammability of textiles, and sets forth the requirements that textiles 
must meet to be classified into one of three classes of flammability 
(classes 1, 2 and 3). 16 CFR 1610.2. Class 1 textiles, those that 
exhibit normal flammability, are acceptable for use in clothing. 16 CFR 
1610.3(a)(1). Class 2 textiles, applicable only to raised fiber 
surfaces, are considered to be of intermediate flammability, but may be 
used in clothing. 16 CFR 1610.3(a)(2). Finally, class 3 textiles, those 
that exhibit rapid and intense burning, are dangerously flammable and 
may not be used in clothing. 16 CFR 1610.3(a)(3). The manufacture for 
sale, offering for sale, importation into the U.S., and introduction or 
delivery for introduction of Class 3 articles of wearing apparel are 
among the acts prohibited by section 3(a) of the FFA, 15 U.S.C. 1192(a).
    (3) CPSC currently uses retail surveillance, attends appropriate 
trade shows, follows up on reports of noncompliance and previous 
violations, and works with U.S. Customs in an effort to find textiles 
that violate CPSC's standards. The Commission has a number of 
enforcement options to address prohibited acts. These include bringing 
seizure actions in federal district court against violative textiles, 
seeking an order through an administrative proceeding that a firm cease 
and desist from selling violative garments, pursuing criminal penalties, 
or seeking the imposition of civil penalties for ``knowing'' violations 
of the FFA. Of particular relevance to the latter two remedies are 
whether reasonable and representative tests were performed demonstrating 
that a textile or garment meets the flammability standards for general 
wearing apparel. Persons who willfully violate flammability standards 
are subject to criminal penalties.
    (4) Section 8(a) of the FFA, 15 U.S.C. 1197(a), exempts a firm from 
the imposition of criminal penalties if the firm establishes that a 
guaranty was received in good faith signed by and containing the name 
and address of the person who manufactured the guarantied wearing 
apparel or textiles or from whom the apparel or textiles were received. 
A guaranty issued by a person who is not a resident of the United States 
may not be relied upon as a bar to prosecution. 16 CFR 1608.4. The 
guaranty must be based on the exempted types of fabrics or on reasonable 
and representative tests showing that the fabric covered by the guaranty 
or used in the wearing apparel covered by the guaranty is not so highly 
flammable as to be dangerous when worn by individuals, i.e., is not a 
class 3 material.\1\ Under 16 CFR 1610.37, a person, to issue a 
guaranty, should first evaluate the type of fabric to determine if it 
meets testing exemptions (16 CFR 1610.37(d)); \2\ if not, the person 
issuing the guaranty must devise and implement a program of reasonable 
and representative tests to support the guaranty. The number of tests 
and frequency of testing is left to the discretion of that person, but 
at least one test is required.
---------------------------------------------------------------------------

    \1\ The person proffering a guaranty to the Commission must also 
not, by further processing, have affected the flammability of the 
fabric, related material or product covered by the guaranty that was 
received.
    \2\ Some textiles never exhibit unusual burning characteristics and 
need not be tested. 16 CFR 1610.37(d). Such textiles include plain 
surface fabrics, regardless of fiber content, weighing 2.6 oz. or more 
per sq. yd., and plain and raised surface fabrics made of acrylic, 
modacrylic, nylon, olefin, polyester, wool, or any combination of these 
fibers, regardless of weight.
---------------------------------------------------------------------------

    (5) In determining whether a firm has committed a ``knowing'' 
violation of a flammability standard that warrants imposition of a civil 
penalty, the CPSC

[[Page 619]]

considers whether the firm had actual knowledge that its products 
violated the flammability requirements. The CPSC also considers whether 
the firm should be presumed to have the knowledge that would be 
possessed by a reasonable person acting in the circumstances, including 
knowledge that would have been obtainable upon the exercise of due care 
to ascertain the truth of representations. 15 U.S.C. 1194(e). The 
existence of results of flammability testing based on a reasonable and 
representative program and, in the case of tests performed by another 
entity (such as a guarantor), the steps, if any, that the firm took to 
verify the existence and reliability of such tests, bear directly on 
whether the firm acted reasonably in the circumstances.
    (b) Applicability. (1) When tested for flammability, a small number 
of textile products exhibit variability in the test results; that is, 
even though they may exhibit class 1 or class 2 burning characteristics 
in one test, a third test may result in a class 3 failure. Violative 
products that the Commission has discovered since 1994 include sheer 
100% rayon skirts and scarves; sheer 100% silk scarves; 100% rayon 
chenille sweaters; rayon/nylon chenille and long hair sweaters; 
polyester/cotton and 100% cotton fleece/sherpa garments, and 100% cotton 
terry cloth robes. Since August 1994, there have been 21 recalls of such 
dangerously flammable clothing, and six retailers have paid civil 
penalties to settle Commission staff allegations that they knowingly 
sold garments that violated the general wearing apparel standard.
    (2) The violations and resulting recalls and civil penalties 
demonstrate the critical necessity for manufacturers, distributors, 
importers, and retailers to evaluate, prior to sale, the flammability of 
garments made from the materials described above, or to seek appropriate 
guaranties that assure that the garments comply. Because of the 
likelihood of variable flammability in the small group of textiles 
identified above, one test is insufficient to assure reasonably that 
these products comply with the flammability standards. Rather, a person 
seeking to evaluate garments made of such materials should assure that 
the program tests a sufficient number of samples to provide adequate 
assurance that such textile products comply with the general wearing 
apparel standard. The number of samples to be tested, and the 
corresponding degree of confidence that products tested will comply, are 
to be specified by the individual designing the test program. However, 
in assessing the reasonableness of a test program, the Commission staff 
will specifically consider the degree of confidence that the program 
provides.
    (c) Suggestions. The following are some suggestions to assist in 
complying with the general wearing apparel standard:
    (1) Purchase fabrics or garments that meet testing exemptions listed 
in 16 CFR 1610.37(d). (If buyers or other personnel do not have skills 
to determine if the fabric is exempted, hire a textile consultant or a 
test lab for an evaluation.)
    (2) For fabrics that are not exempt, conduct reasonable and 
representative testing before cutting and sewing, using standard 
operating characteristic curves for acceptance sampling to determine a 
sufficient number of tests.
    (3) Purchase fabrics or garments that have been guarantied and/or 
tested by the supplier using a reasonable and representative test 
program that uses standard operating characteristic curves for 
acceptance sampling to determine a sufficient number of tests. Firms 
should also receive and maintain a copy of the guaranty.
    (4) Periodically verify that your suppliers are actually conducting 
appropriate testing.

[63 FR 42697, Aug. 11, 1998]



PART 1611--STANDARD FOR THE FLAMMABILITY OF VINYL PLASTIC FILM--Table of Contents




                         Subpart A--The Standard

Sec.
1611.1 Purpose and scope.
1611.2 General description of products covered.
1611.3 Flammability--general requirement.
1611.4 Flammability test.

[[Page 620]]

                    Subpart B--Rules and Regulations

1611.31 Terms defined.
1611.32 General requirements.
1611.33 Test procedures for textile fabrics and film.
1611.34 Only uncovered or exposed parts of wearing apparel to be tested.
1611.35 Testing certain classes of fabric and film.
1611.36 Application of act to particular types of products.
1611.37 Reasonable and representative tests under section 8 of the act.
1611.38 Maintenance of records by those furnishing guaranties.
1611.39 Shipments under section 11(c) of the act.

    Source: 40 FR 59898, Dec. 30, 1975, unless otherwise noted.

    Codification Note: Part 1611 is a codification of the previously 
unpublished flammability standard for vinyl plastic film which was 
derived from part of the requirements of Commercial Standard 192-53, 
issued by the Department of Commerce, effective on May 22, 1953. This 
flammability standard became mandatory through section 4(a) of the 
Flammable Fabrics Act, as amended in 1954, and remains in effect due to 
the savings clause (section 11) of Public Law 90-189. Paragraph 3.11 of 
the Commercial Standard, referred to in the 1954 act, has been codified 
as Sec. 1611.3 16 CFR part 1609 containes the text of the Flammable 
Fabrics Act of 1953, as amended in 1954.



                         Subpart A--The Standard

    Authority: Sec. 4, Pub. L. 83-88, 67 Stat. 112, as amended, 68 Stat. 
770 (15 U.S.C. 1193); sec. 11, Pub. L. 90-189, 81 Stat. 568.



Sec. 1611.1  Purpose and scope.

    The purpose of this standard is to promulgate a minimum standard for 
flammability of vinyl plastic film which are subject to the requirements 
of the Flammable Fabrics Act.



Sec. 1611.2  General description of products covered.

    The material covered is nonrigid, unsupported, vinyl plastic film, 
including transparent, translucent, and opaque material, whether plain, 
embossed, molded or otherwise surface treated. \a\
---------------------------------------------------------------------------

    \a\ Refer to sections 2 and 4 of the Flammable Fabrics Act of 1953, 
as amended in 1954, set out at 16 CFR part 1609 for the scope of this 
standard. The vinyl plastic film covered by Commercial Standard 192-53, 
as promulgated by the Secretary of Commerce was vinyl plastic film 10 
mils and less in thickness (see Sec. 1.3 of the voluntary standard). 
After CS 191-53 and CS 192-53 were made mandatory by section 4 of the 
act, the Federal Trade Commission clarified the scope of the standards 
in rules and regulations now found at Sec. Sec. 1611.31(i) and 
1611.33(b) (formerly 16 CFR 302.1(a)(9) and 302.3(b)).
---------------------------------------------------------------------------



Sec. 1611.3  Flammability--general requirement.

    The rate of burning shall not exceed 1.2 in./sec as judged by the 
average of five determinations lengthwise and five determinations 
transverse to the direction of processing, when the material is tested 
with the SPI flammability tester in accordance with the method described 
in Sec. 1611.4.



Sec. 1611.4  Flammability test.

    (a) Apparatus and materials. The apparatus shall be constructed 
essentially as shown in figure 1 and shall consist of the following:
    (1) Specimen holder. (i) A removable, flat, specimen-holding rack, 
the upper and lower sections of which are separate, shall have the shape 
and dimensions shown in figure 2 (sketch of sample-holding rack). The 
specimen is supported by tight closure of the upper and lower sections 
around the sides of the specimen. The center section of the rack 
contains an open U-shaped area in which burning of the specimen takes 
place. At the open end of the rack the forked sides are at an angle of 
45 deg. for the last inch. Thus, when the rack is slid into the cabinet 
on runners mounted at a 45 deg. angle, the bent portion of the specimen 
adjacent to the igniter flame is vertical and the remainder is at 
45 deg..
    (ii) The switch actuators consist of suitable springs mounted on the 
side of the rack, one just beyond the curved portion at the open end, 
and the other at the closed end of the U-shaped holder. The springs are 
depressed and held in position prior to ignition by means of cotton 
thread suitably wound across the specimen and securely attached to the 
rack. As flame reaches these threads, the springs are released, thus 
activating the microswitches of the stop clocks.
    (2) Igniter flame. The igniter flame shall be produced at the tip of 
a No. 22

[[Page 621]]

hypodermic needle jet. The igniter shall be so located in the cabinet 
that the tip of the needle is \9/16\ in. from the surface of the 
specimen when the specimen rack is in place.
    (3) Cabinet. The cabinet shall protect the igniter flame and 
specimen from air currents during tests, yet contain a suitable door or 
window for visual operation, provision for inserting the specimen 
holder, and adjustable vents to supply sufficient air for combustion of 
the specimen. It should also be capable of rapid ventilation following a 
test so that all combustion products can be removed between tests. A 
hood may be used if its exhaust fan is turned off during the test.
    (4) Timing mechanism. The burning rate shall be determined by a stop 
clock through microswitches mounted on the specimenholder rack. The 
clock is started when the specimen flame burns the first thread, and is 
stopped when the thread at the upper end of the holder, 6 in. from the 
first thread, burns apart. The timing mechanism shall be capable of 
indicating time interval to 0.1 second.
    (5) Butane. Unless otherwise specified, butane gas shall be used for 
the igniter flame.
    (6) Thread. J. & P. Coats heavy-duty white cotton thread.
    (7) Microburner.
    (b) Test specimens. (1) Test specimens shall be 3 in. in width and 9 
in. in length. They shall be free from folds or wrinkles. Five specimens 
from each direction (machine and transverse) of a given material shall 
be tested.
    (2) Conditioning. The conditioning procedure shall conform to the 
requirements of procedure B of ASTM D618, Tentative Methods of 
Conditioning Plastics and Electrical Insulating Materials for Testing.
    (c) Procedure. (1) After preparing the specimens, the holder shall 
be threaded so as to depress the switch actuators (springs) at least \1/
4\ in. from the edge of the holder. Each actuator shall be separately 
threaded, the thread passing down through the J-slots and under the 
upper jaws so that the thread is adjacent to the specimen when the 
holder is closed.
    (2) The specimen shall be inserted into the holder so that it 
extends down into the lock springs and is held firmly between the two 
wires at the open end of the burning channel. These wires insure that 
the end of the specimen is always the correct distance from the igniter 
flame. The sample shall be free from wrinkles or distortion when the 
holder is closed. The specimen should not extend beyond the outer edge 
of the lower plate, otherwise the rack may not slide freely on the slide 
channel on introducing it into the cabinet.
    (3) Prior to introducing the specimen and holder into the cabinet, 
both electrical switches shall be set for automatic timing. The needle 
valve regulating the butane flow shall be adjusted to provide a \1/2\-
in. flame. (When the specimen is in place its surface is \9/16\ in. from 
the tip of the needle and the flame is just barely flattened against the 
specimen. This can be checked by using a specimen made of asbestos in 
place of a plastic specimen.)
    (4) With the hood fan off, clocks zeroed, and the flame adjusted as 
mentioned, the door is closed and the specimen holder is then inserted 
at a constant rate. The holder should be allowed to slide down the rails 
by gravity, taking about one-half second to travel the length of the 
slide. Any hesitation in bringing the specimen holder fully into burning 
position may cause erroneous ignition results.
    (5) The burning time shall be read from the stop clock and the rate 
of burning calculated. Results that deviate from the mean value of all 
tests should be rejected if the deviation of the doubtful value is more 
than five times the average deviation from the mean obtained by 
excluding the doubtful value. Such doubtful values shall be discarded 
and retests made.

[[Page 622]]

[GRAPHIC] [TIFF OMITTED] TC03OC91.079

[GRAPHIC] [TIFF OMITTED] TC03OC91.080


[[Page 623]]





                    Subpart B--Rules and Regulations

    Authority: Sec. 5, 15 U.S.C. 1194.

    Note: An interpretation, with respect to Ornamental Veils or 
Veilings, issued by the Federal Trade Commission at 32 FR 11850, Aug. 
17, 1967, provides as follows:

    Ornamental millinery veils or veilings when used as a part of, in 
conjunction with, or as a hat, are not to be considered such a 
``covering for the neck, face, or shoulders'' as would, under the first 
proviso of section 2(d) of the Flammable Fabrics Act, cause the hat to 
be included within the definition of the term ``article of wearing 
apparel'' where such ornamental millinery veils or veilings do not 
extend more than nine (9) inches from the tip of the crown of the hat to 
which they are attached and do not extend more than two (2) inches 
beyond the edge of the brim of the hat.

    Where hats are composed entirely of ornamental millinery veils or 
veilings such hats will not be considered as subject to the Flammable 
Fabrics Act if the veils or veilings from which they are manufactured 
were not more than nine (9) inches in width and do not extend more than 
nine (9) inches from the tip of the crown of the completed hat.



Sec. 1611.31  Terms defined.

    As used in this part, unless the context otherwise specifically 
requires:
    (a) The term act means the ``Flammable Fabrics Act'' (approved June 
30, 1953, Pub. Law 88, 83d Congress, 1st sess., 15 U.S.C. 1191; 67 Stat. 
111), as amended, 68 Stat. 770, August 23, 1954.
    (b) The terms rule, rules, regulations, and rules and regulations, 
mean the rules and regulations prescribed by the Commission pursuant to 
section 5(c) of the act.
    (c) The term United States means the several States, the District of 
Columbia, the Commonwealth of Puerto Rico and the Territories and 
Possessions of the United States.
    (d) The terms marketing or handling means the transactions referred 
to in section 3 of the Flammable Fabrics Act, as amended in 1967.
    (e) The terms uncovered or exposed part of an article of wearing 
apparel as used in section 4(a) of the act, means that part of such 
article of apparel which might during normal wear be open to flame or 
other means of ignition.

    Note: The outer surface of an undergarment is considered to be an 
uncovered or exposed part of an article of wearing apparel, and thus 
subject to the act.

    (f) The term textile fabric means any coated or uncoated material 
subject to the act, except film and fabrics having a nitro-cellulose 
fiber, finish, or coating, which is woven, knitted, felted or otherwise 
produced from any natural or man-made fiber, or substitute therefore, or 
combination thereof, of two inches or more in width, and which is in a 
form or condition ready for use in wearing apparel.
    (g) The term plain surface textile fabric means any textile fabric 
which does not have an intentionally raised fiber or yarn surface such 
as a pile, nap, or tuft, but shall include those fabrics having fancy 
woven, knitted or flock printed surfaces.
    (h) The term raised surface textile fabric means any textile fabric 
which has an intentionally raised fiber or yarn surface such as a pile, 
nap, or tufting.
    (i) The term film means any nonrigid, unsupported plastic, rubber or 
other synthetic or natural film or sheeting, subject to the act, or any 
combination thereof, including transparent, translucent, and opaque 
material, whether plain, embossed, molded, or otherwise surface treated, 
which is in a form or condition ready for use in wearing apparel, and 
shall include film or sheeting exceeding 10 mils in thickness.
    (j) The term test means the application of the relevant test method 
prescribed in the procedures provided under section 4(a) of the act.
    (k) The term initial test means tests made under the procedures 
prescribed in section 4(a) of the act of specimens taken from two 
separate pieces of a textile fabric, or textile fabric with a nitro-
cellulose fiber, finish or coating, having the same weight, construction 
and finish type, or from two separate runs of film having the same 
formula, finish, color, and thickness.
    (l) The term finish type means a particular finish, but does not 
include

[[Page 624]]

such variables as changes in color, pattern, print, or design, or minor 
variations in the amount or type of ingredients in the finish 
formulation. Examples of finish types would be starch finishes, resin 
finishes or parchmentized finishes.
    (m) The definition of terms contained in section 2 of the act shall 
be applicable also to such terms when used in rules promulgated under 
the act.



Sec. 1611.32  General requirements.

    (a) No article of wearing apparel or fabric subject to the act and 
regulations shall be marketed or handled if such article or fabric, when 
tested according to the procedures prescribed in section 4(a) of the 
act, is so highly flammable to be dangerous when worn by individuals.
    (b)(1) In the application of the requirements of Sec. 1611.3 of the 
Standard to any item of film, coated fabric, or wearing apparel, compute 
the average burn rate from five specimens burned transverse to the 
direction of processing and the average burn rate from an additional 
five specimens burned lengthwise to the direction of processing. If 
either the average burn rate from the five specimens burned transverse 
or the average burn rate from the five specimen burned lengthwise 
exceeds 1.2 inches per second, the test results shall be interpreted as 
a failure.
    (2) To compute the average burn rate for each set of five specimens, 
at least two of the specimens must ignite and burn the stop cord for the 
specimen. However, if fewer than two specimens of any given set of five 
specimens ignite and burn the stop cord for the specimen, the test 
results shall be interpreted according to provisions of paragraphs 
(b)(2)(i) through (iii) of this section:
    (i) If no specimen ignites and burns the stop cord, the test results 
of that set of specimens shall be regarded as passing.
    (ii) If only one specimen of the set of five specimens ignites and 
burns the stop cord with passing results, the results of that set of 
specimens will be regarded as passing.
    (iii) If only one specimen of the set of five specimens ignites and 
burns the stop cord with failing results, test another set of five 
specimens from the same direction of processing. Compute the average 
burn rate for all ten specimens in the same direction of processing. If 
two or more of the 10 specimens ignite and burn the stop cord, average 
the results from all 10 specimens which ignited and burned the stop 
cord. If only one of the 10 specimens ignites and burns the stop cord, 
the test is inconclusive. The Commission will take no enforcement action 
on the basis of that test. The Commission may conduct additional testing 
of the article of film, coated fabric, or wearing apparel, but the 
results of any inconclusive test shall not be averaged with results 
obtained from any other test.

[50 FR 7762, Feb. 26, 1985; 50 FR 11848, Mar. 26, 1985]



Sec. 1611.33  Test procedures for textile fabrics and film.

    (a)(1) All textile fabrics (except those with a nitro-cellulose 
fiber, finish or coating) intended or sold for use in wearing apparel, 
and all such fabrics contained in articles of wearing apparel, shall be 
subject to the requirements of the act, and shall be deemed to be so 
highly flammable as to be dangerous when worn by individuals if such 
fabrics or any uncovered or exposed part of such articles of wearing 
apparel exhibits rapid and intense burning when tested under the 
conditions and in the manner prescribed in subpart A of this part, and 
identified as ``Flammability of Clothing Textiles, Commercial Standard 
191-53''.
    (2) Notwithstanding the provisions of paragraph (a)(1) of this 
section, coated fabrics, except those with a nitro-cellulose coating, 
may be tested under the procedures outlined in part 1611, the 
flammability standard incorporated in the Commercial Standard 
promulgated by the Secretary of Commerce effective May 22, 1953, and 
identified as ``General Purpose Vinyl Plastic Film, Commercial Standard 
192-53'', and if such coated fabrics do not exhibit a rate of burning in 
excess of that specified in Sec. 1611.3 they shall not be deemed to be 
so highly flammable as to be dangerous when worn by individuals.
    (b) All film, and textile fabrics with a nitro-cellulose fiber, 
finish or coating

[[Page 625]]

intended or sold for use in wearing apparel, and all film and such 
textile fabrics referred to in this rule which are contained in articles 
of wearing apparel, shall be subject to the requirements of the act, and 
shall be deemed to be so highly flammable as to be dangerous when worn 
by individuals if such film or such textile fabrics or any uncovered or 
exposed part of such articles of wearing apparel exhibit a rate of 
burning in excess of that specified in part 1611, the flammability 
standard incorporated in the Commercial Standard promulgated by the 
Secretary of Commerce effective May 22, 1953, and identified as 
``General Purpose Vinyl Plastic Film, Commercial Standard 192-53.''



Sec. 1611.34  Only uncovered or exposed parts of wearing apparel to be tested.

    In determining whether an article of wearing apparel is so highly 
flammable as to be dangerous when worn by individuals, only the 
uncovered or exposed part of such article of wearing apparel shall be 
tested according to the applicable procedures set forth in section 4(a) 
of the act.

    Note: If the outer layer of plastic film or plastic-coated fabric of 
a multilayer fabric separates readily from the other layers, the outer 
layer shall be tested under part 1611--Standard for the Flammability of 
Vinyl Plastic Film. If the outer layer adheres to all or a portion of 
one or more layers of the underlying fabric, the multilayered fabric may 
be tested under either part 1611 or Part 1610--Standard for the 
Flammability of Clothing Textiles. However, if the conditioning 
procedures required by Sec. 1610.4(f) of the Standard for the 
Flammability of Cloth Textiles would damage or alter the physical 
characteristics of the film or coating, the uncovered or exposed layer 
shall be tested in accordance with part 1611.
    Plastic film or plastic-coated fabric used, or intended for use, as 
the outer layer of disposable diapers is exempt from the requirements of 
the standard, provided that a sample taken from a full thickness of the 
assembled article passes the test in the standard (part 1610 or part 
1611) otherwise applicable to the outer fabric or film when the flame is 
applied to the exposed or uncovered surface. See Sec. Sec. 1610.36(f) 
and 1611.36(f).

[50 FR 7762, Feb. 26, 1985]



Sec. 1611.35  Testing certain classes of fabric and film.

    (a) Fabric not customarily washed or dry cleaned. (1) Except as 
provided in paragraph (a)(2) of this section, any textile fabric or 
article of wearing apparel, which, in its normal and customary use as 
wearing apparel would not be dry cleaned or washed, need not be dry 
cleaned or washed as prescribed in Sec. Sec. 1610.4 (d) and (e) when 
tested under the Standard for the Flammability of Clothing Textiles if 
such fabric or article of wearing apparel, when marketed or handled, is 
marked in a clear and legible manner with the statement: ``Fabric may be 
dangerously flammable if dry cleaned or washed.'' An example of the type 
of fabric referred to in this paragraph is bridal illusion.
    (2) Section 1610.4(a)(4) of the Standard for the Flammability of 
Clothing Textiles, which requires that certain samples shall be dry 
cleaned or washed before testing, shall not apply to disposable fabrics 
and garments. Additionally, such disposable fabrics and garments shall 
not be subject to the labeling requirements set forth in paragraph(a)(1) 
of this section.
    (b) A coated fabric need not, upon test under the procedures 
outlined in subpart A of part 1610, be dry cleaned as set forth in 
Sec. 1610.4(d).
    (c) In determining whether a textile fabric having a raised-fiber 
surface, which surface is to be used in the covered or unexposed parts 
of articles of wearing apparel, is so highly flammable as to be 
dangerous when worn by individuals, only the opposite surface or surface 
intended to be exposed need be tested under the applicable procedures 
set forth in section 4(a) of the act, providing an invoice or other 
paper covering the marketing or handling of such fabric is given which 
clearly designates that the raised-fiber surface is to be used only in 
the covered or unexposed parts of articles of wearing apparel.
    (d)(1) Items which are subject to the Standard for the Flammability 
of Vinyl Plastic Film from which a test specimen 3 inches by 9 inches 
cannot be taken lengthwise to the direction of processing shall not be 
tested in the lengthwise direction.

[[Page 626]]

    (2) Items which are subject to the Standard for the Flammability of 
Vinyl Plastic Film from which a test specimen 3 inches by 9 inches 
cannot be taken transverse to the direction of processing shall not be 
tested in the transverse direction.

[40 FR 59898, Dec. 30, 1975, as amended at 50 FR 51671, Dec. 19, 1985]



Sec. 1611.36  Application of act to particular types of products.

    (a) Fabrics intended or sold for processing into interlinings or 
other covered or unexposed parts of articles of wearing apparel shall 
not be subject to the provisions of section 3 of the act: Provided, That 
an invoice or other paper covering the marketing or handling of such 
fabrics is given which specifically designates their intended end use: 
And provided further, That with respect to fabrics which under the 
provisions of section 4 of the act, as amended, are so highly flammable 
as to be dangerous when worn by individuals, any person marketing or 
handling such fabrics maintains records which show the acquisition, 
disposition and intended end use of such fabrics, and any person 
manufacturing articles of wearing apparel containing such fabrics 
maintains records which show the acquisition, and use and disposition of 
such fabrics. Any person who fails to maintain such records or to 
furnish such invoice or other paper shall be deemed to have engaged in 
the marketing or handling of such products for purposes subject to the 
requirements of the act and such person and the products shall be 
subject to the provisions of sections 3, 6, 7, and 9 of the act.
    (b) Fabrics intended or sold for use in those hats, gloves, and 
footwear which are excluded under the definition of articles of wearing 
apparel in section 2(d) of the act shall not be subject to the 
provisions of section 3 of the act: Provided, That an invoice or other 
paper covering the marketing or handling of such fabrics is given which 
specifically designates their intended use in such products: And 
provided further, That with respect to fabrics which under the 
provisions of section 4 of the act, as amended, are so highly flammable 
as to be dangerous when worn by individuals, any person marketing or 
handling such fabrics maintains records which show the acquisition, 
disposition, and intended end use of such fabrics, and any person 
manufacturing hats, gloves, or footwear containing such fabrics 
maintains records which show the acquisition, end use and disposition of 
such fabrics. Any person who fails to maintain such records or to 
furnish such invoice or other paper shall be deemed to have engaged in 
the marketing or handling of such products for purposes subject to the 
requirements of the act and such person and the products shall be 
subject to the provisions of sections 3, 6, 7, and 9 of the act.
    (c) Except as provided in paragraph (d) of this section, 
handkerchiefs not exceeding a finished size of twenty-four (24) inches 
on any side or not exceeding five hundred seventy-six (576) square 
inches in area are not deemed ``articles of wearing apparel'' as that 
term is used in the act.
    (d) Handkerchiefs or other articles affixed to, incorporated in, or 
sold as a part of articles of wearing apparel as decoration, trimming, 
or for any other purpose, are considered an integral part of such 
articles of wearing apparel, and the articles of wearing apparel and all 
parts thereof are subject to the provisions of the act. Handkerchiefs or 
other articles intended or sold to be affixed to, incorporated in or 
sold as a part of articles of wearing apparel as aforesaid constitute 
``fabric'' as that term is defined in section 2(e) of the act and are 
subject to the provisions of the act which such handkerchiefs or other 
articles constitute textile fabrics as the term ``textile fabric'' is 
defined in Sec. 1611.31(f).
    (e) Where an article of wearing apparel has a raised-fiber surface 
which is intended for use as a covered or unexposed part of the article 
of wearing apparel but the article of wearing apparel is, because of its 
design and construction, capable of being worn with the raised-fiber 
surface exposed, such raised-fiber surface shall be considered to be an 
uncovered or exposed part of the article of wearing apparel. Examples of 
the type of products referred to in this paragraph are athletic shirts 
or so-called ``sweat shirts'' with a raised fiber inner side.

[[Page 627]]

    (f) Multilayer fabric and wearing apparel with a film or coating on 
the uncovered or exposed surface. Plastic film or plastic-coated fabric 
used, or intended for use, as the outer layer of disposable diapers is 
exempt from the requirements of the standard, provided that a full 
thickness of the assembled article passes the test in the standard 
otherwise applicable to the outer fabric or film when the flame is 
applied to the exposed or uncovered surface. (15 U.S.C. 1193, 1194; 15 
U.S.C. 2079(b))

    Note: An interpretation to Sec. 302.6(c) issued by the Federal Trade 
Commission, 30 FR 16106, Dec. 28, 1965, provides as follows:
    ``Sec. 1611.36(c) does not exclude products from the act on the sole 
basis of the size, description or designation of such product.
    ``If, because of construction, design, color, type of fabric, or any 
other factor, a piece of cloth of a finished type or any other product 
of a finished type appears to be likely to be used as a covering for the 
head, neck, face, shoulders, or any part thereof, or otherwise appears 
likely to be used as an article of clothing, garment, or costume, such 
product is not a handkerchief and constitutes an article of wearing 
apparel as defined in and subject to the provisions of the Flammable 
Fabrics Act, irrespective of its size, or its description or designation 
as a handkerchief or any other term.''

(Secs. 4, 5, 67 Stat. 112, 113, as amended, 68 Stat. 770, 81 Stat. 571, 
90 Stat. 515 (15 U.S.C. 1193, 1194); sec. 30(b), 86 Stat. 1207 (15 
U.S.C. 2079(b))

[40 FR 59898, Dec. 30, 1975, as amended at 50 FR 7763, Feb. 26, 1985]



Sec. 1611.37  Reasonable and representative tests under section 8 of the Act.

    Explanation: Section 8 of the Act, among other things, provides that 
no person shall be subject to prosecution under section 7 of the Act for 
a violation of section 3 of the Act if such person establishes a 
guaranty received in good faith signed by and containing the name and 
address of the person by whom the wearing apparel or fabric guaranteed 
was manufactured or from whom it was received, to the effect that 
reasonable and representative tests made under the procedures provided 
in section 4(a) of the Act show that the fabric covered by the guaranty, 
or used, or contained in the wearing apparel, is not, under the 
provisions of section 4(a) of the Act, so highly flammable as to be 
dangerous when worn by individuals.
    While one establishing a guaranty received in good faith would not 
be subject to criminal prosecution under section 7 of the Act, he, or 
the merchandise involved, would nevertheless, remain subject to the 
administrative processes of the Consumer Product Safety Commission under 
section 5 of the Act, as well as the injunction and condemnation 
procedures under section 6 of the Act.
    The furnishing of guaranties is not mandatory under the Act. The 
purpose of this rule is to establish minimum requirements for the 
reasonable and representative tests on which guaranties may be based.
    (a) The following shall constitute reasonable and representative 
tests, as that term is used in section 8 of the Act, for those textile 
fabrics which by reason of their composition, construction, finish type 
or weight may be tested upon a class basis. The word ``class'' as used 
in this section means a category of textile fabrics having certain 
general constructional or finished characteristics, sometimes in 
association with a particular fiber, and covered by a class or type 
description generally recognized by the trade. In certain instances the 
use of class tests is restricted by this section to a particular textile 
fabric of the same fiber composition, construction and finish type. The 
results of such class tests may be used by any person as a basis for 
furnishing guaranties under section 8 of the Act on all textile fabrics 
of the same class.
    (1) Plain surface textile fabrics weighing two ounces or more per 
square yard. (i) One test of any plain surface textile fabric weighing 
two ounces or more per square yard, exclusive of metallic ornamentation, 
or one test of any fabric in a particular class of such fabrics, shall 
suffice for any such fabric or class of fabrics.
    (2) Plain surface textile fabrics weighing less than two ounces per 
square yard. (i) When, on the initial test of any plain surface textile 
fabric weighing less than two ounces per square yard, such fabric 
exhibits a burning time of 3.5 seconds or more, such test may suffice 
for any fabric of the same fiber composition, construction and finish 
type. This class of fabric shall be tested at least once at intervals of 
not more than three months thereafter while in production. If, after 
four consecutive interval production tests have been made, none of such 
test results show the flame spread to have been less than 4.5 seconds, 
no further tests of such class of fabric need be made.

[[Page 628]]

    (ii) When, on the initial test of any plain surface textile fabric 
weighing less than two ounces per square yard, none of the specimens 
ignite, such initial test may suffice for any fabric of the same fiber 
composition, construction and finish type.
    (iii) When, on the initial test of any plain surface textile fabric 
weighing less than two ounces per square yard, such fabric ignites but 
the flame is extinguished before the stop cord is burned, such test may 
suffice for any fabric of the same fiber composition, construction and 
finish type. This class of fabric shall be tested at least once at 
intervals of not more than one year thereafter while in production.
    (3) Certain raised fiber surface textile fabrics. (i) When a test of 
any raised fiber surface textile fabric which has a dense cut pile of 
uniform short length or looped yarns, does not exhibit a surface flash 
and does not ignite, such test shall suffice for any such fabric having 
a dense cut pile of the same length or the same looped yarns and of the 
same fiber composition, construction and finish type. Examples of the 
types of fabrics referred to are velvet, velveteens, velours, and 
corduroys.
    (ii) One test of any raised fiber surface textile fabric, the raised 
fiber surface of which consists of not less than ninety percentum (90%) 
protein fiber, or one test of any fabric in a particular class of such 
fabrics, shall suffice for any such fabric or class of fabrics.
    (iii) When, on the initial test of any raised surface textile fabric 
which has a surface composed of looped yarns, such fabric exhibits a 
burning time in excess of 12 seconds, such test may suffice for any such 
fabric having the same looped yarns and of the same fiber composition, 
construction and finish type. An example of the type of fabric referred 
to is ``terry cloth''.
    (b) Raised fiber surface textile fabrics: When, on the initial test 
of a raised fiber surface textile fabric, such fabric:
    (1)(i) Falls within Class 2 as provided in Sec. 1610.3(a)(2)(i), the 
fabric shall be tested at least once at intervals of not more than one 
month while in production, or if the production exceeds 50,000 yards per 
month, the fabric shall be tested thereafter every 50,000 yards or 
fraction thereof.
    (ii) If, after two such intervals, production tests have been made, 
the test results do not show the flame spread to have been less than 4 
seconds, with the base fabric ignited or fused, the fabric shall be 
tested at least once at intervals of not more than three months while in 
production, or if the production exceeds 100,000 yards per three months, 
the fabric shall be tested thereafter every 100,000 yards or fraction 
thereof.
    (2) Has a flame spread in excess of 7 seconds with the base fabric 
ignited or fused, the fabric shall be tested at least once at intervals 
of not more than six months thereafter while in production.
    (3) Has a surface flash, but the base fabric does not ignite nor 
fuse, the fabric shall be tested at least once at intervals of not more 
than six months thereafter while in production.
    (4) Does not have a surface flash and does not ignite, the initial 
test shall suffice.
    (c) When, on initial test a film or a textile fabric with a nitro-
cellulose fiber, finish or coating, does not exhibit a burning rate in 
excess of 1.2 inches per second, one test each year thereafter while in 
production shall be deemed reasonable and representative tests for such 
film or textile fabric.
    (d) Reasonable and representative tests of fabrics and fabrics 
contained in articles of wearing apparel, subject to the act, produced 
prior to the effective date of the act, and which have not been tested 
under the applicable requirements of paragraphs (a), (b), or (c) of this 
section, shall be an initial test for each class of such fabrics, and 
such tests shall be applicable to all fabrics having the same fiber 
composition, construction and finish type.
    (e) In the case of articles of wearing apparel which are not made 
from fabrics but directly from yarns, the fabrics contained in such 
articles of wearing apparel shall be tested by the testing requirements 
provided in paragraphs (a) and (b) of this section.
    (f) Where fabrics or fabrics contained in articles of wearing 
apparel have not been tested when in production by the applicable 
testing requirements provided in paragraphs (a), (b) or (c) of

[[Page 629]]

this section, one test of each such fabrics shall be made every 10,000 
yards or fraction thereof, or of the fabric contained in one of every 
5,000 of such articles of wearing apparel or fraction thereof, and these 
shall be deemed reasonable and representative tests of such fabrics.
    (g) In the case of textile fabrics or textile fabrics contained in 
articles of wearing apparel having an appliqued, overstitched, or 
embroidered type of design of a loop, pile, nap, or tufted construction, 
tests shall be conducted according to paragraph (b) of this section on 
each type of applique, overstitch, or embroidery.
    (h) If tests of any textile fabric made subsequent to the initial 
test show a burning time of another category, then such fabric shall be 
tested thereafter under the testing requirements of such changed time.
    (i) The application of this section, insofar as it relates to the 
testing of plain surface textile fabrics or such fabrics contained in 
articles of wearing apparel weighing two ounces or more per square yard, 
shall be limited to fabrics made of fibers in use or capable of being 
used as of May 31, 1954. Such fabrics weighing two ounces or more per 
square yard made in whole or in part of fibers developed and used 
subsequent to May 31, 1954, shall be tested in accordance with the 
testing requirements set out in paragraph (a)(2) of this section.



Sec. 1611.38  Maintenance of records by those furnishing guaranties.

    (a) In order to properly administer and enforce section 8 of the act 
relating to guaranties, it is required that any person furnishing either 
a separate or continuing guaranty who has made the tests prescribed by 
the act and regulations shall keep and maintain records of such tests. 
The records to be maintained shall show:
    (1) The style or range number, fiber composition, construction and 
finish type of each textile fabric and each textile fabric (including 
those with a nitro-cellulose fiber, finish or coating) used or contained 
in an article of wearing apparel covered by the guaranty, including a 
swatch of the fabric tested.
    (2) The stock or formula number, color, thickness and general 
description of each film or film used in an article of wearing apparel 
covered by the guaranty, including a sample of the film tested.
    (3) The results of the actual tests made on the textile fabric and 
film or the fabric and film used or contained in an article of wearing 
apparel.
    (b) Persons furnishing guaranties based upon class tests shall 
maintain records showing:
    (1) Identification of the class test.
    (2) Fiber composition, construction and finish type of the fabrics, 
or the fabrics used or contained in articles of wearing apparel so 
guaranteed.
    (3) A swatch of each class of fabrics guaranteed.
    (c) Persons furnishing guaranties based upon guaranties received by 
them shall maintain records showing:
    (1) The guaranty received and identification of the fabrics or 
fabrics contained in articles of wearing apparel guaranteed in turn by 
them.
    (2) [Reserved]
    (d) The records referred to in this section shall be preserved for a 
period of three years from the date the tests were performed, or in the 
case of paragraph (c) of this section the guaranties were furnished.
    (e) Any person furnishing a guaranty under section 8(a) of the act 
who neglects or refuses to maintain and preserve the records prescribed 
in this section shall be deemed to have furnished a false guaranty under 
the provisions of section 8(b) of the act.



Sec. 1611.39  Shipments under section 11(c) of the act.

    (a) The invoice or other paper relating to the shipment or delivery 
for shipment in commerce of articles of wearing apparel or textile 
fabrics for the purpose of finishing or processing to render them not so 
highly flammable as to be dangerous when worn by individuals, shall 
contain a statement disclosing such purpose.
    (b) An article of wearing apparel or textile fabric shall not be 
deemed to fall within the provisions of section 11(c) of the act as 
being shipped or delivered for shipment in commerce for the purpose of 
finishing or processing to render such article of wearing apparel or 
textile fabric not so highly

[[Page 630]]

flammable under section 4 of the act, as to be dangerous when worn by 
individuals, unless the shipment or delivery for shipment in commerce of 
such article of wearing apparel or textile fabric is made direct to 
person engaged in the business of processing or finishing textile 
products for the prearranged purpose of having such article of apparel 
or textile fabric processed or finished to render it not so highly 
flammable under section 4 of the act, as to be dangerous when worn by 
individuals, and any person shipping or delivering for shipment the 
article of wearing apparel or fabric in commerce for such purpose 
maintains records which establish (1) that the textile fabric or article 
of wearing apparel has been shipped for appropriate flammability 
treatment, and (2) that such treatment has been completed, as well as 
records to show the disposition of such textile fabric or article of 
wearing apparel subsequent to the completion of such treatment.
    (c) The importation of textile fabrics or articles of wearing 
apparel may be considered as incidental to a transaction involving 
shipment or delivery for shipment for the purpose of rendering such 
textile fabrics or articles of wearing apparel not so highly flammable 
under the provisions of section 4 of the act, as to be dangerous when 
worn by individuals, if:
    (1) The importer maintains records which establish (i) that the 
imported textile fabrics or articles of wearing apparel have been 
shipped for appropriate flammability treatment, and (ii) that such 
treatment has been completed, as well as records to show the disposition 
of such textile fabrics or articles of wearing apparel subsequent to the 
completion of such treatment.
    (2) The importer, at the time of importation, execute and furnishes 
to the Bureau of Customs an affidavit stating
    These fabrics (or articles of wearing apparel) are dangerously 
flammable under the provisions of section 4 of the Flammable Fabrics 
Act, and will not be sold or used in their present condition but will be 
processed or finished by the undersigned or by a duly authorized agent 
so as to render them not so highly flammable under the provisions of 
section 4 of the Flammable Fabrics Act, as to be dangerously flammable 
when worn by individuals. The importer agrees to maintain the records 
required by 16 CFR 1610.39(c)(1).
    (3) The importer, if requested to do so by the Bureau of Customs, 
furnishes an adequate specific-performance bond conditioned upon the 
complete discharge of the obligations assumed in paragraphs (c) (1) and 
(2) of this section.

    Note: The purpose of section 11(c) is only to permit articles of 
wearing apparel or textile fabrics which are dangerously flammable to be 
shipped or delivered for shipment in commerce for the purpose of 
treatment or processing to render them not dangerously flammable. 
Section 11(c) does not in any other respect limit the force and effect 
of sections 3, 6, 7, and 9 of the act. In particular, section 11(c) does 
not authorize the sale or offering for sale of any article of wearing 
apparel or textile fabric which is in fact dangerously flammable at the 
time of sale or offering for sale, even though the seller intends to 
ship the article for treatment prior to delivery to the purchaser or has 
already done so. Moreover, under section 3 of the act a person is liable 
for a subsequent sale or offering for sale if, despite the purported 
completion of treatment to render it not dangerously flammable, the 
article in fact remains dangerously flammable.



PART 1615--STANDARD FOR THE FLAMMABILITY OF CHILDREN'S SLEEPWEAR: SIZES 0 THROUGH 6X (FF 3-71)--Table of Contents




                         Subpart A--The Standard

Sec.
1615.1 Definitions.
1615.2 Scope and application.
1615.3 General requirements.
1615.4 Test procedure.
1615.5 Labeling requirements.

                    Subpart B--Rules and Regulations

1615.31 Labeling, recordkeeping, advertising, retail display and 
          guaranties.
1615.32 Method for establishment and use of alternate laundering 
          procedures under section 4(g)(4)(ii) of the standard.
1615.35 Use of alternate apparatus, procedures, or criteria for testing 
          under the standard.
1615.36 Use of alternate apparatus or procedures for tests for guaranty 
          purposes.

                 Subpart C--Interpretations and Policies

1615.61 [Reserved]
1615.62 Policy and interpretation relative to items in inventory or as 
          to recordkeeping requirements.

[[Page 631]]

1615.63 Policy regarding garment production unit identification.
1615.64 Policy to clarify scope of the standard.

    Source: 40 FR 59903, Dec. 30, 1975, unless otherwise noted.



                         Subpart A--The Standard

    Authority: Sec. 429, Pub. L. 105-276; Sec. 4, 67 Stat. 112, as 
amended, 81 Stat. 569-570; 15 U.S.C. 1193.



Sec. 1615.1  Definitions.

    In addition to the definitions given in section 2 of the Flammable 
Fabrics Act, as amended (15 U.S.C. 1191), the following definitions 
apply for purposes of this Standard:
    (a) Children's Sleepwear means any product of wearing apparel up to 
and including size 6X, such as nightgowns, pajamas, or similar or 
related items, such as robes, intended to be worn primarily for sleeping 
or activities related to sleeping, except:
    (1) Diapers and underwear;
    (2) ``Infant garments,'' as defined by section 1615.1(c), below; and
    (3) ``Tight-fitting garments,'' as defined by section 1615.1(o), 
below.
    (b) Size 6X means the size defined as 6X in Department of Commerce 
Voluntary Product Standard, previously identified as Commercial 
Standard, CS 151-50 ``Body Measurements for the Sizing of Apparel for 
Infants, Babies, Toddlers, and Children.'' \1\
---------------------------------------------------------------------------

    \1\ Copies available from the National Technical Information 
Service, 5285 Port Royal Street, Springfield, VA 22151, and should be 
ordered as CS 15150.
---------------------------------------------------------------------------

    (c) Infant garment means a garment which:
    (1) Is sized nine months or smaller;
    (2) If a one-piece garment, does not exceed 64.8 centimeters (25.75 
inches) in length; if a two-piece garment, has no piece exceeding 40 
centimeters (15.75 inches) in length;
    (3) Complies with all applicable requirements of the Standard for 
the Flammability Clothing Textiles (16 CFR part 1610) and the Standard 
for the Flammability Vinyl Plastic Film (16 CFR part 1611); and
    (4) Bears a label stating the size of the garment, expressed in 
terms of months of age. For example, ``0 to 3 mos.'' or ``9 mos.'' If 
the label is not visible to the consumer when the garment is offered for 
sale at retail, the same information must appear legibly on the package 
of the garment.
    (d) Item means any product of children's sleepwear, or any fabric or 
related material intended or promoted for use in children's sleepwear.
    (e) Trim means decorative materials, such as ribbons, laces, 
embroidery, or ornaments. This definition does not include (1) 
individual pieces less than 2 inches in their longest dimension, 
provided that such pieces do not constitute or cover in aggregate a 
total of more than 20 square inches of the item, or (2) functional 
materials (findings), such as zippers, buttons, or elastic bands, used 
in the construction of garments.
    (f) Test Criteria means the maximum char length which a sample or 
specimen may exhibit in order to pass an individual test.
    (g) Char Length means the distance from the original lower edge of 
the specimen exposed to the flame in accordance with the procedure 
specified in Sec. 1615.4 Test procedure to the end of the tear or void 
in the charred, burned, or damaged area, the tear being made in 
accordance with the procedure specified in Sec. 1615.4(g)(2).
    (h) [Reserved]
    (i) Afterglow means the continuation of glowing of parts of a 
specimen after flaming has ceased.
    (j) Fabric Piece (Piece) means a continuous, unseamed length of 
fabric, one or more of which make up a unit.
    (k) Fabric Production Unit (Unit) means any quantity of finished 
fabric up to 5,000 linear yards for normal sampling or 10,000 linear 
yards for reduced sampling which has a specific identity that remains 
unchanged throughout the Unit except for color or print pattern as 
specified in Sec. 1615.4(b). For purposes of this definition, finished 
fabric means fabric in its final form after completing its last 
processing steps as a fabric except for slitting.
    (l) Garment Production Unit (Unit) means any quantity of finished 
garments up to 500 dozen which have a specific identity that remains 
unchanged throughout the Unit except

[[Page 632]]

for size, trim, findings, color, and print patterns as specified in 
Sec. 1615.4(b).
    (m) Sample means five test specimens.
    (n) Specimen means an 8.9 x 25.4 cm. (3.5 x 10 in.) section of 
fabric. For garment testing the specimen will include a seam or trim.
    (o) Tight-fitting garment means a garment which:
    (1)(i) In each of the sizes listed below does not exceed the maximum 
dimension specified below for the chest, waist, seat, upper arm, thigh, 
wrist, or ankle:

----------------------------------------------------------------------------------------------------------------
                                       Chest      Waist       Seat    Upper arm    Thigh      Wrist      Ankle
----------------------------------------------------------------------------------------------------------------
                                                  Size 9-12 mos
 
----------------------------------------------------------------------------------------------------------------
Maximum dimension:
    Centimeters....................       48.3       48.3       48.3       14.3       26.7       10.5         13
    (inches).......................       (19)       (19)       (19)   (5\5/8\)  (10\1/2\)   (4\1/8\)   (5\1/8\)
----------------------------------------------------------------------------------------------------------------
                                                 Size 12-18 mos
 
----------------------------------------------------------------------------------------------------------------
Maximum dimension:
    Centimeters....................       49.5       49.5       50.8       14.9       28.3       10.5       13.1
    (inches).......................  (19\1/2\)  (19\1/2\)       (20)   (5\7/8\)  (11\1/8\)   (4\1/8\)   (5\1/8\)
----------------------------------------------------------------------------------------------------------------
                                                 Size 18-24 mos
 
----------------------------------------------------------------------------------------------------------------
Maximum dimension:
    Centimeters....................       52.1       50.8       53.3       15.6       29.5         11       13.6
    (inches).......................  (20\1/2\)       (20)       (21)   (6\1/8\)  (11\5/8\)   (4\1/4\)   (5\3/8\)
----------------------------------------------------------------------------------------------------------------
                                                     Size 2
 
----------------------------------------------------------------------------------------------------------------
Maximum dimension:
    Centimeters....................       52.1       50.8       53.3       15.6       29.8       11.4         14
    (inches).......................  (20\1/2\)       (20)       (21)   (6\1/8\)  (11\3/4\)   (4\1/2\)   (5\1/2\)
----------------------------------------------------------------------------------------------------------------
                                                     Size 3
 
----------------------------------------------------------------------------------------------------------------
Maximum dimension:
    Centimeters....................       53.3       52.1         56       16.2       31.4       11.7       14.9
    (inches).......................       (21)  (20\1/2\)       (22)   (6\3/8\)  (12\3/8\)   (4\5/8\)   (5\7/8\)
----------------------------------------------------------------------------------------------------------------
 
                                                     Size 4
 
----------------------------------------------------------------------------------------------------------------
Maximum dimension:
    Centimeters....................         56       53.3       58.4       16.8       33.0       12.1       15.9
    (inches).......................       (22)       (21)       (23)   (6\5/8\)       (13)   (4\3/4\)   (6\1/4\)
----------------------------------------------------------------------------------------------------------------
 
                                                     Size 5
 
----------------------------------------------------------------------------------------------------------------
Maximum dimension:
    Centimeters....................       58.4       54.6       61.0       17.5       34.6       12.4       16.8
    (inches).......................       (23)  (21\1/2\)       (24)   (6\7/8\)  (13\5/8\)   (4\7/8\)   (6\5/8\)
----------------------------------------------------------------------------------------------------------------
                                                     Size 6
 
----------------------------------------------------------------------------------------------------------------
Maximum dimension:
    Centimeters....................       61.0       55.9       63.5       18.1       36.2       12.7       17.8
    (inches).......................       (24)       (22)       (25)   (7\1/8\)  (14\1/4\)        (5)        (7)
----------------------------------------------------------------------------------------------------------------
                                                     Size 6X
 
----------------------------------------------------------------------------------------------------------------
Maximum dimension:
    Centimeters....................       62.9       57.2       65.4       18.7       37.8       13.0       18.7
    (inches).......................  (24\3/4\)  (22\1/2\)  (25\3/4\)   (7\3/8\)  (14\7/8\)   (5\1/8\)   (7\3/8\)
----------------------------------------------------------------------------------------------------------------
----------------------------------------------------------------------------------------------------------------


[[Page 633]]

    (ii) Note: Measure the dimensions on the front of the garment. Lay 
garment, right side out, on a flat, horizontal surface. Smooth out 
wrinkles. Measure distances as specified below and multiply them by two. 
Measurements should be equal to or less than the maximum dimensions 
given in the standards.
    (A) Chest--measure distance from arm pit to arm pit (A to B) as in 
Diagram 1.
    (B) Waist--See Diagram 1. One-piece garment, measure at the 
narrowest location between arm pits and crotch (C to D). Two-piece 
garment, measure width at both the bottom/ sweep of the upper piece (C 
to D) and, as in Diagram 3, the top of the lower piece (C to D).
    (C) Wrist--measure the width of the end of the sleeve (E to F), if 
intended to extend to the wrist, as in Diagram 1.
    (D) Upper arm--draw a straight line from waist/sweep D through arm 
pit B to G. Measure down the sleeve fold from G to H. Refer to table 
below for G to H distances for each size. Measure the upper arm of the 
garment (perpendicular to the fold) from H to I as shown in Diagram 1.
[GRAPHIC] [TIFF OMITTED] TR19JA99.015


[[Page 634]]



                                Distance From Shoulder (G) to (H) for Upper Arm Measurement for Sizes 9 Months through 6x
--------------------------------------------------------------------------------------------------------------------------------------------------------
     9-12 mo          12-18 mo         18-24 mo            2                3                4                5                6                6x
--------------------------------------------------------------------------------------------------------------------------------------------------------
5.8 cm 2\1/8\"    6.6 cm 2\5/8\"   7.4 cm 2\7/8\"   7.4 cm 2\7/8\"   8.1 cm 3\1/4\"   8.8 cm 3\1/2\"   9.5 cm 3\1/4\"       10.3cm 4"    11 cm 4\3/8\"
--------------------------------------------------------------------------------------------------------------------------------------------------------


[[Page 635]]

    (E) Seat--Fold the front of the pant in half to find the bottom of 
thecrotch at J as in Diagram 2. The crotch seam and inseam intersect at 
J. Mark point K on the crotch seam at 4 inches above and perpendicular 
to the bottom of the crotch. Unfold the garment as in Diagram 3. Measure 
the seat from L to M through K as shown.
    (F) Thigh--measure from the bottom of the crotch (J) 1 inch down the 
inseam to N as in Diagram 2. Unfold the garment and measure the thigh 
from the inseam at N to O as shown in Diagram 3.
    (G) Ankle--measure the width of the end of the leg (P to Q), if 
intended to extend to the ankle, as in Diagram 3.
[GRAPHIC] [TIFF OMITTED] TR19JA99.016

    (2) Has no item of fabric, ornamentation or trim, such as lace, 
appliques, or ribbon, which extends more than 6 millimeters (\1/4\ inch) 
from the point of attachment to the outer surface of the garment;
    (3) Has sleeves which do not exceed the maximum dimension for the 
upper arm at any point between the upper arm and the wrist, and which 
diminish in width gradually from the top of the shoulder (point G in 
Diagram 1) to the wrist;
    (4) Has legs which do not exceed the maximum dimension for the thigh 
at any point between the thigh and the ankle, and which diminish in 
width gradually from the thigh to the ankle;
    (5) In the case of a one-piece garment, has a width which does not 
exceed the maximum dimension for the chest at any point between the 
chest and the waist and which diminishes gradually from the chest to the 
waist; and has a width which does not exceed the maximum dimension for 
the seat at any point between the seat and the waist and which 
diminishes gradually from the seat to the waist;

[[Page 636]]

    (6) In the case of a two-piece garment has an upper piece with a 
width which does not exceed the maximum dimension for the chest at any 
point between the chest and the bottom of that piece and which 
diminishes gradually from the chest to the bottom of that piece; in the 
case of an upper piece with fastenings, has the lowest fastening within 
15 centimeters (6 inches) of the bottom of that piece;
    (7) In the case of a two-piece garment, has a lower piece with a 
width which does not exceed the maximum dimension for the seat at any 
point between the seat and the top of the lower piece and which 
diminishes gradually from the seat to the top of that piece;
    (8) Complies with all applicable requirements of the Standard for 
the Flammability of Clothing Textiles (16 CFR part 1610) and the 
Standard for the Flammability of Vinyl Plastic Film (16 CFR part 1611); 
and
    (9) Bears a label stating the size of the garment in terms of age in 
months, or by child's size; for example: ``Size 9 to 12 mos.'' or ``Size 
2.'' If the label is not visible to the consumer when the garment is 
offered for sale at retail, the same information must appear legibly on 
the package of the garment.
    (10)(i) Hangtags. Bears a hangtag as shown following this paragraph 
stating ``For child's safety, garment should fit snugly. This garment is 
not flame resistant. Loose-fitting garment is more likely to catch 
fire.'' The hangtag must measure 1\1/2\" x 6\1/
4\". The text must be enclosed in a text box that measures 
1" x 5\3/4\" and must be in 18 point Arial/
Helvetica font. The hangtag must have a yellow background and black 
lettering. The color yellow must meet the specifications for Standard 
Safety Yellow (Hue 5.OY; Value/Chroma 8.0/12) as described in American 
National Standard ANSI Z535.1-1998, Safety Color Code, p.6, under 
Munsell Notation. \2\ One side of the hangtag must display only this 
message. The reverse side of the hangtag may display sizing information, 
but otherwise must be blank. The text must not be obscured by the hole 
provided for attaching the hangtag to the garment. The hangtag must be 
prominently displayed on the garment.
---------------------------------------------------------------------------

    \2\ ANSI Z535.1-1998, Standard for Safety Color Code, p.6, published 
by National Electrical Manufacturers Association is incorporated by 
reference. Copies of this document are available from the National 
Electrical Manufacturers Association, 1300 N. 17th Street, Suite 1847, 
Rossylyn, Virginia 22209. This document is also available for inspection 
at the Office of the Federal Register, 800 North Capitol Street, NW, 
Suite 700, Washington, DC. The incorporation by reference was approved 
by the Director of the Federal Register in accordance with 5 U.S.C. 
552(a) and 1 CFR part 51.
[GRAPHIC] [TIFF OMITTED] TR08SE99.000

    (ii) Packages. If the garments are sold in packages, the package 
must have a label as shown following this paragraph with the same 
language that would appear on the hangtag. The label must have a text 
box that measures \3/4\" x 3\3/4\". The text must 
be 11 point Arial/Helvetica in black lettering against a yellow 
background. The packages must be prominently, conspicuously, and legibly 
labeled with the required message. The package label may be adhesive.

[[Page 637]]

[GRAPHIC] [TIFF OMITTED] TR08SE99.001

    (11) Bears a label as shown following this paragraph stating ``Wear 
Snug-fitting, Not Flame Resistant.'' The text must be printed on the 
front of the sizing label located on the center back of the garment and 
must be immediately below the size designation. The text must be a 
minimum of 5 point sans serif font in all capital letters and must be 
set apart from other label text by a line border. The text must contrast 
with the background color of the label. The label must not be covered by 
any other label or tag.
[GRAPHIC] [TIFF OMITTED] TR08SE99.002


[40 FR 59903, Dec. 30, 1975, as amended at 43 FR 4853, Feb. 6, 1978; 50 
FR 53307, Dec. 31, 1985; 61 FR 47644, Sept. 9, 1996; 64 FR 2838, Jan. 
19, 1999; 64 FR 34533, 34535, June 28, 1999; 65 FR 1435, Jan. 10, 2000]



Sec. 1615.2  Scope and application.

    (a) This Standard provides a test method to determine the 
flammability of items as defined in Sec. 1615.1(d).
    (b) All items as defined in Sec. 1615.1(d) are subject to 
requirements of this standard.
    (c) The flammability standards for clothing textiles and vinyl 
plastic film, parts 1610 and 1611 of this chapter, are superseded by 
this part insofar as they apply to items defined in Sec. 1615.1(d).

[40 FR 59903, Dec. 30, 1975, as amended at 64 FR 34533, June 28, 1999]



Sec. 1615.3  General requirements.

    (a) Summary of test method. Five conditioned specimens, 8.9 x 25.4 
cm. (3.5 x 10 in.), are suspended one at a time vertically in holders in 
a prescribed cabinet and subjected to a standard flame along their 
bottom edge for a specified time under controlled conditions. The char 
length is measured.
    (b) Test criteria. The test criteria when the testing is done in 
accordance with Sec. 1615.4 Test procedure are:
    (1) Average char length. The average char length of five specimens 
shall not exceed 17.8 cm. (7.0 in.).
    (2) Full specimen burn. No individual specimen shall have a char 
length of 25.4 cm. (10 in.).

[40 FR 59903, Dec. 30, 1975, as amended at 43 FR 4853, Feb. 6, 1978]



Sec. 1615.4  Test procedure.

    (a) Apparatus--(1) Test chamber. The test chamber shall be a steel 
cabinet with inside dimensions of 32.9 cm. (12 15/16 in.) wide, 32.9 cm. 
(12 15/16 in.) deep, and 76.2 cm. (30 in.) high. It shall have a frame 
which permits the suspension of the specimen holder over the center of 
the base of the cabinet at such a height that the bottom of the specimen 
holder is 1.7 cm. ( 3/4 in.) above the highest point of the barrel of 
the gas burner specified in paragraph (c) of this section and 
perpendicular to the front of the cabinet. The front of the cabinet 
shall be a close fitting door with a glass insert to permit observation 
of the entire test. The cabinet

[[Page 638]]

floor may be covered with a piece of asbestos paper, whose length and 
width are approximately 2.5 cm. (1 in.) less than the cabinet floor 
dimensions. The cabinet to be used in this test method is illustrated in 
Figure 1 and detailed in Engineering Drawings, Nos. 1 to 7.
    (2) Specimen holder. The specimen holder is designed to permit 
suspension of the specimen in a fixed vertical position and to prevent 
curling of the specimen when the flame is applied. It shall consist of 
two U-shaped 0.20 cm. (14 ga. USS) thick steel plates, 42.2 cm. (16\5/8\ 
in.) long, and 8.9 cm. (3.5 in.) wide, with aligning pins. The openings 
in the plates shall be 35.6 cm. (14 in.) long and 5.1 cm. (2 in.) wide. 
The specimen shall be fixed between the plates, which shall be held 
together with side clamps. The holder to be used in this test method is 
illustrated in Figure 2 and detailed in Engineering Drawing No. 7.
    (3) Burner. The burner shall be substantially the same as that 
illustrated in Figure 1 and detailed in Engineering Drawing No. 6. It 
shall have a tube of 1.1 cm. (0.43 in.) inside diameter. The input line 
to the burner shall be equipped with a needle valve. It shall have a 
variable orifice to adjust the height of the flame. The barrel of the 
burner shall be at an angle of 25 deg. from the vertical. The burner 
shall be equipped with an adjustable stop collar so that it may be 
positioned quickly under the test specimen. The burner shall be 
connected to the gas source by rubber or other flexible tubing.
    (4) Gas supply system. There shall be a pressure regulator to 
furnish gas to the burner under a pressure of 12913mm. Hg 
(2\1/2\\1/4\ lbs. per sq. in.) at the burner inlet.
    (5) Gas. The gas shall be at least 97 percent pure methane.
    (6) Hooks and weights. Metal hooks and weights shall be used to 
produce a series of loads for char length determinations. Suitable metal 
hooks consist of No. 19 gauge steel wire, or equivalent, made from 7.6 
cm. (3 in.) lengths of the wire, bent 1.3 cm. (0.5 in.) from one end to 
a 45 deg. angle hook. The longer end of the wire is fastened around the 
neck of the weight to be used and the other in the lower end of each 
burned specimen to one side of the burned area. The requisite loads are 
given in table 1.

[[Page 639]]

[GRAPHIC] [TIFF OMITTED] TC03OC91.081


[[Page 640]]


[GRAPHIC] [TIFF OMITTED] TC03OC91.082


[[Page 641]]


[GRAPHIC] [TIFF OMITTED] TC03OC91.083


[[Page 642]]


[GRAPHIC] [TIFF OMITTED] TC03OC91.084


[[Page 643]]


[GRAPHIC] [TIFF OMITTED] TC03OC91.085


[[Page 644]]


[GRAPHIC] [TIFF OMITTED] TC03OC91.086


[[Page 645]]


[GRAPHIC] [TIFF OMITTED] TC03OC91.087


[[Page 646]]


[GRAPHIC] [TIFF OMITTED] TC03OC91.088


                   Table 1--Original Fabric Weight \1\
------------------------------------------------------------------------
                                                              Loads
  Grams per square meter      Ounces per square yard   -----------------
                                                         Grams    Pounds
------------------------------------------------------------------------
Less than 101               Less than 3                    54.4     0.12
101 to 207                  3 to 6                        113.4      .25
207 to 338                  6 to 10                       226.8      .50
Greater than 338            Greater than 10               340.2      .75
------------------------------------------------------------------------

    \1\ Weight of the original fabric, containing no seams or trim is 
calculated from the weight of a specimen which has been conditioned for 
at least 8 h at 21 1.1  deg.C (702  deg.F) and 
652 pct relative humidity. Shorter conditioning times may be 
used if the change in weight of a speciment in successive weightings 
made at intervals of not less than 2 h

[[Page 647]]

does not exeeed 0.2 pct of the weight of the speciment.
    (7) Stopwatch. A stopwatch or similar timing device shall be used to 
measure time to 0.1 second.
    (8) Scale. A linear scale graduated in millimeters or 0.1 inch 
divisions shall be used to measure char length.
    (9) Circulating Air Oven. A forced circulation drying oven capable 
of maintaining the specimens at 1052.8  deg.C. 
(2215  deg.F.), shall be used to dry the specimen while 
mounted in the specimen holders. \3\
---------------------------------------------------------------------------

    \3\ Option 1 of ASTM, D2654-67T, ``Method of Test for Amount of 
Moisture in Textile Materials,'' describes a satisfactory oven (1970 
Book of ASTM Standards, part 24, published by the American Society for 
Testing and Materials, 1916 Race Street, Philadelphia, Pa. 19103).
---------------------------------------------------------------------------

    (10) Desiccator. An air-tight and moisture-tight desiccating chamber 
shall be used for cooling mounted specimens after drying. Anhydrous 
silica gel shall be used as the desiccant in the desicating chamber.
    (11) Hood. A hood or other suitable enclosure shall be used to 
provide a draft-free environment surrounding the test chamber. This 
enclosure shall have a fan or other suitable means for exhausting smoke 
and/or toxic gases produced by testing.
    (b) Specimens and sampling--General. (1) The test criteria of 
Sec. 1615.3(b) shall be used in conjunction with the following fabric 
and garment sampling plain, or any other approved by the Consumer 
Product Safety Commission that provides at least the equivalent level of 
fire safety to the consumer. Alternate sampling plans submitted for 
approval shall have operating characteristics such that the probability 
of Unit acceptance at any percentage defective does not exceed the 
corresponding probability of Unit acceptance of the following sampling 
plan in the region of the latter's operating characteristic curves that 
lies between 5 and 95 percent acceptance probability.
    (2) Different colors or different print patterns of the same fabric 
may be included in a single Fabric or Garment Production Unit, provided 
such colors or print patterns demonstrate char lengths that are not 
significantly different from each other as determined by previous 
testing of at least three samples from each color or print pattern to be 
included in the Unit.
    (3) Garments with different trim and findings may be included in a 
single Garment Production Unit providing the other garment 
characteristics are identical except for size, color, and print pattern.
    (4) For fabrics whose flammability characteristics are not dependent 
on chemical additives or chemical reactants to fiber, yarns, or fabrics, 
the laundering requirement of paragraph (g)(4) of this section is met on 
subsequent Fabric Production Units if results of testing an initial 
Fabric Production Unit demonstrate acceptability according to the 
requirements of paragraph (c) of this section, Normal Sampling, both 
before and after the appropriate laundering.
    (5) If the fabric has been shown to meet the laundering requirement, 
paragraph (g)(4) of this section, the garments produced from that fabric 
are not required to be laundered.
    (6) Each Sample (five specimens) for all Fabric Sampling shall be 
selected so that two specimens are in one fabric direction (machine or 
cross-machine) and three specimens are in the other fabric direction 
except for the additional Sample selected after a failure, in which 
case, all five specimens shall be selected in the same fabric direction 
in which the specimen failure occurred.
    (7) Fabric Samples may be selected from fabric as outlined in 
paragraph (c) of this section entitled Fabric Sampling, or, for 
verification purposes, from randomly selected garments.
    (8) Multilayer fabrics shall be tested with a hem of approximately 
2.5 cm. (1 in.) sewn at the bottom edge of the specimen with a suitable 
thread and stitch. The specimen shall include each of the components 
over its entire length. Garments manufactured from multilayer fabrics 
shall be tested with the edge finish at the bottom edge of the specimen 
which is used in the garment.
    (c) Specimens and Sampling--Fabric Sampling. A Fabric Production 
Unit (Unit) is either accepted or rejected in accordance with the 
following plan:

[[Page 648]]

    (1) Normal Sampling. Select one Sample from the beginning of the 
first Fabric Piece (Piece) in the Unit and one Sample from the end of 
the last Piece in the Unit, or select a sample from each end of the 
Piece if the Unit is made up of only one Piece. Test the two selected 
Samples. If both Samples meet all the Test Criteria of Sec. 1615.3(b), 
accept the unit. If either or both of the Samples fail the 17.8 cm. (7.0 
in.) average char length criterion, Sec. 1615.3(b)(1), reject the Unit. 
If two or more of the individual specimens, from the 10 selected 
specimens fail, the 25.4 cm. (10 in.) char length, .3(b)(2), reject the 
Unit. If only one individual specimen, from the 10 selected specimens, 
fails the 25.4 cm. (10 in.) char length, Sec. 1615.3(b)(2), select five 
additional specimens from the same end of the Piece in which the failure 
occurred, all five to be taken in the fabric direction in which the 
specimen failure occurred. If this additional Sample passes all the test 
criteria, accept the Unit. If this additional Sample fails any part of 
the test criteria, reject the Unit.
    (2) Reduced Sampling. (i) The level of sampling required for fabric 
acceptance may be reduced provided the preceding 15 Units of the fabric 
have all been accepted using the Normal Sampling plan.
    (ii) The Reduced Sampling plan shall be the same as for Normal 
Sampling except that the quantity of fabric in the Unit may be increased 
to 10,000 linear yards.
    (iii) Select and test two Samples in the same manner as in Normal 
Sampling. Accept or reject the Unit on the same basis as with Normal 
Sampling.
    (iv) Reduced Sampling shall be discontinued and Normal Sampling 
resumed if a Unit is rejected.
    (3) Tightened Sampling. The level of sampling required for 
acceptance shall be increased when a Unit is rejected under the Normal 
Sampling plan. The Tightened Sampling shall be the same as Normal 
Sampling except that one additional Sample shall be selected and cut 
from a middle Piece in the Unit. If the Unit is made up of less than two 
pieces, the Unit shall be divided into at least two Pieces. The division 
shall be such that the Pieces produced by the division shall not be 
smaller than 100 linear yards or greater than 2,500 linear yards. If the 
unit is made up of two Pieces, the additional Sample shall be selected 
from the interior end of one of the Pieces. Test the three selected 
Samples. If all three selected Samples meet all the test criteria of 
Sec. 1615.3(b), accept the unit. If one or more of the three selected 
Samples fail the 17.8 cm. (7.0 in.) average char length criterion, 
Sec. 1615.3(b)(1), reject the Unit. If two or more of the individual 
specimens from the 15 selected specimens fail the 25.4 cm. (10 in.) char 
length, Sec. 1615.3(b)(2), reject the unit. If only one individual 
specimen, of the 15 selected Specimens fails the 25.4 cm. (10 in.) char 
length, Sec. 1615.3(b)(2), select five additional specimens from the 
same end of the same piece in which the failure occurred, all five to be 
taken in the fabric direction in which the Specimen failure occurred. If 
this additional Sample passes all the test criteria, accept the Unit. If 
this additional Sample fails any part of the test criteria, reject the 
Unit. Tightened Sampling may be discontinued and Normal Sampling resumed 
after five consecutive Units have all been accepted using Tightened 
Sampling. If Tightened Sampling remains in effect for 15 consecutive 
units, production of the specific fabric in Tightened Sampling must be 
discontinued until that part of the process or component which is 
causing failure has been identified and the quality of the end product 
has been improved.
    (4) Disposition of Rejected Units. (i) The Piece or Pieces which 
have failed and resulted in the initial rejection of the Unit may not be 
retested, used, or promoted for use in children's sleepwear as defined 
in Sec. 1615.1(a) except after reworking to improve the flammability 
characteristics and subsequent retesting in accordance with the 
procedures in Tightened Sampling.
    (ii) The remainder of a rejected Unit, after removing the Piece or 
Pieces the failure of which resulted in Unit rejection, may be accepted 
if the following test plan is successfully concluded at all required 
locations. The required locations are those adjacent to each such failed 
Piece. (Required locations exist on both sides of the ``Middle Piece'' 
tested in Tightened Sampling if failure

[[Page 649]]

of that Piece resulted in Unit rejection.) Failure of a Piece shall be 
deemed to have resulted in Unit rejection if Unit rejection occurred and 
a Sample or specimen from the Piece failed any test criterion of 
Sec. 1615.3(b).
    (iii) The Unit should contain at least 15 Pieces for disposition 
testing after removing the failing Pieces. If necessary for this 
purpose, the Unit shall be demarcated into at least 15 approximately 
equal length Pieces unless such division results in Pieces shorter than 
100 linear yards. In this latter case, the Unit shall be demarcated into 
roughly equal length Pieces of approximately 100 linear yards each. If 
such a division results in five Pieces or less in the Unit for each 
failing Piece after removing the failing Pieces, only the individual 
Piece retest procedure (described subsequently) may be used.
    (iv) Select and cut a Sample from each end of each adjoining Piece 
beginning adjacent to the Piece which failed. Test the two Samples from 
the Piece. If both Samples meet all the test criteria of Sec. 1615.3(b), 
the Piece is acceptable. If one or both of the two selected Samples fail 
the 17.8 cm. (7.0 in.) average char length criterion, Sec. 1615.3(b)(1), 
the Piece is unacceptable. If two or more of the individual Specimens, 
from the 10 selected specimens, fail the 25.4 cm. (10 in.) char length 
Sec. 1615.3(b)(2), the Piece is unacceptable. If only one individual 
specimen, from the 10 selected specimens, fails the 25.4 cm. (10 in.) 
char length, Sec. 1615.3(b)(2), select five additional specimens from 
the same end of the Piece in which the failure occurred, all five to be 
taken in the fabric direction in which the specimen failure occurred. If 
this additional Sample passes all the test criteria, the Piece is 
acceptable. If this additional Sample fails any part of the test 
criteria, the Piece is unacceptable.
    (v) Continue testing adjoining Pieces until a Piece has been found 
acceptable. Then continue testing adjoining Pieces until three 
successive adjoining Pieces, not including the first acceptable Piece, 
have been found acceptable or until five such Pieces not including the 
first acceptable Piece, have been tested, whichever occurs sooner. 
Unless three successive adjoining Pieces have been found acceptable 
among five such Pieces, testing shall be stopped and the entire Unit 
rejected without further testing. If three successive Pieces have been 
found acceptable among five such Pieces, accept the three successive 
acceptable Pieces and the remaining Pieces in the Unit.
    (vi) Alternatively, individual Pieces from a rejected Unit 
containing three or more Pieces may be tested and accepted or rejected 
on a Piece-by-Piece basis according to the following plan, after 
removing the Piece or Pieces, the failure of which resulted in Unit 
rejection. Select four Samples (two from each end) from the Piece. Test 
the four selected Samples. If all four Samples meet all the Test 
Criteria of Sec. 1615.3(b), accept the Piece. If one or more of the 
Samples fail the 17.8 cm. (7 in.) average char length criterion, 
Sec. 1615.3(b)(1), reject the Piece. If two or more of the individual 
Specimens from the 20 selected specimens, fail the 25.4 cm. (10 in.) 
char length, Sec. 1615.3(b)(1), reject the Piece. If only one individual 
specimen, from the 20 selected specimens, fails the 25.4 cm. (10 in.) 
char length, Sec. 1615.3(b)(2), select two additional Samples from the 
same end of the Piece in which the failure occurred. If these additional 
two Samples meet all the Test Criteria of Sec. 1615.3(b), accept the 
Piece. If one or both of the two additional Samples fail any part of the 
Test Criteria, reject the Piece.
    (vii) The Pieces of a Unit rejected after retesting may not be 
retested, used, or promoted for use in children's sleepwear as defined 
in Sec. 1615.1(a) except after reworking to improve the flammability 
characteristics, and subsequent retesting in accordance with the 
procedures set forth in Tightened Sampling.
    (5) Records. Records of all Unit sizes, test results, and the 
disposition of rejected Pieces and Units must be maintained by the 
manufacturer upon the effective date of this Standard. Rules and 
regulations may be established by the Consumer Product Safety 
Commission.
    (d) Specimens and Sampling--Garment Sampling. (1)(i) The garment 
sampling plan is made up of two parts: (A) Prototype Testing and (B) 
Production Testing. Prior to production, prototypes

[[Page 650]]

must be tested to assure that the design characteristics of the garments 
are acceptable. Garment Production Units (Units) are then accepted or 
rejected on an individual Unit basis.
    (ii) Edge finishes such as hems and binding are excluded from 
testing except that when trim is used on an edge the trim must be 
subjected to prototype testing. Seams attaching findings are excluded 
from testing.
    (2) Prototype Testing. Preproduction prototypes of a garment style 
or type shall be tested to assure that satisfactory garment 
specifications in terms of flammability are set up prior to production.
    (i) Seams. Make three Samples (15 specimens) using the longest seam 
type and three Samples using each other seam type 10 inches or longer 
that is to be included in the garment. Prior to testing, assign each 
specimen to one of the three Samples. Test each set of three Samples and 
accept or reject each seam design in accordance with the following plan:
    (A) If all three Samples meet all the test criteria of 
Sec. 1615.3(b), accept the seam design. If one or more of the three 
Samples fail the 17.8 cm. (7 in.) average char length criterion, 
Sec. 1615.3(b)(1), reject the seam design. If three or more of the 
individual Specimens from the 15 selected specimens fail the 25.4 cm. 
(10 in.) char length, Sec. 1615.3(b)(2), reject the seam design. If only 
one of the individual specimens from the 15 selected specimens fails the 
25.4 cm. (10 in.) char length, Sec. 1615.3(b)(2), accept the seam 
design.
    (B) If two of the individual specimens from the 15 selected 
specimens, fail the 25.4 cm. (10 in.) char length, Sec. 1615.3(b)(2), 
select three more Samples (15 specimens) and retest. If all three 
additional Samples meet all the test criteria of Sec. 1615.3(b) accept 
the seam design. If one or more of the three additional Samples fail the 
17.8 cm. (7 in.) average char length criterion, Sec. 1615.3(b)(1), 
reject the seam design. If two or more of the individual specimens from 
the 15 selected specimens, fail the 25.4 cm. (10 in.) char length, 
Sec. 1615.3(b)(2) reject the seam design. If only one of the individual 
specimens from the 15 selected specimens, fails the 25.4 cm. (10 in.) 
char length Sec. 1615.3(b)(2) accept the seam design.
    (ii) Trim. (A)(1) Make three samples (15 specimens) from each type 
of trim to be included in the garment. For trim used only in a 
horizontal configuration on the garment, specimens shall be prepared by 
sewing or attaching the trim horizontally to the bottom edge of an 
appropriate section of untrimmed fabric. Sleeve and neckline trim may 
not be tested in this manner. Where more than one row of trim is used on 
the garment, specimens shall be prepared with the same configuration 
(same number of rows and spacing between rows up to the limit of the 
specimen size) as the garment.
    (2) For trim used in other than a horizontal configuration, 
specimens shall be prepared by sewing or attaching the trim to the 
center of the vertical axis of an appropriate section of untrimmed 
fabric, beginning the sewing or attachment at the lower edge of each 
specimen.
    (3) For either configuration, the sewing or attachment shall be made 
in the manner in which the trim is attached in the garment.
    (B)(1) Sewing or otherwise attaching the trim shall be done with 
thread or fastening material of the same composition and size to be used 
for this purpose in the garment and using the same stitching or 
seamtype. Trim used in the horizontal configuration shall be sewn or 
fastened the entire width (smaller dimension) of the specimen. Trim used 
in other than the horizontal configuration shall be sewn or fastened the 
entire length (longer dimension) of the specimen.
    (2) Prior to testing, assign each specimen to one of the three 
samples. Test the sets of three samples and accept or reject the type of 
trim and design on the same basis as seam design. A type of trim and 
design accepted when tested in a vertical configuration may be used in a 
horizontal configuration without further testing.
    (3) Production Testing. A Unit is either accepted or rejected 
according to the following plan:
    (i)(A) From each Unit select at random sufficient garments and cut 
three

[[Page 651]]

Samples (15 specimens) from the longest seam type. No more than five 
specimens may be cut from a single garment. Prior to testing, assign 
each specimen to one of the three Samples. All specimens cut from a 
single garment must be included in the same Sample. Test the three 
selected Samples. If all three Samples meet all the test criteria of 
Sec. 1615.3(b), accept the Unit. If one or more of the three Samples 
fail the 17.8 cm. (7 in.) average char length criterion, 
Sec. 1615.3(b)(1), reject the Unit. If four or more of the individual 
specimens, from the 15 selected specimens, fail the 25.4 cm (10 in.) 
char length, Sec. 1615.3(b)(2), reject the Unit. If three of less of the 
individual specimens, from the 15 selected specimens, fail the 25.4 cm. 
(10 in.) char length, Sec. 1615.3(b)(2), accept the Unit.
    (B)(1) If the garment under test does not have a 10-inch seam in the 
largest size in which it is produced, the following selection and 
testing procedure shall be followed.
    (2) Select and cut specimens 8.9 cm. (3.5 in.) wide by the maximum 
available seam length, with the seam in the center of the specimen and 
extending the entire specimen length. Cut three Samples (15 specimens). 
These specimens shall be placed in specimen holders so that the bottom 
edge is even with the bottom of the specimen holder and the seam begins 
in the center of the bottom edge. Prior to testing, assign each specimen 
to one of the three Samples. All specimens cut from a single garment 
must be included in the same Sample.
    (3) Test the three Samples. If all three Samples pass the 17.8 cm. 
(7 in.) average char length criterion, Sec. 1615.3(b)(1), and if three 
or less individual specimens fail by charring the entire specimen 
length, accept the Unit. If the Unit is not accepted in the above test, 
three Samples (15 specimens) of the longest seam type shall be made 
using fabric and thread from production inventory and sewn on production 
machines by production operators. The individual fabric sections prior 
to sewing must be no larger than 20.3 x 63.3 cm. (8 in. x 25 in.) and 
must be selected from more than one area of the base fabric. Test the 
three prepared Samples. Accept or reject the Unit as described 
previously in this subsection.
    (4) Disposition of Rejected Units. Rejected Units shall not be 
retested, used, or promoted for use in children's sleepwear as defined 
in Sec. 1615.1(a), except after reworking to improve the flammability 
characteristics and subsequent retesting in accordance with the 
procedures set forth in garment production testing.
    (5) Records. Records of all Unit sizes, test results, and the 
disposition of rejected Units must be maintained by the manufacturer 
upon the effective date of this standard. Rules and regulations may be 
established by the Consumer Product Safety Commission.
    (e) Specimens and Sampling--Compliance Market Sampling Plan. 
Sampling plans for use in market testing of items covered by this 
Standard may be issued by the Consumer Product Safety Commission. Such 
plans shall define noncompliance of a production Unit to exist only when 
it is shown, with a high level of statistical confidence, those 
production Units represented by tested items which fail such plans will, 
in fact, fail this standard. Production units found to be non-complying 
under the provisions of paragraph (e) of this section shall be deemed 
not to conform to this Standard. The Consumer Product Safety Commission 
may publish such plans in the Federal Register.
    (f) Mounting and conditioning of specimens. (1) The specimens shall 
be placed in specimen holders so that the bottom edge of each specimen 
is even with the bottom of the specimen holder. Mount the specimen in as 
close to a flat configuration as possible. The sides of the specimen 
holder shall cover 1.9 cm. (\3/4\ in.) of the specimen width along each 
long edge of the specimen, and thus shall expose 5.1 cm. (2 in.) of the 
specimen width. The sides of the specimen holder shall be clamped with a 
sufficient number of clamps or shall be taped to prevent the specimen 
from being displaced during handling and testing. The specimens may be 
taped in the holders if the clamps fail to hold them. Place the mounted 
specimens in the drying oven in a manner that will

[[Page 652]]

permit free circulation of air at 105  deg.C. (221  deg.F.) around them 
for 30 minutes.\4\
---------------------------------------------------------------------------

    \4\ If the specimens are moist when received, permit them to air dry 
at laboratory conditions prior to placement in the oven. A satisfactory 
preconditioning procedure may be found in ASTM D 1776-67, ``Conditioning 
Textiles and Textile Products for Testing.'' (``1970 Book of ASTM 
Standards,'' part 24, published by the American Society for Testing and 
Materials, 1916 Race Street, Philadelphia, PA 19103.)
---------------------------------------------------------------------------

    (2) Remove the mounted specimens from the oven and place them in the 
desiccator for 30 minutes to cool. No more than five specimens shall be 
placed in a desiccator at one time. Specimens shall remain in the 
desiccator no more than 60 minutes.
    (g) Testing--(1) Burner adjustment. With the hood fan turned off, 
use the needle valve to adjust the flame height of the burner to 3.8 cm. 
(1\1/2\ in.) above the highest point of the barrel of the burner. A 
suitable height indicator is shown in Engineering Drawing No. 6 and 
Figure 1.
    (2) Specimen Burning and Evaluation. (i) One at a time, the mounted 
specimens shall be removed from the desiccator and suspended in the 
cabinet for testing. The cabinet door shall be closed and the burner 
flame impinged on the bottom edge of the specimen for 3.00.2 
seconds. Flame impingement is accomplished by moving the burner under 
the specimen for this length of time, and then removing it.
    (ii) When afterglow has ceased, remove the specimen from the cabinet 
and holder, and place it on a clean flat surface. Fold the specimen 
lengthwise along a line through the highest peak of the charred or 
melted area; crease the specimen firmly by hand. Unfold the specimen and 
insert the hook with the correct weight as shown in table 1 in the 
specimen on one side of the charred area 6.4 mm. (\1/4\ in.) from the 
lower edge.
    (iii) Tear the specimen by grasping the other lower corner of the 
fabric and gently raising the specimen and weight clear of the 
supporting surface. \5\ Measure the char length as the distance from the 
end of the tear to the edge of the specimen exposed to the flame. After 
testing each specimen, vent the hood and cabinet to remove the smoke 
and/or toxic gases.
---------------------------------------------------------------------------

    \5\ A figure showing how this is done is given in AATCC 34-1969, 
Technical Manual of the American Association of Textile Chemists and 
Colorists, vol. 46, 1970, published by AATCC, Post Office Box 12215, 
Research Triangle Park, N.C. 27709.
---------------------------------------------------------------------------

    (3) Report. Report the value of char length, in centimeters 
(inches), for each specimen, as well as the average char length for each 
set of five specimens.
    (4) Laundering. (i) The procedures described in sections 1615.4(b) 
through (g) shall be carried out on finished items (as produced or after 
one washing and drying) and after they have been washed and dried 50 
times in accordance with sections 8.2.2, 8.2.3, and 8.3.1(A) of AATCC 
Test Method 124-1996 ``Appearance of Fabrics after Repeated Home 
Laundering,'' Technical Manual of the American Association of Textile 
Chemists and Colorists, vol. 73, 1997, which is incorporated by 
reference. Copies of this document are available from the American 
Association of Textile Chemists and Colorists, P.O. Box 12215, Research 
Triangle Park, North Carolina 27709. This document is also available for 
inspection at the Office of the Federal Register, 800 North Capitol 
Street, NW., Suite 700, Washington, DC. This incorporation by reference 
was approved by the Director of the Federal Register in accordance with 
5 U.S.C. 552(a) and 1 CFR part 51. Items which do not withstand 50 
launderings shall be tested at the end of their useful service life.
    (ii) Washing shall be performed in accordance with sections 8.2.2 
and 8.2.3 of AATCC Test Method 124-1996, using wash temperature V 
(60 deg. 3  deg.C, 140 deg. 5  deg.F) specified 
in Table II of that method, and the water level, agitator speed, washing 
time, spin speed and final spin cycle specified for ``Normal/Cotton 
Sturdy'' in Table III. A maximum washer load shall be 3.64 Kg (8 pounds) 
and may consist of any combination of test samples and dummy pieces. 
Drying shall be performed in accordance with section 8.3.1(A) of that 
test method, Tumble Dry, using the exhaust temperature (66 deg. 
5  deg.C, 150 deg. 10  deg.F) and cool down time 
of 10 minutes specified in the ``Durable Press'' conditions of Table IV. 
Alternatively, a different

[[Page 653]]

number of times under another washing and drying procedure may be 
specified and used, if that procedure has previously been found to be 
equivalent by the Consumer Product Safety Commission. Such laundering is 
not required of items which are not intended to be laundered, as 
determined by the Consumer Product Safety Commission.
    (iii) Items which are not susceptible to being laundered and are 
labeled ``dry-clean only'' shall be drycleaned by a procedure which has 
previously been found to be acceptable by the Consumer Product Safety 
Commission.
    (iv) For the purpose of the issuance of a guarantee under section 8 
of the act, finished sleepwear garments to be tested according to 
paragraphs (b) through (e) of this section need not be laundered or 
drycleaned provided all fabrics used in making the garments (except 
trim) have been guaranteed by the fabric producer to be acceptable when 
tested according to paragraphs (b) through (e) of this section.

[40 FR 59903, Dec. 30, 1975; 41 FR 1061, Jan. 6, 1976; 41 FR 8032, Feb. 
24, 1976, as amended at 43 FR 4853, Feb. 6, 1978; 46 FR 63251, Dec. 31, 
1981; 64 FR 24526, June 28, 1999; 65 FR 12927, Mar. 10, 2000]



Sec. 1615.5  Labeling requirements.

    (a) Care labels. All items of children's sleepwear shall be labeled 
with precautionary instructions to protect the items from agents or 
treatments which are known to cause deterioration of their flame 
resistance. If the item has been initially tested under 
Sec. 1615.4(g)(4) after one washing and drying, it shall be labeled with 
instructions to wash before wearing. Such labels shall be permanent and 
otherwise in accordance with rules and regulations established by the 
Consumer Product Safety Commission.
    (b) [Reserved]

[40 FR 59903, Dec. 30, 1975, as amended at 61 FR 1116, Jan. 16, 1996]



                    Subpart B--Rules and Regulations

    Authority: Sec. 5, 67 Stat. 112-113, as amended, 81 Stat. 570, 15 
U.S.C. 1194.



Sec. 1615.31  Labeling, recordkeeping, advertising, retail display and guaranties.

    (a) Definitions. For the purposes of this section, the following 
definitions apply:
    (1) Standard means the Standard for the Flammability of Children's 
Sleepwear: Sizes 0 through 6X (FF 3-71) (subpart A of this part) 
promulgated by the Secretary of Commerce in the Federal Register of July 
29, 1971 (36 FR 14062), and amended by him in the Federal Register of 
July 21, 1972 (37 FR 14624).
    (2) Children's sleepwear means ``children's sleepwear'' as defined 
in Sec. 1615.1(a) of the Standard; that is, ``any product of wearing 
apparel up to and including size 6X, such as nightgowns, pajamas, or 
similar or related items, such as robes, intended to be worn primarily 
for sleeping or activities related to sleeping. Diapers and underwear 
are excluded from this definition.''
    (3) Item means ``item'' as defined in Sec. 1615.1(c) of the 
Standard; that is, ``any product of children's sleepwear, or any fabric 
or related material intended or promoted for use in children's 
sleepwear.''
    (4) Marketing or handling or marketed or handled means any one or 
more of the transactions set forth in section 3 of the Flammable Fabrics 
Act (15 U.S.C. 1192).
    (5) The definitions of terms set forth in Sec. 1615.1 of the 
Standard shall also apply to this section.
    (b) Labeling. (1) Where any agent or treatment is known to cause 
deterioration of flame resistance or otherwise enhances the flammability 
characteristics of an item, such item shall be prominently, permanently, 
conspicuously, and legibly labeled with precautionary care and treatment 
instructions to protect the item from such agent or treatment: Provided:
    (i) Where items required to be labeled in accordance with this 
paragraph are marketed at retail in packages, and the required label is 
not readily visible to the prospective purchaser, the packages must also 
be prominently, conspicuously, and legibly labeled with the required 
information, and

[[Page 654]]

    (ii) Where items are required to be labeled in accordance with this 
paragraph, the precautionary care and treatment instructions may appear 
on the reverse side of the permanent label if
    (A) The precautionary care and treatment instructions are legible, 
prominent and conspicuous, and
    (B) The phrase ``CARE INSTRUCTIONS ON REVERSE'' or the equivalent 
appears permanently, prominently, conspicuously, and legibly on the side 
of the permanent label that is visible to the prospective purchaser when 
the item is marketed at retail, and
    (C) The item which is so labeled is marketed at retail in such a 
manner that the prospective purchaser is able to manipulate the label so 
the entire text of the precautionary care and treatment instructions is 
visible and legible; however, where the label cannot be manipulated so 
the instructions are visible to the prospective purchaser and legible, 
the packages must also be prominently, conspicuously and legibly labeled 
with the required precautionary care and treatment information or such 
information must appear prominently, conspicuously and legibly on a hang 
tag attached to the item.
    (2) If the item has been initially tested under Sec. 1615.4(g)(4) of 
the Standard after one washing and drying, it shall be prominently, 
permanently, conspicuously, and legibly labeled with instructions to 
wash before wearing.
    (3) [Reserved]
    (4) Where any fabric or related material intended or promoted for 
use in children's sleepwear is sold or intended for sale to the ultimate 
consumer for the purpose of conversion into children's sleepwear, each 
bolt, roll, or other unit shall be labeled with the information required 
by this section. Each item of fabric or related material sold to an 
ultimate consumer must be accompanied by a label, as prescribed by this 
section, that can by normal household methods be permanently affixed by 
the ultimate consumer to any item of children's sleepwear made from such 
fabric or related material.
    (5) Where items required to be labeled in accordance with paragraphs 
(b) (2), (3), and (4) of this section are marketed at retail in 
packages, and the required label is not readily visible to prospective 
purchasers, the packages must also be prominently, conspicuously, and 
legibly labeled with the required information.
    (6) Samples, swatches, or specimens used to promote or effect the 
sale of items subject to the Standard shall be labeled in accordance 
with this section with the information required by this section, except 
that such information may appear on accompanying promotional materials 
attached to fabric samples, swatches, or specimens used to promote the 
sale of fabrics to garment manufacturers. This paragraph (b)(6) of this 
section shall not apply, however, to samples, swatches, or specimens 
prominently, permanently, conspicuously, truthfully, and legibly labeled 
with the statement ``Flammable. Sample only. Not for use or resale. Does 
not meet Standard for the Flammability of Children's Sleepwear, DOC FF 
3-71.''
    (7) The information required on labels by this section shall be set 
forth separately from any other information appearing on the same label. 
Other information, representations, or disclosures not required by this 
action but placed on the same label with information required by this 
section, or placed on other labels elsewhere on the item, shall not 
interfere with the information required by this section. No person, 
other than the ultimate consumer, shall remove or mutilate, or cause or 
participate in the removal or mutilation of, any label required by this 
section to be affixed to any item.
    (8) Every manufacturer, importer, or other person (such as a 
converter) initially introducing items subject to the Standard into 
commerce shall assign to each item a unit identification (number, letter 
or date, or combination, thereof) sufficient to identify and relate to 
the fabric production unit or garment production unit of which the item 
is a part. Such unit identification shall be designated in such a way as 
to indicate that it is a production unit identification under the 
Standard. The letters ``GPU'' and ``FPU'' may be used to designate a 
garment production unit identification and fabric production

[[Page 655]]

unit identification respectively, at the option of the labeler.
    (i) Where fabrics required to be labeled or stamped in accordance 
with this section are marketed at retail in packages and the required 
label or stamp is not readily visible to the prospective purchaser, the 
packages must also be prominently, conspicuously, and legibly labeled 
with the information required by this section.
    (ii) Where garments required to be labeled or stamped in accordance 
with paragraph (b)(8) of this section are marketed at retail in packages 
and the required label or stamp is not readily visible to the 
prospective purchasers:
    (A) The packages must also be prominently, conspicuously, and 
legibly labeled with the information required by this section; or
    (B) There must be a garment style identification that is prominent, 
conspicuous, and legible and readily visible to the prospective 
purchaser, either on a label or hang tag attached to the garments or on 
the garment packages. A style is a garment design or grouping, 
preselected by the manufacturer. A style may be composed of garments 
that form all or part of one or more GPU's and the style may include any 
number of garments the manufacturer chooses. Style identification means 
any numbers, letters, or combination thereof that are sufficient to 
identify the garments of the style and may include information such as 
color, season or size. If this option B is selected, in any recall of 
noncomplying items from a particular GPU:
    (1) The garment manufacturer must recall the entire style(s) from 
all customers who purchased garments of the style(s) of which the GPU is 
part. However, retailers may elect to return only garments from the 
particular GPU necessitating the recall rather than the entire style(s) 
being recalled; and
    (2) Within 48 hours of a written request, the garment manufacturer 
must supply to the Commission any samples in its possession of garments 
from the GPU, as requested. As required of all persons subject to this 
section, the garment manufacturer must also, within the time requested, 
supply to the Commission the names of any customers who purchased during 
a specified period of time, garments from the GPU (or the style(s) of 
which the GPU is a part) and supply access to all records required under 
the Standard and this section.
    (iii) Each garment subject to the Standard shall bear a label with 
minimum dimensions of 1.3 centimeters (0.5 inch) by 1.9 centimeters 
(0.75 inch) containing the appropriate garment production unit 
identification for that garment in letters which are clear, conspicuous, 
and legible and in a color which contrasts with the background of the 
label, or shall have such information stamped on the garment itself in 
letters which are clear, conspicuous, and legible and in a color which 
contrasts with the background, and at least 2.54 centimeters (1 inch) in 
every direction from any other information. The stamp or label 
containing the garment production unit identification must be of such 
construction, and affixed to the garment in such a manner as to remain 
on or attached to the garment and legible and visible throughout its 
intended period of use.
    (iv) The fabric production unit identification shall appear in 
letters at least 0.4 centimeters (one-sixth of an inch) in height 
against a contrasting background on each label that relates to such 
fabric and is required by the Textile Fiber Products Identification Act 
(15 U.S.C. 70-70k) and the regulations thereunder (16 CFR 303.1 through 
303.45), or by the Wool Products Labeling Act of 1939 (15 U.S.C. 68-68j) 
and the regulations thereunder (16 CFR 300.1 through 300.35). When the 
information required by the Textile Fiber Product Identification Act or 
by the Wool Products Labeling Act of 1939 appears on an invoice used in 
lieu of labeling, the fabric production unit identification required by 
this section may be placed clearly, conspicuously, and legibly on the 
same invoice in lieu of labeling.
    (c)-(d) [Reserved]
    (e) Records--manufacturers, importers, or other persons initially 
introducing items into commerce--(1) General. Every manufacturer, 
importer, or other person (such as a converter) initially introducing 
into commerce items subject to the Standard, irrespective of whether 
guaranties are issued under paragraph (f) of this section, shall 
maintain

[[Page 656]]

written and physical records as hereinafter specified. The records 
required must establish a line of continuity through the process of 
manufacture of each production unit of articles of children's sleepwear, 
or fabrics or related materials intended or promoted for use in 
children's sleepwear, to the sale and delivery of the finished items and 
from the specific finished item to the manufacturing records. Such 
records shall show with respect to such items:
    (i) Details, description, and identification of any and all sampling 
plans engaged in pursuant to the requirements of the Standard. Such 
records must be sufficient to demonstrate compliance with such sampling 
plan(s) and must relate the sampling plan(s) to the actual items 
produced, marketed, or handled. This requirement is not limited by other 
provisions of paragraph (e) of this section.
    (ii) Garment production units or fabric production units of all 
garments or fabrics marketed or handled. The records must relate to an 
appropriate production unit identification on or affixed to the item 
itself in accordance with paragraph (b)(8) of this section, and the 
production unit identification must relate to the garment production 
unit or fabric production unit.
    (iii) Test results and details of all tests performed, both 
prototype and production, including char lengths of each specimen 
tested, average char length of the samples required to be tested, 
details of the sampling procedure employed, name and signature of 
persons conducting tests, date of tests, and all other records necessary 
to demonstrate compliance with the test procedures and sampling plan 
specified by the standard or authorized alternate sampling plan.
    (iv) Disposition of all failing or rejected items. Such records must 
demonstrate that the items were retested or reworked and retested in 
accordance with the Standard prior to sale or distribution and that such 
retested or reworked and retested items comply with the Standard, or 
otherwise show the disposition of such items.
    (v) Fiber content and manufacturing specifications relating the same 
to prototype and production testing and to the production units to which 
applicable.
    (vi) Data and test results relied on as a basis for inclusion of 
different colors or different print patterns of the same fabric as a 
single fabric or garment production unit under Sec. 1615.4(b) of the 
Standard.
    (vii) Data and test results relied on as a basis for reduced 
laundering of fabric or garments during test procedures under 
Sec. 1615.4(g)(4) of the Standard and any guaranties issued or received 
relating to laundering as well as details of the laundering procedure 
utilized.
    (viii) Identification, composition, and details of application of 
any flame retardant treatments employed. All prototype and production 
records shall relate to such information.
    (ix) Date and quantity of each sale or delivery of items subject to 
the Standard (except the date of sale to an ultimate consumer) and the 
name and address of the purchaser or recipient (except an ultimate 
consumer). The items involved in each such sale or delivery shall be 
identified by production unit or by style. A style is a garment design 
or grouping, preselected by the manufacturer. A style may be composed of 
garments that form all or part of one or more garment production units 
and the style may include any number of garments that form all or part 
of one or more garment production units and the style may include any 
number of garments the manufacturer chooses. If a person subject to the 
requirements of Sec. 1615.31(e) maintains sales records which identify 
the items sold or delivered by style, and if recall of one or more 
production units subject to the Standard is required, that person in 
recalling such production units shall notify all purchasers of items of 
the style in which such production unit or units were manufactured. 
Retailers may elect to return all items of the style involved, or all 
items of the production unit or units subject to recall.
    (2) Fabrics. In addition to the information specified in paragraph 
(e)(1) of this section the written and physical records maintained with 
respect to each fabric production unit shall include (i) finished fabric 
samples sufficient to repeat the fabric sampling procedure required by 
Sec. 1615.4 (b) through

[[Page 657]]

(e) of the Standard for each production unit marketed or handled; and 
(ii) records to relate the samples to the actual fabric production unit. 
Upon written request of any duly authorized employee or agent of the 
Commission, samples sufficient for the sampling and testing of any 
production unit in accordance with Sec. 1615.4 (b) through (e) of the 
Standard shall be furnished from these records within the time specified 
in that written request.
    (3) Garments--prototype testing. In addition to the records 
specified in paragraph (e)(1) of this section, the following written and 
physical records shall be maintained with respect to the garment 
prototype testing required by the Standard:
    (i) Specification, fiber content, and details of construction on all 
seams, fabrics, threads, stitches, and trims used in each garment style 
or type upon which prototype testing was performed, relating the same to 
such garment style or type and to all production units to which such 
prototype testing is applicable.
    (ii) Samples sufficient to repeat the prototype tests required by 
Sec. 1615.4 (b) through (e) of the Standard for all fabrics, seams, 
threads, stitches, and trims used in such prototype testing, relating 
such samples to the records required by paragraph (e) of this section 
including the information required by paragraph (e)(3)(i) of this 
section. Upon written request of any duly authorized employee or agent 
of the Commission, samples sufficient for the testing of any prototype 
specimens identical to those specimens that were actually tested 
pursuant to the Standard shall be furnished from these records within 
the time specified in that written request.
    (iii) A complete untested garment from each style or type of garment 
marketed or handled.
    (iv) Remains of all physical specimens tested in accordance with the 
prototype testing required by Sec. 1615.4 (b) through (e) of the 
Standard, relating such samples to the records required by paragraph (c) 
of this section including information required by paragraph (e)(3)(i) of 
this section.
    (4) Garments--production testing. In addition to the records 
required by paragraph (e)(1) of this section, written and physical 
records shall be maintained and shall show with respect to each garment 
production unit:
    (i) Source and fabric production unit identification of all fabrics 
subject to testing used in each garment production unit.
    (ii) Identification and appropriate reference to all prototype 
records and prototype tests applicable to each production unit.
    (iii) Any guaranty relied upon to demonstrate that the fabric 
utilized in such garments meets the laundering requirements of the 
Standard.
    (iv) Data sufficient to show that tested samples were selected from 
the production unit at random from regular production.
    (v) Written data that will enable the Commission to obtain and test 
garments under any applicable compliance market sampling plan.
    (5) Record retention requirements. The records required by paragraph 
(e) of this section shall be maintained for 3 years, except that records 
relating to prototype testing shall be maintained for as long as they 
are relied upon as demonstrating compliance with the prototype testing 
requirements of the Standard and shall be retained for 3 years 
thereafter.
    (f) Tests for guaranty purposes. Reasonable and representative tests 
for the purpose of issuing a guaranty under section 8 of the Flammable 
Fabrics Act (15 U.S.C. 1197) for items subject to the Standard shall be 
those tests performed pursuant to any sampling plan or authorized 
alternative sampling plan engaged in pursuant to the requirements of the 
Standard.
    (g) Compliance with this section. No person subject to the Flammable 
Fabrics Act shall manufacture, import, distribute, or otherwise market 
or handle any item subject to the Standard, including samples, swatches, 
or specimens used to promote or effect the sale thereof, which is not in 
compliance with this section.

[40 FR 59903, Dec. 30, 1975, as amended at 43 FR 4855 Feb. 6, 1978; 49 
FR 3064, Jan. 24, 1984; 61 FR 1116, Jan. 16, 1996]

[[Page 658]]



Sec. 1615.32  Method for establishment and use of alternate laundering procedures under section 4(g)(4)(ii) of the standard.

    (a) Scope. (1) Section 1615.4(g)(4)(ii) of the Standard for the 
Flammability of Children's Sleepwear in sizes 0-6X (16 CFR 
1615.4(g)(4)(ii)) requires that all fabrics and certain garments subject 
to the standard be tested for flammability as produced (or after one 
washing and drying) and after the items have been washed and dried 50 
times in machines, using the procedure specified in AATCC Test Method 
124-1996.\6\ This section also provides that items may be laundered a 
different number of times under another washing and drying procedure if 
the Commission finds that such an alternate laundering procedure is 
equivalent to the procedure specified in the standard.
---------------------------------------------------------------------------

    \6\ AATCC Test Method 124-1996 ``Appearance of Fabrics after 
Repeated Home Laundering,'' Technical Manual of the American Association 
of Textile Chemists and Colorists, vol. 73, 1997, which is incorporated 
by reference. Copies of this document are available from the American 
Association of Textile Chemists and Colorists, P.O. Box 12215, Research 
Triangle Park, North Carolina 27709. This document is also available for 
inspection at the Office of the Federal Register, 800 North Capitol 
Street, NW., Suite 700, Washington, DC. This incorporation by reference 
was approved by the Director of the Federal Register in accordance with 
5 U.S.C. 552(a) and 1 CFR part 51.
---------------------------------------------------------------------------

    (2) This rule provides the procedures to be followed by persons 
seeking Commission approval for alternate laundering procedures. It also 
provides the criteria the Commission will use in evaluating the 
applications.
    (3) The alternate laundering procedures provided for in this section 
apply only to procedures under section 4(g)(4)(ii) of the standard and 
shall not be used for determining whether different colors or different 
print patterns of the same fabric may be included in a single fabric or 
garment production unit.
    (4) As used in this section, fabric means fabric or related material 
promoted or intended for use in children's sleepwear made to identical 
specifications and containing the same identity while in production.
    (b) Application procedure. (1) Applicants seeking approval for use 
of an alternate laundering procedure under Sec. 1615.4(g)(4)(ii) of the 
standard must submit the following information in writing to the 
Assistant Executive Director for Compliance, Consumer Product Safety 
Commission, Washington, DC 20207:
    (i) A detailed description of the proposed alternate laundering 
procedure, and a 6 in. by 6 in. swatch of the fabric or garment for 
which the procedure is proposed.
    (ii) Upon request of the Commission staff, any other information 
concerning the procedure and/or any machine used in connection with it.
    (iii) With regard to each fabric or garment for which an alternate 
laundering procedure is sought, test data comparing twenty test 
specimens washed and dried by the proposed alternate laundering 
procedure and twenty specimens tested in accordance with the 50-wash and 
dry cycle procedure required in section 4(g)(4)(ii) of the standard. 
(For purposes of applications, similar fabrics or garments of different 
finishes shall be considered as different fabrics or garments and 
therefore separate test results must be submitted). Each group of twenty 
specimens upon which these data are based must be cut for testing, half 
in the machine direction and half in the cross machine direction. Where 
the applicant manufactures the fabric or garments in more than one 
plant, the data described in this paragraph must be submitted separately 
for the fabric or garments of each plant for which the proposed 
alternate laundering procedure is intended to be used. Subsequent 
applications for use of the same procedure for additional fabrics and 
garments may incorporate portions of the original application by 
reference, as appropriate.
    (2) Applications shall be certified by the chief executive officer 
of the applicant or the official to whom the duty to certify has been 
delegated in writing. The Commission's Assistant Executive Director for 
Compliance must be notified in writing of any such delegation.
    (c) Use of alternate laundering procedure. (1) The applicant may 
begin to use the alternate laundering procedure

[[Page 659]]

30 days after the application is received by the Assistant Executive 
Director for Compliance unless notified to the contrary. The Assistant 
Executive Director for Compliance will normally furnish an applicant 
with written notice of approval within 30 days. The applicant may be 
notified that a longer time is needed for evaluation of the application, 
and in the discretion of the Assistant Executive Director for 
Compliance, may be authorized to use the alternate laundering procedure 
pending the final decision.The notice of approval shall be kept by the 
applicant with other written records required to be maintained in 
connection with the use of an alternate laundering procedure. So the 
applicants may ascertain that the application has been received and when 
the 30-day period has elapsed, it is suggested that applications be sent 
by certified mail, return receipt requested.
    (2) As provided in detail in Sec. 1615.32(e), applicants must 
immediately discontinue use of an alternate procedure, and must 
immediately notify the Assistant Executive Director for Compliance if 
there are test failures during revalidation testing.
    (d) Revalidation testing. (1) In order to assure a continued 
satisfactory correlation between the alternate laundering procedure and 
the laundering procedure of the standard, applicants shall perform all 
the testing described in paragraph (b)(1)(iii) of this section for 
fabrics or garments from current production at least once for every 
three-month period during which any of the fabric or garments are 
produced.
    (2) If following initial approval, four successive comparisons of 
the alternate and the 50-cycle methods as described in paragraph (d)(1) 
of this section, consistently show acceptable results under the criteria 
specified by paragraph (f) of this section, the Commission will deem 
such comparisons to be sufficient demonstration of the equivalence of 
the alternate laundering procedure with the 50 launderings required in 
the standard and further revalidation testing will not be required.
    (3) Records of revalidation testing need not be submitted to the 
Assistant Executive Director for Compliance. However such records must 
be maintained in accordance with paragraph (h) of this section.
    (e) Revalidation testing failures. (1) If revalidation testing for 
any fabric or garment does not meet the criteria of Sec. 1615.32(f), the 
applicant must immediately discontinue use of the alternate laundering 
procedure for the fabric or garment and must immediately notify the 
Assistant Executive Director for Compliance in writing of the failure to 
meet the criteria. Also, the testing from the production unit from which 
the non-correlating samples were taken and the testing from subsequent 
production units (if any) must be repeated immediately using the 
laundering procedure prescribed in the standard. These repeat tests 
shall then be the tests applicable to such production unit(s) and the 
tests previously performed on the production unit(s) shall be considered 
invalid.
    (2) When use of an alternate laundering procedure for a particular 
fabric or garment has been discontinued because of a failure to meet the 
criteria of Sec. 1615.32(f), the alternate laundering procedure shall 
not be used again unless a new application for approval is submitted to 
the Assistant Executive Director for Compliance and that officer 
approves the application in writing. In addition to the other 
information required for applications, the additional application should 
give facts or reasons showing why the applicant believes the procedure 
should be considered reliable with the fabric or garments involved, in 
view of previous failure.
    (f) Commission criteria for evaluating applications. (1) The 
Assistant Executive Director for Compliance will approve the alternate 
laundering procedure as equivalent to the laundering procedure specified 
in Sec. 1615.4(g)(4)(ii) of the standard if testing from 20 specimens 
laundered by the proposed alternate procedure yields as many or more 
char lengths in excess of five inches as does testing from the twenty 
specimens laundered by the 50-laundering cycle method prescribed in the 
standard.
    (2) If the alternate laundering procedure yields fewer char lengths 
in excess of five inches than does the 50-wash

[[Page 660]]

and dry cycle, then the Assistant Executive Director for Compliance will 
not consider the alternate procedure to be equivalent, with the 
following exception: If the number of five-inch chars from the alternate 
procedure is within one of the number of five-inch chars obtained from 
the 50-cycle procedure, the applicant may repeat the original test with 
new specimens and if the combined results of both tests show the count 
of chars exceeding five inches from the alternate is equal to, or 
greater than, the count from the 50-wash cycle procedure, the Assistant 
Executive Director for Compliance will approve the alternate laundering 
procedure.
    (g) Commission testing for compliance. (1) For the purpose of 
determining compliance with the standard, the Commission will rely on 
testing employing the laundering procedure now prescribed in section 
4(g)(4)(ii) of the standard.
    (2) The Commission may verify equivalency of any procedure submitted 
by independent testing and evaluation, by or on behalf of the 
Commission.
    (h) Recordkeeping. The applicant must maintain a record of all 
applications filed with the Commission and of all equivalency tests for 
as long as the procedures to which they relate are in use and for three 
years thereafter.

[42 FR 55891, Oct. 20, 1977, as amended at 65 FR 12927, Mar. 10, 2000; 
65 FR 19818, Apr. 12, 2000]



Sec. 1615.35  Use of alternate apparatus, procedures, or criteria for testing under the standard.

    (a) The Standard for the Flammability of Children's Sleepwear: Sizes 
0 through 6X (the Standard) requires every manufacturer, importer, and 
other person (such as a converter) initially introducing items subject 
to the Standard into commerce to group items into production units, and 
to test samples from each production unit. See 16 CFR 1615.4 (b), (c) 
and (d). The Standard prescribes an apparatus and procedure for 
performing tests of fabric and garments subject to its provisions. See 
16 CFR 1615.4 (a), (f), and (g). The Standard prescribes pass/fail 
criteria at 16 CFR 1615.3(b).
    (b)(1) By issuance of this Sec. 1615.35, the Commission gives its 
approval to any person or firm desiring to use test apparatus or 
procedures other than those prescribed by the Standard for purposes of 
compliance with the Standard, if that person or firm has data or other 
information to demonstrate that a test utilizing such alternate 
apparatus or procedures is as stringent as, or more stringent than, a 
test utilizing the apparatus and procedures specified in the Standard. 
The Commission considers a test utilizing alternate apparatus or 
procedures to be ``as stringent as, or more stringent than'' a test 
utilizing the apparatus and procedures specified in the standard if, 
when testing identical specimens, a test utilizing alternate apparatus 
or procedures yields failing results as often as, or more often than, a 
test utilizing the apparatus and procedures specified in the Standard.
    (2) The data or information required by this paragraph (b) of this 
section as a condition to the Commission's approval of the use of 
alternate test apparatus or procedures must be in the possession of the 
person or firm desiring to use such alternate apparatus or procedures 
before the alternate apparatus or procedures may be used for purposes of 
compliance with the Standard.
    (3) The information required by this paragraph (b) of this section 
must be retained by the person or firm using the alternate test 
apparatus or procedure for as long as that apparatus or procedure is 
used for purposes of compliance with the Standard, and for a period of 
one year thereafter.
    (c) Written application to the Commission is not required for 
approval of alternate test apparatus or procedure, and the Commission 
will not act on any individual written application for approval of 
alternate test apparatus or procedure.
    (d) Use of any alternate test apparatus or procedure without the 
data or information required by paragraph (b), of this section, may 
result in violation of the Standard and section 3 of the Flammable 
Fabrics Act (15 U.S.C. 1192).
    (e) The Commission will test fabrics and garments subject to the 
Standard for compliance with the requirements of the Standard using the 
apparatus

[[Page 661]]

and procedures set forth in the Standard. The Commission will consider 
any failing results from compliance testing as evidence of a violation 
of the Standard and section 3 of the Flammable Fabrics Act (15 U.S.C 
1192).

(Reporting requirements contained in paragraph (d) were approved by the 
Office of Management and Budget under control number 3041-0027)

[48 FR 21315, May 12, 1983]



Sec. 1615.36  Use of alternate apparatus or procedures for tests for guaranty purposes.

    (a) Section 8(a) of the Flammable Fabrics Act (FFA, 15 U.S.C. 
1197(a)) provides that no person shall be subject to criminal 
prosecution under section 7 of the FFA (15 U.S.C. 1196) for a violation 
of section 3 of the FFA (15 U.S.C. 1192) if that person establishes a 
guaranty received in good faith which meets all requirements set forth 
in section 8 of the FFA. One of those requirements is that the guaranty 
must be based upon ``reasonable and representative tests'' in accordance 
with the applicable standard.
    (b) Section 1615.31(f) of the regulations implementing the Standard 
for the Flammability of Children's Sleepwear: Sizes 0 through 6X (the 
Standard) provides that for purposes of supporting guaranties issued in 
accordance with section 8 of the FFA for items subject to the Standard, 
``reasonable and representative tests'' are tests ``performed pursuant 
to any sampling plan or authorized alternative sampling plan engaged in 
pursuant to the requirements of the Standard.''
    (c) At Sec. 1615.35, the Commission has set forth conditions under 
which the Commission will approve the use of test apparatus or 
procedures other than those prescribed in the Standard for purposes of 
demonstrating compliance with the requirements of the Standard. Any 
person or firm meeting the requirements of Sec. 1615.35 for use of 
alternate test apparatus or procedure for compliance with the Standard 
may also use such alternate test apparatus or procedures under the same 
conditions for purposes of conducting ``reasonable and representative 
tests'' to support guaranties of items subject to the Standard, 
following any sampling plan prescribed by the Standard or any approved 
alternate sampling plan.
    (d) The Commission will test fabrics and garments subject to the 
Standard for compliance with the Standard using the apparatus and 
procedures set forth in the Standard. The Commission will consider any 
failing results from compliance testing as evidence that the person or 
firm using alternate test apparatus or procedures has furnished a false 
guaranty in violation of section 8(b) of the FFA (15 U.S.C. 1197(b)).

[48 FR 21316, May 12, 1983]



                 Subpart C--Interpretations and Policies

    Authority: Secs. 1-17, 67 Stat. 111-115, as amended, 81 Stat. 568-
74; 15 U.S.C. 1191-1204.



Sec. 1615.61  [Reserved]



Sec. 1615.62  Policy and interpretation relative to items in inventory or as to recordkeeping requirements.

    (a) The Standard for the Flammability of Children's Sleepwear: Sizes 
0 through 6X (FF 3-71) (subpart A of this part) was published in the 
Federal Register on July 29, 1971, at 36 FR 14062 et seq., and amended 
in the Federal Register of July 21, 1972 (37 FR 14624). The Notice of 
Standard provided at 36 FR 14063 that ``Items in inventory or with the 
trade on the effective date of the Standard are exempt. All concerned 
parties shall be required to maintain records that these items offered 
for sale after the effective date of the Standard are eligible for the 
exemption.''
    (b) The Children's Sleepwear Standard was amended on July 21, 1972, 
at 37 FR 14624 et seq. to incorporate a sleepwear sampling plan therein 
and to make certain nonsubstantive technical corrections as to the test 
equipment. The effective date remained the same. In issuance of such 
amendment the Notice of Amendment specified at 37 FR 14625 that ``It is 
emphasized that the only substantive change made to the standard 
involves the amendment necessary to include the sampling plan.''
    (c) The Notice of Amendment did not repeat the language in the 
original 1971 Notice of Standard relative to items in

[[Page 662]]

inventory or as to recordkeeping requirements.
    (d) Questions have arisen under this standard as to the application 
of the standard to goods manufactured outside the United States prior to 
the effective date of the standard on July 29, 1972, as to whether a 
person claiming the exemption specified in the standard must maintain 
records showing eligibility for exemption from the standard.
    (e) In the Commission's view, the provisions of the July 29, 1971, 
Notice of Standard as to exemption of items of children's sleepwear in 
inventory or with the trade on the effective date of the standard and as 
to the necessity of maintenance of records to show eligibility for such 
exemption are in full force and effect.

    Note: This policy was published by the Federal Trade Commission on 
January 31, 1973 (38 FR 3014). It continues in effect.



Sec. 1615.63  Policy regarding garment production unit identification.

    No provision of Sec. 1615.31(b)(8) prohibits placement of a garment 
production unit identification on a label containing other information. 
Provided, however, that when the garment production unit identification 
appears on a label containing other information, provisions of 
Sec. 1615.31(b)(7) require that the garment production unit 
identification must be set forth separately from any other information 
appearing on the same label, and that information not required by the 
applicable enforcement regulation Sec. 1615.31, but placed on the same 
label with the garment production unit identification, shall not 
interfere with the garment production unit identification.



Sec. 1615.64  Policy to clarify scope of the standard.

    (a) The Standard for Flammability of Children's Sleepwear: Size 0 
Through 6X (16 CFR part 1615) is applicable to any item of children's 
sleepwear in sizes 0 through 6X.
    (1) The term item is defined in the Standard at Sec. 1615.1(d) to 
mean ``any product of children's sleepwear, or any fabric or related 
material intended or promoted for use in children's sleepwear.''
    (2) The term children's sleepwear is defined in the Standard at 
Sec. 1615.1(a) to mean ``any product of wearing apparel up to and 
including size 6X, such as nightgowns, pajamas, or similar or related 
items, such as robes, intended to be worn primarily for sleeping or 
activities relating to sleeping. Diapers and underwear are excluded from 
the definition.''
    (b) The Commission makes the following statement of policy regarding 
(1) the phrase ``intended or promoted'' as used in the definition of 
``item'' in Sec. 1615.1(d), and (2) the phrase ``intended to be worn 
primarily for sleeping or activities related to sleeping'' as used in 
the definition of ``children's sleepwear'' in Sec. 1615.1(a).
    (c) For enforcement purposes, the meaning of these phrases will be 
interpreted by the Commission in accordance with the following 
principles:
    (1) Sleepwear fabrics and related materials. Whether fabric or 
related material is ``intended or promoted'' for use in children's 
sleepwear depends on the facts and circumstances in each case. Relevant 
factors include:
    (i) The nature of the fabric and its suitability for use in 
children's sleepwear;
    (ii) The extent to which the fabric or a comparable fabric has been 
sold to manufacturers of children's sleepwear for use in the manufacture 
of children's sleepwear garments; and
    (iii) The likelihood that the fabric will be used primarily for 
children's sleepwear in a substantial number of cases.
    (2) Sleepwear garments. Whether a product of wearing apparel is 
``intended to be worn primarily for sleeping or activities related to 
sleeping'' depends on the facts and circumstances present in each case. 
Relevant factors include:
    (i) The nature of the product and its suitability for use by 
children for sleeping or activities related to sleeping;
    (ii) The manner in which the product is distributed and promoted; 
and
    (iii) The likelihood that the product will be used by children 
primarily for sleeping or activities related to sleeping in a 
substantial number of cases.
    (3) The factors set forth in this policy statement are guidelines 
only, and are

[[Page 663]]

not elements of the definition of the term ``children's sleepwear'' in 
Sec. 1615.1(a) of the Standard. For this reason, a particular fabric or 
garment may meet the definition of ``children's sleepwear'' set forth in 
the Standard, even though all factors listed in this policy statement 
are not present.
    (d) Retailers, distributors, and wholesalers, as well as 
manufacturers, importers, and other persons (such as converters) 
introducing a fabric or garment into commerce which does not meet the 
requirements of the flammability standards for children's sleepwear, 
have an obligation not to promote or sell such fabric or garment for use 
as an item of children's sleepwear. Also, retailers, distributors, and 
wholesalers are advised not to advertise, promote, or sell as an item of 
children's sleepwear any item which a manufacturer, importer, or other 
person (such as a converter) introducing the item into commerce has 
indicated by label, invoice, or, otherwise, does not meet the 
requirements of the children's sleepwear flammability standards and is 
not intended or suitable for use as sleepwear. ``Infant garments'' as 
defined by Sec. 1615.1(c) and ``tight-fitting'' garments as defined by 
Sec. 1615.1(o) are exempt from the standard which requires flame 
resistance. They may be marketed as sleepwear for purposes of this 
section. Additionally, retailers are advised:
    (1) To segregate, by placement in different parts of a department or 
store, fabrics and garments covered by the children's sleepwear 
standards from all fabrics and garments that are beyond the scope of the 
children's sleepwear standards but which resemble items of children's 
sleepwear;
    (2) To utilize store display signs indicating the distinction 
between types of fabrics and garments, for example by indicating which 
are sleepwear items and which are not; and
    (3) To avoid the advertisement or promotion of a fabric or garment 
that does not comply with the children's sleepwear flammability standard 
in a manner that may cause the item to be viewed by the consumer as an 
item of children's sleepwear.

(Sec. 5, Pub.L. 90-189, 81 Stat. 569, 15 U.S.C. 1194; sec. 30(b), Pub.L. 
92-573, 86 Stat. 1231, 15 U.S.C. 2079(b); 5 U.S.C. 553)

[49 FR 10250, Mar. 20, 1984, as amended at 64 FR 2832, Jan. 19, 1999; 64 
FR 34533, June 28, 1999]



PART 1616--STANDARD FOR THE FLAMMABILITY OF CHILDREN'S SLEEPWEAR: SIZES 7 THROUGH 14 (FF 5-74)--Table of Contents




                         Subpart A--The Standard

Sec.
1616.1 Scope and application.
1616.2 Definitions.
1616.3 General requirements.
1616.4 Sampling and acceptance procedures.
1616.5 Test procedure.
1616.6 Labeling requirements.

                    Subpart B--Rules and Regulations

1616.31 Labeling, recordkeeping, retail display and guaranties.
1616.32 Method for establishment and use of alternate laundering 
          procedures under section 5(c)(4)(ii) of the standard.
1616.35 Use of alternate apparatus, procedures, or criteria for testing 
          under the standard.
1616.36 Use of alternate apparatus or procedures for tests for guaranty 
          purposes.

                 Subpart C--Interpretations and Policies

1616.61 Enforcement policy.
1616.62 Policy regarding retail display requirement for items.
1616.63 Policy regarding garment production unit identification.
1616.64 Policy regarding recordkeeping requirements.
1616.65 Policy scope of the standard.

    Source: 40 FR 59917, Dec. 30, 1975, unless otherwise noted.



                         Subpart A--The Standard

    Authority: Sec. 429, Pub. L. 105-276; Sec. 4, 67 Stat. 112, as 
amended, 81 Stat. 569-570; 15 U.S.C. 1193.



Sec. 1616.1  Scope and application.

    (a) This Standard provides a test method to determine the 
flammability of children's sleepwear, sizes 7 through

[[Page 664]]

14 and fabric or related material intended or promoted for use in such 
children's sleepwear.
    (b) All sleepwear items as defined in Sec. 1616.2(c), are subject to 
the requirements of this Standard.
    (c) Children's sleepwear items which meet all the requirements of 
the Standard for the Flammability of Children's Sleepwear: Sizes 0 
through 6X (FF 3-71) (subpart A of part 1615 of this chapter) are in 
compliance with this Standard. FF 3-71 was issued July 29, 1971 (36 FR 
14062), and amended July 21, 1972 (37 FR 14624).
    (d) As used in this Standard, pass and fail refer to the test 
criteria for specimens while accept and reject refer to the acceptance 
or rejection of a production unit under the sampling plan.
    (e) The flammability standards for clothing textiles and vinyl 
plastic film, parts 1610 and 1611 of this chapter, are superseded by 
this part 1616 insofar as they apply to items defined in Sec. 1616.2(c).



Sec. 1616.2  Definitions.

    In addition to the definitions given in section 2 of the Flammable 
Fabrics Act, as amended (15 U.S.C. 1191), the following definitions 
apply for purposes of this Standard:
    (a) Children's sleepwear means any product of wearing apparel size 7 
through 14, such as nightgowns, pajamas, or similar or related items, 
such as robes, intended to be worn primarily for sleeping or activities 
related to sleeping, except:
    (1) Diapers and underwear; and
    (2) ``Tight-fitting garments'' as defined by section 1616.2(m), 
below.
    (b) Sizes 7 through 14 means the sizes defined as 7 through 14 in 
Department of Commerce Voluntary Product Standards PS 54-72 and PS 36-
70, previously identified as Commercial Standards, CS 153-48, ``Body 
Measurements for the Sizing of Girls' Apparel'' and CS 155-50, ``Body 
Measurements for the Sizing of Boys' Apparel'', respectively. \1\
---------------------------------------------------------------------------

    \1\ Copies available from the National Technical Information 
Service, 5285 Port Royal Street, Springfield VA 22151. The ordering 
number for PS 54-72 (CS 153--48), on girls' apparel sizing, is COM 73-
50603; the ordering number for PS 36-70 (CS 155-50), on boys' apparel 
sizing, is PB 86125648.
---------------------------------------------------------------------------

    (c) Item means any product of children's sleepwear or any fabric of 
related material intended or promoted for use in children's sleepwear.
    (d) Trim means decorative materials, such as ribbons, laces, 
embroidery, or ornaments. This definition does not include (1) 
individual pieces less than 2 inches in their longest dimension, 
provided that such pieces do not constitute or cover in aggregate a 
total of more than 20 square inches of the item or (2) functional 
materials (findings), such as zippers, buttons or elastic bands, used in 
the construction of garments.
    (e) Test criteria means the average char length and the maximum char 
length which a sample of specimen may exhibit in order to pass an 
individual test.
    (f) Char length means the distance from the original lower edge of 
the specimen exposed to the flame in accordance with the procedure 
specified in Sec. 1616.5 Test procedure to the end of the tear or void 
in the charred, burned, or damaged area, the tear being made in 
accordance with the procedure specified in Sec. 1615.5(c)(2) Specimen 
burning and evaluation.
    (g) Afterglow means the continuation of glowing of parts of a 
specimen after flaming has ceased.
    (h) Fabric piece (piece) means a continuous, unseamed length of 
fabric, one or more of which make up a unit.
    (i) Fabric production unit (unit) means any quantity of finished 
fabric up to 4,600 linear m. (5,000 linear yds.) for Normal Sampling or 
9,200 linear m. (10,000 linear yds.) for Reduced Sampling which has a 
specific identity that remains unchanged throughout the unit except for 
color or print pattern as specified in Sec. 1616.4(a). For purposes of 
this definition, finished fabric means fabric in its final form after 
completing its last processing step as a fabric except for slitting.
    (j) Garment production unit (unit) means any quantity of finished 
garments up to 500 dozen which have a specific identity that remains 
unchanged throughout the unit except for

[[Page 665]]

size, trim, findings, color, and print patterns as specified in 
Sec. 1616.4(a).
    (k) Sample means five test specimens.
    (l) Specimen means an 8.90.5 x 25.40.5 cm. 
(3.50.2 x 100.2 in.) section of fabric. For 
garment testing, the specimen will include a seam or trim.
    (m) Tight-fitting garment means a garment which:
    (1)(i) In each of the sizes listed below does not exceed the maximum 
dimension specified below for the chest, waist, seat, upper arm, thigh, 
wrist, or ankle:

----------------------------------------------------------------------------------------------------------------
                                       Chest      Waist       Seat    Upper arm    Thigh      Wrist      Ankle
----------------------------------------------------------------------------------------------------------------
          Size 7 Boys \1\
 
Maximum dimension:
    Centimeters....................       63.5       58.4         66       18.7       37.2       13.0       18.7
    (inches).......................       (25)       (23)       (26)   (7\3/8\)  (14\5/8\)   (5\1/8\)   (7\3/8\)
 
            Size 7 Girls
 
Maximum dimension:
    Centimeters....................       63.5       58.4       67.3       18.7       38.7       13.0       18.7
    (inches).......................       (25)       (23)  (26\1/2\)   (7\3/8\)  (15\1/4\)   (5\1/8\)   (7\3/8\)
 
          Size 8 Boys \1\
 
Maximum dimension:
    Centimeters....................         66       59.7       67.3       19.4       38.4       13.3       19.1
    (inches).......................       (26)  (23\1/2\)  (26\1/2\)   (7\5/8\)  (15\1/8\)   (5\1/4\)   (7\1/2\)
 
            Size 8 Girls
 
Maximum dimension:
    Centimeters....................         66       59.7       71.1       19.4       41.3       13.3       19.1
    (inches).......................       (26)  (23\1/2\)       (28)   (7\5/8\)  (16\1/4\)   (5\1/4\)   (7\1/2\)
 
          Size 9 Boys \1\
 
Maximum dimension:
    Centimeters....................       68.6       61.0       69.2         20       39.7       13.7       19.4
    (inches).......................       (27)       (24)  (27\1/4\)   (7\7/8\)  (15\5/8\)   (5\3/8\)   (7\5/8\)
 
            Size 9 Girls
 
Maximum dimension:
    Centimeters....................       68.6       61.0       73.7         20       42.6       13.7       19.4
    (inches).......................       (27)       (24)       (29)   (7\7/8\)  (16\3/4\)   (5\3/8\)   (7\5/8\)
 
          Size 10 Boys \1\
 
Maximum dimension:
    Centimeters....................       71.1       62.2       71.1       20.6       41.0         14       19.7
    (inches).......................       (28)  (24\1/2\)       (28)   (8\1/8\)  (16\1/8\)   (5\1/2\)   (7\3/4\)
 
           Size 10 Girls
 
Maximum dimension:
    Centimeters....................       71.1       62.2       76.2       20.6       43.8         14       19.7
    (inches).......................       (28)  (24\1/2\)       (30)   (8\1/8\)  (17\1/4\)   (5\1/2\)   (7\3/4\)
 
          Size 11 Boys \1\
 
Maximum dimension:
    Centimeters....................       73.7       63.5       73.7         21       42.2       14.3         20
    (inches).......................       (29)       (25)       (29)   (8\1/4\)  (16\5/8\)   (5\5/8\)   (7\7/8\)
 
           Size 11 Girls
 
Maximum dimension:
    Centimeters....................       73.7       63.5       78.7         21       45.1       14.3         20
    (inches).......................       (29)       (25)       (31)   (8\1/4\)  (17\3/4\)   (5\5/8\)   (7\7/8\)
 
          Size 12 Boys \1\
 
Maximum dimension:
    Centimeters....................       76.2       64.8       76.2       21.6       43.5       14.6       20.3
    (inches).......................       (30)  (25\1/2\)       (30)   (8\1/2\)  (17\1/8\)   (5\3/4\)        (8)
 
           Size 12 Girls
 
Maximum dimension:
    Centimeters....................       76.2       64.8       81.3       21.6       46.7       14.6       20.3
    (inches).......................       (30)  (25\1/2\)       (32)   (8\1/2\)  (18\1/2\)   (5\3/4\)        (8)
 
          Size 13 Boys \1\
 
Maximum dimension:
    Centimeters....................       78.7         66       78.7       22.2       44.8       14.9       20.6
    (inches).......................       (31)       (26)       (31)   (8\3/4\)  (17\5/8\)   (5\7/8\)   (8\1/8\)
 

[[Page 666]]

 
           Size 13 Girls
 
Maximum dimension:
    Centimeters....................       78.7         66       83.8       22.2       47.6       14.9       20.6
    (inches).......................       (31)       (26)       (33)   (8\3/4\)  (18\3/4\)   (5\7/8\)   (8\1/8\)
 
          Size 14 Boys \1\
 
Maximum dimension:
    Centimeters....................       81.3       67.3       81.3       22.9         46       15.2         21
    (inches).......................       (32)  (26\1/2\)       (32)        (9)  (18\1/8\)        (6)   (8\1/4\)
 
           Size 14 Girls
 
Maximum dimension:
    Centimeters....................       81.3       67.3       86.4       22.9       49.5       15.2         21
    (inches).......................       (32)  (26\1/2\)       (34)        (9)  (19\1/2\)        (6)   (8\1/4\)
----------------------------------------------------------------------------------------------------------------
 \1\ Garments not explicitly labeled and promoted for wear by girls must not exceed these maximum dimensions.

    (ii) Note: Measure the dimensions on the front of the garment. Lay 
garment, right side out, on a flat, horizontal surface. Smooth out 
wrinkles. Measure distances as specified below and multiply them by two. 
Measurements should be equal to or less than the maximum dimensions 
given in the standards.
    (A) Chest--measure distance from arm pit to arm pit (A to B) as in 
Diagram 1.
    (B) Waist--See Diagram 1. One-piece garment, measure at the 
narrowest location between arm pits and crotch (C to D). Two-piece 
garment, measure width at both the bottom/sweep of the upper piece (C to 
D) and, as in Diagram 3, the top of the lower piece (C to D).
    (C) Wrist--measure the width of the end of the sleeve (E to F), if 
intended to extend to the wrist, as in Diagram 1.
    (D) Upper arm--draw a straight line from waist/sweep D through arm 
pit B to G. Measure down the sleeve fold from G to H. Refer to table 
below for G to H distances for each size. Measure the upper arm of the 
garment (perpendicular to the fold) from H to I as shown in Diagram 1.
[GRAPHIC] [TIFF OMITTED] TR19JA99.017


[[Page 667]]



               Distance From Shoulder (G) to (H) for Upper Arm Measurement for Sizes 7 Through 14
----------------------------------------------------------------------------------------------------------------
      7              8              9            10            11            12            13            14
----------------------------------------------------------------------------------------------------------------
     11.4 cm        11.7 cm       11.9 cm       12.5 cm       12.8 cm       13.1 cm       13.7 cm       14.2 cm
    4\1/2\ "        4\5/8\"       4\3/4\"       4\7/8\"            5"       5\1/8\"       5\3/8\"       5\5/8\"
----------------------------------------------------------------------------------------------------------------

    (E) Seat--Fold the front of the pant in half to find the bottom of 
the crotch at J as in Diagram 2. The crotch seam and inseam intersect at 
J. Mark point K on the crotch seam at 4 inches above and perpendicular 
to the bottom of the crotch. Unfold the garment as in Diagram 3. Measure 
the seat from L to M through K as shown.
    (F) Thigh--measure from the bottom of the crotch (J) 1 inch down the 
inseam to N as in Diagram 2. Unfold the garment and measure the thigh 
from the inseam at N to O as shown in Diagram 3.
    (G) Ankle--measure the width of the end of the leg (P to Q), if 
intended to extend to the ankle, as in Diagram 3.
[GRAPHIC] [TIFF OMITTED] TR19JA99.018

    (2) Has no item of fabric, ornamentation or trim, such as lace, 
appliques, or ribbon, which extends more than 6 millimeters (\1/4\ inch) 
from the point of attachment to the outer surface of the garment;
    (3) Has sleeves which do not exceed the maximum dimension for the 
upper arm at any point between the upper arm and the wrist, and which 
diminish in width gradually from the top of the shoulder (point G in 
Diagram 1) to the wrist;

[[Page 668]]

    (4) Has legs which do not exceed the maximum dimension for the thigh 
at any point between the thigh and the ankle, and which diminish 
gradually in width between the thigh and the ankle;
    (5) In the case of a one-piece garment, has a width which does not 
exceed the maximum dimension for the chest at any point between the 
chest and the waist and which diminishes gradually from the chest to the 
waist; and has a width which does not exceed the maximum dimension for 
the seat at any point between the seat and the waist and which 
diminishes gradually from the seat to the waist;
    (6) In the case of a two-piece garment, has an upper piece with a 
width which does not exceed the maximum distance for the chest at any 
point between the chest and the bottom of that piece and which 
diminishes gradually from the chest to the bottom of that piece; in the 
case of an upper piece with fastenings, has the lowest fastening within 
15 centimeters (6 inches) of the bottom of that piece;
    (7) In the case of a two-piece garment, has a lower piece with a 
width which does not exceed the maximum dimension for the seat at any 
point between the seat and the top of the lower piece and which 
diminishes gradually from the seat to the top of that piece;
    (8) Complies with all applicable requirements of the Standard for 
the Flammability of Clothing Textiles (16 CFR part 1610) and the 
Standard for the Flammability of Vinyl Plastic Film (16 CFR part 1611); 
and
    (9) Bears a label stating the size of the garment; for example 
``Size 7.'' If the label is not visible to the consumer when the garment 
is offered for sale at retail, the garment size must appear legibly on 
the package of the garment.
    Effective date: These amendments shall become effective on January 
1, 1997, and shall be applicable to garments which are introduced into 
commerce on or after that date.
    (10)(i) Hangtags. Bears a hangtag as shown following this paragraph 
stating ``For child's safety, garment should fit snugly. This garment is 
not flame resistant. Loose-fitting garment is more likely to catch 
fire.'' The hangtag must measure 1\1/2\" x 6\1/4\". The text must be 
enclosed in a text box that measures 1" x 5\3/4\" and must be in 18 
point Arial/Helvetica font. The hangtag must have a yellow background 
and black lettering. The color yellow must meet the specifications for 
Standard Safety Yellow (Hue 5.OY; Value/Chroma 8.0/12) as described in 
American National Standard ANSI Z535.1-1998, Safety Color Code, p.6, 
under Munsell Notation. \2\ One side of the hangtag must display only 
this message. The reverse side of the hangtag may display sizing 
information, but otherwise must be blank. The text must not be obscured 
by the hole provided for attaching the hangtag to the garment. The 
hangtag must be prominently displayed on the garment.
---------------------------------------------------------------------------

    \2\ ANSI Z535.1-1998, Standard for Safety Color Code, p.6, published 
by National Electrical Manufacturers Association is incorporated by 
reference. Copies of this document are available from the National 
Electrical Manufacturers Association, 1300 N. 17th Street, Suite 1847, 
Rossylyn, Virginia 22209. This document is also available for inspection 
at the Office of the Federal Register, 800 North Capitol Street, NW, 
Suite 700, Washington, DC. The incorporation by reference was approved 
by the Director of the Federal Register in accordance with 5 U.S.C. 
552(a) and 1 CFR part 51.
[GRAPHIC] [TIFF OMITTED] TR08SE99.003


[[Page 669]]


    (ii) Packages. If the garments are sold in packages, the package 
must have a label as shown following this paragraph with the same 
language that would appear on the hangtag. The label must have a text 
box that measures \3/4\ x 3\3/4\. The text must be 11 point Arial/
Helvetica in black lettering against a yellow background. The packages 
must be prominently, conspicuously, and legibly labeled with the 
required message. The package label may be adhesive.
[GRAPHIC] [TIFF OMITTED] TR08SE99.004

    (11) Bears a label as shown following this paragraph stating ``Wear 
Snug-fitting, Not Flame Resistant.'' The text must be printed on the 
front of the sizing label located on the center back of the garment and 
must be immediately below the size designation. The text must be a 
minimum of 5 point sans serif font in all capital letters and must be 
set apart from other label text by a line border. The text must contrast 
with the background color of the label. The label must not be covered by 
any other label or tag.
[GRAPHIC] [TIFF OMITTED] TR08SE99.005


[40 FR 59917, Dec. 30, 1975, as amended at 50 FR 53307, Dec. 31, 1985; 
61 FR 47646, Sept. 9, 1996; 64 FR 2841, Jan. 19, 1999; 64 FR 34535, June 
28, 1999; 64 FR 48705, Sept. 8, 1999; 64 FR 61021, Nov. 9, 1999]



Sec. 1616.3  General requirements.

    (a) Summary of test method. Conditioned specimens are suspended one 
at a time vertically in holders in a prescribed cabinet and subjected to 
a standard flame along their bottom edges for a specified time under 
controlled conditions. The char lengths are recorded.
    (b) Test criteria. The test criteria when the testing is done in 
accordance with Sec. 1616.4 Sampling and acceptance procedures and 
Sec. 1616.5 Test procedures are:
    (1) Average char length. The average char length of five specimens 
shall not exceed 17.8 cm. (7.0 in.).
    (2) Full-specimen burn. No individual specimen shall have a char 
length of 25.40.5 cm. (100.2 in.).
    (c) Details of the number of specimens which must meet the above 
test criteria for unit acceptance is specified in Sec. 1616.4.



Sec. 1616.4  Sampling and acceptance procedures.

    (a) General. (1) The test criteria of Sec. 1616.3(b) shall be used 
in conjunction with the following fabric and garment sampling plan. The 
Consumer Product Safety Commission may consider and approve other 
sampling plans that provide at least the equivalent level of fire safety 
to the consumer, provided such

[[Page 670]]

alternate sampling plans have operating characteristics such that the 
probability of unit acceptance at any percentage defective does not 
exceed the corresponding probability of unit acceptance of the following 
sampling plan in the region of the latter's operating characteristic 
curves that lies between 5 and 95 percent acceptance probability. 
Alternate sampling plans approved for one manufacturer may be used by 
other manufacturers without prior Consumer Product Safety Commission 
approval.
    (2) Different colors or different print patterns of the same fabric 
may be included in a single fabric or garment production unit, provided 
such colors or print patterns demonstrate char lengths that are not 
significantly different from each other as determined by previous 
testing of at least three samples from each color or print pattern to be 
included in the unit.
    (3) Garments with different trim and findings may be included in a 
single garment production unit provided the other garment 
characteristics are identical except for size, color, and print pattern.
    (4) For fabrics whose flammability characteristics are not dependent 
on chemical additives or chemical reactants to polymer, fiber, yarns, or 
fabrics, the laundering requirement of Sec. 1616.5(c)(4) is met on 
subsequent fabric production units if results of testing an initial 
fabric production unit demonstrate acceptability according to the 
requirements of paragraph (b) of this section, Normal sampling, both 
before and after the appropriate laundering.
    (5) If the fabric has been shown to meet the laundering requirement, 
Sec. 1616.5(c)(4), the garments produced from that fabric are not 
required to be laundered prior to testing.
    (6) Each sample (five specimens), for Fabric Sampling shall be 
selected so that two specimens are in one fabric direction (machine or 
cross-machine) and three specimens are in the other fabric direction, 
except for the additional sample selected after a failure, in which case 
all five specimens shall be selected in the fabric direction in which 
the specimen failure occurred.
    (7) Fabric samples may be selected from fabric as outlined in 
paragraph (b) of this section, Fabric sampling or, for verification 
purposes, from randomly selected garments.
    (8) Multi-layer fabrics shall be tested with a hem of approximately 
2.5 cm. (1 in.) sewn at the bottom edge of the specimen with a suitable 
thread and stitch. The specimen shall include each of the components 
over its entire length. Garments manufactured from multi-layer fabrics 
shall be tested with the edge finish which is used in the garment at the 
bottom edge of the specimen.
    (b) Fabric sampling. A fabric production unit (unit) is either 
accepted or rejected in accordance with the following plan:
    (1) Normal sampling. Select one sample from the beginning of the 
first fabric piece (piece) in the unit and one sample from the end of 
the last piece in the unit, or select a sample from each end of the 
piece if the unit is made up of only one piece. Test the two selected 
samples. If both samples meet all the test criteria of Sec. 1616.3(b), 
accept the unit. If either or both of the samples fail the 17.8 cm. (7.0 
in.) average char length criterion, Sec. 1616.3(b)(1), reject the unit. 
If two or more of the individual specimens, from the 10 selected 
specimens, fail the 25.4 cm. (10 in.) char length criterion, 
Sec. 1616.3(b)(2), reject the unit. If only one individual specimen, 
from the 10 selected specimens, fails the 25.4 cm. (10 in.) char length 
criterion, Sec. 1616.3(b)(2), select five additional specimens from the 
same end of the piece in which the failure occurred, all five to be 
taken in the fabric direction in which the specimen failure occurred. If 
this additional sample passes all the test criteria, accept the unit. If 
this additional sample fails any part of the test criteria, reject the 
unit.
    (2) Reduced sampling. (i) The level of sampling required for fabric 
acceptance may be reduced provided the preceding 15 units of the fabric 
have all been accepted using the Normal Sampling Plan.
    (ii) The reduced Sampling Plan shall be the same as for Normal 
Sampling except that the quantity of fabric in the unit may be increased 
to 9,200 linear m. (10,000 linear yds.)

[[Page 671]]

    (iii) Select and test two samples in the same manner as in Normal 
Sampling. Accept or reject the unit on the same basis as with Normal 
Sampling.
    (iv) Reduced Sampling shall be discontinued and Normal Sampling 
resumed if a unit is rejected.
    (3) Tightened sampling. Tightened sampling shall be used when a unit 
is rejected under the Normal Sampling Plan. The Tightened Sampling shall 
be the same as Normal Sampling except that one additional sample shall 
be selected and cut from a middle piece in the unit. If the unit is made 
up of less than two pieces, the unit shall be divided into at least two 
pieces. The division shall be such that the pieces produced by the 
division shall not be smaller than 92 linear m. (100 linear yds.) or 
greater than 2,300 linear m. (2,500 linear yds.). If the unit is made up 
of two pieces, the additional sample shall be selected from the interior 
end of one of the pieces. Test the three selected samples. If all three 
selected samples meet all the test criteria of Sec. 1616.3(b), accept 
the unit. If one or more of the three selected samples fail the 17.8 cm. 
(7.0 in.) average char length criterion, Sec. 1616.3(b)(1), reject the 
unit. If two or more of the individual specimens, from the 15 selected 
specimens, fail the 25.4 cm. (10 in.) char length criterion, 
Sec. 1616.3(b)(2), reject the unit. If only one individual specimen, 
from the 15 selected specimens, fails the 25.4 cm. (10 in.) char length 
criterion, Sec. 1616.3(b)(2), select five additional specimens from the 
same end of the same piece in which the failure occurred, all five to be 
taken in the fabric direction in which the specimen failure occurred. If 
this additional sample passes all the test criteria, accept the unit. If 
this additional sample fails any part of the test criteria, reject the 
unit. Tightened Sampling may be discontinued and Normal Sampling resumed 
after five consecutive units have all been accepted using Tightened 
Sampling. If Tightened Sampling remains in effect for 15 consecutive 
units, production of the specific fabric in Tightened Sampling must be 
discontinued until that part of the process or component which is 
causing failure has been identified and the quality of the end product 
has been improved.
    (4) Disposition of rejected units. (i) The piece or pieces which 
have failed and resulted in the initial rejection of the unit may not be 
retested, used, or promoted for use in children's sleepwear as defined 
in Sec. Sec. 1616.2(a) and 1615.1(a) of the (Standard for the 
Flammability of Children's Sleepwear: Sizes 0 through 6X) (FF 3-71) 
(subpart A of part 1615 of this chapter) except after reworking to 
improve the flammability characteristics and subsequent retesting and 
acceptance in accordance with the procedures in Tightened Sampling.
    (ii) The remainder of a rejected unit, after removing the piece or 
pieces, the failure of which resulted in unit rejection, may be accepted 
if the following test plan is successfully concluded at all required 
locations. The required locations are those adjacent to each such failed 
piece. (Required locations exist on both sides of the ``Middle Piece'' 
tested in Tightened Sampling if failure of that piece resulted in unit 
rejection). Failure of a piece shall be deemed to have resulted in unit 
rejection if unit rejection occurred and a sample or specimen from the 
piece failed any test criterion of Sec. 1616.3(b).
    (iii) The unit should contain at least 15 pieces for disposition 
testing after removing the failing pieces. If necessary for this 
purpose, the unit shall be demarcated into at least 15 approximately 
equal length pieces unless such division results in pieces shorter than 
92 linear m. (100 linear yds.). In this latter case, the unit shall be 
demarcated into roughly equal length pieces of approximately 92 linear 
m. (100 linear yds.) each. If such a division results in five pieces or 
less in the unit for each failing piece after removing the failing 
pieces, only the individual pieces retest procedure [described in 
paragraph (b)(4)(vi) of this section] may be used.
    (iv) Select and cut a sample from each end of each adjoining piece 
beginning adjacent to the piece which failed. Test the two samples from 
the piece. If both samples meet all the test criteria of Sec. 1616.3(b), 
the piece is acceptable. If one or both of the two selected samples fail 
the 17.8 cm. (7.0 in.) average char length criterion, Sec. 1616.3(b)(1), 
the piece is unacceptable. If two or more of the

[[Page 672]]

individual specimens, from the 10 selected specimens, fail the 25.4 cm. 
(10 in.) char length criterion, Sec. 1616.3(b)(2), the piece is 
unacceptable. If only one individual specimen, from the 10 selected 
specimens, fails the 25.4 cm. (10 in.) char length criterion, 
Sec. 1616.3(b)(2), select five additional specimens from the same end of 
the piece in which the failure occurred, all five to be taken in the 
fabric direction in which the specimen failure occurred. If this 
additional sample passes all the test criteria, the piece is acceptable. 
If this additional sample fails any part of the test criteria, the piece 
is unacceptable.
    (v) Continue testing adjoining pieces until a piece has been found 
acceptable. Then continue testing adjoining pieces until three 
successive adjoining pieces, not including the first acceptable piece, 
have been found acceptable or until five such pieces, not including the 
first acceptable piece, have been tested, whichever occurs sooner. 
Unless three successive adjoining pieces have been found acceptable 
among five such pieces, testing shall be stopped and the entire unit 
rejected without further testing. If three successive pieces have been 
found acceptable among five such pieces, accept the three successive 
acceptable pieces and the remaining pieces in the unit.
    (vi)(A) Alternately, individual pieces from a rejected unit 
containing three or more pieces may be tested and accepted or rejected 
on a piece by piece basis according to the following plan, after 
removing the piece or pieces, the failure of which resulted in unit 
rejection.
    (B) Select four samples (two from each end) from the piece. Test the 
four selected samples. If all four samples meet all the test criteria of 
Sec. 1616.3(b), accept the piece. If one or more of the samples fail the 
17.8 cm. (7.0 in.) average char length criterion, Sec. 1616.3(b)(1), 
reject the piece. If two or more of the individual specimens, from the 
20 selected specimens, fail the 25.4 cm. (10 in.) char length criterion, 
Sec. 1616.3(b)(2), reject the piece. If only one individual specimen, 
from the 20 selected specimens, fails the 25.4 cm. (10 in.) char length 
criterion, Sec. 1613.3(b)(2), select two additional samples from the 
same end of the piece in which the failure occurred. If these additional 
two samples meet all the test criteria of Sec. 1616.3(b), accept the 
piece. If one or both of the two additional samples fail any part of the 
test criteria, reject the piece.
    (vii) The pieces of a unit rejected after retesting may not be 
retested, used, or promoted for use in children's sleepwear as defined 
in Sec. Sec. 1616.2(a) and 1615.1(a) of the Standard for the 
Flammability of Children's Sleepwear: Sizes 0 through 6X (FF 3-71) 
(subpart A of part 1615 of this chapter) except after reworking to 
improve the flammability characteristics, and subsequent retesting in 
accordance with the procedures set forth in Tightened Sampling.
    (5) Records. Written and physical records related to all tests 
performed under this Standard must be maintained by the manufacturer, 
importer, or other persons initially introducing items into commerce 
which are subject to this Standard, beginning on the effective date of 
the Standard. Such records shall include results of all tests, sizes of 
all units, and the disposition of all rejected pieces and units. Rules 
and regulations regarding recordkeeping may be established by the 
Consumer Product Safety Commission.
    (c) Garment sampling. (1)(i) The Garment Sampling Plan is made up of 
two parts: (A) Prototype Testing and (B) Production Testing. Prior to 
production, prototypes must be tested to assure that the design 
characteristics of the garment are acceptable. Garment production units 
(units) are then accepted or rejected on an individual unit basis.
    (ii) Edge finishes such as hems, except in multi-layer fabrics, and 
binding are excluded from testing except that when trim is used on an 
edge the trim must be subjected to prototype testing. Seams attaching 
bindings are excluded from testing.
    (2) Prototype testing. Pre-production prototype testing of each seam 
and trim specification to be included in each garment in a garment 
production unit shall be conducted to assure that garment specifications 
meet the flammability requirements of the Standard prior to production.
    (i) Seams. Make three samples (15 specimens) using the longest seam 
type and three samples using each other

[[Page 673]]

seam type 10 inches or longer that is to be included in the garment. For 
purposes of recordkeeping, prior to testing, assign each specimen to one 
of the three samples. Test each set of three samples and accept or 
reject each seam design in accordance with the following plan:
    (A) If all three samples meet all the test criteria of 
Sec. 1616.3(b), accept the seam design. If one or more of the three 
samples fail the 17.8 cm. (7.0 in.) average char length criterion, 
Sec. 1616.3(b)(1), reject the seam design. If three or more of the 
individual specimens from the 15 selected specimens fail the 25.4 cm. 
(10 in.) char length criterion, Sec. 1616.3(b)(2), reject the seam 
design. If only one of the individual specimens from the 15 selected 
specimens fails the 25.4 cm. (10 in.) char length criterion, 
Sec. 1616.3(b)(2), accept the seam design.
    (B) If two of the individual specimens; from the 15 selected 
specimens, fail the 25.4 cm. (10 in.) char length criterion, 
Sec. 1616.3(b)(2), select three more samples (15 specimens) and retest. 
If all three additional samples meet all the test criteria of 
Sec. 1616.3(b), accept the seam design. If one or more of the three 
additional samples fail the 17.8 cm. (7.0 in.) average char length 
criterion, Sec. 1616.3(b)(1), reject the seam design. If two or more of 
the individual specimens, from the 15 selected additional specimens, 
fail the 25.4 cm. (10 in.) char length criterion, Sec. 1616.3(b)(2), 
reject the seam design. If only one of the individual specimens, from 
the 15 selected additional specimens, fails the 25.4 cm. (10 in.) char 
length criterion, Sec. 1616.3(b)(2), accept the seam design.
    (ii) Trim. (A) Make three samples (15 specimens) from each type of 
trim to be included in the garment. For trim used only in a horizontal 
configuration on the garment, specimens shall be prepared by sewing or 
attaching the trim horizontally to the bottom edge of an appropriate 
section of untrimmed fabric. Sleeve and necking trim may not be tested 
in this manner. Where more than one row of trim is used on the garment, 
specimens shall be prepared with the same configuration (same number of 
rows and spacing between rows up to the limit of the specimen size) as 
the garment. For trim used in other than a horizontal configuration, 
specimens shall be prepared by sewing or attaching the trim to the 
center of the vertical axis of an appropriate section of untrimmed 
fabric, beginning the sewing or attachment at the lower edge of each 
specimen. For either configuration, the sewing or attachment shall be 
made in the manner in which the trim is attached in the garment.
    (B) Sewing or otherwise attaching the trim shall be done with thread 
or fastening material of the same composition and size to be used for 
this purpose in the garment and using the same stitching or seamtype. 
Trim used in the horizontal configuration shall be sewn or fastened the 
entire width (smaller dimension) of the specimen. Trim used in other 
than the horizontal configuration shall be sewn or fastened the entire 
length (longer dimension) of the specimen. Prior to testing, assign each 
specimen to one of the three samples. Test the sets of three samples and 
accept or reject the type of trim and design on the same basis as seam 
design. A type of trim and design accepted when tested in a vertical 
configuration, may be used in a horizontal configuration without further 
testing.
    (3) Production testing. A unit is either accepted or rejected 
according to the following plan:
    (i) Normal sampling. (A) From each unit, select at random sufficient 
garments and cut three samples (15 specimens) from the longest seam 
type. No more than five specimens may be cut from a single garment. 
Prior to testing, assign each specimen to one of the three samples. All 
specimens cut from a single garment must be included in the same sample. 
Test the three selected samples. If all three samples meet all the test 
criteria of Sec. 1616.3(b), accept the unit. If one or more of the three 
samples fail the 17.8 cm. (7.0 in.) average char length criterion, 
Sec. 1616.3(b)(1), reject the unit. If four or more of the individual 
specimens, from the 15 selected specimens, fail the 25.4 cm. (10 in.) 
char length criterion, Sec. 1616.3(b)(2), reject the unit. If three or 
less of the individual specimens, from the 15 selected specimens, fail 
the 25.4 cm. (10 in.) char length criterion, Sec. 1616.3(b)(2), accept 
the unit.

[[Page 674]]

    (B) If the garment under test does not have a seam at least 10 
inches long in the largest size in which it is produced, the following 
selection and testing procedure shall be followed:
    (1) Select and cut specimens 8.9 cm. (3.5 in.) wide by the maximum 
available seam length, with the seam in the center of the specimen and 
extending the entire specimen length. Cut three samples (15 specimens). 
These specimens shall be placed in specimen holders so that the bottom 
edge is even with the bottom edge of the specimen holder and the seam 
begins in the center of the bottom edge. Prior to testing, assign each 
specimen to one of the three samples. All specimens cut from a single 
garment must be included in the same sample.
    (2) Test the three samples. If all three samples pass the 17.8 cm. 
(7.0 in.) average char length criterion, Sec. 1616.3(b)(1), and if three 
or fewer individual specimens fail by charring the entire specimen 
length, accept the unit. If the unit is not accepted in the above test, 
three samples (15 specimens) of the longest seam type shall be made 
using fabric and thread from production inventory and sewn on production 
machines by production operators. The individual fabric sections prior 
to sewing must be no larger than 20.3 x 63.3 cm. (8 x 25 in.) and must 
be selected from more than one area of the base fabric. Test the three 
prepared samples. Accept or reject the unit as described previously in 
this subsection.
    (ii) Reduced sampling. (A) The level of sampling required for 
garment acceptance may be reduced provided the previous 15 units of the 
garments have all been accepted using the Normal Sampling Plan. The 
Reduced Sampling Plan shall be the same as for Normal Sampling except 
that the quantity of garments under test may be increased to up to two 
production units containing garments which have the same specific 
identity except for size, trim, findings, color, and print patterns as 
specified in paragraph (a) of this section.
    (B) Select and test three samples in the same manner as in Normal 
Sampling. Accept or reject both units on the same basis as with Normal 
Sampling. Reduced Sampling shall be discontinued and Normal Sampling 
resumed if a unit is rejected.
    (4) Disposition of rejected units. Rejected units shall not be 
retested, used, or promoted for use in children's sleepwear as defined 
in Sec. Sec. 1616.2(a) and 1615.1(a) of the Standard for the 
Flammability of Children's Sleepwear: Sizes 0 through 6X (FF 3-71) 
(subpart A of part 1615 of this chapter) except after reworking to 
improve the flammability characteristics and subsequent retesting in 
accordance with the procedures set forth in Garment production testing 
[Paragraph (c)(3) of this section].
    (5) Records. Written and physical records related to all tests 
performed under this Standard must be maintained by the manufacturer, 
importer, or other persons initially introducing items into commerce 
which are subject to this Standard, beginning on the effective date of 
this Standard. Such records shall include results of all tests, sizes of 
all units, and the disposition of all rejected pieces and units. Rules 
and regulations regarding recordkeeping may be established by the 
Consumer Product Safety Commission.
    (d) Compliance market sampling plan. Sampling plans for use in 
market testing of items covered by this Standard may be issued by the 
Consumer Product Safety Commission. Such plans shall define 
noncompliance of a production unit to exist only when it is shown, with 
a high level of statistical confidence, those production units 
represented by tested items which fail such plans will, in fact, fail 
this Standards. Production units found to be noncomplying under the 
provisions of paragraph (d) of this section, shall be deemed not to 
conform to this Standard. The Consumer Product Safety Commission may 
publish such plans in the Federal Register.

(Sec. 30(d), (15 U.S.C. 2079(b)), 86 Stat. 1231)

[40 FR 59917, Dec. 30, 1975, as amended at 43 FR 4855, Feb. 6, 1978]



Sec. 1616.5  Test procedure.

    (a) Apparatus. The following test apparatus shall be used for the 
test. Alternate test apparatus may be used only with prior approval of 
the Consumer Product Safety Commission.

[[Page 675]]

    (1) Test chamber. The test chamber shall be a steel cabinet with 
inside dimensions of 32.9 cm. (12\15/16\ in.) wide, 32.9 cm. (12\15/16\ 
in.) deep and 76.2 cm. (30 in.) high. It shall have a frame which 
permits the suspension of the specimen holder over the center of the 
base of the cabinet at such a height that the bottom of the specimen is 
1.7 cm. (\3/4\ in.) above the highest point of the barrel of the gas 
burner specified in paragraph (a)(3) of this section, Burner and 
perpendicular to the front of the cabinet. The front of the cabinet 
shall be a close-fitting door with a transparent insert to permit 
observation of the entire test. The cabinet floor may be covered with a 
piece of asbestos paper, whose length and width are approximately 2.5 
cm. (1 in.) less than the cabinet floor dimensions. The cabinet to be 
used in this test method is illustrated in Figure 1 and detailed in 
Engineering Drawings, Numbers 1 through 7.
[GRAPHIC] [TIFF OMITTED] TC03OC91.089


[[Page 676]]


[GRAPHIC] [TIFF OMITTED] TC03OC91.090


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[GRAPHIC] [TIFF OMITTED] TC03OC91.095


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[GRAPHIC] [TIFF OMITTED] TC03OC91.096

    (2) Specimen holder. The specimen holder to be used in this test 
method is detailed in Engineering Drawing Number 7. It is designed to 
permit suspension of the specimen in a fixed vertical position and to 
prevent curling of the specimen when the flame is applied. The specimen 
shall be fixed between the plates, which shall be held together with 
side clamps.
    (3) Burner. The burner shall be the same as that illustrated in 
Figure 1 and detailed in Engineering Drawing Number 6. It shall have a 
tube of 1.1 cm. (0.43 in.) inside diameter. The input line to the burner 
shall be equipped

[[Page 683]]

with a needle valve. It shall have a variable orifice to adjust the 
height of the flame. The barrel of the burner shall be at an angle of 25 
degrees from the vertical. The burner may be equipped with an adjustable 
stop collar so that it may be positioned quickly under the test 
specimen. The burner shall be connected to the gas source by rubber or 
other flexible tubing.
    (4) Gas supply system. There shall be a pressure regulator to 
furnish gas to the burner under a pressure of 103-259 mm. Hg. (2-5 lbs. 
per sq. in.) at the burner inlet. (Caution. Precautionary laboratory 
practices must be followed to prevent the leakage of methane. Methane is 
a flammable gas which can be explosive when mixed with air and exposed 
to a source of ignition, and can cause asphyxiation because of the lack 
of air.)
    (5) Gas. The gas shall be at least 97 percent pure methane.
    (6) Hooks and weights. Metal hooks and weights shall be used to 
produce a series of loads for char length determinations. Suitable metal 
hooks consist of No. 19 gauge steel wire, or equivalent, made from 7.6 
cm. (3 in.) lengths of the wire, bent 1.3 cm. (0.5 in.) from one end to 
a 45-degree angle hook. The longer end of the wire is fastened around 
the neck of the weight to be used and the other in the lower end of each 
burned specimen to one side of the burned area. The requisite loads are 
given in table 1.

                   Table 1--Original Fabric Weight \1\
------------------------------------------------------------------------
                                                              Loads
  Grams per square meter      Ounces per square yard   -----------------
                                                         Grams    Pounds
------------------------------------------------------------------------
Less than 101               Less than 3                    54.4     0.12
101 to 207                  3 to 6                        113.4      .25
207 to 338                  6 to 10                       226.8      .50
Greater than 338            Greater than 10               340.2      .75
------------------------------------------------------------------------
\1\ Weight of the original fabric, containing no seams or trim, is
  calculated from the weight of a specimen which has been conditioned
  for at least 8 hr at 211.1 C (702 F) and
  652 pct relative humidity. Shorter conditioning times may
  be used if the change in weight of a specimen in successive weighings
  made at intervals of not less than 2 hr does not exceed 0.2 pct of the
  weight of the specimen.

    (7) Stopwatch. A stopwatch or similar timing device shall be used to 
measure time to 0.1 second.
    (8) Scale. A linear scale graduated in mm. or 0.1-inch divisions 
shall be used to measure char length.
    (9) Circulating air oven. A forced circulation drying oven capable 
of maintaining the specimen at 1052.8  deg.C. 
(2215  deg.F.), shall be used to dry the specimen while 
mounted in the specimen holders. \3\
---------------------------------------------------------------------------

    \3\ Procedure 1(1.1.1) of ASTM D 2654-71 ``Standard Methods of Test 
for moisture content and moisture regain of textile material,'' 
describes a satisfactory oven (1972 Book of ASTM Standards, part 24, 
published by the American Society for Testing and Materials, 1916 Race 
Street, Philadelphia, Pa. 19103).
---------------------------------------------------------------------------

    (10) Desiccator. An air-tight and moisture-tight desiccating chamber 
shall be used for cooling mounted specimens after drying. Anhydrous 
silica gel with an indicator shall be used as the desiccant in the 
desiccating chamber. Replace or reactivate the desiccant when it becomes 
inactive.
    (11) Hood. A hood or other suitable enclosure shall be used to 
provide a draft-protected environment surrounding the test chamber 
without restricting the availability of air. This enclosure shall have a 
fan or other suitable means for exhausting smoke and/or toxic gases 
produced by testing.
    (12) Extinguishing plates. Extinguishing plates shall be used to 
extinguish afterglow. The plates shall be metal, approximately 35.6 cm. 
x 5.1 cm. (14 x 2 in.) which fit within the opening of the specimen 
holder. The bottom plate shall be the thickness of the specimen holder 
and the top plate shall be at least 0.32 cm. (\1/8\ in.) thick. A 
suitable metal specimen mounting block may be used for the bottom plate.
    (b) Mounting and conditioning of specimens. (1) The specimens shall 
be placed in specimen holders so that the bottom edge of each specimen 
is even with the bottom of the specimen holder. Mount the specimen in as 
close to a flat configuration as possible. The sides of the specimen 
holder shall cover 1.9 cm. (\3/4\ in.) of the specimen width along each 
long edge of the specimen, and thus shall expose 5.1 cm. (2 in.) of the 
specimen width. The sides of the specimen holder shall be clamped with a 
sufficient number of clamps or shall be taped to prevent the specimen 
from being displaced during handling and testing. The specimens may be 
taped in the holders if the clamps fail to hold

[[Page 684]]

them. Place the mounted specimens in the drying oven in a manner that 
will permit free circulation of air at 105  deg.C. (221  deg.F.) around 
them for 30 minutes. \4\
---------------------------------------------------------------------------

    \4\ If the specimens are moist when received, permit them to air dry 
in laboratory conditions prior to placement in the oven. A satisfactory 
preconditioning procedure may be found in ASTM D 1776-67, ``Conditioning 
Textiles and Textile Products for Testing''. (1972 Book of ASTM 
Standards, part 24, published by the American Society for Testing and 
Materials, 1916 Race Street, Philadelphia Pennsylvania 19103.)
---------------------------------------------------------------------------

    (2) Remove the mounted specimens from the oven and place them in the 
desiccator for 30 minutes to cool. No more than five specimens shall be 
placed in a desiccator at one time. Specimens shall remain in the 
desiccator no more than 60 minutes.
    (c) Testing--(1) Burner adjustment. With the hood fan turned off, 
use the needle valve to adjust the flame height of the burner to 3.8 cm. 
(1\1/2\ in.) above the highest point of the barrel of the burner. A 
suitable height indicator is shown in Engineering Drawing Number 6 and 
Figure 1.
    (2) Specimen burning and evaluation. (i) One at a time, the mounted 
specimens shall be removed from the desiccator and suspended in the 
cabinet for testing. The cabinet door shall be closed and the burner 
flame impinged on the bottom edge of the specimen for 3.00.2 
seconds. \5\ Flame impingement is accomplished by moving the burner 
under the specimen for this length of time, and then removing it.
---------------------------------------------------------------------------

    \5\ If more than 30 seconds elapse between removal of a specimen 
from the desiccator and the initial flame impingement, that specimen 
shall be reconditioned prior to testing.
---------------------------------------------------------------------------

    (ii) When flaming has ceased, remove the specimen from the cabinet, 
except for specimens which exhibit afterglow. If afterglow is evident, 
the specimen shall be removed from the cabinet 1 minute after the burner 
flame is impinged on the specimen if no flaming exists at that time. 
Upon removal from the cabinet, the afterglow shall be promptly 
extinguished. The afterglow shall be extinguished by placing the 
specimen while still in the specimen holder on the bottom extinguishing 
plate and immediately covering it with the top plate until all evidence 
of afterglow has ceased. After removing the specimen from the cabinet 
and, if appropriate, extinguishing afterglow, remove it from the holder 
and place it on a flat clean surface. Fold the specimen lengthwise along 
a line through the highest peak of the charred or melted area; crease 
the specimen firmly by hand. Unfold the specimen and insert the hook 
with the correct weight as shown in table 1 in the specimen on one side 
of the charred area 6.4 mm. (\1/4\ in.) from the lower edge. Tear the 
specimen by grasping the other lower corner of the fabric and gently 
raising the specimen and weight clear of the supporting surface. \6\ 
Measure the char length as the distance from the end of the tear to the 
original lower edge of the specimen exposed to the flame. After testing 
each specimen, vent the hood and cabinet to remove the smoke and/or 
toxic gases.
---------------------------------------------------------------------------

    \6\ A figure showing how this is done is given in AATCC Test method 
34-1969, ``Fire Resistance of Textile Fabrics,'' Technical Manual of the 
American Association of Textile Chemists and Colorists, Vol. 46, 1970, 
published by AATCC, P.O. Box 12215, Research Triangle Park, North 
Carolina 27709.
---------------------------------------------------------------------------

    (3) Report. Report the value of char length, in centimeters (or 
inches), for each specimen, as well as the average char length for each 
set of five specimens.
    (4) Laundering. (i) The procedures described under Sec. Sec. 1616.4 
Sampling and acceptance procedures, 1616.5(b) Conditioning and mounting 
of specimens, and 1616.5(c) Testing shall be carried out on finished 
items (as produced or after one washing and drying) and after they have 
been washed and dried 50 times in accordance with sections 8.2.2, 8.2.3, 
and 8.3.1(A) of AATCC Test Method 124-1996 ``Appearance of Fabrics after 
Repeated Home Laundering,'' Technical Manual of the American Association 
of Textile Chemists and Colorists, vol. 73, 1997, which is incorporated 
by reference. Copies of this document are available from the American 
Association of Textile Chemists and Colorists, P.O. Box 12215, Research 
Triangle Park, North Carolina 27709. This document is also available for 
inspection at the Office of the Federal Register, 800 North Capitol 
Street, NW., Suite 700, Washington, DC. This

[[Page 685]]

incorporation by reference was approved by the Director of the Federal 
Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. Items 
which do not withstand 50 launderings shall be tested at the end of 
their useful service life with prior approval of the Consumer Product 
Safety Commission.
    (ii) Washing shall be performed in accordance with sections 8.2.2 
and 8.2.3 of AATCC Test Method 124-1996, using wash temperature V 
(60 deg. 3  deg.C, 140 deg. 5  deg.F) specified 
in Table II of that method, and the water level, agitator speed, washing 
time, spin speed and final spin cycle specified for ``Normal/Cotton 
Sturdy'' in Table III. A maximum washer load shall be 3.64 Kg (8 pounds) 
and may consist of any combination of test samples and dummy pieces. 
Drying shall be performed in accordance with section 8.3.1(A) of that 
test method, Tumble Dry, using the exhaust temperature (66 deg. 
5  deg.C, 150 deg. 10  deg.F) and cool down time 
of 10 minutes specified in the ``Durable Press'' conditions of Table IV. 
Alternatively, a different number of times under another washing and 
drying procedure may be specified and used, if that procedure has 
previously been found to be equivalent by the Consumer Product Safety 
Commission. Such laundering is not required of items which are not 
intended to be laundered, as determined by the Consumer Product Safety 
Commission.
    (iii) Items which are not susceptible to being laundered and are 
labeled ``dry-clean only'' shall be dry-cleaned by a procedure which has 
previously been found to be acceptable by the Consumer Product Safety 
Commission.
    (iv) For the purpose of the issuance of a guarantee under section 8 
of the act, finished sleepwear garments to be tested according to 
Sec. 1616.4(c) Garment sampling, need not be laundered or dry-cleaned 
provided all fabrics used in making the garments (except trim) have been 
guaranteed by the fabric producer to be acceptable when tested according 
to Sec. 1616.4(b) Fabric sampling.

[40 FR 59917, Dec. 30, 1975; 41 FR 1061, Jan. 6, 1976, as amended at 46 
FR 63252, Dec. 31, 1981; 64 FR 34538, June 28, 1999; 64 FR 61021, Nov. 
9, 1999; 65 FR 12928, Mar. 10, 2000]



Sec. 1616.6  Labeling requirements.

    (a) All items of children's sleepwear shall be labeled with 
precautionary instructions to protect the items from agents or 
treatments which are known to cause significant deterioration of their 
flame resistance. If the item has been initially tested under 
Sec. 1616.5(c)(4) Laundering, after one washing and drying, it shall be 
labeled with instructions to wash before wearing. Such labels shall be 
permanent and otherwise in accordance with rules and regulations 
established by the Consumer Product Safety Commission.
    (b) [Reserved]

[40 FR 59917, Dec. 30, 1975, as amended at 61 FR 1117, Jan. 16, 1996]



                    Subpart B--Rules and Regulations

    Authority: Sec. 5, 67 Stat. 112-13, as amended 81 Stat. 571; 15 
U.S.C. 1194.



Sec. 1616.31  Labeling, recordkeeping, retail display and guaranties.

    (a) Definitions. For the purpose of this section, the following 
definitions apply:
    (1) Standard means the Standard for the Flammability of Children's 
Sleepwear: Sizes 7 through 14 (FF 5-74) (subpart A of part 1616 of this 
chapter) promulgated by the Consumer Product Safety Commission in the 
Federal Register of May 1, 1974 (39 FR 15214), and amended in the 
Federal Register of March 21, 1975 (40 FR 12811) (correction notice 
published for technical reasons on March 27, 1975, 40 FR 13547).
    (2) Children's sleepwear means ``children's sleepwear'' as defined 
in Sec. 1616.2(a) of the Standard, that is, ``any product of wearing 
apparel size 7 through 14, such as nightgowns, pajamas, or similar or 
related items, such as robes, intended to be worn primarily for sleeping 
or activities related to sleeping. Diapers and underwear are excluded 
from this definition.''
    (3) Item means ``item'' as defined in Sec. 1616.2(c) of the 
Standard, that is, ``any product of children's sleepwear or any fabric 
or related material intended or promoted for use in children's 
sleepwear.''
    (4) Market or handle means any one or more of the transactions set 
forth in

[[Page 686]]

section 3 of the Flammable Fabrics Act (15 U.S.C. 1192).
    (5) The definition of terms set forth in Sec. 1616.2 of the Standard 
shall also apply to this section.
    (b) Labeling. (1) Where any agent or treatment is known to cause 
deterioration of flame resistance or otherwise causes an item to be less 
flame resistant, such item shall be prominently, permanently, 
conspicuously, and legibly labeled with precautionary care and treatment 
instructions to protect the item from such agent or treatment; Provided:
    (i) Where items required to be labeled in accordance with this 
paragraph are marketed at retail in packages, and the required label is 
not readily visible to the prospective purchaser, the packages must also 
be prominently, conspicuously, and legibly labeled with the required 
information, and
    (ii) Where items are required to be labeled in accordance with this 
paragraph, the precautionary care and treatment instructions may appear 
on the reverse side of the permanent label if
    (A) The precautionary care and treatment instructions are legible, 
prominent and conspicuous, and
    (B) The phrase ``Care Instructions On Reverse'' or the equivalent 
appears permanently, prominently, conspicuously, and legibly on the side 
of the permanent label that is visible to the prospective purchaser when 
the item is marketed at retail, and
    (C) The item which is so labeled is marketed at retail in such a 
manner that the prospective purchaser is able to manipulate the label so 
the entire text of the precautionary care and treatment instructions is 
visible and legible; however, where the label cannot be manipulated so 
the instructions are visible to the prospective purchaser and legible, 
the package must also be prominently, conspicuously and legibly labeled 
with the required precautionary care and treatment information or such 
information must appear prominently, conspicuously and legibly on a hang 
tag attached to the item.
    (2) If the item has been initially tested under Sec. 1616.5(c)(4) of 
the Standard after one washing and drying, it shall be prominently, 
permanently, conspicuously and legibly labeled with instructions to wash 
before wearing.
    (3) Where any fabric or related material intended or promoted for 
use in children's sleepwear subject to the Standard is sold or intended 
for sale to the ultimate consumer for the purpose of conversion into 
children's sleepwear, each bolt, roll, or other unit shall be labeled 
with the information required by this section. Each item or fabric or 
related material sold to an ultimate consumer must be accompanied by a 
label, as prescribed by this section, which can by normal household 
methods be permanently affixed by the ultimate consumer to any item of 
children's sleepwear made from such fabric or related material.
    (4)(i) Where items required to be labeled in accordance with 
paragraphs (b)(2), and/or, (b)(3) of this section and fabrics required 
to be labeled or stamped in accordance with paragraph (b)(7) of this 
section are marketed at retail in packages, and the required label or 
stamp is not readily visible to the prospective purchaser, the packages 
must also be prominently, conspicuously, and legibly labeled with the 
required information.
    (ii) Where garments required to be labeled or stamped in accordance 
with paragraph (b)(7) of this section are marketed at retail in 
packages, and the required label or stamp is not readily visible to the 
prospective purchaser:
    (A) The packages must also be prominently, conspicuously, and 
legibly labeled with the information required by paragraph (b)(7) of 
this section; or
    (B) There must be a garment style identification that is prominent, 
conspicuous, and legible and readily visible to the prospective 
purchaser, either on a label or hang tag attached to the garment design 
or on the garment packages. A style is a garment design or grouping, 
preselected by the manufacturer. A style may be composed of garments 
that form all or part of one or more GPU's and the style may include any 
number of garments the manufacturer chooses. Style identification means 
any numbers, letters, or combination thereof that are sufficient to 
identify the garments of the style and may include information such as

[[Page 687]]

color, season or size. If this option B is selected, in any recall of 
noncomplying items from a particular GPU.
    (1) The garment manufacturer must recall the entire style(s) from 
all customers who purchased garments of the style(s) of which the GPU is 
part. However, retailers may elect to return only garments from the 
particular GPU necessitating the recall rather than the entire style(s) 
or portions of style(s) being recalled; and
    (2) Within 48 hours of a written request, the garment manufacturer 
must supply to the Commission any samples in its possession of garments 
from the GPU, as requested. As required of all persons subject to this 
section, the garment manufacturer must also, within the time requested, 
supply to the Commission the names of any customers who purchased during 
a specified period of time, garments from the GPU (or the style(s) of 
which the GPU is a part) and supply access to all records required under 
the Standard and this section.
    (5) Samples, swatches, or specimens used to promote or effect the 
sale of items subject to the Standard shall be labeled in accordance 
with this section with the information required by this section: Except 
that such information may appear on accompanying promotional materials 
attached to fabric samples, swatches or specimens used to promote the 
sale of fabrics to garment manufacturers. This requirement shall not 
apply, however, to samples, swatches, or specimens prominently, 
permanently, conspicuously, truthfully and legibly labeled: ``Flammable, 
Sample only. Not for use or resale. Does not meet Standard for the 
Flammability of Children's Sleepwear; Sizes 7 through 14 (FF 5-74).''
    (6) [Reserved]
    (7) Every manufacturer, importer, or other person (such as a 
converter) initially introducing items subject to the Standard into 
commerce shall assign to each item a unit identification (number, letter 
or date, or combination thereof) sufficient to identify and relate to 
the fabric production unit or garment production unit of which the item 
is a part. Such unit identification shall be designated in such a way as 
to indicate that it is a production unit under the Standard. The letters 
``GPU'' and ``FPU'' may be used to designate a garment production unit 
identification and fabric production unit identification, respectively, 
at the option of the labeler. In addition to the requirements prescribed 
by this paragraph (b)(7), the requirements prescribed by paragraph 
(b)(4) of this section must be met for items marketed at retail in 
packages.
    (i) Each garment subject to the Standard shall bear a label with 
minimum dimension of 1.3 centimeters (0.5 inch) by 1.9 centimeters (0.75 
inch) containing the appropriate garment production unit identification 
for that garment in letters which are clear, conspicuous, and legible, 
and in a color which contrasts with the background of the label, or 
shall have such information stamped on the garment itself in letters 
which are clear, conspicuous, and legible, and in a color which 
contrasts with the background, and at least 2.54 centimeters (1 inch) in 
every direction from any other information. The stamp or label 
containing the garment production unit identification must be of such 
construction, and affixed to the garment in such a manner, as to remain 
on or attached to the garment, and legible and visible throughout its 
intended period of use.
    (ii) The fabric production unit identification shall appear in 
letters at least 0.4 centimeter (one-sixth of an inch) in height against 
a contrasting background on each label that relates to such fabric and 
is required by the Textile Fiber Products Identification Act (15 U.S.C. 
70-70k) and the regulations thereunder (16 CFR 303.1 through 303.45) or 
by the Wool Products Labeling Act of 1939 (15 U.S.C. 68-68j) and the 
regulations thereunder (16 CFR 300.1 through 300.35). When the 
information required by the Textile Fiber Products Identification Act or 
by the Wool Products Labeling Act of 1939 appears on an invoice used in 
lieu of labeling, the fabric production unit identification required by 
this section may be placed clearly, conspicuously, and legibly on the 
same invoice in lieu of labeling.
    (8) All items complying with the Standard and manufactured on or 
after May 1, 1975, through May 1, 1978, shall

[[Page 688]]

bear a label which states ``Flame-resistant. U.S. Standard FF 5-74.'' 
The label must be prominent, conspicuous, and legible and readily 
visible at the point of sale to ultimate consumers. The label statement 
may be attached to the item itself, on a hang tag attached to the item, 
or on a package enclosing the item. The label need not be affixed 
permanently. The letters of the label must be at least 0.4 centimeter 
(one-sixth of an inch) in height and in a color which contrasts with the 
background of the label.
    (c) [Reserved]
    (d) Records--manufacturers, importers, or other persons initially 
introducing items into commerce--(1) General. Every manufacturer, 
importer, or other person (such as a converter) initially introducing 
into commerce items subject to the Standard, irrespective of whether 
guaranties are issued under paragraph (e) of this section, shall 
maintain written and physical records as hereinafter specified. The 
records required must establish a line of continuity through the process 
of manufacture of each production unit of articles of children's 
sleepwear, or fabrics or related materials intended or promoted for use 
in children's sleepwear, to the sale and delivery of the finished items 
and from the specific finished item to the manufacturing records. Such 
records shall show with respect to such items:
    (i) Details, description and identification of any and all sampling 
plans engaged in pursuant to the requirements of the Standard. Such 
records must be sufficient to demonstrate compliance with such sampling 
plan(s) and must relate the sampling plan(s) to the actual items 
produced, marketed, or handled. This requirement is not limited by other 
provisions of this paragraph (d).
    (ii) Garment production units or fabric production units of all 
garments or fabrics marketed or handled. The records must relate to an 
appropriate production unit identification on or affixed to the item 
itself in accordance with paragraph (b)(7) of this section, and the 
production unit identification must relate to the garment production 
unit or fabric production unit.
    (iii) Test results and details of all tests performed, both 
prototype and production, including char lengths of each specimen 
tested, average char lengths of the samples required to be tested, 
details of the sampling procedure employed, name and signature of person 
conducting tests, date of tests, and all other records necessary to 
demonstrate compliance with the test procedures and sampling plan 
specified by the Standard or authorized alternate sampling plan.
    (iv) Disposition of all failing or rejected items. Such records must 
demonstrate that the items were retested or reworked and retested in 
accordance with the Standard prior to sale or distribution and that such 
retested or reworked and retested items comply with the Standard, or 
otherwise show the disposition of such items.
    (v) Fiber content and manufacturing specifications relating the same 
to prototype and production testing and to the production units to which 
applicable.
    (vi) Data and test results relied on as a basis for inclusion of 
different colors or different print patterns of the same fabric as a 
single fabric or garment production unit under Sec. 1616.4(a)(2) of the 
Standard.
    (vii) Data and test results relied on as a basis for reduced 
laundering of fabric or garments during test procedures under 
Sec. 1616.5(c)(4) of the Standard and any quantities issued or received 
relating to laundering as well as details of the laundering procedure 
utilized.
    (viii) Identification, composition, and details of application of 
any flame retardant treatments employed. All prototype and production 
records shall relate to such information.
    (ix) Date and quantity of each sale or delivery of items subject to 
the Standard (except the date of sale to an ultimate consumer) and the 
name and address of the purchaser or recipient (except an ultimate 
consumer). The items involved in each sale or delivery shall be 
identified by production unit or by style. A style is a garment design 
or grouping, preselected by the manufacturer. A style may be composed of 
garments that form all or part of one or more garment production units 
and the style may include any number of garments the manufacturer 
chooses. If a person subject to the requirements of

[[Page 689]]

paragraph (d) of this section maintains sales records which identify the 
items sold or delivered by style, and if recall of one or more 
production units subject to the Standard is required, that person in 
recalling such production units shall notify all purchasers of items of 
the style in which such production unit or units were manufactured. 
Retailers may elect to return all items of the style involved, or all 
items of the production units subject to recall.
    (2) Fabrics. In addition to the information specified in paragraph 
(d)(1) of this section, the written and physical records maintained with 
respect to each fabric production unit shall include (i) finished fabric 
samples sufficient to repeat the fabric sampling procedure required by 
Sec. 1616.4 of the Standard for each production unit marketed or 
handled; and (ii) records to relate the samples to the actual fabric 
production unit. Upon written request of any duly authorized employee or 
agent of the Commission, samples sufficient for the sampling and testing 
of any production unit in accordance with the Standard shall be 
furnished from these records within the time specified in the written 
request.
    (3) Garments--prototype testing. In addition to the records 
specified in paragraph (d)(1) of this section, the following written and 
physical records shall be maintained with respect to the garment 
prototype testing required by the Standard:
    (i) Specification, fiber content, and details of construction on all 
seams, fabrics, threads, stitches, and trims used in each garment style 
or type upon which prototype testing was performed, relating the same to 
such garment style or type and to all production units to which such 
prototype testing is applicable.
    (ii) Samples sufficient to repeat the prototype tests required by 
Sec. 1616.4 of the Standard for all fabrics, seams, threads, stitches, 
and trims used in such prototype testing, relating such samples to the 
records, required by this paragraph (d), including the information 
required by paragraph (d)(3)(i) of this section. Upon written request of 
any duly authorized employee or agent of the Commission, samples 
sufficient for the testing of any prototype specimens identical to those 
specimens that were actually tested pursuant to the Standard shall be 
furnished from these records within the time specified in that written 
request.
    (iii) A complete untested garment from each style or type of garment 
marketed or handled.
    (iv) Remains of all physical specimens tested in accordance with the 
prototype testing required by Sec. 1616.4 of the Standard, relating such 
samples to the records required by this paragraph (d), including 
information required by paragraph (d)(3)(i) of this section.
    (4) Garments--production testing. In addition to the records 
required by paragraph (d)(1) of this section, written and physical 
records shall be maintained and shall show with respect to each garment 
production unit:
    (i) Source and fabric production unit identification of all fabrics 
subject to testing used in each garment production unit.
    (ii) Identification and appropriate reference to all prototype 
records and prototype tests applicable to each production unit.
    (iii) Any guaranty relied upon to demonstrate that the fabric 
utilized in such garments meets the laundering requirements of the 
Standard.
    (iv) Data sufficient to show that tested samples were selected from 
the production unit at random from regular production.
    (v) Written data that will enable the Commission to obtain and test 
garments under any applicable compliance market sampling plan.
    (5) Record retention requirements. The records required by this 
paragraph (d) shall be maintained for 3 years, except that records 
relating to prototype testing shall be maintained for as long as they 
are relied upon as demonstrating compliance with the prototype testing 
requirements of the Standard and shall be retained for 3 years 
thereafter.
    (e) Tests for guaranty purposes. Reasonable and representative tests 
for the purpose of issuing a guaranty under section 8 of the Flammable 
Fabrics Act (15 U.S.C. 1197) for items subject to the Standard shall be 
those tests performed pursuant to any sampling plan or authorized 
alternative sampling

[[Page 690]]

plan engaged in pursuant to the requirements of the Standard.
    (f) Compliance with this section. No person subject to the Flammable 
Fabrics Act shall manufacture, import, distribute, or otherwise market 
or handle any item subject to the Standard, including samples, swatches, 
or specimens used to promote or effect the sale thereof, which is not in 
compliance with this section.

[40 FR 59917, Dec. 30, 1975, as amended at 49 FR 3064, Jan. 24, 1984; 61 
FR 1117, Jan. 16, 1996]



Sec. 1616.32  Method for establishment and use of alternate laundering procedures under section 5(c)(4)(ii) of the standard.

    (a) Scope. (1) Section 1616.5(c)(4)(ii) of the Standard for the 
Flammability of Children's Sleepwear in sizes 7-14 (16 CFR 
1616.5(c)(4)(ii)) requires that all fabrics and certain garments subject 
to the standard be tested for flammability as produced (or after one 
washing and drying) and after the items have been washed and dried 50 
times in machines, using the procedure specified in AATCC Test Method 
124-1996.\7\ This section also provides that items may be laundered a 
different number of times under another washing and drying procedure if 
the Commission finds that such an alternate laundering procedure is 
equivalent to the procedure specified in the standard.
---------------------------------------------------------------------------

    \7\ AATCC Test Method 124-1996 ``Appearance of Fabrics after 
Repeated Home Laundering,'' Technical Manual of the American Association 
of Textile Chemists and Colorists, Vol. 73, 1997, which is incorporated 
by reference. Copies of this document are available from the American 
Association of Textile Chemists and Colorists, P.O. Box 12215, Research 
Triangle Park, North Carolina 27709. This document is also available for 
inspection at the Office of the Federal Register, 800 North Capitol 
Street, NW., Suite 700, Washington, DC. This incorporation by reference 
was approved by the Director of the Federal Register in accordance with 
5 U.S.C. 552(a) and 1 CFR part 51.
---------------------------------------------------------------------------

    (2) This rule provides the procedures to be followed by persons 
seeking Commission approval for alternate laundering procedures. It also 
provides the criteria the Commission will use in evaluating the 
applications.
    (3) The alternate laundering procedures provided for in this section 
apply only to procedures under section 5(c)(4)(ii) of the standard and 
shall not be used for determining whether different colors or different 
print patterns of the same fabric may be included in a single fabric or 
garment production unit.
    (4) As used in this section, fabric means fabric or related material 
promoted or intended for use in children's sleepwear made to identical 
specifications and containing the same identity while in production.
    (b) Application procedure. (1) Applicants seeking approval for use 
of an alternate laundering procedure under Sec. 1616.5(c)(4)(ii) of the 
standard must submit the following information in writing to the 
Assistant Executive Director for Compliance, Consumer Product Safety 
Commission, Washington, DC 20207:
    (i) A detailed description of the proposed alternate laundering 
procedure, and a 6 in. by 6 in. swatch of the fabric or garment for 
which the procedure is proposed,
    (ii) Upon request of the Commission staff, any other information 
concerning the procedure and/or any machine used in connection with it,
    (iii) With regard to each fabric or garment for which an alternate 
laundering procedure is sought, test data comparing twenty test 
specimens washed and dried by the proposed alternate laundering 
procedure and twenty specimens tested in accordance with the 50-wash and 
dry cycle procedure required in section 5(c)(4)(ii) of the standard. 
(For purposes of applications, similar fabrics or garments of different 
finishes shall be considered as different fabrics or garments and 
therefore separate test results must be submitted). Each group of twenty 
specimens upon which these data are based must be cut for testing, half 
in the machine direction and half in the cross machine direction. Where 
the applicant manufactures the fabric or garments in more than one 
plant, the data described in this paragraph must be submitted separately 
for the fabric or garments of

[[Page 691]]

each plant for which the proposed alternate laundering procedure is 
intended to be used. Subsequent applications for use of the same 
procedure for additional fabrics and garments may incorporate portions 
of the original application by reference, as appropriate.
    (2) Applications shall be certified by the chief executive officer 
of the applicant or the official to whom the duty to certify has been 
delegated in writing. The Commission's Assistant Executive Director for 
Compliance must be notified in writing of any such delegation.
    (c) Use of alternate laundering procedure. (1) The applicant may 
begin to use the alternate laundering procedure 30 days after the 
application is received by the Assistant Executive Director for 
Compliance unless notified to the contrary. The Assistant Executive 
Director for Compliance will normally furnish an applicant with written 
notice of approval within 30 days. The applicant may be notified that a 
longer time is needed for evaluation of the application, and in the 
discretion of the Assistant Executive Director for Compliance, may be 
authorized to use the alternate laundering procedure pending the final 
decision.The notice of approval shall be kept by the applicant with 
other written records required to be maintained in connection with the 
use of an alternate laundering procedure. So that the applicants may 
ascertain that the application has been received when the 30-day period 
has elapsed, it is suggested that applications be sent by certified 
mail, return receipt requested.
    (2) As provided in detail in Sec. 1616.32(e), applicants must 
immediately discontinue use of an alternate procedure, and must 
immediately notify the Assistant Executive Director for Compliance if 
there are test failures during revalidation testing.
    (d) Revalidation testing. (1) In order to assure a continued 
satisfactory correlation between the alternate laundering procedure and 
the laundering procedure of the standard, applicants shall perform all 
the testing described in paragraph (b)(1)(iii) of this section for 
fabrics or garments from current production at least once for every 
three-month period during which any of the fabric or garments are 
produced.
    (2) If following initial approval, four successive comparisons of 
the alternate and the 50-cycle methods as described in paragraph (d)(1) 
of this section consistently show acceptable results under the criteria 
specified by paragraph (f) of this section, the Commission will deem 
such comparisons to be sufficient demonstration of the equivalence of 
the alternate laundering procedure with the 50 launderings required in 
the standard and further revalidation testing will not be required.
    (3) Records of revalidation testing need not be submitted to the 
Assistant Executive Director for Compliance. However such records must 
be maintained in accordance with paragraph (h) of this section.
    (e) Revalidation testing failures. (1) If revalidation testing for 
any fabric or garment does not meet the criteria of Sec. 1616.32(f), the 
applicant must immediately discontinue use of the alternate laundering 
procedure for the fabric or garment and must immediately notify the 
Assistant Executive Director for Compliance in writing of the failure to 
meet the criteria. Also the testing from the production unit from which 
the non-correlating samples were taken and the testing from subsequent 
production units (if any) must be repeated immediately using the 
laundering procedure prescribed in the standard. These repeat tests 
shall then be the tests applicable to such production unit(s) and those 
tests previously performed on the production unit(s) shall be considered 
invalid.
    (2) When use of an alternate laundering procedure for a particular 
fabric or garment has been discontinued because of a failure to meet the 
criteria of Sec. 1616.32(f), the alternate laundering procedure shall 
not be used again unless a new application for approval is submitted to 
the Assistant Executive Director for Compliance and that officer 
approves the application in writing. In addition to the other 
information required for applications, the additional application should 
give facts or

[[Page 692]]

reasons showing why the applicant believes the procedure should be 
considered reliable with the fabric or garments involved, in view of the 
previous failure.
    (f) Commission criteria for evaluating applications. (1) The 
Assistant Executive Director for Compliance will approve the alternate 
laundering procedure as equivalent to the laundering procedure specified 
in Sec. 1616.5(c)(4)(ii) of the standard if testing from 20 specimens 
laundered by the proposed alternate procedure yields as many or more 
char lengths in excess of five inches as does testing from the twenty 
specimens laundered by the 50-laundering cycle method prescribed in the 
standard.
    (2) If the alternate laundering procedure yields fewer char lengths 
in excess of five inches than does the 50-wash and dry cycle, then the 
Assistant Executive Director for Compliance will not consider the 
alternate procedure to be equivalent, with the following exception: If 
the number of five-inch chars from the alternate procedure is within one 
of the number of five-inch chars obtained from the 50-cycle procedure, 
the applicant may repeat the original test with new specimens and if the 
combined results of both tests show the count of chars exceeding five 
inches from the alternate is equal to, or greater than, the count from 
the 50-wash cycle procedure, the Assistant Executive Director for 
Compliance will approve the alternate laundering procedure.
    (g) Commission testing for compliance. (1) For the purpose of 
determining compliance with the standard, the Commission will rely on 
testing employing the laundering procedure now prescribed by 
Sec. 1616.5(c)(4)(ii) of the standard. (15 U.S.C. 1193, 1194; 15 U.S.C. 
2079(b)).
    (2) The Commission may verify equivalency of any procedure submitted 
by independent testing and evaluation, by or on behalf of the 
Commission.
    (h) Recordkeeping. The applicant must maintain a record of all 
applications filed with the Commission and of all equivalency tests for 
as long as the procedures to which they relate are in use and for three 
years thereafter.

[42 FR 55892, Oct. 20, 1977, as amended at 65 FR 12928, Mar. 10, 2000]



Sec. 1616.35  Use of alternate apparatus, procedures, or criteria for testing under the standard.

    (a) The Standard for the Flammability of Children's Sleepwear: Sizes 
7 through 14 (the Standard) requires every manufacturer, importer, and 
other person (such as a converter) initially introducing items subject 
to the Standard into commerce to group items into production units, and 
to test samples from each production unit. See 16 CFR 1616.4. The 
Standard prescribes an apparatus and procedure for performing tests of 
fabric and garments subject to its provisions. See 16 CFR 1616.5. The 
Standard prescribes pass/fail criteria at 16 CFR 1616.3(b).
    (b) Section 1616.5(a) states that alternate test apparatus may be 
used by persons or firms required to perform testing under the Standard 
``only with prior approval'' of the Commission.
    (c)(1) By issuance of this Sec. 1616.35, the Commission gives its 
approval to any person or firm desiring to use test apparatus or 
procedures other than those prescribed by the Standard for purposes of 
compliance with the Standard, if that person or firm has data or other 
information to demonstrate that a test utilizing such alternate 
apparatus or procedure is as stringent as, or more stringent than, a 
test utilizing the apparatus and procedure specified in the Standard. 
The Commission considers a test utilizing alternate apparatus or 
procedures to be ``as stringent as, or more stringent than'' a test 
utilizing the apparatus and procedures specified in the standard, if 
when testing identical specimens, a test utilizing alternative apparatus 
or procedures yields failing results as often as, or more often than, a 
test utilizing the apparatus and procedures specified in the standard.
    (2) The data or information required by this paragraph (c) of this 
section as a condition to the Commission's approval of the use of 
alternate test apparatus or procedures must be in the possession of the 
person or firm desiring

[[Page 693]]

to use such alternate apparatus or procedures before the alternate 
apparatus or procedures may be used for purposes of compliance with the 
standard.
    (3) The information required by this paragraph (c) of this section 
must be retained by the person or firm using the alternate test 
apparatus or procedures for as long as that apparatus or procedure is 
used for purposes of compliance with the standard, and for a period of 
one year there after.
    (d) Written application to the Commission is not required for 
approval of alternate test apparatus or procedures, and the Commission 
will not act on any individual written application for approval of 
alternate test apparatus or procedures.
    (e) Use of any alternate test apparatus or procedures without the 
data or information required by paragraph (c), of this section, may 
result in violation of the Standard and section 3 of the Flammable 
Fabrics Act (15 U.S.C. 1192).
    (f) The Commission will test fabrics and garments subject to the 
standard for compliance with the requirements of the standard using the 
apparatus and procedures set forth in the standard. The Commission will 
consider any failing results from compliance testing as evidence of a 
violation of the standard and section 3 of the Flammable Fabrics Act (15 
U.S.C. 1192).

(Reporting requirements contained in paragraph (c) were approved by the 
Office of Management and Budget under control number 3041-0027)

(Sec. 5, Pub. L. 90-189, 81 Stat. 569, 15 U.S.C. 1194; Sec. 30(b), Pub. 
L. 92-573, 86 Stat. 1231, 15 U.S.C. 2079(b))

[48 FR 21316, May 12, 1983]



Sec. 1616.36  Use of alternate apparatus or procedures for tests for guaranty purposes.

    (a) Section 8(a) of the Flammable Fabrics Act (FFA, 15 U.S.C. 
1197(a)) provides that no person shall be subject to criminal 
prosecution under section 7 of the FFA (15 U.S.C. 1196) for a violation 
of section 3 of the FFA (15 U.S.C. 1192) if that person establishes a 
guaranty received in good faith which meets all requirements set forth 
in section 8 of the FFA. One of those requirements is that the guaranty 
must be based upon ``reasonable and representative tests'' in accordance 
with the applicable standard.
    (b) Section 1616.31(e) of the regulations implementing the Standard 
for the Flammability of Children's Sleepwear: Sizes 7 through 14 (the 
Standard) provides that for purposes of supporting guaranties issued in 
accordance with section 8 of the FFA for items subject to the Standard, 
``reasonable and representative tests'' are tests ``performed pursuant 
to any sampling plan or authorized alternative sampling plan engaged in 
pursuant to the requirements of the Standard.''
    (c) At Sec. 1616.35, the Commission has set forth conditions under 
which the Commission will approve the use of test apparatus or 
procedures other than those prescribed in the Standard for purposes of 
demonstrating compliance with the requirements of the Standard. Any 
person or firm meeting the requirements of Sec. 1616.35 for use of 
alternate test apparatus or procedure for compliance with the Standard 
may also use such alternate test apparatus or procedure under the same 
conditions for purposes of conducting ``reasonable and representative 
tests'' to support guaranties of items subject to the Standard, 
following any sampling plan prescribed by the Standard or any approved 
alternate sampling plan.
    (d) The Commission will test fabrics and garments subject to the 
Standard for compliance with the Standard using the apparatus and 
procedures set forth in the Standard. The Commission will consider any 
failing results from compliance testing as evidence that the person or 
firm using alternate test apparatus or procedures has furnished a false 
guaranty in violation of section 8(b) of the FFA (15 U.S.C. 1197(b)).

(Sec. 5, Pub. L. 90-189, 81 Stat. 569, 15 U.S.C. 1194; Sec. 30(b), Pub. 
L. 92-573, 86 Stat. 1231, 15 U.S.C. 2079(b))

[48 FR 21316, May 12, 1983]



                 Subpart C--Interpretations and Policies

    Authority: Secs. 1-17, 67 Stat. 111-15, as amended, 81 Stat. 568-74; 
15 U.S.C. 1191-1204.

[[Page 694]]



Sec. 1616.61  Enforcement policy.

    (a) It is the policy of the Consumer Product Safety Commission that 
all items of children's sleepwear in sizes 7 through 14 (including 
garments and fabric or related material intended or promoted for use in 
such children's sleepwear) are subject to the Standard FF 5-74 (subpart 
A of this part) unless the manufacturing process has ended before May 1, 
1975. The manufacturing process is deemed to end, for the purposes of 
the Standard, at the time the item is completely assembled, all 
functional materials have been affixed, and labeling of a permanent 
nature has been stamped, sewn, or otherwise permanently affixed to the 
item. Affixing of temporary price or promotional information or the 
packaging of items of sleepwear (including garments and fabrics or 
related material intended or promoted for use in such sleepwear) does 
not affect the date on which the manufacturing process is deemed to end.
    (b) All items of children's sleepwear in sizes 7 through 14 
(including garments and fabric or related material intended or promoted 
for use in such children's sleepwear) which are in inventory or with the 
trade on the effective date of Standard FF 5-74 are exempt from the 
requirements of the Standard. For domestically-made items of children's 
sleepwear in sizes 7 through 14 to be considered ``in inventory or with 
the trade'' on the effective date of the Standard, the manufacturing 
process must have ended prior to May 1, 1975. For foreign-made items of 
children's sleepwear in sizes 7 through 14 to be considered ``in 
inventory or with the trade'' on the effective date of the Standard, the 
manufacturing process must have ended and the goods must have been 
entered into the United States before May 1, 1975.



Sec. 1616.62  Policy regarding retail display requirements for items.

    For purposes of the retail display and identification requirements 
of Sec. 1616.31(c), and for those purposes only, any item which was 
manufactured before May 1, 1975, and for which a retailer has 
documentary evidence of compliance with all sampling and testing 
requirements of the Standard (FF 5-74) (subpart A of this part), will be 
deemed to be a complying item notwithstanding the absence of an 
affirmative label to indicate compliance with the Standard as required 
by Sec. 1616.6(b) of the Standard and Sec. 1616.31(b)(8), or the absence 
of a garment production unit identification or style identification 
which meets all requirements of Sec. 1616.31(b) (4) and (7), provided 
that such an item complies with all other labeling requirements of 
Sec. 1616.31(b).



Sec. 1616.63  Policy regarding garment production unit identification.

    No provision of 16 CFR 1616.31(b)(7) prohibits placement of a 
garment production unit identification on a label containing other 
information. Provided, however, that when the garment production unit 
identification appears on a label containing other information, 
provisions of Sec. 1616.31(b)(6) require that the garment production 
unit identification must be set forth separately from any other 
information appearing on the same label, and that information not 
required by the applicable enforcement regulation (Sec. 1616.31), but 
placed on the same label with the garment production unit 
identification, shall not interfere with the garment production unit 
identification.



Sec. 1616.64  Policy regarding recordkeeping requirements.

    No provision of the Standard for the Flammability of Children's 
Sleepwear: Sizes 7 through 14 (FF 5-74) (subpart A of this part) or of 
the enforcement regulations at Sec. 1616.31 prohibits the utilization of 
fabric which was manufactured before May 1, 1975, and which was not 
manufactured in production units, in the manufacture of children's 
sleepwear garments which are subject to the Standard. When such fabric 
is utilized in the manufacture of such garments, the inability of the 
garment manufacturer to record the fabric production unit identification 
of such fabric does not constitute a violation of Sec. 1616.31(d)(4)(i).



Sec. 1616.65  Policy scope of the standard.

    (a) The Standard for the Flammability of Children's Sleepwear: Sizes 
7

[[Page 695]]

through 14 (16 CFR part 1616) is applicable to any item of children's 
sleepwear in sizes 7 through 14.
    (1) The term item is defined in the Standard at Sec. 1616.2(c) to 
mean ``any product of children's sleepwear or any fabric or related 
material intended or promoted for use in children's sleepwear.''
    (2) The term children's sleepwear is defined in the Standard at 
Sec. 1616.2(a) to mean ``any product of wearing apparel size 7 through 
14, such as nightgowns, pajamas, or similar or related items, such as 
robes, intended to be worn primarily for sleeping or activities related 
to sleeping. Underwear and diapers are excluded from this definition.''
    (b) The Commission makes the following statement of policy regarding 
(1) the phrase ``intended or promoted'' as used in the definition of 
``item'' in Sec. 1616.2(c), and (2) the phrase ``intended to be worn 
primarily for sleeping or activities related to sleeping'' as used in 
the definition of ``children's sleepwear'' in Sec. 1616.2(a).
    (c) For enforcement purposes, the meaning of these phrases will be 
interpreted by the Commission in accordance with the following 
principles:
    (1) Sleepwear fabrics and related materials. Whether fabric or 
related material is ``intended or promoted'' for use in children's 
sleepwear depends on the facts and circumstances in each case. Relevant 
factors include:
    (i) The nature of the fabric and its suitability for use in 
children's sleepwear.
    (ii) The extent to which the fabric or a comparable fabric has been 
sold to manufacturers of children's sleepwear for use in the manufacture 
of children's sleepwear garments; and
    (iii) The likelihood that the fabric will be used primarily for 
children's sleepwear in a substantial number of cases.
    (2) Sleepwear garments. Whether a product of wearing apparel is 
``intended to be worn primarily for sleeping or activities related to 
sleeping'' depends on the facts and circumstances present in each case. 
Relevant factors include:
    (i) The nature of the product and its suitability for use by 
children for sleeping or activities related to sleeping;
    (ii) The manner in which the product is distributed and promoted; 
and
    (iii) The likelihood that the product will be used by children 
primarily for sleeping or activities related to sleeping in a 
substantial number of cases.
    (3) The factors set forth in this policy statement are guidelines 
only, and are not elements of the definition of the term ``children's 
sleepwear'' in Sec. 1616.2(a) of the Standard. For this reason, a 
particular fabric or garment may meet the definition of ``children's 
sleepwear'' set forth in the Standard, even though all factors listed in 
this policy statement are not present.
    (d) Retailers, distributors, and wholesalers, as well as 
manufacturers, importers, and other persons (such as converters) 
introducing a fabric or garment into commerce which does not meet the 
requirements of the flammability standards for children's sleepwear, 
have an obligation not to promote or sell such fabric or garment for use 
as an item of children's sleepwear. Also, retailers, distributors, and 
wholesalers are advised not to advertise, promote, or sell as an item of 
children's sleepwear any item which a manufacturer, importer, or other 
person (such as a converter) introducing the item into commerce has 
indicated by label, invoice, or, otherwise, does not meet the 
requirements of the children's sleepwear flammability standards and is 
not intended or suitable for use as sleepwear. ``Tight-fitting'' 
garments as defined by Sec. 1616.2(m) are exempt from the standard which 
requires flame resistance. They may be marketed as sleepwear for 
purposes of this section. Additionally, retailers are advised:
    (1) To segregate, by placement in different parts of a department or 
store, fabrics and garments covered by the children's sleepwear 
standards from all fabrics and garments that are beyond the scope of the 
children's sleepwear standards but which resemble items of children's 
sleepwear.
    (2) To utilize store display sign indicating the distinction between 
types of fabrics and garments, for example by indicating which are 
sleepwear items and which are not; and
    (3) To avoid the advertisement or promotion of a fabric or garment 
that

[[Page 696]]

does not comply with the children's sleepwear flammability standards in 
a manner that may cause the item to be viewed by the consumer as an item 
of children's sleepwear.

(Sec. 5 Pub. L. 90-189, 81 Stat. 569, 15 U.S.C. 1194; Sec. 30(b), Pub. 
L. 92-573, 86 Stat. 1231. 15 U.S.C. 2079(b); 5 U.S.C. 553)

[49 FR 10251, Mar. 20, 1984, as amended at 64 FR 2833, Jan. 19, 1999]



PART 1630--STANDARD FOR THE SURFACE FLAMMABILITY OF CARPETS AND RUGS (FF 1-70)--Table of Contents




                         Subpart A--The Standard

Sec.
1630.1 Definitions.
1630.2 Scope and application.
1630.3 General requirements.
1630.4 Test procedure.
1630.5 Labeling.

                    Subpart B--Rules and Regulations

1630.31 Reasonable and representative tests and recordkeeping 
          requirements.
1630.32 Carpets and rugs with fire-retardant treatment.

                      Subpart C--Washing Procedures

1630.61 Hide carpets and rugs--alternative washing procedure.
1630.62 Wool flokati carpets and rugs--alternative washing procedure.
1630.63 Suspension of washing requirements for carpets and rugs with 
          alumina trihydrate in the backing.

                 Subpart D--Interpretations and Policies

1630.81 Policy on recall of noncomplying carpets and rugs.

    Source: 40 FR 59931, Dec. 30, 1975, unless otherwise noted.



                         Subpart A--The Standard

    Authority: Sec. 4, 67 Stat. 112, as amended, 81 Stat. 569-70; 15 
U.S.C. 1193.



Sec. 1630.1  Definitions.

    In addition to the definitions given in section 2 of the Flammable 
Fabrics Act, as amended (Sec. 1, 81 Stat. 568; 15 U.S.C. 1191), and the 
procedures under that act for setting standards (part 1607 of this 
chapter), the following definitions apply for the purposes of this 
Standard:
    (a) Acceptance Criterion means that at least seven out of eight 
individual specimens of a given carpet or rug shall meet the test 
criterion as defined in this Standard.
    (b) Test Criterion means the basis for judging whether or not a 
single specimen of carpet or rug has passed the test, i.e., the charred 
portion of a tested specimen shall not extend to within 2.54 cm. (1.0 
in.) of the edge of the hole in the flattening frame at any point.
    (c) Carpet means any type of finished product made in whole or in 
part of fabric or related material and intended for use or which may 
reasonably be expected to be used as a floor covering which is exposed 
to traffic in homes, offices, or other places of assembly or 
accommodation, and which may or may not be fastened to the floor by 
mechanical means such as nails, tacks, barbs, staples, adhesives, and 
which has one dimension greater than 1.83 m. (6 ft.) and a surface area 
greater than 2.23 m.\2\ (24 sq. ft.). Products such as ``carpet 
squares'', with one dimension less than 1.83 m. (6 ft.) and a surface 
area less than 2.23 m.\2\ (24 sq. ft.), but intended to be assembled 
upon installation into assemblies which may have one dimension greater 
than 1.83 m. (6 ft.) and a surface area greater than 2.23 m.\2\ (24 sq. 
ft.), are included in this definition. Mats, hides with natural or 
synthetic fibers, and other similar products in the above, defined 
dimensions are included in this definition, but resilient floor 
coverings such as linoleum, asphalt tile and vinyl tile are not.
    (d) Rug means the same as carpet and shall be accepted as 
interchangeable with carpet.
    (e) Traffic Surface means a surface of a carpet or rug which is 
intended to be walked upon.
    (f) Timed Burning Tablet (pill) means the methenamine tablet, 
weighing approximately 0.149 gram (2.30 grains), sold as Product No. 
1588 in Catalog No. 79, December 1, 1969, by the Eli Lilly Company of 
Indianapolis, Ind. 46206, or an equal tablet.
    (g) Fire-Retardant Treatment means any process to which a carpet or 
rug has been exposed which significantly

[[Page 697]]

decreases the flammability of that carpet or rug and enables it to meet 
the acceptance criterion of this Standard.



Sec. 1630.2  Scope and application.

    (a) This Standard provides a test method to determine the surface 
flammability of carpets and rugs when exposed to a standard small source 
of ignition under carefully prescribed draft-protected conditions. It is 
applicable to all types of carpets and rugs used as floor covering 
materials regardless of their method of fabrication or whether they are 
made of natural or synthetic fibers or films, or combinations of or 
substitutes for these.
    (b) One of a kind, carpet or rug, such as an antique, an Oriental, 
or a hide, may be excluded from testing under this Standard pursuant to 
conditions established by the Consumer Product Safety Commission.



Sec. 1630.3  General requirements.

    (a) Summary of test method. This method involves the exposure of 
each of eight conditioned, replicate specimens of a given carpet or rug 
to a standard igniting source in a draft-protected environment, and 
measurement of the proximity of the charred portion to the edge of the 
hole in the prescribed flattening frame.
    (b) Test criterion. A specimen passes the test if the charred 
portion does not extend to within 2.54 cm. (1.0 in.) of the edge of the 
hole in the flattening frame at any point.
    (c) Acceptance criterion. At least seven of the eight specimens 
shall meet the test criterion in order to conform with this Standard.



Sec. 1630.4  Test procedure.

    (a) Apparatus--(1) Test chamber. The test chamber shall consist of 
an open top hollow cube made of noncombustible material \1\ with inside 
dimensions 30.48 x 40.48 x 30.48 cm. (12 x 12 x 12 in.) and a minimum of 
6.35 (\1/4\ in.) wall thickness. The flat bottom of the box shall be 
made of the same material as the sides and shall be easily removable. 
The sides shall be fastened together with screws or brackets and taped 
to prevent air leakage into the box during use.
---------------------------------------------------------------------------

    \1\ 6.35 mm (\1/4\ in.) cement asbestos board is a suitable 
material.
---------------------------------------------------------------------------

    Note: A minimum of two chambers and two extra bottoms is suggested 
for efficient operation.

    (2) Flattening frame. A steel plate, 22.86 x 22.86 cm. (9 x 9 in.), 
6.35 mm. (\1/4\ in.) thick with a 20.32 cm. (8 in.) diameter hole in its 
center is required to hold the carpet or rug flat during the course of 
the test. It is recommended that one be provided for each test chamber.
    (3) Standard igniting source. No. 1588 methenamine timed burning 
tablet or an equal tablet. These tablets shall be stored in a desiccator 
over a desiccant for 24 hours prior to use. (Small quantities of 
absorbed water may cause the tablets to fracture when first ignited. If 
a major fracture occurs, any results from that test shall be ignored, 
and it shall be repeated.)
    (4) Test specimens. Each test specimen shall be a 22.86 x 22.86 cm. 
(9 x 9 in.) section of the carpet or rug to be tested. Eight specimens 
are required.
    (5) Circulating air oven. A forced circulation drying oven capable 
of removing the moisture from the specimens when maintained at 105 
deg.C. (221  deg.F.) for 2 hours. \2\
---------------------------------------------------------------------------

    \2\ Option 1 of ASTM D 2654-67T, ``Methods of Test for Amount of 
Moisture in Textile Materials,'' describes a satisfactory oven. (``1969 
Book of ASTM Standards,'' part 24, published by the American Society for 
Testing and Materials, 1916 Race Street, Philadelphia, Pa. 19103.)
---------------------------------------------------------------------------

    (6) Desiccating cabinet. An airtight and moisture tight cabinet 
capable of holding the floor covering specimens horizontally without 
contacting each other during the cooling period following drying, and 
containing silica gel desiccant.
    (7) Gloves. Nonhygroscopic gloves (such as rubber polyethylene) for 
handling the sample after drying, and raising the pile on specimens 
prior to testing.
    (8) Hood. A hood capable of being closed and having its draft turned 
off during each test and capable of rapidly removing the products of 
combustion following each test. The front or sides of the hood should be 
transparent to permit observation of the tests in progress.

[[Page 698]]

    (9) Mirror. A small mirror mounted above each test chamber at an 
angle to permit observation of the specimen from outside of the hood.
    (10) Vacuum cleaner. A vacuum cleaner to remove all loose material 
from each specimen prior to conditioning. All surfaces of the vacuum 
cleaner contacting the specimen shall be flat and smooth.
    (b) Sampling--(1)(i) Selection of samples. Select a sample of the 
material representative of the lot and large enough to permit cutting 
eight test specimens 22.86 x 22.86 cm. (9 x 9 in.), free from creases, 
fold marks, delaminations, or other distortions. The test specimens 
should contain the most flammable parts of the traffic surface at their 
centers. The most flammable area may be determined on the basis of 
experience or through pretesting.
    (ii) If the carpet or rug has had a fire-retardant treatment, or is 
made of fibers which have had a fire-retardant treatment, the selected 
sample or over-sized specimens thereof shall be washed, prior to cutting 
of test specimens after they have been washed and dried either 10 times 
in accordance with sections 8.2.2, 8.2.3, and 8.3.1(A) of AATCC Test 
Method 124-1996 ``Appearance of Fabrics after Repeated Home 
Laundering,'' using wash temperature V (60 deg. 3  deg.C, 
140 deg. 5  deg.F) specified in Table II of that method, and 
the water level, agitator speed, washing time, spin speed and final spin 
cycle specified for ``Normal/Cotton Sturdy'' in Table III, and drying 
shall be performed in accordance with section 8.3.1(A) of that test 
method, Tumble Dry, maximum load 3.64 Kg (8 pounds), using the exhaust 
temperature (66 deg. 5  deg.C, 150 deg. 10 
deg.F) and cool down time of 10 minutes specified in the ``Durable 
Press'' conditions of Table IV; or such number of times by another 
washing and drying procedure which the Consumer Product Safety 
Commission has determined to be equivalent of AATCC Test Method 124-
1996. Alternatively, the selected sample or oversized specimens thereof 
may be washed, drycleaned, or shampooed 10 times, prior to cutting of 
test specimens, in such manner as the manufacturer or other interested 
party shall previously have established to the satisfaction of the 
Consumer Product Safety Commission is normally used for that type of 
carpet or rug in service.
    (iii) AATCC Test Method 124-1996 ``Appearance of Fabrics after 
Repeated Home Laundering,'' is found in Technical Manual of the American 
Association of Textile Chemists and Colorists, vol. 73, 1997, which is 
incorporated by reference. Copies of this document are available from 
the American Association of Textile Chemists and Colorists, P.O. Box 
12215, Research Triangle Park, North Carolina 27709. This document is 
also available for inspection at the Office of the Federal Register, 800 
North Capitol Street, NW., Suite 700, Washington, DC. This incorporation 
by reference was approved by the Director of the Federal Register in 
accordance with 5 U.S.C. 552(a) and 1 CFR part 51.
    (2) Cutting. Cut eight 22.860.64 cm. (9\1/4\ 
in.) square specimens of each carpet or rug to be tested to comply with 
paragraph (b)(1) of this section.
    (c) Conditioning. (1) Clean each specimen with the vacuum cleaner 
until it is free of all loose ends left during the manufacturing process 
and from any material that may have been worked into the pile during 
handling. Care must be exercised to avoid ``fuzzing'' of the pile yarn.
    (2) Place the specimens in the drying oven in a manner that will 
permit free circulation of the air at 105  deg.C. (221  deg.F.) around 
them for 2 hours. \3\ Remove the specimens from the oven with gloved 
hands and place them horizontally in the desiccator with traffic surface 
up and free from contact with each other until cooled to room 
temperature, but in no instance less than 1 hour.
---------------------------------------------------------------------------

    \3\ If the specimens are moist when received, permit them to air-dry 
at laboratory conditions prior to placement in the oven. A satisfactory 
preconditioning procedure may be found in ASTM D 1776-67, ``Conditioning 
Textiles and Textile Products for Testing.'' (``1969 Book of ASTM 
Standards'', part 24, published by the American Society for Testing and 
Materials, 1916 Race Street, Philadelphia, Pa. 19103.)
---------------------------------------------------------------------------

    (d) Testing. (1) Place the test chamber in the draft-protected 
environment (hood with draft off) with its bottom in place. Wearing 
gloves, remove a test specimen from the desiccator and

[[Page 699]]

brush its surface with a gloved hand in such a manner as to raise its 
pile. Place the specimen on the center of the floor of the test chamber, 
traffic surface up, exercising care that the specimen is horizontal and 
flat. Place the flattening frame on the specimen and position a 
methenamine tablet on one of its flat sides in the center of the 20.32 
cm. (8 in.) hole.
    (2) Ignite the tablet by touching a lighted match or an equivalent 
igniting source carefully to its top. If more than 2 minutes elapse 
between the removal of the specimen from the desiccator and the ignition 
of the tablet, the conditioning must be repeated.
    (3) Continue each test until one of the following conditions occurs:
    (i) The last vestige of flame or glow disappears. (This is 
frequently accompanied by a final puff of smoke.)
    (ii) The flaming or smoldering has approached within 2.54 cm. (1.0 
in.) of the edge of the hole in the flattening frame at any point.
    (4) When all combustion has ceased, ventilate the hood and measure 
the shortest distance between the edge of the hole in the flattening 
frame and the charred area. Record the distance measured for each 
specimen.
    (5) Remove the specimen from the chamber and remove any burn residue 
from the floor of the chamber. Before proceeding to the next test, the 
floor must be cooled to normal room temperature or replaced with one 
that is at normal room temperature.
    (e) Report. The number of specimens of the eight tested in which the 
charred area does not extend to within 2.54 cm. (1.0 in.) of the edge of 
the hole in the flattening frame shall be reported.
    (f) Interpretation of results. If the charred area does not extend 
to within 2.54 cm. (1.0 in.) of the edge of the hole in the flattening 
frame at any point for at least seven of the eight specimens, the carpet 
or rug meets the acceptance criterion.

[40 FR 59931, Dec. 30, 1975, as amended at 65 FR 12932, Mar. 10, 2000]



Sec. 1630.5  Labeling.

    If the carpet or rug has had a fire-retardant treatment or is made 
of fibers which have had a fire-retardant treatment, it shall be labeled 
with the letter ``T'' pursuant to conditions established by the Consumer 
Product Safety Commission.



                    Subpart B--Rules and Regulations



Sec. 1630.31  Reasonable and representative tests and recordkeeping requirements.

    Explanation: Section 8 of the act, among other things, provides that 
no person shall be subject to criminal prosecution under section 7 of 
the act for a violation of section 3 of the act if such person 
establishes a guaranty received in good faith signed by and containing 
the name and address of the person by whom the product, fabric, or 
related material guaranteed was manufactured, or from whom it was 
received; to the effect that reasonable and representative tests made in 
accordance with applicable flammability standards show that the product, 
fabric, or related material covered by the guaranty conforms with such 
standards.
    While a person establishing a guaranty received in good faith would 
not be subject to criminal prosecution under section 7 of the act, he 
and/or the merchandise involved, would nevertheless remain subject to 
the administrative processes of the Consumer Product Safety Commission 
under section 5 of the act as well as injunction and condemnation 
procedures under section 6 thereof. A guarantor derives no immunity of 
any kind, civil or criminal, from the issuance of his own guaranty or 
performance of the reasonable and representative tests prescribed by 
this section.
    The furnishing of guaranties is not mandatory under the act. The 
purpose of this section is to establish minimum requirements for 
reasonable and representative tests upon which guaranties may be based. 
The section does not have any legal effect beyond that specified in 
section 8 of the act.
    (a) For the purposes of this section the following definitions 
apply:
    (1) Standard means the standards in subpart A of this part.
    (2) Test means a test as prescribed by the Standard.
    (3) Acceptance criterion means ``acceptance criterion'' as defined 
in the Standard.
    (4) Test criterion means ``test criterion'' as defined in the 
Standard.
    (5) Carpet and rug mean ``carpet'' and ``rug'' as defined in the 
Standard.
    (6) Quality of machine-made carpets or rugs means any line of 
carpets or rugs, essentially machine-made, which are substantially alike 
in all respects, including, as applicable, constructional

[[Page 700]]

units (needles, pitch, rows, shot, stitches, and weight), dye class, 
dyestuff, dyeing application method, gage, pile levels, pile height, 
average pile thickness, pile weight, pile yarn, total thickness, total 
weight, tufts, tuft length, tuft bind, warp yarn, filler yarn, yarn ends 
per needle, loop length, backing, back coating, primary backing, 
secondary backing, backing thickness, backing fabric count, backing warp 
and filler yarns, including stuffer and dead frame yards, backing 
weight, fiber and/or other materials content, and fire-retardant 
treatment received including the specifications and quantity of 
chemicals used.
    (7) Quality of handmade or hide carpets or rugs means any line of 
carpets or rugs which are essentially handmade and/or are essentially 
hides and which are alike in all respects, including those specified in 
paragraph (a)(6) of this section, where applicable, except that such 
carpets or rugs may vary where unavoidable and/or may vary because of 
natural variations in hides of the same type, so long as such variations 
do not affect flammability.
    (b) The tests set forth in paragraphs (c), (d), (e), and (f) of this 
section are reasonable and representative tests with regard to any 
carpets or rugs or qualities thereof to which they apply, except, 
however, that any test of any quality, whenever performed, which does 
not show a meeting of the acceptance criterion of the Standard shall be 
considered the reasonable and representative test for that quality and 
no guaranty with respect thereto shall be issued after the performance 
of such test. Immediately before conditioning and testing, each carpet 
or rug specimen tested pursuant to this section shall be in the form in 
which the carpet or rug or quality thereof which it represents is sold 
or offered for sale to the ultimate consumer.
    (c) Reasonable and representative tests with respect to any quality 
of machine-made carpets or rugs are (1) at least one test performed upon 
commencement of production, importation, or other receipt thereof, (2) 
at least one test performed after production, importation, or other 
receipt of the first 25,000 linear yards of the quality, and (3) at 
least one test after production, importation, or other receipt of every 
50,000 linear yards of the quality thereafter. Except, however, that 
tests need be performed only after production, importation, or receipt 
of each additional 100,000 linear yards of the quality, so long as all 
24 specimens required to be tested in a complete series of three 
required tests immediately preceding any given test (eight out of eight 
specimens in each of the three preceding tests) meet the test criterion, 
rather than seven out of eight specimens, as permitted under the 
acceptance criterion of the Standard.
    (d) Reasonable and representative tests with respect to any quality 
of handmade or hide carpets or rugs are at least one test performed upon 
the commencement of production, importation, or other receipt thereof 
and at least one test after production, importation, or other receipt of 
every 10,000 square yards of the quality thereafter.
    (e) Reasonable and representative tests of a one-of-a-kind carpet or 
rug, machine-made, handmade, or hide, is one test thereof or one test of 
an identical representative sample.
    (f) Guaranties for carpets or rugs in inventory upon the effective 
date of the Standard may be issued in the same manner as other 
guaranties are issued. Reasonable and representative tests with respect 
to qualities of such carpets or rugs are at least one test performed 
upon approximately the first linear yard and one test thereafter for 
each 25,000 linear yards of a quality of machine-made carpets or rugs 
and at least one test performed upon approximately the first square yard 
and thereafter for each 10,000 square yards of a category of handmade or 
hide carpets or rugs, in the order of the production, importation, or 
receipt by the guarantor of that quality.
    (g) Any person issuing a guaranty for one or more carpets or rugs or 
qualities thereof based on reasonable and representative tests, shall 
maintain the following records for a period of 3 years from the date the 
tests were performed, or in the case of paragraph (h) of this section, 
the date the guaranties were furnished. These records must be maintained 
in the United States by a person subject to section 3 of the act:

[[Page 701]]

    (1) All identifying numbers, symbols, etc., manufacturing 
specifications including all other information described in paragraph 
(a)(6) of this section, as applicable, and source of products or raw 
materials used therein.
    (2) A physical sample of each carpet or rug or quality thereof 
covered by the guaranty at least 6 inches by 6 inches in size (36 square 
inches).
    (3) The original or a copy of the report of each test performed for 
purposes of the guaranty (whether or not such report shows a meeting of 
the acceptance criterion) which shall disclose the date of the test, the 
results, and sufficient information to clearly identify the carpet or 
rug tested.
    (4) A record applicable to each test in paragraph (g)(3) of this 
section showing the approximate yardage at which it was performed. 
Records otherwise required to be maintained in linear yards may be 
maintained in square yards on the basis of 4 square yards equals 1 
linear yard.
    (h) Persons furnishing guaranties based on guaranties received by 
them shall maintain records showing the guaranty received and 
identification of the carpet or rug or quality thereof guaranteed in 
turn by them.
    (i) Any person furnishing a carpet or rug guaranty under section 
8(a) of the act who neglects or refuses to maintain and preserve the 
records prescribed in this section shall be deemed to have furnished a 
false guaranty under the provisions of section 8(b) of the act.

(Sec. 5, 67 Stat. 112, as amended, 81 Stat. 570, 15 U.S.C. 1194; sec. 8, 
67 Stat. 114, as amended, 81 Stat. 572, 15 U.S.C. 1197)



Sec. 1630.32  Carpets and rugs with fire-retardant treatment.

    (a) For the purposes of this section the following definitions 
apply:
    (1) Carpet and rug mean ``carpet'' and ``rug'' as defined in 
Sec. 1630.31(c).
    (2) Fire-retardant treatment means ``fire-retardant treatment'' as 
defined in the standard of subpart A of this part.
    (b) If a carpet or rug or small carpet or rug is manufactured, 
imported, or otherwise marketed or handled which has had a fire-
retardant treatment or is made of fibers which have had a fire-retardant 
treatment, the letter ``T'' shall be set forth legibly and 
conspicuously, and shall appear at all times, on each label and/or 
invoice relating thereto pursuant to the requirements of the Textile 
Fiber Products Identification Act, 15 U.S.C. 70, et seq., and the rules 
and regulations thereunder, whether or not such letter ``T'' appears 
elsewhere on said product. Samples, pieces, rolls, or squares used to 
promote or effect the sale of such carpet or rug are subject to the 
aforementioned requirements. As provided in the applicable portions of 
the aforesaid act and the rules and regulations thereunder, where a 
carpet or rug or a small carpet or rug; which has had a fire-retardant 
treatment or is made of fibers which have had a fire-retardant 
treatment, is sold to an ultimate consumer and was either custom made or 
commercially installed for such consumer, the labeling required by this 
section shall not apply with respect to the carpet or rug if an invoice 
or other paper relating thereto, containing the letter ``T'', legibly 
and conspicuously written, is delivered to the consumer in due course of 
business.
    (c) No person subject to the Flammable Fabrics Act shall 
manufacture, import, distribute, or otherwise market or handle any 
carpet or rug or small carpet or rug, including samples, swatches, or 
specimens used to promote or effect the sale thereof, which is not in 
compliance with this section.

(Sec. 5 of the Act, 67 Stat. 112, as amended by 81 Stat. 570, 15 U.S.C. 
1194)



                      Subpart C--Washing Procedures

    Authority: Secs. 4, 5, 67 Stat. 112, as amended, 81 Stat. 569-570; 
15 U.S.C. 1193, 1194.



Sec. 1630.61  Hide carpets and rugs--alternative washing procedure.

    (a) The Standard for the Surface Flammability of Carpets and Rugs 
(FF 1-70) at Sec. 1630.4(b)(1)(ii) provides that if a carpet or rug has 
had a fire-retardant treatment, or is made of fibers which have had a 
fire-retardant treatment, the sample or oversized specimens thereof 
selected for testing under the standard shall be washed prior to the 
cutting of test specimens either 10 times under the washing and drying 
procedure prescribed in Method 124-1996

[[Page 702]]

of the American Association of Textile Chemists and Colorists or such 
number of times under such other washing and drying procedure as shall 
previously have been found to be equivalent by the Consumer Product 
Safety Commission. AATCC Test Method 124-1996 ``Appearance of Fabrics 
after Repeated Home Laundering,'' is found in Technical Manual of the 
American Association of Textile Chemists and Colorists, vol. 73, 1997, 
which is incorporated by reference. Copies of this document are 
available from the American Association of Textile Chemists and 
Colorists, P.O. Box 12215, Research Triangle Park, North Carolina 27709. 
This document is also available for inspection at the Office of the 
Federal Register, 800 North Capitol Street, NW., Suite 700, Washington, 
DC. This incorporation by reference was approved by the Director of the 
Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. 
Alternatively the selected sample or oversized specimens thereof may be 
washed, dry-cleaned, or shampooed 10 times, prior to the cutting of test 
specimens, in such manner as the manufacturer or other interested party 
has previously established to the satisfaction of the Consumer Product 
Safety Commission is normally used for that type of carpet or rug in 
service.
    (b) On February 10, 1972 (37 FR 3010) the Federal Trade Commission 
published in the Federal Register a notice of approval of an alternative 
washing procedure under FF 1-70 for testing the flammability of 
shearling and hide rugs that (1) consist of natural wool or hair 
attached to the hide with no synthetic fibers and (2) have been treated 
with a fire-retardant finish. The notice of approval was corrected on 
March 17, 1972 (37 FR 5676). This approval is continued in effect by the 
Consumer Product Safety Commission pursuant to section 30(e) of the 
Consumer Product Safety Act (15 U.S.C. 2079(e)).
    (c) Any hide carpet or rug for which such alternative procedure is 
utilized must be labeled with a conspicuous, legible and permanent label 
containing the following statement:

                        DO NOT WASH OR DRY CLEAN

    This rug has been treated with a flame retardant. To keep rug 
attractive and clean use the following methods:
    To eliminate loose dirt or dust, vacuum or shake pelt outdoors.
    For spot cleaning, use water dampened cloth and rub lightly in one 
direction.

              DO NOT USE DETERGENTS OR OTHER STAIN REMOVERS

    (d) The alternative procedure is as follows: The test specimens 
shall be cut to size 9'' x 9'' before the procedure is initiated.
    (1) Shake specimen vigorously to remove any loose fibers, dust and 
possible accumulated debris.
    (2) Place specimen on a solid flat surface and anchor or hold firmly 
while conducting the test.
    (3) Select an operating applicator consisting of a rod at least 2'' 
in diameter and 9'' long composed of nonabsorbant material such as glass 
or plastic.
    (4) Select sufficient cloth to form at least five layers when 
wrapped around the operating applicator. The cloth shall be of the type 
known as ``Crockmeter Test Cloth'' as specified in Note 8.3 of AATCC 
Test Method 8-1969.
    (5) Immerse cloth in water (100  deg.F.) until thoroughly wetted.
    (6) Manually wring out the cloth to remove all excess water and wrap 
around the operating applicator.
    (7) Immediately with light pressure, stroke entire surface of 
specimen with the wrapped operating applicator in one direction only 
along the natural ``lay'' of the hair structure for ten complete 
strokes.
    (8) Place test specimen in a circulating drying oven maintained at 
212  deg.F. until dry.
    (9) Repeat the above procedure 10 times using a fresh or clean cloth 
each time.
    (10) After 10 successive cycles of washing and drying the dried 
specimens shall be subjected to the testing procedures (pill test) as 
outlined in FF 1-70.
    (e) This washing procedure and labeling provision are subject to 
revision or revocation should it be determined

[[Page 703]]

that such procedure is inadequate to fully protect the public.

[40 FR 59931, Dec. 30, 1975, as amended at 65 FR 12933, Mar. 10, 2000]



Sec. 1630.62  Wool flokati carpets and rugs--alternative washing procedure.

    (a) The Standard for the Surface Flammability of Carpets and Rugs 
(FF 1-70) at Sec. 1630.4(b)(1)(ii) provides that if a carpet or rug has 
had a fire-retardant treatment, or is made of fibers which have had a 
fire-retardant treatment, the sample or oversized specimens thereof 
selected for testing under the standard shall be washed prior to the 
cutting of test specimens either 10 times under the washing and drying 
procedure prescribed in Method 124-1996 of the American Association of 
Textile Chemists and Colorists or such number of times under such other 
washing and drying procedure as shall previously have been found to be 
equivalent by the Consumer Product Safety Commission. AATCC Test Method 
124-1996 ``Appearance of Fabrics after Repeated Home Laundering,'' is 
found in Technical Manual of the American Association of Textile 
Chemists and Colorists, vol. 73, 1997, which is incorporated by 
reference. Copies of this document are available from the American 
Association of Textile Chemists and Colorists, P.O. Box 12215, Research 
Triangle Park, North Carolina 27709. This document is also available for 
inspection at the Office of the Federal Register, 800 North Capitol 
Street, NW., Suite 700, Washington, DC. This incorporation by reference 
was approved by the Director of the Federal Register in accordance with 
5 U.S.C. 552(a) and 1 CFR part 51. Alternatively the selected sample or 
oversized specimens thereof may be washed, dry-cleaned, or shampooed 10 
times, prior to the cutting of test specimens, in such manner as the 
manufacturer or other interested party has previously established to the 
satisfaction of the Consumer Product Safety Commission is normally used 
for that type of carpet or rug in service.
    (b) On September 7, 1972 (37 FR 18122) the Federal Trade Commission 
published in the Federal Register a notice of approval of an alternative 
washing procedure under FF 1-70 for testing the flammability of wool 
flokati carpets and rugs. This approval is continued in effect by the 
Consumer Product Safety Commission pursuant to section 30(e) of the 
Consumer Product Safety Act (15 U.S.C. 2079(e)).
    (c) Any wool flokati carpet or rug for which such alternative 
procedure is utilized must be labeled with a conspicuous, legible and 
permanent label containing the following statement:

  Do Not Wash in Home Machine or Dry Clean--Avoid Rubbing or Brushing 
                               While Damp

    This flokati carpet or rug has been treated with a flame retardant. 
To maintain this flame retardant and to keep the carpet attractive and 
clean, use the following methods.
    1. Vacuum (using suction head without rotating brush) or shake the 
rug (depending upon size) to remove loose dirt.
    2. Home laundering: Place in bath tub or other suitable receptacle 
in solution of home detergent and lukewarm water (approximately 105 
deg.F.) . Immerse face down and gently knead back of rug to remove soil. 
Rinse in lukewarm water (approximately 105  deg..) until detergent is 
removed. Rug may then be rinsed again in cool water to improve 
appearance of face if desired. Line dry. Shake while damp to restore 
surface and fluff up fibers.
    3. Spot cleaning: Remove greasy stains with a household grease 
remover. Remove soluble stains with lukewarm water (approximately 105 
deg.F.) and detergent by immersing spot in a pan and kneading the back 
of rug. Rinse thoroughly in lukewarm water. Line or floor dry. Shake 
while damp to restore surface and fluff up fibers.
    4. Commercial cleaning: Use Roll-A-Jet equipment (or equivalent) 
with water not exceeding 105  deg.F. Avoid use of excessive pressure or 
reciprocating brushes. Drying temperatures should not exceed 200  deg.F.
    (d) The alternative procedure is as follows:
    (1) Cut test specimens to an oversize of 12" x 
12" before the procedure is initiated.
    (2) Vacuum specimens or shake vigorously to remove any loose fibers, 
dust or possible accumulated debris.
    (3) Place individual specimen face down in a shallow pan which has 
been filled to a depth of 2'' with a wash solution of 1.1 grams of AATCC 
(American Association of Textile Chemists and Colorists) Standard 
Detergent as specified in AATCC Method 124-1996 (or equivalent) per 
liter of water preheated

[[Page 704]]

to 105  deg.F. Knead the back of the specimen with hand for 1 minute. 
Water level and temperature should be maintained for each specimen.
    (4) Thoroughly rinse specimen face down with warm water at 105 
deg.F. for 1 minute under a faucet with strong pressure.
    (5) Remove excess liquor by use of a wringer, hydroextractor or 
gentle hand squeezing and dry in circulating air oven at 200  deg.F. 
until dry.
    (6) Repeat the above procedure 10 times using fresh detergent and 
fresh water for each set of eight specimens.
    (7) Subject the dry specimens to the test procedures in FF 1-70.
    (e) This washing procedure and labeling provisions are subject to 
revocation should it be determined that such procedure is inadequate to 
fully protect the public.

[40 FR 59931, Dec. 30, 1975, as amended at 65 FR 12933, Mar. 10, 2000]



Sec. 1630.63  Suspension of washing requirements for carpets and rugs with alumina trihydrate in the backing.

    (a)(1) The Standard for the Surface Flammability of Carpets and Rugs 
(FF 1-70) at Sec. 1630.4(b)(1)(ii) provides that if a carpet or rug has 
had a fire-retardant treatment, or is made of fibers which have had a 
fire-retardant treatment, the sample or oversized specimens thereof 
selected for testing under the standard shall be washed prior to the 
cutting of test specimens either 10 times under the washing and drying 
procedure prescribed in Method 124-1996 of the American Association of 
Textile Chemists and Colorists or such number of times under such other 
washing and drying procedure as shall previously have been found to be 
equivalent by the Consumer Product Safety Commission. AATCC Test Method 
124-1996 ``Appearance of Fabrics after Repeated Home Laundering,'' is 
found in Technical Manual of the American Association of Textile 
Chemists and Colorists, vol. 73, 1997, which is incorporated by 
reference. Copies of this document are available from the American 
Association of Textile Chemists and Colorists, P.O. Box 12215, Research 
Triangle Park, North Carolina 27709. This document is also available for 
inspection at the Office of the Federal Register, 800 North Capitol 
Street, NW., Suite 700, Washington, DC. This incorporation by reference 
was approved by the Director of the Federal Register in accordance with 
5 U.S.C. 552(a) and 1 CFR part 51. Alternatively the selected sample or 
oversized specimens thereof may be washed, dry-cleaned, or shampooed 10 
times, prior to the cutting of test specimens, in such manner as the 
manufacturer or other interested party has previously established to the 
satisfaction of the Consumer Product Safety Commission is normally used 
for that type of carpet or rug in service.
    (2) Section 1630.5 of the Standard provides that if a carpet or rug 
has had a fire-retardant treatment or is made of fibers which have had a 
fire-retardant treatment, it shall be labeled with the letter ``T.''
    (b) On April 10, 1972, the Federal Trade Commission, which then had 
responsibility for enforcement of the Flammable Fabrics Act, announced 
that the use of alumina trihydrate in adhesives, foams, or latexes in 
carpet backings or elsewhere in the backings will be considered as a 
fire-retardant treatment. Therefore, the provisions of 
Sec. Sec. 1630.4(b)(1)(ii) and 1630.5 of the Standard apply to carpets 
with alumina trihydrate in the backings. This interpretation continues 
in effect.
    (c) On May 19, 1972, the Federal Trade Commission published a notice 
in the Federal Register (37 FR 10104) temporarily suspending the washing 
requirements under FF 1-70 for carpets and rugs containing alumina 
trihydrate in the backing. This temporary suspension was extended a 
number of times. On March 28, 1973 the Federal Trade Commission proposed 
in the Federal Register (38 FR 8101) an alternative laundering procedure 
for such carpets and rugs and gave notice that the suspension of the 
laundering requirement was extended until the completion of the 
proceeding to establish an alternative laundering procedure. The 
suspension continues in effect.

[40 FR 59931, Dec. 30, 1975, as amended at 65 FR 12933, Mar. 10, 2000]

[[Page 705]]



                 Subpart D--Interpretations and Policies



Sec. 1630.81  Policy on recall of noncomplying carpets and rugs.

    (a) Purpose. The purpose of this section is to state the policy of 
the Commission concerning recall of carpets and rugs which are subject 
to and fail to comply with the Standard for the Surface Flammability of 
Carpets and Rugs (FF 1-70) (16 CFR part 1630, subpart A). In this policy 
statement, the Commission reaffirms that provisions of the Flammable 
Fabrics Act (FFA) authorize recall of any product which fails to comply 
with an applicable flammability standard issued under that Act. 
Additionally, this policy statement announces general principles which 
will be followed by the Commission in exercising the authority contained 
in the FFA to require recall of carpets and rugs from various levels of 
distribution, including carpets and rugs in the possession of the 
ultimate consumer.
    (b) Recall from distributors and retailers. The Commission will 
exercise the authority contained in the FFA to order recall of carpets 
and rugs which fail to comply with the Standard for the Surface 
Flammability for Carpets and Rugs and which are in the possession of any 
distributor, retailer, or other person or firm in the chain of 
distribution, where the facts, including the number and pattern of test 
failures, indicate that such action is necessary and appropriate.
    (c) Recall from consumers. (1) In cases involving carpets and rugs 
distributed in commerce by a domestic manufacturer, or imported into the 
United States, after July 11, 1978, the Commission will exercise the 
authority contained in the FFA to order recall of carpets and rugs which 
fail to comply with the Standard for the Surface Flammability of Carpets 
and Rugs and which are in the possession of ultimate purchasers, 
including installed carpet, where the facts, including the number and 
pattern of test failures, indicate that such action is necessary and 
appropriate.
    (2) The Commission may exercise the authority of section 15 of the 
Consumer Product Safety Act (15 U.S.C. 2064) to order the repair, 
replacement, or repurchase of any carpets or rugs in the possession of 
ultimate purchasers, including installed carpet, if such carpets and 
rugs present a ``substantial product hazard'' as that term is used in 
the Consumer Product Safety Act in any case involving carpets or rugs 
which were distributed in commerce by a domestic manufacturer or 
imported into the United States, on or before July 11, 1978, or any time 
thereafter.

(Sec. 5, 15 U.S.C. 1194, 67 Stat. 112, June 30, 1953; sec. 5, 15 U.S.C. 
45(b), 38 Stat. 719, Sept. 26, 1914; sec. 15, 15 U.S.C. 2064, 86 Stat. 
1221, Oct. 27, 1972)

[44 FR 2169, Jan. 10, 1979]



PART 1631--STANDARD FOR THE SURFACE FLAMMABILITY OF SMALL CARPETS AND RUGS (FF 2-70)--Table of Contents




                         Subpart A--The Standard

Sec.
1631.1 Definitions.
1631.2 Scope and application.
1631.3 General requirements.
1631.4 Test procedure.
1631.5 Labeling requirements.

                    Subpart B--Rules and Regulations

1631.31 Reasonable and representative tests and recordkeeping 
          requirements.
1631.32 Reasonable and representative tests and recordkeeping 
          requirements--additional requirements.
1631.33 Carpets and rugs with fire-retardant treatment.
1631.34 Small carpets and rugs not meeting acceptance criterion.

                      Subpart C--Washing Procedures

1631.61 Hide carpets and rugs--alternative washing procedure.
1631.62 Wool flokati carpets and rugs--alternative washing procedure.

    Source: 40 FR 59935, Dec. 30, 1975, unless otherwise noted.



                         Subpart A--The Standard

    Authority: Sec. 4, 67 Stat. 112, as amended, 81 Stat. 569-70; 15 
U.S.C. 1193.



Sec. 1631.1  Definitions.

    In addition to the definitions given in section 2 of the Flammable 
Fabrics

[[Page 706]]

Act, as amended (sec. 1, 81 Stat. 568; 15 U.S.C. 1191), and the 
procedures under that act for setting standards (part 1607 of this 
chapter), the following definitions apply for the purposes of this 
Standard:
    (a) Acceptance Criterion means that at least seven out of eight 
individual specimens of a small carpet or rug shall meet the test 
criterion as defined in this Standard.
    (b) Test Criterion means the basis for judging whether or not a 
single specimen of small carpet or rug has passed the test, i.e., the 
charred portion of a tested specimen shall not extend to within 2.54 cm. 
(1.0 in.) of the edge of the hole in the flattening frame at any point.
    (c) Small Carpet means any type of finished product made in whole or 
in part of fabric or related material and intended for use or which may 
reasonably be expected to be used as a floor covering which is exposed 
to traffic in homes, offices, or other places of assembly or 
accommodation, and which may or may not be fastened to the floor by 
mechanical means such as nails, tacks, barbs, staples, adhesives, and 
which has no dimension greater than 1.83 m. (6 ft.) and an area not 
greater than 2.23 m.\2\ (24 sq. ft.). Products such as ``Carpet 
Squares'' with dimensions smaller than these but intended to be 
assembled, upon installation, into assemblies which may have dimensions 
greater than these, are excluded from this definition. They are, 
however, included in the Standard for the surface flammability of 
carpets and rugs (FF 1-70) (subpart A of part 1630 of this chapter). 
Mats, hides with natural or synthetic fibers, and other similar products 
are included in this definition if they are within the defined 
dimensions, but resilient floor coverings such as linoleum, asphalt tile 
and vinyl tile are not.
    (d) Small Rug means, for the purposes of this Standard, the same as 
small carpet and shall be accepted as interchangeable with small carpet.
    (e) Traffic Surface means a surface of a small carpet or rug which 
is intended to be walked upon.
    (f) Timed Burning Tablet (pill) means the methenamine tablet, 
weighing approximately 0.149 grams (2.30 grains), sold as Product No. 
1588 in Catalog No. 79, December 1, 1969, by the Eli Lilly Company of 
Indianapolis, Ind. 46206, or an equal tablet.
    (g) Fire-Retardant Treatment means any process to which a small 
carpet or rug has been exposed which significantly decreases the 
flammability of that small carpet or rug and enables it to meet the 
acceptance criterion of this Standard.



Sec. 1631.2  Scope and application.

    (a) This Standard provides a test method to determine the surface 
flammability of small carpets and rugs when exposed to a standard small 
source of ignition under carefully prescribed draft-protected 
conditions. It is applicable to all types of small carpets and rugs used 
as floor covering materials regardless of their method of fabrication or 
whether they are made of natural or synthetic fibers or films, or 
combinations of, or substitutes for these.
    (b) One of a kind small carpet or rug, such as an antique, an 
Oriental or a hide, may be excluded from testing under this Standard 
pursuant to conditions established by the Consumer Product Safety 
Commission.



Sec. 1631.3  General requirements.

    (a) Summary of test method. This method involves the exposure of 
each of eight conditioned, replicate specimens of a small carpet or rug 
to a standard igniting source in a draft-protected environment and 
measurement of the proximity of the charred portion to the edge of the 
hole in the prescribed flattening frame.
    (b) Test criterion. A specimen passes the test if the charred 
portion does not extend to within 2.54 cm. (1.0 in.) of the edge of the 
hole in the flattening frame at any point.
    (c) Acceptance criterion. At least seven of the eight specimens 
shall meet the test criterion in order to conform with this Standard.



Sec. 1631.4  Test procedure.

    (a) Apparatus--(1) Test chamber. The test chamber shall consist of 
an open

[[Page 707]]

top hollow cube made of noncombustible material \1\ with inside 
dimensions 30.48 x 30.48 x 30.48 cm. (12 x 12 x 12 in.) and a minimum of 
6.35 mm. (\1/4\ in.) wall thickness. The flat bottom of the box shall be 
made of the same material as the sides and shall be easily removable. 
The sides shall be fastened together with screws or brackets and taped 
to prevent air leakage into the box during use.
---------------------------------------------------------------------------

    \1\ 6.35 mm. (\1/4\ in.) cement asbestos board is a suitable 
material.
---------------------------------------------------------------------------

    Note: A minimum of two chambers and two extra bottoms is suggested 
for efficient operation.

    (2) Flattening frame. A steel plate, 22.86 x 22.86 cm. (9 x 9 in.) 
6.35 mm. (\1/4\ in.) thick with a 20.32 cm. (8 in.) diameter hole in its 
center is required to hold the specimen flat during the course of the 
test. It is recommended that one be provided for each test chamber.
    (3) Standard igniting source. No. 1588 methenamine timed burning 
tablet or an equal tablet. These tablets shall be stored in a desiccator 
over a desiccant for 24 hours prior to use. (Small quantities of 
absorbed water may cause the tablets to fracture when first ignited. If 
a major fracture occurs, any results from that test shall be ignored, 
and it shall be repeated.)
    (4) Test specimens. Each test specimen shall be a 22.86 x 22.86 cm. 
(9 x 9 in.) section of the small carpet or rug to be tested. Eight 
specimens are required.
    (5) Circulating air oven. A forced circulation drying oven capable 
of removing the moisture from the specimens when maintained at 105 
deg.C. (221  deg.F.) for 2 hours. \2\
---------------------------------------------------------------------------

    \2\ Option 1 of ASTM D 2654-67T, ``Methods of Test for Amount of 
Moisture in Textile Materials,'' describes a satisfactory oven. (``1969 
Book of ASTM Standards,'' part 24, published by the American Society for 
Testing and Materials, 1916 Race Street, Philadelphia, PA 19103.)
---------------------------------------------------------------------------

    (6) Desiccating cabinet. An airtight and moisture tight cabinet 
capable of holding the floor covering specimens horizontally without 
contacting each other during the cooling period following drying, and 
containing silica gel desiccant.
    (7) Gloves. Nonhygroscopic gloves (such as rubber or polyethylene) 
for handling the sample after drying and raising the pile on specimens 
prior to testing.
    (8) Hood. A hood capable of being closed and having its draft turned 
off during each test and capable of rapidly removing the products of 
combustion following each test. The front or sides of the hood should be 
transparent to permit observation of the tests in progress.
    (9) Mirror. A small mirror mounted above each test chamber at an 
angle to permit observation of the specimen from outside the hood.
    (10) Vacuum cleaner. A vacuum cleaner to remove all loose material 
from each specimen prior to conditioning. All surfaces of the vacuum 
cleaner contacting the specimen shall be flat and smooth.
    (b) Sampling--(1) Selection of samples. (i) Select a sample of the 
material representative of the lot and large enough to permit cutting 
eight test specimens 22.86 x 22.86 cm. (9 x 9 in.) free from creases, 
fold marks, delaminations or other distortions. The representative 
sample of material may require the use of more than one small carpet or 
rug. The test specimens should contain the most flammable parts of the 
traffic surface at their centers. The most flammable area may be 
determined on the basis of experience or through pretesting.
    (ii) If the carpet or rug has had a fire-retardant treatment, or is 
made of fibers which have had a fire-retardant treatment, the selected 
sample or over-sized specimens thereof shall be washed, prior to cutting 
of test specimens after they have been washed and dried either 10 times 
in accordance with sections 8.2.2, 8.2.3, and 8.3.1(A) of AATCC Test 
Method 124-1996 ``Appearance of Fabrics after Repeated Home 
Laundering,'' using wash temperature V (60 deg. 3  deg.C, 
140 deg. 5  deg.F) specified in Table II of that method, and 
the water level, agitator speed, washing time, spin speed and final spin 
cycle specified for ``Normal/Cotton Sturdy'' in Table III, and drying 
shall be performed in accordance with section 8.3.1(A) of that test 
method, Tumble Dry, maximum load 3.64 Kg (8 pounds), using the exhaust 
temperature (66 deg. 5  deg.C, 150 deg. 10 
deg.F) and cool down time of 10 minutes

[[Page 708]]

specified in the ``Durable Press'' conditions of Table IV; or such 
number of times by another washing and drying procedure which the 
Consumer Product Safety Commission has determined to be equivalent of 
AATCC Test Method 124-1996. Alternatively, the selected sample or 
oversized specimens thereof may be washed, drycleaned, or shampooed 10 
times, prior to cutting of test specimens, in such manner as the 
manufacturer or other interested party shall previously have established 
to the satisfaction of the Consumer Product Safety Commission is 
normally used for that type of carpet or rug in service.
    (iii) AATCC Test Method 124-1996 ``Appearance of Fabrics after 
Repeated Home Laundering,'' is found in Technical Manual of the American 
Association of Textile Chemists and Colorists, vol. 73, 1997, which is 
incorporated by reference. Copies of this document are available from 
the American Association of Textile Chemists and Colorists, P.O. Box 
12215, Research Triangle Park, North Carolina 27709. This document is 
also available for inspection at the Office of the Federal Register, 800 
North Capitol Street, NW., Suite 700, Washington, DC. This incorporation 
by reference was approved by the Director of the Federal Register in 
accordance with 5 U.S.C. 552(a) and 1 CFR part 51.
    (2) Cutting. Cut eight 22.860.64 cm. (9\1/4\ 
in.) square specimens of each small carpet or rug to be tested to comply 
with paragraph (b)(1) of this section.
    (c) Conditioning. (1) Clean each specimen with the vacuum cleaner 
until it is free of all loose ends left during the manufacturing process 
and from any material that may have been worked into the pile during 
handling. \3\ Care must be exercised to avoid ``fuzzing'' of the pile 
yarn.
---------------------------------------------------------------------------

    \3\ The vacuum cleaning described is not intended to simulate the 
effects of repeated vacuum cleaning in service.
---------------------------------------------------------------------------

    (2) Place the specimens in a drying oven in a manner that will 
permit free circulation of the air at 105  deg.C. (221  deg.F.) around 
them for 2 hours. \4\ Remove the specimens from the oven with gloved 
hands and place them horizontally in the desiccator with traffic surface 
up and free from contact with each other until cooled to room 
temperature, but in no instance less than 1 hour.
---------------------------------------------------------------------------

    \4\ If the specimens are moist when received, permit them to air-dry 
at laboratory conditions prior to placement in the oven. A satisfactory 
preconditioning procedure may be found in ASTM D 1776-67, ``Conditioning 
Textiles and Textile Products for Testing.'' (``1969 Book of ASTM 
Standards,'' part 24, published by the American Society for Testing and 
Materials, 1916 Race Street, Philadelphia, Pa. 19103.)
---------------------------------------------------------------------------

    (d) Testing. (1) Place the test chamber in the draft-protected 
environment (hood with draft off) with its bottom in place. Wearing 
gloves, remove a test specimen from the desiccator and brush its traffic 
surface with a gloved hand in such a manner as to raise its pile. Place 
the specimen on the center of the floor of the test chamber, traffic 
surface up, exercising care that the specimen is horizontal and flat. 
Place the flattening frame on the specimen and position a methenamine 
tablet on one of its flat sides in the center of the 20.32 cm. (8 in.) 
hole.
    (2) Ignite the tablet by touching a lighted match or an equivalent 
igniting source carefully to its top. If more than 2 minutes elapse 
between the removal of the specimen from the desiccator and the ignition 
of the tablet, the conditioning must be repeated.
    (3) Continue each test until one of the following conditions occurs:
    (i) The last vestige of flame or glow disappears. (This is 
frequently accompanied by a final puff of smoke.)
    (ii) The flaming or smoldering has approached within 2.54 cm. (1.0 
in.) of the edge of the hole in the flattening frame at any point.
    (4) When all combustion has ceased, ventilate the hood and measure 
the shortest distance between the edge of the hole in the flattening 
frame and the charred area. Record the distance measured for each 
specimen.
    (5) Remove the specimen from the chamber and remove any burn residue 
from the floor of the chamber. Before proceeding to the next test, the 
floor must be cooled to normal room temperature or replaced with one 
that is at normal room temperature.
    (e) Report. The number of specimens of the eight tested in which the 
charred area does not extend to within 2.54 cm.

[[Page 709]]

(1.0 in.) of the edge of the hole in the flattening frame shall be 
reported.
    (f) Interpretation of results. If the charred area does not extend 
to within 2.54 cm. (1.0 in.) of the edge of the hole in the flattening 
frame at any point for at least seven of the eight specimens, the small 
carpet or rug meets the acceptance criterion.

[40 FR 59935, Dec. 30, 1975, as amended at 65 FR 12934, Mar. 10, 2000]



Sec. 1631.5  Labeling requirements.

    (a) If a small carpet or rug does not meet the acceptance criterion, 
it shall, prior to its introduction into commerce, be permanently 
labeled, pursuant to rules and regulations established by the Consumer 
Product Safety Commission with the following statement: FLAMMABLE (FAILS 
U.S. DEPARTMENT OF COMMERCE STANDARD FF 2-70): SHOULD NOT BE USED NEAR 
SOURCES OF IGNITION.
    (b) If a small carpet or rug has had a fire-retardant treatment or 
is made of fibers which have had a fire-retardant treatment, it shall be 
labeled with the letter ``T'' pursuant to rules and regulations 
established by the Consumer Product Safety Commission.



                    Subpart B--Rules and Regulations

    Authority: Sec. 5, 67 Stat. 112, as amended, 81 Stat. 570; 15 U.S.C. 
1194.



Sec. 1631.31  Reasonable and representative tests and recordkeeping requirements.

    Explanation: Section 8 of the act, among other things, provides that 
no person shall be subject to criminal prosecution under section 7 of 
the act for a violation of section 3 of the act if such person 
establishes a guaranty received in good faith signed by and containing 
the name and address of the person by whom the product, fabric, or 
related material guaranteed was manufactured, or from whom it was 
received, to the effect that reasonable and representative tests made in 
accordance with applicable flammability standards show that the product, 
fabric, or related material covered by the guaranty conforms with such 
standards.
    While a person establishing a guaranty received in good faith would 
not be subject to criminal prosecution under section 7 of the act, he, 
and/or the merchandise involved, would nevertheless remain subject to 
the administrative processes of the Consumer Product Safety Commission 
under section 5 of the act as well as injunction and condemnation 
procedures under section 6 thereof. A guarantor derives no immunity of 
any kind, civil or criminal, from the issuance of his own guaranty or 
performance of the reasonable and representative tests prescribed by 
this section.
    The furnishing of guaranties is not mandatory under the act. The 
purpose of this section is to establish minimum requirements for 
reasonable and representative tests upon which guaranties may be based. 
The section does not have any legal effect beyond that specified in 
section 8 of the act.
    (a) For the purposes of this section the following definitions 
apply:
    (1) Standard means the Standard in subpart A of this part.
    (2) Test means a test as prescribed by the Standard.
    (3) Acceptance criterion means ``acceptance criterion'' as defined 
in the Standard.
    (4) Test criterion means ``test criterion'' as defined in the 
Standard.
    (5) Carpet and rug mean ``carpet'' and ``rug'' as defined in the 
Standard.
    (6) Quality of machine-made carpets or rugs means any line of 
carpets or rugs, essentially machine-made, which are substantially alike 
in all respects, including, as applicable, constructional units 
(needles, pitch, rows, shot, stitches, and weight), dye class, dyestuff, 
dyeing application method, gage, pile levels, pile height, average pile 
thickness, pile weight, pile yarn, total thickness, total weight, tufts, 
tuft length, tuft bind, warp yarn, filler yarn, yarn ends per needle, 
loop length, backing, back coating, primary backing, secondary backing, 
backing thickness, backing fabric count, backing warp and filler yarns, 
including stuffer and dead frame yarns, backing weight, fiber and/or 
other materials content, and fire retardant treatment received including 
the specifications and quantity of chemicals used.
    (7) Quality of handmade or hide carpets or rugs means any line of 
carpets or rugs which are essentially handmade and/or are essentially 
hides and which are alike in all respects, including those specified in 
paragraph (a)(6) of this section, where applicable, except that such 
carpets or rugs may vary where unavoidable and/or may vary because of 
natural variations in hides of

[[Page 710]]

the same type, so long as such variations do not affect flammability.
    (b) The tests set forth in paragraphs (c), (d), (e), and (f) of this 
section are reasonable and representative tests with regard to any 
carpets or rugs or qualities thereof to which they apply, except, 
however, that any test of any quality, whenever performed, which does 
not show a meeting of the acceptance criterion of the Standard shall be 
considered the reasonable and representative test for that quality and 
no guaranty with respect thereto shall be issued after the performance 
of such test. Immediately before conditioning and testing, each carpet 
or rug specimen tested pursuant to this section shall be in the form in 
which the carpet or rug or quality thereof which it represents is sold 
or offered for sale to the ultimate consumer.
    (c) Reasonable and representative tests with respect to any quality 
of machine-made carpets or rugs are (1) at least one test performed upon 
commencement of production, importation, or other receipt thereof, (2) 
at least one test performed after production, importation, or other 
receipt of the first 25,000 linear yards of the quality, and (3) at 
least one test after production, importation, or other receipt of every 
50,000 linear yards of the quality thereafter. Except, however, that 
tests need be performed only after production, importation, or receipt 
of each additional 100,000 linear yards of the quality, so long as all 
24 specimens required to be tested in a complete series of three 
required tests immediately preceding any given test (eight out of eight 
specimens in each of the three preceding tests) meet the test criterion, 
rather than seven out of eight specimens, as permitted under the 
acceptance criterion of the Standard.
    (d) Reasonable and representative tests with respect to any quality 
of handmade or hide carpets or rugs are at least one test performed upon 
the commencement of production, importation, or other receipt thereof 
and at least one test after production, importation, or other receipt of 
every 10,000 square yards of the quality thereafter.
    (e) Reasonable and representative tests of a one-of-a-kind carpet or 
rug, machine made, handmade, or hide, is one test thereof or one test of 
an identical representative sample.
    (f) Guaranties for carpets or rugs in inventory upon the effective 
date of the Standard may be issued in the same manner as other 
guaranties are issued. Reasonable and representative tests with respect 
to qualities or such carpets or rugs are at least one test performed 
upon approximately the first linear yard and one test thereafter for 
each 25,000 linear yards of a quality of machine-made carpets or rugs 
and at least one test performed upon approximately the first square yard 
and thereafter for each 10,000 square yards of a category of hand-made 
or hide carpets or rugs, in the order of the production, importation, or 
receipt by the guarantor of that quality.
    (g) Any person issuing a guaranty for one or more carpets or rugs or 
qualities thereof based on reasonable and representative tests, shall 
maintain the following records for a period of 3 years from the date the 
tests were performed, or in the case of paragraph (h) of this section, 
the date the guaranties were furnished. These records must be maintained 
in the United States by a person subject to section 3 of the act:
    (1) All identifying numbers, symbols, etc., manufacturing 
specifications including all other information described in paragraph 
(a)(6) of this section, as applicable, and source of products or raw 
materials used therein.
    (2) A physical sample of each carpet or rug or quality thereof 
covered by the guaranty at least 6 inches by 6 inches in size (36 square 
inches).
    (3) The original or a copy of the report of each test performed for 
purposes of the guaranty (whether or not such report shows a meeting of 
the acceptance criterion) which shall disclose the date of the test, the 
results, and sufficient information to clearly identify the carpet or 
rug tested.
    (4) A record applicable to each test in paragraph (g)(3) of this 
section showing the approximate yardage at which it was performed. 
Records otherwise required to be maintained in linear yards may be 
maintained in square yards on the basis of 4 square yards equals 1 
linear yard.
    (h) Persons furnishing guaranties based on guaranties received by 
them

[[Page 711]]

shall maintain records showing the guaranty received and identification 
of the carpet or rug or quality thereof guaranteed in turn by them.
    (i) Any person furnishing a carpet or rug guaranty under section 
8(a) of the act who neglects or refuses to maintain and preserve the 
records prescribed in this section shall be deemed to have furnished a 
false guaranty under the provisions of section 8(b) of the act.

(Sec. 5 of the Act, 67 Stat. 112, as amended by 81 Stat. 570, 15 U.S.C. 
1194; sec. 8 of the Act, 67 Stat. 114, as amended by 81 Stat. 572, 15 
U.S.C. 1197)



Sec. 1631.32  Reasonable and representative tests and recordkeeping requirements--additional requirements.

    (a) Persons issuing guaranties under section 8(a) of the act for 
small carpets and rugs subject to FF 2-70 shall be subject to all of the 
requirements of Sec. 1631.31 except as provided in paragraph (b) of this 
section.
    (b) In lieu of performing tests and maintaining records on the basis 
of linear yards or square yards as provided in Sec. 1631.31 persons 
furnishing warranties for small carpets and rugs subject to FF 2-70 
shall perform tests and maintain records on the basis of units of 
carpets or rugs, with ``unit'' being defined as a single carpet or rug, 
or on the basis of square yards. At least one test shall be performed 
upon commencement of production, importation, or other receipt of such 
small carpet or rug and every 25,000 units or square yards thereafter.

(Sec. 5 of the Act, 67 Stat. 112, as amended by 81 Stat. 570, 15 U.S.C. 
1194; sec. 8 of the Act, 67 Stat. 114, as amended by 81 Stat. 572, 15 
U.S.C. 1197)



Sec. 1631.33  Carpets and rugs with fire-retardant treatment.

    (a) For the purposes of this section the following definitions 
apply:
    (1) Small carpet and small rug means ``small carpet'' and ``small 
rug'' as defined in Sec. 1631.1(c).
    (2) Fire-retardant treatment means ``fire-retardant treatment'' as 
defined in the Standard in subpart A of this part.
    (b) If a carpet or rug or small carpet or rug is manufactured, 
imported, or otherwise marketed or handled which has had a fire-
retardant treatment or is made of fibers which have had a fire-retardant 
treatment, the letter ``T'' shall be set forth legibly and 
conspicuously, and shall appear at all times, on each label and/or 
invoice relating thereto pursuant to the requirements of the Textile 
Fiber Products Indentification Act, 15 U.S.C. section 70, et seq., and 
the rules and regulations thereunder, whether or not such letter ``T'' 
appears elsewhere on said product. Samples, pieces, rolls, or squares 
used to promote or effect the sale of such carpet or rug are subject to 
the aforementioned requirements. As provided in the applicable portions 
of the aforesaid Act and the rules and regulations thereunder, where a 
carpet or rug or a small carpet or rug which has had a fire-retardant 
treatment or is made of fibers which have had a fire-retardant 
treatment, is sold to an ultimate consumer and was either custom made or 
commercially installed for such consumer, the labeling required by this 
section shall not apply with respect to the carpet or rug if an invoice 
or other paper relating thereto, containing the letter ``T'', legibly 
and conspicuously written, is delivered to the consumer in due course of 
business.
    (c) No person subject to the Flammable Fabrics Act shall 
manufacture, import, distribute, or otherwise market or handle any 
carpet or rug or small carpet or rug, including samples, swatches, or 
specimens used to promote or effect the sale thereof, which is not in 
compliance with this section.



Sec. 1631.34  Small carpets and rugs not meeting acceptance criterion.

    (a) If any small carpet or rug as defined in the Standard for the 
Surface Flammability of Small Carpets and Rugs (pill test) FF 2-70, is 
manufactured, imported, or otherwise marketed or handled and does not 
meet the acceptance criterion of such standard, it shall, prior to its 
introduction into commerce, be legibly and conspicuously labeled with a 
permanent label which sets forth the following statement:

``FLAMMABLE (FAILS U.S. DEPARTMENT OF COMMERCE STANDARD

[[Page 712]]

FF 2-70): SHOULD NOT BE USED NEAR SOURCES OF IGNITION.''

The required cautionary statement may be set out on or affixed to the 
small carpet or rug on the same label as the fiber content label 
required to be affixed under the Textile Fiber Products Identification 
Act, if said label is permanent, or said statement shall be set forth on 
a separate permanent label on or affixed to the small carpet or rug in 
immediate proximity to the said required label under the Textile Fiber 
Products Identification Act. A label on the front of a small carpet or 
rug shall be considered to be in immediate proximity to a label on the 
back, provided they are directly opposite each other and are in 
immediate proximity to the edge of the small carpet or rug.
    (b) Such cautionary statements shall also appear in a conspicuous 
manner in all advertisements in which said small carpets or rugs are 
being offered for sale through direct mail, telephone solicitation, or 
under any other circumstances where the consumer, in the ordinary course 
of dealing, will not have an opportunity to inspect the label before 
receiving the merchandise. The phrase ``Flammable--Read The Label'' 
shall conspicuously appear in all other advertisements of small carpets 
or rugs which do not meet the acceptance criterion of the standard.
    (c) The information required by this section shall be set forth 
separately from any other information, representations, or disclosures 
appearing on the same label or elsewhere on the small carpet or rug, and 
any such other information, representations, or disclosures shall in no 
way interfere with, minimize, detract from, or conflict with the 
information required by this section.
    (d) Samples, swatches, or specimens used to promote or effect the 
sale of small carpets or rugs shall be labeled with the information 
required by this section, in addition to the label required to be 
affixed to the small carpets or rugs.
    (e) Where small carpets or rugs are marketed at retail in packages, 
and the labeling information required by this section is not readily 
visible to prospective purchasers, the packages must also be 
prominently, conspicuously, and legibly labeled with the information 
required by this section.
    (f) No person, other than the ultimate consumer, shall remove, 
mutilate, or cause or participate in the removal or mutilation of any 
affixed labeling information required by this section.
    (g) No person subject to the Flammable Fabrics Act shall 
manufacture, import, distribute, or otherwise market or handle any small 
carpet or rug, including samples, swatches, or specimens used to promote 
or effect the sale thereof, which is not in compliance with this 
section.



                      Subpart C--Washing Procedures

    Authority: Secs. 4, 5, 67 Stat. 112, as amended, 81 Stat. 569-70; 15 
U.S.C. 1193, 1194.



Sec. 1631.61  Hide carpets and rugs--alternative washing procedure.

    (a) The Standard for the Surface Flammability of Carpets and Rugs 
(FF 1-70) at Sec. 1630.4(b)(1)(ii) provides that if a carpet or rug has 
had a fire-retardant treatment, or is made of fibers which have had a 
fire-retardant treatment, the sample or oversized specimens thereof 
selected for testing under the standard shall be washed prior to the 
cutting of test specimens either 10 times under the washing and drying 
procedure prescribed in Method 124-1996 of the American Association of 
Textile Chemists and Colorists or such number of times under such other 
washing and drying procedure as shall previously have been found to be 
equivalent by the Consumer Product Safety Commission. AATCC Test Method 
124-1996 ``Appearance of Fabrics after Repeated Home Laundering,'' is 
found in Technical Manual of the American Association of Textile 
Chemists and Colorists, vol. 73, 1997, which is incorporated by 
reference. Copies of this document are available from the American 
Association of Textile Chemists and Colorists, P.O. Box 12215, Research 
Triangle Park, North Carolina 27709. This document is also available for 
inspection at the Office of the Federal Register, 800 North Capitol 
Street, NW., Suite 700, Washington, DC. This incorporation by reference 
was approved by the Director of the Federal Register in accordance

[[Page 713]]

with 5 U.S.C. 552(a) and 1 CFR part 51. Alternatively the selected 
sample or oversized specimens thereof may be washed, dry-cleaned, or 
shampooed 10 times, prior to the cutting of test specimens, in such 
manner as the manufacturer or other interested party has previously 
established to the satisfaction of the Consumer Product Safety 
Commission is normally used for that type of carpet or rug in service.
    (b) On February 10, 1972 (37 FR 3010) the Federal Trade Commission 
published in the Federal Register a notice of approval of an alternative 
washing procedure under FF 2-70 for testing the flammability of 
shearling and hide rugs that (1) consist of natural wool or hair 
attached to the hide with no synthetic fibers and (2) have been treated 
with a fire-retardant finish. The notice of approval was corrected on 
March 17, 1972 (37 FR 5676). This approval is continued in effect by the 
Consumer Product Safety Commission pursuant to section 30(e) of the 
Consumer Product Safety Act (15 U.S.C. 2079(e)).
    (c) Any hide carpet or rug for which such alternative procedure is 
utilized must be labeled with a conspicuous, legible and permanent label 
containing the following statement:

                        DO NOT WASH OR DRY CLEAN

    This rug has been treated with a flame retardant. To keep rug 
attractive and clean use the following methods:
    To eliminate loose dirt or dust, vacuum or shake pelt outdoors.
    For spot cleaning, use water dampened cloth and rub lightly in one 
direction.

              DO NOT USE DETERGENTS OR OTHER STAIN REMOVERS

    (d) The alternative procedure is as follows: The test specimens 
shall be cut to size 9'' x 9'' before the procedure is initiated.
    (1) Shake specimen vigorously to remove any loose fibers, dust and 
possible accumulated debris.
    (2) Place specimen on a solid flat surface and anchor or hold firmly 
while conducting the test.
    (3) Select an operating applicator consisting of a rod at least 2'' 
in diameter and 9'' long composed of nonabsorbent material such as glass 
or plastic.
    (4) Select sufficient cloth to form at least five layers when 
wrapped around the operating applicator. The cloth shall be of the type 
known as ``Crockmeter Test Cloth'' as specified in Note 8.3 of AATCC 
Test Method 8-1969.
    (5) Immerse cloth in water (100  deg.F.) until thoroughly wetted.
    (6) Manually wring out the cloth to remove all excess water and wrap 
around the operating applicator.
    (7) Immediately, with light pressure, stroke entire surface of 
specimen with the wrapped operating applicator in one direction only 
along the natural ``lay'' of the hair structure for ten complete 
strokes.
    (8) Place test specimen in a circulating drying oven maintained at 
212  deg.F. until dry.
    (9) Repeat the above procedure 10 times using a fresh or clean cloth 
each time.
    (10) After 10 successive cycles of washing and drying the dried 
specimens shall be subjected to the testing procedures (pill test) as 
outlined in FF 2-70.
    (e) This washing procedure and labeling provision are subject to 
revision or revocation should it be determined that such procedure is 
inadequate to fully protect the public.

[40 FR 59935, Dec. 30, 1975, as amended at 65 FR 12934, Mar. 10, 2000]



Sec. 1631.62  Wool flokati carpets and rugs--alternative washing procedure.

    (a) The Standard for the Surface Flammability of Carpets and Rugs 
(FF 1-70) at Sec. 1630.4(b)(1)(ii) provides that if a carpet or rug has 
had a fire-retardant treatment, or is made of fibers which have had a 
fire-retardant treatment, the sample or oversized specimens thereof 
selected for testing under the standard shall be washed prior to the 
cutting of test specimens either 10 times under the washing and drying 
procedure prescribed in Method 124-1996 of the American Association of 
Textile Chemists and Colorists or such number of times under such other 
washing and drying procedure as shall previously have been found to be 
equivalent by

[[Page 714]]

the Consumer Product Safety Commission. AATCC Test Method 124-1996 
``Appearance of Fabrics after Repeated Home Laundering,'' is found in 
Technical Manual of the American Association of Textile Chemists and 
Colorists, vol. 73, 1997, which is incorporated by reference. Copies of 
this document are available from the American Association of Textile 
Chemists and Colorists, P.O. Box 12215, Research Triangle Park, North 
Carolina 27709. This document is also available for inspection at the 
Office of the Federal Register, 800 North Capitol Street, NW., Suite 
700, Washington, DC. This incorporation by reference was approved by the 
Director of the Federal Register in accordance with 5 U.S.C. 552(a) and 
1 CFR part 51. Alternatively the selected sample or oversized specimens 
thereof may be washed, dry-cleaned, or shampooed 10 times, prior to the 
cutting of test specimens, in such manner as the manufacturer or other 
interested party has previously established to the satisfaction of the 
Consumer Product Safety Commission is normally used for that type of 
carpet or rug in service.
    (b) On September 7, 1972 (37 FR 18122) the Federal Trade Commission 
published in the Federal Register a notice of approval of an alternative 
washing procedure under FF 2-70 for testing the flammability of wool 
flokati carpets and rugs. This approval is continued in effect by the 
Consumer Product Safety Commission pursuant to section 30(e) of the 
Consumer Product Safety Act (15 U.S.C. 2079(e)).
    (c) Any wool flokati carpet or rug for which such alternative 
procedure is utilized must be labeled with a conspicuous, legible and 
permanent label containing the following statement:

  Do Not Wash in Home Machine or Dry Clean--Avoid Rubbing or Brushing 
                               While Damp

    This Flokati carpet or rug has been treated with a flame retardant. 
To maintain this flame retardant and to keep the carpet attractive and 
clean, use the following methods.
    1. Vacuum (using suction head without rotating brush) or shake the 
rug (depending upon size) to remove loose dirt.
    2. Home laundering: Place in bath tub or other suitable receptacle 
in solution of home detergent and lukewarm water (approximately 105 
deg.F.). Immerse face down and gently knead back of rug to remove soil. 
Rinse in lukewarm water (approximately 105  deg.F.) until detergent is 
removed. Rug may then be rinsed again in cool water to improve 
appearance of face if desired. Line dry. Shake while damp to restore 
surface and fluff up fibers.
    3. Spot cleaning: Remove greasy stains with a household grease 
remover. Remove soluble stains with lukewarm water (approximately 105 
deg.F.) and detergent by immersing spot in a pan and kneading the back 
of rug. Rinse thoroughly in lukewarm water. Line or floor dry. Shake 
while damp to restore surface and fluff up fibers.
    4. Commercial cleaning: Use Roll-A-Jet equipment (or equivalent) 
with water not exceeding 105  deg.F. Avoid use of excessive pressure or 
reciprocating brushes. Drying temperatures should not exceed 200  deg.F.
    (d) The alternative procedure is as follows:
    (1) Cut test specimens to an oversize 12'' x 12'' before the 
procedure is initiated.
    (2) Vacuum specimens or shake vigorously to remove any loose fibers, 
dust or possible accumulated debris.
    (3) Place individual specimen face down in a shallow pan which has 
been filled to a depth of 2'' with a wash solution of 1.1 grams of AATCC 
(American Association of Textile Chemists and Colorists) Standard 
Detergent as specified in AATCC Method 124-1996 (or equivalent) per 
liter of water preheated to 105  deg.F. Knead the back of the specimen 
with hand for 1 minute. Water level and temperature should be maintained 
for each specimen.
    (4) Thoroughly rinse specimen face down with warm water at 105 
deg.F. for 1 minute under a faucet with strong pressure.
    (5) Remove excess liquor by use of a wringer, hydroextractor or 
gentle hand squeezing and dry in circulating air oven at 200  deg.F. 
until dry.
    (6) Repeat the above procedure 10 times using fresh detergent and 
fresh water for each set of eight specimens.
    (7) Subject the dry specimens to the test procedures in FF 2-70.
    (e) This washing procedure and labeling provisions are subject to 
revocation should it be determined that such procedure is inadequate to 
fully protect the public.

[40 FR 59935, Dec. 30, 1975, as amended at 65 FR 12934, Mar. 10, 2000]

[[Page 715]]



PART 1632--STANDARD FOR THE FLAMMABILITY OF MATTRESSES AND MATTRESS PADS (FF 4-72, AMENDED)--Table of Contents




                         Subpart A--The Standard

Sec.
1632.1 Definitions.
1632.2 Purpose, scope and applicability.
1632.3 General requirements.
1632.4 Mattress test procedure.
1632.5 Mattress pad test procedure.
1632.6 Ticking substitution procedure.
1632.7 Tape edge substitution procedure.
1632.8 Glossary of terms.

                    Subpart B--Rules and Regulations

1632.31 Mattresses/mattress pads--labeling, recordkeeping, guaranties 
          and ``one of a kind'' exemption.

                 Subpart C--Interpretations and Policies

1632.61-1632.62 [Reserved]
1632.63 Policy clarification on renovation of mattress.

    Authority: 15 U.S.C. 1193, 1194; 15 U.S.C. 2079(b).

    Source: 49 FR 39796, Oct. 10, 1984, unless otherwise noted.



                         Subpart A--The Standard



Sec. 1632.1  Definitions.

    In addition to the definitions given in section 2 of the Flammable 
Fabrics Act as amended (15 U.S.C. 1191), the following definitions apply 
for the purpose of the standard.
    (a) Mattress means a ticking filled with a resilient material used 
alone or in combination with other products intended or promoted for 
sleeping upon.
    (1) This definition includes, but is not limited to, adult 
mattresses, youth mattresses, crib mattresses including portable crib 
mattresses, bunk bed mattresses, futons, water beds and air mattresses 
which contain upholstery material between the ticking and the mattress 
core, and any detachable mattresses used in any item of upholstered 
furniture such as convertible sofa bed mattresses, corner group 
mattresses, day bed mattresses, roll-a-way bed mattresses, high risers, 
and trundle bed mattresses. See Sec. 1632.8 Glossary of terms, for 
definitions of these items.
    (2) This definition excludes sleeping bags, pillows, mattress 
foundations, liquid and gaseous filled tickings such as water beds and 
air mattresses which do not contain upholstery material between the 
ticking and the mattress core, upholstered furniture which does not 
contain a detachable mattress such as chaise lounges, drop-arm love 
seats, press-back lounges, push-back sofas, sleep lounges, sofa beds 
(including jackknife sofa beds), sofa lounges (including glide-outs), 
studio couches and studio divans (including twin studio divans and 
studio beds), and juvenile product pads such as car bed pads, carriage 
pads, basket pads, infant carrier and lounge pads, dressing table pads, 
stroller pads, crib bumpers, and playpen pads. See Sec. 1632.8 Glossary 
of terms, for definitions of these items.
    (b) Mattress Pad means a thin, flat mat or cushion, and/or ticking 
filled with resilient material for use on top of a mattress. This 
definition includes, but is not limited to, absorbent mattress pads, 
flat decubitus pads, and convoluted foam pads which are totally enclosed 
in ticking. This definition excludes convoluted foam pads which are not 
totally encased in ticking.
    (c) Ticking means the outermost layer of fabric or related material 
that encloses the core and upholstery materials of a mattress or 
mattress pad. A mattress ticking may consist of several layers of fabric 
or related materials quilted together.
    (d) Core means the main support system that may be present in a 
mattress, such as springs, foam, hair block, water bladder, air bladder, 
or resilient filling.
    (e) Upholstery material means all material, either loose or 
attached, between the mattress or mattress pad ticking and the core of a 
mattress, if a core is present.
    (f) Tape edge (edge) means the seam or border edge of a mattress or 
mattress pad.
    (g) Quilted means stitched with thread or by fusion through the 
ticking and one or more layers of upholstery material.
    (h) Tufted means buttoned or laced through the ticking and 
upholstery material and/or core, or having the ticking and upholstery 
material and/or

[[Page 716]]

core drawn together at intervals by any other method which produces a 
series of depressions on the surface.
    (i) Manufacturer means an individual plant or factory at which 
mattresses and/or mattress pads are produced or assembled.
    (j) Mattress prototype means mattresses of a particular design, 
sharing all materials and methods of assembly, but excluding differences 
in mattress size. If it has been shown as a result of prototype 
qualification testing that an upholstery material or core will not 
reduce the ignition resistance of the mattress prototype, substitution 
of another material for such material shall not be deemed a difference 
in materials for prototype definition. (See Sec. 1632.31(c)(4) for 
records required to demonstrate that a change of materials has not 
reduced ignition resistance of a mattress prototype.) If it is 
determined or suspected that a material has influenced the ignition 
resistance of the mattress prototype, a change in that material, 
excluding an increase in thickness, shall be deemed a difference in 
materials for purposes of prototype definition unless it is previously 
shown to the satisfaction of the Consumer Product Safety Commission that 
such change will not reduce the ignition resistance of the mattress 
prototype. Ticking materials may be substituted in accordance with 
Sec. 1632.6. Tape edge materials may be substituted in accordance with 
Sec. 1632.7.
    (k) Mattress pad prototype means mattress pads of a particular 
design, sharing all materials and methods of assembly, but excluding 
differences in mattress pad size. A change in existing material, except 
an increase in thickness, shall be deemed a difference in materials for 
purposes of prototype definition unless it is previously shown to the 
satisfaction of the Consumer Product Safety Commission that such change 
will not reduce the ignition resistance of the mattress pad prototype. 
Ticking materials may be substituted in accordance with Sec. 1632.6. 
Tape edge materials may be substituted in accordance with Sec. 1632.7.
    (l) Surface means one side of a mattress or mattress pad which is 
intended for sleeping upon and which can be tested.



Sec. 1632.2  Purpose, scope, and applicability.

    (a) Purpose. (1) This standard prescribes requirements for testing 
of prototype designs of mattresses and mattress pads before the sale in 
commerce or the introduction in commerce of any mattress or mattress pad 
which is subject to the standard. The standard prescribes a test to 
determine the ignition resistance of a mattress or a mattress pad when 
exposed to a lighted cigarette.
    (2) The standard sets forth a test at Sec. 1632.6 which may be used 
to classify ticking materials for resistance to cigarette ignition.
    (3) The standard sets forth a test at Sec. 1632.7 which may be used 
to demonstrate that the substitution of tape edge materials will not 
reduce the ignition resistance of a mattress prototype or a mattress pad 
prototype.
    (b) Scope. (1) All mattresses, as defined in Sec. 1632.1(a), and all 
mattress pads, as defined in Sec. 1632.1(b), manufactured or imported 
after the effective date of this amendment are subject to the 
requirements of the standard as amended.
    (2) All mattresses, as defined in Sec. 1632.1(a), and all mattress 
pads, as defined in Sec. 1632.1(b), manufactured or imported after June 
22, 1973, and before the effective date of this amendment are subject to 
those requirements of the Standard for the Flammability of Mattresses 
(and Mattress Pads) (16 CFR part 1632) which were in effect before the 
effective date of this amendment.
    (3) Manufacturers or importers desiring to use the ticking 
substitution procedure provided in Sec. 1632.6 may classify the ticking 
being used on each mattress prototype before or after the effective date 
of this amendment using the test procedure set forth in that section.
    (4) One-of-a-kind mattresses and mattress pads may be excluded from 
testing under this standard in accordance with rules established by the 
Consumer Product Safety Commission. (See Sec. 1632.31(f): exemption for 
mattresses and mattress pads prescribed by a physician.)
    (c) Applicability. (1) The requirements for prototype testing 
prescribed by this

[[Page 717]]

standard are applicable to each ``manufacturer'' (as that term is 
defined in Sec. 1632.1(i)) of mattresses or mattress pads subject to the 
standard which are manufactured for sale in commerce. The requirements 
of this standard for prototype testing are also applicable to all other 
persons or firms initially introducing mattresses or mattress pads into 
commerce, including importers; each such firm shall be deemed to be a 
``manufacturer'' for purposes of this standard.
    (2) The test at Sec. 1632.6 for classification of ticking materials 
may be used by manufacturers of mattresses or mattress pads and by 
manufacturers of ticking materials. The test at Sec. 1632.7 may be used 
by manufacturers of mattresses to demonstrate that substitution of tape 
edge materials will not reduce ignition resistance of a mattress 
prototype or a mattress pad prototype. Use of the tests in 
Sec. Sec. 1632.6 and 1632.7 is optional.



Sec. 1632.3  General requirements.

    (a) Summary of test method. The method measures the ignition 
resistance of a mattress or mattress pad by exposing the surface to 
lighted cigarettes in a draft-protected environment. The surfaces to be 
tested include smooth, tape edge, and quilted or tufted locations, if 
they exist on the mattress or mattress pad surface. A two-sheet test is 
also conducted on similar surface locations. In the latter test, the 
burning cigarettes are placed between the sheets.
    (b) Test criterion. When testing the mattress or mattress pad 
surface in accordance with the testing procedure set forth in 
Sec. 1632.4 Mattress test procedure, individual cigarette test locations 
pass the test if the char length is not more than 2 inches (5.1 cm) in 
any direction from the nearest point of the cigarette. In the interest 
of safety, the test operator should discontinue the test and record a 
failure before reaching the 2 inch char length if an obvious ignition 
has occurred.
    (c) Pre-market testing. Each manufacturer required to perform 
prototype testing by the standard shall perform the testing required by 
the standard with acceptable results before selling in commerce or 
introducing in commerce any mattress or mattress pad which is subject to 
the standard.
    (d) Specimen selection and qualification. (1) Each manufacturer 
required to perform prototype testing by the standard shall construct or 
select enough units of each proposed mattress prototype or proposed 
mattress pad prototype to provide six surfaces for testing. A minimum of 
three mattresses or mattress pads are required if both sides can be 
tested; six mattresses or mattress pads are required if only one side 
can be tested. Test each of the six surfaces according to 
Sec. 1632.4(d). If all the cigarette test locations on all six mattress 
surfaces yield passing results using the criterion specified in 
Sec. 1632.3(b), accept the mattress prototype. If all six surfaces of a 
mattress pad yield passing results using the criterion in 
Sec. 1632.3(b), and all other applicable requirements prescribed by 
Sec. 1632.5 are met, accept the mattress pad prototype. If one or more 
of the cigarette test locations on any of the six surfaces fail to meet 
the test criterion of Sec. 1632.3(b), reject the mattress prototype or 
the mattress pad prototype.
    (2) Prototype qualification testing may be repeated after action has 
been taken to improve the resistance of the mattress prototype or the 
mattress pad prototype to cigarette ignition by changes in design, 
construction methods, materials selection, or other means. When 
prototype qualification is repeated after rejection of a prototype, such 
qualification testing shall be conducted in the same manner as original 
qualification testing.
    (3) Each mattress prototype and each mattress pad prototype must be 
accepted in prototype qualification before any mattress or mattress pad 
manufactured in accordance with such mattress prototype or mattress pad 
prototype is sold in commerce or introduced in commerce. Any 
manufacturer required to perform testing by the standard may rely on 
prototype tests performed before the effective date of this amended 
standard, provided that such tests were conducted in accordance with all 
requirements of Sec. Sec. 1632.1(i), 1632.3(d), and 1632.4, and yield 
passing results when the test criterion of Sec. 1632.3(b) is applied. If 
the

[[Page 718]]

ticking classification test at Sec. 1632.6 is to be used when relying on 
prototype tests performed before the effective date of the standard, the 
ticking currently used on that mattress prototype must be classified 
before substitution of ticking using Sec. 1632.6.
    (4) Rejected prototype mattresses or prototype mattress pads shall 
not be retested, offered for sale, sold, or promoted for use as a 
mattress (as defined in Sec. 1632.1(a)) or for use as a mattress pad (as 
defined in Sec. 1632.1(b)) except after reworking to improve the 
resistance to ignition by cigarettes, and subsequent retesting and 
acceptance of the mattress prototype (as defined in Sec. 1632.1(j)) or 
the mattress pad prototype (as defined in Sec. 1632.1(k)).



Sec. 1632.4  Mattress test procedure.

    (a) Apparatus and Test Materials--(1) Testroom. The testroom shall 
be large enough to accommodate a full-scale mattress in a horizontal 
position and to allow for free movement of personnel and air around the 
test mattress. The test area shall be draft-protected and equipped with 
a suitable system for exhausting smoke and/or noxious gases produced by 
testing. The testroom atmospheric conditions shall be greater than 18 
deg.C (65  deg.F) and at less than 55 percent relative humidity.
    (i) The room shall be equipped with a support system (e.g. platform, 
bench) upon which a mattress may be placed flat in a horizontal position 
at a reasonable height for making observations.
    (ii) If thin flexible mattresses or mattress pads are being testing 
the room shall also be equipped with a glass fiberboard test surface. 
The glass fiberboard shall be approximately 1 inch (2.5 cm) thick and 
have a thermal conductivity of 0.300.05 cal (g) / hr cm\2\ 
deg.C/cm (0.240.04 Btu/hr ft\2\  deg.F/in) at 23.9  deg.C 
(75  deg.F). \1\
---------------------------------------------------------------------------

    \1\ Glass fiberboard that meets Federal Specification HH-I-558B is 
acceptable. Under this specification, the board must be Form A, Class 1, 
and plain faced. Copies of the specifications may be obtained from the 
Business Service Centers of the General Services Administration Regional 
Offices.
---------------------------------------------------------------------------

    (2) Ignition source. The ignition source shall be cigarettes without 
filter tips made from natural tobacco, 852 mm long with a 
tobacco packing density of 0.2700.02 g/cm\3\ and a total 
weight of 1.1gm.
    (3) Fire extinguisher. A pressurized water fire extinguisher, or 
other suitable fire extinguishing equipment, shall be immediately 
available.
    (4) Water bottle. A water bottle fitted with a spray nozzle shall be 
used to extinguish the ignited portions of the mattress.
    (5) Scale. A linear scale graduated in millimeters, 0.1 inch, or \1/
16\ inch divisions shall be used to measure char length.
    (6) Sheets or Sheeting Material. White, 100 percent cotton sheets or 
sheeting material shall be used. It shall not be treated with a chemical 
finish which imparts a characteristic such as permanent press or flame 
resistance. It shall have 120-210 threads per square inch and fabric 
weight of 3.70.8 oz/yd\2\ (12528 gm/m\2\). The 
size of the sheet or sheeting material shall be appropriate for the 
mattress being tested.
    (7) Other apparatus. In addition to the above, a thermometer, a 
relative humidity measuring instrument, a thin rod, straight pins, a 
knife or scissors, and tongs are required to carry out the testing.
    (b) Test Preparation--(1) Mattress samples. The mattress shall be 
removed from any packaging prior to conditioning. The mattress surface 
shall be divided laterally into two sections (see fig. 1), one section 
for the bare mattress tests and the other for the two-sheet tests.
    (2) Sheets or sheeting material. The sheets or sheeting material 
shall be laundered once before use in an automatic home washer using the 
hot water setting and longest normal cycle with the manufacturer's 
recommended quantity of a commercial detergent, and dried in an 
automatic home tumble dryer.
    (i) The sheet shall be cut across the width into two equal parts 
after washing.
    (ii) Sheeting material shall be cut in lengths to cover \1/2\ of a 
mattress as described in Sec. 1632.4(d)(3).

[[Page 719]]

    (3) Cigarettes. Unopened packages of cigarettes shall be selected 
for each series of tests. The cigarettes shall be removed from packaging 
prior to conditioning.
    (c) Conditioning. The mattresses, laundered sheets or sheeting 
material, and loose cigarettes shall be conditioned in air at a 
temperature greater than 18  deg.C (65  deg.F) and a relative humidity 
less than 55 percent for at least 48 continuous hours prior to test. The 
mattresses, laundered sheets or sheeting material, and cigarettes shall 
be supported in a suitable manner to permit free movement of air around 
them during conditioning. The mattress meets this conditioning 
requirement if the mattress and/or all its component materials, except 
the metallic core, if present, have been exposed only to the above 
temperature and humidity conditions for at least 48 continuous hours 
prior to testing the mattress.
    (d) Testing--(1) General. Mattress specimens shall be tested in a 
testroom with atmospheric conditions of a temperature greater than 18 
deg.C (65  deg.F) and a relative humidity less than 55 percent. If the 
test is not performed in the conditioning room, at least one lit 
cigarette shall be placed on the mattress surface within 10 minutes of 
removal from the conditioning room. The other side of the mattress shall 
be tested immediately after completion of the first side.
    (i) At least 18 cigarettes shall be burned on each mattress test 
surface, 9 in the bare mattress tests and 9 in the 2-sheet tests. If 
three or more mattress surface locations (smooth surface, tape edge, 
quilted, or tufted areas) exist in the particular mattress surface under 
test, three cigarettes shall be burned on each different surface 
location. If only two mattress surface locations exist in the particular 
mattress surface under test (tape edge and smooth surface), four 
cigarettes shall be burned on the smooth surface and five cigarettes 
shall be burned on the tape edge.
    (ii) Light and place one cigarette at a time on the mattress 
surface. (If previous experience with a similar type of mattress has 
indicated that ignition is not likely, the number of cigarettes which 
may be lighted and placed on the mattress at one time is left to the 
test operator's judgment. The number of cigarettes must be carefully 
considered because a smoldering or burning mattress is extremely 
hazardous and difficult to extinguish.) The cigarettes must be 
positioned no less than 6 inches apart on the mattress surface. Each 
cigarette used as an ignition source shall be well lighted but not 
burned more than 4 mm (0.16 inch) when placed on the mattress. (Fire 
extinguishing equipment must be readily available at all times.)
    (iii) If a cigarette extinguishes before burning its full length on 
any mattress surface location, pops out of position when tested on a 
tuft, or rolls off a test location, the test must be repeated with a 
freshly lit cigarette on a different portion of the same type of 
location on the mattress surface until either: the number of cigarettes 
specified in Sec. 1632.4(d)(1)(i) have burned their full lengths; the 
number of cigarettes specified in Sec. 1632.4(d)(1)(i) have extinguished 
before burning their full lengths; or failure has occurred according to 
Sec. 1632.3(b) Test criterion.
    (2) Bare mattress tests--(i) Smooth surface. Each burning cigarette 
shall be placed directly on a smooth surface location on the test 
surface on the half reserved for bare mattress tests. The cigarettes 
should burn their full lengths on a smooth surface without burning 
across a tuft, or stitching of a quilted area. However, if this is not 
possible because of mattress design, then the cigarettes shall be 
positioned on the mattress in a manner which will allow as much of the 
butt ends as possible to burn on smooth surfaces. Report results for 
each cigarette as pass or fail as defined in the test criterion (see 
Sec. 1632.3(b)). CAUTION: Even under the most carefully observed 
conditions, smoldering combustion can progress to the point where it 
cannot be readily extinguished. It is imperative that a test be 
discontinued as soon as ignition has definitely occurred. Immediately 
wet the exposed area with a water spray (from water bottle), cut around 
the burning material with a knife or scissors and pull the material out 
of the mattress with tongs. Make sure that all charred or burned 
material is removed. Ventilate the room.

[[Page 720]]

    (ii) Tape edge. Each burning cigarette shall be placed in the 
depression between the mattress top surface and the tape edge, parallel 
to the tape edge of the half of the test surface reserved for bare 
mattress tests. If there is only a seam or no depression at the edge, 
support the cigarettes in place along the edge and parallel to the edge 
with straight pins. Three straight pins may be inserted through the edge 
at a 45 deg. angle such that one pin supports the cigarette at the 
burned end, one at the center, and one at the butt. The heads of the 
pins must be below the upper surface of the cigarette (see fig. 2). 
Report results for each cigarette as pass or fail as defined in the test 
criterion (see Sec. 1632.3(b)).
[GRAPHIC] [TIFF OMITTED] TC03OC91.097

[GRAPHIC] [TIFF OMITTED] TC03OC91.098

    (iii) Quilted location. If quilting exists on the test surface, each 
burning cigarette shall be placed on quilted locations of the test 
surface. The cigarettes shall be positioned directly over the thread or 
in the depression created by the quilting process on the half of the 
test surface reserved for bare mattress tests. If the quilt design is 
such that the cigarettes cannot burn their full lengths over the thread 
or depression, then the cigarettes shall be positioned in a manner which 
will allow as much of the butt ends as possible to burn on the thread or 
depression. Report results for each cigarette as pass or fail as defined 
in the test criterion (see Sec. 1632.3(b)).

[[Page 721]]

    (iv) Tufted location. If tufting exists on the test surface, each 
burning cigarette shall be placed on tufted locations of the test 
surface. The cigarettes shall be positioned so that they burn down into 
the depression caused by the tufts and so that the butt ends of the 
cigarettes burn out over the buttons or laces used in the tufts or the 
depressions made by the tufts on the half of the test surface reserved 
for bare mattress tests. Report results for each cigarette as pass or 
fail as defined in the test criterion (see Sec. 1632.3(b)).
    (3) Two-sheet tests. Spread a section of sheet or sheeting material 
smoothly over the mattress surface which has been reserved for the two-
sheet test and tuck under the mattress. Care must be taken that hems or 
any other portion of the sheet which is more than one fabric thickness, 
is neither directly under nor directly over the test cigarette in the 
two-sheet test.
    (i) Smooth surfaces. Each burning cigarette shall be placed directly 
on the sheet covered mattress in a smooth surface location as defined in 
the bare mattress test. Immediately cover the first sheet and the 
burning cigarette loosely with a second, or top sheet (see fig. 2). Do 
not raise or lift the top sheet during testing unless obvious ignition 
has occurred or until the cigarette has burned out. Whether a cigarette 
has extinguished may be determined by holding the hand near the surface 
of the top sheet over the test location. If no heat is felt or smoke 
observed, the cigarette has burned out. If ignition occurs, immediately 
remove the sheets and cigarette and follow the cautionary procedures 
outlined in the bare mattress test. Report results for each cigarette as 
pass or fail as defined in the test criterion (see Sec. 1632.3(b)).
    (ii) Tape edge. (A) Each burning cigarette shall be placed in the 
depression between the top surface and the tape edge on top of the 
sheet, and immediately covered with a second sheet. It is important the 
air space be eliminated, as much as possible, between the mattress and 
the bottom sheet at the test location before testing. Depress the bottom 
sheet into the depression using a thin rod or other suitable instrument.
    (B) In most cases, the cigarettes will remain in place throughout 
the test. However, if the cigarettes show a marked tendency to roll off 
the tape edge location, they may be supported with straight pins. Three 
straight pins may be inserted through the bottom sheet and tape at a 
45 deg. angle such that one pin supports the cigarette at the burning 
end, one at the center, and one at the butt. The heads of the pins must 
be below the upper surface of the cigarette (see fig. 2). Report results 
for each cigarette as pass or fail as defined in the test criterion (see 
Sec. 1632.3(b)).
    (iii) Quilted locations. If quilting exists on the test surface, 
each burning cigarette shall be placed in a depression caused by 
quilting, directly over the thread and on the bottom sheet, and 
immediately covered with the top sheet. It is important that the air 
space be eliminated, as much as possible, between the mattress and the 
bottom sheet at the test location before testing. Depress the bottom 
sheet into the depression using a thin rod or other suitable instrument. 
If the quilt design is such that the cigarettes cannot burn their full 
lengths over the thread or depression, then the cigarettes shall be 
positioned in a manner which will allow as much of the butt ends as 
possible to burn on the thread or depresssion. Report results for each 
cigarette as pass or fail as defined in the test criterion (see 
Sec. 1632.3(b)).
    (iv) Tufted locations. If tufting exists on the test surface, each 
burning cigarette shall be placed in the depression caused by tufting, 
directly over the tuft and on the bottom sheet, and immediately covered 
with the top sheet. It is important that the air space be eliminated, as 
much as possible, between the mattress and the bottom sheet at the test 
location before testing. Depress the bottom sheet into the depression 
using a thin rod or other suitable instrument. The cigarettes shall be 
positioned so that they burn down into the depression caused by the tuft 
and so that the butt ends of the cigarettes burn out over the buttons or 
laces, if used in the tufts. Report results for each cigarette as pass 
or fail as defined in the test criterion (see Sec. 1632.3(b)).

[[Page 722]]

    (e) Records. Records of all prototype test results, and the 
disposition of rejected prototypes shall be maintained by the person or 
firm required to perform testing by the standard in accordance with 
Sec. 1632.31(c).



Sec. 1632.5  Mattress pad test procedure.

    (a) Testing. All mattress pads shall be tested, in the condition in 
which they are intended to be sold, according to Sec. 1632.4 Mattress 
test procedure, using the glass fiberboard substrate.
    (b) Flame resistant mattress pads. The following additional 
requirements shall be applicable to mattress pads which contain a 
chemical fire retardant.
    (1) These mattress pads shall be tested in accordance with 
Sec. 1632.4 Mattress test procedure after they have been washed and 
dried 10 times as described in Sec. 1632.5(b)(2).
    (i) Such laundering is not required of mattress pads which are 
intended for one time use and/or are not intended to be laundered, as 
determined by the Consumer Product Safety Commission.
    (ii) Mattress pads which are not susceptible to being laundered and 
are labeled ``dryclean only'' shall be drycleaned by a procedure which 
has previously been found acceptable by the Consumer Product Safety 
Commission.
    (2) Laundering procedure. (i) Washing shall be performed in 
accordance with sections 8.2.2 and 8.2.3 of AATCC Test Method 124-1996, 
using wash temperature V (60 deg. 3  deg.C, 140 deg. 
5  deg.F) specified in Table II of that method, and the 
water level, agitator speed, washing time, spin speed and final spin 
cycle specified for ``Normal/Cotton Sturdy'' in Table III.
    (ii) Drying shall be performed in accordance with section 8.3.1(A) 
of AATCC Test Method 124-1996 ``Appearance of Fabrics after Repeated 
Home Laundering,'' Tumble Dry, using the exhaust temperature (66 deg. 
5  deg.C, 150 deg. 10  deg.F) and cool down time 
of 10 minutes specified in the ``Durable Press'' conditions of Table IV.
    (iii) Maximum washer load shall be 3.64 Kg (8 pounds) and may 
consist of any combination of test samples and dummy pieces.
    (iv) AATCC Test Method 124-1996 ``Appearance of Fabrics after 
Repeated Home Laundering,'' is found in Technical Manual of the American 
Association of Textile Chemists and Colorists, vol. 73, 1997, which is 
incorporated by reference. Copies of this document are available from 
the American Association of Textile Chemists and Colorists, P.O. Box 
12215, Research Triangle Park, North Carolina 27709. This document is 
also available for inspection at the Office of the Federal Register, 800 
North Capitol Street, NW., Suite 700, Washington, DC. This incorporation 
by reference was approved by the Director of the Federal Register in 
accordance with 5 U.S.C. 552(a) and 1 CFR part 51.
    (v) A different number of wash and dry cycles using another 
procedure may be specified and used, if that procedure has previously 
been found to be equivalent by the Consumer Product Safety Commission.
    (3) Labeling--(i) Treatment label. If a mattress pad contains a 
chemical fire retardant, it shall be labeled with the letter ``T'' 
pursuant to rules and regulations established by the Consumer Product 
Safety Commission.
    (ii) Care label. All mattress pads which contain a chemical fire 
retardant treatment shall be labeled with precautionary instructions to 
protect the pads from agents or treatments which are known to cause 
deterioration of their flame resistance. Such labels shall be permanent 
and otherwise in accordance with rules and regulations established by 
the Consumer Product Safety Commission in Sec. 1632.31(b).
    (iii) Exception. One time use products as defined in 
Sec. 1632.5(b)(1)(i) are not subject to these labeling requirements.

[49 FR 39796, Oct. 10, 1984, as amended at 65 FR 12938, Mar. 10, 2000]



Sec. 1632.6  Ticking substitution procedure.

    (a) This procedure may be used to verify acceptable equivalency if a 
mattress or mattress pad manufacturer wishes to change the ticking used 
on a particular mattress or mattress pad prototype without conducting a 
prototype test as specified in Sec. 1632.4 or Sec. 1632.5. The procedure 
includes a ticking classification test that may be used by a ticking, 
mattress or mattress pad manufacturer or by a distributor of ticking.

[[Page 723]]

    (b) Definitions. For the purpose of this section the following 
definitions apply in addition to those in Sec. 1632.1.
    (1) Mattress ticking prototype. Means a ticking of a specific 
construction, color, or combination of colors or color pattern, weave 
pattern design, finish application, fiber content, and weight per unit 
area. With respect to film-coated ticking, a mattress ticking prototype 
means in addition to the factors listed above, a given method of 
application, chemical formula, and thickness of application of film 
coating. With respect to a quilted ticking, a mattress ticking prototype 
means the combination of a specific ticking as described above; a 
specific filling, thickness, density, and chemical composition; a 
specific thread; a specific method of quilting; and a specific backing 
fabric construction, weave, finish, fiber content, and weight.
    (2) Mattress pad ticking prototype (i) Means a ticking of a specific 
construction, color, or combination of colors or color pattern, weave 
pattern design, finish application, fiber content, and weight per unit 
area. With respect to film-coated ticking, a mattress pad ticking 
prototype means in addition to the factors listed above, a given method 
of application, chemical formula, and thickness of application of film 
coating.
    (ii) Quilted ticking is excluded from this definition. Therefore, 
the following procedures may not be used to substitute quilted ticking 
used on or as a mattress pad.
    (c) Scope and application. (1) This procedure provides an 
independent evaluation of the cigarette ignition characteristics of 
ticking and for the classification of ticking into one of three 
performance classes. Class A represents tickings evaluated as acting as 
barriers against cigarette ignition; Class B represents tickings 
evaluated as having no effect on cigarette ignition; and Class C 
represents tickings evaluated as having the potential, in some manner, 
to act as a contributor to cigarette ignition.
    (2) Substitution of any ticking which has been evaluated as Class A 
using the procedure in this Sec. 1632.6 for any other ticking material 
shall not be a ``difference in materials'' as that phrase is used in 
Sec. Sec. 1632.1 (j) and (k). Consequently, any ticking material 
evaluated as Class A under this test procedure may be used on any 
qualified mattress prototype or on any qualified mattress pad prototype 
without conducting new prototype tests.
    (3) Substitution of any ticking which has been evaluated as Class B 
using the procedure in this Sec. 1632.6 for the ticking material used on 
any mattress prototype or on any mattress pad prototype which was 
qualified in prototype testing with a testing material evaluated as 
Class B or a Class C shall not be a ``difference in materials'' as that 
phrase is used in Sec. Sec. 1632.1 (j) and (k). Consequently, any 
ticking material evaluated as Class B under this test procedure may be 
used on any mattress or mattress pad which wa qualified in prototype 
testing with a Class B or Class C ticking material without conducting 
new prototype tests. However, if Class B ticking material is to be used 
on any mattress or mattress pad which was qualified in prototype testing 
with a Class A ticking material, the mattress prototype or mattress pad 
prototype must be requalified, using a Class B ticking.
    (4) A ticking material which has been evaluated as Class C using the 
procedure in this Sec. 1632.6 may be used only on a mattress or mattress 
pad which was qualified in prototype testing with that particular Class 
C ticking material. Consequently, a ticking material evaluated as Class 
C under this test procedure may not be used on any mattress or mattress 
pad which was qualified in prototype testing using another Class C 
ticking material, or a Class A or Class B ticking material, without 
conducting new prototype tests.
    (d) General requirements. (1) This procedure is a ticking prototype 
performance classification test. Ticking not classified according to 
this procedure may be used on mattresses or mattress pads if the 
mattress prototype or mattress pad prototype has been qualified 
utilizing the unclassified ticking in question.
    (2) Test criterion. (i) Cigarette--An individual cigarette test 
location passes the test if the char length is not more than 1 inch 
(2.54 cm) in any direction

[[Page 724]]

from the nearest point of the cigarette, and the cotton felt is not 
ignited.
    CAUTION: In the interest of safety, the test operator should 
discontinue the test and record a failure before reaching the 1 inch 
(2.54 cm) char length if, in his opinion, an obvious ignition has 
occurred.
    (ii) Test Specimen--An individual test specimen passes the test if 
all three cigarette test locations meet the cigarette test criterion of 
this paragraph.
    (3) Specimen selection. Three specimens shall be used for each 
ticking prototype classification test, with each specimen measuring no 
less than 20 inches by 20 inches (50.8 cm x 50.8 cm) square. The three 
specimens shall be selected from any fabric piece taken from a ticking 
prototype. The specimens shall be representative of the ticking 
prototype.
    (4) Ticking classification. A ticking prototype is classified as 
Class A, Class B, or Class C, in accordance with the following 
schedules.
    (i) Class A--A ticking prototype is classified as Class A when three 
specimens, tested in accordance with Sec. 1632.6(e), meet the test 
criterion in Sec. 1632.6(d)(2) when the ticking is tested directly over 
the cotton felt on the test box.
    (ii) Class B--A ticking prototype is classified as Class B when 
three specimens, tested according to Sec. 1632.6(e), meet the test 
criterion in Sec. 1632.6(d)(2) when the ticking is tested on a \1/4\ 
inch \1/32\ inch (6.3 mm .8 mm) thick urethane 
foam pad covering the cotton felt on the test box.
    (iii) Class C--A ticking prototype is classified as Class C when any 
specimen tested according to Sec. 1632.6(e), fails to meet the test 
criterion in Sec. 1632.6(d)(2) when the ticking is tested on a \1/4\ 
inch \1/32\ inch (6.3 mm .8 mm) thick urethane 
foam pad covering the cotton felt on the test box.
    (e) Test procedure--(1) Apparatus. For the purpose of this section 
the following apparatus and materials are required in addition to that 
which is listed in Sec. 1632.4 (a) and (b).
    (i) Sheet and sheeting material. Test covers made from sheets or 
sheeting material shall not be less than 12 inches by 12 inches (30.48 
cm by 30.48 cm) square.
    (ii) Template. Designed to allow for a one inch marking around the 
placement of the cigarette (see figure 3). Use of this template is 
optional.
    (iii) Stapler or masking tape or other means of attachment to secure 
fabric to test box.
    (iv) Mounting box. A 6 inch deep, 12 inch square plywood box. The 
box contains two \1/2\ inch in diameter ventilation holes. (See figure 
4.)
    (v) Cotton felt. (A) The cotton felt shall be a thoroughly-garnetted 
mixture of all new material consisting of not less than 67% linters and 
of not more than 33% clean picker blend or equivalent binder and not 
more than 5% non-cellulosic total content. The felt shall not be 
bleached, moistened or chemically treated in any way.
    (B) The felt may be re-used repeatedly after completion of each test 
by removing all of the smoldering, charred, heat-discolored fibers, or 
fibers exposed to water as a result of extinguishing the cotton ignited 
by previous test.
    (vi) Urethane foam. The urethane foam shall have a density of 1.2 to 
1.5 pounds per cubic foot, an indention load deflection of 22 to 35 
pounds, with each test specimen measuring no less than 12 inches by 12 
inches (30.48 cm by 30.48 cm) square, having a thickness of \1/4\ inch 
\1/32\ inch (6.3 mm .8 mm). The foam shall not 
be treated with a flame retardant chemical.
    (2) Conditioning. The test specimens, cigarettes, laundered sheets 
or sheeting material, foam and felt shall be conditioned as described in 
Sec. 1632.4(c).
    (3) Specimen preparation. (i) Place 907.24 grams (two 
pounds) of cotton felt in the test box, allowing the felt to protrude 
above the opening of the box to a height of up to 3 inches (7.62 cm) at 
the crown.
    (ii) For the first part of this test, place a 12 inches by 12 inches 
(30.48 cm by 30.48 cm) square urethane foam pad on top of the cotton 
felt. Stretch the ticking specimen over the foam pad and fasten it to 
the sides of the test box using a stapler or tape. Be careful to avoid 
wrinkles in the fabric and have sufficient tautness to assure firm 
contact between the fabric and the filling materials in the test box.

[[Page 725]]

    (4) Testing. (i) Ticking specimens shall be tested in a testroom 
with atmospheric conditions of a temperature greater than 18  deg.C (65 
deg.F) and a relative humidity less than 55%.
    (ii) Three cigarettes shall be burned on each ticking specimen, with 
no more than one cigarette burning at any time. At least one cigarette 
shall be placed on the most prominent part of the color and weave 
pattern design in the ticking. If the ticking is quilted, one cigarette 
shall be placed over the thread or in the depression created by the 
quilting process. Each cigarette must be positioned no less than two 
inches (5.08 cm) from any other cigarette or the edge of the box.
    (iii) Light and place one cigarette on the test specimen. 
Immediately cover the burning cigarette with a sheet test cover. The 
cigarette shall be well lighted but not burned more than 4 mm (0.16 
inch) when placed on the test specimen. The cigarette may be supported 
by three straight pins such that one pin supports the cigarette at the 
burning end, one at the center and one at the butt. The heads of the 
pins must be below the upper surface of the cigarette. Upon completion 
of the three cigarette burns and removal of the fabric and foam 
specimens, remove all of the char or heat discoloration on the cotton 
felt as stated in Sec. 1632.6(e)(v)(B). Fresh new felt shall be added to 
replace the discarded fibers in the amount necessary to maintain the 
full 907.24 grams (two pounds) of felt for each test.
    (iv) If the cigarette extinguishes before burning its full length, 
the test must be repeated with a freshly lit cigarette on a different 
portion of the ticking specimen until either three cigarettes have 
burned their full lengths or three cigarettes have extinguished. Report 
result for each cigarette as pass or fail as defined in Test Criterion 
Sec. 1632.6(d)(2). An obvious ignition is recorded as a failure.
    (v) If ignition occurs with any of the three cigarette burns on the 
ticking specimen, terminate testing of that specimen and classify 
according to Sec. 1632.6(d)(4).
    (vi) If all cigarette test locations meet the Test Criterion in 
Sec. 1632.6(d)(2), repeat procedure outlined in Sec. 1632.6(e)(4)(iii) 
for the second part of the test with new ticking specimens that will be 
retested directly over the cotton felt, without the urethane foam pad. 
Remove the urethane foam pad and charred or heat discolored area from 
the cotton felt as specified in Sec. 1632.6(e)(v)(B) prior to testing. 
Record the test results as pass or fail as defined in Test Criterion 
Sec. 1632.6(d)(2) and classify according to Sec. 1632.6(d)(4).
    (5) Records. Records of any ticking classification test results 
relied upon by the mattress or mattress pad manufacturer or importer 
shall be maintained in accordance with rules and regulations established 
by the Consumer Product Safety Commission in Sec. 1632.31(c). As 
provided by Sec. 1632.31(c)(6), manufacturers or importers of mattresses 
or mattress pads may rely on a certification of compliance with this 
section of the standard provided by the ticking manufacturer or 
distributor; however, if a mattress or mattress pad fails to comply with 
the standard, the mattress or mattress pad manufacturer or importer must 
assume full responsibility under the standard. The Commission has no 
authority under this standard to compel ticking manufacturers or 
distributors to comply with this section or to establish, maintain and 
provide upon request, the records specified in Sec. 1632.31(c).

[[Page 726]]

[GRAPHIC] [TIFF OMITTED] TC03OC91.099


[[Page 727]]


[GRAPHIC] [TIFF OMITTED] TC03OC91.100


[[Page 728]]





Sec. 1632.7  Tape edge substitution procedure.

    (a) Sections 1632.1 (j) and (k) provide in part that ``a change in 
existing material shall be deemed a difference in materials for purposes 
of prototype definition unless it is shown to the satisfaction of the 
Consumer Product Safety Commission that such change will not reduce the 
ignition resistance'' of the mattress prototype or the mattress pad 
prototype.
    (b) The Commission will regard a showing ``to the satisfaction of 
the Consumer Product Safety Commission'' to have been made with respect 
to materials substitution of items such as flange materials and tapes at 
the tape edge under the following circumstances:
    (1) The mattress or mattress pad prototype has been qualified 
previously under the provisions of Sec. 1632.3; and
    (2) A substitution of materials involving only tape edge 
construction is contemplated; and
    (3) A prototype mattress or mattress pad incorporating the 
substitute materials has been tested in accordance with applicable 
procedures in Sec. 1632.4 by placing 36 cigarettes (18 per

surface--9 bare and 9 two-sheet) at tape edge locations with no test 
failure as determined by applying the test criterion of Sec. 1632.3(b); 
and
    (4) Records are maintained setting forth the details of the 
materials substitution and showing the results of the testing referred 
to in paragraph (b)(3) of this section. The records are to be maintained 
in accordance with regulations established by the Consumer Product 
Safety Commission (see Sec. 1632.31).



Sec. 1632.8  Glossary of terms.

    (a) Absorbent pads. Pad used on top of mattress. Designed to absorb 
urine thereby reducing skin irritation, can be one time use.
    (b) Basket pad. Cushion for use in an infant basket.
    (c) Bunk beds. A tier of beds, usually two or three, in a high frame 
complete with mattresses (see fig. 5).
    (d) Car bed. Portable bed used to carry a baby in an automobile.
    (e) Carriage pad. Cushion to go into a baby carriage.
    (f) Chaise lounge. An upholstered couch chair or a couch with a 
chair back. It has a permanent back rest, no arms, and sleeps one (see 
fig. 5).
    (g) Convertible sofa. An upholstered sofa that converts into an 
adult sized bed. Mattress unfolds out and up from under the seat 
cushioning (see fig. 5).
    (h) Convoluted foam pad. A bed pad made of foam in an egg-crate 
configuration not encased in ticking.
    (i) Corner groups. Two twin size bedding sets on frames, usually 
slipcovered, and abutted to a corner table. They also usually have loose 
bolsters slipcovered (see fig. 5).
    (j) Crib bumper. Padded cushion which goes around three or four 
sides inside a crib to protect the baby. Can also be used in a playpen.
    (k) Daybed. Daybed has foundation, usually supported by coil or flat 
springs, mounted between arms on which mattress is placed. It has 
permanent arms, no backrest, and sleeps one (see fig. 5).
    (l) Decubitus pad. Designed to prevent or assist in the healing of 
decubitus ulcers (bed sores). Flat decubitus pads are covered by the 
standard. Convoluted decubitus pads made entirely from foam are not 
covered by the standard.
    (m) Dressing table pad. Pad to cushion a baby on top of a dressing 
table.
    (n) Drop-arm loveseat. When side arms are in vertical position, this 
piece is a loveseat. The adjustable arms can be lowered to one of four 
positions for a chaise lounge effect or a single sleeper. The vertical 
back support always remains upright and stationary (see fig. 5).
    (o) Futon. A flexible mattress generally used on the floor that can 
be folded or rolled up for storage. It usually consists of resilient 
material covered by ticking.
    (p) High riser. This is a frame of sofa seating height with two 
equal size mattresses without a backrest. The frame slides out with the 
lower bed and rises to form a double or two single beds (see fig. 5).
    (q) Infant carrier and lounge pad. Pad to cushion a baby in an 
infant carrier.
    (r) Mattress foundation. Consists of any surface such as foam, box 
springs or other, upon which a mattress is

[[Page 729]]

placed to lend it support for use in sleeping upon.
    (s) Pillow. Cloth bag filled with resilient material such as 
feathers, down, sponge rubber, urethane, or fiber used as the support 
for the head of a person.
    (t) Playpen pad. Cushion used on the bottom of a playpen.
    (u) Portable crib. Smaller size than a conventional crib. Can 
usually be converted into a playpen.
    (v) Press-back lounges. Longer and wider than conventional sofa 
beds. When the lounge seat is pressed lightly, it levels off to form, 
with the seat, a flat sleeping surface. The seat slopes, in the sitting 
position, for added comfort (see fig. 5).
    (w) Push-back sofa. When pressure is exerted on the back of the 
sofa, it becomes a bed. When the back is lifted, it becomes a sofa 
again. Styled in tight or loose cushions (see fig. 5).
    (x) Roll-away-bed. Portable bed which has frame which folds in half 
with the mattress for compact storage.
    (y) Sleep lounge. Upholstered seating section is mounted on a sturdy 
frame. May have bolster pillows along the wall as backrests or may have 
attached headrests (see fig. 5).
    (z) Stroller pad. Cushion used in a baby stroller.
    (aa) Sofa bed. These are pieces in which the back of the sofa swings 
down flat with the seat to form the sleeping surface. All upholstered. 
Some sofa beds have bedding boxes for storage of bedding. There are two 
types: the one-piece, where the back and seat are upholstered as a unit, 
supplying an unbroken sleeping surface; and the two-piece, where back 
and seat are upholstered separately (see fig. 5).
    (bb) Sofa lounge--(includes glideouts). Upholstered seating section 
is mounted on springs and in a special frame that permit it to be pulled 
out for sleeping. Has upholstered backrest bedding box that is hinged. 
Glideouts are single sleepers with sloping seats and backrests. Seat 
pulls out from beneath back and evens up to supply level sleeping 
surface (see fig. 5).
    (cc) Studio couch. Consists of upholstered seating section on 
upholstered foundation. Many types convert to twin beds (see fig. 5).
    (dd) Studio divan. Twin size upholstered seating section with 
foundation is mounted on metal bed frame. Has no arms or backrest, and 
sleeps one (see fig. 5).
    (ee) Trundle bed. A low bed which is rolled under a larger bed. In 
some lines, the lower bed springs up to form a double or two single beds 
as in a high riser (see fig. 5).
    (ff) Twin studio divan. Frames which glide out (but not up) and use 
seat cushions, in addition to upholstered foundation to sleep two. Has 
neither arms nor back rest (see fig. 5).

[[Page 730]]

[GRAPHIC] [TIFF OMITTED] TC03OC91.101

    Effective date: The amended standard shall become effective on April 
10, 1985. As required by section 4(b) of the Flammable Fabrics Act (15 
U.S.C. 1193(b)), mattresses and mattress pads which are in inventory or 
with the trade on the effective date of the amended standard are exempt 
from its requirements, but must comply with all applicable requirements 
of the original standard.



                    Subpart B--Rules and Regulations



Sec. 1632.31  Mattresses/mattress pads--labeling, recordkeeping, guaranties and ``one of a kind'' exemption.

    (a) Definitions. For the purposes of this section, the following 
definitions apply:
    (1) Standard for the Flammability of Mattresses or Standard means 
the Standard for the Flammability of Mattresses and Mattress Pads (FF 4-
72, amended), (16 CFR part 1632, subpart A).

[[Page 731]]

    (2) The definition of terms set forth in the Sec. 1632.1 of the 
Standard shall also apply to this section.
    (b) Labeling. (1) All mattress pads which contain a chemical fire 
retardant shall be labeled with precautionary instructions to protect 
the pads from agents or treatments which are known to cause 
deterioration of their flame resistance. Such labels shall be permanent, 
prominent, conspicuous, and legible.
    (2) If a mattress pad contains a chemical fire retardant, it shall 
be prominently, conspicuously, and legibly labeled with the letter 
``T''.
    (3) Each mattress or mattress pad subject to the Standard shall bear 
a permanent, accessible, and legible label containing the month and year 
of manufacture and the location of the manufacturer. (See Sec. 1632.1(i) 
of the Amended Standard.)
    (4) The information required on labels by this section shall be set 
forth separately from any other information appearing on such label. 
Other information, representations, or disclosures, appearing on labels 
required by this section or elsewhere on the item, shall not interfere 
with, minimize, detract from, or conflict with the required information.
    (5) No person, other than the ultimate consumer, shall remove or 
mutilate, or cause or participate in the removal or mutilation of, any 
label required by this section to be affixed to any item.
    (6) Products intended for one time use (see Sec. 1632.5(b)(1)(i)) 
are not subject to the requirements of paragraphs (1) and (2) of this 
Sec. 1632.31(b).
    (c) Records--manufacturers, importers, or persons initially 
introducing items into commerce. Every manufacturer, importer, or other 
person initially introducing into commerce mattresses or mattress pads 
subject to the standard, irrespective of whether guarantees are issued 
relative thereto, shall maintain the records hereinafter specified.
    (1) Manufacturing specifications and description of each mattress or 
mattress pad prototype with an assigned prototype identification number.
    (2) Test results and details of each prototype test performed in 
accordance with Sec. 1632.4 or Sec. 1632.5, including prototype 
identification number, ticking classification if known, test room 
condition, cigarette locations, number of relights for each location, 
whether each cigarette location passed or failed, name and signature of 
person conducting the test and date of test. These records shall include 
a certification by the person overseeing the testing as to the test 
results and that the test was carried out in accordance with the 
Standard.
    (3) Photograph (color or black and white) of the bare surface of 
each mattress or mattress pad tested, in accordance with Sec. 1632.4 or 
Sec. 1632.5, with the prototype identification number of the mattress or 
mattress pad and a clear designation as to which part of the mattress or 
mattress pad was sheeted and which part was tested bare.
    (4) Records to support any determination that a particular material, 
other than the ticking or tape edge material used in a mattress or 
mattress pad prototype, did not influence the ignition resistance of the 
prototype and could be substituted by another material. Such record 
should include photographs or physical specimens.
    (5) Manufacturing specifications and description of any new ticking 
or tape edge material substituted in accordance with Sec. 1632.6 or 
Sec. 1632.7, with the identification number of the prototype involved.
    (6) The test results and details of any ticking classification test 
conducted in accordance with Sec. 1632.6, including the ticking 
classification (A, B, or C), the test room condition, the number of 
relights, whether each cigarette location passed or failed, the name and 
signature of the person conducting the test and the date of the test, or 
a certification from the ticking supplier. The certification should 
state the ticking classification and that the ticking was tested in 
accordance with Sec. 1632.6.
    (7) The test results and details of any test of tape edge materials 
conducted in accordance with Sec. 1632.7, including prototype 
identification number, test room condition, number of relights, whether 
each cigarette passed or failed, name and signature of person conducting 
the test and date of test. The record shall include a certification by 
the person overseeing the testing as to

[[Page 732]]

the test results and that the test was carried out in accordance with 
Sec. 1632.7.
    (8) Photograph (color or black and white) of the bare surface of 
each mattress or mattress pad tested in accordance with Sec. 1632.7, 
with the prototype identification number of the mattress or mattress pad 
and a clear designation as to which part of the mattress or mattress pad 
was sheeted and which part was tested bare.
    (9) Details of any approved alternate laundering procedure used in 
laundering mattress pads required by the Standard to be laundered during 
testing.
    (10) Identification, composition, and details of the application of 
any flame retardant treatments employed relative to mattress pads or 
mattress pad components.
    (11) Disposition of all failing or rejected prototype mattress or 
mattress pads. Such records must demonstrate that the items were 
retested and reworked in accordance with the Standard prior to sale or 
distribution and that such retested or reworked mattresses or mattress 
pads comply with the Standard, or must otherwise show the disposition of 
such items.
    (12) The records required by this paragraph shall be maintained for 
as long as the prototype is in production, the ticking is being used on 
the mattresses or mattress pad prototype, and/or the tape edge material 
is being used on the mattress or mattress pad prototype, and shall be 
retained for 3 years thereafter.
    (d) Tests for guaranty purposes. Reasonable and representative tests 
for the purpose of issuing a guaranty under section 8 of the Act for 
mattress or mattress pads subject to the Standard shall be those 
prototype and substitution tests performed, pursuant to the requirements 
of the Standard.
    (e) Compliance with this section. No person subject to the Flammable 
Fabrics Act shall manufacture for sale, import, distribute, or otherwise 
market or handle any mattress or mattress pad which is not in compliance 
with Sec. 1632.31.
    (f) ``One of a kind'' exemption for physician prescribed mattresses 
and mattress pads. (1) A mattress or mattress pad manufactured in 
accordance with a physician's written prescription or manufactured in 
accordance with other comparable written medical therapeutic 
specification, to be used in connection with the treatment or management 
of a named individual's physical illiness or injury, shall be considered 
a ``one of a kind mattress'' and shall be exempt from testing under the 
Standard pursuant to Sec. 1632.2(b)(4) thereof: Provided, that the 
mattress bears a permanent, conspicuous and legible label which states:
    WARNING: This mattress or mattress pad may be subject to ignition 
and hazardous smoldering from cigarettes. It was manufactured in 
accordance with a physician's prescription and has not been tested under 
the Federal Standard for the Flammability of Mattresses (FF 4-72).

Such labeling must be attached to the mattress or mattress pad so as to 
remain on or affixed thereto for the useful life of the mattress or 
mattress pad. The label must be at least 40 square inches (250 sq. cm) 
with no linear dimension less than 5 inches (12.5 cm). The letters in 
the word ``WARNING'' shall be no less than 0.5 inch (1.27 cm) in height 
and all letters on the label shall be in a color which contrasts with 
the background of the label. The warning statement which appears on the 
label must also be conspicuously displayed on the invoice or other sales 
papers that accompany the mattress in commerce from the manufacturer to 
the final point of sale to a consumer.
    (2) The manfacturer of a mattress or mattress pad exempted from 
testing under this paragraph shall, in lieu of the records required to 
be kept by paragraph (c) of this section, retain a copy of the written 
prescription or other comparable written medical therapeutic 
specification for such mattress or mattress pad during a period of three 
years, measured from the date of manufacture.
    (3) For purposes of this regulation the term physician shall mean a 
physician, chiropractor or osteopath licensed or otherwise permitted to 
practice by any State of the United States.

[[Page 733]]



                 Subpart C--Interpretations and Policies



Sec. Sec. 1632.61-1632.62  [Reserved]



Sec. 1632.63  Policy clarification on renovation of mattress.

    (a) Section 3 of the Flammable Fabrics Act (15 U.S.C. 1192) 
prohibits, among other things, the ``manufacture for sale'' of any 
product which fails to conform to an applicable standard issued under 
the act. The standard for the Flammability of Mattresses, as amended (FF 
4-72) (subpart A of this part), issued pursuant to the act, provides 
that, with certain exceptions, mattress must be tested according to a 
prescribed method. The standard does not exempt renovation; nor does it 
specifically refer to renovation.
    (b) The purpose of this document is to inform the public that 
mattresses renovated for sale are considered by the Commission to be 
mattresses manufactured for sale and, therefore, subject to the 
requirements of the Mattress Standard. The Commission believes that this 
policy clarification will better protect the public against the 
unreasonable risk of fires leading to death, personal injury or 
significant property damage, and assure that purchasers of renovated 
mattresses receive the same protection under the Flammable Fabrics Act 
as purchasers of new mattresses.
    (c) For purposes of this document, mattress renovation includes a 
wide range of operations. Replacing the ticking or batting, stripping a 
mattress to its springs, rebuilding a mattress, or replacing components 
with new or recycled materials, are all part of the process of 
renovation. Any one, or any combination of one or more, of these steps 
in mattress renovation is considered to be mattress manufacture.
    (d) If the person who renovates the mattress intends to retain the 
renovated mattress for his or her own use, or if a customer or a 
renovator merely hires the services of the renovator and intends to take 
back the renovated mattress for his or her own use, ``manufacture for 
sale'' has not occurred and such a renovated mattress is not subject to 
the mattress standard.
    (e) However, if a renovated mattress is sold or intended for sale, 
either by the renovator or the owner of the mattress who hires the 
services of the renovator, such a transaction is considered to be 
``manufacture for sale''.
    (f) Accordingly, mattress renovation is considered by the Commission 
to be ``manufacture for sale'' and, therefore, subject to the Mattress 
Standard, when renovated mattresses are sold or intended for sale by a 
renovator or the customer of the renovator.
    (g) A renovator who believes that certain mattresses are entitled to 
one-of-a-kind exemption, may present relevant facts to the Commission 
and petition for an exemption. Renovators are expected to comply with 
all the testing requirements of the Mattress Standard until an exemption 
is approved.

[[Page 734]]



    SUBCHAPTER E--POISON PREVENTION PACKAGING ACT OF 1970 REGULATIONS



PART 1700--POISON PREVENTION PACKAGING--Table of Contents




Sec.
1700.1 Definitions.
1700.2 Authority.
1700.3 Establishment of standards for special packaging.
1700.4 Effective date of standards.
1700.5 Noncomplying package requirements.
1700.14 Substances requiring special packaging.
1700.15 Poison prevention packaging standards.
1700.20 Testing procedure for special packaging.

    Authority: 15 U.S.C. 1471-76. Secs. 1700.1 and 1700.14 also issued 
under 15 U.S.C. 2079(a).

    Source: 38 FR 21247, Aug. 7, 1973, unless otherwise noted.



Sec. 1700.1  Definitions.

    (a) As used in this part:
    (1) Act means the Poison Prevention Packaging Act of 1970 (Pub. L. 
91-601, 84 Stat. 1670-74; 15 U.S.C. 1471-75), enacted December 30, 1970.
    (2) Commission means the Consumer Product Safety Commission 
established by section 4 of the Consumer Product Safety Act (86 Stat. 
1210; 15 U.S.C. 2053).
    (3) Dietary supplement means any vitamin and/or mineral preparation 
offered in tablet, capsule, wafer, or other similar uniform unit form; 
in powder, granule, flake, or liquid form; or in the physical form of a 
conventional food but which is not a conventional food; and which 
purports or is represented to be for special dietary use by humans to 
supplement their diets by increasing the total dietary intake of one or 
more of the essential vitamins and/or minerals.
    (b) Except for the definition of ``Secretary,'' which is obsolete, 
the definitions given in section 2 of the act are applicable to this 
part and are repeated herein for convenience as follows:
    (1) [Reserved]
    (2) Household substance means any substance which is customarily 
produced or distributed for sale for consumption or use, or customarily 
stored, by individuals in or about the household and which is:
    (i) A hazardous substance as that term is defined in section 2(f) of 
the Federal Hazardous Substances Act (15 U.S.C. 1261(f));
    (ii) A food, drug, or cosmetic as those terms are defined in section 
201 of the Federal Food, Drug, and Cosmetic Act (21 U.S.C. 321); or
    (iii) A substance intended for use as fuel when stored in a portable 
container and used in the heating, cooking, or refrigeration system of a 
house.
    (3) Package means the immediate container or wrapping in which any 
household substance is contained for consumption, use, or storage by 
individuals in or about the household and, for purposes of section 
4(a)(2) of the act, also means any outer container or wrapping used in 
the retail display of any such substance to consumers. ``Package'' does 
not include:
    (i) Any shipping container or wrapping used solely for the 
transportation of any household substance in bulk or in quantity to 
manufacturers, packers, or processors, or to wholesale or retail 
distributors thereof; or
    (ii) Any shipping container or outer wrapping used by retailers to 
ship or deliver any household substance to consumers unless it is the 
only such container or wrapping.
    (4) Special packaging means packaging that is designed or 
constructed to be significantly difficult for children under 5 years of 
age to open or obtain a toxic or harmful amount of the substance 
contained therein within a reasonable time and not difficult for normal 
adults to use properly, but does not mean packaging which all such 
children cannot open or obtain a toxic or harmful amount within a 
reasonable time.
    (5) Labeling means all labels and other written, printed, or graphic 
matter upon any household substance or

[[Page 735]]

its package, or accompanying such substance.

(Pub. L. 92-573, sec. 30(a), 86 Stat. 1231; (15 U.S.C. 2079(a)))

[38 FR 21247, Aug. 7, 1973, as amended at 41 FR 22266, June 2, 1976; 48 
FR 57480, Dec. 30, 1983]



Sec. 1700.2  Authority.

    Authority under the Poison Prevention Packaging Act of 1970 is 
vested in the Consumer Product Safety Commission by section 30(a) of the 
Consumer Product Safety Act (15 U.S.C. 2079(a)).



Sec. 1700.3  Establishment of standards for special packaging.

    (a) Pursuant to section 3 of the act, the Commission, after 
consultation with the technical advisory committee provided for by 
section 6 of the act, may establish by regulation standards for the 
special packaging of any household substance if the Commission finds:
    (1) That the degree or nature of the hazard to children in the 
availability of such substance, by reason of its packaging, is such that 
special packaging is required to protect children from serious personal 
injury or serious illness resulting from handling, using, or ingesting 
such substance; and
    (2) That the special packaging to be required by such standard is 
technically feasible, practicable, and appropriate for such substance.
    (b) In establishing such a standard, the Commission shall consider:
    (1) The reasonableness of such standard;
    (2) Available scientific, medical, and engineering data concerning 
special packaging and concerning childhood accidental ingestions, 
illness, and injury caused by household substances;
    (3) The manufacturing practices of industries affected by the act; 
and
    (4) The nature and use of the household substance.
    (c) In the process of establishing such a standard, the Commission 
shall publish its findings and reasons therefor and shall cite the 
sections of the act that authorize its action.
    (d) In establishing such standards, the Commission shall not 
prescribe specific packaging designs, product content, package quantity, 
or labeling except for labeling under section 4(a)(2) of the act. 
Regarding a household substance for which special packaging is required 
by regulation, the Commission can prohibit the packaging of such 
substance in a package which the Commission determines is unnecessarily 
attractive to children.
    (e) Promulgations pursuant to section 3 of the act shall be in 
accordance with section 5 of the act as to procedure.



Sec. 1700.4  Effective date of standards.

    (a) The FR document promulgating a regulation establishing a child 
protection packaging standard shall indicate the standard's effective 
date. Section 9 of the act specifies that the effective date shall not 
be sooner than 180 days or later than 1 year from the date the standard 
is promulgated in the Federal Register unless the Commission, for good 
cause found, determines that an earlier effective date is in the public 
interest and publishes in the Federal Register the reason for such 
finding, in which case such earlier effective date shall apply.
    (b) Upon becoming effective, a child protection packaging standard 
shall apply only to household substances packaged on and after its 
effective date.



Sec. 1700.5  Noncomplying package requirements.

    To make household substances that are subject to requirements for 
special packaging readily available to elderly or handicapped persons 
who are unable to use those substances in special packaging, section 
4(a) of the act authorizes manufacturers and packers to package such 
substances in noncomplying packaging of a single size provided that 
complying packaging is also supplied and the noncomplying packages are 
conspicuously labeled to indicate that they should not be used in 
households where young children are present. The purpose of this 
Sec. 1700.5 is to implement section 4(a) of the act by prescribing 
requirements for the labeling of noncomplying packages.
    (a) Labeling statement. (1) The statement ``This Package for 
Households Without Young Children'' shall appear conspicuously, and in 
accordance with all of the requirements of paragraph (a)

[[Page 736]]

of this section, on the package of any household substance subject to 
the special packaging requirements of this part 1700 that is supplied in 
noncomplying packaging under section 4(a) of the act, unless the package 
bears the substitute labeling statement in accordance with all of the 
requirements of paragraph (b) of this section.
    (2) The statement required by paragraph (a)(1) of this section shall 
appear on the principal display panel of the immediate container as well 
as on the principal display panel of any outer container or wrapping 
used in the retail display of the substance. If a package bears more 
than one principal display panel, the required statement shall appear on 
each principal display panel of the immediate container as well as on 
each principal display panel of any outer container or wrapping used in 
the retail display of the substance. The principal display panel is the 
part of the labeling most likely to be displayed, presented, shown, or 
examined.
    (3) The required labeling statement shall appear within the 
borderline of a square or rectangle on the principal display panel in 
conspicuous and easily legible capital letters, shall be in distinct 
contrast, by typography, layout, color, or embossing, to other matter on 
the package, and shall appear in lines generally parallel to the base on 
which the package rests as it is designed to be displayed.
    (4) The declaration shall be in letters in type size established in 
relationship to the area of the principal display panel of the package 
and shall be uniform for all packages of substantially the same size by 
complying with the following type-size specifications:
    (i) Not less than \1/16\ inch in height on packages the principal 
display panel of which has an area of 7 square inches or less.
    (ii) Not less than \3/32\ inch in height on packages the principal 
display panel of which has an area of more than 7 but not more than 15 
square inches.
    (iii) Not less than \1/8\ inch in height on packages the principal 
display panel of which has an area of more than 15 but not more than 25 
square inches.
    (iv) Not less than \3/16\ inch in height on packages the principal 
display panel of which has an area of more than 25 but not more than 100 
square inches.
    (v) Not less than \1/4\ inch in height on packages the principal 
display panel of which has an area of more than 100 square inches.
    (5)(i) For the purpose of obtaining uniform type size for the 
required statement for all packages of substantially the same size, the 
area of the principal display panel is the area of the side or surface 
that bears the principal display panel, which shall be:
    (A) In the case of a rectangular package where one entire side 
properly can be considered to be the principal display panel, the 
product of the height times the width of that side.
    (B) In the case of a cylindrical or nearly cylindrical container, 40 
percent of the product of the height of the container times the 
circumference.
    (C) In the case of any other shape of container, 40 percent of the 
total surface of the container; however, if such container presents an 
obvious principal display (such as the top of a triangular or circular 
package), the area shall consist of the entire area of such obvious 
principal display panel.
    (ii) In determining the area of the principal display panel exclude 
tops, bottoms, flanges at the tops and bottoms of cans, and shoulders 
and necks of bottles or jars. In the case of cylindrical or nearly 
cylindrical containers, the labeling statement required by this section 
to appear on the principal display panel shall appear within that 40 
percent of the circumference most likely to be displayed, presented, 
shown, or examined.
    (b) Substitute labeling statement. If the area of the principal 
display panel, as determined in accordance with paragraph (a)(5) of this 
section, is too small to accommodate the statement required by paragraph 
(a)(1) using the type size required by paragraph (a)(4), the substitute 
statement ``Package Not Child-Resistant'' may be used. This substitute 
statement must comply with all of the requirements for size, placement, 
and conspicuousness prescribed by paragraph (a) of this section.

[40 FR 4650, Jan. 31, 1975]

[[Page 737]]



Sec. 1700.14  Substances requiring special packaging.

    (a) Substances. The Commission has determined that the degree or 
nature of the hazard to children in the availability of the following 
substances, by reason of their packaging, is such that special packaging 
meeting the requirements of Sec. 1700.20(a) is required to protect 
children from serious personal injury or serious illness resulting from 
handling, using, or ingesting such substances, and the special packaging 
herein required is technically feasible, practicable, and appropriate 
for these substances:
    (1) Aspirin. Any aspirin-containing preparation for human use in a 
dosage form intended for oral administration shall be packaged in 
accordance with the provisions of Sec. 1700.15 (a), (b), and (c), except 
the following:
    (i) Effervescent tablets containing aspirin, other than those 
intended for pediatric use, provided the dry tablet contains not more 
than 15 percent aspirin and has an oral LD-50 in rats of 5 grams or more 
per kilogram of body weight.
    (ii) Unflavored aspirin-containing preparations in powder form 
(other than those intended for pediatric use) that are packaged in unit 
doses providing not more than 15.4 grains of aspirin per unit dose and 
that contain no other substance subject to the provisions of this 
section.
    (2) Furniture polish. Nonemulsion type liquid furniture polishes 
containing 10 percent or more of mineral seal oil and/or other petroleum 
distillates and having a viscosity of less than 100 Saybolt universal 
seconds at 100  deg.F., other than those packaged in pressurized spray 
containers, shall be packaged in accordance with the provisions of 
Sec. 1700.15 (a), (b), and (d).
    (3) Methyl salicylate. Liquid preparations containing more than 5 
percent by weight of methyl salicylate, other than those packaged in 
pressurized spray containers, shall be packaged in accordance with the 
provisions of Sec. 1700.15 (a), (b), and (c).
    (4) Controlled drugs. Any preparation for human use that consists in 
whole or in part of any substance subject to control under the 
Comprehensive Drug Abuse Prevention and Control Act of 1970 (21 U.S.C. 
801 et seq.) and that is in a dosage form intended for oral 
administration shall be packaged in accordance with the provisions of 
Sec. 1700.15 (a), (b), and (c).
    (5) Sodium and/or potassium hydroxide. Household substances in dry 
forms such as granules, powder, and flakes, containing 10 percent or 
more by weight of free or chemically unneutralized sodium and/or 
potassium hydroxide, and all other household substances containing 2 
percent or more by weight of free or chemically unneutralized sodium 
and/or potassium hydroxide, shall be packaged in accordance with the 
provisions of Sec. 1700.15 (a) and (b).
    (6) Turpentine. Household substances in liquid form containing 10 
percent or more by weight of turpentine shall be packaged in accordance 
with the provisions of Sec. 1700.15 (a) and (b).
    (7) Kindling and/or illuminating preparations. Prepackaged liquid 
kindling and/or illuminating preparations, such as cigarette lighter 
fuel, charcoal lighter fuel, camping equipment fuel, torch fuel, and 
fuel for decorative or functional lanterns, which contain 10 percent or 
more by weight of petroleum distillates and have a viscosity of less 
than 100 Saybolt universal seconds at 100  deg.F., shall be packaged in 
accordance with the provisions of Sec. 1700.15 (a) and (b).
    (8) Methyl alcohol (methanol). Household substances in liquid form 
containing 4 percent or more by weight of methyl alcohol (methanol), 
other than those packaged in pressurized spray containers, shall be 
packaged in accordance with the provisions of Sec. 1700.15 (a) and (b).
    (9) Sulfuric acid. Household substances containing 10 percent or 
more by weight of sulfuric acid, except such substances in wet-cell 
storage batteries, shall be packaged in accordance with the provisions 
of Sec. 1700.15 (a) and (b).
    (10) Prescription drugs. Any drug for human use that is in a dosage 
form intended for oral administration and that is required by Federal 
law to be dispensed only by or upon an oral or written prescription of a 
practitioner licensed by law to administer such drug shall be packaged 
in accordance with

[[Page 738]]

the provisions of Sec. 1700.15 (a), (b), and (c), except for the 
following:
    (i) Sublingual dosage forms of nitroglycerin.
    (ii) Sublingual and chewable forms of isosorbide dinitrate in dosage 
strengths of 10 milligrams or less.
    (iii) Erythromycin ethylsuccinate granules for oral suspension and 
oral suspensions in packages containing not more than 8 grams of the 
equivalent of erythromycin.
    (iv) Cyclically administered oral contraceptives in manufacturers' 
mnemonic (memory-aid) dispenser packages that rely solely upon the 
activity of one or more progestogen or estrogen substances.
    (v) Anhydrous cholestyramine in powder form.
    (vi) All unit dose forms of potassium supplements, including 
individually-wrapped effervescent tablets, unit dose vials of liquid 
potassium, and powdered potassium in unit-dose packets, containing not 
more than 50 milliequivalents of potassium per unit dose.
    (vii) Sodium fluoride drug preparations including liquid and tablet 
forms, containing not more than 110 milligrams of sodium fluoride (the 
equivalent of 50 mg of elemental fluoride) per package or not more than 
a concentration of 0.5 percent elemental fluoride on a weight-to-volume 
basis for liquids or a weight-to-weight basis for non-liquids and 
containing no other substances subject to this Sec. 1700.14(a)(10).
    (viii) Betamethasone tablets packaged in manufacturers' dispenser 
packages, containing no more than 12.6 milligrams betamethasone.
    (ix) Pancrelipase preparations in tablet, capsule, or powder form 
and containing no other substances subject to this Sec. 1700.14(a)(10).
    (x) Prednisone in tablet form, when dispensed in packages containing 
no more than 105 mg. of the drug, and containing no other substances 
subject to this Sec. 1700.14(a)(10).
    (xi)-(xii) [Reserved]
    (xiii) Mebendazole in tablet form in packages containing not more 
than 600 mg. of the drug, and containing no other substance subject to 
the provisions of this section.
    (xiv) Methylprednisolone in tablet form in packages containing not 
more than 84 mg of the drug and containing no other substance subject to 
the provisions of this section.
    (xv) Colestipol in powder form in packages containing not more than 
5 grams of the drug and containing no other substance subject to the 
provisions of this section.
    (xvi) Erythromycin ethylsuccinate tablets in packages containing no 
more than the equivalent of 16 grams erythromycin.
    (xvii) Conjugated Estrogens Tablets, U.S.P., when dispensed in 
mnemonic packages containing not more than 32.0 mg of the drug and 
containing no other substances subject to this Sec. 1700.14(a)(10).
    (xviii) Norethindrone Acetate Tablets, U.S.P., when dispensed in 
mnemonic packages containing not more than 50 mg of the drug and 
containing no other substances subject to this Sec. 1700.14(a)(10).
    (xix) Medroxyprogesterone acetate tablets.
    (xx) Sacrosidase (sucrase) preparations in a solution of glycerol 
and water.
    (11) Ethylene glycol. Household substances in liquid form containing 
10 percent or more by weight of ethylene glycol packaged on or after 
June 1, 1974, except those articles exempted by 16 CFR 1500.83, shall be 
packaged in accordance with the provisions of Sec. 1700.15 (a) and (b).
    (12) Iron-containing drugs. With the exception of: (i) Animal feeds 
used as vehicles for the administration of drugs, and (ii) those 
preparations in which iron is present solely as a colorant, 
noninjectable animal and human drugs providing iron for therapeutic or 
prophylactic purposes, and containing a total amount of elemental iron, 
from any source, in a single package, equivalent to 250 mg or more 
elemental iron in a concentration of 0.025 percent or more on a weight 
to volume basis for liquids and 0.025 percent or more on a weight to 
volume basis for liquids and 0.05 percent or more on a weight-to-weight 
basis for nonliquids (e.g., powders, granules, tablets, capsules, 
wafers, gels, viscous products, such as pastes and ointments, etc.) 
shall be packaged in accordance with

[[Page 739]]

the provisions of Sec. 1700.15 (a), (b), and (c).
    (13) Dietary supplements containing iron. Dietary supplements, as 
defined in Sec. 1700.1(a)(3), that contain an equivalent of 250 mg or 
more of elemental iron, from any source, in a single package in 
concentrations of 0.025 percent or more on a weight-to-volume basis for 
liquids and 0.05 percent or more on a weight-to-weight basis for 
nonliquids (e.g., powders, granules, tablets, capsules, wafers, gels, 
viscous products, such as pastes and ointments, etc.) shall be packaged 
in accordance with the provisions of Sec. 1700.15 (a), (b), and (c), 
except for the following:
    (i) Preparations in which iron is present solely as a colorant; and
    (ii) Powdered preparations with no more than the equivalent of 0.12 
percent weight-to-weight elemental iron.
    (14) [Reserved]
    (15) Solvents for paint or other similar surface-coating material. 
Prepackaged liquid solvents (such as removers, thinners, brush cleaners, 
etc.) for paints or other similar surface-coating materials (such as 
varnishes and lacquers), that contain 10 percent or more by weight of 
benzene (also known as benzol), toluene (also known as toluol), xylene 
(also known as xylol), petroleum distillates (such as gasoline, 
kerosene, mineral seal oil, mineral spirits, naphtha, and Stoddard 
solvent, etc.), or combinations thereof, and that have a viscosity of 
less than 100 Saybolt universal seconds at 100  deg.F., shall be 
packaged in accordance with the provisions of Sec. 1700.15 (a) and (b).
    (16) Acetaminophen. Preparations for human use in a dosage form 
intended for oral administration and containing in a single package a 
total of more than one gram acetaminophen shall be packaged in 
accordance with the provisions of Sec. 1700.15 (a), (b), and (c), except 
the following--
    (i) Effervescent tablets or granules containing acetaminophen, 
provided the dry tablet or granules contain less than 15 percent 
acetaminophen, the tablet or granules have an oral LD-50 of 5 grams or 
greater per kilogram of body weight, and the tablet or granules contain 
no other substance subject to the provisions of this section.
    (ii) Unflavored acetaminophen-containing preparations in powder form 
(other than those intended for pediatric use) that are packaged in unit 
doses providing not more than 13 grains of acetaminophen per unit dose 
and that contain no other substance subject to this Sec. 1700.14(a).
    (17) Diphenhydramine. Preparations for human use in a dosage form 
intended for oral administration and containing more than the equivalent 
of 66 mg diphenhydramine base in a single package shall be packaged in 
accordance with the provisions of Sec. 1700.15 (a), (b), and (c), if 
packaged on or after February 11, 1985.
    (18) Glue removers containing acetonitrile. Household glue removers 
in a liquid form containing more than 500 mg of acetonitrile in a single 
container.
    (19) Permanent wave neutralizers containing sodium bromate or 
potassium bromate. Home permanent wave neutralizers, in a liquid form, 
containing in single container more than 600 mg of sodium bromate or 
more than 50 mg of potassium bromate.
    (20) Ibuprofen. Ibuprofen preparations for human use in a dosage 
form intended for oral administration and containing one gram (1,000 mg) 
or more of ibuprofen in a single package shall be packaged in accordance 
with the provisions of Sec. 1700.15 (a), (b), and (c).
    (21) Loperamide. Preparations for human use in a dosage form 
intended for oral administration and containing more than 0.045 mg of 
loperamide in a single package (i.e., retail unit) shall be packaged in 
accordance with the provisions of Sec. 1700.15 (a), (b), and (c).
    (22) Mouthwash. Except as provided in the following sentence, 
mouthwash preparations for human use and containing 3 g or more of 
ethanol in a single package shall be packaged in accordance with the 
provisions of Sec. 1700.15 (a), (b), and (c). Mouthwash products with 
nonremovable pump dispensers that contain at least 7% on a weight-to-
weight basis of mint or cinnamon flavoring oils, that dispense no more 
than 0.03 grams of absolute ethanol per pump actuation, and that contain 
less than 15 grams of ethanol in a single unit are exempt from this 
requirement. The term ``mouthwash'' includes liquid products that are 
variously called

[[Page 740]]

mouthwashes, mouthrinses, oral antiseptics, gargles, fluoride rinses, 
anti-plaque rinses, and breath fresheners. It does not include throat 
sprays or aerosol breath fresheners.
    (23) Lidocaine. Products containing more than 5.0 mg of lidocaine in 
a single package (i.e., retail unit) shall be packaged in accordance 
with the provisions of Sec. 1700.15 (a) and (b).
    (24) Dibucaine. Products containing more than 0.5 mg of dibucaine in 
a single package (i.e., retail unit) shall be packaged in accordance 
with the provisions of Sec. 1700.15 (a) and (b).
    (25) Naproxen. Naproxen preparations for human use and containing 
the equivalent of 250 mg or more of naproxen in a single retail package 
shall be packaged in accordance with the provisions of Sec. 1700.15 (a), 
(b), and (c).
    (26) Ketoprofen. Ketoprofen preparations for human use and 
containing more than 50 mg of ketoprofen in a single retail package 
shall be packaged in accordance with the provisions of Sec. 1700.15 (a), 
(b) and (c).
    (27) Fluoride. Household substances containing more than the 
equivalent of 50 milligrams of elemental fluoride per package and more 
than the equivalent of 0.5 percent elemental fluoride on a weight-to-
volume basis for liquids or a weight-to-weight basis for non-liquids 
shall be packaged in accordance with the provisions of Sec. 1700.15(a), 
(b) and (c).
    (28) Minoxidil. Minoxidil preparations for human use and containing 
more than 14 mg of minoxidil in a single retail package shall be 
packaged in accordance with the provisions of Sec. 1700.15(a), (b) and 
(c). Any applicator packaged with the minoxidil preparation and which it 
is reasonable to expect may be used to replace the original closure 
shall also comply with the provisions of Sec. 1700.15(a), (b) and (c).
    (29)Methacrylic acid. Except as provided in the following sentence, 
liquid household products containing more than 5 percent methacrylic 
acid (weight-to-volume) in a single retail package shall be packaged in 
accordance with the provisions of Sec. 1700.15(a),(b) and (c). 
Methacrylic acid products applied by an absorbent material contained 
inside a dispenser (such as a pen-like marker) are exempt from this 
requirement provided that: (i) the methacrylic acid is contained by the 
absorbent material so that no free liquid is within the device, and (ii) 
under any reasonably foreseeable conditions of use the methacrylic acid 
will emerge only through the tip of the device.
    (b) Sample packages. (1) The manufacturer or packer of any of the 
substances listed under paragraph (a) of this section as substances 
requiring special packaging shall provide the Commission with a sample 
of each type of special packaging, as well as the labeling for each size 
product that will be packaged in special packaging and the labeling for 
any noncomplying package. Sample packages and labeling should be sent to 
the Consumer Product Safety Commission, Office of Compliance, 4330 East 
West Highway, Washington, DC 20207.
    (2) Sample packages should be submitted without contents when such 
contents are unnecessary for demonstrating the effectiveness of the 
packaging.
    (3) Any sample packages containing drugs listed under paragraph (a) 
of this section shall be sent by registered mail.
    (4) As used in paragraph (b)(1) of this section, the term 
manufacturer or packer does not include pharmacists and other 
individuals who dispense, at the retail or user level, drugs listed 
under paragraph (a) of this section as requiring special packaging.
    (c) Applicability. Special packaging standards for drugs listed 
under paragraph (a) of this section shall be in addition to any 
packaging requirements of the Federal Food, Drug, and Cosmetic Act or 
regulations promulgated thereunder or of any official compendia 
recognized by that act.

(Pub. L. 91-601, secs. 2(4), 3, 5, 85 Stat. 1670-72; 15 U.S.C. 1471(4), 
1472, 1474; Pub. L. 92-573, 86 Stat. 1231; 15 U.S.C. 2079(a))

[38 FR 21247, Aug. 7, 1973]

    Editorial Note: For Federal Register citations affecting 
Sec. 1700.14, see the List of CFR Sections Affected, which appears in 
the Finding Aids section of the printed volume and on GPO Access.

    Effective Date Notes: 1. At 66 FR 40115, Aug. 2, 2001, Sec. 1700.14 
was amended by adding paragraph (a)(30), effective Jan. 29, 2002. For

[[Page 741]]

the convenience of the user, the added text is set forth as follows:

Sec. 1700.14  Substances requiring special packaging.

    (a) * * *
    (30) Over-the-Counter Drug Products. (i) Any over-the-counter drug 
product in a dosage form intended for oral administration that contains 
an active ingredient also contained in a drug product that is or was a 
prescription drug product required by paragraph (a)(10) to be in special 
packaging shall be packaged in accordance with the provisions of 
Sec. 1700.15(a),(b), and (c). This requirement applies whether or not 
the amount of the active ingredient in the over-the-counter drug product 
is different from the amount of that active ingredient in the 
prescription drug product. This requirement does not apply to a drug 
product for which an application for over-the-counter marketing has been 
submitted to the FDA before January 29, 2002 or which has been granted 
over-the-counter status by the FDA before January 29, 2002. 
Notwithstanding the foregoing, any special packaging requirement under 
this section 1700.14 otherwise applicable to an over-the-counter drug 
product remains in effect.
    (ii) For purposes of this paragraph (30), active ingredient means 
any component that is intended to furnish pharmacological activity or 
other direct effect in the diagnosis, cure, mitigation, treatment, or 
prevention of disease or to affect the structure or any function of the 
body of humans; and drug product means a finished dosage form, for 
example, tablet, capsule, or solution, that contains a drug substance 
(active ingredient), generally, but not necessarily, in association with 
one or more other ingredients. (These terms are intended to have the 
meanings assigned to them in the regulations of the Food and Drug 
Administration appearing at 21 CFR 201.66 (2001) and 21 CFR 314.3 
(2000), respectively.)

                                * * * * *

    2. At 66 FR 53956, Oct. 25, 2001, Sec. 1700.14 was amended be adding 
paragraphs (a)(31) and (32), effective Oct. 25, 2002. For the 
convenience of the user, the added text is set forth as follows:

Sec. 1700.14  Substances requiring special packaging.

    (a) * * *
    (31) Hazardous substances containing low-viscosity hydrocarbons. All 
prepackaged nonemulsion-type liquid household chemical products that are 
hazardous substances as defined in the Federal Hazardous Substances Act 
(FHSA) (15 U.S.C. 1261(f)), and that contain 10 percent or more 
hydrocarbons by weight and have a viscosity of less than 100 SUS at 100 
deg.F, shall be packaged in accordance with the provisions of 
Sec. 1700.15(a), (b), and (c), except for the following:
    (i) Products in packages in which the only non-child-resistant 
access to the contents is by a spray device (e.g., aerosols, or pump-or 
trigger-actuated sprays where the pump or trigger mechanism has either a 
child-resistant or permanent attachment to the package).
    (ii) Writing markers and ballpoint pens exempted from labeling 
requirements under the FHSA by 16 CFR 1500.83.
    (iii) Products from which the liquid cannot flow freely, including 
but not limited to paint markers and battery terminal cleaners. For 
purposes of this requirement, hydrocarbons are defined as substances 
that consist solely of carbon and hydrogen. For products that contain 
multiple hydrocarbons, the total percentage of hydrocarbons in the 
product is the sum of the percentages by weight of the individual 
hydrocarbon components.
    (32) Drugs and cosmetics containing low-viscosity hydrocarbons. All 
prepackaged nonemulsion-type liquid household chemical products that are 
drugs or cosmetics as defined in the Federal Food, Drug, and Cosmetics 
Act (FDCA) (21 U.S.C. 321(a)), and that contain 10 percent or more 
hydrocarbons by weight and have a viscosity of less than 100 SUS at 100 
deg.F, shall be packaged in accordance with the provisions of 
Sec. 1700.15(a), (b), and (c), except for the following:
    (i) Products in packages in which the only non-child-resistant 
access to the contents is by a spray device (e.g., aerosols, or pump-or 
trigger-actuated sprays where the pump or trigger mechanism has either a 
child-resistant or permanent attachment to the package).
    (ii) Products from which the liquid cannot flow freely, including 
but not limited to makeup removal pads. For the purposes of this 
requirement, hydrocarbons are defined as substances that consist solely 
of carbon and hydrogen. For products that contain multiple hydrocarbons, 
the total percentage of hydrocarbons in the product is the sum of the 
percentages by weight of the individual hydrocarbon components.

                                * * * * *

    3. At 66 FR 65837, Dec. 21, 2001, Sec. 1700.14 was corrected by 
revising paragraph (a)(30)(i), effective Jan. 29, 2002. For the 
convenience of the user, the corrected text is set forth as follows:

Sec. 1700.14  Substances requiring special packaging.

    (a) * * *

                                * * * * *

[[Page 742]]

    (30) Over-the-Counter Drug Products. (i) Any over-the-counter (OTC) 
drug product in a dosage form intended for oral administration that 
contains any active ingredient that was previously available for oral 
administration only by prescription, and thus was required by paragraph 
(a)(10) of this section to be in special packaging, shall be packaged in 
accordance with the provisions of Sec. 1700.15(a),(b), and (c). This 
requirement applies whether or not the amount of that active ingredient 
in the OTC drug product is different from the amount of that active 
ingredient in the prescription drug product. This requirement does not 
apply if the OTC drug product contains only active ingredients of any 
oral drug product or products approved for OTC marketing based on an 
application for OTC marketing submitted to the Food and Drug 
Administration (FDA) by any entity before January 29, 2002. 
Notwithstanding the foregoing, any special packaging requirement under 
this Sec. 1700.14 otherwise applicable to an OTC drug product remains in 
effect.



Sec. 1700.15  Poison prevention packaging standards.

    To protect children from serious personal injury or serious illness 
resulting from handling, using, or ingesting household substances, the 
Commission has determined that packaging designed and constructed to 
meet the following standards shall be regarded as ``special packaging'' 
within the meaning of section 2(4) of the act. Specific application of 
these standards to substances requiring special packaging is in 
accordance with Sec. 1700.14.
    (a) General requirements. The special packaging must continue to 
function with the effectiveness specifications set forth in paragraph 
(b) of this section when in actual contact with the substance contained 
therein. This requirement may be satisfied by appropriate scientific 
evaluation of the compatibility of the substance with the special 
packaging to determine that the chemical and physical characteristics of 
the substance will not compromise or interfere with the proper 
functioning of the special packaging. The special packaging must also 
continue to function with the effectiveness specifications set forth in 
paragraph (b) of this section for the number of openings and closings 
customary for its size and contents. This requirement may be satisfied 
by appropriate technical evaluation based on physical wear and stress 
factors, force required for activation, and other such relevant factors 
which establish that, for the duration of normal use, the effectiveness 
specifications of the packaging would not be expected to lessen.
    (b) Effectiveness specifications. Special packaging, tested by the 
method described in Sec. 1700.20, shall meet the following 
specifications:
    (1) Child-resistant effectiveness of not less than 85 percent 
without a demonstration and not less than 80 percent after a 
demonstration of the proper means of opening such special packaging. In 
the case of unit packaging, child-resistant effectiveness of not less 
than 80 percent.
    (2) Ease of adult opening. (i) Senior-adult test. Except for 
products specified in paragraph (b)(2)(ii) of this section, special 
packaging shall have a senior adult use effectiveness (SAUE) of not less 
than 90% for the senior-adult panel test of Sec. 1700.20(a)(3).
    (ii) Younger-adult test. (A) When applicable. Products that must be 
in aerosol form and products that require metal containers, under the 
criteria specified below, shall have an effectiveness of not less than 
90% for the younger-adult test of Sec. 1700.20(a)(4). The senior-adult 
panel test of Sec. 1700.20(a)(3) does not apply to these products. For 
the purposes of this paragraph, metal containers are those that have 
both a metal package and a recloseable metal closure, and aerosol 
products are self-contained pressurized products.
    (B) Determination of need for metal or aerosol container.
    (1) Criteria. A product will be deemed to require metal containers 
or aerosol form only if:
    (i) No other packaging type would comply with other state or Federal 
regulations,
    (ii) No other packaging can reasonably be used for the product's 
intended application,
    (iii) No other packaging or closure material would be compatible 
with the substance,
    (iv) No other suitable packaging type would provide adequate shelf-
life for the product's intended use, or
    (v) Any other reason clearly demonstrates that such packaging is 
required.

[[Page 743]]

    (2) Presumption. In the absence of convincing evidence to the 
contrary, a product shall be presumed not to require a metal container 
if the product, or another product of identical composition, has 
previously been marketed in packaging using either a nonmetal package or 
a nonmetal closure.
    (3) Justification. A manufacturer or packager of a product that is 
in a metal container or aerosol form that the manufacturer or packager 
contends is not required to comply with the SAUE requirements of 
Sec. 1700.20(a)(3) shall provide, if requested by the Commission's 
staff, a written explanation of why the product must have a metal 
container or be an aerosol. Manufacturers and packagers who wish to do 
so voluntarily may submit to the Commission's Office of Compliance a 
rationale for why their product must be in metal containers or be an 
aerosol. In such cases, the staff will reply to the manufacturer or 
packager, if requested, stating the staff's views on the adequacy of the 
rationale.
    (c) Reuse of special packaging. Special packaging for substances 
subject to the provisions of this paragraph shall not be reused.
    (d) Restricted flow. Special packaging subject to the provisions of 
this paragraph shall be special packaging from which the flow of liquid 
is so restricted that not more than 2 milliliters of the contents can be 
obtained when the inverted, opened container is taken or squeezed once 
or when the container is otherwise activated once.

(Secs. 2(4), 3, 5, 84 Stat. 1670-72; 15 U.S.C. 1471(4), 1472, 1474)

[38 FR 21247, Aug. 7, 1973, as amended at 60 FR 37734, July 21, 1995]



Sec. 1700.20  Testing procedure for special packaging.

    (a) Test protocols--(1) General requirements--(i) Requirements for 
packaging. As specified in Sec. 1700.15(b), special packaging is 
required to meet the child test requirements and the applicable adult 
test requirements of this Sec. 1700.20.
    (ii) Condition of packages to be tested. (A) Tamper-resistant 
feature. Any tamper-resistant feature of the package to be tested shall 
be removed prior to testing unless it is part of the package's child-
resistant design. Where a package is supplied to the consumer in an 
outer package that is not part of the package's child-resistant design, 
one of the following situations applies:
    (1) In the child test, the package is removed from the outer 
package, and the outer package is not given to the child.
    (2) In both the adult tests, if the outer package bears instructions 
for how to open or properly resecure the package, the package shall be 
given to the test subject in the outer package. The time required to 
remove the package from the outer package is not counted in the times 
allowed for attempting to open and, if appropriate, reclose the package.
    (3) In both the adult tests, if the outer package does not bear any 
instructions relevant to the test, the package will be removed from the 
outer package, and the outer package will not be given to the test 
subject.
    (B) Reclosable packages--adult tests. In both the adult tests, 
reclosable packages, if assembled by the testing agency, shall be 
properly secured at least 72 hours prior to beginning the test to allow 
the materials (e.g., the closure liner) to ``take a set.'' If assembled 
by the testing agency, torque-dependent closures shall be secured at the 
same on-torque as applied on the packaging line. Application torques 
must be recorded in the test report. All packages shall be handled so 
that no damage or jarring will occur during storage or transportation. 
The packages shall not be exposed to extreme conditions of heat or cold. 
The packages shall be tested at room temperature.
    (2) Child test. (i) Test subjects. (A) Selection criteria. Use from 
1 to 4 groups of 50 children, as required under the sequential testing 
criteria in table 1. No more than 20% of the children in each group 
shall be tested at or obtained from any given site. Each group of 
children shall be randomly selected as to age, subject to the 
limitations set forth below. Thirty percent of the children in each 
group shall be of age 42-44 months, 40% of the children in each group 
shall be of age 45-48 months, and 30% of the children in each group 
shall be of age 49-51 months. The children's ages in months shall be 
calculated as follows:

[[Page 744]]

    (1) Arrange the birth date and test date by the numerical 
designations for month, day, and year (e.g., test date: 8/3/1990; birth 
date: 6/23/1986).
    (2) Subtract the month, day, and year numbers for the birth date 
from the respective numbers for the test date. This may result in 
negative numbers for the months or days. (e.g.,
[GRAPHIC] [TIFF OMITTED] TC14NO91.026

    (3) Multiply the difference in years by 12 to obtain the number of 
months in the difference in years, and add this value to the number of 
months that was obtained when the birth date was subtracted from the 
test date (i.e., 4 x 12 = 48; 48 + 2 = 50). This figure either will 
remain the same or be adjusted up or down by 1 month, depending on the 
number of days obtained in the subtraction of the birth date from the 
test date.
    (4) If the number of days obtained by subtracting the days in the 
birth date from the days in the test date is +16 or more, 1 month is 
added to the number of months obtained above. If the number of days is -
16 or less, subtract 1 month. If the number of days is between -15 and 
+15 inclusive, no change is made in the number of months. Thus, for the 
example given above, the number of days is -20, and the number of months 
is therefore 50 - 1 = 49 months.
    (B) Gender distribution. The difference between the number of boys 
and the number of girls in each age range shall not exceed 10% of the 
number of children in that range. The children selected should have no 
obvious or overt physical or mental handicap. A parent or guardian of 
each child shall read and sign a consent form prior to the child's 
participation. (The Commission staff will not disregard the results of 
tests performed by other parties simply because informed consent for 
children is not obtained.)
    (ii) Test failures. A test failure shall be any child who opens the 
special packaging or gains access to its contents. In the case of unit 
packaging, however, a test failure shall be any child who opens or gains 
access to the number of individual units which constitute the amount 
that may produce serious personal injury or serious illness, or a child 
who opens or gains access to more than 8 individual units, whichever 
number is lower, during the full 10 minutes of testing. The number of 
units that a child opens or gains access to is interpreted as the 
individual units from which the product has been or can be removed in 
whole or in part. The determination of the amount of a substance that 
may produce serious personal injury or serious illness shall be based on 
a 25-pound (11.4 kg) child. Manufacturers or packagers intending to use 
unit packaging for a substance requiring special packaging are requested 
to submit such toxicological data to the Commission's Office of 
Compliance.
    (iii) Sequential test. The sequential test is initially conducted 
using 50 children, and, depending on the results, the criteria in table 
1 determine whether the package is either child-resistant or not child-
resistant or whether further testing is required. Further testing is 
required if the results are inconclusive and involves the use of one or 
more additional groups of 50 children each, up to a maximum of 200 
children. No individual shall administer the test to more than 30% of 
the children tested in each group. Table 1 gives the acceptance (pass), 
continue testing, and rejection (fail) criteria to be used for the first 
5 minutes and the full 10 minutes of the children's test. If the test 
continues past the initial 50-child panel, the package openings shown in 
table 1 are cumulative.

[[Page 745]]



 Table 1--Number of Openings: Acceptance (Pass), Continue Testing, and Rejection (Fail) Criteria for the First 5
                         Minutes and the Full 10 Minutes of the Children's Protocol Test
----------------------------------------------------------------------------------------------------------------
                                                                        Package openings
                                    Cumulative -----------------------------------------------------------------
            Test panel               number of          First 5 minutes                  Full 10 minutes
                                     children  -----------------------------------------------------------------
                                                   Pass     Continue     Fail       Pass     Continue     Fail
----------------------------------------------------------------------------------------------------------------
1.................................          50        0-3       4-10        11+        0-5       6-14        15+
2.................................         100       4-10      11-18        19+       6-15      16-24        25+
3.................................         150      11-18      19-25        26+      16-25      26-34        35+
4.................................         200      19-30  .........        31+      26-40  .........        41+
----------------------------------------------------------------------------------------------------------------

    (iv) Test procedures. The children shall be divided into groups of 
two. The testing shall be done in a location that is familiar to the 
children, for example, their customary nursery school or regular 
kindergarten. No child shall test more than two special packages. When 
more than one special package is being tested, each package shall be of 
a different ASTM type and they shall be presented to the paired children 
in random order. This order shall be recorded. The children shall be 
tested by the procedure incorporated in the following test instructions:

                  Standardized Child Test Instructions

    1. Reclosable packages, if assembled by the testing agency, shall be 
properly secured at least 72 hours prior to the opening described in 
instruction number 3 to allow the materials (e.g., the closure liner) to 
``take a set.'' Application torques must be recorded in the test report.
    2. All packages shall be handled so that no damage or jarring will 
occur during storage or transportation. The packages shall not be 
exposed to extreme conditions of heat or cold. The packages shall be 
tested at room temperature.
    3. Reclosable packages shall be opened and properly resecured one 
time (or more if appropriate), by the testing agency or other adult 
prior to testing. The opening and resecuring shall not be done in the 
presence of the children. (In the adult-resecuring test, the tester must 
not open and resecure the package prior to the test.) If multiple 
openings/resecurings are to be used, each of four (4) testers shall open 
and properly resecure one fourth of the packages once and then shall 
open and properly resecure each package a second, third, fourth, through 
tenth (or other specified number) time, in the same sequence as the 
first opening and resecuring. The packages shall not be opened and 
resecured again prior to testing. The name of each tester and the 
package numbers that he/she opens and resecures shall be recorded and 
reported. It is not necessary for the testers to protocol test the 
packages that they opened and resecured.
    4. The children shall have no overt physical or mental handicaps. No 
child with a permanent or temporary illness, injury, or handicap that 
would interfere with his/her effective participation shall be included 
in the test.
    5. The testing shall take place in a well-lighted location that is 
familiar to the children and that is isolated from all distractions.
    6. The tester, or another adult, shall escort a pair of children to 
the test area. The tester shall seat the two children so that there is 
no visual barrier between the children and the tester.
    7. The tester shall talk to the children to make them feel at ease.
    8. The children shall not be given the impression that they are in a 
race or contest. They are not to be told that the test is a game or that 
it is fun. They are not to be offered a reward.
    9. The tester shall record all data prior to, or after, the test so 
that full attention can be on the children during the test period.
    10. The tester shall use a stopwatch(s) or other timing devices to 
time the number of seconds it takes the child to open the package and to 
time the 5-minute test periods.
    11. To begin the test, the tester shall hand the children identical 
packages and say, ``PLEASE TRY TO OPEN THIS FOR ME.''
    12. If a child refuses to participate after the test has started, 
the tester shall reassure the child and gently encourage the child to 
try. If the child continues to refuse, the tester shall ask the child to 
hold the package in his/her lap until the other child is finished. This 
pair of children shall not be eliminated from the results unless the 
refusing child disrupts the participation of the other child.
    13. Each child shall be given up to 5 minutes to open his/her 
package. The tester shall watch the children at all times during the 
test. The tester shall minimize conversation with the children as long 
as they continue to attempt to open their packages. The tester shall not 
discourage the children verbally or with facial expressions. If a child

[[Page 746]]

gets frustrated or bored and stops trying to open his/her package, the 
tester shall reassure the child and gently encourage the child to keep 
trying (e.g., ``please try to open the package'').
    14. The children shall be allowed freedom of movement to work on 
their packages as long as the tester can watch both children (e.g., they 
can stand up, get down on the floor, or bang or pry the package).
    15. If a child is endangering himself or others at any time, the 
test shall be stopped and the pair of children eliminated from the final 
results.
    16. The children shall be allowed to talk to each other about 
opening the packages and shall be allowed to watch each other try to 
open the packages.
    17. A child shall not be allowed to try to open the other child's 
package.
    18. If a child opens his/her package, the tester shall say, ``THANK 
YOU,'' take the package from the child and put it out of the child's 
reach. The child shall not be asked to open the package a second time.
    19. At the end of the 5-minute period, the tester shall demonstrate 
how to open the package if either child has not opened his or her 
package. A separate ``demo'' package shall be used for the 
demonstration.
    20. Prior to beginning the demonstration, the tester shall ask the 
children to set their packages aside. The children shall not be allowed 
to continue to try to open their packages during the demonstration 
period.
    21. The tester shall say, ``WATCH ME OPEN MY PACKAGE.''
    22. Once the tester gets the children's full attention, the tester 
shall hold the demo package approximately two feet from the children and 
open the package at a normal speed as if the tester were going to use 
the contents. There shall be no exaggerated opening movements.
    23. The tester shall not discuss or describe how to open the 
package.
    24. To begin the second 5-minute period, the tester shall say, ``NOW 
YOU TRY TO OPEN YOUR PACKAGES.''
    25. If one or both children have not used their teeth to try to open 
their packages during the first 5 minutes, the tester shall say 
immediately before beginning the second 5-minute period, ``YOU CAN USE 
YOUR TEETH IF YOU WANT TO.'' This is the only statement that the tester 
shall make about using teeth.
    26. The test shall continue for an additional 5 minutes or until 
both children have opened their packages, whichever comes first.
    27. At the end of the test period, the tester shall say, ``THANK YOU 
FOR HELPING.'' If children were told that they could use their teeth, 
the tester shall say, ``I KNOW I TOLD YOU THAT YOU COULD USE YOUR TEETH 
TODAY, BUT YOU SHOULD NOT PUT THINGS LIKE THIS IN YOUR MOUTH AGAIN'' In 
addition, the tester shall say, ``NEVER OPEN PACKAGES LIKE THIS WHEN YOU 
ARE BY YOURSELF. THIS KIND OF PACKAGE MIGHT HAVE SOMETHING IN IT THAT 
WOULD MAKE YOU SICK.''
    28. The children shall be escorted back to their classroom or other 
supervised area by the tester or another adult.
    29. If the children are to participate in a second test, the tester 
shall have them stand up and stretch for a short time before beginning 
the second test. The tester shall take care that the children do not 
disrupt other tests in progress.
    (3) Senior-adult panel. (i) Test subjects. Use a group of 100 senior 
adults. Not more than 24% of the senior adults tested shall be obtained 
from or tested at any one site. Each group of senior adults shall be 
randomly selected as to age, subject to the limitations set forth below. 
Twenty-five percent of the participants shall be 50-54 years of age, 25% 
of participants shall be 55-59 years of age, and 50% of the participants 
shall be 60-70 years old. Seventy percent of the participants of ages 
50-59 and ages 60-70 shall be female (17 or 18 females shall be 
apportioned to the 50-54 year age group). No individual tester shall 
administer the test to more than 35% of the senior adults tested. The 
adults selected should have no obvious or overt physical or mental 
disability.
    (ii) Screening procedures. Participants who are unable to open the 
packaging being tested in the first 5-minute time period, are given a 
screening test. The screening tests for this purpose shall use two 
packages with conventional (not child-resistant (CR) or ``special'') 
closures. One closure shall be a plastic snap closure and the other a CT 
plastic closure. Each closure shall have a diameter of 28 
mm18%, and the CT closures shall have been resecured 72 
hours before testing at 10 inch-pounds of torque. The containers for 
both the snap- and CT-type closures shall be round plastic containers, 
in sizes of 2 ounce\1/2\ ounce for the CT-type closure and 8 
drams4 drams for the snap-type closure. Persons who cannot 
open and close both of the screening packages in 1-minute screening 
tests shall not be counted as participants in the senior-adult panel.
    (iii) SAUE. The senior adult use effectiveness (SAUE) is the 
percentage of

[[Page 747]]

adults who both opened the package in the first (5-minute) test period 
and opened and (if appropriate) properly resecured the package in the 1-
minute test period.
    (iv) Test procedures. The senior adults shall be tested 
individually, rather than in groups of two or more. The senior adults 
shall receive only such printed instructions on how to open and properly 
secure the special packaging as will appear on or accompany the package 
as it is delivered to the consumer. The senior-adult panel is tested 
according to the procedure incorporated in the following senior-adult 
panel test instructions:

                    Test Instructions for Senior Test

    The following test instructions are used for all senior tests. If 
non-reclosable packages are being tested, the commands to close the 
package are eliminated.
    1. No adult with a permanent or temporary illness, injury, or 
disability that would interfere with his/her effective participation 
shall be included in the test.
    2. Each adult shall read and sign a consent form prior to 
participating. Any appropriate language from the consent form may be 
used to recruit potential participants. The form shall include the basic 
elements of informed consent as defined in 16 CFR 1028.116. Examples of 
the forms used by the Commission staff for testing are shown at 
Sec. 1700.20(d). Before beginning the test, the tester shall say, 
``PLEASE READ AND SIGN THIS CONSENT FORM.'' If an adult cannot read the 
consent form for any reason (forgot glasses, illiterate, etc.), he/she 
shall not participate in the test.
    3. Each adult shall participate individually and not in the presence 
of other participants or onlookers.
    4. The tests shall be conducted in well-lighted and distraction-free 
areas.
    5. Records shall be filled in before or after the test, so that the 
tester's full attention is on the participant during the test period. 
Recording the test times to open and resecure the package are the only 
exceptions.
    6. To begin the first 5-minute test period, the tester says, ``I AM 
GOING TO ASK YOU TO OPEN AND PROPERLY CLOSE THESE TWO IDENTICAL PACKAGES 
ACCORDING TO THE INSTRUCTIONS FOUND ON THE CAP.'' (Specify other 
instruction locations if appropriate.)
    7. The first package is handed to the participant by the tester, who 
says, ``PLEASE OPEN THIS PACKAGE ACCORDING TO THE INSTRUCTIONS ON THE 
CAP.'' (Specify other instruction locations if appropriate.) If the 
package contains product, the tester shall say, ``PLEASE EMPTY THE 
(PILLS, TABLETS, CONTENTS, etc.) INTO THIS CONTAINER.'' After the 
participant opens the package, the tester says, ``PLEASE CLOSE THE 
PACKAGE PROPERLY, ACCORDING TO THE INSTRUCTIONS ON THE CAP.'' (Specify 
other instruction locations if appropriate)
    8. Participants are allowed up to 5 minutes to read the instructions 
and open and close the package. The tester uses a stopwatch(s) or other 
timing device to time the opening and resecuring times. The elapsed 
times in seconds to open the package and to close the package are 
recorded on the data sheet as two separate times.
    9. After 5 minutes, or when the participant has opened and closed 
the package, whichever comes first, the tester shall take all test 
materials from the participant. The participant may remove and replace 
the closure more than once if the participant initiates these actions. 
If the participant does not open the package and stops trying to open it 
before the end of the 5-minute period, the tester shall say, ``ARE YOU 
FINISHED WITH THAT PACKAGE, OR WOULD YOU LIKE TO TRY AGAIN?'' If the 
participant indicates that he/she is finished or cannot open the package 
and does not wish to continue trying, skip to Instruction 13.
    10. To begin the second test period, the tester shall give the 
participant another, but identical, package and say, ``THIS IS AN 
IDENTICAL PACKAGE. PLEASE OPEN IT ACCORDING TO THE INSTRUCTIONS ON THE 
CAP.'' (Specify other instruction locations if appropriate.) If the 
package contains product, the tester shall say, ``PLEASE EMPTY THE 
(PILLS, TABLETS, CONTENTS, etc.) INTO THIS CONTAINER.'' After the 
participant opens the package, the tester says, ``PLEASE CLOSE THE 
PACKAGE PROPERLY, ACCORDING TO THE INSTRUCTIONS ON THE CAP.'' (Specify 
other instruction locations if appropriate.)
    11. The participants are allowed up to 1 minute (60 full seconds) to 
open and close the package. The elapsed times in seconds to open and to 
close the package are recorded on the data sheet as two separate times. 
The time that elapses between the opening of the package and the end of 
the instruction to close the package is not counted as part of the 1-
minute test time.
    12. After the 1-minute test, or when the participant has opened and 
finished closing the package, whichever comes first, the tester shall 
take all the test materials from the participant. The participant shall 
not be allowed to handle the package again. If the participant does not 
open the package and stops trying to open it before the end of the 1-
minute period, the tester shall say, ``ARE YOU FINISHED WITH THAT 
PACKAGE, OR WOULD YOU LIKE TO TRY AGAIN?'' If the participant indicates 
that he/she is finished

[[Page 748]]

or cannot open the package and does not wish to continue trying, this 
shall be counted as a failure of the 1-minute test.
    13. Participants who do not open the package in the first 5-minute 
test period are asked to open and close two non-child-resistant 
screening packages. The participants are given a 1-minute test period 
for each package. The tester shall give the participant a package and 
say, ``PLEASE OPEN AND PROPERLY CLOSE THIS PACKAGE.'' The tester records 
the time for opening and closing, or 61 seconds, whichever is less, on 
the data sheet. The tester then gives the participant the second package 
and says, ``PLEASE OPEN AND PROPERLY CLOSE THIS PACKAGE.'' The time to 
open and resecure, or 61 seconds, whichever is less, shall be recorded 
on the data sheet.
    14. Participants who cannot open and resecure both of the non-child-
resistant screening packages are not counted as part of the 100-seniors 
panel. Additional participants are selected and tested.
    15. No adult may participate in more than two tests per sitting. If 
a person participates in two tests, the packages tested shall not be the 
same ASTM type of package.
    16. If more adults in a sex or age group are tested than are 
necessary to determine SAUE, the last person(s) tested shall be 
eliminated from that group.
    (4) Younger-adult panel. (i) One hundred adults, age 18 to 45 
inclusive, with no overt physical or mental handicaps, and 70% of whom 
are female, shall comprise the test panel for younger adults. Not more 
than 35% of adults shall be obtained or tested at any one site. No 
individual tester shall administer the test to more than 35% of the 
adults tested. The adults shall be tested individually, rather than in 
groups of two or more. The adults shall receive only such printed 
instructions on how to open and properly resecure the special packaging 
as will appear on the package as it is delivered to the consumer. Five 
minutes shall be allowed to complete the opening and, if appropriate, 
the resecuring process.
    (ii) Records shall be kept of the number of adults unable to open 
and of the number of the other adults tested who fail to properly 
resecure the special packaging. The number of adults who successfully 
open the special packaging and then properly resecure the special 
packaging (if resecuring is appropriate) is the percent of adult-use 
effectiveness of the special packaging. In the case of unit packaging, 
the percent of adult-use effectiveness shall be the number of adults who 
successfully open a single (unit) package.
    (b) The standards published as regulations issued for the purpose of 
designating particular substances as being subject to the requirements 
for special packaging under the act will stipulate the percent of child-
resistant effectiveness and adult-use effectiveness required for each 
and, where appropriate, will include any other conditions deemed 
necessary and provided for in the act.
    (c) It is recommended that manufacturers of special packaging, or 
producers of substances subject to regulations issued pursuant to the 
act, submit to the Commission summaries of data resulting from tests 
conducted in accordance with this protocol.
    (d) Recommendations. The following instructions and procedures, 
while not required, are used by the Commission's staff and are 
recommended for use where appropriate.
    (1) Report format for child test.

                            A. Identification

    1. Close-up color photographs(s) clearly identifying the package and 
showing the opening instructions on the closure.
    2. Product name and the number of tablets or capsules in the 
package.
    3. Product manufacturer.
    4. Closure model (trade name--e.g., ``KLIK & SNAP'').
    5. Closure size (e.g., 28 mm).
    6. Closure manufacturer.
    7. Closure material and color(s) (e.g., white polypropylene).
    8. Closure liner material.
    9. TAC seal material.
    10. Opening instructions (quote exactly, e.g., ``WHILE PUSHING, 
DOWN, TURN RIGHT''). Commas are used to separate words that are on 
different lines.
    11. Symbols, numbers, and letters found inside the closure.
    12. Package model.
    13. Package material and color.
    14. Net contents.
    15. Symbols, numbers, and letters on the bottom of the package.
    16. Other product identification, e.g., EPA Registration Number.

                              B. Procedures

    1. Describe all procedures for preparing the test packages.
    2. Describe the testing procedures.
    3. Describe all instructions given to the children.
    4. Define an individual package failure.

[[Page 749]]

                               C. Results

    1. Openings in each 5-minute period and total openings for males and 
for females in each age group.
    2. Opening methods (e.g., normal opening, teeth, etc.).
    3. Mean opening times and standard deviation for each 5-minute test 
period.
    4. The percentage of packages tested at each site as a percentage of 
total packages.
    5. The percentage of packages tested by each tester as a percentage 
of total packages.
    6. Child-resistant effectiveness for the first 5-minute period and 
for the total test period.
    (2) Standardized adult-resecuring test instructions. CPSC will use 
the adult-resecuring test where an objective determination (e.g., visual 
or mechanical) that a package is properly resecured cannot be made. The 
adult-resecuring test is performed as follows:

                       Adult-Resecuring Procedure

    1. After the adult participant in either the senior-adult test of 16 
CFR 1700.20(a)(3) or the younger-adult test of 16 CFR 1700.20(a)(4) has 
resecured the package, or at the end of the test period (whichever comes 
first), the tester shall take the package and place it out of reach. The 
adult participant shall not be allowed to handle the package again.
    2. The packages that have been opened and appear to be resecured by 
adults shall be tested by children according to the child-test 
procedures to determine if the packages have been properly resecured. 
The packages are given to the children without being opened or resecured 
again for any purpose.
    3. Using the results of the adult tests and the tests of apparently-
resecured packaging by children, the adult use effectiveness is 
calculated as follows:
    a. Adult use effectiveness.
    1. The number of adult opening and resecuring failures, plus the 
number of packages that were opened by the children during the full 10-
minute test that exceeds 20% of the apparently-resecured packages, 
equals the total number of failures.
    2. The total number of packages tested by adults (which is 100) 
minus the total number of failures equals the percent adult-use 
effectiveness.
    (3) Report format for adult-resecuring test.

                            A. Identification

    1. Close-up color photograph(s) clearly identifying the package and 
showing the top of the closure.
    2. Product name and the number of tablets or capsules in the 
package.
    3. Product manufacturer.
    4. Closure model (trade name).
    5. Closure size (e.g., 28 mm).
    6. Closure manufacturer.
    7. Closure material and color(s) (e.g., white polypropylene)
    8. Closure liner material.
    9. Symbols, numbers, and letters found inside the closure.
    10. TAC seal material.
    11. Opening instructions (Quote exactly, e.g., ``WHILE PUSHING, 
DOWN, TURN RIGHT''). Commas are used to separate words that are on 
different lines.
    12. Package model.
    13. Package material and color.
    14. Net contents.
    15. Symbols, numbers, and letters on the bottom of the package.
    16. Other product identification, e.g., EPA Registration Number.

                              B. Procedures

    1. Describe all procedures for preparing the test packages.
    2. Describe the testing procedures in detail.
    3. Describe all instructions given to participants.
    4. Define an individual package failure and the procedures for 
determining a failure.

                               C. Results

                               Adult Test

    1. Total packages opened and total packages resecured; packages 
opened by males and by females; and packages resecured by males and by 
females.
    2. Mean opening times and standard deviation for total openings, 
total openings by females, and total openings by males.
    3. Mean resecuring times and standard deviation for total 
resecurings, total resecurings by females and total resecurings by 
males.
    4. The percentage of packages tested at each site as a percentage of 
total packages.
    5. The percentage of packages tested by each tester as a percentage 
of total packages.
    6. Methods of opening (e.g., normal opening, pried closure off, 
etc.)

                               Child Test

    1. Openings in each 5-minute period, and total openings, for males 
and females in each age group.
    2. Opening methods.
    3. Mean opening times and standard deviation for each 5-minute test 
period.
    4. The percentage of packages tested at each site as a percentage of 
total packages.
    5. The percentage of packages tested by each tester as a percentage 
of total packages.
    (4) Consent forms. The Commission uses the following consent forms 
for senior-adult testing reclosable and unit-dose packaging, 
respectively.

[[Page 750]]

    1. Reclosable packages.

                   [Testing Organization's Letterhead]

                     Child-Resistant Package Testing

    The U.S. Consumer Product Safety Commission is responsible for 
testing child-resistant packages to make sure they protect young 
children from medicines and dangerous household products. With the help 
of people like you, manufacturers are able to improve the packages we 
use, keeping the contents safe from children but easier for the rest of 
us to open.
    Effective child-resistant packages have prevented thousands of 
poisonings since the Poison Prevention Act was passed in 1970. The use 
of child-resistant packages on prescription medicines alone may have 
saved the lives of over 350 children since 1974.
    As part of this program, we are testing a child-resistant package to 
determine if it can be opened and properly closed by an adult who is 
between 50 and 70 years of age. You may or may not be familiar with the 
packages we are testing. Take your time, and please do not feel that you 
are being tested--we are testing the package, not you.

                         Description of the Test

    1. I will give you a package and ask you to read the instructions 
and open and properly close the package.
    2. I will then give you an identical package, and ask you to open 
and properly close it.
    3. I may ask you to open some other types of packages.
    4. The packages may be empty or they may contain a product.
    5. I will ask you whether you think the child-resistant package was 
easy or hard to use.

            Consent Form for Child-Resistant Package Testing

    The Consumer Product Safety Commission has been using contractors to 
test child-resistant packages for many years with no injuries to anyone, 
although it is possible that a minor injury could happen.
    I agree to test a child-resistant package. I understand that I can 
change my mind at any time. I am between the ages of 50 and 70, 
inclusive.
Birthdate_______________________________________________________________
Signature_______________________________________________________________
Date____________________________________________________________________
Zip Code________________________________________________________________

                               Office Use

Site:___________________________________________________________________
Sample Number:__________________________________________________________
Test Number:____________________________________________________________
Package Number:_________________________________________________________
    2. Unit-dose packages.

                   [Testing Organization's Letterhead]

                Unit Dose Child-Resistant Package Testing

    The U.S. Consumer Product Safety Commission is responsible for 
testing child-resistant packages to make sure they protect young 
children from medicines and dangerous household products. With the help 
of people like you, manufacturers are able to improve the packages we 
use, keeping the contents safe from children but easier for the rest of 
us to open.
    Effective child-resistant packages have prevented thousands of 
poisonings since the Poison Prevention Act was passed in 1970.
    The use of child-resistant packages on prescription medicines alone 
may have saved the lives of over 350 children since 1974.
    As part of this program, we are testing a child-resistant package to 
determine if it can be opened by an adult who is between 50 and 70 years 
of age. You may or may not be familiar with the packages we are testing. 
Take your time, and please do not feel that you are being tested--we are 
testing the package, not you.

                         Description of the Test

    1. I will give you a package and ask you to read the instructions, 
open one unit, and remove the contents.
    2. I will then give you an identical package, and ask you to open 
one unit and remove the contents.
    3. I may ask you to open some other types of packages.
    4. I will ask you whether you think the child-resistant package was 
easy or hard to use.

            Consent Form for Child-Resistant Package Testing

    The Consumer Product Safety Commission has been using contractors to 
test child-resistant packages for many years with no injuries to anyone, 
although it is possible that a minor injury could happen.
    I agree to test a child-resistant package. I understand that I can 
change my mind at any time. I am between the ages of 50 and 70, 
inclusive.
Birthdate_______________________________________________________________
Signature_______________________________________________________________
Date____________________________________________________________________
Zip Code________________________________________________________________

                               Office Use

Site:___________________________________________________________________
Sample Number:__________________________________________________________
Test Number:____________________________________________________________
Package Number:_________________________________________________________

[38 FR 21247, Aug. 7, 1973, as amended at 60 FR 37735, 37738, July 22, 
1995]

[[Page 751]]



PART 1701--STATEMENTS OF POLICY AND INTERPRETATION--Table of Contents




Sec.
1701.1 Special packaging for substances subject to a standard that are 
          distributed to pharmacies to be dispensed pursuant to an order 
          of a licensed medical practitioner.
1701.3 Applicability of special packaging requirements to hazardous 
          substances in large size containers.



Sec. 1701.1  Special packaging for substances subject to a standard that are distributed to pharmacies to be dispensed pursuant to an order of a licensed 
          medical practitioner.

    (a) In order to assist manufacturers of prescription drugs in 
discharging their responsibilities under the act concerning such drugs 
that are distributed to pharmacies, the Consumer Product Safety 
Commission has codified this statement of its policy concerning which 
prescription drug packages supplied by manufacturers to pharmacies must 
comply with the ``special'' (child-resistant) packaging requirements 
contained in 16 CFR 1700.15.
    (b) Manufacturers of prescription drugs may package such drugs for 
distribution to pharmacies in different types of packages, depending on 
whether the manufacturer intends that the package will be the one in 
which the drug is ultimately given to the consumer or whether it is 
intended that the pharmacist will repackage the drug before it is 
dispensed to the consumer. If the drug is supplied in a bulk package 
from which individual prescriptions are intended to be repackaged by the 
pharmacist, the manufacturer need not utilize special packaging. 
However, the Commission interprets the provision of the act as requiring 
that all prescription drugs subject to a special packaging standard that 
are distributed to pharmacies shall be in special packaging if the 
immediate package in which the drugs are distributed by the manufacturer 
is intended to be the package in which the drugs are dispensed to the 
consumer. Examples of such packages include mnemonic dispensing devices; 
dropper bottles; packages with ``tear off'' labels; packages which 
incorporate ancillary instructions for consumer handling, storage, or 
use on permanently affixed portions of their labels; and products 
intended to be reconstituted in their original containers. The 
Commission believes that this interpretation is necessary in order to 
insure that the pharmacist will actually dispense the drug in the proper 
package. If the pharmacist receives a request from the consumer or an 
order from the prescribing medical practitioner for conventional 
(noncomplying) packaging, section 4(b) of the act permits the pharmacist 
to convert the package to conventional packaging or repackage the drug 
in conventional packaging.
    (c) Manufacturers should also note that section 4(a) of the act 
(which allows a product to be marketed in noncomplying packaging of a 
single size under certain circumstances) does not apply to prescription 
drugs subject to section 4(b) of the act. Thus, since the section 4(a) 
single-size exemption for over-the-counter drugs and other household 
substances does not apply to prescription drugs, every unit of a 
prescription drug subject to a special packaging standard which is 
distributed to a pharmacy in a package intended by the manufacturer to 
be dispensed to a consumer shall be in special packaging.
    (d) Nothing in this statement of policy and interpretation should be 
interpreted as relieving the pharmacist of the responsibility of 
insuring that all prescription drugs subject to a special packaging 
standard are dispensed to the consumer in special packaging unless 
otherwise ordered by the prescribing practitioner or otherwise requested 
by the consumer.

(Secs. 2-4, Pub. L. 91-601, 84 Stat. 1670, 1671 (15 U.S.C. 1471-1473); 
sec. 701(a), 52 Stat. 1055 (21 U.S.C. 371(a))

[43 FR 11980 Mar. 23, 1978]



Sec. 1701.3  Applicability of special packaging requirements to hazardous substances in large size containers.

    The special packaging requirements of the PPPA apply to ``household 
substances'' for which the Commission has determined there is a need for 
special packaging, as provided in section 3 of the act (15 U.S.C. 1472). 
At section 2(2) of the act (15 U.S.C. 1471) (restated at 16

[[Page 752]]

CFR 1700.1(b)(2)), the term household substance is defined as ``any 
substance which is customarily produced or distributed for sale for 
consumption or use, or customarily stored, by individuals in or about 
the household * * *.'' The Commission has issued requirements for 
special packaging for certain hazardous substances at 16 CFR 1700.14(a). 
Unless otherwise indicated in the requirements for specific hazardous 
substances, the Commission interprets the term ``household substance'' 
as only applying to these hazardous substances when packaged in 
containers with a capacity of less than 5 gallons. As a result, unless 
otherwise specified, the hazardous substances at 16 CFR 1700.14(a) are 
not required to be in special packaging when packaged in containers of 5 
gallons or more.

(Secs. 2, 5, 7, 9, Pub. L. 91-601; 94 Stat. 1670-1674 (15 U.S.C. 1471, 
1474, 1476, 1478); sec. 30(a), Pub. L. 92-573, 86 Stat. 1231 (15 U.S.C. 
2079(a))

[43 FR 53712, Nov. 17, 1978]



PART 1702--PETITIONS FOR EXEMPTIONS FROM POISON PREVENTION PACKAGING ACT REQUIREMENTS; PETITION PROCEDURES AND REQUIREMENTS--Table of Contents




Sec.
1702.1 Purpose and policy.
1702.2 Procedural requirements and recommendations.
1702.3 Substantive requirements.
1702.4 Petitions with insufficient or incomplete information.
1702.5 Failure to supply adverse information.
1702.6 Trade secrets and other confidential information.
1702.7 Justification for the exemption.
1702.8 Human experience data.
1702.9 Relevant experimental data.
1702.10 Human experimental data involving the testing of human subjects.
1702.11 Product specifications.
1702.12 Packaging specifications.
1702.13 Labeling and packaging samples.
1702.14 Marketing history.
1702.15 Petitions alleging the incompatibility of child resistant 
          packaging with the particular substance petitioned for 
          exemption.
1702.16 Petitions requesting an exemption for a drug or a new drug.
1702.17 Granting petitions.
1702.18 Denying petitions.
1702.19 Effect of filing petition.

    Authority: 15 U.S.C. 1471(4), 1472, 1474, 1269(a), 2079(a); 21 
U.S.C. 371(a).

    Source: 45 FR 13064, Feb. 28, 1980, unless otherwise noted.



Sec. 1702.1  Purpose and policy.

    (a) Section 1700.14(a) of part 1700 lists household substances the 
Consumer Product Safety Commission requires, under section 3(a)(1) of 
the Poison Prevention Packaging Act of 1970, 15 U.S.C. 1472, to be 
contained in special packaging to protect children from serious personal 
injury or serious illness resulting from handling, using, or ingesting 
such substances. There may be occasions, however, when the Commission 
determines that a particular substance should be exempt from special 
packaging requirements.
    (b) The Commission may, either on its own initiative or upon the 
petition of any interested person, amend the regulation at 
Sec. 1700.14(a) by exempting a substance or category of substances from 
special packaging requirements. The purpose of these rules is to provide 
procedures and requirements for submitting petitions for exemption from 
special packaging requirements.



Sec. 1702.2  Procedural requirements and recommendations.

    (a) Requirements. To be considered a petition for exemption from 
special packaging requirements under this part a document filed under 
this part must:
    (1) Be mailed to the Office of the Secretary, Consumer Product 
Safety Commission, Washington, D.C. 20207, or delivered to the Office of 
the Secretary, Consumer Product Safety Commission, 4330 East West 
Highway, Bethesda, MD 20814,
    (2) Be written in the English language,
    (3) Contain the name and address of the petitioner,
    (4) Contain an explicit request for exemption from special packaging 
requirements,
    (5) Identify the category of substances under Sec. 1700.14(a) from 
which the exemption is sought, and
    (6) Identify the particular substance for which the exemption is 
sought.

[[Page 753]]

    (b) Failure to meet requirements. Where a submission fails to meet 
all of the requirements of paragraph (a) of this section, the Office of 
the Secretary shall notify the person submitting it, describe the 
deficiency, and explain that the petition may be resubmitted when the 
deficiency is corrected.
    (c) Procedural recommendations. The following are procedural 
recommendations to help the Commission in its consideration of 
petitions. The Commission requests, but does not require, that petitions 
filed under this part:
    (1) Be typewritten,
    (2) Include the word ``petition'' in a heading preceding the text,
    (3) Include the telephone number of the petitioner, and
    (4) Be accompanied by at least five (5) copies of the petition.

[45 FR 13064, Feb. 28, 1980, as amended at 62 FR 46668, Sept. 4, 1997]



Sec. 1702.3  Substantive requirements.

    (a) A petition filed under this part shall include the information 
required by this part, or a satisfactory explanation for the absence of 
the information. As provided by Sec. 1702.4, a petition which is not 
complete may be closed. To be considered complete, a petition shall 
include the following:
    (1) A statement of the justification for the exemption in accordance 
with Sec. 1702.7,
    (2) All reasonably available human experience data, reasonably 
available relevant experimental data (both human and animal), product 
and packaging specifications, labeling, and marketing history, in 
accordance with Sec. Sec. 1702.8 through 1702.14,
    (b) As used in this regulation, ``reasonably available'' information 
is data in the petitioner's possession; data that has previously been 
generated by the petitioner, and data that is obtainable from such 
sources as: Reports from Poison Control Centers; reports of adverse 
reactions that have been submitted to the petitioner; the medical, 
pharmacological, and toxicological literature; and information required 
by the FDA for an Investigational Exemption for a New Drug (IND) or a 
New Drug Application (NDA).



Sec. 1702.4  Petitions with insufficient or incomplete information.

    If a petition is submitted that is not complete and does not explain 
the reason for the absence of the information, the Commission shall 
afford the petitioner a reasonable opportunity to provide additional 
information. If the required information is not submitted to the 
Commission, or if the petitioner does not satisfactorily explain the 
absence of the information within a reasonable time, the petition shall 
be closed if insufficient or incomplete information has been submitted 
to enable the Commission to evaluate the merits of the exemption 
request.



Sec. 1702.5  Failure to supply adverse information.

    Failure to obtain and provide the Commission with all reasonably 
available information that the petitioner knows is unfavorable or could 
reasonably expect to be unfavorable to the petition shall result in the 
denial of the petition.



Sec. 1702.6  Trade secrets and other confidential information.

    Where a petition contains material that the petitioner believes 
should be exempt from public disclosure under the Freedom of Information 
Act, 5 U.S.C. 552, the petitioner shall comply with the requirements of 
16 CFR part 1015, the Commission's regulation under the Freedom of 
Information Act concerning requests for treatment as exempt material. 
The Commission shall act upon any request for treatment as exempt 
material in accordance with the provisions of 16 CFR part 1015.



Sec. 1702.7  Justification for the exemption.

    The justification for the exemption, required under Sec. 1702.3, 
shall explain the reason for the exemption based on one or more of the 
following grounds:
    (a) If the justification is based on a lack of need for special 
packaging to protect young children from serious injury or illness from 
the substance, the justification shall state how the lack of toxicity 
and lack of adverse human experience for the substance clearly supports 
granting the exemption.

[[Page 754]]

    (b) If the exemption is requested because special packaging is not 
technologically feasible, practicable, or appropriate for the substance, 
the justification shall explain why.
    (c) If the exemption is requested because special packaging is 
incompatible with the particular substance, the justification shall 
explain why.



Sec. 1702.8  Human experience data.

    Human experience data constitutes the primary criterion used by the 
Commission in evaluating petitions for exemptions. Petitions shall 
therefore include a compilation of all reasonably available reports 
pertaining to human use of the particular substance, including the 
product brand as well as generic equivalents and involving adverse 
reports of personal injury, illness, and significant allergenicity. Such 
information in children is of particular importance in evaluating 
exemption requests. However, similar data in adults shall also be 
submitted if available. Human experience data may be obtained from such 
sources as:
    (a) Reports from Poison Control Centers,
    (b) Reports of adverse reactions relative to the product that have 
been submitted to the company by physicians, hospitals, consumers, and 
other sources,
    (c) Extensive searches of the medical, pharmacological, and 
toxicological literature, and
    (d) For drugs, where the human experience data submitted is based on 
data required by FDA to be compiled for an Investigational Exemption for 
a New Drug (IND), 21 CFR part 312, or a New Drug Application (NDA), 21 
CFR part 314, a summary of the relevant data should be provided. The 
entire NDA and IND material need not be submitted.



Sec. 1702.9  Relevant experimental data.

    Experimental data are generated in both animals and humans in 
controlled situations in order to evaluate the biological effects of a 
substance. Certain toxicological effects cannot generally be evaluated 
in human beings. This is especially true of those substances which are 
not normally intended to be used in or on the human body or animal body. 
Therefore, the Commission considers experimental data obtained in animal 
studies to be an important supplement to such data as may exist from any 
experimental studies conducted in humans. The minimum toxicological 
evaluation necessary for a particular household substance is 
proportional to the expected exposure of man to that substance. 
Household substances which are not expected, in normal use, to contact 
man are subject to less extensive studies than those substances, such as 
drugs, which are designed to be used in or on man. The Commission has, 
therefore, separated the requirements of this section into three 
subsections. Section 1702.9(a) lists minimum acute animal toxicity data 
which shall be submitted, if reasonably available, for all petitions; 
Sec. 1702.9(b) lists those additional data which shall be submitted, if 
reasonably available, for drug products and all other household 
substances which are normally intended to be used in or on the human 
body; and Sec. 1702.9(c) lists those additional data which shall be 
submitted, if reasonably available, by petitioners requesting exemption 
for substances not intended for use in or on the human or animal body. 
The Commission emphasizes that, while not absolutely necessary, the 
types of data outlined in Sec. 1702.9(c) may greatly expedite the 
Commission's evaluation of a particular exemption request.
    (a) General criteria applicable to all petitions. (1) Each petition 
for an exemption under this part shall include all reasonably available 
relevant experimental data relating to the petition regardless of 
whether such data are unfavorable to the petitioner's request. As used 
in this part, the term ``relevant experimental data'' includes, but is 
not limited to, all data, including animal and human studies revealing 
the nature and degree of the hazard associated with the particular 
substance. Generally, the hazard associated with the particular 
substance involves the risk of injury arising from the acute accidental 
ingestion of a product. Where a hazard different from the risk of injury 
arising from accidental ingestion is known to exist (e.g., potential for 
significant allergenicity, dermal or opthalmic injury from handling or

[[Page 755]]

using the product), the petitioner shall also submit all reasonably 
available relevant experimental data evaluating the nature and degree of 
any additional hazard(s).
    (2) All animal studies submitted in support of exemption requests 
should be performed in conformity with good pharmacological and 
toxicological practice which includes, as a minimum, complete 
descriptions of protocols used in experimental animal studies, and 
signed laboratory reports which include the following basic information:
    (i) An exact description of materials tested;
    (ii) A description of test animals employed in studies, including 
number, age, weight, sex and nutritional state of animals;
    (iii) Dosage level(s) and number of animals tested per dosage level;
    (iv) Basis upon which dosage was administered (e.g., as salt or 
base);
    (v) Route of administration and dosage volume; and
    (vi) Appendices containing all raw data and any additional data 
generated subsequent to the completion of the original study (e.g., 
results of histopathological examinations, if performed).
    (3) Each petition shall include all reasonably available reports of 
Median Lethal Dosage (LD50) studies and shall include all raw data 
obtained in such studies. These studies should normally be conducted in 
both adult and weanling animals of the same species. The oral route of 
administration should be followed for studies involving substances 
subject to regulations promulgated under the Poison Prevention Packaging 
Act of 1970. Where a percutaneous toxicity hazard exists, the petition 
shall include reasonably available studies using the percutaneous route 
of administration. Sufficient dosage levels as well as adequate numbers 
of test animals per dosage level should be used to give statistical 
reliability to determined LD50 values.
    (4) In view of the fact that LD50 values in themselves do not 
necessarily reflect a true estimate of the overall toxic potential of a 
substance, LD50 determinations should, where an LD50 value may be 
calculated, include:
    (i) The LD50 value with 95 percent confidence limits;
    (ii) A slope determination for the dose response curve, including 95 
percent confidence limits; and
    (iii) A description of the statistical method employed in the 
analysis of such data (with proper citation) as well as the statistical 
analysis itself.
    (5) The Commission shall disregard any data which do not fulfill the 
strict requirements of the statistical method used in their analyses. 
Modifications of accepted statistical methods which have been published 
in the literature are acceptable to the Commission provided that a copy 
of the published work is submitted.
    (6) Acute toxicity studies submitted with petitions should have at 
least a seven day observation period of test animals. Good 
pharmacological practice provides that test animals are observed closely 
for several hours following test substance administration and less 
frequently on subsequent test days. Succumbing animals should be 
necropsied as soon as practicable following death, while surviving 
animals should be necropsied, and gross pathological alterations noted, 
at the end of the observation period. Documentation of non-lethal 
effects occurring during these observation periods should be submitted 
in conjunction with acute toxicity laboratory reports. Documentation of 
any lethal effects occurring at high dosage levels, including mode of 
death (e.g., cardiac arrest/respiratory arrest), and time of death 
should be submitted in conjunction with acute toxicity laboratory 
reports. Reports of gross necropsies performed upon surviving animals 
should be submitted, as well as results of necropsies performed upon 
animals succumbing to the test substance, provided that such animals are 
examined prior to the onset of autolysis. Results of microscopic 
examinations, when indicated by the nature or results of an acute 
toxicity study, shall also be submitted.
    (b) Additional data criteria for petitions involving substances 
normally used in or on the human or animal body. (1) Petitioners 
submitting exemption requests for substances normally used on or

[[Page 756]]

taken into the human body or animal body shall, in addition to the 
requirements of paragraph (a) of this section submit the following data, 
where reasonably available:
    (i) Summary laboratory reports of data obtained in subacute and 
chronic animal studies where the data pertain to the absorption, 
distribution, metabolism and excretion of substances in question;
    (ii) A median lethal dosage (LD50) determination conducted in one 
additional species. Of the two LD50 determinations required for persons 
submitting exemption requests under this part, one should be conducted 
in a nonrodent species;
    (iii) Summary reports of data obtained in human studies designed to 
measure the absorption, distribution, metabolism, and excretion of 
substances in question; and
    (iv) Data indicating, insofar as is known, the mechanism of action 
of the substance in question and the mechanism by which expected 
toxicological effects occur. If these mechanisms are unknown, the 
petition should state this.
    (2) Petitioners submitting exemption requests for substances 
normally used on or taken into the human or animal body shall, in 
addition to the requirements of paragraphs (a) and (b)(1) of this 
section, submit an evaluation of the pharmacology and toxicology of the 
substance in question based on reasonably available medical and 
scientific literature. The evaluation should be a comprehensive one, and 
should include proper literature citations. To the extent possible, 
information submitted by the petitioner justifying an exemption based on 
the medical and scientific literature will be evaluated under the 
criteria specified in Sec. 1702.9(a) for evaluating experimental data. 
In certain cases where the experimental data specified by Sec. 1702.9 
(a) and (b) are unavailable, the medical and scientific literature may 
justify granting an exemption, particularly where the pharmacology and 
toxicology of the substance is well documented in the literature.
    (c) Optional data criteria for petitions involving substances not 
used in or on the human or animal body. The following types of data, 
although often not generated for household substances not normally used 
in or on the human or animal body, may be available to a petitioner and 
should, where reasonably available, be submitted.
    (1) Summary laboratory reports of data obtained in subacute and 
chronic animal studies where such data pertain to the absorption, 
distribution, metabolism, and excretion of the substance in question;
    (2) Results of median lethal dosage (LD50) studies conducted in 
additional species of animals; and
    (3) Any additional experimental studies relevant to the exemption 
request which would provide the Commission with additional means of 
assessing the hazards to children of the product for which exemption is 
sought.



Sec. 1702.10  Human experimental data involving the testing of human subjects.

    Any human experimental data submitted with a petition requesting an 
exemption under this part shall include a statement establishing that 
adequate measures have been taken to ensure against psychological or 
physical injury to the subject of the human studies. The Commission 
considers its regulations concerning the protection of human subjects 
(16 CFR part 1028) to be an example of measures that are adequate to 
ensure against psychological or physical injury to human subjects.



Sec. 1702.11  Product specifications.

    Each petition for an exemption shall include:
    (a) A complete quantitative formula for the product, including inert 
ingredients, diluents, and solvents. (Petitioners should refer to 
Sec. 1702.6 for information regarding trade secrets.)
    (b) A listing of all physical forms or dosage forms (whichever is 
appropriate) in which the product is available.



Sec. 1702.12  Packaging specifications.

    Each petition for an exemption shall include the following 
information for each form of the product for which an exemption is 
sought:
    (a) A description of the packaging currently in use including the 
name of

[[Page 757]]

the manufacturer of the package and all specifications for the package,
    (b) A complete packaging description including any carton or 
wrapping in which the product is offered to the consumer,
    (c) A description of each size in which the product is offered, 
including physical form, color and flavoring, and
    (d) An empty sample of each type and size of package petitioned for 
exemption and, in the case of drugs, a designation of those packages 
intended to be used in dispensing the product to the consumer for 
household use.



Sec. 1702.13  Labeling and packaging samples.

    Each petition for an exemption under this part shall include a 
sample of the label and complete packaging for each size in which each 
form of the product for which an exemption is sought is packaged. This 
shall include the immediate container labeling, any package inserts, and 
other carton or wrapping labeling in which the product is offered to the 
consumer. In the case of drugs, each petition shall be accompanied by 
labeling on the outer carton or wrapping in which the product is offered 
to the retailer, as well as samples of the promotional and advertising 
information for the product.



Sec. 1702.14  Marketing history.

    Each petition for an exemption under this part shall include a 
statement of the marketing history of the substance for which an 
exemption is requested. The marketing history dates from the year in 
which each form of the product was introduced onto the market. The 
marketing history shall include the total number of units of each form 
or strength and package size of the product distributed since the 
product was introduced onto the market. In the case of prescription 
drugs, the average prescription size for the product should also be 
indicated, if known.



Sec. 1702.15  Petitions alleging the incompatiability of child resistant packaging with the particular substance petitioned for exemption.

    (a) Where the petition for an exemption is based upon an allegation 
that the applicable special packaging standard is incompatible with the 
particular substance or would seriously and adversely compromise the 
utility or stability of a substance, the petitioner shall submit 
adequate evidence to support the allegation.
    (b) If the allegation of incompatibility is based upon the fact that 
package choice is limited by a new drug application filed with the FDA, 
the petition shall state the limitation of package choice and a 
description of a time schedule to revise the NDA in order to allow 
additional package choice.
    (c) If the allegation of incompatibility is based upon the fact that 
the shelf life of the product limits package choice, the petition shall 
outline the particular limitation and shall include a description of a 
time schedule to re-establish shelf-life data.



Sec. 1702.16  Petitions requesting an exemption for a drug or a new drug.

    (a) Where the petition requests an exemption for a drug, as defined 
in section 201(g)(1) of the Federal Food, Drug, and Cosmetic Act (21 
U.S.C. 321(g)(1), the petitioner shall include those reports required to 
be filed under the Food and Drug Administration's Adverse Reaction 
Reporting Program.
    (b) Where the petition requests an exemption for a new drug, as 
defined in section 201(p) of the Federal Food, Drug, and Cosmetic Act 
(21 U.S.C. 321(p)) the Commission shall deny the petition if the Food 
and Drug Administration has not, where required by FDA, approved a new 
drug application.

    Effective Date Note: At 66 FR 40115, Aug. 2, 2001, Sec. 1702.16 was 
amended by removing paragraph (b), effective Jan. 29, 2002.



Sec. 1702.17  Granting petitions.

    Where the Commission determines that reasonable grounds for an 
exemption are presented by the petition, the Commission shall publish, 
in the Federal Register, a proposed amendment to the listing of 
substances requiring special packaging under Sec. 1700.14(a). 
``Reasonable grounds'' for publishing a proposed exemption are 
information and data sufficient to support the conclusion that:
    (a) The degree or nature of the hazard to children in the 
availability of

[[Page 758]]

the substance, by reason of its packaging, is such that special 
packaging is not required to protect children from serious personal 
injury or serious illness resulting from handling, using, or ingesting 
the substance, or
    (b) Special packaging is not technically feasible, practicable, or 
appropriate for the subject substance, or
    (c) Special packaging is incompatible with the particular substance.



Sec. 1702.18  Denying petitions.

    Where the Commission determines that reasonable grounds for an 
exemption are not presented by the petition, the petition shall be 
denied, and the petitioner notified in writing of the denial, including 
a brief statement of the reasons therefor.



Sec. 1702.19  Effect of filing petition.

    The filing of a petition for exemption under this part 1702 shall 
not have the effect of staying the regulation from which the exemption 
is sought. Therefore, substances subject to special packaging standards 
shall be considered in violation of the law unless packaged in special 
packaging during the Commission's consideration of a petition.

[[Page 759]]



            SUBCHAPTER F--REFRIGERATOR SAFETY ACT REGULATIONS



PART 1750--STANDARD FOR DEVICES TO PERMIT THE OPENING OF HOUSEHOLD REFRIGERATOR DOORS FROM THE INSIDE--Table of Contents




Sec.
1750.1 Definitions.
1750.2 Transfer of functions.
1750.3 Scope and application.
1750.4 General requirements.
1750.5 Detailed requirements.
1750.6 Tests.
1750.7 Provision for changes in the standard.

    Authority: Pub. L. 84-930, sec. 3, 70 Stat. 953 (15 U.S.C. 1213).

    Source: 38 FR 34729, Dec. 18, 1973, unless otherwise noted.



Sec. 1750.1  Definitions.

    As used in this part:
    (a) Act means the Refrigerator Safety Act (Pub. L. 84-930, 70 Stat. 
953; 15 U.S.C. 1211-14), enacted August 2, 1956.
    (b) Commission means the Consumer Product Safety Commission 
established by the Consumer Product Safety Act (Pub. L. 92-573, sec. 4, 
86 Stat. 1210; 15 U.S.C. 2053).
    (c) Device means the mechanism or the means provided for enabling 
the doors of household refrigerators to be opened from the inside.
    (d) Effective date means the date under the provisions of the act 
after which all household refrigerators manufactured and introduced or 
delivered for introduction into interstate commerce must comply with 
this standard. This date is October 30, 1958.
    (e) Household refrigerator means a cabinet or any part of a cabinet 
designed for the storage of food at temperatures above 0  deg.C. (32 
deg.F.), having a source of refrigeration, and intended for household 
use.
    (f) Opened as applied to a refrigerator door means to effect release 
of the latching mechanism so that a trapped child would have to apply 
little or no further effort in order to escape.
    (g) Shelving means any shelf, basket, drawer, or baffle which can be 
readily removed from the refrigerator without the use of tools.



Sec. 1750.2  Transfer of functions.

    Effective May 14, 1973, section 30(c) of the Consumer Product Safety 
Act (86 Stat. 1231; 15 U.S.C. 2079(c)) transferred functions under the 
Refrigerator Safety Act from the Secretary of Commerce and the Federal 
Trade Commission to the Consumer Product Safety Commission.



Sec. 1750.3  Scope and application.

    This standard shall apply to devices furnished with household 
refrigerators manufactured and introduced or delivered for introduction 
into interstate commerce after the effective date (October 30, 1958) 
which enable such refrigerators to be opened from the inside. The 
requirements of this standard shall apply to household refrigerators in 
their normal operating position only. The releasing feature(s) of the 
device shall be accessible from all spaces which (a) are bounded by 
interior walls or shelving, (b) are directly accessible when the 
exterior hinged door(s) is (are) opened, and (c) have a minimum 
dimension of 20.3 centimeters (8 inches) or more and a volume of 56.6 
cubic decimeters (2 cubic feet) or more either with all shelving in 
place or as the result of the removal or the rearrangement of any or all 
of the shelving.



Sec. 1750.4  General requirements.

    Household refrigerators shall be equipped with a device enabling the 
doors thereof to be opened easily from the inside, either by the 
application of an outwardly directed force to the inside of the door or 
by the rotation of a knob similar to a conventional doorknob. The device 
shall not render the refrigerator unsatisfactory for the preservation of 
food under any or all normal conditions of use.



Sec. 1750.5  Detailed requirements.

    (a) Releasing forces. As determined by the tests prescribed by 
Sec. 1750.6, the device:
    (1) Shall permit the refrigerator door to be opened on the 
application of a force equivalent to one which, if directed 
perpendicularly to the plane of

[[Page 760]]

the door and applied anywhere along the latch edge of the inside of the 
closed door, shall not exceed 66.7 newtons (15 pounds);
    (2) Shall permit the refrigerator door to be opened on the 
application of clockwise or counterclockwise turning moment of not more 
than 0.57 newton-meter (5 inch-pounds) to a knob on the door through an 
angle of rotation of 45 deg. 15 deg.in either direction; or
    (3) Shall function automatically to permit the door to be opened 
with a force of 66.7 newtons (15 pounds) or less applied as described in 
paragraph (a)(1) of this section whenever space(s) exist(s) or is (are) 
created with dimensions and volumes exceeding the dimensions and volumes 
imposed by Sec. 1750.3.
    (b) Description and location of knob(s). The knob(s) shall resemble 
a conventional doorknob in shape and size and shall be mounted near the 
latch side of the door extending into the cabinet at least 6.3 
millimeters (\1/4\ inch) beyond any inner door surface within a 15.2-
centimeter (6-inch) radius of the knob center. The knob(s) shall be 
mounted in such a manner that there is a minimum of 19.0-millimeter (\3/
4\-inch) clearance between the inner periphery of the knob(s) and 
adjacent inner door surfaces. The knob(s) shall be located so as to 
provide the accessibility required by Sec. 1750.3.
    (c) Wear. The device shall comply with the requirements of paragraph 
(a) of this section after 300,000 cycles of operation of the door as 
determined by the tests prescribed by Sec. 1750.6.
    (d) Protection against adverse effects from spillage, cleaning, 
defrosting, and condensation. Devices shall be designed so that spillage 
of foods or beverages, cleaning or defrosting in accordance with 
manufacturer's recommendations, or normal condensation will not so 
adversely affect the operation of the device as to result in its failure 
to meet the requirements of paragraph (a) of this section, as determined 
by the tests prescribed by Sec. 1750.6.
    (e) Devices which permit door to be opened as a result of forces or 
turning moments applied to movable components inside the refrigerator. 
Those components of a device upon which the safety features of the 
device depend shall not break, crack, permanently deform, nor show other 
visible damage when subjected to forces and moments specified in the 
tests under Sec. 1750.6(c). The requirements of paragraph (a) of this 
section shall be satisfied after the device has been subjected to the 
tests under Sec. 1750.6(c).
    (f) Power supply. The device shall operate in accordance with the 
requirements of this standard with the electric, gas, or other fuel 
supply either on or off.



Sec. 1750.6  Tests.

    It is the intent of this standard that where tests are not 
specified, the general and detailed requirements shall be checked by 
inspection, simple measurement, and by consideration of pertinent 
standard commercial practices. Compliance with the requirements of 
Sec. 1750.5 (a), (c), (d), and (e) shall be checked with the aid of the 
following tests:
    (a) Test for releasing force on door. The force measurements shall 
be made by means of a force gage with a calibrated accuracy within 
1.3 newtons (0.3 pound) when measuring a force 
of 66.7 newtons (15 pounds). The dial of the gage shall be graduated 
with finest divisions not exceeding 0.9 newton (0.2 pound), and the 
full-scale range shall not exceed 133.4 newtons (30 pounds). 
Measurements shall be made at three points on the door near the inside 
latch edge--one point near the top of the interior space created by 
removal of all shelving, one point near the bottom, and one point midway 
between these two points. The requirements of Sec. 1750.5(a)(1) shall be 
satisfied.
    (b) Test for knob torque. The measurement of the turning moment 
required to operate the knob release shall be made with a torque gage 
adapted for attachment to the knob or knob shaft. The gage shall have a 
calibrated accuracy within 0.011 newton-meter (0.10 inch-
pound) when measuring a moment of 0.57 newton-meter (5 inch-pounds). The 
finest graduations on the dial of the gage shall correspond to a moment 
increment not greater than 0.011 newton-meter (0.10 inch-pound) and the 
full-scale range shall not exceed 1.13 newton-meters (10 inch-pounds) in 
each direction from the null reading. The

[[Page 761]]

turning moment shall be applied so as to rotate the knob the full amount 
required for release, in both a clockwise and a counterclockwise 
direction. The angle of rotation required for release shall be checked 
by means of an angle gage adapted to measure the angle of rotation about 
the longitudinal axis of the knob shaft. The gage shall have a 
calibrated accuracy within 1 deg. at an angle of 45 deg. and 
the finest divisions shall not exceed 1 deg.. The requirements of 
Sec. 1750.5(a)(2) shall be satisfied.
    (c) Tests for strength of device components which affect the safety 
features of the device. (1) The tests prescribed by paragraph (c)(2) of 
this section shall apply only to devices which permit the door to be 
opened as a result of forces or turning moments applied to movable 
components inside the refrigerator.
    (2) A turning moment of 2.26 newton-meters (20 inch-pounds) shall be 
applied for 50 successive operations in a clockwise direction, followed 
by 50 successive similar operations in a counterclockwise direction, to 
components designed to permit the door to be opened as a result of the 
application of a turning moment to them. The turning moment shall be 
applied to the outer periphery of the component provided. The gage used 
for registering the moment applied shall have a calibrated accuracy 
within 0.044 newton-meter (0.4 inch-pound) when 
measuring a moment of 2.26 newton-meters (20 inch-pounds). The finest 
graduations on the dial of the gage shall correspond to a moment 
increment not greater than 0.044 newton-meter (0.4 inch-pound) and the 
full-scale range of the gage shall not exceed 4.52 newton-meters (40 
inch-pounds) in each direction from the null reading. The turning moment 
applied in each operation shall be applied for a period of time 
sufficient for the component to come to rest after completing the extent 
of movement for which designed. A pushing force of 89.0 newtons (20 
pounds) shall be applied for 50 successive operations, followed, if 
applicable, by 50 successive similar operations with a pulling force, to 
components designed to permit the door to be opened as a result of the 
application of a force to them. Areas which may be, in service, 
subjected to pushing or pulling forces which create maximum stresses 
(for example, points on the outer periphery of components designed to 
transmit a turning moment, or unsupported portions of members or areas 
designed for transmitting a force) shall be subjected to test. The gage 
used for registering the force applied shall have a calibrated accuracy 
within 1.8 newtons (0.4 pound) when measuring a 
force of 89.0 newtons (20 pounds). The finest graduations on the dial of 
the gage shall correspond to a force not in excess of 1.8 newtons (0.4 
pound) and the full-scale range shall not exceed 177.9 newtons (40 
pounds).
    (3) Upon being subjected to the tests prescribed by paragraph (c)(2) 
of this section, no device component on which the safety features of the 
device depend shall break, crack, permanently deform, or show other 
visible damage. The device must satisfy the requirements of 
Sec. 1750.5(a) after being subjected to the tests in paragraph (c)(2).
    (d) Simulated use test. Tests shall be conducted on the completely 
assembled refrigerator in its normal operating position to determine 
that the release device complies with the requirements of Sec. 1750.5 
during and after the 300,000 cycles of door operation and following 
exposure to spillage of foods and beverages, to cleaning and defrosting 
in accordance with the manufacturer's recommendations, and to 
condensation. The equipment provided for operating the door shall open 
the door sufficiently on each cycle to assure a complete cycle of 
operation for the latch mechanism.



Sec. 1750.7  Provision for changes in the standard.

    (a) Section 5 of the act provides for the possibility of changes in 
the commercial standard first established pursuant to section 3 of the 
act and allows a period of 1 year and 90 days for compliance with such 
changes after they are published.
    (b) Any person wishing to propose a change in this standard shall 
submit to the Secretary, Consumer Product Safety Commission, Washington, 
D.C. 20207, the proposed change. Before a change is recommended, the 
Consumer Product Safety Commission shall secure advice and consultation 
from public or private sources including particularly the

[[Page 762]]

household refrigerator manufacturing industry and the Division of 
Maternal and Child Health, Health Resources and Services Administration, 
Public Health Service, Department of Health and Human Services. The 
Commission shall then take such action as it deems appropriate.

[38 FR 34729, Dec. 18, 1973, as amended at 51 FR 10, Jan. 2, 1986; 52 FR 
406, Jan. 6, 1987]


[[Page 763]]



                              FINDING AIDS




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

  A list of CFR titles, subtitles, chapters, subchapters and parts and 
an alphabetical list of agencies publishing in the CFR are included in 
the CFR Index and Finding Aids volume to the Code of Federal Regulations 
which is published separately and revised annually.

  Material Approved for Incorporation by Reference
  Table of CFR Titles and Chapters
  Alphabetical List of Agencies Appearing in the CFR
  List of CFR Sections Affected

[[Page 765]]

            Material Approved for Incorporation by Reference

                     (Revised as of January 1, 2002)

  The Director of the Federal Register has approved under 5 U.S.C. 
552(a) and 1 CFR Part 51 the incorporation by reference of the following 
publications. This list contains only those incorporations by reference 
effective as of the revision date of this volume. Incorporations by 
reference found within a regulation are effective upon the effective 
date of that regulation. For more information on incorporation by 
reference, see the preliminary pages of this volume.


16 CFR (PARTS 1000-1799)

CONSUMER PRODUCT SAFETY COMMISSION
                                                                  16 CFR


American Association of Textile Chemists and Colorists

  P. O. Box 12215, Research Triangle Park, NC 
  27709
AATCC Test Method 124-1969, Appearance of Durable         1615.4(a)(4), 
  Press Fabrics After Repeated Home Laundering.           1616.5(c)(4), 
                                                            1632.5(b)(1)
AATCC Test Method 124-1996, ``Appearance of            1615.4, 1615.32, 
  Fabrics After Repeated Home Laundering,''            1616.5, 1616.32, 
  Technical Manual vol. 73, 1997.                      1630.4, 1630.61, 
                                                      1630.62, 1630.63, 
                                                       1631.4, 1631.61, 
                                                         1631.62, 1632.5


American National Standards Institute

  25 West 43rd Street, Fourth floor, New York, NY 
  10036 Telephone: (212) 642-4900
ANSI C96.1-1964 Standard for Temperature                    1505.6(g)(5)
  Measurement Thermocouples, approved June 9, 
  1964..
ANSI C101.1-1971 Standard for Leakage Current for       1505.6(e)(3)(iv)
  Applicances.
ANSI Z53.1-1971 Safety Color Code for Marking            1402.4(a)(1)(i)
  Physical Hazards.
ANSI Z90.4-1984, Protective Headgear for                          1203.3
  Bicyclists.
ANSI Z97.1-1972 or 1975 Performance Specifications          1201.7(b)(1)
  and Methods of Test for Safety Glazing Material 
  Used in Buildings.


American Society for Testing and Materials

  100 Barr Harbor Drive, West Conshohocken, PA 
  19428-2959, Telephone (610) 832-9585, FAX (610) 
  832-9555
ASTM D 756-56 (1971) Test of Resistance of             1201.4(d)(2)(iii)
  Plastics to Accelerated Service Conditioning, 
  Procedure A, issued Sept. 10, 1956.
ASTM D 785-65 (1970) Standard Method of Test for    1201.4(e)(1)(iii)(B)
  Rockwell Hardness of Plastics and Electrical 
  Insulating Materials, Aug. 31, 1965.
ASTM D 790-71 Standard Method of Test for Flexural  1201.4(e)(1)(iii)(A)
  Properties of Plastics, Oct. 29, 1971.
ASTM 1447-93, Standard Specification for                          1203.3
  Protective Headgear Used in Bicycling.
ASTM 1447-94, Standard Specification for                          1203.3
  Protective Headgear Used in Bicycling.
ASTM 1446-93, Standard Test Methods for Equipment                 1203.3
and Procedures Used in Evaluating the 
[[Page 766]] Characteristics of Protective 
  Headgear.
ASTM 1446-94, Standard Test Methods for Equipment                 1203.3
  and Procedures Used in Evaluating the 
  Performance Characteristics of Protective 
  Headgear.
ASTM D 1535-68 Specifying Color by the Munsell           1402.4(a)(1)(i)
  System.
ASTM D 2565-70 Standard Recommended Practice for        1201.4(b)(3)(ii)
  Operating Xenon-Arc Type (Water Cooled) Light- 
  and Water Exposure Apparatus for Exposure of 
  Plastics, Procedure B, June 12, 1970.
ASTM G 26-70 Standard Recommended Practice for          1201.4(b)(3)(ii)
  Light- and Water Exposure Apparatus (Xenon-Arc 
  Type) for Exposure of Nonmetallic Materials, 
  Apr. 13, 1970.


Canadian Standards Association (CSA)

  178 Rexdale Boulevard, Rexdale (Toronto), 
  Ontario, Canada, M9W 1R3
Cycling Helmets--CAN/CSA-D113.2-M89...............                1203.3


National Electrical Manufacturers Association (NEMA)

  1300 North 17th Street, Suite 1847, Rosslyn, VA 
  22209
ANSI Z535.1-1998, Standard for Safety Color Code,        1615.1(o)(10); 
  p. 6.                                                    1616.2(m)(10)


National Fire Protection Association

  1 Batterymarch Park, Quincy, MA 02269-9101, 
  Telephone: (800) 344-3555
NFPA No. 70-1978, 1978 Ed. of National Electrical           1505.5(e)(5)
  Code, Article 400, Flexible Cords and Cables, 
  pp. 70-230 through 70-241.
NFPA No. 70-1971, 1971 National Electrical Code,            1505.5(h)(2)
  Article 400, Flexible Cords and Cables, pp. 70-
  184 through 70-194.
NFPA 70, National Electrical Code, 1999 edition...             1211.2(c)


Snell Memorial Foundation

  P.O. Box 493, 7 Flowerfield, Suite 28, St. 
  James, New York 11780
Snell 1990 Standard for Protective Headgear for                   1203.3
  Use in Bicycling (Designation B-90).
Snell 1990 Standard for Protective Headgear for                   1203.3
  Use in Bicycling, including March 9, 1994 
  Supplement (designation B-90S).
Snell 1994 Standard for Protective Headgear for                   1203.3
  Use in Non-Motorized Sports (designation N-94).
Snell 1995 Standard for Protective Headgear for                   1203.3
  Use with Bicycles (designation B-95).


Underwriters Laboratories, Inc.

  Available from: Global Engineering Documents, 15 
  Inverness Way East, Englewood, CO 80112, 
  Telephone (800) 854-7179 or
  Global Engineering Documents, 7730 Carondelet 
  Ave., Suite 470, Clayton, MO 63105, Telephone 
  (800) 854-7179
UL 991, Standard for Safety for Tests for Safety-         1211.4; 1211.5
  Related Controls Employing Solid-State Devices, 
  Second Edition, dated June 23, 1995.
UL 746c, Standard for Safety for Polymeric              1211.10, 1211.12
  Material--Use in Electrical Equipment 
  Evaluations, Fourth Edition, dated December 27, 
  1995.
UL 1998, Standard for Safety for Software in                      1211.8
  Programmable Components, Second Edition, May 29, 
  1998.



[[Page 767]]



                    Table of CFR Titles and Chapters




                     (Revised as of January 1, 2002)

                      Title 1--General Provisions

         I  Administrative Committee of the Federal Register 
                (Parts 1--49)
        II  Office of the Federal Register (Parts 50--299)
        IV  Miscellaneous Agencies (Parts 400--500)

                          Title 2--[Reserved]



                        Title 3--The President

         I  Executive Office of the President (Parts 100--199)

                           Title 4--Accounts

         I  General Accounting Office (Parts 1--99)

                   Title 5--Administrative Personnel

         I  Office of Personnel Management (Parts 1--1199)
        II  Merit Systems Protection Board (Parts 1200--1299)
       III  Office of Management and Budget (Parts 1300--1399)
         V  The International Organizations Employees Loyalty 
                Board (Parts 1500--1599)
        VI  Federal Retirement Thrift Investment Board (Parts 
                1600--1699)
       VII  Advisory Commission on Intergovernmental Relations 
                (Parts 1700--1799)
      VIII  Office of Special Counsel (Parts 1800--1899)
        IX  Appalachian Regional Commission (Parts 1900--1999)
        XI  Armed Forces Retirement Home (Part 2100)
       XIV  Federal Labor Relations Authority, General Counsel of 
                the Federal Labor Relations Authority and Federal 
                Service Impasses Panel (Parts 2400--2499)
        XV  Office of Administration, Executive Office of the 
                President (Parts 2500--2599)
       XVI  Office of Government Ethics (Parts 2600--2699)
       XXI  Department of the Treasury (Parts 3100--3199)
      XXII  Federal Deposit Insurance Corporation (Part 3201)

[[Page 768]]

     XXIII  Department of Energy (Part 3301)
      XXIV  Federal Energy Regulatory Commission (Part 3401)
       XXV  Department of the Interior (Part 3501)
      XXVI  Department of Defense (Part 3601)
    XXVIII  Department of Justice (Part 3801)
      XXIX  Federal Communications Commission (Parts 3900--3999)
       XXX  Farm Credit System Insurance Corporation (Parts 4000--
                4099)
      XXXI  Farm Credit Administration (Parts 4100--4199)
    XXXIII  Overseas Private Investment Corporation (Part 4301)
      XXXV  Office of Personnel Management (Part 4501)
        XL  Interstate Commerce Commission (Part 5001)
       XLI  Commodity Futures Trading Commission (Part 5101)
      XLII  Department of Labor (Part 5201)
     XLIII  National Science Foundation (Part 5301)
       XLV  Department of Health and Human Services (Part 5501)
      XLVI  Postal Rate Commission (Part 5601)
     XLVII  Federal Trade Commission (Part 5701)
    XLVIII  Nuclear Regulatory Commission (Part 5801)
         L  Department of Transportation (Part 6001)
       LII  Export-Import Bank of the United States (Part 6201)
      LIII  Department of Education (Parts 6300--6399)
       LIV  Environmental Protection Agency (Part 6401)
      LVII  General Services Administration (Part 6701)
     LVIII  Board of Governors of the Federal Reserve System (Part 
                6801)
       LIX  National Aeronautics and Space Administration (Part 
                6901)
        LX  United States Postal Service (Part 7001)
       LXI  National Labor Relations Board (Part 7101)
      LXII  Equal Employment Opportunity Commission (Part 7201)
     LXIII  Inter-American Foundation (Part 7301)
       LXV  Department of Housing and Urban Development (Part 
                7501)
      LXVI  National Archives and Records Administration (Part 
                7601)
      LXIX  Tennessee Valley Authority (Part 7901)
      LXXI  Consumer Product Safety Commission (Part 8101)
    LXXIII  Department of Agriculture (Part 8301)
     LXXIV  Federal Mine Safety and Health Review Commission (Part 
                8401)
     LXXVI  Federal Retirement Thrift Investment Board (Part 8601)
    LXXVII  Office of Management and Budget (Part 8701)

                          Title 6--[Reserved]



[[Page 769]]

                         Title 7--Agriculture

            Subtitle A--Office of the Secretary of Agriculture 
                (Parts 0--26)
            Subtitle B--Regulations of the Department of 
                Agriculture
         I  Agricultural Marketing Service (Standards, 
                Inspections, Marketing Practices), Department of 
                Agriculture (Parts 27--209)
        II  Food and Nutrition Service, Department of Agriculture 
                (Parts 210--299)
       III  Animal and Plant Health Inspection Service, Department 
                of Agriculture (Parts 300--399)
        IV  Federal Crop Insurance Corporation, Department of 
                Agriculture (Parts 400--499)
         V  Agricultural Research Service, Department of 
                Agriculture (Parts 500--599)
        VI  Natural Resources Conservation Service, Department of 
                Agriculture (Parts 600--699)
       VII  Farm Service Agency, Department of Agriculture (Parts 
                700--799)
      VIII  Grain Inspection, Packers and Stockyards 
                Administration (Federal Grain Inspection Service), 
                Department of Agriculture (Parts 800--899)
        IX  Agricultural Marketing Service (Marketing Agreements 
                and Orders; Fruits, Vegetables, Nuts), Department 
                of Agriculture (Parts 900--999)
         X  Agricultural Marketing Service (Marketing Agreements 
                and Orders; Milk), Department of Agriculture 
                (Parts 1000--1199)
        XI  Agricultural Marketing Service (Marketing Agreements 
                and Orders; Miscellaneous Commodities), Department 
                of Agriculture (Parts 1200--1299)
      XIII  Northeast Dairy Compact Commission (Parts 1300--1399)
       XIV  Commodity Credit Corporation, Department of 
                Agriculture (Parts 1400--1499)
        XV  Foreign Agricultural Service, Department of 
                Agriculture (Parts 1500--1599)
       XVI  Rural Telephone Bank, Department of Agriculture (Parts 
                1600--1699)
      XVII  Rural Utilities Service, Department of Agriculture 
                (Parts 1700--1799)
     XVIII  Rural Housing Service, Rural Business-Cooperative 
                Service, Rural Utilities Service, and Farm Service 
                Agency, Department of Agriculture (Parts 1800--
                2099)
      XXVI  Office of Inspector General, Department of Agriculture 
                (Parts 2600--2699)
     XXVII  Office of Information Resources Management, Department 
                of Agriculture (Parts 2700--2799)
    XXVIII  Office of Operations, Department of Agriculture (Parts 
                2800--2899)
      XXIX  Office of Energy, Department of Agriculture (Parts 
                2900--2999)
       XXX  Office of the Chief Financial Officer, Department of 
                Agriculture (Parts 3000--3099)

[[Page 770]]

      XXXI  Office of Environmental Quality, Department of 
                Agriculture (Parts 3100--3199)
     XXXII  Office of Procurement and Property Management, 
                Department of Agriculture (Parts 3200--3299)
    XXXIII  Office of Transportation, Department of Agriculture 
                (Parts 3300--3399)
     XXXIV  Cooperative State Research, Education, and Extension 
                Service, Department of Agriculture (Parts 3400--
                3499)
      XXXV  Rural Housing Service, Department of Agriculture 
                (Parts 3500--3599)
     XXXVI  National Agricultural Statistics Service, Department 
                of Agriculture (Parts 3600--3699)
    XXXVII  Economic Research Service, Department of Agriculture 
                (Parts 3700--3799)
   XXXVIII  World Agricultural Outlook Board, Department of 
                Agriculture (Parts 3800--3899)
       XLI  [Reserved]
      XLII  Rural Business-Cooperative Service and Rural Utilities 
                Service, Department of Agriculture (Parts 4200--
                4299)

                    Title 8--Aliens and Nationality

         I  Immigration and Naturalization Service, Department of 
                Justice (Parts 1--599)

                 Title 9--Animals and Animal Products

         I  Animal and Plant Health Inspection Service, Department 
                of Agriculture (Parts 1--199)
        II  Grain Inspection, Packers and Stockyards 
                Administration (Packers and Stockyards Programs), 
                Department of Agriculture (Parts 200--299)
       III  Food Safety and Inspection Service, Department of 
                Agriculture (Parts 300--599)

                           Title 10--Energy

         I  Nuclear Regulatory Commission (Parts 0--199)
        II  Department of Energy (Parts 200--699)
       III  Department of Energy (Parts 700--999)
         X  Department of Energy (General Provisions) (Parts 1000-
                -1099)
      XVII  Defense Nuclear Facilities Safety Board (Parts 1700--
                1799)
     XVIII  Northeast Interstate Low-Level Radioactive Waste 
                Commission (Part 1800)

                      Title 11--Federal Elections

         I  Federal Election Commission (Parts 1--9099)

[[Page 771]]

                      Title 12--Banks and Banking

         I  Comptroller of the Currency, Department of the 
                Treasury (Parts 1--199)
        II  Federal Reserve System (Parts 200--299)
       III  Federal Deposit Insurance Corporation (Parts 300--399)
        IV  Export-Import Bank of the United States (Parts 400--
                499)
         V  Office of Thrift Supervision, Department of the 
                Treasury (Parts 500--599)
        VI  Farm Credit Administration (Parts 600--699)
       VII  National Credit Union Administration (Parts 700--799)
      VIII  Federal Financing Bank (Parts 800--899)
        IX  Federal Housing Finance Board (Parts 900--999)
        XI  Federal Financial Institutions Examination Council 
                (Parts 1100--1199)
       XIV  Farm Credit System Insurance Corporation (Parts 1400--
                1499)
        XV  Department of the Treasury (Parts 1500--1599)
      XVII  Office of Federal Housing Enterprise Oversight, 
                Department of Housing and Urban Development (Parts 
                1700--1799)
     XVIII  Community Development Financial Institutions Fund, 
                Department of the Treasury (Parts 1800--1899)

               Title 13--Business Credit and Assistance

         I  Small Business Administration (Parts 1--199)
       III  Economic Development Administration, Department of 
                Commerce (Parts 300--399)
        IV  Emergency Steel Guarantee Loan Board (Parts 400--499)
         V  Emergency Oil and Gas Guaranteed Loan Board (Parts 
                500--599)

                    Title 14--Aeronautics and Space

         I  Federal Aviation Administration, Department of 
                Transportation (Parts 1--199)
        II  Office of the Secretary, Department of Transportation 
                (Aviation Proceedings) (Parts 200--399)
       III  Commercial Space Transportation, Federal Aviation 
                Administration, Department of Transportation 
                (Parts 400--499)
         V  National Aeronautics and Space Administration (Parts 
                1200--1299)
        VI  Office of Management and Budget (Parts 1300--1399)

                 Title 15--Commerce and Foreign Trade

            Subtitle A--Office of the Secretary of Commerce (Parts 
                0--29)
            Subtitle B--Regulations Relating to Commerce and 
                Foreign Trade
         I  Bureau of the Census, Department of Commerce (Parts 
                30--199)

[[Page 772]]

        II  National Institute of Standards and Technology, 
                Department of Commerce (Parts 200--299)
       III  International Trade Administration, Department of 
                Commerce (Parts 300--399)
        IV  Foreign-Trade Zones Board, Department of Commerce 
                (Parts 400--499)
       VII  Bureau of Export Administration, Department of 
                Commerce (Parts 700--799)
      VIII  Bureau of Economic Analysis, Department of Commerce 
                (Parts 800--899)
        IX  National Oceanic and Atmospheric Administration, 
                Department of Commerce (Parts 900--999)
        XI  Technology Administration, Department of Commerce 
                (Parts 1100--1199)
      XIII  East-West Foreign Trade Board (Parts 1300--1399)
       XIV  Minority Business Development Agency (Parts 1400--
                1499)
            Subtitle C--Regulations Relating to Foreign Trade 
                Agreements
        XX  Office of the United States Trade Representative 
                (Parts 2000--2099)
            Subtitle D--Regulations Relating to Telecommunications 
                and Information
     XXIII  National Telecommunications and Information 
                Administration, Department of Commerce (Parts 
                2300--2399)

                    Title 16--Commercial Practices

         I  Federal Trade Commission (Parts 0--999)
        II  Consumer Product Safety Commission (Parts 1000--1799)

             Title 17--Commodity and Securities Exchanges

         I  Commodity Futures Trading Commission (Parts 1--199)
        II  Securities and Exchange Commission (Parts 200--399)
        IV  Department of the Treasury (Parts 400--499)

          Title 18--Conservation of Power and Water Resources

         I  Federal Energy Regulatory Commission, Department of 
                Energy (Parts 1--399)
       III  Delaware River Basin Commission (Parts 400--499)
        VI  Water Resources Council (Parts 700--799)
      VIII  Susquehanna River Basin Commission (Parts 800--899)
      XIII  Tennessee Valley Authority (Parts 1300--1399)

                       Title 19--Customs Duties

         I  United States Customs Service, Department of the 
                Treasury (Parts 1--199)

[[Page 773]]

        II  United States International Trade Commission (Parts 
                200--299)
       III  International Trade Administration, Department of 
                Commerce (Parts 300--399)

                     Title 20--Employees' Benefits

         I  Office of Workers' Compensation Programs, Department 
                of Labor (Parts 1--199)
        II  Railroad Retirement Board (Parts 200--399)
       III  Social Security Administration (Parts 400--499)
        IV  Employees' Compensation Appeals Board, Department of 
                Labor (Parts 500--599)
         V  Employment and Training Administration, Department of 
                Labor (Parts 600--699)
        VI  Employment Standards Administration, Department of 
                Labor (Parts 700--799)
       VII  Benefits Review Board, Department of Labor (Parts 800-
                -899)
      VIII  Joint Board for the Enrollment of Actuaries (Parts 
                900--999)
        IX  Office of the Assistant Secretary for Veterans' 
                Employment and Training, Department of Labor 
                (Parts 1000--1099)

                       Title 21--Food and Drugs

         I  Food and Drug Administration, Department of Health and 
                Human Services (Parts 1--1299)
        II  Drug Enforcement Administration, Department of Justice 
                (Parts 1300--1399)
       III  Office of National Drug Control Policy (Parts 1400--
                1499)

                      Title 22--Foreign Relations

         I  Department of State (Parts 1--199)
        II  Agency for International Development (Parts 200--299)
       III  Peace Corps (Parts 300--399)
        IV  International Joint Commission, United States and 
                Canada (Parts 400--499)
         V  Broadcasting Board of Governors (Parts 500--599)
       VII  Overseas Private Investment Corporation (Parts 700--
                799)
        IX  Foreign Service Grievance Board Regulations (Parts 
                900--999)
         X  Inter-American Foundation (Parts 1000--1099)
        XI  International Boundary and Water Commission, United 
                States and Mexico, United States Section (Parts 
                1100--1199)
       XII  United States International Development Cooperation 
                Agency (Parts 1200--1299)
       XIV  Foreign Service Labor Relations Board; Federal Labor 
                Relations Authority; General Counsel of the 
                Federal Labor Relations Authority; and the Foreign 
                Service Impasse Disputes Panel (Parts 1400--1499)

[[Page 774]]

        XV  African Development Foundation (Parts 1500--1599)
       XVI  Japan-United States Friendship Commission (Parts 1600-
                -1699)
      XVII  United States Institute of Peace (Parts 1700--1799)

                          Title 23--Highways

         I  Federal Highway Administration, Department of 
                Transportation (Parts 1--999)
        II  National Highway Traffic Safety Administration and 
                Federal Highway Administration, Department of 
                Transportation (Parts 1200--1299)
       III  National Highway Traffic Safety Administration, 
                Department of Transportation (Parts 1300--1399)

                Title 24--Housing and Urban Development

            Subtitle A--Office of the Secretary, Department of 
                Housing and Urban Development (Parts 0--99)
            Subtitle B--Regulations Relating to Housing and Urban 
                Development
         I  Office of Assistant Secretary for Equal Opportunity, 
                Department of Housing and Urban Development (Parts 
                100--199)
        II  Office of Assistant Secretary for Housing-Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Parts 200--299)
       III  Government National Mortgage Association, Department 
                of Housing and Urban Development (Parts 300--399)
        IV  Office of Housing and Office of Multifamily Housing 
                Assistance Restructuring, Department of Housing 
                and Urban Development (Parts 400--499)
         V  Office of Assistant Secretary for Community Planning 
                and Development, Department of Housing and Urban 
                Development (Parts 500--599)
        VI  Office of Assistant Secretary for Community Planning 
                and Development, Department of Housing and Urban 
                Development (Parts 600--699) [Reserved]
       VII  Office of the Secretary, Department of Housing and 
                Urban Development (Housing Assistance Programs and 
                Public and Indian Housing Programs) (Parts 700--
                799)
      VIII  Office of the Assistant Secretary for Housing--Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Section 8 Housing Assistance 
                Programs, Section 202 Direct Loan Program, Section 
                202 Supportive Housing for the Elderly Program and 
                Section 811 Supportive Housing for Persons With 
                Disabilities Program) (Parts 800--899)
        IX  Office of Assistant Secretary for Public and Indian 
                Housing, Department of Housing and Urban 
                Development (Parts 900--999)
         X  Office of Assistant Secretary for Housing--Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Interstate Land Sales 
                Registration Program) (Parts 1700--1799)

[[Page 775]]

       XII  Office of Inspector General, Department of Housing and 
                Urban Development (Parts 2000--2099)
        XX  Office of Assistant Secretary for Housing--Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Parts 3200--3899)
       XXV  Neighborhood Reinvestment Corporation (Parts 4100--
                4199)

                           Title 25--Indians

         I  Bureau of Indian Affairs, Department of the Interior 
                (Parts 1--299)
        II  Indian Arts and Crafts Board, Department of the 
                Interior (Parts 300--399)
       III  National Indian Gaming Commission, Department of the 
                Interior (Parts 500--599)
        IV  Office of Navajo and Hopi Indian Relocation (Parts 
                700--799)
         V  Bureau of Indian Affairs, Department of the Interior, 
                and Indian Health Service, Department of Health 
                and Human Services (Part 900)
        VI  Office of the Assistant Secretary-Indian Affairs, 
                Department of the Interior (Parts 1000--1199)
       VII  Office of the Special Trustee for American Indians, 
                Department of the Interior (Part 1200)

                      Title 26--Internal Revenue

         I  Internal Revenue Service, Department of the Treasury 
                (Parts 1--899)

           Title 27--Alcohol, Tobacco Products and Firearms

         I  Bureau of Alcohol, Tobacco and Firearms, Department of 
                the Treasury (Parts 1--299)

                   Title 28--Judicial Administration

         I  Department of Justice (Parts 0--199)
       III  Federal Prison Industries, Inc., Department of Justice 
                (Parts 300--399)
         V  Bureau of Prisons, Department of Justice (Parts 500--
                599)
        VI  Offices of Independent Counsel, Department of Justice 
                (Parts 600--699)
       VII  Office of Independent Counsel (Parts 700--799)
      VIII  Court Services and Offender Supervision Agency for the 
                District of Columbia (Parts 800--899)
        IX  National Crime Prevention and Privacy Compact Council 
                (Parts 900--999)
        XI  Department of Justice and Department of State (Parts 
                1100--1199)

[[Page 776]]

                            Title 29--Labor

            Subtitle A--Office of the Secretary of Labor (Parts 0-
                -99)
            Subtitle B--Regulations Relating to Labor
         I  National Labor Relations Board (Parts 100--199)
        II  Office of Labor-Management Standards, Department of 
                Labor (Parts 200--299)
       III  National Railroad Adjustment Board (Parts 300--399)
        IV  Office of Labor-Management Standards, Department of 
                Labor (Parts 400--499)
         V  Wage and Hour Division, Department of Labor (Parts 
                500--899)
        IX  Construction Industry Collective Bargaining Commission 
                (Parts 900--999)
         X  National Mediation Board (Parts 1200--1299)
       XII  Federal Mediation and Conciliation Service (Parts 
                1400--1499)
       XIV  Equal Employment Opportunity Commission (Parts 1600--
                1699)
      XVII  Occupational Safety and Health Administration, 
                Department of Labor (Parts 1900--1999)
        XX  Occupational Safety and Health Review Commission 
                (Parts 2200--2499)
       XXV  Pension and Welfare Benefits Administration, 
                Department of Labor (Parts 2500--2599)
     XXVII  Federal Mine Safety and Health Review Commission 
                (Parts 2700--2799)
        XL  Pension Benefit Guaranty Corporation (Parts 4000--
                4999)

                      Title 30--Mineral Resources

         I  Mine Safety and Health Administration, Department of 
                Labor (Parts 1--199)
        II  Minerals Management Service, Department of the 
                Interior (Parts 200--299)
       III  Board of Surface Mining and Reclamation Appeals, 
                Department of the Interior (Parts 300--399)
        IV  Geological Survey, Department of the Interior (Parts 
                400--499)
        VI  Bureau of Mines, Department of the Interior (Parts 
                600--699)
       VII  Office of Surface Mining Reclamation and Enforcement, 
                Department of the Interior (Parts 700--999)

                 Title 31--Money and Finance: Treasury

            Subtitle A--Office of the Secretary of the Treasury 
                (Parts 0--50)
            Subtitle B--Regulations Relating to Money and Finance
         I  Monetary Offices, Department of the Treasury (Parts 
                51--199)
        II  Fiscal Service, Department of the Treasury (Parts 200-
                -399)
        IV  Secret Service, Department of the Treasury (Parts 400-
                -499)
         V  Office of Foreign Assets Control, Department of the 
                Treasury (Parts 500--599)

[[Page 777]]

        VI  Bureau of Engraving and Printing, Department of the 
                Treasury (Parts 600--699)
       VII  Federal Law Enforcement Training Center, Department of 
                the Treasury (Parts 700--799)
      VIII  Office of International Investment, Department of the 
                Treasury (Parts 800--899)
        IX  Federal Claims Collection Standards (Department of the 
                Treasury--Department of Justice) (Parts 900--999)

                      Title 32--National Defense

            Subtitle A--Department of Defense
         I  Office of the Secretary of Defense (Parts 1--399)
         V  Department of the Army (Parts 400--699)
        VI  Department of the Navy (Parts 700--799)
       VII  Department of the Air Force (Parts 800--1099)
            Subtitle B--Other Regulations Relating to National 
                Defense
       XII  Defense Logistics Agency (Parts 1200--1299)
       XVI  Selective Service System (Parts 1600--1699)
     XVIII  National Counterintelligence Center (Parts 1800--1899)
       XIX  Central Intelligence Agency (Parts 1900--1999)
        XX  Information Security Oversight Office, National 
                Archives and Records Administration (Parts 2000--
                2099)
       XXI  National Security Council (Parts 2100--2199)
      XXIV  Office of Science and Technology Policy (Parts 2400--
                2499)
     XXVII  Office for Micronesian Status Negotiations (Parts 
                2700--2799)
    XXVIII  Office of the Vice President of the United States 
                (Parts 2800--2899)

               Title 33--Navigation and Navigable Waters

         I  Coast Guard, Department of Transportation (Parts 1--
                199)
        II  Corps of Engineers, Department of the Army (Parts 200-
                -399)
        IV  Saint Lawrence Seaway Development Corporation, 
                Department of Transportation (Parts 400--499)

                          Title 34--Education

            Subtitle A--Office of the Secretary, Department of 
                Education (Parts 1--99)
            Subtitle B--Regulations of the Offices of the 
                Department of Education
         I  Office for Civil Rights, Department of Education 
                (Parts 100--199)
        II  Office of Elementary and Secondary Education, 
                Department of Education (Parts 200--299)
       III  Office of Special Education and Rehabilitative 
                Services, Department of Education (Parts 300--399)

[[Page 778]]

        IV  Office of Vocational and Adult Education, Department 
                of Education (Parts 400--499)
         V  Office of Bilingual Education and Minority Languages 
                Affairs, Department of Education (Parts 500--599)
        VI  Office of Postsecondary Education, Department of 
                Education (Parts 600--699)
       VII  Office of Educational Research and Improvement, 
                Department of Education (Parts 700--799)
        XI  National Institute for Literacy (Parts 1100--1199)
            Subtitle C--Regulations Relating to Education
       XII  National Council on Disability (Parts 1200--1299)

                        Title 35--Panama Canal

         I  Panama Canal Regulations (Parts 1--299)

             Title 36--Parks, Forests, and Public Property

         I  National Park Service, Department of the Interior 
                (Parts 1--199)
        II  Forest Service, Department of Agriculture (Parts 200--
                299)
       III  Corps of Engineers, Department of the Army (Parts 300-
                -399)
        IV  American Battle Monuments Commission (Parts 400--499)
         V  Smithsonian Institution (Parts 500--599)
       VII  Library of Congress (Parts 700--799)
      VIII  Advisory Council on Historic Preservation (Parts 800--
                899)
        IX  Pennsylvania Avenue Development Corporation (Parts 
                900--999)
         X  Presidio Trust (Parts 1000--1099)
        XI  Architectural and Transportation Barriers Compliance 
                Board (Parts 1100--1199)
       XII  National Archives and Records Administration (Parts 
                1200--1299)
        XV  Oklahoma City National Memorial Trust (Part 1501)
       XVI  Morris K. Udall Scholarship and Excellence in National 
                Environmental Policy Foundation (Parts 1600--1699)

             Title 37--Patents, Trademarks, and Copyrights

         I  United States Patent and Trademark Office, Department 
                of Commerce (Parts 1--199)
        II  Copyright Office, Library of Congress (Parts 200--299)
        IV  Assistant Secretary for Technology Policy, Department 
                of Commerce (Parts 400--499)
         V  Under Secretary for Technology, Department of Commerce 
                (Parts 500--599)

           Title 38--Pensions, Bonuses, and Veterans' Relief

         I  Department of Veterans Affairs (Parts 0--99)

[[Page 779]]

                       Title 39--Postal Service

         I  United States Postal Service (Parts 1--999)
       III  Postal Rate Commission (Parts 3000--3099)

                  Title 40--Protection of Environment

         I  Environmental Protection Agency (Parts 1--799)
        IV  Environmental Protection Agency and Department of 
                Justice (Parts 1400--1499)
         V  Council on Environmental Quality (Parts 1500--1599)
        VI  Chemical Safety and Hazard Investigation Board (Parts 
                1600--1699)
       VII  Environmental Protection Agency and Department of 
                Defense; Uniform National Discharge Standards for 
                Vessels of the Armed Forces (Parts 1700--1799)

          Title 41--Public Contracts and Property Management

            Subtitle B--Other Provisions Relating to Public 
                Contracts
        50  Public Contracts, Department of Labor (Parts 50-1--50-
                999)
        51  Committee for Purchase From People Who Are Blind or 
                Severely Disabled (Parts 51-1--51-99)
        60  Office of Federal Contract Compliance Programs, Equal 
                Employment Opportunity, Department of Labor (Parts 
                60-1--60-999)
        61  Office of the Assistant Secretary for Veterans' 
                Employment and Training Service, Department of 
                Labor (Parts 61-1--61-999)
            Subtitle C--Federal Property Management Regulations 
                System
       101  Federal Property Management Regulations (Parts 101-1--
                101-99)
       102  Federal Management Regulation (Parts 102-1--102-299)
       105  General Services Administration (Parts 105-1--105-999)
       109  Department of Energy Property Management Regulations 
                (Parts 109-1--109-99)
       114  Department of the Interior (Parts 114-1--114-99)
       115  Environmental Protection Agency (Parts 115-1--115-99)
       128  Department of Justice (Parts 128-1--128-99)
            Subtitle D--Other Provisions Relating to Property 
                Management [Reserved]
            Subtitle E--Federal Information Resources Management 
                Regulations System
       201  Federal Information Resources Management Regulation 
                (Parts 201-1--201-99) [Reserved]
            Subtitle F--Federal Travel Regulation System
       300  General (Parts 300-1--300-99)
       301  Temporary Duty (TDY) Travel Allowances (Parts 301-1--
                301-99)
       302  Relocation Allowances (Parts 302-1--302-99)
       303  Payment of Expenses Connected with the Death of 
                Certain Employees (Part 303-70)

[[Page 780]]

       304  Payment from a Non-Federal Source for Travel Expenses 
                (Parts 304-1--304-99)

                        Title 42--Public Health

         I  Public Health Service, Department of Health and Human 
                Services (Parts 1--199)
        IV  Centers for Medicare & Medicaid Services, Department 
                of Health and Human Services (Parts 400--499)
         V  Office of Inspector General-Health Care, Department of 
                Health and Human Services (Parts 1000--1999)

                   Title 43--Public Lands: Interior

            Subtitle A--Office of the Secretary of the Interior 
                (Parts 1--199)
            Subtitle B--Regulations Relating to Public Lands
         I  Bureau of Reclamation, Department of the Interior 
                (Parts 200--499)
        II  Bureau of Land Management, Department of the Interior 
                (Parts 1000--9999)
       III  Utah Reclamation Mitigation and Conservation 
                Commission (Parts 10000--10005)

             Title 44--Emergency Management and Assistance

         I  Federal Emergency Management Agency (Parts 0--399)
        IV  Department of Commerce and Department of 
                Transportation (Parts 400--499)

                       Title 45--Public Welfare

            Subtitle A--Department of Health and Human Services 
                (Parts 1--199)
            Subtitle B--Regulations Relating to Public Welfare
        II  Office of Family Assistance (Assistance Programs), 
                Administration for Children and Families, 
                Department of Health and Human Services (Parts 
                200--299)
       III  Office of Child Support Enforcement (Child Support 
                Enforcement Program), Administration for Children 
                and Families, Department of Health and Human 
                Services (Parts 300--399)
        IV  Office of Refugee Resettlement, Administration for 
                Children and Families Department of Health and 
                Human Services (Parts 400--499)
         V  Foreign Claims Settlement Commission of the United 
                States, Department of Justice (Parts 500--599)
        VI  National Science Foundation (Parts 600--699)
       VII  Commission on Civil Rights (Parts 700--799)
      VIII  Office of Personnel Management (Parts 800--899)

[[Page 781]]

         X  Office of Community Services, Administration for 
                Children and Families, Department of Health and 
                Human Services (Parts 1000--1099)
        XI  National Foundation on the Arts and the Humanities 
                (Parts 1100--1199)
       XII  Corporation for National and Community Service (Parts 
                1200--1299)
      XIII  Office of Human Development Services, Department of 
                Health and Human Services (Parts 1300--1399)
       XVI  Legal Services Corporation (Parts 1600--1699)
      XVII  National Commission on Libraries and Information 
                Science (Parts 1700--1799)
     XVIII  Harry S. Truman Scholarship Foundation (Parts 1800--
                1899)
       XXI  Commission on Fine Arts (Parts 2100--2199)
     XXIII  Arctic Research Commission (Part 2301)
      XXIV  James Madison Memorial Fellowship Foundation (Parts 
                2400--2499)
       XXV  Corporation for National and Community Service (Parts 
                2500--2599)

                          Title 46--Shipping

         I  Coast Guard, Department of Transportation (Parts 1--
                199)
        II  Maritime Administration, Department of Transportation 
                (Parts 200--399)
       III  Coast Guard (Great Lakes Pilotage), Department of 
                Transportation (Parts 400--499)
        IV  Federal Maritime Commission (Parts 500--599)

                      Title 47--Telecommunication

         I  Federal Communications Commission (Parts 0--199)
        II  Office of Science and Technology Policy and National 
                Security Council (Parts 200--299)
       III  National Telecommunications and Information 
                Administration, Department of Commerce (Parts 300-
                -399)

           Title 48--Federal Acquisition Regulations System

         1  Federal Acquisition Regulation (Parts 1--99)
         2  Department of Defense (Parts 200--299)
         3  Department of Health and Human Services (Parts 300--
                399)
         4  Department of Agriculture (Parts 400--499)
         5  General Services Administration (Parts 500--599)
         6  Department of State (Parts 600--699)
         7  United States Agency for International Development 
                (Parts 700--799)
         8  Department of Veterans Affairs (Parts 800--899)

[[Page 782]]

         9  Department of Energy (Parts 900--999)
        10  Department of the Treasury (Parts 1000--1099)
        12  Department of Transportation (Parts 1200--1299)
        13  Department of Commerce (Parts 1300--1399)
        14  Department of the Interior (Parts 1400--1499)
        15  Environmental Protection Agency (Parts 1500--1599)
        16  Office of Personnel Management Federal Employees 
                Health Benefits Acquisition Regulation (Parts 
                1600--1699)
        17  Office of Personnel Management (Parts 1700--1799)
        18  National Aeronautics and Space Administration (Parts 
                1800--1899)
        19  Broadcasting Board of Governors (Parts 1900--1999)
        20  Nuclear Regulatory Commission (Parts 2000--2099)
        21  Office of Personnel Management, Federal Employees 
                Group Life Insurance Federal Acquisition 
                Regulation (Parts 2100--2199)
        23  Social Security Administration (Parts 2300--2399)
        24  Department of Housing and Urban Development (Parts 
                2400--2499)
        25  National Science Foundation (Parts 2500--2599)
        28  Department of Justice (Parts 2800--2899)
        29  Department of Labor (Parts 2900--2999)
        34  Department of Education Acquisition Regulation (Parts 
                3400--3499)
        35  Panama Canal Commission (Parts 3500--3599)
        44  Federal Emergency Management Agency (Parts 4400--4499)
        51  Department of the Army Acquisition Regulations (Parts 
                5100--5199)
        52  Department of the Navy Acquisition Regulations (Parts 
                5200--5299)
        53  Department of the Air Force Federal Acquisition 
                Regulation Supplement (Parts 5300--5399)
        54  Defense Logistics Agency, Department of Defense (Part 
                5452)
        57  African Development Foundation (Parts 5700--5799)
        61  General Services Administration Board of Contract 
                Appeals (Parts 6100--6199)
        63  Department of Transportation Board of Contract Appeals 
                (Parts 6300--6399)
        99  Cost Accounting Standards Board, Office of Federal 
                Procurement Policy, Office of Management and 
                Budget (Parts 9900--9999)

                       Title 49--Transportation

            Subtitle A--Office of the Secretary of Transportation 
                (Parts 1--99)
            Subtitle B--Other Regulations Relating to 
                Transportation
         I  Research and Special Programs Administration, 
                Department of Transportation (Parts 100--199)

[[Page 783]]

        II  Federal Railroad Administration, Department of 
                Transportation (Parts 200--299)
       III  Federal Motor Carrier Safety Administration, 
                Department of Transportation (Parts 300--399)
        IV  Coast Guard, Department of Transportation (Parts 400--
                499)
         V  National Highway Traffic Safety Administration, 
                Department of Transportation (Parts 500--599)
        VI  Federal Transit Administration, Department of 
                Transportation (Parts 600--699)
       VII  National Railroad Passenger Corporation (AMTRAK) 
                (Parts 700--799)
      VIII  National Transportation Safety Board (Parts 800--999)
         X  Surface Transportation Board, Department of 
                Transportation (Parts 1000--1399)
        XI  Bureau of Transportation Statistics, Department of 
                Transportation (Parts 1400--1499)
       XII  Transportation Security Administration, Department of 
                Transportation (Parts 1500--1599)

                   Title 50--Wildlife and Fisheries

         I  United States Fish and Wildlife Service, Department of 
                the Interior (Parts 1--199)
        II  National Marine Fisheries Service, National Oceanic 
                and Atmospheric Administration, Department of 
                Commerce (Parts 200--299)
       III  International Fishing and Related Activities (Parts 
                300--399)
        IV  Joint Regulations (United States Fish and Wildlife 
                Service, Department of the Interior and National 
                Marine Fisheries Service, National Oceanic and 
                Atmospheric Administration, Department of 
                Commerce); Endangered Species Committee 
                Regulations (Parts 400--499)
         V  Marine Mammal Commission (Parts 500--599)
        VI  Fishery Conservation and Management, National Oceanic 
                and Atmospheric Administration, Department of 
                Commerce (Parts 600--699)

                      CFR Index and Finding Aids

            Subject/Agency Index
            List of Agency Prepared Indexes
            Parallel Tables of Statutory Authorities and Rules
            List of CFR Titles, Chapters, Subchapters, and Parts
            Alphabetical List of Agencies Appearing in the CFR



[[Page 785]]





           Alphabetical List of Agencies Appearing in the CFR




                     (Revised as of January 1, 2002)

                                                  CFR Title, Subtitle or 
                     Agency                               Chapter

Administrative Committee of the Federal Register  1, I
Advanced Research Projects Agency                 32, I
Advisory Commission on Intergovernmental          5, VII
     Relations
Advisory Council on Historic Preservation         36, VIII
African Development Foundation                    22, XV
  Federal Acquisition Regulation                  48, 57
Agency for International Development, United      22, II
     States
  Federal Acquisition Regulation                  48, 7
Agricultural Marketing Service                    7, I, IX, X, XI
Agricultural Research Service                     7, V
Agriculture Department                            5, LXXIII
  Agricultural Marketing Service                  7, I, IX, X, XI
  Agricultural Research Service                   7, V
  Animal and Plant Health Inspection Service      7, III; 9, I
  Chief Financial Officer, Office of              7, XXX
  Commodity Credit Corporation                    7, XIV
  Cooperative State Research, Education, and      7, XXXIV
       Extension Service
  Economic Research Service                       7, XXXVII
  Energy, Office of                               7, XXIX
  Environmental Quality, Office of                7, XXXI
  Farm Service Agency                             7, VII, XVIII
  Federal Acquisition Regulation                  48, 4
  Federal Crop Insurance Corporation              7, IV
  Food and Nutrition Service                      7, II
  Food Safety and Inspection Service              9, III
  Foreign Agricultural Service                    7, XV
  Forest Service                                  36, II
  Grain Inspection, Packers and Stockyards        7, VIII; 9, II
       Administration
  Information Resources Management, Office of     7, XXVII
  Inspector General, Office of                    7, XXVI
  National Agricultural Library                   7, XLI
  National Agricultural Statistics Service        7, XXXVI
  Natural Resources Conservation Service          7, VI
  Operations, Office of                           7, XXVIII
  Procurement and Property Management, Office of  7, XXXII
  Rural Business-Cooperative Service              7, XVIII, XLII
  Rural Development Administration                7, XLII
  Rural Housing Service                           7, XVIII, XXXV
  Rural Telephone Bank                            7, XVI
  Rural Utilities Service                         7, XVII, XVIII, XLII
  Secretary of Agriculture, Office of             7, Subtitle A
  Transportation, Office of                       7, XXXIII
  World Agricultural Outlook Board                7, XXXVIII
Air Force Department                              32, VII
  Federal Acquisition Regulation Supplement       48, 53
Alcohol, Tobacco and Firearms, Bureau of          27, I
AMTRAK                                            49, VII
American Battle Monuments Commission              36, IV
American Indians, Office of the Special Trustee   25, VII
Animal and Plant Health Inspection Service        7, III; 9, I
Appalachian Regional Commission                   5, IX
Architectural and Transportation Barriers         36, XI
   Compliance Board
[[Page 786]]

Arctic Research Commission                        45, XXIII
Armed Forces Retirement Home                      5, XI
Army Department                                   32, V
  Engineers, Corps of                             33, II; 36, III
  Federal Acquisition Regulation                  48, 51
Benefits Review Board                             20, VII
Bilingual Education and Minority Languages        34, V
     Affairs, Office of
Blind or Severely Disabled, Committee for         41, 51
     Purchase From People Who Are
Broadcasting Board of Governors                   22, V
  Federal Acquisition Regulation                  48, 19
Census Bureau                                     15, I
Central Intelligence Agency                       32, XIX
Chief Financial Officer, Office of                7, XXX
Child Support Enforcement, Office of              45, III
Children and Families, Administration for         45, II, III, IV, X
Civil Rights, Commission on                       45, VII
Civil Rights, Office for                          34, I
Coast Guard                                       33, I; 46, I; 49, IV
Coast Guard (Great Lakes Pilotage)                46, III
Commerce Department                               44, IV
  Census Bureau                                   15, I
  Economic Affairs, Under Secretary               37, V
  Economic Analysis, Bureau of                    15, VIII
  Economic Development Administration             13, III
  Emergency Management and Assistance             44, IV
  Export Administration, Bureau of                15, VII
  Federal Acquisition Regulation                  48, 13
  Fishery Conservation and Management             50, VI
  Foreign-Trade Zones Board                       15, IV
  International Trade Administration              15, III; 19, III
  National Institute of Standards and Technology  15, II
  National Marine Fisheries Service               50, II, IV, VI
  National Oceanic and Atmospheric                15, IX; 50, II, III, IV, 
       Administration                             VI
  National Telecommunications and Information     15, XXIII; 47, III
       Administration
  National Weather Service                        15, IX
  Patent and Trademark Office, United States      37, I
  Productivity, Technology and Innovation,        37, IV
       Assistant Secretary for
  Secretary of Commerce, Office of                15, Subtitle A
  Technology, Under Secretary for                 37, V
  Technology Administration                       15, XI
  Technology Policy, Assistant Secretary for      37, IV
Commercial Space Transportation                   14, III
Commodity Credit Corporation                      7, XIV
Commodity Futures Trading Commission              5, XLI; 17, I
Community Planning and Development, Office of     24, V, VI
     Assistant Secretary for
Community Services, Office of                     45, X
Comptroller of the Currency                       12, I
Construction Industry Collective Bargaining       29, IX
     Commission
Consumer Product Safety Commission                5, LXXI; 16, II
Cooperative State Research, Education, and        7, XXXIV
     Extension Service
Copyright Office                                  37, II
Corporation for National and Community Service    45, XII, XXV
Cost Accounting Standards Board                   48, 99
Council on Environmental Quality                  40, V
Court Services and Offender Supervision Agency    28, VIII
     for the District of Columbia
Customs Service, United States                    19, I
Defense Contract Audit Agency                     32, I
Defense Department                                5, XXVI; 32, Subtitle A; 
                                                  40, VII
  Advanced Research Projects Agency               32, I
  Air Force Department                            32, VII

[[Page 787]]

  Army Department                                 32, V; 33, II; 36, III, 
                                                  48, 51
  Defense Intelligence Agency                     32, I
  Defense Logistics Agency                        32, I, XII; 48, 54
  Engineers, Corps of                             33, II; 36, III
  Federal Acquisition Regulation                  48, 2
  National Imagery and Mapping Agency             32, I
  Navy Department                                 32, VI; 48, 52
  Secretary of Defense, Office of                 32, I
Defense Contract Audit Agency                     32, I
Defense Intelligence Agency                       32, I
Defense Logistics Agency                          32, XII; 48, 54
Defense Nuclear Facilities Safety Board           10, XVII
Delaware River Basin Commission                   18, III
District of Columbia, Court Services and          28, VIII
     Offender Supervision Agency for the
Drug Enforcement Administration                   21, II
East-West Foreign Trade Board                     15, XIII
Economic Affairs, Under Secretary                 37, V
Economic Analysis, Bureau of                      15, VIII
Economic Development Administration               13, III
Economic Research Service                         7, XXXVII
Education, Department of                          5, LIII
  Bilingual Education and Minority Languages      34, V
       Affairs, Office of
  Civil Rights, Office for                        34, I
  Educational Research and Improvement, Office    34, VII
       of
  Elementary and Secondary Education, Office of   34, II
  Federal Acquisition Regulation                  48, 34
  Postsecondary Education, Office of              34, VI
  Secretary of Education, Office of               34, Subtitle A
  Special Education and Rehabilitative Services,  34, III
       Office of
  Vocational and Adult Education, Office of       34, IV
Educational Research and Improvement, Office of   34, VII
Elementary and Secondary Education, Office of     34, II
Emergency Oil and Gas Guaranteed Loan Board       13, V
Emergency Steel Guarantee Loan Board              13, IV
Employees' Compensation Appeals Board             20, IV
Employees Loyalty Board                           5, V
Employment and Training Administration            20, V
Employment Standards Administration               20, VI
Endangered Species Committee                      50, IV
Energy, Department of                             5, XXIII; 10, II, III, X
  Federal Acquisition Regulation                  48, 9
  Federal Energy Regulatory Commission            5, XXIV; 18, I
  Property Management Regulations                 41, 109
Energy, Office of                                 7, XXIX
Engineers, Corps of                               33, II; 36, III
Engraving and Printing, Bureau of                 31, VI
Environmental Protection Agency                   5, LIV; 40, I, IV, VII
  Federal Acquisition Regulation                  48, 15
  Property Management Regulations                 41, 115
Environmental Quality, Office of                  7, XXXI
Equal Employment Opportunity Commission           5, LXII; 29, XIV
Equal Opportunity, Office of Assistant Secretary  24, I
     for
Executive Office of the President                 3, I
  Administration, Office of                       5, XV
  Environmental Quality, Council on               40, V
  Management and Budget, Office of                5, III, LXXVII; 14, VI; 
                                                  48, 99
  National Drug Control Policy, Office of         21, III
  National Security Council                       32, XXI; 47, 2
  Presidential Documents                          3
  Science and Technology Policy, Office of        32, XXIV; 47, II
  Trade Representative, Office of the United      15, XX
       States
Export Administration, Bureau of                  15, VII
Export-Import Bank of the United States           5, LII; 12, IV

[[Page 788]]

Family Assistance, Office of                      45, II
Farm Credit Administration                        5, XXXI; 12, VI
Farm Credit System Insurance Corporation          5, XXX; 12, XIV
Farm Service Agency                               7, VII, XVIII
Federal Acquisition Regulation                    48, 1
Federal Aviation Administration                   14, I
  Commercial Space Transportation                 14, III
Federal Claims Collection Standards               31, IX
Federal Communications Commission                 5, XXIX; 47, I
Federal Contract Compliance Programs, Office of   41, 60
Federal Crop Insurance Corporation                7, IV
Federal Deposit Insurance Corporation             5, XXII; 12, III
Federal Election Commission                       11, I
Federal Emergency Management Agency               44, I
  Federal Acquisition Regulation                  48, 44
Federal Employees Group Life Insurance Federal    48, 21
     Acquisition Regulation
Federal Employees Health Benefits Acquisition     48, 16
     Regulation
Federal Energy Regulatory Commission              5, XXIV; 18, I
Federal Financial Institutions Examination        12, XI
     Council
Federal Financing Bank                            12, VIII
Federal Highway Administration                    23, I, II
Federal Home Loan Mortgage Corporation            1, IV
Federal Housing Enterprise Oversight Office       12, XVII
Federal Housing Finance Board                     12, IX
Federal Labor Relations Authority, and General    5, XIV; 22, XIV
     Counsel of the Federal Labor Relations 
     Authority
Federal Law Enforcement Training Center           31, VII
Federal Management Regulation                     41, 102
Federal Maritime Commission                       46, IV
Federal Mediation and Conciliation Service        29, XII
Federal Mine Safety and Health Review Commission  5, LXXIV; 29, XXVII
Federal Motor Carrier Safety Administration       49, III
Federal Prison Industries, Inc.                   28, III
Federal Procurement Policy Office                 48, 99
Federal Property Management Regulations           41, 101
Federal Railroad Administration                   49, II
Federal Register, Administrative Committee of     1, I
Federal Register, Office of                       1, II
Federal Reserve System                            12, II
  Board of Governors                              5, LVIII
Federal Retirement Thrift Investment Board        5, VI, LXXVI
Federal Service Impasses Panel                    5, XIV
Federal Trade Commission                          5, XLVII; 16, I
Federal Transit Administration                    49, VI
Federal Travel Regulation System                  41, Subtitle F
Fine Arts, Commission on                          45, XXI
Fiscal Service                                    31, II
Fish and Wildlife Service, United States          50, I, IV
Fishery Conservation and Management               50, VI
Food and Drug Administration                      21, I
Food and Nutrition Service                        7, II
Food Safety and Inspection Service                9, III
Foreign Agricultural Service                      7, XV
Foreign Assets Control, Office of                 31, V
Foreign Claims Settlement Commission of the       45, V
     United States
Foreign Service Grievance Board                   22, IX
Foreign Service Impasse Disputes Panel            22, XIV
Foreign Service Labor Relations Board             22, XIV
Foreign-Trade Zones Board                         15, IV
Forest Service                                    36, II
General Accounting Office                         4, I
General Services Administration                   5, LVII; 41, 105
  Contract Appeals, Board of                      48, 61
  Federal Acquisition Regulation                  48, 5
  Federal Management Regulation                   41, 102
  Federal Property Management Regulation          41, 101

[[Page 789]]

  Federal Travel Regulation System                41, Subtitle F
  General                                         41, 300
  Payment From a Non-Federal Source for Travel    41, 304
       Expenses
  Payment of Expenses Connected With the Death    41, 303
       of Certain Employees
  Relocation Allowances                           41, 302
  Temporary Duty (TDY) Travel Allowances          41, 301
Geological Survey                                 30, IV
Government Ethics, Office of                      5, XVI
Government National Mortgage Association          24, III
Grain Inspection, Packers and Stockyards          7, VIII; 9, II
     Administration
Harry S. Truman Scholarship Foundation            45, XVIII
Health and Human Services, Department of          5, XLV; 45, Subtitle A
  Child Support Enforcement, Office of            45, III
  Children and Families, Administration for       45, II, III, IV, X
  Community Services, Office of                   45, X
  Family Assistance, Office of                    45, II
  Federal Acquisition Regulation                  48, 3
  Food and Drug Administration                    21, I
  Centers for Medicare & Medicaid Services        42, IV
  Human Development Services, Office of           45, XIII
  Indian Health Service                           25, V
  Inspector General (Health Care), Office of      42, V
  Public Health Service                           42, I
  Refugee Resettlement, Office of                 45, IV
Centers for Medicare & Medicaid Services          42, IV
Housing and Urban Development, Department of      5, LXV; 24, Subtitle B
  Community Planning and Development, Office of   24, V, VI
       Assistant Secretary for
  Equal Opportunity, Office of Assistant          24, I
       Secretary for
  Federal Acquisition Regulation                  48, 24
  Federal Housing Enterprise Oversight, Office    12, XVII
       of
  Government National Mortgage Association        24, III
  Housing--Federal Housing Commissioner, Office   24, II, VIII, X, XX
       of Assistant Secretary for
  Housing, Office of, and Multifamily Housing     24, IV
       Assistance Restructuring, Office of
  Inspector General, Office of                    24, XII
  Public and Indian Housing, Office of Assistant  24, IX
       Secretary for
  Secretary, Office of                            24, Subtitle A, VII
Housing--Federal Housing Commissioner, Office of  24, II, VIII, X, XX
     Assistant Secretary for
Housing, Office of, and Multifamily Housing       24, IV
     Assistance Restructuring, Office of
Human Development Services, Office of             45, XIII
Immigration and Naturalization Service            8, I
Independent Counsel, Office of                    28, VII
Indian Affairs, Bureau of                         25, I, V
Indian Affairs, Office of the Assistant           25, VI
     Secretary
Indian Arts and Crafts Board                      25, II
Indian Health Service                             25, V
Information Resources Management, Office of       7, XXVII
Information Security Oversight Office, National   32, XX
     Archives and Records Administration
Inspector General
  Agriculture Department                          7, XXVI
  Health and Human Services Department            42, V
  Housing and Urban Development Department        24, XII
Institute of Peace, United States                 22, XVII
Inter-American Foundation                         5, LXIII; 22, X
Intergovernmental Relations, Advisory Commission  5, VII
     on
Interior Department
  American Indians, Office of the Special         25, VII
       Trustee
  Endangered Species Committee                    50, IV
  Federal Acquisition Regulation                  48, 14
  Federal Property Management Regulations System  41, 114
  Fish and Wildlife Service, United States        50, I, IV

[[Page 790]]

  Geological Survey                               30, IV
  Indian Affairs, Bureau of                       25, I, V
  Indian Affairs, Office of the Assistant         25, VI
       Secretary
  Indian Arts and Crafts Board                    25, II
  Land Management, Bureau of                      43, II
  Minerals Management Service                     30, II
  Mines, Bureau of                                30, VI
  National Indian Gaming Commission               25, III
  National Park Service                           36, I
  Reclamation, Bureau of                          43, I
  Secretary of the Interior, Office of            43, Subtitle A
  Surface Mining and Reclamation Appeals, Board   30, III
       of
  Surface Mining Reclamation and Enforcement,     30, VII
       Office of
Internal Revenue Service                          26, I
International Boundary and Water Commission,      22, XI
     United States and Mexico, United States 
     Section
International Development, United States Agency   22, II
     for
  Federal Acquisition Regulation                  48, 7
International Development Cooperation Agency,     22, XII
     United States
International Fishing and Related Activities      50, III
International Investment, Office of               31, VIII
International Joint Commission, United States     22, IV
     and Canada
International Organizations Employees Loyalty     5, V
     Board
International Trade Administration                15, III; 19, III
International Trade Commission, United States     19, II
Interstate Commerce Commission                    5, XL
James Madison Memorial Fellowship Foundation      45, XXIV
Japan-United States Friendship Commission         22, XVI
Joint Board for the Enrollment of Actuaries       20, VIII
Justice Department                                5, XXVIII; 28, I, XI; 40, 
                                                  IV
  Drug Enforcement Administration                 21, II
  Federal Acquisition Regulation                  48, 28
  Federal Claims Collection Standards             31, IX
  Federal Prison Industries, Inc.                 28, III
  Foreign Claims Settlement Commission of the     45, V
       United States
  Immigration and Naturalization Service          8, I
  Offices of Independent Counsel                  28, VI
  Prisons, Bureau of                              28, V
  Property Management Regulations                 41, 128
Labor Department                                  5, XLII
  Benefits Review Board                           20, VII
  Employees' Compensation Appeals Board           20, IV
  Employment and Training Administration          20, V
  Employment Standards Administration             20, VI
  Federal Acquisition Regulation                  48, 29
  Federal Contract Compliance Programs, Office    41, 60
       of
  Federal Procurement Regulations System          41, 50
  Labor-Management Standards, Office of           29, II, IV
  Mine Safety and Health Administration           30, I
  Occupational Safety and Health Administration   29, XVII
  Pension and Welfare Benefits Administration     29, XXV
  Public Contracts                                41, 50
  Secretary of Labor, Office of                   29, Subtitle A
  Veterans' Employment and Training Service,      41, 61; 20, IX
       Office of the Assistant Secretary for
  Wage and Hour Division                          29, V
  Workers' Compensation Programs, Office of       20, I
Labor-Management Standards, Office of             29, II, IV
Land Management, Bureau of                        43, II
Legal Services Corporation                        45, XVI
Library of Congress                               36, VII
  Copyright Office                                37, II
Management and Budget, Office of                  5, III, LXXVII; 14, VI; 
                                                  48, 99

[[Page 791]]

Marine Mammal Commission                          50, V
Maritime Administration                           46, II
Merit Systems Protection Board                    5, II
Micronesian Status Negotiations, Office for       32, XXVII
Mine Safety and Health Administration             30, I
Minerals Management Service                       30, II
Mines, Bureau of                                  30, VI
Minority Business Development Agency              15, XIV
Miscellaneous Agencies                            1, IV
Monetary Offices                                  31, I
Morris K. Udall Scholarship and Excellence in     36, XVI
     National Environmental Policy Foundation
National Aeronautics and Space Administration     5, LIX; 14, V
  Federal Acquisition Regulation                  48, 18
National Agricultural Library                     7, XLI
National Agricultural Statistics Service          7, XXXVI
National and Community Service, Corporation for   45, XII, XXV
National Archives and Records Administration      5, LXVI; 36, XII
  Information Security Oversight Office           32, XX
National Bureau of Standards                      15, II
National Capital Planning Commission              1, IV
National Commission for Employment Policy         1, IV
National Commission on Libraries and Information  45, XVII
     Science
National Council on Disability                    34, XII
National Counterintelligence Center               32, XVIII
National Credit Union Administration              12, VII
National Crime Prevention and Privacy Compact     28, IX
     Council
National Drug Control Policy, Office of           21, III
National Foundation on the Arts and the           45, XI
     Humanities
National Highway Traffic Safety Administration    23, II, III; 49, V
National Imagery and Mapping Agency               32, I
National Indian Gaming Commission                 25, III
National Institute for Literacy                   34, XI
National Institute of Standards and Technology    15, II
National Labor Relations Board                    5, LXI; 29, I
National Marine Fisheries Service                 50, II, IV, VI
National Mediation Board                          29, X
National Oceanic and Atmospheric Administration   15, IX; 50, II, III, IV, 
                                                  VI
National Park Service                             36, I
National Railroad Adjustment Board                29, III
National Railroad Passenger Corporation (AMTRAK)  49, VII
National Science Foundation                       5, XLIII; 45, VI
  Federal Acquisition Regulation                  48, 25
National Security Council                         32, XXI
National Security Council and Office of Science   47, II
     and Technology Policy
National Telecommunications and Information       15, XXIII; 47, III
     Administration
National Transportation Safety Board              49, VIII
National Weather Service                          15, IX
Natural Resources Conservation Service            7, VI
Navajo and Hopi Indian Relocation, Office of      25, IV
Navy Department                                   32, VI
  Federal Acquisition Regulation                  48, 52
Neighborhood Reinvestment Corporation             24, XXV
Northeast Dairy Compact Commission                7, XIII
Northeast Interstate Low-Level Radioactive Waste  10, XVIII
     Commission
Nuclear Regulatory Commission                     5, XLVIII; 10, I
  Federal Acquisition Regulation                  48, 20
Occupational Safety and Health Administration     29, XVII
Occupational Safety and Health Review Commission  29, XX
Offices of Independent Counsel                    28, VI
Oklahoma City National Memorial Trust             36, XV
Operations Office                                 7, XXVIII
Overseas Private Investment Corporation           5, XXXIII; 22, VII
Panama Canal Commission                           48, 35

[[Page 792]]

Panama Canal Regulations                          35, I
Patent and Trademark Office, United States        37, I
Payment From a Non-Federal Source for Travel      41, 304
     Expenses
Payment of Expenses Connected With the Death of   41, 303
     Certain Employees
Peace Corps                                       22, III
Pennsylvania Avenue Development Corporation       36, IX
Pension and Welfare Benefits Administration       29, XXV
Pension Benefit Guaranty Corporation              29, XL
Personnel Management, Office of                   5, I, XXXV; 45, VIII
  Federal Acquisition Regulation                  48, 17
  Federal Employees Group Life Insurance Federal  48, 21
       Acquisition Regulation
  Federal Employees Health Benefits Acquisition   48, 16
       Regulation
Postal Rate Commission                            5, XLVI; 39, III
Postal Service, United States                     5, LX; 39, I
Postsecondary Education, Office of                34, VI
President's Commission on White House             1, IV
     Fellowships
Presidential Documents                            3
Presidio Trust                                    36, X
Prisons, Bureau of                                28, V
Procurement and Property Management, Office of    7, XXXII
Productivity, Technology and Innovation,          37, IV
     Assistant Secretary
Public Contracts, Department of Labor             41, 50
Public and Indian Housing, Office of Assistant    24, IX
     Secretary for
Public Health Service                             42, I
Railroad Retirement Board                         20, II
Reclamation, Bureau of                            43, I
Refugee Resettlement, Office of                   45, IV
Regional Action Planning Commissions              13, V
Relocation Allowances                             41, 302
Research and Special Programs Administration      49, I
Rural Business-Cooperative Service                7, XVIII, XLII
Rural Development Administration                  7, XLII
Rural Housing Service                             7, XVIII, XXXV
Rural Telephone Bank                              7, XVI
Rural Utilities Service                           7, XVII, XVIII, XLII
Saint Lawrence Seaway Development Corporation     33, IV
Science and Technology Policy, Office of          32, XXIV
Science and Technology Policy, Office of, and     47, II
     National Security Council
Secret Service                                    31, IV
Securities and Exchange Commission                17, II
Selective Service System                          32, XVI
Small Business Administration                     13, I
Smithsonian Institution                           36, V
Social Security Administration                    20, III; 48, 23
Soldiers' and Airmen's Home, United States        5, XI
Special Counsel, Office of                        5, VIII
Special Education and Rehabilitative Services,    34, III
     Office of
State Department                                  22, I; 28, XI
  Federal Acquisition Regulation                  48, 6
Surface Mining and Reclamation Appeals, Board of  30, III
Surface Mining Reclamation and Enforcement,       30, VII
     Office of
Surface Transportation Board                      49, X
Susquehanna River Basin Commission                18, VIII
Technology Administration                         15, XI
Technology Policy, Assistant Secretary for        37, IV
Technology, Under Secretary for                   37, V
Tennessee Valley Authority                        5, LXIX; 18, XIII
Thrift Supervision Office, Department of the      12, V
     Treasury
Trade Representative, United States, Office of    15, XX
Transportation, Department of                     5, L
  Coast Guard                                     33, I; 46, I; 49, IV
  Coast Guard (Great Lakes Pilotage)              46, III
  Commercial Space Transportation                 14, III

[[Page 793]]

  Contract Appeals, Board of                      48, 63
  Emergency Management and Assistance             44, IV
  Federal Acquisition Regulation                  48, 12
  Federal Aviation Administration                 14, I
  Federal Highway Administration                  23, I, II
  Federal Motor Carrier Safety Administration     49, III
  Federal Railroad Administration                 49, II
  Federal Transit Administration                  49, VI
  Maritime Administration                         46, II
  National Highway Traffic Safety Administration  23, II, III; 49, V
  Research and Special Programs Administration    49, I
  Saint Lawrence Seaway Development Corporation   33, IV
  Secretary of Transportation, Office of          14, II; 49, Subtitle A
  Surface Transportation Board                    49, X
  Transportation Security Administration          49, XII
  Transportation Statistics Bureau                49, XI
Transportation, Office of                         7, XXXIII
Transportation Security Administration            49, XII
Transportation Statistics Brureau                 49, XI
Travel Allowances, Temporary Duty (TDY)           41, 301
Treasury Department                               5, XXI; 12, XV; 17, IV; 
                                                  31, IX
  Alcohol, Tobacco and Firearms, Bureau of        27, I
  Community Development Financial Institutions    12, XVIII
       Fund
  Comptroller of the Currency                     12, I
  Customs Service, United States                  19, I
  Engraving and Printing, Bureau of               31, VI
  Federal Acquisition Regulation                  48, 10
  Federal Law Enforcement Training Center         31, VII
  Fiscal Service                                  31, II
  Foreign Assets Control, Office of               31, V
  Internal Revenue Service                        26, I
  International Investment, Office of             31, VIII
  Monetary Offices                                31, I
  Secret Service                                  31, IV
  Secretary of the Treasury, Office of            31, Subtitle A
  Thrift Supervision, Office of                   12, V
Truman, Harry S. Scholarship Foundation           45, XVIII
United States and Canada, International Joint     22, IV
     Commission
United States and Mexico, International Boundary  22, XI
     and Water Commission, United States Section
Utah Reclamation Mitigation and Conservation      43, III
     Commission
Veterans Affairs Department                       38, I
  Federal Acquisition Regulation                  48, 8
Veterans' Employment and Training Service,        41, 61; 20, IX
     Office of the Assistant Secretary for
Vice President of the United States, Office of    32, XXVIII
Vocational and Adult Education, Office of         34, IV
Wage and Hour Division                            29, V
Water Resources Council                           18, VI
Workers' Compensation Programs, Office of         20, I
World Agricultural Outlook Board                  7, XXXVIII

[[Page 795]]



List of CFR Sections Affected



All changes in this volume of the Code of Federal Regulations which were 
made by documents published in the Federal Register since January 1, 
1986, are enumerated in the following list. Entries indicate the nature 
of the changes effected. Page numbers refer to the Federal Register 
pages. The user should consult the entries for chapters and parts as 
well as sections for revisions.
For the period before January 1, 1986, See the ``List of CFR Sections 
Affected, 1949-1963, 1964-1972, and 1973-1985'', published in seven 
separate volumes.

                                  1986

16 CFR
                                                                   51 FR
                                                                    Page
Chapter II
1034 Added....................................................4575, 4579
1034.103 Corrected..................................................7543
1034.150 (c) corrected..............................................7543
1034.170 (c) revised................................................4575
1115 Policy statement..............................................23409
1500 Authority citation revised....................................29096
1500.3 (b)(10) and (c)(6) revised; Note added; eff. 8-10-87........28536
    (c)(5) added...................................................29096
    (c)(6)(i), (ii), (iii), and (vii) corrected; (c)(6)(iv) 
correctly revised..................................................30209
1500.43 Republished; eff. 8-10-87..................................28537
1500.43a Added; eff. 8-10-87.......................................28539
1500.46 Revised; eff. 8-10-87......................................28544
1505.6 (g)(2) introductory text, (iii), and (iv) amended...........34199
1505.51 Added......................................................34199
1700 Authority citation revised....................................45313
1700.14 (a)(1)(i) revised; (a)(1) introductory text republished....45313
1750.7 (b) amended....................................................10

                                  1987

16 CFR
                                                                   52 FR
                                                                    Page
Chapter II
1000 Revised.......................................................48969
1015.9 Revised.....................................................28979
1015.12 (a) revised; interim.......................................45632
1015.16 (g) revised................................................44597
1019 Existing regulations unchanged.................................5080
1034 Correctly designated............................................405
1109 Existing regulations unchanged.................................5080
1115 Existing regulations unchanged.................................5080
1201 Existing regulations unchanged.................................5080
1202 Existing regulations unchanged.................................5080
1205 Existing regulations unchanged.................................5080
1207 Existing regulations unchanged.................................5080
1209 Existing regulations unchanged.................................5080
1212 Existing regulations unchanged.................................5080
1301 Existing regulations unchanged.................................5080
1302 Existing regulations unchanged.................................5080
1303 Existing regulations unchanged.................................5080
1304 Existing regulations unchanged.................................5080
1305 Existing regulations unchanged.................................5080
1401 Existing regulations unchanged.................................5080
1402 Existing regulations unchanged.................................5080
1404 Existing regulations unchanged.................................5080
1608.3 (a) amended.................................................48810
1750.7 (b) correctly designated......................................406

[[Page 796]]

                                  1988

16 CFR
                                                                   53 FR
                                                                    Page
Chapter II
1000 Revised................................................17453, 52407
1014.3 (a), (c), and (d) introductory text revised.................52404
1015.12 (a) revised.................................................3868
1016 Revised........................................................6594
1306 Added.........................................................46839
1500.14 (b)(3) (i) and (ii) revised.................................3018
1500.18 (a)(4) amended.............................................46839
1500.86 (a)(3) removed.............................................46839
1501.1--1501.5 (Subpart A) Heading added...........................19282
1501.20 (Subpart B) Added; enforcement deferred to 11-23-89........19282
    Technical correction...........................................21964
1700 Authority citation revised....................................41160
1700.14 (a)(10)(xvii) revised......................................41160

                                  1989

16 CFR
                                                                   54 FR
                                                                    Page
Chapter II
Chapter II Review of rules...........................................601
1000 Revised.......................................................52777
1031 Revised........................................................6652
1032 Removed........................................................6652
1501.1--1501.4 (Subpart A) Heading removed.........................52344
1501.20 (Subpart B) Removed........................................52344

                                  1990

16 CFR
                                                                   55 FR
                                                                    Page
Chapter II
1027 Added.........................................................34904
1500.51 (e)(2)(i) revised..........................................52040
1700.14 (a)(1)(ii) revised.........................................13125
    (a)(16)(i) revised.............................................13127
    (a)(10)(xix) added.............................................13129
    (a) introductory text republished; (a)(18) and (19) added; 
eff. 6-18-91.......................................................51902

                                  1991

16 CFR
                                                                   56 FR
                                                                    Page
Chapter II
1000 Revised.......................................................30496
1000.4 (a) and (b)(1) through (3) amended..........................67174
1000.12 (b) revised................................................46235
1000.19 Amended....................................................46235
1028 Revised................................................28012, 28019
1028.101 (b)(5) corrected..........................................29756
1028.103 (f) corrected.............................................29756
1061 Added..........................................................3416
1211 Added.........................................................28052
1500.17 (a)(11) added..............................................37837
    Regulation at 56 FR 37837 effective date confirmed.............49139
1500.51 (b)(2) revised.................................................9
    (e)(2)(i) corrected..............................................558
1500.52 (b)(2) revised................................................10
1500.53 (b)(2) revised................................................10
1500.201 Removed....................................................9278
1501.5 Revised.....................................................46986
1502 Added..........................................................9278
1604 Removed........................................................3416
1704 Removed........................................................3416

                                  1992

16 CFR
                                                                   57 FR
                                                                    Page
Chapter II
1115 Authority citation revised....................................34227
1115.2 (b) and (c) revised.........................................34227
1115.3 (c) revised.................................................34227
1115.5 Added.......................................................34228
    (a) corrected..................................................39597
1115.6 Added.......................................................34228
1115.7 Added.......................................................34229
1115.10 (a) and (b) amended; (c) and (d) redesignated as (e) and 
        (f); new (c) and (d) added.................................34229
1115.12 (c) through (f) redesignated as (d) through (g); new (c) 
        added; (a), (b) and new (f) revised........................34229
1115.13 (a) and (d)(6) amended; (b), (c) introductory text, 
        (c)(3), (d) introductory text, (4), (5), (10) and (11) 
        revised....................................................34229
1115.14 (c) amended; (e) revised...................................34230
1115 Appendix added................................................34230
1116 Added.........................................................34239
1211 Authority citation revised....................................60455
1211.1--1211.16 Existing text designated as subpart A and revised; 
        eff. 1-1-93................................................60455
1211.20--1211.25 (Subpart B) Added; eff. 1-21-93...................60468
1211.30--1211.31 (Subpart C) Added; eff. 1-21-93...................60468
1500 Authority citation revised....................................46665

[[Page 797]]

1500.3 (c)(2) introductory text revised; (c)(2)(i), (ii) and (iii) 
        redesignated as (c)(2)(i)(A), (B) and (C); new (c)(2)(i) 
        introductory text and (ii) added...........................46669
1500.14 (b)(8) added...............................................46669
1500.18 (a)(16) added..............................................27915
1500.135 Added.....................................................46665
1500.272 (c) and (d) revised.......................................28605
1700.14 (a) introductory text republished; (a)(20) added...........27920

                                  1993

16 CFR
                                                                   58 FR
                                                                    Page
Chapter II
1000.4 (a) and (b)(3) revised......................................64120
1030 Authority citation revised....................................12335
1030.101--1030.104 (Subpart A) Removed.............................12335
1030.201 (Subpart B) Removed.......................................12335
1030.301--1030.304 (Subpart C) Removed.............................12335
1030.401 Removed...................................................12335
1030.403 Removed...................................................12335
1030.407 Removed...................................................12335
1030.409 Removed...................................................12335
1030.410 Removed...................................................12335
1030.501--1030.502 (Subpart E) Removed.............................12335
1030.601--1030.611 (Subpart F) Removed.............................12335
1030.701--1030.705 (Subpart G) Removed.............................12335
1030.801 (Subpart H) Removed.......................................12335
1030.901 (Subpart I) Removed.......................................12335
1030.1001--1030.1002 (Subpart J) Removed...........................12335
1030.1101--1030.1109 (Subpart K) Removed...........................12335
1030.1201--1030.1218 (Subpart L) Removed...........................12335
1030 Appendixes A through F removed................................12335
1116.2 (b) revised.................................................16121
1145.16 Added......................................................37556
1210 Added.........................................................37584
    Regulation at 58 FR 37584 eff. date corrected to 7-12-94.......67671
1500 Authority citation revised....................................40334
1505 Authority citation revised....................................40335
1505.1 (a)(1) amended; (a)(2) added................................40335
1615 Stay of enforcement............................................4078
1616 Stay of enforcement............................................4078
1700.14 (a)(21) added..............................................38964

                                  1994

16 CFR
                                                                   59 FR
                                                                    Page
Chapter II
1000.3 (b) revised; (c) and (d) added..............................66673
1000.4 (b)(2) revised..............................................66673
1000.12 Revised....................................................66673
1000.19 Revised....................................................66673
1000.23 Revised....................................................66673
1000.25 Redesignated as 1000.27; new 1000.25 added.................66673
1000.26 Redesignated as 1000.28; new 1000.26 added.................66673
1000.27 Redesignated as 1000.29; new 1000.27 redesignated from 
        1000.25....................................................66673
1000.28 Redesignated as 1000.30; new 1000.28 redesignated from 
        1000.26....................................................66673
1000.29 Redesignated as 1000.32; new 1000.29 redesignated from 
        1000.27....................................................66673
    Revised........................................................66674
1000.30 Redesignated as 1000.33; new 1000.30 redesignated from 
        1000.28....................................................66673
    Revised........................................................66674
1000.31 Added......................................................66674
1000.32 Redesignated from 1000.29..................................66673
    Revised........................................................66674
1000.33 Redesignated from 1000.30..................................66673
1014.12 (b) added..................................................32078
1210.12 (b)(3) revised.............................................67621
1500 Authority citation revised.....................................9076
    Statement of enforcement.......................................56387
1500.18 (a)(7) amended..............................................9076
1500.86 (a)(5)(i)(B), (ii)(B), (D) and (E) amended..................9076
    (a)(5)(iv)(C) and (vi) amended..................................9077
1610.4 (b) introductory text and (c)(1) revised....................33194
1615 Stay of enforcement...........................................53584
1616 Stay of enforcement...........................................53584

[[Page 798]]

                                  1995

16 CFR
                                                                   60 FR
                                                                    Page
Chapter II
1000.7 (b) amended.................................................26825
1000.12 Revised....................................................26825
1000.19 Amended....................................................26825
1000.24 Amended; heading revised...................................26825
1000.26 Revised....................................................26825
1000.32 Revised....................................................26825
1117 Added.........................................................10493
1117.2 (a) revised; (h) added......................................41801
1145.9 Removed.....................................................62024
1145.10 Removed....................................................62024
1145.11 Removed....................................................62024
1145.12 Removed....................................................62024
1145.13 Removed....................................................62024
1145.14 Removed....................................................62024
1145.15 Removed....................................................62024
1203 Added; interim................................................15232
1500 Authority citation revised....................................10752
    Clarification..................................................53266
1500.14 (b)(8)(iv) added............................................8193
1500.18 (a) introductory text; (a)(17) added.......................10752
1500.19 Added......................................................10752
    (b)(1) introductory text revised...............................41802
1512.19 (d) removed................................................62990
1512.50 Removed....................................................62990
1700 Authority citation revised....................................37734
1700.14 (a)(22) added...............................................4541
    (a)(23) and (24) added; eff. 4-10-96...........................18004
    (a) introductory text amended; eff. 7-22-96....................37739
    (a)(25) added; eff. 2-6-96.....................................38674
    Regulation at 60 FR 37739 eff. date corrected to 7-22-96.......48890
    (a)(13) revised................................................53701
1700.15 (b)(2) revised; eff. 7-22-96...............................37735
1700.20 (a) revised; eff. in part 1-24-96 and in part 7-22-96......37734
    (d) added......................................................37738

                                  1996

16 CFR
                                                                   61 FR
                                                                    Page
Chapter II
1000.12 Revised.....................................................1707
1000.21 Amended.....................................................1708
1000.26 Revised.....................................................1707
1000.27 Revised.....................................................1708
1000.29 Revised.....................................................1708
1000.30 Removed.....................................................1708
1000.32 Revised.....................................................1708
1010 Removed.......................................................29647
1019 Revised.......................................................29647
1020 Added.........................................................52878
1030 Authority citation revised....................................65458
1030.101 (Subpart A) Added.........................................65458
1030.402--1030.408 (Subpart D) Removed.............................65459
1500 Authority citation revised....................................19829
    Effective date affirmation.....................................26096
1500.14 (b)(6)(i) and (ii) redesignated as (b)(6)(i)(A) and (B); 
        new (b)(6)(i)(A) and (B) amended; new (b)(6)(ii) added; 
        eff. 11-3-97...............................................19829
    (b)(6)(i)(A), (ii)(A) and (B) corrected........................33175
1500.17 (a)(12) added; eff. 3-26-97................................13095
    (a)(12)(i) correctly revised...................................18245
1500.132 Removed...................................................54551
1507 Effective date affirmation....................................26096
    Authority citation revised.....................................67200
1507.3 (a)(2) amended (effective date pending).....................67200
1507.12 Added; eff. 3-26-97........................................13096
1615 Stay of enforcement...........................................47412
1615.1 (a) revised; (c) through (m) redesignated as (d) through 
        (n); new (c) and (o) added.................................47644
1615.5 (b) removed..................................................1116
1615.31 (b)(3), (c) and (d) removed.................................1116
1616 Stay of enforcement...........................................47412
1616.2 (a) revised; (m) added......................................47646
1616.6 (b) removed..................................................1117
1616.31 (b)(6) and (c) removed......................................1117
1700.14 (a)(25) reinstated; CFR correction.........................40317

                                  1997

16 CFR
                                                                   62 FR
                                                                    Page
Chapter II
1000.8 Amended.....................................................46667
1000.27 Amended....................................................36450
1014.3 (a) and (c) amended.........................................46667
1014.12 (c) added..................................................48756
1015 Authority citation revised....................................46196
1015.1 (a) amended.................................................46196
1015.2 (a) revised; (c) added......................................46197
1015.3 (e) added...................................................46197

[[Page 799]]

1015.4 Amended.....................................................46197
1015.5 Heading revised; (a) and (b) amended; (d) through (g) added
                                                                   46197
1015.6 (b)(3) redesignated as (b)(4); new (b)(3) added; (c) 
        amended....................................................46197
1015.9 (e)(5) and (g)(1) revised...................................46198
1015.10 Introductory text and (b) through (g) revised..............46198
1017 Removed.......................................................36450
1021 Authority citation revised....................................46667
1021.11 Amended....................................................46667
1033 Authority citation revised....................................42397
1033.2 Revised (OMB numbers).......................................42397
1051.3 Amended.....................................................46667
1115.10 (a) amended................................................46667
1211 Authority citation revised....................................46667
1211.2 (c) amended.................................................46667
1211.4 (c) amended.................................................46667
1211.5 (b)(3) amended..............................................46667
1211.10 (d) amended................................................46667
1211.12 (c)(2) amended.............................................46667
1402 Authority citation revised....................................46667
1402.4 (b)(1) amended..............................................46667
1406 Authority citation revised....................................46667
1406.5 (d)(2) amended..............................................46667
1500.42 Footnote 1 amended.........................................46667
1502.4 (b) and (c) amended.........................................46667
1502.16 (a) amended................................................46667
1502.17 (a) amended................................................46667
1507.3 Regulation at 61 FR 67200 eff. 2-3-97........................4910
1615 Stay of enforcement...........................................60163
1616 Stay of enforcement...........................................60163
1700.14 (a)(26) added..............................................28801
    (b) amended....................................................46667
1702 Authority citation revised....................................46667
1702.2 (a)(1) revised..............................................46668

                                  1998

16 CFR
                                                                   63 FR
                                                                    Page
Chapter II
1203 Revised; eff. 3-10-99.........................................11729
1500.230 Added.....................................................70649
1500.231 Added.....................................................70648
1610 Authority citation amended....................................42697
1610.62 Added......................................................42697
1700.14 (a)(10)(vii) revised; (a)(27) added; eff. 3-2-99...........29953
    (a)(28) added; eff. 5-17-99....................................63607
    (a)(10)(xx) added..............................................66003

                                  1999

16 CFR
                                                                   64 FR
                                                                    Page
Chapter II
1000.12 (c) revised................................................66579
1000.27 Revised....................................................66579
1000.28 Redesignated as 1000.29....................................66579
    Added..........................................................66580
1000.29 Redesignated as 1000.30; new 1000.29 redesignated from 
        1000.28....................................................66579
1000.30 Redesignated from 1000.29..................................66579
1051.1 (c) amended.................................................48704
1145 Authority citation revised....................................71884
1145.17 Added; eff. 1-21-00........................................71884
1212 Added; eff. 12-22-00..........................................71872
1213 Added; eff. 6-19-00...........................................71899
1500.18 (a)(18) added; eff. 6-19-00................................71907
1513 Added; eff. 6-19-00...........................................71907
1615.1--1615.5 (Subpart A) Authority citation revised..............34535
    Corrected......................................................61021
1615.1 Introductory text, (o) introductory text, (1) and (3) 
        revised.....................................................2838
    (c)(1) amended.................................................34533
    (o)(10) and (11) added; eff. 6-28-00...........................34535
    (o)(10)(i) and (ii) amended; eff. 6-28-00......................48704
    (o)(11) amended; eff. 6-28-00..................................48705
1615.2 (a), (b) and (c) amended....................................34533
1615.4 Footnotes 2, 3 and 4 redesignated as footnotes 3, 4 and 5; 
        eff. 6-28-00...............................................34536
1615.64 (d) introductory text revised...............................2832
    (a)(1) and (b) amended.........................................34533
1616.1--1616.6 (Subpart A) Authority citation revised..............34536
    Corrected......................................................61021
1616.2 Introductory text, (m) introductory text, (1) and (3) 
        revised.....................................................2841
    (m)(10) and (11) added; eff. 6-28-00...........................34536
    (m)(10)(i), (ii) and (11) amended; eff. 6-28-00................48705

[[Page 800]]

1616.5 Footnotes 2 through 6 redesignated as footnotes 3 through 
        7; eff. 6-28-00............................................34538
    Footnotes 3 through 7 correctly redesignated as Footnotes 2 
through 6..........................................................61021
1616.65 (d) introductory text revised...............................2833
1700.14 (a)(29) added; eff. 6-19-00................................32803

                                  2000

16 CFR
                                                                   65 FR
                                                                    Page
Chapter II
1000.31 Revised....................................................53167
1211 Authority citation revised....................................70657
1211.2 (c) amended.................................................70657
1211.3 Amended.....................................................70657
1211.4 (c) amended.................................................70657
1211.5 (a) and (b)(3) amended; (a)(1), (6) and (7) revised; (a)(9) 
        added......................................................70657
1211.6 (a), (b) inroductory text, (1)(ii), (iii), (2), (c) and (d) 
        revised; (b)(3) added; (e) removed.........................70657
1211.7 Revised.....................................................70657
1211.8 Revised.....................................................70658
1211.9 (a) revised; (b) and (c) redesignated as (c) and (d); new 
        (b) added..................................................70658
1211.10 (a)(3), (c)(2), (d), (e)(1), (e)(1)(ii) and (2) amended....70659
1211.12 (c)(2) amended.............................................70659
1211.13 Redesignated as 1211.14; new 1211.13 added.................70659
1211.14 Redesignated as 1211.15; new 1211.14 redesignated from 
        1211.13; (a)(4), (b)(1) and (2) amended....................70659
1211.15 Redesignated as 1211.16; new 1211.15 redesignated from 
        1211.14; (g)(1), (2)(iv), (3)(i) and (i) amended...........70659
1211.16 Redesignated as 1211.17; new 1211.16 redesignated from 
        1211.15....................................................70659
1211.17 Redesignated from 1211.16..................................70659
1615.1 (o)(1)(i) table corrected....................................1435
1615.4 (g)(4)(i) and (ii) revised..................................12927
1615.32 (a)(1), (b)(1) introductory text, (2), (c)(2) and (f) 
        revised; (c)(1), (d)(3), (e)(1) and (2) amended............12927
    (a)(1) corrected...............................................19818
1616.5 (c)(4)(i) and (ii) revised..................................12928
1616.32 (a)(1), (b)(1) introductory text, (2), (c)(2), (f) and 
        (g)(1) revised; (c)(1), (d)(3), (e)(1) and (2) amended.....12928
1630.4 (b)(1)(ii) revised; footnote 3 and 4 removed; footnote 5 
        redesignated as footnote 3; (b)(1)(iii) added..............12932
1630.61 (a) amended................................................12933
1630.62 (a) and (d)(3) amended.....................................12933
1630.63 (a)(1) amended.............................................12933
1631.4 (b)(1)(ii) revised; footnote 3 removed; footnote 4 and 
        footnote 5 redesignated as footnote 3 and footnote 4; 
        (b)(1)(iii) added..........................................12934
1631.61 (a) amended................................................12934
1631.62 (a) and (d)(3) amended.....................................12934
1632.5 (b)(2)(i) through (iv) revised; (b)(2)(iv) concluding text 
        removed....................................................12938
Chapter XX
2014 Revised.......................................................40049

                                  2001

16 CFR
                                                                   66 FR
                                                                    Page
Chapter II
1000.26 Amended....................................................38369
1000.27 Amended....................................................38369
1115.12 (f) introductory text revised..............................54925
1500.18 (a)(18) added..............................................13650
    Corrected......................................................15997

[[Page 801]]

1500.86 (a)(7) and (8) added.......................................13651
1700.14 (a)(30) added; eff. 1-29-02................................40115
    (a)(31) and (32) added; eff. 10-25-02..........................53956
    (a)(30)(i) corrected...........................................65837
1702.16 (b) removed; (eff. 1-29-02)................................40115


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